Supplier and Interplant Packaging and Handling Specification

Part 1 - Packaging and Handling

Revision 5.0 October 26, 2009

Lexmark Supplier and Interplant Packaging and Handling Specification, rev. 5.0,

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Table of Contents 1.0 Document Administration 1.1 Scope 1.2 Responsibility 1.3 Application 1.4 Communication 1.5 Compliance 1.6 Document Maintenance and Control 2.0 General Packaging Requirements 2.1 Consistency 3.0 Environmental Packaging 3.1 Ozone Depleting Chemicals 3.2 Heavy Metals 3.3 Dangerous Substances 3.4 Source Reduction 3.5 Recovery 3.6 Reusable Packaging Systems 3.7 Recyclability 3.8 Recycled Material Content 3.8.1 California Rigid Plastic Packaging Container (RPPC) Law 3.9 Environmental Labeling 3.9.1 SPI Coding 3.9.2 Deceptive Environmental Labeling 3.9.3 FTC Guidelines 3.9.4 Recycled Content 3.9.5 Green Dot 3.9.6 South Korean Material Coding 3.9.7 Japanese Environmental Labeling 3.9.8 China RoHS Environmental Markings 3.9.9 EU material coding 3.9.10 Tidyman symbol 3.9.11 Other required labeling 3.10 Required Environmental Packaging Data 3.11 South Korea Material bans/restrictions 4.0 Shipping Hazards 4.1 Shock 4.2 Vibration 4.3 Compression 4.4 Temperature 4.5 Moisture 4.6 Package Testing 4.7 Electrostatic Discharge (ESD) 4.7.1 Static Shielding Bags 4.7.2 Mailer Style Boxes 4.7.3 Thermoformed Blister Style Packages 4.7.4 Bulk Packaging 4.7.5 Exceptions 5.0 FRU & CRU Packaging Requirements 5.1 Applicability 5.2 Modular Carton Sizes 5.3 Element Protection 5.3.1 FRU – Screws, bolts and cables 5.3.2 FRU – Circuitboard 5.3.3 FRU – Critical FRU’s such as Printheads, Fusers & Lamps 5.3.4 FRU – Scanner Packaging & Alternate Packaging for Critical FRU’s 5.3.5 FRU - FRU – Alternate Scanner Packaging and Alternate Packaging for Critical FRU’s 5.4 Marking and Labeling 5.5 FRU Quality Seal Program 5.6 FRU/CRU Palletization 6.0 Primary Packaging 6.1 Corrugated Cartons and Inserts Lexmark Supplier and Interplant Packaging and Handling Specification, rev. 5.0,

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6.2 Edge Crush Test (ECT) vs. Mullen Equivalents 6.3 Minimum Corrugated Board Strength 6.4 Best Carton Closure Method 6.5 Requirements for Heavy Packages 6.5.1 Heavy Packages, Handling Features 6.5.2 Heavy Packages, Marking and Labeling 6.6 Ease of Unpackaging 6.7 Polybag – Suffocation Warning 6.7.1 Bags 1 mil or greater 6.7.2 Bags less than 1 mil 6.8 The use of Desiccants

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7.0 Palletized Shipments 7.1 Basic Requirements 7.2 Stacking 7.3 Pallet Securement 7.3.1 Stretch Wrap 7.3.2 Stretch Wrap and 2-Way Banding Combination 7.3.3 4-Way Banding 8.0 Unpalletized Shipments 8.1 Manually Handled Shipments 9.0 Pallet Requirements 9.1 Pallet Style and Size Requirements 9.1.1 GMA style pallets, 4 - way entry 9.1.2 Block style pallets, 9 blocks and 4 – way entry 9.2 Pallet Moisture 9.3 Special Pallet Requirements 10.0 Security Shipments 11.0 Hazardous Materials 12.0 Export Shipments 12.1 Special Wood Packaging Requirements 12.2 Export Height and Weight Limits 12.2.1 Aircraft Limitations 12.2.2 Ocean Container Limitations 12.2.3 Pallet Weight and Height Limits 12.2.4 Density 12.3 Export Shipments - Special Labeling Requirements 12.4 Export Shipments - Country of Origin 12.5 Security for Domestic and Export Air Shipments 12.5.1 TSA Requirements

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1.0 Document Administration 1.1 Scope This specification defines the minimum general requirements for the preparation and packaging of all parts, subassemblies, products and materials that will be shipped to any worldwide Lexmark manufacturing, distribution center or customer from either suppliers or other Lexmark locations. From this point on "suppliers and other Lexmark locations" will be referred to collectively as "shippers." 1.2 Responsibility It is the shipper's responsibility to ensure that their packaging methods and materials comply with all applicable laws and regulations. This is especially true for materials classified as hazardous or dangerous. It is the shipper's responsibility to ensure shipments are economically packaged and palletized. It is the shipper's responsibility to ensure shipments are packed in a manner such that the containers and their contents arrive at their destination free from damage. It is the shipper's responsibility to ensure export shipments are packaged as defined by this specification. For labeling and marking information, see the Packaging and Handling Specification Part 2 – Bar Codes and Labels 1.3 Application Adherence to the requirements of this specification is necessary to minimize shipping damage, streamline Lexmark's receiving process and reduce costs. When a special packaging specification is called out on a request for quotation or purchase order, that specification will take precedence over this one, if the specifications are in conflict. International shipments must additionally conform to unique export requirements. Refer to section 12. 1.4 Communication All shippers’ packaging questions and communications are to be coordinated through the Lexmark Purchasing Dept. 1.5 Compliance Compliance to the Lexmark packaging requirement safety guidelines, and legal regulations contained in this specification will be enforced as a condition of purchase per Lexmark purchase contracts. At any time, Lexmark reserves the right to: • Reject and return any shipments received that are improperly packaged or identified. •

Charge the shipper for the cost of labor and materials for any repackaging resulting from non-compliance with this or any other specification referenced on the Purchase Order.

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Remove from its list of approved vendor sources any supplier that, after notice, repeatedly fails to comply with its packaging requirements.

Any shipper requiring deviation from requirements contained in this specification must receive authorization from the Lexmark receiving location prior to shipment. Packing slips of approved non-conforming shipments must be noted with the name of the authorizing Lexmark Purchasing Agent and the date of authorization.

1.6 Document Maintenance and Control This specification was originated by Lexmark Packaging Engineering, Dept. H61L. This dept. also has maintenance responsibility. Address your comments about this specification to:Lexmark International Inc., Dept. H61L, Bldg. 008-1 740 New Circle Rd., Lexington, Kentucky 40550

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2.0 General Packaging Requirements The general requirements listed in this section must be met for all shipments and purchases. Unless additional requirements are identified in this, or other Lexmark packaging specifications, all other packaging decisions are left to the shipper's discretion. Note: Packaging costs must be included in all part quotations provided to Lexmark Purchasing. 2.1 Consistency Parts must be packaged consistently, both in terms of the containers used and quantity of parts per container for a given part number. If the total delivered quantity is not evenly divisible, the remaining parts shall be packaged, identified with quantity, and marked "partial." Shippers must get approval from Lexmark Purchasing prior to initiating a change to the container or quantity.

3.0 Environmental Packaging Lexmark is very concerned about resource conservation, pollution prevention, and the effect packaging waste has on the environment. When choosing materials to package items to be purchased by Lexmark, shippers must consider reducing the impact on the environment of discarded packing materials through the use of recycled and recyclable materials. Suppliers are expected to keep abreast of dynamic legislation concerning packaging materials and designs that are environmentally acceptable. Lexmark's strategy for a solid waste management system can best be achieved by acting upon the focus items identified below. The CEN standards referred to below are available via website: 3.1 Ozone Depleting Chemicals Lexmark has adopted the following requirements: •

Ozone depleting chemicals (ODC) Halogenated chlorofluorocarbons (CFCs) and hydrogenated chlorofluorocarbons (HCFCs) must not be used to manufacture materials used to package parts or products being shipped to Lexmark. Following is a list of ODC's: trichlorofluoromethane (CFC-11), dichlorodifluoromethane (CFC-12), trichlorotrifluoroethane (CFC-113), 1,2-dichloro-1,1,2,2-tetrafluoroethane (CFC-114), chloropentafluoroethane (CFC115), bromochlorodifluoromethane (Halon-1211), bromotrifluoromethane (Halon-1301), dibromotetrafluoroethane (Halon-2402), tetrachloromethane (Carbon tetrachloride), 11,1-trichloroethane (Methyl chloroform), CF3C1 (CFC-13), C2FC15 (CFC-111), C2F2C14 (CFC-112), C3FC17 (CFC211), C3F2C16 (CFC-212), C3F3C15 (CFC-213),C3F4C14 (CFC-214), C3F5C13 (CFC-215), C3F6C12 (CFC-216), C3F7C1 (CFC-217)

•

Certification by the supplier may be required for packaging material purchased by Lexmark.

3.2 Heavy Metals Lexmark has adopted the following requirements regarding the use of heavy metals: •

No packaging material or packaging component shall contain any amount of lead, cadmium, mercury, or hexavalent chromium, which has been intentionally introduced during the manufacturing process. (Packaging components include coatings, inks, glues, labels, etc.)

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The sum of the incidental concentration levels of lead, cadmium, mercury, and hexavalent chromium present in any packaging material or component shall not exceed 100 parts per million (100 ppm) by weight (0.01%) of that material or component.

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Lexmark requires each supplier to prepare a statement of conformity, which demonstrates compliance with the heavy metals limits consistent with EU Packaging Directive 94/62/EC and US Model Toxics in Packaging legislation (19 States). All Lexmark suppliers must be able to submit a certificate of compliance to Lexmark within ten (10) business days of notification. Certification by the supplier is required for packaging material purchased by Lexmark for resale of products, parts, and supplies to Lexmark customers. (procedure for determining the presence of heavy metals explained in CR 13695-1)

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3.3 Dangerous Substances In accordance with the EU Source Reduction Standard, EN 13428, Lexmark requires each packaging supplier to identify and minimize the use of any substance or preparation identified as dangerous (as classified in Annex I of EC Directive 67/548, and its amendments, with the symbol ‘N’), which is contained in or added to any packaging components, and to list concentration levels if ≥1000 ppm (Safety Data Sheet (SDS)) (procedure for determining the presence of dangerous substances is explained in CEN/TR 13695-2:2004). 3.4 Source Reduction In order to comply with EU Packaging Directive 94/62/EC as amended by 2004/12/EC, it is Lexmark policy to reduce the weight and/or volume of packaging wherever possible, with the understanding that there are critical areas that may limit the amount of reduction possible. A critical area is a “specific performance criterion which prevents further reduction of weight and/or volume of the packaging without endangering functional performance, safety and user/consumer acceptability.” Ten critical areas are listed in CEN Standard EN 13428:2004: • Product protection: Examples include protection against vibration, impact, compression, humidity, light, oxygen, microbiological contamination. • Packaging manufacturing process: Examples include shape of the container, thickness, tolerances, size, tooling, specifications minimizing production waste.. • Packing/filling process: Examples include impact and stress resistance, mechanical strength and stability, line speeds and efficiency, closing, headspace, hygiene. • Logistics: Examples include any handling requirement, space utilization, palleting systems, damageresistance. • Product presentation and marketing: Examples include product identity, brand recognition, labeling, retail display system requirements, pilfer-resistance, tamper indication. • Consumer acceptance: Examples include unit size, ergonomics, shelf life, dispensing methods, attractive presentation, and product utilization. • Information: Examples include instructions for use or storage, bar codes, pull date. • Safety: Examples include safe handling requirements, child-resistance, hazard warnings, pressure release closures. • Legislation: Any requirements from national or international legislation or standardization. • Other Issues: Other economic, social or environmental implications not considered above that are relevant to weight or volume of packaging. Furthermore, the packaging designer must document the critical area as well the reference (i.e., laboratory, stability tests, etc.), which supports it. 3.5 Recovery It is Lexmark policy that all packaging components (functional units) must meet at least one of three Recovery Routes (Material Recovery, Energy Recovery or Composting Recovery) as specified in CEN Standards EN 13430:2004, EN 13431:2004, and EN 13432:2000.A “functional unit” is a single packaging component or group of packaging components which can be recycled, composted, or incinerated without any additional separation. The Essential Requirements (ERs) mandate that functional units meet the standards for recovery. Since the EU Directive on Packaging sets specific targets for different forms of recovery, Lexmark is required to maximize the amount of material recovery (recycling). Therefore, wherever possible, material recovery should be the preferred recovery mechanism. Additionally, the ERs require Lexmark to consider ways to improve material recycling during the design process and ensure that the design, selection of the materials and the product construction takes into account the following: • Elimination or modification of components that could be detrimental to material recycling • Suitability of the packaging material for material recycling • Compatibility with known and planned collection and sorting systems. Material Recovery Assess the basic recyclability of the main material of each functional unit. (Following the guidelines in the “Recyclability” section below will aid recyclability of the unit). If Material recovery is claimed: identify the percentage available for recycling & the available recycling stream (see examples in Annex D of EN 13430:2004).

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Any functional unit that has a positive energy value when incinerated (net calorific value) greater than or equal to 5MJ/kg will meet the energy standard. By regulation, packaging that contains at least 50% (by weight) organic material (i.e. wood, cardboard, paper and other organic fibers, starch, or plastics) meets the energy standard. (Thin-gauge aluminum of 50 microns or less is considered to be combustible.)

Organic Recovery Packaging materials must break down under defined conditions, and the resultant compost must meet the quality standards for subsequent use. These are four characteristics to address: • Biodegradability • Disintegration during biological treatment – not more than 10% of the original dry weight of the packaging shall fail to pass through a > 2mm fraction sieve after a specified time (based on type of composting process). • Effect on the biological treatment process – the packaging must not negatively impact the composting process. • Effect on the quality of the resultant compost – the quality must not be negatively impacted by the addition of the packaging. o Chemical charateristics– includes maximum content of heavy metals allowed for any packaging material to be composted:

Material Arsenic Cadmium Chromium Copper Fluorine Mercury

Mg/kg on dry substance 5.00 0.50 50.00 50.00 100.00 0.50

Material Molybdenum Nickel Lead Selenium Zinc

Mg/kg on dry substance 1.00 25.00 50.00 0.75 150.00

3.6 Reusable Packaging Systems Lexmark favors reusable package designs over expendable or recyclable ones, provided other costs are equivalent. The design of a reusable packaging system is a joint effort between Lexmark and its supplier while respecting the criteria for claiming reusability provided in CEN standard EN 13429:2004 mandated by EU Packaging Directive 94/62/EC as amended by 2004/12/EC. The involvement of each is necessary to fully understand the logistics affecting operations at either location. 3.7 Recyclability Designs that are recyclable and/or promote easy recyclability are very important to Lexmark. To ensure recyclability of packaging, suppliers are required to: •

Use paper based packing materials that are easily recycled, such as corrugate, molded pulp, etc.

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Use paper with 95% or greater fiber content

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Use water-based inks or inks that are FDA/USDA approved

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Use tapes and starch glues that do not inhibit recycling (i.e., water soluble)

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Design packages so that components can be easily separated prior to recycling

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Do not bond two or more dissimilar materials together (i.e. urethane or polyethylene pad glued to corrugate)

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Avoid polyvinyl chloride (PVC) (Clear PET and HDPE are more recyclable.)

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Avoid free-rise foam-in-place

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Avoid cartons with urea-formaldehyde

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Avoid using bleached kraft board

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Avoid coatings or impregnating of corrugated

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Avoid using staples as closures.

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•

With the exception of plastic films and bags, all rigid plastic containers or bottles 8 ounces (200 ml in metric countries) or greater must be marked on the base with the appropriate Society of Plastics Industry (SPI) resin identifier (See Section 3.9.1 for detailed information on SPI coding).

3.8 Recycled Material Content The use of recycled materials in packaging is very important to Lexmark. Some jurisdictions encourage its use by lowering packaging fees incurred. Suppliers are encouraged to use the highest recycled material content possible, while maintaining the functionality of the package and without compromising the integrity of the product. Also, suppliers are required to document the amount of recycled content (according to pre-consumer, industrial scrap and post-consumer definitions below). There are minimum recycled content standards for certain plastic containers in California, Oregon and Wisconsin. (a) Pre-Consumer Material: Materials and manufacturing by-products directed towards reuse or recycling rather than the waste stream. Pre-consumer material does not include materials and by-products generated by and reused in the original manufacturing process (see Industrial Scrap). Examples: sawdust sold by a lumberyard to a fiberboard manufacturer; paper trimmings left over during manufacturing that are sold to another manufacturer for use in their paper products. (b) Industrial Scrap: Materials and manufacturing by-products reused within a company's manufacturing process. Example: polypropylene bottles that are rejected at the end of the manufacturing process are then redirected back to the beginning of the manufacturing process, rather than being disposed of or diverted to another company. In most jurisdictions, industrial scrap is not considered recycled material. (c) Post-Consumer Material: Materials generated by consumer, business, or institutional sources that have served their intended use or completed their lifecycle and would be destined for disposal had they not been diverted from the waste stream for reuse or recycling. Example: used polypropylene bottles are recycled, pelletized and used in the manufacture of fleece garments. Refer to Lexmark Supplier & Interplant Packaging & Handling Guide – Section 3.8.4 for details about recycled material content labels and claims. 3.8.1 California Rigid Plastic Packaging Container (RPPC) law The law requires RPPCs to meet certain criteria for all product manufacturers who sell or offer for sale products in California that are packaged in regulated RPPCs. RPPC law is governed by California Public Resources Code section 42300-42345, Article 3, sections 17942-1799 - Rigid Plastic Packaging Containers Program. You may find the RPPC law on website: http://www.ciwmb.ca.gov/gra/olra/regs/14newregs/CH04.HTM. A Rigid Plastic Packaging Container (RPPC) is one that meets the following criteria: • It is made entirely of plastic, except for caps, lids, and labels. • It is a packaging container in which a product is sold or distributed in California. • It is capable of maintaining its shape while holding a product. • It is capable of multiple re-closures with an attached or unattached lid or cap. * • It contains a minimum of eight (8) fluid ounces but no more than (5) gallons. RPPC’s should contain a minimum of 25 % Post-consumer Resin (PCR) whenever possible. Lexmark purchasing should be notified of any RPPC that does not meet this requirement. *Note that in 2007, reclosable, non-reclosable (heat sealed) clamshells and blisters and plastic containers capable of holding 8 fluid oz. and that have attached components not made of plastic, may be subject to draft, modified RPPC recycled content regulations.

3.9 Environmental Labeling Any environmental labeling used must be pre-approved by Lexmark.

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3.9.1 SPI Coding The use of Society of the Plastics Industry (SPI) codes is required in 39 states of the US, Austria**, and Taiwan (on "controlled” containers subject to recycling fees) on all plastic containers 8 oz. and greater (200 ml in metric countries). MAT. NO. MATERIAL Polyethylene Terephthalate 1 High Density Polyethylene 2 Polyvinyl Chloride 3 Low Density Polyethylene 4 Polypropylene 5 Polystyrene 6 Other* 7 *Note that multilayer containers should be marked as a “7-OTHER” • • •

ABBREVIATION PETE HDPE V LDPE PP PS OTHER

The symbol consists of the material number code surrounded by the Möbius loop and the material abbreviation below. The symbol is generally molded or embossed into the base of the container. The recommended size is between one-half inch and one inch, depending on the size of the container (measurements are for the symbol alone, not including letters). The SPI code is not a recycling or environmental symbol and may not be placed prominently on the container or label. For FTC rulings on deceptive use of the SPI code, refer to the FTC Guidelines below.

Figure 1. Example of SPI coding **Austria has different threshold requirements. Exempted from its requirement are: unprinted films; bags ,sacks, and films with area less than 0.125 m2; and rigid packaging with a volume less than 100 ml. Unlike the SPI coding system, Austria requires that polyvinyl chloride be identified by "PVC", as opposed to "V". 3.9.2 Deceptive Environmental Labeling There are guidelines for the use of Environmental Labeling in the US, UK and Canada. Environmental labeling that fails to meet these guidelines is considered deceptive. The US Federal Trade Commission (FTC) guidelines (available at http://www.ftc.gov/bcp/grnrule/guides980427.htm) are the most comprehensive and are comparable to those of the other countries; claims compliant with FTC guidelines will generally satisfy other guidelines. For the full text of other guidelines, refer to “Principles & Guidelines for Environmental Labeling and Marketing” by Consumer & Corporate Affairs Canada (1993) and the UK Department of Environment’s “Green Claims Code of Practice (revised June 2000).” 3.9.3 Federal Trade Commission Guidelines •

General Environmental Claims With regard to brand names, product claims, logos and advertisement, the Federal Trade Commission (FTC) states: “It is deceptive to misrepresent, directly or by implication, that a product, package or service offers a general environmental benefit. Unqualified general claims of environmental benefit are difficult to interpret, and depending on their context, may convey a wide range of meanings to consumers. In many cases, such claims may convey that the product, package or service has specific and far-reaching environmental benefits. As explained in the Commission’s Advertising Substantiation Statement, every express and material implied claim that the general assertion conveys to reasonable consumers about an objective quality, feature or attribute of a product or service must be substantiated. Unless this substantiation duty can be met, broad environmental claims should either be avoided or qualified, as necessary, to prevent deception about the specific nature of the environmental benefit being asserted.”

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Recyclability The guidance from the Federal Trade Commission on the use of recyclable claims is based on the availability of recycling facilities for the package or product.

• Recyclability Qualifying phrases It is not permitted to “substantiate” a recycling claim with a “safe harbour” phrase such as "Check to see if recycling facilities exist in your area". Similar alternatives such as "recyclable where facilities exist" are also not permitted. Example 4 of the Recyclable guide (where this issue is presented) suggests the following types of disclosures instead: "Recycling programs for this bottle [product or packaging] may not exist in your area" or "This bottle [product or packaging] may not be recyclable in your area." Because the new “safe harbors” are tied to the marketed product as opposed to recycling programs generally, they reduce the possibility that consumers may infer that because a recycling program exists in their area, that any product represented as "recyclable" can, in fact, be recycled in their local program". Unqualified claims of recyclability for a product or package may be made if the entire product or package, excluding minor incidental components, is recyclable. For products or packages that are made of both recyclable and nonrecyclable components, the recyclable claim should be adequately qualified to avoid consumer deception about which portions or components of the product or package are recyclable. Claims of recyclability should be qualified to the extent necessary to avoid consumer deception about any limited availability of recycling programs and collection sites. If an incidental component significantly limits the ability to recycle a product or package, a claim of recyclability would be deceptive. A product or package that is made from recyclable material, but, because of its shape, size or some other attribute, is not accepted in recycling programs for such material, should not be marketed as recyclable. 3.9.4 Recycled Content Claims regarding the use of recycled content should be made following these rules: • General and unqualified claims such as “made from recycled materials” or “made using recycled materials” should be not be made as they are considered to be deceptive under FTC Guidelines. • Indicate clearly whether the product or the package has been made using recycled materials • Give the percentage of recycled materials used specifying whether pre- or post-consumer materials have been used. (Please refer to Lexmark Supplier Interplant Packaging and Handling Guide – Part I, section on Recycled Material Content for definitions of pre-and post-consumer recycled content.) The American Forest & Paper Association symbols for recycled content are pictured here. The symbols indicate that an item is made from recycled paper or paperboard. As with all other environmental claims, these symbols should be properly qualified using text consistent with the FTC Guidelines on Green Claims. The Möbius loop symbol may be with text, and the color may be inverted to a black chasing arrow on a white background. Further information can be found on the American Forest & Paper Associations website at .

Figure 2. Examples of recycled content claims

3.9.5 Green Dot •

Each unit of retail sales packaging destined for sale to the household consumer that will be distributed to Europe must have the "Green Dot" symbol either preprinted on the carton or a label attached to the carton. In addition, it should appear on the label for field service packages (FRU’s) See figure 3. This symbol must not be printed on product Lexmark Supplier and Interplant Packaging and Handling Specification, rev. 5.0,

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packaging that is destined for sale to non-household consumers. The orientation must be as shown with the below, with the darker arrow pointing upwards to the right and the lighter arrow pointing downward to the left. The standard colors are Pantone 343 C (dark green) and Pantone 366 (light green). Alternatively, the logo may appear in one color on a white background, or in white on a color background, as long as the color corresponds to the dark green and the white corresponds to the light green.The recommended size is 10 mm, with a minimum allowable size of 6 mm. The Green Dot does not make an environmental or recycling claim. It is an indication that the manufacturer/importer has paid membership fees to a PRO EUROPE (i.e., Packaging Recovery Organization Europe s.p.r.l.) organization.

Figure 3 Example of "Green Dot" symbol

3.9.6

South Korean Material Coding

South Korea - According to Ministry of Environment Notification No. 2002-195), material coding is mandatory on all packaging of certain product types using the symbol below. The scope of product types covered is the following: foods and beverages, agricultural produce, dairy and fishery products, detergents, cosmetics (excluding glass containers), shampoos and conditioners for pets (and humans, under “cosmetics”), drugs, butane gas, pesticides and electronic equipment “buffers”. Packaging for the above products are required to bear the “separate disposal” label only if it is composed of a paper pack (limited to paper packs that are coated and pasted with synthetic resins or aluminum leaves i.e., packaging for liquids, tetra-packs), metal container, glass container or plastic. A "buffer" is defined as packing materials that are made from foam-like synthetic resins, which are made of beads containing hydrocarbons such as butane, hexane, pentane, etc., puffed by applying heat, or by other means. Examples of "buffer" materials are expanded polystyrene (EPS), polystyrene paper (PSP), expanded polyethylene (EPE) and expanded polypropylene (EPP). (Please note that sealed air is NOT considered a buffer and is not required to be labeled.) The scope of electronic products covered by this “buffer labeling requirement” includes all electronic equipment (e.g., consumer and commercial use). The Korean text below the triangle reads “separate disposal.” Material type abbreviations (PET, HDPE, LDPE, PP, PS, PVC, OTHER, Metal, Fe, Al, Paper, Paper pack, or glass) should be indicated inside the triangle. Material types, other than plastic resins, should be written in Korean. The symbol (excluding the “separate disposal” text below) must be larger than 8mm in width and length. The height of the “separate disposal” Korean text should be one fourth of the width of the symbol. The extension of each side of the symbol is a regular triangle, whose inside angle is 60° and outside angle at the bended part of the arrow’s end is 120°. The color of the mark should be distinct from other colors used on the packaging, so as to make the mark clearly visible. The symbol may be printed, engraved or applied via adhesive label. The symbol should be located on the front or side flank of the component, unless impossible, in which case the mark could be located on the bottom of the package. If there are multiple components, each component should bear a material label. However, if it is impossible to label each component, or if there is no printing/engraving on a component, then only the major component should be labeled to indicate its material type as well as the material types of the other non-labeled components (referred to as inclusive labeling). Inclusive labeling is prohibited from use on food packaging that, under the Food Sanitation Act, must indicate ingredients on the packaging. (Please note that for buffers that have no printing/engraving, or for which labeling is impossible, the buffer should not be labeled and the label should not be placed on the box in lieu of the buffer.) There are exemptions to the separate disposal labeling requirement, which include the following: packaging components that bear no labeling, engraving, or printing; packaging materials whose surface is less than 50 square centimeters; packaging components whose volume is less than 30 grams or 30 milliliters; packaging material on which it is impossible to print, engrave, or label due to elements or structural properties Shopping bags and wrappings filled at point of sale by sellers are exempt from the mandatory recycling, and thus the labeling requirement.

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Producers and/or importers that wish to use this “separate disposal” label on packaging material that is not obligated to be labeled must apply for its use through KORECO. Producers and/or importers may voluntarily label other packaging elements (i.e., packaging elements not required to bear the “Separate Disposal” label) with material identification, empty space ratio and number of layers.

3.9.7 Japanese Material Coding •

Japanese Material Coding Material identification marks are mandatory on paper (excluding corrugated cardboard) and plastic containers and packaging in addition to steel and aluminum containers, and PET bottles. Identification marks are required on packaging going to the household only.

Example of Japanese material labeling symbols Japanese law specifies the following regarding the material label: • The vertical size of the marks shall be 6mm or more for printing and 8mm or more for embossing. • Companies may decide the color, letters, width of line, slit, and font of the symol as long as the mark is clearer than those of the whole container and packaging and it is easy for consumers to identify the material. • The mark(s) must be conspicuous. • SPI coding is voluntary. • Indication of material type (e.g. PE, PP) under the mandatory marking (i.e., Plastic or paper) by using signs prescribed by JIS 6899-1 2000 (ISO 1043-1 1997) is voluntary, except for PET material. If the component is a single material, label the material code under the mandatory symbol. If the component is a composite, use two or more symbols and underline the main material.

(a)

(b)

Example of (a) single material and (b) multiple material component

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There are exemptions for packaging that has no existing printing, is too small (less that 50 square cm), or that due to shape, affixing the label is not possible. However if any of these packaging components are part of a packaging system (e.g. outer film with no labeling, bottle and small cap) the exemptions do not apply. Either each component must be labeled or: o For packaging that is either too small or of an odd shape (as mentioned above) the identification mark shall be placed on another packaging component in addition to its own mark. o Marks for two or more packaging components may be placed on either component if they are to be discarded at the same time.

Figure 22 Example of labeling multiple components with Japanese material symbols. Marks should only be applied on products going to households.

3.9.8 China RoHS Material Coding Parts being sold into China require appropriate environmental markings as shown below. Plastic parts should be marked with the appropriate SPI code (Section 3.9.1) A national mandatory standard, GB 19455:2001 applies to all packaging. MATERIAL

SYMBOL

Corrugated

NOTES & SIZE RECOMMENDATIONS

LEXMARK ARTWORK PART NUMBER FOR SYMBOL

Length = 40 mm Width = 40 mm

7377701

Fibreboard Size may be scaled for smaller parts

Paperboard

Length = 40 mm Width = 40 mm

7377702

Size may be scaled for smaller parts

Molded Pulp

Length = 40 mm Width = 40 mm

7377703

Size may be scaled for smaller parts

3.9.9 EU material coding Several EU Member States, including Croatia, Lativa, and Slovakia, require material coding of all packaging; EU coding as per EU Directive 97/129/EC is cited as the system of use. Marking includes numbering and abbreviations in conjunction with either the SPI triangle or Mobius loop. 3.9.10 Tidyman symbol Lexmark Supplier and Interplant Packaging and Handling Specification, rev. 5.0,

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Both Slovakia and Bulgaria require marking for “separate collection”, i.e., the Tidyman symbol (pictured here), on all packging.

3.9.11 Other required labeling Bulgaria: The phrase “за многократна употреба” (“for repeated use”) must be marked on all reusable

packaging. 3.10 Required Environmental Packaging Data Lexmark is responsible for the payment of fees related to the amount of packaging they introduce in a given geography. Currently fees are required to be paid in many European countries as well as a few Canadian provinces. To fully comply with these fee payment programs, Lexmark needs to accurately report on the physical properties of the packaging used on our products. If a supplier produces packaging on behalf of Lexmark, Lexmark may ask for the following information related to any packaging part:

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3.11 South Korea – Material Bans Expanded Polystyrene (EPS) A decree passed in April 2003 requires that producers and importers of electronics appliances, audio-visual appliances and information office appliances comply with annual reduction of buffer packaging materials made of foamed resin plastic. The decree requires the substitution of foamed polystyrene (PS) with other non-foamed materials. This requirement applies to specific packaging volumes, which gradually increases over time. The requirements of the decree are summarized in the table below.

Scope of Products Electrical appliances Audio-video appliances Information office appliances

Scope of Packaging Buffers (i.e., foamed resin plastic)

2004, 2005 Goods with packaging volume of 68 kg) regardless of dimensions. 5. How will it be Enforced? TSA is prohibiting Freight Forwarders from accepting noncompliant freight from shippers. 6. Will Freight Forwarders apply missing bands on our behalf? No. 7. What is the TSA? http://www.tsa.gov/ Transportation Security Administration (US) 8. Why didn't we hear about this earlier? The requirement was originally communicated only to Freight Forwarders and not to Shippers.

Compliant Cargo

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Noncompliant Cargo

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Note: Beginning with version 1.8, this page lists the version number, the sections that where revised for that version, and a brief description of the changes that were made. To assist our suppliers, please update this page anytime a modification is made to this document.

Revisions 1.8 Updated section 8.0 to include Seymour PkMS requirements. Added revisions page. JST July 27, 2000. 1.9 Removed section 8.0 and created Supplier and Interplant Bar Code and Labeling Guide. JST June 1, 2001. 1.9 Reformatted and updated this guide with emphasis on proper pallets and palletiziation techniques, and export Directives regarding wood pallets 2.0 Revised Section 3.0 by adding three new subsections and including more comprehensive details and procedures to the existing subsections. Updated section 5.0 to include palletization instructions for FRU parts. Revised pallet section 9.0 to include new section on pest free symbol notation. July, 2002 3.0 Revised Section 6.3 to change minimum board strength to 44 ECT. March 24,2003 4.0 Added Section 3.9.6 to include new South Korean environmental label requirements. Updated Section 9.3 with new pallet symbol. August 18,2003 4.1 Added Section 3.9.8 Japanese Labeling Requirements Updated Section 9.3 to include fumigation as an option for pallet certification. Updated Section 5.2 to include illustrations and instructions for packaging of FRU parts. February 3,2004 4.2 Updated Section 7.3.1 (stretch wrap securement); change from 3 wraps top and bottom to 4. April 12, 2004 4.3 Added Section 3.9.9 Required Environmental Packaging Data Added Section 6.5.5 Suffocation Warning – Polybags Updated Table 3 block 1 (pallets) to ensure compliance with current regulations. May 12, 2004 4.4 Formatted Section headings with shading and box for clearer section breaks Removed Section 7.4 Unit Load Shippers. This information was relocated to section 5.5 FRU/CRU Palletization and the modular carton matrix was updated. Updated section 6.7 with the latest suffocation symbols. Updated Section 12.2.3 with accurate pallet heights and container dimensions January 5, 2005 4.5 Updated Modular Carton Section table in section 5.5 FRU/CRU palletization Updated Section 9.0 Palletized shipments to include language reinforcing the need for the IPPC markings. Updated Section 9.3 to include the requirement for pallets to be date stamped. March 15, 2005 4.6 Updated environmental requirements in Section 3.0. Updated sections include 3.2,3.4,3.5,3.8.1 & 3.9.1 Updated section 3.9.5 stating that the Green Dot icon must appear on the label for Field Service Packages Updated Section 9.3 Special Pallet Requirements to include most up to date information regarding IPPC regulations Updated Section 12.4 with new country of origin requirements February 14,2006 4.7 Changed Section 3.9.9 Environmental Packaging Data to Section 3.10 Added Section 3.9.9 China RoHS packaging requirements Added Section 12.5 Security for Domestic and Export Air Shipments April 11, 2007 4.8 Updated Section 5.2 to include updated list of Modular Cartons October 16, 2007 4.9 Updated Section 5.0 to more accurately reflect the packaging of FRU parts. Updated Section 6.7 -Bag Suffocation warnings Updated Section 10 – Security of Domestic/Export Shipments April 14, 2009

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5.0 Updated Section 9.0 to include reference to pallet spec DOC-0008568. Added Section 6.8 regarding the use of desiccants October 29, 2009

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