CTIA GUIDELINES 1. INTRODUCTION Purpose

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1 CTIA GUIDELINES FOR THE REFURBISHMENT OF USED WIRELESS DEVICES 1. INTRODUCTION 1.1. Purpose 1.2. Scope These Refurbishment Guidelines ( Guidelines ) are intended to encourage companies that refurbish used wireless devices to implement refurbishment activities in a manner that is protective of the environment and worker health and safety and to facilitate a process whereby refurbished products re-entering the market comply with applicable government technical performance standards and applicable regulatory requirements. These Guidelines address the refurbishment of used wireless devices. For purposes of these Guidelines, refurbishment includes the reconditioning or repair of a used wireless device undertaken with the intent of returning the device to service by a subsequent user. Refurbishment does not include the direct reuse of a used wireless device that is not serviced beyond the cleaning of exterior surfaces. For the purpose of these Guidelines, wireless devices includes handsets, personal digital assistants ( PDAs ), wireless computer cards, and their accessories (e.g., head sets, power packs, cases and clips) that operate on the Cellular Radiotelephone Service (as defined in title 47, part 22, subpart H of the Code of Federal Regulations), Specialized Mobile Radio (as defined in title 47, part 90, subpart S of the Code of Federal Regulations), or broadband Personal Communications Services (as defined in title 47, part 24, subpart E of the Code of Federal Regulations) and are provided for a profit (i.e., with the intent of receiving compensation of monetary gain) (collectively CMRS ), or operate on the standard developed by the Institute of Electrical and Electronics Engineers ( IEEE ) and one of the CMRS standards enumerated above. Such devices are used if they are relinquished by the original user after having been put in service Use of the Guidelines

2 Use of these Guidelines is geared to: Companies engaged in refurbishment activities; and Refurbishment facilities. These Guidelines are separated into four areas: Product Handling and Refurbishment; Management of Components and Materials Removed from Wireless Devices; Remarketing of Refurbished Wireless Devices; and Administrative Measures. Note: The Commentaries following certain provisions in these Guidelines provide additional information and are intended to provide additional background and context but should not be read as establishing additional requirements. For example, a may explain the purpose of the specific provision and provides examples of how the provision might be met at some facilities. In addition, it may list factors that can affect the selection of appropriate measures to satisfy the Guidelines at a particular facility. The Commentaries, however, are not an integral part of the Guidelines and do not form an independent basis for evaluating facilities. 2. PRODUCT HANDLING AND REFURBISHMENT 2.1. Acceptance of Used Equipment Facilities that refurbish used wireless devices should take steps to identify and sort used products that are to be refurbished from those that should be recycled for raw materials recovery due to damage, wear, age or performance. Products destined for refurbishment should be managed in a manner that will avoid damage and maximize reuse value. Products not suited for refurbishment should be stored and transported in conformance with applicable federal, state, and local laws. Any wastes received or generated should be stored and transported in conformance with applicable federal, state, and local laws. 10/22/03 2

3 Refurbishment facilities will have an economic incentive to receive and manage used wireless devices in a manner that optimizes the value of products put back into service. Some facilities may provide wireless companies with guidance on acceptable products before shipments are made. Most can be expected to have receiving, screening and sorting operations that will divert some portion of the products received to materials recovery Storage and Handling of Used Wireless Devices Refurbishment facilities should store and handle used wireless devices prior to refurbishment in a manner that protects the products and reduces the potential for releases into the environment and injuries to workers Cleaning Used Products In cleaning used products, refurbishers should use cleaning solutions in a manner consistent with applicable laws and regulations and should employ environmentally benign solutions to the extent commercially reasonable Disassembly Refurbishment facilities that are engaged in dismantling of used wireless devices (or components of such devices) should carry out these functions in a manner that preserves the value of the resulting components or materials, to the extent practicable, and protects workers and the environment. The risks associated with disassembly and repair operations are generally minimal, because the materials are in the form of solid pieces that are unlikely to be dispersed into the workplace or the environment. In addition, the disassembled components are either still useful (in which case they have value that the facility would not want to lose) or resemble usable components (and therefore can be handled in similar ways) Soldering and Reassembly Soldering joints should be of the same condition and quality as contained in the original product. All soldering activities should be undertaken in conformance with Occupational Safety and Health Administration ( OSHA ) requirements so as to minimize worker exposure to fumes and dust Refurbishment Activities 10/22/03 3

4 Any part, component, or accessory replaced must allow a wireless device, as a whole, to function in accordance with the design and rated operational characteristics specified in the original equipment manufacturer s Federal Communications Commission ( FCC ) authorization. Under Sections 2.909(a) and 2.929(b) of the FCC rules, parties that modify wireless devices and do not apply for a new FCC radio frequency equipment authorization become responsible for ensuring that the wireless device will comply with all design and rated operational characteristics specified in the original equipment manufacturer s FCC authorization. (See 47 C.F.R (a); 2.929(b)). Accordingly, refurbishment facilities must ensure that their activities are undertaken in full compliance with these and other applicable FCC rules Replacement Parts and Components In addition to the general provisions in Section 2.6, all refurbishment activities should be consistent with the following: Transceivers: Refurbishment facilities should ensure that parts used in the refurbishment of wireless devices are of the type and design that will allow the wireless device to comply with the rated operational characteristics specified in the original equipment manufacturer s authorization. Transceiver types are identified by number on the printed circuit board. Antennas: Replacement antennas should have the same part number as the original equipment or otherwise allow the wireless device to conform to the rated operational characteristics specified in the original equipment manufacturer s authorization. Batteries: Replacement batteries should include the same safety circuitry and insulation found with the original equipment. All replacement batteries and chargers must allow the wireless device to conform to the rated operational characteristics specified in the original equipment manufacturer s authorization Power Level The maximum power level filed with the (FCC) for a particular model must not be exceeded as a result of refurbishment. The power level for each model is available on the FCC website at: 10/22/03 4

5 Authorized Software Use Facilities should not add or update software for refurbished wireless devices that would change the rated operational characteristics specified in the original equipment manufacturer s authorization. The FCC has adopted numerous performance guidelines for wireless devices governing user exposure to radio frequency ( RF ) emissions. The failure to use appropriate replacement parts has the potential to alter a product s compliance with these guidelines and should therefore be avoided. 3. MANAGEMENT OF COMPONENTS AND MATERIALS REMOVED FROM USED WIRELESS DEVICES 3.1. Handling of Components Destined for Reuse Refurbishment facilities should handle used wireless devices and removed components and other materials to be reused in a manner that preserves their value and ensures that the products, components or materials are returned to the market in a timely fashion Handling of Used Wireless Devices or Components Destined for Materials Recovery Refurbishment facilities may receive or generate used wireless devices, components and scrap materials that are not suitable for reuse. These used products, components and scrap materials should be managed on site in a manner that preserves their value for materials recovery. Refurbishment facilities should be encouraged to minimize the landfilling of used products, components and scrap and arrange for appropriate materials recovery where feasible. Refurbishment facilities should use the CTIA Guidelines for Recycling/Materials Recovery from End-of-Life Wireless Devices to ensure that downstream materials recovery facilities operate in a manner that is protective of the environment and worker safety and health. The materials removed from used wireless devices may include batteries, electronic components, or other items that can either be reused or sent for recovery of basic material values. In the case of materials that are directly usable as commodities, the refurbishment facilities should handle the materials consistent with their value, for example in a manner similar to that used for the virgin commodities for which they substitute. 10/22/03 5

6 In the case of materials that can be used only for purposes of basic materials recovery, the facilities should handle the materials on-site so as to protect workers and the environment. Among the techniques that may be utilized are the following: indoor or covered outdoor storage areas, impermeable containers, covers and seals for the containers, foundations free of gaps or cracks, secondary containment, dust suppression and control equipment, run-on and run-off controls, elevated storage racks or platforms, segregation of materials, and labeling or marking of containers and storage areas. The materials should then be sent to a facility that adheres to the CTIA Guidelines for Recycling/Materials Recovery from End-of-Life Wireless Devices Handling of Process Residuals Refurbishment facilities should handle residual materials on-site in a manner that protects against releases into the environment and ensures that they are safely transported to an appropriate disposal or incineration facility. Although most of the materials removed from used wireless devices during the refurbishment process can probably be sent for materials recovery, some residuals may need to be land disposed or incinerated. Different process residuals may require different measures to be taken both on-site and off-site. Accordingly, facilities should first characterize their process residuals, using testing or knowledge of the materials and processes used at the facility. Any residuals that qualify as hazardous wastes may be subject to stringent requirements for design and operation of storage units, labeling, manifesting, transport, pretreatment, and delivery to a permitted hazardous waste facility. Although non-hazardous residuals will not be subject to such requirements, measures should be taken on-site to protect against releases. Among the techniques that may be utilized are the following: indoor or covered outdoor storage areas, impermeable containers, covers and seals for the containers, foundations free of gaps or cracks, secondary containment, dust suppression and control equipment, run-on and run-off controls, elevated storage racks or platforms, segregation of materials, and labeling or marking of containers and storage areas. In addition, the refurbishment facility should ensure that the residuals are delivered to a land disposal or incineration facility that is suitable for the specific residual, properly authorized by relevant regulators, wellmaintained, and well-operated. Any residues from the landfill or 10/22/03 6

7 incinerator operations (e.g., landfill gas, leachate, incinerator ash, or scrubber water) should also be handled in an environmentally protective manner Packaging and Transport Of Used Wireless Devices, Components and Residuals Destined for Materials Recovery Refurbishment facilities should ensure that all wireless devices, components (e.g., batteries), and residuals destined for materials recovery are prepared for shipment and transported in a safe and secure manner that complies with any applicable hazardous materials transport regulations. Certain used wireless devices, components, and accessories may contain constituents or exhibit properties that may pose a hazard during transportation. In order to minimize such hazards and protect against releases into the environment, it is essential that the materials be shipped in a safe and secure way. Such handling is also important to preserve the materials being shipped so that they can be recycled properly. Depending upon the nature of the used wireless devices, components, or accessories, they may qualify as hazardous materials under the U.S. Department of Transportation s Hazardous Materials Regulations ( HMR ). For example, certain types of batteries are explicitly listed as hazardous materials, as are certain types of equipment containing such batteries. Specifically, under the HMR, 49 C.F.R. Parts , many lithium batteries and equipment containing or packed with lithium batteries are regulated as Class 9 materials. See 49 C.F.R (e) and (g). Several important exceptions to the specific requirements governing the shipment of lithium batteries and cells are available. 49 C.F.R (b), (c). In September 2000, the Research and Special Programs Administration ( RSPA ) within DOT published an advisory that recommended additional precautions to be taken by offerers and transporters of lithium batteries. 65 Fed. Reg (September 7, 2000). New amendments to 49 C.F.R governing the transport of lithium batteries also took effect on October 1, Fed. Reg , (July 31, 2003). In addition, RSPA has proposed further changes to the HMR regarding the transport of lithium batteries. 67 Fed. Reg (April 2, 2002). These proposed rules have not been finalized. To the extent that any collected materials may be hazardous materials, the applicable regulations (if any) will depend upon various factors such as the nature of the hazards, the quantities shipped, the packaging utilized, and the modes of transportation employed (e.g., truck or aircraft). Relevant requirements may address such issues as packaging, hazard 10/22/03 7

8 communication (e.g., labeling, marking, or placarding), shipping papers, emergency response, registration, training, and security. Additional transportation requirements may also apply to the extent that the materials may qualify as hazardous wastes under the hazardous waste regulations discussed in Part 3.3 above. Although refurbishment facilities should ensure that the materials they are sending off-site are prepared for shipment and transported properly, they may need or want to work with the relevant carrier(s) that transport materials to determine the specific measures that are required under the regulations or are otherwise appropriate. In some cases, the transportation provider may also implement one or more of these measures. 4. REMARKETING OF REFURBISHED WIRELESS DEVICES 4.1. Compliance With Applicable Operational Standards Refurbishers should ensure that wireless devices continue to meet all applicable industry and government standards and requirements, including the original product s rated operational characteristics Labeling of Refurbished Wireless Devices Refurbished wireless devices should be identified through the use of a label permanently affixed consistent with the label required by the FCC equipment identifier. (See 47 C.F.R ). The label should state: This product has been refurbished by [insert name, address and telephone number of the refurbisher. Pursuant to FCC rules, a refurbisher or other party who modifies a wireless device (and thereby becomes responsible for ensuring that the product complies with the specifications of the device s FCC equipment authorization) and does not obtain a new equipment authorization from the FCC, must label the device (commensurate with the specifications delineated at 47 C.F.R (d)) with the following: This product has been modified by [insert name, address and telephone number of the party performing the modifications]. See 47 C.F.R (d). For the purpose of the foregoing FCC labeling requirement, the term modify means any changes that could adversely affect the emanation characteristics of the equipment. See 47 C.F.R (d). 10/22/03 8

9 These labeling provisions encourage any party refurbishing a wireless device to inform the subsequent purchaser of that device that the product is used and/or refurbished, and provide contact information (e.g., name, address and telephone number) for the refurbishing entity and/or the company marketing the used or refurbished product. This information can be communicated to subsequent users by way of a label placed on the product. Additional information can be provided on the product packaging, or through a product information insert. For modified wireless devices subject to the FCC labeling requirement, any information regarding the status of the device must conform to the FCC s labeling requirement Provisions Of Additional Information Where possible, information on opportunities for subsequent users to properly recycle the refurbished wireless device should also be provided through use of a label on the product or on the product packaging or through a product information insert Compliance With Foreign Requirements Where refurbishers are exporting used wireless devices to countries other than the U.S., care should be taken to ensure compliance with all applicable laws governing product imports, technical standards, labeling requirements and health and safety requirements. Used wireless devices resold into foreign markets should be packaged and handled in a manner that is consistent with their planned reuse. In addition to the FCC labeling requirements for modified radio frequency devices, some countries may require that consumers be informed that a device has been previously used and/or refurbished. For example, in Mexico, NOM-017-SCFI-MX requires that all used or refurbished products include a label with the name of the distributor of the product and (as applicable) the name of the refurbisher. 5. ADMINISTRATIVE MEASURES 5.1. Recordkeeping Refurbishment facilities should maintain records of all wireless devices received and their disposition. Refurbishment facilities should maintain records of: 10/22/03 9

10 Number of wireless devices received; Date and location from which the wireless devices were shipped; and Disposition of all wireless devices received by the facility. Records should be kept for a period of three years. It is essential that the organization(s) managing the refurbishment and redistribution of used wireless products keep accurate records of every wireless phone received and handled. Such action is necessary to track wireless phones re-entering the market and to identify responsibility for repair associated with these refurbished phones. Where appropriate, this should include tracking each cell phone received using its electronic serial number (ESN) or equivalent identifier Environmental Management Systems Refurbishment facilities should have systems in place for defining specific environmental, health, and safety objectives, developing plans to meet the objectives, implementing such plans, and monitoring progress towards achievement of the objectives. Some facilities may also wish to have their environmental management systems reviewed and certified by an appropriate third party to assure stakeholders that effective management systems are in place Regulatory Authorizations Refurbishment facilities should have all permits, licenses, or other authorizations required by federal, state, and local regulatory authorities Regulatory Compliance Refurbishment facilities should be in compliance with all applicable federal, state, and local regulations and permits or other authorizations that are related to the environment or worker health and safety Personnel Training Refurbishment facilities should ensure that all of their employees are thoroughly familiar with proper procedures for carrying out their responsibilities during normal facility operations and emergencies. This includes proper training with respect to the refurbishment of wireless devices, the use of testing and refurbishment equipment, and the handling of potentially hazardous materials. 10/22/03 10

11 5.6. Inspections and Monitoring Refurbishment facilities should monitor their operations to ensure that they are performed in a manner that is protective of workers and the environment. 10/22/03 11

1.3 Use of These Recycling/Material Recovery Guidelines

1.3 Use of These Recycling/Material Recovery Guidelines CTIA GUIDELINES FOR RECYCLING/MATERIALS RECOVERY FROM END-OF-LIFE WIRELESS DEVICES 1. INTRODUCTION 1.1 Purpose 1.2 Scope These Recycling/Materials Recovery Guidelines ( Guidelines ) are intended to encourage