1. Substance Restriction, Product Take-Back and Consumer Alert Regulations Technical and Compliance Issues Timothy McGrady Environmental Compliance Manager, LG Electronics USA Chairman, ASTM Committee F40 on Declarable Substances in Materials

2. 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

3. Standards and Conformity Assessment Model BuyerSeller Contract (Purchase Order) Material Standard Test Method Certified Reference MaterialSI Units

4. Standards and Conformity Assessment Model Government Business Law (Regulation) Material Standard Test Method Certified Reference MaterialSI Units

5. Three Types of Product Regulations: 1.Substance Restrictions 2.Producer Responsibility, or Take- Back Requirements 3.Consumer Alerts There are, of course, Hybrids of above

6. 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

7. 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)

8. Take-Back Requirements Require products to be collected, recovered and/or recycled Most focus on Producer Responsibility 3Rs: Reduce, Reuse, Recycle Usually require fees Require infrastructure for collection, recovery and/or recycling May require labeling

9. 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

10. 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

11. Consumer Alerts Examples: –California Proposition 65 Requires labeling if product contains more than certain concentrations of substances Californias list: ~600 substances –China RoHS, first phase Requires labeling whether RoHS substances are above limits or not

12. 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

13. Propagation of Regulations Many sectors impacted: –Packaging –Automotive –Batteries –Toys –Cosmetics –Electrical and Electronic Equipment

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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 –Hasnt found widespread acceptance ASTM Committee F40 –Materials-based approach –ASTM F 2577 has been published –Many other standards in development

28. Standards and Conformity Assessment Model BuyerSeller Contract (Purchase Order) Material Standard Test Method Certified Reference MaterialSI Units

29. 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

30. Metals Evaluation 1.Carbon/Low Alloy Steel 2.Stainless Steel 3.Copper and Copper Alloys 4.Aluminum and Aluminum Alloys 5.Solders 6.Plating 7.Coatings

31. 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

32. 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!

33. 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%

34. 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%

35. 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%

36. 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/cm 2

37. 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/cm 2

38. Aluminum Substrate Epoxy mounting material Hex Chrome Conversion Coating

39. 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

40. 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 1970s

41. Standards and Conformity Assessment Model BuyerSeller Contract (Purchase Order) Material Standard Test Method Certified Reference MaterialSI Units