EN 62321-2:2014

SLOVENSKI STANDARD
01-junij-2014
1DGRPHãþD
SIST EN 62321:2009
'RORþHYDQMHSRVDPH]QLKVQRYLYHOHNWURWHKQLþQLKL]GHONLKGHO5D]VWDYOMDQMH
RGNORSLQPHKDQVNDSULSUDYDY]RUFD,(&
Determination of certain substances in electrotechnical products - Part 2: Disassembly,
disjunction and mechanical sample preparation
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, désassemblage et préparation mécanique de l'échantillon
Ta slovenski standard je istoveten z: EN 62321-2:2014
ICS:
29.020 Elektrotehnika na splošno Electrical engineering in
general
31.020 Elektronske komponente na Electronic components in
splošno general
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EUROPEAN STANDARD
EN 62321-2
NORME EUROPÉENNE
April 2014
EUROPÄISCHE NORM
ICS 13.020; 43.040.10 Supersedes EN 62321:2009 (partially)

English version
Determination of certain substances in electrotechnical products -
Part 2: Disassembly, disjointment and mechanical sample preparation
(IEC 62321-2:2013)
Détermination de certaines substances Verfahren zur Bestimmung von
dans les produits électrotechniques - bestimmten Substanzen in Produkten der
Partie 2: Démontage, désassemblage et Elektrotechnik -
préparation mécanique de l'échantillon Teil 2: Demontage, Zerlegung und
(CEI 62321-2:2013) mechanische Probenvorbereitung
(IEC 62321-2:2013)
This European Standard was approved by CENELEC on 2013-11-15. 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, Former Yugoslav Republic of Macedonia, France, Germany,
Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Norway, Poland,
Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom.

CENELEC
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung

CEN-CENELEC Management Centre: Avenue Marnix 17, B - 1000 Brussels

© 2014 CENELEC - All rights of exploitation in any form and by any means reserved worldwide for CENELEC members.
Ref. No. EN 62321-2:2014 E
Foreword
The text of document 111/301/FDIS, future edition 1 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 62321-2:2014.
The following dates are fixed:
(dop) 2014-10-25
• latest date by which the document has
to be implemented at national level by
publication of an identical national
standard or by endorsement
(dow) 2016-11-15
• latest date by which the national
standards conflicting with the

document have to be withdrawn
1)
replacing Clause 5 and incorporating IEC/PAS 62596:2009 [1] which will be withdrawn upon publication
of IEC 62321-2.
Future parts in the EN 62321 series will gradually replace the corresponding clauses in EN 62321:2009.
Until such time as all parts are published, however, EN 62321:2009 remains valid for those clauses not
yet re-published as a separate part.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CENELEC [and/or CEN] shall not be held responsible for identifying any or all such patent
rights.
Endorsement notice
The text of the International Standard IEC 62321-2:2013 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 NOTE Harmonised as EN 62554 (not modified).
IEC 62542 NOTE Harmonised as EN 62542 (not modified).
IEC 62321-6 NOTE Harmonised as EN 62321-6 (not modified).
IEC 62321-7-1 NOTE Harmonised as EN 62321-7-1 (not modified).
IEC 62137-1-2 NOTE Harmonised as EN 62137-1-2 (not modified).

1)
Numbers in square brackets refer to the Bibliography.

- 3 - EN 62321-2:2014
Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications

The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.

NOTE  When an international publication has been modified by common modifications, indicated by (mod), the relevant EN/HD
applies.
Publication Year Title EN/HD Year

IEC 62321-1 - Determination of certain substances in EN 62321-1 -
electrotechnical products - Part 1: Introduction
and overview
IEC 62321-3-1 - Determination of certain substances in EN 62321-3-1 -
electrotechnical products - Part 3-1: Screening
electrotechnical products for lead, mercury,
cadmium, total chromium and total bromine
using X-ray Fluorescence Spectrometry

IEC 62321-3-2 - Determination of certain substances in EN 62321-3-2 -
electrotechnical products - Part 3-2: Screening
of total bromine in electric and electronic
products by combustion-ion chromatography
(C-IC)
IEC 62321-4 - Determination of certain substances in EN 62321-4 -
electrotechnical products - Part 4:
Determination of mercury in polymers, metals
and electronics by CV-AAS, CV-AFS, ICP-
OES and ICP-MS
IEC 62321-5 - Determination of certain substances in EN 62321-5 -
electrotechnical products - Part 5:
Determination of cadmium, lead and
chromium in polymers and electronics, and
cadmium and lead in metals by AAS, AFS,
ICP-OES and ICP-MS
IEC 62321-2 ®
Edition 1.0 2013-06
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
colour
inside
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, désassemblage et préparation mécanique de l'échantillon

INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
PRICE CODE
INTERNATIONALE
CODE PRIX XB
ICS 13.020; 43.040.10 ISBN 978-2-83220-837-3

– 2 – 62321-2 © IEC:2013
CONTENTS
FOREWORD . 4
INTRODUCTION . 6
1 Scope . 7
2 Normative references . 7
3 Terms, definitions and abbreviations . 8
3.1 Terms and definitions . 8
3.2 Abbreviations . 8
4 Introduction to sampling . 9
4.1 Introductory remark . 9
4.2 Requirements and concerns for substances of concern . 9
4.3 Complexity of electrotechnical products and related challenges. 9
4.4 Strategies for sampling . 10
5 Sampling . 13
5.1 Introductory remark . 13
5.2 Complete product . 14
5.3 Partial disassembly . 14
5.4 Complete disassembly . 14
5.5 Partial disjointment . 14
5.6 Complete disjointment . 15
5.7 Considerations of sampling and disjointment . 15
5.7.1 Introductory remark . 15
5.7.2 Sample size required . 15
5.7.3 Sample size versus detection limit . 17
5.7.4 Composite testing of disjointable samples . 17
5.7.5 Non-uniform “homogeneous materials” . 18
5.7.6 Determination of sampling position of homogeneous materials . 19
6 Conclusions and recommendations for sampling . 19
7 Mechanical sample preparation . 20
7.1 Overview . 20
7.1.1 Field of application . 20
7.1.2 Quality assurance . 20
7.2 Apparatus, equipment and materials. 21
7.3 Procedure . 21
7.3.1 Manual cutting . 21
7.3.2 Coarse grinding/milling . 22
7.3.3 Homogenizing. 22
7.3.4 Fine grinding/milling . 22
7.3.5 Very fine grinding of polymers and organic materials . 22
Annex A (informative) Examples of procedures for sampling and disjointment . 23
Annex B (informative) Probability of the presence of certain substances . 32
Annex C (informative) Composite testing and sampling . 35
Annex D (informative) Tools used in sampling. 38
Annex E (informative) Examples of mobile phone disassembly and component
disjointment . 39
Bibliography . 50

62321-2 © IEC:2013 – 3 –
Figure 1 – Generic iterative procedure for sampling . 11
Figure 2 – Cross-section of a 900 µm wide lead oxide-based resistor (SMD) . 19
Figure A.1 – Methodology for sampling and disjointment . 24
Figure A.2 – Sampling of DVD player . 25
Figure A.3 – Sampling of CRT . 26
Figure A.4 – Sampling of LCD TV . 27
Figure A.5 – Sampling of PDA/phone . 28
Figure A.6 – Sampling of desk fan . 29
Figure A.7 – Sampling of components – Thick film resistor . 30
Figure A.8 – Sampling of components – SMD potentiometer . 31
Figure D.1 – Hot gas gun for removing the electronic components . 38
Figure D.2 – Vacuum pin to remove the target electronic devices . 38
Figure E.1 – Mobile phone type A with battery charger and camera lens cap . 39
Figure E.2 – Mobile phone type A with battery and back cover removed . 40
Figure E.3 – Partial disassembly of a mobile phone (type B) into its major components . 41
Figure E.4 – Complete disassembly of the key pad . 42
Figure E.5 – Complete disassembly of the bottom housing . 42
Figure E.6 – Complete disassembly of the other housing/frame . 43
Figure E.7 – Components of the TFT display of the mobile phoneafter partial
disjointment . 43
Figure E.8 – Components of the main PWB of the mobile phone after partial
disjointment . 44
Figure E.9 – Disjointment of lead frame component . 46
Figure E.10 – BGA package prior to disjointment . 47
Figure E.11 – BGA package disjointed by the hand removal procedure . 47
Figure E.12 – Solder ball material collected from BGA using a hand removal procedure . 48
Figure E.13 – BGA solder ball removal using the ball shear procedure . 48

Table 1 – Minimum number of lead frame samples required for analytical testing . 16
Table 2 – Levels of a certain substance in a composite sample . 18
Table B.1 – Probability of the presence of certain substances in materials and

components used in electrotechnical products (1 of 3) . 32
Table C.1 – Calculated maximum concentration for a composite sample based on
detection limit . 36
Table C.2 – Required detection limit for a composite sample based on the maximum
allowable concentration . 37
Table E.1 – Possible certain substances or screening substances from a mobile phone . 40
Table E.2 – Possible certain substances in major components of the mobile phone . 41
Table E.3 – Examples of disjointment for typical small electronic components . 45

– 4 – 62321-2 © IEC:2013
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.
International Standard IEC 62321-2 has been prepared by IEC technical committee 111:
Environmental standardization for electrical and electronic products and systems.
The first edition of IEC 62321:2008 was a 'stand-alone' standard that included an introduction,
an overview of test methods, a mechanical sample preparation as well as various test method
clauses.
This first edition of IEC 62321-2 is a partial replacement of IEC 62321:2008, forming a
structural revision and generally replacing Clause 5 and incorporating IEC/PAS 62596:2009
[1] which will be withdrawn upon publication of IEC 62321-2.
___________
Numbers in square brackets refer to the Bibliography.

62321-2 © IEC:2013 – 5 –
Future parts in the IEC 62321 series will gradually replace the corresponding clauses in
IEC 62321:2008. Until such time as all parts are published, however, IEC 62321:2008 remains
valid for those clauses not yet re-published as a separate part.
The text of this standard is based on the following documents:
FDIS Report on voting
111/301/FDIS 111/311/RVD
Full information on the voting for the approval of this standard can be found in the report on
voting indicated in the above table.
This publication has been drafted in accordance with the ISO/IEC Directives, Part 2.
A list of all parts in the IEC 62321 series can be found on the IEC website under the general
title: Determination of certain substances in electrotechnical products
The committee has decided that the contents of this publication will remain unchanged until
the stability date indicated on the IEC web site under "http://webstore.iec.ch" in the data
related to the specific publication. At this date, the publication will be
• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
IMPORTANT – The 'colour inside' logo on the cover page of this publication 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.
– 6 – 62321-2 © IEC:2013
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 (e.g. lead (Pb), cadmium (Cd) and polybrominated diphenyl
ethers (PBDEs)) in electrotechnical products, is a source of concern in current and proposed
regional legislation.
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 of concern in
electrotechnical products on a consistent global basis.
WARNING – Persons using this International Standard should be familiar with normal
laboratory practice. This standard 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.
62321-2 © IEC:2013 – 7 –
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, electronic assemblies and electronic components.
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 IEC 62321. Restrictions for
substances will vary between geographic regions and from time to time. This Standard
describes a generic process for obtaining and preparing samples prior to the determination of
any substance which are under concern.
This standard does not provide:
– full guidance on each and every product that could be classified as electrotechnical
equipment. Since there is a huge variety of electrotechnical components, with various
structures and processes, along with the continuous innovations in the industry, it is
unrealistic to attempt to provide procedures for the disjointment of every type of
component;
– 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 standard;
– 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 [2] for the disjointment and
mechanial sample preparation of mercury-containing fluorescent lamps;
– the definition of a “unit” as the sample;
– sampling procedures for packaging and packaging materials;
– analytical procedures to measure the levels of certain substances. This is covered by
other standards (for example other parts of IEC 62321), which are referred to as the "test
standard" in this standard;
– guidelines for assessment of compliance.
NOTE Further guidance on assessment procedures is provided by IEC/TR 62476 [3].
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and
are indispensable for its application. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any
amendments) applies.
IEC 62321-1, Determination of certain substances in electrotechnical products – Part 1
Introduction and overview
IEC 62321-3-1, Determination of certain substances in electrotechnical products – Part 3-1:
Screening – Lead, mercury, cadmium, total chromium and total bromine using X-ray
fluorescence spectrometry
– 8 – 62321-2 © IEC:2013
IEC 62321-3-2, Determination of certain substances in electrotechnical products – Part 3-2:
Screening – Total bromine in polymers and electronics by combustion – Ion chromatography
(C-IC)
IEC 62321-4, Determination of certain substances in electrotechnical products – Part 4:
Determination of mercury in polymers, metals and electronics by CV-AAS, CV-AFS, ICP-OES
and ICP-MS
IEC 62321-5, Determination of certain substances in electrotechnical products – Part 5:
Determination of cadmium, lead and chromium in polymers and electronics and cadmium and
lead in metals by AAS, AFS, ICP-OES, ICP-AES and ICP-MS
3 Terms, definitions and abbreviations
3.1 Terms and definitions
For the purposes of this document, the definitions given in IEC 62321-1, as well as the
following, apply.
3.1.1
composite testing
testing two or more materials as a single sample that could be mechanically disjointed if
necessary
3.1.2
certain substance
cadmium, lead, mercury, hexavalent chromium, polybrominated biphenyl, polybrominated
diphenyl ether
NOTE IEC 62321-1 includes test methods for the evaluation of each of the substances identified in the definition
above.
3.2 Abbreviations
AC Alternating current
BGA Ball grid array (electronic component)
CRT Cathode ray tube (television)
DVD Digital versatile disc
IC Integrated circuit
JEDEC Joint Electronic Devices Engineering Council
LCD Liquid crystal display
MDL Method detection limit
OEM Original equipment manufacturer
PAS Publicly Available Specification
PCB Printed circuit board
PDA Personal digital assistant
PWB Printed wiring board
SIM Subscriber identity module
SMD Surface mounted device
TFT Thin film transistor
TV Television
___________
62321-2 © IEC:2013 – 9 –
USB Universal serial bus
4 Introduction to sampling
4.1 Introductory remark
Obtaining a sample (i.e. sampling) is the first step in analysing electrotechnical products for
the presence of certain substances. The strategy and process of sampling are often as
important as the analytical measurement itself. Hence an effective sampling strategy requires
a clear understanding of the electrotechnical product, reasons for the analysis and the
requirements that are to be met.
Sampling and testing for certain substances are performed for many reasons including:
– business-to-business for commercial release (e.g. contractual agreement between the
OEM and component manufacturer);
– compliance with regulatory limits;
– forensic/impact assessment (why the product does not satisfy contractual or legal
requirements, when did this happen, and how many products are affected?)
4.2 Requirements and concerns for substances of concern
While many governments, industry partners and other stakeholders have their own
requirements, it is not the intention of this standard to discuss fully all of these differences.
However, awareness of different limits for certain substances is an important step in preparing
the sampling strategy. Subclause 4.2 highlights the main areas of concern regarding the
requirements for certain substances.
– Certain substances: not all geographic regions or industrial partners restrict 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, component etc. it is critical to keep in mind
what are the applicable legal requirements.
– Allowable limits for certain substances: generally speaking, the allowable levels of most
certain substances are below 1 000 mg/kg. Some geographic regions and industrial
partners have limits below 1 000 mg/kg. For some product types, limits for certain
substances are above 1 000 mg/kg, e.g. lead in copper and aluminum alloys.
– Application of the allowable level: the manner in which the allowable level of a certain
substance is applied to an electrotechnical product determines the sampling strategy and
how the test results are interpreted. Many geographic regions apply their allowable limits
to "homogeneous materials". In this standard, an “homogeneous material” is as defined in
IEC 62542 [4]. 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), size of the sample, or the electrical
properties of the product.
4.3 Complexity of electrotechnical products and related challenges
The complex characteristics of electrotechnical products are another important consideration
when preparing a sampling strategy. These characteristics have a bearing on the practical
execution of sampling and analysis. The following elements are identified as relevant to
analysis and sampling:
a) Miniaturization: Miniaturization is one of the key trends in the electrotechnical industry.
This implies that more functionality is provided within a smaller volume. More and more
of printed wiring board (PWB) every year.
components and materials are used per cm

– 10 – 62321-2 © IEC:2013
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 components have complex structures and are
constructed of multiple layers of different materials. In a typical case, one single
component has more than 10 to 20 material layers, whereas many electrotechnical
products or assemblies contain hundreds or thousands of components. This means one
electrotechnical product can have more than 1 000 to more than 10 000 homogeneous
materials. Often, homogeneous materials adhere too tightly together for a clean
separation in a practical manner (see Figure 2). Experience has shown 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 components and parts. A typical TV or
laptop computer, for example, contains thousands of parts/components. Hence the design
database for an OEM may include several tens of thousands of components. In Annex E
this point is further illustrated in the disassembly of a mobile phone.
c) "Invisible" substances: another complicating factor in sampling and analysis is that
generally certain substances are not visible. A component containing a certain substance
may look and perform in an identical manner to one that does not. The presence or
absence of certain substances can vary from lot to lot in the manufacturing process
without any readily observable clues. While there are some visible indications (e.g. a
yellow coating on steel products suggests the presence of hexavalent chromium) as to the
presence of certain substances, visual detection is not practical.
d) Batch-to-batch variations: most product assembly manufacturers use commodity
components from several suppliers simultaneously, e.g. cables, resistors and capacitors.
Commodity components 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 has shown that base materials
can be changed by commodity manufacturers (e.g. in times of shortage) which leads to a
change in the chemical composition as well. Notification of these changes does not always
occur if the component still meets its technical specification.
e) Depth of the supply chain: producing electronic components/parts 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 component such as
an LCD screen or IC, is considerably deeper.
These characteristics of the electrotechnical industry show that the management of certain
substances, along with sampling and analysis, is not straightforward. The size and number of
components, 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 regions of the supply chain
(towards finished products) is not practical for complex products.
NOTE 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.
4.4 Strategies for sampling
While different sampling approaches may be utilized as appropriate for the broad range of
electrotechnical products, it is possible to describe a generic procedure that will be applicable
in the majority of cases. This is illustrated by the iterative loops of sampling, disassembly and
disjointment shown in Figure 1.

62321-2 © IEC:2013 – 11 –
IEC  1253/13
Figure 1 – Generic iterative procedure for sampling
The process depicted in Figure 1 can have several iterative loops including:
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
• 4 – nth iteration: complete disjointment (see 5.6).
These iterative steps are described further in Clause 5.
Development of the sampling strategy for a particular electrotechnical product/part/ assembly
begins with an information gathering stage. Some basic questions to be considered include:
– What is the complexity of the product/part/assembly and is it practical to consider
sampling and testing at the homogeneous material level?
– Which substances are restricted?
– What are the allowable limits for these certain substances?
– Are there appropriate exemptions for the certain substance?
– Is a bill of materials available for the components/assemblies/materials in the product?
– Are specifications/drawings of the components available?
– What is the depth of the supply chain for the components 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?
– 12 – 62321-2 © IEC:2013
– Is there any published probability of the presence matrices for the materials or parts used
in this product?
– 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 materials/components
(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 component or material suppliers
(e.g. level of trust in the manufacturer)?
– Is there any history of concern with the component or material supplier?
The answers to these questions and other characteristics will influence the sampling strategy.
The organization’s position in the supply chain will determine what extent of sampling is
appropriate. Release for production of products/components etc. requires a more in-depth
sampling strategy than an occasional verification check on specifications. In order to optimize
costs and efficiency, the desired outcome of the testing needs to be understood. As
previously stated, it is often impractical to sample and test all components/materials. An
organization is left to determine the optimum balance of effort/costs against effectiveness of
the sampling strategy. Some considerations to minimize sampling/testing efforts and costs are
listed below:
– homogeneous materials with a low probability of containing certain substances (less likely
to contain restricted substances hence pose a lower risk of non-confomity if not tested,
see Annex B);
– applicable exemptions for certain substances (the presence of certain substances would
not affect conformity);
– material declarations;
– historical test data (evidence for the probability of containing certain substances);
– composite sampling and testing (covers several materials in a single test, but other factors
shall be considered, see 5.7.3 and Annex C);
– minimum sample size necessary to run analytical tests and the number of samples
necessary to determine whether or not it’s practical to test.
The sampling strategy will depend very much on the ultimate objective of 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 limit. 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
analysis. If the results show no certain substances 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-
compliant and no further sampling and analysis are necessary. Annex B provides a list of
components which currently have a probability of the presence of one or more of substances
of concern.
Another strategy is to prove total compliance of the product, as far as possible down to the
homogeneous material level. This approach would be typical for the product or component
manufacturer. Samples would be prepared from each individual material or component. As the
objective is to cover all components and materials in a product/assembly, 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.
Once the objective of the analysis has been defined, feasibility of the testing is performed
(e.g. is the sample mass/size/volume sufficient?). Further sampling and disjointment may be
necessary, where a choice can be made to either completely disjoint or only select materials

62321-2 © IEC:2013 – 13 –
with a high probability of containing certain substances. Table B.1 is used to assist in the
identification of these components and materials.
If testing is appropriate, the relevant testing procedure shall be followed. Where certain
substances are present in the product/part there may be an applicable exemption (some
examples are given in Table B.1).
Following the flowchart in Figure 1 is an iterative process, retrieving samples at an ever
deeper level. How far this process is pursued will depend on the objective of the sampling
strategy. After the screening steps, further analytical testing is undertaken as necessary.
5 Sampling
5.1 Introductory remark
This standard only provides general sampling guidelines, which are intended to form the basis
of the sampling strategy appropriate to the electrotechnical product.
Before sampling, the following questions need to be addressed:
a) Based on available knowledge of the product, can any sections/parts be identified that are
likely to contain certain substances (see Annex B)?
b) Is it practical to analyse any of these sections/parts without disassembly?
c) Can the section/part selected be regarded as homogeneous material for the purpose of
the analysis?
d) Is the section/part selected for analysis representative?
e) Does the sample selected fulfil the criteria of minimum mass, area, thickness or volume
required by the chosen analytical methods?
The answers to these questions will determine the sampling strategy and the extent of
disassembly and disjointment, if any, required to provide representative samples that are
homogeneous and of sufficient quantity to permit a valid analysis.
Whenever possible, sampling shall be performed by stages of minimal disassembly and
disjointment. Each stage is followed by an assessment of its effectivene
...