Suppliers Guide Prohibited and Restricted Substances Reciprocating Engines Distributed Power January 2016

Forward The information in this handbook is provided for convenience of our suppliers and may be subjected to change from time to time without prior intimation. This document may be used as a guide but not as a substitute to TRS002 GE Distributed Power – Supplier Compliance Requirements – Declaration of Hazardous and Regulated Substances and Materials. If you have questions relative to GE Distributed Power TRS Compliance requirements, you can always contact your GE supplier quality engineer (SQE), or the Compliance Leader for sourcing (at rita.haimour @.ge.com).

2 GE Title or job number 1/19/2016

Purpose This publication provides an overview of GE Reciprocating Engines’ position on Prohibited and Restricted Substances in our process and products. In this context, the term “substances” refers generically to elements, compounds and chemicals. There are many existing and emerging local and regional regulations that affect operations and products, which can be complex to understand. For example, an regulation may apply to a consumer product but not to commercial products such as ours. This guide summarizes the key GE Substances standards for informational purposes. Always refer to the current standard “TRS 002 Supplier Compliance Requirements - Declaration of Hazardous & Regulated Substances” which is posted on the GE Supplier Portal CLICK HERE

Supplier Responsibility Compliance to these standards is mandatory for all suppliers that provide any product or service to GE Jenbacher and Waukesha Sites. Suppliers who provide any product or service to GE Reciprocating Engines are wholly responsible for the end product provided to GE, irrespective of how many sub-suppliers (Tier 2, 3, etc.) may be in the supply chain flow. The end product supplied includes partially or finished assemblies, components, packaging, chemicals and consumable processing substances. It is the responsibility of the supplier to verify that the substances listed are not in any products or substances supplied to GE per the referenced threshold. At initial qualification to supply any product, part or material to GE, suppliers shall provide GE a Declaration, to certify compliance on Hazardous and Regulated Substances & Materials as prescribed by GE Form 2206. CLICK HERE FOR ENGLISH VERSION CLICK HERE FOR GERMAN VERSION Failure to abide with this standard may result in the termination of the relationship with GE

F-2206 Declaration Form

Prohibited and Restricted Substances

Imagination at work.

Section 4.3 -GE Prohibited and Restricted Substances Table A1 Prohibited and Restricted Substances in Products – Supplier shall meet and certify to the Prohibited/Restricted Substances in GE products, parts, materials, accessories and packaging as listed in Table A1 Substance Guiding Regulation Asbestos and asbestos containing materials

REACH/ United States: Toxic Substances Control Act (restricts new uses)

Benzene Cadmium and its compounds

REACH REACH /RoHS /China Management Measures on EIP Pollution Control

Cobalt Dichloride (7646-79-9) Dimethyl fumarate (DMF) Fluorinated Greenhouse Gases (PFC, SF6, HFC)

REACH 2009/251/EC EC No 842/2006

Hexachlorobenzene Hexavalent Chromium and its compounds

GE Requirement /Canada RoHS/ China Management Measures on EIP Pollution Control

Hydrazine

EC 272/2008 on classification, labeling and packaging of substances and mixtures

Lead and its compounds

REACH /RoHS /China Management Measures on EIP Pollution Control; EU Packaging & Packaging Waste Directive 94/62/EC Article 11

Mercury and its compounds Ozone Depleting Substances (ODS)

REACH/RoHS /Battery List of ODS’ available at http://www.epa.gov/ozone/ods.html

Pentachlorophenol Perfluorooctane sulfonate (PFOS) and its salts Perfluorooctanoic acid (PFOA) and its salts

REACH REACH /Canadian Environmental Protection Act, P.C. 2008-974 / GE Requirement

Phenol,2-(2H-benzotriazol-2-yl)-4,6-bis (1,1-dimethylethyl)-(CAS# 3846-71-7)

Japanese law

Polychlorinated Biphenyls (PCBs) Polychlorinated Napthalenes (more than three chlorine atoms)

REACH/Japanese Law Japanese law

Polychlorinated terphenyl (PCTs) Polyvinyl chloride (packaging) Tin Compounds

REACH/Japanese Law GE Requirement REACH/Japanese Law 6

Section 4.3 -GE Prohibited and Restricted Substances

****MANDATORY IF YOU ANSWERED “YES” TO QUESTION ****

7 GE Title or job number 1/19/2016

RoHS Restriction of Hazardous Substances – is a directive of the European Union which restricts the use of six hazardous materials in the manufacture of various types of electronic and electrical equipment. CLICK HERE for more information.

Imagination at work.

Section 4.3 -RoHS Substances For all EEE, the Supplier shall indicate the presence of any RoHS regulated substance as defined in the latest revision of EU Directive 2011/65/EC for EEE items supplied to GE.

Hazardous Chemicals Restricted by RoHS

9

Section 4.4 -RoHS Substances and Applicability

****MANDATORY IF YOU ANSWERED “YES” TO QUESTION ****

10 GE Title or job number 1/19/2016

REACH SVHC Registration , Evaluation, Authorization and Restriction of Chemicals – is a European Union regulation for chemicals made, used or imported in the UE region. REACH requires, registration of chemical substances on their own, in preparations or released by an article during its normal use. In addition, to chemical registration is the identifications of Substances of Very High Concern (SVHC) on a “candidate list”. More information on this regulation may be FOUND HERE .

Imagination at work.

Section 4.5 - REACH SVHC Registration , Evaluation, Authorization and Restriction of Chemicals

• Suppliers are required to declare the absence or presence of EU REACH Substances of Very High Concern (SVHC) using the current SVHC list published on the European Chemical Agency (ECHA) web site. • Identifications of Substances of Very High Concern (SVHC) are on a “candidate list • Some or all of these substances may be restricted when moved to an “authorization list” or banned when moved to a “prohibited list” .

• GE prohibits the use of any substance on the “prohibited list”.

Section 4.5 -REACH SVHC

****MANDATORY IF YOU ANSWERED “YES” TO QUESTION ****

13 GE Title or job number 1/19/2016

Engineered Nano Materials Imagination at work.

Section 4.6 - Engineered Nano Materials Supplier shall declare to the presence (use) of nano materials in the materials, parts, assemblies or finished products they sell to GE. Where these materials are declared present, additional information must be provided including the trade name or description of the material, CAS# (as applicable), location in the part/product, and nominal weight percent. • SIZE: Between 1-100nm. EU Commission recommendation on the definition of nanomaterial • Examples of Industrial Uses: used in oils, powders, coatings, lubrications and paint • RISKS: Inhalation and absorption through the skin and organs ie inhaling nano (dry/powder), similar effects as with asbestos. 15 GE Title or job number 1/19/2016

Section 4.6 -Engineered Nano Materials

****MANDATORY IF YOU ANSWERED “YES” TO QUESTION ****

16 GE Title or job number 1/19/2016

Batteries Battery – is a directive of the European Union which restricts the use of three hazardous materials in the manufacture of various types of batteries and accumulators CLICK HERE for more information.

Imagination at work.

Section 4.7 - Batteries Supplier shall declare where batteries are incorporated into supplied products or equipment. The Supplier shall certify that any supplied battery conforms to the substance concentration limits defined in Table A2.

Table A2 Battery Content Restrictions

Battery Type All Battery Types, including accumulators.(Some battery types have more restrictive substance levels; see following entries on this table)

Restrictions    

No intentionally-introduced mercury ≤ 0.0005% mercury by weight. Button cell batteries, and batteries composed of button cell batteries, with a mercury content of no more than 2% by weight are exempt .1, 6 ≤ 0.002% cadmium by weight (Note the lower cadmium restrictions for some battery types below). 1 Only battery types which are exempted from all hazardous materials transport regulations (surface and air), i.e., not classified as a hazardous material (for purposes of transport) or dangerous good, can be used.

Non removable batteries or accumulators, unless the battery is nonremovable due to user safety or other principal purpose of the Deliverable

  

≤ 0.0005% cadmium by weight 5 ≤ 0.1% lead by weight 5 ≤ 0.0005% mercury by weight 5

Alkaline Manganese

  

≤ 0.001% cadmium by weight 4, 6 ≤ 0.100% lead by weight 2, 6 ≤ 0.0005% mercury by weight 2, 6

Lead Acid, Sealed

Must be classified as non-spillable and meet the requirements of US Code of Federal Regulation, 49 CFR 173.159a and IATA Special Provision A67.

Nickel Cadmium (Ni-Cd) Zinc carbon

Prohibited. 1  ≤ 0.200% lead by weight 2  ≤ 0.001% cadmium by weight 4 (R6, R14 and R20)  ≤ 0.0001% mercury by weight 3

Zinc Manganese

  

≤ 0.001% cadmium by weight 4, 6 ≤ 0.100% lead by weight 2, 6 ≤ 0.0005% mercury by weight 2, 6 18

Section 4.7 -Batteries

****MANDATORY IF YOU ANSWERED “YES” TO QUESTION ****

19 GE Title or job number 1/19/2016

Radioactive Materials

Imagination at work.

Section 4.8 -Radioactive Materials Supplier shall certify to the presence or absence of radioisotopes/ radioactive materials, in parts, assemblies or finished products they sell to GE. • Radioactive substances: Americium-241 Cesium-137 Krypton-85 Plutonium Radon

1

Strontium Strontium-90 Thorium-232 Thorium-232sec Uranium-238

• Examples 2 of Industrial Uses: Generator condition monitors, ignition exciters, welding electrodes, mobile radiography equipment, thermal barrier coatings (TBC), smoke detectors

• Safety: 3 IAEA Safety Standards provide a system of fundamental safety principles, safety requirements and safety guides for ensuring safety. (Wikipedia) • REGULATIONS: notification, labelling, transport, storage, import 4 (etc) requirements for most countries.

International Atomic Energy Agency (IAEA):

21 GE Title or job number 1/19/2016

Section 4.8 -Radioactive Materials Disclosure Form B

Section 4.8 Radioactive Materials

IF YOU ANSWERED “YES” Go TO TAB DISCLOSURE FORM B

Does the item contain/employ any radioactive isotopes or materials?

Reply Yes or No If "Yes" com plete Disclosure Form B

Yes

22 GE Title or job number 1/19/2016

BACK UP

Table A2- Battery Current Restrictions Notes: From slide 18

The regulations cited below are only a sample of the regulations pertaining to batteries. They are provided for illustrative purposes only. 1

EU Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators.

2

Argentina National Legislature Act 26.184 on the manufacturing, assembly and importing of batteries.

3

New York Battery Reduction and Elimination. New York State Consolidated Laws. Environmental Conservation Http://caselaw.lp.findlaw.com/nycodes/c37/a125.html

4

Austrian Battery Ordinances 514/1990, as amended by BGB1 No. 3/1991(4 January, 1991) and BGB1.II Nol. 495/1999 (28 December 1999) of The Ordinance of Federal Ministry for Environment, Youth and Family.

5

Switzerland Ordinance on Risk Reduction related to the Use of certain particularly dangerous Substances, Preparations and Articles.

6 Brazil Resolution Number 401 of November 4, 2008 Batteries