Copyright Reserved Roadmap and Control for the Implementation of the European RoHS Directive NeoPhotonics Corporation Revision, December 2008

Copyright Reserved 1. EU RoHS(2002/95/EC) Requirements and Applications: Directive 2002/95/EC of the European parliament and of the council of 27 January 2003,on the restriction of the use of certain hazardous substances in electrical and electronic equipment; Starting From 1 July 2006, new electrical and electronic equipment put on the market must not contain lead, mercury, cadmium, hexavalent chromium, polybrominated biphenyls (PBB) or polybrominated diphenyl ethers (PBDE) above specified levels. 2005/618/EC,The maximum concentration values (MCV) for certain hazardous substances in electrical and electronic equipment: a maximum concentration value of 0.1 % by weight in homogeneous materials for lead, mercury, hexavalent chromium, polybrominated biphenyls (PBB) and polybrominated diphenyl ethers (PBDE) and of 0.01 % by weight in homogeneous materials for cadmium is allowed.’  Certain applicable specific RoHS exemptions may apply to NeoPhotonics products: 5. Lead in glass of electronic components. 6. Lead as an alloying element in steel containing up to 0.35 % lead by weight, aluminum containing up to 0.4 % lead by weight and as a copper alloy containing up to 4 % lead by weight. 7a. Lead in high melting temperature type solders (i.e. lead-based alloys containing 85 % by weight or more lead), 7b. lead in solders for servers, storage and storage array systems, network infrastructure equipment for switching, signaling, transmission as well as network management for telecommunications, 7c. lead in electronic ceramic parts (e.g. piezoelectronic devices). …

Copyright Reserved 2. RoHS 5/6 and RoHS 6/6 definitions 2 nd Level Interconnect material —— Indicates those materials are used to connect electronic and electrical components to the printed circuit board, such as, the solder paste, lead-finish (see the below figure) RoHS 5/6 —— Indicates that 2 nd Level Interconnect materials contained lead (Pb) in solders, other homogenous materials are RoHS compliant. Note: here, all general exemption clauses are applicable, including No.7b of exemption clauses coming from RoHS(2002/95/EC) Directive: exempted Pb in solders of telecommunication network products. RoHS 6/6 —— Indicates 2 nd Level Interconnect materials are lead-free and all homogenous materials are RoHS compliant. Note: here, excluded No.7b of RoHS exemption clauses, other general exemption clauses are applicable. Pb-free (lead-free): Indicate there is no lead (Pb) or the concentration of lead (Pb) is less than or equal to 0.1% by weight in 2 nd Level Interconnect material and that the product is otherwise RoHS compliant Pb RoHS 6/6 products RoHS 5/6 products Pb Lead-free solder Contained Lead in solder

Copyright Reserved 3. NeoPhotonics RoHS Implementation Roadmap: Products status Mar- 04 … Jul- 05 Aug- 05 Sep- 05 Oct- 05 Nov- 05 Dec- 05 Jan- 06 Feb- 06 … Jan- 07 … Jan- 08 Feb- 08 … RoHS 5/6 product (containing lead in solder) RoHS 6/6 product (lead free solder) Control documents preparing Low volume supply High volume supply Control documents preparing Low volume supply High volume supply Start to implement RoHS/lead- free project R&D…

Copyright Reserved  A) Raw Material RoHS Control: Vendors are required to submit RoHS/Environmental compliance declarations for raw materials. Vendors must supply a third-party hazardous/banned substances concentration report for raw materials. NeoPhotonics will use XRF to inspect incoming materials or submit incoming materials to third- party organization to have chemical analysis for RoHS banned substances concentration if the XRF method can't be used on certain materials or substances.  B) Audit suppliers RoHS system: NeoPhotonics will define RoHS assessment requirements for materials vendors and audit and assess suppliers periodically.  C) RoHS Control in the process: NeoPhotonics will implement environment-friendly processes with no use of banned substances products in the course of manufacturing. NeoPhotonics will promote the use of RoHS compliant and environmentally-friendly materials, including the use of RoHS compliant adhesives, soldering materials and environmentally-friendly liquids. 4. RoHS Compliant Control for Product:

Copyright Reserved NeoPhotonics incorporates RoHS control requirements into the system of TL9000, ISO9001 and ISO14001; NeoPhotonics has established a RoHS Environmental Committee Organization to oversee compliance and operational improvements ISO14001 ISO9001 TL9000 Process control Purchase Control Raw materials, Components, Device, semi-manufactured goods and finished products control Design Control Record Control 5. RoHS Control System and Organization: RoHS Environmental Committee Environment Manager Team consists of related dept. members WW Director of Environmental Compliance Quality Dept. Supplier Control Management Dept. Technology Management Dept. R&D Dept. Products Engineering Dept. Management Engineering Dept.