and Packaging Page 1 of 8 Supersedes: of 1-October-2013 Table of contents 1 Objectives... 2 2 Scope... 2 3 Responsibilities, Records & Risks... 2 3.1 Roles and Responsibilities... 2 3.2 Records... 2 3.3 Risks... 3 4 References... 3 5 Definitions/Abbreviations... 3 5.1 Definitions... 3 5.2 Abbreviations... 4 6 Flowchart(s)... 4 7 Procedure... 5 7.1 Verification Compliance... 5 7.2 Requirements Test Lab... 5 7.3 Requirements Test Methods... 6 7.4 Requirements Test Reports... 6 8 Approval List... 7 9 Revision History... 7 10 Annexes... 8
and Packaging Page 2 of 8 1 Objectives NXP Semiconductor products and its packaging should not contain Hazardous Substances at levels above our established threshold which can be liberated under normal operating and/or handling conditions during its useful period and at its end of life treatment. NXP Semiconductors should ensure that it does not put anything on the market that contains any hazardous substances above allowed levels as specified by law or by other regulations. For this purpose, it is necessary to verify compliance of some specific substances by means of analytical tests of supplied materials as addressed in this procedure. This procedure will be enforced by NXP as of October 1 st, 2015. Till this date analytical tests reports based upon previous requirements 1 are still accepted by NXP. 2 Scope Applicable to all materials, parts, (semi-)finished goods, subassemblies and packaging materials delivered and used for NXP Semiconductor products (IC s, Discretes and Modules) which are either intended to be put on the consumer market or intended to be used by the business for evaluation purposes. An overview for which group of materials and parts a Test Report is required can be found in the NXP Supplier Social Responsibility Risk Assessment Process, NX3-00636. 3 Responsibilities, Records & Risks 3.1 Roles and Responsibilities Role RASCI* Activities Suppliers and R/A Are responsible to adequately test supplied parts and Subcontractors materials pro-active and to submit test reports in a timely Purchasing and Subcontracting managers Business Unit/Line managers R S/I manner. Are accountable for any non-compliance issues Are responsible to request and collect test reports from suppliers and subcontractors, verify compliance and forward the test reports to Office for archiving Are responsible to support where necessary any requests for test reports to be obtained from suppliers and subcontractors and needs to be informed in case of any non-compliance issues Officer R/S/C/I Is responsible to verify compliance, archiving the test reports and can be consulted for expertise, any supportive activities regarding compliance requirements and needs to be informed in case of any non-compliance issues *R=responsible A=accountable S=supportive C=consulted I=informed 3.2 Records Test reports submitted by suppliers should be checked on compliance to the requirements as explained in this procedure. When requirements are met the test reports need to be registered in the central database from NXP Office per material and/or (sub-) component level 1 Requirements and latest test reports are available via NXP Intranet: https://nxp1.sharepoint.com/teams/36_2/teams//_layouts/15/start.aspx#/test%20reports/forms/allitems.aspx
and Packaging Page 3 of 8 for traceability purposes and maintained for a minimum of 10 years after last date of shipment to customers. The central database 1 is available on the NXP Intranet for applicants. 3.3 Risks There are no SOx risks associated with the operation of this procedure. Risks are basically the non-compliance of NXP Semiconductor products. The direct financial risks towards our customers are covered by our standard T&C of Sales. However, business-wise, it can have a quite severe impact to NXP s image if the procedure isn t followed and can eventually result in losing business. In case of non-compliance to legislation, the consequences can be even more severe, from blocking shipments to fines, closure of operational facilities and/or jail of those responsible. 4 References National and International legislation, specifically: o EU Directive 2011/65/EU (RoHS recast) and its amendments o EU Directive 94/62/EC (PPW) and its amendments (Key-)customer requirements NX3-00119 NXP List of and Packaging NX3-00105 RHF-2006 Classification for Semiconductor Products NX3-00636 Supplier Social Responsibility Risk Assessment Process 5 Definitions/Abbreviations 5.1 Definitions Homogeneous Material A 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. The definition is consistent with EU Directive 2011/65/EU (RoHS recast). Per this document, the following examples illustrate what is and is not a homogeneous material: A plastic cover is a homogeneous material if it consists of one type of plastic that is not coated with other materials, or has other materials attached to it. A cable that consists of metal wires surrounded by non-metallic insulation materials is not a homogeneous material because mechanical processes could separate the different materials. A semiconductor package contains many homogeneous materials that include, e.g. caps, headers, mould compounds, die attach adhesives, die coatings, bonding wires, lead frames, (pre- and post) platings, solder (-bumps, -masks, -pastes, -wires, -balls, -flux), laminates, inks, etc., etc. Printed circuit board laminated materials consist of glass cloth, resins and copper foil that are each a homogeneous material. In these cases, restrictions apply to each of the separated materials individually. Packaging Material Means all products made of any materials of any nature to be used for the containment, protection, handling, delivery and presentation of goods, from raw materials to processed goods, from the producer to the user or consumer, e.g. reels, trays, cover tapes, carrier tapes, tubes, plugs, cushions, foams, boxes, QA-seals, labels, desiccants, inks.
and Packaging Page 4 of 8 In addition, Non-returnable items used for the same purposes shall be considered to constitute packaging. The term packaging is the same as the Semiconductor terminology for outline packing. 5.2 Abbreviations AAS - Atomic Absorption Spectroscopy GC-MS - Gas Chromatography Mass Spectroscopy As - Arsenic LC-MS - Liquid Chromatography Mass Spectroscopy BBP - BenzylButylPhthalate MDL - Method Detection Limit Be - Beryllium PBB - Poly Brominated Biphenyl Cd - Cadmium PBDE - Poly Brominated Diphenyl Ether Cr 6+ - Hexavalent Chromium Pb - Lead DBP - DiButylPhthalate PPW - Packaging & Packaging Waste DEHP - DiEthylHexylPhthalate QA - Quality Assurance DIBP - DiIsoButylPhthalate RoHS - Restriction on Hazardous Substances Hg - Mercury RHF - RoHS/Halogen-Free ICP-OES - Inductive Coupled Plasma - Optical Emission RHM - Restricted Heavy Metals Spectroscopy ICP-AES - Inductive Coupled Plasma - Atomic Emission Sb - Antimony Spectroscopy ICP-MS - Inductive Coupled Plasma - Mass Spectroscopy Sox - Sarbanes Oxley Act UV-VIS - Ultra-Violet Visible Spectroscopy T&C - Terms & Conditions 6 Flowchart(s) Start End Yes Customer Requests Test Report for Material Customer requirements are met? No Customer motivates rejection of Test Report Customer accepts or rejects and escalate to MT Applicant* Checks Status Material and Archive on NXP Intranet for Test Report Test Report is available and <1yr old? Yes Sends Test Reports to Customer No No Office Checks EnoviaNXP/BW-SAP for material and vendor information Requirements of are met? Yes Test Report is archived and provided to applicant Customer arguments are valid? No Procurement Contacts supplier and request for (revised) Test Report Yes Supplier Provides (updated ) Test Report * Applicant = Sales/Quality/BL Manager or Engineer
and Packaging Page 5 of 8 7 Procedure 7.1 Verification Compliance Suppliers are required to show compliance to following requirements: 1. EU Directive 2011/65/EU (RoHS), for parts and materials designated to be incorporated into NXP semiconductor products, where it should meet following limits: o Cd: <100ppm (0.01%), o Hg, Pb, Cr 6+, PBB s and PBDE s: <1000ppm (0.1%), o DEHP, BBP, DBP and DIBP: < 1000ppm (0.1%). 2. EU Directive 94/62/EC (PPW), for packaging materials designated to be used to ship NXP Semiconductor Products, where it should meet the summarized limit: o Cd, Hg, Pb and Cr 6+ : <100ppm (0.01%). 3. NXP Halogen-Free Definition, for parts and materials designated to be incorporated into Halogen-Free NXP Semiconductor products, where it should be meet the following summarized limit: o Chlorinated and Brominated Compounds (as Cl+Br): <900ppm (0.09%). 4. NXP Restriction on Heavy Metals, for parts and materials designated to be incorporated into NXP semiconductor products, where it should meet the following customer s limit: o As, Be and Sb: <1000ppm (0.1%). Unless one of the above substances is exempted for its application as defined in NX3-00119. Note: Deviations and or additional test requirements might be required due to specific customer needs. Decision for such requirements to made at the discretion for approval by NXP Officer and Director of Sales & Quality. 7.2 Requirements Test Lab Tests should be performed by a 3 rd party test lab certified according to the ISO/IEC17025 standard. Examples of certified test labs are Setsco, Amtek, IAS, IMR, SGS, Intertek, Bureau Veritas, TÜV, CTI, etc. In-house and 3 rd party test labs which are not certified for ISO/IEC17025 standard are not acceptable. When necessary a certificate might be required as evidence.
and Packaging Page 6 of 8 7.3 Requirements Test Methods Materials must be tested on homogeneous material level and follow below listed test methods: Substance Material Pre-treatment and Test method Analytical Equipment Arsenic and its compounds (as As) Metals, Metalloids US EPA 3050B and US EPA 3052 ICP-AES Antimony and its compounds (as Sb) Metals, Metalloids US EPA 3050B and US EPA 3052 ICP-AES Metals and US EPA 3050B Beryllium and its compunds (Be) Metalloids US EPA 3052 ICP-AES Not required Cadmium and its compounds (Cd) Metals, Metalloids and IEC62321:2013 US EPA 3052 ICP-OES/ICP-AES/ ICP-MS/AAS Hexavalant Chromium compounds (Cr VI) Metals IEC62321:2008 (spot test or boiling water test) UV-VIS IEC62321:2008 Metalloids and US EPA 3060A US EPA 7196A UV-VIS Lead and its compounds (Pb) Metals, Metalloids and IEC62321:2013 US EPA 3052 ICP-OES/ICP-AES/ ICP-MS/AAS Mercury and its compounds (Hg) Metals, Metalloids and IEC62321:2013 US EPA 3052 ICP-OES/ICP-AES/ ICP-MS/AAS Metals Not required Phthalates (DEHP/BBP/DBP and DIBP) Polybrominated biphenyls (PBB's) Polybrominated diphenylethers (PBDE's) Halogens (Cl, Br, F, I) Metalloids and Metals Metalloids and Metals Metalloids and ASTM-D3421-75 EN14372 GC-MS US EPA 3540C US EPA 8270D Not required IEC62321:2008 US EPA 3540C GC-MS/LC-MS US EPA 3541 US EPA 3546 Not required BS EN 14582: 2007 * Metalloids, e.g. Dies, Ceramics / Non-metals: e.g. Adhesives, Substrates/Laminates, Mould Compounds, Inks, Solder Pastes, Plastics, Cellulose (Cardboard, Paper) IC 7.4 Requirements Test Reports Test reports, if required by NXP, should be accompanied with a cover page (see annex 2) to clearly identify the supplied material. The cover page should list the 12nc s under which the material is supplied to NXP. Materials tested must be homogeneous. Test reports that are not at a homogeneous level are not acceptable. E.g. pre-plated lead frames, substrates, components etc. made up of several homogeneous materials should be separately tested, preferably prior to assembly. Should be written at a minimum in English, other languages are not acceptable. At the minimum, following information should be included in the test report: 1. Name and address of testing laboratory 2. Report number 3. Report Date (Date of Issue) 4. Name and signature of lab supervisor 5. Sample description (including type/model name of the product) 6. Date sample received and sample tested 7. Testing method, (analytical instruments) and its method detection limit (MDL) 8. Tested substances and results 9. Pre-treatment method and measurement process (flowchart) 10. Photograph of tested sample Items 1 to 8 are mandatory for unique identification and tracking purposes!
and Packaging Page 7 of 8 Should be updated when: 1. The valid date is expired, being a maximum of 1 year (12 months) after Date of Issue 2. The manufacturing location or the raw material composition or sources changes 3. Required pre-treatment and/or test methods change 4. Required substances to be tested changes Should be made available to NXP upon request for at least 10 years after last shipment date to NXP within 5 business days of request. 8 Approval List QSM Sr. Director, & Quality Systems GSM Director, Sales & Quality CPO Director, Strategy & Program Management 9 Revision History Document Author Date Description of Change Document Owner 09-July-2012 New 01-October-2012 Enforcement date introduced Retention time of Test reports changed from a minimum of 5 years to a minimum of 10 years EU Directive 2002/95/EC changed to EU Directive 2011/65/EU 01-October-2013 Adapted the text of 3.1 to 3.3 Added new references to 4 Adapted the definition and added examples of homogeneous materials in 5.1 Added new abbreviations to 5.2 Added flowchart to 6 Adapted the text of 7.1 and 7.2, including some examples certified labs. Added requirements to test materials on its homogeneous material level in 7.4 Added additional approvers Added Supplier Presentation to 10 4-Sep-2015 Updated enforcement date to October 1 st, 2015 Added abbreviations Added test requirements for 4 Phthalates (DEHP, BBP, DBP and DIBP) Added test requirements for 3 Heavy Metals (As, Be and Sb) Removed Orgalab as ISO/IEC17025 Certified Lab Updated Table of Test Methods In case of questions or change proposals please contact the latest document author and owner.
and Packaging Page 8 of 8 10 Annexes [1] Supplier Information Package