PRODUCT / PROCESS CHANGE NOTIFICATION PCN-000401.r3 Date: 5APR2020 P1/2 Semtech Corporation • 200 Flynn Road • Camarillo • Ca • 93012 • Phone +1 (805) 498-2111 Semtech Corporation, 200 Flynn Road, Camarillo CA 93012 Semtech Canada Corporation, 4281 Harvester Road, Burlington, Ontario L7L 5M4 Canada Semtech Irvine, 5141 California Ave., Suite 100, Irvine CA 92617 Semtech Neuchatel Sarl, Route des Gouttes d’Or 40, CH-2000 Neuchatel Switzerland Nanotech Semiconductor, Semtech Corporation, 2 West Point Court, Bristol, United Kingdom, BS32 4PY Semtech Corpus Christi SA de CV, Carretera Matamorros Edificio 7, Reynosa, Tamaulipas, Mexico 88780 Change Details Semtech Part Number(s) Affected: San Antonio Fab 9 Huatian Assembly RClamp3331ZA RClamp3331ZA RClamp5011ZA RClamp5011ZA Customer Part Number(s) Affected: N/A Description, Purpose and Effect of Change: For the benefit of our customers, Semtech has qualified additional manufacturing capacity for Protection Products. A second wafer fabrication facility and a second assembly facility have been brought on line that duplicates our current wafer and assembly manufacturing processes. a. Additional Wafer Fabrication Capacity – “San Antonio, Fab 9”, San Antonio, TX USA b. Additional Assembly and Test Capacity – Huatian Electronics Co, Ltd, China Change Classification Major Minor Impact to Form, Fit, Function Yes No Impact to Data Sheet Yes No New Revision or Date N/A Impact to Performance, Characteristics or Reliability: • NO impact to data sheet content or package dimensions • NO impact to performance, characteristics; or reliability Implementation Date 5JUL2020 Work Week Predicated upon receipt of customer approval Last Time Ship (LTS) Of unchanged product N/A Additional Capacity Affecting Lot No. / Serial No. (SN) N/A Sample Availability Immediate Reliability Report Availability Enclosed Supporting Documents for Change Validation/Attachments: a. Rel Report: 6247_1_2_UClamp3331ZA_3321ZA_final – Enclosure 1 b. Rel Report: 6273_1_RClamp5011ZA_final – Enclosure 2 c. Char Report - RC3331ZA RJ6276 3 AER-3808 _Validation R1 – Enclosure 3 d. Char Report - RC5011ZA RJ6276 2 AER-3813 _Validation R1 – Enclosure 4 e. Site Audit Report: San Antonio, Fab 9 – Enclosure 5 f. Site Audit Report: Huatian, Kunshan – Enclosure 6 Issuing Authority
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Semtech Corporation, 200 Flynn Road, Camarillo CA 93012 Semtech Canada Corporation, 4281 Harvester Road, Burlington, Ontario L7L 5M4 Canada Semtech Irvine, 5141 California Ave., Suite 100, Irvine CA 92617 Semtech Neuchatel Sarl, Route des Gouttes d’Or 40, CH-2000 Neuchatel Switzerland Nanotech Semiconductor, Semtech Corporation, 2 West Point Court, Bristol, United Kingdom, BS32 4PY Semtech Corpus Christi SA de CV, Carretera Matamorros Edificio 7, Reynosa, Tamaulipas, Mexico 88780
Change Details Semtech Part Number(s) Affected:
San Antonio Fab 9 Huatian Assembly
RClamp3331ZA RClamp3331ZA
RClamp5011ZA RClamp5011ZA
Customer Part Number(s) Affected: N/A
Description, Purpose and Effect of Change: For the benefit of our customers, Semtech has qualified additional manufacturing capacity for Protection Products. A second wafer fabrication facility and a second assembly facility have been brought on line that duplicates our current wafer and assembly manufacturing processes. a. Additional Wafer Fabrication Capacity – “San Antonio, Fab 9”, San Antonio, TX USA b. Additional Assembly and Test Capacity – Huatian Electronics Co, Ltd, China
Change Classification Major Minor Impact to Form, Fit,
Function Yes No
Impact to Data Sheet Yes No New Revision or Date N/A
Impact to Performance, Characteristics or Reliability:
• NO impact to data sheet content or package dimensions • NO impact to performance, characteristics; or reliability
Implementation Date 5JUL2020 Work Week Predicated upon receipt
2 Highlights: • The Process Release Documentation (PRD’s) for process transfer is an excellent initiative to
document and freeze processes. • The SAMENESS process for tool correlation provides robust methodology for customer’s
confidence. • Excellent synergy between Operation team and Engineering. • Calibration has good tracking and compliance. • PM records showed consistency and proper management. • Engineering personnel holds >15 years’ experience
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3 Audit Notes:
3.1 Texas Site Overview: - Texas plant was acquired by TJ beginning of 2015. Formally a Maxim’s facility. - It has around 100 Acres, ~ 500 employees on which 20% are on the engineering level. Rest of
personnel is operations and supporting teams. - Technologies includes from 0.18 um to 0.8 um BCD and some customs processes. - Under today’s loading scenario, Texas TJ operations can ramp 2X PALM process (going from 150
wafers a week to 300X) without major concerns. - Attrition rate is on the single digit percentage. - Majority of previous Maxim’s employees stayed as part the TJ acquisition.
o OFI_1: Only one QA personnel to assist current Fab operations and Customers’ issues; may not be sufficient. Consider increasing the Customer service support.
- Factory is ISO certified and planned to move to 2015 revision spec next year. - Quality Management System is under Document ID# 10-0139.
3.2 Process Flow Overview
- PALM process is a shared development process between Semtech and TJ. - There are currently weekly integration meetings between MH, TX and SMTC teams to ensure
proper transition to MH. - Several Systems are still in transition (TX still adopting TJ’s practices) such as the SPC, ELS, eBizz - FMEA and Process Control Plan are still pending to be closed and released between MH and TX.
o Action_1: Provide timeline on when the PALM’s Process FMEA will be completed and shared with Semtech.
o Action_2: Provide copy of PALM’s Process Control Plan once it is closed. - If lot goes “on hold”, only assigned Eng can release material. - FabGuard is used as software for on-line Fault Detection and Classification (FDC) capabilities to
analyze aspect of process and equipment behavior.
3.3 In Line Monitoring - Cpk goal is to have 98% of parameters >1.33. - Fab monitors parameters with Cpk >1.67. PALM has all PCM parameters >1.33 and 8 higher than
1.67. - SPC is monitored weekly by engineers and presented once a month to management.
o OFI_2: Consider implementing a SPC alarm notification to customer when PCM >4sigma but still within limits (Similar than Fab3)
- Quarterly goals are set based on the monthly analysis and assigned to eng team to drive improvement.
- MRB is raised if more than 1 lot is affected or parameter is out of spec or if it > $$ value. - Rest of OCC are managed individually by engineers.
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- Process Release Documentation (PRD’s) is used to document main parameters (Ave, Standard Dev, Maximum, Minimum) at the moment of production release. PRD is approved by the transferring and receiving Fab. - Action_3: Provide copy of PALM’s related PRDs once it is approved.
- Tools for analysis includes: JMP, Klarity ACE XP, Wafer Sleuth (20% of the fab). - 90% of the Fab is Automated to the Control Plan. - Inline data set is statistical based (4 sigma) and some are set at 3 sigma based on Eng judgment
and/or FMEA feedback. - Action_4: Align incoming Inspection practices between MH and Texas.
- SAMENESS process is used for tool comparison and qualification. Data needs to overlap >97.3%. - There are currently only two parameters within PALM that are not meeting SAMENESS criteria.
Dan/Alex are aware and it will be presented to Semtech’s CMT once Fab is ready for production released.
3.4 PCM Monitoring - There are 18 PCM structures tested on PALM process. Agreement with TJ is to buy wafers if less
than 2 PCM fails per wafer. o Action_5: Provide a plan to publish the PCM data on eBizz and the change on the
format. - PCM are monitored if OCC is raised, however trends (“white space”) is not proactively analyzed.
o OFI_3: Consider improving the proactive monitoring of the “White space” trends for PCM and inline data.
- Example of PCM Hold Lot C39858 was reviewed and showed to be adequate. - PROMIS is used to manage WIP and test recipes on production flow. - Currently all PALM WIP is under Eng status and it will be transfer to production through a MRB once
it has been approved by SMTC. - It was noticed TX does not have the same waiver process than rest of TJ Fab’s.
o Action_6: Align Waiver process to TJ’s practices. - CPK is currently shared via email on weekly basis. But still not available on eBizz.
o Action_7: Provide a plan to publish CPK data on eBizz and the change on the format. - Inline data is reviewed daily/weekly and monthly formats. - Data retention is 5 years on site and 10 years on tape. - Data is back-up in 2 data centers. Tapes are kept in a fire safe location. 3.5 Defect Density Reduction Initiatives/Monitor - Particle Monitor is done once month on a fix point and every 5 years on every filter. - Every Bay has 2 point measurement. - Alarm for humidity and temperature is in placed. - Processes are monitored for the top 10 hitters. Examples were shown for BCD process. - Automated inspections flows/processes are in place around specific critical steps in the process
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flow. - Formal review is conducted once >15% of the projected annual volume has been run at the fab for
PALM. o Action_8: Provide plan to implement Defect Reduction Program for PALM (review data
and top hitters against MH). o Action_9: Provide a GDPW for PALM on eBizz.
3.6 Training Process - LMS (Learning Management System) is an automated software that tracks personal training and
locks employees out of operations if their training is expired. - New Employee Training program was reviewed and show critical information to employees,
however ISO9001 was not part of the induction. o Minor_1: ISO9001 training is not part of the induction program
- Employees can be disqualified to operate specific equipment if: o There are quality issues with the employee. o Training is expired. o Not running the equipment in a certain period of time. o Not up to date with the latest procedures.
3.7 CAPA - 8D format contains all key elements of proper report. - Review process is appropriate and contains key players. - Turn around to close 8D’s are too long (90 days) and Semtech requests improves these TAT.
o OFI_4: Consider improving CAR/8D TAT as 90 days for full report is not aligned with Semtech’s expectations (14 days with root cause and corrective action identified)
3.8 Change Control Procedure - Process Change Review Board (PCRB) is in charge to review/approve any changes. - Proper experts are on the approval loop. - PCRB flow:
o PCRB1 is called to review new request. Changes are requested first under engineering for a split lot. Process Experiment Form is filled.
o PCRB2 is call to review results. Run changes on 10 lots if approved.
o PCRB3 is called for final approval. o Update on document control. o PROMIS Change.
- TX agreed to notify Semtech on Level 1 changes during development. Level 2 and 3 are always
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notified to customers.
3.9 Preventative Maintenance: - PM Checklists are well in place for processes. - Task completion windows are defined:
o Monthly ± 7 days. o Quarterly ± 14 days. o Semi-annual and Annual ± 28 days.
- These goals feed the technicians’ goals. - Machine will go down if PM is not performed at the established time and not based on the task
completion time. - PM records were reviewed for J6MOD machine
o Minor_2: Lug Inspection was not performed on the monthly PM for J6MOD tool.
3.10 Non-conformant material: - Proper NCMR system is in place. - Notification to customers will be done when PCM out of spec but inline data shows within specs. - Example PLD1224 was reviewed for PALM where incorrect mask set was indicated by Semtech. 3.11 RMA Capabilities: - Even though TX can access TJ FA capabilities, most of the activities are done outsourced. 3.12 Line Audit: - Proper location for non-compliance material was in place. - Movement of material was ok but:
o OFI_5: Consider restricting moving of the wafers in cassette without box. o OFI_6: Consider restricting the storage of the wafers in cassette without box.
- Tungsten CMP (2CMP) process control points were reviewed and checked. All data looked ok. - PM records for 2SCRIBE and 52STEP machines were corroborated. - Ionizer on the mask room did not have any calibration sticker.
o Minor_3: Ionizer on 3BLBOX module was found with no indication of PM or calibration. o OFI_7: Consider regular ESD program for Ionizers on the PCM Testing Area.
- Training records for operators Rudy Ramirez and Julie De La Cruz were checked and they were compliant.
- 5S Checklist is performed daily every shift change. - Masks are managed in a special staging area to improve TAT. - There is a maximum of 2 staging cassettes allowed. - One Point Lessons are printed across the fab for reminders to operators. - Current P1 status is defined as 0.8 days/layer, P2 as 1.3 days/layer and P4 as 3.5 days/layer.
CORPORATE QUALITY PROCEDURE NBAD-5E9ECH
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SITE AUDIT REPORT 4T H QUARTER FY17
Name Company To: Jianjun Chen Huatian Technology (Kunshan) Electronics Co.Ltd.
Harry Han Huatian Technology (Kunshan) Electronics Co.Ltd. Yaxiang Han Huatian Technology (Kunshan) Electronics Co.Ltd. Ray Wang Huatian Technology (Kunshan) Electronics Co.Ltd. Tina Zhang Huatian Technology (Kunshan) Electronics Co.Ltd.
All findings and actions items must be closed within 60 days. Actions on observations should be reported by the initial response date. In situations where long term corrective action is required, major milestones with commitment dates needs to be reported monthly until closed. Supplier may use this file document to provide responses.
Definitions Action Item: Action requested by Semtech during the audit that the supplier must respond
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to or complete.
Observation: An observation made by an auditor who determined that if not acted upon it is likely to lead to a product non-conformity.
A finding made by an auditor who determined that a condition that appears to violate an accepted industry standard.
A recommendation for improving the process / An opportunity for improvement
When a continuous improvement has been identified showing a significant improvement trend that is meaningful to the supplier and customer.
Response/comments are required.
Formal corrective action is not required but encouraged.
Minor Finding: A finding by an auditor identifying an incident failure to comply with a procedure or quality management system/element.
A finding made by an auditor who verified that a condition violates an accepted industry standard.
Minor inconsistencies in implementation of a requirement that will not reduce the ability to assure controlled processes or result in the probable shipment of nonconforming product.
Response on root-cause analysis and corrective action to address the finding is required.
Major Finding: A finding made by an auditor who verified that a condition violates a Semtech product requirement (includes assembly and test requirements).
A finding made by an auditor who verified that a condition violates a quality system element requirement.
Multiple minor findings indicating the breakdown of a quality-system element.
Major inconsistencies in implementation that would probably result in shipment of nonconforming product or reduce product reliability / usability.
Response on root-cause analysis and corrective action to address the finding is required.
Fail: Failed the supplier audit if there is more than one major finding
Conditional: Conditionally passed the supplier audit if there is only one major finding
Pass: Passed supplier audit if there is no major finding
Summary Agenda IQC Assembly lines Quality system Q2FY16 site line audit The line audit was carried out on Dec.6 & 14, 2016
Category # of findings Remarks
Action 1
Observation 9
Minor 1
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Major 1
Audit Findings Summary is tabulated at below:
Action Items
1. Action Item: Document review 1.Au plating SOP, did not define plating time 2.Ni Plating SOP, 1
st plating time in 7.6.1,1 is 40 Sec, but in 7.6.3.3 is 20 Sec
3.Post plating visual inspection spec define defect rate <2%, it need to be tightened for Semtech devices
Response:
Driver:
Projected Completion Date:
Status
Observations
1. Observation: Bonding station
1. On Dec.2.2016, humidity record data is 57, which is out of spec(40~50),but there is
no action was recorded
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
2. Observation: Plating station 1.Plating line cabinet cover should be closed during production 2.Plating line, cassette should be hold with special box to avoid the chemical leakage to the ground 3.The cleaning tank cover was not covered tightly, need modify the design 4.When Chemical analysis result is out of spec, need add chemicals and do the analysis again, but no record for post adjusting 5. Process control data is recorded from Nov.2016, no record for previously built AER lots 6. Process Q-time spec is <5hours, but it is not controlled by system. Suggest to control through system.
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
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3. Observation: Pre-cut/ Final-cut station 1. No record of 1st sample inspection after blade change 2. No blade life time control spec
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
4. Observation: Au-plating station 1. Process control data was recorded from November, no record for products built before November. 2. The the machine # is not consistent with the record sheet, (the machine marked as #2, the record sheet is #3). 3.Chemical storage room roof is damaged due to some corrosion, there is dust on the table, and water leakage issue was observed on the ground
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
5. Observation: Back side grinding station 1. The tape mounting machine, no cleaning SOP 2. Broken wafer disposition request inform engineer if >=0.01%, need issue abnormal sheet. But it did not define when it should be notified to Semtech. 3.The machine was fixed with many tape, it could not meet 5S requirement 4.Lamination equipment, there is no temperature calibration record 5.Bake oven, there is no temperature calibration record
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
6. Observation: Top side grinding station 1.SOP defined the grinding thickness set up should be double confirmed by 2
nd
person, but there is no record
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
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Preventive Action:
Driver:
Status
7. Observation: Epoxy filling station 1.There is no calibration record on vacuum machine 2. Epoxy filling SOP defined to measure squeeze height, but no record 3. Epoxy filling process, there is dust and foam under the printing machine 4. There is some dust and water under the vacuum machine
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
8. Observation:
Demount station 1.SOP did not define weight process post de-mount 2 The manual de-mount operation method has higher risk and it’s not easy to handle. Need to optimize operation method
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
9. Observation:
Test station 1. Tape & Reel process, some peeling force result files are not able to open. 2. No golden units were kept, but some 0402 lots are running on the line during audit.
Root Cause:
Containment Action:
Corrective Action:
Implementation Plan:
Preventive Action:
Driver:
Status
Minor Findings
1. Minor Finding: OCAP procedure set up
There is no OCAP for critical defects and Q-time control.