ROHS and WEEE Directives After the Deadline September 2006 Berri Remenick Washington Laboratories, L

1
ROHS and WEEE Directives -After the Deadline-
September 2006
Berri RemenickWashington Laboratories, Ltd.
2
Overview

• Worldwide Product Based Environmental
  Requirements
• ROHS Requirements and Issues
• WEEE Requirements and Issues
• FAQ

3
Background

• As electronics have become more common throughout
  the world, concerns have developed as to what the
  effect is of filling landfills with electronics
  products.
• Many of these electronic products contain
  hazardous substances.
• Therefore, product based environmental
  regulations are becoming more common worldwide.

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Background

• Americans discard over 100 million computers,
  cell phones, and other electronic devices each
  year.
• An estimated 60 million PCs
• have already been buried in
• US landfills.
• Between 2004 and 2009,
• 250 million computers will
• become obsolete or
• 136,000 computers a day!!!
• Electronic waste is accumulating almost 3 times
  faster than ordinary household trash.
• E-Gad, Elizabeth Royte, Conformity Magazine,
  November 2005

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Europe

• RoHS DIRECTIVE (2002/95/EC) Restriction of
  Hazardous Substances
• Limits use of Lead, Cadmium, Mercury, Hexavalent
  Chromium, PBB and PBDE in electronic products
  effective July 1, 2006.
• WEEE DIRECTIVE (2002/96/EC) Waste Electrical
  Electronic Equipment
• Requires producers to manage post-consumer
  recycling and disposal of electronic products
  effective August 13, 2005.
• EuP DIRECTIVE (2005/32/EC) Energy Using
  Products
• Requires producers to design products to meet
  specific eco-design criteria over entire life
  cycle effective 2007 for certain specific
  products. Regulates products that have sales of
  over 200,000 units per year in the EU, have a
  significant environmental impact over their
  entire life cycle, and have a wide range of
  environmental performance between different units
  with equivalent functionality.
• REACH DIRECTIVE Registration, Evaluation and
  Authorization of Chemicals
• Requires registration and risk assessment of
  chemical substances effective 2007.

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USA

• Nearly all states either already have some
  regulations for restricting substances or for
  electronics recycling requirements or they have
  some pending legislation.
• A national system for electronics recycling has
  been proposed but is not near approval yet.
• Website with a detailed list of requirements for
  each state
• http//www.newark.com/services/rohs/documents/Ewas
  te_Legislation.xls

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USA

• California The current California ROHS covers
  displays greater than 4 inches and is effective
  1/1/07. Pending Legislation for AB2202 is one
  step closer to the EU RoHS directive. AB2202,
  passed the California Assembly on May 31, 2006.
  Recently updated, the bill would expand the
  current restricted substance requirements to
  cover all products listed in Annex 1A of the WEEE
  directive. The scope of products covered was
  further clarified to harmonize with the EU RoHS
  Directive's Article 2. The enforcement deadline
  has been moved out to January 1, 2010 to provide
  manufacturers with a realistic amount of time to
  retool.
• Washington State Has enacted legislation that
  will establish an electronics recycling program
  requiring electronics manufacturers to pay for
  the collection, transportation and recycling of
  computers, monitors and televisions from
  consumers, small businesses, schools, small
  governments and charities.  Manufacturers
  required to register with the state by January 1,
  2007, and the recycling program comes into effect
  as of January 1, 2009.
• Rhode Island Proposed legislation that would
  prohibit the manufacture and sale of products
  containing more than one-tenth of one percent of
  pentaBDE or octaBDE, and more than one percent of
  "deca" mixtures.

8
China

• - Effective 3/1/07
• - Has requirements similar to RoHS and WEEE.
• - Has new energy efficiency standards for
  certain products.
• - Packaging must be non-toxic, biodegradable and
  
• Recyclable. Packaging must be marked with
  material content.
• - RoHS materials (Cd, Cr, Hg, Pb, PBB, PBDE) are
  banned from
• January, 2006.
• - Products must be labeled with
• names, content levels, and recyclability of
  harmful materials recyclability (fully,
  partially and non-recyclable)
• product safety periods (date range product is
  safe to use).
• - Producers must contract with local recyclers
  to recover products after
• safety period.
• - Producers must finance recycling.

9
Korea

• The South Korean government is reportedly moving
  to adopt RoHS/WEEE-like legislation that will
  take effect July 1, 2007.
•  
• The proposed Act for Resource Recycling of
  Electrical/Electronic Products and Automobiles
  includes virtually anything electrical or
  electronic within the scope of its requirements.
  While specifics on restricted materials are not
  yet available, the Korea Ministry of Environment
  has indicated that consistency with the
  provisions of the European Unions RoHS Directive
  can be expected.
•  
• The proposed legislation does spell out penalties
  for non-compliance. For example, failure to
  provide data requested by government officials
  regarding material composition can result in a
  fine of up to 50,000 and a year in jail.

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RoHS Directive

• Scope
• The directive covers all equipment dependent on
  electrical currents or electromagnetic fields in
  8 categories
• - IT / Telecommunications
• - Electrical and Electronic Tools
• - Consumer Equipment
• - Large Household Appliances
• - Small Household Appliances
• - Lighting Equipment
• - Toys, Leisure and Sport
• - Automatic Dispenser

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RoHS Directive

• Is a 95/EC Directive Requirements are the same
  for all member states in the European Union (not
  the case for WEEE).
• No product marking requirements.
• Allows for Self Certification.
• No harmonized standards or test methods currently
  (some in progress).
• No specified compliance method (each manufacturer
  must decide on their own method).
• Download RoHS Directive at http//europa.eu.int/
  eur-lex/pri/en/oj/dat/2003/l_037/l_03720030213en00
  190023.pdf

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RoHS Limits

• Homogenous material can contain a maximum of
• 0.1 lead by weight.
• 0.1 mercury by weight.
• 0.01 cadmium by weight.
• 0.1 hexavalent chromium by weight.
• 0.1 polybrominated biphenyls by weight.
• 0.1 polybrominated diphenyl ethers by weight.
• Homogeneous material materials of uniform
  composition which cannot be mechanically
  disjointed into different materials. For
  example, an IC has silicon chip, wires, solder,
  pins, casing.

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RoHS Directive

• Compliance Methods
• Destructive vs non-destructive testing
• Materials testing using X-Ray Flourescent
  screening (EDXF or XRF)
• Detailed Materials testing using Gas
  Chromatography or Mass Spectroscopy
• Rely on Suppliers Declaration of Conformity

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RoHS Directive

• Suppliers Declaration of Conformity (SDoC)
• Many different formats out there
• Without a standard format, there is confusion and
  extra work figuring out each of the multiple
  formats a supplier gets.
• IPC1751/1752 Material and substance declaration
  form available.
• If you can show you have taken all reasonable
  steps and exercised all due diligence you stand a
  better chance.
• You need an extensive paper trail of information
  demanded from the supplier, steps taken to verify
  the information, and if there are any indications
  that the information should be disbelieved.

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RoHS Directive

• Who is responsible?
• The Producer
• Producer any person who
• 1. manufactures and sells electrical and
  electronic equipment under his own brand
• 2. resells under his own brand equipment
  produced by other suppliers or
• 3. imports or exports electrical and electronic
  equipment on a professional basis into a member
  state.

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RoHS - Exemptions

• Mercury in lamps
• Lead in the glass of cathode ray tubes (CRT's),
  electronic components, and fluorescent tubes
• Lead in certain steel, aluminum, and copper
  alloys
• Lead in high melting-temperature solders
  containing over 85 lead by weight
• Lead in solders used for servers, storage, and
  storage array systems
• Lead in solders used for network infrastructure
  equipment
• Lead in electronic ceramic parts
• Cadmium and cadmium compounds in electrical
  contacts and cadmium plating that isn't banned by
  Directive 76/769/EEC
• Hexavalent chromium as an anti-corrosion agent in
  absorption refrigerators
• Lead in compliant pin connector systems
• Lead as a coating for the thermal conduction
  module c-ring
• Lead and cadmium in optical and filter glass

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RoHS - Exemptions

• RoHS does not apply to batteries (see Directives
  91/157/EEC and 98/101/EC). The Battery Directive
  permits lead-acid and nickel-cadmium batteries to
  be used in electrical and electronic equipment as
  long as they contain less than 0.0005 by weight
  of mercury. Button cells and batteries made from
  button cells are permitted to contain up to 2
  mercury by weight.
• RoHS does not apply to electrical and electronic
  equipment "intended specifically to protect
  national security and/or for military purposes
• RoHS does not currently apply to medical
  equipment or laboratory equipment - being
  reviewed this will be changed soon!
• Process exists for applying for an exemption,
  several applications for exemption are currently
  under consideration.
• Items would be given exemptions where substitute
  materials have not been discovered or adequately
  verified.
• Exemptions are reviewed every 4 years. If no
  action is taken, the exemptions will stay in
  place.

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Exemptions

• Applying for an exemption
• - Submit request to the European Commission.
• - Must be precise and refer to a specific
  application of the substances restricted.
• - Must provide all technical evidence supporting
  the request.
• - Article 5(1)(b) of the RoHS Directive is the
  only criteria to be followed for an argument.
• - Once a number of requests deemed worthy are
  collected, the Commission summits the requests to
  a public stakeholder consultation for minimum of
  8 weeks.
• - The request is then assessed by an independent
  consultant. Report issued in about 3 months.
• - If still considered possible, it is then
  presented to the Technical Adaptation Committee
  (TAC) for vote.
• - If it passes, it comes legally into force on
  publication in the OJ.

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RoHS - Enforcement

• EC has published an enforcement guidance document
• Enforcement authorities have been appointed.
• Investigations based on- Market intelligence
• - Random selection
• - Products known to contain materials of
  high concern
• - High volume products
• - Short life products
• - Consumer products unlikely to be recycled
• - Tips from external parties
• - Tips from other member states.
• Show due diligence!

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ROHS - Enforcement

• Penalties for non-compliance vary by country.
• Examples
• UK Max of 9500
• France Max of 1900
• Ireland Max of 19.2 Million

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Solder Issues

• Tin whiskers
• are electrically conductive, hair-like strands of
  single tin crystals that sometimes grow from
  surfaces where tin is used as a final finish. Tin
  is only one of several metals that are known to
  be capable of growing whiskers. Other examples
  include zinc, cadmium, indium and antimony.
  Whisker sizes vary, and some have grown to
  lengths of several millimeters (mm) and in a few
  cases up to 10 mm. Two of the more common
  finishes that are being considered are
  nickel/palladium/gold (NiPdAu) and some
  composition involving tin (Sn). Of these two
  materials, NiPdAu does not grow tin whiskers,
  while tin in both its pure and composition forms
  have shown tin whisker growth.

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Solder Issues

• Solder temperatures
• - For lead free solder temperatures are higher
  than traditional solder.
• - It is not completely clear what the effect is
  going to be in the long term using lead-free
  solder, the effect certainly should be considered
  in the product design.
• - In transitioning to lead-free wave soldering,
  alloy selection will be the primary choice that
  will impact solder joint quality, reliability and
  production yields.
• - Most assemblers are choosing tin-silver-copper
  alloys (SAC) for leaded solder replacement. On a
  global basis Sn96.5 Ag3.0 Cu0.5 has been the
  favored solder recipe. This alloy also known as
  SAC305 has melting range of 217-220 C the
  traditional alloy 63/37 has a melting point of
  183 C. These alloys have higher melting
  temperatures but also have higher surface
  tensions.

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Solder Issues

• Lead Solder Replacements
• - Some manufacturers are choosing Sn/Cu alloys
  such as 99.3 tin/ 0.7 lead, some with small
  additions of nickel, silver, bismuth, germanium,
  and other elements.
• - Due to the lack of silver in these alloys,
  costs are substantially less than processes using
  SAC alloys.
• - Sn/Cu alloys melt at 227 C but may require
  longer contact times at the wave solder to
  achieve hole-fill. The melting temperature being
  higher will also require slightly hotter pot
  temperatures.
• SAC alloys can be run at 255- 260 C
• Sn/Cu will require 260-270 C.
• - In some cases some assemblers are using as high
  as 275 C for Tin-Copper based solders. These
  higher temperatures may put a strain on both
  board and bottom-side component reliability.

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Solder Issues

• Lead-free Wave Soldering
• - Has been done in a large scale in Asia for
  some time
• - Equipment upgrade may be required because the
  tin may cause the leaching of iron and could
  required replacement of the solder pot, impeller,
  and ducts.
• - Alloy selection will impact quality and
  reliability
• - Flux selection critical. Fluxes used for
  leaded solder will not give adequate hole-fill
  without increasing flux volumes or longer contact
  times.
• - Fluxes with higher activity and higher solid
  content perform better with lead-free solders.
• - The use of VOC-free fluxes in conjunction with
  lead-free solders offer a green wave solder
  operation.
• - Board and component finish also impacts
  reliability. Matte tin finish gives the best
  soldering results. Gold over nickel finishes and
  immersion silver also solder well.
• - Bare copper boards are difficult to solder
  with lead-free solder.

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Solder Issues

• Summary of possible issues
• - Tin whiskers
• - Thermal fatigue of solder joints
• - Delamination of multi-layer boards
• - Damage to plated through holes
• - PCB warping
• - Damaging heat sensitive components
• - More difficult repair or rework

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WEEE Directive

• Scope
• The directive covers all equipment dependent on
  electrical currents or electromagnetic fields in
  10 categories
• - IT / Telecommunications
• - Electrical and Electronic Tools
• - Consumer Equipment
• - Large Household Appliances
• - Small Household Appliances
• - Lighting Equipment
• - Toys, Leisure and Sport
• - Automatic Dispenser
• - Medical Devices
• - Monitoring and Control Equipment

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WEEE Directive

• Requires the producer, within one year of putting
  any electrical/ electronic equipment on the
  European market, to provide reuse centers,
  treatment facilities, and recycling facilities
  with
• Lists of components and materials it contains.
• Locations of dangerous substances.
• Encourages producers to design electrical and
  electronic equipment
• For repair.
• For possible upgrading.
• For reuse.
• For disassembly.
• For recycling.
• To integrate recycled material into new
  equipment.
• Download WEEE Directive at http//europa.eu.int/
  eur-lex/pri/en/oj/dat/2003/l_037/l_03720030213en00
  240038.pdf

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WEEE Directive

• Is not a single market directive (not a new
  approach directive).
• Member states set their own requirements for
  registration and compliance.
• Requirements are different for each member state
  in the European Union!
• Each member state has its own agency for
  registration and collection.
• The Producer is responsible.

29
WEEE Directive

• Requires each country in the European Union to
  set up facilities for the separate collection of
  waste electrical and electronic equipment.
• Came into effect August 13, 2005 (implementation
  is behind schedule)
• December 31, 2006 is date to meet recovery and
  recycling targets.
• The actual processing may be done by the company
  itself, or by participating in a producers'
  compliance scheme.
• The producer must provide financial guarantees
  that they will pay for the handling of their
  waste equipment, by participating in a collective
  group for this financing, recycling insurance, or
  a blocked bank account.

30
WEEE Marking

• Wheelie Bin Symbol required to be marked on
  product (or the instructions and warranty or the
  packaging) per EN504192005
• Date of shipment to Europe or the black line
  required.
• Manufacturers name or trademark required on
  product.

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WEEE Directive

• Household WEEE
• Producers pay according the their market share.
• Non-household WEEE
• Producers must collect, treat, and recycle one
  equivalent item when they supply a new product.
  Any additional WEEE is the responsibility of the
  last user.

32
WEEE Directive

• Actions required
• Register with the appropriate agency in each
  member state (where possible) pay the required
  fees.
• Provide sales data by weight to authorities.
• Provide information required by recyclers
• Provide financial guarantees for products that
  will be household WEEE.

33
WEEE Directive

• Exclusions
• - Equipment part of a larger product (i.e.
  electronics installed in a train)
• - Military Equipment
• - Equipment used a integral parts of large-scale
  stationary industrial tools

34
WEEE - Latest status

• WEEE registration authorities have been setup in
  most Countries.
• New WEEE legislation in the works due to
  difficulty implementing programs and since 3
  countries still have not adopted any laws
  regarding WEEE.
• Compliance schemes available companies that
  will handle all the registrations and reporting
  for you.

35
FAQ on RoHS and WEEE

• Q What is the difference between exemption and
  exclusion?
• A The WEEE has no exemptions only exclusions.
  This means that certain types of equipment are
  out of the scope of WEEE entirely. The RoHS takes
  its scope from the WEEE except for Categories 8
  9. These are "excluded" from the scope of RoHS.
  So if your equipment is covered by WEEE, it is
  covered by RoHS, unless it is a medical device or
  a monitoring and control instrument. The
  "exemptions" are a series of applications of
  banned substances that are exempted from some of
  the RoHS requirements. The legislation allows the
  EU to add or remove exemptions based on
  technological progress.

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FAQ on RoHS and WEEE

• Q What are my chances of getting a RoHS
  exemption?
• A A good proportion of industry exemption
  requests get thrown out.
• - Understand the two criteria that the EU is
  allowed to take into account Technical
  feasibility (Substitution is not possible, or is
  possible under such conditions as to be
  unfeasible in practice) and Environmental impact
  (The negative environmental impact of not
  allowing the exemption would outweigh the
  positive environmental impact of the ban. This
  might be because of increased waste resulting
  from predictably higher failures, or because the
  substitutes are as toxic as the banned
  substances, etc).
• - Cost or cost/benefit is not a vaild argument.
  The EU legislation does not permit cost to be
  taken into account in making a decision on
  exemptions. This does not mean that you cannot
  refer to the costs indeed many EU regulators
  will be interested. Its just not a valid legal
  reason for exempting.
• - Need more time is not a valid argument. Unless
  you can relate it to industry-wide problems, EU
  authorities are likely to take a dim view of this
  line of argument, since the legislation was being
  discussed as long as ten years ago and was
  adopted in 2002.
• - Supply chain would need to be changed is not a
  valid argument. This is ground-breaking EU
  environmental legislation that aims to change the
  world. They are very proud of that, and expect it
  to cause pain.
• - Refer to existing exemptions that follow
  similar logic or have similar characteristics.

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FAQ on RoHS and WEEE

• Q Can my distributors continue to sell non-RoHS
  compliant products I shipped to Europe before
  July 1, 2006?
• A Technically yes. If they are on the European
  market prior to July 1 they can be freely sold in
  Europe. However, many member states will not
  allow the products into their states if not RoHS
  compliant (from one member state to another).
  Some distributors are refusing to sell non-RoHS
  products even if they were there prior to July 1.
  

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FAQ on RoHS and WEEE

• Q I sell systems not discrete products Am I
  affected by WEEE?
• A Yes. WEEE applies to any product in the ten
  categories. It makes little distinction between
  products put on a retail shelf and products
  custom made for an end customer. Many systems
  fall under the IT category.

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FAQ on RoHS and WEEE

• Q Do I have to register for WEEE if I have no
  legal presence in Europe?
• A Your legal obligations are not defined by
  reference to whether you have a legal presence in
  the EU or in any particular EU country, but by
  whether you are the producer of equipment put
  on the EU market. However in practice, in many EU
  countries the WEEE registration systems are new
  and have not been set up in such a way as to
  allow foreign companies to register. There are
  some notable exceptions, including Germany and
  Portugal.

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FAQ on RoHS and WEEE

• Q What if I sell via distributors or direct to
  businesses or direct to consumers?
• A Generally the manufacturer is the producer
  and must register. In countries where US
  businesses are not allowed to register, then the
  distributor can register. If you sell direct to
  business customers, they can register for you.
• The WEEE applies to products put on the market in
  Europe. If you sell directly to consumers via a
  US website or mail order the directive most
  likely does not apply.

41
FAQ on RoHS and WEEE

• Q How do I register for WEEE?
• A Use a compliance scheme company or contact
  the registration authorities in each country.
  Contact info can be found at http//www.buyusa.go
  v/europeanunion/weee.html
• Q My product is bolted down in use, is it a
  fixed installation?
• A No. The intention for the fixed installation
  exclusion is that the product becomes part of the
  building and likely to be left in place. Lights,
  electric doors, gates are fixed installations.
  Kitchen appliances, large fixed equipment, cctv
  camera systems are not.
• Q Are servers and network infrastructure exempt
  from RoHS?
• A No. The exemptions for servers and network
  equipment are only for lead in the solder, the
  rest of the product still must comply with RoHS.

42
FAQ on RoHS and WEEE

• Q Are RFID chips and tags required to meet
• RoHS.
• A Yes. These are considered products in
  themselves.
• Q Can I import for my own company use.
• A No. That is still placing on the market.
• Q Should the wheelie bin symbol be placed on a
  PCB?
• A No. PCBs are considered components and
  there is no legal requirement to label
  components.

43
FAQ on RoHS and WEEE

• Q Are cables included in the RoHS scope.
• A Yes. The present view is that cables both
  included with equipment and sold separately fall
  with RoHS.
• Q Does packaging need to comply with RoHS?
• A Packaging discarded is not. Packaging or
  cases that may remain with the product and may be
  disposed of with the product may have to comply.
• Q Are GPS units required to meet RoHS?
• A They would most likely be considered part of
  a radio network system under the IT category and
  therefore must comply.

44
FAQ on RoHS and WEEE

• Q I manufacture a device that is built into
  equipment and has someone elses logo, who is
  responsible for the recycling?
• A The brand owner.
• Q Who takes the producer liability when a piece
  of equipment is refurbished?
• A It is refurbished but otherwise unchanged,
  the original producer remains responsible for
  recycling at the end of life.
• Q Are the different RoHS type legislations
  (Europe, China, Korea, California, etc) all the
  same?
• A The limitation requirements are similar. The
  main differences are in product categories,
  reporting and proof of compliance.

45
FAQ on RoHS and WEEE

• Q What about spare parts?
• A You can place spare parts that dont comply
  with RoHS on the market if they are for equipment
  placed on the market prior to July 1, 2006.
  Spare parts for equipment placed on the market
  after July 1, 2006 must comply.
• Q What is the difference between lead-free and
  RoHS compliant? A. While lead (Pb) is the most
  widely used toxic substance in electrical and
  electronic equipment (EEE), the term "lead-free"
  is often wrongly adopted to refer to all of the
  substances specified in the RoHS Directive.
  However, RoHS restricts a total of six
  substances. To be truly compliant with this
  legislation, the presence of each of these
  substances must be reduced below their proposed
  maximum concentration values (MCV).

46
Washington Laboratories, Ltd.

• ROHS\WEEE Compliance Assessment Program (R\W CAP)
• Performed on-site at your facility
• Includes
• Orientation training for RoHS and WEEE Directives
• Assisting you in determining the applicability of
  
• the RoHS/WEEE requirements
• Assisting you in reviewing products for
• compliance
• Assisting you in registering with EU member
• countries for WEEE
• Assisting you in developing a ROHS compliance
  program

47
Washington Laboratories, Ltd.

• Give us a call or send us info about your product
  - were here to help!
• www.wll.com
• Berri Remenick, N.C.E.
• Product Safety Manager
• Phone [phone]
• Fax [phone]
• E-mail berrir_at_wll.com