FILE HISTORY
`08/567,224
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`INVENTORS:
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`DANIEL L. FLAMM WALNUT CREEK, CA
`(US) GEORGY VINOGRADOV
`YAMANASHI, (JP) SHIMAO YONEYAMA
`YAMANASHI, (JP)
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`TITLE:
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`PROCESS DEPENDING ON PLASMA
`DISCHARGES SUSTAINED BY
`INDUCTIVE COUPLING
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`FILED:
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`04 DEC 1995
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`COMPILED:
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`19 OCT 2015
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`Page 1 of 139
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`Samsung Exhibit 10(cid:19)(cid:24)
`Samsung Electronics Co., Ltd. v. Daniel L. Flamm
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`PARTS or APPLICATION
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`N 4TIcE OF ALLOWANCE MAILED '
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`WARNING: The information disclosed herein may be restricted. Unauthorized disclosure may be prohibited
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`by the United States Code Title 35. Sections 122, 181 and 368. Possession outside the U.S.
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`Patent & Trademark Office is restricted to authorized employees and contractorsonly.
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`Form Pro-4_'_asA
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`(Rev. 5/92)
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`Page 2 of 139
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`PROCESS DEPENDING ON PLASMA DISCHARGES SUSTAINED BY INDUCTIVE
`COUPLING
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`Transaction History
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`Transaction Description
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`1/2/1996 Initial Exam Team nn
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`2/14/1996 Notice Mailed--Application Incomplete--Filing Date Assigned
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`Application Captured on Microfilm
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`4/9/2001 Petition Entered
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`-———————Z
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`SYMBOLS
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`Rejected
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`(Through numbaral) Canceled
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`INTERFERENCE SEARCHED .
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`@
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`(RIGHT OUTSIDE) ‘
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`Page 6 of 139
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`BMCODELABEL
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`A U%S- PATENT APPLICATION
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`SERIAL NUMBER '
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`oe/567,224
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`FILING DATE
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`12/04/95
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`GROUP ART UNIT
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`1112
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`DANIEL L. FLAMM, WALNUT
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`’SHIMA‘O YONEYAMA, YAMANASHI,
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`CA; GEORGY VINOGRADOV, YAM1-XNAISHI,
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`JAPAN.
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`JAPAN;
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`T**coNTINUINg DATA*******w****M********
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`VERIFIED_
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`**FOREIGN/PCT APPLICATIONS************
`VERIFIED
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`FOREIGN FILING LICENSE GRANTED 06/22/96
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`SHEETS '
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`DRAWING
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`FILING FEE
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`13'
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`$330.00
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`416655-000300
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`RICHARD T OGAWA
`TOWNSEND & TOWNSEND & CREW
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`TWO EMBARCADERO CENTER 3TH FLOOR
`SAN FRANCISCO CA
`94111
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`PROCESS DEPENDING ON PLASMA DISCHARGES SUSTAINED BY INDUCTIVE
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`that annexed here_t_o is _a trye. copy frQm_ the yqcords of the United States _
`This is to certif
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`Patent and Tra emark Office ‘of the application Which IS udentnfued a_bove.
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`COMMISSIONER OF PATENTS AND TRADEMARKS
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`Date
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`Page 7 of 139
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`PATENT APPLICATION SERIAL No.
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`N/567224
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`U.S. DEPARTMENT OF COMMERCE
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`PATENT AND TRADEMARK.0FFICE
`FEE RECORD SHEET
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`PTo41556
`(5/87)
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`Page 8 of 139
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`PATENT APPLI_CATIO v
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`COMMISSIONER OF PATENT AND TRADEMARKS
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`Washington, D._'C._20231
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`Transmitted herewith for filing is the '
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`[ ] design patent application of t
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`._ Atty. Docket No. '166_55-000300
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`':i~ixpref:ss Mail" Label No. EM232444814US'
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`‘Date off Deposit December4 1995
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`I hereby certify that this_ is being deposited with the
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`‘ United States Postal Service "Express Mail Post Office
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`toIAddressee" service "under 37 CFR 1.10 on the date _
`iI_1diCa ‘ I an -‘
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`.Inventor(s): Daniel L. Flamrn, Georgy V1nogradov,_Sh1mao Yoneyarnat
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`For: PROCESS DEPENDING ON PLASMA DISCHARGES sUsmNED BY INDUCTIVE-COUPLING
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`[ ]. This application claims priority from each of the following ipplicatiion Nos./filing dates:
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`Enclosed are:
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`[X] Patent Application (including 36 pages specification, 3 pages claims,
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`[X] '13 sheet(s) of [ ] formal
`[X] informal drawing(s).
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`An assignment of the invention to
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`' A [ ] signed [ ] unsigned Declaration & Power of Attomey.- {
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`A [ ] signed [ ] unsigned Declaration.
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`A verified" statement to establish small entity status under 37 CFR 1.9 and 37 CFR 1.27 [] is enclosed [ ] was filed
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`in the earliest of the above-identified patent application(s).
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`[ ] A certified copy of was
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`Information Disclosure Statement under 37 CFR 1.97.
`[ ]
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`In lview of the Unsigned Declaration as filed wiithdthisilapplication and pursuant to 37 CFR §1.53(d),
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`Applicant requests--[deferral of the filing fee until submission of the‘Missing Parts of Application.
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`DO tior CHARGE THE FILING _FEE AT THIS_TlME.
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`Telephone:
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`(415) 326-2400
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`Attorneys for Applicants
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`Page 9 of 139
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`PATENT APPLICATION
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`COMMISSIONER OF PATENT AND TRADEMARKS
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`Washington, D. C. 20231
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`to Addressee" service under 37 CFR 1.10 on the date *
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`1nventor(s):‘ Daniel L. Flamm, Georgy -Vinograclov, Shirnao Yoneyama
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`For: PROCESS DEPENDING ON PLASMA DISCHARGES SUSTAINED BY INDUCTIVE COUPLDJG
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`[] This application claims priority from each ‘of the following Application Nos./filing dates:
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`[X] Patent Application (including 36 pages specification, 3 pages claims,
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`A verified statement to establish small entity status under 37 CFR 1.9 and 37 CFR 1.27 [] is enclosed [ ] was filed
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`in the earliest of the above-identified patent application(s).
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`filed withlthis application and pursuant to _37 CFR §1.53td),
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`Applicant requests deferralof the filing fee until submission of the Missing
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`DO NOT CHARGE THE FILING ‘FEE AT THIS TIME.
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`chard T. Ogawa
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`Reg. No.: 37,692
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`Attorneys for Applicants
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`Atty. Docket No. 15655-000300
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`ervice under 37 CFR 1.10 on the date
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`Inventor(s): Daniel L. Flamm, Georgy Vinogradov, Shimao Yoneyama I
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`For: PROCESSIDEPENDING ON PLASMA DISCHARGES SUSTAINED BY INDUCTIVE COUPLING
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`[ ] This application claims priority from each of the following Application Nos./filing dates:
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`[X] 13 sheet(s) of [ ] formal
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`A verified statement to establish small entity status under 37 CFR 1.9 and 37 CFR 1.27 [] is enclosed [ ] was filed
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`in the earliest of the above-identified patent application(s).
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`Applicant requests deferral of the filing fee until submission of the Missing Parts of Application.
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`DO NOT CHARGE THE FILING FEE AT THIS TIME.
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`Telephone:
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`Reg. No.: 37,692
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`Attorneys for Applicants '
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`160655-0030.00
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`PATENT APPEICATION
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`— D_a,nieliL. Fiamm, a citizen of the§United. States, residing atV476
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`Green View Drive, Walnut Creekj California 94596;
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`Georgy Vinogradov, a citizen of Russia, residing at Dragons
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`Mansion Apt. 306, 5860-5 Ryuchi, Futaba-cho, Kitakomagun,
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`Yamanashi, 400-01 Japan; and
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`Shimao Yoneyama, a citizen of Japan, residing at 5875-4 Ryuchi,
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`Futaba-cho, §Kitakomagun, Yamanashi, 400-01 ‘Japan.
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`MC Electronics Co., Ltd.
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`1 TOWNSEND and _TOWNSEND and CREW}.
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`A Steuart Street Tower
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`N tuna/567224 x4e #0 M:
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`BACKGROUND OF_THE INVENTION
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`This invention relates. generally to plasma processing. More
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`particularly, the invention is for plasma processing of devices using an inductive T
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`discharge. This invention is illustrated in an examp1e_with regard to plasma .
`etching and resist stripping of semiconductordevices. The invention also is.‘
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`illustrated with regard to chemical vapor deposition (CVD) of semiconductor
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`- devices.; But it will be‘ recognized that the‘ invention has a wider range of
`applicability. Merely byway of example, the invention also can be applied in
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`other plasma etching applications, and depolsition of materials such as silicon,
`I silicon dioxide, silicon nitride, p,olysi1i'co'n, iainorig others,»
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`Plasma processing techniques can occur in a variety of
`semiconductor manufacturing processes. Eicamples of plasma processing
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`techniques occur in chemical dry etching (CDE), ion-assisted etching (IAE), and
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`plasma enhanced chemical ‘vapor deposition" (PECVD),.inc'luding remote plasma
`deposition f-(VRPCVD) and ion-assisted plasma enhanced‘ chemical vapor deposition V
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`(IAPECVD). These plasma processing techniques often rely upon. radio frequency‘
`power (if) supplied to an ihductive coil for providing power to gas phase species in
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`forming a plasma._
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`devices, For instance, chemical dry etching generally depends on gas-surface
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`reactions involving these neutral species without ‘substantial ion bombardment.
`In other manufacturing processes, lion bombardment to substrate
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`surfaces is oftenundesirabnle. _This ion bombardment, however, is known to have
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`harmful effects on properties of material layers in devices and excessive ion
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`bombardment, flux and energy can lead to intermixing of materials in. adjacent T
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`device layers, breaking down oxide and "wear out," injecting of contaminative‘
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`material formed in the processing environment into substrate material layers,'_
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`harmful changes in substrate morphology (e._g. amophotization), etc,
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`Ion assisted etching processes,’ however, rely upon ion bombardment’
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`to the substrate surface in defining selecte-d_films. But these ion assisted etching
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`processes commonly have a lower, selectivity relative toiconventional CDE
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`bombardment to substrates=are' to be avoided.
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`One commonly used chemical dry etching technique is conventional
`photoresist stripping, often termed ashing or stripping. Conventional resist
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`stripping relies upon a reaction between a neutral gas phase species and a surface
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`material layer, typically for removal.
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`products with thelsurface material layer for-its removal. The neutral gas phase
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`"species is formed by a plasma discharge. A This plasma discharge can be sustained
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`by a coil (e.g., helical coil, etc.) operating "at a selected frequency in a
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`conventional photoresist stripper. An example of the conventional photoresist
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`stripper is a quarter-wave helical resonator Estripper, which is described by »U.S.
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`- Patent No. 4,368,092 in the name of Steinbierg Q; Q.
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`_ Referring to the above, an objective in chemical dry etching is -to
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`reduce or even eliminate ion bombardment"(or ion flux) to surfaces being
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`processed to maintain the desired etching selectivity.
`In practice, however, it is
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`oftendifficult to achieve using conventional techniques. "These conventional
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`techniques generaily attempt to control ion flux by suppressing the amount of
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`charged species in the plasma source reaching the process chamber. - A variety of
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`techniques for suppressing these charged species have been proposed.
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`These techniques often rely upon shields, baffles, large separation
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`the plasma source and the process’ chamber} The conventional techniques
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`5 source by interfering with convective and diffusive transport of charged species.
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`They tend to promote recombination of charged species by either increasing the
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`surface area (e.g., baffles,jetc.) relative to ilolume, or increasing flow time, which
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`relates to increasing the distance between" the plasma source and the process
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`These baffles, however, cause «loss of desirable neutral etchant
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`species as well. The baffles, shields, and alike, also are often cumbersome, L
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`Baffles,;shie1ds, or the large separation distances also cause undesirable
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`recombinative loss of active species and sometimes cause radio frequency power
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`loss and‘. other prdfblems. These bafflesnandi shields alsoare a potential source of
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`particulate contamination, which is often damaging to integrated circuits.
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`Baffles, shields, spatial separation, and alike, when used alone also
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`are often insufficient to substantially prevent unwanted parasitic plasma currents.‘
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`These plasma currents are generated between the wafer and the plasma source, or
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`between? the plasmalsourceiand walls of thegchamber. _It is commonly known that
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`s when initial charged species‘ levels are present in an electrical field, the charged
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`species are accelerated anddissociative collisions withineutral particles can
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`multiply the concentration pf charge to higlier levels. vlf sufficient "seed" levels of
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`charge and _rf potentials are present; the parasitic‘ plasma in the vicinity of the
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`In some cases, these
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`source plasma region, thereby causing even more ion flux to the substrate.
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`Charge densities also create ;a voltage difference between the plasma
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`deleterious effect.‘ This vo_ltage difference-enhances‘ electric fields that can
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`accelerate extraction of charge from the plasma source. Hence, their presence
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`often induces increased levels of charge to be irregularly transported from the
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`plasma source to process substrates, thereby causing non-uniform ion assisted
`etchingfi
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`Conventional ion assisted plasma etching, however, often requires
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`"control and maintenance of ion flux intensity and uniformity within selected
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`process limits and within selected process energy ranges.. Control and maintenance .
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`of ion flux intensity andvuriiformity are often‘ difficult to achieve using conventional
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`techniques. For instance, capacitive coupling between high voltage selections -
`of the cbil and the plasma discharge often cause high_and'uncontrollable plasma
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`potentials relative to ground.
`It is generallyiunderstood that voltage difference
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`Page 15 of 139
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`between: the plasma and ground can cause damaging high energy ion bombardment
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`of articles being processed by the plasma, as illustrated by_U.S. Patent No.
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`. 5,234,529 in the name ‘of’ Johnson.
`It is further often understood that rf '
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`component of the plasma potential varies in_ time since it is derived from a
`coupling to time varying
`excitation. Hence, the energy of charged particles
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`from plasma in conventional ‘inductive sources is spread over arelatively wide
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`range of energies, which undesirably tends to introduce uncontrolled variations in
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`the processing of articles by the plasma.
`The voltage difference between the region just outside of a plasma
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`source and the processing chamber can be modified by introducing internal
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`‘conductive shields or electrode elementsinto theiprocessing apparatus downstream
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`t of the source. When the plasma potential is elevated with respect to these shield
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`electrodes, however, thereis a tendency "to generate an undesirable capacitive
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`_ discharge betweenithe shield and plasma source.‘ These electrode elements are
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`often a-source of‘contamination and the.likel'ihood for contamination is even
`greater when there is capacitive discharge (ion~bombardment from capacitive _’
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`discharge is a potential source of sputtered" material). - Contamination is damaging
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`to the manufacture of integrated circuit devices. I
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`Another limitation is that the‘shield_or electrode elements generally
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`require small holes thereinas structural elements‘. These small holes are designed
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`to allow gas to flow therethrough. The smzill hofles, however, tend to introduce"
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`unwanted pressure drops and neutral species recombination.
`If the holes are made
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`larger, the plasma from the source tends to survive transport through the holes and
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`unwanted downstream charge flux will often“result.
`In addition, undesirable
`discharges to these holes in shields can, at times, produce an even more
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`undesirable hollow cathode effect.
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`In conventional helical resonator designs, conductive external
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`shields are interposed between the inductive‘ power(e.g., coil, etc.) and walls of t
`the vacuum vessel containing the plasma.‘
`variety limitations with these external
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`capacitive shielded plasrnaijdesigns (e.g., helical resonator, inductive discharge,
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`etc.) have been observed. I In particular, the capacitively shielded design often
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`Page 16 of 139
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`16655-003000
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`even ignite. Alternatively, the use
`producesplasmas that are difficult to tune
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`of unshielded plasma sources (e.g., conventional quarter‘-wave resonator,
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`conventionalvhalf-wave resonator, etc.) attainga substantial plasma potential from
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`capacitive coupling to thecoil, and hence are prone to create uncontrolledeparasitic
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`_ plasma currents to grounded surfacesf Accordingly, the use of either the shielded
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`or the unshieldedgsources using conventional quarter and half-wave rf frequencies
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`produce undesirable results.
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`In many conventional ‘plasma sources a means of cooling. is required
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`to maintain the plasma source and substratesebeing treated below a maximum
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`temperatu_re limit. Power dissipation in the structure causes heating and thereby
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`_increases the difficulty and ‘expense of implementing effective cooling means.-
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`Inductive currents may also be coupled
`itheexcitation coil_into internal or
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`capacitive shieldsiandathese currents are an additional source of undesirable power
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`loss and‘-heatin . Conventional ca acitive ishieldin in helical resonator dischar es
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`. utilized-’a shield which was substantially split along the long axis of the resonator
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`to lessen eddy current loss.’ ‘ However, such ‘a shield substantially perturbs the
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`resonator characteristics owing to unwanted: capacitive coupling and current which
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`flows from the coil to the shield.
`Since there are no general design equations, nor
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`are properties'currently known for resonators which are "loaded" with a shield I
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`along the axis, sources using this design must be sized: and made to work by trial
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`and errdr.
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`In inductive idischarges, it is highly desirable to be able to
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`substantially control the plasma potentiallrelativev to ground potential, independent
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`of input‘ power, pressure, gas composition and other variables.
`In many cases, it
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`is desired to have thevplasrna potential beist:1bstaritially.at ground potent_ial (at least
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`‘offset from grounid potential by an amount insigriificantlypdifferent from the
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`floatingkpotential [or intrinsic DC plasmalpojtential).
`For example, whena plasma
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`_ source’ is utilized fto generate neutral species to be transported downstream of the
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`source for use in fashing resiston a semiconductor device substrate (a wafer or flat
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`panel electronic display), the concentration and potential of charged plasma species
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`in the reaction zone are desirably reduced to avoid charging damage from electron
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`Page 17 of 139
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`16655-003000 _
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`or ioniccurrent from _the plasma to the device. When there is a substantial
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`potential "difference between plasma in the source and grounded surfaces beyond
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`the source, there is a tendency for unwanted parasitic plasma discharges to form
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`outside of the sourceiregioiij
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`' Another undesirable effect of potential difference is the acceleration
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`of ions toward grounded surfaces and subsequent impact of the energetic ions with
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`surfaces. High energy ionibombardment may causelattice damage to the device
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`substrate being processed and may cause chamber wall or other chamber’
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`materials to sputter and contaminate device iwafers.
`In other plasma processing
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`procedures, however, some ion bombardment maybe necessary or desirable, as is
`the case particulai-ly for anisotropic ion—induced plasma etching procedures (for a
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`discussion of ion-jenhanced plasma etching _r!r1ech2i_nisms S_(=,t=._ Flamm (Ch. 2,pp.94-
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`183 in Iilasma Etching, An Introduction, Di ‘M. Manos and D.L. Flamm, eds.,
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`Academic Press, 1989)). Consequently, luncontrolledpotential differences, such as"
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`that caused by "stray" "capacitive couplingfrom the coil of an inductive plasma
`source to the plasma, are undesirable.
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`Referring to the above limitations, conventional plasma sources also
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`have disadvantages when used in conventional plasma enhanced CVD techniques.
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`These techniques commonly form a reaction of a gas composition in a plasma
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`discharge. One conventional plasma enhanced technique relies upon ions aiding in ,-
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`rearranging and stabilizingfthe film, provided the bombardment from the plasma is
`not sufficiently energetic to damage the underlying‘ substrate‘ or the growing film.
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`Conventional resdnators andtother types of indudtive discharges often produce 3
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`parasitic plasma currents. from capacitive coupling, which often detrimentally
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`influences film quality, e. g., an inferior‘ film, etc. These -parasitic plasma currents
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`T are often uncontrollable, and highly undesirable. These plasma sources alsolhave ,
`disadvantages in other plasma processing techniques such as ion—assisted etching,
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`and others. -Of course, the particular disadvantage will often depend-upon the
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`application.
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`To clarify certain concepts used "in this application,- it will be
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`convenient to introduce these definitions.’
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`Page 18 of 139
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`Ground (or ground potential);'These terms are defined as a
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`reference potential which is generally takenas the potential of _a
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`highly conductive shield or other highly conductive surface which
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`surrounds the plasma sourcefl "To be a true -ground shield in the
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`sense of this definition, the
`conductance, at the operating
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`frequency is often substantially. high so that potential differences
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`generated by current" within the shield are of negligible magnitude
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`compared to; potentialsintentionally applied to the various structures
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`and elements ‘of the plasma source or substrate support assembly.
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`However, some realizations of plasma sources do not incorporate a '
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`shield or surface with adequate electrical susceptance to meet this
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`definition.
`In implementations where there is a surrounding ‘
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`conductive surface that is somewhat similar to a ground shield or
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`groundplane, the ground potential is taken