new and proposed regulatory requirements impacting … · 2017-11-20 · new and proposed...

New and Proposed Regulatory Requirements Impacting

Secondary Equipment Markets in the EU and the World

Sanjay Baliga, SEMI Global Headquarters

Secondary Equipment Session, SEMICON Europa, November 15, 2017

• PFOA and Related Inert Fluoro-Surfactant Materials Compounds

– Basics of PFOA

– Uses in the Semiconductor Industry

• PFOA Regulatory Restrictions

– European Union (EU) REACH Enacted Requirements

– United Nations (UN) Stockholm Convention Proposed Requirements

• Compliance Challenges for Equipment

• Next Steps and Request for Collaboration

Presentation Agenda

PFOA and Related Compounds

Inert Fluoro-Surfactant Materials

• Class of Synthetic Materials That Acts to Reduced Surface Tension and Are Chemically

Resistant to Other Reactive Materials and Even to High Energy Light

• Most Prominent Members Include Per-Fluorinated Alkylated Substances (PFASs)

• Extremely Mobile Once in the Environment

• Extremely Persistence / Bio-accumulative

• Some are Considered to be a Persistent Organic Pollutant (POP)

• Hazard Profile Are Somewhat Known


PFOA


Basics of PFOA

• Per-Fluoro-Octanoic Acid (PFOA) – C8

• First Produced by 3M in 1947 and Then by Dupont in 1951

• Extremely Useful as an Inert Industrial Surfactant

• Extremely Mobile Once in the Environment

• Extremely Persistence / Bio-accumulative

• Could be Considered to be a “Persistent Organic Pollutant” (POP)

• Toxic and Carcinogenic


Known or Likely PFOA Uses in the Semiconductor Industry

• Used in Photolithography and Etch Applications for Semiconductor Manufacturing

– Photo Acid Generators

– Anti-Reflective Coatings

– Photoresists

– Immersion Topcoats / Overcoats



• Found as Residues in Fluoropolymer / Fluoroelastomer Materials

– PFOA Useful As an Emulsifier in the Construction of Fluoropolymers and

Fluoroelastomers (Example: PTFE, Teflon)

– Possible Un-Intentional Residues of PFOA in These Fluoro-Materials

– Fluoropolymers and Fluoroelastomers Incorporated into Parts such as Tubing,

Piping, Gaskets, Ductwork, Filtration, Coatings, Valves, etc.

– These Fluoropolymer and Fluoroelastomer-Containing Are Incorporated into a Wide

Variety of Manufacturing Devices within a Fab Setting



• Semiconductor Manufacturing Equipment

– Wet Chemistry Process Equipment

– Dry Chemistry (Solid/Gas-Utilizing) Process Equipment

– Other Equipment

• Replacement, Spare, Maintenance and Refurbishment Parts for Above Equipment

• Fab-Related Infrastructure (Chemical, Gas, and Air Distribution and Control Systems)

• Chemical Container Systems

EU REACH Regulation

European Union (E.U.) Chemicals Management Regulation:

• Stands for “Registration, Evaluation, Restriction, and Authorisation of CHemicals”

• Applies to All 28 Member States of the E.U.

• Passed by European Parliament, Council of Ministers, and European Commission in 2006

• More Holistic, Integrated Regulation that Covers Nearly All Substances (Revolutionary at

the Time and Not Viewed As Being Incremental)

• European Chemicals Agency (ECHA) Administers the Regulatory Mandates

• SEMI Is an Official Accredited Stakeholder Under ECHA

• ECHA Staff Have Engaged SEMI Members at SEMICON West and SEMICON Europa

EU REACH Regulation

PFOA Regulatory Restrictions within EU REACH

• First Proposed for Restriction in late 2014

• SEMI Provided Several Rounds of Feedback Documents Between 2015 – 2016

– Request: Photolithography Exemption (Time Unlimited)

– Request: Equipment Exemption (Ten-Years)

– Request: Maintenance Parts Exemption (Service Life of the Equipment)

– Request: Secondary Equipment (Service Life of the Equipment)

• Directly Engaged ECHA, the European Commission, and the World Trade Organization

• Final Vote Taken in December 2016

• Regulation Enacted and Published in June 2017

EU REACH Regulation

Exemptions for the Semiconductor Industry

• Photolithography: Time Unlimited Exemption

• Chemical Container Systems: Three Year Exemption (Exemption Deadline: July 4, 2020)

• Fab-Related Infrastructure: Three Year Exemption (Exemption Deadline: July 4, 2020)

• New Equipment: Five Year Exemption (Exemption Expiration: July 4, 2022)

• Secondary Equipment: Five Year Exemption (Exemption Expiration: July 4, 2022)

• Maintenance Parts: Time Unlimited Exemption (If Place on the Market Before July 4, 2022)

EU REACH Regulation

Secondary Equipment Concerns

• Existing Articles / Finished Products Are Exempt

• Industry Can Continue to Use Equipment with Potential PFOA Residues

• Placing Secondary Equipment with Potential PFOA Residues on the European Market on

July 2022 Would Be Prohibited

UN Stockholm Convention


International Treaty Administered Under the United Nations (UN)

• Signed in 2001 and Came Into Force in 2004

• Addresses Global Restrictions on Persistent Organic Pollutants (POPs)

• Currently 181 Parties (Countries or Other Designated Entities) to the Convention

• Some Countries Have Not Ratified the Convention (U.S., Italy, Malaysia, and Israel)

• About Every Two Years, All Parties Meet at a “Conference of the Parties” (COP)

• Latest COP Meeting Just Took Place in Geneva, Switzerland (April 2017)

• Next COP Meeting Scheduled in Geneva, Switzerland (April 2019)


POP Substance Restrictions

• Substances Are Added to the Restriction List Based on Consensus of COP Members

• Frequency of Restrictions Based on Frequency of COP Meetings

• Initially in 2004, 12 Substances Listed for Global Restrictions

• 12 Substances Added in 2010; 1 Substance Added in 2011; 1 Substance Added in 2014;

3 Substance Added in 2016

• PFOS Added in 2010


Incorporating Stockholm Convention Restrictions to Domestic Legislation

• Once a Country Has Ratified the Stockholm Convention, They Are Obligated to Eventually

Incorporate these Substance Restrictions into Their Domestic Legislation or Regulations

(But NO UN Police Function or Penalties Clause for Violators)

• For Some Countries, Stockholm Consensus Automatically Incorporates the Restrictions

Into Domestic Law

• Each Party Has Great Flexibility in Implementation / Enforcement


Adding New Substances

• Process of Adding New Substances Is Relatively Well Known (5 Step Process)

• Any Party to the Convention Can Propose New Substances

• “POP Review Committee” or POP-RC Evaluates Proposals for New Substances and

Comes Up with Initial Set of Recommendations, which Are Forwarded to the COP

• Current POP-RC Established in May 2016 (Normally 2 Year Duration)

– 17 Designated Experts (Includes Current Drafter of Risk Management Evaluations)

– 14 Parties (Estefânia Moreira of Brazil as Chair)

• For Current POP-RC: Start in September 2016 and End Work in Late October 2017

• In 2019, COP Evaluates and Adopts / Rejects POP-RC Proposals for New Substances


PFOA Regulatory Restrictions Proposal

• First Proposed for Restriction in September 2016

• SEMI Provided Several Rounds of Feedback Documents in 2017

– Request: Photolithography Exemption (Time Unlimited)

– Request: Equipment and Fab-Related Infrastructure Exemption (Ten-Years)

– Request: Maintenance Parts Exemption (Service Life of the Equipment)

• Directed Engaged a Number of POP-RC Members and the Secretariat

• Attended and Presented at the POP-RC Meetings in Rome in October 2017


Exemptions Recommended for the Semiconductor Industry

• Photolithography: Five Year Exemption (Possible Exemption Expiration: 2025)

• Equipment and Fab-Related Infrastructure: Five Year Exemption (Possible Exemption

Expiration: 2025)

• Maintenance Parts: Five Year Exemption (Possible Exemption Expiration: 2025)


Secondary Equipment Concerns

• Existing Articles / Finished Products Are Exempt

• Industry Can Continue to Use Secondary Equipment (Note: Maintenance and

Refurbishment Parts Exemption Deadlines)

• Possible Uncertainties Regarding Shipping Equipment Across International Borders

• Stockholm Secretariat Staff: Confusion Regarding Trans-Boundary Shipments

• Most COP Members Asked: Trans-Boundary Shipments Allowed

• A Few COP Members Asked: Trans-Boundary Shipments Prohibited

Compliance Challenges for Equipment Suppliers

PFOA Restriction Compliance for Equipment

• Identification of Fluoropolymers and Fluoroelastomers in Equipment

• Supply Chain Inquiry Regarding Fluoro Materials

• Request for Substitution of Fluoro Materials NOT Containing PFOA (Or Containing PFOA

Below the Regulatory Requirement of 25 ppb)

• Identification of Possible Yield Concerns

• Possible Re-Qualification with Downstream Users


Complexity

Semiconductor Manufacturing Equipment


Challenges for Compliance for Equipment Suppliers

• Small Shipment Volumes Per Equipment Type

• Large Number of Distinct Equipment Types

• Equipment Complexity

• Supply Chain Complexity

• Extensive Qualification / Re-Qualification Requirements for Use


For Secondary Equipment Markets

• Technical and Economic Feasibility of Compliance for Secondary Equipment

• Possible Disruptions of Secondary Equipment Markets in the EU Starting in July 2022

Next Steps and Request for Collaboration

Need to Work Together to Protect Secondary Equipment Markets

• Possible Outreach to the European Commission Regarding Secondary Equipment

Exemption

• Stockholm Convention Request for Additional Information (Deadline: January 10, 2017)

SEMI Contact

Sanjay Baliga

SEMI Global Headquarters

Milpitas, California, USA

[email protected]