assistance to the commission on technological socio...

Assistance to the Commission on Technological Socio-Economic and Cost-Benefit Assessment Related to Exemptions from the Substance Restrictions in Electrical and Electronic Equipment:

Study to assess renewal requests for 29 RoHS 2 Annex III exemptions [no. l(a to e -lighting purpose), no. l(f - special purpose), no. 2(a), no. 2(b)(3), no. 2(b)(4), no. 3, no. 4(a), no. 4(b), no. 4(c), no. 4(e), no. 4(f), no. 5(b), no. 6(a), no. 6(b), no. 6(c), no. 7(a), no. 7(c) - I, no. 7(c) - II, no. 7(c) - IV, no. 8(b), no. 9, no. 15, no. 18b, no. 21, no. 24, no. 29, no. 32, no. 34, no. 37]

Carl-Otto Gensch, Oeko-Institut Yifaat Baron, Oeko-Institut Markus Blepp, Oeko-Institut Katja Moch, Oeko-Institut Susanne Moritz, Oeko-Institut Otmar Deubzer, Fraunhofer Institute for Reliability and Microintegration, IZM

07 June 2016

ii

Report for The European Commission

Prepared by Oeko-Institut e.V., Institute for Applied Ecology and Fraunhofer-Institut IZM for Environmental and Reliability Engineering

Oeko-Institut e.V. Freiburg Head Office, P.O. Box 1771 79017 Freiburg, Germany

Tel.:+49 (0) 761 4 52 95-0 Fax +49 (0) 761 4 52 95-288

Web: www.oeko.de

Fraunhofer-Institut IZM Gustav-Meyer-Allee 25 13355 Berlin, Germany

Tel.: +49 (0)30 / 46403-157 Fax: +49 (0)30 / 46403-131

Web: www.fraunhofer.de

Approved by:

Adrian Gibbs, Eunomia

(Peer Review)

.

Carl-Otto Gensch, Oeko Institute e.V

(Project Director)

.

Eunomia Research & Consulting Ltd 37 Queen Square, Bristol, BS1 4QS, UK

Tel: +44 (0)117 9172250 Fax: +44 (0)8717 142942

Web: www.eunomia.co.uk

Acknowledgements:

We would like to express our gratitude towards stakeholders who have taken an active role in the contribution of information concerning the requests for exemption handled in the course of this project.

Disclaimer:

Eunomia Research & Consulting, Oeko-Institut and Fraunhofer Institute IZM have taken due care in the preparation of this report to ensure that all facts and analysis presented are as accurate as possible within the scope of the project. However no guarantee is provided in respect of the information presented, and Eunomia Research & Consulting, Oeko-Institut and Fraunhofer Institute IZM are not responsible for decisions or actions taken on the basis of the content of this report.

http://www.oeko.de/http://www.fraunhofer.de/http://www.eunomia.co.uk/

Study to Assess RoHS Exemptions i

Executive Summary Under Framework Contract no. ENV.C.2/FRA/2011/0020, a consortium led by Eunomia Research & Consulting was requested by DG Environment of the European Commission to provide technical and scientific support for the evaluation of exemption requests under the new RoHS 2 regime. The work has been undertaken by Oeko-Institut and Fraunhofer Institute IZM, and has been peer reviewed by Eunomia Research & Consulting.

E.1.0 Background and Objectives

The RoHS Directive 2011/65/EU entered into force on 21 July 2011 and led to the repeal of Directive 2002/95/EC on 3 January 2013. The Directive can be considered to have provided for two regimes under which exemptions could be considered, RoHS 1 (the former Directive 2002/95/EC) and RoHS 2 (the current Directive 2011/65/EU).

The scope covered by the Directive is now broader as it covers all EEE (as referred to in Articles 2(1) and 3(1));

The former list of exemptions has been transformed in to Annex III and may be valid for all product categories according to the limitations listed in Article 5(2) of the Directive. Annex IV has been added and lists exemptions specific to categories 8 and 9;

The RoHS 2 Directive includes the provision that applications for exemptions have to be made in accordance with Annex V. However, even if a number of points are already listed therein, Article 5(8) provides that a harmonised format, as well as comprehensive guidance taking the situation of SMEs into account shall be adopted by the Commission; and

The procedure and criteria for the adaptation to scientific and technical progress have changed and now include some additional conditions and points to be considered. These are detailed below.

The new Directive details the various criteria for the adaptation of its Annexes to scientific and technical progress. Article 5(1)(a) details the various criteria and issues that must be considered for justifying the addition of an exemption to Annexes III and IV:

The first criterion may be seen as a threshold criterion and cross-refers to the REACH Regulation (1907/2006/EC). An exemption may only be granted if it does not weaken the environmental and health protection afforded by REACH;

Furthermore, a request for exemption must be found justifiable according to one of the following three conditions:

ii

o Substitution is scientifically or technically impracticable, meaning that a substitute material, or a substitute for the application in which the restricted substance is used, is yet to be discovered, developed and, in some cases, approved for use in the specific application;

o The reliability of a substitute is not ensured, meaning that the probability that EEE using the substitute will perform the required function without failure for a period of time comparable to that of the application in which the original substance is included, is lower than for the application itself;

o The negative environmental, health and consumer safety impacts of substitution outweigh the benefits thereof.

Once one of these conditions is fulfilled, the evaluation of exemptions, including an assessment of the duration needed, shall consider the availability of substitutes and the socio-economic impact of substitution, as well as adverse impacts on innovation, and life cycle analysis concerning the overall impacts of the exemption; and

A new aspect is that all exemptions now need to have an expiry date and that they can only be renewed upon submission of a new application.

The current study presented here, evaluates a total of 29 exemption renewal requests for existing exemptions approaching their expiry date.

E.2.0 Key Findings Overview of the Evaluation Results

The exemption requests covered in this project and the applicants concerned, as well as the final recommendations and proposed expiry dates are summarised in Table 1-1. The reader is referred to the corresponding section of this report for more details on the evaluation results.

The not legally binding recommendations for the requests for the renewal of exemptions (29 RoHS 2 Annex III exemptions: no. l(a to e - lighting purpose), no. l(f - special purpose), no. 2(a), no. 2(b)(3), no. 2(b)(4), no. 3, no. 4(a), no. 4(b), no. 4(c), no. 4(e), no. 4(f), no. 5(b), no. 6(a), no. 6(b), no. 6(c), no. 7(a), no. 7(c) - I, no. 7(c) - II, no. 7(c) - IV, no. 8(b), no. 9, no. 15, no. 18b, no. 21, no. 24, no. 29, no. 32, no. 34, no. 37) were submitted to the EU Commission by Oeko-Institut and have already been published at the EU CIRCA website on 27 June 2016. So far, the Commission has not adopted any revision of the Annex to Directive 2011/65/EU based on these recommendations.

Study to Assess RoHS Exemptions iii

Table 1-1: Overview of the exemption requests, associated recommendations and expiry dates

Exemption No.

Wording: Main Entry Sub-Entry

Applicant Recommendation: Proposed Exemption Wording Formulation

Proposed Duration Comments

n. 1

Mercury in single-capped (compact) fluorescent lamps not exceeding (per burner):

NARVA Lichtquellen GmbH + Co. KG LightingEurope

Mercury in single-capped (compact) fluorescent lamps not exceeding (per burner)

a to e (lighting)

1(a) For general lighting purposes < 30 W: 5 mg 1(b) For general lighting purposes 30 W and < 50 W: 5 mg 1(c) For general lighting purposes 50 W and < 150 W: 5 mg 1(d) For general lighting purposes 150 W: 15 mg 1(e) For general lighting purposes with circular or square structural shape and tube diameter 17 mm: 7 mg

(a) For general lighting purposes < 30 W: 2.5 mg (b) For general lighting purposes 30 W and < 50 W: 3.5 mg

For Cat. 8 and Cat. 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. industrial: 21 July 2024

The maximum transition period should be granted to other categories (18 months); The COM should consider adopting measures to limit product availability to B2B transactions.

(c) For general lighting purposes 50 W and < 150 W: 5 mg (d) For general lighting purposes 150 W: 15 mg

For Cat. 5: 21 July 2019; For Cat. 8 and Cat. 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

iv

Exemption No.




(e) For general lighting purposes with circular or square structural shape and tube diameter 17 mm

7 mg may be used per burner until 31.12.2019, 5 mg may be used per burner after 31.12.2019 For Cat. 5: 21 July 2019 For Cat. 8 and Cat. 9: 21 July 2021 For Sub-Cat. 8 in-vitro: 21 July 2023 For Sub-Cat. 9 industrial: 21 July 2024

f (special purpose)

1(f) For special purposes: 5 mg


Mercury in single-capped (compact) fluorescent lamps not exceeding (per burner)

(f)-I For lamps designed to emit light in the ultra-violet spectrum: 5 mg

For Cat. 5: 21 July 2021

The maximum transition period should be granted for other applications and other categories (18 months); Integrating this entry into a UV lamp exemption should be considered.

Study to Assess RoHS Exemptions v

Exemption No.




(f)-II For special purposes: 5 mg

For Cat. 8 and Cat. 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

The COM should consider adopting measures to limit product availability to B2B transactions.

n. 2 (a) Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp):


Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp)

(1-5)

(1) Tri-band phosphor with normal lifetime and a tube diameter < 9 mm (e.g. T2): 5 mg

(2) Tri-band phosphor with normal lifetime and a tube diameter 9 mm and 17 mm (e.g. T5): 5 mg (3) Tri-band phosphor with normal lifetime and a tube diameter > 17 mm and 28 mm (e.g. T8): 5 mg

(4) Tri-band phosphor with normal lifetime

1) Tri-band phosphor with normal lifetime and a tube diameter < 9 mm (e.g. T2): 4 mg

For Cat. 5, 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

(2) Tri-band phosphor with normal lifetime and a tube diameter 9 mm and 17 mm (e.g. T5): 3 mg (3) Tri-band phosphor with normal lifetime and a tube diameter > 17 mm and 28 mm (e.g. T8): 3.5 mg (4) Tri-band phosphor with normal lifetime and a tube diameter > 28 mm (e.g. T12): 3.5 mg

For Cat. 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

The maximum transition period should be granted for other applications and other categories (18 months);

vi

Exemption No.




and a tube diameter > 28 mm (e.g. T12): 5 mg

(5) Tri-band phosphor with long lifetime ( 25 000 h): 8 mg

(5) Tri-band phosphor with long lifetime ( 25 000 h): 5 mg


n. 2 (b) (3)

(3) Non-linear tri-band phosphor lamps with tube diameter > 15 mm (e.g. T9)


2(b) Mercury in other fluorescent lamps not exceeding (per lamp)

(3) Non-linear tri-band phosphor lamps with tube diameter > 17 mm (e.g. T9)

For Cat. 5: 21 July 2019; For Cat. 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

n. 2 (b) (4)

(4) Lamps for other general lighting and special purposes (e.g. induction lamps): 15 mg per lamp

LightingEurope

(I) Lamps for other general lighting and special purposes (e.g. induction lamps); 15 mg may be used per lamp after 31 December 2011


Study to Assess RoHS Exemptions vii

Exemption No.




(II) Lamps emitting light in the non-visible spectrum: 15 mg per lamp


Integrating this entry into a UV lamp exemption should be considered.

(III) Emergency lamps: 15 mg per lamp For Cat. 5: 21 July 2021

(IV) Mercury in other fluorescent special purpose lamps not specifically mentioned in this Annex: 15mg per lamp

For Cat. 5: 21 January 2019

n.3

Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp):

LightingEurope

Mercury in cold cathode fluorescent lamps and external electrode fluorescent lamps (CCFL and EEFL) for special purposes not exceeding (per lamp):

(a) Short length ( 500 mm): 3.5 mg per lamp (b) Medium length (> 500 mm and 1 500 mm): 5 mg per lamp (c) Long length (> 1 500 mm): 13 mg per lamp

(a) Short length ( 500 mm), 3,5 mg may be used per lamp; (b) Medium length (> 500 mm and 1 500 mm), 5 mg may be used per lamp; (c) Long length (> 1 500 mm) 13 mg may be used per lamp


viii

Exemption No.




(d) Short length ( 500 mm), 3,5 mg may be used per lamp in EEE placed on the market before 22 July 2016* (e) Medium length (> 500 mm and 1 500 mm), 5 mg may be used per lamp in EEE placed on the market before 22 July 2016* (f) Long length (> 1 500 mm) 13 mg may be used per lamp in EEE placed on the market before 22 July 2016*

For Cat. 5: 21 July 2021 *or before the ECs decision date on this exemptions renewal

(g) For back-lighting liquid crystal displays, not exceeding 5 mg per lamp, used in industrial monitoring and control instruments placed on the market before 22 July 2017

Alternative a: For Cat. 5: 21 July 2021; or Alternative b: For Sub-Cat. industrial: 21 July 2024

To be considered should Ex. 35 of Annex IV be transferred to Annex III

n.4 (a) Mercury in other low pressure discharge lamps (per lamp): 15 mg per lamp


4(a)-I: Mercury in low pressure non-phosphor coated discharge lamps, where the application requires the main range of the lamp-spectral output to be in the UV spectrum; up to 15 mg mercury may be used per lamp.


The maximum transition period should be granted for other applications and other categories (18 months);

Study to Assess RoHS Exemptions ix

Exemption No.




4(a)-II: Mercury in other low pressure discharge lamps (15 mg may be used per lamp)

For Cat. 8 and Cat. 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

n.4 (b)

Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60:

LightingEurope

Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60:

I) P 155 W: 30 mg per burner

II) 155 W < P 405 W: 40 mg per burner

III) P > 405 W: 40 mg per burner

(I) P 155 W; 30 mg may be used per burner

(II) 155 W < P 405 W; 40 mg may be used per burner

For Cat. 5, 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. industrial: 21 July 2024

(III) P > 405 W; 40 mg may be used per burner


It is understood that these lamps are no longer placed on the market. Thus the exemption appears to have become obsolete, however is specified for Cat. 8 and Cat. 9 in light of Article 5(2).

x

Exemption No.




n.4 (c) Mercury in other High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner)

LightingEurope

Mercury in other High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner):

I) P 155 W: 25 mg per burner

II) 155 W < P 405 W: 30 mg per burner

III) P > 405 W: 40 mg per burner

(I) P 155 W; 25 mg may be used per burner after 31 December 2011

(II) 155 W < P 405 W; 30 mg may be used per burner after 31 December 2011

(III) P > 405 W; 40 mg may be used per burner after 31 December 2011

For Cat. 5: 31 August 2018; For Cat. 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

(IV) P 405 W; 20 mg may be used per burner

(V) P > 405 W; 25 mg may be used per burner

For Cat. 5: from 1 September 2018 until 21 July 2021

n.4(e) Mercury in metal halide lamps (MH) LightingEurope Mercury in metal halide lamps (MH)


Study to Assess RoHS Exemptions xi

Exemption No.




n.4(f) Mercury in other discharge lamps for special purposes not specifically mentioned in this Annex

VskE Lighting Europe VDMA

(I) Mercury in other discharge lamps for special purposes not specifically mentioned in this Annex

For Cat. 8 & 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. industrial: 21 July 2024

(II) Mercury in high pressure mercury vapour lamps used in projectors where an output 2000 lumen ANSI is required


(III) Mercury in high pressure sodium vapour lamps used for horticulture lighting


(IV) Mercury in lamps emitting light in the ultraviolet spectrum for curing and disinfection


n.5(b) Lead in glass of fluorescent tubes not exceeding 0,2 % by weight LightingEurope Lead in glass of fluorescent tubes not exceeding 0,2 % by weight

For Cat. 5: 21 July 2021; For Cat. 8 and Cat. 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

xii

Exemption No.




n.6(a)

Lead as an alloying element in steel for machining purposes and in galvanised steel containing up to 0,35 % lead by weight

Dunkermotoren; The European Steel Association (EUROFER) and European General Galvanizers Association (EGGA) Sensata Technologies

I) Lead as an alloying element in steel for machining purposes containing up to 0,35 % lead by weight

For Cat. 1-7 and 10 and 11: 21 July 2019

II) Lead in batch hot dip galvanized steel components containing up to 0.2% lead by weight


III) Lead as an alloying element in steel for machining purposes and in galvanized steel containing up to 0,35 % lead by weight

For Cat. 8 and 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

n.6(b) Lead as an alloying element in aluminium containing up to 0,4 % lead by weight

AISBL - EAA Sensata Technologies Dunkermotoren

Lead as an alloying element in aluminium

I) with a lead content up to 0.4 % by weight, used for the production of parts not machined with shape cutting chipping technologies


II) for machining purposes with a lead content up to 0.4 % by weight

For Cat. 1-11: 21 July 2021

Study to Assess RoHS Exemptions xiii

Exemption No.




III) Lead as an alloying element in aluminium containing up to 0,4 % lead by weight


n.6(c) Copper alloy containing up to 4 % lead by weight

Bourns Inc. Dunkermotoren Framo Morat Group Sensata Technologies Phoenix Contact GmbH &Co KG; Harting KGaA Lighting Europe

Copper alloy containing up to 4% lead by weight

For Cat. 1-7 and 10 and 11: 21 July 2019; For Cat. 8 and 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

n.7(a) Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead)

Bourns Inc. IXYS Semiconductor GmbH Chenmko Enterprise Co., Ltd Yeashin Technology Co., Ltd Freescale Semiconductor Formosa Microsemi Co., Ltd.

I) Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead)


Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead)

II) in all applications not addressed in items III and IV,

For categories 1 to 7 and 10: 21 July 2021

See exemption report for alternative

xiv

Exemption No.




but excluding applications in the scope of exemption 24

wording proposal for 7(a)(II-IV).

III) for die attach

For categories 1 to 7 and 10: 21 July 2019 IV) for electrical connections

on or near the voice coil in power transducers

n.7(c)-I

Electrical and electronic components containing lead in a glass or ceramic other than dielectric ceramic in capacitors, e.g. piezoelectronic devices, or in a glass or ceramic matrix compound

Bourns Inc. Sensata Technologies YAGEO Corporation RALEC TECHNOLOGY (KUNSHAN) CO. BANDELN electronic GmbH&Co.KG RALEC TECHNOLOGY (KUNSHAN) CO. Japan Electronics & Information Technology Industries Association Murata Elektronik GmbH EPCOS AG VISHAY BC

7(c)-I: Electrical and electronic components containing lead in a ceramic other than dielectric ceramic in discrete capacitor components, e.g. piezoelectronic devices

For categories 1-7 and 10: 21 July 2019

See exemption report for alternative wording proposal for 7(c)-I

7(c)-V: Electrical and electronic components containing lead in a glass or in a glass or ceramic matrix compound.

This exemption does not cover the use of lead in the scope of exemption 34 (cermet-based trimmer potentiometers).



Study to Assess RoHS Exemptions xv

Exemption No.




components BEYSCHLAG GmbH SCHOTT AG

7(d): Electrical and electronic components containing lead in a glass or ceramic other than dielectric ceramic in capacitors, e.g. piezoelectronic devices, or in a glass or ceramic matrix compound

For Cat. 8 and 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023;

For Sub-Cat. 9 industrial: 21 July 2024


n.7(c)-II Lead in dielectric ceramic in capacitors for a rated voltage of 125 V AC or 250 V DC or higher

Murata Elektronik GmbH EPCOS AG VISHAY BC components BEYSCHLAG GmbH JEITA(Japan Electronics & Information Technology Industries Association)

Lead in dielectric ceramic in capacitors for a rated voltage of 125 V AC or 250 V DC or higher


Lead in dielectric ceramic in discrete capacitor components for a rated voltage of 125 V AC or higher, or for a rated voltage of 250 V DC or higher

For Cat. 1-7 and 10: 21 July 2019

n.7(c)-III Recommended modified wording

Lead in dielectric ceramic in discrete capacitor components for a rated voltage of less than 125 V AC, or for a rated voltage of less than 250 V DC

1 January 2013 and after that date may be used in spare parts for EEE placed on the market before 1 January 2013

xvi

Exemption No.




n.7(c)-IV

Lead in PZT-based dielectric ceramic materials for capacitors which are part of integrated circuits or discrete semiconductors

ST Microelectronics

Lead in PZT-based dielectric ceramic materials of capacitors being part of integrated circuits or discrete semiconductors

For Cat. 1-7 and 10: 21 July 2019;



n.8(b) Cadmium and its compounds in electrical contacts

Sensata Technologies National Electrical Manufacturers Association

8(b) Cadmium and its compounds in electrical contacts


8(c): Cadmium and its compounds in electrical contacts of

(I) circuit breakers

(II) thermal motor protectors excluding hermetically sealed thermal motor protectors

For Cat. 1-7 and 10: 21 July 2021

Study to Assess RoHS Exemptions xvii

Exemption No.




(III) thermal sensing controls For Cat. 1-7 and 10: 21 July 2019

(IV) AC switches rated at 6 A and more in combination with 250 V AC and more

(V) AC switches rated at 12 A and more in combination with 125 V AC and more

Applies to EEE in Cat. 1 to 5, 7 and 10

For Cat. 1 to 5, 7 and 10: 21 July 2019

(VI) AC switches for corded tools rated at 6 A and more in combination with 250 V AC and more

(VII) AC switches for corded tools rated at 12 A and more in combination with 125 V AC and more

(VIII) DC switches for cordless tools with a rated current of 20 A and more in combination with at a rated voltage of 18 V DC and more

(IX) switches for tools conceived to be used with power supplies of 200 Hz and more

Applies to Cat. 6 EEE: 21 July 2021

xviii

Exemption No.




n.9

Hexavalent chromium as an anticorrosion agent of the carbon steel cooling system in absorption refrigerators up to 0,75 % by weight in the cooling solution

Dometic

Hexavalent chromium as an anticorrosion agent applied in carbon steel cooling systems of absorption refrigerators of applications:

(I) designed to operate with electrical heater only, with up to 0,75 % by weight in the cooling solution

For Cat. 1: 21.7.2019 (three years)

(II) designed to operate with variable energy sources

(III) designed to operate with other than an electrical heater

n.15

Lead in solders to complete a viable electrical connection between semiconductor die and carrier within integrated circuit flip chip packages

Intel Corporation

I) Lead in solders to complete a viable electrical connection between semiconductor die and carrier within integrated circuit flip chip packages



Study to Assess RoHS Exemptions xix

Exemption No.




II) Lead in solders to complete a viable electrical connection between semiconductor die and the carrier within integrated circuit flip chip packages where one of the below criteria applies:

a) A semiconductor technology node of 90 nm or larger


b) A single die of 300 mm2 or larger in any semiconductor technology node


c) Stacked die packages with dies of 300 mm or larger, or silicon interposers of 300 mm2 or larger


d) Flip chip on lead frame (FCOL) packages with a rated current of 3 A or higher and dies smaller than 300 mm

The exemption cannot be recommended but is added here in case the Commission would decide that it should be granted

xx

Exemption No.




n.18(b)

Lead as activator in the fluorescent powder (1 % lead by weight or less) of discharge lamps when used as sun tanning lamps containing phosphors such as BSP (BaSi 2 O 5 :Pb)

NARVA Lichtquellen GmbH + Co. KG Lighting Europe

Lead as activator in the fluorescent powder (1 % lead by weight or less) of discharge lamps containing phosphors such as BSP (BaSi2O5 :Pb), when used:

I. in tanning equipment; or

II. in Annex I category 8 medical phototherapy equipment - excluding applications falling under point 34 of Annex IV


n.21

Lead and cadmium in printing inks for the application of enamels on glasses, such as borosilicate and soda lime glasses

Lighting Europe

I. Cd when used in colour printed glass to provide filtering functions, used as a component in lighting applications installed in displays and control panels of EEE

For Cat. 1-7 and 10: 21 July 2021

The EU Commission should consider if it would not be more beneficial to add this entry to Ex. 13b.

II. Alternative A: Cadmium in printing inks for the application of enamels on glasses, such as borosilicate and soda lime glasses, when used to comply with harmonised standards specifying the use of

For Cat. 1-7 and 10: 21 July 2021

The EU Commission could consider providing a shorter validity period so as to promote the supply chain to develop a strategy for research and

Study to Assess RoHS Exemptions xxi

Exemption No.




particular hues for safety applications.

Alternative B: Cadmium in printing inks for the application of enamels on glasses, such as borosilicate and soda lime glasses, excluding Cd used in colour printed glass to provide filtering functions.

development of alternatives for Cd-based inks.

III. Lead in printing inks for the application of enamels on other than borosilicate glasses.

For Cat. 1-4, 6,7 and 10: 21 July 2019

The recommended period should suffice to establish the reliability of Pb-free substitutes in other than borosilicate glasses.

xxii

Exemption No.




IV. Lead and cadmium in printing inks for the application of enamels on glasses, such as borosilicate and soda lime glasses

For Cat. 8 and Cat. 9: 21 July 2021;

For Sub-Cat. 8 in-vitro: 21 July 2023;

For Sub-Cat. 9 industrial: 21 July 2024;

As it can be understood that the exemption duration may vary for various categories on the basis of Article 5(2), expiration dates have been specified here on the basis of the validity periods specified in Article 5(2) for categories, which are newly in scope.

n.24

Lead in solders for the soldering to machined through hole discoidal and planar array ceramic multilayer capacitors

Knowles

Lead in solders for the soldering to machined through hole discoidal and planar array ceramic multilayer capacitors

For Cat. 1-7 and 10: 21 January 2019;




Study to Assess RoHS Exemptions xxiii

Exemption No.




n.29 Lead bound in crystal glass as defined in Annex I (Categories 1, 2, 3 and 4) of Council Directive 69/493/EEC ( 1 )

EUROPEAN DOMESTIC GLASS and LightingEurope

Lead bound in crystal glass as defined in Directive 69/493/EEC

For Cat. 1-10: 21 July 2021 For Sub-Cat. 8 in-vitro: 21 July 2023 For Sub-Cat. industrial: 21 July 2024

n.32 Lead oxide in seal frit used for making window assemblies for Argon and Krypton laser tubes

Coherent Inc. JDSU

Lead oxide in seal frit used for making window assemblies for Argon and Krypton laser tubes

For Cat. 1-10: 21 July 2021 For Sub-Cat. 8 in-vitro: 21 July 2023 For Sub-Cat. industrial: 21 July 2024

n.34 Lead in cermet-based trimmer potentiometer elements General Electric Lead in cermet-based trimmer potentiometers

For Cat. 1-7 and 10: 21 July 2019;




xxiv

Exemption No.




n.37 Lead in the plating layer of high voltage diodes on the basis of a zinc borate glass body

IXYS Semiconductor GmbH General Electric

Lead in the plating layer of high voltage diodes on the basis of a zinc borate glass body

For categories 1-7 and 10: 21 July 2019; For Cat. 8 and 9: 21 July 2021; For Sub-Cat. 8 in-vitro: 21 July 2023; For Sub-Cat. 9 industrial: 21 July 2024

The report includes the following sections:

Section 1.0: Project Set-up

Section 2.0: Scope

Section 3.0: Links from the Directive to the REACH Regulation

Sections 4.0 through 34.0: Evaluation of the requested exemptions handled in the course of this project.

Study to Assess RoHS Exemptions xxv

Contents E.1.0 Background and Objectives ............................................................................. i

E.2.0 Key Findings Overview of the Evaluation Results ........................................... ii

1.0 Project Set-up................................................................................................. 1

2.0 Scope ............................................................................................................. 1

3.0 Links from the Directive to the REACH Regulation ........................................... 3

4.0 Exemptions 1-4 Regarding the Use of Mercury in Lamps General Aspects ..... 8

4.1 Background ............................................................................................................. 9

4.2 Annex I Category Covered by this Exemption....................................................... 10

4.3 Justification for the Exemption Renewals ............................................................ 11

4.3.1 Amount of Mercury Used under the Exemptions ........................................... 11

4.3.2 Alternatives to Hg-based Discharge Lamps ................................................... 17

4.3.3 Environmental Arguments ............................................................................. 19

4.3.4 Socio-economic Impact of Substitution .......................................................... 22

4.3.5 Road Map to Substitution .............................................................................. 23

4.3.6 The Minamata Convention ............................................................................. 23

4.4 Stakeholder Contributions .................................................................................... 25

4.5 Critical Review ....................................................................................................... 30

4.5.1 REACH Compliance Relation to the REACH Regulation ............................... 31

4.5.2 Scientific and Technical Practicability of Substitution .................................... 31


4.5.4 Safety Aspects ................................................................................................ 38



4.5.7 Stakeholder Contributions .............................................................................. 40

4.5.8 The Scope of the Exemption ........................................................................... 41

4.6 References Exemptions 1-4 General Aspects .................................................... 42

5.0 Exemption 1(a-e): "Mercury in single capped (compact) fluorescent lamps not exceeding (per burner) .......................................................................... 44

5.1 Background ........................................................................................................... 45

5.1.1 Amount of Lead Used under the Exemption .................................................. 45

xxvi

5.2 Description of Requested Exemption ................................................................... 47

5.3 Applicants Justification for Exemption ................................................................ 50

5.3.1 Possible Alternatives for Substituting RoHS Substances ................................ 50

5.3.2 Possible Alternatives for Eliminating RoHS Substances ................................. 50


5.3.4 Roadmap to Substitution................................................................................ 55


5.5 Critical Review ....................................................................................................... 61



5.5.3 Stakeholder Contributions .............................................................................. 69


5.5.5 Conclusions ..................................................................................................... 72

5.6 Recommendation .................................................................................................. 77

5.7 References Exemption 1(a-e) ................................................................................ 79

6.0 General Recommendation Regarding Exemptions for Special Purpose Lamps . 82

7.0 Exemption 1(f): Mercury in single capped (compact) fluorescent lamps not exceeding (per burner) For Special purposes: 5 mg ........................................ 85

7.1 Background ........................................................................................................... 86

7.2 Applicants Justification for Exemption ................................................................ 86

7.2.1 Possible Alternatives for Substituting RoHS Substances ................................ 89

7.2.2 Possible Alternatives for Eliminating RoHS Substances ................................. 89




7.4 Critical Review ....................................................................................................... 93




7.4.4 Exemption Wording Formulation ................................................................... 98

7.4.5 Conclusions ..................................................................................................... 98

7.5 Recommendation ................................................................................................ 100

Study to Assess RoHS Exemptions xxvii

7.6 References Exemption (1f).................................................................................. 101

8.0 Exemption 2(a)(1-5): " Mercury in double-capped linear fluorescent lamps for general lighting purposes not exceeding (per lamp): [various entries] .. 102

8.1 Background ......................................................................................................... 103

8.2 Description of Requested Exemption ................................................................. 104

8.2.1 Amount of Mercury Used under the Exemption ........................................... 109

8.3 Applicants Justification for Exemption .............................................................. 109

8.3.1 Possible Alternatives for Substituting RoHS Substances .............................. 110

8.3.2 Possible Alternatives for Eliminating RoHS Substances ............................... 110

8.3.3 Environmental Arguments ........................................................................... 114

8.3.4 The Minamata Convention ........................................................................... 116

8.3.5 Road Map to Substitution ............................................................................ 116

8.4 Stakeholder Contributions .................................................................................. 116

8.5 Critical Review ..................................................................................................... 119

8.5.1 Scientific and Technical Practicability of Substitution .................................. 119


8.5.3 Stakeholder Contributions ............................................................................ 124

8.5.4 Conclusions ................................................................................................... 125

8.6 Recommendation ................................................................................................ 127

8.7 References Exemption 2(a)(1-5) ......................................................................... 128

9.0 Exemption 2(b)(3): "Mercury in other fluorescent lamps not exceeding (per lamp): (3) Non-linear tri-band phosphor lamps with tube diameter > 17 mm (e.g. T9) ..................................................................................................... 131

9.1 Background ......................................................................................................... 132

9.2 Description of Requested Exemption ................................................................. 132


9.3 Applicants Justification for Exemption .............................................................. 135





9.4 Stakeholder Contributions .................................................................................. 138

9.5 Critical Review ..................................................................................................... 138

xxviii




9.5.4 Conclusions ................................................................................................... 140

9.6 Recommendation ................................................................................................ 142

9.7 References Exemption 2(b)(3) ............................................................................ 143

10.0 Exemption 2(b)4: Lamps for other general lighting and special purposes (e.g. induction lamps): 15 mg may be used per lamp after 31 December 2011 ...... 144

10.1 Background ................................................................................................... 145

10.2 Description of Requested Exemption .......................................................... 145

10.1 Applicants Justification for Exemption ........................................................ 146




10.1.4 Socio-economic Impact of Substitution ........................................................ 150


10.2 Stakeholder Contributions ........................................................................... 151

10.3 Critical Review .............................................................................................. 151




10.3.4 The Scope of the Exemption ......................................................................... 155

10.3.5 Exemption Wording Formulation ................................................................. 156

10.3.6 Conclusions ................................................................................................... 157

10.4 Recommendation ......................................................................................... 158

10.5 References Exemption 2(b)4 ........................................................................ 159

11.0 Exemption 3(a-c): "Mercury in other fluorescent lamps not exceeding (per lamp): (3) Non-linear tri-band phosphor lamps with tube diameter > 15 mm (e.g. T9) ..................................................................................................... 160

11.1 Background ................................................................................................... 161




Study to Assess RoHS Exemptions xxix




11.3.4 Roadmap to Substitution.............................................................................. 167


11.5 Critical Review .............................................................................................. 168




11.5.4 Scope ............................................................................................................ 171

11.5.5 Conclusions ................................................................................................... 172

11.6 Recommendation ......................................................................................... 172

11.7 References Exemption 3(a-c): ...................................................................... 173

12.0 Exemption 4(a)"Mercury in other low pressure discharge lamps (per lamp): (a) 15 mg per lamp" ..................................................................................... 174

12.1 Background ................................................................................................... 175








12.5 Critical Review .............................................................................................. 182





12.5.5 Conclusions ................................................................................................... 185

12.6 Recommendation ......................................................................................... 186

12.7 References Exemption 4(a) .......................................................................... 187

xxx

13.0 Exemption 4(b)(I-III): " Mercury in High Pressure Sodium (vapour) lamps for general lighting purposes not exceeding (per burner) in lamps with improved colour rendering index Ra > 60 ................................................... 188

13.1 Background ................................................................................................... 189









13.5 Critical Review .............................................................................................. 199




13.5.4 Conclusions ................................................................................................... 201

13.6 Recommendation ......................................................................................... 202

13.7 References Exemption 4(b)(I-III): ................................................................. 203

14.0 Exemption 4(c)(I-III): "Mercury in other High Pressure Sodium (Vapour) Lamps for General Lighting Purposes not Exceeding (Per Burner):............... 204

14.1 Background ................................................................................................... 205









14.5 Critical Review .............................................................................................. 219



Study to Assess RoHS Exemptions xxxi


14.5.4 Conclusions ................................................................................................... 221

14.6 Recommendation ......................................................................................... 222

14.7 References Exemption 4(c)(I-III): .................................................................. 223

15.0 Exemption 4(e): "Mercury in Metal Halide Lamps (MH) .............................. 224

15.1 Background ................................................................................................... 225









15.5 Critical Review .............................................................................................. 238




15.5.4 Conclusions ................................................................................................... 244

15.6 Recommendation ......................................................................................... 245

15.7 References Exemption 4(e): ......................................................................... 246

16.0 Exemption 4(f): "Mercury in other discharge lamps for special purposes not specifically mentioned in this Annex .......................................................... 247

16.1 Background ................................................................................................... 248



16.2.2 Specified Lamp Technologies/Applications Falling under Ex. 4(f) ................ 256






xxxii




16.5 Critical Review .............................................................................................. 269




16.5.4 Conclusions ................................................................................................... 272

16.6 Recommendation ......................................................................................... 273

16.7 References Exemption 4(f): .......................................................................... 274

17.0 Exemption 5(b): "Lead in glass of fluorescent tubes not exceeding 0,2 % by weight ....................................................................................................... 276

17.1 Background ................................................................................................... 276

17.1.1 Amount of Lead Used under the Exemption ................................................ 277



17.3.1 Possible Alternatives for Substitution .......................................................... 279




17.5 Critical Review .............................................................................................. 280

17.5.1 REACH Compliance Relation to the REACH Regulation ............................. 280

17.5.2 Scientific and Technical Practicability of Substitution, environmental arguments .................................................................................................... 281



17.5.5 Conclusions ................................................................................................... 282

17.6 Recommendation ......................................................................................... 283

17.7 References Exemption 5b ............................................................................ 284

18.0 Exemption 6a: "Lead as an alloying element in steel for machining purposes and in galvanised steel containing up to 0,35 % lead by weight" .................. 285

18.1 Background ................................................................................................... 286


Study to Assess RoHS Exemptions xxxiii




18.3.2 Possibilities for Reducing RoHS Substances ................................................. 295





18.5 Critical Review .............................................................................................. 300

18.5.1 REACH Compliance Relation to the REACH Regulation ............................. 300


18.5.3 Possibilities for Reducing RoHS Substances ................................................. 305





18.5.8 Conclusions ................................................................................................... 311

18.6 Recommendation ......................................................................................... 312

18.7 References Exemption 6a............................................................................. 314

19.0 Exemption 6b: "Lead as an alloying element in aluminium containing up to 0,4 % lead by weight" .................................................................................. 316

19.1 Background ................................................................................................... 317

19.1.1 History of the Exemption .............................................................................. 318






19.3.3 Socio-Economic Impact of Substitution ........................................................ 323



19.5 Critical Review .............................................................................................. 324

xxxiv

19.5.1 REACH Compliance - Relation to the REACH Regulation .............................. 324






19.5.7 Conclusions ................................................................................................... 333

19.6 Recommendation ......................................................................................... 335


20.0 Exemption 6c: "Copper alloy containing up to 4% lead by weight" ............... 338

20.1 Background ................................................................................................... 339










20.5 Critical Review .............................................................................................. 355



20.5.3 Possible Alternatives for Eliminating or Reducing RoHS Substances ........... 360





20.5.8 Conclusions ................................................................................................... 363

20.6 Recommendation ......................................................................................... 364

20.7 References Exemption 6c ............................................................................. 366

21.0 Exemption 7a .............................................................................................. 369

Study to Assess RoHS Exemptions xxxv

21.1 Description of the Requested Exemption .................................................... 370

21.1.1 Overview of the Submitted Exemption Requests ......................................... 370

21.1.2 Background and History of the Exemption................................................... 371

21.1.3 Technical Description of the Requested Exemption ..................................... 373

21.1.4 Amount of Lead Used Under Exemption 7(a) ............................................... 389

21.2 Applicants Justification for the Continuation or Repealment of the Exemption ..................................................................................................................... 391

21.2.1 Substitution of LHMPS by Lead-free Solders and Conductive Adhesives ..... 391

21.2.2 Elimination of LHMPS ................................................................................... 395

21.2.3 Substitution and Elimination of Lead in High Power Transducers (Bosch) .. 398

21.2.4 Other Stakeholder Contributions .................................................................. 399

21.2.5 Environmental Impacts ................................................................................ 401

21.3 Roadmap for Substitution or Elimination of Lead ....................................... 401

21.4 Critical Review .............................................................................................. 405


21.4.2 Substitution and Elimination of Lead in High Power Transducers (Bosch) .. 406

21.4.3 Substitution and Elimination of Lead Die Attach ......................................... 407

21.4.4 Substitution and Elimination of Lead in Other Applications of LHMPS ........ 411

21.4.5 Specification of Exemption 7(a) .................................................................... 412

21.4.6 Conclusions ................................................................................................... 417

21.5 Recommendation ......................................................................................... 418

21.5.1 Wording of Exemption 7(a) .......................................................................... 418

21.5.2 Applicants Statements Concerning the Split of Exemption 7(a).................. 419

21.6 References Exemption 7(a) .......................................................................... 420

22.0 Exemption 7c-I: Electrical and electronic components containing lead in a glass or ceramic other than dielectric ceramic in capacitors, e.g. piezoelectronic devices, or in a glass or ceramic matrix compound ............. 424

22.1 Background and History of the Exemption .................................................. 426


22.2.1 Overview of the Submitted Exemption Requests ......................................... 427

22.2.2 Technical Background of the Requests for Renewal of Exemption 7c-I (Murata/JEITA et al.) .................................................................................... 432

xxxvi

22.2.3 Technical Background of the Bandelin Application-specific Exemption Request ......................................................................................................... 436

22.2.4 Technical Description of the Bourns Exemption Request ............................. 437

22.2.5 Technical Description of the IXYS Application-specific Exemption Request . 437

22.2.6 Technical Background of the Pyreos Application-specific Exemption Request ......................................................................................................... 439

22.2.7 Technical Background of the Schott Exemption Request ............................. 441

22.2.8 Technical Background of the Sensata Exemption Request .......................... 442

22.2.9 Amount of Lead Used Under the Exemption ................................................ 443

22.3 Applicants Justifications for the Exemption ................................................ 444

22.3.1 General Status of Lead Substitution in Ceramics of Electrical and Electronic Components ................................................................................. 444

22.3.2 Substitution of Lead in PZT Ceramics ........................................................... 447

22.3.3 Substitution of Lead in PTC Semiconductor Ceramics .................................. 456

22.3.4 Substitution of Lead in Glass and Glass/Ceramic Matrix Compounds ......... 460

22.3.5 Impacts on Environment, Health and Resources ......................................... 478

22.4 Roadmap for Substitution or Elimination of Lead ....................................... 479

22.4.1 Substitution and Elimination of Lead in Piezoelectric and PTC Ceramics .... 479

22.4.2 Substitution and Elimination of Lead in Glass and Glass or Ceramic Matrix Compounds ................................................................................................... 480

22.5 Critical Review .............................................................................................. 481


22.5.2 Substitution and Elimination of Lead in Ceramics ........................................ 483

22.5.3 Substitution and Elimination of Lead in Glass and Glass or Ceramic Matrix Compounds ................................................................................................... 488

22.5.4 Specification of the 7c-series Exemptions .................................................... 490

22.5.5 Conclusions ................................................................................................... 495

22.6 Recommendation ......................................................................................... 496

22.7 References Exemption 7c-I........................................................................... 498

23.0 Exemption 7c-II Lead in Dielectric Ceramic in Capacitors for a Rated Voltage of 125 V AC or 250 V DC or Higher .............................................................. 502



23.1.2 Technical Description of the Exemption ....................................................... 503

Study to Assess RoHS Exemptions xxxvii


23.2 Applicants Justification for the Renewal of the Exemption ........................ 506

23.2.1 Clarification of the Exemption Scope ........................................................... 506

23.2.2 Substitution of Lead ...................................................................................... 506

23.2.3 Elimination of Lead ....................................................................................... 508

23.3 Roadmap for Substitution or Elimination of RoHS-Restricted Substance ... 508

23.4 Critical Review .............................................................................................. 509


23.4.2 Substitution and Elimination of Lead ........................................................... 511

23.4.3 Rewording of the Exemption ........................................................................ 514

23.4.4 Conclusions ................................................................................................... 514

23.5 Recommendation ......................................................................................... 516

23.6 References Exemption 7c-II.......................................................................... 517

24.0 Exemption 7c-IV Lead in PZT based dielectric ceramic materials for capacitors which are part of integrated circuits or discrete semiconductors 518




24.1.3 Amounts of Lead Used under Exemption 7c-IV ............................................ 524

24.2 Applicants Justification for the Continuation of the Exemption ................. 525

24.2.1 Alternatives to PZT-based Integrated Passive Devices in Thin Film High Density Capacitors ........................................................................................ 525


24.4 Critical Review .............................................................................................. 531


24.4.2 Substitution and Elimination of Lead - Specification of the Exemption ....... 533

24.4.3 Conclusions ................................................................................................... 535

24.5 Recommendation ......................................................................................... 536

24.6 References Exemption 7c-IV ........................................................................ 537

25.0 Exemption 8b: Cadmium and its Compounds in Electrical Contacts ........... 538



xxxviii

25.1.2 Amount of Lead Used Under the Exemption ................................................ 540


25.2 Applicants Justification for the Continuation of the Exemption ................. 543

25.2.1 NEMA et al.................................................................................................... 543

25.2.2 Sensata ......................................................................................................... 545

25.2.3 Marquardt .................................................................................................... 548

25.2.4 Ubukata ........................................................................................................ 550


25.3.1 NEMA et al.................................................................................................... 551

25.3.2 Sensata ......................................................................................................... 552

25.3.3 Ubukata and Marquardt .............................................................................. 553

25.4 Critical Review .............................................................................................. 553

25.4.1 REACH ........................................................................................................... 553

25.4.2 Substitution and Elimination of Cadmium ................................................... 554

25.4.3 Conclusions ................................................................................................... 555

25.5 Recommendation ......................................................................................... 559

25.5.1 Rewording of the Exemption ........................................................................ 559

25.5.2 Stakeholders Comments on the Rewording Proposal ................................. 560


26.0 Exemption 9: "Hexavalent chromium as an anticorrosion agent of the carbon steel cooling system in absorption refrigerators up to 0,75 % by weight in the cooling solution" .................................................................... 564

26.1 Background ................................................................................................... 565

26.1.1 History of the Exemption .............................................................................. 567

26.1.2 Amount of Hexavalent Chromium Used under the Exemption .................... 568







26.5 Critical Review .............................................................................................. 573

Study to Assess RoHS Exemptions xxxix







26.5.7 Conclusions ................................................................................................... 579

26.6 Recommendation ......................................................................................... 580

26.7 References Exemption 9 .............................................................................. 581

27.0 Exemption 15Lead in solders to complete a viable electrical connection between semiconductor die and carrier within integrated circuit flip chip packages .................................................................................................... 583


27.1.1 Background and History of the

assistance to the commission on technological socio...

Documents