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China RoHS & Auto RoHSNew Regulatory Updates


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Matt WhittekerAssent ComplianceRegulatory Division


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Tad FerrisFoley & Lardner LLPPartner, China & International

Today’s Presenter

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CHINA RoHS BRIEFINGAssent Compliance Webinar December 8, 2015

Tad Ferris (费达), Partner, Foley & Lardner LLPChair, International Regulatory Practice Team

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Agenda

• China Environmental Regulatory Trends• China RoHS – “Mini-Primer” and Update• China’s Auto-RoHS Program• Q&A

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Environmental Regulatory Trends

• Continued development of programs aimed at promoting industry “leaders” in specific areas, such as energy efficiency, with government support as the “carrot” for successful China-based applicants.– Example: Implementing Details for Energy Efficiency

“Leader” Systems for Household Refrigerators, Flat-Screen TVs, and Speed-Controlled Room Air Conditioners (Nov. 2015).

• Regulatory moves to promote advanced “green” technology infrastructure development.– Example: Guidelines for Electric Vehicle Charging

Infrastructure Development (2015-2020) (Nov. 2015).

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Environmental Regulatory Trends

• Further controls on import of solid waste into China for use as “raw materials.”– Example: Management Provisions on

Environmental Protection of Solid Waste Subject to Import Restrictions as Raw Materials (Nov. 2015).

• Ongoing assessment and implementation of China’s WEEE program.– Example: Circular on Pilot Work on Electrical and

Electronic Product Extended Producer Responsibility (June 2015, three-year pilot assessment).

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China RoHS – Mini Primer

• Restricted Substance Program Development in China.– This is a key trend in the China regulatory context, with

programs extending beyond the traditional “RoHS” framework, to other sectors, other substances and situations.

• Examples: Dioxin; so-called “rare-earth minerals”

• The China RoHS program development has garnered global attention because of:– its issuance shortly after EU RoHS program launch (roughly

speaking, China RoHS drafting goes back to 2003);– the perceived influence of EU program elements, and – the presence of “China-specific attributes” such as

“environmental protection use period” marking.

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China RoHS – Historical Highlights• February 28, 2006. Management Methods on the Control of Pollution from Electronic

Information Products (“China RoHS 1”) promulgated.

• March 16, 2006. Electronic Information Product (EIP) List issued (scope of EIP within purview of Art. 3(1) of China RoHS 1).

• November 6, 2006. Marking, Concentration Limit, and Test Method standards issued to facilitate implementation of key aspects of the China RoHS 1 regulation.

• December 2006 and February 2007. Frequently Asked Questions (FAQ) Documents issued, then amended re China RoHS 1 and associated implementing standards.

• March 1, 2007. China RoHS 1 effective date (representing implementation date for labeling and information disclosure aspects).

• October 9, 2009. China RoHS 1 draft Catalogue, first batch, issued for comment.

• May 18, 2010. Opinions on the Implementation of the National Voluntary Certification Program for Electronic Information Products Subject to Pollution Control (May 18, 2010).

• October 21, 2010. MIIT notifies China RoHS 2 draft to the World Trade Organization Technical Barriers to Trade Committee.

• May 12, 2011. Amended RoHS concentration limit and testing/identification standards.

• May 18, 2015. MIIT releases a new public-comment draft of RoHS 2.6

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China RoHS Framework Regulation

Labeling and Information Disclosure Program

Logos/EPUP RoHS Table Packaging Marking (TBD)

Materials Restriction and Associated Conformity Assessment/Certification Program

Listed Products (Catalogue)

Assessment and Certification

Process for Listed Products

Thinking about China RoHS (substance)

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Enabling statutes (sources for authority, penalties, etc.)

China RoHS Framework Regulation (Management Methods)

Implementing rules, including those for voluntary RoHS certification program.

Standards, such as RoHS concentration limits standard (GB/T 26572)

Guidance, including Frequently Asked Questions documents, electronic information product list

(RoHS 1), and other reference materials.

Thinking about China RoHS (law and guidance)

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The Management Methods for Control of Pollution in Electronic Information Products are often referred to as the China “RoHS 1” framework regulation. This remains in effect until the effective date of RoHS 2. China’s Ministry of Industry and Information Technology (MIIT) is the lead agency driving the RoHS program. As noted, this regulation essentially involves two distinct regulatory schemes setting out the following requirements:

• (A) information disclosure/labeling. In effect since March 1, 2007.• (B) materials restriction and associated pre-market materials-restriction conformity assessment/certification. Not yet in effect.


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• Examples of Key Compliance Questions:– Are we in the threshold scope (RoHS 1)? – Are we in the proposed scope for RoHS 2? – What is our product, part/component flow? (In

other words, how are our products being sold in China? To whom? Will we be assembled into another product that is sold on the market in China?)

– If our products are individually sold on the retail market in China, how do we currently provide product safety and environmental information (tag, booklet, visual display, web site)?

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• Don’t Assume:– We are excluded or exempted from scope in the EU,

so we are all set (excluded or exempted) in China.– We are all set with China RoHS 2, so no need to

worry about China RoHS 1 compliance situation.– We are all set with China RoHS 2 now (in early

December 2015).• Don’t assume, as well, even when the China RoHS 2

regulation is officially released and in hand, that we will have all the details needed to confirm suitability of our compliance program.

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• Last Publicly Released Draft of China RoHS 2 –Keeping Up to Date

– Proposes expanding the scope of applicable labeling and information-disclosure requirements, focusing on “electrical and electronic products,” not electronic information products. Electrical and electronic products are defined as:

Devices and accessory products with rated working electrical voltages of no more than 1500 volts direct current and 1000 volts alternating current which function by means of current or electromagnetic fields, and generate, transmit and measure such currents and electromagnetic fields

– Proposes excluding power generation, transmission and distribution equipment from the definition of “electrical and electronic products”;


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– Proposes applying the hazardous-substance content limits to electrical and electronic products included in a “Compliance Management Catalogue” (i.e., a to-be-developed list of electronic and electrical products, to be issued in successive batches over the duration of the regulatory program);

– Proposes a modified “compulsory certification” approach, different than that prescribed in RoHS 1, to allow for a potentially more flexible “conformity assessment system.”

– Proposes what is essentially re-introduction of packaging material marking standard conformity requirements (that had been removed in earlier RoHS 2 drafts and did not appear in the RoHS 2 labeling standard); and

– Proposes removal of the “products manufactured for export” exemptionincluded in China RoHS 1.


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• Note that the inter-agency process may result in additional changes.

• End of 2015/beginning of 2016 is the current goal for completion of inter-agency vetting process and promulgation.

• For full translation of the draft RoHS 2 (2015) and more detailed description, see my blog post at: http://www.foley.com/china-proposes-new-restriction-of-hazardous-substance-rohs-requirements-for-electronics-manufacturers-05-20-2015/


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http://www.foley.com/china-proposes-new-restriction-of-hazardous-substance-rohs-requirements-for-electronics-manufacturers-05-20-2015/


“Automobile RoHS” Primer

• The framework rule for China’s automotive RoHS program is MIIT’s June 1, 2015 “Management Requirements for Vehicle Hazardous Substance and Recyclable Utilization Ratios” (“Management Requirements”). – This is a program with potentially broad implications

for the automotive sector in China, covering RoHS and WEEE-type provisions, but the Management Requirements serving as the framework measures for the program amount to less than a page of Chinese text.

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• The Management Requirements set forth broad goals for car manufactures. These include eco-design of vehicles for easy recyclability, selection of non-toxic or low-toxicity materials, and development of a green supply chain. We can see such broad goals, as well, in the China RoHS 1 and draft RoHS 2 regulations.

• According to these Requirements, for passenger cars of less than 9 persons, implementation of controls on hazardous substance content and recyclability ratios will take place on Jan. 1, 2016.

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Materials Restrictions. • The essentials are included in GB/T 30512-2014

“Requirements for Restricted Substances in Automobiles.” This is one of the industry standards referenced in the Management Requirements. – Restricted substance limits are lifted from pre-existing RoHS

1 program concentration limits, e.g.: • Lead, mercury, hexavalent chromium, polybrominated

biphenyls, polybrominated diphenyl ethers in any homogenous material of the motor vehicle or motor vehicle parts, by mass fraction, shall not exceed 0.1%.

• Cadmium in any homogenous material of the motor vehicle or motor vehicle parts, by mass fraction, shall not exceed 0.01%. 17



Exemptions.– Restricted substance limits are subject to exemptions listed

in Annex A of GB/T 30512-2014. Annex A sets forth exemption scope descriptions and durations.

• After expiration of the exemption in question, re-used and re-manufactured automobile manufacturing products and parts will continue enjoying exemption coverage.

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• Additionally, parts and materials which are not covered in Annex A may enjoy an exemption if the manufacturer or importer submits an exemption application supporting applicability of one of the following:

– There is no substitute for the restricted substance in the product(s) for technological reasons;

– The prohibition on the use of the restricted substance will reduce the safety of the product(s);

– The prohibition on the use of the restricted substance will affect the normal use and maintenance of the product(s);

– The prohibition on the use of the restricted substance will significantly reduce the life cycle of the product(s); or

– The prohibition on the use of the restricted substance will significantly increase production or sales costs (for the product(s)).

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– Manufacturers must submit hazardous substance content information, using the Ministry of Industry and Information Industry (MIIT)-required form (per Article 3.2 of the Management Requirements) to MIIT along with their new car approval application.

• Note that this is NOT the same form as the “table” associated with the China RoHS 1 and 2 programs. The RoHS 1 and 2 table is aimed at providing customer or downstream manufacturer with restricted substance information.

• The form for the automobile RoHS program is aimed at informing MIIT as to restricted substance content and strengthening “green” supply chain practices.

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– The automobile RoHS program is another example of China’s overall efforts to leverage supplier-prime relationships to advance green manufacturing and related environmental compliance practices.

– These efforts were also evident in the Guidelines for Green Corporate Procurement, issued at the end of 2014, (from MIIT, the Ministry of Commerce and the Ministry of Environmental Protection). These Guidelines include measures on “green” raw materials and “green” products.

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Thank you very much!/多谢！

Tad Ferris (费达)Partner, International Regulatory Practice Team ChairFoley & Lardner LLP3000 K Street N.W.Suite 600Washington, DC 20007-5109

[email protected]

202.295.4090

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