SONOCO SINGAPORE PTE LTD ENVIRONMENTAL MGT SYSTEM AUDIT CHECKLISTS

(Answer Yes or No if you have what is required in the Verification Method). There should be evidence.

Main Items
1. Environmental control - Environmental management system - Environmental policies (environmental management)

Sub Items

Verification Method

Yes/ No

Remarks

[1] Is there any documented Environmental - An environmental management system has been Management system? constructed. - Environmental Policy and Environmental Objectives available. [2] Are the requirements from Standards eg. Sony (SS-00259), RoHS and/or ISO14001, etc. transformed ? - They are revised whenever necessary, in response to legal regulations and Sony requirements. - There is a list of environment-related substances. - There is an organization comprising people with environmental knowledge, and the responsibilities, authority and role of excecutives in charge of environmental management are clearly defined. [3] Are plans based on the environmental plans and policies systematized ? - There is an elimination and reduction plan for substances, and target dates are within the deadlines specified in SS00259 and/or other Env. standards. - Environmental management leaders are designated for planning and implementation, and reports are made of progress checks.

- Environmental information management and desimination

[4] Is information on quality- and environment-related substances passed to - Does the department responsible for environmental the departments which require it? management provide appropriate information, management, instruction and other functions related to environmental management substances to company sales centers and factories in other countries?

2. EMS Education and Training - EMS Training and Education - Training Implementation [1] Have the educational standards been stipulated ? [2] Are the education and training implemented? -Training Plan available, Training Standards available. - There are education and trainings plans for new employees, operators and persons responsible for the environmental product compliance.

- There is a training record for the handling of measuring instruments and the measurement method.

Main Items

Sub Items

Verification Method

Yes/ No

Remarks

3. Internal Environmental Audit - Audit Plan, Schedules, Reporting [1] Are there plans for internal audits? and Verifications

-Audit plan and schedules are available. -Internal auditors are trained - Corrective measures are taken according to audit results, and their effects are checked. - Environment responsible person reports the contents of audit reports to the managements.

4. Purchasing Management System - Selection of new suppliers [1] Are the criteria for selecting the new suppliers clear ? -Criteria for selecting new suppliers is available. -Selection is systematically reported to the relevant departments before the procurement.

- Selection of new raw materials and components

- Criteria for selecting the new raw materials / parts & [2] Are the criteria for selecting the new raw components is available materials/parts & components clear? - Selection is systematically reported to the relevant departments before the procurement. Non-use of Level 1substance are described on the design [3] Are the material suppliers requested for standard and material specifications of the parts. (eg. implement the environmental Purchase orders, Environmental management management ? requirements etc.) [4] Can Sonoco be provided with assurance Non-use of Level 1substances is described on the delivery on prohibited (Level1) substances? specification to Sonoco. [5] Is the non-use of Level 1substances in the purchased recycled materials guaranteed ? It is ruled that only designated raw materials produced by Sony's Green Partner are used when using the purchased recycled materials.

- Environmental requirements to the suppliers - Environmental assurance to Sonoco - Purchased recycled materials

- Data management

[6] Are MSDS/Chemical Ingredient List /ICP Data can be presented immediately on demand by Sonoco. measurement data filed and managed ? [7] Are existing components and raw materials verified not including Level1 substances? ICP data and chemical ingredient lists etc. from suppliers of existing components and raw materials clearly state that Level1 substances are not used.

- Verification of existing components and raw materials

- Packaging specifications

[8] Has the packaging specification been decided before the delivery to mass production parts/components ? [9] Is the disposal of packaging waste managed according to the relevant regulations?

- The content of environment-related substances to be controlled in packaging materials has to be verified.

Disposal of any packaging materials have to follow waste disposal procedure according to valid legislation

Main Items

Sub Items

Verification Method
The inspection method for env. substances to be controlled is recorded in the inspection standard. (In the case of quality inspection, management inspections can also be made on the basis of source data. In the case of environmental inspection, check according to the Chemical Ingredient List or MSDS, and ICP measurement data.

Yes/ No

Remarks

5. Evaluation of Purchased Parts - Incoming inspection standards [1] Are there any inspection plans for and criteria. verifying if the purchased parts/ components and raw materials are controlled from environmental banned substances?

[2] Are inspections carried out based on the inspection criteria ?

- Inspection is conducted for each receiving lot based on the inspection criteria. (Inspection of the data submitted by the supplier is also accepted.) - There is an inspection record for each of the inspection items stated in the inspection standard, and records are stored for three years.

[1] Do the production equipment, machinery and instruments (including environmental There is an inspection list for machinery and equipment, substance measurement ICP) receive which is followed before start of use. inspections before use? 7. Control of the environment-related substances to be controlled in the production process [1] The factory is verified and guaranteed to - Cadmium (categorized as Level 1 based on SS-00259) is be cadmium free (including packaging not used for all the parts / materials produced in the factory, materials). including those not for Sony. - Cadmium-free plant - There are a list of materials used and verification data for all components, materials and packaging materials, and it has been confirmed that these are Cd-free [2] Is the mixture, leakage or contamination with environmental substances to be controlled (level 1) during processes prevented? - Verified that all the equipment, jigs and tools that were previously contacted with Level-1 substances are not contaminated. (Verified from the record of the past one year.)

- Prevention of mixing, leakage and contamination (for phase-out phase only due to change of requirements)

and contamination (for phase-out phase only due to change of requirements)

with environmental substances to be controlled (level 1) during processes prevented? The prevention from the contamination and mixture of the environment-related substances to be controlled (Level 1) are requested in the operational procedure, and the reused materials from the same process are also verfied. - If environmental management substances (Level-1) are used for non-Sony clients, there is a log of the types of substances, their quantities and methods of use, to show clear separation of processes

Main Items
8. Second Tier Suppliers

Sub Items

Verification Method

Yes/ No

Remarks

- Environmental requirements

All secondary suppliers are clearly instructed in [1] Are environmental requirements passed requirements concerning environmental substances to be and requested? controlled and the submission of change notifications.
No No instructions provided by customer

- Audits

[2] Are the 2tier suppliers checked by audits?

All secondary suppliers are checked by audits. A secondary supplier audit sheet is used for the audit content.
No No audits provided by customer.

9. Shipping Inspections - Implementation of shipping inspections 10. Warehouse Control - Inventory control [1] Is the inventory management effective? Materials other than those in the material list are not stored. - That the shipping inspection is conducted - That the parts/components and materials used for the based on the shipping inspection standard finished products can be traced. and it is recorded.

- Control of the long-term inventory

[2] Are there rules for the control of longterm inventory?

- The way to guarantee the compliance of the long-term inventory is designated, considering the possible change of legislation in the future.

- Rules for control of changes

[1] Are the scope and responsibilities in case changes clear?

Rules for the change are specified in the change control rules or the relevant rules.

[2] Are information about changes communicated internally?

Written changes are available internally.

Data is gathered after changes to verify that the quality Evaluation of quality / environment [3] Are full inspections made on required by Sonoco is assured. If there is any effect related related substances to be environmental substances to be controlled to environmental substances, it is verified by MSDS, the list controlled in changed processes and goods? of constituents and ICP data (as applicable).

Main Items
- Approval of changes

Sub Items
[4]Is a judgment done about the feasibility of change ? [5] Is a change management control established for changes by a secondary supplier or components supplier?

Verification Method
Based on the evaluation result, the responsible person for the environmental control approves the implementation. Changes within the company and supplier are handled by similar procedures.

Yes/ No

Remarks

- Changes at the second tier supplier / part suppliers

- Notification of the changes

[6] In case of changes did Sonoco approve Written application format for change management is used beforehand? for each change and response of Sonoco is documented.

12. Actions Against Non-conforming Products - Reporting of Defects and nonconforming products. [1] When the non-conforming material is found, is it reported to the environment responsible person ? [2] Are the defective lots identifiable and traceable? Check if the identified non conforming products are recorded in Non - conformance Report and submitted to the responsible person. - A Non -Conformance area is available to store all defective lots and the reject quantity is recorded. - All Defective products and non-defective products are clearly identified and sorted. - Countermeasure for the defective [3] Are appropriate actions and products countermeasures taken on defect lots? - Horizontal (lateral) conveyance of the countermeasures to other products. [4] Is the countermeasure conveyed horizontally (laterally) to other similar products ? - Corrective and Preventive actions are available to solve the non-conformance issue. The treatment for the similar products is clearly stated in the countermeasure record, minutes etc.

[5] Shipment of the defective products to Sonoco

- A Report is conveyed to Sonoco when defective products are delivered to Sonoco already.

Points (for Office use)

Points (for Office use)

Points (for Office use)

Points (for Office use)

Points (for Office use)

(Name of Company)

QUALITY & ENVIRONMENTAL MGT SYSTEM AUDIT CHECKLISTS

(Answer Yes or No if you have what is required in the Verification Method). There should be evidence.

Main Section

Key Question

Verification

Yes/ No

Remarks

Points (for Office use)

A. Quality and Environmental Management System [1] Is there any documented Quality and Environmental Management system?

- A Quality and Environmental Manual is available.

- Quality Procedures and Work instructions are available Is there a system to ensure that the documents are the latest edition?

Revision History - They are revised whenever necessary, in response to legal regulations and other requirements. - There is a list of environment-related substances. - There is an organization comprising people with quality and environmental knowledge, and the responsibilities, authority and role of excecutives in charge are clearly defined.

[3] Are plans based on the environmental plans and policies systematized ? - Environmental information management and desimination

- Management leaders are designated for planning and implementation, and reports are made of progress checks.

[4] Is information on quality- and environment-related substances passed to - Does the department responsible for quaity and the departments which require it? environmental management provide appropriate information, management, instruction and other functions related to environmental management substances to company sales centers and factories in other countries?

Main Items
2. EMS Education and Training - Training and Education - Training Implementation

Sub Items
[1] Have the educational standards been stipulated ? [2] Are the education and training implemented?

Verification Method

Yes/ No

Remarks

Points (for Office use)

-Training Plan available, Training Standards available. - There are education and trainings plans for new employees, operators and persons responsible for the environmental product compliance. - There is a training record for the handling of measuring instruments and the measurement method.

3. Internal Environmental Audit - Audit Plan, Schedules, Reporting [1] Are there plans for internal audits? and Verifications

-Audit plan and schedules are available. -Internal auditors are trained - Corrective measures are taken according to audit results, and their effects are checked. - Responsible person reports the contents of audit reports to the managements.

4. Purchasing Management System - Selection of new suppliers [1] Are the criteria for selecting the new suppliers clear ? -Criteria for selecting new suppliers is available. -Selection is systematically reported to the relevant departments before the procurement.

- Selection of new raw materials and components

- Criteria for selecting the new raw materials / parts & [2] Are the criteria for selecting the new raw components is available materials/parts & components clear? - Selection is systematically reported to the relevant departments before the procurement. Non-use of Level 1substance are described on the design [3] Are the material suppliers requested for standard and material specifications of the parts. (eg. implement the environmental Purchase orders, Environmental management management ? requirements etc.) [6] Are MSDS/Chemical Ingredient List /ICP Data can be presented immediately on demand by the measurement data filed and managed ? auditees

- Quality and Environmental requirements to the suppliers

- Data management

Main Items

Sub Items
[7] Are existing components and raw materials verified not including Level1 substances? [8] Has the packaging specification been decided before the delivery to mass production parts/components ? [9] Is the disposal of packaging waste managed according to the relevant regulations?

Verification Method
ICP data and chemical ingredient lists etc. from suppliers of existing components and raw materials clearly state that Level1 substances are not used. - The content of environment-related substances to be controlled in packaging materials has to be verified.

Yes/ No

Remarks

Points (for Office use)

- Verification of existing components and raw materials

- Packaging specifications

Disposal of any packaging materials have to follow waste disposal procedure according to valid legislation

5. Evaluation of Purchased Parts - Incoming inspection standards [1] Are there any inspection plans for and criteria. verifying if the purchased parts/ components and raw materials are controlled from environmental banned substances?

The inspection method for env. substances to be controlled is recorded in the inspection standard. (In the case of quality inspection, management inspections can also be made on the basis of source data.

[2] Are inspections carried out based on the inspection criteria ?

- Inspection is conducted for each receiving lot based on the inspection criteria. (Inspection of the data submitted by the supplier is also accepted.) - There is an inspection record for each of the inspection items stated in the inspection standard, and records are stored for three years.

6. Control of the environment-related substances to be controlled in the production process [1] The factory is verified and guaranteed to - Cadmium (categorized as Level 1 based on SS-00259) is be cadmium free (including packaging not used for all the parts / materials produced in the factory, materials). including those not for Sony. - Cadmium-free plant - There are a list of materials used and verification data for all components, materials and packaging materials, and it has been confirmed that these are Cd-free

Main Items
- Prevention of mixing, leakage and contamination (for phase-out phase only due to change of requirements)

Sub Items
[2] Is the mixture, leakage or contamination with environmental substances to be controlled (level 1) during processes prevented?

Verification Method
- Verified that all the equipment, jigs and tools that were previously contacted with Level-1 substances are not contaminated. (Verified from the record of the past one year.) The prevention from the contamination and mixture of the environment-related substances to be controlled (Level 1) are requested in the operational procedure, and the reused materials from the same process are also verfied.

Yes/ No

Remarks

Points (for Office use)

7. Second Tier Suppliers - Quality and Environmental requirements [1] Are quality and environmental requirements passed and requested? All secondary suppliers are clearly instructed in requirements concerning environmental substances to be controlled and the submission of change notifications.

- Audits

[2] Are the 2tier suppliers checked by audits?

All secondary suppliers are checked by audits. A secondary supplier audit sheet is used for the audit content.

8. Shipping Inspections - Implementation of shipping inspections 9. Warehouse Control - Inventory control [1] Is the inventory management effective? Materials other than those in the material list are not stored. - That the shipping inspection is conducted - That the parts/components and materials used for the based on the shipping inspection standard finished products can be traced. and it is recorded.

- Control of the long-term inventory

[2] Are there rules for the control of longterm inventory?

- The way to guarantee the compliance of the long-term inventory is designated, considering the possible change of legislation in the future.

Main Items
10. Change Control - Rules for control of changes

Sub Items

Verification Method

Yes/ No

Remarks

Points (for Office use)

[1] Are the scope and responsibilities in case changes clear?

Rules for the change are specified in the change control rules or the relevant rules.

[2] Are information about changes communicated internally?

Written changes are available internally.

Data is gathered after changes to verify that the quality Evaluation of quality / environment [3] Are full inspections made on required by company is assured. If there is any effect related substances to be environmental substances to be controlled related to environmental substances, it is verified by MSDS, controlled in changed processes and goods? the list of constituents and ICP data (as applicable).

- Approval of changes

[4]Is a judgment done about the feasibility of change ? [5] Is a change management control established for changes by a secondary supplier or components supplier? [6] In case of changes did the auditee approve beforehand?

Based on the evaluation result, the responsible person for the environmental control approves the implementation. Changes within the company and supplier are handled by similar procedures. Written application format for change management is used for each change and response of the company is documented.

- Changes at the second tier supplier / part suppliers

- Notification of the changes

11. Actions Against Non-conforming Products - Reporting of Defects and nonconforming products. [1] When the non-conforming material is found, is it reported to the quality and environment responsible person ? [2] Are the defective lots identifiable and traceable? Check if the identified non conforming products are recorded in Non - conformance Report and submitted to the responsible person. - A Non -Conformance area is available to store all defective lots and the reject quantity is recorded.

Main Items

Sub Items

Verification Method
- All Defective products and non-defective products are clearly identified and sorted.

Yes/ No

Remarks

Points (for Office use)

- Countermeasure for the defective [3] Are appropriate actions and products countermeasures taken on defect lots? - Horizontal (lateral) conveyance of the countermeasures to other products. [4] Is the countermeasure conveyed horizontally (laterally) to other similar products ? [5] Shipment of the defective products to auditee

- Corrective and Preventive actions are available to solve the non-conformance issue. The treatment for the similar products is clearly stated in the countermeasure record, minutes etc. - A Report is conveyed to the auditee when defective products are delivered already.

Auditor Name

Date