Implementing RoHS in the U.K.: discussions over exemptions continue, but RoHS will take effect July 1.

THE RESTRICTION ON the Use of Hazardous Substances directive, adopted by the European Union in 2003, bans the sale of new electrical and electronic equipment in the EU by July 1, 2006, if those products contain more than the permitted levels of lead, cadmium, mercury, hexavalent chromium, or polybrominated biphenyl or polybrominated diphenyl ether flame-retardants. The legislation applies across the EU; however, each member state must enact its own national version of the law. The legislation introduced in each member state will have the same impact and effect.

In the U.K., the RoHS directive will be implemented through The Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic Equipment Regulations 2005, introduced in Parliament last October. The regulations will be enforced by the National Weights and Measurements Laboratory. This article reviews some key issues in development of this legislation, the U.K.'s approach on these issues and the efforts to harmonize legislation among the member states.

The RoHS directive applies to electrical and electronic equipment (EEE) falling into eight of the 10 broad product categories listed in Annex 1A of the WEEE directive. (1) An important point to note is that what falls within the scope of the WEEE directive (and, therefore, the Rolls directive) is a matter of interpretation; only a court can give an authoritative ruling. In the absence of a definitive legal ruling, member states must interpret the scope of provisions to implement the directive.

The U.K. has promoted discussions among member states to develop generic criteria to help stakeholders and national enforcement authorities determine specifically what products are covered with the aim of ensuring a harmonized approach across the European Commission. The outcome of these discussions is reflected in the EC's FAQ document (2) and the DTI's own guidance notes, published in November. (3) (See the online version of this article for further discussion of how to determine whether products are within the scope of RoHS.)

Several Exemptions

Several exemptions are listed in the annex of the RoHS directive, and additional exemptions were approved in October. (4) Exemptions include:

* Large-scale stationary industrial tools consisting of a combination of equipment, systems, products and/or components, each of which is designed, manufactured and intended to be used only in fixed industrial applications.

* Spare parts for the repair of EEE placed on the market before July 1, 2006. Following discussions in the Technical Adaptation Committee, the EC and member states have broadened this exemption to include parts that expand the capacity of and upgrade EEE placed on the market before that date, provided the EEE concerned is not put on the market as a new product.

* The reuse of EEE placed on the EU market before July 1, 2006.

* Specific applications of lead, mercury, cadmium, hexavalent chromium, PBB and PBDE as set out in Schedule 2 of the Regulations.

* The original exemptions outlined in the annex to RoHS were amended by two decisions published in October. Additional exemptions include BDE in polymeric applications and lead in PbBr bearing shells and bushes. The U.K. RoHS regulations will be amended to reflect these changes shortly.

Other exemption requests are still under consideration by the EC and are likely to be put before member states for votes, again, in the near future. The EC has published a fourth stakeholder consultation regarding several proposed amendments to the Rolls Directive annex. (5) The consultation period ends Feb. 10.

Maximum Concentration Values

For RoHS regulations, a maximum concentration value (MCV) of up to 0.1% by weight in homogeneous materials for lead, mercury, hexavalent chromium, PBB and PBDE and of up to 0.01% by weight in homogenous materials for cadmium will be permitted in the manufacture of new EEE. These values were established through the adoption of a Commission Decision on Aug. 18, 2005.

"Homogeneous material" is material "of uniform composition throughout," meaning it cannot be mechanically disjointed into different materials. Examples include individual types of plastics, ceramics, glass, metals, alloys, paper, board, resins and coatings. The term "mechanically disjointed" means that the materials can, in principle, be separated by mechanical actions such as unscrewing, cutting, crushing, grinding and abrasive processes.

Using these interpretations, a plastic cover would be a homogeneous material if it consisted exclusively of one type of plastic that was not coated with or had attached to it (or inside it) any other kinds of materials. In this case, the MCV of RoHS would apply to the plastic. On the other hand, an electric cable consisting of metal wires surrounded by nonmetallic insulation materials is not homogeneous material because mechanical processes can separate the different materials. In this case, the maximum concentration values of the RoHS regulations would apply to each of the separated materials individually.

No Prescribed Compliance

Producers must demonstrate compliance with the regulations by providing the enforcement authority (on request) with relevant technical documentation of information. The U.K. intends to accept self-declaration as the basis of the compliance regime. The enforcement authority will carry out market surveillance to detect noncompliant products and may conduct tests for this purpose.

There is no prescribed method to demonstrate compliance, and both materials declarations and component or material analysis are likely to play important roles.

Materials declarations. Producers of EEE should obtain assurances from their suppliers that any materials, components, assemblies or equipment provided do not contain more than the permitted level of any of the six restricted substances. In the U.K., producers are required to keep records for up to four years after a particular EEE product is placed on the market.

Materials declaration is an area where standardization will benefit producers and the enforcement authorities. The industry finalized the EIA-JGPSSI Joint Industry Guide to Material Declarations in 2005. That guide provides the list of relevant substances that warrant supply chain disclosure. IPC-1752, Materials Declaration Management, when this article went to press, was expected to be released in early 2006. IPC-1752 is a uniform data format for supply chain material content disclosure.

Producer analysis. Producers of EEE to be placed on the U.K. market may wish to undertake (or ask a third party to undertake) their own analysis of the components or materials used in their products (FIGURE 1). This action may verify supplier declarations or determine the presence of any restricted substances in cases where no declaration is available. It may also be undertaken if there are doubts over the reliability of declarations.

[FIGURE 1 OMITTED]

Producers or third parties may employ any suitable analytical technique to establish that their products comply with the MCVs of the restricted substances. The criteria for analysis will depend on the quantity of product put onto the market (less for small producers than for large producers), the relationship with suppliers, the risk of a banned substance being present and the potential impact of that substance on the environment. Producers must ensure that they understand and take into account any limitations of the analytical technique they use.

Enforcement. RoHS compliance in the U.K. will be enforced in a variety of ways, including making test purchases; requesting compliance documentation, inspecting processes and performing analytical tests; and issuing compliance notices requiring certain actions be taken.

In Europe, the U.K. has been very active in attempting to secure the adoption of a common approach. It is hoped that a network of member state enforcement bodies will be established and that common guiding principles will be agreed upon and adopted in advance of the July 1 deadline.

The RoHS directive has been a reality in Europe since January 2003, and regulations in most EU member states are now final. Discussion on key issues, such as the exemptions, will continue for some time, but the RoHS legislation will come into effect on July 1, both within the U.K. and across the EU. PCD&M

REFERENCES

(1.) WEEE Directive, Jan. 27. 2003, europa.eu.int/comm/environment/ waste/weee_index.htm.

(2.) European Commission, Frequently Asked Questions on the Rolls and WEEE directives, May 2005, europa.eu.int/comm/environment/ waste/pdf/faq_weee.pdf.

(3.) U.K. Department of Trade and Industry, RoHS Regulations Government Guidance Notes, November 2005, dti.gov.uk/sustainability/ weee/RoHS_Guidance_November05_Final.pdf.

(4.) RoHS Directive, europa.eu.int/comm/environment/waste/weee_index.htm.

(5.) The fourth EC stakeholder consultation on adaptation to scientific and technical progress under Directive 2002/95/EC of the European Parliament and of the Council on the restriction of the use of certain hazardous substances in electrical and electronic equipment for the purpose of a possible amendment of the annex; europa.eu.int/comm/ environment/waste/rohs_4_consult.htm.

RESOURCES

Additional resources can be found in the online version of this article at www.pcdandm.com/cms/content/view/2294/

STEVEN ANDREWS is head of the Eco-design and Product Policy Unit, Sustainable Development Directorate, U.K. Department of Trade and Industry (www.dti.gov.uk); [e-mail].