Spectroscopic ellipsometry characterization of high-k dielectric HfO2 thin films and the high-temperature annealing effects on their optical properties Yong Jai Cho, N. V. Nguyen, C. A. Richter, J. R. Ehrstein, Byoung Hun Lee et al. Citation: Appl. Phys. Lett. 80, 1249 (2002); doi: 10.1063/1.1448384 View online: http://dx.doi.org/10.1063/1.1448384 View Table of Contents: http://apl.aip.org/resource/1/APPLAB/v80/i7 Published by the American Institute of Physics. Related Articles Metal cluster’s effect on the optical properties of cesium bromide thin films Appl. Phys. Lett. 100, 243106 (2012) Thermochromic effect at room temperature of Sm0.5Ca0.5MnO3 thin films J. Appl. Phys. 111, 113517 (2012) Light-induced off-diagonal thermoelectric effect via indirect optical heating of incline-oriented CaxCoO2 thin film Appl. Phys. Lett. 100, 181907 (2012) Waveguide terahertz time-domain spectroscopy of ammonium nitrate polycrystalline films J. Appl. Phys. 111, 093103 (2012) Strong second-harmonic generation in silicon nitride films Appl. Phys. Lett. 100, 161902 (2012) Additional information on Appl. Phys. Lett. Journal Homepage: http://apl.aip.org/ Journal Information: http://apl.aip.org/about/about_the_journal Top downloads: http://apl.aip.org/features/most_downloaded Information for Authors: http://apl.aip.org/authors Downloaded 18 Jun 2012 to 203.237.57.191. Redistribution subject to AIP license or copyright; see http://apl.aip.org/about/rights_and_permissions APPLIED PHYSICS LETTERS VOLUME 80, NUMBER 7 18 FEBRUARY 2002 Spectroscopic ellipsometry characterization of high-k dielectric HfO2 thin films and the high-temperature annealing effects on their optical properties Yong Jai Cho,a) N. V. Nguyen, C. A. Richter, and J. R. Ehrstein Semiconductor Electronics Division, National Institute of Standards and Technology, Gaithersburg, Maryland 20899 Byoung Hun Lee and Jack C. Lee Microelectronics Research Center, R9950, The University of Texas at Austin, Austin, Texas 78758 共Received 31 July 2001; accepted for publication 5 December 2001兲 The optical properties of a set of high-k dielectric HfO2 films annealed at various high temperatures were determined by spectroscopic ellipsometry. The results show that the characteristics of the dielectric functions of these films are strongly affected by high temperature annealing. For a sample annealed at 600 °C, the film becomes polycrystalline, and its dielectric function displays a distinctive peak at 5.9 eV. On the other hand, the film remains amorphous without the 5.9 eV feature after 500 °C annealing. To model the dielectric functions, the Tauc–Lorentz dispersion was successfully adopted for these amorphous and polycrystalline films. The absorption edge was observed to shift to a higher energy at a high temperature annealing. Defects in the films were shown to relate to the appearance of a band tail above the absorption edge, and they appear to diminish with high temperature annealing. © 2002 American Institute of Physics. 关DOI: 10.1063/1.1448384兴 and Due to the ever-decreasing dimensions used in modern semiconductor device fabrication, a gate dielectric material is needed to replace the traditional silicon dioxide which approaches its operational limit.1 Among many candidates of the dielectric materials such as Ta2 O5 , TiO2 , and ZrO2 , HfO2 is one of the most stable oxides on Si.2 In spite of the promising properties of HfO2 , little has been known about its optical properties.3 In this work, we have applied spectroscopic ellipsometry 共SE兲 to investigate the optical properties of a set of HfO2 films, and we will show that their dielectric functions change as a function of annealing temperatures. These changes are indicative of polycrystallization and defect reduction which occurs when the films are annealed at high temperatures. Reactive dc magnetron sputtering was employed to deposit nominally a 16 nm thick HfO2 film on a p-type Si wafer at room temperature.4 The wafer was then diced into three pieces 共samples S5, S6, and S7兲 which were annealed at temperatures of 500, 600, and 700 °C, respectively, in oxygen ambient. SE data 共 and ⌬兲 for these samples were measured on a high-accuracy custom-made spectroscopic ellipsometer. We adopt the Tauc–Lorentz 共TL兲 dispersion function5 to characterize the dielectric function ( ⑀ ⫽ ⑀ 1 ⫹i ⑀ 2 ) of the HfO2 films as expressed in the following: 再 AE 0 C 共 E⫺E g 兲 2 1 , 2 2 2 2 2 ⑀ 2 共 E 兲 ⫽ 共 E ⫺E 0 兲 ⫹C E E 0, 共 E⭐E g 兲 共 E⬎E g 兲 , ⑀ 1共 E 兲 ⫽ ⑀ ⬁⫹ 冕 ⑀ ⬁ Eg 2 2共 兲 d. ⫺E 2 共2兲 Equations 共1兲 and 共2兲 as functions of the photon energy E are uniquely defined by four parameters A 共transition matrix element兲, C 共broadening term兲, E 0 共peak transition energy兲, and E g 共band gap兲. Using a simple three-phase model consisting of substrate/film/ambient, we fit the data to obtain the film thickness and the parameters of the TL dispersion for each film. Due to high temperature annealing, a suboxide might be formed at the interface.2 However, we have shown that the existence of this interface does not adversely effect our conclusion about the impact of high temperature annealing.6 With the simplified three-phase model, the results are shown in Table I where the fitting residual is the goodness-of-fit parameter. The uncertainties of the film thicknesses listed in Table I were obtained with a 90% confidence limit. Figure 1共a兲 depicts the differences between the fitting and experimental data, which show that the TL dispersion reproduces almost identically the experimental data except in the spectral region above ⬃5.1 eV. It is noticed that samples S6 and S7 exhibit substantial oscillatory discrepancies in this spectral range. For the sample S5, no such oscillatory features are observed. Accordingly, the values of as seen in Table I for samples S6 and S7 are larger than that of S5. To eliminate these oscillations, we will show below that an additional TL dispersion is needed to model samples S6 and S7. To verify that the TL dispersion is in fact a correct dispersion for HfO2 , at least in our experimental spectral range 共1.5– 6.3 eV兲, we used data inversion to obtain its pseudodielectric function 具⑀典. In this inversion technique, 具 ⑀ 1 典 and 具 ⑀ 2 典 of the films are calculated from the measured and ⌬ at each photon energy using the film thickness obtained from 共1兲 a兲 Guest researcher at NIST and postdoctoral associate of Korea Science and Engineering Foundation, Taejon, Korea; present address: Korea Research Institute of Standards and Science, Taejon, Korea; electronic mail: [email protected] 0003-6951/2002/80(7)/1249/3/$19.00 2 P 1249 © 2002 American Institute of Physics Downloaded 18 Jun 2012 to 203.237.57.191. Redistribution subject to AIP license or copyright; see http://apl.aip.org/about/rights_and_permissions 1250 Cho et al. Appl. Phys. Lett., Vol. 80, No. 7, 18 February 2002 TABLE I. Compilation of the fitting results for all samples using one and/or two TL dispersions. A i , E gi , E 0i , and C i have units of eV. ⑀ ⬁ and are dimensionless. Sample Dispersion t ox 共Å兲 ⑀⬁ A1 E g1 E 01 C1 A2 E g2 E 02 C2 a S5 S6 S7 S6 S7 One TL One TL One TL Two TL Two TL 158.8⫾0.7 160.6⫾1.1 165.9⫾0.9 160.0⫾1.1 167.2⫾0.7 3.04 2.53 1.30 1.98 1.72 48.3 105 250 1.22 0.66 4.19 4.94 5.33 3.47 3.28 7.08 7.43 7.64 5.94 5.92 0.95 1.79 4.70 0.56 0.40 ¯ ¯ ¯ 257 251 ¯ ¯ ¯ 5.65 5.56 ¯ ¯ ¯ 7.22 7.36 ¯ ¯ ¯ 2.47 2.83 0.53 1.02 0.85 0.79 0.51 a A smaller value indicates a better fit. the TL fitting 共see Table I兲. The results are shown by the symbols in Fig. 2 with the overall uncertainty of 2%, deduced from the uncertainty of the fitting thickness. Since the ellipsometric equation used in the inversion is the simplified three-phase model, 具 ⑀ 1 典 and 具 ⑀ 2 典 might contain artificial structures belonging to the silicon substrate dielectric function, as seen in our case as the small peaks at ⬃3.4 and ⬃4.2 eV. Therefore, these features are ignored in the analysis and discussions of the HfO2 film dielectric functions. Comparing with a solid curve generated from the TL dispersion obtained from the fitting described above, we conclude that TL dispersion is the appropriate analytical dielectric function for sample S5. However, the inversion 具 ⑀ 1 典 and 具 ⑀ 2 典 spectra of samples S6 and S7 show a discernible shoulder at ⬃5.9 eV. We found that to reproduce this peak an additional TL oscillator is needed, which can be implemented by adding a second identical term to the ⑀ 2 expression in Eq. 共1兲. Thus, a total of nine parameters is needed for two TL dispersions; these are A 1 , E g1 , E 01 , and C 1 for the first one, A 2 , E g2 , E 02 , and C 2 for the second, and ⑀ ⴥ . The results from the data fitting are listed in Table I. In Fig. 1共b兲, the large ⌬ discrepancies of the samples S6 and S7 have essentially vanished above 5.7 eV, and the goodness-of-fit 共兲 has also improved. To compare with the inversion data for S6 and S7, the two TL dispersion data that were generated by using nine fitting parameters are shown by the solid curves in Fig. 2. It is clear that two TL dispersion essentially duplicates the in- FIG. 1. Discrepancies (⌬ fit⫺⌬ exp) between the experimental (⌬ exp) and fitted (⌬ fit) data for samples S5, S6, and S7 annealed at 500, 600, and 700 °C, respectively. The fitted curves were obtained by using the: 共a兲 one TL and the 共b兲 two TL dispersion for the dielectric function of HfO2. version data except near the absorption edge, which will be discussed below. The appearance of the shoulder at 5.9 eV in samples S6 and S7 is due to the change in film structures when annealed at and above 600 °C. In general, such structures that are absent in its amorphous counterpart are the result of singularities7 in the interband density of states of the materials. These singularities are caused by the presence of longrange order in materials; i.e., the material becomes polycrystalline or crystalline. Similar characteristics were observed in Ta2 O5 films when annealed at high temperatures in our previously reported study.8 Therefore, we attribute the appearance of this shoulder to the polycrystallization of HfO2 films. For sample S5, the film remains amorphous since no such shoulder is observed at 5.9 eV in its dielectric function. Furthermore, the fact that the shape and magnitude at 5.9 eV of the dielectric functions of the samples annealed at 600 and 700 °C are almost identical implies that, at these temperatures, the degree of polycrystallization in these films appears to remain basically unchanged. Figure 3 displays the absorption coefficients near the band edge of all samples. It clearly shows that the absorption edge shifts to a higher energy FIG. 2. The real 具 ⑀ 1 典 and imaginary 具 ⑀ 2 典 part of the pseudodielectric functions of HfO2 films, annealed at 500 °C 共S5兲, 600 °C 共S6兲, and 700 °C 共S7兲, obtained by the inversion technique 共symbols兲 and the best TL fitting 共solid lines兲. The best fitting was achieved by one TL dispersion for S5 and two TL dispersion functions for samples S6 and S7. Downloaded 18 Jun 2012 to 203.237.57.191. Redistribution subject to AIP license or copyright; see http://apl.aip.org/about/rights_and_permissions Cho et al. Appl. Phys. Lett., Vol. 80, No. 7, 18 February 2002 FIG. 3. The absorption coefficient, ␣ ⫽4 k/, near the absorption edge where is the wavelength of a photon and k is the extinction coefficient which is calculated from 具 ⑀ 1 典 and 具 ⑀ 2 典 of samples S5, S6, and S7. when the annealing temperature increases. The same trend has also been observed in other materials such as amorphous silicon.9 In additon, in Figs. 2 and 3, in the spectral region between 4.2 and 5.3 eV, all three samples display absorption tails of similar shape but different magnitude, which are related to defects in the films. It is known that defects and disorder have large effects on the optical properties of amorphous materials.10 Similarly, unspecified defects exist in these HfO2 films, giving rise to the appearance of these tails. Since the absorption tail becomes smaller with higher temperature annealing, it is reasonable to conclude that the defects were reduced in the films. Furthermore, defect reductions in HfO2 films under high temperature annealing is also evidenced from a recent study2 by x-ray photoemission spectroscopy. In summary, spectroscopic ellipsometry was used to investigate the optical properties of high-k dielectric HfO2 films. The results show that the characteristics of the dielec- 1251 tric functions of the films are strongly influenced by structural changes that occur in the films when annealed at high temperatures. For samples annealed as low as 600 °C, the film becomes polycrystalline. The resulting dielectric function displays a distinguishing feature at 5.9 eV and can be modeled by using a two TL dispersion. On the other hand, at 500 °C annealing, the film remains amorphous with the absence of the 5.9 eV feature, and only one TL dispersion is needed to describe the film’s dielectric function. The annealing-temperature dependence of the absorption coefficients near the absorption edge of these films was also discussed and related to the film qualities. It was shown that the absorption edge increases with annealing temperature. As an application, SE herein was demonstrated to be an effective technique to analytically characterize high-k gate dielectrics, a technologically important and challenging class of materials. This work was supported in part by the NIST Office of Microelectronics programs and SEMATECH Contract No. FEPZ001. 1 G. D. Wilk, R. M. Wallace, and J. M. Anthony, J. Appl. Phys. 89, 5243 共2001兲. 2 B. H. Lee, L. Kang, W. J. Qi, R. Nieh, Y. Jeon, K. Onishi, and J. C. Lee, Tech. Dig. - Int. Electron Devices Meet., 133 共1999兲. 3 M. Balog, M. Schieber, M. Michman, and S. Patai, Thin Solid Films 41, 247 共1977兲. 4 L. Kang, B. H. Lee, W. J. Qi, Y. Jeon, R. Nieh, S. Gopalan, K. Onishi, and J. C. Lee, IEEE Electron Device Lett. 21, 181 共2000兲. 5 G. E. Jellison, Jr. and F. A. Modine, Appl. Phys. Lett. 69, 371 共1996兲; 69, 2137 共1996兲. 6 N. V. Nguyen and Y. J. Cho 共unpublished兲. 7 F. Wooten, Optical Properties of Solids 共Academic, New York, 1972兲. 8 N. V. Nguyen, C. A. Richter, Y. J. Cho, G. B. Alers, and L. A. Stirling, Appl. Phys. Lett. 77, 3012 共2000兲. 9 M. H. Brodsky, R. S. Title, K. Weiser, and G. D. Pettit, Phys. Rev. B 1, 2632 共1970兲. 10 N. F. Mott and E. A. Davis, Electronic Processes in Non-crystalline Materials 共Oxford University Press, London, 1971兲. Downloaded 18 Jun 2012 to 203.237.57.191. Redistribution subject to AIP license or copyright; see http://apl.aip.org/about/rights_and_permissions
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