What Is China RoHS?

RoHS stands for Restriction of Hazardous Substances and restricts the use of several hazardous materials in electronic and electrical equipment. The RoHS directive was originally issued in the European Union but similar laws have been passed in other countries, including China.

China RoHS, also known as Administrative Measure on the Control of Pollution Caused by Electronic Information Products (EIP), works to reduce the negative environmental and health effects of hazardous substances by restricting their use in electronics.

All electronic products sold on the Chinese market, including imported products, must comply with China-RoHS.

China RoHS 1 – The original legislation included six materials deemed to be hazardous to human health and the environment. 

China RoHS 2 – The original legislation was superseded by China RoHS 2 or Restriction of the Use of Hazardous Substances in Electrical and Electronic Products Regulation. China RoHS 2 expanded the scope of the regulation to include more devices, described below.

Which Hazardous Substances Are Restricted by China RoHS?

China RoHS restricts six hazardous materials that must be used below a specific threshold. Each material except cadmium may only be used in amounts lower than 1000ppm. Cadmium’s limit is 100ppm.

The materials include:

• Cadmium (Cd)
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)

Products Restricted by China RoHS

The original China RoHS included only products listed as an Electronic Information Product (EIP).

Any listed products require an assessment of conformity with China RoHS. Products include:

1. Refrigerators
2. Air conditioners
3. Washing machines
4. Electric water heaters
5. Printers
6. Photocopiers
7. Fax machines
8. Televisions
9. Monitors
10. Microcomputers
11. Mobile communication devices
12. Telephones

The passage of China RoHS 2 greatly expanded the scope of the legislation to include any product that falls under the definition of electronics. This expansion worked to bring China RoHS regulations in line with the EU’s RoHS 3, which also expanded the categories of products restricted by RoHS to include all electrical and electronic equipment (EEE).

Compliance with China RoHS

Who is Responsible for Compliance?

Any manufacturer, importer, or distributor of electronic and electrical products sold in China must be compliant with China RoHS. Even small components of EEE, such as cables or other sub-assemblies, must comply with RoHS standards. 

It is the manufacturer’s responsibility to ensure their product complies with China RoHS. 

Steps for Compliance with China RoHS

Manufacturers of electronic products have two options to prove their compliance: self-declaration and/or third-party testing.

1. Self Declaration: Similar to the EU RoHS directive, companies that manufacture electronic products must create a declaration of conformity. This declaration is a legal document that states the manufacturer has taken all the necessary steps to comply with China RoHS.

The manufacturer must sign the declaration before the product is put on the market. By doing so, the manufacturer takes responsibility for ensuring compliance.

2. Third-party Testing: The product and its components are tested by an outside laboratory in China. This step also involves a factory inspection. After the testing process, the certification must be approved by an authority agency. The manufacturing company will then receive a China RoHS Certificate that is valid for five years.

The testing process also includes follow-up testing and inspection, often at least once a year, to ensure continued compliance.

China RoHS Labeling Requirements

Products that are compliant with China RoHS are marked with a different label than products that do not comply. 

Only products that will be used by an end-user, and not components, must be labeled. However, suppliers of components must pass along the relevant compliance information to manufacturers.

Products that contain restricted substances below the allowable thresholds (and are therefore China RoHS compliant) receive a green label, sometimes referred to as a Green eLabel. The green label is optional.

Products that contain toxic substances above the allowed thresholds must be marked with an orange label. These are called EFUP labels, as they include the product’s environmental protection use period (EFUP). The EFUP is the number of years the product can be used safely before hazardous substances begin to leak out.

The orange EFUP label features a circle with the EFUP number inside. For example, a product that will become unsafe in fifty years will feature a large number “50” in the label.

Why is RoHS Important?

RoHS’s importance can be summarized into three main areas of impact: the market, the environment, and consumer health. While China RoHS creates increased costs for sellers and buyers of electronics, the law also protects the natural environment and human health.

1) The Market

RoHS raises costs for sellers and buyers of electronic products alike. 

Manufacturers must use less hazardous and often more expensive methods to produce RoHS-compliant products. Additionally, hiring a third-party laboratory to ensure RoHS compliance may be costly. This is equally true for manufacturers in China or who are importing their products into China.

Buyers also experience increased prices of electronics in their day to day lives as a result of China RoHS.

Of course, these increased prices come hand in hand with safer, more environmentally friendly devices.

2) The Environment

The restricted materials listed in China RoHS act as environmental pollutants that often end up in landfills. By limiting the amount of these hazardous substances that may be used, RoHS protects the environment and increases the amount of electronics that can be recycled safely.

RoHS works in tandem with China’s recycling law, ​​Regulations for the Administration of the Recovery and Disposal of Waste Electric and Electronic Products (Order No. 551). This law is concerned with the proper recycling of waste electric and electronic products (WEEP). China’s WEEEP law is very similar to the EU’s WEEE law.

Read more: What is WEEE?

3) Consumer Health

RoHS works to protect consumers of EEE and broader communities from the harmful health effects of hazardous materials. RoHS aims to minimize health impacts caused by EEE in every stage of a product’s lifecycle, from production to use to disposal.

Several materials restricted by RoHS create toxic waste and occupational hazards that negatively impact human health. Restricted substances not only harm workers in production and recycling phases, but also can create health concerns for users of end products.

Comparison Table: How Does China RoHS Differ from EU RoHS?

	China	European Union
Restricted Substances	Cadmium (Cd), Mercury (Hg), Lead (Pb), Hexavalent Chromium (Cr VI), Polybrominated Biphenyls (PBB), Polybrominated Diphenyl Ethers (PBDE)	All six restricted in China, plus four more: Bis(2-Ethylhexyl) phthalate (DEHP), Benzyl butyl phthalate (BBP), Dibutyl phthalate (DBP), Diisobutyl phthalate (DIBP)
Scope: Restricted Products	Anything that falls under the definition of an electronic product	Anything that falls under the definition of electrical and electronic equipment (EEE)
Labeling	Products using restricted substances below the threshold may affix a green label to the outermost packaging. Products using restricted substances above allowed thresholds must affix an orange EFUP label to the outermost packaging.	A CE marking is required on all RoHS-compliant products. Read more: What is the CE Marking?
Exemptions	No exemptions exist for any products included in the list of Electronic Information Products (EIP) listed above.	Exemptions exist for several types of products, such as active implantable medical devices. A full list is available in Article 2 of RoHS 2 (Directive 2011/65/EU).
Conformity: Proving Compliance	Compliance with China RoHS may be self-declared or confirmed by a Chinese laboratory	Compliance with EU RoHS can be self-declared

Read more about RoHS in the EU: What is RoHS?

Rules similar to RoHS have spread to many other regions, including India, South Korea, the UAE, Vietnam, Japan, and the United States including California and New Jersey. It is important for electronic companies to remain aware of shifting hazardous substance legislation in markets around the world.

What Is RoHS?

RoHS stands for Restriction of Hazardous Substances and restricts the use of several hazardous materials in electronic and electrical equipment. The RoHS directive was originally issued in the European Union but similar laws have been passed in other countries, including the U.S.

RoHS laws in the U.S. work to reduce the negative environmental and health effects of hazardous substances by restricting their use in electronics.

Generally, the European Union’s RoHS directive is stricter and has a wider scope, but many RoHS regulations in the U.S. are modeled after the EU directive.

Federal Versus State RoHS Legislation in the U.S.

The United States does not have a federal RoHS law. In 2009, the Environmental Design of Electrical Equipment Act (EDEE) Act was introduced in Congress as an amendment to the Toxic Substances Control Act of 1976. The bill restricted the manufacturing and importation of electronic products containing more than 1000ppm lead, mercury, hexavalent chromium, polybrominated biphenyls (PBB), and polybrominated diphenyl ethers (PBDE), and more than 100ppm cadmium. The bill did not receive a vote, and did not become law.

Instead, eight U.S. states have implemented their own RoHS legislation. The states with an RoHS-like laws are:

• California
• New Jersey
• Illinois 
• Indiana
• Minnesota 
• New York 
• Rhode Island
• Wisconsin

Although each state law mirrors the others, the laws do differ from state to state. All electronic and electrical products sold in these states must comply with the state’s respective RoHS law.

Types of RoHS  Regulation in the U.S.

RoHS-related regulations in the U.S. can be split into three categories based on how strict the regulation is. This includes: 1) “true RoHS regulation” that restricts the sale of electronics containing hazardous substances, 2) regulation that allows restricted substances but creates manufacturer reporting requirements, or 3) e-waste regulation with no restriction of substances or reporting requirements.

This article focuses only on the first two categories, as they are directly related to restriction of hazardous substances in electronics, rather than electronic waste.

1. “True” RoHS regulation: California’s and New Jersey’s RoHS regulations limit the sale of video display products that contain higher than allowed amounts of restricted substances.
2. Manufacturer reporting requirements: Other states, such as Illinois, Indiana, Minnesota, New York, Rhode Island and Wisconsin, have e-waste regulations that also include reporting requirements for manufacturers. While hazardous substances are not restricted in electronics, they must still be reported when used above a certain threshold.
3. E-waste regulation: Lastly, several states, such as Colorado, have electronic waste legislation in place (similar to the EU’s WEEE directive) that regulates the disposal of electronics, but does not restrict the use of hazardous materials in electronics like RoHS does, nor does it require manufacturer reporting. 

Read more about the difference between restriction of hazardous substances and e-waste directives: RoHS Versus WEEE

California

California RoHS regulation went into effect January 1, 2007, and is one of the earliest examples of RoHS legislation in the United States. Included in California Senate Bills No. 20 and No. 50, RoHS regulations in California are modeled on the EU’s RoHS directive. 

Not only does California’s RoHS law mirror much of EU RoHS regulation, but in some cases, California’s legislation bases its regulation directly on the EU directive. For example, Senate Bill 20 states that if a product is prohibited from being sold in the EU due to the presence of heavy metals, it should also be prohibited in California.

The bills also include requirements for e-waste similar to the EU’s WEEE regulation. Read more: What is WEEE?

Restricted Substances

California’s RoHS law creates Maximum Containment Values (MCVs) for four heavy metals. The amount of these four heavy metals in covered electronic devices may not exceed the set MCV. Metals restricted by California RoHS are:

• Lead (MCV: 0.1% by weight) 
• Mercury (MCV: 0.1% by weight) 
• Hexavalent chromium (MCV: 0.1% by weight) 
• Cadmium (MCV: 0.01% by weight)

The MCV applies not to the final electronic product or components, but to each homogenous material (a material that cannot be separated into different materials) used to create the device.

Restricted Products

California RoHS restricts the use of restricted substances in covered electronic devices (CED). The California Department of Toxic Substances Control (DTSC) defines a covered electronic device as “a video display device with a screen greater than four inches, measured diagonally.” 

Crucial components of video display devices (devices that cannot be easily removed from the display) are also subject to California RoHS.

California RoHS divides covered electronic devices restricted by the legislation into several categories:

1. Cathode ray tube containing devices (CRT devices)
2. Cathode ray tubes (CRTs)
3. Computer monitors containing CRTs
4. Laptop computers with liquid crystal display (LCD)
5. LCD containing desktop monitors
6. Televisions containing CRTs
7. Televisions containing LCD screens
8. Plasma televisions
9. Portable DVD players with LCD screens

The scope of products restricted by California RoHS is much smaller than the EU scope of restricted products, which includes all electric and electronic equipment.

Exemptions

If a covered electronic device is not covered by the EU RoHS directive, then it is not restricted by California’s RoHS law either. This means that any exemptions to EU RoHS also apply to California RoHS. 

Read more about EU RoHS exemptions: What is ‘RoHS Compliant’?

Compliance

RoHS applies to anyone who sells or distributes covered electronic devices in the state of California. This includes manufacturers, distributors, wholesalers, and retailers. 

As part of California’s e-waste recycling efforts, manufacturers must submit a report to the California Integrated Waste Management Board (CIWMB) about their sales volume and use of restricted substances in CED products. Find more information about manufacturer reporting requirements on CIWMB’s website.

New Jersey

New Jersey’s Electronic Waste Management Act was passed in 2006, and restricts the use of hazardous materials in covered electronic devices. The Act is the most similar in scope to the EU’s RoHS directive, and is thus one of the strictest RoHS laws in the U.S.

Restricted Substances

Under section C.13:1E-99.101, any new covered electronic devices sold in New Jersey must be compliant with EU RoHS Directive 2002/95/EC (RoHS 1).

Read more about EU RoHS compliance: What is ‘RoHS Compliant’?

Under EU RoHS 1, and therefore under New Jersey’s legislation, hazardous materials may only be used under specific limits. The allowable amount for each substance except cadmium is 1000 ppm. The allowable amount for cadmium is 100 ppm.

The materials include:

• Cadmium (Cd)
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)

Restricted Products

New Jersey’s Act defines “covered electronic devices” as “a desktop or personal computer, computer monitor, portable computer, or television sold to a consumer.” Covered electronic devices do not include:

1. an electronic device that is a part of a motor vehicle or any component part of a motor vehicle including replacement parts
2. an electronic device that is functionally or physically a part of a larger piece of equipment designed and intended for use in an industrial, commercial, or medical setting, including diagnostic, monitoring, or control equipment
3. an electronic device that is contained within a clothes washer, clothes dryer, refrigerator, refrigerator and freezer, microwave oven, conventional oven or range, dishwasher, room air conditioner, dehumidifier, or air purifier
4. a telephone of any type unless it contains a video display area greater than four inches measured diagonally. 

Exemptions

A new covered electronic device that contains hazardous substances above the allowed thresholds may still be sold if the use of the heavy metal is necessary to comply with a different U.S. state or federal law, or to comply with consumer health and safety requirements created by the Underwriters Laboratories.

Compliance

Manufacturers of covered electronic devices sold in New Jersey must register with the New Jersey Department of Environmental Protection Division of Solid and Hazardous Waste. 

Manufacturers must register annually, and pay an annual fee of $5000.

Illinois

The Illinois General Assembly passed the Electronic Products Recycling and Reuse Act in 2008. The Act’s main purpose is to manage the use of hazardous materials in electronics, particularly when those electronics are recycled. As of 2012, covered electronic devices are banned from being landfilled. The Act creates an RoHS-based reporting requirement for electronics manufacturers.

The Electronic Products Recycling and Reuse Act is more similar to the EU’s WEEE regulation, and is focused mainly on recycling of e-waste instead of restricting the use of hazardous materials in electronics manufacturing. Like other RoHS and e-waste recycling laws, Illinois’ legislation works to put the responsibility of e-waste on manufacturers, rather than government agencies or consumers.

Note: Some of the Act was amended or repealed in Public Act 100-362 and other subsequent legislation. For the most up to date information on manufacturer responsibilities in Illinois, visit the Illinois Environmental Protection Agency website.

Compliance

Manufacturers of electronic devices in Illinois must register with the Illinois EPA. In this registration, manufacturers must disclose whether any of their products (listed below) exceed the maximum concentration values for substances restricted by EU RoHS. 

Manufacturers must also submit a registration fee.

Restricted Substances1

Substances that must be disclosed if used above 1000ppm include: 

• Cadmium (Cd) [must be disclosed above 100ppm]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)

Restricted Products

Illinois manufacturers must register with the Illinois EPA if any of the following products use restricted substances above the allowed thresholds: computers, computer monitors, printers, televisions, electronic keyboards, facsimile machines, videocassette recorders, portable digital music players, digital video disc players, video game consoles, electronic mice, scanners, digital converter boxes, cable receivers, satellite receivers, digital video disc recorders, or small-scale servers.

Indiana

Indiana’s e-waste legislation, Title 13, was passed in 2017. The regulation is primarily focused on proper disposal of e-waste, but includes an RoHS reporting requirement for manufacturers in Article 20.5 (Code 13-20.5-1-1).

Compliance

Manufacturers of video display devices sold to households must register with the Indiana Department of Environmental Management. 

In addition to other information, the manufacturer’s registration must disclose if any video display devices exceed maximum concentration values (1000ppm or 100ppm for cadmium) established by the EU RoHS 1 directive for restricted substances.

A list of substances restricted by EU RoHS, and thus that must be disclosed, can be found above.

The manufacturer must also disclose if their products fall under the RoHS exemptions approved and published by the European Commission. Read more about exemptions: What is ‘RoHS Compliant’?

Visit the Indiana Department of Environmental Management Solid Waste and Recycling Data Reporting portal to register.

Minnesota

Minnesota’s 2021 RoHS Statute 115A is focused mainly on electronic waste and reporting requirements for manufacturers. Manufacturers of video displays and other electronics must register with the Minnesota Pollution Control Agency.

Compliance

Section 1312 of Statute 115A includes the requirements for the electronic manufacturer registration program. Video display devices may not be sold in Minnesota unless:

• The device is labeled with the manufacturer’s brand
• The manufacturer has taken the proper registration steps.

By a specified date each year, manufacturers of video display devices must register with the Pollution Control Agency, disclosing whether their video display devices use a restricted substance in amounts higher than the maximum concentration established by EU RoHS.

A list of substances restricted by EU RoHS, and thus that must be disclosed, can be found above.

The manufacturer must also disclose if their products fall under the RoHS exemptions approved and published by the European Commission.

The registration must be renewed annually, and manufacturers must pay an annual registration fee outlined in section 115A.1314. The registration fee for manufacturers that sell 100 or more video display devices to households in the state during the previous calendar year is $2,500, plus a variable recycling fee. For manufacturers that sell fewer than 100 devices annually, the fee varies.

For more information about electronic manufacturer reporting requirements, visit the Minnesota Pollution Control Agency website.

New York

New York state’s Electronic Recycling and Reuse Act, signed into law in May 2010, creates manufacturer requirements for reporting of hazardous substances in electronic products sold in New York. The Act also mandates the creation of e-waste programs.

Compliance

Manufacturers of covered electronic equipment (CEE) sold in New York state must register with the Department of Environmental Conservation. The registration must include disclosure of any CEE that exceeds maximum concentration values established by the EU RoHS directive.

Manufacturers of CEE are defined as anyone who fits a single one of the following:

• assembles CEE for sale in New York
• manufactures CEE under its own brand name or under any other brand name for sale in the state
• sells, under its own brand name, CEE sold in the state
• owns a brand name that it licenses to another person for use on CEE sold in the state
• imports CEE for sale in the state
• manufactures CEE for sale in the state without affixing a brand name.

Any manufacturer that produces less than 1000 units of CEE per year, or who sells CEE primarily made of rebuilt or reused components, is not considered a manufacturer under this Act. They must still notify the Department of Environmental Conservation.

For more information on manufacturer requirements in New York, visit the Department of Environmental Conservation website.

Restricted Substances

Manufacturers must report CEE that contains substances restricted by EU RoHS 1 in amounts larger than 1000ppm (cadmium’s limit is 100ppm). A list of substances restricted by EU RoHS, and thus that must be disclosed, can be found above.

Restricted Products

Covered electronic equipment includes:

• Cathode ray tubes
• Computers
• Computer peripherals (eg. electronic keyboards)
• Small electronic equipment (eg. DVD players)
• Small-scale servers designed in a desktop or similar form factor and capable of supporting only a single processor
• Televisions with screens greater than four inches diagonally

Rhode Island

Rhode Island passed its Electronic Waste Prevention, Reuse and Recycling Act in 2008. One of the main stated purposes of the Act is to “encourage the design of covered electronic products that are less toxic, more durable and more recyclable.” As part of this goal, the Act requires manufacturers of covered electronic devices to register with the Rhode Island Department of Environmental Management.

Compliance

Manufacturers who decide to create their own e-waste recycling program, rather than joining the state program, must issue a statement that discloses whether their video display devices sold in Rhode Island use EU RoHS restricted substances in amounts greater than 1000ppm (or 100ppm for cadmium).

A list of substances restricted by EU RoHS, and thus that must be disclosed, can be found above.

Manufacturers must also disclose if their products are exempt from EU RoHS regulation.

Manufacturers must register every two years by October 15, and must pay a registration fee of $5000.

More information is available on the Department of Environmental Management website. Manufacturers can register at the eCycle Registration website.

Wisconsin

Wisconsin’s Statute on Solid Waste Reduction, Recovery and Recycling includes a reporting requirement for manufacturers selling covered electronic devices. In Subchapter 17, Electronic Waste Recycling, manufacturer registration requirements are described, which went into effect in 2010.

Compliance

Manufacturers of covered electronic devices sold to households or K-12 public schools in Wisconsin must register with the Wisconsin Department of Natural Resources no later than the first day of the third month each program year.

The registration should disclose whether or not the manufacturer’s covered electronic devices comply with the most recent EU RoHS directive, currently RoHS 3.

New manufacturers must register no more than ten days after they begin selling their covered electronic devices.

For more information on manufacturer registration requirements, visit the Wisconsin Department of Natural Resources E-cycle website.

Restricted Substances

Under the most recent EU RoHS directive, the following substances are restricted in amounts above 1000ppm. In Wisconsin, while covered electronic devices may contain more than the allowed amount of these substances, it must be disclosed in the manufacturer registration. 

• Cadmium (Cd) [The allowable amount for cadmium is 100 ppm.]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

Restricted Products

Wisconsin’s legislation defines “covered electronic devices” as a consumer computer, consumer printer, or consumer video display device (televisions, computer monitors or e-readers with a screen that is at least 7 inches in its longest diagonal measurement).

The Department of Natural Resources’s PUB-WA-1474 2016 provides guidance for manufacturers on how the legislation defines covered electronic devices.

Why is RoHS Important?

RoHS’s importance can be summarized into three main areas of impact: the market, the environment, and consumer health. While U.S. RoHS regulations create increased costs for sellers and buyers of electronics, the laws also protect the natural environment and human health.

1) The Market

RoHS raises costs for sellers and buyers of electronic products alike. 

Manufacturers must use less hazardous and often more expensive methods to produce RoHS-compliant products. Many U.S. RoHS regulations require manufacturers to pay a registration fee. Additionally, hiring a third-party laboratory to test RoHS compliance may be costly. 

Buyers also experience increased prices of electronics in their day to day lives as a result of U.S. RoHS regulation.

Of course, these increased prices come hand in hand with safer, more environmentally friendly devices.

2) The Environment

The restricted materials regulated by U.S. RoHS laws act as environmental pollutants that often end up in landfills. By limiting the amount of these hazardous substances that may be used, RoHS protects the environment and increases the amount of electronics that can be recycled safely.

All of the RoHS regulations in the U.S. work in tandem (or are part of) an e-waste recycling law. E-waste legislation not only protects the environment from the harmful effects of degrading electronics in landfills, but also pushes innovation in the creation of electronic products made from recycled materials.

3) Consumer Health

RoHS works to protect consumers of electronic devices and broader communities from the harmful health effects of hazardous materials. RoHS aims to minimize health impacts caused by hazardous materials in electronics in every stage of a product’s lifecycle, from production to use to disposal.

Several materials restricted by RoHS create toxic waste and occupational hazards that negatively impact human health. Restricted substances not only harm workers in production and recycling phases, but also can create health concerns for users of end products.

By restricting or requiring disclosure of hazardous materials, RoHS regulations in the U.S. help protect consumer health.

Global RoHS Regulation

Rules similar to RoHS have spread to many other regions, including India, South Korea, the UAE, Vietnam, Japan, and China. It is important for electronic companies to remain aware of shifting hazardous substance legislation in markets around the world.

What Is UAE RoHS?

RoHS stands for Restriction of Hazardous Substances and restricts the use of several hazardous materials in electronic and electrical equipment. The RoHS directive was originally issued in the European Union but similar laws have been passed in other countries, including UAE.

UAE RoHS works to reduce the negative environmental and health effects of hazardous substances by restricting their use in electronics. All electronic and electrical equipment (EEE) imported or sold in the UAE must comply with UAE RoHS.

The UAE’s regulation was originally proposed in 2015 and went into effect in April 2017. The regulation was modeled after the EU’s RoHS directive, so there is much overlap.

It is important to note that UAE RoHS regulation is still undergoing updates and fixing problems in the legislation. While UAE RoHS was mainly derived from EU RoHS, even after it went into effect, the UAE legislation still included inconsistencies and unclear areas of text. 

UAE RoHS is being implemented in three parts, all aiming to bring the regulation in line with EU RoHS. The third and final part of UAE RoHS will be implemented in January 2022. This article aims to provide correct, up to date information.

Which Hazardous Substances Are Restricted by UAE RoHS?

UAE RoHS restricts ten hazardous materials that may only be used in electronics below a certain threshold. The materials are the same as those restricted by the EU’s RoHS directive.

The allowable amount for each substance except cadmium is 1000 ppm. The allowable amount for cadmium is 100 ppm. The materials include:

• Cadmium (Cd)
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

Products Restricted by UAE RoHS

It is important that manufacturers determine whether their product fits the definition of EEE, because all EEE is subject to UAE RoHS compliance requirements. UAE RoHS defines EEE as “equipment which is dependent on electric currents or electromagnetic fields in order to work properly and equipment for the generation, transfer and measurement of such currents and fields.”

EEE regulated under UAE RoHS includes a wide variety of products separated into eleven categories, ranging from large household appliances to medical devices. The eleventh category is all-encompassing, as it includes any EEE not covered in the previous ten categories. 

These categories directly mirror categories listed in the EU’s RoHS 3 directive. Categories include:

1. Large household appliances (eg. refrigerators)
2. Small household appliances (eg. hairdryers)
3. IT and telecommunication equipment (eg. computers)
4. Consumer equipment (eg. televisions)
5. Lighting equipment (eg. light bulbs)
6. Electrical and electronic tools (except for large-scale stationary industrial tools) (eg. drills)
7. Toys, leisure and sports equipment (eg. video games)
8. Medical devices (except for active implanted devices) (eg. In-vitro diagnostic medical devices like cameras) 
9. Monitoring and control instruments (eg. smoke detectors)
10. Automatic dispensers (eg. vending machines)
11. Other EEE not covered by any of the categories above that falls within the definition of EEE described above
12. [Beginning in January 2022, restricted products will include cables and spare parts].

Exemptions

UAE RoHS also includes several product category exemptions, which also are derived from the EU’s RoHS directive. Exemptions include:

• Equipment necessary for security, including arms, munitions and material intended for military purposes
• Equipment designed to be sent into space
• Large -scale stationary industrial tools
• Large-scale fixed installations
• Means of transport for people or goods
• Non-road mobile machinery exclusively for professional use
• Active implantable medical devices
• Permanently installed photovoltaic panels to produce solar energy
• Equipment designed for business-business research
• Equipment that is designed to be installed in another type of equipment that is excluded under RoHS.

Compliance with UAE RoHS

Who is Responsible for Compliance?

All suppliers must be compliant with UAE RoHS. The law defines suppliers as “the manufacturer, importer, agent or collector of the product or any main distributor or sub-distributor whose activity has an effect on the product’s properties, or any commercial or legal representative liable for the import, installation and operating of the product covered by this [Cabinet Decision No 10 of 2017] and exercising [their] activity through a company or sole proprietorship licence in the state.” 

The main regulatory body in charge of enforcing UAE RoHS is the Emirates Authority for Standardisation and Metrology (ESMA), which is now included under the Ministry of Industry and Advanced Technology (MOIAT). ESMA plays a large role in the compliance process. For more information, visit their website.

It is the supplier’s responsibility to ensure their product complies with UAE RoHS, as suppliers or a representative of the supplier must submit applications for approval to ESMA. 

Because UAE RoHS regulation is still in the process of being updated and fully developed, it can be very confusing to navigate. Many suppliers choose to contract a third party business to help them gather the necessary information to submit an application.

Steps for Compliance with UAE RoHS

To achieve compliance, suppliers must submit documentation to ESMA’s online portal. This documentation must demonstrate compliance and must include information about the product’s design, testing, inspections, or other information requested by ESMA.

1. Companies that do not have a full product assessment should submit a declaration of conformity (a legal document declaring the manufacturer has taken steps to comply with UAE RoHS) to ESMA’s website, in addition to a full RoHS test report of the complete product. If a test report of the complete product is not available, the supplier may submit test reports of at least 3 critical components of the product.

ESMA will verify the documentation and issue a certificate of compliance (CoC), valid for one year.

Read more: What Is a Declaration of Conformity?

2. The Emirates Quality Mark scheme applies to companies that already have risk assessment documentation that proves compliance with UAE RoHS. Suppliers can complete a declaration of conformity and submit it online to ESMA.The supplier will also submit risk assessment documents. 

ESMA will perform a technical audit, inspection, and evaluation of the manufacturing site. Following ESMA’s approval, an Emirates Quality Mark label can be placed on the product. 

The EQM approval is valid for three years. 

Suppliers must pay the required fees to submit a request for approval through the portal (around 4,3000 AED or about $1,150). Only one product category can be included in a single application, so multiple types of products require multiple applications.

Suppliers can track the progress of their application through the online portal. The portal will also notify suppliers before their certification expires.

Penalties for Noncompliance with UAE RoHS

Penalties for noncompliance with UAE RoHS include:

• Products that are noncompliant will not be allowed to enter the country, which causes monetary losses for the supplier.
• Suppliers must recall noncompliant products from the market, facing monetary losses.
• According to Federal Law No. 28 of 2001, which established ESMA, noncompliant suppliers may face imprisonment and fines of up to 30,000 AED.

Why is RoHS Important?

RoHS’s importance can be summarized into three main areas of impact: the market, the environment, and consumer health. While UAE RoHS creates increased costs for sellers and buyers of electronics, the law also protects the natural environment and human health.

1) The Market

RoHS raises costs for sellers and buyers of electronic products alike. 

Manufacturers must use less hazardous and often more expensive methods to produce RoHS-compliant products. Additionally, the application process through ESMA introduces more fees. This is equally true for manufacturers in the UAE or who are importing their products into the UAE.

Buyers also experience increased prices of electronics in their day to day lives as a result of UAE RoHS.

Of course, these increased prices come hand in hand with safer, more environmentally friendly devices.

2) The Environment

The restricted materials listed in UAE RoHS act as environmental pollutants that often end up in landfills. By limiting the amount of these hazardous substances that may be used, RoHS protects the environment and increases the amount of electronics that can be recycled safely.

3) Consumer Health

RoHS works to protect consumers of EEE and broader communities from the harmful health effects of hazardous materials. RoHS aims to minimize health impacts caused by EEE in every stage of a product’s lifecycle, from production to use to disposal.

Several materials restricted by RoHS create toxic waste and occupational hazards that negatively impact human health. Restricted substances not only harm workers in production and recycling phases, but also can create health concerns for users of end products.

Comparison Table: How Does UAE RoHS Differ from EU RoHS?

	UAE	European Union
Restricted Substances	Cadmium (Cd)Mercury (Hg)Lead (Pb)Hexavalent Chromium (Cr VI)Polybrominated Biphenyls (PBB)Polybrominated Diphenyl Ethers (PBDE)Bis(2-Ethylhexyl) phthalate (DEHP)Benzyl butyl phthalate (BBP)Dibutyl phthalate (DBP)Diisobutyl phthalate (DIBP)	The same as those restricted in the UAE.
Scope: Restricted Products	Anything that falls under the definition of electrical and electronic equipment (EEE)	Anything that falls under the definition of electrical and electronic equipment (EEE)
Labeling	An Emirates Quality Mark (EQM) label may be placed on a product following the supplier’s submission of a declaration of conformity and complete product risk assessments, and an on-site inspection performed by ESMA. See above for details.	A CE marking is required on all RoHS-compliant products. Read more: What is the CE Marking?
Exemptions	Exemptions exist for several types of products, such as active implantable medical devices.	Exemptions exist for several types of products, such as active implantable medical devices. A full list is available in Article 2 of RoHS 2 (Directive 2011/65/EU).
Conformity: Proving Compliance	Emirates Authority for Standardisation and Metrology (ESMA) must approve a supplier’s submissions of a Declaration of Conformity and relevant product information. A certificate of compliance may be issued upon approval.	Compliance with EU RoHS can be self-declared through a Declaration of Conformity. Read more: Compliance Statements

Read more about RoHS in the EU: What is RoHS?

Rules similar to RoHS have spread to many other regions, including India, China, South Korea, Vietnam, Japan, and the United States, including California and New Jersey. It is important for electronic companies to remain aware of shifting hazardous substance legislation in markets around the world.

The EU Restriction of Hazardous Materials (RoHS) directive requires manufacturers to issue a declaration of conformity, also known as a compliance certificate or compliance statement, before electronic products are put on the market. 

This article briefly describes the RoHS directive itself before delving into the specifics of the RoHS compliance statement, including where the requirement came from, why the compliance statement is important, and what should be included in a compliance statement.

What Is RoHS?

The RoHS directive, issued in the European Union, restricts the use of ten hazardous materials in electronic and electrical equipment (EEE). A product is RoHS compliant if it does not exceed the allowable amounts of these restricted substances. All EEE sold in the EU must be RoHS compliant. 

Restricted Substances

To be RoHS compliant, EEE must not contain any of the following hazardous substances in amounts larger than 1000 ppm. These materials are deemed to be hazardous to human health and the environment.

• Cadmium (Cd) [The allowable amount for cadmium is 100 ppm.]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

Read more: What is RoHS?

What Is a Declaration of Conformity?

The declaration of conformity is the official name for a certificate or statement of compliance and is the final step a company must take in the RoHS compliance process. The declaration of conformity is a legal document that contains information about the product and the measures taken to ensure compliance. 

The manufacturer writes and signs the declaration of conformity before the product is put on the market to certify that the product is RoHS compliant. By signing the statement, the manufacturer assumes responsibility for ensuring that the product is compliant.

The compliance statement demonstrates to authorities and consumers that an EEE product meets all RoHS requirements. Under RoHS 2, manufacturers must produce a compliance statement before a product is put on the market.

[Note: The term ‘declaration of conformity’ is generally used interchangeably with the terms ‘statement of conformity’ or ‘certificate of conformity’ when referring to EU RoHS. All three terms refer to a document issued by the manufacturer to self-declare compliance. 

This is not to be confused with a Certificate of Compliance (CoC), a certificate used in the United Arab Emirates that refers specifically to a certificate issued by a governing body to the manufacturer to approve compliance. Read more: UAE RoHS].

Origins of the RoHS Compliance Certificate Requirement

Current RoHS restrictions are the result of one original directive, RoHS 1, and two updates known as RoHS 2 and 3. Businesses must comply with all requirements included in RoHS 2 and 3.

RoHS 1 and 3 are mainly concerned with the specific materials that are restricted under RoHS, listed above. RoHS 1 included six materials deemed to be hazardous to human health and the environment, and RoHS 3 added four more.

RoHS 2 includes more robust requirements that manufacturers must follow to achieve and demonstrate compliance, including issuing a compliance statement and affixing a CE marking. 

RoHS 2 also created additional categories of appliances subject to RoHS, as well as a larger list of exemptions.

Learn what steps manufacturers must take to ensure compliance: What is ‘RoHS Compliant’?

When Is a Compliance Statement Necessary?

All EEE material and products imported or sold on the EU market must have a certificate of compliance. All parts, components, and materials used in the product require documentation, not just the device itself.

The compliance certificate is necessary whenever a company needs to prove RoHS compliance, whether it is before the product is put on the market or after, if an authority requests to see the certificate.

Manufacturers should keep the declaration of conformity for at least ten years after a product is put on the market, as it will be necessary in the event that the product’s compliance is challenged.

Why Is the RoHS Compliance Statement Important?

The purpose of the compliance statement or certificate is for organizations to demonstrate compliance with RoHS. By writing and signing the statement, a manufacturer is confirming that they have taken all necessary steps to ensure their product is RoHS compliant. 

The compliance statement is a crucial part of RoHS’s emphasis on manufacturers’ self-regulation. The declaration of conformity puts the burden of compliance on manufacturers. 

Having employees of manufacturing companies write the statement themselves takes a burden off of authorities. When authorities investigate a product, the necessary background information on steps taken to ensure compliance is already compiled.

Compliance certificates are also helpful to manufacturers who rely on suppliers for smaller components in final EEE products. Companies can request RoHS compliance certification from their suppliers to ensure that all parts and materials are RoHS compliant. This simplifies the compliance process for the manufacturer. It is still the manufacturer’s responsibility to ensure compliance.

What Does a Declaration of Conformity Include?

The description and requirements for the compliance statement are found in RoHS 2 in Article 13 and Annex VI (Directive 2011/65/EU). While the directive does not provide a specific form for manufacturers to fill out, it does provide a list and structure for what the declaration of conformity should include.

Annex VI

Annex VI provides an outline of what information must be included in the declaration of conformity:

1. Unique identification of EEE, such as a number and name
2. Name and address of the manufacturer or his authorised representative
3. The text: “This declaration of conformity is issued under the sole responsibility of the manufacturer (or installer).”
4. A description of the object of the declaration (identification of EEE allowing traceability. It may include a photograph, where appropriate).
5. The text: “The object of the declaration described above is in conformity with Directive 2011/65/EU of the European Parliament and of the Council of 8 June 2011 on the restriction of the use of certain hazardous substances in electrical and electronic equipment.”
6. Where applicable, references to testing, relevant harmonised standards used or references to the technical specifications that were used to declare conformity. (The documentation does not have to be included in the statement itself, but must be available.)
7. Additional information:

Signed for and on behalf of…

(place and date of issue)

(name, function) (signature)”

Article 13

Article 13 describes what the declaration of conformity is, and what it should include.

1. The declaration should state that the manufacturer has met the RoHS requirements (described in Article 4 of the directive).
2. The declaration of conformity should have the structure and information included in Annex VI, and should be translated into the language of the Member State market where the product is sold.
3. By issuing a declaration of conformity, the manufacturer assumes responsibility for complying with the directive.

Additional Requirement for Demonstrating Compliance: CE Marking

The compliance statement works hand in hand with the CE marking, a visible marking that shows authorities and consumers that the product is RoHS compliant. Like the declaration of conformity, the CE marking includes certain requirements manufacturers must follow, such as proper testing of products and specific documentation.

Read more: What is the CE Marking?

The EU Restriction of Hazardous Materials (RoHS) directive requires manufacturers to affix a visual CE marking on electronic products before they are put on the market. 

This article briefly describes the RoHS directive itself before delving into the specifics of the CE marking, including what it is, why it’s important, and what requirements must be met to create a CE marking.

What Is RoHS?

The RoHS directive, issued in the European Union, restricts the use of ten hazardous materials in electronic and electrical equipment (EEE). A product is RoHS compliant if it does not exceed the allowable amounts of these restricted substances. All EEE sold in the EU must be RoHS compliant. 

Restricted Substances

To be RoHS compliant, EEE must not contain any of the following hazardous substances in amounts larger than 1000 ppm. These materials are deemed to be hazardous to human health and the environment.

• Cadmium (Cd) [The allowable amount for cadmium is 100 ppm.]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

Read more: What is RoHS?

What Is the CE Marking?

The CE marking is a visible mark on the product in the shape of stylized C and E letters, which stands for Conformitè Europëenne. A CE marking represents the manufacturer’s declaration that their product complies with all EU directives requiring a marking, including RoHS. 

The CE marking visually demonstrates to authorities and consumers that an EEE product meets all RoHS requirements. A CE marking must be put on a product before it is put on the EU market.

The CE marking also shows that the manufacturer has the appropriate documentation proving compliance. Before placing the CE marking on a product, a manufacturer must create a technical file, a set of data that includes information about the product and steps taken to ensure the product meets RoHS requirements. 

Read more about what must be included in a technical file below.

Origins of the RoHS CE Marking Requirement

The CE marking on a product shows that the product complies with all European Union directives that require a CE marking, not just RoHS. RoHS became a ‘CE marking directive’ when RoHS 2 added a CE marking requirement with its passage in 2011. RoHS compliance is now required before a CE marking can be placed on a product.

Current RoHS restrictions are the result of one original directive, RoHS 1, and two updates known as RoHS 2 and 3. Businesses must comply with all requirements included in RoHS 2 and 3.

RoHS 1 and 3 are mainly concerned with the specific materials that are restricted under RoHS, listed above. RoHS 1 included six materials deemed to be hazardous to human health and the environment, and RoHS 3 added four more.

RoHS 2 includes more robust requirements that manufacturers must follow to achieve and demonstrate compliance, including affixing a CE marking and issuing a compliance statement.

RoHS 2 also created additional categories of appliances subject to RoHS, as well as a larger list of exemptions.

Learn what steps manufacturers must take to ensure compliance: What is ‘RoHS Compliant’?

When Is a CE Marking Necessary?

All EEE material and products imported or sold on the EU market must have a CE marking.

In addition to the CE marking, technical documentation must be kept by the manufacturer for ten years. In the event that compliance is challenged, the manufacturer must be able to produce this information.

Why Is the RoHS CE Marking Important?

The CE marking is a crucial part of RoHS’s emphasis on manufacturers’ self-regulation. By affixing the CE marking, manufacturers take on responsibility for compliance, including inspecting their own manufacturing processes and reporting or recalling violations.

The technical file is an important facet of manufacturers taking on the burden of documenting compliance. When authorities investigate a product, the necessary background information on steps taken to ensure compliance is already compiled.

RoHS 2 Requirements for the CE Marking

The RoHS 2 directive mentions the CE marking in Articles 14,15, and 16, and provides several descriptions and requirements for the marking (Directive 2011/65/EU).

Article 14

Article 14 of RoHS 2 explains that CE markings are subject to the “general principles set out in Article 30 of Regulation (EC) No 765/2008.” This other regulation, Regulation No 765/2008, is concerned with protecting public health while ensuring the free movement of products. 

General principles of the CE marking include requirements for how the CE marking should be affixed, and explains the significance of the CE marking. The regulation reads: “By affixing or having affixed the CE marking, the manufacturer indicates that he takes responsibility for the conformity of the product with all applicable requirements set out in the relevant Community harmonisation legislation providing for its affixing.”

Article 15

Article 15 of RoHS 2 supplies several rules for affixing the CE marking:

1. The CE marking must be affixed “visibly, legibly and indelibly to the finished EEE or to its data plate.” If this is not possible the CE marking should be put on the packaging and the product’s accompanying documents.
2. The CE marking must be affixed before the EEE is placed on the EU market.
3. Member States should ensure the CE marking is being used lawfully and should take action in the event of improper use of the CE marking. It is up to Member States to penalize infringements as they see fit, but the penalties should be proportionate to the offense.

Article 16

Article 16 simply states, “In the absence of evidence to the contrary, Member States shall presume EEE bearing the CE marking to comply with this Directive.” In this way, a CE marking shows authorities that the product is in compliance with RoHS.

What Does a CE Marking’s Technical File Include?

The CE marking shows that a manufacturer has a technical file, a list of information showing how the manufacturer ensured RoHS compliance. The information should be collected throughout the manufacturing process, as well as during testing of the product after production.

The technical file must include:

• A description of the product and how it works
• Design and manufacturing drawings, and scheme drawings of all sub-assemblies or circuits. These drawings must include written descriptions.
• Manufacturing documentation and records, including design calculations
• A list of harmonized standards or other specifications and procedures used
• Test results (risk assessment of all materials and parts used)

Additional Requirement for Demonstrating Compliance: Declaration of Conformity

The CE marking works hand in hand with the Declaration of Conformity, also known as a compliance statement or certificate. The compliance statement is a legal document that contains information about the product and the measures taken to ensure compliance. The manufacturer signs the statement before the product is put on the market to certify that the product is RoHS compliant. 

Read more: RoHS Compliance Statement

What Is RoHS?

The RoHS directive, issued in the European Union, restricts the use of ten hazardous materials in electronic and electrical equipment (EEE). A product is RoHS compliant if it does not exceed the allowable amounts of these restricted substances. All EEE sold in the EU must be RoHS compliant. 

The goal of RoHS is to protect human health and the environment by reducing the risks of toxic materials used in electronics. While enforcing penalties for noncompliance is not the main goal of the directive, penalties are a crucial method to ensure compliance is met and the larger objectives of the directive are achieved.

RoHS Compliance: The Basics

The current RoHS restrictions are the result of one original directive and two updates known as RoHS 2 and 3. Any manufacturer, importer, or distributor of electronic and electrical equipment (EEE) sold in the EU market must be compliant with RoHS. 

To be RoHS compliant, companies must:

• Use restricted substances in EEE only under allowable limits
• Follow all RoHS 2 guidelines for testing and documentation, including the production of a Declaration of Conformity (a document demonstrating compliance) and a CE marking (a marking on the product that visually demonstrates compliance).

Learn more about how to ensure RoHS compliance: What is RoHS Compliant?

Restricted Substances

To be RoHS compliant, EEE must not contain any of the following hazardous substances in amounts larger than 1000 ppm. These materials are deemed to be hazardous to human health and the environment.

• Cadmium (Cd) [The allowable amount for cadmium is 100 ppm.]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

Products Restricted by RoHS

EEE regulated under RoHS includes a wide variety of products separated into eleven categories, ranging from large household appliances to medical devices. The eleventh category is all-encompassing, as it includes any EEE not covered in the previous ten categories. 

It is important that manufacturers determine whether their product fits the definition of EEE, because all EEE is subject to RoHS compliance requirements. RoHS defines EEE as: “equipment which is dependent on electric currents or electromagnetic fields in order to work properly and equipment for the generation, transfer and measurement of such currents and fields” (Directive 2011/65/EU). 

Even small components of EEE, such as cables or other sub-assemblies, must comply with RoHS standards. 

Who Has to Ensure RoHS Compliance?

Manufacturers are responsible for ensuring their product is RoHS compliant. Each product, rather than the company as a whole, must fulfill RoHS compliance requirements.

While the directive applies to all manufacturers, importers, or distributors of electronic and electrical equipment (EEE) sold in the EU market, it is the manufacturer who will be fined or penalized for non-compliance. It is up to manufacturers to remain aware of changing RoHS requirements.

Who Enforces Noncompliance?

RoHS is a directive, rather than a regulation, which means that while it is passed collectively by the European Union, Member States are responsible for implementing the directive as they see fit, including how RoHS is applied and enforced in each country.

Each Member State enforces the directive separately through a national enforcement body, an agency that performs inspections, audits, and other enforcement activities. 

These national authorities share information with the rest of the EU through meetings of Administrative Cooperation Groups. This coordination across Member States allows national agencies to improve their processes for identifying noncompliance.

Enforcement varies widely from state to state partially due to how much money is available for RoHS enforcement, and how the Member State allocates this budget. The governmental department that is in charge of RoHS compliance may vary from nation to nation, which will also change how the directive is implemented. For example, some departments, such as customs, may focus more on stopping noncompliance in importation, rather than at local factories.

What Happens When Noncompliance Is Found?

If a company puts a product on the market that is not RoHS compliant, the company may face penalties. 

Possible violations may be found following a physical inspection, through a third-party complaint, or by chance.

Enforcement authorities will take several steps before penalties are enacted. While the process varies by Member State, most enforcement agencies will take similar action to investigate noncompliance.

Physical Inspection

Physical inspection is often the first step in enforcement, as it is objective and straightforward.

Enforcement agents may pick products at random from stores to test for the presence of restricted materials above allowable limits. This begins the inspection process. If violations are found, an inspection of the factory may be conducted.

An inspection agent will perform a physical inspection of the products on-site, using an x-ray fluorescence (XRF) testing unit. XRF determines the elements that compose the materials used in a product and can detect some of the materials restricted by RoHS.

XRF testing is non-destructive, and can often be performed on site. XRF testing, along with visual inspection, can often find more serious examples of non-compliance, such as heavy metals. 

However, XRF does not detect phthalates restricted by RoHS. To effectively use XRF testing evidence in court, it must be combined with other evidence of noncompliance, such as documentation or other testing methods.

Notice and Request for Documentation

When an enforcement authority notes a possible violation, they will send a letter to the producer of the product in question requesting several pieces of information. The letter will also include a deadline by which the producer must respond.

The letter may request the following information:

• Details about the company, such as size and sales
• Contact information for the person responsible for compliance
• List of products or brands the producer sells
• Justification for any products found to be noncompliant
• Justification for any exemptions claimed
• Details about the internal process to ensure RoHS compliance, including certification records

This process is more time consuming than physical inspection, and often requires more resources. Additionally, interpretation of documentation may be more subject to differing interpretation than testing results from physical inspection.

Noncompliance Penalties

After a violation is confirmed, the product will be removed from the market. Producers may also face additional penalties for noncompliance.

As RoHS enforcement varies depending on the Member State, penalties vary from country to country. These penalties may include financial and legal consequences, as well as the larger costs associated with noncompliance.

Financial Consequences

Manufacturers may face fines for products that contain larger than allowable amounts of restricted hazardous substances. The amount of the fine differs by member state, with some countries having higher maximum fines than others. Fines are given for each individual product on the market, rather than the batch as a whole.

Noncompliance may also result in “stop ship” orders. Manufacturers can end up losing large amounts of money manufacturing products they are unable to sell. Additionally, a competitor’s product that is compliant may be released on the market instead.

Lastly, when a product is found to be noncompliant, the brand name may face negative press, which may hurt its reputation and reduce future sales.

Legal Consequences

After releasing a noncompliant product onto the market, the manufacturer may face severe litigation. This process is time consuming and costly, and can also have negative impacts on your brand’s reputation. 

In some Member States, penalties for noncompliance may be as severe as imprisonment. For example, in Greece, noncompliance can result in a three year prison sentence.

Larger Costs

Putting a noncompliant product on the market has widespread negative impacts on human health and the environment. When a hazardous restricted substance is used in a product, it can cause disease and other health issues during manufacturing, use, and disposal.

Substances restricted by RoHS have severe negative environmental effects, especially during the disposal process of a product. 

Read more about the environmental impacts of electronic waste: What is WEEE?

Case Study: Nikon F6 SLR Camera

While RoHS noncompliance penalties are fairly rare, many products have still been recalled across Member States, including a hand blender, hair curler, a toy fire engine, and most famously, a Nikon brand film camera. 

This Nikon camera, sold on the EU market after RoHS 3 went into effect, was found to exceed the limit for dibutyl phthalate (DBP). DBP, restricted by RoHS 3, is a chemical plasticizer that interferes with the human endocrine system.

As described in a Technical Service Advisory issued by Nikon, the company became aware of the issue during an internal review, and voluntarily recalled the camera from the EU market. Nikon also replaced cameras for customers who had bought the F6 film camera. 

While the recall only affected 152 cameras, Nikon still underwent loss of revenue as they pulled the camera from the market and paid for replacements for their customers. 

Nikon pledged to increase RoHS training for their employees and to strengthen their inspection and communication processes. 

The best way to avoid a similar loss of revenue and other RoHS noncompliance penalties is to create internal RoHS training and audit processes before a violation occurs. 

Read more about how to avoid noncompliance penalties: What is ‘RoHS Compliant’?

What Is RoHS Compliant?

The RoHS directive, issued in the European Union, restricts the use of ten hazardous materials in electronic and electrical equipment (EEE). A product is RoHS compliant if it does not exceed the allowable amounts of these restricted substances. All EEE sold in the EU must be RoHS compliant. 

Restricted Substances

To be RoHS compliant, EEE must not contain any of the following hazardous substances in amounts larger than 1000 ppm. These materials are deemed to be hazardous to human health and the environment.

• Cadmium (Cd) [The allowable amount for cadmium is 100 ppm.]
• Mercury (Hg)
• Lead (Pb)
• Hexavalent Chromium (Cr VI)
• Polybrominated Biphenyls (PBB)
• Polybrominated Diphenyl Ethers (PBDE)
• Bis(2-Ethylhexyl) phthalate (DEHP)
• Benzyl butyl phthalate (BBP)
• Dibutyl phthalate (DBP)
• Diisobutyl phthalate (DIBP)

The current restrictions are the result of one original directive and two updates known as RoHS 2 and 3.

RoHS 1 – The original directive, Directive 2002/95/EC, was issued in 2002, and included six materials deemed to be hazardous to human health and the environment. 

RoHS 2 – In 2011, the original directive was superseded by Directive 2011/65/EU, known as RoHS 2. RoHS 2 includes additional categories of appliances subject to RoHS, as well as a larger list of exemptions. RoHS 2 also includes additional steps businesses must take to achieve and demonstrate compliance.

RoHS 3 – The directive was amended in 2015 when Directive EU 2015/863, or RoHS 3, added 4 new restricted phthalates. RoHS 3 is simply an amendment to its predecessor, and businesses must still comply with all requirements of RoHS 2.

Read more: The Difference Between RoHS 1, 2 and 3

Rules similar to RoHS have spread to other regions, including India, China, South Korea, Vietnam, Japan, and U.S. states California and New Jersey. It is important for electronic companies to remain aware of shifting hazardous substance legislation in markets around the world so they can keep their products compliant.

Products Restricted by RoHS

Any manufacturer, importer, or distributor of electronic and electrical equipment (EEE) sold in the EU market must be compliant with RoHS. 

EEE regulated under RoHS includes a wide variety of products separated into eleven categories, ranging from large household appliances to medical devices. The eleventh category is all-encompassing, as it includes any EEE not covered in the previous ten categories. 

It is important that manufacturers determine whether their product fits the definition of EEE, because all EEE is subject to RoHS compliance requirements. RoHS defines EEE as: “equipment which is dependent on electric currents or electromagnetic fields in order to work properly and equipment for the generation, transfer and measurement of such currents and fields” (Directive 2011/65/EU). 

Even small components of EEE, such as cables or other sub-assemblies, must comply with RoHS standards. 

Who Has to Ensure RoHS Compliance?

Manufacturers are responsible for ensuring their product is RoHS compliant. Each product, rather than the company as a whole, must fulfill RoHS compliance requirements.

While the directive applies to all manufacturers, importers, or distributors of electronic and electrical equipment (EEE) sold in the EU market, it is the manufacturer who will be fined or penalized for non-compliance. It is up to manufacturers to remain aware of changing RoHS requirements.

Compliance can be expensive, as RoHS often requires manufacturers to use new or alternative processes that avoid the hazardous substances. Ensuring RoHS compliance can also add time to the production process of EEE. RoHS compliance may also increase EEE prices for consumers.

The costs associated with RoHS compliance, however, come hand in hand with safer, more environmentally friendly devices. 

Read more about costs and benefits of RoHS: What is RoHS?

Steps to Ensure A Product is RoHS Compliant

All steps to ensure RoHS compliance must be completed before an EEE product can be put on the market. The steps included in RoHS compliance are: assessing the bill of materials, testing, analyzing the manufacturing process, and compiling documentation to prove compliance.

1) Assessing Bill of Materials: Finding Non-Compliance Early

The Bill of Materials (BOM) is a list of all the parts, including subassemblies, that are used in a final product. Analyzing the BOM helps ensure that no hazardous substances exceed allowable limits. It is important to analyze not only the larger parts included, but also the homogenous materials, such as metals or plastics, that make up those larger parts. 

Many businesses depend on suppliers for smaller parts or materials that are used in the final product. Companies should request RoHS compliance certification from their suppliers to ensure that all parts and materials are RoHS compliant. It is still the manufacturer’s responsibility to ensure compliance.

While some businesses may not assess the BOM until later stages of production, it is best to review the BOM early. This allows you to spot non-compliance early and make changes, such as using alternative methods of production or updating your product design.

2) Testing: Measuring the Amounts of Restricted Substances

The goal of testing is to measure the amounts of the ten restricted substances used in a product to ensure that they are below the allowable limits.

All RoHS testing must be performed with a high level of sensitivity in order to pick up on parts per million. Many companies choose to send their product to an outside laboratory for testing.

There are several different methods of testing. All RoHS testing aims to analyze and measure the specific components of an EEE product.

The most common is x-ray fluorescence (XRF) testing, which determines the elements that compose the materials used in a product. XRF testing is non-destructive, and can often be performed on site.

Measuring phthalates, a family of chemicals restricted by RoHS, requires more complicated testing techniques. These tests analyze the molecules of materials used in the product:

• Phthalate solvent extraction
• Gas Chromatography with Mass Spectrometric detection (GC-MS)
• UV-visible spectroscopy

3) Analyzing Manufacturing Processes: Ensuring On-Site Compliance

It is important to analyze all steps in a product’s manufacturing process to make sure RoHS compliance is met from start to finish. Manufacturers should implement a detailed system to ensure quality control throughout each step of production, and perform an audit to identify failures in the process that threaten RoHS compliance. 

Some manufacturers create their own audit system, while others choose to contract an outside business to analyze the manufacturing process. 

4) Compiling Documentation: Proving RoHS Compliance

Manufacturers are legally required to prove RoHS compliance, so it is important to maintain careful documentation throughout production and testing.

The first step to proving compliance is to carefully review all documentation, including the Bill of Materials, design drawings, the technical file (see below), compliance certifications from suppliers, and any test results from step 2. All documentation must show that the materials used in production do not exceed allowable levels of restricted substances

RoHS has specific requirements for how manufacturers must demonstrate compliance.

This includes the CE marking and a declaration of conformity.

CE Marking– The CE marking is a visible mark on the product that demonstrates that the manufacturer has created a technical file. The technical file is a set of data that includes information about the product and steps taken to ensure the product meets RoHS requirements. The technical file must include:

• A description of the product and how it works
• Design and manufacturing drawings, and scheme drawings of all sub-assemblies or circuits. These drawings must include written descriptions.
• Manufacturing documentation and records, including design calculations
• A list of harmonized standards or other specifications and procedures used
• Test results (risk assessment of all materials and parts used)

Manufacturers must maintain this file for 10 years following the product’s placement on the EU market, as it will be required if the product’s RoHS compliance is challenged. 

Read more: What is the CE Marking?

Declaration of Conformity- The declaration of conformity (sometimes known as a certificate of compliance) is the final step in RoHS compliance. This is a legal document that contains information about the product and the measures taken to ensure compliance. The manufacturer signs the declaration of conformity before the product is put on the market to certify that the product is RoHS compliant. 

Read more: RoHS Compliance Statement.

Exemptions

The RoHS directive includes a list of product types that are exempt from compliance. These are listed in Article 2 of RoHS II (Directive 2011/65/EU): 

• Equipment necessary for security, including arms, munitions and material intended for military purposes
• Equipment designed to be sent into space
• Large -scale stationary industrial tools
• Large-scale fixed installations
• Means of transport for people or goods
• Non-road mobile machinery exclusively for professional use
• Active implantable medical devices
• Permanently installed photovoltaic panels to produce solar energy
• Equipment designed for business-business research
• Equipment that is designed to be installed in another type of equipment that is excluded under RoHS.

Manufacturers can also apply for exemptions for products and materials without safer alternatives. For example, one of the main examples for which there are few suitable alternatives is lead-soldering, commonly used in many products that have a circuit board. Lead has received exemptions in certain applications.

Read more: RoHS Restrictions on Lead.

The directive pushes companies to search for alternative substances and processes that are RoHS compliant, even while using the original, exempted material. If a viable alternative is not found, extension of the exemption is possible.

To encourage innovation, these exemptions are temporary and expire on a set date. Manufacturers must remain aware of exemption expiration dates so as not to continue use of a material that is no longer exempt.

Penalties of RoHS Noncompliance

Manufacturers will face penalties for noncompliance with RoHS. These penalties may include financial and legal consequences, as well as the larger costs associated with noncompliance.

Financial Consequences

Manufacturers may face fines for products that contain larger than allowable amounts of restricted hazardous substances. The amount of the fine differs by member state, with some countries having higher maximum fines than others. Fines are given for each individual product on the market, rather than the batch as a whole.

Noncompliance may also result in “stop ship” orders. Manufacturers can end up losing large amounts of money manufacturing products they are unable to sell.

Legal Consequences

After releasing a noncompliant product onto the market, the manufacturer may face severe litigation. This process is time consuming and costly, and can also have negative impacts on your brand’s reputation. 

Read more: RoHS Noncompliance Penalties.

Larger Costs

Putting a noncompliant product on the market has widespread negative impacts on human health and the environment. When a hazardous restricted substance is used in a product, it can cause disease and other health issues during manufacturing, use, and disposal.

Substances restricted by RoHS have severe negative environmental effects, especially during the disposal process of a product. 

Read more about the environmental impacts of electronic waste: What is WEEE?

As of January 2021, Regulation (EU) 2019/1020 created stronger controls to enforce the RoHS directive and other EU laws. The new Regulation increases penalties for noncompliance and creates more stringent enforcement. The Regulation is particularly focused on making sure enforcement is extended to EEE sold online. The Regulation also aims to increase cooperation between Member State market surveillance authorities in order to let fewer noncompliant producers fall through the cracks.