Alfa Laval Group Black and Grey List M-0710-075E (Revision 14) Black and Grey list – Chemical substances which are subject to restrictions First edition date. 2007-10-29 Revision date 2021-02-10 1. Introduction The Alfa Laval Black and Grey List is divided into three different categories: Banned, Restricted and Substances of Concern. It provides information about restrictions on the use of Chemical substances in Alfa Laval Group’s production processes, materials and parts of our products as well as packaging. Unless stated otherwise, the restrictions on a substance in this list affect the use of the substance in pure form, mixtures and purchased articles. - Banned substances are substances which are prohibited1. - Restricted substances are prohibited in certain applications relevant to the Alfa Laval group. A restricted substance may be used if the application is unmistakably outside the scope of the legislation in question. - Substances of Concern are substances of which the use shall be monitored. This includes substances currently being evaluated for regulations applicable to the Banned or Restricted categories, or substances with legal demands for monitoring. Product owners shall be aware of the risks associated with the continued use of a Substance of Concern. 2. Legislation in the Black and Grey List Alfa Laval Group’s Black and Grey list is based on EU legislations and global agreements. The black and grey list does not correspond to national laws. For more information about chemical regulation please visit: • REACH Candidate list, Substances of Very High Concern (SVHC) • REACH Authorisation list, SVHCs subject to authorization • Protocol on persistent organic pollutants (POPs) o Aarhus protocol o Stockholm convention • Euratom • IMO adopted 2015 GUIDELINES FOR THE DEVELOPMENT OF THE INVENTORY OF HAZARDOUS MATERIALS” (MEPC 269 (68)) • The Hong Kong Convention • Conflict minerals: Dodd-Frank Act 1 Prohibited to use, or put on the market, regardless of application. 1 Black and Grey list – Chemical substances which are subject to restrictions First edition date. 2007-10-29 Revision date 2021-02-10 • Export control: o Rotterdam convention o Dual use • Minamata convention on mercury Legislations triggering inclusion of substances in the different categories: Banned - EU Directive 2013/59/Euratom on ionizing radiation - EU Regulation 1005/2009/EC on substances that deplete the ozone layer - EU Regulation 2019/1021/EC on persistent organic pollutants Annex I, POP - EU Regulation 1907/2006/EC REACH Annex XIV - EU Regulation 1907/2006/EC REACH Annex XVII, entries 1, 6, 24-26, 45. Restricted - EU Regulation 517/2014/EC on fluorinated greenhouse gases - EU Regulation 2019/1021/EC on persistent organic pollutants Annex II, POP - EU Regulation 649/2012/EC concerning the import and export of hazardous chemicals, PIC - EU Regulation 1907/2006/EC REACH Annex XVII, entries 2, 4, 5, 7, 8,12-21, 23, 31-38, 41, 43, 46, 47, 49, 50, 58, 59-62, 64, 70-71, 74 - EU Directive 2011/65/EU RoHS 2 - EU Directive 2006/66/EC on batteries and accumulators and waste batteries and accumulators - EU Directive 94/62/EC on packaging and packaging waste - MEPC 269(68) - EU Regulation 1257/2013/EC on ship recycling - EU 2017/852 Regulation on mercury - EU Directive 98/70/EC on the quality of petrol and diesel fuels - EU Regulation 2019/1021 on persistent organic pollutants Annex III, POP Substances of Concern - Stockholm Convention: Proposed POP Candidates - US Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 1502 - REACH: Current recommendations for inclusion in the Authorisation List - REACH: Candidate List of Substances of Very High Concern for Authorisation - REACH: Substances on the Registry of SVHC intentions until outcome (pre- proposal) - REACH: Proposals to identify Substances of Very High Concern (submitted) - REACH: Restrictions under consideration (if proposed restriction is applicable to Banned or Restricted categories) - EU Regulation 428/2009/EC Dual use 2 Black and Grey list – Chemical substances which are subject to restrictions First edition date. 2007-10-29 Revision date 2020-02-10 Some substances are present in several legislations, but they only appear once in the list under the section and the law with the most severe restriction. 3. Changes from previous revision Revision 14 is a major revision and includes relevant regulatory updates that took place during 2020. Regulations updated since las revision of the list: EU Regulation 1907/2006/EC ‘REACH’ EU Regulation 2019/1021/EC ‘POP’ EU Regulation 428/2009/EC ‘Dual use’ All relevant updates to the above regulations has been included in the 14th revision. The changes are highlighted in the column furthest to the right in the list. 4. Terminology Article - Products, spare parts, components, materials, preparations, and packaging materials CAS-Nr. - Chemical Abstract Service number also known as CAS RNs, CAS Numbers or CAS #, is a unique number for identification of chemical substances. EC-Nr. -The European Commission number also known as EC number, EC No, EINECS No or EC #, is a unique seven-digit code that is assigned to chemical substances that are commercially available within the European Union. REACH - Registration, Evaluation and Authorisation and Restriction of Chemicals is a regulation of the European Union, adopted to improve the protection of human health and the environment from the risks that can be posed by chemicals. POP - Persistent organic pollutants are organic compounds that are resistant to environmental degradations processes and capable to long-range transport. PIC - Prior informed consent are restricted industrial chemicals and pesticides subject to export/import notification process under the Rotterdam convention. SVHC - Substances of Very High Concern, i.e. substances that automatically fall into the category CMR, PBT or vPvB, or a substance that give rise to an equivalent level of concern in terms of the potential damage it may cause. Threshold - The highest level of concentration that is legal to use in preparations and articles. 3 Black and Grey list – Chemical substances which are subject to restrictions First edition date. 2007-10-29 Revision date 2021-02-10 - Banned substances can also have thresholds due to that they sometimes can be present in other compounds and products. The banned substances can, for instance, be impurities or unintentional by-products from synthesis. The compound/product that contains a banned substance in concentrations below the threshold is not banned. Homogenous Material - Homogeneous material means a material that cannot be mechanically disjointed into different materials. - Examples of "homogeneous materials" are individual types of plastics, ceramics, glass, metals, alloys, paper, board, resins and coatings. - The term “mechanically disjointed” means that the materials can, in principle, be separated by mechanical actions such as: unscrewing, cutting, crushing, grinding and abrasive processes. 4 Alfa Laval Black and Grey list, rev 14.0 Master List Row Foot- Modified Class Substance name or group CAS-nr EC-nr Terms and thresholds Legal reference Nr notes post 1 Banned substances 2 Radioactive substances (2013/59/Euratom) 3 Banned Radioactive substances Several Several Banned in all applications 2013/59/Euratom; 1 MEPC 269(68); Exemption: Content less than background 1257/2013/EC Ship rec. radiation Threshold level in IMO - unintientional trace contaminants 4 Ozone depleting substances (EC 1005/2009) 5 Banned Chlorofluorocarbons (CFC) Several Several Banned in all applications 1005/2009/EC ODS; 1 MEPC 269(68); Threshold level in IMO - unintientional trace 1257/2013/EC Ship rec. contaminants 6 Banned Halons Several Several Banned in all applications 1005/2009/EC ODS; 1 MEPC 269(68); Threshold level in IMO - unintientional trace 1257/2013/EC Ship rec. contaminants 7 Banned Carbon tetrachloride 56-23-5 200-262-8 Banned in all applications 1005/2009/EC ODS; 1, 33, 34 649/2012/EC PIC; Subject to export notification. MEPC 269(68) Threshold level in IMO - unintientional trace contaminants Tetrachloromethane 8 Banned 1,1,1-Trichloroethane 71-55-6 200-756-3 Banned in all applications 1005/2009/EC ODS; 1, 33, 34 649/2012/EC PIC; Subject to export notification. MEPC 269(68) Threshold level in IMO - unintientional trace contaminants Trichloroethane 25323-89-1 9 Banned Methyl bromide 74-83-9 200-813-2 Banned in all applications 1005/2009/EC ODS; 33, 34, 35 649/2012/EC PIC; Subject to export notification. MEPC 269(68) Threshold level in IMO - unintientional trace contaminants Effective February 10 th , 2021 Valid through August 2021 5 Alfa Laval Black and Grey list, rev 14.0 Master List Row Foot- Modified Class Substance name or group CAS-nr EC-nr Terms and thresholds Legal reference Nr notes post 10 Banned Hydrobromofluorocarbons (HBFC) Several Several Banned in all applications 1005/2009/EC ODS; 1 MEPC 269(68); Threshold level in IMO - unintientional trace contaminants 11 Banned Hydrochlorofluorocarbons (HCFC) Several Several Banned in all applications 1005/2009/EC ODS; 1 MEPC 269(68); Threshold level in IMO - unintientional trace Ch SR 814.81. A1; contaminants Ch SR 814.81. A2; 12 Banned Bromochloromethane 74-97-5 200-826-3 Banned in all applications 1005/2009/EC ODS; 1 MEPC 269(68); Threshold level in IMO - unintientional trace contaminants 13 Banned 1-Bromopropane, 106-94-5 203-445-0 Use and amount must be reported to authorities. 1005/2009/EC ODS; 1, 48 1907/2006/EC REACH Banned in all applications Annex XIV (32); REACH Candidate list: REACH Authorisation Sunset Date 2020-07-04 136 Threshold 0,1 % in REACH for authorisation in all applications Threshold 0,1% in REACH candidate list n-Propyl bromide 14 Banned Bromoethane 74-96-4 200-825-8 Use and amount must be reported to authorities. 1005/2009/EC ODS; 1 1907/2006/EC REACH Annex XIV (32); Ethyl bromide 15 Banned Trifluoroiodomethane 2314-97-8 219-014-5 Use and amount must be reported to authorities. 1005/2009/EC ODS 1 16 Banned Chloromethane, 74-87-3 200-817-4 Use and amount must be reported to authorities.