- Email: [email protected]
The EU RoHS directive: Big issues linger
E
~
E
The EU RollS Directive: Big Issues Linger Requirements are not so crystal clear, industry observer says. B y T i m M c G r a d y , P r e s i d e n t a n d P r i n c i p a l S c i e n t i s t o f S e r i o u s S c i e n c e , C o r t l a n d , N.Y.
s of July 1, 2006, all new electrical and electronic products put on the European Market and falling under the scope of the European Union directive "Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic Equipment" (RollS) have to comply with its requirements. Every "homogeneous material" within covered products is restricted to maximum concentrations of 0.1% by weight lead, mercury, hexavalent chromium, PBB and PBDE and a maximum of 0.01% by weight cadmium. To the uninitiated, these requirements seem reasonable and clear. But to those who have studied the EU RollS Directive and its implications, the requirements are as clear as mud. The European Union (EU) Commission has published a guidance document for RollS, but on the bottom of every page is the phrase: "not legally binding." When pressed, E U officials say that only the European Court of Justice may make binding interpretations of Community legislation. In other words, legislators write the laws, but it is up to the courts to determine what they mean. Following this statement to its logical conclusion, in order to know what constitutes infractions of RollS, we will have to wait for convictions of those accused of infractions. The guidance offered by the E U Commission is somewhat helpful, but there are many issues left unsettled. The first issue is that it is difficult to interpret the E U definition of what constitutes a "homogeneous material." The latest revision (August 2006) of the E u r o p e a n Commission guidance document states that homogeneous materials "are individual types of plastics, ceramics, glass, metals, alloys, paper, board, resins and coatings." The document further states, "Homogeneous material m e a n s a material which cannot be mechanically disjointed into different materials." In addition, "the term 'mechanically disjointed' means that the materials can, in principle, be s e p a r a t e d by mechanical actions such as: unscrewing, cutting, crushing, grinding and abrasive processes." One must be careful in interpreting these definitions, since the E U Commission has stated that it does not mean that a homogeneous m a t e r i a l m u s t be s e p a r a b l e from another by mechanical means; they mean only that such separation is possible in principle. In the case of testing,
A
November 2006
one may employ any means of separation necessary to disjoint two homogeneous materials. For example, the common practice of stripping plating or coatings from substrates via chemical processes would be a viable means of separation for testing purposes. An i m p o r t a n t example of i n t e r p r e t a t i o n issues concerns hexavalent chromium conversion coatings (CCCs). The EU Commission states that they consider coatings to be homogeneous materials, b u t there have been two interpretations in the coating industry as to whether CCCs meet RollS requirements. One camp has maintained that CCCs cannot be mechanically separated from substrates without also including some of the substrate with the coating; therefore, this camp concludes, CCCs are part of the substrate and the substrate is to be considered a homogenous material. If the coating and substrate are tested together for weight percent hexavalent chromium, the result is n e a r l y always a passing value for hexavalent chromium (i.e. <0.1% hexavalent chromium). The other camp has i n t e r p r e t e d RollS as a ban of the use of CCCs and has decided that no hexavalent chromium may be used. As it turns out, neither camp is correct. RollS is not a ban; it is a "restriction." The guidance from the EU Commission states that concentrations up to 0.1% by weight will be tolerated, so hexavalent chromium could be used if its concentration is less than 0.1% by weight in a homogeneous material. The E U Commission also states that coatings are considered to be homogeneous materials. That means they consider CCCs to be homogeneous materials. The real problem concerning CCCs is a fundamental misunderstanding of the characteristics of such coatings and how they are measured. CCCs are typically used on zinc, a l u m i n u m and cadmium substrates as corrosion inhibitors; they m a y be used over plating or on metals and alloys. Heavy yellow CCCs have been measured to be on the order of a few h u n d r e d nanometers in thickness. The thickness of"clear" or "precoat" CCCs has been estimated to be on the order of 10 nanometers. These coatings are a mixture of trivalent chromates, hexavalent chromates, base metal, water, proprietary salts and p e r h a p s a few other ionic forms of chromium in valences other than three or six. 51
Hill CHROM!
There is currently no standard method that may be used to determine the total coating mass of CCCs. Typically, coating and plating masses are measured via the "weigh-strip-weigh" technique, whereby the coated sample is weighed, the coating is chemically stripped and the dried sample is re-weighed. But in the case of CCCs, such a method in not used, since the coating thickness (and, thus, mass) is so small. Analytical balances are not accurate or sensitive enough to m e a s u r e the total mass of CCCs. One could try to increase the number or surface area of samples to be m e a s u r e d in order to increase the overall sample mass, but the low-level sensitivity of balances is inversely proportional to the mass to be m e a s u r e d (i.e., as the mass increases, so does the minimum mass, which can be accurately measured). So it seems that even "in principle," the total mass of CCCs cannot be accurately determined w h e t h e r mechanical or chemical separation is employed. The implication of this m e a s u r e m e n t problem is t h a t if we cannot m e a s u r e the total mass of CCCs, t h e n we cannot m e a s u r e the c o n c e n t r a t i o n s of h e x a v a l e n t c h r o m i u m in w e i g h t p e r c e n t w i t h i n CCCs. We can m e a s u r e h e x a v a l e n t chromium in CCCs, b u t we cannot m e a s u r e the total m a s s of CCCs. Since d e t e r m i n a t i o n of w e i g h t p e r c e n t requires determination of a n u m e r a t o r (hexavalent chromium mass) and a denominator (CCC mass) in order determine a ratio, weight percent is currently not a viable m e a s u r e m e n t technique for hexavalent chromium within CCCs. That is w h y the one s t a n d a r d m e t h o d u s e d to m e a s u r e h e x a v a l e n t chromium in CCCs, ISO 3613, requires reporting r e s u l t s in m a s s per a r e a (typically). G e n e r a l Motors' worldwide specification GMW 3059 sets a m a x i m u m limit for hexavalent chromium in CCCs at 0.1 ~ g / c m 2 - - e v e n t h o u g h the E U End-of-Life Vehicle requirements now state that the m a x i m u m concentration value (MCV) for hexavalent chromium is 0.1% by weight. Neither IEC TC 111 WG3 nor the E U enforcement bodies have developed a means of measuring hexavalent chromium in CCCs in units of weight percent. The most recent draft of IEC TC 111 WG3's test method document references only a spot test for m e a s u r i n g h e x a v a l e n t chromium in CCCs. That spot test can only indicate presence of hexavalent chromium and cannot be correlated with weight percent units. In a May 2006 guidance document, the E U enforcement task group made no mention of how to m e a s u r e hexavalent chromium in CCCs. Since violation of RollS allowable MCVs in homogeneous materials carries legal ramifications in the form of fines, the E U must have a legally acceptable means 52
of determining hexavalent chromium in CCCs in units of weight percent, or the requirement is unenforceable. Similarly, if no standard method of determining hexavalent chromium in CCCs exists, companies wishing to determine if their products meet the r e q u i r e m e n t s of RollS cannot do so. In other words, if you cannot measure it, you cannot enforce it; if you cannot determine if you meet a requirement, you cannot comply with the requirement. The m e a s u r e m e n t of RollS s u b s t a n c e s is legal metrology, and it should be t r e a t e d as such. All m e m b e r states of the World Trade Organization (WTO) are bound by the Agreement on Technical Barriers to Trade (TBT) w h e n they put technical regulations into force. In the case of RollS, there are provisions within the TBT Agreement that require the E U and/or its Member States to adopt international s t a n d a r d s of m e a s u r e m e n t if t h e y already exist (reference ISO 3613) or they "shall play a full part, within the limits of their resources, in the preparation by appropriate international standardization bodies of international s t a n d a r d s for products for which they either have adopted, or expect to adopt, technical regulations." But neither the E U nor its Member States have developed those methods, nor have t h e y adopted ISO 3613 for m e a s u r i n g hexavalent chromium in CCCs. When E U representatives have been questioned on why they did not adopt ISO 3613 and the proper units of m e a s u r e m e n t for hexavalent chromium in CCCs, answers range from "we did not know" to "it was not the appropriate standard" because it did not express results in weight percent. One E U Technical A d a p t a t i o n Committee (TAC) m e m b e r stated t h a t it did not m a t t e r w h e t h e r they could measure hexavalent chromium in CCCs accurately, since they could just rub the surface of metals, collect the rubbings and analyze t h e m for percent hexavalent chromium. If the result was greater than 0.1%, the TAC member said, they could infer that the hexavalent chromium concentration was greater than 0.1% in the CCC. In response to this statement, it was suggested that the method as described be made into an international standard, with the caveat that they would have to define how hard to rub a surface, for how long it should be rubbed and with what the surface should be rubbed. Otherwise, any number of nonequivalent methods of rubbing could be employed, with the results varying from less than 0.1% to high percentages of hexavalent chromium. The U.S. government has said it did not seek action in the WTO for EU (or its Member States') violations of the TBT A g r e e m e n t because the U.S. Trade www.metalfinishing.com
~ ~ E
Representative's office did not think the EU violated provisions of the TBT Agreement. (The RollS directive impacts products made by European-owned companies in the same manner as it does products made by companies owned outside the EU.) This is only one provision of the TBT Agreement, and compliance with that provision does not relieve members of the WTO of their responsibilities for complying with other provisions of the TBT (such as adopting or developing appropriate standards). Another theory: the electronics industry may have convinced the U.S. government not to act, since they wanted to develop the necessary standards for RollS themselves. Electronics industry representatives have also stated that attacking the EU on legislation meant to protect human health and the environment would be "a public relations nightmare." Bottom line: without the proper standards in place, industry suffers. There are literally thousands of standards necessary to comply with the RollS directive. Standard material specifications, test methods, reporting guidelines and management practices-none of these standards are in place, even though the RollS directive took effect on July 1, 2006. Those stan-
dards offer an infrastructure by which industry buys and sells goods. Without those standards, there is duplication of effort, superfluous testing and general confusion on RollS compliance issues. The cost to the supply chains has been estimated in the billions of dollars. Those uncounted billions need not have been spent had the EU and/or its Member States been held to their responsibilities vis-a-vis the WTO TBT Agreement. Think about it: had industry been able to buy compliant materials prior to the RollS directive going into effect, only a fraction of the billions spent on RollS compliance to date would have been necessary.
Tim McGrady is the President and Principal Scientist of Serious Science, a new materials testing, consulting and research company located in Central N Y He is a founding member and C h a i r m a n of A S T M International Committee F40 on Declarable Substances in Materials. He may be reached at [email protected].
Introducing the DeLong Smart Wheel
ELECTRDPLATIN[~ CHEMICALS
SIMPLE, INNOVATIVE PLATING SYSTEMS THAT REOUIRE LITTLE OR NO LAB SUPPORT.
BLASTWHEEL Technology
At Aldoa we help customersquickly get the plate on the product and maximize the life of plating baths. We also have lead the industry with environmentallyfriendly processes.
Nm~vZe~
~
Non-cyanide cadmium, copper and brass. Zinc alloys: acid& alkalinezinc nickel, acid & alkalinezinc cobalt and zinc iron.
A complete line of conversion coatings, trivolentchrome, hexachromeand chrome-free. A M ~ s r.,mpaum/s Zinc, iron, manganese and calcium modifiedzinc phosphatizing processes.
Semi-brightand bright nickel, cyanide zinc and cadmium. ~
Treatmentcompounds for process and waste water.
A/doe Compounds
Acid and alkalinecleaners, inhibitorsand specially products.
WHte, ~
tSO @001:2000 (
AldolmteCoatings
Custom blending servicesto your formulationsare available.
e-ma//or/n your ing~.~...
~
)
The DeLong Smart Wheel represents a giant step forward in ~ techrm~ly. This new patented design is economical, retrofitable and amazingly maintenance friendly. For further information, call toll free 1-800-548-~33 or visit www.delongequipment,com
DeLonq
CERTIFICATION
METAL FINISHING SOLUTIONS
12727 Westwood• Detroit,Michigan48223 • (313) 273-5705° FAX(313) 273-0310 Online:www.oklooco.com• E-mo~:inf~akloeco.com
Local: 404-607-I 234 Fax: 404-607-1000 1216 Zonolite Road, Atlanta, GA 30306 III
Circle 005 on reader information card or go to www.metalfinishing.com/advertisers
November 2006
III
II
I
i
iii iii i
iiiii
Circle 046 on reader information card or go to www.metalfinishing,com/advertisers
53
~
E
The EU RollS Directive: Big Issues Linger Requirements are not so crystal clear, industry observer says. B y T i m M c G r a d y , P r e s i d e n t a n d P r i n c i p a l S c i e n t i s t o f S e r i o u s S c i e n c e , C o r t l a n d , N.Y.
s of July 1, 2006, all new electrical and electronic products put on the European Market and falling under the scope of the European Union directive "Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic Equipment" (RollS) have to comply with its requirements. Every "homogeneous material" within covered products is restricted to maximum concentrations of 0.1% by weight lead, mercury, hexavalent chromium, PBB and PBDE and a maximum of 0.01% by weight cadmium. To the uninitiated, these requirements seem reasonable and clear. But to those who have studied the EU RollS Directive and its implications, the requirements are as clear as mud. The European Union (EU) Commission has published a guidance document for RollS, but on the bottom of every page is the phrase: "not legally binding." When pressed, E U officials say that only the European Court of Justice may make binding interpretations of Community legislation. In other words, legislators write the laws, but it is up to the courts to determine what they mean. Following this statement to its logical conclusion, in order to know what constitutes infractions of RollS, we will have to wait for convictions of those accused of infractions. The guidance offered by the E U Commission is somewhat helpful, but there are many issues left unsettled. The first issue is that it is difficult to interpret the E U definition of what constitutes a "homogeneous material." The latest revision (August 2006) of the E u r o p e a n Commission guidance document states that homogeneous materials "are individual types of plastics, ceramics, glass, metals, alloys, paper, board, resins and coatings." The document further states, "Homogeneous material m e a n s a material which cannot be mechanically disjointed into different materials." In addition, "the term 'mechanically disjointed' means that the materials can, in principle, be s e p a r a t e d by mechanical actions such as: unscrewing, cutting, crushing, grinding and abrasive processes." One must be careful in interpreting these definitions, since the E U Commission has stated that it does not mean that a homogeneous m a t e r i a l m u s t be s e p a r a b l e from another by mechanical means; they mean only that such separation is possible in principle. In the case of testing,
A
November 2006
one may employ any means of separation necessary to disjoint two homogeneous materials. For example, the common practice of stripping plating or coatings from substrates via chemical processes would be a viable means of separation for testing purposes. An i m p o r t a n t example of i n t e r p r e t a t i o n issues concerns hexavalent chromium conversion coatings (CCCs). The EU Commission states that they consider coatings to be homogeneous materials, b u t there have been two interpretations in the coating industry as to whether CCCs meet RollS requirements. One camp has maintained that CCCs cannot be mechanically separated from substrates without also including some of the substrate with the coating; therefore, this camp concludes, CCCs are part of the substrate and the substrate is to be considered a homogenous material. If the coating and substrate are tested together for weight percent hexavalent chromium, the result is n e a r l y always a passing value for hexavalent chromium (i.e. <0.1% hexavalent chromium). The other camp has i n t e r p r e t e d RollS as a ban of the use of CCCs and has decided that no hexavalent chromium may be used. As it turns out, neither camp is correct. RollS is not a ban; it is a "restriction." The guidance from the EU Commission states that concentrations up to 0.1% by weight will be tolerated, so hexavalent chromium could be used if its concentration is less than 0.1% by weight in a homogeneous material. The E U Commission also states that coatings are considered to be homogeneous materials. That means they consider CCCs to be homogeneous materials. The real problem concerning CCCs is a fundamental misunderstanding of the characteristics of such coatings and how they are measured. CCCs are typically used on zinc, a l u m i n u m and cadmium substrates as corrosion inhibitors; they m a y be used over plating or on metals and alloys. Heavy yellow CCCs have been measured to be on the order of a few h u n d r e d nanometers in thickness. The thickness of"clear" or "precoat" CCCs has been estimated to be on the order of 10 nanometers. These coatings are a mixture of trivalent chromates, hexavalent chromates, base metal, water, proprietary salts and p e r h a p s a few other ionic forms of chromium in valences other than three or six. 51
Hill CHROM!
There is currently no standard method that may be used to determine the total coating mass of CCCs. Typically, coating and plating masses are measured via the "weigh-strip-weigh" technique, whereby the coated sample is weighed, the coating is chemically stripped and the dried sample is re-weighed. But in the case of CCCs, such a method in not used, since the coating thickness (and, thus, mass) is so small. Analytical balances are not accurate or sensitive enough to m e a s u r e the total mass of CCCs. One could try to increase the number or surface area of samples to be m e a s u r e d in order to increase the overall sample mass, but the low-level sensitivity of balances is inversely proportional to the mass to be m e a s u r e d (i.e., as the mass increases, so does the minimum mass, which can be accurately measured). So it seems that even "in principle," the total mass of CCCs cannot be accurately determined w h e t h e r mechanical or chemical separation is employed. The implication of this m e a s u r e m e n t problem is t h a t if we cannot m e a s u r e the total mass of CCCs, t h e n we cannot m e a s u r e the c o n c e n t r a t i o n s of h e x a v a l e n t c h r o m i u m in w e i g h t p e r c e n t w i t h i n CCCs. We can m e a s u r e h e x a v a l e n t chromium in CCCs, b u t we cannot m e a s u r e the total m a s s of CCCs. Since d e t e r m i n a t i o n of w e i g h t p e r c e n t requires determination of a n u m e r a t o r (hexavalent chromium mass) and a denominator (CCC mass) in order determine a ratio, weight percent is currently not a viable m e a s u r e m e n t technique for hexavalent chromium within CCCs. That is w h y the one s t a n d a r d m e t h o d u s e d to m e a s u r e h e x a v a l e n t chromium in CCCs, ISO 3613, requires reporting r e s u l t s in m a s s per a r e a (typically). G e n e r a l Motors' worldwide specification GMW 3059 sets a m a x i m u m limit for hexavalent chromium in CCCs at 0.1 ~ g / c m 2 - - e v e n t h o u g h the E U End-of-Life Vehicle requirements now state that the m a x i m u m concentration value (MCV) for hexavalent chromium is 0.1% by weight. Neither IEC TC 111 WG3 nor the E U enforcement bodies have developed a means of measuring hexavalent chromium in CCCs in units of weight percent. The most recent draft of IEC TC 111 WG3's test method document references only a spot test for m e a s u r i n g h e x a v a l e n t chromium in CCCs. That spot test can only indicate presence of hexavalent chromium and cannot be correlated with weight percent units. In a May 2006 guidance document, the E U enforcement task group made no mention of how to m e a s u r e hexavalent chromium in CCCs. Since violation of RollS allowable MCVs in homogeneous materials carries legal ramifications in the form of fines, the E U must have a legally acceptable means 52
of determining hexavalent chromium in CCCs in units of weight percent, or the requirement is unenforceable. Similarly, if no standard method of determining hexavalent chromium in CCCs exists, companies wishing to determine if their products meet the r e q u i r e m e n t s of RollS cannot do so. In other words, if you cannot measure it, you cannot enforce it; if you cannot determine if you meet a requirement, you cannot comply with the requirement. The m e a s u r e m e n t of RollS s u b s t a n c e s is legal metrology, and it should be t r e a t e d as such. All m e m b e r states of the World Trade Organization (WTO) are bound by the Agreement on Technical Barriers to Trade (TBT) w h e n they put technical regulations into force. In the case of RollS, there are provisions within the TBT Agreement that require the E U and/or its Member States to adopt international s t a n d a r d s of m e a s u r e m e n t if t h e y already exist (reference ISO 3613) or they "shall play a full part, within the limits of their resources, in the preparation by appropriate international standardization bodies of international s t a n d a r d s for products for which they either have adopted, or expect to adopt, technical regulations." But neither the E U nor its Member States have developed those methods, nor have t h e y adopted ISO 3613 for m e a s u r i n g hexavalent chromium in CCCs. When E U representatives have been questioned on why they did not adopt ISO 3613 and the proper units of m e a s u r e m e n t for hexavalent chromium in CCCs, answers range from "we did not know" to "it was not the appropriate standard" because it did not express results in weight percent. One E U Technical A d a p t a t i o n Committee (TAC) m e m b e r stated t h a t it did not m a t t e r w h e t h e r they could measure hexavalent chromium in CCCs accurately, since they could just rub the surface of metals, collect the rubbings and analyze t h e m for percent hexavalent chromium. If the result was greater than 0.1%, the TAC member said, they could infer that the hexavalent chromium concentration was greater than 0.1% in the CCC. In response to this statement, it was suggested that the method as described be made into an international standard, with the caveat that they would have to define how hard to rub a surface, for how long it should be rubbed and with what the surface should be rubbed. Otherwise, any number of nonequivalent methods of rubbing could be employed, with the results varying from less than 0.1% to high percentages of hexavalent chromium. The U.S. government has said it did not seek action in the WTO for EU (or its Member States') violations of the TBT A g r e e m e n t because the U.S. Trade www.metalfinishing.com
~ ~ E
Representative's office did not think the EU violated provisions of the TBT Agreement. (The RollS directive impacts products made by European-owned companies in the same manner as it does products made by companies owned outside the EU.) This is only one provision of the TBT Agreement, and compliance with that provision does not relieve members of the WTO of their responsibilities for complying with other provisions of the TBT (such as adopting or developing appropriate standards). Another theory: the electronics industry may have convinced the U.S. government not to act, since they wanted to develop the necessary standards for RollS themselves. Electronics industry representatives have also stated that attacking the EU on legislation meant to protect human health and the environment would be "a public relations nightmare." Bottom line: without the proper standards in place, industry suffers. There are literally thousands of standards necessary to comply with the RollS directive. Standard material specifications, test methods, reporting guidelines and management practices-none of these standards are in place, even though the RollS directive took effect on July 1, 2006. Those stan-
dards offer an infrastructure by which industry buys and sells goods. Without those standards, there is duplication of effort, superfluous testing and general confusion on RollS compliance issues. The cost to the supply chains has been estimated in the billions of dollars. Those uncounted billions need not have been spent had the EU and/or its Member States been held to their responsibilities vis-a-vis the WTO TBT Agreement. Think about it: had industry been able to buy compliant materials prior to the RollS directive going into effect, only a fraction of the billions spent on RollS compliance to date would have been necessary.
Tim McGrady is the President and Principal Scientist of Serious Science, a new materials testing, consulting and research company located in Central N Y He is a founding member and C h a i r m a n of A S T M International Committee F40 on Declarable Substances in Materials. He may be reached at [email protected].
Introducing the DeLong Smart Wheel
ELECTRDPLATIN[~ CHEMICALS
SIMPLE, INNOVATIVE PLATING SYSTEMS THAT REOUIRE LITTLE OR NO LAB SUPPORT.
BLASTWHEEL Technology
At Aldoa we help customersquickly get the plate on the product and maximize the life of plating baths. We also have lead the industry with environmentallyfriendly processes.
Nm~vZe~
~
Non-cyanide cadmium, copper and brass. Zinc alloys: acid& alkalinezinc nickel, acid & alkalinezinc cobalt and zinc iron.
A complete line of conversion coatings, trivolentchrome, hexachromeand chrome-free. A M ~ s r.,mpaum/s Zinc, iron, manganese and calcium modifiedzinc phosphatizing processes.
Semi-brightand bright nickel, cyanide zinc and cadmium. ~
Treatmentcompounds for process and waste water.
A/doe Compounds
Acid and alkalinecleaners, inhibitorsand specially products.
WHte, ~
tSO @001:2000 (
AldolmteCoatings
Custom blending servicesto your formulationsare available.
e-ma//or/n your ing~.~...
~
)
The DeLong Smart Wheel represents a giant step forward in ~ techrm~ly. This new patented design is economical, retrofitable and amazingly maintenance friendly. For further information, call toll free 1-800-548-~33 or visit www.delongequipment,com
DeLonq
CERTIFICATION
METAL FINISHING SOLUTIONS
12727 Westwood• Detroit,Michigan48223 • (313) 273-5705° FAX(313) 273-0310 Online:www.oklooco.com• E-mo~:inf~akloeco.com
Local: 404-607-I 234 Fax: 404-607-1000 1216 Zonolite Road, Atlanta, GA 30306 III
Circle 005 on reader information card or go to www.metalfinishing.com/advertisers
November 2006
III
II
I
i
iii iii i
iiiii
Circle 046 on reader information card or go to www.metalfinishing,com/advertisers
53