The RoHS and WEEE directives: An update on environmental requirements affecting the electrical and...

Environmental Quality Management / DOI 10.1002/tqem / Winter 2007 / 37

© 2007 Wiley Periodicals, Inc.Published online in Wiley InterScience (www.interscience.wiley.com).DOI: 10.1002/tqem.20163

The European Union

(EU) has imple-

mented two major

environmental re-

quirements that im-

pact the electrical

and electronic equip-

ment industries: the

Restriction of Haz-

ardous Substances

(RoHS) Directive and

the Waste Electrical and Electronic Equipment

(WEEE) Directive.

The provisions of these directives affect all

companies that market electrical and electronic

equipment (EEE) in the European Union. Com-

panies located in the United States or in other

non-EU countries must comply with the direc-

tives if they export EEE to EU member states.

The RoHS and WEEE directives are con-

stantly being updated. Moreover, jurisdictions

outside the EU increasingly are adopting similar

requirements.

About This ArticleThis article pro-

vides an update on

the status of the

RoHS and WEEE Di-

rectives, and on sim-

ilar regulatory re-

quirements adopted

in several other ju-

risdictions. The dis-

cussion covers developments that have occurred

since approximately spring 2006.

For an earlier discussion of the topics covered

here, see Wright and Elcock (2006).

The RoHS DirectiveThe RoHS Directive (2002/95/EC, as

amended) regulates the use of hazardous sub-

stances in eight specific categories of electrical

and electronic equipment that are marketed in

the EU on or after July 1, 2006:

Robin Wright

The RoHS and WEEEDirectives: An Update onEnvironmentalRequirements Affectingthe Electrical andElectronic Products Sector

The EU’s Restriction of

Hazardous Substances and Waste

Electrical and Electronic

Equipment Directives

Robin Wright38 / Winter 2007 / Environmental Quality Management / DOI 10.1002/tqem

• large household appliances;

• small household appliances;

• information technology (IT) and telecommu-

nications equipment;

• consumer equipment;

• lighting equipment (including light bulbs and

household luminaries);

• electrical and electronic tools (except large-

scale stationary industrial tools);

• toys, leisure, and sports equipment; and

• automatic dispensers.

The WEEE directive also covers these cate-

gories, along with two others: medical devices

and monitoring and control instruments.

Expanding the Scope of RoHSThe European Commission must present a

proposal to include the two additional WEEE cat-

egories (medical devices and monitoring and

control instruments) under the scope of RoHS

once scientific and technical evidence demon-

strates that this is feasible.

A study reviewing the two outstanding cate-

gories was published by the Commission in July

2006. The results of this study will likely lead to

presentation of a proposal sometime in 2008,

with subsequent negotiation by EU member

states. Under the current rules (which will remain

in effect until the change formally takes place),

these two categories of EEE remain exempt from

the RoHS requirements until 2012.

RoHS MandatesManufacturers are responsible for ensuring

that their EEE products (including subcompo-

nents) comply with the RoHS requirements. RoHS

severely restricts the use of lead, mercury, cad-

mium, hexavalent chromium, and certain bromi-

nated flame retardants (specifically, polybromi-

nated biphenyls, or PBBs, and polybrominated

diphenyl ethers, or PBDEs) (see Exhibit 1).

RoHS ExemptionsCertain products and applications are exempt

from the RoHS regulations. The initial RoHS Di-

rective included a number of specific exemptions,

and more were added in subsequent amendments

adopted during 2005. For discussion of these ex-

emptions, see Wright and Elcock (2006).

Since early 2006, 14 additional exemptions to

the RoHS Directive have been added pursuant to

four published European Commission decisions

(2006/310/EC, 2006/690/EC, 2006/691/EC, and

2006/692/EC). These additional exemptions are

described below. A detailed list of RoHS exemp-

tions, along with a general explanation of how

they work, can be found in a U.K. government

publication entitled RoHS Regulations: Government

Guidance Notes (Department for Business Enter-

prise and Regulatory Reform, 2007b).

As of this writing, the RoHS regulations had

not been amended to include all the new exemp-

tions. The appropriate regulatory amendments

are anticipated in the near future, however.

Exhibit 1. RoHS Restrictions

Substance Allowable Limit (by weight)

Lead 00.1%Mercury 00.1%Cadmium 0.01%Hexavalent chromium 00.1%Polybrominated biphenyls (PBB) 00.1%Polybrominated diphenyl ethers (PBDE) 00.1%

Environmental Quality Management / DOI 10.1002/tqem / Winter 2007 / 39The RoHS and WEEE Directives

• Lead oxide in plasma display panels (PDPs)

and surface conduction electron emitter dis-

plays (SED) used in structural elements; no-

tably in the front and rear glass dielectric

layer, the bus electrode, the black stripe, the

address electrode, the barrier ribs, the seal frit

and frit ring, as well as in print pastes.

• Lead oxide in the glass envelope of Black

Light Blue (BLB) lamps.

• Lead alloys as solder for transducers used in

high-powered (designated to operate for sev-

eral hours at acoustic power levels of 125 dB

SPL and above) loudspeakers.

2006/692/EC Amendment Exemption • Hexavalent chromium in corrosion-preventive

coatings of unpainted metal sheetings and fas-

teners used for cor-

rosion protection

and electromag-

netic interference

shielding in equip-

ment falling under

category three of

Directive 2002/96/

EC (IT and telecom-

munications equipment). This exemption was

granted only until July 1, 2007.

Potential Future RoHS ExemptionsThe European Commission continues to re-

ceive requests for additional exemptions from the

RoHS requirements. Initial review of RoHS ex-

emption requests is handled by the Öko-Institut

e.V. and the Fraunhofer Institut for Reliability

and Microintegration IZM, which determine

whether the requested exemptions comply with

the requirements set out in the RoHS Directive.

If the applicable requirements are met, the re-

viewing institutions recommend adoption of the

requested exemption, and send the request on to

the EU’s RoHS and WEEE Technical Adaptation

2006/310/EC Amendment Exemptions• Lead in linear incandescent lamps with sili-

cate coated tubes.

• Lead halide as radiant agent in high-intensity

discharge lamps for professional reprography

applications.

• Lead as activator in the fluorescent powder (1%

lead by weight or less) of discharge lamps when

used as sun tanning lamps containing phos-

phors such as BSP (BaSi2O5:Pb), as well as when

used as specialty lamps for diazo-printing re-

prography, lithography, insect traps, photo-

chemical, and curing processes containing

phosphors such as SMS ((Sr,Ba)2MgSi2O7:Pb).

• Lead with PbBiSn-Hg and PbInSn-Hg in spe-

cific compositions as main amalgam and with

PbSn-Hg as auxiliary amalgam in very com-

pact energy saving lamps.

• Lead oxide in glass used for bonding front

and rear substrates of flat fluorescent lamps

used for liquid crystal displays.

2006/690/EC Amendment Exemption• Lead bound in crystal glass as defined in

Annex I (Categories 1, 2, 3 and 4) of Council

Directive 69/493/EEC.

2006/691/EC Amendment Exemptions• Lead and cadmium in printing inks for the

application of enamels on borosilicate glass.

• Lead as impurity in RIG (rare earth iron gar-

net) Faraday rotators used for fiber optic com-

munications systems.

• Lead in finishes of fine pitch components

other than connectors with a pitch of 0.65

mm or less with NiFe lead frames and lead in

finishes of fine pitch components other than

connectors with a pitch of 0.65 mm or less

with copper lead frames.

• Lead in solders for soldering to machined

through whole discoidal and planar array ce-

ramic multilayer capacitors.

The European Commissioncontinues to receive requests for

additional exemptions from theRoHS requirements.


Committee for consideration. Information per-

taining to the handling of RoHS exemptions can

be found in a publication entitled Adaptation to

Scientific and Technical Progress Under Directive

2002/95/EC, Final Report (Öko Institut e.V., 2006).

As of August 2007, applications for the fol-

lowing exemptions to the RoHS requirements

were pending before the European Commission:

• lead in silver rings on the exterior lamp sur-

face of induction-type fluorescent lamps;

• mercury in plasma displays;

• cadmium in photocells for accurate control of

lighting equipment;

• cadmium-based photo-resistors used in pro-

fessional audio equipment;

• RELOCK FUSE, Model X-09;

• high-voltage diodes in glass housings; and

• cadmium and cadmium oxide in thick film

pastes used on beryllium oxide substrates.

Information on RoHS exemption requests

that are under consid-

eration can be found

at http://ec.europa.eu/

environment/waste/

weee/events_en.htm.

Information on ex-

emptions that have

been granted can be

found at http://ec.eu-

ropa.eu/environment/waste/weee/legis_en.htm.

The WEEE DirectiveThe WEEE Directive (2002/96/EC,

2003/108/EC, as amended) requires producers

of electrical and electronic equipment to take

end-of-life responsibility for the products they

put on the market in the EU. The purpose of the

directive is to encourage the reuse, recovery,

and recycling of waste EEE, and to prevent it

from being disposed in landfills. The term “pro-

ducer” generally includes anyone who manu-

factures, sells, imports, or exports EEE.

As noted above, the WEEE Directive covers

the same categories of electrical and electronic

equipment as does the RoHS Directive, along

with two additional categories (medical devices

and monitoring and control instruments). All EU

member states are required to adopt and imple-

ment the WEEE Directive.

WEEE Regulations in the United KingdomIn the United Kingdom, regulations imple-

menting the WEEE Directive became effective

on January 2, 2007, with EEE product-marking

and treatment requirements becoming effective

on April 1, 2007. The regulations will be imple-

mented in England, Wales, Scotland, and North-

ern Ireland by specified local agencies. The

WEEE regulations apply to businesses of all sizes

that produce and market EEE in the United

Kingdom.

Consumer ApplicabilityConsumers who use electrical and electronic

equipment and subsequently discard WEEE are

encouraged to utilize collection facilities known

as “civic amenity” sites that have been estab-

lished throughout the United Kingdom. A con-

sumer who purchases EEE abroad and brings it

into the United Kingdom for personal use is not

considered a “producer” for purposes of the

WEEE regulations and would not be required to

comply with the regulatory requirements.

Permitting Requirements for Storage andTreatment

The U.K. WEEE regulations do not cover per-

mitting requirements for the storage and treat-

ment of separately collected waste electrical and

electronic equipment. These requirements are

covered under separate regulations established

specifically for England and Wales (SI 2006 No.

The WEEE Directive requiresproducers of electrical andelectronic equipment to take end-of-life responsibility for the productsthey put on the market in the EU.


TAC and EWRN: Ongoing DevelopmentsThe EU’s RoHS and WEEE Technical Adapta-

tion Committee (TAC) held a meeting in June

2007 to discuss the status of the RoHS and WEEE

Directives and review the exemption process.

The TAC plans to initiate a study considering

whether to include additional hazardous sub-

stances under the RoHS Directive. One issue of

concern is how expansion of RoHS would interact

with restrictions imposed under the EU’s Regis-

tration, Evaluation, Authorization and Restric-

tion of Chemicals (REACH) program.

The TAC also discussed a number of issues re-

lated to the WEEE Directive, including reporting

obligations, producer

marking requirements,

and harmonization of

the WEEE Registration

System (WEEE regis-

ters) among the EU

member states.

At the TAC meet-

ing, it was noted that,

according to the European WEEE Register Net-

work (EWRN), creation of a single WEEE register

for the entire EU will not be possible. Accord-

ingly, separate WEEE registers likely will be pre-

pared for specific EU member states.

Both the TAC and the EWRN have additional

meetings scheduled in the coming months. Com-

panies that are affected by the RoHS and WEEE

Directives should watch these meetings closely

for indicators of future developments.

Progress Outside the EUGovernments outside the EU are following

Europe’s lead in regulating hazardous substances,

with several adopting provisions that are similar

to the RoHS Directive. In some instances, non-EU

jurisdictions have enacted requirements that are

more stringent and broader in scope than the

RoHS mandates.

3315), Scotland (SSI 2007 No. 172), and Northern

Ireland (SR NI 2006 No. 519).

Compliance PeriodsThe initial WEEE compliance period extends

from July 1, 2007, through December 31, 2007.

Thereafter, annual compliance periods will corre-

spond to the calendar year. In order to facilitate

compliance with the WEEE regulations, every

producer was required to join a “Producer Com-

pliance Scheme” by March 15, 2007.

WEEE Categories CoveredThe U.K. WEEE regulations cover the same

categories of electrical and electronic equipment

listed in the overall WEEE Directive, with the ex-

ception of three categories that fall under existing

U.K. hazardous waste legislation:

• cooling appliances containing refrigerants, in-

cluding fridges and freezers;

• display equipment such as computer moni-

tors and televisions; and

• gas discharge lamps.

WEEE ExemptionsLike RoHS, the WEEE Directive contains a

number of exemptions. A discussion of these ex-

emptions can be found in a U.K. government

publication entitled WEEE Regulations: Govern-

ment Guidance Notes (Department for Business En-

terprise and Regulatory Reform, 2007c).

WEEE Regulations in Other EU Member StatesOther EU member states are also in the

process of adopting regulations to implement the

RoHS and WEEE requirements. It is the responsi-

bility of producers to comply with the applicable

EU member state’s RoHS and WEEE requirements,

in the same way that companies must comply

with state-specific environmental regulatory re-

quirements in the United States.

Governments outside the EU arefollowing Europe’s lead in regulatinghazardous substances, with severaladopting provisions that are similar

to the RoHS Directive.


NorwayNorway is in the process of adopting a law en-

titled Prohibition on Certain Hazardous Sub-

stances in Consumer Products (PoHS) as part of

its products legislation.

Draft PoHS regulations were proposed on June

8, 2007, and are scheduled to be adopted Decem-

ber 15, 2007, with an effective date of January 1,

2008. As of this writing, the draft regulations

were undergoing “public consultation.”

The Norwegian PoHS regulations are much

broader in scope and more stringent than the EU’s

RoHS requirements. PoHS applies to all consumer

goods, not just EEE. In

addition, PoHS re-

stricts 18 substances,

only 2 of which are

subject to RoHS (lead

and cadmium). Among

other requirements,

producers of consumer

goods exported to Nor-

way will have to certify

that none of the restricted 18 substances are pres-

ent in their goods.

People’s Republic of China The People’s Republic of China adopted its

Methods for Controlling Pollution by Electronic

Information Products (commonly called “China

RoHS”) in February 2006. The law was expected

to take effect on January 1, 2007, although the ef-

fective date was later delayed to March 1, 2007.

China RoHS covers the same six hazardous

substances as the EU RoHS Directive and con-

tains an additional clause allowing it to be ex-

panded to cover “other toxic and harmful sub-

stances.” China RoHS does not restrict the use

of these targeted substances, but instead re-

quires product marking and disclosure when

any specified hazardous or toxic substance is

present in certain products. Government au-

thorities in China have published a list of “elec-

tronic information products” that are subject to

China RoHS.

It is anticipated that China will propose addi-

tional RoHS requirements sometime in 2007.

These regulations are expected to impose more

stringent requirements on a “catalogue” of prod-

ucts (a subset of the initial product list). Such re-

quirements may involve restrictions on specified

hazardous or toxic materials. China may also

enact requirements similar to the WEEE Directive.

South KoreaIn April 2007, South Korea adopted an Act for

Resource Recycling of Electrical and Electronic

Equipment and Vehicles (commonly called “Korea

RoHS”). The new law covers several of the topics

addressed by the EU RoHS and WEEE Directives, as

well as some areas covered by the EU’s End-of-Life

Vehicles Directive. The act is expected to become

effective January 1, 2008, with implementing reg-

ulations anticipated by the end of 2007.

RoHS in the United States: CaliforniaRegulations

On November 27, 2006, California’s Office of

Administrative Law approved and published Re-

strictions on the Use of Heavy Metals in Covered

Electronic Devices (commonly known as the

“California RoHS” regulations). The rules, which

were adopted pursuant to the state’s Electronic

Waste Recovery and Recycling Act of 2003, be-

came effective on January 1, 2007.

The California regulations prohibit the sale of

any “covered electronic device if the device is

prohibited from being sold or offered for sale in

the European Union . . . due to the concentration

of one or more heavy metals in the device ex-

ceeding its maximum concentration value,” as

specified in the EU RoHS Directive.

Hazardous substances that are restricted

under the California law include lead, mercury,

China RoHS covers the same sixhazardous substances as the EURoHS Directive and contains anadditional clause allowing it to beexpanded to cover “other toxicand harmful substances.”


Only time will tell. Either way, however, it is

clear that EEE manufacturers and sellers will have

to make significant changes in order to remain

competitive in the electrical and electronic equip-

ment industry.

SourcesAct for Resource Recycling of Electrical and Electronic Equip-ment and Vehicles (South Korea). (2007). English translationavailable at http://www.kece.eu/data/Korea_RoHS_ELV_April_2007_EcoFrontier.pdf (translation by Eco-Frontier)

Department for Business Enterprise and Regulatory Reform(United Kingdom). (2007a, June). Unofficial note of the Tech-nical Adaptation Committee on the WEEE & RoHS Directives,Brussels, 20th June 2007. Available online at http://www.berr.gov.uk/files/file40207.pdf

Department for Business Enterprise and Regulatory Reform(United Kingdom). (2007b, July). RoHS regulations: Govern-ment guidance notes. SI 2006 No. 1463. Available online athttp://www.berr.gov.uk/files/file40576.pdf

Department for Business Enterprise and Regulatory Reform(United Kingdom) (2007c, August). WEEE regulations: Gov-ernment guidance notes. SI 2006 No. 3289. Available onlineat http://www.berr.gov.uk/files/file41165.pdf

European Commission. (2006). Commission Decision of 12April 2006 amending Directive 2002/95/EC of the EuropeanParliament and of the Council as regards exemptions for ap-plications of lead, 2006-310-EC. Available online at http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32006D0310:EN:HTML

European Commission. (2006). Commission Decision of 6September 2006 repealing Directive 91/157/EEC of the Euro-pean Parliament and of the Council on Batteries and Accu-mulators and Waste Batteries and Accumulators, 2006/66/EC.Available online at http://www.rsjtechnical.com/images/Doc-uments/Batteries_Directive_2006_66_EC.pdf

European Commission. (2006). Commission Decision of 12October 2006 amending Directive 2002/95/EC of the Euro-pean Parliament and of the Council as regards exemptions forapplications of lead in crystal glass, 2006-690-EC. Availableonline at http://eur-lex.europa.eu/LexUriServ/site/en/oj/2006/l_283/l_28320061014en00470047.pdf

European Commission. (2006). Commission Decision of 12October 2006 amending Directive 2002/95/EC of the Euro-pean Parliament and of the Council as regards exemptions forapplications of lead and cadmium, 2006-691-EC. Availableonline at http://eur-lex.europa.eu/LexUriServ/site/en/oj/2006/l_283/l_28320061014en00480049.pdf

European Commission. (2006). Commission Decision of 12October 2006 amending Directive 2002/95/EC of the Euro-pean Parliament and of the Council as regards exemptions forapplications of hexavalent chromium, 2006-692-EC. Availableonline at http://eur-lex.europa.eu/LexUriServ/site/en/oj/2006/l_283/l_28320061014en00500051.pdf

European Parliament/Council of the European Union. (2003).

cadmium, and hexavalent chromium. The Cali-

fornia regulations incorporate several exemp-

tions, including a provision stating that products

and applications exempted from the EU RoHS Di-

rective are also exempt from California’s RoHS

regulations.

The California requirements are not as broad

in scope as the EU RoHS Directive. The Califor-

nia RoHS regulations apply only to “covered

electronic devices,” which have been defined to

include:

• cathode ray tubes (CRTs);

• CRT-containing devices (CRT devices);

• computer monitors containing CRTs;

• laptop computers with liquid crystal display

(LCD) screens;

• LCD-containing desktop monitors;

• televisions containing CRTs;

• televisions containing LCD screens;

• plasma televisions; and

• portable DVD players with LCD screens

The California State Assembly recently passed

legislation (Assembly Bill 48) that would have

broadened the definition of “covered electronic

device” to include a much larger number of con-

sumer products. This bill was vetoed by the gov-

ernor on October 13, 2007, however.

What Does the Future Hold for Industry?As more jurisdictions implement their own

versions of RoHS and WEEE, will manufacturers

of electrical and electronic equipment decide to

make all their products comply with the most

stringent regulations in order to avoid having

to design multiple lines of EEE products that are

specific to each individual set of requirements?

Or will manufacturers simply decide not to

market EEE in jurisdictions that have more

stringent requirements than the EU’s RoHS and

WEEE Directives?


Directive 2002/95/EC of the European Parliament and of theCouncil of 27 January 2003 on the Restriction of the Use ofCertain Hazardous Substances in Electrical and ElectronicEquipment (RoHS Directive). Available online athttp://www.rohs.gov.uk/Docs/Links/RoHS%20directive.pdf

European Parliament/Council of the European Union. (2003).Directive 2002/96/EC of the European Parliament and of theCouncil of 27 January 2003 on Waste Electrical and ElectronicEquipment (WEEE Directive). Available online at http://www.rohs.gov.uk/Docs/Links/WEEE%20directive.pdf

Ministry of Commerce of the People’s Republic of China.(2006). Measures for administration of the pollution controlof electronic information products. English translation avail-able online at http://english.mofcom.gov.cn/aarticle/policyre-lease/domesticpolicy/200605/20060502132549.html

Öko Institut e.V. (2006, July 28). Adaptation to scientific andtechnical progress under Directive 2002/95/EC, Final Report.Available online at http://www.rohs-international.com/files//OKI_Institut_rohs_report_on_rationale_for_exemptions.pdf

Prohibition on certain hazardous substances in consumerproducts (Norway). (2007). English translation available on-

line at http://www.rohs-international.com/files//Draft_regula-tions_for_Norwegian_PoHS.pdf

Restriction of the use of certain hazardous substances in elec-trical and electronic equipment regulations 2006 (UnitedKingdom). SI 2006 No. 1463 (Revision of SI 2005 No. 2748).Available online at http://www.berr.gov.uk/files/file30080.pdf

Restrictions on the use of heavy metals in covered electronicdevices. (2006). California Administrative Code title 22, sec-tion 66260.202. Available online at http://www.oal.ca.gov/

Schwarzenegger, A. (2007, October 13). Governor’s veto mes-sage on California State Assembly Bill 48. Available online athttp://gov.ca.gov/pdf/press/2007bills/AB%2048%20Veto%20Message.pdf

The waste electrical and electronic equipment regulations2006 (United Kingdom). SI 2006 No. 3289. Available online athttp://www.dti.gov.uk/files/file35992.pdf

Wright, R., & Elcock, K. (2006, Summer). The RoHS and WEEEDirectives: Environmental challenges for the electrical andelectronic products sector. Environmental Quality Manage-ment, 15(4), 9–24.

Robin Wright is a project director at WSP Environmental Strategies (formerly Environmental Strategies Consulting LLC).She has extensive experience in environmental compliance and management for a variety of projects, including auditing,training, due diligence, investigation and remediation of contaminated properties, wetlands delineation, and constructionoversight. Ms. Wright is experienced in environmental management and analysis, as well as compliance with federal, state,local, and international (Canadian, Mexican, and European) regulations. She performs numerous environmental compli-ance audits at a wide range of manufacturing facilities, including foundries, chemical plants, metal working facilities, ma-chine and assembly plants, and treatment, storage, and disposal facilities. She holds a B.E. degree in environmental en-gineering from Stevens Institute of Technology in Hoboken, New Jersey. Ms. Wright is a member of several professionalorganizations, including the Board of Environmental, Health and Safety Auditor Certifications (BEAC), the Auditing Round-table, and the American Society of Civil Engineers (ASCE). She can be reached at [email protected].

The RoHS and WEEE directives: An update on environmental requirements affecting the electrical and...

Documents

Transcript of The RoHS and WEEE directives: An update on environmental requirements affecting the electrical and...