LinfordVTC 28july2016
LinfordVTC 28july2016
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An Introduction to Modeling
in Spectroscopic Ellipsometry,
Focusing on Models for Transparent Materials:
the Cauchy and Sellmeier Models
Introduction
I
n the Linford lab at BYU, we synthesize and characterize device fabrication—most frequently thin film solar cells. These
new materials with a special focus on surfaces and interfaces. areas are all interconnected, as each device structure consists
As a result, many of the characterization methods we em- of one or more thin film layers, the properties and structure of
ploy operate under moderate to ultrahigh vacuum. These include which impact device performance. We use this ability to probe
X-ray photoelectron spectroscopy (XPS),1 time-of-flight second- the optical response of layers in the device structure, determine
ary ion mass spectrometry (ToF-SIMS),2 low energy ion scatter- other material properties from the optical response, and connect
ing (LEIS),3 and scanning and transmission electron microscopy variations to device functionality.
(SEM and TEM). These tools are well established and proven, Here we discuss a powerful technique for characterizing thin
but they also have some drawbacks. Vacuum pumps and cham- films that provides rapid data acquisition, makes measurements
bers add expense and complexity to a system, waiting for cham- without contact, typically collects data under ambient condi-
bers to pump down to perform analyses can be time-consuming, tions, yields chemical and morphological information, and can
and beams from these instruments can damage some samples. probe deeply into many materials. Ultimately, it can yield film
We also frequently use atomic force microscopy (AFM) and thicknesses, reveal gradients in films and materials, give surface
contact angle goniometry, which also provide valuable informa- roughnesses, show whether materials are anisotropic, provide
tion. These techniques are not generally performed under vacu- band gaps, etc. This technique is spectroscopic ellipsometry
um, although AFM may be on occasion. However, AFM does (SE). In essence, SE probes the surface and near surface of a
not usually provide a lot of chemical information about a surface/ sample with light of a known polarization state, and detects how
material; we usually just use it to measure surface roughness and that polarization state changes upon interaction with the sample.
film thickness/step heights. Contact angle goniometry is similar- These measurements are usually taken in reflection mode and
ly very sensitive to just the outer few Ångstroms of a material, al- data are often collected at multiple angles of incidence, but ellip-
though it also responds to surface roughness and morphology. In sometry data can also be obtained in transmission mode. Modern
some cases, the drop of liquid used in contact angle goniometry spectroscopic ellipsometers can provide data over the infrared
(usually water) can perturb or react with a surface, and regardless (IR) to ultraviolet (UV) spectrum with high spectral resolution.
it must be removed after the measurement. In the Podraza lab at SE instruments are generally cheaper than the vacuum systems
the University of Toledo, we work primarily on optical charac- mentioned above (XPS, ToF-SIMS, LEIS, SEM, and TEM),
terization of materials, thin film deposition, and opto-electronic comparable in price to AFMs, and more expensive than contact
Figure 1. Representation of the polarization of unpolarized light by a wire grid polarizer. Light with an electric field perpendicular to the wires
interacts less with the electrons in the wires and is transmitted.
Figure 3. A depiction of linearly polarized light impinging upon a surface (from the left), and becoming elliptically polarized upon reflection. The
grey triangles on either side of the figure define the plane of incidence of the light.
Table 1. Fit results for the 2- and 3-parameter Cauchy models and the Sellmeier model.
the optical constants of thermal oxide obtained by Herzinger et the spectral range, more complex models are required. Often,
al.10 Of course Herzinger and coworkers used a slightly differ- absorbing features are fit with Gaussian or Lorentzian based
ent material to obtain their optical constants so we would not functions. In addition, special models have been developed for
expect exact agreement between the results in Figure 8. Never- specific applications, like the Tauc-Lorentz and Cody-Lorentz
theless, it is of interest to note that, as expected, the Cauchy and models for absorptions in amorphous semiconductors (these
Sellmeier models are in good agreement at shorter wavelengths models yield a band gap), or the Drude model for free-carrier
(below about 1000 nm), but diverge above this point – we recall absorption in conducting materials. Models also exist for dealing
again that the Cauchy has no way of further decreasing at its with mixtures of materials, surface and interfacial roughness, and
long wavelength end. In addition, it is gratifying to see that the gradients, e.g., the Bruggeman effective medium approximation.
Sellmeier model more closely approximates the Herzinger opti- We will probably write more about these in a later article.
cal constants. As an aside, when we add roughness and interface
layers to the model in Figure 5, we match Herzinger’s optical Conclusions
constants very closely with a Sellmeier model. Ellipsometry is a powerful surface/material analytical tech-
nique. By modeling Ψ and ∆, a tremendous amount of useful
Using the Wrong Model – Ouch!
information can be obtained about materials, including their
Now we’re going to show you something that you should not optical constants, layer thicknesses, and surface and interfacial
do in SE data modeling. In particular, we are about to make the roughnesses. Ellipsometers are rather easy to use and only mod-
significant mistake of modeling both the substrate (silicon) and erately expensive. Transparent materials are among the sim-
the film (SiO2) of our sample using two Sellmeier models. This plest to model because only their refractive indices must be fit
is a really bad idea. Don’t try this at home. Of course, this ap- to describe their interaction with light. We have discussed the
proach is entirely inappropriate because the Cauchy and Sellmei- basics of modeling ellipsometry data from transparent materials
er models are designed for transparent materials, and the silicon and shown how the Cauchy and Sellmeier models perform. The
is not transparent for most of the range of wavelengths here. That Cauchy model is simple, but empirical. Nevertheless, it can work
is, a given parametric model will have conditions under which quite well over limited wavelength ranges. The Sellmeier model
it should be applied. One should be aware of these constraints. has a solid physical basis and is more suitable for wider wave-
Nevertheless, throwing caution to the wind, we tried it. The re- length ranges. Applying the wrong model in SE data fitting can
sults were awful and are shown in Figure 9. The MSE for this lead to disastrous results.
fit was 33.953. We also tried this unreasonable fitting approach
with two Cauchys and, as expected, again got very bad results. References
The lesson here is clear. You can make a mess out of your SE
1. Gupta, V.; Ganegoda, H.; Engelhard, M. H.; Terry, J.; Linford, M.
modeling by using the wrong model. R., Assigning Oxidation States to Organic Compounds via Predic-
tions from X-ray Photoelectron Spectroscopy: A Discussion of Ap-
Note On More Complex Materials proaches and Recommended Improvements. Journal of Chemical
The parametric models we have discussed thus far are great Education 2014, 91 (2), 232-238.
for modeling the optical constants and thicknesses of transpar- 2. Jensen, D. S.; Kanyal, S. S.; Madaan, N.; Hancock, J. M.; Dad-
ent materials, but in cases where there are absorbing features in son, A. E.; Vail, M. A.; Vanfleet, R.; Shutthanandan, V.; Zhu, Z.;