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`UTILITY
`PATENT APPLICATION
`TRANSMITTAL
`
`Attorney Docket No.
`
`071469-0314661
`
`First Inventor
`
`MERRITT FUNK
`
`Tdle
`
`See attached addendum
`
`(Only for new nonprovisional applications under 37 CFR 1.53(b))
`
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`-~
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`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
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`18. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in the first sentence of the
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`of prior application No.: •. PCT/US03/29980
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`
`Applied Materials, Inc. Ex. 1009
`Applied v. Ocean, IPR Patent No. 6,836,691
`Page 1 of 195
`
`

`

`Addendum
`
`Invention Title
`METHOD AND APPARATUS FOR THE MONITORING AND CONTROL OF A
`SEMICONDUCTOR MANUFACTURING PROCESS
`
`Applied Materials, Inc. Ex. 1009
`Applied v. Ocean, IPR Patent No. 6,836,691
`Page 2 of 195
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`

`

`..
`
`..
`
`APPL.ICATION UNDER UNITED STATES PATENT LAWS
`
`Atty. Dkt. No.
`
`071469-0314661
`
`Invention:
`
`METHOD AND APPARATUS FOR THE MONITORING AND CONTROL OF A
`SEMICONDUCTOR MANUFACTURING PROCESS
`
`Inventor (s): Merritt FUNK
`Raymond PETERSON
`
`Address communications to the
`correspondence address
`associated with our Customer No
`00909
`Pillsbury Winthrop LLP
`
`This is a:
`
`Provisional Application
`
`Regular Utility. Application
`
`Continuation of PCT Application
`181 The contents of the parent are incorporated
`by reference
`
`PCT National Phase Application
`
`Design Application
`
`Reissue Application
`
`Plant Application
`
`D
`D
`IZl
`
`D
`D
`D
`D
`D
`
`Substitute Specification
`Sub. Spec Filed
`I
`in App. No.
`D Marked up Specification re
`Sub. Spec. filed
`In App. No __ I _ _ _ _ _
`
`SPECIFICATION
`
`30518172_ 1.DOC
`
`I..
`
`PAT-100CN 8/03
`
`Applied Materials, Inc. Ex. 1009
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`

`

`...
`
`Method and Apparatus for the Monitoring and Control of a
`Semiconductor Manufacturing Process
`Cross-reference to Related Applications
`
`[0001]
`
`This is a Continuation Application of International Application No.
`
`PCT/US03/29980, filed September 25, 2003, which relies for priority upon
`U.S. Provisional Application No. 60/414,425, filed September 30, 2002, the
`
`contents of both of which are incorporated herein by reference in their
`
`entireties.
`[0002] The present application is related to co-pending applications U.S.
`Continuation of PCT Application No. 10/951, 161, filed on September 28,
`2004, which relies for priority upon U.S. Provisional Application No.
`60/368, 162, filed on March 29, 2002; U.S. Continuation of PCT Application
`
`No. 10/966, 112, filed October 18, 2004, which relies for priority upon U.S.
`Provisional Application No. 60/374,486, filed on April 23, 2002; U.S.
`Continuation of PCT Application No. 10/987, 194, filed November 15, 2004,
`which relies for priority upon U.S. Provisional Application No. 60/383,619, filed
`on May 29, 2002; U.S. Continuation of PCT Application No. 11/025,227, filed
`December 30, 2004, which relies for priority upon U.S. Provisional Application
`No. 60/393,091, filed on July 3, 2002; and U.S. Continuation of PCT
`Application No. 11/025,396, filed December 30, 2004, which relies for priority
`upon U.S. Provisional Application No. 60/393,104, filed on July 3, 2002. Each
`of these applications is herein incorporated by reference in its entirety.
`
`Field of the Invention
`
`[0003] The present invention is related to semiconductor processing
`
`systems, particularly to semiconductor processing systems, which use
`Advanced Process Control (APC).
`
`Background of the Invention
`
`[0004] Computers are generally used to control, monitor, and initialize
`
`manufacturing processes. A computer is ideal for these operations given the
`complexities in a semiconductor manufacturing plant from the reentrant wafer
`
`flows, critical processing steps, and maintainability of the processes. Various
`input/output (1/0) devices are used to control and monitor process flows,
`
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`' U.S. Continuation Application of PCT/US03/29980 FUNK et al., atty. dkt. 017469-0314661
`
`wafer states, and maintenance schedules. A variety of tools exist in a
`semiconductor manufacturing plant to complete these complicated steps from
`
`critical operations such as etching, to batch processing, and inspections. Most
`tool installations are accomplished using a display screen that is part of the
`
`graphical user interface (GUI) of a control computer containing the installation
`software. Installation of a semiconductor-processing tool is a time consuming
`
`procedure.
`[0005] Semiconductor processing facilities require constant monitoring.
`Processing conditions change over time with the slightest changes in critical
`process parameters creating undesirable results. Small changes can easily
`
`occur in the composition or pressure of an etch gas, process chamber, or
`wafer temperature. In many cases, changes of process data reflecting
`deterioration of processing characteristics cannot be detected by simply
`referring to the process data displayed. It is difficult to detect early stage
`abnormalities and characteristic deterioration of a process. Oftentimes
`prediction and pattern recognition offered by advanced process control (APC)
`is necessary.
`[0006] Facility control is often performed by a number of different control
`systems having a variety of controllers. Some of the control systems may
`have man-machine interfaces such as touch screens, while others may only
`collect and display one variable such as temperature. The monitoring system
`must be able to collect data tabulated for the process control system. The
`data collection of the monitoring system must handle univariate and
`multivariate data, the analysis and display of the data, and have the ability to
`
`select the process variables to collect. Various conditions in a process are
`monitored by different sensors provided in each of the process chambers, and
`data of the monitored conditions is transferred and accumulated in a control
`
`computer. If the process data is displayed and detected automatically, the
`
`optimum process conditions of a mass-production line can be set and
`controlled through statistical process control (SPC) charts. Inefficient
`
`monitoring of a facility can result in facility downtimes that add to the overall
`operational cost.
`
`- 2 -
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`' U.S. Continuation Application of PCT/US03/29980 FUNK et al., atty. dkt. 017469-0314661
`
`Summary of the Invention
`
`[0007] Accordingly, it is an object of the present invention to provide an
`Advanced Process Control (APC) system for controlling a processing tool in a
`semiconductor processing environment, where the APC system comprises an
`APC server providing a plurality of APC related applications; an Interface
`
`Server (IS) coupled to the APC server; a database coupled to the IS and APC
`
`server; and a GUI component coupled to the APC server, wherein the IS
`comprises means for coupling to a processing tool, and means for coupling to
`
`a plurality of process modules coupled to the processing tool.
`[0008]
`In addition, it is an object of the present invention to provide a method
`for using an Advanced Process Control (APC) system for controlling a
`processing tool in a semiconductor processing environment, the method
`comprising: providing an APC server providing a plurality of APC related
`applications; providing an Interface Server (IS) coupled to the APC server;
`
`providing a database coupled to the IS and APC server; and providing a GUI
`component coupled to the APC server, wherein the IS comprises means for
`
`coupling to a processing tool, and means for coupling to a plurality of process
`
`modules coupled to the processing tool.
`
`Brief Description of the Drawings
`
`[0009] The accompanying drawings, which are incorporated in and
`constitute a part of the specification, illustrate presently preferred
`embodiments of the invention, and together with the general description given
`above and the detailed description of the preferred embodiments given below,
`serve to explain the principles of the invention. A more complete appreciation
`
`of the invention and many of the attendant advantages thereof will become
`readily apparent with reference to the following detailed description,
`particularly when considered in conjunction with the accompanying drawings,
`
`in which:
`[0010] FIG. 1 shows an exemplary block diagram of an advanced process
`controlled (APC) system in a semiconductor manufacturing environment in
`
`accordance with one embodiment of the present invention;
`[0011]
`. FIG. 2 shows an exemplary block diagram of a system from Tokyo
`Electron Inc;
`
`-3-
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`... U.S. Continuation Application of PCT/US03/29980 FUNK et al., atty. dkt. 017469-0314661
`
`[0012] FIG. 3 is a simplified data flow diagram for the APC system in
`accordance with one embodiment of the present invention;
`[0013] FIG. 4 illustrates a simplified interface diagram in accordance with an
`embodiment of the present invention;
`[0014] FIG. 5 shows an exemplary relationship diagram for event contexts,
`strategies, control jobs, and plans in accordance with an embodiment of the
`
`present invention;
`[0015] FIG. 6 illustrates a simplified data flow diagram in accordance with an
`embodiment of the present invention;
`[0016] FIG. 7 shows an exemplary block diagram of an interface server in
`accordance with an embodiment of the present invention;
`[0017] FIG. 8 shows a simplified view of a flow diagram for a monitoring
`process for processing tools in a semiconductor processing system in
`accordance with one embodiment of the present invention;
`[0018] FIG. 9 shows an exemplary relationship diagram for strategies and
`plans;
`[0019] FIG. 10 shows another exemplary relationship diagram for strategies
`and plans;
`[0020] FIG. 11 shows an exemplary relationship diagram for judgment plans
`and intervention plan in accordance with one embodiment of the present
`invention; and
`[0021] FIG. 12 shows an exemplary view of a Tool Status screen in
`accordance with one embodiment of the present invention.
`
`Detailed Description of an Embodiment
`
`[0022] FIG. 1 shows an exemplary block diagram of an APC system in a
`semiconductor manufacturing environment in accordance with one
`embodiment of the present invention. In the illustrated embodiment,
`
`semiconductor manufacturing environment 100 comprises at least one
`
`semiconductor processing tool 110, multiple process modules 120, PM1
`through PM4, multiple sensors 130 for monitoring the tool, the modules, ·and
`processes, sensor interface 140, and APC system 145. APC system 145 can
`comprise interface server (IS) 150, APC server 160, client workstation 170,
`
`-4-
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`' U.S. Continuation Application of PCT/US0J/29980 FUNK et al., atty. dkt. 017469-0314661
`
`GUI component 180, and database 190. In one embodiment, IS 150 can
`comprise a real-time memory database that can be viewed as a "Hub".
`[0023] APC system 145 can comprise a tool level (TL) controller (not shown)
`for controlling at least one of a processing tool, a process module, and a
`
`In the illustrated embodiment, a single tool 110 is shown along with
`
`sensor.
`[0024]
`four process modules 120, but this is not required for the invention. The APC
`system 145 can interface with a number of processing tools including cluster
`
`tools having one or more process modules, and the APC system 145 can be
`used to configure and monitor a number of processing tools including cluster
`
`tools having one or more process modules. For example, the tools and their
`associated process modules can be used to perform etching, feature
`trimming, deposition, diffusion, cleaning, measurement, polishing, developing,
`transfer, storage, loading, unloading, aligning, temperature control,
`lithography, integrated metrology (IM), optical data profiling (ODP), particle
`detection, arc suppression, and other semiconductor manufacturing
`processes.
`[0025] An IM element can be arranged as a module (integrated metrology
`module; IMM) coupled to the processing tool. For example, IMM can be an
`ODP system (from Timbre Inc.) that measures and analyzes the shape of the
`features of the wafer.
`[0026]
`In one embodiment, processing tool 110 can comprise a tool agent
`(not shown), which can be a software process that runs on a tool 110 and
`which can provide event information, context information, and start-stop timing
`
`commands used to synchronize data acquisition with the tool process. Also,
`APC system 145 can comprise an agent client (not shown) that can be a
`software process that can be used to provide a connection to the tool agent.
`For example, APC system 145 can be connected to processing tool 11 O via
`
`an Internet or intranet connection.
`[0027] For example, an agent client can be used to receive events and their
`associated messages from a tool agent and propagate those messages on
`through the APC system. The client software can comprise a
`
`communications class, and a driver. The agent client communications class
`can be designed as a reusable class that is implemented as a dynamically
`
`- 5 -
`
`)
`
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`'
`
`U.S. Continuation Application of PCT/USOJ/29980 FUNK et al., atty. dkt. 017469-0314661
`
`loadable module (DLL). There can also be a message class that is used to
`parse messages from the tool agent and break those messages out into
`
`elements. An agent message class can instantiated with a string received
`from the tool agent as a parameter. At the time of instantiation, the string is
`
`parsed and all class attributes are filled with the data from that string. The
`agent client communication class communicates with the tool agent via BSD
`
`sockets, and it can comprise the following methods:
`(0028] a. Start Agent: A method that establishes communications with the
`tool agent and sends the agent the start message. When the start
`
`acknowledged message is received from the agent, the connection is closed
`and the event receive thread is spawned. When the initial connection is
`established with the agent, the local interface that found the tool is stored.
`[0029] b. Event Receive Thread: This establishes the "event listen"
`connection with the agent. Once the connection is established, the thread
`waits indefinitely for a message from the agent. When a message is received,
`a new agent message object is instantiated and is placed in the message
`queue. The thread then goes back into the ''waiting for message" state.
`[0030] c. Get Next Message: A method that gets the next object off of the
`message queue and passes it back to the caller.
`[0031] d. Stop Agent: A method that sends a stop signal to the tool agent.
`When it receives the stop signal, the tool can close its connection with the
`event receive thread. When the event receive thread senses the connection
`is closed, it is eliminated.
`[0032]
`In one embodiment, processing tool 110 communicates with the IS
`150 using sockets. For example, the interface can be implemented using
`TCP/IP socket communication. Before every communication, a socket is
`
`established. Then a message is sent as a string. After the message is sent,
`the socket is cancelled.
`[0033] Alternately, an interface can be structured as a TCL process
`extended with CIC++ code, or a CIC++ process that uses a special class,
`such as a Distributed Message Hub (DMH) client class. In this case, the
`logic, which collects the process/tool events through the socket connection,
`
`can be revised to insert the events and their context data into a table in IS
`150.
`
`- 6 -
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`• U.S. Continuation Application of PCT/US0J/29980 FUNK et al., atty. dkt. 017469-0314661
`
`[0034] The tool agent can send messages to provide event and context
`information to APC system. For example, the tool agent can sent lot
`
`start/stop messages, batch start/stop messages, wafer start/stop messages,
`recipe start/stop messages, and process start/stop messages. In addition, the
`tool agent can be used to send and/or receive set point data and to send
`and/or receive maintenance counter data.
`
`(0035)
`In one embodiment, a common tool agent can be installed on a
`plurality of processing tools. A common tool agent can allow the interface
`
`message format to be common. For example, a communication message
`format can comprise three parts: a message length, which is the length of
`
`message from message ID to terminator; a message ID, which is used for
`command and event identification; a message body, which contains the
`contents of the command or event. In addition, the message can use ASCII
`code, and the length can be changeable. Also, each message can be
`separated by a control code, and a terminator can be used.
`In an alternate
`embodiment, a dual agent can be established on the tool.
`(0036) When a processing tool comprises internal sensors, the processing
`tool can be considered a sensor, and this data can be sent to the APC system
`145. Data files can be used to transfer this data. For example, some
`processing tools can create trace files that are compressed in the tool when
`they are created. Compressed and/or uncompressed files can be transferred.
`When trace files are created in the processing tool, the trace data may or may
`
`not include end point detection (EPD) data. The trace data provides important
`information about the process. The trace data can be updated and
`
`transferred after the processing of a wafer is completed. Trace files are be
`transferred to the proper directory for each process. In one embodiment, tool
`trace data, maintenance data, and EPD data can be obtained from a
`processing tool 11 O.
`[0037]
`
`In FIG 1, four process modules are shown, but this is not required for
`
`the invention. The semiconductor processing system can comprise any
`
`number of processing tools having any number of process modules
`associated with them and independent process modules. The APC system
`145 (including one or more TL controllers) can be used to configure, control,
`and monitor any number of processing tools having any number of process
`
`- 7 -
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`' U.S. Continuation Application of PCTfUS0J/29980 FUNK et al., atty. dkt. 017469-0314661
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`modules ~ssociated with them and independent process modules. The APC
`system can collect, provide, process, store, and display data from processes
`
`involving processing tools, process modules, and sensors.
`[0038]
`Process modules can be identified using data such as ID, module
`type, gas parameters, and maintenance counters, and this data can be saved
`
`into a database. When a new process module is configured, this type of data
`
`can be provided using a module configuration panel/screen in GUI component
`180. For example, the APC system can support the following tool types from
`
`Tokyo Electron Limited: Unity-related process modules, Trias-related process
`modules, Telius-related process modules, OES -related modules, and ODP(cid:173)
`
`related modules. FIG. 2 shows an exemplary block diagram of a system from
`Tokyo Electron Inc. Alternately, the APC system can support other tools and
`their related process modules. For example, APG system 145 can be
`connected to process modules 120 via an Internet or intranet connection.
`[0039]
`The process module ID can be an integer; the number of gas
`parameters can depend on the module type, and the maintenance counter
`information can also depend on the module. For example, a user can assign
`a new name to a specific maintenance counter, assign it a special scale rate,
`and assign the tool pause function to this maintenance counter. General
`counters are provided as a part of maintenance counters, and can be
`configured by the user.
`[0040]
`In the illustrated embodiment, a single sensor 130 is shown along
`with an associated process module, but this is not required for the invention.
`Any number of sensors can be coupled to a process module. Sensor 130 can
`comprise an ODP sensor, an OES sensor, a VIP sensor, an analog sensor,
`and other types of semiconductor processing sensors including digital probes.
`
`The APC data management applications can be used to collect, process,
`store, display, and output data from a variety of sensors.
`[0041]
`In the APC system, sensor data can be provided by both external and
`internal sources. External sources can be defined using an external data
`
`recorder type; a data recorder object can be assigned to each external
`source: and a state variable representation can be used.
`[0042] Sensor configuration information combines sensor type and sensor
`instance parameters. A sensor type is a generic term that corresponds to the
`
`- 8 -
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`U.S. Continuation Application of PCT/US0J/29980 FUNK et al., atty. dkt. 017469-0314661
`
`function of the sensor. A sensor instance pairs the sensor type to a specific
`sensor on a specific process module and tool. At least one sensor instance is
`configured for each physical sensor that is attached to a tool.
`(0043] For example, an OES sensor can be one type of sensor; a VI probe
`can be another type of sensor, and an analog sensor can be a different type
`of sensor. In addition, there can be additional generic types of sensors and
`additional specific types of sensors. A sensor type includes all of the
`variables that are needed to set up a particular kind of sensor at run time.
`These variables can be static (all sensors of this type have the same value),
`configurable by instance (each instance of the sensor type can have a unique
`value), or dynamically configurable by a data collection plan (each time the
`sensor is activated at run time, it can be given a different value).
`(0044] A "configurable by instance" variable can be the sensor/probe IP
`address. This address varies by instance (for each process chamber) but
`does not vary from run to run. A "configurable by data collection plan"
`variable can be a list of harmonic frequencies. These can be configured
`differently for each wafer based on the context information. For example,
`wafer context information can include tool ID, module ID, slot ID, recipe ID,
`cassette ID, start time and end time. There can be many instances of the
`same sensor type. A sensor instance corresponds to a specific piece of
`hardware and connects a sensor type to the tool and/or process module
`(chamber). In other words, a sensor type is generic and a sensor instance is
`specific.
`(0045] As shown is FIG. 1, sensor interface 140 can be used to provide an
`interface between sensor 130 and the APC system 145. For example, APC
`system 145 can be connected to sensor interface 140 via an Internet or
`intranet connection, and sensor interface 140 can be connected to sensor 130
`via an Internet or intranet connection. Also, sensor interface 140 can act as a
`protocol converter, media converter, and data buffer. In addition, sensor
`interface 140 can provide real-time functions, such as data acquisition, peer(cid:173)
`to-peer communications, and 1/0 scanning. Alternately, sensor interface 140
`can be eliminated, and the sensor 130 can be directly coupled to APC system
`145.
`
`-9-
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`C U.S. Continuation Application of PCT/US03/29980 FUNK et al., atty. dkt. 017469-0314661
`
`[0046] Sensor 130 can be a static or dynamic sensor. For example, a
`dynamic VI sensor can have its frequency range, sampling period, scaling,
`triggering, and offset information established at run-time using parameters
`
`provided by a data collection plan. Sensor 130 can be an analog sensor that
`can be static and/or dynamic. For example, analog sensors can be used to
`
`provide data for ESC voltage, matcher parameters, gas parameters, flow
`
`rates, pressures, temperatures, RF parameters, and other process related
`
`data. Sensor 130 can comprise at least one of a: VIP probe, OES sensor,
`analog sensor, digital sensor, ODP sensor, and other semiconductor
`processing sensors.
`[0047]
`In one embodiment, a sensor interface can write the data points to a
`raw data file. For example, IS 150 can send a start command to the sensor
`interface to initiate data acquisition and can send a stop command to cause
`the file to be closed. IS 150 can then read and parse the sensor data file,
`process the data and post the data values into the in-memory data tables.
`Alternately, the sensor interface could stream the data in real time to the IS
`150. A switch could be provided to allow the sensor interface to write the file
`to disk. The sensor interface can also provide a method to read the file and
`stream the data points to the IS 150 for off-line processing and analysis.
`[0048] As shown in FIG. 1, APC system 145 can comprise a database 190.
`Tool maintenance data can be stored in database 190. In addition, raw data
`and trace data from the tool can be stored as files in the database 190. The
`amount of data depends on the data collection plans configured by the user,
`as well as the frequency with which processes are performed and processing
`
`tools are run. For example, data collection plans can be established for
`determining how and when to collect tool status and process-related data.
`The data obtained from the processing tools, the processing chambers, the
`
`sensors, and the APC system is stored in tables.
`[0049]
`In one embodiment, the tables can be implemented in the IS 150 as
`in-memory tables and in database 190 as persistent storage. The IS 150 can
`
`use Structured Query Language (SQL) for column and row creation as well as
`posting data to the tables. The tables can be duplicated in the persistent
`tables in database 190 (i.e., 0B2 can be used) and can be populated using
`the same SQL statements.
`
`- 10 -
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`Applied Materials, Inc. Ex. 1009
`Applied v. Ocean, IPR Patent No. 6,836,691
`Page 13 of 195
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`U.S. Continuation Application of PCT/US0J/29980 FUNK et al., atty. dkt. 017469-0314661
`
`[0050]
`In the illustrated embodiment, IS 150 can be both an in-memory real(cid:173)
`time database and a subscription server. For example, client processes are
`able to perform database functions using SQL with the familiar programming
`model of relational data tables. In addition, the IS 150 can provide a data
`
`subscription service where the client software receives asynchronous
`
`notification whenever data that meets their selection criteria is inserted,
`updated, or deleted. A subscription uses the full power of an SQL select
`
`statement to specify which table columns are of interest and what row
`
`selection criteria is used to filter future data change notifications.
`[0051] Because the IS 150 is both a database and a subscription server,
`clients can open "synchronized" subscriptions to existing table data when they
`are initialized. The IS 150 provides data synchronization through a
`
`publish/subscribe mechanism, in-memory data tables, and supervisory logic
`for marshalling events and alarms through the system. The IS 150 provides
`several messaging TCP/IP based technologies including sockets, UDP, and
`publish/subscribe.
`[0052] For example, the IS 150 architecture can use multiple data hubs (i.e.,
`SQL databases) that can provide real-time data management and
`subscription functions. Application modules and user interfaces use SQL
`messages to access and update information in the data hub(s). Due to
`performance limitations associated with posting run time data to the relational
`database, run time data is posted to in-memory data tables managed by the
`IS 150. The contents of these tables can be posted to the relational database
`at the end of wafer processing.
`[0053]
`. In the illustrated embodiment shown in FIG. 1, a single client
`workstation 170 is shown but this is not required for the invention. The APC
`
`system 145 can support a plurality of client workstations 170. In one
`embodiment, the client workstation 170 allows a user to configure sensors; to
`
`view status including tool, chamber, and sensor status; to view process
`
`status; to view historical data; to view fault d