Background Statement for SEMI Draft Document 4225B

New Safety Guideline: SAFETY GUIDELINE FOR THE CONTENTS OF ENVIRONMENTAL, SAFETY, AND HEALTH (ESH) EVALUATION REPORTS

Note: This background statement is not part of the balloted item. It is provided solely to assist the recipient in reaching an informed decision based on the rationale of the activity that preceded the creation of this document.

Note: Recipients of this document are invited to submit, with their comments, notification of any relevant patented technology or copyrighted items of which they are aware and to provide supporting documentation. In this context, “patented technology” is defined as technology for which a patent has issued or has been applied for. In the latter case, only publicly available information on the contents of the patent application is to be provided.

Background Statement

This document is part of the effort to revise SEMI S7 Safety Guidelines For Environmental, Safety, And Health (ESH) Evaluation Of Semiconductor Manufacturing Equipment. The NA EHS Committee decided to split the document into two documents, one addressing evaluator qualifications and one addressing report content. The former is to be a revision of SEMI S7; this ballot is proposed as the latter.

The ballot will be discussed further at the SEMI Standards NA Autumn 2009 Meetings in a meeting of the Report Content and Quality Task Force, tentatively scheduled for the week of 2 November 2009. The ballot will be adjudicated at the meeting of the North America EHS Committee, currently scheduled for 0900-1800 Pacific Time on Thursday 5 November 2009. Both meetings are scheduled to take place at or near SEMI Headquarters in San Jose, CA. Additional discussion sessions may be scheduled if the volume of responses to this ballot makes them necessary.

Please forward a courtesy copy of any comments or negatives against the ballot with your contact information to Thomas Pilz at and Bert Planting at . As this is a technical ballot, all votes of reject must also be sent to SEMI staff or they will be considered abstention votes.

Safety Checklist for SEMI Draft Document 4225B

Title: New Safety Guideline: SAFETY GUIDELINE FOR THE CONTENTS OF ENVIRONMENTAL, SAFETY, AND HEALTH (ESH) EVALUATION REPORTS

Developing/Revising Body

Name/Type: / Report Quality
Technical Committee: / EH&S
Region: / North America

Leadership

Position / Last / First / Affiliation
Leader / Pilz / Thomas / Pilz Automation Safety L.P.
Leader / Planting / Bert / ASML
Author/Editor* / Sklar / Eric / Safety Guru
Checklist Author*

* Only necessary if different from leaders

Documents, Conflicts, and Consideration

Safety related codes, standards, and practices used in developing the safety guideline, and the manner in which each item was considered by the technical committee

# and Title / Manner of Consideration
S7 / Used as base of work. Assignement is to replace S7

Known inconsistencies between the safety guideline and any other safety related codes, standards, and practices cited in the safety guideline

# and Title / Inconsistency with This Safety Guideline
None

Other conflictswith known codes, standards, and practices or with commonly accepted safety and health principles to the extent practical

# and Title / Nature of Conflict with This Safety Guideline
None

Participants and Contributors

Last / First / Affiliation
Crocket / Alan / KLA-Tencor
Krov / Alan / US TEL
Rehder / Alan / US UL
Giles / Andrew / Intertek
Epstein / Brian / Entconsulting
Claes / Brian / Lam
O Neil / Brian / US UL
Byakimov / Brian / Cymer
Wong / Carl / AKT
Hoover / CB / Rockwell
Greenberg / Chris / Nikon
Evanston / Chris / AECOM
Mellow / Chuck / US UL
Illerhaus / Christina / IPVES
Bernardin / D / Cymer
Sawyer / Debbie / Semitool
Karl / Edward / Applied Materials
Quizon / George / US UL
Imamia / PRP.SCREE
Beasley / James / IMSI
Wright / James / Axcellis
Hamilton / Jeff / AMAT
Hom / Jeffrey / US UL
Kovack / John / US UL
Visty / John / AECOM
Fucino / Kichi / ULVAC
Fessler / Mark / TEL
Harralson / Mark / Intel
Mashiro / Supika / Canon-Anelva
Matsumoto / Qses
Frankfurth / Mark / Cymer
Sabil / Michael / Intel
Kraus / M / Sysdev-ehs
Nakatani / Sukudospeed
Kryska / Paul / Novellus
Desrosi / R / IBM
Macklin / Ron / Consultant
Sadarangani / Roshni / Intertek
Funk / Rowland / AECOM
Wright / R / Asyst
Larsen / Sean / AMEC
Ibuka / Shigeto / TEL
Rai / Sunny / Intertek
Sekiguchi / Yuichi / TUV SUED
Petersona / Susan / Amat
Barcik / Steve / Consultant
Hoertig / Thomas / Pilz Automation Safety L.P.
Heinz / Udo / TUV US
Yung-Joon / Kim / TUV SUED
YSU / TUV Japan
Zen Rawo / Safetechno
Pvanderm / Blueshift
Bogner / Mark / Seagate
Breder / Pavol / Intertek
Brody / Steven / Brooks
Crane / Lauren / Amat
Johnson / Larry / Estechsolutions
Johnes / M / TI
Kapur / Ken / KLA-Tencor
Nisihara / T / Screen

The content requirements of this checklist are documented in Section 14.2 of the Regulations Governing SEMI Standards Committees.

1

Semiconductor Equipment and Materials International

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Phone:408.943.6900 Fax: 408.943.7943

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SEMI Draft Document 4225B

New Safety Guideline: SAFETY GUIDELINE FOR THE CONTENTS OF ENVIRONMENTAL, SAFETY, AND HEALTH (ESH) EVALUATION REPORTS

1 Purpose

1.1 The purpose of this document is to improve the consistency and readability of evaluation reports documenting evaluations of Manufacturing Equipment (ME) to SEMI Safety Guidelines.

NOTE 1: As defined in §4.2, ME includes equipment used to manufacture flat panel displays and related products.

2 Scope

2.1 This document applies to reports of evaluations of ME as to its conformance to SEMI Safety Guidelines.

NOTICE: This safety guideline does not purport to address all of the safety issues associated with its use. It is the responsibility of the users of this safety guideline to establish appropriate safety and health practices and determine the applicability of regulatory or other limitations prior to use.

3 Referenced Standards and Documents

NOTICE: Unless otherwise indicated, all documents cited shall be the latest published versions.

3.1 SEMI Safety Guideline

SEMI S2 — Environmental, Health, and Safety Guideline for Semiconductor Manufacturing Equipment

SEMI S8 — Safety Guidelines for Ergonomics Engineering of Semiconductor Manufacturing Equipment

SEMI S10 — Safety Guideline for Risk Assessment and Risk Evaluation Process

SEMI S22 — Safety Guideline for the Electrical Design of Semiconductor Manufacturing Equipment

4 Terminology

4.1 Abbreviations and Acronyms

4.1.1 ME — manufacturing equipment

4.2 Definitions

4.2.1 cumulative report — report showing the history of the evaluation, including initial findings, requests for further information, changes to the ME in the course of evaluation, and subsequent findings.

4.2.2 evaluation personnel — personnel (e.g., employees or subcontractors) who, as agents of the evaluator, participate in the evaluation

4.2.3 evaluation purchaser — the party that pays the evaluator to perform the evaluation

4.2.4 evaluator — the party examining ME and making a finding as to whether the ME conforms to a SEMI Safety Guideline

4.2.5 finalreport — the full or complete evaluation report, provided to the evaluation purchaser, that includes the findings as to whether or not the ME or sub-system that was evaluated conforms to the Safety Guideline. This excludes interim, cumulative, and supplementary reports.

4.2.6 interimreport — report created to document the progress of an evaluation

4.2.7 manufacturing equipment (ME) — equipment used to manufacture, measure, assemble, or test semiconductor, flat panel display, or related products. It includes the equipment that processes substrates (e.g., silicon wafers, reticles), its component parts, and its auxiliary, support or peripheral equipment (e.g., chemical controllers, chemical delivery systems, vacuum pumps). ME also includes other items (e.g., structures, piping, ductwork, effluent treatment systems, valve manifold boxes, filtration, and heaters) specific to and provided with the aforementioned equipment, but does not include such an item if the item is part of a facility and can support more than one piece of ME.

4.2.8 ME manufacturer — the party that has control of the design and manufacturing of ME

4.2.9 subsystem — an assembly of two or more components that is manufactured as a single entity. A subsystem must be combined with one or more additional components or subsystems to form a complete system.

4.2.10 supplementary report — report that is created when changes are made to equipment and an evaluator's opinion is requested that does not require a full update of a final report. Many elements of a supplementary report may be included in one or more separate, referenced evaluation reports.

4.2.11 system — an integrated structure of components and subsystems capable of performing, in aggregate, one or more specific functions.

5 Report Types

5.1 The evaluator may issue one or more interim or cumulative reports. These include tentative findings as to conformance to some of the criteria of the Safety Guideline and identify those items for which further information is needed to complete the evaluation.

NOTE 2: Equipment evaluations may take place at varying stages in product development and may be performed on complete equipment, incomplete equipment, or equipment subsystems. As a result, evaluation reports may take many forms depending the type and state of the equipment being evaluated and to which SEMI Safety Guideline it is evaluated.

5.2 At the conclusion of work (the end of the evaluation engagement), the evaluator should issue a final report, including the findings made regarding the conformance of the ME to the Safety Guideline(s), unless the evaluation purchaser and evaluator agree that a final report is not included in the scope of work.

5.3 Interim, cumulative, and final reports can be for complete ME or for a subsystem.

5.4 SubsystemReports

5.4.1 A subsystem final report should include separate lists of those paragraphsof the relevant Safety Guideline:

  • to which the subsystem conforms by itself,
  • for which the subsystem relies on integration for conformance,
  • that are found to be Not Applicable to the subsystem, and
  • to which the subsystem is found not to conform.
  • Subsystem reports should also include a description of what is required of the integration for the subsystem to conform to the Safety Guideline.
  1. Providing images, (e.g., photographs, drawings or animation,) can enhance the report.

6 Structure and Contents of Reports to be Provided to ME Purchasers

NOTE 4: The ME purchaser may be an integrator or an end user.

6.1 Reports should conform to the reporting provisions, if any, of the Safety Guideline to which the evaluation is performed. The structure of the evaluation report should follow the structure of the Safety Guideline to which the ME has been evaluated. The reporting format should present results correlating to the criteria as they appear in the Safety Guideline.

6.2 Reports should describe the scope of the assessment, both as to what portions of the equipment were assessed and as to what portions of which Safety Guidelines it was assessed.

6.3 Reports should have identifiable page numbers. Where practical, the preferred format for page number is, [page number] of [total number of pages].

6.4 The description of the ME, residual risks, and risk mitigation measures that have been put into place should enable someone not familiar with the ME to understand what is being reported.

6.5 Evaluation reports should include the elements described in §6.5.

NOTE 5: Elements such as the ones listed improve uniformity and readability.

6.5.1 Title Page — The title page should contain:

  • name of the evaluator,
  • type of report (cumulative, interim, final, or supplementary),
  • ME manufacturer,
  • model,
  • safety guideline(s) to which the ME was evaluated,
  • date(s) of the report,
  • a unique report number which may include revision number(s), and
  • evaluation purchaser, if other than the ME manufacturer.
  • Table of Contents — The table of contents should give an overview of the structure of the report and guide the reader to the chapter of interest.
  • Executive Summary — The executive summary should include:
  • a description of ME under review;
  • the Safety Guideline(s) to which the ME was evaluated;
  • the conformance status of the ME and, if finding(s) of nonconformance are made, an overview of sections to which the ME does not conform; and
  • signature of the authorized representative of the evaluator, the person(s) conducting the evaluation, or the evaluation project manager.
  • ME under evaluation (ME description) — This should include:
  • ME manufacturer,
  • model,
  • type of ME under evaluation and its function,
  • serial numbers, and
  • location of evaluation (e.g., ME manufacturer’s site or evaluator’s facility).
  • Evaluations may occur over multiple visits and may include multiple examples of the same model of ME.
  • Confidentiality and Use — This part should include, as applicable:
  • who controls the distribution of the report,
  • limitations on distribution,
  • limitations on the use of the contents, and
  • limitations on reproducing the format.
  • Unique definitions used in evaluation — Definitions of terms unique to the report should be given to avoid misinterpretation.
  1. This is often of use for names of parts of the ME.
  2. Configurations of the ME evaluated — Detailed description or pictures of the significant featuresof the configuration of the ME evaluated should be provided, including:
  • relevant facilities connections (e.g., exhaust ventilation, electrical ratings according to SEMI S22);
  • relevant process materials;
  • significant subsystems and support equipment, statement of sub-systems that have conformity reports;
  • excluded equipment, options, and equipment required for operation but not provided by the ME manufacturer;
  • ME features excluded from the evaluation; and
  • whether integration concerns with the rest of the ME were considered for features that were excluded from the evaluation.
  • Features of ME are often excluded from the scope of an evaluation, but the integration concerns with those features are considered.
  • Evaluation circumstances — The report should give the reader information about the circumstances of the evaluation, including:
  • names of the evaluation personnel,
  • competency documentation of the evaluation personnel, including SEMI S7 qualification statements for evaluator and evaluation personnel for the equipment evaluated,
  • the name of the evaluation purchaser project manager,
  • whether the evaluation is based on examination and testing of the ME and documentation or exclusively on a review of documentation, and,
  • whether the ME under consideration is intended to be a representative sample of all similarly configured ME, or a just a single investigated piece of ME.
  • Body of Report
  • For each Section or Paragraph of the Safety Guideline(s) to which the ME was evaluated, the report should give a brief and (where appropriate) enumerative description of the objective aspects of the ME that were examined. An explanation of whether the number of the objective aspects examined was a sampling or complete for the ME should also be given.
  • The rationale by which the objective aspects of the ME and each guideline criterion were compared to determine the conformance status should be described as should any test data (or reference to test data)used to support conformance finding.
  • The evaluator should report its finding as to the conformance status of the ME to each Section or Paragraph. If the Safety Guideline(s) state terms in which the conformance is to be reported, those and only those terms should be used.
  • If the conformance status is “Not Applicable” or “N/A,” the basis for excluding that Section or Paragraph from the assessment should be documented.
  • The evaluator may include responses to its findings from another party (such as the evaluation purchaser). Such information should be clearly differentiated from the evaluator's findings and indicate by whom it was provided.
  1. Such information could include, for example, plans to correct the non-conformances, or arguments as to why the non-conformances should be considered differently. It may be that an evaluation purchaser does not agree with an evaluator's findings, or wishes to communicate some relevant information for non-conformance findings.
  2. Risk Assessment, — If risk assessment was performed as part of the evaluation, the method used (e.g., SEMI S10) should be given. Documentation of the application of the method should be provided.
  3. Testing and Measurement Data for each test performed — A report should contain a list of which tests were passed, which were failed, and which were omitted from the base standard.
  4. Analysis and Test Method(s)
  5. The reports should describe the specific tests used to determine the conformance with each of the criteria.
  6. Subsystems of the ME that were included in the evaluation, but were excluded from testing, should be indicated. Rationale for exclusion of those subsystems from testing should be given.
  7. Details of testing may be included in the body of the report or in an appendix.
  8. Additional information, such as process specific details (e.g., chemicals, flow rates, pressures, RF, radiation), facilities (e.g., vacuum, air, inert process gases, exhaust, cooling water), drains, exhaust(s), should be provided.
  9. Tests and Test Worksheets — Copies of the laboratory and field test data may be included in an attached report for related tests and evaluations that were not part of the main or primary report. For example., an S8 ergonomics report may be attached to an S2 report.
  10. TestEquipment — Manufacturer and model and calibration dates should to be listed in the report.
  11. Recommendations — Interim and cumulative reports may include a listing of recommendations, if any, made by the evaluator and statements that the recommendations were rejected or have yet to be addressed. This list should not be included in a final report.
  12. Additional Information/Remarks / Attachments and Addenda — These elements may be used to give any information that may clarify tests performed, precautions for certain applications of the ME, or conditions of operation.

NOTICE: SEMI makes no warranties or representations as to the suitability of the safety guideline(s) set forth herein for any particular application. The determination of the suitability of the safety guideline(s) is solely the responsibility of the user. Users are cautioned to refer to manufacturer’s instructions, product labels, product data sheets, and other relevant literature respecting any materials or equipment mentioned herein. These safety guidelines are subject to change without notice.

By publication of this safety guideline, Semiconductor Equipment and Materials International (SEMI) takes no position respecting the validity of any patent rights or copyrights asserted in connection with any item mentioned in this safety guideline. Users of this safety guideline are expressly advised that determination of any such patent rights or copyrights, and the risk of infringement of such rights are entirely their own responsibility.

This is a draft document of the SEMI International Standards program. No material on this page is to be construed as an official or adopted standard. Permission is granted to reproduce and/or distribute this document, in whole or in part, only within the scope of SEMI International Standards committee (document development) activity. All other reproduction and/or distribution without the prior written consent of SEMI is prohibited.

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