ESD Association

Facility Certification Program – Auditor Training

Question #1 – Is there a documented plan that addresses the electrostatic

discharge control requirements?

The ESD facility certification program was designed to work in conjunction with
an installed quality management system such as ISO9001. Most quality
management system standards require organizations to have documented
procedures and for this reason the organization must have a documented ESD
Control Program Plan.

The documentation requirements, as specified in organization’s quality

management system, must be adhered to. Since the facility will be certified to
ISO9000 (or equivalent) the ESD Control Program documentation must:

a. Be approved for adequacy prior to use.

b. Be reviewed and updated as necessary – usually this implies a set review
period be established for each document. When re-issued, ESD control
plan must be re-approved.
c. Indicate the current revision status and identify changes made to the
document.
d. Remain legible and readily identifiable
e. External documents considered necessary by the organization are
identified and their distribution controlled.
f. Prevent the unintended use of obsolete documents.

If the organization does not have a documented plan this would be considered a
major non-conformance and the site could not be certified.

Question #2: Has the organization assigned an ESD program manager or

coordinator?

This is the person who is in charge of the ESD control program. It is

recommended (although not a requirement) that the person have some
knowledge of ESD usually obtained through training. This person should have a
working knowledge of basic electrostatic principles and they must have the
resources required to perform the job.

Although the organization might have an “ESD team” that work together to
ensure the compliance of the program there should be a specific process owner
identified in order to comply with this requirement.

The position of site ESD coordinator or Program manager should be identified in

the ESD control program plan but the plan will usually not include a person’s
name. The auditor will verify who in the organization has been assigned the
responsibility.

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Question #3A – Does the ESD Control Program Plan contain the following
sections? Training, Product Qualification, Compliance Verification,
Grounding, Personnel Grounding, EPA Requirements and Packaging
Systems?

At this point in the review the auditor is only checking to see if each of the topic
areas have been addressed in the client’s ESD control program document or in
other supporting documents. Other checklist questions will focus on whether or
not the requirements for each item are adequate.

It would be considered to be a major non-conformance if any of the

required sections are missing without an acceptable tailoring statement.

Question #3B – Does the ESD Control Program Plan document the lowest
level of Device ESD sensitivity that the ESD process is capable of
handling?

The 2014 version of 2020 has identified three discharge models in the scope
which are:
a. Human Body Model – 100 volts
b. Charged Device Model – 200 volts
c. Isolated Conductors (Machine Model) – 35 volts

If the organization claiming compliance to the 2020 standard has properly

implemented the standard, and has adopted the limits as written, they can claim
that their installed ESD control program can handle devices that are sensitive to
each of the above limits or higher. Therefore, at a minimum, the ESD control
program plan should list each of the above discharge models and their
associated limits.

Exceptions:
The site can provide objective evidence to show that:
a. The installed process can handle devices that are more sensitive
(lower values).
b. The organization claims that the devices handled have higher ESD
sensitivity values. The site should be able to demonstrate how that
decision was reached.
c. If the situation in either “a” or “b” is claimed can the site show
through measurement that the installed process can protect to
these levels. This might require an adjustment in the limits to tighter
values.

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Question #3C – Cover the decisions, rationale and technical justification for
tailoring the Plan?

If any requirements of ANSI/ESD S20.20 are excluded from the ESD program
then the ESD control program plan must include a tailoring statement that
describes the rationale for the exclusion as well as a technical justification. The
auditor must decide whether or not they agree with the tailoring statement.

The following is an example of a typical situation where a tailoring statement is

used.

Personnel exposed to high voltages. Personnel are potentially exposed to

hazardous voltages while handling powered ESD sensitive products. In these
cases some companies choose to isolate their personnel from ground. This
means that the employees are NOT grounded at these operations even though
their products are exposed to possible ESD damage. This type of exclusion
would be considered acceptable as personnel safety takes precedence over
product protection. However, in this situation, the company should attempt to limit
possible ESD damage through training employees involved in these operations
on the proper handling of ESD sensitive devices.

Tailoring Statement Example Format

Tailoring Statement: The company ESD control program does not contain a
Personnel Grounding section as required by ANSI/ESD S20.20.

Rationale: A fully automated assembly process has been installed and human
interaction with ESD sensitive devices is not possible.

Note: The auditor will verify these claims during the portion of the audit that visits
the assembly process. If personnel are found handling ESD sensitive products
then the tailoring statement is not to be accepted by the auditor. The auditor
would then be forced to issue a Major Non-conformance against the company’s
lack of a Personnel Grounding Plan.

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Question #3D – Does the ESD Control Program Plan cover all applicable
facets of the Organization? If any areas are excluded they must be
specifically identified.

The scope of the ESD program must be established in the plan. All areas where
unprotected ESD sensitive products are handled must be included in the
program IF the parts can ultimately be passed onto customers.

Comment:
Some companies specifically list the areas that are included in the scope of the
ESD program. Another approach is to state that the ESD program applies to any
operation where ESD sensitive devices are handled. In either case the auditor
should visit each area of the facility and check for compliance. The ESD Control
program applies to anyone that handles ESD sensitive parts. This includes
management and engineering staff.

Note: If the facility specifically excludes an area the auditor must visit that area
and determine whether or not the area handles unprotected ESD sensitive
devices that could get shipped to customers. Any unprotected devices (i.e.
devices that are not in protective packaging) must be identified as having been
scrapped, engineering prototypes or other items that will not be shipped to
customers.

Training Plan
Question #4 – Does the Plan documentation include a Training Plan?

If a separate document, is the training plan a controlled document that complies

with the facility’s quality management system guidelines?

Question #5A – Does the training plan address initial ESD awareness and
prevention training of employees who handle ESD sensitive items.

Has the organization identified all the people who handle ESDS devices within
the scope of the ESD program? Does the training apply to contract personnel or
temporary workers? Are temporary employees trained by the company’s training
department or by the Employment Agency? If trained by the Employment
Agency, is the ESD training program approved by the organization and does it
reflect the rules used by the organization seeking certification or is the training
generic?

Question 5B – Does the training plan address recurrent (refresher) ESD

awareness and prevention training of employees who handle ESDS items?

The training plan should describe the process for re-training. It is important to
determine “who” requires re-training. As an example, if the program states that

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“all” employees require re-training the auditor would have to sample the training
records from all affected groups within the organization. This would include all of
the senior managers of the organization.

Question 5C – Does the training plan address the type of training?

Training may take the form of instructor led classes, computer-based training or
even on the job training.

The type of training utilized is not as relevant as the timing and whether or not it
is effective. All employees must receive some sort of training prior to handling
ESD sensitive products. If a regular training class cannot be scheduled before
employees are required to work then, at a minimum, some form of on the job
(OTJ) training should take place. This training should provide the new employee
with the knowledge required to safely handle ESD sensitive products. OJT
training should be documented and filed as proof of training. In addition, the OJT
training process should be designed in such a way that it is consistently applied.

Question 5D – Does the training plan require that initial training be

provided before personnel handle ESD sensitive items?

The auditor can determine if this requirement is being followed by comparing

initial training dates to the hire date for a sampling of recently hired employees. If
initial training is provided after the hire date the organization should be asked to
account for the difference in order to show that the employee was not handling
ESD sensitive devices before they received some form of training.

Question 5E – Does the training plan include a requirement for a test or

other evaluation technique to ensure comprehension?

The plan must include a methodology for determining whether or not the student
has understood the course material. The plan should also then address pass/fail
criteria. In addition, the plan should address what will happen if an individual
were to fail the test or other adopted technique.

ANSI/ESD S20.20 does not require a pre-set pass/fail criteria. However, part of
the reason for a training requirement is to ensure that the ESD program rules are
followed. During the site review, employee compliance with the company rules
should be observed by the auditor.

Question 5F – Does the training plan include a requirement for recording of

employee ESD training records?
There should be a statement in the training plan that requires the recording of
ESD training records.

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Question 5G – Does the training plan define where the training records are
stored?

The plan should describe where the records can be found – i.e. Human
Resources, a manager’s desks etc. The answer to this question helps the auditor
to plan this portion of the assessment. As an example, if employee records are
maintained by individual department managers or supervisors then the auditor
should check the records of several of the supervisors in the facility to ensure
that the rules are followed consistently.
Note: Having to visit several supervisors can consume more audit time then if the
records were all stored in a central location.

Question 5H – Is there objective evidence that a training program has been

implemented and that on-going compliance is being maintained?

Objective evidence would include: Observation – employees adhering to ESD

control guidelines. Training records – auditor would sample the records or both
initial and refresher training to ensure that the organization was adhering to the
stated requirements.

Product Qualification

Question #6A - Have all ESD control items been qualified for use per the
ESD Association Standards listed in ANSI/ESD S20.20-2014 (tables 2 and
3)?
Note 1: Acceptable evidence of qualification: Product Data sheets, independent
laboratory reports or internal laboratory evaluation referencing the required
standard and indicating that the product meets the required limit for that technical
requirement.

ESD Association product qualification test methods often require that the product
or material be tested under certain temperature and relative humidity conditions.
The following table lists these requirements for each of the ESD control items in
ANSI/ESD S20.20-2014.

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Test Method Low RH Environment: Moderate RH
Typical – 12% ± 3% Environment: Typical
RH and 230C ± 30C 50% ± 5% RH and 230C
± 30C
S 1.1 Wrist straps Not applicable Not applicable
STM 2.1 Garments
- Static control garment 12% ± 3% RH and 50% ± 5% RH and 230C
230C ± 30C ± 30C
- Groundable static control 12% ± 3% RH and 50% ± 5% RH and 230C
garment 230C ± 30C ± 30C
- Groundable static control 12% ± 3% RH and 50% ± 5% RH and 230C
garment system 230C ± 30C ± 30C
STM 3.1 Ionization Not applicable Not applicable
S 4.1 – Work Surfaces 12% ± 3% RH and 50% ± 5% RH and 230C
230C ± 10C ± 10C
STM 7.1 – Flooring 12% ± 3% RH and 50% ± 5% RH and 230C
230C ± 30C ± 30C
STM 9.1 – Footwear 12% ± 3% RH and 50% ± 5% RH and 230C
230C ± 30C ± 30C
SP 9.2 – Foot Grounders 12% ± 3% RH and 50% ± 2% RH and 230C
230C ± 30C ± 30C
STM 11.11 – Packaging Surface 12% ± 3% RH and Not applicable
resistance 230C ± 30C
STM 11.12 – Volume Resistance 12% ± 3% RH and Not applicable
230C ± 30C
STM 11.13 – Two Point resistance 12% ± 3% RH and Not applicable
230C ± 30C
STM 11.31 – Shielding - Bags 12% ± 3% RH and Not applicable
230C ± 20C
STM 12.1 – Seating 12% ± 3% RH and Not applicable
230C ± 30C
S 13.1 – Soldering Irons Not applicable Not applicable
STM 97.1 – Footwear flooring 12% ± 3% RH and Not applicable
resistance 230C ± 10C
STM 97.2 – Body Voltage 12% ± 3% RH and Not applicable
230C ± 10C

The “note” in this question indicates that the organization needs to demonstrate
that all the ESD control items listed in the 2020 standard (that are used by the
Organization) have been qualified prior to purchase. At this time “proof” must be
in one of the following forms:
a. A product specification sheet from the manufacturer can be accepted as
evidence under the following conditions:
1. The specification sheet must specifically reference the test method
required by ANSI/ESD S20.20-2014.

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2. The limits for that control item must comply with the limits list in
ANSI/ESD S20.20-2014.

The following is an example of a specification sheet that MEETS the

requirements for product qualification. The proper ESD Association test method
has been referenced and the readings for both types of flooring produced by this
company have resistance values of less than 1x109 ohms.

The following ESD flooring specification sheet does not meet the requirements
for product qualification. ANSI/ESD S20.20-2014 requires that product
qualification testing be performed at 12% and 50% relative humidity. This
specification sheet states that the testing was done at only 50% RH.

If your client’s facility has temperature and relative humidity control year round
(that is constant) then a tailoring statement could be generated to justify
performing product qualification at only one RH level (lowest RH experienced at
the facility). The following chart, from a facility located in South East Asia, shows
that the temperature inside the facility, through the winter months, is a consistent
23 degrees C. The relative humidity is a constant 50%. If the facility could

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demonstrate that the humidity and temperature is constant throughout the whole
year then it would not be necessary to perform product qualification at 12% RH.
Since this facility has data to show that the RH is constantly at 50% this data
could be used to develop a tailoring statement. The data would be used to justify
that the facility could perform product qualification at ambient temperature and
humidity conditions.

Question 6B – If the Product Qualification data does not reference ESD

Association standards can equivalency be demonstrated?

Sometimes companies will qualify products and materials using other industry
ESD standards or internal company test methods. In these situations, the
organization must demonstrate that the test methods used are technically
equivalent to the ones required by ANSI/ESD S20.20-2014.

The auditor must review the data collected by the organization and decide if the
test methods used will provide the same test results.

The following is an example that compares the qualification test for Wrist strap
cords.

Wrist cords - ANSI/ESD S1.1

The test method used by the IEC is the same as that used by ANSI/ESD S20.20.
The only difference is that the IEC working group that developed IEC 61340-5-1

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allowed a higher resistance for the wrist strap grounding cord based on historical
European values for such products. The slightly higher cord resistance will still
allow a person’s body voltage to remain under 100 volts as required by both
standards. The following chart from IEC 61340-5-2 shows the relationship
between resistance to ground and body voltage. As can be seen the 5x10 6
resistance value still maintains the body voltage at less than 30 volts. The slightly
higher cord resistance in the IEC standard will not adversely change the
effectiveness of an ESD control program that complies with either ANSI/ESD
S20.20 or IEC 61340-5-1.

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Compliance Verification

Question #7 - Does the Plan documentation include a Compliance

Verification Plan?

This question is a “documentation only” question. The auditor is only looking to

see if a Compliance Verification plan exists in order to give this question a “Yes”.

The plan might not reside in the ESD control program plan document but at a
minimum there will be a reference document that contains the compliance
verification plan.

Question #8A – Does the compliance verification plan require formal

process monitoring (measurements)?

This is a “documentation only” question. The requirement for making period ESD
process measurements must be included somewhere in the company’s
documentation system. The auditor will be looking for a documented statement
that requires that periodic process measurements be made.

The basis for a complete Compliance Verification Plan will be developed by

answering the remaining questions in this section.

Question 8B: Does the Compliance Verification Plan identify the technical
elements that need to be verified?

Question 8C: Does the Compliance Verification Plan identify the

verification frequency for each technical element?

Question 8D: Does the Compliance Verification Plan include the test
methods and equipment used to make the required measurements and do
the documented test methods generally match TR53?

Question 8E: Does the Compliance Verification Plan include the

measurement limits and are the limits compliant with ANSI/ESD S20.20?

These are all documentation questions and they are related to each other. We
will address these four questions as a group.

The auditor must review the documentation to ensure that all four of these items
have been addressed. Some companies will list these requirements in a table
while others might be written as subsections of the ESD Control Program. The
following table is an excerpt from a company’s Compliance Verification Plan. The
table lists the (5) ESD control items used by the company, the frequency of
verification, the limits and the test procedures used to make the measurements.
Is this acceptable?

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Technical Test Verification Limits Test Procedure

Element Equipment Frequency
Wrist straps Model XXX Daily ≤ 1.0x107 TR53 – Wrist strap
wrist strap / ohms verification
footwear tester
ESD Footwear Model XXX Daily < 3.5x107 TR53 – Footwear
wrist strap / ohms Compliance Verification
footwear tester Section
Work surfaces Model XXX Quarterly <1.0X109 Internal Procedure #1
high resistance Ohms
meter
Ionization Model XXX Monthly < 10 seconds TR 53 – Ionization section
portable decay (1k-
Charged Plate 100 V)
Monitoring < 50 Volts
System with Offset
timer and
charger
Conveyor Belts Model XXX Quarterly <1.0X109 Internal Procedure #1
high resistance Ohms
meter

Question 8B appears to have been answered however, before the auditor can
answer “Yes” to this question they should visit the ESD Protected Area. Once
there the auditor should be looking for any additional ESD technical elements
that are used in the EPA but not listed in the table. If there are items being used
that are not being checked this will have to be investigated further to understand
the reason for the exclusion.

Question 8C – The table does list the verification frequency for each technical
item. The frequency of the verifications is a function of the control item’s
importance and the likelihood of failure and is at the discretion of the company.

For example, assume that the compliance verification plan requires that work
surfaces are to be tested on an annual basis. Is this a problem? The on-floor
portion of the assessment will help the auditor gather objective evidence in order
to make that determination. The auditor will have the client measure “some” of
each ESD control element used by the facility. How many is “some”? This will
depend on the facility. If the facility only has ten work surfaces they might have
the client measure them all. If the client has hundreds of work surfaces the
auditor will have the client measure as many work surfaces as the auditor deems
necessary to give the auditor confidence that the ESD control item meets
specification. It is not the auditor’s job to decide if the test frequency is adequate.
However, if the auditor finds multiple non-conformances during the audit for any
given technical element it might be suggested that the company increases the

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frequency of the audits or that they find a more robust replacement for that
technical element.

Question 8D – The table does include the test methods and equipment used to
make the measurements. However, the table references an “Internal Procedure”
for the measurements of work surfaces and conveyor belts. The auditor will want
to ask why the company is not following the work surface testing procedure listed
in Technical Report (TR 53). A comparison of the procedure with TR 53 should
also be made. If the internal procedure meets the general intent of TR53 this
would be considered to be acceptable.

Question 8E – The limits in the table comply with ANSI/ESD S20.20-2014 with
the exception of the Ionizer Offset Voltage. The organization has not updated the
specification limits from the 2007 version. The new limits should be < ± 35 volts.
Note: If the client has technical limits that are tighter than those required by
ANSI/ESD S20.20-2014 a tailoring statement is not required. For example ESD
flooring must have a resistance to ground of less than 1x10 9 ohms. If the client
sets their internal limit to < 1.0x106 ohms this would be considered acceptable.

Question 8F – Does the equipment being used for measurements match the
equipment listed in the Compliance Verification Plan?

This question has both a documentation and a verification component. The

auditor must compare the equipment being used to make the compliance
verification measurements to the equipment listed in the Compliance Verification
plan. This will occur during the on-floor portion of the certification assessment.

Question 8G – Do the measurement methods used match the procedures in the

Compliance Verification Plan?

The auditor will observe the client representative as they make the various
compliance verification measurements and compare the methods used to those
documented in Technical Report (TR) 53.

A “best practice” is to ask the client to demonstrate each compliance verification

measurement once at the beginning of the on-floor portion of the assessment.

Question 8H – Are Compliance Verification records established and

maintained?

The auditor will ask the client to produce the audit records. The records should
cover at least a one year period to ensure that periods of low relative humidity
are included if applicable.

Some things to consider:

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a. Timeliness – were the audits performed per the clients published
schedule?
b. Were there any non-conformances reported?
c. Were reported non-conformances corrected and closed in a
reasonable length of time.
d. Are any non-conformances recurring (from audit to audit) and is the
client taking steps to eliminate these findings from future audit reports.
e. Does the client track audit to audit trends? (Best Practice)

300
276 ESD trends
250 238 Tables
Carts
200 188 Mats
Benches
150 Equipment
120 Facility ground
100 Conveyor Belts
Containers
50 55 Packaging Material
42 34
17 Shelving
15 16 16
0 Wrist trap jack

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Total

Question 8I – Is the test equipment capable of making the measurements

that are defined in the compliance verification plan?

The auditor should ask the client to demonstrate that the measuring equipment is
capable of measuring the limits listed in 2020 for the ESD control items that are
used at the facility.

There are some generally accepted rules for measuring equipment as follows:

High Resistance measuring instruments:

a. The meter should have output voltages of 10 and 100 volts. The selection
of the test voltage can be manually selected by the operator or changed
automatically by the meter.
b. The meter should be capable of making resistance measurements that are
1 order of magnitude higher and lower than the resistance of the item
being measured. For example, if the client’s resistance specification for a
technical item has an acceptable resistance range of 1x10 4 ohms to 1x109
ohms the meter must be capable of measuring resistances from 1x10 3 to
1x1010 ohms.
These types or meters, as designed, can have a widely varying upper resistance
range. Have the client show you that the meter is capable of measuring to at
least an order of magnitude higher than the resistance of the item being
measured by having them turn the meter on and pressing the test button without

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any leads attached. The meter should display the maximum value that the meter
is capable of measuring.

In the case of this particular meter “OL” means that the resistance is greater than
2.0x1014 ohms. This means that the meter can be used to measure ESD control
items that have resistance values of less than or equal to 2x1013 ohms. Note:
There are no leads attached to the meter at this point.

Next, have the client attach the test leads to the meter and then clip the other
end of each lead to a known insulator (i.e. piece of hard plastic) keeping the clips
separated a minimum of 5 cm. Also make sure that the support surface has high
resistance. Initiate a resistance test. The resistance value should be at least 1
order of magnitude greater than the ESD control item being measured. Note: It
is recommended, in high humidity environments, that the insulator be cleaned

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with a mixture of 70% isopropyl alcohol and 30% water and allowed to dry before
the measurement is made.

Repeat the test again using a metal plate in place of an insulator. This test will
show how low of a resistance value the meter can measure.

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In this case the meter can measure as low as 1.6 ohms.

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Electrostatic Field Meters:

There are many types of field meters in use in the electronics industry. The main
general requirements for making an electrostatic field measurement is as follows:
a. Make sure that the meter is grounded when used. These meters require
a reference to ground in order to make an accurate measurement. Note:
The meter may require a separate grounding wire or it might be designed
to be grounded through the operator who is handling the meter. In this
case the operator can be grounded with a wrist strap or with ESD shoes or
grounding straps if they are standing on an ESD floor or floor mat.
b. Make sure that the operator knows how to use the meter to make an
accurate measurement. These meters are designed to work at a fixed
distance from the item being measured. The picture below shows the
operator making a measurement a 1 inch or 2.54 cm which is the correct
distance for this meter. Note: The operator should have been trained on
how to make proper measurements.
c. Make sure that the meter is capable of measuring the maximum field
voltage defined in the ESD control program.

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Air Ionizer Verification:

The client will require a Charged Plate Monitor (CPM) to measure the
effectiveness of air ionizers. The CPM can be an integrated unit or a field meter
that has add-on fixtures which turn the meter into a portable CPM. Both meters
must be capable of being charged.

The CPM must be able to measure above the starting voltage and below the
stopping voltage for the decay test. For example, if the decay test range is 1,000
volts to 100 volts the meter must be able to measure above 1,000 volts and
below 100 volts.

Note: The equipment should also be able to hold a voltage for an acceptable
time. Have the client charge the plate to 1000 volts and then isolate the plate
from ground. The voltage should either stay constant or decay very slowly. If the
charge decays quickly the insulators (example shown as red circle in the picture
above) are either dirty or wet due to high humidity. The insulators should be
cleaned with isopropyl alcohol and allowed to dry. The plate should be able to
hold the voltage for at least twice as long as the company’s decay time or 30
seconds whichever is less.

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Isolated Conductor Measurement:

The non-contact voltmeter does not touch the item being measured while the
contact voltmeter does make contact. Either meter is considered acceptable for
measuring the voltage on isolated conductors.

Non-contact Voltmeter Contact Voltmeter

Question #9 – Are Grounding / Equipotential Bonding Systems used to

ensure that ESDS items, personnel, and any other conductors are at the
same electrical potential?

Documentation – The auditor will be looking for a written grounding plan that will
describe how the ESD controls, used as part of the ESD control program, will be
either connected to ground or connected together in an ungrounded state to
bring the ESDS, personnel and the ESD controls to the same electrical potential.

Verification - While in the EPA the connection of the ESD control items to ground
will be verified by sample measurements. Note: All resistance to ground
measurements shall be made to AC ground even if the client uses an
auxiliary grounding system.

Question #10 – Has one or more of the implementing (grounding)

processes from table #1 been selected and documented?

Documentation – The grounding plan should define which ground reference is

being used. It must be one of the following:
a. AC (equipment) Ground
b. Auxiliary Ground
c. Equipotential Bonding

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Verification - While in the EPA the auditor will verify that the ESD controls are
attached to the ESD ground reference listed in the grounding plan.

The figure below shows a work surface and wrist strap jack connected to a
common point ground which attaches directly to AC ground.

Electrical Receptacle
Electrical Service Panel

H- Hot (power)
N-Neutral or return Work surface
G- Ground
CPG – Common Point
Ground
CPG Wrist strap
connector

The following figure shows an Auxiliary Grounding system. Note how the system
is bonded to AC ground at the electrical panel.

Electrical Receptacle
Electrical Service Panel

G
Auxiliary Ground
H- Hot (power)
N-Neutral or return Work surface
G- Ground
CPG – Common Point
Ground
CPG Wrist strap
connector

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The picture below shows an example of an Equipotential Grounding scenario.

The system is not attached to ground however the operator, metal chassis and
ESD protective package are electrically bonded together bringing all items to the
same potential.

Question 11 – Are all personnel electrically connected to the selected

grounding system when working on ESD sensitive items?

Documentation – There should be a statement in the Personnel Grounding Plan

stating that all personnel who handle unprotected ESD sensitive devices must be
grounded. The documentation should define how the grounding of personnel is
accomplished. It can be via a wrist strap worn by the operator, through ESD
footwear for personnel who are standing on ESD flooring or a grounded ESD
floor mat or through the connection of personnel to an ESD garment that is
connected to ground. Some facilities might use one, two or all three of these
options.

Verification – The auditor should check a number of people inside the EPA who
are found handling unprotected devices to see if the grounding method being
employed is functioning. If the operators wear wrist straps the auditor should ask
a sampling of operators to demonstrate how the wrist straps are tested.

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Wrist Strap Testing - Setup

Footwear Testing Setup

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Facility Certification Program – Auditor Training

Question 12 – Are seated personnel wearing a functional wrist strap

connected to the selected grounding system?

Documentation - The Personnel Grounding plan must include a statement that

seated personnel must be connected to the ESD ground reference by wearing a
wrist strap system that is connected to ground. There should also be a reference
to how the wrist strap is to be verified and how frequently that must be done.

Verification – The auditor will collect objective evidence while inside the EPA
through the observation of seated personnel who are handling unprotected ESD
sensitive devices. The auditor might request that a sampling of employees
demonstrate the testing their wrist straps as they are being worn.

Question 13 – If a footwear/flooring system is used does it meet the

product qualification requirements for system resistance and body voltage
generation?

Documentation – The personnel grounding section must describe how personnel

are going to be grounded to the selected grounding reference using a flooring
system. There should also be a reference to how the footwear is to be verified
and how frequently that must be done.

Verification – The auditor will collect objective evidence while inside the EPA
through the observation of personnel who are handling unprotected ESD
sensitive devices while standing. The auditor might request that a sampling of
employees demonstrate the testing their ESD footwear.

The organization must have product qualification data for a footwear/flooring

system if used to ground personnel. ANSI/ESD S20.20-2014 requires that the
system resistance (resistance from a person’s hand through their body, shoes
and floor) must be less than 1x109 ohms. In addition, the organization must also
perform walking tests on each type of footwear used in the facility. The peak
voltage must be less than 100 volts.
Note: For product qualification the testing must be performed at 12% relative
humidity and 23 degrees C. The qualification test report must include both the
footwear being worn and the flooring system that is in use.

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Example – Footwear/Flooring System Resistance Measurement

Walking Test Data Samples:

Unacceptable Shoe (Peaks > 100 volts)

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Facility Certification Program – Auditor Training

Acceptable Shoe (Peaks < 100 volts)

Question 14 – Are ESD Garments used to ground personnel? If “yes”, does

the garment meet the resistance requirement for a static control garment
system AND the wrist strap system resistance requirements from Table 2?

This is a new question to the 2014 version of 2020 and has both a
documentation and a verification component.

Technical Clarification – As auditors you need to know the difference between a

“groundable static control garment” and a “groundable static control garment
system”.

A groundable static control garment is a garment where the resistance from one
sleeve to the other is less than 1x109 ohms. This type of garment can then be
grounded either directly with a grounding wire connected to the garment or it can
be bonded to the operator’s body which, in turn is grounded with either a wrist
strap or ESD footwear and an ESD floor. The path to ground in this case goes
from the garment to the operator to the wrist strap or footwear to ground.

A groundable static control garment system is one that is specifically designed to

ground the operator through the ESD garment. It is for this reason that the
resistance from the operator’s body through the garment to ground must be less
than 3.5x107 ohms. The path to ground for this system is from the operator to the
garment to a wrist strap cord to ground.

Documentation – If a groundable static control garment system is used it should

be described in the personnel grounding section.

Verification – The auditor should ask to be shown how the garments are
periodically verified. Normally, these types of garments use the wrist strap testing
system to verify that the garment meets the system resistance requirements.

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Static Control Garment System – Periodic Verification Setup

Question 15: Does the organization ensure that the handling of ESD
sensitive parts without ESD protective coverings or packaging is
performed in an ESD protective area (EPA)?

Documentation - The must contain a statement that ESD sensitive devices will
only be handled inside an EPA.

Verification - The auditor, during the review of the facility, will be watching for
unprotected ESD sensitive products that are outside of the ESD protected areas
that are not either in their final product covering, inside protective packaging or in
a specially designed material handling cart.

Question 16: Are protected areas visibly identified?

Documentation – The ESD Control Program Plan must describe how the EPA
boundaries are identified. There are a large number of ways that this can be
accomplished: signs, floor tape or different types or colours of flooring.

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Verification – The auditor will ensure that all EPA’s are identified as specified in
the ESD control program plan during the on-floor portion of the assessment.

Signs Floor Tape

Tape and Different Coloured Flooring

Question 17 – Are ESDS items protected from ESD damage when not in an
ESD protected area?

Documentation – The ESD control program plan should address how ESD
sensitive items will be treated if they leave an ESD protected area. In situations
where the organization only has one EPA the items will most likely be placed into
an ESD protective package when the item leaves the EPA. For organizations that
move product between EPA’s they must have a plan for protecting the products
during the transition.

Verification – The auditor will watch for the presence of unprotected parts outside
of the EPA for example: receiving, receiving inspection, quality/process
engineering labs and engineering and quality office areas. If unprotected parts
are found in these areas the organization would have to prove that the parts
cannot be shipped to customers. i.e. demonstrate that the parts have been
scrapped.

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Facility Certification Program – Auditor Training
Question 18: Does the ESD Control Program Plan state that access to ESD
protected areas is limited to trained personnel?

Documentation – the ESD control program plan must include a statement that
those who enter the EPA must be trained. Ask how the company addresses
cleaning staff, security personnel and maintenance. The rules apply equally to
these people as well. Note: The training for personnel such as cleaning staff or
security might be a simplified class compared to the one that is given to
employees.

Verification – Takes the names of several employees and check the company
training records to verify that these employees have been trained.

Question 19: Are all untrained personnel or visitors escorted by trained

personnel when they are inside the EPA?

Documentation – The ESD control program must include a statement that

untrained personnel or visitors to the EPA must be escorted by someone who
has been trained.

Verification – This can be part of the verification from question 18. Look for
people who are unescorted and appear to be out of place or are dressed
differently from regular employees. Record the names of these people and check
to see if they have a training record.

Question 20: Have all non-essential insulators been removed from stations
where ESD sensitive devices are handled?

An insulator is a material that has a high surface or volume resistance. These

materials can be easily charged when handled and due to their high resistance
the charge cannot be removed by grounding. These items can be identified using
electrostatic field meters. These devices can read the electrostatic field that
emanates from charged items. The meters will measure the field and will give
values in volts or volts/inch. Examples of insulating materials are: polystyrene or
untreated plastics. Virtually all of these meters are designed to measure at a
fixed distance from the charged object.

A “non-essential” insulator is one that is NOT required to be present for that

assembly step or operation. As stated in the standard, these items must not be
present at operations where ESD sensitive devices are handled. Some examples
of non-essential insulators are plastic lunch pails, laminated pictures of the family
etc.

Documentation – This requirement should be part of the organization’s ESD

related documentation.

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Verification – During the on-floor assessment look for items that are obviously not
required in the process.

Question 21: Has the Organization established a plan for process required
insulators?

A process required insulator is a material that has high surface or volume

resistance but is deemed to be a necessary part of the manufacturing process.
An example of a process required insulator is a test fixture that is used hold a
printed circuit board that is undergoing functional testing. The fixture often
cannot be made of ESD safe materials since these materials might cause
shorting of the board’s semiconductor components. Therefore, the fixture is often
manufactured from insulating materials.

This is a documentation only question. The organization must address have a

plan that addresses the requirements for process required insulators.

Question 22: For process required insulators that are in direct contact or
located closer than 2.5 cm (1 inch) of unprotected ESD sensitive devices
does the installed program ensure that the maximum allowable static field
is less than 125 volts/inch.

Technical clarification – The scope of ANSI/ESD S20.20-2014 states that if the

requirements in the standard are followed devices that have a Charged Device
Model (CDM) sensitivity of 200 volts or higher will be protected. The only way
that this new CDM limit could be added to the standard was with the inclusion of
this measurement. It is important that the auditor look at operations where
unprotected ESD sensitive devices are located close to process required
insulators.

Documentation – This requirement must be included in the ESD control

documentation.

Verification – During the on-floor assessment look for operations where

unprotected ESD sensitive devices are located less than 1 inch (2.5 cm) from
process required insulators. Have the client measure the fields on these
insulators to ensure that the measured field meets the requirement. Note: Check
the person making the measurement to ensure that they are grounded when
making the measurement.

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Example – Field Meter Measurement of an Insulator

Question 23: For process required insulators that are located more than 1
inch (2.5 cm) but less than 12 inches (30 cm) from unprotected ESD
sensitive devices does the installed program ensure that the maximum
allowable field is less than 2,000 volts/inch?

Technical clarification – The maximum limit for electrostatic fields for process
required insulators that are located more than 1 inch from ESD sensitive devices
is much higher than for items less than 1 inch.

As can be seen from the following graph the electrostatic field drops off quickly
as the distance between the charged insulator and an unprotected ESD sensitive
device increases.

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Documentation – This requirement must be included in the ESD control

documentation.

Verification – During the on-floor assessment look for operations where

unprotected ESD sensitive devices are located more than 1 inch (2.5 cm) from
process required insulators but less than 12 inches from the insulator. Have the
client measure the fields on these insulators to ensure that the measured field
meets the requirement. Note: Check the person making the measurement to
ensure that they are grounded when making the measurement.

Question 24 – Does the organization have a plan that addresses how to

handle any isolated conductors that come into contact with ESD sensitive
devices?

This is a documentation only question. – The ESD control program must include
a section that addresses this requirement.

Question 25 - Is the voltage on isolated conductors that come into contact

with ESDS < 35 volts? (8.3.2)
Note: As this is a new requirement that may require the purchasing of new
measuring equipment the auditor shall only issue an observation in 2015/2016
and minor NC in 2017. After 2018, facilities not in compliance with this
requirement will be issued a major NC. Note: The intention is for this requirement
to be followed during the initial process setup. On-going measurements are not
required at this time.

Documentation – The ESD control program plan must include the required limits
for isolated conductors of less than 35 volts. The plan should also include a
procedure on how this will be measured and defining what equipment will be
used.

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Technical clarification: This requirement only applies to conductors that come

into contact with ESD sensitive devices. As an example let’s assume that a work
station has four conductive items on it, a screwdriver, a hammer, a pair of
clippers used to clip the leads on the bottom of a printed circuit board and finally
a test fixture that is used to perform a functional test on the printed circuit boards
prior to shipment.

The hammer and screwdriver do not require measurement as they would not be
in contact with ESD sensitive devices. This leaves the lead clipper and the test
fixture. The program manager should perform a resistance measurement from
the tip of the lead clipper to the handle (or to a person holding the clipper). If the
resistance is less than 1x109 ohms the tool is considered to be “groundable” and
therefore the conductor is not isolated and does not require measurement.

Upon measuring the resistance of the test fixture it was discovered that several
conductors were isolated from ground. These isolated conductors are the ones
that require a voltage measurement in accordance with this requirement of
ANSI/ESD S20.20-2014. It is especially important to make this measurement
with the air ionizer turned on if the workstation is equipped with one.

Verification – The organization should have reports/documentation that describe

the testing for isolated conductors during an initial process setup. The auditor
should look for conductive items that appear to be isolated from ground.
Examples – screwdrivers with plastic handles, scissors and assembly/test
fixtures. Have the client measure some of these items with either a contact or
non-contact voltmeter. Note: A static field meter is not acceptable equipment for
this measurement.

Examples of possible isolated conductors

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Facility Certification Program – Auditor Training

Question 26 – Are the organizations ESD protective packaging

requirements defined by customer contract?

Documentation – If a customer defines the type of packaging that the

organization uses to ship ESD sensitive products this should be included in the
ESD Control program plan documentation. The auditor should ask to see the
documentation from the customer.

Verification – If the auditor finds an example of customer specified packaging the

auditor should verify that the package being used meets the customer’s
requirements.

Question 27 – If not defined by contract (see question 26) does the

organization have a plan for packaging ESDS items for both inside and
outside the EPA that meet the requirements of ANSI/ESD S541?

Documentation – The Packaging plan should describe how ESD sensitive

devices are to be packaged. ANSI/ESD S541 requires that packaging materials
used inside the ESD Protected Area (EPA) meet the following requirements:

Inside EPA:
 Low charging
 Static dissipative or conductive materials contacting the ESD sensitive
device

Outside EPA:
 Low charging
 Static dissipative or conductive materials contacting the ESD sensitive
device
 A structure that provides discharge shielding

Verification – At this point in time the ESD Association has not established a test
method for “Low Charging”. Therefore, at this time lack of data supporting the low
charging of a packaging material will not result in a non-conformance.

The organization shall demonstrate, through measurement, that the packaging

materials that contacts the ESDS are either conductive or static dissipative. A
conductive material will have a surface or volume resistance of < 1.0x10 4 ohms.
A dissipative material will have a surface or volume resistance greater than or
equal to 1.0x104 ohms but less than 1.0x1011 ohms. This will apply to packaging
used both inside and outside the EPA.

Ask for evidence that the packaging has discharge shielding properties.

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Facility Certification Program – Auditor Training
Question 28 – Is the ESDS item, system or package marking required by
customer contract, purchase order etc.?

Documentation – If a customer requires that the organization use marking in one

form or another it should be included in the ESD Control program plan
documentation. The auditor should ask to see the documentation from the
customer.

Verification – If the marking is required by the customer the auditor should check
to see if the customer requirement has been implemented. If the auditor finds a
customer package that has markings on it the organization should be able to
explain the origins of the marking.

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Facility Certification Program – Auditor Training
Question 29 – If not defined by contract does the organization have a plan
for marking ESDS, system or packaging?

Documentation - This is an optional question for the organization. If the customer

does not require marking and the organization does not believe that a marking
plan is required then this question would be considered to be “not applicable”.
However, if the organization decides that marking is required a plan would have
to be developed and documented.

Verification – if a marking plan exists the auditor would verify that the
organization is complying with the written requirements.

Question 30 – Is the instrumentation identified, calibrated (with a suitable

indicator) and adjusted at prescribed intervals (or prior to use) against
verified equipment having a known, valid relationship to recognized
standards?

Verification – The organization should be following their internal procedures for

the control of monitoring and measuring equipment which should have some
form of identification to determine its calibration status.

Question 31 – Where no such standards exist is the basis for the

calibration documented?

Verification – Some ESD related equipment might not be calibrated as they

cannot be adjusted. This type of equipment is often only “functionally” checked.
In these situations the auditor is to review the procedure on how the equipment is
checked for function.

Question 32 – Are there procedures documented and implemented for the

ESD safe handling of non-conforming products?

Documentation – The organization’s ESD control program should include a

statement that the ESD control program applies to non-conforming products until
such time as a recognized authority within the client’s company has deemed the
item to be scrapped.

Verification – The auditor is to check areas where non-conforming parts are

stored and ensure that the ESD control program is being followed for these
items. This will include proper handling of unprotected parts by grounded
employees and the use of acceptable ESD protective packaging if necessary.

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Facility Certification Program – Auditor Training
Question 33 – Have corrective action plans been developed for significant
non-conforming ESD program related situations?

Verification – The auditor should ask the organization if formal ESD related
corrective action plans exist. The word “significant” is important. Finding several
out of specification work stations during an assessment is not significant. Finding
that 30% of the work surfaces are out of specification should be considered
significant and should result in a corrective action plan. The auditor is to focus
only on major corrective actions. The auditor should check the progress that has
been made in closing these major corrective action items.

Question 34 – Based on the sample measurements made on each of ESD

technical elements and recorded using Table 1 below are the installed ESD
controls meeting the requirements of ANSI/ESD S2020-2014?

During the on-floor assessment have the organization make random

measurements on each of the ESD technical elements used. The number of
measurements made on each technical element is at the auditor’s discretion. The
auditor should request that measurements be made until he/she is confident that
the process is in control for that item.

Also, for facilities that have multiple EPA’s some of each technical item should be
checked in each area.

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