NXP Semiconductors
Sustainability
Sustainability
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
Page 1 of 8
Supersedes: NX3-00572 of 1-October-2013
Table of contents
1
Objectives ............................................................................................................................. 2
2
Scope ................................................................................................................................... 2
3
Responsibilities, Records & Risks......................................................................................... 2
3.1
3.2
3.3
4
Roles and Responsibilities .................................................................................................... 2
Records ................................................................................................................................ 2
Risks .................................................................................................................................... 3
References ........................................................................................................................... 3
5
Definitions/Abbreviations ...................................................................................................... 3
5.1
5.2
6
Definitions ............................................................................................................................. 3
Abbreviations ........................................................................................................................ 4
Flowchart(s) .......................................................................................................................... 4
7
Procedure ............................................................................................................................. 5
7.1
7.2
7.3
7.4
8
Verification Compliance ........................................................................................................ 5
Requirements Test Lab ........................................................................................................ 5
Requirements Test Methods ................................................................................................. 6
Requirements Test Reports .................................................................................................. 6
Approval List ......................................................................................................................... 7
9
Revision History .................................................................................................................... 7
10
Annexes ............................................................................................................................... 8
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
1
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
Page 2 of 8
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 1st, 2015. Till this date analytical tests
reports based upon previous requirements1 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
Suppliers and
Subcontractors
RASCI*
Activities
R/A Are responsible to adequately test supplied parts and
materials pro-active and to submit test reports in a timely
manner. Are accountable for any non-compliance issues
Purchasing and
R
Are responsible to request and collect test reports from
Subcontracting managers
suppliers and subcontractors, verify compliance and forward
the test reports to Sustainability Office for archiving
Business Unit/Line
S/I
Are responsible to support where necessary any requests
managers
for test reports to be obtained from suppliers and
subcontractors and needs to be informed in case of any
non-compliance issues
Sustainability 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 Sustainability 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/Sustainability/_layouts/15/start.aspx#/Test%20reports/Forms/AllItems.aspx
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
Page 3 of 8
for traceability purposes and maintained for a minimum of 10 years after last date of shipment to
customers. The central database1 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 Hazardous Substances in Products 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.
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
NX3-00572
4-September-2015
Page 4 of 8
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
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
6
AAS
As
BBP
Be
Cd
Cr6+
DBP
DEHP
DIBP
Hg
ICP-OES
-
ICP-AES
-
ICP-MS
UV-VIS
-
Atomic Absorption Spectroscopy
Arsenic
BenzylButylPhthalate
Beryllium
Cadmium
Hexavalent Chromium
DiButylPhthalate
DiEthylHexylPhthalate
DiIsoButylPhthalate
Mercury
Inductive Coupled Plasma - Optical Emission
Spectroscopy
Inductive Coupled Plasma - Atomic Emission
Spectroscopy
Inductive Coupled Plasma - Mass Spectroscopy
Ultra-Violet – Visible Spectroscopy
GC-MS
LC-MS
MDL
PBB
PBDE
Pb
PPW
QA
RoHS
RHF
RHM
-
Gas Chromatography – Mass Spectroscopy
Liquid Chromatography – Mass Spectroscopy
Method Detection Limit
Poly Brominated Biphenyl
Poly Brominated Diphenyl Ether
Lead
Packaging & Packaging Waste
Quality Assurance
Restriction on Hazardous Substances
RoHS/Halogen-Free
Restricted Heavy Metals
Sb
-
Antimony
Sox
T&C
-
Sarbanes–Oxley Act
Terms & Conditions
Flowchart(s)
End
Start
Yes
Customer
Requests Test Report
for Material
Customer
requirements
are met?
No
Customer motivates
rejection of Test Report
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
Customer accepts
or rejects and
escalate to MT
No
No
Requirements
of NX3-00572
are met?
Sustainability Checks EnoviaNXP/BW-SAP for
Office
material and vendor information
Yes
No
Procurement
Contacts supplier and
request for (revised)
Test Report
Yes
Supplier
Provides (updated ) Test
Report
* Applicant = Sales/Quality/BL Manager or Engineer
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
Test Report is archived
and provided to
applicant
Customer
arguments
are valid?
NXP Semiconductors
Sustainability
Sustainability
7
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
Page 5 of 8
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, Cr6+, 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 Cr6+: ∑<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
Sustainability Officer and Director of Sales & Quality.
7.2
Requirements Test Lab
Tests should be performed by a 3rd 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 3rd party test labs which are not certified for ISO/IEC17025
standard are not acceptable. When necessary a certificate might be required as evidence.
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
Page 6 of 8
7.3 Requirements Test Methods
Materials must be tested on “homogeneous material” level and follow below listed test methods:
Substance
Arsenic and its compounds (as As)
Antimony and its compounds (as Sb)
Beryllium and its compunds (Be)
Cadmium and its compounds (Cd)
Material
Metals, Metalloids
and Non-metals*
Metals, Metalloids
and Non-metals*
Metals and
Metalloids
Non-metals*
Metals, Metalloids
and Non-metals*
Hexavalant Chromium compounds (Cr VI)
Metals
Metalloids and
Non-metals*
Lead and its compounds (Pb)
Mercury and its compounds (Hg)
Metals, Metalloids
and Non-metals*
Metals, Metalloids
and Non-metals*
Metals
Phthalates (DEHP/BBP/DBP and DIBP)
Metalloids and
Non-metals*
Polybrominated biphenyls (PBB's)
Polybrominated diphenylethers (PBDE's)
Metals
Metalloids and
Non-metals*
Halogens (Cl, Br, F, I)
Metals
Metalloids and
Non-metals*
Pre-treatment and
Analytical
Test method
Equipment
US EPA 3050B
ICP-AES
US EPA 3052
US EPA 3050B
ICP-AES
US EPA 3052
US EPA 3050B
ICP-AES
US EPA 3052
Not required
IEC62321:2013
ICP-OES/ICP-AES/
US EPA 3052
ICP-MS/AAS
IEC62321:2008 (spot
test or boiling water
UV-VIS
test)
IEC62321:2008
US EPA 3060A
UV-VIS
US EPA 7196A
IEC62321:2013
ICP-OES/ICP-AES/
US EPA 3052
ICP-MS/AAS
IEC62321:2013
ICP-OES/ICP-AES/
US EPA 3052
ICP-MS/AAS
Not required
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
IC
* Metalloids, e.g. Dies, Ceramics / Non-metals: e.g. Adhesives, Substrates/Laminates, Mould Compounds, Inks, Solder Pastes, Plastics, Cellulose (Cardboard, Paper)
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.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Name and address of testing laboratory
Report number
Report Date (Date of Issue)
Name and signature of lab supervisor
Sample description (including type/model name of the product)
Date sample received and sample tested
Testing method, (analytical instruments) and its method detection limit (MDL)
Tested substances and results
Pre-treatment method and measurement process (flowchart)
Photograph of tested sample
Items 1 to 8 are mandatory for unique identification and tracking purposes!
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
NX3-00572
4-September-2015
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, Sustainability & Quality Systems
 GSM – Director, Sales & Quality
 CPO – Director, Strategy & Program Management
9
Revision History
Document
Date
Author
Harrold van
09-July-2012
Rooy
Harrold van 01-October-2012
Rooy
Description of Change
New
Document
Owner
Harrold van
Rooy
Harrold van
Rooy
 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
Harrold van 01-October-2013  Adapted the text of §3.1 to §3.3
Harrold van
Rooy
Rooy
 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
Harrold van
4-Sep-2015
Harrold van
 Updated enforcement date to October 1st, 2015
Rooy
Rooy
 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.
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NXP Semiconductors
Sustainability
Sustainability
NXP Test Requirements for
Hazardous Substances in Products
and Packaging
10 Annexes
[1] Supplier Information Package
Owner: Harrold van Rooij
Author: Harrold van Rooij
COMPANY PUBLIC
© NXP Semiconductors N.V.
Uncontrolled copy if printed
NX3-00572
4-September-2015
Page 8 of 8