Ukraine RoHS (Restricted Substances) compliance. Cabinet of ministers of Ukraine Resolution No.139

Cabinet of ministers of Ukraine Resolution No.139
March 10, 2017

On approval of Regulation on limitation of usage of certain hazardous substances in electric and electronic equipment

In accordance with the article 5 of the Law of Ukraine On regulations and compliance assessment, the Cabinet of Ministers resolves:

1. To approve the attached Regulation on limitation of usage of certain hazardous substances in electric and electronic equipment.

2. The Ministry of Economic Development and Trade shall be charged with ensuring of the approved by this resolution Regulation implementation.

3. To resolve that the provision in the market of electric and electronic equipment not covered by operation of the Regulation on limitation of usage of certain hazardous substances in electric and electronic equipment, approved by the resolution of the Cabinet of Ministers dated December 3, 2008 No.1057 (Official gazette of Ukraine, 2008, No.94, p. 3109) and covered by the operation of this Regulation, approved by this resolution (except electric and electronic equipment, specified in the sub-clauses 1-3, clause 5 and clause 10 of the approved by this resolution Regulation) shall not be prohibited or limited till July 23, 2019 due to incompliance of such electric and electronic equipment with the requirements of the Regulation, approved by this resolution.

4. To include into the list of the state market supervision authorities and their responsibilities, approved by the resolution of the Cabinet of Ministers of Ukraine dated June 1, 2011 No.573 (Official gazette of Ukraine, 2011, No.41, p.1687) the attached change.

5. To recognize as invalid the resolution of the Cabinet of Ministers of Ukraine dated December 3, 2008 No.1057 On approval of Regulation on limitation of usage of certain hazardous substances in electric and electronic equipment (Official gazette of Ukraine, 2008, No.94, p.3109).

6. This resolution comes into force six month after the date of publication.

Prime Minister of Ukraine
V. HROISMAN

APPROVED
by the resolution of the Cabinet of Ministers of Ukraine
dated March 10, 2017, No.139

REGULATION
on limitation of usage of certain hazardous substances in electric
and electronic equipment
General part

1. This Regulation established the requirements for limitation of usage of certain hazardous substances in electric and electronic equipment in order to ensure human health protection and protection of the environment, including ecologically safe disposal and removal of electric and electronic equipment waste.

This Regulation is developed on the base of the Directive 2011/65/EU of the European Parliament and Council dated June 8, 2011 on limitation of usage of certain hazardous substances in electric and electronic equipment.

2. Operation of this Regulation covers electric and electronic equipment of the categories, specified in the appendix 1.

3. This Regulation is applied with consideration of legislation, regulating issues, associated with safety and protection of health, chemical substances and preparations (particularly, with their registration, evaluation, authorization and limitation), as well as waste handling.

4. Operation of this Regulation does not cover:

• equipment, required for ensuring of national safety, including, weapon, ammunition and military machines and materials, specially intended for military purposes;
• equipment, intended for space expeditions;
• equipment that is specially designed and is subject to installation as part of other type of equipment, in respect of which there is established the limitation exception, stipulated in the clause 9 of this Regulation, or that is not covered by this Regulation, and that may perform its function only in case it is the part of the specified equipment and may be replaced only with the same specially designed equipment;
• large-scale fixed industrial equipment;
• large-scale fixed facilities;
• means for transportation of people and goods, except electric two-wheel transport means, the type of which is not approved;
• off-road mobile vehicles of special purpose;
• active medical products subject to implantation;
• photoelectric panels, intended for application in the system, designed, assembled and installed by the specialists for permanent usage at the defined place for the purpose of production of energy with the help of sun for civil, commercial, industrial application and application in residential buildings;
• equipment, specially designed only for scientific and research, research and engineering works, provided on a business-to-business basis;
• chemical current sources, used in electric and electronic equipment.

5. In addition, operation of this Regulation does not cover:

1) medical products and devices, intended for monitoring and control, put into practice before January 1, 2018;

2) medical devices for diagnostics in vitro and industrial devices, intended for monitoring and control, put into practice before July 22, 2018;

3) cables and spare parts for repair, reuse or recovery of functionality or modernization of production facilities:

• electric and electronic equipment, included in to categories 1-7 and 10, defined in appendix 1 and put into practice up to January 1, 2011;
• medical products and devices, intended for monitoring and control, put into practice before January 1, 2018;
• medical devices for diagnostics in vitro and industrial devices, intended for monitoring and control, put into practice before July 22, 2018;

4) spare parts, dismantled from electric and electronic equipment, put into practice before January 2011 and reused in electric and electronic equipment put into practice before January 2018, provided that their reuse is in closed return systems, within which all the spare parts transfer are accounted, documented and tracked and possible only on a business to business basis, as well as in case such spare parts reuse is notified to the users.

6. Limitation as to application of substances, specified in the clauses 7-10 of the appendix 2, does not cover:

1) electric and electronic equipment, included into categories 1-6, 7 (except toys in the part of limitation of application of substances, specified in the clauses 7-8 of the appendix 2), 10 and 11, specified in the appendix 1 and put into practice before July 22, 2019;

2) medical devices (including medical products for diagnostics in vitro) and monitoring and control devices (including industrial devices for monitoring and control), put into practice before July 22, 2021;

3) cables or spare parts for repair, reuse or recovery of functionality or modernization of production facilities of such electric or electronic equipment:

• electric and electronic equipment, included into categories 1-6, 7 (except toys in the part of limitation of application of substances, specified in the clauses 7-8 of the appendix 2), 10 and 11, specified in the appendix 1 and put into practice before July 22, 2019;
• medical devices (including medical products for diagnostics in vitro) and monitoring and control devices (including industrial devices for monitoring and control), put into practice before July 22, 2021;

7. Limitation as to application of substances, specified in the clauses 7-8 of the appendix 2, does not cover toys (including cables or spare parts for repair, reuse or recovery of functionality or modernization of production facilities of toys), put into practice before January 1, 2018.

8. This Regulation uses terms that have the following meanings:

1) active medical device for implantation — any active medical device for implantation in the meaning, defined in the sub-clause 2, clause 2 of the Regulation on active medical devices for implantation, approved by the resolution of the Cabinet of Ministers of Ukraine dated October 2, 2013 No.755 (Official gazette of Ukraine, 2013, No.82, p.3048);

2) put into practice — first presentation of the electric and electronic equipment in the market of Ukraine;

3) large-scale fixed facility — large-scale combination of several types of facilities, and in relevant cases — other devices, assembled, installed and demounted by the specialists and intended for permanent application in predefined and intended for such purpose place;

4) large-scale fixed industrial equipment — large-scale aggregate of machines, equipment and/or components, functioning for certain application, installed on a permanent basis and demounted by the specialists in certain place, as well as used and maintained by the specialists at the industrial production site or site for performance of scientific and research, research and engineering works;

5) put out of practice — any measure, directed at prevention of the electric and electronic equipment that is in the chain of such equipment supply provision in the market;

6) manufacturer — any natural person or legal entity (resident or nonresident of Ukraine) that produces electric and electronic equipment or authorizes its development or production, and sales it under its name or trademark;

7) recall — any measure, directed to ensuring of electric and electronic equipment, provided to consumer (user) return;

8) harmonized European standard — standard, approved by one of the European organization for standardization in accordance with the European Commission request;

9) state market supervision — activity of the market supervision authorities in order to ensure the electric and electronic equipment compliance with the established requirements, as well as to ensure absence of risks for public interests;

10) electric and electronic equipment — equipment that requires electric current or electromagnetic fields for performance of at least one provided function, and the equipment for production, transfer and measurement of such current or fields, designed for usage under current not exceeding 1000V for alternating current and 1500V for direct current;

11) spare part — individual part of the electric and electronic equipment that may replace the part of such equipment, without which its functioning according to the intended purpose is impossible. In case of such part replacement with the spare part, the electric and electronic equipment functionality is recovered or improved;

12) regulations compliance mark — marking with the help of which manufacturer specified than the electric and electronic equipment complies with the requirements, applied to it and defined in regulations, providing application of such marking;

13) importer — any natural person or legal entity — resident of Ukraine that brings to the market of Ukraine the electric or electronic equipment of other country origin;

14) cables — any cables with the rated capacity less than 250 V, with the help of which there is performed connection or extension of connection of electric and electronic equipment to electric socket or for connection of two or more electric and electronic equipment with each other;

15) medical device — medical device in the meaning, defined in the sub-clause 9, clause 2 of the Regulation on active medical devices for implantation, approved by the resolution of the Cabinet of Ministers of Ukraine dated October 2, 2013 No.753 (Official gazette of Ukraine, 2013, No.82, p.3046) that is also the electric and electronic equipment;

16) medical device for diagnostics in vitro — medical device for diagnostics in vitro in the meaning, defined in the sub-clause 9, clause 2 of the Regulation on active medical devices for implantation, approved by the resolution of the Cabinet of Ministers of Ukraine dated October 2, 2013 No.754 (Official gazette of Ukraine, 2013, No.82, p.3047);

17) provision in the market — any charged or free of charge supply of the electric and electronic equipment for distribution, consumption or usage in the market if Ukraine in the process of economic activity carrying out;

18) homogeneous material — unified material of homogeneous composition or material that consists of combination of materials that may not be separate or divided through unscrewing, cutting, breakage, grinding or application of abrasive processes;

19) compliance assessment — process of proving of the fact that the requirements of this Regulation, concerning the electric and electronic equipment, are fulfilled;

20) off-road mobile vehicles of special purpose — vehicles with on-board power source, functioning of which during operation requires mobility of continuous or semi-continuous consistent movement between fixed places of operation, provided exclusively for professional application;

21) device, intended for monitoring and control — device the main function of which if monitoring and/or control;

22) industrial device, intended for monitoring and control — device for monitoring and control, intended exclusively for industrial or professional application;

23) distributor — any other than manufacturer or importer natural person or legal entity in the chain of supply of the electric and electronic equipment that provides such equipment in the market of Ukraine;

24) agents of economic activity — manufacturer, authorized representative, importer and distributor;

25) specification — document that establishes technical requirements to be satisfied by the electric and electronic equipment;

26) authorized representative — any natural person or legal entity — resident of Ukraine that has obtained from the manufacturer written Power of Attorney to act on its behalf in respect of the defined in such Power of Attorney tasks.

In the text of this Regulations the terms «compliance presumption», «regulation» are used in the meaning, defined in the Law of Ukraine On regulation and compliance assessment; terms «state control over non-foods products», «improper application of regulation compliance mark» — in the meaning, defined in the Law of Ukraine On state market supervision and control over non-food products; terms «user», «products supply chain», «products supply» — in the meaning, defined in the Law of Ukraine On general safety of non-food products; term «national standard» — in the meaning, defined in the Law of Ukraine On standardization.

Prevention

9. The electric and electronic equipment, put into practice, including cables, spare parts for its repair, reuse or recovery of functionality or modernization of production facilities, shall not contain the specified in the appendix 2 substances in concentrations, exceeding maximum permitted values.

10. Limitation, defined in the clause 9 of this Regulation, does not cover the cables and spare parts for its repair, reuse or recovery of functionality or modernization of production facilities of the electric and electronic equipment, in respect of which there are established the exclusions from the mentioned limitation and which is put into practice before the end of the relevant exclusion validity term to the extent that the relevant cables and spare parts refer to the mentioned exclusion.

11. Limitation, defined in the clause 9 of this Regulation, does not cover the exclusions for the mentioned limitation, the list of which is provided in the appendixes 3 and 4.

Manufacturer obligations

12. During the electric and electronic equipment putting into practice, the manufacturers shall ensure that they are designed and produced in accordance with the requirements, specified in the clauses 9-11 of the Regulation.

13. The manufacturers shall execute the requires technical documentation and perform or charge the authorized representative the performance of the production internal control procedure according to the module A, defined in modules of compliance assessment, applied to development of compliance assessment procedures, approved by the resolution of the Cabinet of Ministers of Ukraine dated January 13, 2016 No.95 On approval of modules of compliance assessment, applied for development of compliance assessment procedures and rules of compliance assessment modules application (Official gazette of Ukraine, 2016, No.16, p.625).

14. In case the compliance of the electric and electronic equipment with the requirements, applied to it, is proved through the compliance assessment procedure, mentioned in the clause 13 of this Regulation, the manufacturer shall execute the declaration of compliance according to the form, provided in the appendix 5 and apply regulation compliance mark at the finished product. In case other regulatory enactments provide requirements for application of the same or stricter procedure of compliance assessment, compliance with the requirements of the clause 9 of the Regulation may be proved within the framework of such procedures. In such a case there may be executed general technical documentation.

15. The manufacturers shall keep technical documentation and declaration of compliance within ten years from the moment of the electric and electronic equipment putting into practice.

16. The manufacturers shall ensure application of procedures, required for support of the batch production compliance with the requirements of this Regulation. There shall be considered the changes in design and specifications of the electric and electronic equipment and changes in national standards, specified in the clause 46 of the Regulation, or in other specifications, through the references according to which there is declared the electric and electronic equipment compliance.

17. The manufacturers shall account the electric and electronic equipment that does not comply with the requirements of this Regulation and cases of the electric and electronic equipment recall, and shall notify the distributors as to such facts.

18. The manufacturers shall ensure the electric and electronic equipment marking with type. Lot number or serial number, or another element that allow its identification, and in case the dimensions or nature of the electric and electronic equipment do not allow to do this — all the information shall be indicated on its package or in the document, accompanying such equipment.

19. The manufacturers shall indicate their name, registered commercial name or registered trademark (mark for products and services) and contact mail address on the electric and electronic equipment, and in case of impossibility — on its package or in the document, accompanying such equipment. The address shall contain the single place, where there is possible to contact the manufacturer. In case other regulatory enactments provide the same or stricter requirements for indication of name and place of location of the manufacturer, there shall be applied the specified requirements.

20. The manufacturers that believe or have bases to believe that the electric and electronic equipment, put into practice by them, does not comply with the requirements of this Regulation, shall immediately take restrictive (corrective) actions, required for such equipment bringing to compliance with the mentioned requirement, its putting off the practice and/or recall (as applicable). The manufacturers shall immediately notify the relevant state market supervision authority and provide it with the detailed information, particularly as to incompliance of such electric and electronic equipment with the requirements of this Regulation and taken restrictive (corrective) actions.

21. At the reasonable request of the state market supervision authority, the manufacturers shall provide it with the information and documentation, required for demonstration of the electric and electronic equipment compliance with the requirements of this Regulation. At the request of the mentioned state market supervision authority the manufacturers shall cooperate with it in respect of any measures, taken to ensure the put by it into operation electric and electronic equipment compliance with the requirements of this Regulation.

Authorized representative obligations

22. The manufacturer has the right, on the base of written power of attorney, to define the authorized representative. Obligations, provided by the clause 12 of this Regulations and obligation as to execution of technical documentation are not included into the subject matter of the power of attorney, obtained by the authorized representative.

23. The authorized representative shall perform tasks, defined in the power of attorney, obtained from the manufacturer. The power of attorney shall give the authorized representative the possibility to perform, at least, the following obligations:

• to keep declaration of compliance and technical documentation for their submission at the requests of the state market supervision authorities within ten years from the moment of the electric and electronic equipment putting into practice;
• at the reasonable request of the state market supervision authority to provide it with the information and documentation, required for demonstration of the electric and electronic equipment compliance with the requirements of this Regulation;
• at the request of the mentioned state market supervision authority to cooperate with it in respect of any measures, taken to ensure the put into practice electric and electronic equipment, covered by power of attorney, compliance with the requirements of this Regulation.

Importer obligations

24. The importers shall put into practice only the electric and electronic equipment that comply with the requirements of this Regulation.

25. Before the electric and electronic equipment putting into practice, the importer shall assure that the manufacturer has performed relevant procedure of compliance assessment and executed technical documentation, there have been applied on the electric and electronic equipment the mark of compliance with the regulation and it has all the required support documentation, as well as that manufacturer had fulfilled the requirements, provided by the clauses 18 and 19 of this Regulation.

26. In case the importer believed that the electric and electronic equipment does not comply with the requirements of the clauses 9-11 of the Regulation, or has bases o believe in this, he shall not put into practice such equipment till its bringing to compliance with the mentioned requirements with relevant notification of the manufacturer and relevant state market supervision authority as to this fact.

27. The importers shall indicate their name, registered commercial name or registered trademark (mark for products and services) and contact mail address on the electric and electronic equipment, and in case of impossibility — on its package or in the document, accompanying such equipment. In case other regulatory enactments provide the same or stricter requirements for indication of name and place of location of the manufacturer, there shall be applied the specified requirements.

28. In order to ensure the compliance with the requirements of this Regulation, the importers account the electric and electronic equipment that does not comply with the requirements of this Regulation and cases of such equipment recall, and notify the distributors as to such facts.

29. The importers that believe or have bases to believe that the electric and electronic equipment, put into practice by them, does not comply with the requirements of this Regulation, shall immediately take restrictive (corrective) actions, required for such equipment bringing to compliance with the mentioned requirement, its putting off the practice and/or recall (as applicable). The importers shall immediately notify the relevant state market supervision authority and provide it with the detailed information, particularly as to incompliance of such electric and electronic equipment with the requirements of this Regulation and taken restrictive (corrective) actions.

30. The importers shall keep technical documentation and declaration of compliance within ten years from the moment of the electric and electronic equipment putting into practice for their submission at the requests of the state market supervision authority and ensure possibility of provision such authorities with access to such technical documentation at their request.

31. At the reasonable request of the state market supervision authority, the importers shall provide it with the information and documentation, required for demonstration of the electric and electronic equipment compliance with the requirements of this Regulation. At the request of the mentioned state market supervision authority the importers shall cooperate with it in respect of any measures, taken to ensure the put by it into operation electric and electronic equipment compliance with the requirements of this Regulation.

Distributor obligations

32. The distributors shall during provision of the electric and electronic equipment in the market act with proper attention as to the requirements of this Regulation, and particularly, they shall inspect that such equipment has applied mark of compliance with the regulations, it is accompanied by the required documents, executed in accordance with the requirements of the legislation on languages, as well as that the manufacturer and importer have fulfilled the requirements, provided by the clauses 18, 19 and 27 of the Regulation, respectively.

33. In case the distributor believes or has bases to believe that the electric and electronic equipment does not comply with the requirements of the clauses 9-11 of the Regulation, it shall not provide such equipment in the market till it bringing to the compliance with the mentioned requirements and shall notify the manufacturer or importer, as well as the relevant state market supervision authority as to this fact.

34. The distributors that believe or have bases to believe that the electric and electronic equipment that they have provided in the market, does not comply with the requirements of this Regulation, shall of taken restrictive (corrective) measures, required for bringing to compliance with the mentioned requirement, its putting off the practice and/or recall (as applicable). The distributors shall immediately notify the relevant state market supervision authority and provide it with the detailed information, particularly as to incompliance of such electric and electronic equipment with the requirements of this Regulation and taken restrictive (corrective) actions.

35. At the reasonable request of the state market supervision authority, the distributors shall provide it with the information and documentation, required for demonstration of the electric and electronic equipment compliance with the requirements of this Regulation. At the request of the mentioned state market supervision authority the distributors shall cooperate with it in respect of any measures, taken to ensure the put by it into operation electric and electronic equipment compliance with the requirements of this Regulation.

Cases, when the manufacturer obligations are placed on the importers and distributors

36. In case the importer (distributor) puts the electric and electronic equipment into practice under its name or trademark (mar for products and services) or modifies already put into practice electric and electronic equipment I such a way that this may affect its compliance with the requirements, applied to it, the importer (distributor) is considered to be the manufacturer for the purposes of this Regulation and shall fulfil the obligations of the manufacturer, established by the clauses 12-21 of this Regulation.

Identification of agents of economic activity

37. The agents of economic activity shall within ten years from the moment of the electric and electronic equipment putting into practice provide the state market supervision authorities at their request with the information that gives the possibility to identify:

• any agent of economic activity that has supplied them electric and electronic equipment;
• any agent of economic activity to whom they have supplied electric and electronic equipment.

Declaration of compliance

38. In the declaration of compliance there shall be stated that fulfilment of the requirements of the clauses 9-11 of this Regulation is proved.

39. The declaration of compliance shall be executed in accordance with the provided in the appendix 5 exemplary structure and is subject to renewal as required. The declaration of compliance shall be executed in the state language, and in case of its execution in another language it shall be translated into the state language.

40. The manufacturer takes through the declaration of compliance execution the responsibility for the electric and electronic equipment compliance with the requirements of this Regulation.

General principles of marking with the mark of compliance with regulations

41. Regulations compliance marks is applied in accordance with the general principles of marking with the mentioned mark, established by the law.

Rules and conditions of the regulations compliance mark application

42. Regulations compliance marks shall be applied to the finished electric and electronic equipment and to its rating plate in such a way that it is visible, legible and indelible. In case it is impossible or unreasonable due to the nature of electric and electronic equipment, the regulations compliance mark is applied on the package and in the support documents.

43. The regulations compliance mark shall be applied before the electric and electronic equipment putting into practice.

44. Restrictive (corrective) measures in case of improper application of the regulations compliance mark shall be taken according to the order, established by the law.

Compliance presumption

45. The electric and electronic equipment with the applied regulation compliance mark is considered on the base of the compliance presumption as the equipment that complies with the requirements of this Regulation unless the contrary is proved.

46. Materials, components and electric and electronic equipment, for which there are performed tests and measurements, proving its compliance with the requirements of the clauses 9-11 of this Regulation, or that is assessed in accordance with the standards is considered to be the equipment that complies with the requirements of this Regulation.

The list of national standards, identical to harmonized European standards and compliance with which provides the presumption of compliance of the materials, components and electric and electronic equipment with the requirements of clauses 9-11 of the Regulation shall be approved and made public in accordance with the law.

State market supervision and state control over the electric and electronic equipment

47. The state market supervision and the state control over the electric and electronic equipment shall be performed in accordance with the law.

Compliance table

48. The table of compliance with the provisions of the Directive 2011/65/EU of European Parliament and Council dated June 8, 2011 on limitation of usage of certain hazardous substances in electric and electronic equipment and this Regulation is provided in the appendix 6.

Appendix 1 to the Regulation

CATEGORIES
of electric and electronic equipment,
covered by operation of the Regulation
on limitation of usage of certain hazardous substances
in electric and electronic equipment

1. Major appliances.

2. Small appliances.

3. Information technology equipment and telecommunication equipment.

4. Household electronics.

5. Lighting equipment.

6. Electric and electronic tools.

7. Toys, equipment for recreation and sport.

8. Medical devices (including medical devices for diagnostics in vitro).

9. Monitoring and control devices (inclusive of industrial monitoring and control devices).

10. Products output and dosing automation devices.

11. Other electric and electronic equipment not included into the categories 1-10.