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Optical encoder calibration using lattice spacing and optical fringe derived from a scanning

tunnelling microscope and optical interferometer

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2007 Meas. Sci. Technol. 18 503

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INSTITUTE OF PHYSICS PUBLISHING MEASUREMENT SCIENCE AND TECHNOLOGY
Meas. Sci. Technol. 18 (2007) 503–509 doi:10.1088/0957-0233/18/2/S25

Optical encoder calibration using lattice

spacing and optical fringe derived from a
scanning tunnelling microscope and
optical interferometer
Masato Aketagawa, Yosuke Ikeda, Nuttapong Tanyarat
and Masashi Ishige
Department of Mechanical Engineering, Nagaoka University of Technology,
1603-1 Kamitomioka, Nagaoka, Niigata, 940-2188, Japan
E-mail: masatoaa@vos.nagaokaut.ac.jp

Received 5 June 2006, in final form 30 August 2006

Published 12 January 2007
Online at stacks.iop.org/MST/18/503
Abstract
Currently, the standard length measurement method with nanometre
resolution is laser interferometry. However, it is difficult to determine an
arbitrary length with an accuracy of sub-nanometre or less order using
interferometers because they have a nonlinearity problem in fringe
interpolation. A phase modulation homodyne interferometer (PMHI) that
can be used to determine the optical path difference of an integer multiple of
the wavelength (n × λ) with picometre resolution was proposed by IMGC
(former Italian Standard Institute). The lattice spacing of approximately
0.246 nm for graphite regular crystalline lattices is uniform and stable over a
long range, when the crystals are stress free. These crystals can be used as a
reference scale with sub-nanometre resolution. The scanning tunnelling
microscope (STM) is emerging as a powerful tool in surface engineering,
and enables us to image atoms on a crystalline surface. Therefore, such a
crystalline surface can be used as ‘the crystalline scale’ using the STM.In
this study, an instrument for calibrating optical encoders is developed by
combining a graphite crystalline lattice as a fine scale and the optical fringe
of the PMHI as a coarse scale. The instrument consists of a precise linear
X-axis sample stage, on which the reference graphite crystal and the optical
encoder scale are set, a head of the STM with a YZ tip scanner and a PMHI.
The relative displacement of the X-axis sample stage between optical
interference dark fringes (= null points) of the PMHI, which is λ/16 times
the integer value in the design, can be measured with picometre resolution
using the phase modulation technique. A lattice spacing of 0.246 nm on the
graphite crystalline surface is derived as the fine scale from the STM image
and the optical fringes of the PMHI. In the experiment, the periodical error
of the optical encoder, whose minimum resolution is less than a nanometre,
is measured using both the lattice spacing of graphite and the optical fringes
of the PMHI. The results show that the proposed instrument has the
feasibility to calibrate optical encoders with an uncertainty of 10 pm order.

Keywords: scanning tunnelling microscope (STM), regular crystalline

lattice, graphite crystal, laser interferometer, phase modulation, picometre
(Some figures in this article are in colour only in the electronic version)

0957-0233/07/020503+07$30.00 © 2007 IOP Publishing Ltd Printed in the UK 503

M Aketagawa et al
1. Introduction
Since nanotechnology has progressed rapidly, new methods
of length measurement applicable to the millimetre range
with a resolution of sub-nanometre or less are required.
Currently, the standard method of length measurement is laser
interferometry. A heterodyne interferometer with a Zeeman
laser1 or a homodyne interferometer using the bifringes
counting method [1] is widely used in the industry. However, it
is difficult to determine an arbitrary length with sub-nanometre
accuracy using commercial interferometers because they have
a nonlinearity problem in the fringe interpolation [2]. A phase
modulation homodyne interferometer (PMHI) that can be used
to determine the optical path difference of an integer multiple
of the wavelength (n × λ) with picometre resolution was
proposed by Basile et al [3].
The lattice spacing of approximately 0.2 nm for some
regular crystalline lattices is uniform and stable over a long
range, when the crystals are stress free. These crystals can
be used as reference (or standard) scales with a resolution of
sub-nanometre or less order instead of laser interferometry.
X-ray interferometry (XRI) using a silicon crystal has been
developed to determine the lattice spacing of silicon at National
Metrological Laboratories2 . The combined optical and x-ray
interferometer (COXI) [4] has been developed for absolute
length measurement with sub-nanometre accuracy at European
metrological laboratories. However, the XRI is very delicate
for an adjustment to obtain a high-contrast x-ray interference
fringe. It is not commonly used in industry due to the difficulty
(= high cost) of machining pure and precise silicon lamellas
and the danger of x-ray radiation. On the other hand, the
scanning tunnelling microscope (STM) [5] is becoming a
powerful and popular tool in surface engineering fields. It
can obtain ‘images of atoms’ on a regular crystalline surface
with a relatively low cost. Therefore, such a crystalline
surface can be used as a ‘crystalline lattice scale’ with a
resolution of sub-nanometre or less order by combining it
with STM. We have shown the feasibility of the crystalline
lattice scale using a graphite crystal (highly oriented pyrolytic
graphite: HOPG) as the reference scale and a dual-tunnelling-
unit scanning tunnelling microscope as the detector [6], and we
have measured the lattice constant of the graphite crystalline
surface using the PMHI and STM [7].
Optical encoders are becoming popular in semiconductor
equipment because of their fine resolution. Some optical en-
coders that use phase interpolation have a resolution of 10 pm
order. However, they suffer periodic error problems, such
as laser interferometry. A periodic error of an optical linear
encoder was investigated with a measurement uncertainty of
several 10 pm by XRI [8]. In this paper, an instrument for
calibrating optical encoders with sub-nanometre accuracy is
developed by combining ‘the crystalline lattice scale’ as a fine
scale and the PMHI as a coarse scale. The instrument could
be another candidate for calibrating the optical encoders with
a resolution of 10 pm order instead of the XRI because of
low cost and no danger of x-ray radiation. In the experiment,
the nonlinear (periodic) error of the optical encoder, whose
minimum resolution is less than a nanometre, is measured and
discussed.
1 For example, Agilent Technologies, 2001, Model 10897B.
2 For example, NIST, PTB, NPL, IMGC, NRLM.
504
2. Instrumentation
Figure 1 illustrates the side view of the proposed instrument.
Figure 2 shows the experimental system and optical layout
of the PMHI. The basic concept of the instrument is same as
the one shown in [7]. The instruments consist of a precise
linear X-axis sample stage, a head of the STM with a YZ tip
scanner and a PMHI. To calibrate the optical encoder, the scale
of the encoder and the reference graphite crystal3 are set on
the X-axis sample stage at positions which are just beneath
the STM head and the reading detector of the optical encoder,
respectively. The X-axis sample stage is driven by a stacked-
type piezo actuator4 . The pitch and yaw motions of the X-axis
sample stage are both less than 0.1 arc s. A tube-type piezo
actuator is used for the YZ tip scanner. Figure 3 shows an
outline photograph of the calibration instrument. In order
to eliminate any thermal deformation effects, the instrument
is made from low-thermal-expansion cast iron5 , whose
thermal expansion coefficient is less than 0.8 × 10−6 K−1
and the instrument is set in a thermostabilized cell with a
temperature stability of 0.05 K or less [9] in experiments.
The X-axis displacement of the sample stage is measured
with the PMHI and the optical encoder. At the same time,
a three-dimensional scan of the STM tip over the graphite
crystalline surface is performed using the X-axis sample stage
and the YZ tip scanner; therefore, the atomic image of the
graphite is obtained using the STM. Z-servo control and raster
signals input to the YZ tip scanner are obtained from a STM
controller6 . A driving signal to the X-axis sample stage is
generated by a 16-bit digital-to-analogue converter (D/A)7
with a digital signal processor (DSP) (see footnote 7). A
high-voltage amplifier8 is employed for driving the stacked-
type piezo actuator. The 16-bit analogue-to-digital converter
(A/D) (see footnote 7) and 32-bit digital input–output (DIO)
board9 are used for collecting the three signals.
The linear polarized beam (polarization angle: 45◦ )
emitted from the frequency-stabilized He–Ne laser10 passes
through the Faraday rotator11 , the single-mode polarization
preserving fibre12 and the Pockels cell13 . The Pockels cell
is used to supply phase modulation and a phase bias shift
between the two polarization components p and s. Removing
the instability of beam pointing and the heat source of the
He–Ne laser can be attained using the fibre. The beam passes
through nonpolarizing beam splitter 1 (NPBS1), and a part of
the beam is split into photodiode 1 (PD1) through polarizer 1
(P1: 45◦ ) for reference phase detection with lock-in amplifier 1
(LIA1)14 . The output signal of LIA1 is used to control the bias
phase shift of the Pockels cell so that the amplitudes of the s and
p components at polarized beam splitter 1 (PBS1) should be the
same. The beam incident on PBS1 is divided into two beams: s
and p components. The two beams go along the two arms of the
3
Advanced Ceramics Corporation, ZYA-S, OH, USA.
4 PI Instrumente GmbH, Waldbronn, Germany.
5 Nippon Chuzo: LEX-SF1, Kawasaki, Japan.
6 Digital Instruments: Nanoscope III, CA, USA.
7 System Design Service, Tokyo, Japan.
8 Echo Electric Co. Ltd, Saitama, Japan.
9 Interface Co. Ltd, Hiroshima, Japan.
10 Spectra-Physics: SP117A, CA, USA.
11 Optics for Research Ltd, NJ, USA.
12 OZ Optics Ltd, Ontario, Canada.
13 Chuo Trading Ltd, Tokyo, Japan.
14 NF Corporation: LI5640, Yokohama, Japan.
 Optical encoder calibration using lattice spacing and optical fringe

I/V Converter Linear scale part

STM YZ tube piezo scanner

Precision screw
head
part Detection head

HO PG Scale

Laser Optics Tip Optics

inter-
Sample stage
ferometer
part

Preload bolt

Spring

Coupling
X stack piezo

Stepping motor X a xis parallel

Base spring s t age
part

Y X

Figure 1. Schematic side view of a calibration instrument for optical encoders realized by combining regular crystalline surface, STM and
PMHI.

Figure 2. Experimental system and optical path layout for the calibration instrument. PBS: polarizing beam splitter, NPBS: nonpolarizing
beam splitter, P(45◦ ): 45◦ polarizer, PD: photodetector, RP: right-angle prism, TP: trapezoid prism, MP: movable prism, AM: adjustment
mirror and LIA: lock-in amplifier.

505
M Aketagawa et al

range and an improvement of the signal-to-noise ratio (SNR)

of the PMHI are performed. The measurement range and SNR
are improved to approximately 500 nm and 104 from the ones
(80 nm and 75) in [7], respectively.

3. Calibration of an optical encoder

An optical encoder is calibrated with the proposed instrument.

Figure 3. Outline photograph of the calibration instrument.
interferometer via PBS2 and PBS3, quarter-wave plates 1 and 2
(QWP1/2), moving prisms 1 and 2 (MP1/2) on the stages and
trapezoid prisms 1 and 2 (TP1/2). The beams travel back and
forth four times between MP1/2 and TP1/2. The two beams
are repassed through QWP1/2, and PBS2/3 are recombined
at PBS4. The recombined beam is led to PD2 via P2 (45◦ ).
The PD2 signal is fed into LIA2 to determine the phase shift
corresponding to the displacement of the X-axis sample stage
using phase modulation and lock-in detection. The output
signal of LIA2 is a sinusoidal function of the optical path
difference. The displacement can be measured at dark-fringe
points (= null points) with picometre resolution. In our design,
one optical fringe (= one cycle between neighbouring null
points) corresponds to λ/16 in the X-axis displacement. By
comparing the PMHI signals with the graphite atomic image
of the STM and the optical encoder signal, the nonlinear
error of the optical encoder can be determined. In the
instrument, in order to reduce measurement uncertainties for
the determinations of both the lattice spacing and the periodical
error of the optical encoder, an extension of the measurement
Experimental and actual environmental conditions are
shown in table 1. In order to attain equilibrium under
real environmental conditions and reduce measurement
uncertainties, the instrument is kept in the thermostabilized
cell for 2 days before the experiment. In the experiment,
the X-axis is selected as both the direction to be measured
and the fast scanning axis for the STM imaging to reduce the
thermal drift error [9]. The calibration procedure is outlined
as follows.
(1) Drive the X-axis sample stage and the YZ tip scanner in
such a way that X- and Y-axes are selected as the fast- and
slow-scanning axes, respectively, and obtain the atomic
STM image of graphite.
(2) At the same time, obtain the PMHI and the optical encoder
signals of the X-axis displacement for all Y-lines.
(3) Calibrate the lattice spacing of the graphite by comparing
the displacement L of PMHI signals with the numbers N
of the lattice spacing that fit L in the atomic image of the
graphite.
(4) Derive the periodic error of the optical encoder by
comparing its displacement signal with the atomic image
of the graphite using the value of the lattice spacing.
(5) Check the results by referring to the PMHI signal.
Figure 4 shows one example of the results. In figure 4, (a) is
an atomic STM image of a part of the graphite approximately
500 nm long, (b) is the PMHI signal for the 97th Y-line and
(c) is the optical encoder signal for the 97th Y-line. The STM
image, the PMHI and the optical encoder signals all have data
capacities of 25 600 pixels (X) × 128 lines (Y).
3.1. Determination of lattice constant of graphite crystalline
lattice
Since the graphite crystal has an atomically clean surface
and its lattice spacing on the surface is stable and inert to
substances adsorbed from air due to its layer structure, it can

Table 1. Experimental and environmental conditions.

Scanning conditions Sample Graphite
Tip Pt–Ir mechanical cut
Scanning range 500 nm (X), 2.5 nm (Y)
Scanning frequency 2 Hz in fast scanning axis
Scanning time 64 s/frame
Sampling frequency 102 kHz
Bias voltage 50 mV
Set-point current 2 nA
Pockels cell modulation Frequency 10 kHz
Environmental conditions Air temperature (21.33 ± 0.05) ◦ C
Atmospheric pressure (1007.56 ± 1) hPa
Air humidity (33 ± 1)%
CO2 content (350 ± 10) ppm
Refractive index of air 1.000 2687

506
 Optical encoder calibration using lattice spacing and optical fringe

m 1 m 1+1 m 2 m 2+1

a1
(a) A B
a2
Y

X | L|
5
Amplitude V

(b) 0 A B

-5
0 Sampling time s 0.25 X

600
B
Displacement nm

(c) | L|

A
0
0 Sampling time s 0.25 X

Figure 4. Comparison between (a) graphite atomic STM image, (b) output of the PMHI and (c) output of the optical encoder. The X-axis is
selected as the direction to be measured and the fast scanning axis. The data capacities are 25 600 pixels (X) × 128 lines (Y). (b) and (c) are
output signals of the 97th Y-line.

be made into one of the most useful reference crystals by Table 2. Calibration of the lattice spacing of graphite.
combining it with the STM. However, there is some possibility Number of unit lattice vectors a1 948.1
of changing the lattice spacing due to its rod manufacturing Number of unit lattice vectors a2 1269.5
process and differences in the environment. Therefore, the Number of lattice spacings along the 1927.2
lattice spacing of the graphite is calibrated using the PMHI X-direction
before the calibration of the optical encoder. In figure 4(b), Number of optical fringes in the 12 fringes
PMHI (= 474.646 nm)
the interval L between points A and B (both zero crossing
Lattice spacing 0.2463 nm
points) is equal to 12 × λ/16. In this case, the wavelength λ Expanded uncertainty (k = 2) 0.1 pm
of the He–Ne laser is calibrated using the Edlen equation [10]
under the environmental conditions shown in table 1. In figure
4(a), because of the high quality of the atomic image, two unit
lattice vectors a1 and a2 can be easily recognized. In the case 3.2. Comparison between crystalline lattice and optical
of the graphite crystal, a1 = a2 = d (= lattice spacing which encoder
is the distance between α sites) and the intersectional angle
between a1 and a2 is 60◦ [11]. Therefore, the lattice spacing d Comparisons are made using the following procedure.
can be written using the following equation [7] (1) Divide the atomic image and the output signal of the
L optical encoder every 25 pixels along the X-axis.
d=
, (1)
(2) Count the numbers m1 and m2 of unit lattice vectors a1
m21 + m22 + 2m1 m2 cos 60◦
and a2 that fit every 25 pixels along the X-axis, manually.
where m1 and m2 are the numbers of unit lattice vectors a1 At the same time, read the output signal Le of the optical
and a2 within that fit within the interval AB, respectively. In encoder.
figure 4, the relationship between a1, a2, m1, m2 and the (3) Calculate the displacement L of every 25 pixels of the
measurement direction of A–B is shown. The counting method STM image using
for the lattice spacing shown in [7] is employed here. From

the relationship, the lattice constant is determined as shown in L = d m21 + m22 + 2m1 m2 cos 60◦ . (2)
table 2. The measurement uncertainty is estimated using the
method in [7], and its result is also shown in table 2. In the Integrate the above quantities every 25 pixels and
literature, the lattice spacing is reported to be 0.246 nm [7]. determine displacement L using

Another of our results using the same method verifies that the
lattice spacing is 0.246 nm with an expanded measurement L = L. (3)
uncertainty of 7 pm (k = 2) [7]. All results coincide with
Calculate the difference De between L and Le:
each other. Due to the extension of the measurement length
and the improvement of the SNR for the PMHI signal, the De = L − Le . (4)
measurement uncertainty was reduced by comparing with the
In this case, d is from table 2, i.e. d = 0.2463 nm.
result in [7].
507
M Aketagawa et al

200 3

150
2.5
100
Nonlinear error De pm

50
2
0

Power a.u.
-50 1.5
- 100
- 150 1

- 200
0.5
- 250

- 300
0
0 50 100 150 200 250 300 350 400 450 500 0 2 4 6 8 10 12 14 16 18 20
Regular crystalline lattice scale Ll nm Frequency to reciprocal of signal period (1/138 nm)

Figure 5. Periodic error of the optical encoder. Lateral and vertical Figure 7. Fourier transform of figure 6. The lateral axis is space
axes are the displacement L from the crystalline lattice and the frequency normalized to the inverse of the basic period of the optical
difference De , respectively. The result is from the 97th Y-line. encoder.

Table 3. Summary of measurement uncertainty for calibration of

200 the optical encoder.
150
Zerocross point Cosine error 0.49 pm
Nonlinear er ror D ee, D pe pm

100 Abbe error 5 pm

50 Thermal drift error 0.032 pm
Counting error of unit lattice vectors 25 pm (= 0.1 vector)
0
Error in calibration of lattice spacing 0.1 pm
-50 Combined standard uncertainty 25.5 pm
-100 Expanded uncertainty (k = 2) 51 pm
-150

-200

-250 3.3. Uncertainty estimation

-300
0 50 100 150 200 250
Regular crystallin e lattice scale L e nm
Figure 6. Averaged result of periodic error of the optical encoder
from the 65th to the 128th Y-lines. The diamond points show the
difference Dpe.
(4) To check the feasibility of the proposed method, calculate
the difference Dpe between the displacement LP from the
PMHI (= λ/16∗n (fringes)) and the displacement from
the encoder Le:
Dpe = Lp − Le .
In the real comparison procedure, the resolution of manually
counted m1 and m2 is approximately 1/10. Figure 5 shows
one of the comparison results at the 97th Y-line. In the figure,
lateral and vertical axes show the displacement L and the
difference De , respectively. Figure 6 shows the comparison
result averaged over 64 lines from the 65th to the 128th Y-
lines. In figure 6, the displacement L and the differences De
and Dpe are also displayed. In figure 5, there are relatively
large fluctuations which may be from the counting error of
lattice vectors. However, in figure 6, a clear periodicity can
be seen, and the points of Dpe are almost located on the line
of De . Figure 7 shows the Fourier transform of figure 6.
In the figure, the lateral unit shows frequencies of the cyclic
error normalized to the inverse of the basic period of the linear
encoder (= 1/138 nm−1). Figure 7 shows that major parts of
the cyclic errors are from basic and half periods.
300 350 400 450 500 The causes and contributions of the uncertainty for the
calibration of the optical encoder are summarized in table 3.
The major cause is the error of counting the numbers m1 and
m2 of unit lattice vectors a1 and a2, respectively, that fit every
25 pixels along the X-axis in the STM image. A precise and
automatic method of counting unit lattice vectors is required
instead of manual counting. The expanded measurement
uncertainty (k = 2) is approximately 50 pm in the experiment,
which is smaller than the amplitude of the periodic error of the
optical encoder.
(5) 4. Conclusion
An instrument for calibrating optical encoders with sub-
nanometre accuracy was developed by combining the lattice
spacing of graphite as a fine scale and the optical fringe of
a PMHI as a coarse scale. In the experiment, the periodic
error of the optical encoder, whose minimum resolution was
less than a nanometre, was measured. We believe that the
results show that the proposed instrument has the capability
of calibrating optical encoders with an uncertainty of 10 pm
order.
Acknowledgment
The partial financial support of the Scientific Research Fund of
the Japanese Ministry of Education, Culture, Sports, Science
and Technology is gratefully acknowledged.

508

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