Alu Esd Handbook

ESD Handbook
Issue 13
October 2008
Disclaimers
It is the responsibility of the user of this document to verify that it is the most current edition.
Any document printed from the Document Control System is an uncontrolled copy.
ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 Classification= OPEN
i
Cover: ISSUE 13 October 2008.COVER The cover shows the city of Tucson, AZ, USA as a
local storm generates multiple lightning strikes.
Lightning strikes are the ultimate in large scale Electro-Static Discharges. They induce huge
electrical impulses on electrical distribution networks. These impulses find their way into our
products. Mitigation of these types of stresses in the form of gas discharge tubes, earth grounds/
shields, spark gaps, and fast acting solid state on board protector diodes are a portion of the
methods we take to ensure the reliable operation of our products.

ii
CONTENTS
SCOPE..................................................................................................................................................... 5
PREFACE................................................................................................................................................ 5
HISTORY & ACKNOWLEDGEMENTS................................................................................................. 5
REASONS FOR REISSUE....................................................................................................................... 6
INTRODUCTION.................................................................................................................................... 7
Critical Factors for Managing a Successful ESD Control Program ......................................................... 8
Alcatel-Lucent ESD Program Elements................................................................................................. 8
ALCATEL-LUCENT ESD POLICY ........................................................................................................ 9
Policy................................................................................................................................................... 9
Intent.................................................................................................................................................... 9
Responsibilities .................................................................................................................................... 9
ALCATEL-LUCENT ESD LEADERSHIP TEAM MISSION STATEMENT ......................................... 10
BASIC ESD CONCEPTS....................................................................................................................... 11
Definition ........................................................................................................................................... 11
Causes of ESD.................................................................................................................................... 11
Triboelectric Charging........................................................................................................................ 12
Static Potential.................................................................................................................................... 12
Static Charge ...................................................................................................................................... 12
ESD FAILURE MODELS...................................................................................................................... 14
Introduction........................................................................................................................................ 14
Human Body Model ........................................................................................................................... 14
Charged-Device Model (CDM) by Direct Contact ............................................................................... 16
CDM by Static Induction .................................................................................................................... 17
Machine Model (MM) ........................................................................................................................ 18
SOURCES OF ESD DAMAGE.............................................................................................................. 19
Environmental Conditions................................................................................................................... 19
Device Sensitivity............................................................................................................................... 19
Static Shock........................................................................................................................................ 22
ESD in clean rooms and its Effects on IC Wafers ................................................................................ 22
ESD EFFECTS....................................................................................................................................... 23
ESD CONTROL REQUIREMENTS AND TECHNIQUES .................................................................... 24
Introduction........................................................................................................................................ 24
Designed-In Protection ....................................................................................................................... 24
Basic Rules for ESD Control............................................................................................................... 24
Static-Safe .......................................................................................................................................... 25
Antistatic Property.............................................................................................................................. 25
Static Conductors and Nonconductors ................................................................................................. 25
Surface Resistivity.............................................................................................................................. 25
Conductive Materials.......................................................................................................................... 26
Static-Dissipative Materials ................................................................................................................ 26
System Level Testing.......................................................................................................................... 26
Device Testing.................................................................................................................................... 26
ESD CONTROL REQUIREMENTS SPECIFIED BY CLASS................................................................ 27
1.0
Work Area Classification......................................................................................................... 27
2.0
Personnel Training Program .................................................................................................... 30
3.0
Personnel Certification ............................................................................................................ 30
4.0
Auditing.................................................................................................................................. 30
5.0
Statistical Process Control ....................................................................................................... 30
6.0
Production Equipment Certification ........................................................................................ 31
7.0
Personnel Grounding............................................................................................................... 32
8.0
Flooring, Finishes, Carpeting and Mats.................................................................................... 34
9.0
Transporting Products.............................................................................................................. 35
10.0 ESD Grounding Requirements and Methods ............................................................................ 37
11.0 Static-Generating Material Control .......................................................................................... 38
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12.0 Dissipative Work Surfaces....................................................................................................... 38

13.0 Dissipative Gold Finger Shunts................................................................................................ 39
14.0 Extraordinary Measures (Class 0 Devices) ............................................................................... 39
15.0 Other Controls......................................................................................................................... 39
15.0 Installation Standards .............................................................................................................. 40
CENTRAL OFFICE AND OFF SITE GUIDELINES.............................................................................. 40
ALCATEL-LUCENT ESD LEADERSHIP TEAM ................................................................................. 42
APPENDIX A DEFINITION OF TERMS ........................................................................................... 43
APPENDIX B ASSOCIATED COMPANY DOCUMENTATION....................................................... 47
APPENDIX C REFERENCES............................................................................................................. 48
ESD ASSOCIATION STANDARDS ..................................................................................................... 52
LIST OF FIGURES
Figure 1 - Separated Roll of Cellophane Tape .................................................................................. 11
Figure 2 - Equivalent Circuit of Human Body Model ......................................................................... 15
Figure 3 - Equivalent Circuit of Charged-Device Model.................................................................... 17
Figure 4 - ESD by Induction................................................................................................................ 18
Figure 5 - Effects of ESD Caused Failures........................................................................................ 23
LIST OF TABLES
Table A - Triboelectric Series for Some Common Materials ............................................................ 13
Table B - Typical Electrostatic Voltages............................................................................................. 15
Table C - Typical Charge Generators ................................................................................................ 20
Table D - Device Sensitivity ................................................................................................................ 20
Table E - HBM...................................................................................................................................... 21
Table F - CDM...................................................................................................................................... 21
Table G - ESD Control Requirements Specified by Class................................................................ 29

iv
SCOPE
This Electrostatic discharge control Handbook is the controlling document for the Alcatel-Lucent
Electrostatic Discharge (ESD) Control program and applies to all facets of our business. Minimum
requirements are established here for proper ESD control techniques. This handbook is intended for
engineering, management, and training personnel, and shall be used to implement local ESD
programs. Further details are contained in the Alcatel-Lucent ESD Inspection Guide.
PREFACE
This handbook defines and describes Electrostatic Discharge (ESD) and its effects on electronic
devices. ESD causes are explored, numerous sources of static charges found at the workplace are
identified, and how these charges threaten sensitive electronic devices are discussed. General
requirements are specified for controlling ESD damage, and detailed instructions are given for each
technique.
This handbook supports Alcatel-Lucent policy, which states that each organization shall use proper
ESD control measures when handling ESD sensitive products and that all-new design shall be
qualified for adequate designed-in ESD protection. Alcatel-Lucent recognizes that special procedures
and methods may be required for certain personnel, including the physically impaired, and may not be
covered in this document. The local ESD coordinator shall develop the necessary procedures and
methods to ensure compliance with the intent of this document.
HISTORY & ACKNOWLEDGEMENTS

The original version of this handbook was based on the Merrimack Valley ESD Control Handbook
drafted by Ted Dangelmayer and Joe Doucette, Jr.
Copyright 2008 Alcatel-Lucent Inc.
All Rights Reserved.
ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 CLASSIFICATION= OPEN Page 5 of

52
REASONS FOR REISSUE

The following revisions or additions have been incorporated into ISSUE 13 of the Alcatel-Lucent
Electrostatic Discharge Control Handbook.
1)
Section 1 Work area Classification has been updated to be in alignment with QMS
instructions.
2)
Section 3.1 has been updated to reflect ESD training re-certification is to be at a minimum
of every two years (Issue 12 guidance was every year).
3)
Leadership Team update
4)
Added Open Classification to this document for compliance with the October 20 directive
for classification marking of documents.
5)
The following sections had verbiage changed with out any substantive changes for
alignment with QMS L2-09:
6.1
7.4
7.5
8.1
9.2

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INTRODUCTION
Electrostatic Discharge (ESD) poses a serious problem to industries that use electronic devices. Many
devices are highly sensitive to damage from the discharge of static electricity, which usually cannot be
seen or felt. ESD affects many components such as diodes, transistors, integrated circuit devices,
metal-oxide-semiconductors (MOS), optoelectronic devices (lasers and photodiodes), surface acoustic
wave (SAW) filters, and film passive components, etc. ESD can also damage semiconductor wafers
and integrated circuit photo-masks. These damaging effects are well documented. Device failures do
not always occur immediately; often, the component is only slightly weakened or altered, but is less
able to withstand subsequent ESD exposure and may constitute a reliability problem.
It is essential that everyone in the product life cycle (design & development, manufacturing, integration,
distribution, installation, and repair) be concerned with ESD. The Alcatel-Lucent procedure for ESD
sensitive products is Hands Off. It prohibits anyone from directly contacting ESD sensitive products
for any reason (or at any time) without taking appropriate ESD precautions.
Alcatel-Lucent is striving to eliminate device failure caused by ESD damage. By reducing the failure
rate of individual components, we enhance the reliability of our products, which in turn improves
customer satisfaction. It is necessary to understand ESD and its inherent dangers before successful
control techniques can be put into practice. This handbook provides an awareness of ESD concepts
and specific instructions for combating ESD induced failures.
Since these instructions are considered minimum requirements and preferred ranges are stated
throughout this document, Alcatel-Lucent organization specific (local) and supplier requirements may
be more stringent. Engineering analysis must be performed when defining local requirements that are
outside the preferred ranges. The documentation of work area classification is the responsibility of local
and supplier engineering and is defined under Work Area Classification.
This document is not to be considered an in-depth knowledge base for ESD education, and does not
purport to replace certified ESD Training Courses.

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Critical Factors for Managing a Successful ESD Control Program

Experience has shown that 12 critical factors form the basis of a successful ESD control program. (See
the following list.) These 12 factors are described in greater detail in the Alcatel-Lucent ESD
Inspection Guide and ESD Program Management (see Appendix B).
Factor 1 An Effective Implementation Plan

Factor 2 Management Commitments
Factor 3 A designated ESD Engineering Coordinator/Consultant
Factor 4 An Active ESD Control Committee
Factor 5 Realistic Requirements
Factor 6 Training for Measurable Goals
Factor 7 Auditing Using Scientific Measures
7.1 General Program Analysis
7.2 Work Area Inspections
7.3 A Facility Qualification Program
7.4 Product Design Review
Factor 8 ESD Test Facilities
Factor 9 A Communication Program
Factor 10 Systemic Planning
Factor 11 Human Factors Engineering
Factor 12 Continuous Improvement
Alcatel-Lucent ESD Program Elements

For emphasis, the 12 critical factors may be segmented into four main elements and should be used by
each location as a checklist to verify that their program meets customer expectations. The elements
are:
Demonstrable compliance with the policies and procedures in this handbook
An auditing program based on the ALCATEL-LUCENT ESD INSPECTION GUIDE or
equivalent self-assessment program
A formal manufacturing acceptance procedure for verifying that designs comply with
appropriate standards
Documentation and personnel awareness of work area classifications and procedures based
on local specifications
Bell Communications Research has recognized the Alcatel-Lucent ESD control program as meeting
the intent of the requirements in BR-GR-1421-CORE, Generic Requirements for ESD Protective
Workstations.

52
ALCATEL-LUCENT ESD POLICY

Policy
One of the strengths of Alcatel-Lucent products and services has always been Alcatel-Lucent continuing
commitment to high quality and reliability. Central to that is Electrostatic Discharge (ESD) control and
prevention. It is therefore, our policy to:
Consistently provide components and systems that are sufficiently ESD design hardened to meet
the quality and reliability expectations of our customers.
Consistently adhere to the proper ESD handling, storage, packaging, and transportation techniques
throughout all facets of our business.
Intent
ESD is known to affect electronic components and systems in a variety of ways and is heavily influenced by
technology, design and handling techniques. Therefore, we will strive for continual improvement in
prevention techniques, employee awareness and designed-in-protection at all levels of our company. It is
our intention to maintain Alcatel-Lucent as a World Class leader in ESD control and design.
This will require the adherence to appropriate design standards as well as controlling the environment
around which electronic products are designed, manufactured, transported, and used. To satisfy this intent,
we will need to comply with documents such as the Alcatel-Lucent ESD Control Handbook, the AlcatelLucent ESD Inspection guide, and all appropriate Alcatel-Lucent product specifications and best current
practices. We will strive to provide products and services that are sufficiently ESD robust in design and free
of any latent ESD handling defects to give our customers significant economic advantages in their market.
Responsibilities
Each business group president, entity head, and senior staff officer is responsible for:
Communicating the policy and seeing that it is carried out effectively
Providing adequate support and resources.
Each member of management is responsible for:
Ensuring adequate design qualification of our product offerings
Setting the example by always complying with the handling procedures in the Alcatel-Lucent ESD
Control Handbook
Communicating our ESD policy to each employee, visitor and supplier
Clarifying specific responsibilities for ESD prevention, awareness and design
Establishing effective ESD process controls
Ensuring consistent compliance with the Alcatel-Lucent ESD policy and initiating corrective action if
needed
Implementing and reviewing specific ESD improvement programs
Providing education and training in ESD awareness and prevention for employees.
The Alcatel-Lucent ESD Leadership Team is responsible for overall leadership and direction of the ESD
program.

52
ALCATEL-LUCENT ESD LEADERSHIP TEAM MISSION

STATEMENT
The mission of Alcatel-Lucent ESD Leadership Team is to provide overall leadership and direction and
to network technical resources for the ESD program. The team supports Alcatel-Lucents customer
satisfaction and reliability objectives by facilitating the continuous improvement and consistent
implementation of the ESD policies and procedures as defined in the Alcatel-Lucent ESD Control
Handbook, Inspection Guide, and X-Specifications.
Please refer to page 42 for a current listing of the Alcatel-Lucent ESD Leadership Team members.
ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 CLASSIFICATION= OPENPage 10 of

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BASIC ESD CONCEPTS

Definition
Electrostatic Discharge (ESD) is a sudden transfer of charge between two objects. A familiar example
is the zap that is felt after sliding across a car seat and touching the door handle. While sliding, the
body becomes charged, and this charge suddenly jumps when the body encounters an uncharged or
oppositely charged object (the door handle). Dry climatic conditions aggravate the problem because
dry ambient air inhibits surface charge leakage and large static potentials result. Often the discharge
cannot be felt, but it may still damage sensitive electronic devices.
Causes of ESD
Static charge is generated whenever two different materials come into contact or are rubbed together
and then separated, such as an unrolling cellophane tape as shown in Figure 1 Separated Roll of
Cellophane Tape.
Figure 1 - Separated Roll of Cellophane Tape

(Showing Distribution of Positive and Negative Charges)

52
Triboelectric Charging
Static charge accumulation, known as triboelectric charging, results from the transfer of electrons from
one material to another. Table A - Triboelectric Series for Some Common Materials shows the
triboelectric series of some common materials. Note that static electricity is a surface phenomenon,
and static charge accumulates only on the outer surface of an object, not throughout the object.
Generally, static charge accumulation can occur between any two materials. These materials may be
solids, liquids or gases, so static electricity is always present. To understand the static charge behavior
of materials, their relative positions in the triboelectric series must be determined. The polarity (+ or -)
of the static charge generated on each of the materials and the relative magnitude of the charge can
be obtained from Table A - Triboelectric Series for Some Common Materials. The farther apart the
materials are located in the series, the greater the magnitude of the charge. Also, a material at the top
of the scale acquires a positive charge with respect to any material below it. A classic example is
rubbing a glass rod with wool. The glass assumes a positive charge and the wool a negative charge.
Many materials in Table 'A' are commonly used in electronics manufacturing.
Static Potential
The accumulated electrical charge causes a static potential to develop. The static potential is not with
respect to ground, but is a potential difference between any two different objects. ESD occurs when the
accumulated charge is transferred to another object with a different electric potential.
Static Charge
The potential difference between two separated objects can be modeled as the voltage between the
charged plates of a capacitor. With a given charge (Q), the static potential (V) developed between two
materials depends on the capacitance (C) between these two materials, such that Q=CV. For a given
charge (Q), C and V depend on the environment and may vary, but the product CV remains constant.

52
TABLE A
TRIBOELECTRIC SERIES
FOR SOME COMMON MATERIALS
+
POLARITY
Acquires a more
positive charge
MATERIALS
Acetate
Human Hair
+
Nylon
Wool
Fur
Lead
Silk
Aluminum
Paper
Polyurethane
Cotton
Wood
Steel
Hard rubber
Acetate Fiber
MYLAR*
Epoxy Glass
Nickel, Copper, Silver
Brass, Stainless Steel
Synthetic Rubber
Acrylic
Polystyrene Foam
Polyurethane Foam
Saran wrap
Polyester
Polyethylene
Polypropylene
PVC
Acquires
a more
TEFLON*
negative charge
Silicone Rubber
* Registered trademark of E.I. Du Pont De Nemours.
Table A - Triboelectric Series for Some Common Materials

52
ESD FAILURE MODELS

Introduction
Three generalized models have been suggested for ESD events that can cause device damage or
failure. These models are:
Human Body Model (HBM)
Charged-Device Model (CDM), including CDM by Direct contact, and CDM by static induction
Machine Model (MM)
To better understand how ESD occurs and what preventive measures to use, it is important to know
the basics of these models. The variations between models, discharge parameters, failure
mechanisms and device testing for each model are given in the following paragraphs.
Human Body Model

A person can develop a significant charge with simple movements. Table A - Triboelectric Series for
Some Common Materials shows the magnitude of charge buildup that can result from simple
operations (for example, walk, sitting, unpacking, etc.). When a charged individual touches a device, as
in a hand-assembly operation, some of the energy stored on the individuals body is transferred or
discharged either to the device or through the device to ground. It is possible to develop human body
potentials that far exceed damage ratings of the device. Some protection is provided by networks built
into many integrated circuits (ICs). This protection is adequate for some operations, but not for all.
Often, the discharge pulse contains enough power to alter device parameters, melt silicon junctions or
cause electrothermomigration.
The HBM equivalent circuit used to describe this event is illustrated in
Figure 2 - Equivalent Circuit of Human Body Model. In the current industry standard, the HBM
equivalent circuit contains a 1500-ohm resistor and a 100-picofarad (pF) capacitor. These components
represent the effective resistance and capacitance of the human body. (Other resistance and
capacitance values have been used in the past for example, 300 to 10 kilohms and 100 to 400 pF.)
The contact resistance is usually less than 5 ohms. Another important element of the event is the
dynamic resistance of the discharge arc, which is typically 100-200 ohms. Compared to the chargeddevice model (CDM), the HBM is a slow event (rise time = 10 nanoseconds, width = 150
nanoseconds).
The HBM equivalent circuit usually assumes that the discharge occurs to a single lead while one or
more leads are connected to ground. Although this circuit does exist, the more likely circuit
arrangement is a discharge path through a land with all other leads floating. An HBM discharge
through a device to ground is usually more damaging than an HBM discharge through a floating
device.

52
TABLE B
TYPICAL ELECTROSTATIC VOLTAGES (VOLTS)
RELATIVE HUMIDITY
EVENT
10%
40%*
55%
Walking across carpet
35,000
Walking across vinyl floor
12,000
Motion of bench worker
6,000
Removing DIPs* from plastic tubes
2,000
Removing DIPs from vinyl trays
11,500
Removing DIPs from STYROFOAM
14,000
Removing bubble pack from PWBs
26,000
Packing PWBs in foam-lined box
21,000
* Dual in-line packages
Registered trademark of Dow Chemical Co.
Printed wiring boards
15,000
5,000
600
700
4,000
5,000
20,000
11,000
7,500
3,000
400
400
2,000
3,500
7,000
5,500
Table B - Typical Electrostatic Voltages
IC
Work Surface
Charged personnel (ungrounded) zapping a module placed on a

work surface (discharge from finger to pin to chip to work surface).
Device
Body
Current Pulse
Figure 2 - Equivalent Circuit of Human Body Model
See JEDEC Standard No. 625-A/NOTE The recommended minimum humidity is 40% R.H.
52
Charged-Device Model (CDM) by Direct Contact

A second ESD failure model is associated with the device and package itself. In its pure form, the
charged-device model assumes a charge on its lead frame and other conductive paths that is quickly
discharged through one pin to ground. Here the charge residing on the metal parts of the device flows
through and creates failures of junctions, dielectrics and components that are part of the discharge
path.
The CDM is intended to simulate charging/discharging events that occur in production equipment and
processes. The classic example of this is a device sliding down a shipping tube. However,
opportunities for such events vary widely with the types of processes being considered and, unlike
personnel grounding, may not be under the control of the facility ESD coordinator.
The parameters in the CDM equivalent circuit are largely dependent on the device package and its
internal configuration. The CDM produces a much faster pulse than the HBM (rise time < 100
picoseconds, with = 2 nanoseconds). Because of this, the CDM is more likely to produce dielectric
breakdown of gate oxides and to bypass HBM-based protection circuitry to cause internal (and not
immediately detectable) failures. Most recent ESD failures reported in the industry have been caused
by CDM-type events. A list of references to CDM field failures is given in the References.
The HBM discussion considered a floating device and the possibility of transferring enough energy
from the human body to damage a device. Even if the floating device is not damaged on contact, the
device is consequently charged, and there exists the possibility of damage when discharged. Damage
or failure thresholds for the CDM may be considerably different from those determined by the HBM.
Sliding in a shipping tube, sliding on work surfaces or by sharing charges with people or objects during
assembly operations, can charge devices. The charge acquired is either mobile or immobile. The
mobile charge is on the metal lead frame and conductors, and the immobile charge is on the
nonconductive portions of the device. The immobile charge can induce a potential on the conductive
parts of the component by static induction. See CDM by Static Induction.
Devices are generally uploaded from shipping tubes into handlers or insertion equipment. A charged
device eventually contacts an effective ground in the machine and discharges. The corner pins on a
device are most likely to contact a ground first. As a result, many devices fail because of damage
associated with corner pins.
The capacitance of the device package at the instant of grounding plays a strong role in determining
the energy released during the ESD event and whether the threshold for damage will be exceeded.
Charging a package device while it is positioned near ground and them moving it away from ground
will have the effect of increasing the potential as well as increasing the energy stored on the device.
The discharge will be more damaging than it would be if the device were discharged near ground. The
increase in potential and energy is inversely proportional to the capacitance ratio. Although the device
energy storage capacity is limited in the CDM (when compared to the HBM), the discharge pulse can
occur so fast that the protection circuit does not turn on and the power density exceeds the damage
threshold of an unprotected circuit element such as a gate oxide.

52
The CDM equivalent circuit used to describe this phenomenon is illustrated in Figure 3. It contains a
device capacitance (1-60 pF, depending on the package type). Note that human body capacitance and
resistance are not considered in the CDM. In addition, device inductance ranges from 5 to 50
nanohenries, and contact resistance is still 0.1 to 5 ohms. The device resistance of 50 to 300 ohms,
while not considered in the HBM, now has a more significant role in the CDM; it has a considerable
effect on the series-LCR circuit formed by the device.
Device
Contact Resistance
Current Pulse
Figure 3 - Equivalent Circuit of Charged-Device Model
CDM by Static Induction

An external field can affect a device in two ways. First, gate structures on a device inserted in the field
can develop potentials, the magnitude of which depends on the division of capacitance between the
field source and ground. Under high fields and close spacing with sensitive devices, dielectric
breakdown can occur. However this failure is not common.
An ESD by induction is the second (and more likely) way in which failure can occur. This series of
events is illustrated in Figure 4. In this process, a neutral (uncharged) object (such as an IC) is placed
near a static charge that resides on an insulator in the work area. The resulting field from this static
charge will cause (induce) a charge separation to occur on the lead frame and conductors of the
device. If a device lead is then grounded, a current will flow. The charges that are of the same polarity
as the static charge are driven to ground by the field. The current flow is equivalent to a CDM event as
described previously. However, the threat to the device does not end here. The object now has a net
residual charge until it dissipates into the air or is grounded in a later process step. If the latter occurs,
the result is a second event, opposite in polarity and equal in magnitude (charge) to the previous one.
Thus, ESD by induction can result in a double jeopardy for devices. Threshold data by CDM testing
also applies to this event.

52
A) Device in static field
B) First event grounding in field
C) Device left with net charge
D) Second event grounding in later step
Figure 4 - ESD by Induction
Machine Model (MM)

Automated handling equipment can also develop a significant charge if the equipment and process are
not properly designed. When such equipment (for example, a robotic arm) touches a device, some
charge may be transferred, as in the HBM. However, here, the discharge is through a very low
resistance. This results in a faster, higher-current pulse. The equivalent circuit for the machine model is
similar to the HBM, except that the body resistance is lower and a series inductance should be
included (since it will have a dramatic effect on the pulse). Experience with the proposed standard
models has shown that the MM produces failure models similar to those seen in HBM testing.

52
SOURCES OF ESD DAMAGE

The materials listed in the triboelectric series (Table A) are found in most environments. These materials are
constantly separated or rubbed together. For example, charges are generated by belts moving over rollers,
brushes rotating through solvents, and clothing rubbing against STYROFOAM or other nonconductive
surfaces. Untreated STYROFOAM is more prone to retaining a charge than many other materials; therefore,
it should never be used where electronic assemblies are susceptible. Integrated circuits and printed wiring
board (PWB) assemblies can easily be exposed to static charge when such nonconductive materials are
present.
A person walking across the floor, sliding on a chair or contacting a work surface can generate thousands of
volts of static electricity. Devices, even if assembled in circuit packs, can be exposed to damaging static
potentials if allowed to shift inside containers. Static potentials that can be generated are affected by:
humidity, rate of airflow, flooring, furniture, clothing, other materials, and differences among individuals.
Table C - Typical Charge Generators lists typical charge-generating materials.
Environmental Conditions
Grounded conductive materials provide a path for electron flow that prevents a charge buildup. In a humid
environment, moisture absorbed on the surface of any object will provide a similar leakage path, resulting in
low static potential. In dry conditions, such as a heated building in wintertime or in a naturally arid climate,
the leakage rate no longer equals the rate of static generation, and large static potentials can result. Table B
- Typical Electrostatic Voltages shows the effect of relative humidity on static generation. As relative
humidity increases from 10 to 55 percent, static potentials decrease dramatically (in one case by more than
a factor of 10). Results of this type vary under different test conditions and with different materials. The effect
of humidity is less for materials that do not absorb water, such as TEFLON .
Heating or drying operations remove conductive moisture from both the item and the ambient air, resulting in
a greater tendency for materials to charge. The application of a nonconductive coating will increase the
likelihood of static charging. In a typical environment, higher speeds of moving machinery and conveyors
have increased the occurrences of material separation. When material separation is combined with the more
prevalent use of nonconductive and nonabsorbent materials, static electricity problems are increased.
Device Sensitivity
Many electronic components are sensitive to electrostatic discharge. The degree of sensitivity is determined
by the device circuit design and structure. Packaging can also affect sensitivity, particularly to the chargeddevice model.
All semiconductor devices including discrete transistors and diodes, optoelectronic devices (photodiodes,
LEDs and lasers), and integrated circuits are sensitive to ESD. Other devices, such as SAW filters and thinand thick-film resistors, may be sensitive. The fine-line designs of integrated circuits (both bipolar and MOS),
with shallow junctions and thin insulators, are particularly vulnerable. While the particular technology used to
build a device strongly influences its intrinsic sensitivity, the effective sensitivity is also a function of the
attention paid to ESD protection by the device designer. The MOS circuits with unprotected gates may fail at
20 volts. However, depending on performance criteria, varying degrees of protection may be built into the
device. Protection circuit designs are available that can provide ESD withstand ratings of 8,000 volts (HBM)
and 3,000 volts (CM). Most semiconductor devices used in the electronics industry today vary to less than
250 volts and up to 8, 000 volts (HBM), however high speed devices can be damaged by ESD events as low
as 40 volts. There is no consensus on wafer level ESD sensitivity, but there have been some documented
cases of ESD damage to wafers during integrated circuit fabrication.
Registered trademark of Dow Chemical Co.

Registered trademark of E. I. Du Pont de Nemours
52
TABLE C
ITEM
TYPICAL CHARGE GENERATORS

TYPE
Work Surfaces
FORMICA*, Finished Wood, Synthetic Mats Underground Metal,

Glass or Fiberglass
Chairs
Fiberglass, vinyl, Other Plastics, Ungrounded Metal, Finished Wood
Clothing
Clean-Room Garments, Finger cots, Gloves, Wool, Synthetics,

Shoes and Boots
Floors
Carpeted, Vinyl, Waxed
Packaging Materials
Polyethylene Bags, Bubble Pack Material, Foam, Packaging Pellets,

Plastic Trays and Boxes
Manufacturing
Processes
Conveyors, Drive Belts, Machinery, Nylon Scrub Brushes,

Nonconductive Liquids, High-Velocity Airflow, Temperature
Chambers, Environmental Ovens, slides, Rails, TEFLON
* Registered trademark of FORMICA Corporation.
Table C - Typical Charge Generators
Table D is based on published values of ESD sensitivity for various technologies. It is important to note that
device technology is not a good indictor of ESD sensitivity. The growth of high-speed electronics and
photonics is increasing the number of devices with low ESD withstand voltages.
TABLE D (NOTE)
DEVICE SENSITIVITY
RANGE OF ESD SENSITIVITY
DEVICE TYPE
(VOLTS)
MOSFET
100-200
GaAsFET
100-300
EPROM
100-2,500
OP AMP
100-2,500
CMOS
250-3,000
Schottky Diodes, TTL
300-2,500
Film Resistors (Thick, Thin)
300-3,000
Bipolar Transistors
100-7,000
Photodiodes
100-1,000
Note: Do not use this table as a source for device information. This table
is not comprehensive. It is intended to show ranges only.
Table D - Device Sensitivity

52
ESDS Component Sensitivity Classification

Table E - HBM
Human Body Model
(Per ESD STM5.1-2001)
Table F - CDM
Charge Device Model
(Per ESD STM5.3.1-1999)
Class
Voltage Range
Class
Class 0
< 250 volts
Class C1 <125 volts
Class 1A
250 volts to < 500 volts
Class C2 125 volts to < 250 volts
Class 1B
Voltage Range
Class 1C 1000 volts to < 2000 volts
Class 2
Class C5 1,000 volts to 1,500 volts
Class 3A
Class 3B
8000 volts
Class C6 1,500 volts to < 2000 volts
Class C7 2, 000 volts
Note: Table E - HBM and

Table F - CDM are based on published values of ESD sensitivity for
various technologies. It is important to note that device technology is not a good indicator of ESD
sensitivity. The growth of high-speed electronics and photonics is increasing the number of devices
with low ESD withstand voltages.
ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 CLASSIFICATION= OPENPage 21 of 52
Static Shock
People are a prime source of device-damaging electrostatic potentials. Activities such as walking
or working at a bench can generate thousands of volts of static potential. When a charged person
handles a static-sensitive device, the component may be damaged by either a direct HBM
discharge or become charged and susceptible to a subsequent CDM event. A person cannot
feel static discharge until the potential approaches 3,000 volts; however, many commonly
used devices are subject to damage at less than 500 volts. See Table D - Device Sensitivity.
Note: "If an individual experiences a "felt static discharge" while working in or passing through an
ESD sensitive area, that is a prime indication that there are serious ESD control problems in that
area and immediate corrective action must be implemented."
ESD in clean rooms and its Effects on IC Wafers

Electrostatic potentials greater than 10 kilovolts are common in clean rooms because of the
1
widespread use of TEFLON and other clean room-compatible insulating plastics . Robotic wafer
handling equipment has been found to malfunction because of ESD between charged wafers and
the equipment. Simulated discharges of 8 kilovolts or more were required to replicate these
malfunctions.
Although these discharges are evidently common in clean rooms, devices on wafers are thought
to be less threatened by ESD than packaged devices for two reasons. First, the high conductivity
of the wafer may help shield the devices from ESD induced currents. Second, the devices on the
wafer are not connected to anything, so ESD currents are not channeled through the I/O circuitry
of the integrated circuit as they are in a packaged device.
As a result, ESD protective measures have not been developed for clean rooms as much as they
2
have for assembly facilities. However, when handled improperly, wafers are damaged by ESD .
Wafer damage can occur anywhere the ESD spark impinges on the wafer. Even finished wafers
can be damaged, because multi-kilovolt electrostatic potentials exceed the breakdown strength of
the wafers outermost CAPS (contact and protective seal) layer, enabling the ESD to burn
through and damage underlying structures. Thus, ESD damage to wafers does not usually occur
in I/O structures, which have designed-in ESD protection circuitry. Because of this damage
susceptibility, semiconductor wafers must be considered to be ESD sensitive.
Although wafers are sensitive to ESD, assessments of the overall effects of ESD on wafer
manufacturing yield have not been reported. One reason for this is that ESD damage to wafers is
obscured by other kinds of damage that wafers incur during manufacture. Device yield near the
edge of wafers is often low because of mechanical damage to devices near the edge when
wafers are handled by tweezers; a practice that is being superseded by automated handling
equipment. When wafers are charged, the maximum electric field occurs at the edge. ESD would
be presumed to occur more frequently at the edge, where the wafer is usually first contacted. It is
possible that when improved handling practices reduce mechanical damage near the edges of
wafers, residual ESD damage will show up.
Although present wafer handling practices may coincidentally protect them against ESD damage,
it is important to remember the wafers inherent ESD vulnerability in case these handling
practices ever change. Areas of wafer containing devices should never be contacted unless both
See Chemelli, R. g., et al, in Appendix C References.

See Turner, t., in Appendix C References.
2
the wafer and the contacting object are grounded. During transportation and storage, devices on
wafers should be protected from accidental contact.
ESD EFFECTS
A sudden discharge of static electricity from a finger or other conductor can destroy static-sensitive
devices or micro-circuitry. Often, the spark is neither felt nor heard, but the damage is done. An
electronic device exposed to static discharge may not be affected and may work perfectly throughout a
normal cycle. It may function normally for a while, but because of degradation in the internal layers, its
life expectancy may be reduced. This is a latent type of device-operating failure (DOF). The ESD event
causes a device weakness that degrades and causes failure with continued use.
The device is simply weakened and is less able to withstand the next event. The ESD damage can
also be cumulative, causing a damaged device to function intermittently, alternating between normal
functioning and erratic behavior. These types of defects are difficult to identify. Figure 5 illustrates ESD
caused failures within the structure of a device. Another important effect of ESD is on operating
equipment. The conducted and radiated energy from an ESD event can be misinterpreted by an
operating system as valid data. This often results in temporary errors in transmission or data
processing. In more severe cases, equipment may experience major service interruptions, such as
dropped telephone calls or may shut down completely and require a manual restart.
Figure 5 - Effects of ESD Caused Failures
ESD Damage
ESD Damage
ESD CONTROL REQUIREMENTS AND TECHNIQUES

Introduction
One approach to protecting against ESD damage is to design special protection features into
devices, circuit packs, and systems to withstand ESD. This section references minimum
requirements for both designed-in protection and handling techniques. Handling techniques are
used to prevent static charge accumulation so that ESD does not occur. Both approaches are
necessary, but they have certain limitations and trade-offs that must be considered. The primary
purpose of this section is to define handling requirements and techniques that will control static
charge accumulation.
Designed-In Protection
The most efficient way to protect microelectronic circuit elements is to build protective circuitry
into the device during its manufacture. Protection diodes, field oxide transistors and resistors may
be built using the same process steps that produce the operational circuit elements. Protection
circuitry design is a trade-off among several factors, most notably device performance, device
manufacturing constraints (that is, mask levels and material properties) and device handling (ESD
control). The protection circuit must respond to the ESD transient faster than the device being
protected. Although significant device protection can be obtained by designed-in circuitry, no
device manufacturer has been able to eliminate the problems of ESD damage. For this reason,
additional protective handling measures are also needed.
Electronics technology trends are forcing devices to operate at considerably higher speeds.
Sometimes, speed and other performance criteria may restrict the full use of available protection
strategies. The need to use these limited protection schemes should be recognized and
communicated early to the manufacturers and users of the devices, so that protection may be
built in at the circuit pack and system level and so that the need for special handling techniques
may be anticipated. This is especially critical for ultra sensitive (Class 0, see Work Area
Classification) devices, since standard control procedures are not sufficient and the use of some
automated assembly techniques may not be allowed. Circuit pack level protection techniques
include shielding, conformal coating, special connector designs, guard rings and component
placement.
The design of completed systems must also take into account disruptions caused by ESD.
Corrective measures include shielding and circuit board layout considerations typical of noise
suppression techniques. The ESD sensitivity information is required in product design information
for each new microelectronic device, circuit pack or system.
Basic Rules for ESD Control

A.
Assume that all electronic (solid-state) components and assemblies are

sensitive to ESD damage.
B.
Never touch a sensitive component or assembly unless properly grounded.
C.
Never transport, store or handle sensitive components or assemblies

except in a static-safe environment.
Require employees, suppliers and subcontractors to follow the three basic
rules.
D.
Static-Safe
Static-safe conditions or materials provide adequate protection for the product sensitivity in the
intended application. However, the ideal material often does not exist and it is virtually impossible
to prevent some degree of charging. Therefore, trade-offs are generally involved. Engineering
judgment is necessary to consider these trade-offs and to determine if a material condition is
static-safe.
A static-safe environment for electronic components and assemblies involves:
Controlling static buildup whenever possible.
Eliminating charges wherever they exist. How these charges are removed depends on
whether the charged object is a conductor or nonconductor.
Grounding all conductors, including people, in the workplace. Dissipative mats should be
used on benches and/or floors. Operators should use ESD protection devices as
indicated in ' 7.0- Personnel Grounding procedures, or follow local ESD Coordinator
instructions. These steps will ensure that static potentials within the system remain at
zero. Handling and grounding techniques, combined with an awareness program
designed to enlighten personnel about the hazards of ESD, are the most effective
methods for eliminating ESD damage.
Antistatic Property
This property refers to the prevention of triboelectric charge generation. It will effectively minimize
the production of a static charge when materials come in contact and are separated. This
property is not a dependent function of material resistivity or of static decay performance. In other
words, a material could be conductive or static-dissipative and not antistatic.
Static Conductors and Nonconductors

Conductors such as metal or carbon-impregnated materials allow electrons to flow and can
eliminate a charge when connected to ground. Nonconductors (STYROFOAM, plastics, clothing,
etc.) will not allow a charge to flow. Therefore grounding an insulator is useless. Elimination of
nonconductors from the workplace is the best solution, but if this is not possible, direct contact
must be avoided between sensitive products and the nonconductors. Ionized air is the next best
solution.
Surface Resistivity
For steady current flowing along a surface, surface resistivity is defined as the ratio of the electric
field (volts/meter) to the surface current density (amps/meter). The unit of surface resistivity is
ohms per square, to emphasize that for a uniform current density surface resistivity equals the
ratio of the voltage drop across a square region of any size to the total current flowing through the
space. Two categories of surface resistivity characterize most ESD combative materials. These
are:
4
Conductive (<10 ohms per square)

Static-dissipative (1x10 4 ohms to <1 x 10 11 ohms per square)
Conductive Materials
Conductive materials may or may not be antistatic and are the quickest to dissipate charge. They are
used to shield some highly sensitive products. However, they do offer an element of considerable risk
of ESD damage based on the charged-device model. Therefore, always avoid contact between the
conductors of a static-sensitive product and conductive surfaces. If this contact is a process
requirement, use every precaution to ensure that the product is not charged before contacting a
conductive surface, and that the conductive surface is grounded. When a charged product touches a
conductive surface, the rapid discharge may result in ESD damage. Conductive packaging materials
for shipment are generally not used because of higher costs, and few products require shielding for
either handling or shipment.
Static-Dissipative Materials
In general, static-dissipative materials are preferred to conductive materials because charge
dissipation occurs at a safe rate neither too fast nor too slow. Both categories have application when
properly used. For example, tote boxes could be lined with dissipative material on the inside where
they contact the product, but be conductive on the outside for rapid charge dissipation or shielding.
System Level Testing

System-level ESD considerations for design is contained in the Electromagnetic Compatibility Global
Product Applications Guidelines, Best Current Practices, and design documentation, which is
controlled by the various product management teams
Design information specific to ESD is mention throughout the Lucent ESD Handbook. However, many
of the EMC concepts in the document also apply to ESD in the following way: structures that make
good radiating antennas also make good receiving antennas. A 100 MHz clock lead would need
proper design to make it not generate excessive radiated emissions or be susceptible to ESD. A reset
lead that almost never changes state is generally not an emissions concern, but it can cause
operational problems if ESD generates a false reset. Thus, the reset lead may have to be treated as if
it were a 100 MHz clock. Thus the set of ESD sensitive structures in a design include most of the
traditional EMC structures as well as additional ones.
An important point to be made in the area of system-level immunity to ESD is that meeting industry
standards is no guarantee of satisfactory operation in the field. One example of this is the radiated
high-frequency (above 1 GHz) noise generated by small ESD events between pocket change and
other small pieces of metal. It will be years before any standard covers this form of ESD, but many
types of electronic equipment has been shown to be adversely affected by it as equipment bandwidth
has increased. Recently, it was shown that a particular 100 MHz PC could be locked-up by jingling
pocket change in a sandwich bag near the PC! Any design capable of responding to 1-nanosecond
pulses must use microwave design techniques to afford an adequate level of immunity to these types
of events.
Device Testing
The ESD sensitivity ratings are assigned to devices using standard HBM and CDM test methods.
These methods are described in Specification X-19435 (see Appendix B). The data provided by these
methods is the ESD withstand voltage. The ESD withstand voltage is the highest voltage that a given
device can accept and still operate according to its own specification. It is important that the equipment
used to simulate the HBM and CDM pulses meet the requirements of X-19435. Variations as great as
6:1 in reported withstand voltages have been reported for improperly calibrated equipment. The
method and machine specifications in X-19435 are similar to MIL STD 883, Method 3015.7 and ESD
Association S5.1.
ESD CONTROL REQUIREMENTS SPECIFIED BY CLASS

Table G - ESD Control Requirements Specified by Class specifies control requirements according
to the following classifications:
Class 0 areas contain devices with ESD thresholds ranging from 0 - 249 volts.
Class 1A areas range from 250 - 499 volts.
Class 1B areas range from 500 - 999volts.
Class 1C areas range from 1,000 - 1,999 volts.
Class 2 3A areas ranges from 2,000 7.999
Class 3B areas range from 8000 volts and up.
1.0
Work Area Classification
Not all devices (and consequently, assemblies) are equally sensitive to ESD damage. Some
require more protection than others. In a given area, the ESD withstand voltage of the most
sensitive component determines the type of protection required. Consequently, circuit pack
assemblies are to be classified according to the most sensitive component. Classifications should
be based on tested withstand-voltage data, per Specification X-19435 (see Appendix B). In the
absence of such data, classifications may be subjectively based on factory or field data. However,
the use of estimated thresholds should be minimized.
The engineering organization shall determine and document the classifications for a given work
area so that the correct preventive measures are specified.
The ESD classification shall be documented and kept with accordance to records section 12
locally or for each work area. It is preferred that the ESD classification be posted on the ESD safe
area signs. If the ESD safe area has a single classification, it can be put at the entrance to an
ESD safe area. If there are multiple Classes of ESD areas within an ESD safe area, the specific
areas shall be marked appropriately.
The following method should be used to determine the work area classification.
Method 1
Method 1 consists of reviewing the Bill of Material (BOM), and identifying the
ESD threshold voltage of the most sensitive ESD device. This method is used
primarily during an assembly process, where the components are handled
and/or exposed to a potential ESD event.
Note 5: Classifications should be based on tested ESD threshold voltage
data, per Specification X-19435.
Method 2
Method 2 consists of reviewing or obtaining the design classification of the
finished product. For example, a circuit pack in its finished state may have
been designed (ESD protection circuitry) to withstand ESD voltages higher
than its assembled components.
Method 3
If ESD Classification of a product is not known, it shall be handled as Class 0
product until determined by the local ESD Coordinator.
1.1
For measurements or changing of components on a Printed Circuit

Board (PCB) or PCB Assembly refer to the ESD Control Handbook
(Section 1, Work Area Classification) for techniques and precautions.
For exchanging boards in a system refer to the ESD Control

Handbook (Section 1, Work Area Classification) for handling and ESD
Grounding requirements.
Documentation of Work Area Classification
The ESD classification shall be documented locally for a facility, or for each work area. Example;
an EMS may state that all areas handling ESD sensitive devices shall be established to meet the
minimum withstand-stand voltage of the most sensitive component used in that facility.
1.2
Warning Signs
Standard warning signs such as ESD Protection Required in This Area shall be posted as
necessary. Local standards may specify the location and format of the sign.
TABLE G
ESD CONTROL REQUIREMENTS SPECIFIED BY CLASS
ITEM
CONTROL REQUIREMENTS
(NOTE 2)
1.0
2.0
3.0
4.0
5.0
6.0*
7.0
8.0
9.0*
9.1*
9.2*
9.2*
9.3*
9.3*
10.0*
11.0*
12.0*
13.0*
14.0
15.0
Work Area Classification

Personnel Training Program
Personnel Certification
Auditing
Statistical Process Control
Production Equipment Certification
Personnel Grounding
Flooring, Floor Finishes and Mats
Transporting Products
Carts
Static-Safe Packaging
Static-Safe Bags
Static-Safe Tubes
Static-Safe Tote Boxes
Static-Generating Material Control
Dissipative Work Surfaces
Dissipative Gold Finger Shunts
Extraordinary Measures
Other Controls
Installation Standards
AREA CLASSIFICATION (NOTE 2)

1C
2 3A
1A
1B
DEVICE SENSITIVITY (VOLTS)
0-249
250-499
500-999
1,000-1999
2,000-7999
R
R
R
R
R
R
R
R
R
R
R
R
NP
R
R
R
R
R
S
R
R
R
R
R
R
R
R
S
R
R
R
R
R
R
R
R
R
S
S
R
R
R
R
R
R
R
R
S
R
S
R
R
R
R
R
R
R
S
S
R
R
R
R
R
R
R
R
S
R
S
R
R
R
R
R
S
S
S
S
R
R
R
R
R
R
R
R
S
R
S
R
R
R
R
R
S
S
S
S
R
3B
NONE
> 8000
NOTE 1: Control requirements are described in more detail on the following pages.
NOTE 2: R = Always required when used.
S = Required when specified by Engineering.
NP = Not Permitted for Class 0 CDM sensitive devices.
NOTE 3 Sections 8-13 (Flooring, floor finishes and Mats through Extraordinary Measures) are processspecific and may not apply to all applications.
* Applies to CDM ESD events.
See Section 9.2 for further explanation.
See Section 9.3 for further explanation
Table G - ESD Control Requirements Specified by Class
2.0
Personnel Training Program
The success of ESD control programs depends on all personnel understanding ESD principles. A
personnel training program is required for engineers, operators, installers, and management
personnel. It is the responsibility of Top Management or its delegates (e.g., ESD engineering
and/or training organization) to develop and implement the local ESD training program. ESD
bulletins are part of ESD training and shall be issued as necessary. The ESD Training program
may be provided in a classroom environment or as a web base course.
3.0
Personnel Certification
All Alcatel-Lucent employees who have contact with ESD-sensitive components and assemblies
shall undergo an ESD Certification Training Program that leads to knowledge of proper
requirements and handling techniques. This knowledge and behavior shall be tested by a
verifiable and valid testing method, which will be used to verify the accuracy of the employee's
ESD safety knowledge.
Electronic Component Suppliers and EMS shall have established an ESD Certification Training
Program that is in compliance with a recognized industry standard or in accordance with the
Lucent ESD Handbook.
3.1
Re-certification Interval
Re-certification is required Bi-annually (once every 2 years) with a 45-day grace period. Your
organization may require re-certification more often.
4.0
Auditing
Within Alcatel-Lucent locations where ESD sensitive components are present, a system for
auditing compliance to ESD procedures shall be established for all ESD sensitive areas. The
Alcatel-Lucent ESD Inspection Guide or equivalent procedures should be used as a reference for
establishing an auditing program. For locations, where an equivalent procedure has not been
established, the Lucent Management Systems document for ESD Auditing shall be utilized.
rd
For 3 party audits of suppliers and EMS, the X-Spec 21381 shall be used.
5.0
Statistical Process Control
Where appropriate, statistical process control techniques shall be applied to control the ESD
process. Techniques such as control charts or trend charts may be used. Determining factors for
deciding the level of statistical process controls includes:
The type of work being performed (continuous assembly production verse laboratory
areas)
The level of compliance (work area classification)
The number of employees requiring ESD certification
The type of materials/products and the type of ESD monitoring equipment
5.1
Process Control Documentation
A process control layout or equivalent shall be developed or adopted for local use. The
procedures used and the frequencies applied may be established locally and may be based on
either manufacturing recommendations or experience. For instance, in a manufacturing
environment, wrist straps and conductive footwear should be tested daily and tablemats should
be tested at least monthly.
5.2
Process Control Methods
The process control methods shall include both visual inspections and electrical tests to verify
that the ESD process complies with the Alcatel-Lucent Electrostatic Discharge Control Handbook.
Root cause analysis, preventive corrective action, and corrective action shall be employed, as
necessary, to maintain compliance with ESD process requirements.
Procedures such as proper use of tote trays, the control of static-generating materials and proper
grounding of personnel must be periodically inspected and the results recorded as required.
Control products, such as wrist straps, heel straps, tote boxes, dissipative table mats, and ESD
grounds must be periodically tested for proper operation and the recorded as required
6.0
Production Equipment Certification
The use of automated facilities makes the ESD qualifications of handling, test, and other
manufacturing equipment increasingly important. These facilities must be designed with two
purposes in mind. One is to prevent damage to the items being manufactured or handled. The
other consideration is to protect the facility from ESD damage or malfunction.
6.1
The ESD Acceptance Criteria for Equipment and Facilities

Associated with Manufacturing, Handling and Testing
Equipment
New facilities shall meet the criteria listed in the following paragraph, and older
facilities should, as necessary, be reviewed according to the same standards.
Designers, suppliers, and/or purchasers of manufacturing equipment should
certify the designs to ensure that these qualifications are met.
The equipment shall be qualified for ESD safe operation according to the
following requirements for final acceptance:
(1) All conductive and/or dissipative materials must be grounded,
(2) Any movement must not result in excessive triboelectric charging of printed wiring
boards (PWB) or components,
(3) Surfaces that contact PWB or components must be static-dissipative or, as a last
resort, conductive,
(4) The facility shall not be subject to ESD damage or malfunction due to ESD,
(5) The facility shall be equipped with provisions for convenient wrist-strap grounding
of personnel. The ground point shall be identified, and
(6) Work surfaces shall be covered with a grounded Alcatel-Lucent approved staticdissipative material.
(7) ESD protective tools such as static bags must be made available.
7.0
Personnel Grounding
Personnel are required to be properly grounded whenever they touch a sensitive component or
assembly. Grounding is not required when sensitive items are in approved transporting
containers (tote boxes, IC tubes, factory packaging, etc.). An assembly that has failed applicable
system level tests or is untested is considered sensitive while in operation. In these instances, a
personnel grounding is required during operations such as system test.
7.1
Overall Requirements
The method used for grounding personnel must include either a wrist strap and/or footwear.
When seated, each operator must wear a wrist strap connected to a grounding system. When
standing, conductive footwear may be used with conductive or dissipative flooring and floor
finishes as an alternative. The grounding system (typically equipment ground) must be common
to all ESD control facilities (tabletops, chairs, floor mats and wrist straps), and be connected to
common ground with 1 ohm resistance (See section 10 for more detail).
7.2
Wrist Straps
The sole purpose of wrist straps is to ground personnel. Tested and properly grounded wrist
straps are the first line of defense against ESD damage. Typically, the standard ESD straps are
made of cloth, plastic or metal. These types of straps are flexible wristbands with minimum of a
1-megohm resistor in the ground cords.
The wrist straps must contact the skin to be effective. Continuity from point of connection to
ground must always be maintained. ESD wrist straps and cords are to be considered a unit and
must be assigned to and used by one employee. The wrist strap/cord must be connected to a an
ESD constant monitor system or tested on each entry to an ESD Sensitive area Testing of the
wrist strap assembly must be performed by the use of a calibrated wrist strap checker with results
of the test indicated in a logbook. If found defective the wrist strap/cord defective part must be
replaced and verified to function properly before entering the ESDS area. The owner of the wrist
strap must report the defective finding to the local ESD coordinator. The coordinator will
determine what appropriate steps will be taken to verify if any product was impacted by the
defective wrist strap from the time of the previous passing test. If necessary, the coordinator will
provide guidance for remediation of the situation.
When tested from the fingertip using an approved EOS/ESD Checker, wrist straps resistance
must measure within an acceptable range of 750 kilohms to 10 megohms.
In addition to the standard wrist straps, installation groups utilize Self-Testing ESD Wrist Straps
such as the R-4987C. The self-checking wrist straps are only available through the Installation
Organization (see Section 15.)
Note: At the release of the ESD Handbook, Alcatel-Lucent does not recognize the use of
Wireless ESD Wrist Straps.
7.3
Footwear
Several Types of conductive footwear are available all of which must be used with conductive or
dissipative flooring. Always wear conductive footwear on both feet and comply with local safety
standards.
When tested using an approved EOS/ESD Checker, the footwear resistance must measure
within an acceptable range of 750 kilohms to 10 megohms.
7.3.1 Heel/Toe Straps

These devices are used to ground personnel at standing work positions. The typical heel
straps/toe straps are conductive straps that can be used with most types of shoes.
Heel/toe straps may be used with steel floors if a minimum of 1 meg-ohm of resistance is
provided between the operator and ground. Always wear heel straps/toe straps on
both feet.
7.3.2 Boot Straps

Bootstraps are alternatives to heel straps and can be worn on footwear that extend too
high to accommodate the standard heel strap. They may also be used on conductive
(steel) floors if the bootstraps are equipped with a minimum of a 1-megohm resistor.
7.3.3 Conductive Boots

Conductive Boots are typically disposable, fit over street shoes, and contain a conductive
strip to ground the wearer. They are not recommended for use with steel floors unless the
boots can be equipped with a minimum of 1 meg-ohm of resistance between the operator
and ground.
7.3.4 Conductive Shoes

Typical conductive shoes have conductive under-surfaces that electrically connect the
users feet to the walking surface through a minimum of 1 meg-ohm of resistance. They
offer a more permanent alternative to heel straps and boot straps.
7.4
Seated Work Positions (Benches, Test Sets, Etc.)
All personnel handling ESD Sensitive products/components must wear a properly operating
grounded wrist strap while seated in both Non-ESD Safe and ESD Safe Chairs. Seated work
positions may consist of non-ESD safe, ESD safe chairs or in cases where there is a mix of
chairs the mandatory wrist strap requirement applies to both. The following process and
equipment requirements shall apply for the use of chairs at work positions requiring ESD
protection measures.
7.4.1 non-ESD Safe Chairs

At seated work positions, both the work surface and the operator must be connected to a
common grounding system. The operator must wear a grounded wrist strap to be
properly grounded.
7.4.2 ESD Safe Chairs

At seated work positions, both the work surface and the operator must be
connected to a common grounding system. The operator must wear a
grounded wrist strap to be properly grounded. ESD Safe chairs can be used
to provide additional protection for classes that are more sensitive than Class
0 and should be used when exceptional controls are necessary such as in

handling Class 0 devices for work positions equipped with ESD safe chairs:
(1) The ESD safe chair seats, backs, arms, bases with plastic covering, and
position work surfaces shall have static dissipating characteristics with a
5
10
surface resistance between 1x10 and 10 ohms at a relative humidity of
12% and 50%, and
(2) The ESD safe chair foot rests shall be conductive with a maximum total
4
resistance from the chair footrest to chair ground of less than 1x10 ohms.
7.5
Standing Work Positions (Packing, Mass Soldering, Etc.)

ESD wrist straps must be used when directly handling ESDS materials/product
(Direct handling refers to the handling of ESDS materials/product without the
protection of an ESD Bag, containers, or other approved protective media. When
indirect handling (that is when a material/product is inside of a protected media)
of ESDS materials/product is performed and wrist straps are a significant burden
to the handler conductive footwear in conjunction with ESD safe flooring may be
used to provide tertiary ESD Protection. ESD Flooring, Finishes and mats
forming an approved properly functioning ESD protective system. Class 0 Work
areas must be equipped with flooring, carpeting, floor finishes, or mats that are
dissipative or conductive. Engineering may require that ESD flooring be used for
any ESD classification Class work areas. When specified for less sensitive areas,
the same requirements for Class 0 flooring shall apply.
8.0
Flooring, Finishes, Carpeting and Mats
8.1
Dissipative Floors/Floor Finishes

The local ESD coordinator must approve all flooring materials, and finishes.
Approval includes:
(1) Approval of the selected dissipative materials,
(2) Verification that the material is performing to specified requirements, and
Auditing procedures for measurements and maintenance of the floor
reliability.
8.2
Floor Finishes/Carpeting
Floor finishes and carpeting are typically both dissipative and antistatic and are more forgiving
11
5
11
because of antistatic properties (< 10 ohms). Finishes shall be between 1x10 and 10 ohms.
Procedures can be found in the ANSI/ESDA S7.1 Standard at:;
http://www.esda.org/standardlistings.html
8.3
Floor/Table Mats
Conductive and dissipative floor mats are used primarily to ground personnel through conductive
footwear. Floor mats are used as an anti-fatigue measure and/or to provide a dissipative surface
7
where there is no dissipative floor or floor finish available. Resistivity shall be less than 10 ohms
5
11
per square for ALL floor mats and resistivity for all table mats shall be between 1x10 and 10
ohms.
9.0
Transporting Products
When ungrounded personnel transport products, the products must be transported in static-safe
containers that include but are not limited to those specified in Table G (tubes, reels, bags, boxes,
etc.).
9.1
Carts
Carts must be metal, and product tote trays must be conductive or if plastic static dissipative and
all types shall be grounded during the direct handling of sensitive product. Grounding shall be
achieved by a ground cord (or an equivalent ground) while inserting or removing sensitive product
from the cart or tote tray.
New carts purchased should be equipped with a common ground point, typically a banana jack.
They should also be equipped with drag chains and/or conductive wheels when used in
conjunction with ESD Safe flooring. They must also have, grounded dissipative surfaces and
comply with local standards. They should be designed so that there is no direct contact between
the conductive elements of the cart and the conductors of ESD sensitive product.
Older carts that are not equipped with a common ground point can still be used by grounding the
tote trays individually during insertion and removal of ESD sensitive product. These carts should
also be equipped with drag chains such that 12 to 18 inches is in contact when used with
conductive flooring.
NOTE: While not preferred, when used in conjunction with an EOS/ESD approved flooring
system, drag chains are a substitute for ground cords. Ground cords (or equivalent) are
the preferred method for grounding for carts.
9.2
Static-Safe Packaging
All products containing ESD sensitive devices must be shipped/received in
ESD -safe packaging that is marked with an industry-standard Static
Awareness Symbol. (See Figure below the lettering is black on a yellow
background.) All packaging materials used for these items must be ESD safe.
The static awareness label identifies contents that are ESD sensitive and
require special handling precautions at the receiving end. ESD safe material
test specifications are defined in EIA No 541, Packing Materials Standards
for Protection of Electrostatic discharge Sensitive Devices, from the
Electronic Industries Association. All packaging materials must meet one of
the following criteria:
Use of Static Intercept packaging.
Initially qualified and periodically re-qualified based on local needs.
Verification from supplier of package adherence/certification and be
documented.
If none of the above criteria are met, a waiver should be requested. A one-half
inch air gap is a recommended technique for providing shielding protection for
ESD sensitive devices or assemblies. Static-dissipative packaging dunnage
often provides adequate spacing.
Figure 6 Static Awareness Symbol

It is strongly recommended that all incoming packaging of non- ESD sensitive
items be both static-dissipative and antistatic and also meet the requirements
of 91NJ1045. Static-generating packaging materials often migrate to areas
with ESD sensitive items present, resulting in ESD damage. Additionally,
administrative costs associated with managing these static-generating
materials have been significant and can be minimized with this
recommendation.
It is required that for all new manufactured ESD sensitive products

primary packaging (Packaging that is in intimate contact with product)
be in compliance with 91NJ1045, 800-001-009, and X21386.
Packaging and transport bags are to be made of Static Intercept
materials. Secondary packaging may be antistatic. Successful
approaches for rigid containers include antistatic and static-dissipative
materials with sufficient air-gap between the packaging and product to
prevent arc-through.
For BG/BDs or regions that follow other local procedures such as IEC
61340, those standards shall be referenced in local ESD Process
documentation.
9.3 ESD Safe Trays, Tape and Reel, Tubes and Tote Boxes
Employees must load and unload sensitive products as determined by the area ESD
classification. In Class 0 and Class 1A areas, totes, Tape and Reel, or other containers, and carts
(conductive or ESD safe) must be properly grounded when being loaded or unloaded. In Class 0,
1A, 1B, and 1C areas, when unloading or loading metal trays, racks and other metal containers
that may contact the conductors of sensitive products, the containers must also be connected to
ground through an ESD safe surface or some other ground path.
Tote boxes must meet the requirements of X-20938 (see Appendix B).
NOTE: Some Tape and reel packaging does not currently comply with packaging requirements
(per X-20775, see Appendix B) and should not be used.
NOTE: Tubes are not permitted for Class 0 CDM sensitive devices. This is because most tubes
charge devices enough to jeopardize Class 0 CDM sensitive devices.
These requirements apply only when handling sensitive products directly. In other words, the
containers may be transported or handled without grounding as long as personnel or equipment
does not contact the contents.
10.0 ESD Grounding Requirements and Methods

To ensure that facilities, equipment, workstations, carts, shelves, ESD sensitive devices, and
personnel are properly connected to a common grounding point, the following methods shall
apply. The methods are in accordance with the recommendations of EOS/ESD standard ESDS6.1.
Resistance Requirements
All ESD control points to common ground must be 1 Ohm.
Common ground to Building Auxiliary ground, AC equipment ground, Earth ground,
or Vehicle common ground (Used for field service) must be 1 Ohm.
Exceptions
o When the building uses an auxiliary ground there must be a resistance check
between the Building Auxiliary ground and the AC Equipment ground, that
resistance must be 25 Ohms.
o No common ground connection is allowed to an Isolated Ground. This
Isolated ground is commonly exhibited by an Orange Electrical Receptacle,
and when measured to the buildings AC Equipment ground the resistance
will be greater than the allowed 25 Ohms.
Method 1
Method 1 consists of grounding all of the workstations facilities, equipment, carts, shelves, work
surfaces, and personnel to the common ground, which is also referred to as the 'ESD common
point ground'. This type of grounding typically takes place through the use of the facility or earth
ground.
Method 2
Method 2 consists of grounding all of the workstations facilities, equipment, carts, shelves, work
surfaces, and personnel to the equipment ground which is connected to the earth electrical
ground connection (This connection is not the neutral supply line). This is now the preferred
ground connection method because all electrical equipment at the workstation is already
connected to this ground. Connecting the ESD control materials or equipment to the equipment
ground brings all components of the workstation to the same electrical potential.
Caution: If a soldering iron used to repair an ESDS item were connected to the electrical ground
and the surface containing the ESDS item were connected to an auxiliary ground, a difference in
electrical potential could exist between the iron and the ESDS item. This difference in potential
could cause damage to the item. Thus, any auxiliary grounds (water pipe, building frame, ground
stake) present and used at the workstation must be bonded to the equipment ground to minimize
differences in potential between the two grounds.
11.0 Static-Generating Material Control

When ESD protection is required, all static-generating materials, such as plastics and
STYROFOAM, should be removed from the workplace. This is not always possible, however,
since the materials may be an important part of an operation. For example, it would be virtually
impossible to eliminate such items as static-prone clothing, calculators, terminals, paper and
faceplates. To minimize ESD damage, follow these requirements:
All nonessential materials and equipment such as coffee cups Styrofoam, glass, food
wrappers (plastics), newspapers (paper), pocketbooks, microwaves, coffee station,
refrigerators (electric appliances), photo copiers, etc., must be removed from the top
surface of the work position when ESD sensitive products are present. Additionally,
direct contact must always be avoided.
Essential plastics (clothing, calculators, cathode-ray tubes, faceplates, and part bins) may
remain at the workplace (preferably toward the rear). Direct contact between these
plastics and ESD sensitive products must be avoided unless it is a process requirement
(such as assembly of plastic faceplates to circuit packs). The ESD sensitive parts may be
stored in static-prone parts bins and containers only if the parts are ESD protected. The
protection may consist of separation by dissipative bags, foams and inserts. However,
highly sensitive (Class 0 and Class 1A, see Work Area Classification) components
require additional protection. In Class 0 and Class 1A areas, modifications to parts bins
or holding fixtures must also include a continuous path to ground, if bare parts are to be
loaded or unloaded.
New purchases shall specify ESD safe materials whenever available
Paper is virtually impossible to eliminate from the workplace and, as a result, must be managed
properly to prevent ESD damage from occurring. Furthermore, most paper products are poor
conductors that do not generate significant electrostatic potentials. Paper, as a result, is
considered a low ESD risk under most conditions. It should be handled as an insulator and not a
static-generating material. Paper is permitted to be in contact with most ESD sensitive
components and assemblies, but shall not interrupt the ground path. For example, an ESD
sensitive circuit pack is permitted to come in contact with a paper route card but must not be set
on a piece of paper that completely isolates the conductive elements of a circuit pack from a
grounded ESD work surface.
Direct contact between Class 0 components and paper is not permitted.
12.0 Dissipative Work Surfaces

Dissipative work surfaces are required in Class 0, 1A, and 1B applications, and have a surface
5
10
resistance range of > 5 x 1x10 to < 1 x 1x10 ohms to ground. Soft work surfaces are typically
defined as the name implies, soft in nature, and purchased in rolls of varying lengths (i.e. 40 feet).
Rigid laminated work surfaces are laminate-type hard materials that typically come in 4 X 8
sheets and are not a preferred work surface material.
12.1 Soft Work Surfaces

The primary purpose of soft work surface material is to ground product and bench fixtures, not
personnel. Soft work surface materials are the preferred choice for all areas and are strongly
recommended in Class 0 applications. Parts, bags, tote boxes and people who contact the soft
material will not build up static charge. The surface of the material must be dissipative under all
humidity conditions and must always be grounded. Local engineering standards specify
installation procedures, including proper common point grounding methods.
12.2 Rigid Laminated Work Surfaces

Rigid laminate-type work surfaces, though dissipative, are not recommended for use in Class 0
environments due to their incomplete charge removal properties. Soft work surface materials are
the preferred choice for all areas and are strongly recommended in Class 0 applications.
Generally, a laminate-type, hard material is used to dissipate static charge over the entire surface
and must always be grounded. These work surfaces are durable and should not require
replacement with normal usage. Resistance to solvents, because of the hard surface, is generally
excellent. Local engineering standards specify installation procedures, including proper common
point grounding methods.
13.0 Dissipative Gold Finger Shunts

The use of a dissipative gold finger protector or shunt will reduce any static potential differences
that may develop between conductor parts on circuit packs. It also eliminates the risk associated
5
6
with the nonconductive gold finger protectors. The preferred range is 10 to 10 ohms per
square.
14.0 Extraordinary Measures (Class 0 Devices)

Devices with thresholds below 249 volts (Class 0) are considered extremely sensitive and require
extraordinary handling measures to ensure reliable protection. Devices rated below 125 volts may
be impossible to manufacture reliably. The extent of the measures needed is usually applicationspecific and therefore the recommendations of a Alcatel-Lucent corporate consultant are
advisable. If possible, the design should be changed to specify a Class1A or Class 1B
component. Since this is not always possible, the following discussion may be helpful.
Specific precautions should be tailored to each situation, and some techniques could preclude the
need for others. For instance, an in-process shunt across the leads of a sensitive device may be
enough. However, there are recorded instances of devices that fail even under these conditions.
Other measures include those listed under Other Controls, as well as the use of redundant wrist
straps, continuous monitoring wrist straps, and ESD Safe chairs. The use of shipping tubes for
Class 0 CDM sensitive devices is not permitted. Most tubes charge devices enough to jeopardize
Class 0 CDM sensitive devices. When tape and reel packaging is used, special care should be
taken to ensure that materials meet the requirements of X-20775 and X 21386 (see Appendix B).
15.0 Other Controls

Specific applications may require more stringent or more specialized control techniques than the
one specified in this handbook. The engineering organization will prescribe special techniques in
unusual situations.
For example, people working with extremely sensitive parts may be required to wear antistatic
smocks or work in a controlled humidity environment. Ionized air generators, which neutralize
charges on surfaces, may be used at work stations, in areas where hazards cannot be eliminated
because of process requirements, or when highly sensitive devices (Class 0 and Class 1A)
require zero charging. Conductive foam may be often needed to shunt the leads of these highly
ESD sensitive devices. Conductive cartwheels and dissipative floors may also be required.
Areas that incorporate mechanized transport systems are potential problems unless antistatic
belts and metal roller bushings are used. Gravity-fed flow racks with metal skate wheels should
be installed. In addition, all mechanized equipment used for moving material must be wired to
ground and proper materials selected to avoid triboelectric charging. Soldering irons and desoldering tools are also potential hazards. In some instances, soldering irons are not grounded
and may produce transients. Solder suckers that are not static-safe should never be allowed at
the workplace. The ESD sensitive devices are also susceptible to damage from electrical
overstress (OS) from vacuum solder suckers and similar equipment.
Applying or removing static-generating tape or labels can present significant risk and is permitted
but not recommended for ESD sensitive items. An engineering evaluation is necessary to
establish a safe means of application or removal of tape. Consideration should include the size of
the tape/label, type of adhesive, air ionization, grounding via static-dissipative conductive foam,
triboelectric charging of the PWB assembly and contact with conductors, etc.
15.0 Installation Standards

An installation standard shall be developed using this handbook and the product specifications as
reference. This product specific installation guide must be adopted locally and define installation
methods and materials for the installation of ESD control equipment such as dissipative mats,
ESD grounding methods, common point ground connections and conductive flooring and
shelving. This standard is intended to produce reliable and consistent installations that are both
effective in controlling ESD and safe to use. Use this installation standard as a guide in the
development of any test methods for ESD process checking. A Lucent corporate ESD consultant
should be used during the development of the installation guide. If available, a local ESD
Coordinator may be consulted.
In the absence of product-specific ESD installation guidelines, the Alcatel-Lucents IEH 261
Handbook is recommended as the default installation standard. See section 11 of the IEH 261
Handbook.
CENTRAL OFFICE AND OFF SITE GUIDELINES

The following guidelines describe a method that is consistent with the intent of the Alcatel-Lucent
ESD Control Handbook and should be used when handling circuit packs in a central office or an
off site environment. These guidelines satisfy the minimum requirements for all ESD sensitive
classifications (0, 1A, 1B, 1C). Therefore, all circuit packs in these classes are handled in the
same manner, regardless of sensitivity. Product packaging materials will provide shielding in the
rare instances where it is necessary. Details and technology-specific requirements can be found
in the Product Operating Procedures and Lucent Packaging Specifications NJ1045, 801101109,
and X21386 which is on the public portal at the following link: ALU Packaging Specifications
1. Assume all circuit packs containing electronic (solid-state) components can be damaged
by ESD.
2. When handling circuit packs (storing, inserting, removing, etc.) or when working on the
backplane, personnel should always use the appropriate grounding procedure: either a
wrist strap connected to ground or (when standing) ESD footwear with a grounded
dissipative floor mat.
3. Handle all circuit packs by the faceplate or latch and by the top and bottom outermost
edges. Never touch the components, conductors or connector pins.
4. Observe warning labels on bags and cartons. Whenever possible and wherever fire
regulations permit, do not remove circuit packs from static-dissipative bags or cartons
until ready to insert into a bay. Otherwise, open all circuit packs at a static-safe work
position with wrist straps and dissipative tablemats.
5. Always store and transport circuit packs in Static Intercept static-dissipative packaging
or containers. Shielding is not required unless specified.
6. Keep all static-generating materials such as food
STYROFOAM containers away from all circuit packs.
wrappers,
plastics,
and
7. When removing circuit packs from a bay, immediately put them into static-dissipative
packages or containers.
8. Use only dissipative materials for shipment. Shielding is not required unless specified.
9. Whenever possible and reasonable, maintain relative humidity above 40%.
10. Some systems require system ESD protection for safe operation. Refer to the System
Operating Procedure for specifics
ALCATEL-LUCENT ESD LEADERSHIP TEAM

As of this printing, the Alcatel-Lucent ESD Leadership Team members are as follows:
Team Champions:
- John Wronka: Director, Global Quality & Customer Satisfaction/CTO
- Marc Benowitz: Director CTO Reliability Engineering
- Richard Dela Fuente: Senior Manager, ALU QMS Project Lead/CTO
- Bill Reents: CMTS, CTO Reliability Engineering
Team Leaders and their Roles & Responsibilities:

- Fangxing Chen: Co-lead and Project Manager
Manages team meetings/activities and documentations
- Glen Ryan: Co-lead and Project Manager
Manages team meetings/activities and documentations
- John Franey; ESDA/NARTE/IEEE Certified ESD Engineer
Reliability ESD Lead,, ESD Materials/Methods. Advises on common practices,
hardware, and packaging, and provides ESD technical certification and practical guidance.
- Lynda Kennedy: (ESD Engineer): ESD Audit Co-lead
Guides ESD auditing & suppliers ESD and provides ESD practical guidance
Handbook Owner and Certification:

John Franey P.E.
APPENDIX A DEFINITION OF TERMS

The following terms are used in this handbook
Air Ionizers: Equipment that provides a charged atmosphere, consisting of both positive and
negative ions. Air ionizers neutralize static charge accumulation on insulators.
Ampere: The unit of electrical current.

Antistatic Property: This property refers to the prevention of triboelectric charge generation. It
will effectively minimize the production of a static charge when materials are separated from
another surface. This property is not a dependent function of material resistivity or of static decay
performance.
Bipolar Transistor: A device containing junction semiconductors that uses both positive (ptype) and negative (n-type) charge carriers.
Charge: An excess of deficiency of electrons on the surface of material, measured in unit of

coulombs.
CMOS: An integrated circuit that uses complementary n-channel and p-channel metal oxide
semiconductor transistors.
Component: Any packaged or unpackaged electronic device or assembly of devices (such as a
multichip module) that is handled as a unit.
Common Point Ground: Defined as a "system or method for connecting two or more
grounding conductors to the same electrical potential."
Conductive: Material exhibiting a surface resistance of 0 through 10
ohms per square.
Conductive materials are quickest to bleed off charges.
Conductor: A material that allows a current of electrons to pass continuously along it or through
it when a voltage is applied. These materials exhibit low resistance.
Coulomb: The unit of quantity of electricity or charge. One coulomb is the quantity of charge
transferred by a current of 1 ampere in 1 second.
Cumulative Failure: A device failure resulting from multiple exposures to ESD.

Device: A package of electronic circuitry. This term is often interchangeably used with
semiconductor or component when describing units sensitive to ESD damage.
Dual In-line Package (DIP): An integrated circuit housing having two rows of pins..
Dissipative: Material exhibiting a surface of resistivity of 10 5 to < 10 12 ohms per square.
Dissipative materials bleed off charge at an optimal rate, neither two fast nor too slow.
Dead-On-Arrival (DOA): A device failure that occurs in its initial usage.

Electron: A negatively charged particle with an approximate electrical charge equal to 1.6x10 19
coulombs.
3
For a more complete definition of terms used in the industry, refer to the EOS/ESD Glossary of Terms..
Electrostatic Field: The region surrounding an electrically charged object in which another
electrical charge can be induced and will exert a force.
EMS: Electronic Manufacturing Service (contract manufacture)
EOS: Electrical over stress.
EPROM: Erasable programmable read-only memory.
Electrostatic Discharge (ESD): A sudden transfer of charge between two objects.
Electrostatic-Discharge-Sensitive (ESDS): Term used to describe devices that, because
of their fine-line designs, are vulnerable to damage from electrostatic discharge.
Film Resistor: A resistor made by depositing of a resistive metal or compound onto a
substrate.
GaAsFET: Gallium-arsenide field effect transistor.

Earth Ground: A metallic connection with the earth to establish zero potential with respect to
earth. It is not necessary to connect to earth, but a point in a circuit is said to be at ground
potential if it could be connected to earth without affecting the operation of the circuit. Grounds
that can be used for static control workstations include metal water pipes or any large, metal
structural member of a building that measures <0.5 ohms to earth ground.
Grounding: Connecting to a ground or to a conductor that is grounded.
HIC: Hybrid integrated circuit.
Insulator: A material that does not conduct electricity. Also known as dielectric material.
Integrated Circuit: A monolithic electron device containing transistors, resistors, capacitors,
etc., in a single package.
Ionization: The process by which neutral atoms or molecules, such as those found in air or on
surfaces, acquire a positive or negative charge.
Laser: Device that converts electrical energy of mixed frequencies to one or more discrete
frequencies of highly amplified and coherent optical energy.
Latent Failure: Failure that occurs while using a device that has been previously weakened and
degraded by ESD exposure.
Lid: Metal or ceramic ends or covers for integrated circuit packages.

MOSFET: Metal-oxide-semiconductor field effect transistor.
Nonconductor: Usually, a dielectric or insulating material but when a high enough voltage is
applied, the insulating material breaks down and begins to conduct current.
Ohm: The unit of electrical resistance. It is the resistance through which a current of 1 ampere
will flow when a voltage of 1 volt is applied.
Ohms per Square: A unit of surface resistance. The surface resistance of a material is
numerically equal to the resistance between two electrodes forming opposite sides of a square.
The size of the square is immaterial.
One meg-ohm resistor: A resistance of one million ohms, + 20%.

Op Amp: Operational amplifier.
Photodiode: Device that converts optical signals to identical electrical waveforms.
Potential: Stored energy that is able to do work, measured in millivolts, volts or kilovolts (kV).
Process Control Layout: A detailed instruction for the process checker that defines
procedures, frequency and scope of the required process electrical tests and visual inspections.
Resistance: Resistance is measure in ohms and is a property of conductors that is determined
by their dimensions, materials and temperature. The resistance of a material determines the
current produced by a give voltage
.
SAW: Surface acoustic wave filter.
SCR: Silicon-controlled rectifier.

Semiconductor: Any class of solid (such as germanium or silicon) whose electrical
conductivity is similar to that of metals as high temperature and virtually absent at low
temperatures.
Schottky Diode: A metal-semiconductor rectifying contact. It is often used in transistortransistor-logic (TTL) integrated circuits to shunt the base collector junction of transistors. It forms
a clamped composite transistor with a very short saturation time constant.
Static Charge: (See Charge.)
Static Generators: Static generators are materials that produce and then retain a charge after
contact and separation with other materials. Insulators, such as plastics, are common static
generators. The charge generated is not free to move and, therefore, cannot be removed by
grounding. Metals are usually not classified as static generators because grounding will remove
the charge.
Static-Safe: Conditions or materials that provide adequate protection for the product sensitivity
involved. (See the Static-Safe section for more information.)
Statistical Process Control: The application of statistical techniques to the control or
processes. Sometimes Statistical Process Control and Statistical Quality Control are used
synonymously.
Surface Resistivity: The ratio of DC electric field (V/meter) to surface current density
(amps/meter), measure in ohms per square.
Triboelectric: A term referring to static charge generated by friction or separation of materials.
Volt: The unit of electromotive force or potential. One volt sends a current of 1 ampere through a
resistance of 1 ohm.
Wafer: A slice of semiconductor material that forms the starting substrate for active device
fabrication.
APPENDIX B ASSOCIATED COMPANY DOCUMENTATION

Number
Title
91NJ1045
Specification outlining the packaging, packing, labeling/marking and

palletization requirements for delivery of purchased products and InterWorks materials to Alcatel-Lucent manufacturing and distribution locations.
specification outlines the packaging, packing, labeling/marking and
palletization requirements for delivery of purchased products and InterWorks materials to all Alcatel-Lucent manufacturing and distribution
locations
ISBN 0-442-00636-5
High-Frequency Measurements and Noise in electronic Circuits, D. C.

Smith, Van Nostrand Reinhold, 1993
ISBN 0-442-23794-5
ESD Program Management, G. T. Dangelmayer, Van Nostrand Reinhold,

1990
SC 500-001
Alcatel-Lucent ESD Inspection Guide\
X-19435
Test Methods and Requirements for Electrostatic Discharge Withstand

Thresholds of Microelectronic Components
X-20775
Specification and Test Methods for Tribocharging Propensity and Surface

Resistivity of Tape and Reel Packaging Materials
X- 21386
Corrosion, Moisture, and ESD Protective Packaging
801-001-109
Packaging, Packing, Palletization, Labeling, and Marking Requirements for

Material Being Shipped from Alcatel-Lucent Global Service Provider (GSP)
Manufacturing Locations and Authorized GSP Distribution Locations.
Qualification of Circuit Packs Containing Class 0 Devices
X-20878
X-20938
Specification and Test Methods for Surface Resistance and Tribocharging

Propensity of tote Materials
X-21003
Test Methods and Requirements for Electrostatic Discharge Qualification of

Electronic Systems
X-21015
Specification and Test Methods for Electrostatic Discharge (ESD)

Certification of Manufacturing Test and Handling Facilities
X-21382
Specification and Test Methods for Supplier Electrostatic Discharge (ESD)

Assessments and Line Qualifications
X-74545
Triboelectric Testing of Integrated circuit Shipping Tubes
For Lucent employees: additional ESD specifications may be found by going to the SCN
Supplier Management Portal (http://gcim.web.lucent.com/sle-cgi/uncgi/GCIM.ksh/07/00 )
APPENDIX C REFERENCES
Avery, L. R., Charged Device Model Testing: Trying to Duplicate Reality, EOS/ESD Symposium
Proceedings, 1987, pp. 88-92.
Biermann, G., A Statistical Method for the Detection of Gate Oxide Breakdowns due to Fast EOS
Events, such as ESD, on Power Devices, EOS/ESD Symposium Proceedings, 1993, pp. 143148.
Bossard, P. R., et al, ESD Damage From Triboelectrically charged Pins, EOS/ESD Symposium
Carter, G., Streaming Potential ESD Shifts During Post Dicing High Pressure Spray Rinse
Operation, EOS/ESD Symposium Proceedings, 1991, pp. 50-58.
Chase, E., ESD Evaluation of EPROMS, EOS/ESD Symposium Proceedings, 1981, pp. 236241.
Chemelli, R. G., Unger, B. A., Bossard, P. R., ESD by Static Induction, EOS/ESD Symposium
Proceedings, 1983, EOS-5, pp. 29-36.
Colvin, J., The Identification and Analysis of Latent ESD Damage on CMOS Input Gates,
EOS/ESD Symposium Proceedings, 1993, pp. 109-116.
Dangelmayer, G. T., A Realistic and Systematic ESD Control Plan, EOS/ESD Symposium
Dangelmayer, G. T., A Sysematic ESD Program Revisited, EOS/ESD Symposium Proceedings
1992, pp. 1-8.
Dangelmayer, G. T., ESD How Often Doe It Happen? EOS/ESD Symposium Proceedings,
1983, pp. 1-5.
Dangelmayer, G. T., ESD Program Management, ISBN 0-442-23794-4, Van Nostrand Reinhold,
1990.
Dangelmayer, G. T., and Jesby, E. S., Employee Training for Successful ESD Control,
EOS/ESD Symposium Proceedings, 1985, pp. 20-23
DeChiaro, L. F., Electro-Thermomigration in NMOS LSI Devices, IEEE Reliability Physics
Symposium
DeChiaro, L. F., et al, Input ESD Protection Networks for Fineline NMOS Effects of Stressing
Waveform and Circuit Layout, IEEE Reliability Physics Symposium Proceedings, 1986, pp. 206214.
Diep, T., et al, PIN Photoelectors The ESD Bottleneck in Laser Packages, EOS/ESD
Symposium Proceedings, 1992, pp. 159-167.
Euzent, B. L., et al, Reducing Field Failure Rate with Improved EOS/ESD Design, EOS/ESD
Franey, J., Renninger, R., Field-Induced ESD from CRTs: Its Cause and Cure, EOS/ESD
Franey J., Freund, R., A New Permanent ESD and Corrosion-Resistant Material, EOS/ESD
Fukuda, Y., ESD Protection Network Evaluation by HBM and Charged Package Methos (CPM),
Himmel, R. P., the Effect of Static Electricity on Thick Film Resistors, Insulation/Circuits,
Sepember 1972, pp. 41-44.
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ESD ASSOCIATION STANDARDS

ESD Association, Inc.
200 Liberty Plaza
Rome, NY 13440
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Personnel Grounding Wrist-Straps, ESD-S1.1 2006.
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Work Surfaces Resistance Measurements, ESD-S4.1-2006
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Grounding Recommended Practice, ESD-S6.1-2005.
Floor Materials Characterization of Materials, ESD-S7.1-2005.
ESD Awareness Symbols, ESD-S8.1-2001.
Footwear Resistive Characterization, ESD-STM 9.1-2006.
Surface Resistance Measurement of Static Dissipative Planar Materials, ESD-STM11.11-2006.
ANSI/ESD Association Standard for Packaging Materials ESD-S-541-2003.
ANSI/ESD Association Standard for Grounding ESD-S6.1-2005.

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ESD Handbook

ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 Classification= OPEN

12.0 Dissipative Work Surfaces....................................................................................................... 38

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HISTORY & ACKNOWLEDGEMENTS

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REASONS FOR REISSUE

Leadership Team update

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Critical Factors for Managing a Successful ESD Control Program

Factor 1 An Effective Implementation Plan

Alcatel-Lucent ESD Program Elements

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ALCATEL-LUCENT ESD POLICY

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ALCATEL-LUCENT ESD LEADERSHIP TEAM MISSION

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BASIC ESD CONCEPTS

Figure 1 - Separated Roll of Cellophane Tape

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ESD FAILURE MODELS

Human Body Model

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Table B - Typical Electrostatic Voltages

Charged personnel (ungrounded) zapping a module placed on a

Figure 2 - Equivalent Circuit of Human Body Model

Charged-Device Model (CDM) by Direct Contact

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Figure 3 - Equivalent Circuit of Charged-Device Model

CDM by Static Induction

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A) Device in static field

B) First event grounding in field

C) Device left with net charge

D) Second event grounding in later step

Figure 4 - ESD by Induction

Machine Model (MM)

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SOURCES OF ESD DAMAGE

Registered trademark of Dow Chemical Co.

TYPICAL CHARGE GENERATORS

FORMICA*, Finished Wood, Synthetic Mats Underground Metal,

Fiberglass, vinyl, Other Plastics, Ungrounded Metal, Finished Wood

Clean-Room Garments, Finger cots, Gloves, Wool, Synthetics,

Carpeted, Vinyl, Waxed

Polyethylene Bags, Bubble Pack Material, Foam, Packaging Pellets,

Conveyors, Drive Belts, Machinery, Nylon Scrub Brushes,

ALCATEL-LUCENT ESD CONTROL HANDBOOK ISSUE 13 CLASSIFICATION= OPENPage 20 of

ESDS Component Sensitivity Classification

< 250 volts

Class C1 <125 volts

250 volts to < 500 volts

Class C2 125 volts to < 250 volts

500 volts to < 1000 volts

Class C3 250 volts to < 500 volts

Class 1C 1000 volts to < 2000 volts

Class C4 500 volts to < 1000 volts

2000 volts to < 4000 volts

Class C5 1,000 volts to 1,500 volts

4000 volts to < 8000 volts

Class C6 1,500 volts to < 2000 volts