EN IEC 62321-2:2021
(Main)Determination of certain substances in electrotechnical products - Part 2: Disassembly, disjointment and mechanical sample preparation
Determination of certain substances in electrotechnical products - Part 2: Disassembly, disjointment and mechanical sample preparation
This part of IEC 62321 provides strategies of sampling along with the mechanical preparation of samples from electrotechnical products. These samples can be used for analytical testing to determine the levels of certain substances as described in the test methods in other parts of the IEC 62321 series. Restrictions for substances will vary between geographic regions and can be updated on a regular basis. This document describes a generic process for obtaining and preparing samples prior to the determination of any substance of concern. This document does not provide: - full guidance on each and every product that could be classified as electrotechnical product. Since there is a huge variety of electrotechnical parts, with various structures and compositions, along with the continuous innovations in the industry, it is unrealistic to attempt to provide procedures for the disjointment of every type of part; - guidance regarding other routes to gather additional information on certain substances in a product, although the information collected has relevance to the sampling strategies in this document; - safe disassembly and mechanical disjointment instructions related to electrotechnical products (e.g. mercury-containing switches) and the recycling industry (e.g. how to handle CRTs or the safe removal of batteries). See IEC 62554 [1] 1 for the disjointment and mechanical sample preparation of mercury-containing fluorescent lamps; - sampling procedures for packaging and packaging materials; - analytical procedures to measure the levels of certain substances. This is covered by other standards (e.g. other parts of the IEC 62321 series), which are referred to as "test standards" in this document; - guidelines for assessment of compliance. This document has the status of a horizontal standard in accordance with IEC Guide 108 [2].
Verfahren zur Bestimmung von bestimmten Substanzen in Produkten der Elektrotechnik – Teil 2: Demontage, Zerlegung und mechanische Probenvorbereitung
Détermination de certaines substances dans les produits électrotechniques - Partie 2: Démontage, défabrication et préparation mécanique de l'échantillon
L'IEC 62321-2:2021 fournit des stratégies d'échantillonnage ainsi que de préparation mécanique d'échantillons de produits électrotechniques. Ces échantillons peuvent être utilisés pour un essai analytique visant à déterminer les niveaux de certaines substances, comme cela est décrit dans les méthodes d'essai des autres parties de la série IEC 62321. Les restrictions concernant les substances varient selon les régions géographiques et peuvent régulièrement être mises à jour. Le présent document décrit un processus générique qui permet d'obtenir et de préparer des échantillons avant de déterminer toute substance d’intérêt. Le présent document ne fournit pas: – de recommandations exhaustives pour l’ensemble des produits qui peuvent être considérés comme produits électrotechniques. Étant donné qu'il existe une très grande diversité de pièces électrotechniques, avec différentes structures et compositions, ainsi que des innovations continues de l'industrie, il est irréaliste de tenter de fournir des procédures pour la défabrication de chaque type de pièce; – de recommandations concernant d'autres voies de collecte d’informations supplémentaires sur certaines substances présentes dans un produit, bien que les informations recueillies soient pertinentes pour les stratégies d'échantillonnage du présent document; – d’instructions pour un démontage et une défabrication mécanique sécurisés dans le domaine des produits électrotechniques (par exemple des commutateurs qui contiennent du mercure) et de l'industrie du recyclage (par exemple, comment manipuler des TRC (tubes à rayons cathodiques) ou éliminer des batteries en toute sécurité). Voir l'IEC 62554 pour la défabrication et la préparation mécanique d'échantillons issus de lampes fluorescentes qui contiennent du mercure; – de procédures d'échantillonnage pour l’emballage et les matériaux d’emballage; – de procédures analytiques qui permettent de mesurer les niveaux de certaines substances. Ceci est couvert par d'autres normes (par exemple d'autres parties de la série IEC 62321) qui sont appelées “normes d'essai” dans le présent document; – de lignes directrices d'évaluation de la conformité. Le présent document a le statut d'une norme horizontale conformément au Guide 108 de l'IEC. L'IEC 62321-2:2021 annule et remplace la première édition parue en 2013. Cette édition constitue une révision technique. Cette édition inclut les modifications techniques majeures suivantes par rapport à l'édition précédente. a) Référence à la série IEC 62321 en lieu et place des normes IEC 62321 individuelles. b) Mise à jour de l’organigramme de la Figure 1. Restructuration de l'Article 4 et des exemples de l'Annexe A en conséquence. c) Ajustement des niveaux de risque de certaines parties et matériaux afin de refléter les dernières avancées technologiques et changements de matériaux. Mise à jour du Tableau B.1 pour inclure les niveaux de risque liés aux phtalates. Création du Tableau B.2 pour les autres substances (HBCDD, PAH, par exemple) présentes dans les matériaux polymères.
Določevanje posameznih snovi v elektrotehničnih izdelkih - 2. del: Razstavljanje, odklop in mehanska priprava vzorca
Ta del standarda IEC 62321 določa strategije vzorčenja skupaj z mehansko pripravo vzorcev iz elektrotehničnih izdelkov. Te vzorce je mogoče uporabiti za analitično preskušanje za določitev vsebnosti nekaterih snovi, kot je opisano v preskusnih metodah v drugih delih skupine standardov IEC 62321. Omejitve za snovi se razlikujejo med geografskimi območji in se lahko redno posodabljajo. Ta dokument opisuje splošen postopek za pridobitev in pripravo vzorcev pred določitvijo katere koli zadevne snovi. Ta dokument ne podaja: – popolnih smernic za vsak izdelek, ki ga je mogoče razvrstiti kot elektrotehnični izdelek. Ker hkrati z nenehnimi industrijskimi inovacijami obstaja veliko različnih elektrotehničnih delov z različno konstrukcijo in sestavo, je nerealno, da bi poskušali zagotoviti postopke za razstavljanje vsakega tipa dela pri stikališčih; – smernic glede drugih poti za zbiranje dodatnih informacij o nekaterih snoveh v izdelku, čeprav so zbrane informacije pomembne za strategije vzorčenja v tem dokumentu; – navodil za varno razstavljanje in mehansko razstavljanje pri stikališčih, povezanih z elektrotehničnimi izdelki (npr. stikala, ki vsebujejo živo srebro) in reciklažno industrijo (npr. kako ravnati z zasloni CRT ali varno odstraniti baterije). Glej standard IEC 62554 [1] 1 za razstavljanje pri stikališčih in pripravo mehanskih vzorcev fluorescenčnih sijalk, ki vsebujejo živo srebro; – postopkov vzorčenja za embalažo in embalažne materiale; – analitičnih postopkov za merjenje vsebnosti nekaterih snovi. To je zajeto v drugih standardih (npr. drugih delih skupine standardov IEC 62321), ki so navedeni kot »preskusni standardi« v tem dokumentu; – smernic za oceno skladnosti. Ta dokument ima status usklajenega horizontalnega standarda v skladu z vodilom IEC 108 [2].
General Information
Relations
Standards Content (Sample)
SLOVENSKI STANDARD
01-januar-2022
Nadomešča:
SIST EN 62321-2:2014
Določevanje posameznih snovi v elektrotehničnih izdelkih - 2. del: Razstavljanje,
odklop in mehanska priprava vzorca
Determination of certain substances in electrotechnical products - Part 2: Disassembly,
disjunction and mechanical sample preparation
Détermination de certaines substances dans les produits électrotechniques - Partie 2:
Démontage, désassemblage et préparation mécanique de l'échantillon
Ta slovenski standard je istoveten z: EN IEC 62321-2:2021
ICS:
29.020 Elektrotehnika na splošno Electrical engineering in
general
31.020 Elektronske komponente na Electronic components in
splošno general
71.040.50 Fizikalnokemijske analitske Physicochemical methods of
metode analysis
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
EUROPEAN STANDARD EN IEC 62321-2
NORME EUROPÉENNE
EUROPÄISCHE NORM
October 2021
ICS 13.020.01; 43.040.10 Supersedes EN 62321-2:2014 and all of its amendments
and corrigenda (if any)
English Version
Determination of certain substances in electrotechnical products
- Part 2: Disassembly, disjointment and mechanical sample
preparation
(IEC 62321-2:2021)
Détermination de certaines substances dans les produits Verfahren zur Bestimmung von bestimmten Substanzen in
électrotechniques - Partie 2: Démontage, défabrication et Produkten der Elektrotechnik - Teil 2: Demontage,
préparation mécanique de l'échantillon Zerlegung und mechanische Probenvorbereitung
(IEC 62321-2:2021) (IEC 62321-2:2021)
This European Standard was approved by CENELEC on 2021-10-04. CENELEC members are bound to comply with the CEN/CENELEC
Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC
Management Centre or to any CENELEC member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the
same status as the official versions.
CENELEC members are the national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the
Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2021 CENELEC All rights of exploitation in any form and by any means reserved worldwide for CENELEC Members.
Ref. No. EN IEC 62321-2:2021 E
European foreword
The text of document 111/619/FDIS, future edition 2 of IEC 62321-2, prepared by IEC/TC 111
“Environmental standardization for electrical and electronic products and systems” was submitted to
the IEC-CENELEC parallel vote and approved by CENELEC as EN IEC 62321-2:2021.
The following dates are fixed:
• latest date by which the document has to be implemented at national (dop) 2022–07–04
level by publication of an identical national standard or by endorsement
• latest date by which the national standards conflicting with the (dow) 2024–10–04
document have to be withdrawn
This document supersedes EN 62321-2:2014 and all of its amendments and corrigenda (if any).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CENELEC shall not be held responsible for identifying any or all such patent rights.
Any feedback and questions on this document should be directed to the users’ national committee. A
complete listing of these bodies can be found on the CENELEC website.
Endorsement notice
The text of the International Standard IEC 62321-2:2021 was approved by CENELEC as a European
Standard without any modification.
In the official version, for Bibliography, the following notes have to be added for the standards
indicated:
IEC 62554:2011 NOTE Harmonized as EN 62554:2011 (not modified)
IEC 63000:2016 NOTE Harmonized as EN IEC 63000:2018 (not modified)
IEC 62137-1-2:2007 NOTE Harmonized as EN 62137-1-2:2007 (not modified)
IEC 62239-1:2018 NOTE Harmonized as EN IEC 62239-1:2018 (not modified)
Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments)
applies.
NOTE 1 Where an International Publication has been modified by common modifications, indicated by (mod), the
relevant EN/HD applies.
NOTE 2 Up-to-date information on the latest versions of the European Standards listed in this annex is available
here: www.cenelec.eu.
Publication Year Title EN/HD Year
IEC 62321 (series) Determination of certain substances in EN 62321 (series)
electrotechnical products
IEC 62321-2 ®
Edition 2.0 2021-08
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
colour
inside
HORIZONTAL PUBLICATION
PUBLICATION HORIZONTALE
Determination of certain substances in electrotechnical products –
Part 2: Disassembly, disjointment and mechanical sample preparation
Détermination de certaines substances dans les produits électrotechniques –
Partie 2: Démontage, défabrication et préparation mécanique de l'échantillon
INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
INTERNATIONALE
ICS 13.020.01; 43.040.10 ISBN 978-2-8322-9926-5
– 2 – IEC 62321-2:2021 © IEC 2021
CONTENTS
FOREWORD . 5
INTRODUCTION . 7
1 Scope . 8
2 Normative references . 8
3 Terms, definitions and abbreviated terms . 9
3.1 Terms and definitions . 9
3.2 Abbreviated terms . 9
4 Introduction to sampling . 10
4.1 Introductory remarks . 10
4.2 Requirements for certain substances . 10
4.3 Complexity of electrotechnical products and related challenges . 11
4.4 Sampling procedure . 12
4.5 Scope of the analysis . 13
4.6 Purpose of the analysis . 14
4.7 Testing strategy . 14
5 Sampling plan . 15
5.1 Introductory remarks . 15
5.2 Sampling of a complete product . 15
5.3 Partial disassembly . 16
5.4 Complete disassembly . 16
5.5 Partial disjointment . 16
5.6 Complete disjointment . 16
5.7 Test sample considerations . 17
5.7.1 Introductory remarks . 17
5.7.2 Required sample size . 17
5.7.3 Sample size versus detection limit . 18
5.7.4 Composite sample considerations . 19
5.7.5 Non-uniform "homogeneous materials" . 19
5.7.6 Determination of sampling of homogeneous materials from different
positions . 21
6 Conclusions and recommendations for sampling . 21
7 Mechanical sample preparation . 21
7.1 Overview. 21
7.1.1 Field of application . 21
7.1.2 Quality assurance . 22
7.2 Apparatus, equipment and materials . 22
7.3 Procedure . 23
7.3.1 General . 23
7.3.2 Manual cutting . 23
7.3.3 Coarse grinding or milling . 23
7.3.4 Homogenizing . 23
7.3.5 Fine grinding or milling . 23
7.3.6 Very fine grinding of polymers and organic materials . 24
Annex A (informative) Examples of procedures for sampling and disjointment . 25
Annex B (informative) Probability of the presence of certain substances . 33
Annex C (informative) Composite testing and sampling . 37
IEC 62321-2:2021 © IEC 2021 – 3 –
C.1 Introductory remarks . 37
C.2 Calculated maximum concentration for a composite sample based on
detection limit . 37
C.3 Required detection limit for a composite sample based on the maximum
allowable concentration . 38
Annex D (informative) Tools used in sampling. 40
Annex E (informative) Examples of mobile phone disassembly and disjointment . 41
E.1 General . 41
E.2 Partial disassembly without tools – Mobile phone type A . 41
E.3 Partial disassembly with simple tools – Mobile phone type B. 43
E.4 Complete disassembly – Mobile phone type B . 44
E.5 Partial disjointment – Mobile phone type B . 45
E.6 Complete disjointment – Examples of disjointment of small electronic parts . 46
E.7 Complete disjointment of integrated circuit lead frame package . 48
E.8 Complete disjointment of ball grid array (BGA) package . 48
E.8.1 General . 48
E.8.2 Solder ball removal from BGA package – Hand removal procedure . 49
E.8.3 Solder ball removal from BGA package – Solder ball shear procedure . 50
Bibliography . 51
Figure 1 – Generic iterative procedure for sampling . 12
Figure 2 – Cross-section of a 900 µm wide lead oxide-based resistor (SMD) . 20
Figure A.1 – Methodology for sampling and disjointment . 26
Figure A.2 – Sampling of DVD player . 27
Figure A.3 – Sampling of LCD TV . 28
Figure A.4 – Sampling of PDA . 29
Figure A.5 – Sampling of desk fan . 30
Figure A.6 – Sampling of parts – Thick film resistor . 31
Figure A.7 – Sampling of parts – SMD potentiometer . 32
Figure D.1 – Hot gas gun for removing electronic parts . 40
Figure D.2 – Vacuum pin to remove target electronic devices . 40
Figure E.1 – Mobile phone type A with battery charger and camera lens cap . 41
Figure E.2 – Mobile phone type A with battery and back cover removed . 42
Figure E.3 – Partial disassembly of a mobile phone (type B) into its major parts . 43
Figure E.4 – Complete disassembly of key pad . 44
Figure E.5 – Complete disassembly of bottom housing . 44
Figure E.6 – Complete disassembly of other housing or frame . 45
Figure E.7 – Parts of the TFT display of the mobile phone (type B) after partial
disjointment . 45
Figure E.8 – Parts of the main PCB of the mobile phone (type B) after partial
disjointment . 46
Figure E.9 – Disjointment of lead frame . 48
Figure E.10 – BGA package prior to disjointment . 49
Figure E.11 – BGA package disjointed by hand removal procedure . 49
Figure E.12 – Solder ball material collected from BGA using hand removal procedure . 50
Figure E.13 – BGA solder ball removal using ball shear procedure . 50
– 4 – IEC 62321-2:2021 © IEC 2021
Table 1 – Minimum number of lead frame samples required for analytical testing . 17
Table 2 – Levels of a certain substance (e.g. Pb) in a composite sample . 19
Table B.1 – Probability of the presence of certain substances in materials and parts
used in electrotechnical products . 33
Table B.2 – Probability of the presence of additional certain substances in polymeric
materials . 36
Table C.1 – Calculated maximum concentration for a composite sample based on
detection limit . 38
Table C.2 – Required detection limit for a composite sample based on the maximum
allowable concentration . 39
Table E.1 – Possible certain substances or screening substances from a mobile phone
(type A) . 42
Table E.2 – Possible certain substances in major parts of the mobile phone (type B) . 43
Table E.3 – Examples of disjointment for typical small electronic parts . 47
IEC 62321-2:2021 © IEC 2021 – 5 –
INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
DETERMINATION OF CERTAIN SUBSTANCES
IN ELECTROTECHNICAL PRODUCTS –
Part 2: Disassembly, disjointment and mechanical sample preparation
FOREWORD
1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising
all national electrotechnical committees (IEC National Committees). The object of IEC is to promote international
co-operation on all questions concerning standardization in the electrical and electronic fields. To this end and
in addition to other activities, IEC publishes International Standards, Technical Specifications, Technical Reports,
Publicly Available Specifications (PAS) and Guides (hereafter referred to as “IEC Publication(s)”). Their
preparation is entrusted to technical committees; any IEC National Committee interested in the subject dealt with
may participate in this preparatory work. International, governmental and non-governmental organizations liaising
with the IEC also participate in this preparation. IEC collaborates closely with the International Organization for
Standardization (ISO) in accordance with conditions determined by agreement between the two organizations.
2) The formal decisions or agreements of IEC on technical matters express, as nearly as possible, an international
consensus of opinion on the relevant subjects since each technical committee has representation from all
interested IEC National Committees.
3) IEC Publications have the form of recommendations for international use and are accepted by IEC National
Committees in that sense. While all reasonable efforts are made to ensure that the technical content of IEC
Publications is accurate, IEC cannot be held responsible for the way in which they are used or for any
misinterpretation by any end user.
4) In order to promote international uniformity, IEC National Committees undertake to apply IEC Publications
transparently to the maximum extent possible in their national and regional publications. Any divergence between
any IEC Publication and the corresponding national or regional publication shall be clearly indicated in the latter.
5) IEC itself does not provide any attestation of conformity. Independent certification bodies provide conformity
assessment services and, in some areas, access to IEC marks of conformity. IEC is not responsible for any
services carried out by independent certification bodies.
6) All users should ensure that they have the latest edition of this publication.
7) No liability shall attach to IEC or its directors, employees, servants or agents including individual experts and
members of its technical committees and IEC National Committees for any personal injury, property damage or
other damage of any nature whatsoever, whether direct or indirect, or for costs (including legal fees) and
expenses arising out of the publication, use of, or reliance upon, this IEC Publication or any other IEC
Publications.
8) Attention is drawn to the Normative references cited in this publication. Use of the referenced publications is
indispensable for the correct application of this publication.
9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of patent
rights. IEC shall not be held responsible for identifying any or all such patent rights.
IEC 62321-2 has been prepared by IEC technical committee 111: Environmental
standardization for electrical and electronic products and systems. It is an International
Standard.
This second edition cancels and replaces the first edition published in 2013. This edition
constitutes a technical revision.
This edition includes the following significant technical changes with respect to the previous
edition:
a) Reference to the IEC 62321 series instead of to a list of individual parts of the IEC 62321
series.
b) Update of the flow chart in Figure 1. Restructure of Clause 4 and update of examples in
Annex A.
– 6 – IEC 62321-2:2021 © IEC 2021
c) Adjustment of the risk levels of certain parts and materials to reflect the recent technology
development and material change. Update of Table B.1 to include the risk levels of
phthalates. Creation of Table B.2 for other substances (e.g. HBCDD, PAH) in polymeric
materials.
The text of this International Standard is based on the following documents:
FDIS Report on voting
111/619/FDIS 111/628/RVD
Full information on the voting for its approval can be found in the report on voting indicated in
the above table.
The language used for the development of this International Standard is English.
This document was drafted in accordance with ISO/IEC Directives, Part 2, and developed in
accordance with ISO/IEC Directives, Part 1 and ISO/IEC Directives, IEC Supplement, available
at www.iec.ch/members_experts/refdocs. The main document types developed by IEC are
described in greater detail at www.iec.ch/standardsdev/publications.
A list of all parts in the IEC 62321 series, published under the general title Determination of
certain substances in electrotechnical products, can be found on the IEC website.
The committee has decided that the contents of this document will remain unchanged until the
stability date indicated on the IEC website under webstore.iec.ch in the data related to the
specific document. At this date, the document will be
• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
IMPORTANT – The "colour inside" logo on the cover page of this document indicates that it
contains colours which are considered to be useful for the correct understanding of its
contents. Users should therefore print this document using a colour printer.
IEC 62321-2:2021 © IEC 2021 – 7 –
INTRODUCTION
The widespread use of electrotechnical products has drawn increased attention to their impact
on the environment. In many countries this has resulted in the adaptation of regulations
affecting wastes, substances and energy use of electrotechnical products.
The use of certain substances in electrotechnical products is a source of either concern or
importance in current and proposed regional legislations.
The purpose of the IEC 62321 series is therefore to provide test methods that will allow the
electrotechnical industry to determine the levels of certain substances in electrotechnical
products on a consistent global basis. This document, as an important part of the IEC 62321
series, covers strategies of sampling along with the mechanical preparation.
WARNING – Persons using this document should be familiar with normal laboratory
practice. This document does not purport to address all of the safety problems, if any,
associated with its use. It is the responsibility of the user to establish appropriate safety
and health practices and to ensure compliance with any national regulatory conditions.
– 8 – IEC 62321-2:2021 © IEC 2021
DETERMINATION OF CERTAIN SUBSTANCES
IN ELECTROTECHNICAL PRODUCTS –
Part 2: Disassembly, disjointment and mechanical sample preparation
1 Scope
This part of IEC 62321 provides strategies of sampling along with the mechanical preparation
of samples from electrotechnical products. These samples can be used for analytical testing to
determine the levels of certain substances as described in the test methods in other parts of
the IEC 62321 series. Restrictions for substances will vary between geographic regions and
can be updated on a regular basis. This document describes a generic process for obtaining
and preparing samples prior to the determination of any substance of concern.
This document does not provide:
– full guidance on each and every product that could be classified as electrotechnical product.
Since there is a huge variety of electrotechnical parts, with various structures and
compositions, along with the continuous innovations in the industry, it is unrealistic to
attempt to provide procedures for the disjointment of every type of part;
– guidance regarding other routes to gather additional information on certain substances in a
product, although the information collected has relevance to the sampling strategies in this
document;
– safe disassembly and mechanical disjointment instructions related to electrotechnical
products (e.g. mercury-containing switches) and the recycling industry (e.g. how to handle
CRTs or the safe removal of batteries). See IEC 62554 [1] for the disjointment and
mechanical sample preparation of mercury-containing fluorescent lamps;
– sampling procedures for packaging and packaging materials;
– analytical procedures to measure the levels of certain substances. This is covered by other
standards (e.g. other parts of the IEC 62321 series), which are referred to as "test
standards" in this document;
– guidelines for assessment of compliance.
This document has the status of a horizontal standard in accordance with IEC Guide 108 [2].
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies.
For undated references, the latest edition of the referenced document (including any
amendments) applies.
IEC 62321 (all parts), Determination of certain substances in electrotechnical products
___________
Numbers in square brackets refer to the bibliography.
IEC 62321-2:2021 © IEC 2021 – 9 –
3 Terms, definitions and abbreviated terms
3.1 Terms and definitions
For the purposes of this document, the terms and definitions given in IEC 62321-1 and the
following apply.
ISO and IEC maintain terminological databases for use in standardization at the following
addresses:
• IEC Electropedia: available at http://www.electropedia.org/
• ISO Online browsing platform: available at http://www.iso.org/obp
3.1.1
composite testing
testing of two or more materials as a single sample that could be mechanically disjointed if
necessary
3.1.2
certain substance
substance subject to test methods developed or under development in IEC 62321 (all parts),
such as cadmium, lead, mercury, hexavalent chromium, polybrominated biphenyl,
polybrominated diphenyl ether, phthalates
Note 1 to entry: IEC 62321-1 includes test methods for the evaluation of each of the substances identified in the
definition above.
3.1.3
disassembly
process whereby an item is taken apart in such a way that it could subsequently be reassembled
and made operational
3.1.4
disjointment
process whereby materials are separated by mechanical means such that the item cannot
subsequently be reassembled to make it operational
3.1.5
homogeneous material
one material of uniform composition throughout or a material, consisting of a combination of
materials, that cannot be disjointed or separated into different materials by mechanical actions
such as unscrewing, cutting, crushing, grinding and abrasive processes
[SOURCE: EU RoHS DIRECTIVE 2011/65/EU [3]]
3.1.6
sampling
process of obtaining a sample of an electrotechnical product intended for the analysis for the
presence of certain substance(s)
3.2 Abbreviated terms
AC alternating current
BGA ball grid array
CRT cathode ray tube (television)
DVD digital versatile disc
IC integrated circuit
ICP-MS inductively coupled plasma mass spectrometry
– 10 – IEC 62321-2:2021 © IEC 2021
ICP-AES inductively coupled plasma atomic emission spectroscopy
JEDEC Joint Electronic Devices Engineering Council
LCD liquid crystal display
LED light-emitting diode
LOT line output transformer
MDL method detection limit
OEM original equipment manufacturer
OLED organic light-emitting diode
PBB polybrominated biphenyl
PBDE polybrominated diphenyl ethers
PCB printed circuit board
PCBA printed circuit board assembly
PDA personal digital assistant
SCART Syndicat francais des constructeurs d'appareils radio et television
SIM subscriber identity module
SMD surface mounted device
TFT thin film transistor
TV television
USB universal serial bus
XRF X-ray fluorescence
4 Introduction to sampling
4.1 Introductory remarks
Testing of certain substances in products is performed for different reasons including:
– commercial release of a product (e.g. in fulfillment of a contractual agreement between an
OEM and a part manufacturer);
– assessment of conformity with regulatory limits;
– forensics, in case non-conformity is questioned (why the product does not satisfy contractual
or legal requirements, when did this happen, and how many products are affected?).
Appropriate sampling is crucial when analysing electrotechnical products for the presence of
certain substances. The strategy and process of sampling are often as important as the
analytical test itself. Hence an effective sampling strategy requires a clear understanding of the
electrotechnical product, reasons for the analysis and the requirements to be met.
4.2 Requirements for certain substances
While many regulators, industries and other stakeholders have their own, often non-uniform
requirements for certain substances, it is not the intention of this document to discuss fully
these differences. However, awareness of different requirements for certain substances is an
important step in the sampling strategy. Subclause 4.2 highlights the differences in
requirements concerning certain substances.
– Geographical differences: not all geographies (e.g. country or region) impose a restriction
to the same substances. For example, some regions have chosen to restrict the use of only
a few specific PBDE compounds, while others have a broader restriction regarding this class
of flame-retardants. When sampling a product or part, it is critical to keep in mind what the
differences are in the applicable legal requirements across geographies.
IEC 62321-2:2021 © IEC 2021 – 11 –
– Allowable limits: the typical allowable levels of certain substances in many legislations are
below 1 000 mg/kg. Some certain substances have their limits set to even lower levels, like
100 mg/kg. For some material types, limits for certain substances may be above
1 000 mg/kg, for example lead in copper and aluminum alloys.
– Applicability of the allowable level: the manner in which the allowable level of certain
substances is applied to an electrotechnical product determines the sampling strategy and
how the test results are interpreted. Many regulators apply their allowable limits to
homogeneous materials. However, the interpretation of homogeneous material is not
consistent across the different regions.
– Applicable exemptions: some types of electrotechnical products are exempt from certain
substances requirements. These exemptions may be based on different rationales including
the scope of the restrictions (e.g. for military purposes), the application of the material (e.g.
high melting temperature solder), (maximum) amount of a certain substance in the product,
or the electrical properties of the product.
4.3 Complexity of electrotechnical products and related challenges
The complexity of electrotechnical products impacts the sampling and can have a bearing on
the practical execution of sampling and analysis. The following elements are identified as
relevant to sampling and testing:
a) Miniaturization: miniaturization is one of the key trends in the electrotechnical industry. It
implies that more functionality is provided within a smaller volume. An increased number of
parts and diversity of materials are used per cm of printed circuit board (PCB) every year.
Taking samples for measurement from these small amounts of material is difficult. For
example, the size of surface mounted devices (SMDs) is too small for regular tools to further
disjoint or separate and the quantity of the remaining sample is often too small after
disjointment to satisfy the requirements of adequate analysis.
b) Number of homogeneous materials: many parts have complex structures and are
constructed of multiple layers of different materials. Typically a single electronic part has
between 10 and 20 materials, whereas many electrotechnical products or assemblies
contain hundreds or thousands of parts. This means one electrotechnical product can have
between 1 000 and 10 000 homogeneous materials. Often, homogeneous materials adhere
too tightly together for a clean separation in a practical manner. Experience shows that the
composition often changes due to molecular diffusion between materials (e.g. the
composition of a plating is affected by a base material containing lead). Similarly, present-
day electrotechnical products are made of many parts. A typical TV or laptop computer, for
example, contains thousands of parts. Hence the design database for an OEM may include
several tens of thousands of parts. In Annex E this point is further illustrated in the
disassembly of a mobile phone.
c) Oxidation states of certain substances may not be stable over time. For example, the
concentration of hexavalent chromium in corrosion protection layers can change
significantly with time and storage conditions.
d) Visually undetectable substances: another complicating factor in sampling and testing is
that often certain substances are not visible without supplemental action or optical
enhancement. A part containing a certain substance may look and perform in an identical
manner to one that does not contain it. While there are sometimes visible indications of the
presence of certain substances (e.g. a yellow coating on steel products suggests the
presence of hexavalent chromium), visual detection is not practical.
e) Batch-to-batch variations: most product manufacturers use commodity parts that may come
from multiple suppliers simultaneously, for example cables, resistors and capacitors.
Commodity parts are mixed during production because technically they are fully
interchangeable, as long as they fit the umbrella specification. However, in most cases they
are not chemically identical. Furthermore, experience shows that the materials can be
changed by commodity part suppliers (e.g. in times of shortage) which leads to a change in
the chemical composition of that part. Notification of these changes is not always provided
if the part still meets its technical specification.
– 12 – IEC 62321-2:2021 © IEC 2021
f) Depth of the supply chain: producing electronic parts often involves a complex supply chain.
Relatively simple products, such as an external cable, can utilize supply chains at least
seven tiers deep. The supply chain for a more complex part such as an LCD screen, is
considerably deeper.
These characteristics of the electrotechnical industry show that the management of certain
substances, along with sampling and testing, is not straightforward. The size and number of
parts, and complexity of the supply chain make it challenging to fully grasp the locations of
certain substances in an electrotechnical product. The prospect of implementing homogeneous
material level sampling and testing at the upper tiers of the supply chain (towards finished
products) is not practical for complex products.
4.4 Sampling procedure
The sampling strategy describes the process to be followed to determine the sample. This is
then followed by the actual preparation of the samples and is finalized with the testing. While
different approaches for sampling and testing are likely to apply to different electrotechnical
products, it is possible to describe a generic process that will be applicable in the majority of
cases. This is illustrated by the iterative process shown in Figure 1.
Figure 1 – Generic iterative procedure for sampling strategy
IEC 62321-2:2021 © IEC 2021 – 13 –
The process depicted in Figure 1 contains two iterative loops. The first is in relation to the
disassembly and disjoinment loop that is described further in Clause 5, including as follows
st
• 1 iteration: partial disassembly (see 5.3);
nd
• 2 iteration: complete disassembly (see 5.4);
rd
• 3 iteration: partial disjointment (see 5.5);
th th
• 4 to n iteration: complete disjointment (see 5.6).
The other iterative loop refers to whether the objectives of the assessment have been met,
which is out of the scope of this document.
4.5 Scope of the analysis
The development of the sampling strategy for a particular electrotechnical product or part starts
with the definition of the scope of the analysis. It also includes what can be excluded, based on
knowledge found elsewhere. Some basic questions to be considered in this phase include (not
intended to be exhaustive):
– Which geographies are covered with the test?
– If not all, which of the certain substances are tested (e.g. either because they are restricted
by regulations within the region under scope or because of customer requirements)?
– What are the allowable limits for these certain substances in the applicable geographies?
– What is the complexity of the product or part and is it practical to consider sampling and
testing at the homogeneous material level?
– Are there applicable exemptions applying to one or more of the certain substances to be
tested?
– Is a bill of materials available for the product?
– Are specifications and drawings of the product or part available?
– What is the depth of the supply chain for the parts and materials in this product?
– Are material declarations for this product available?
– Is there any previous experience evaluating this product or similar products that could be
helpful?
– Is there any risk for the certain substances to be found in the materials used in the
product/part?
– Was any screening (e.g. X-ray fluorescence) previously performed on this product or similar
products that could be helpful?
– Is there any information regarding the manufacturing process of parts or materials (metal
making or IC production) used in this product or similar products that could be helpful?
– Are there any perceived process controls present at the part or material suppliers (e.g. level
of trust in the manufacturer)?
– Is there any history of concern with the part or material supplier?
The answers to these and perhaps other, more specific questions will influence the sampling
strategy.
– 14 – IEC 62321-2:2021 © IEC 2021
4.6 Purpose of the analysis
The sampling strategy will also depend on the ultimate objective of the analysis. One strategy
(perhaps used by enforcement authorities) is an analysis to verify if the product contains at
least one certain substance exceeding the allowable limits. This approach involves gradual,
selective sampling, targeting deliberately those parts of the product that are either known, or
are likely to contain certain substances. Each sampling phase could be followed by testing. If
the results are not conclusive to show certain substances are above the allowable limit, a further
stage of sampling and analysis could be performed. Once the test results exceed the allowable
limit for at least one certain substance in any part, the product as a whole is deemed non-
conforming and no further sampling and analysis are necessary. Annex B provides a list of parts
which currently have a probability of the presence of one or more certain substances.
If the objective of the analysis is to release a product for production or to prove full conformity
of the product, a more in-depth sampling strategy than an occasional check on specifications
is necessary. Samples would be prepared from each individual material or part. As the objective
is to cover all parts and materials in a product, other routes may be used to gather information
on a product level. In the downstream supply chain, process documentation and/or analysis
reports may exist that would reduce the effort required in sampling and analysis.
In order to optimize costs and efficiency, the desired outcome of the testing needs to be well
understood. It is often impractical to sample and test all parts and materials of a product. An
organization is left to determine the optimum balance of effort and costs against effectiveness
of the sampling strategy. Some considerations to minimize sampling and testing efforts and
costs are listed below:
– parts or materials with a low probability of containing certain substances (less likely to
contain
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