RoHS enforcement explained

Does anyone really know how the authorities will enforce RoHS or which products they will initially target? The answer is yes.

In May 2006, a group called the EU RoHS Enforcement Authorities Informal Network released a document called the "RoHS Enforcement Guidance Document" with detailed guidance on these questions. The document is aimed at both the authorities themselves and at industry. The document reveals that targeted products will be based on a number of potential criteria including:

• Market intelligence
• Random selection
• Products known to contain materials of high concern
• High-volume products
• Short-life products
• Consumer products unlikely to be recycled
• Notification of concern from external parties
• Notification of concern from other Member States

The possibility of policing by competitors and environmental groups has been widely speculated and clearly the enforcement authorities are anticipating this as well.

There is as much focus on infrastructure as on actual product compliance. The document provides a detailed flow chart of the enforcement process with XRF cited as the primary screening method. Upon investigation, an initial screening test will be performed with XRF and the authorities will request technical documentation from the producer to prove that the product is 100% RoHS compliant. If the authorities are not satisfied that the documentation is sufficient to prove that all homogeneous materials are RoHS compliant or the product fails XRF screening then they will initiate product and/or part testing.

The authorities will be looking for evidence that procedures are being followed to show that materials declarations have been assessed to determine if they can be trusted. The primary reason for failing a RoHS audit is credibility of material declarations.

RoHS and WEEE Specialists has seen numerous declarations that would not withstand scrutiny. For example a laboratory test report for a single component entitled "Electronic Component" submitted for 36 different components purchased from one supplier is not sufficient. We strongly recommend a photograph of the component on the test report as a base line requirement.

If any homogeneous material should fail the testing then either enforcement action will be taken or a remedial action required of the producer. The enforcement could be anything — impounding the product, a fine and/or a jail sentence depending on the Member State.

The document explicitly states that any material analysis must be at the homogeneous material level. We have seen many test reports from reputable test laboratories, primarily from Asia, where they have digested and then tested the entire component. This does not prove RoHS compliance unless the technique used detects to parts per trillion with absolutely none of the banned substances detected.

The guidance document also provides details on test methods and recommends keeping up with the variety of test specifications under development at various trade groups. They specifically name IEC111/54/CD(V) which is the second draft of IEC 111/24/CD. The document recommends screening with ED-XRF but warns of potential inaccuracies in inexperienced hands. Screening can result in a clear pass, a clear fail or a borderline result. Additional testing is required for a borderline result, or if bromine or chromium is found above the clear pass limit.

For testing, the authorities will focus on two primary areas. High concern materials and samples that can be easily separated using ordinary tools that would be typically found in a test laboratory, or by sectioning. (Sectioning is where a component is sliced in half or ground open very smoothly to allow test instruments to see inside a cross section. This is typically used for viewing the internal solder joint with a scanning electronic microscope.)

Interestingly, where a component meets three particular criteria the authorities may regard this as one homogeneous material. The document does also reiterate the European Commission's definition of homogeneous material.

The document also lists some examples of high concern material that the authorities are likely to target. These include the following:

• PVC (cadmium and lead as stabilizer and colorant)
• Polystyrene (PS) and acrylonitrile/butadiene/styrene (ABS) (PBDEas flame retardant)
• Red/orange/yellow plastics (cadmium, lead and chromium VI as leadChromate; as colorant)
• Plated metal enclosures, fasteners, clips, and screws (hexavalentChromium as chromate finish);
• Populated printed-wiring-boards (PWBs) and their components (lead as solder and terminal finish)
• Decorative name plates, buttons (mercury as additive, colorant, curingagent)
• Switches, relays (mercury as component of switch/relay)
• Lead solder used inside components
• Cadmium used in thick-film circuits.

The publicly issued document puts industry and the enforcement agencies on a level playing field. A copy of the document is available at www.raws.co.nz/pdf/rohs_enforcement_guidance_doc.pdf

Original text is here