RoHS – Restriction of Hazardous Substances

EEE included in one of 10 named categories: Large household appliances; Small household appliances; IT and Telecommunications equipment; Consumer equipment; Lighting equipment; Electrical and electronic tools (excluding certain large-scale industrial tools); Toys, leisure and sports equipment; Medical devices* (other than implanted and infected products); Monitoring and control instruments**; Automatic dispensers. A ‘catch-all’ category 11 of ‘Other EEE not covered by any of the categories above’ comes into force in July 2019.
*Medical devices (excluding in vitro) from 22 July 2014; In vitro devices from 22 July 2016.
**Domestic monitoring and control instruments from 22 July 2014; Industrial monitoring and control instruments from 22 July 2017.

Manufacturers must:

1. Ensure that EEE they produce meets the substance thresholds;
2. Comply with the internal production control requirements of the ‘common framework for the marketing of products’ (Decision 768/2008/EC);
3. Draw up technical documentation to support self-declaration;
4. Draw up an EU declaration of conformity for each compliant product, translating it into the language of each Member State in which the product is available;
5. Keep the technical documentation and declaration of conformity for at least ten years from the date the product was first placed on the market;
6. Affix CE markings to each compliant product;
7. Ensure that conformity is maintained throughout ‘series’ production;
8. Ensure that the compliant products have information on them (or if size/nature prevent this, the packaging of the products) to identity the type, batch/serial number and manufacturer (including contact address);
9. Keep a register of any non-compliant EEE produced and of any EEE recalled for non-compliance;
10. Cooperate with the UK authorities (or other Member State authorities if appropriate) to demonstrate compliance;
11. Advise authorities of their EEE suppliers (if appropriate) and customers if requested to do so.

Importers must:

1. Ensure that EEE they import meets the substance thresholds;
   Ensure the manufacturer complies with requirements 2-9 above;
2. Ensure that if they become aware of non-compliant EEE they inform the manufacturer and the UK authorities;
3. Keep a register of any non-compliant EEE they place on the market and any non-compliant EEE they recall;
4. Provide details of non-compliant EEE to relevant distributors;
5. Take appropriate remedial action regarding the non-compliant EEE, recording the action and advising the UK authorities of the non-compliance and the corrective action taken;
6. Cooperate with the UK authorities (or other Member State authorities if appropriate) to demonstrate compliance;
7. Advise authorities of their EEE suppliers and customers if requested to do so.

NOTE: Where an importer places ‘own brand’ imported product on the market, they assume manufacturer, not importer, obligations.

Distributors must:

1. Not make obligated EEE available if they believe it is non-compliant, informing the importer or manufacturer (as appropriate) and the UK authorities;
2. Take appropriate remedial action regarding the non-compliant EEE, recording the action and advising the UK authorities of the non-compliance and the corrective action taken;
3. Cooperate with the UK authorities (or other Member State authorities if appropriate) to demonstrate compliance;

Advise authorities of their EEE suppliers and customers if requested to do so.

A number of criminal offences are possible, including:

• Placing non-compliant EEE on the market;
• Failing to take appropriate corrective action where necessary;
• Failing to advise others (including the authorities) of non-compliant EEE;
• Failing to keep technical documentation and declarations of conformity;
• Failing to keep a register of non-compliant and recalled products;
• Failing to cooperate with authorities; and
• Falsely using a CE mark.

Penalties are currently up to £5,000 per offence with the possibility of unlimited fines and imprisonment for directors/statutory officers in some cases. RoHS offences are subject to criminal prosecution as they do not currently fall under the Civil Sanctions regime.

A defence of ‘due diligence’ is possible if you can show that you have taken all reasonable steps to be compliant.