ROHS and

WEEE
Directives
-After the
Deadline-

September
Washington Laboratories (301) 417-0220 web: www.wll.com 75602006
Lindbergh Dr. Gaithersburg, MD 20879
Overview
 WorldwideProduct Based
Environmental Requirements
 ROHS Requirements and
Issues
 WEEE Requirements and
Issues
 FAQ
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.
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
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.
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/
Ewaste_Legislation.xls
 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.
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.
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 Union’s 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.
 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
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_037200302
13en00190023.pdf
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.
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

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.
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.
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
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.
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.
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!

ROHS - Enforcement
• Penalties for non-compliance vary by
country.

• Examples:
• UK: Max of $9500
• France: Max of $1900
• Ireland: Max of $19.2 Million
 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.
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.
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.
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.
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
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
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
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.

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.
WEEE Marking
 Wheelie Bin Symbol required
to be marked on product (or
the instructions and warranty
or the packaging) per
EN50419:2005

 Date of shipment to Europe or

the black line required.

 Manufacturers name or
trademark required on
product.
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.
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.
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
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.
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.
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. It’s 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.
 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.
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.
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.
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.
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.gov/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.
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. PCB’s are considered components and there
is no legal requirement to label components.
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.
FAQ on RoHS and WEEE
• Q: I manufacture a device that is built into equipment and has
someone else’s 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.
•
FAQ on RoHS and WEEE
• Q: What about spare parts?
• A: You can place spare parts that don’t 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).
Washington
Washington Laboratories,
Laboratories, Ltd.
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
Washington Laboratories, Ltd.
• Give us a call or send us info about your
product - we’re here to help!

• www.wll.com

• Berri Remenick, N.C.E.

• Product Safety Manager
• Phone: 301-473-1255
• Fax: 301-473-1257
• E-mail: [email protected]