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Spectroscopic Ellipsometry Data Analysis: Measured Versus Calculated Quantities
Spectroscopic Ellipsometry Data Analysis: Measured Versus Calculated Quantities
Spectroscopic Ellipsometry Data Analysis: Measured Versus Calculated Quantities
33]39
Abstract
Spectroscopic ellipsometry is a very powerful technique for optical characterization of thin-film and bulk materials, but the
technique measures functions of complex reflection coefficients, which are usually not of interest per se. The interesting
characteristics, such as film thickness, surface roughness thickness and optical functions can be determined only by modeling
the near-surface region of the sample. However, the measured quantities are not equivalent to those determined from the
modeling. Ellipsometry measurements determine elements of the sample Mueller matrix, but the usual result of modeling
calculations are elements of the sample Jones matrix. Often this difference is academic, but if the sample depolarizes the light,
it is not. Ellipsometry calculations also include methods for determining the optical functions of materials. Data for bulk
materials are usually accurate for substrates, but are not appropriate for most thin films. Therefore, reasonable parameteriza-
tions are quite useful in performing spectroscopic ellipsometry data analysis. Recently, there has been an increased interest in
anisotropic materials, both in thin-film and bulk form. A generalized procedure will be presented for calculating the elements
of the Jones matrix for any number of layers, any one of which may or may not be uniaxial. Q 1998 Elsevier Science S.A.
Keywords: Generalized ellipsometry; Ellipsometry calculations; Anisotropic materials; Mueller matrices; Depolarization;
Parameterization of optical functions
resulting from the sample anisotropy. Of course, not all of these elements are independent
In this paper, the procedure used to compare calcu- in that any polarization system cannot ‘overpolarize’
lations with SE data will be examined. First, the the light, nor can the output energy exceed the input
differences between measured and inferred quantities energy; this leads to several necessary constraints on
will be discussed. Secondly, the three steps involved in the elements of M w7x. The intensity of the light
comparing SE data with a model of the near-surface incident upon the detector is a linear combination of
region of a sample will be briefly outlined. Some of the elements of M:
the recent model parameterizations used to deal with
thin film and bulk materials will then be discussed. I s S PSD M S PSG . Ž4.
Finally, the steps involved in calculating the CRCs
from models where one or more of the constituents is
Usually, ellipsometers measure two to four indepen-
anisotropic will be outlined.
dent linear combinations of the Mueller matrix ele-
ments. If the PSG ŽPSD. does not contain a compen-
2. Measured and calculated quantities
sating element, then the fourth element of S PSG ŽS PSD .
will be 0 and the ellipsometer is not sensitive to
2.1. Measured quantities
elements of the fourth row Žfourth column. of M.
In a generalized ellipsometry experiment, the light
from the source passes through the polarization state 2.2. Calculated parameters
generator ŽPSG., interacts with the sample Žreflects
from or transmits through. and then passes through Optical calculations for a reflection ellipsometry
more polarization optics and is detected wthe polariza- experiment determine the elements of the complex
tion state detector ŽPSD.x. The light that has passed Jones reflection matrix, given by
through the PSG is described by its Stokes vector
w5,6x, where rp p rp s
rp p rp s
Io Io
Js
ž rs p rs s / ž
s rs s
rs p 1 /
I0 y I90
U
V
0 0
S PSG s Q s
I45 y Iy45
Ir c y Il c
Ž1.
s rs s
ž gp p e iD p p
gs p e iD s p
gp s e iD p s
1 / , Ž5.
The elements of the Stokes vector are all intensities where the elements are the polarization-dependent
and are therefore real. The quantity Io is the total complex reflection coefficients. The elements of this
intensity and Iy4 5 , I0 , I45 and I90 are the intensities Jones matrix will depend upon the angle of incidence
of light polarized at y458, 08, 458 and 908 with respect and the details of the near-surface region of the
to the plane of incidence of the sample. The quanti- sample, including the number and thicknesses of the
ties Ir c and Il c denote the intensities of right-cir- thin films, as well as their refractive indices Ž n. and
cularly and left-circularly polarized light. The Stokes extinction coefficients Ž k .. For transmission experi-
representation contains all possible polarizations of ments, the r terms are replaced with complex trans-
the light beam, including partial polarization. In gen- mission coefficients t. The normalized Jones matrix
eral, has six independent quantities. If the sample is
isotropic, then the off-diagonal elements are zero and
1r2
Io G Ž Q 2 q U 2 q V 2 . , Ž2. only two parameters are independent.
To compare the calculated Jones matrix with exper-
where the equal sign holds for totally polarized light. imentally measured quantities Želements of the sam-
The PSD can be represented by the transpose of Eq. ple Mueller matrix., one can calculate an equivalent
Ž1.. Therefore, one requires a 4 = 4 Mueller matrix M Mueller]Jones matrix given by w8x
to describe the interaction of the light beam with the
sample, given by M s A Ž Jm J ) . Ay1 Ž6.
G.E. Jellison r Thin Solid Films 313]314 (1998) 33]39 35
1 yN 0 0 Ms
yN
Ms
0
0
1
0
0
0
C
yS
0
S
C
0 Ž 8a .
1
yNy a s p
C ps q j 1
yNy a ps
1 y a s p y a ps
yC p s q j 1
Cs p q z 1
yC s p q z 1
C q b1
Ss p q z 2
yS s p q z 2
S q b2
0 ,
Ms b 1 s Ž Dr2.Ž C s p C p s q S s p S p s .
1 yN 0 NdSw0 b 2 s Ž Dr2.Ž C s p S p s y S s p C p s . Ž 11k,l.
yN 1 SdSw1 ydS w 0 y CdS w1
0
yNdSw1
SdSw0
dS w1 q CdS w 0
C y Sd W
yS y Cd W
S q Cd W
C y Sd W
,
0
Ž 8b .
z 1 s Ž Dr2.Ž C C p s q S S p s .
z 2 s Ž Dr2.Ž C S p s y S C p s . Ž 11m,n.
j 1 s Ž Dr2.Ž C C s p q S S s p .
where j 2 s Ž Dr2.Ž C S s p y S C s p . . Ž 11o,p.
ej y e
If it can be assumed that the light reflecting from 0 s Ý fj ; 1 s Ý fj , Ž 14 .
or transmitted through a sample can be represented ej q 2 e
j j
by a modified Mueller]Jones matrix, the fitting of
ellipsometric data is a three-part procedure w3x. where the sum goes over j constituents Žsee Roussel
et al. w34x for an elegant method for performing this
1. Assume a model, including the number of layers calculation with two constituents, thereby avoiding
and layer type Žisotropic, anisotropic, or graded.. problems associated with the selection of the proper
2. Determine or parameterize the optical functions branch from a multivalued inverse of a complex func-
of each layer. tion.. Generally, the early work did not use a reliable
3. Fit the data with a suitable algorithm and figure measure of the figure of merit, so it is not possible to
of merit to obtain the unspecified parameters. know whether the data actually fit the model. Recent
experience has shown that this model is not generally
As was previously shown w3,19,20x, Step 3 is critical. useable, but can be reliable in certain circumstances.
If there is no measure of the figure of merit, one does Although amorphous materials often have optical
not know whether the model fits the data. One must functions that depend upon deposition conditions, the
use an error-based figure of merit, such as the re- optical functions usually have no sharp features and
duced x 2 , which is given by so it is possible to model them using only a few
G.E. Jellison r Thin Solid Films 313]314 (1998) 33]39 37
parameters. One of the first attempts to parameterize characterize a series of SiN films grown on silicon
the optical functions of amorphous materials is due to using plasma-assisted chemical vapor deposition. In
Forouhi and Bloomer w35x. In this formulation, the both cases, the fits obtained from the TL model were
extinction coefficient k Ž E . was far better. In the case of the SiN work, e 1Ž`. was set
to 1 and the resulting x 2 tests were all near 1,
AŽ Ey Eg .
2 verifying that the model fits the data.
kŽ E. s Ž 15 . An alternate empirical model, using seven parame-
E 2 y BEq C ters, has been proposed by Yamaguchi et al. w29x
which consists of a sum of damped harmonic oscilla-
and the refractive index nŽ E . was determined using
tor terms ŽLorentz oscillators., whose square root
Kramers]Kronig integration, where an additional fit-
amplitudes are distributed according to a hyperbolic
ting parameter nŽ`. was included. This formalism
function of photon energy connected to an exponen-
approximately fitted some data in the literature, but
tial function. Reasonable fits to a-Si and a-SiN data
again a realistic figure of merit to quantify the good-
sets w38x were obtained over a very wide energy range,
ness of fit was not used.
although no attempt was made to determine a good-
There are several fundamental errors in the Forouhi
ness of fit.
and Bloomer parameterization w30x:
Crystalline materials present even more of a chal-
lenge to parameterize the optical functions, where
1. k Ž E . ) 0 for E- Eg . This is clearly unphysical for
critical points exist in the optical spectrum that often
interband transitions.
result in sharp features in the dielectric response
2. k Ž E . ª constant as Eª `. k Ž E . should go to 0
functions. A realistic model becomes even more im-
as 1rE 3 or faster.
portant when one wishes to simulate spectra from
3. In performing the Kramers]Kronig analysis,
alloys, such as Al xGa 1yx As or Si xGe 1yx , which con-
Forouhi and Bloomer did not use the time-rever-
tain critical points in the optical spectrum that vary
sal requirement that k ŽyE . s yk Ž E ..
continuously with composition x. Snyder et al. w23x
compared three models for the dielectric functions of
Recently, Jellison and Modine w30x derived a model
Al xGa 1yx As and found that the best fits were ob-
for the optical functions of amorphous materials that
tained when the critical points were modeled using
does not violate the problems listed above. This for-
one or more Lorentz oscillators. For each oscillator,
mulation uses a combination of the Tauc band edge
the peak energy, width and amplitude is fit as a
and the Lorentz formulation for a collection of un-
function of x, allowing the composite dielectric func-
coupled atoms to determine the imaginary part of the
tion to be calculated as a function of x. This approach
complex dielectric function e 2 Ž E ., which is given by
works reasonably well near the critical points, but
2
breaks down at small photon energies where the
AEo C Ž Ey Eg . 1 absorption coefficient becomes small. Susuki and
e 2T L s E) Eg s 0 EF Eg Adachi w28x used a similar approach to fit the spec-
2
Ž E 2 y Eo2 . q C 2 E 2 E
troscopic ellipsometry data from microcrystalline sili-
Ž 16 . con films. One of the main problems with this ap-
proach is that often 15 or more parameters are re-
The real part of the dielectric function is determined quired to fit crystalline spectra and correlations
from e 2 Ž E . using Kramers]Kronig integration from 0 between parameters can become significant.
to `, so time-reversal symmetry need not be con-
sidered. The model employs at least four fitting
5. Calculations involving anisotropic materials
parameters: the band gap Eg , the Lorentz resonant
energy Eo , the Lorentz broadening parameter C and
the transition matrix element, which is proportional Until very recently, very little spectroscopic ellip-
to A. In some cases, one can include e 1Ž`. as a fifth sometry work has been done on anisotropic materials.
parameter, although this is not always necessary Žoften The problem is both experimental and theoretical. In
it can be set directly to one. w37x. Several data sets general, the off-diagonal elements of the sample Jones
found in the literature were fit to this Tauc]Lorentz matrix ŽEq. Ž5.. are non-zero, so additional measure-
ŽTL. model and the fits were far better than when the ments must be made to determine all the compo-
Forouhi and Bloomer w35x model was used. nents. Using a rotating element ellipsometer at multi-
Recently, the TL model has been used by Fujiwara ple polarizer azimuths, Schubert et al. w39x measured
et al. w36x to analyze spectroscopic ellipsometry data the six independent elements for rutile ŽTiO 2 ., which
from graded amorphous silicon]carbon alloys. Jel- is a uniaxial material. Using two-modulator general-
lison et al. w37x have also used the TL model to ized ellipsometry w14x, Jellison et al. w40x simultane-
38 G.E. Jellison r Thin Solid Films 313]314 (1998) 33]39
ously measured seven components Žin the NSC repre- This expression gives the solution in terms of the
sentation . with a single measurement Žthe measure- electric and magnetic field components. However, we
ment of the S parameters means that the surface observe elements of the modal matrix w43x, F T s Ž E x ,
roughness can be taken into account; this is not R x , Ey , R y .
possible with the measurements of Schubert et al.
w39x.. Ex
Theoretically, the analysis of spectroscopic ellip-
sometry data where one or more of the components is
anisotropic is considerably more involved than for
isotropic media w41]53x. The approach which we have
used in our laboratory is based primarily on the paper
by Berreman w42x and the modifications of Lin-Chung
Fs
Rx
Ey
0
s x 0C Ž 0 .
Ry
¡ 1
cos Ž f .
0 0
¦
w43,53x. There are significant parallels between this na
calculation and that of Schubert w49x. cos Ž f .
The Berreman equation is given by y1 0 0
1 na
s C Ž0.
dC 2 1
s iDC 0 0 1
dz
Ž 17 . n a cos Ž f .
¢ §
1
where C T s Ž E x , H y , E y , yH x . and D is the 4 = 4 0 0 1
n a cos Ž f .
complex Berreman matrix. The components of the C
matrix are just the instantaneous electric and mag- Ž 21 .
netic fields in the x- and y-directions, where the
z-direction is defined as perpendicular to the plane of where E x , E y are the x- and y-components of the
stratification. This is just a re-formulation of Maxwell’s electric field for the input light and R x , R y are the
equation. For a uniaxial crystal, the Berreman matrix x-and y-components of the electric field for the re-
becomes w45x flected or output light. The solution in the substrate
must also be transformed to the modal solution, which
D 11 D 12 D 13 0 yields
D 21 D 11 D 23
Ds
0
D 23
0
D 13
0
D 43
¨
where the elements are given by Wohler
0
1
0
0
et al. w45x. If
Ž 18 . F s x 0 Py1 Ž d1 . Py1 Ž d 2 . ??? Py1 Ž d n . xsFs s MFs , Ž 22.
Ž 23b .
The qi are the four eigenvalues of the D matrix ŽEq. m 02 m 20 y m 00 m 22
Ž18.. and the x matrix is a 4 = 4 matrix where the i th m m y m12 m 00
column is the i th eigenvector associated with qi . r s p s 10 02 Ž 23c .
m 02 m 20 y m 00 m 22
If the near-surface region consists of several layers,
then m m y m 32 m 00
r s s s 30 02 Ž 23d.
m 02 m 20 y m 00 m 22
C Ž 0 . s Py1 Ž d1 . Py1 Ž d 2 . ??? Py1 Ž d n . C Ž d1
Note that the A1 and A 3 constants are not involved
qd 2 q ??? qd n . . Ž 20 . in the expressions of Eqs. Ž23..
G.E. Jellison r Thin Solid Films 313]314 (1998) 33]39 39
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