Overview of Variable Angle Spectroscopic

Ellipsometry (VASE), Part I:

Basic Theory and Typical Applications

John A. Woollam, Blaine Johs, Craig M. Herzinger, James Hilfiker,

Ron Synowicki, and Corey L. Bungay

JA. Woollam Co., Inc., 645 'M' St. #102, Lincoln, NE 68508

ABSTRACT
Variable angle spectroscopic ellipsometry (VASE) is important for metrology in several
industries, and is a powerful teclutique for research on new materials and processes.
Sophisticated instrumentation and software for VASE data acquisition and analysis is
available for the most demanding research applications, while simple to use software
enables the use of VASE for routine measurements as well. This article gives a basic
introduction to the theory of ellipsometry, references "classic" papers, and shows
typical VASE applications. In the following companion paper, more advanced
applications are discussed.
Keywords: Ellipsometry, optical properties, spectroscopy, metrology

1. VASE THEORY
1.1. Introduction
The mathematical theory for ellipsometric analysis is based on the Fresnel reflection or
transmission equations for polarized light encountering boundaries in planar multi
layered materialsl,2. These come fr0I!l solutions to Maxwell's equations3. The
ellipsometric measurement is normally expressed in terms of Psi (') and Delta (~):

tan(') . eilJ. = p = r p
rs

(1)

where rp and rs are the complex Fresnel reflection coefficients of the sample for p- (in
the plane of incidence) and s- (perpendicular to the plane of incidence) polarized light,
illustrated in Figure 1. Spectroscopic Ellipsometry (SE) measures the complex ratio p
as a function of wavelength4-ll. Variable Angle Spectroscopic Ellipsometry (VASE)
performs the above measurement as a function of both wavelength and angle of
incidencel2.
Correspondence: Email: jwoollam@jawoollam.com; WWW: www.jawoollam.com;
Telephone: 402-477-7501; FAX: 402-477-8214

,..
II

Overview of Variable Angle Spectroscopic

Ellipsometry (VASE), Part I:

Basic Theory and Typical Applications

John A. Woollam, Blaine Johs, Craig M. Herzinger, James Hilfiker,

Ron Synowicki, and Corey L. Bungay

JA. Woollam Co., Inc., 645 'M' St. #102, Lincoln, NE 68508

ABSTRACT
Variable angle spectroscopic ellipsometry (VASE) is important for metrology in several
industries, and is a powerful technique for research on new materials and processes.
Sophisticated instrumentation and software for VASE data acquisition and analysis is
available for the most demanding research applications, while simple to use software
enables the use of VASE for routine measurements as well. This article gives a basic
introduction to the theory of ellipsometry, references "classic" papers, and shows
typical VASE applications. In the following companion paper, more advanced
applications are discussed.

Keywords: Ellipsometry, optical properties, spectroscopy, metrology

1. VASE THEORY
1.1. Introduction
The mathematical theory for ellipsometric analysis is based on the Fresnel reflection or
transmission equations for polarized light encountering boundaries in planar multi
layered materials J,2. These come froI!l solutions to Maxwell's equations3 The
ellipsometric measurement is normally expressed in terms of Psi ('II) and Delta (A):
'6

tan(') . e' = p = -.!!...

rs

(1)

where rp and rs are the complex Fresnel reflection coefficients of the sample for p- (in
the plane of incidence) and s- (perpendicular to the plane of incidence) polarized light,
illustrated in Figure 1. Spectroscopic Ellipsometry (SE) measures the complex ratio p
as a function of wavelength4-11. Variable Angle Spectroscopic Ellipsometry (VASE)
performs the above measurement as a function of both wavelength and angle of
incidencel2
Correspondence: Email: jwoollam@jawoollam.com; WWW: www.jawoollam.com;
Telephone: 402-477-7501; FAX: 402-477-8214

"

II

4 / Critical Reviews Vol. CR72

1. linearly polarlzed light ...

E

p:plane

s-plane

3. elllpticfllly polflr/zed light I

p-plane

Figure h- Interaction of polarized light with a sample.

Because ellipsometry measures the ratio of two values it is highly accurate and
reproducible, and no reference material is necessary. Because it measures a phase
quantity' A' (as well as an amplitude ratio), it is very sensitive even to the presence of
very thin films. Use of Spectroscopic Ellipsometry (SE) results in increased sensitivity
to multiple film parameters, and as well, eliminates the 'period' problem, associated
with interference oscillations in thick films. Another feature of SE is that it measures
data at the wavelength of interest, which is of particular importance for industrial
problems such as development of lithography at new wavelengths. Adding multiple
angles to spectroscopic capability (VASE) provides new information because of the
different optical path lengths traversed, and it optimizes sensitivity to the unknown
parameters.
To illustrate the thin film sensitivity advantage of ellipsometry over traditional
reflectivity measurements, consider the following figures. Figure 2 shows the
calculated change in reflectance caused by a thickness change of O.lom on a 100m
thick Si02 layer on crystalline Silicon. A typical reflectometer system can not
accurately measure intensity values to better than 0.1%, and therefore a reflectivity
measurement is not very sensitive to small changes in ultra thin film thicknesses.
(Reflectance precision may better than 0.10/0, but data accuracy is needed for thickness
accuracy.) The ellipsometric sensitivity to a similar change in thin film thickness is
shown in Figure 3. As typical ellipsometers can accurately measure 'P and A to better
than 0.02 and 0.1 respectively, iUs clear that film thickness changes down to the sub
A scale can easily be resolved with"this technique.

O.OOOOL-.--------,--.----~====:::c==:;-J
-0.0002

~ -0.0004
.5

~ -0.0006

"
G -0.0008
-O.OO1~==-----'---::400==-~--::600==-~--::600==-----L--:-::1000
Wavelength (nm)

Figure 2. Calculated change in reflectivity for a O.lnm thickness change on a IOnm Si02 on
Silicon sample.

I,

Optical Metrology / 5

0.065 .--------,,--......,.---.--~-.....,....-_,_-..,.___,0.10
II>

0.060

~
...,i'

0.055

'""

c::
..""

0.045

.5
Ql

~
l)

.().OO

g.
III

-Exp'!'-E75'

-_. Exp6E 75'

0.050

.s

.().10 ~.

?'

.().20

0.040

.().3O

0.035
0.030 '------'_----'-_~_----'-_~_
200
400
600

__'__

800

_'_____J

lr

<D

.().40

1000

Wavelength (nm)

Figure 3. Calculated change in ellipsometric parameters 'P and ~ for a O. lnm thickness change
on a IOnm Si02 on Silicon sample.

1.2. What Can Be Determined by VASE?

Many desired material parameters can be extracted by VASE analysis, including layer
thickness, surface and/or interfacial roughness, and optical constants. The ellipsometric
'l' and ~ data measured on a bulk sample can be directly inverted into the 'pseudo
optical' constants of the material, assuming that surface oxide and/or TOughness effects
are negligible (this transfonn is given by Equation 2, in which '<I>' is the angle of
incidence, and 'p' is the complex ellipsometric ratio defined in Equation 1). In
addition, VASE is also sensitive to gradients in material properties vs. depth in the film,
optical anisotropy, and any physical parameter that depends on the material optical
constants (such as crystallinity, alloy composition, and temperature). A full optical and
microstructure analysis of real materials, including multi-layered structures, requires
use of regression analysis, as will be explained in a following section.

1.3. Instrumentation Basics

Figure 4 shows the block diagram layout of a rotating analyzer spectroscopic
ellipsometer (RAE). Light from an arc lamp passes through a monochromator, and a
narrow spectral band of collimated light then passes through a polarizer, reflects at
oblique angle off the sample under study, passes through a second, rotating polarizer
(analyzer) and enters a detector. The angle of incidence in this ellipsometer is
computer controlled, and is generally in the range of 50 0 to 800 , depending on sample.
Other ellipsometer configurations (shown in Figure 5) are the Rotating Polarizer (RPE),
Rotating Compensator (RCE), and Polarization Modulation (PME). The predominant
configuration in the early history of ellipsometry was the Null Ellipsometer. In recent
years, however, the rotating element, or modulation-based ellipsometers have become
more popular13 .

II

6 / Critical Reviews Vol. CR72

de_

nzer

rotBling analyzer

and pho\Odode

/colrnating lens

Figure 4. Block diagram of a rotating analyzer spectroscopic ellipsometer.

Rotating Analyzer Ellipsometer (RAE)

_I

Polarizer

I- I

Sample

1_
,

r--'--......;..----,
Analyzer .

Rotating Polarizer Ellipsometer (RPE)

e
(l)

C/)
1:

:3'

(continuous
.Polarizer
Iy ro taUng')

(continuously rotating)

I I

Sample -

Analyzer - - - -

Rotating Compensator Ellipsometer (RCE)

-I

Polarizer

Compensator

(continuously rotating)

+1

Sam Ie

'-I

PI' ~

Anal

yz

er

Phase Modulation Ellipsometer (PME)

_I

Polarizer

I-I

Modulator

-I

Polarizer

I-I

1_ ff

I-I

Sample

I-I

Analyzer

I-I

Sample

r-I

Analyzer

Null Ellipsometer (NE)

Compensator

~
CD
~

Figure 5. Block diagram of various ellipsometer configurations.

Each ellipsometer configuration has different features and merits. With null
ellipsometers, the azimuth of each optical element is rotated to extinguish beam
intensity at the detector. Traditionally null ellipsometry data acquisition is slow,
involving manual adjustments. Also, it is difficult to make spectroscopic measurements,
thus for years laser sources were used. One positive attribute is that null ellipsometers
are accurate, and there are low systematic errors.
Polarization Modulation Ellipsometers can operate at very high modulation rates,
50kHz, and thus have the potential for very rapid data acquisition provided the probe
beam is intense enough (e.g. a laser) to achieve a reasonable signal-to-noise figure. In a
scanning wavelength spectroscopic configuration acquisition rates are usually limited
by the comparative low signal strength of a broad-band source and by monochromator
slewing speed. Because the typical PME modulator is not inherently spectroscopic
(e.g. drive voltage adjusted for each wavelength) and the modulation rate is typically
very high, PME type systems are not well suited to simultaneous measurements at
multiple wavelengths using an array based detector. Overall, spectroscopic PME

Optical Metrology / 7

systems are difficult to construct and calibrate, require very stable modulators are
required for high accuracy, and are noisy when 'f' is near 0 or 45 (depending the
particular instrument configuration).
Rotating Polarizer or Rotating Analyzer Ellipsometers (RPE or RAE) can be highly
accurate and are easy to construct. However, they are less sensitive to a when a is near
0 or 180, and secondly, the acquisition speed is theoretically limited by the rotating
element (IS-50Hz is typical). However, source intensity typically limits acquisition
speed to about 1 second per measurement. The RPE configuration places a static
(typically adjustable) polarizer after the sample. It is therefore immune to polarization
sensitivity effects in the detector, however, the RPE system is sensitive to residual
polarization in the source beam. Because monochromators tend to produce partially
polarized light, in the RPE configuration, the monochromator almost always comes
after the sample and "white light" (full spectrum of source) illwninates the sample,
which sometimes results in solarization of the optical elements and the measurement
beam can modify photosensitive samples. Conversely, the RAE system, with its static
polarizer before the sample, is not affected by residual source polarization but may
require calibration of detector polarization sensitivity for highest accuracy. In the RAE
system, the monochromator is almost always before the input polarizer and only one
wavelength at a time propagates through the system
The Rotating Compensator Ellipsometer (RCE) configuration has advantages over the
previous configurations in that it uses two static polarizers which eliminate sensitivity
to both residual source polarization and detector polarization sensitivity. Furthermore,
the RCE measures 'f' and a over their full ranges with almost equal accuracy. The
primary hurdle to RCE systems is designing the compensating element to be close
enough to ideal over an acceptable spectral range. The maximum speed is similar to
RPE and RAE style systems, but the RCE configuration is compatible with array based
detectors for truly parallel spectroscopic measurement. The RCE configuration is
discussed in more detail in the companion paper.
Other optical configurations have been used, but those described above are the main
ones used today. Specifications of major instrument types can be obtained from
manufacturer's product literature or from published research papers of instruments
developed in universities. This is not the place to give details of all the possibilities,
however much ellipsometry is now done spectroscopically, sometimes at a fixed angle
of incidence, but often at variable angles, with manual or automated control of angle of
incidence. The commercially available spectral range covers 150 nm to 33 !olIn, and
somewhat wider ranges have been used in academic research. Also, spectroscopy is
done using monochromators, diode or CCD arrays, or Fourier transform methods. The
other general configuration choice is between in situ (on a process chamber) and ex situ
(on table-top). Some instruments can perform intensity transmittance and reflectance
measurements, as well as reflection or transmission ellipsometry. Both horizontal and
vertical sample orientations are available. For complex anisotropic materials,
automated sample rotation stages have been used. Cryostat sample chambers have also
been adapted to allow VASE measurements as a function of temperature, typically from
4K to well above room temperature.

,,,., '''r''' "

-----"I~

8 / Critical Reviews Vol. CR72

1.4. Data Analysis Tbeory

Ellipsometry does not directly measure film thicknesses or optical constants, it

measures 'I' and!!.. To extract useful information about a sample, it is necessary to
perform a model dependent analysis of the ellipsometric 'I' and !!. data. Figure 6
outlines this process.
Model
structure: consists of layers of specified thicknesses
optical properties: each layer has optical constants

Layer#n

;;
~Layer Thicknesses

Layer #2
Layer #1
Substrate

....2--

Model Generated Data

use the model structure and
optical properties to cak:ulate
predicted data
(formulas used in calculation:

Snelrs law, Fresnel equations,

thin film interference expression)

L-----,----

f:. ~

Fit

- "\

compare generated

and experimental data, )

adjust model parameters

'-. to rrin,mlZ8 difference /

~---...-..,."""

Layer Optical Constants

:~: : ~~~~'::tro~=~~nt
~ can~IeX dielectric constant

/'

"-\

Experimental Data
VASE data acqUIred by
ellipsometer system
or any optical data acquired
by spectrophotometer. etc
\,

,I

Figure 6, Flowchart of VASE Data analysis procedure.

First, data are acquired covering the desired spectral range and angles of incidence. A
model for the optical structure of the sample is then constructed. For example, this may
include a substrate and a single film on top, or substrate plus film with roughness on
top, or more complex multilayer structures. In the example section below, we will
show the analysis of quite complex materials systems.
Second, the Fresnel equations along with the assumed model are used to predict the
expected 'I' and !!. data for the wavelength and angles of incidence chosen. Figure 7
shows light propagating from the ambient media into a simple system where the
material is a bulk solid, or has asingle film on a substrate). Analytic algebraic
expressions can be written for predicting 'I' and !!. as functions of optical constants and
layer thickness. Optical constants ('n' and 'k') describe how light propagates through a
given material. The algebra of calculating 'I' and !!. will not be presented here, but can
be found in standard references. 1

..

Optical Metrology / 9

Sample Nanna!

Ambic:nl, no

(a)

(b)
Figure 7. (a) Reflection oflight at material interfaces, and (b) multiple reflections within a
film, which result in thin fllrn interference effects.

In the case of more complex materials systems, the algebra becomes tedious, and
analytical expressions are not usually derived. Rather a matrix multiplication procedure
is followed in which each layer and boundary of the structure is represented by a
matrix, and a computer is used to do the matrix multiplication, yielding predicted
ellipsometric data for a multilayer structure.
The third part of the process described in Figure 6 is to compare the actual measured '
and ~ with the predictions of the model based on Fresnel equations, assuming values of
the optical constants and thicknesses. While the forward calculation, simulating
measurements from a specific model, is straightforward, the inverse problem of
determining what the sample parameters were that produced the actual experimental
results is a more difficult problem. An obvious, but often tricky, feature of all model
based data analysis procedures is in picking the model to use and deciding what
parameters to try and determine from the analysis. The analysis procedure is usually
called data fitting because the adjustable model parameters are varied to find the best fit
of the generated data to the actual experimental data. The most common fit parameters
are thicknesses and optical constants. In some cases, good optical constants are
available in published tables. In other cases ellipsometric analysis can be used to
determine both optical constants and thicknesses, as well as other parameters of the
system.
Various fitting algorithms have been tried, but by far the most commonly used is the
Marquardt-Levenberg algorithm. Again, this will not be described here, as it is quite
involved, and is well documented elsewhere l4 . The object is to quickly determine the
model which exhibits the minimum difference (BEST FIT) between the measured and

10 /

Critical Reviews Vol. CRn

calculated ' and Ii. values. The (Root) Mean Squared Error (MSE) is used to quantify
the difference between the experimental and predicted data. A smaller MSE implies a
better model fit to the data. The MSE can be nonnalized by the standard deviations on
the experimental data, so noisy points are weighted less heavily. The MSE function
commonly used15 is given by Equation 3. Minimizing the MSE (or Fitting the Data) by
iterative non-linear regression is illustrated in Figure 10, which shows that convergence
for a system with one, or just a few variables is quite rapid.

(3)

Iterative Fit to Experimental Data by varying the Thickness (

110r----.-..,...-......----,r--........--r--..----,-........--,
,-.....
-Initial guess, 1=16oA
:
-.....'-~
. - - - - 1 s t iteration, 1=218.4A
2nd ~eration, 1=237.2A
100
:
'.. ..
--Final iteration, 1=234.68A
~perimental Data

i
-.....
i .........
......

Delta

.I

in degrees

---..r-...:..........

--

....

--....- .....-' .....' ........, ......

...

70'--......._
300

......._oL-.......J'--......._...L.-_.L...-......._
400
500
600
700
Wawlenglh in nm

--

.......- - - - l

800

Figure 8. The Levenberg-Marquardt non-linear regression algorithm converges

very quickly for most analyses,

Such regression analysis requires the correct model to achieve good fits to the
experimental SE data. If the model does not adequately represent the true sample
structure, then good agreement between experiment and theory (such as seen in Figure
8) is not found, and the model needs to be refonnulated. For most materials and

structures good optical models can be found, and the process works marvelously.

Typically, the simplest model is first assumed, and then successively more complex

models are tried until an excellent data fit is achieved. The model must be complex
enough to adequately model all of the structure in the data. As well, there should also

be enough information content in the data to uniquely determine aU model parameters.

That is, the danger in making the model more complex is that parameters become
correlated, in which case multiple sets of parameters will give the same good MSE fit.

Parameter correlation (and how to reduce it) will be discussed in detail in a subsequent
section of the paper. Also in a later section we illustrate a few of the many cases in

which ellipsometric analysis works extremely well. All examples in this article are

from real experimental VASE data.

i
!

i
i

I
;
;
i
t

I
~ -~

I
t

I .

I
,
I

I
I

Optical Metrology / 11

1.5. Classic Example of VASE Analysis: SiOl on Si

A classic sample which is often characterized by ellipsometry consists of an Si02 film
on a Si substrate. In the example below, the Si02 film thickness and index of refraction
is extracted from the analysis of VASE data. To model the mild dispersion in index of
refraction. a Cauchy formula (Equation 4) is used to calculate the Si02 refractive index
as a function of wavelength. The model fit parameters for this analysis were the
thickness of the Si~ film, and the 3 Cauchy parameters A, B, and C. After 5 iterations,
the regression algorithm converged to the near perfect data fits shown in Figure 9, and
final parameter values of: Thickness=3537A, A=1.44, B=4.22 x lO-3 , C=1.89xlO-5 (the
fit MSE = 2.25). The resulting Si~ optical constants are also shown in Figure 10.

B C

n(A.) = A + A.2 + A.4

'

k(A.) =a

(4)

Gen. and Exp. Data, after 5th (final) L-M Iteration

100,-~----,-~---r-~---r-~---r--r----,--~---,
-ModeIF~

.... ExpE35
--Exp E 75

80

60

Cl
Ql

"'0

.5
40
iii

ll.

20
0
0.0

1.0

2~

3~

4~

5.0

6.0

Energy in eV

(a)

Gen. and Exp. Data, after 5th (final) L-M Iteration

400,-~-,-~-,-~-.-~-,-~-.-~----,

300

2'

"'0200

.5

~
Ql

100

__

O,-::-~----,-L-~_L-~----,-L-~_-"-:---~_-"-:------'-

0.0

(b)

1.0

2.0

3.0

4.0

5.0

6.0

Energy in eV

Figure 9. Experimental and Model Fit VASE data from a Si02 on Silicon sample. Note the
near perfect data fits; on this scale the solid Model Fit curves lie directly on top of the dashed
Experimental curves.

12 / Critical Reviews Vol. CR72

Cauchy Optical Constants for Si02 Film

1.56.----r-.----r---..,r---r----.r---r---.--r---.--r----.

:c: 1.54
~1.52

.=l!!1.50
'0
~1.48
E
1.46

--=

1.44L;:-.........----;l:::--.........-::'":::--"---=-=---'''---:L::-----'-----;:l:-..........
0.0
1.0
2.0
3.0
4.0
5.0
6.0
Energy in eV

Figure 10. Si02 optical constants detennined from the VASE data analysis, parameterized by
the Cauchy dispersion fonnula.

2. IMPORTANT CONSIDERATIONS FOR VASE ANALYSIS

2.1 Initial Guesses for Parameter Values
Figure 11 illustrates an important consideration in analyzing VASE data: if the initial
guess for a parameter value (thickness in the present case) is too far from the actual
value, the regression algorithm can land on a secondary minimum in the MSE, thus
yielding an erroneous value for the parameter. In Figure 11, there are at least three
MSE minima shown, but only the 'global minimwn' gives the correct thickness. To
ensure that the true 'global' minimum MSE is found, the regression algorithm can be
started with a wide range of initial parameter values (some commercial software does
this 'global searching' automatically). Fit convergence to the same final parameter
values with different initial values is also a good test of the 'uniqueness' of the fit (the
related problem of parameter correlation is discussed later).

MSE

Thickness
Figure 11. Illustration of Secondary MSE Minima.

Optical Metrology / 13

2.2. Building an Appropriate Optical Model

To extract accurate material properties from VASE analysis, it is very important to
build an appropriate optical model which has enough flexibility to accurately fit the
experimental data. As an example, consider the VASE data shown in Fig. 12 which
was acquired on a bulk Hgl-xCdxTe sample. The goal of the VASE analysis was to
accurately detennine the alloy fraction 'x', which was nominally 0.21 for this sample (a
composition-parameterized optical constant database was used for detennine the alloy
fraction, the details of which are not important here). The resulting fit parameters from
the first analysis (shown in Figure 12) in which an ideal bulk optical model (i.e. no
surface overiayer) was used are: MSE=48.9 and x=0.147. As the MSE value was
unacceptably high, and the fit was noticeably poor, another more complex optical
model was tried. In this second model, a surface roughness layer was added to the bulk
Hg1_xCdxTe substrate. Surface roughness is optically modeled by a layer with optical
constants derived from a 50-50% mixture of air (void) and the substrate optical
constants (using the Bruggeman effective medium approximation). The fit results for
this model are shown in Figure 13, and the resulting fit parameters were: MSE=3.92,
x=.222, and surface roughness thickness=18.9A. By adding a single fit parameter to
the analysis (surface rouglmess), the MSE was reduced by an order of magnitude, and
the resulting alloy fraction was in much better agreement with the nominal value. In
this example, the more complicated 'surface roughness' optical model is easily
justified, and in fact, the surface roughness model must be used to obtain reliable results
in the parameter of interest (alloy composition in this case). As a sidenote, VASE
determined roughness values have also been corroborated by other techniques such as
AFM20 .
HgCdTe Data Fit, Simple Bulk Model

HgCdTe Data Fit, Simple Bulk Model

35.----~-...._---.----~-...._------,

160,..-_----=....._----,------,------,

30

150

; 25

-ModetFlt

--EJpE70"'
--ElIPE 7S

--.'

/-:J:;=~==~

.5
:. 15

.-.- EllE 10"

"",. [120

~~

- - EIi'PE 80"'

t20

-IrlllodiIlFit

---ElIPE 15
- ElI;IE8O"'

90

.5

'I

10

60

30
o'=-~-~-~~o--~-"'::_-~_='

1.0

2.0

3.0

.0

5.0

Energy in.V

Energy in eV

Figure 12. VASE data fits for a Hg1_xCdxTe sample, analyzed by a simple bulk model; note the
poor agreement between the solid Model Fit curves and the dashed Experimental curves.
HgCdTe Data Fit, Surface Roughness Model

35.--------."_---.-_ _--,.----_.e..----.--_---,

150

30

120

HgCdTe Data Fit, SurfaCil Roughness Model

_MocMIFit

-~FII

-EIi'P E to

25

1
320

- -

Ell

e so-

3"
.5

.5

~ 15

EllpESO

90

60

30

10
5'=-~--=--_='=_-~____='=-~-~-~-,J

1.0

.--- EllpE 10
__ EllpE7S
-

---EIi'PE1S

2.0

3.0

Energy in eV

.0

5.0

0
1.0

2.0

3.0

.0

Energy in eV

Figure 13. Excellent VASE data fits on a bulk Hg1.xCdxTe sample with surface roughness
included in the optical model.

5.0

14 / Critical Reviews Vol. CR72

2.3. Parameter Sensitivity and Correlation

Parameter sensitivity is simply a measure of how much the experimental data would be
expected to change for a given change in the parameter. It is obvious to note that
having parameter sensitivity greater than the accuracy level of the measurement is a
necessary prerequisite to determining that parameter from a data fit, and that the
potential accuracy with which the parameter can be determined increases with
increasing sensitivity. However, that potential accuracy will be reduced or eliminated if
correlation with other parameter(s) exists.
Parameter correlation is a condition of the data fitting process which arises if the
sensitivity of two or more parameters singly, or in combination, exhibit the same
spectral signature. It is not limited to ellipsometric analysis, but is a general feature of
any model-dependent fitting process. What this means is that even if a good fit is
obtained with sensitivity to all fit parameters, not all the parameters will necessarily
have been uniquely determined. Correlation is important to understand, and is often not
sufficiently considered because it does not affect the ability to fit the experimental data,
but it does place a limit on the infonnation available from an ellipsometric data
analysis. Two-parameter correlation information is a natural output of most fitting
14
algoritluns.
One technique to deal with correlation is to simplify the model to reduce unnecessary
fit parameters. The previous section demonstrated that the optical model needs to be
sufficiently complex to fit the data. There are however a limitless set of sample models
with increasing complexity which would also fit the data, so some limits on complexity
are needed. Generally, the simplest model which fits the data is probably best.
Simplest meaning, for example, that existing optical constants are preferred over fitting
new ones, that interface roughness should be ignored unless necessary, and so forth.
Each additional level of complexity needs to produce an improved fit, or the complexity
can not be proved necessary. (Of course, a more complex model can never truly be
excluded as the correct physical model.) Sometimes including an additional physical
constraint such as rigorously enforcing the Kramers-Kronig relation for a set of optical
constants can break the correlation. Additional data, including non-ellipsometric data
(multi-data-type analysis, as in the following example) and data from different samples
(multi-sample analysis), might be added to the fitting process to change the spectral
sensitivity signatures for the pai:ameters, thus breaking the correlation. (The follow-on
companion paper discusses some of these advanced techniques in more detail.) In other
cases, it may be possible to redefine the fit parameters in the model to make the
parameters more orthogonal. For example, it may be more informative to make an
index difference between films (l1n = n2 nJ> and the average index (o.ve = Y:z(n2 + nl
the fit parameters instead of n2 and nl directly. Also, consider whether the parameters
which are correlated are really of primary interest, and if not, then it is reasonable to
ignore the correlation. The mere existence of correlation among the fitting parameters
does not invalidate the procedure, it just limits the amount of unique infonnation that
can be properly extracted.
The following example demonstrates a case of parameter correlation when VASE data
alone is available and then shows how the addition of intensity transmittance data
breaks the correlation. Consider the analysis of VASE data acquired from a silver film

Optical Metrology I 15

on glass sample, in which it is desired to simultaneously determine the silver layer

thickness and optical constants. The problem is that identical data fits over a range of
silver film thicknesses from 330 - 430A can be obtained. Depending on the assumed
thickness, the silver optical constants 'n' and 'k' shift to compensate while yielding the
same good fit. That is, the silver film thickness and optical constants are correlated
parameters, and neither correct thicknesses nor correct optical constants can be
detennined from VASE data alone. (See Fig. 14)

45

180

Thin Silver Film on Glass, Ellipsometric Data Fit

Thin Silver Film on Glass, Ellipsometric Data F~

150

_WodeIFII

ExpE 65
--EJpE 10"
. ~ ExpE1S

j!35
1Io

-tr.lod8IFil
ExpE&S4
---EJpE TO

.E

- - EJpE7S

~30

:25

\
l~

20

15
0.0

1.0

2.0

(a)

3.0

4.0

g,::-o~----:-,';o-.o ~---;:2';o-.0 ~-----;3f;:.0~-4:':.O'-------='U

5.0

Energy in eV

Energy i1 eV

1.8

Thin Film Silver Optical Constants vs. Thickness

12

1.5

:cc
1.2
;1

i'0
ill

-=

0.3

't:I

0.0
0.0

(b)

-T=330A,n
---.T=380A, n
- - T=430A, n
-T=330A,k
.- -. T=380A, k
- - .T=430A, k

'i
'i

0.9
0.6

14

"~"
~~~"

g.!1.

ci"
8 ::J
0

".~:--

1.0

10

:!I
n

"

..... -. --. ---

2.0

(D'

2 oC
~

..

3.0

4.0

0
5.0

Energy in eV

Figure 14. (a) Equivalent VASE data fits obtained over a range of assumed
thickness for a silver film on glass sample. (b) Optical constants for the silver film,
extracted over a range of layer thicknesses.
To de-correlate the silver film thickness and optical constants, spectroscopic
transmission data from the sample was combined with the VASE data, and regressed
simultaneously!7. Only a single, unique silver thickness can fit both the eUipsometric
and transmission data. as shown by Figure 15. As a result of the combined VASE and
transmission analysis, the silver film thickness was determined to be 341.7 Awith a
7.4A surface roughness layer, and unique silver optical constants were simultaneously
extracted. Addition of transmission data not only de-correlated the model parameters, it
also provided enough extra information to determine surface roughness, that is, it
enabled the use of a more complex optical model.

16 I Critical Reviews Vol. CRn

0.8
0.6
c
0
iii
II)

0.4

Transmission Data on Thin Silver Film

-Best Fit Thickness = 342A

----.Thickness Fixed @ 330A
--'Thickness Fixed @ 380A
- - Thickness Fixed @ 430A
----. Experimental Data

II)

e!

0.2
0.0
0.0

1.0

2.0

3.0

4.0

5.0

Energy in eV
Figure 15. Experimental and model generated transmission data for thin silver fIlm on glass
sample, illustrating the unique determination of film thickness.

2.4. Maximizing Sensitivity: Optimum Angle of Incidence

Figure 16 shows the sensitivity in the ellipsometric Ii. parameter to a 0.1 om change in a
thin oxide thickness. Note that the maximum sensitivity to the measurement of
thickness is just above and just below 75 angle of incidence for wavelengths greater
than about 600 DID. (At shorter wavelengths, the high sensitivity moves to slightly
higher angles of incidence.) High sensitivity occurs near the Brewster angle], which is
defined in Figure 17; this generally corresponds to Ii. ~ 90 for samples with very thin,
or no, overlayers.
Thus an important part of making VASE measurements is to identify the angles and
wavelengths at which the data is most sensitive to the parameters of interest. This can
be done by simulations, such a!i that shown in Figure 16. In general, the regions of
sensitivity can be highly parameter-dependent, for example, some parameters may have
high sensitivity at 65, while others may be more sensitive to data at 75 (and likewise
for various wavelength ranges). To achieve acceptable sensitivity to multiple
parameters, Variable Angle Spectroscopic Ellipsometric (VASE) measurements,
performed at an appropriately chosen range of angles, are often required.

""..

Optical Metrology / 17

l3

~
~

0.30

0.20

0.10

0.00.

-0.10 !ii;i;l"".'.',< .. '

.S -0.20
<l -0.30
to -0.40
200
"lJ

~e'(\ce

70

j)S'9\e 0

\'')

~\'(\C;

Figure 16. Sensitivity in the ellipsometric ~ parameter to a O.lnm change in Si02 1ayer
thickness vs. Wavelength and Angle of Incidence.
Generated Data for Si Substrate at 633nm

-p-palarized_tv
..... &1'CIOrtzed_tv

0.8

~~ 0.4

:f O.6

__

0.2

10

20

(a)

30
40
50
60
Angle of Incidence (0)

70

80

90

Generated Data for Si Substrate at 633nm

50 ,---,..--,--r----r--.--..-.,...-.,...-.-.......-.--r-....--....--...-..-..--. 210

=:c::-:-~_

40

180
150
[>

~30

~
-c
.5 20
3

-'i'
. <1

120

or

90

c
eil
cc

60

30

10

0
0
0

(b)

10

20

30
40
50
60
Angle of Incidence (0)

-30
90

Figure 17. Model generated (a) reflectivity and (b) ellipsometric data vs. angle of incidence
for a Silicon substrate at 633nm. The Brewster angle is dermed as the angle where the p
polarized reflectivity and'P are minimized and &0=90, which is near 76 in this case.

18 / Critical Reviews Vol. CRn

3. TYPICAL VASE EXAMPLES FOR INDUSTRIAL APPLICATIONS

3.1 Semiconductor Industry
3.1.1. ONOPO I Si Stacks

A common material system in the Si-based semiconductor industry with important

metrology needs consists of a thin-film stack of oxide on nitride on oxide on poly
silicon on oxide on crystalline silicon: ONOPO I Si. A VASE measurement can
determine all 5 layer thicknesses, as well as the poly-Si optical constants. Example
VASE data and analysis are given in Figure 18. Notice that VASE data are acquired
and fit at four angles of incidence. The optical constants of poly-Silicon depend
strongly on crystallinity, which in turn depends on process conditions (Figure 19).
5
4
3
2
1
(a)

Si02
Si3N4
Si02
Poly-Si
Si02
Si Substrate

12.73 nm
10.49 nm
17.65 nm
262.2 nm
8.838 nm
2mm

Generated and Experimental

Generated and Experimental

80
-M0<4FII:

-.- . EJp E

80

6S

--EJr;lE7Q

-EJpE75"

--EJpESO

40

il
20

0
200

(b)

400

800

eoo

'000

&o:O------;400::-------:600=-~--=8OO=--~----::',000

W.-.gm(IWn)

W.-.gm(IWn)

Figure 18. Optical model (a) and VASE data fits (b) from a ONOPO/Si stack.

1.0 L...---'------'-_"----'---'-_-'----..L.-----'_--'------'-_'---'---'-----'
200
300
700
800
900
500
600
400
Wavelength in nm

Figure 19. Index of Refraction ofPoly-Si as a Function of Crystallinity.

Optical Metrology / 19

3.1.2. Optical Constants of Photoresist

Ellipsometers are used regularly in the optical characterization new photoresists, and
for process control of photoresists on the production line. In Figure 20, the optical
constants for a typical photoresist are shown23 , both before and after 'bleaching' (i.e.,
'exposing' the resist by UV light), which induces large changes in the optical properties
of the resist. To prevent exposure of the photoresist by the measurement beam, it was
extremely important to have the monochromator placed before the sample in the VASE
system. Another photoresist example (Figure 21) involves a multilayer of photoresist
with an antireflective coating (ARC) beneath it. Both layer thicknesses can be
extracted from the VASE data, but only by including UV data in the analysis, as this
spectral region exhibits optical contrast between two materials.
AZ~200 Refractive Index

1.80

AZ"6200 Refractive Index

0.050 r-_-,-_ _,-_--,.-_--r-_---,

-l.lr'CIIa:I'I8d,n

?<

. _- 8lNcnecl,n

0.040

1i

15 1.75

'ii

0.030

i 1.70

u
0.020

~ 1.65

;1j

i1.80

1.5~

400

600

800

1000

0.010

0.OOO200'-=--~~"-----c800,!>,-~~800-:---""1000l,-,----...,-,!1200

1200

Wa~h (Ml)

WwveIenglh (Ml)

Figure 20. Optical constants of photoresist detemtined by VASE measurements, before and
after bleaching (by exposure to UV light).

j::

~
;,

2.

"
1; 1.

1 i-linefIR 0:HilJ

o SlicmsJSJae

(a)

..Organic ARC
--i-line resist

:It \. \

eo

f \ i.~,
! \ i ~.~",,"";"'~-i"V"

6117.9A
31fJl.7 A
1nm

:{~ jl

.Q

i5 1.

11

'"-= 1.

.,

-v...c..

1.20~-='20-:O~40-:O,......"60-:O,......,,60~O,......,,1000='=...,.12::':OO,,,....,.1'""400='c1c='600'="1:c='800

(b)

WaYelength (nm)

Generated and Experimental

Generated and Experimental

100

180

.l60

lSO

SO

.,20
tso

E. 40

'"

~ 80

20
0
0

30

1800

0
0

1800

(C)

Figure 21. Multilayer photoresist on anti-reflective coating (ARC) example: (a) optical model,
(b) optical properties of the resist and ARC fUms (note the optical contrast in the UV spectral
range), and (c) VASE data fits.

20 / Critical Reviews Vol. CR72

3.1.3 Compound Semiconductors: AlsGat.sAs Multilayer Structure

The thicknesses and compositions of complex compound semiconductor structures can

also be determined by VASE measurements. Figure 22 shows an example in which
VASE unambiguously determined the surface oxide thickness, three layer
compositions, and eight layer thicknesses. Note that some of the layer thicknesses and
compositions were coupled together (via the definition of 2 and 3 period superlattices in
the optical model) in the analysis to reduce parameter correlation. Due to the in-run
reproducibility of the deposition technique used to fabricate the sample (MBE in this
case), this assumption is readily justified. Ellipsometric data at multiple angles (three
in this case) helped to extract the many thicknesses and alloy ratios with high precision
and accuracy. The uniqueness of the fit was demonstrated by the convergence of the
regression analysis to the same final values over a wide range of initial parameter
guesses.
9
8
7
6

5
4
3
2
1

(a)

gaas-ox
19.892 A
gaas
3348.1
algaas x=O.365 (coupled to 5) 995.59
gaas
849.29
algaas x=O.365
995.59 A J2
gaas
852.89
J3
algaas x=0.274
866.51
gaas
843.32 A
J3
algaas x=O.168
742.48 A
gaas
1 mm

Generated and Experimental Data

JO,.........---r--...--------,-----,---------,

-ModeIFII
-~E65
--'~E70'"

_.

l.

~E75

Generated and Experimental Data

400'.-_--,-_ _,-----_--..-_-.-_--.
-Mode/Fll
. E.>;IE65

- - EJOE 70
-.

~E15

10

(b)
Figure 22. VASE analysis of a AlxGa.xAs multilayer structure: (a) optical model, and (b) data
fits. Note the near perfect fits to all of the structure in the data, which were essential to
simultaneously and accurately extract all the layer thicknesses and compositions.

I,
I

~.

Optical Metrology / 21

3.2. Optical Coatings Industry

3.2.1. Five Layer Hi-Lo Index Stack
In this example (Figure 23), 5 layer thicknesses and 3 sets of optical constants in a 'Hi
Lo' index multilayer stack were simultaneously detennined. To achieve this result,
multiple data types were included in the analysis: VASE data acquired from front side
and back side of the sample (both of which included the reflections from the opposite
side of the transparent substrate), and spectroscopic transmission acquired at nonna!
incidence. The Cauchy dispersion formula was used to model the dispersion in index of
refraction for the three materials in the stack. From a simultaneous analysis of all the
data, unambiguous results for this multilayer structure were obtained: five layer
thicknesses (plus a surface roughness thickness), and the indices of refraction for three
materials.
Hi-Lo Stack Optical Constants

l:

1.7rm
1J9.4rm
188.2rm
j3l.6rm
3l1.7mi
121.2rm

-6

-SUl5ll'''

2.7

'Hi' indn: rnlJIeruf

- - \.OI~rnlJIeri.

2.4

tl

21

1.8

-f

(a)

1.5r-===~-==-=_=_=_=_=_=_====~~

l1oo=-~500=-~-::600=---:::700=-"'--:800=-~--=900=-~-:-::1000

(b)
VASE Data, Hi-Lo Stack, Front and Back data.

Wo-.glh(rwn)

180

VASE Data, Hi-Lo Stack, Front and Back data.

.50

1~'::-"'--:500=-~-::600~--:::700'::-"'--:BOO=-~-::9OO'::-"----:-:!looo'

(c)

1000

wavetengthinrm

Transmission, Hi-Lo Stack

1.0,-~-r---,---_--..,..._----,,-_-r-_-,

0.8
-Io4odflIFlt

---- EJooTO'"

500

(d)

BOO

700

BOO

900

1000

WJivetenglh in rm

Figure 23. Analysis of a Slayer Hi-Lo index optical stack using multiple data types: (a) best
fit optical model. (b) extracted indices of refraction for the three constituent materials in the
stack, (c) ellipsometric data fits. in which the 'Eb' curves correspond to ellipsometric data
acquired on the front side of the sample (including the 'backside' reflection), and the 'Er'
curves correspond to ellipsometric data acquired in the 'reverse' direction. i.e. from the
backside of the sample (including the 'frontside' reflection), and (d) fit to normal incidence
transmission data.

r
(

22 / Critical Reviews Vol. CRn

3.2.2. Variations in Optical Coating Index vs. Depth

In this example, the initial requirement was to simply detennine the film thickness and

index of refraction for a ShN4 coating on glass. However, the first modeling attempt of

the VASE data (shown in Figure 24a) was not successful, as evidenced by the poor data

fits and high MSE value. A second model, which included a surface roughness layer,

was also tried (Figure 24b), but this optical model did not adequately fit the

experimental VASE data either. After extensive trial and error, an optical model was

found which provided excellent fits to the data (Figure 24c). This best fit model had an
optically less dense 'interfacial' layer embedded in the film, the optical properties of
which where modeled by a 50% Bruggeman EMA mixture of the ShN4 film index and
void (similar to the optical modeling of surface roughness). After the VASE analysis of
this sample, it was learned that the film was deposited in two passes, thus explaining
the double layer with embedded interface solution. TIlis example conclusively
demonstrates the sensitivity of VASE measurements to non-uniformity (gradients) in
film optical properties as a function of depth in the film.
3Or-_Si_3~N4_F_im.:....,Si_...,...:..---cCc.:...uchy---'-M~odet
_ _- ,

Optical Model #1

........

Cauchy Layer

2896.2

Glass substrate
-lIIDdIt'~

E.,!II

- fop!!;8:1'"

MSE = 176.6

Optical Model #2: Add Rouahness

Surface Roughness
Cauchy Layer

108.34 A
2878.1 A

Si3N4Film,C.uehyl.oyor"lhs.mc.R~.

15

....

-I!IP'5D"
,.

10

Glass substrate
(b)

'"

-- E.,ellr

~l:;--~---,.*,,";"----,...
=--------;0;800;;----::::100,

MSE = 165.7

W.....-.ngctlrrorfl'l

Best Fit o Dtical Moifel

4 Surface Roughness

90.742 A

3 Cauchy coupled to #1

1304.8 A

2 'Interface' (50% void)

274.84 A

1 Cauchy Layer

30 Si3N4 Film, Best Fit Model (Roughness & Interface) 180

25

,. 120&
90
~_FI

----E>p ... E ..
---E>p"'E'"

1324.6 A

Glass Substrate

- , 60

S"

..... n

EJpDel.EW

--E>pDobE ....

30

Final MSE = 10.31

(c)
Figure 24. Progression of optical models used to analyze a Si~4 coating on glass sample: (a)
simple single film model, (b) single f1lm with surface roughness, and (c) best fit optical model,
which included a less dense' interfacial' layer within the film (this was introduced by the two
pass deposition of the film).

Ii

Optical Metrology / 23

3.3. Data Storage Industry

3.3.1. Diamond-Like Carbon (DLC)

Due to their excellent protective and lubricative properties, diamond-like carbon (DLC)
films are commonly applied to hard disk media and read-write heads. DLC fihns are
usually made by plasma CVD using a mixture of hydrocarbon gasses, such that a wide
range of film mechanical properties can be obtained by adjusting the process
conditions. As there is a correlation between variations in the DLC mechanical and
optical properties (see Figure 25), VASE is very useful in the monitoring ofDLC
processes. The sensitivity of VASE to ultra-thin films is also advantageous when
characterizing DLC coatings, which are typically <lOoA (Figure 26).
0.60
240

!o 2.10

42.00

,.. .......

l!

-a 0.40

-1.90V--

-,

830

.... ~~, ......._..

-OLC1
.... OLC2
---OLC3
. -OLC'

~O.50

-OLC1
.... OLC2
---OLC3
.. 'OLC'

~ 2.30
~ 220

_---------J

,,
,

0.20

-'

~ 0.10

1~':::-~--:400~~----;:!500:::---'""eoo':::-~--;;7=00;---7. 800

0.00
300

500

'00

eoo

700

eoo

WINeIer9h (nm)

Wavelength (nm)

Figure 25. Variation in diamond-like carbon (DLC) optical constants; these optical constants
were extracted from a VASE analysis of four different samples, in which the DLC deposition
conditions were systematically varied.

Comparison OLC Thicknesses

180
160
01)

g
01)

Cl

140

SUbstrate

.1

_SUbslr8te

12

120

c::

c(

100

iii

01)

GI

80

c::

.s.!

60

'0

0
C

...J

20

--

.c

/'

/'
../

./

./"

Depostlon Run

Figure 26. Systematic study ofDLC films coated on two different substrates; the high
sensitivity of VASE to ultra-thin ftlms enable precise thickness detennination in this
application.

24 / Critical Reviews Vol. CR72

3.3.2. Thickness of Thin Magnetic Films

The perfonnance of advanced read heads is critically dependent on the thickness of thin
magnetic films. Accurate characterization of such films requires accurate thin film
optical constants for the metallic layers of interest, which may differ significantly from
the bulk optical constants found in the literature. By performing VASE analysis on a
thin magnetic layer deposited on a thick dielectric film, it is possible to simultaneously
and accurately extract optical constants of the metallic layer, along with the metal and
dielectric film thicknesses. In this analysis, the multiple angles of ellipsometric data
provide a change in the optical path length through the layers (this effect is enhanced by
the thick underlying dielectric film21 ), which breaks the correlation between the
thickness and optical constants of the metal film. See Figure 27.
NiFe Optical Constants, Sample 61

3.or-_r-.,.....c...--_....-_--,--'---,-~__,5.0

.5

~ 2.7

r
.~

2 NiFe

(a)

-0

.0_- k

32.73 nm

0 2.1

3.5

491.05nm

La

3.0

0 Si substrate

t .iJo!;;-----:400=--'---;500::::-~=::800::--'---;:700!;;----:800=-----:!~.5

~"rwn

(b)

Generated and Experimental Data

38

Generated and Experimental Data

==

160r-T::_=,,--,.--r--~----,----,

---------=
=
!t20 :....-_~E~~
~
- EJrpE6S-

34

140 -- ....

32

...
.530

~[

100

'm
a.

28

!.:--~_~----=~~~'--:::~~~800~~OOO

26

300

(c)

'.0

80

~'-o----'--"400~=--~500::--'--=800=-~7~OO:--'----:::800=--'---::"OOO
~inrwn

Figure 27. Simultaneous thickness and optical constant determination for a thin NiFe layer
deposited on a thick Si0 2 film on Si: (a) optical model, (b) resulting NiFe optical constants,
and (c) VASE data fits.

Optical Metrology / 25

3.4. Flat Panel Display Industry

3.4.1. Indium Tin Oxide (ITO) Films
Indiwn Tin Oxide (ITO) is a transparent electrically conducting film used extensively
in the flat panel display industry as a large-area electrode. Optical characterization of
ITO films is challenging, as the ITO optical properties are highly dependent on the film
deposition and annealing process. Furthermore, significant gradients in the optical
constants (vs. depth in the film) are commonly observed in ITO films. A VASE
analysis of a typical ITO sample22 is presented and described in Figure 28. To
adequately fit the experimental VASE data and properly characterize the ITO film, a
complex graded optical model is required.
Generated and Experimental Data
25

150

20
-MocIelF,t

.- &PESO"'

15

EllpE

120

-B

90

.
.5

nr

.5

...

"iI

350

"

- - EllpE6IT

.S 10

Generated and Experimental Data

180

-ModelFII

. E:.pE so
--ExpEW
E~e70"'

- .

80

30
400

4SO

(a)

500

550

eoo

eoo

850

e50

Wa~inrwn

Generated and Experimental Data

5O,.--~_G.,..e_n_era~ted---,ar--nd_Ex...,..:..pe_ri.,..m_en_ta~1 Data---r_~....,
40

-ModeIFII

-McdeIFiI

e,.,E 50"

----EJcpE~

--ElcpE 60

---ExpEl50'"

- ElcpE 10

- - E41E 70"

900
1200
WI'IOIeftlIlhinrrn

(b)

1500

1500

1800

1800

ITO Optical Constants

ITO Optical Constants

1.5
"c

-BoII:ornorFlftI,n
-.- Top 01 FiW11, n

2.0

"Ii
'll 1.S

'IiIt

'!i 1.0

"

--T~oIFikn.k

09

Ii o.e

!os
0.0
300

(C)

-BolIomo'"WT1,K

.. 1.2
!!

~ 03
800

900
1200
WIYltenglh in nm

1500

0.0
1800

"

300

..

.....

eoo

900

1200

lS00

1800

Wave6et9h in 1m

Figure 28. VASE characterization of an ITO film: (a) Data analysis using a single Cauchy
film optical model results in poor data fits, even over the limited spectral range sho\\'tl here. (b)
A graded-film optical model (using Lorentz oscillators to model the dispersion in the ITO film)
results in excellent fits to the VASE data over a wide spectral range. (c) The ITO optical
constants at the top and bottom of the fUm are compared in this plot; the amplitude and shape
of the free-carrier absorption tail (seen in the ok' plot at the longer wavelengths) is directly
related to the electrical conductivity of the film.

26 / Critical Reviews Vol. CR72

3.4.2. Thin-Film Transistors (TF1) Structures

Thin film transistors (TFI) are important in active matrix liquid crystal display

technology. VASE can be used to characterize important TFf layer thicknesses, as

shown in Figure 29. By acquiring VASE data into the NIR spectral range, the ability to

characterize thicker amorphous Silicon (a-Si) films is greatly enhanced, as a-Si

becomes essentially transparent in this spectral range.

22.994 A
1837.3 A
3315.5 A

4 sio2
3 a-si
2 si3n4
1 cr
0 1737 glass

(a)

3700 A
1 mm

-Model Fit

..

eo ~~~~~::
eo

---E>cpE70"

--E>cp E 75

--E>cpE8O"

.S 40
~

900

(b)

1200

Wa-.glh (rwn)

1500

1800

800

900

1200

1500

1800

Wlvelonglh (rwn)

Figure 29. VASE analysis of a TFT structure: (a) optical model (only the top 3 layers were

detennined in this analysis, as the Cr metal layer was optically thick and therefore fixed at its

nominal value), and (b) data fits.

"

Optical Metrology / 27

4. AUTOMATION OF VASE MEASUREMENTS

Most of the preceding VASE examples required a time~onsuming and sometimes

subjective process of 'fine-tuning' the optical model to achieve acceptable data fits
which accurately characterize the sample properties. However, once an appropriate
optical model has been developed, it is very straightforward to apply it to the VASE
data analysis of similar samples. In fact, with commercially available software, the
complete VASE data acquisition and analysis procedure can be encapsulated into a
recipe, such that powerful VASE metrology can be performed with the push of a
button. An example of an automated VASE analysis (and reporting of extracted
material parameters) is shown in Figure 30.
Top oxide
Si02Ja-5i/Si02JGlass

a-51 Thickness
Si02Ja-5i1Si02JGlass

Mean = 5403.469
Min 5181.100
Max = 5468.000
SId Dev 50.054
Uniformity = 0.93

Mean 4581.874

Min = 4339.200

Max = 4802.700

SId Dev = 124.67

Uniformity = 2.72

(a)

(b)

3 sio2
2 a-si _ptype
1 sio2
o 7059

456.36 nm
546.81 om
200nm
Imm

Figure 30. (a) Unifonnity in layer thicknesses extracted from automated VASE measurements
across the surface of a flat panel display, using the optical model shown in (b).

SUMMARY
The ability to accurately acquire and quantitatively analyze VASE data on a wide range
of samples was demonstrated. Variable angle spectroscopic ellipsometry is now well
established as an important metrology tool in several different industries, and as an
important technique for industrial research on new materials and processes.

ACKNOWLEDGMENTS
The authors wish to thank the many sponsors who contributed to the development of
the work presented here, including NASA, BMDO, the U.S. Army and Air Force,
DARPA, and numerous corporations which supplied samples.

28 / Critical Reviews Vol. CR72

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