外來文件\A2環境管理物質管制規範069-8496-A Apple Environmental Quality Specification

RevisionECOApproverDateRevisionDescriptionAAugust,2011InitialReleaseAppleEnvironmentalQualitySpecification069-8496-A1Scope2Definitions3IQC/OQCEnvironmentalAudit4SupplierMaterialDeclaration5SupplierFactoryEnvironmentalAudit6QualityExcursionManagementFlowChart7EnvironmentalQualityPerformanceAssessment8ReferencedDocuments9FrequentlyAskedQuestionsTHEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page1Title:EnvironmentalQualitySpecification069-8496Rev.A1.0ScopeThisspecificationdescribesApple’srequirementsonenvironmentalqualitycontrol.TheintentistoensurepartsormaterialsarecomplianttoApple’senvironmentalspecifications(seereferencedocuments)andnational/internationalregulationsorlaws.Theenvironmentalqualitycontrolrequirementscompriseofsuppliersenvironmentalmanagementprograms,in-processcontrol,rawmaterialandfinishedgoodsaudits.TheserequirementsareappliedtoallApplequalifiedsuppliersandcontractedmanufacturers.SuppliersprovidingpartsandormaterialsthatshallshiptoApple’send-customersmuststrictlyfollowthespecification,setupproceduresandequipmentaccordingly.1.1EffectiveDateThisspecificationtakeseffectonJanuary1,2012.1.2QuestionsQuestionsregardingtheAppleEnvironmentalQualitySpecificationshouldbedirectedtotheAppleEnvironmentalSupplierQualityEngineeringteamat:environment_quality@apple.com2.0DefinitionsEnvironmentalProductsqualityrelatedtoenvironmentalregulations,itincludesQualitybutnotlimittoRoHS,HF,REACH,ErPetc.RegulatedAppleRegulatedSubstancesSpecification,069-0135,includesallSubstancesofApple’sregulatedsubstances.TerminformallyusedtodescribematerialscompliantwithHalogen-freerestrictionsonbromineandchlorinesetforthintheAppleSpecificationontheRestrictionofBromineandChlorine,069-1857.XRFX-RayFluorescencespectroscopyEuropeandirective2002/95/ECrestrictingtheuseoflead,cadmium,mercury,hexavalentchromium,PBBcompounds,andRoHSPBDEcompoundsinelectricalandelectronicequipment.Apple’sRoHSrestrictionsaresummarizedintheAppleRoHSComplianceSpecification,069-1111IQC/OQCIncomingQualityControlandOutgoingQualityControlQuarterlyBusinessReview.Ameetingtoreviewsupplier’sQBRbusinessperformanceonsupplychain,qualityandenvironmentalcompliance.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page2Title:EnvironmentalQualitySpecification069-8496Rev.A3.0IQC/OQCEnvironmentalAuditAllApplecommoditiesshippingtoend-consumersshallsubmittoIQC/OQCauditsonRoHSandHalogen-free(HF)atthesuppliersiteandCMsite.Thefrequencyoftheauditsshallbebasedonlotlevelorbyasetintervaldependingonpartcomplexity.3.1IQCAuditSuppliersshalldefineaproceduretodetermineincomingmaterialrisklevelbasedonthetendencytoinducenon-compliantissues.High-riskmaterialsshallbeauditedatincomingbylotorbymonthduringsustainingmanufactureperiod.RawmaterialsasknowntocontainaregulatedsubstancemustberankedashighriskandtestedatIQCbylot(orD/C).RawmaterialsmustbeauditedbylotduringxVTstagesornewmaterial/vendorqualificationperioduntilok2ship.SuppliersarerequiredtosetupsufficientproceduresandresourcesonRoHSandHFcomplianceauditingatIncomingQualityControl(IQC)inthefactory.EnvironmentalcompliancemonitorshallbeoneofthetestiteminIQCchecklist.Allthedirectmaterialsmustbetestedhomogeneously.Anappropriatedisjointingbillofmaterialforcomplicatedpartshallbeusedasaguidanceforlaboperation.Examplesofmaterialrisklevel,categorizedasLow(L),Medium(M)andHigh(H)areshowninTable1.Table1MetalPlatingPlasticRubberGlassCeramicsFoamPaperPaintInkAdhesivesPbHHHHHHHLHHMCdHMMMHLLLMMLHgLLLLLLLLMMLCr(VI)LHMMMLLLHHLPBB/PBDELLHHLLLLMHHBr&ClLMHHLLMMMHHAsMLLLHLLLHHLBeHMLLLLLLMLLThematerialtypeslistedinTable1areexamplesandnotexhaustive.Allhomogenousmaterialsareunderthescopeoftheaudit.SuppliersareallowedtouseX-rayfluorescencespectroscopy(XRF)asascreenforrestrictedsubstances.However,theXRFthresholdshouldbesettowithin3sigmaofthespecificationlimit,whichcanbesimplyconsidered30%asthemarginofsafety(e.g.setthresholdforbromineat630ppmtoaccountfor30percentvariance).Anytestresultoverthethresholdmustbesenttoaqualifiedlaboratoryforverification.Thequalifiedlabmustbenationalorinternationalcertified,forexample:ISO17025.TestmethodsshouldbeconsistentwithIEC62321(Cd,Cr6+,Pb,Hg,PBB,PBDE)EN14582:2007orEPASW-8465050/9056(Br,Cl).TestreportsbasedonX-rayFluorescenceSpectroscopy(XRF)arenotacceptableforMaterialDeclaration(MD)use.AnenvironmentalqualityexcursioncanbeconfirmedoncetherestrictedsubstanceisverifiedtobeviolatingApplerequirementsbychemicaltests.AnyconfirmedTHEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page3Title:EnvironmentalQualitySpecification069-8496Rev.AqualityexcursionmustbereportedtoAppleEnvironmentalQualityteam:environment_quality@apple.comortoApple’sEnvironmentalSQE,AlexHe,yonghong_he@apple.com.3.2OQCAuditSuppliersarerequiredtodefineaproceduretodeterminethetestfrequencyforoutgoingparts.Non-destructiveXRFscanningisacceptablewiththeconditionthattheincomingmaterialauditfrequencyissufficient.Alltheauditrecordsmustberetainedforverificationpurpose.4.0SupplierMaterialDeclarationDeclarationsareusedtodeclaretheenvironmentalcompliancestatusofpartsinApple’sAgilePLMsystem.Therearetwotypesofdeclarations:SupplierDeclarations:ApplesuppliervoluntarilyprovidestheenvironmentalcompliancestatusofpartsinAgileGeneralDeclarations:AppleissuesadeclarationtothesupplierforenvironmentalcompliancestatusofspecificpartsSupplierswillneedanAppleDirectory(DSID)accountandanAgileuseraccounttoaccessthesystem.ContactyourAppleGSMforassistanceincreatingtheseaccounts.Ingeneral,thetestreportsarerequestedbyApple’scontractedmanufacturerstodemonstratecompliance.Allrelatedreportsandordocumentsmustbecorrectlysubmittedandcompletedbeforeprojectramp.AppleorApple’scontractedmanufacturerwillstarttorequestreportandordocumentsfromEVTofeachnewproject.AllApplesuppliersareexpectedtobecooperativeandpromptintheirresponsetotheserequests.Suppliershallsendfinishedpartsfor3rd-partytestonRoHSsubstances,bromine,chlorine,berylliumandarsenictogetaformalcompliantreportinordertomeetAppleandorApple’scontractedmanufacturer’smaterialdeclaration(MD)requirementshouldaresultbeneededurgently.AnypartsthatfailtocompleteMDsafterprojectramporPVTwillresultinalot-by-lotauditatthecontractmanufacturersiteasanextraIQCcheckpointuntiltheMDisclosed.Allmaterialandtestcostswillbechargedtosuppliers.Supplierswillberesponsibleforshippingpartsforenvironmentalauditpurposes.TheEnvironmentalSQEisthepersonresponsibletosendtheformalnotificationrequesttosupplierandGSM.ForPost-RampQualification(PRQ)projects,EnvironmentalSQEshallworkwiththeNewProductOperations(NPO)formaterialdeclarationsofthosenewlyqualifiedparts.CollectionoftheMDfromsupplierswillstartatleast2weekspriortoriskramporPVT.FailuretocompletematerialdeclarationforthePRQprojectshallresultinalot-by-lotaudituntiltheMDisclosed.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page4Title:EnvironmentalQualitySpecification069-8496Rev.A5.0SupplierFactoryEnvironmentalAuditThepurposeoffactoryenvironmentalauditistoassessthefacility’smanagementsystemsandprocessesthatleadtoenvironmentalcompliance.Auditorswilllikelyencounterdirectnon-complianceperformanceissues,whichshouldalwaysbedocumentedalongwithsystemsandprocessobservations.Thephilosophyoftheauditisajointandcollaborativeeffortbetweenthesupplierandtheauditteam.Applehasturnedtoanindependentthirdpartytoconducttheaudit.AnAppleEnvironmentalSQEandoranengineerfromtheAppleEnvironmentalTechnologiesteammayalsoattendtheaudit.Theauditisonayearlybasis.AuditresultsshallbetrackedinRadarwithfindingsandcorrectiveactions.AQualityNoticeorQualityPre-alertshallbecreatedtodrivesupplier’stoclosemajorfindingsinordertominimizetheriskofnon-complianceissues.5.1InitialAuditProcessOpeningMeeting:Theauditbeginswithanopeningmeetingtobeattendedbytheauditteamandkeymanagementandtechnicalpersonnelfromthefacility.Thismeetingprovidesanopportunityforfacilityrepresentativesandtheauditteamtogetacquainted,andtoreviewtheaudit’sobjectives,facilityoperations,auditprocessandschedule.Theopeningmeetingwilltypicallylastlessthanonehour.SiteTour:Followingtheopeningmeeting,thefacilityshouldplantogivetheauditteamabrieftourofallareasofthefacility.Thisallowstheauditorstoorientthemselvestoyourfacilityanditsactivitiesandcanidentifyspecificoperationalareastobeinspectedinmoredetaillater.Inspection,RecordReview&Interviews:Duringthesitevisit,theauditorswillconductcomprehensiveinspectionsofthefacilityandreviewselectedrecordsanddocuments.Theseactivitiesenabletheauditorstoverifythefacility’sstatuswithrespecttotheauditcriteria.Pleasenotethattheauditteammayneedtotakephotographstocommunicatetheexactnatureofthefindingswithmanagement.Theauditteamwillcoordinatewithyourfacilityonpropermanagementofthesephotographstoensureconfidentiality.ClosingMeeting:Attheconclusionofthesitevisit,theauditteamwillmeetwithfacilitytechnicalandsr./managementpersonnel.Theauditorswillprepareapreliminarysetoffindingsfordiscussionduringthismeeting.Theywillsummarizetheirfindingsanddiscussthesubsequentphasesoftheauditreport,andcorrectiveandpreventiveaction.AuditReport:Aftertheaudit,theauditorswillprepareadraftreportsummarizingthefindingsoftheaudit.Thefacilitywillhaveanopportunitytoprovidefeedbackonthisdraftreportbeforeitisfinalized.CorrectiveActionPlan:Thefacilitywillberequiredtoprepareadraftcorrectiveactionplan(CAP)thataddressesallofthefindingsfromtheauditreport.AppleEnvironmentalTechnologieswillreviewthisdraftCAP.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page5Title:EnvironmentalQualitySpecification069-8496Rev.ACAPClosure:Itisthefacilityqualitymanager’sresponsibilitytofollowuponimplementationofthisplan,andtoprovideregularupdatestoAppleEnvironmentalTechnologiesandSQEteamuntilallauditfindingshavebeenclosed.AppleEnvironmentalSQEwillreviewtheCAPclosurestatusonamonthlybasiswiththeauditor.5.2Follow-upAuditProcessCAPApproval:Suppliershallformallynotifyauditorstheimplementationofcorrectiveactions,auditorsandAppleEnvironmentalTechnologyandSQEreviewandapprovesupplier’sCAP.OnsiteVerification:Theauditcoordinatorwillschedulefollow-upauditoncetheCAPisimplementedatthefacility,typicallythefollow-upauditisfocusbutnotlimitedontheCAPitems.FacilityshallprovidesufficientevidencetodemonstratetheCAPisefficientlyimplementedasauditor’srequest.CloseAudit:auditorhastosummarizetheresultoffollow-upauditandcloseitinradar.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page6Title:EnvironmentalQualitySpecification069-8496Rev.A6.0QualityExcursionManagementFlowChartThissectionistostandardizetheenvironmentalqualityexcursionmanagementprocedureforallApplecommodities.Theobjectiveistodefineacommonqualityexcursionmanagementflowcharttobeimplementedinafeasiblemanneratthecontractmanufacturer(CM)andthesuppliersite.6.1ScopeEnvironmentalqualityislimitedtotheAppleRegulatedSubstancesspecification,069-0135.ThefollowingtablesummarizessomeofthesubstancesrestrictedbyApple.Insomecases,requirementsforbatterycellsorpackagingmaterialsdiffer.ThisflowchartisintendedtocoverthefulllistofrestrictedsubstancesintheRegulatedSubstancesSpecification,069-0135.SubstanceAllMaterialsBatteryCellsPackaging≤Arsenic(As)50ppmexcept≤1000ppminmetals≤Bromine(Br)900ppm≤1500ppmbromine+chlorineBeryllium(Be)≤1000ppminmetalconnectors≤Cadmium(Cd)≤50ppm≤20ppm100ppmCd+Cr6++Pb+Hg≤Chlorine(Cl)900ppm≤1500ppmbromine+chlorine≤500ppm≤100ppmCd+Hexalvalentchromium(Cr6+)except≤3ppminleatherCr6++Pb+Hg≤1000ppm≤100ppmCd+Lead(Pb)except≤50ppm≤40ppmCr6++Pb+Hginplastic≤Mercury(Hg)≤50ppm≤5ppm100ppmCd+Cr6++Pb+HgPolybrominatedbiphenyl(PBB)≤1000ppmPolybrominateddiphenylether(PBDE)≤1000ppmTHEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page7Title:EnvironmentalQualitySpecification069-8496Rev.A6.2Environmentalexcursionmanagementflowchart(RoHS,HF)FlowchartforEnvironmentalQualityExcursionTheaboveflowchartcanbeusedasaguidelineforRoHSandHalogen-freeaudits.TheprocesscanbeappliedtoallofApple’sregulatedsubstances.AQualityNotice/Pre-alert/AlertshallbecreatedandupdatedbytheEnvironmentalSupplierQualityEngineer(SQE)throughtheModuleQualityAlertTool.CoreteammemberswillincludethecommodityGSM,SQEandProductQualityManager(PQM).AnywaiversusedtoreleasematerialforproductionorshipmentshallbeissuedbytheappropriateAppleEnvironmentalTechnologiesresponsibleperson.ThefinaldecisiononmaterialdispositionshallbemadebyAppleEnvironmentalTechnologies.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page8Title:EnvironmentalQualitySpecification069-8496Rev.A7.0EnvironmentalQualityPerformanceAssessmentAspartofthesupplierQuarterlyBusinessReview(QBR),environmentalqualityshallbebroughttothesupplier'sattentionanddrivecontinualimprovementinenvironmentalperformance.Allsuppliersareunderenvironmentalqualityperformanceevaluation.Thesupplierenvironmentalqualityscorecardisaseparateformincludingthreemajorareas:a)Supplierfactoryenvironmentalauditsb)Environmentalcomplianceissuesc)MaterialDeclaration;includingtestreportsubmissiontoApplecontractedmanufacturersThescorecardshallbemaintainedbyAppleEnvironmentalSupplierQualityEngineer(SQE)orEnvironmentalTechnologies.Suppliersareallowedtoconductaself-scorebeforeQBRreviewwiththefinalscoregivenbyAppleEnvironmentalSQEorEnvironmentalTechnologiesbasedonbutnotlimitedtothethreeareasmentionedabove.AnAppleEnvironmentalSQEandorEnvironmentalTechnologiesengineermayjoinonesupplierQBRmeetingperyear.ThetopfiveandbottomfivesuppliersshallbehighlightedintheQBRmeetingformanagementattention.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page9Title:EnvironmentalQualitySpecification069-8496Rev.A8.0ReferenceDocumentsSpecificationDescription069-0135AppleRegulatedSubstancesSpecification069-1857AppleSpecificationontheRestrictionofBromineandChlorine069-1111AppleRoHSComplianceSpecification080-3391QualityRequirementsDocumentforCommoditySuppliers9.0FrequentlyAskedQuestions9.1DoestheenvironmentfactoryauditincludeEnvironmentalHealthandSafetyorCorporateSocialResponsibility?No;theenvironmentalfactoryauditisfocusedonthecomplianceoftheproductandthesystemorprocedurethatensuresthefinishedgoodsenvironmentalquality.Theworkingenvironmentorconditionthatleadtoworker’shealthandsafetyisnotcoveredbytheseaudits.ACorporateSocialResponsibilityteamisdedicatedtocovermattersrelatedtoworker’shealthandtheworkingenvironment.9.2ShouldwefollowApple’sEnvironmentalspecificationsorthisspecification?TheEnvironmentalQualitySpecificationreferstotherequirementsof069-1111,069-0135and069-1875.Thisspecificationisintendedtoprovidetheprocesstofulfilltherequirementsstatedintheenvironmentalspecifications.Suppliersshallfollowallofthesespecificationsduringtheproject.9.3DoessupplierneedtoprovidetestreportandguaranteelettertoCMs?Yes;suppliersarerequiredtoprovideenvironmentalcompliancedocuments(testreport,MCD,etc.),plusqualityguaranteelettertoAppleanditscontractedmanufacturerforeachnewproject.THEINFORMATIONCONTAINEDHEREINISTHEPROPERTYOFAPPLEINC.THEPOSSESSORAGREESTOTHEFOLLOWING:(i)NOTTOREPRODUCEORCOPYIT(ii)NOTTOREVEALORPUBLISHITINWHOLEORINPARTAppleInc.Page10Title:EnvironmentalQualitySpecification069-8496Rev.A