@ GE Lighting STR ad PART PAGE [REV STANDING INSTRUCTION [53/0 Fe b an bar TiTLe: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) LATEST RECORD: Quick Search GE Number >> GE2007-0452 * Note that an ePDM “version” number may be different from a document's “rev” number. CLASS Il Class II document, approved for distribution to suppliers. APPROVALS (Documented in POM) Chief Engineer Required David Kachmarik __ Manager, OEP (Chief Engineer Name Title Michael Del Negro Sr. Counsel Product Sat Name Title Heidi Anderson Senior Regulatory Enginoor ‘Name latory Compliance Title Rev | Change Request [ Date | Author | OGEIOEP: 3 511-00 |G Miler |. ler 1 22-04 —| “6. [Eine 2 zo —| 6. Mllor[E eto 3 1281008 [7 Hooker |. einer 4 57-05 [Hooker | E-Welne 5 cee 73105 [J Homes [-E Wels 3 [—cezooe-sa6¢ 5-06 6. her E-Wetner 7—[—ce2000.3378 12506 | 6. Mliler_| = el a ~Geear0.st71 3.07 |G Miler E Welpe 3 cea0n1 san? 5-08 —[ Davos [Cosgrove 07] Wot rsoased 1-08 —[-J-aiin [Cosgrove 3_[—oxaor.6tt5 | —a1e08 [Jaen | Cosgave 42-| —onzorz.asr8 —| —e-a-08 |G. ner |“ Cosgrove 32 -[ —oRzorea7is | “29 Oct 08 |G, Miler“ Cosgrove 13] —-ouzorgasr2 | zeautog —[-- Daan [ie Nags ¢_[ —e20r9.1638 | ~22-apr0—|-ROsves [Kazaa #5-| — oezora.zess | —zo-0ek1t [urs Mazel 36—[—o2020.9515 | —05-06t12 | W Seabo" |. Rechmarc@ GE Lighting STANDING INSTRUCTION [$133, Ser [mT ene Title: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) Other related documents: (GE2008-4606 (GE2006-6405 GE2006-0944 GE2006-0960 GE2014-2473 (GE2021-6165, Index A. Introduction Lighting RoHS REACH and Toxicity Procedures for Supplier Data RoHS compliance for Electronic Controls - $1700006S001 Program/Technical Review Discipline ("P* & “ Reviews) GE Appliances & Lighting Toxicity Policy, $1900000S004P001 Registration, Evaluation, Authorization and Restriction of Chemicals (REACH), S1900000S014 RoHS I technical file statement B. RoHS Regulation Restricted Substances and their Maximum Allowable Concentration Thresholds List of Exemptions that apply to Lighting specifically Definitions Scope ‘Compliance References ranmmoo A. Introduction Technical Documentation for CE mark Responsibilities Requirements er eoaLoN 10 10 12 This Instruction addresses extemal regulatory requirements for RoHS. It supplements other Standing Instructions for REACH and toxicity This Standing Instruction defines the compliance requirements followed by GE Lighting to comply with global RoHS regulatory requirements. The individual processes followed by GE Lighting for data input and. management are defined in the subordinate documents referenced on page 2 of this SI. Links to Web sites are added in this SI based on information valid at the time of publication of this SI revision. Data gathering requirements of this SI apply to all covered Products, regardless of the country in which a Product will be sold/placed on the market.STANDING INSTRUCTION [5275, SET ran PAGE TY TiTte: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) B. RoHS REGULATION Directive 2002/95/EC on the Restriction of Use of Certain Hazardous Substances in Electrical and Electronic Equipment (known as the "RoHS Directive” or “RoHS I") restricts the use of lead, cadmium, mercury, hexavalent chromium, polybrominated biphenyls and polybrominated diphenylethers in certain electrical and electronic equipment since 1st July 2006. In December 2008, the European Commission proposed to recast Directive 2002/95/EC. The result ofthis recast is Directive 2071/65/EU (hereafter referred to as the “Recast RoHS Directive” or "RoHS II"), which was finally adopted on 27 May 2011. The Recast RoHS Directive has been published in the Official Journal of the EU on 1«1July 2011 and entered into force on 21a July 2011. Member States will have to transpose the Recast RoHS Directive into national law by 2usJanuary 2013 at the latest. RoHS recast does not add additional restricted substances to Annex Il however it does place specific obligations on manufacturers, authorized representatives, importers and distributors: -manufacturers draw up the required technical documentation and carry out the internal production control procedure in line with module A of Annex Il to Decision No 768/2008/EC -manufacturers draw up an EU declaration of conformity and aff the CE marking on the finished product -manufacturers keep the technical documentation and the EU dectaration of conformity for 10 years after the EEE has been placed on the market ‘As used in this SI, the term RoHS Regulation refers to the Directive issued by the European Commission Environment (currently in effect in the EU). It can be found at this link: hitolec. europa eu/environmentiwastelrohs eee/legis_en.him “Frequently Asked Questions” about EU Directive 201 1/65/EC can be found at this link: btip:t/eur-lex europa eull exUriServil exUriServ.do?uri=CELEX:32011L0065:EN:NOT Many other countries have adopted, or will be adopting, their own version of the RoHS Regulation framework for their country. Depending on the country of intended sale, the "RoHS" legislation implemented for that country needs to be checked to see ifit is applicable to the product. If so, that "RoHS" legislation must be included as a requirement in product specification documents (PTS), Country-specific differences are outlined in the ROHS Country-Region Inventory. This document is accessible by authorized GE Appliances & Lighting personnel from the Library section of the RoHS-REACH Input Portal on Support Central (‘Restricted ~ RoHS and REACH Inventories" folder,) hitos/fibraries.ce, comMoldersindex.do?entity id=6607377101 &sid=101&SF=1 &prod_id=99951#18876426101 Uniess otherwise specified in the ROHS Country-Region Inventory, the general provisions of the RoHS Regulation and this SI are applicable.@ GE Lighting STANDING INSTRUCTION [ 3), Ser ee eae tonics ae Tite: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) Categories of EEE covered by Directive 201 1/65/EU 1. Large household appliances. 2. Small household appliances. 3. IT and telecommunications equipment 4. Consumer equipment. 5. Lighting equipment. 6. Electrical and electronic tools. 7. Toys, leisure and sports equipment. 8. Medical devices, 9, Monitoring and control instruments including industrial monitoring and control instruments, 10. Automatic dispensers. 11. Other EEE not covered by any of the categories above Restricted Substances and their Maximum Allowable Concentration Thresholds The Recast RoHS Regulation maintains the restictions: the use of six specific substances in electrical and electronic equipment sold/placed on the market in the EU beginning July 1, 2006, ‘A maximum concentration value, as given in below table, is permitted in each Homogeneous Material: Restricted Substance "| Max. Concentration (%) | Max. Concentration (PPM) Cadmium (Cd) 0.01% 100 Hexavalent Chromium (Cr6) 0.1% 7000 Lead (Pb) [ 0.1% 1000 Mercury (Hg) 0.1%. 1000 Polybrominated biphenyis (PBB) 0.1%. 1000. Polybrominated dipheny| ethers (PBDE) 0.1% 000 z For example, the concentration level of lead in a populated printed circuit board assembly shall be based upon the amount of lead present in each homogeneous material that comprises that assembly. Lead may be found in the solder, wire insulation, component leads, or any other homogeneous materials that make up the printed circuit board assembly. If the lead concentration is greater than 0.1% within any homogeneous material, then the PCB assembly is denoted in the Database as "FAIL" Exemptions ‘The RoHS Regulation provides Exemptions that allow higher amounts of the substances in certain situations. Exemptions pertain to a single substance, in a particular application, and may or may not provide ‘a maximum allowable concentration. Exemptions are subject to an expiration date and a renewal application process. ‘The current EU RoHS Exemptions can be found in Annex Ill (Applications exempted from the restriction in Atticle 4(1)) at the RoHS Regulations link indicated below: http://eur-lex europa. eu/L exUriServil exUriServ.do?uri=OJ:L:2011:174:0088:01 10:EN:PDF@ GE Lighting STANDING INSTRUCTION [530, ee Tite: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) List of Exemptions that ai ing specificall Bec ISubstance Application Wen Coie in glass of fluorescent tubes 0,2 % by weight 0,2%m/m 21 July 2016 Copper alloy 4%m/m 21 July 2016 high melting temperature type solders 85% m/m 21 July 2016 EE components in a glass or ceramic other than dielectric ceramic in capacitors no limit 21 July 2016 Dielectric ceramic in capacitors for a rated voltage of 125 V AC or 250 VOC or higher no limit 21 July 2016 In linear incandescent lamps with silicate coated tubes no limit 41 Sept 2013 Lead as activator in the fluorescent powder (sun-tanning lamps) 1%m/m 2A July 2016 Lead and cadmium in printing inks on glasses (enamels) no limit 21 July 2016 Lead in soldering materials in mercury free flat fluorescent lamps no limit 21 July 2016 Cadmium Cadmium and its compounds in electrical contacts no limit 21 July 2016STANDING INSTRUCTION [5355, gg Tilt pe baer Tite: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) C. DEFINITIONS BCR: Business Change Request used in the change process Database: Controlled PartiProduct Database maintained by GE Lighting to support RoHS compliance, showing Part/Product compliance status. This Database shall be protected so that only those persons approved by the Chief Engineer can modity it. It shall be structured so that any GE Lighting Part number can be queried for ROHS compliance. Distributor: ‘cistributor’ means any natural or legal person in the supply chain, other than the manufacturer or the importer, who makes a product available on the market; Drawing: any form of a Part, Product, or raw material specification. Harmonized Standard: Harmonised standard means a standard adopted by one of the European standardisation bodies listed in Annex | to Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations and of rules on Information Society services ( 1 ) on the basis of a request made by the Commission in accordance with Article 6 of Directive 98/34/EC; Homogeneous Material: A Homogeneous Material is of uniform composition throughout and cannot be ‘mechanically disjointed into different materials. The term ‘mechanically disjointed” means that the materials, ‘can be, in principle, separated by mechanical actions such as unscrewing, cutting, crushing, grinding, or abrasive processes, GE Lighting does not consider a finished good, assembly, sub-assembly, component, Part, or device to be a homogeneous material Importer: ‘importer’ means any natural or legal person established within the Union, who places a product from a third country on the Union market; Manufacturer: ‘manufacturer’ shall mean any natural or legal person who manufactures a product or has a product designed or manufactured, and markets that product under his name or trademark; Matorial/Part/Product Supplier Full Disclosure: With Full disclosure, the mechanism for suppliers is via direct entry into Gensuite PCC, reporting ofall substances by CAS numbers thereby accounting for 99.99% of the material content by weight. Material/Part/Product Self-Certification: With Self-Certification, the Supplier cerlifies RoHS status using the forms in Annex, Annex2 and completing the REACH & Toxicity data in the form of GE's excel self- certification file Material/Part/Product 3rd Party Certifica certify ROHS status. Materials: Anything purchased that willbe in the product. This includes direct materials like chemical compounds, metals, plastics, adhesives, paper, etc. that are fabricated into parts. It also includes “indirect materials", not intentionally intenced to be included with the product, that are used in the fabrication of the parts/product but are not completely removed. OEP: Office of Engineering Practices nn: With 3° Party Certification, the Supplier has a 3% Party Part: used generically to mean component, assembly, sub-assembly, kit, or accessory.@ GE Lighting STANDING INSTRUCTION | 3cco0 mae aoe somal ae viTLé: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) Product: used generically to mean finished Product (includes component, kit, sub-assembly, assembly or accessory kits, retail parts, and parts used as spares for service or maintenance) both GE Lighting brands and non-GE Lighting brands, manufactured, sourced or distributed by GE ready to be sold to another legal entity. SCE: the Senior Consulting En; SKU (Stock Kee Technical Reviews: An independent review of the status ofthe technical development cycle of a programiproject vs. defined expectations, per SI900000S001. These expectations relate to the maturity of the design and process as defined in the NPI process and documented by the appropriate checklist 1eer representing the OEP for a given Product line, ing Unit): any uniquely identified Product. D. SCOPE A Lighting electrical and lighting Products must be compliant with the provisions of this SI prior to being produced or sold/placed on the market, and must meet any RoHS Regulation requirements in countries identified in the ROHS inventory prior to being offered for sale in those countries. Any part used in a Product, to be sold in a country or region that requires compliance must also be compliant 4. “Legacy Products" documented in EMARS are considered RoHSI! compliant (see RoHS II technical file statement under GE2021-6165). The Technical file statement is referenced in all relevant TF files. 2. ROHS data shall be collected for all Parts irrespective of whether they are associated with regulated ‘SKUs. An updated submission of RoHS data is required in the event of a material change, supplier change, or re-activation of a previous supplier. 3. Any Drawings for new or modified Parts, materials and Products released for New Product Introductions. (NPs) or any other reason (e.g, any C-change project) shall contain an appropriate note indicating that the necessary data must be submitted in order to qualify the Parts. Ifall Parts are compliant, the Product shall be deemed compliant. {any Part(s) is (are) non-compliant, or not in the Database, the Product shall be deemed non- compliant. 6. For any Part or Product that requires RoHS compliance but does not comply with the most current requirements for the country or countries of sale (e.g. due to a material change, sub-assembly component change, etc.), a BCR shall be submitted to make the modifications necessary to bring that item into compliance, For specific ROHS compliance for Electronic Controls see document $I700006S001 (GE2006-6405). Please see the ROHS Country-Region Inventory for any country specific exemptions outside the EU.@ GE Lighting STANDING INSTRUCTION [$/2, See | eae oe eee TITLE: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) E. TECHNICAL DOCUMENTATION for CE mark (as per EN 50581) 3, Overview For RoHS compliant product to be sold in the EU which will therefore bear @ CE mark, the manufacturer/importer/Distributor shall compile technical documentation to demonstrate that electrical and electronic products comply with substance restrictions. ‘An importer or distributor is considered a manufacturer for the purposes of Directive 201 /65/EU and he Js subject to the obligations of the manufacturer under Article 7, where he places a product on the ‘market under his name or trademark or modifies the product already placed on the market in such a way that compliance with the applicable requirements may be affected. Content of the technical documentation The technical documentation shall include at least the following elements: a general description of the product; = conceptual design and manufacturing drawings and schemes of components, sub-assemblies, circuits, etc. = descriptions and explanations necessary for the understanding of those drawings and schemes and the operation of the product, ; a list of the harmonised standards and/or other relevant technical specifications the references of which have been published in the Official Journal of the European Union, applied in full or in part, and descriptions of the solutions adopted to meet the essential requirements of the legislative instrument where those harmonized standards have not been applied. In the event of partly applied harmonised standards, the technical documentation shall specify the parts which have been applied, = results of design calculations made, examinations carried out, etc., and ~ test reports Information on materials, parts, andlor sub-assemblies 3.4, Tasks to be undertaken by the manufacturer ‘The manufacturer (GE) shall undertake the following four tasks: = determine the information needed (see 3.2); ~ collect the information (see 3.3); = evaluate the information with regard to its quality and trustworthiness and decide whether to include it in the technical documentation (see 3.4); ensure that the technical documentation remains valid (see 3.5). 3.2. Determine the information needed@ GE Lighting STANDING INSTRUCTION [$173, oF Titte: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) ‘The types of technical documents that are required for materials, parts and/or sub-assemblies shall be based on the manufacturer's (GE) assessment of: a) the probability of restricted substances being present, in materials, parts or sub-assemblies, and b) the trustworthiness of the supplier. ‘When undertaking the assessment described in point a), the manufacturer (GE) may apply technical judgment, as some substances are unlikely to be contained in certain materials (e.g. organic substances in metals). Such technical judgment could be based on technical information available via the electricallelectronic industry, or a iterature investigation of the materials/parts used in electrical/electronic products. 3.3. Collecting information Asa result of the manufacturer's (GE) assessment, the following documents on materials, parts, and/or sub-assemblies shall be collected 2) Supplier declarations andlor contractual agreements, such as: ~ Supplier declarations, confirming thatthe restricted substance content of the material, part, or sub-assembly is within the permitted levels and identifying any exemptions that have been applied; = Signed contracts confirming that the manufacturer's (GE) specification for the maximum content of restricted substances in a material, part, or subassembly is fulfilled ‘Such declarations or agreements shall cover a specific material, part and/or sub-assembly, or a specific range of materials, parts andlor sub-assemblies. andlor ) Material Declarations: — Material declarations providing information on specific substance content and identifying any exemptions that have been applied. andior ©) Analytical test results: — Analytical test results using the methods described or referenced in EN 62321 4. Evaluation of information The manufacturer (GE) shall evaluate, in accordance with these procedures, the source and content of each document received in order to determine whether or not the material, part, or sub-assembly meets the specified substance restrictions. 5. Reviow of the technical documentation@ GE Lighting STANDING INSTRUCTION [33.5 eS ee Te. GE Lighting Policy for Restriction of Hazardous Substances (RoHS) ‘The manufacturer (GE) shall: = perform a periodic review of the documents contained in the technical documentation to ensure that they are sill valid; ~ ensure that the technical documentation reflects any changes to materials, assemblies in accordance with point 3. F. RESPONSIBILITIES 1, The OEP manager is responsible for the interpretation and oversight of this Policy. 2, The Counsel responsible for Regulatory Compliance is responsible for interpretation of legal standards as it applies to this Policy. 3. The OEP manager and the Counsel responsible for Regulatory Compliance must approve any deviation from this policy in writing. 4, The Global Product Stewardship Program Manager has the primary responsibilty for maintaining the RoHS Inventory and incorporating any updates, collaborating on required updates to this SI, and ensuring that the most current ROHS Country-Region Inventory revision is saved in the Support Central folder referenced in Section B of this S| The Support Central folder and ROHS Inventory fle are accessible to all individuals who have signed this SI. ‘The folder is restricted from being accessed by anyone else. COMPLIANCE REQUIREMENTS 4. Itis the responsibility of each Supplier to submit the necessary, complete, and correct information, as requested on the data input form for each individual business and/or the country or region where the Product will be sold/placed on the market. The Supplier is in compliance with this process once the information is properly submitted 2, The responsible GE Lighting engineer must review the supplier submission for completeness and accuracy. If corrections are required, the engineer shall return the submission to the Supplier. 3, Each and every Product Technical Specification, Multiple Part Specification, new or modified drawings released for New Product Introductions or any ather reason (any C-change project), and other form specification shall contain the words (the RoHS note) "Article or Material Must Conform to RoHS Procedure $1900000 Sec. 13". 4, Procedure for assessing parts, materials, etc. used in products manufactured by GE a) Any materia/part used in a product to be sold in a country or region that requires compliance must be compliant. b) The responsible engineer will initiate the assessment Survey described in GE2008-4606 section D141. 0rD.1.2. or D2.@ GE Lighting STANDING INSTRUCTION [$275, eee a eas Tite: GE Lighting Policy for Restriction of Hazardous Substances (RoHS) °) 4) e) p 9 h d Raw material suppliers shall submit quantitative (Full material disclosure) data. Self-certification and 3" Party Certification are alternate methods that will be accepted when specific conditions are met and approved by the SCE. For in-house parts, the raw material Supplier shall submit quantitative data information for the raw materiai(s) used in that part. The database must cross-reference all parts using that material and the supplier must submit these parts using the self-cerifcation forms. Itis evident that the setf-certification requires the assessment of all materials used in these parts and assures that all (including other potential already approved) suppliers are considered, Once the submitted data is accepted, the responsible engineer will instruct the REACH desk to record the partimaterial compliance status in the Database (Gensuite PCC). If the material, part or product is compliant, the compliance status will be shown in the Database as coded *PASS". Be aware that a code “pass” in the Database for RoHS was given at the moment of uploading the data in the Database. It doesn't automatically mean its stil ROHS ‘compliant because the Directive may have changed since the data was entered If the material, part or product is not compliant, the compliance status will be shown in the Database as coded “FAIL” IF the material, part or product is exempt by directive, the Database status shall be coded “PASS WITH EXEMPTION” Any change to the compliance status of a material, part or product already in the Database requires @ CR to ensure adequate notification of that change. Ifa non-compliant partis used in a product that has to be compliant with the ROHS Directive, a new BCR shall be submitted to make the changes necessary to bring that part into compliance. The part number shall be changed and the Database wil be uploaded with the new information. The C-change classification shall be assessed using the normal C-Change process 5. Procedure for Products manufactured by GE a) b) °) 9) e) ‘Any GE manufactured product to be sold in or imported to a country or region that requires ‘compliance must be compliant. ‘The responsible engineer will initiate the assessment process described in GE2008-4606 section D.1.2. To determine whether a Product manufactured by GE Lighting is in compliance, the Bill of Material (BOM) for a Product must be cross-checked against the Database to identily 1. Any Parts that are not compliant and/or 2. Missing data. Ifall parts are compliant, the product shall be deemed compliant. f any part(s) is (are) non- compliant or not in the Database, the product shall be deemed non-compliant. Once the submitted data is accepted, the responsible engineer will instruct the REACH desk to record the partimaterial compliance status in the Database (Gensulte PCC), 5, Procedure for Sourced Finished Products a) b) ‘Any sourced product to be sold in or imported to a country or region that requires compliance must be compliant The responsible engineer will section D.2. or D.3, te the assessment process described in GE2008-4606@ GE Lighting STANDING INSTRUCTION [$;30, Seer [PART BRE av Titte; GE Lighting Policy for Restriction of Hazardous Substances (RoHS) ©) The Supplier shall submit quantitative (Full material disclosure) data uploading directly to Gensuite PCC o Self Declare Compliance using Annex I; Annex Il and the REACH - Toxicity Input Forms (Self dectaration) 4) Supplier self-certifcation and supplier 3rd Party Certification will require SCE approval to be uploaded in the Database ©) Once the submitted data is accepted, the responsible engineer will instruct the REACH desk to record the part/material compliance stalus in the Database (Gensulte PCC), 6. To ensure compliance, Technical Reviews shall require re-certification of compliance when any material changes are made to a compliant product and when the RoHS Directive has been changed H, REFERENCES EN 50581:2012 Harmonised Standard for technical documentation for the assessment of electrical and electronic products with respect to the restriction of hazardous substances. IEC 62554:2011 Sample preparation for measurement of mercury level in fluorescent lamps EN 62474:2012 Material Declaration for Electrical and Electronic Equipment EN 62321-X:2011 Electrotechnical products. Determination of levels of six regulated substances (lead, mercury, cadmium, hexavalent chromium, polybrominated biphenyls, polybrominated diphenyl ethers)