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Current Opinion in Colloid & Interface Science 4 (1999) 197-204 www.elsevier.nl/locate/cocis

Analysis methods in neutron and X-ray reflectometry

M.R. Lovell, R.M. Richardson*


School of Chemistry, University of Bristol, Cantocks Close, Bristol BS8 1TS, UK

Abstract

Reflectivity analysis has focused on two key areas; overcoming the phase problem and achieving reliable scattering length
density profiles using modelling methods. Significant recent advances are the application of Bayes’ theorem, the use of a
genetic algorithm and the exploitation of magnetic reference layers and anomalous reflection. 0 1999 Elsevier Science Ltd.
All rights reserved.

Keywords: Neutron reflection; X-ray reflection; Bayes’ theorem; Anomalous reflection; Genetic algorithm; Magnetic reference layer

1. Introduction the thickness and density of any layers at the inter-


face and the roughness of the interface. A typical
Neutron and X-ray reflectometries are now two experimental design is shown schematically in Fig. 1.
well-established techniques for investigating surfaces The specular reflectivity of an interface is determined
and interfaces. Part of their attraction is the opportu- by changes in the scattering length density, p, in a
nity to study ‘buried’ interfaces both non-invasively direction normal to the surface. p is determined by
and with high spatial resolution (subnanometre length the number density, n, and scattering length, b, of
scales). We begin this review of analysis methods by each type of atom
outlining the experimental technique and introducing
some major aspects of data analysis. We then sum- p= &bi
marise the common modelling methods for reflectivity i
data and survey developments of recent years. In the
where, for neutrons, bi is a, nuclear property and for
second part we examine briefly some practical ap-
X-rays it is 2.85 X 10-5ZiA where Zi is the atomic
proaches to confronting fundamental analysis prob-
number. The reflectivity profile, R(Q), contains infor-
lems.
mation on the scattering length density gradient within
the interface. The density gradient in turn contains
information on the thickness, density and roughness
2. The reflectometry technique
of the interfaces. We define the interface to lie in the
x-y plane and the z-direction is normal to this plane.
In the investigation of interfaces the experimental-
Thus reflectometry can be considered a depth profil-
ist is often interested in obtaining information such as
ing technique sensitive to the scattering length density
gradient dp(z)/dz. The relationship between R(Q)
and dp(z)/dz is not straightforward, however, and
+ +
*Corresponding author. Tel.: 44-117-928-7666; fax: 44-117-
this fact has proven to be the ‘Achilles heel’ of
925-0612.
E-mail addresses: mike.lovell@ bris.ac.uk (M.R. Lovell), reflectometry. A single reflectivity measurement can-
robert.richardson@bris.ac.uk(R.M. Richardson) not be directly inverted to produce a single, unique

1359-0294/99/$ - see front matter 0 1999 Elsevier Science Ltd. All rights reserved.
PII: S 1 3 5 9 - 0 2 9 4 ( 9 9)O 0 0 3 9 - 4
198 M.R Louell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204

scattering length density profile p(z) (or, alternatively, refine an initial model p(z> until the calculated re-
dp(z)/dz) [1,21. Therefore the experimentalist cannot flectivity matches as closely as possible the experi-
determine a unique set of structural parameters re- mental R(Q). A general fitting procedure is outlined
garding the interface from a single reflectivity mea- in Fig. 2. Text inside a box describes a general step
surement. This is the familiar ‘phase problem’ en- that must be taken and these are joined in flow-chart
countered in crystallography. In essence the phase type fashion. Comments appearing between steps
problem means that the inversion of R(Q>data leads summarise the decisions that need to be made along
to many possible p(z>. There are other practical as- the way. It is the details of these decisions that form
pects that exacerbate the general problem of gaining the basis of this review.
a unique p(z> from R(Q) and these arise from the In this section we use the terms ‘exact’ and ‘ap-
resolution in Q, the natural statistical noise in the proximate’ to indicate the nature of the equations
R(Q>data and restricted Q range over which R(Q> used to transform p(z> to R(Q). Both the ‘exact’ and
may be measured. Since direct inversion is not practi- ‘approximate’ formalisms have been established for
cable, there are only two other approaches that are some time. The exact method models the surface as a
being pursued at present. In the first, a model of the series of strata and use formulae adapted from optics
scattering length density profile, p(z), is constructed to calculate the reflectivity. The approximate methods
and refined to give good agreement with measured use the weak scattering approximation (WSA) or Born
reflectivity data. Progress in modelling and fitting approximation so the reflectivity is calculated as a
procedures is discussed in the next sections. A later modulus squared of a Fourier transform of the scat-
section discusses recent progress in data inversion tering length density profile [31.
methods applied to multiple measurements. Recent progress in modelling methods may be di-
vided into two categories that we describe as ‘objec-
tive’ and ‘subjective’. In the former the final p(z> is
3. Modelling methods not strongly dependent on the initial choice of model
used to fit the data. The latter assume a form for the
model and so the final profile may be influenced by
The most common numerical methods of data anal- this choice. These two approaches are discussed in
ysis involve at some stage iterative procedures that the following sections.

Fiaure 1

Q = kR-kl

collimating
tor

sample
/
incident ‘ribbon’ beam reflecied beam

Current Opinion in Colloid & InterfaceSciena

9 reflectivity experiment. Collimation produces a ribbon-shap5d beam that impinges on the sample surface at some known angle 0
typically < 2”)with an incident intensity I, and a wavelength A (A). The specular beam is reflected with some intensity I, as measured at the
letector (the difference between incident and reflected intensity is transmitted and/or adsorbed into the sample, or reflected non-specularly).
The wavevectors k , and k , define the incident and reflected beams, respectively. F e momentum transfer vector Q is defined as the
lifference in the wavevectors as given in the figure, thus allowing the magnitude I Q I (A-’) to be calculated (I Q I is denoted Q in the main
ext), and its direction is normal to the surface. Q is varied either by changing A or 8. The reflectivity R (the reflected intensity normalised by
he incident intensity) is then measured as Q is changed yielding the reflectivity profile R(Q).
M.R Louell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204 199

Figure 2

Corrections.
design.

4 Compare R(QY with R(Q) I


I ‘Fitness’ Darameter.
Error weighting. Uniqueness.
Feasibility.

Analytical or
stochastic.
Refine model parameters

Current ODinion in Colloid & Interface Sciencc

A typical analysis procedure. An outline of a general numerical fitting procedure involves the various steps enclosed in the boxes. The text
between these steps indicate some of the decisions that need to be taken between steps.

A third area where progress is being made is the surfactant dispersal at the interface and the water
actual route by which the initial p(z) is refined. Again surface was modelled by a tanh function. The method
there are two approaches to this model optimisation has its roots in the partial structure factor (PSF)
that we have termed ‘analytical’ and ‘stochastic’ and method (e.g. Lu et al. and Li et al. [5,61) but is more
these are discussed in Section 6 on optimisation versatile. Thus direct fitting allows neutron and X-ray
methods. data to be fitted simultaneously, background subtrac-
tion effects are no longer an issue, and the reflectivity
data need not be truncated to restrictive Q ranges.
4. Subjective methods Regan et al. [7] have used theoretical models of
atomic layering to analyse synchrotron X-ray reflec-
The first step in the fitting procedure of Fig. 2 is to tivity data from liquid gallium and mercury. Success-
define the initial p(z). The experimentalist chooses ful application of this method confirmed theoretical
the form of p(z) so the profile resulting from the predictions for liquid metals. This example shows that
fitting process is inherently biased. This ‘subjective’ subjectivity is not only valid, but crucially important,
approach is valid when one is aware of some struc- when an experimentalist is attempting to prove (or
tural features of the sample, For example, a thin film otherwise) an hypothesis. Sferrazza et al. [SI have
at a surface may have a known density but its thick- obtained significant evidence for their hypothesis that
ness needs to be monitored as it grows during some the extra broadening observed in immiscible
deposition process. The application of reflectivity poly(styrene)-poly(methy1 methacrylate), PS-PMMA,
equations to fit the data is then a relatively trivial interfaces (beyond that predicted by self-consistent
affair to monitor the thickness. The subjective ap- field theory) is due to capillary waves. By prior mea-
proach is also suitable when one is aware of the surement of the densities and thicknesses of the lay-
theoretical shape of p(z). In this case p(z) can be ers by spectroscopic ellipsometry, some of the
explicitly defined by some ‘functional form’ that may parameters which define p(z) were fixed and so the
be transformed into reflectivity by an ‘exact’ or ‘ap- interfacial widths could be determined more accu-
proximate’ method. This has the obvious advantage of rately from the neutron reflection results.
greatly reducing the number of variable parameters
required to define a general profile and the resulting
solution will always be unique. This approach has 5. Objective methods
been used by Lee et al. [4] to fit directly reflectivity
data from amphiphilic layers adsorbed at the air- When no prior knowledge of the thin film is avail-
water interface. Gaussian distributions described the able then an impartial, or ‘objective’, approach is
200 M.R Louell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204

desirable. Such approaches are often termed ‘free- and this process continues until a satisfactory fit is
form’ or ‘model-independent’. It should be noted that found. This method may yield a physically unrealistic
solutions obtained from such methods suffer from the p(z) with too many subdivisions and sharp steps in
inherent non-uniqueness due to the phase problem scattering length density between these sublayers. Re-
and so there is always a necessary degree of subjectiv- cent improvements have overcome the excessive sub-
ity when the experimentalist decides which solutions division problem [lo]. The jagged nature of the pro-
are physically reasonable. files is common to all procedures of this type that
A new Fourier analysis method by Voorma et al. neglect interface roughness. This aspect has also been
[9’] has been developed to gain p(z) information improved by adding smoothing operations [ll], the
directly from X-ray reflectivity data from multilayer important advantage of which is the indirect develop-
mirrors of Mo/Si and Co/C. This so-called Bragg ment of interfacial roughness/diffuseness between
Maximum Reverse Fourier Transforms (BMFT) layers. Such smoothing procedures are not con-
method utilises approximate kinematical theory to strained to use a particular functional form (e.g. an
yield the average electron density profile within the error function) to describe the interfacial roughness
multilayer. Its objectivity lies in the fact that the in cases where it is not appropriate.
parameters are determined directly through the use The GTM method can require a significant amount
of analytical equations and so no model fitting is of iteration, and hence computing time, so an im-
required. Often no clear ‘Bragg’ maxima are present proved smoothing procedure has recently been devel-
in reflectivity data and in these cases direct Fourier oped based on cubic spline interpolation [12]. The
analysis is rendered unworkable. Indirect model-inde- main GTM layers are divided into sub-layers and
pendent methods should then be used and these have these are connected using cubic splines. The authors
been developed and employed with some success. tested the improved smoothed groove tracking method
Zhou and Chen have developed a Groove Tracking (SGTM) successfully with the experimental data of
Method (GTM) based on Parratt’s exact formula. In Regan et al. [7] by reproducing objectively the func-
their original GTM [2,3] the surface is divided into an tional-form p(z) used in the original reference.
initially small number of equally thick layers in a The use of cubic splines to produce a model-inde-
manner similar to Fig. 3. As optimisation proceeds pendent, smooth p(z) is not new in the analysis of
each layer is subdivided into smaller-thickness layers reflectivity data. Pedersen developed a model-inde-

Fiaure 3

SAMPLE MODEL p(z)

layer
0

IT..
1”

1 PI 8,

2 2
3
P2
P3
8,
63
01

02 .?I
In
5
i’

J-I PJ-1 8j.z I

-
- OJ-2
J

Current Opinion in Colloid & Interface Science

The modelling process. The initial model p ( z >of Fig. 2 is typically described by a series of J layers. Each layer j can then be defined by a
hickness a,, a density p, and by interfacial roughness terms q - and q.The ‘layer’ j = 0 corresponds to the bulk medium through which the
+
.adiation travels before striking the sample (the fronting medium - air in this example) and j 1 to the bulk medium on the opposite side of
he interface (the backing medium-usually a bulk substrate). The corresponding model p ( z ) can then be displayed as the profile inset. The
lashed lines represent the profile from the J layers in the absence of any roughness between the layer interfaces. Usually interfacial roughness
s described by assuming the interface has a Gaussian distribution about the mean position with a width u.This changes the profile from
laving ideal, sharp steps between layers to a smooth density transition (solid line) and so is physically more reasonable for most systems.
M.R Louell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204 20 1

pendent technique [131 that utilised cubic b-splines to The interfacial roughness that is observed in objec-
describe the model p(z). An alternative parameterisa- tively determined p(z) should not be necessarily con-
tion of p(z) in terms of a Fourier series of sine and sidered model-independent since it develops from the
cosine terms [14-161 was also developed. The objec- smoothing criteria or basis functions employed. One
tivity of this splines method has recently highlighted method of extracting interfacial width information
the structural organisation of copolymer micelles at a objectively from R(Q) is through moments analysis as
quartz surface [171 and at the air-solution interface discussed by Rieutord et al. [22”1. The authors de-
[18]. The former work used spline fitting in conjunc- monstrate that, although in principle R(Q) contains
tion with Monte Carlo simulations and, in the latter information about all moments, in practice only the
study, the initial spline fitting provided invaluable three lowest moments; M,, MI and M, can usually be
insights into the distributions of the copolymer at the extracted. The effects of higher moments tend to be
water surface, which formed the framework for the observed only at large Q values that are outside the
subsequent PSF analysis. Pedersen demonstrated that maximum experimentally achievable range. M,, MI
the spline method is ideally suited to cases where p(z) and M, are related to the normalisation of p(z) [the
is aperiodic whereas the Fourier sine/cosine series bulk scattering length density p(a)], the distance of
description of p(z) is better for periodic structures the interface from the origin and the interfacial width,
[14,15]. Asmussen and Riegler [19], in the investiga- respectively. The third and fourth moments (M3 and
tion of the structure of Langmuir-Blodgett (LB) films M,) are related to the asymmetry and the kurtosis
of behenic acid on SiO, substrates, parameterise the (extendedness, or long-tailedness) of the interface.
internal LB film structure is as a Fourier cosine This work was discussed using simulated data but
series. This parameterisation has the advantage that Karim et al. [23] have analysed experimental data to
each Bragg maximum in R(Q) can be identified with determine changes in M, and M, in studies of inter-
a corresponding Fourier component thus minimising diffusion across polymer interfaces. In this work the
the number of fit parameters. change in M, was determinable as its effect could be
Model-independent methods often result in p(z) seen in R(Q) at moderate Q values.
profiles that display short-range oscillations, usually Moments analysis appears workable for only simple
due to the finite Q range of experimental reflectivity interfaces and so other methods must be used when
data. Smoothing procedures can be applied to p(z) to investigating interfaces in more complicated systems.
dampen such ‘fine-detail’ so that only the ‘gross’ fea- We merely note here that non-specular reflection can
tures are retained. The question then arises as to also be employed as it contains information on lateral
whether the fine-detail was a real aspect of the sam- interface structure (e.g. [24-281). Tang et al. [28], e.g.
ple. Sanyal et al. [20] have developed a free-form have shown that the interfacial roughness in a Co/Cu
approach that can be used to determine fine-detail multilayer is mainly uncorrelated roughness.
when all deviations in p(z) are small (i.e. no ‘gross’
features). Their method utilises the distorted-wave
Born approximation (DWBA) [3] for which it is as- 6. Optimisation methods
sumed that the surface possesses a nearly constant
scattering length density, po[2l0]. A small but real The comparison between a model and measured
deviation in scattering length density, Ap(z), thus reflectivity is usually made by calculating x2 (the sum
forms a small perturbation on p, that allows the total of squares of the weighted deviations). This is
density to be treated as p, + Ap(z). The authors were minimised to achieve a good fit by adjusting the
interested in small electron density variations within a model parameters. A major drawback of the usual
thin, spin-coated polystyrene (PS) film on silicon and analytic methods (Levenberg-Marquardt or Simplex)
employed X-ray reflection. Their fitting method for reflectivity analysis is the possibility of finding a
proceeded with the film modelled initially as a num- local minimum rather than the overall global mini-
ber of thin slices of equal thickness 6 and electron mum. Recent developments have focused on methods
density p, + Apj; the Apj being the only variable of overcoming this problem. For example, Samoilenko
parameters. Through simulations the authors demon- et al. [29] have applied the method of successive
strated that this approach could reproduce electron descent from local minima with partial success. Other
density profiles accurately, even when the variation in analytical approaches have also been employed, again
p, was of the order of 4%, and successfully applied with varying degrees of success. Maximum entropy
the method to experimental data from the thin PS (MaxEnt) is one such method that is well established.
film. A small variation in p(z) of 5-7% was found at It carries some immunity against a large number of
roughly regular intervals of 194 A separations. This solutions and, in its simplest form, reveals the most
was rationalised as coiled polymer balls forming lay- likely profile by maximising an entropic term. MaxEnt
ers at the sharp silicon interface. has been used successfully for the analysis of experi-
202 M.R Louell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204

mental reflectivity data [30,311 although the method 7. Practical solutions to the phase problem
can be computationally intensive. The probability as-
pects of MaxEnt can be advanced by the use of Several practical methods have been developed to
Bayesian probability theory [30,32,33", 341 to give a determine p(z) profiles uniquely. These involve the
powerful analysis tool. Sivia and Webster [33"] have measurement of multiple reflectivity profiles from
recently discussed the use of Bayes' theorem in the samples where the scattering length density of one
analysis of reflectivity data. They discuss parameter component is varied. The effective neutron scattering
estimation and develop this to address problems of length of an element may be adjusted by changing its
model selection, free-form solutions employing Max- isotopic composition or by varying the magnetisation
Ent, and even experimental design. Although going direction with respect to the neutron's polarisation. A
some way to finding the global minimum the MaxEnt similar strategy can also be employed in X-ray reflec-
and Bayesian approaches cannot determine with ab- tometry by exploiting the change in scattering length
solute certainty whether a solution actually is at a that occurs near an absorption edge of an element
global minimum. Indeed, such a definitive statement (anomalous or resonant X-ray reflection). The neu-
from reflectivity data alone is an impossibility in the tron contrast variation method is well known in the
absence of external information regarding the sample, form of partial structure factor analysis and numerous
no matter by what route the minimisation has oc- experimental applications are documented (e.g. [38]),
curred. Stochastic methods offer another way of deal- but the method can be used more directly to enable
ing with the local minimum problem that arises from modelling of multiple data sets (e.g. [39]). We there-
their inherently random nature. Zhou and Chen's fore do not review this particular method but concen-
GTM method utilises a stochastic approach [2,3]: the trate on those that aim to directly invert reflectivity
density of a layer in the model p(z) moves randomly data. Sanyal et al. [401 used their free-form DWBA
within a force field according to Newtonian mechan- method to reconstruct electron density profiles of
ics, the randomisation occurring through Monte Carlo Langmuir-Blodgett films on Ge from anomalous X-
ray reflectivity measurements. Recently Lee et al.
methods. Another is the established but little-used
[41°] used resonant X-ray reflectivity to obtain ele-
simulated annealing method [35] wherein a layer of
ment-specific density profiles for a (Gd/Fe),, multi-
the model p(z) is randomly selected and its density
layer.
and/or width is changed by a random amount. This
A versatile method for neutrons is to use a magne-
change is always accepted if it leads to a reduction in
tised substrate, on which an unknown layer is present.
x2. If x 2 is increased, however, there is a reduced Two reflectivity profiles are then measured with the
probability of accepting the change. The probability
neutron spins parallel and antiparallel to the mag-
of acceptance is governed by a quantity that is analo- netic field. Thus the substrate scattering length den-
gous to temperature. The 'temperature' is decreased sity is related to the neutron, b, and magnetic, p ,
as the number of fitting attempts increases thus simu- scattering lengths through p = n(b k p ) . Penfold et al.
lating an annealing process. It is the ability of the [42] used this strategy within the DWBA to determine
method to accept immediately detrimental changes the thickness of a PS film on a nickel substrate and
that can enable escape from local minima. compared the value favourably with that obtained
These methods make only small changes in the through conventional modelling. The technique, as
overall p(z) at each fitting step as only one layer is noted by the authors, is viable when sharp interfaces
randomly varied. For this reason they are still prone are prepared and sufficient Q range is accessible. The
to premature convergence in a deep local minimum. DWBA requires that reflectivity data should be ig-
A stochastic global minimisation technique has been nored near the critical edge. This limitation can be
developed and recently used by de Haan and overcome so that all R(Q) above the critical edge is
Drijkoningen [36] and Dane et al. [37"] to analyse valid by the use of a known magnetic reference layer
reflectivity data. This method is based on genetic having three possible scattering length densities
algorithms in which each unknown parameter is con- [43-461. Direct inversion of R(Q) to p(z) is then
strained to lie between a maximum and minimum possible through the Gel'fand-Levitan-Marchenko
value. The genetic algorithm explores a population of (GLM) formalism [43,46] or by a layer stripping
trial solutions so it is possible, in principle, to offer method [44,45]. Majktrak et al. [47,48'] report recent
multiple solutions from a single reflectivity profile. implementation of the GLM reference layer method
Hence, a genetic algorithm is less sensitive to local in the experimental investigation of PS films. Results
minima and is capable of finding the vicinity of the were encouraging but did highlight practical consider-
global minimum. Once in the region of the global ations regarding the initial choice of magnetic refer-
solution a standard analytical optimisation procedure ence material. Meanwhile Lipperheide et al. [49] have
is often employed. proposed an alternative method for determination of
M.R Lovell, R.M. Richardson /Current Opinion in Colloid & Interface Science 4 (1999) 197-204 203

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.
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[23] Karim A, Felcher GP, Russell TP. Interdiffusion of polymers lessens the chance of missing feasible solutions. Results for experi-
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