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Improving the surface metrology

accuracy of optical profilers by using


multiple measurements

Xudong Xu
Qiushi Huang
Zhengxiang Shen
Zhanshan Wang

Xudong Xu, Qiushi Huang, Zhengxiang Shen, Zhanshan Wang, “Improving the surface metrology accuracy
of optical profilers by using multiple measurements,” Opt. Eng. 55(10), 104105 (2016),
doi: 10.1117/1.OE.55.10.104105.

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Optical Engineering 55(10), 104105 (October 2016)

Improving the surface metrology accuracy of optical


profilers by using multiple measurements
Xudong Xu,a,b Qiushi Huang,a,b Zhengxiang Shen,a,b and Zhanshan Wanga,b,*
a
Tongji University, Key Laboratory of Advanced Micro-Structured Materials, Ministry of Education, Shanghai 200092, China
b
Tongji University, Institute of Precision Optical Engineering, School of Physics Science and Engineering, Shanghai 200092, China

Abstract. The performance of high-resolution optical systems is affected by small angle scattering at the mid-
spatial-frequency irregularities of the optical surface. Characterizing these irregularities is, therefore, important.
However, surface measurements obtained with optical profilers are influenced by additive white noise, as indi-
cated by the heavy-tail effect observable on their power spectral density (PSD). A multiple-measurement method
is used to reduce the effects of white noise by averaging individual measurements. The intensity of white noise is
determined using a model based on the theoretical PSD of fractal surface measurements with additive white
noise. The intensity of white noise decreases as the number of times of multiple measurements increases. Using
multiple measurements also increases the highest observed spatial frequency; this increase is derived and cal-
culated. Additionally, the accuracy obtained using multiple measurements is carefully studied, with the analysis
of both the residual reference error after calibration, and the random errors appearing in the range of measured
spatial frequencies. The resulting insights on the effects of white noise in optical profiler measurements and the
methods to mitigate them may prove invaluable to improve the quality of surface metrology with optical profilers.
© 2016 Society of Photo-Optical Instrumentation Engineers (SPIE) [DOI: 10.1117/1.OE.55.10.104105]

Keywords: optical profilers; noise reduction; surface metrology; multiple measurements; power spectral density.
Paper 161136 received Jul. 17, 2016; accepted for publication Sep. 23, 2016; published online Oct. 14, 2016.

1 Introduction reliable when based on PSD measurements of different


High-resolution imaging systems are under increasing but overlapping spatial frequency ranges—provided that dif-
demand in some rapidly evolving areas such as astrophysics, ferent objectives or instruments are used—if the surface dis-
high-energy physics, and medicine.1–6 However, the resolu- tribution conforms with fractal theory.24–28 However, we find
tion of these systems is limited by scattering from optical that the PSD curves cannot be easily connected in the overlap
surface errors,7–11 especially small-angle scattering at the frequency region when different objectives are used in the
mid-spatial-frequency (MSF) surface irregularities.12,13 The optical profiler; they are also not easily connectable to the
MSF irregularities may reduce peak intensity, increase curves obtained using atomic force microscopy (AFM).29,30
the light spot size, and blur the obtained image.14,15 The main reason for these difficulties is the omnipresent
Optical profilers are used to determine MSF irregularities, white noise—which can be easily distinguished as a horizon-
because the spatial frequency measuring range of optical pro- tal line in a log–log PSD curve. The presence of white noise
filers is ∼10−3 to 1 μm−1 , which is the same range of the largely reduces the effective highest spatial frequency; the
typical MSF surface irregularities.16–18 levels of white noise must, therefore, be reduced.31,32
However, practical measurements using optical profilers A commonly used method to reduce the variance of addi-
are always affected by electrical noise, vibrations, aberration, tive white noise is to average multiple measurements, lever-
and other interfering sources, which result in considerable aging the statistical independency between different noise
image blurring; the effective highest measured spatial fre- realizations.33,34 Multiple measurements can also be used
quency is, therefore, always lower than the Nyquist fre- with optical profilers; averaging the random fluctuations of
quency or the spatial frequency of the corresponding optical each pixel along multiple measurements can decrease the
diffraction limit. To increase the effective spatial frequency, noise variance by a factor proportional to the number of aver-
gratings and spheres have been used to measure the modu- aged measurements in the case of additive white noise.
lation transfer function and to calibrate the response of opti- When using multiple measurements, additional details of
cal profilers.19,20 However, these methods are restricted to the surface profile can be recognized, which may signify an
traceable measurement tools, suffer from many calibration increase in the effective highest measured spatial frequency.
artifacts, and do not include the influence of random errors This is not enough, however, to fully understand the effect of
in the individual measurements.21 multiple measurements; a qualitative study of the intensity of
The surface measurements of power spectral density white noise and the effective highest spatial frequency (and
(PSD) are commonly used to evaluate surface errors at differ- their mutual influence) is necessary. Moreover, the system-
ent spatial frequencies, and calculate the three-dimensional atic accuracy of the residual reference error after calibration,
scattering.22,23 Extrapolations based on the PSD are more and the random errors in the range of the measured spatial
frequencies should be derived.
*Address all correspondence to: Zhanshan Wang, E-mail: wangzs@tongji.edu
.cn 0091-3286/2016/$25.00 © 2016 SPIE

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Xu et al.: Improving the surface metrology accuracy of optical profilers by using multiple measurements

In Sec. 2, the basic theory underlying the PSD of white sources—the PSD of white noise has a constant value across
noise and fractal surfaces will be introduced; based on this frequency (that constancy being the reason for the term
theoretical framework, the problem of white noise in mea- “white”) and appears (ideally) as a horizontal straight line
surements obtained with optical profilers is discussed in in plots whose horizontal coordinate is the tangential spatial
detail. In Sec. 3, the multiple-measurement method is intro- frequency.30,36 The PSD of the white noise (and, therefore,
duced and evaluated as an approach to reduce the presence of the noise power, by integrating this density over the band-
white noise. A mathematical model of the multiple-measure- width) can be easily obtained by simply fitting a constant
ment technique is then proposed to calculate the intensity of value to its PSD.
the white noise. Finally, in Sec. 4, the highest spatial fre- To eliminate the leakage effect in the spectral estimate that
quency obtainable when using multiple measurements is results from having only finite-length data, a data window
carefully calculated, based on the model. The systematic function is used to smooth the ends of the observation seg-
accuracy of the residual reference error after calibration, ment. In this application, avoiding high sidelobe labels
and the random errors in the measuring spatial frequency (and, therefore, inaccuracies in the amplitude information
range are also carefully studied. of the PSD) is more important than frequency resolution.
Therefore, a Blackman window is chosen; this window
has a wide main lobe and low sidelobe levels, implying a
2 Theoretical Framework slightly diminished frequency resolution, but accurate ampli-
tude information, without disturbing artifacts generated by
2.1 Surface Characterization Using the Power sidelobes.35,37 Therefore, in this manuscript, all surface
Spectral Density height sequences are processed with a Blackman window
The surface figure and roughness can be specified in terms of before being Fourier transformed to obtain the PSD.
statistical quantities such as root-mean-square (rms) height
fluctuation and residual slope variation. However, to estimate 2.2 White Noise Effect
beamline system parameters, the surface errors should be
determined considering their spatial frequency bandwidth; The consequences of the presence of additive white noise in
evaluation of the PSD of surface errors is, therefore, the pre- the measurements are easily observable in the PSD of the
ferred method. The PSD of optical and engineering compo- measured data. To show this, a sample of Si material was
nents’ surfaces is a spectral description of the surface height characterized using an optical profiler based on phase scanning
measurements obtained from the surface topography. In interferometry (Contour GT-X3 from Bruker™). Figure 1(a)
practice, the PSD at the required frequency range can be shows a log–log plot of the PSD of the Si sample surface
extrapolated by fitting a more or less simple analytical obtained with the optical profiler and three different objectives.
model to the spectra measured with bandwidth-limited Figure 1(b) adds to these PSD curves obtained with AFM (for
instruments, such as the inverse-power-law PSD based on three different ranges), and the linear fitting line obtained with
fractal theory.35 The extrapolated PSD spectrum can then AFM data. Only the x-direction PSD is shown in this manu-
be used to simulate metrology data for x-ray optics before script, because the isotropic surface exhibits identical varia-
fabrication and predict the performance of the optical sys- tions on all tangential directions of measurement.
tem. When the PSD is obtained by multiple instruments As shown in Fig. 1, the different PSD curves obtained
or objectives of different but overlapping spatial frequency with the optical profiler and the three different objectives
ranges, the obtained data become more reliable. are not good matches to each other in the overlap frequency
According to fractal surface theory,35 the one-dimensional regions; they are also unable to connect harmoniously with
PSD follows an inverse-power-law Af−γ function, with the curves obtained by AFM. The reason for these imperfect
power parameter γ between 1 and 3. The measured PSD matches lies in the heavy tail that each one of these curves
spectra were typically found to be well approximated by an invariably presents, which can be very clearly observed in
inverse-power-law function with γ ≈ 2, especially for step Figs. 1(a) and 1(b). If these tail regions are disregarded,
phase elements of the appropriate height. Moreover, the the residual PSD curves become good matches to the straight
power parameter γ of many high-quality x-ray optics can be line of negative slope predicted by fractal surface theory. As
close to one. The expected surface height distribution can be mentioned in Sec. 2.1, white noise appears in the PSD as a
accurately predicted by the surface PSD, obtained in the constant value across frequency (a horizontal line in the PSD
medium-spatial-frequency range (approximately between plot). It may, therefore, be inferred (and will be shown to be
10−3 and 1 μm−1 ) with optical profilers, and in the high- the case) that the presence of white noise is the main cause for
spatial-frequency range (between 1 and 102 μm−1 ) with the observed tailing effect, which causes a clear leveling of the
AFM.29,36 According to the inverse-power-law, the PSD of PSD values. This effect has a noticeable influence in the mea-
a sequence with scale invariance (or fractal nature) is a straight surements, limiting their maximum effective spatial frequency,
line in a log–log plot, the absolute value of the line slope hav- and thereby decreasing spatial resolution. The white noise
ing a positive relation with the power parameter γ. levels of every single shot should, therefore, be reduced.
The term noise refers here to any additive undesirable sig-
nal that disturbs the transmission and decreases the resolu- 3 Multiple Measurements for White Noise
tion of optical profiler systems. The sources of noise may be Reduction
external or internal to the system. External noise includes
man-made noise, atmospheric noise, and other electromag- 3.1 Mathematical Model of Multiple Measurements
netic radiation signals, whereas internal noise includes ther- As mentioned above, additive white noise can be the main
mal noise, mechanical noise, and electrical noise.32 However, factor affecting the maximum effective spatial frequency
independently of the noise source—or, typically, the multiple range. As has been discussed, a common and simple method

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Xu et al.: Improving the surface metrology accuracy of optical profilers by using multiple measurements

Fig. 2 PSD curves for the average of multiple profile measurements


taken at different times; fused silica sample, using the optical profiler
with a 2.5× objective.

To quantitatively confirm that the high-frequency tails


result from the presence of additive white noise, the ratio
of tail reduction must be determined to be strictly equal
to the number of average independent profile measurements,
a verification that requires some experiments and analyses.
The PSD of white noise should be determined first. To do
that, a model consisting of the sum of the PSD of an ideal
fractal surface and a constant term c (the ideal white noise
PSD) is used; its parameters are found by a least squares fit to
the measured global PSD data. The objective function for the
least squares fit is given in the following equation:
X
min FðA; γ; cÞ ¼ fln½PSDðfÞ − lnðAf −γ þ cÞg2 :
EQ-TARGET;temp:intralink-;e001;326;391 (1)
f
Fig. 1 (a) Log–log plot of the PSD curves of the Si sample surface
obtained with an optical profiler (Contour GT-X3 from Bruker™), for The term Af −γ is the one-dimensional inverse-power-law fit
three different objectives. (b) Log–log plot of the PSD curves of the to the PSD spectral distribution, according to the fractal sur-
Si sample surface obtained with both the optical profiler and AFM face theory; the constant term c is the PSD of white noise.
(with three different wavelengths), and linear fit obtained with the
AFM data.
The fit of the model to the measured PSD is made after tak-
ing the logarithm of both functions; otherwise, the efficiency
of the procedure would be severely impacted. The results of
to reduce the variance (or, equivalently, the PSD) of white fitting the discussed model to the measured PSD of the fused
noise is to average over multiple measurements. If the silica are shown in Fig. 3, both for the case of a single meas-
noise realizations in the different measurements are indepen- urement, and for the average of 30 independent profile mea-
dent (a safe assumption), the variance of the mean will be the surements, using a 2.5× objective.
variance of the additive white noise σ 2 divided by the number Let us denote by K the observed white noise PSD in a
of averaged measurements. Figure 2 shows the PSD curves single-surface profile measurement. As mentioned above,
for the average of multiple profile measurements taken at assuming the independence of the observation noise in dif-
different times, with a fused silica sample, using the optical ferent profiles, the noise level of the average of T different
profiler with a 2.5× objective. profile measurements, cðTÞ, should then respect the simple
Figure 2 shows that the heavy tail at high-frequencies equation cðTÞ ¼ K∕T. However, the obtained experimental
declines with the increase in the number of averaged profile data show that the noise level in the PSD densities of
measurements. The ratio of PSD decrease at the highest fre- the averaged measurements is always higher than K∕T.
quency is close to the number of averaged profile measure- Analyzing the experimental data, a constant additive com-
ments, which agrees well with the notion that white noise is pensation term η was found; after subtracting this constant
mainly responsible for the surface PSD heavy tail. We can, term from the measured noise level, the variance reduction
therefore, conclude that white noise existed in the measure- model becomes a good fit to the measured data. This com-
ments and induced the increase in the PSD curves at high pensating term will be called “background white noise,”
frequency. Furthermore, this experiment shows that white because of its behavior and effect in the model. With
noise (and, therefore, the heavy tails at high frequency) the introduction of the compensating term η, the overall
can be reduced using the multiple-measurement method. white noise in the PSD must now be considered as being

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Table 1 Statistical parameters of multiple measurements; each


multiple measurement was repeated five times.

2.5× objective 10× objective 50× objective

T c̄ (nm3 ) σ c (nm3 ) c̄ (nm3 ) σ c (nm3 ) c̄ (nm3 ) σ c (nm3 )

1 1225.5 32.1 652.0 8.71 148.9 7.72

2 627.8 18.7 325.9 5.66 70.29 3.71

5 258.3 11.8 134.3 3.07 29.8 2.81

10 138.3 7.62 72.04 7.00 14.6 1.24

20 67.11 3.65 36.72 2.56 7.16 0.97

50 29.24 1.60 18.04 2.69 2.72 0.24

100 18.37 0.94 9.95 0.81 1.50 0.14

η 5.58 3.60 0.0093

(different values of T were used) and was performed five


times. The statistical parameters of the obtained data are
shown in Table 1.
As mentioned above, the data were obtained from multi-
ple measurements repeated five times. The variables c̄ and σ c
are the average and standard deviation of the values obtained
for c̄ in each of the corresponding five measurements. The
behavior of the resulting residual error [K − ðc − ηÞT] indi-
cates that the model is virtually correct; no trend in this error
is observed when the number of averaged measurements
increases. It is remarkable that the background white noise
density η for the 50× objective is so small that it can be
almost ignored.
The PSD curves for the T ¼ 100 cases are shown in
Fig. 3 Fitting the model to the PSD of the fused silica sample, mea- Fig. 4, for the three different objectives. As can be seen,
sured with a 2.5× objective. (a) Single-surface measurement. the PSD curves of the different objectives are almost coinci-
(b) Average of 30 profile measurements. dent in their overlap area, far closer to each other than in
the single-measurement case shown in Fig. 1(a). However,
constituted by two components: the “observation noise,” the white noise effect is still present in all three curves.
whose variance will decrease with the increase in the number
of averaged profile measurements in accordance with the
expected 1∕T factor, and the “background noise,” of spectral
power density η, whose additive contribution to the PSD does
not depend on the number of averaged measurements—
and whose source does not, therefore, lie in the individual
measurements themselves. The modified model, therefore,
becomes

K∕T ¼ cðTÞ − η:
EQ-TARGET;temp:intralink-;e002;63;209 (2)

In this equation, η is the PSD of the background white noise,


and the modified variable K is the single-profile measure-
ment white noise power density with η removed. Accord-
ing to this equation, the background white noise line can
be considered as an asymptote of the white noise.

3.2 Parameter Determination


To accurately obtain the value of η, multiple-surface measure-
ments were performed on fused silica. Each multiple-surface Fig. 4 PSD curves of multiple measurements (T ¼ 100) with three
measurement corresponds to the average of T measurements different objectives.

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Xu et al.: Improving the surface metrology accuracy of optical profilers by using multiple measurements

Because of this, the tails of the 2.5× and 10× objectives


exhibit discontinuities in their alignment with the other
curves.

4 Lateral Spatial Frequency and Optical Profiler


Accuracy Using Multiple Measurements
4.1 Lateral Spatial Frequency Using Multiple
Measurements
Figure 5 shows the surface topology of a given area—
measured with the optical profiler and the 10× objective—
obtained from multiple measurements with different values
of T (1, 10, and 30). The polishing or grinding traces can be
clearly observed in Fig. 5(c) and are still observable (even
though slightly blurred) in Fig. 5(b). In Fig. 5(a), however,
it is impossible to distinguish any regular traces. The surface
details in the middle and even high spatial frequencies are
clear for T ¼ 30. The lateral spatial frequency range is, there-
fore, enlarged using the average of multiple individual
measurements.
The measured surface signal is necessarily affected by
noise. According to Shannon theory, the highest channel fre-
quency is the one for which the signal-to-noise ratio equals
unity. An approximate method to obtain this highest fre-
quency is, therefore, to calculate the crossover point of
the fit fractal surface PSD line and the horizontal line cor-
responding to the white noise. The highest spatial frequency
using multiple measurements can, therefore, be obtained
with the following equation:

 −1
K∕T þ η γ
f max ¼ : (3)
A
EQ-TARGET;temp:intralink-;e003;63;433

Using the data measured for the used silica sample to fit
an inverse-power-law Af−γ, the following approximate
fractal parameters are obtained for the sample: A ¼ 0.050,
γ ¼ 2.3. To compare the highest spatial frequency intrinsic
to the instrument and the actual maximum spatial frequency
obtained in the white noise contaminated measurements, sev-
eral parameters were extracted for the T ¼ 1 and T ¼ 30
cases, with different objectives: optical resolution, sample
resolution, and the corresponding highest spatial frequency.
The results are listed in Table 2.
According to the profiler’s manual, the inherent resolu-
tions of the 2.5× and 10× objectives are limited by the
Nyquist frequency, whereas the inherent resolution of the
50× objective is limited by the Rayleigh criterion. How-
ever, in actual measurement, the obtained highest spatial Fig. 5 Surface measurements of the same area obtained with the
frequency is far less than the intrinsic parameter of the instru- optical profiler (10× objective lens) for multiple measurements with
different values of T . (a) T ¼ 1, (b) T ¼ 10, and (c) T ¼ 30.
ment, as shown in Table 2. The highest spatial frequency in
the T ¼ 30 case is, however, approximately four times
higher than that of single measurements; that is why the top-
ology shown in Fig. 5(c) shows more surface detail than 4.2 Accuracy of the Optical Profiler Using Multiple
Measurements
Figs. 5(a) and 5(b). The degree of increase of the highest
spatial frequency will be somewhat influenced by the param- To evaluate the accuracy of the optical profiler using multiple
eter γ of the sample being measured. The parameter γ can measurements, both the systematic and random error com-
directly influence the index term in Eq. (3). According to ponents must be considered. The reference surface error is
Eq. (3), the highest spatial frequency increases when the the most influential systematic error in optical profiler mea-
parameter γ increases. surements. A common method to calibrate the reference

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Xu et al.: Improving the surface metrology accuracy of optical profilers by using multiple measurements

Table 2 Optical resolution, sample resolution, corresponding highest


spatial resolution, and observed highest spatial frequency for the
T ¼ 1 and T ¼ 30 cases.

Objective 2.5× 10× 50×

Optical resolution (μm) 3.80 0.90 0.50

Sampling resolution (μm) 3.96 0.977 0.196

Corresponding highest spatial 0.126 0.512 1.00


frequency (μm−1 )

Highest spatial frequency 0.012 0.016 0.031


obtained for T ¼ 1 (μm−1 )

Highest spatial frequency 0.051 0.066 0.137


obtained for T ¼ 30 (μm−1 )

Fig. 7 Deviation of the PSD curves obtained from the 15 recalibration


surface is to reduce the measured surface by averaging sev- measurements, using the 2.5× objective.
eral different regions of a standard sample with sufficiently
low roughness. However, residual reference surface errors
The rms value of the residual reference surface can be
may still remain. Random errors are mainly caused by tur-
obtained with the following equation:
bulence and vibration, and create differences between every
single-or multiple-performed measurement. A spatial fre- Z  
PSDr ðfÞ − η
quency random error (from low to high) may also exist in rm sr ¼
2 þ η df: (4)
n−1
EQ-TARGET;temp:intralink-;e004;326;502

the measurements. In this section, both the reference surface


error and the random errors are analyzed to evaluate the accu-
racy achieved by the profiler using multiple measurements. Integrating the PSD along the spatial frequency, the square of
the rms value can be obtained. The existence of background
white noise of density η is also considered in this equation.
4.2.1 Reference surface error The term n is the number of the measured region. An
The reference surface of the profiler is measured by averag- unbiased estimator is used here, which justifies the division
ing a SiC standard sample with 30 regions of different posi- by (n − 1). The residual surface error Er obtained with the
tions and rotation angles. A multiple measurement with 2.5× objective was calculated to be 0.042 nm.
T ¼ 30 is performed in each region. However, there is
still some residual reference error even if the reference sur- 4.2.2 Random error
face is calibrated with multiple measurements of a standard
surface. The frequency spectrum of the residual reference To obtain the random error present in multiple measure-
error can be calculated by averaging the deviations between ments, an area of the fused silica was measured with a T ¼
the results obtained for each region surface, and the average 30 multiple measurement; zero-order fringe and zero fringe
results for the 30 regions. The averaged PSD of the 30 calibrations were performed 15 times. The random error in
residual surfaces (using a 2.5× objective) is shown in Fig. 6. the surface measurement can be decomposed by spatial fre-
quency, and therefore, can be obtained by investigating the
deviations at the corresponding spatial frequencies. Figure 7
shows the deviation of the PSD curves obtained from the 15
recalibration measurements, using the 2.5× objective.
The rms value of the random error (Ere ) can also be cal-
culated by integrating the PSD along the spatial frequency as
Eq. (4) derived; a value of 0.045 nm was thus obtained. The
total error Et of the 2.5× objective can be approximately
obtained by calculating the 2-norm of the systematic and ran-
dom error terms, i.e., Et ¼ kEr ; Ere k2 ¼ 0.062 nm. In this
manuscript, only the 2.5× objective is analyzed for accuracy;
error analyses of the other two objectives can be performed
in exactly the same way.

5 Conclusion
The deleterious effects of the presence of white noise in
optical profiler measurements based on phase scanning inter-
ferometry are very apparent when the measured data are
characterized by its PSD; the presence of white noise is
Fig. 6 Averaged PSD of the 30 residual surfaces, using a 2.5× considered to be the main cause of diminished maximum
objective. effective spatial frequency and reduced accuracy in optical

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