Substance Restriction, Product Take-Back and Consumer Alert

Regulations

Technical and Compliance Issues

Timothy McGradyEnvironmental Compliance Manager, LG Electronics USA

Chairman, ASTM Committee F40 on Declarable Substances in Materials

“Voluntary” Standards

1. SDOs do not write laws

2. Standards developed by SDOs can gain legal status

1. Via inclusion in contracts

2. Via inclusion in laws/regulations

Standards and Conformity

Assessment Model

Buyer

Seller

Contract (Purchase

Order)

Material Standard

Test Method

Certified Reference Material

SI Units

Standards and Conformity

Assessment Model

Government

Business

Law (Regulation)

Material Standard

Test Method

Certified Reference Material

SI Units

Three Types of Product Regulations:

1. Substance Restrictions2. Producer Responsibility, or “Take-

Back” Requirements3. Consumer Alerts

There are, of course, “Hybrids” of above

Substance Restrictions

• Place limits on concentrations of chemical elements or compounds

• May require either products or materials within products to comply

• Based primarily on human health and environmental concerns

Substance Restrictions

• Examples:– European Union RoHS: Restriction of the

Use of Certain Hazardous Substances in Electrical and Electronic Equipment

• Restricts substances in materials

– California SB20/SB50: Electronic Waste Recycling Act of 2003

• Restricts substances in “covered electronic products” (display devices)

Take-Back Requirements

• Require products to be collected, recovered and/or recycled

• Most focus on Producer Responsibility

• 3R’s: Reduce, Reuse, Recycle

• Usually require fees

• Require infrastructure for collection, recovery and/or recycling

• May require labeling

Take-Back Requirements

• Examples:– EU WEEE: Waste Electrical and

Electronic Equipment• Requires producers to register and

participate in collection/recycling schemes• Requires labeling

– Brazil: National Solid Waste Policy• Will require take-back of batteries,

electronic equipment, certain lamps

Consumer Alerts

• Typically require labeling

• Focused on potential hazards

• Producer must know or find out what is in their products

• If certain substances present above limits, must inform consumer

Consumer Alerts

• Examples:– California Proposition 65

• Requires labeling if product contains more than certain concentrations of substances

• California’s list: ~600 substances

– China RoHS, first “phase”• Requires labeling whether RoHS

substances are above limits or not

Propagation of Regulations

• At least 48 countries have either proposed or implemented regulations on EEE (6 continents).

• Most are Take-back regulations.

• Several restrict substances

• Several require labeling

Propagation of Regulations

• Many sectors impacted:– Packaging

– Automotive

– Batteries

– Toys

– Cosmetics

– Electrical and Electronic Equipment

True Scope of EU RoHS

• RoHS Scope found in WEEE Annex IA• Categories 1 – 7, 10 covered as of 7/1/06• Categories 8 & 9, medical devices and

control and measuring equipment, will be covered, perhaps by 2010 or 2012

• Covers equipment dependent upon electric current or electromagnetic fields to operate

True Scope of EU RoHS

• General exemptions:– Large-scale, fixed installation industrial

equipment

– Military equipment

– Aerospace equipment

– Products operating at >1500 volts DC or >1000 volts AC

True Scope of EU RoHS

• Other exemptions found in RoHS Annex and amendments:

– 2005/717/EC– 2005/747/EC– 2006/310/EC– 2006/690/EC– 2006/691/EC– 2006/692/EC

True Scope of EU RoHS

• Another amendment: 2005/618/EC

– Establishes Maximum Concentration Values (MCVs) for RoHS substances

– Establishes basis of compliance as each “homogeneous material” within covered EEE

– MCV for cadmium (Cd) is 0.01% by weight– MCV for lead (Pb), mercury (Hg), hexavalent

chromium (Cr6+), polybrominated biphenyls (PBBs) and polybrominated diphenyl ethers (PBDEs) is 0.1% by weight

True Scope of EU RoHS

• RoHS limits do not apply to:– Packaging (cardboard, peanuts, plastic

wrap, etc.)– Automobiles– Batteries– Only apply to products within scope of

RoHS!– Other EU directives for products above

Other EU Directives

• Packaging and Packaging Waste: 94/62/EC + amendments 2004/12/EC and 2005/20/EC

• End-of-Life Vehicle: 2000/53/EC + many amendments (on file)

• Batteries 2006/66/EC (new directive implemented 9/2006)

• Dangerous Substances 76/769/EEC

True Scope of RoHS

• Just about any material covered

• Think about it: you can make a lamp out of a rock, wood, oil (lava lamps)

• Problem: materials producers cannot control where their materials end up, so they tend to make wholesale changes to materials for the biggest markets

• “Spillover” effects

Materials Declarations

• Compilations of many regulatory requirements plus other non-statutory requirements

• Hundreds of substances restricted• Requirements for many product sectors all

lumped into one• May be applicable to products as a whole,

but not to each material within products

Materials Declarations

• Example:– Stainless Steel Screw

• Cannot contain organic materials or mercury - will not survive processing temperatures

• Do not need to test for hexavalent chromium within material

• Possible restricted substances present: cadmium, lead; not typically above 0.01%, 0.1% respectively

• No need to prove other restricted substances are not present above limits

ASTM F2577

• Standard Guide for Assessment of Materials and Products for Declarable Substances

• Published late 2006

• Is a tool for materials suppliers

• Provides means of “push back” for suppliers when asked for empirical data on many substances

Materials Declarations

• Materials Declarations = Liability Transfer Instruments

– UK allows “Due Diligence Defense”

– Do what a “reasonable” person would do to comply with regulations

– If company can show “due diligence” on their part, can point to third party

– Third party may be treated as if they committed infraction

Materials Declarations

• Belgium does not allow “Due Diligence Defense”

• Means that producer is responsible no matter what

• However, materials declarations act as a means to enjoin others into lawsuits, or allows counter-suit

• No one wants to be the next Sony

Materials Declarations

• Producers wanted empirical evidence, or “proof”, that suppliers’ products comply with materials declarations requirements

• This led to massive testing, done primarily in Taiwan and mainland China

• Tests applied were EPA test methods for air, soil and water

• Electronic materials are typically metal, plastic and ceramic

• Tests were misapplied, leading to false negative and false positive results

• Claims of “compliance” not substantiated

So…Where Are the Standards?

• IEC TC 111 WG3– IEC 62321 Ed. 1 test methods failed to pass

(October 2006)

• IPC 175x series– Standardized materials declaration– Hasn’t found widespread acceptance

• ASTM Committee F40– Materials-based approach– ASTM F 2577 has been published– Many other standards in development

Standards and Conformity

Assessment Model

Buyer

Seller

Contract (Purchase

Order)

Material Standard

Test Method

Certified Reference Material

SI Units

Materials

• Establish reasonable requirements specific to materials

• Require documentation on materials (test results, certificates of analysis)

• Recognize risks for each material (e.g., colored plastics)

• Work with suppliers

Metals Evaluation

1. Carbon/Low Alloy Steel2. Stainless Steel3. Copper and Copper Alloys4. Aluminum and Aluminum Alloys5. Solders6. Plating7. Coatings

Metals Evaluation

1. Carbon/Low Alloy Steel• Lead exempt up to 0.35%• Chromium in metals is in zero valence,

or “ground” state – not hexavalent!• Cadmium as contaminant is possible• Mercury >0.1% not possible• PBB/PBDE not possible• Specify: Pb <0.35%; Cd <0.01%• Note: “L” in grades stands for lead, e.g.

12L14 or 10L18

Metals Evaluation

2. Stainless Steels• Lead exempt up to 0.35%, but not likely• Chromium in metals is in zero valence, or

“ground” state – not hexavalent!• Cadmium as contaminant is possible• Mercury >0.1% not possible• PBB/PBDE not possible• Specify: Pb <0.35% (or lower); Cd <0.01%• Note: “L” in grades stands for low carbon,

e.g. 304L = 0.03% carbon maximum• Note: Welding in presence of oxygen

could form hexavalent chromium!

Metals Evaluation

3. Copper and Copper Alloys• Cadmium likely, possibly >0.01%• Lead is exempt to 4% maximum• Chromium in metals is in zero

valence, or “ground” state – not hexavalent!

• Mercury >0.1% not possible• PBB/PBDE not possible• Specify: Pb <4%; Cd <0.01%

Metals Evaluation

4. Aluminum and Aluminum Alloys• Two major grades contain lead: 6262

and 2018• Lead exempt up to 0.4%• Cadmium possible >0.01%,

particularly in high-zinc grades (7000 series)

• Mercury possible, but not likely >0.1%• Chromium in metals is in zero valence,

or “ground” state – not hexavalent!• PBB/PBDE not possible• Specify: Pb <0.4%; Cd <0.01%; Hg

<0.01%

Metals Evaluation

5. Solders• #1 source of lead in electronics• Many exemptions; e.g., high melting

temperature solder w/Pb >85% is exempt

• Sn-Ag-Cu (SAC) replacement solders may contain Pb, Cd greater than MCVs

• PBB/PBDE highly unlikely• Hexavalent chromium highly unlikely• Mercury is possible, but not likely• Specify: Pb <0.1%, Hg <0.1%, Cd

<0.01%

Metals Evaluation

6. Plating• Many types• Chromium plating is not in hexavalent

state (but surface residuals may remain)

• Lead and cadmium used as catalysts, can be present above MCVs (nickel plating)

• Cadmium plating exemption for contacts (RoHS Annex)

• Plating can be difficult to evaluate• Specify: Pb <0.1%; Cd <0.01%; Cr6+

<0.1 µg/cm2

Metals Evaluation

7. Coatings• Many types• Zinc (galvanized steel) may contain

Pb, Cd• Hexavalent chromium conversion

coatings common on zinc, aluminum, cadmium and copper substrates

• Pigmented coatings (e.g. paint) can contain Pb, Cd, Hg or Cr6+

• Specify: Pb <0.1%, Cd <0.01%, Hg <0.1%, Cr6+ <0.1 µg/cm2

Aluminum Substrate

Epoxy mounting material

Hex Chrome Conversion Coating

Hexavalent chromium replacements

(coatings)• Most are using trivalent chromium• Some success in less demanding

applications• Most replacements not proven

through real world experience• Self-healing property of hex

chrome not often duplicated• Trivalent products can still test

positive for hexavalent chromium

Plastics Evaluation

• Could contain any RoHS substance (Hg possible, but unlikely)

• Pigments could be Cd, Pb, Hg, Cr6+• Pb, Cd used as stabilizers• Hg possible in urethanes• Bright, opaque colors should raise

concerns (yellow, orange, red, green in particular)

• PBDEs possible• DecaBDE exempt for now• PBBs not manufactured since 1970’s

Standards and Conformity

Assessment Model

Buyer

Seller

Contract (Purchase

Order)

Material Standard

Test Method

Certified Reference Material

SI Units