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Alberi EcoTech, LLC © 2011 All Rights ReservedAlberi EcoTech, LLC © 2011 All Rights Reserved

Product Environmental Compliance UpdateREACH, RoHS, CM

Krista CrottyAlberi EcoTech LLC

Las Vegas, NV


Agenda

REACH RoHS Recast Dodd-Frank Act (Conflict Minerals) Audits Benchmarking & Lessons Learned Question & Answer time


REACH:For Articles Manufacturers

Alberi EcoTech, LLC © 2011 All Rights Reserved

Entered into force 1 June 2007 Why is it needed?

– Insufficient information on hazardous chemicals– Risk/Management / data transfer in sufficient

Aim– Improve protection on human health / environment– Better and earlier identification of intrinsic properties of

chemicals– Enhance innovation and competitiveness of EU chemicals

industry Administration

– ECHA – European Chemicals Agency (Helsinki)

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At a glance...


http://echa.europa.eu/chem_data/authorisation_process/candidate_list_table_en.asp

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REACH SVHCs listing


Alkanes, C10-13, chloro (Short Chain Chlorinated Paraffins)

Diisobutyl phthalate

Benzyl butyl phthalate (BBP) Disodium tetraborate, anhydrousBis (2-ethylhexyl)phthalate (DEHP) Hexabromocyclododecane (HBCDD) and all

major diastereoisomers identified:Alpha-hexabromocyclododecaneBeta-hexabromocyclododecaneGamma-hexabromocyclododecane

Bis(tributyltin)oxide (TBTO) Lead chromateBoric acid Lead chromate molybdate sulphate red (C.I.

Pigment Red 104)Cobalt dichloride Lead sulfochromate yellow (C.I. Pigment Yellow

34)Diarsenic pentaoxide Tetraboron disodium heptaoxide, hydrateDiarsenic trioxide Tris(2-chloroethyl)phosphateDibutyl phthalate (DBP)

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The potential EEE SVHC List

http://echa.europa.eu/chem_data/authorisation_process/candidate_list_table_en.asp


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Timeline for Registration2010 registration closed

21k substances submitted3,400 phase-in substances

Pre-registration is closed2M pre-registrations143K substances by

65k companies

Source: ECHA


Registration of substances greater than 1 ton/year Communication along supply chain

– REACH status– Registration number– Application– Risk Management Measures– e-MSDS

Measure related to EHS (environment, health, safety) Continuous updates on chemical safety reports (CSR) Classification and labeling of inventory

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Duties – Substance/Mixture Manufacturers


Information exchange – regardless of application– Upstream, downstream

Risk evaluation for applications (e-MSDS) Notification of applications which are not supported by

the supplier Implementation of risk management measures

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Duties – Downstream users


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Authorization vs. RestrictionAuthorization Restriction

Applicable to all kinds of usage (as long as not exempted)

Possibility to forbid all / specific uses of substance

Limited to SVHC substances No limitation

Applies to use of articles produced within EU

Applies to all imported products

Industry has to submit request for authorization

Restriction dossier created by EC

Authorized use possible No use possible


MSDS for SVHCs MSDS for mixtures including SVHCs > 0.1%

required MSDS for non-hazardous mixtures on demand

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Information Duties – manufacturers of substances/mixtures


Substances(SVHC) present above 0.1% w/w in article

Information transfer to industrial and consumers alike

From 1 Dec 2011: ECHA must be notified of SVHC in article

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Information Duties – manufacturers of articles


Other Legislation:RoHS Recast, Conflict Minerals


RoHS Recast Current:

◦ With member states for transposition into National Law Dates of compliance:

◦ All products (except as listed below)• 1 January 2013

◦ Medical Devices:• General: 22 July 2014• Invitro: 22 July 2016• Implantable: review in 2020

◦ Monitoring and Control Instrumentation• General: 22 July 2014• Industrial: 22 July 2017


RoHS Recast – Spare Parts RoHS limits* shall not apply to cables or spare parts for the

repair, reuse, the updating of functionalitites or upgrading of capacity of the following:◦ (a) EEE placed on the market before 1 July 2006; ◦ (b) medical devices placed on the market before 22 July 2014; ◦ (c) in vitro diagnostic medical devices placed on the market

before 22 July 2016; ◦ (d) monitoring and control instruments placed on the market

before 22 July 2014; ◦ (e) industrial monitoring and control instruments placed on the

market before 22 July 2017; ◦ (f) EEE which benefited from an exemption and which was

placed on the market before that exemption expired as far as that specific exemption is concerned.


RoHS Recast – spares, exemptions, etc.

Spare Parts:◦ RoHS Limits* shall not apply to reused spare parts, recovered

from EEE placed on the market before 1 July 2006 and used in equipment placed on the market before 1 July 2016, provided that reuse takes place in auditable closed-loop business-to-business return systems, and that the reuse of parts is notified to the consumer.

◦ *** shall not apply to the applications listed in Annexes III and IV (exemptions listings).


RoHS & CE Mark Affixed to final product

Visibly, legibly, and indelibly If not on the final product, on the

packaging or accompanying documents Test houses unfamiliar with RoHS General principles – Article 14

EU Regulation 765/2008 – Article 30


Other Changes Updated and expanded Definitions Expanded information on manufacturers, distributors, importers, authorized representatives Addition of Category 11 – any electronic product not specifically mentioned in the previous 10 categories.


Conflict minerals:Waiting for the SEC...


Terminology

“Conflict minerals” (§1502(e)(4) )Coltan, cassiterite, gold, wolframite, or their derivatives (common names: tantalum, tin, gold, tungsten)

“DRC conflict free minerals” (§1502(b))Product that do not contain minerals that directly or indirectly finance or benefit armed groups in the DRC or adjoining countries


Dodd-Frank Act – Section 1502 Background:

◦ Passed in 2010 Dates of compliance:

◦ 1st Fiscal year after rulemaking (potentially in flux)

Current:◦ Waiting on SEC Rulemaking / guidelines to be released◦ Comments were taken until 01 Nov 2011◦ Several industry groups compiled comments around timing

for implementation, auditing, Dates of compliance: (in flux)

◦ 1st Fiscal year after rulemaking


Audits:Preparing, Implementing, Surviving


Government/Enforcement◦ Government checking on compliance◦ Enforcement agency check on compliance

Corporate◦ Business to business, customer to supplier,

supplier to customer

Regardless of audit type, mistakes are common across industries and companies.

Types of Audits


Responsiveness – timely and complete◦ Timely

REACH: SVHC disclosure at time of shipment◦ Complete technical compliance file available to

auditor: eMSDS3rd party Audits of suppliersLegal classification of item Application of useRisk assessmentsInternal Policies and proceduresTest strategy & results

Aspects of a “Successful” Audit


Assume nothing◦ Auditor will not familiar with your company or

products Be responsive

◦ Provide information in a timely manner◦ Provide complete technical compliance file; not

just materials information Prepare for/Anticipate questions

Audit Survival Tips


Benchmarking Lessons Learned:Process, Data, Education, Audit


Lessons Learned & Best Practices Lesson: Process approach

◦ With the constant possibility of changes to any product eco-compliance legislation, a process needs to be implemented; not simply a project for each type of legislation.

Best Practices: ◦ Ability to track products by compliance to multiple

requirements and legislative requirements◦ Methodology for auditing, tracking, and developing

suppliers.EU vs China, RoHS vs. REACH, USA by state

◦ Implementation of the next three lessons learned and best practices.


Lessons Learned & Best Practices Lesson: More than materials documents

◦ More and more countries are creating requirements for materials reporting requirements or materials restrictions.

◦ During enforcement, auditors look at the total package, not just materials information.

◦ Countries with existing requirements are look at adding additional substances.

Best Practices:◦ Risk Matrix for materials, parts, suppliers.◦ Information by CAS number◦ Risk assessment / usage tables◦ Ability to search database for specific substance◦ Test matrix & strategy


Lessons Learned & Best Practices Lesson: Keep informed

◦ With changes happening for existing legislation and new legislation being created, one needs a good service for keeping informed.

Best Practices: ◦ Industry involvement◦ News Services, newsletters, annual audit reviews◦ Targeted reports – not general knowledge databases or

“tech rags”Several services provide news; few provide only the info you need or assist with interpretation and action on changesBe wary of tech rags and make sure the information you’re using comes from a reputable source.


Lessons Learned & Best Practices Lesson: Be ready for an audit

◦ No longer just government audits◦ Customers or suppliers audits are more and more common

Best Practices: ◦ Turn around time to deliver information varies

− Immediate, 24 Hours, 1 week, 1 month, on-going

◦ Remote access to data & informationTechnical compliance files should include: materials data, usage cases, corporate policies and procedures, classification/ justification documents, roadmap(s) of activities

◦ Information by substance, component, productInformation should be searchable by component, CAS number, supplier status, substance, exemption/variation


EcoTech legislation world-wide:Looking back to prepare for the future


Partial Listing of EcoTech Legislation Europe - EU

◦ REACH – 2007, ‘08, ’09, ‘10, '11◦ RoHS – 2003, ‘11◦ WEEE – 2003, ‘11◦ EuP – 2006, ‘08

Asia◦ China RoHS – 2006, ‘07, ’09◦ S. Korea RoHS/ELV/WEEE 2007◦ Japan JGPSSI◦ Japan – JAMP◦ Taiwan RoHS – 2006

USA◦ Conflict Minerals◦ CPSIA

State level:◦ Several

states/municipalities with e-waste legislation

◦ Several states with hazardous substance restrictions/bans

◦ CA-Prop65

South America◦ Argentina, Brazil, Chile,

Columbia, Venezuela w/e-waste legislation


It’s a Process, not a project◦ Changing critical thinking

− Go beyond data and information on restricted substances

◦ Risk Minimization, Elimination− Process-based approach− Risk analysis, matrix

◦ Crisp presentation of corporate environmental stewardship

EcoTech compliance


Websites of interest REACH

◦ http://echa.europa.eu/home_en.asp◦ http://echa.europa.eu/chem_data/authorisation_process/candidate_li

st_table_en.asp

RoHS◦ http://www.bis.gov.uk/nmo/enforcement/rohs-home

Conflict minerals◦ http://www.ipc.org/ContentPage.aspx?pageid=Conflict-Minerals

General Info, news, events, training◦ http://www.alberiecotech.com


Krista CrottyFounder, Chief EcoGeek

702.677.6923www.AlberiEcoTech.com

[email protected] / [email protected]/in/KristaCrotty

Thank you!

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