Optimization: Mathematical Modeling
1. Context
A recipe is a vector of controllable parameters:
Where:
- $T$ = Temperature (°C or K)
- $P$ = Pressure (mTorr or Pa)
- $Q_i$ = Gas flow rates (sccm)
- $t$ = Process time (seconds)
- $P_{\text{RF}}$ = RF power (Watts)
Goal : Find optimal $\mathbf{x}$ such that output properties $\mathbf{y}$ meet specifications while accounting for variability.
2. Mathematical Modeling Approaches
2.1 Physics-Based (First-Principles) Models
Chemical Vapor Deposition (CVD) Example
Mass transport and reaction equation:
Where:
- $C$ = Species concentration
- $\mathbf{u}$ = Velocity field
- $D$ = Diffusion coefficient
- $R(C, T)$ = Reaction rate
Surface reaction kinetics (Arrhenius form):
Where:
- $A$ = Pre-exponential factor
- $E_a$ = Activation energy
- $R$ = Gas constant
- $T$ = Temperature
Deposition rate (transport-limited regime):
Where:
- $C_s$ = Surface concentration
- $h_g$ = Gas-phase mass transfer coefficient
Characteristics:
- Advantages : Extrapolates outside training data, physically interpretable
- Disadvantages : Computationally expensive, requires detailed mechanism knowledge
2.2 Empirical/Statistical Models (Response Surface Methodology)
Second-order polynomial model:
Where:
- $\beta_0$ = Intercept
- $\beta_i$ = Linear coefficients
- $\beta_{ii}$ = Quadratic coefficients
- $\beta_{ij}$ = Interaction coefficients
- $\varepsilon$ = Random error, $\varepsilon \sim \mathcal{N}(0, \sigma^2)$
Matrix form:
Least squares estimator:
Design of Experiments (DOE) Options:
- Central Composite Design (CCD)
- Box-Behnken Design
- D-optimal designs
- Fractional factorial designs
2.3 Gaussian Process (Kriging) Models
GP prior:
Squared exponential (RBF) kernel:
Where:
- $\sigma_f^2$ = Signal variance
- $\ell_d$ = Length scale for dimension $d$
Matérn 5/2 kernel (alternative):
Where $r = \sqrt{\sum_d \frac{(x_d - x'_d)^2}{\ell_d^2}}$
Predictive mean:
Predictive variance:
Where:
- $\mathbf{k}_ = [k(\mathbf{x}_, \mathbf{x}_1), \ldots, k(\mathbf{x}_*, \mathbf{x}_n)]^T$
- $\mathbf{K}$ = Gram matrix with $K_{ij} = k(\mathbf{x}_i, \mathbf{x}_j)$
- $\sigma_n^2$ = Noise variance
Key Advantage : Native uncertainty quantification—critical for expensive semiconductor experiments.
2.4 Neural Network Models
Feedforward neural network:
Where:
- $\mathbf{W}_l$ = Weight matrix for layer $l$
- $\mathbf{b}_l$ = Bias vector for layer $l$
- $\sigma_l$ = Activation function (ReLU, tanh, etc.)
Physics-Informed Neural Networks (PINNs):
Where $\mathcal{F}$ is the differential operator from governing equations.
3. Optimization Formulations
3.1 Standard Constrained Optimization
General form:
Subject to:
Weighted multi-output objective:
Where $\Delta_j$ is the tolerance for output $j$.
3.2 Multi-Objective Optimization
Vector optimization problem:
Example objectives:
- $f_1(\mathbf{x})$ = Deviation from target thickness: $|t - t_{\text{target}}|$
- $f_2(\mathbf{x})$ = Within-wafer non-uniformity (WIWNU): $\frac{\sigma}{\mu} \times 100\%$
- $f_3(\mathbf{x})$ = Cycle time: $T_{\text{process}}$
- $f_4(\mathbf{x})$ = Defect density: $D_0$
Pareto dominance: $\mathbf{x}^{(1)}$ dominates $\mathbf{x}^{(2)}$ if:
Solution methods:
- Weighted sum : $\min \sum_{i=1}^{k} w_i f_i(\mathbf{x})$
- $\varepsilon$-constraint : $\min f_1(\mathbf{x})$ s.t. $f_i(\mathbf{x}) \leq \varepsilon_i$ for $i \geq 2$
- Evolutionary algorithms : NSGA-II, MOEA/D
3.3 Robust Optimization
Sources of uncertainty $\boldsymbol{\xi}$:
- Control noise (recipe execution variability)
- Equipment drift
- Incoming material variation
- Measurement noise
Mean-variance formulation:
Where $\kappa$ is the risk aversion parameter.
Uncertainty propagation (first-order Taylor):
Sensitivity coefficient:
Chance-constrained optimization:
For Gaussian outputs:
Process capability index:
3.4 Bayesian Optimization
Algorithm for expensive-to-evaluate functions:
1. Fit GP surrogate: $y(\mathbf{x}) \sim \mathcal{GP}(m, k)$ 2. Optimize acquisition function: $\mathbf{x}_{\text{next}} = \arg\max_{\mathbf{x}} \alpha(\mathbf{x})$ 3. Evaluate true function: $y_{\text{next}} = f(\mathbf{x}_{\text{next}}) + \varepsilon$ 4. Update dataset: $\mathcal{D} \leftarrow \mathcal{D} \cup \{(\mathbf{x}_{\text{next}}, y_{\text{next}})\}$ 5. Repeat until budget exhausted
Acquisition functions:
Expected Improvement (EI):
Closed form (for GP):
Where:
- $\Phi(\cdot)$ = Standard normal CDF
- $\phi(\cdot)$ = Standard normal PDF
- $y^*$ = Best observed value
Upper Confidence Bound (UCB):
Where $\kappa$ balances exploration vs. exploitation.
Probability of Improvement (PI):
4. Run-to-Run (R2R) Control
4.1 EWMA Controller
Exponentially Weighted Moving Average prediction:
Where $\lambda \in (0,1]$ is the smoothing factor.
Recipe update:
Where $G = \frac{\partial y}{\partial x}$ is the process gain matrix.
4.2 Model Predictive Control (MPC)
Optimization problem:
Subject to:
Where:
- $\mathbf{Q}$ = Output weighting matrix
- $\mathbf{R}$ = Control effort weighting matrix
- $N$ = Prediction horizon
5. Mathematical Challenges
| Challenge | Mathematical Approach |
|---|---|
| High dimensionality ($n > 50$ parameters) | PCA, PLS, sparse regression (LASSO), feature selection |
| Small datasets (limited wafer runs) | Bayesian methods, transfer learning, multi-fidelity modeling |
| Nonlinearity | GPs, neural networks, tree ensembles (RF, XGBoost) |
| Equipment-to-equipment variation | Mixed-effects models, hierarchical Bayesian models |
| Drift over time | Adaptive/recursive estimation, change-point detection, Kalman filtering |
| Multiple correlated responses | Multi-task learning, co-kriging, multivariate GP |
| Missing data | EM algorithm, multiple imputation, probabilistic PCA |
6. Dimensionality Reduction
6.1 Principal Component Analysis (PCA)
Objective:
Where $\mathbf{S}$ is the sample covariance matrix.
Solution: Eigenvectors of $\mathbf{S}$
Reduced representation:
Where $\mathbf{W}_k$ contains the top $k$ eigenvectors.
6.2 Partial Least Squares (PLS)
Objective: Maximize covariance between $\mathbf{X}$ and $\mathbf{Y}$
7. Multi-Fidelity Optimization
Combine cheap simulations with expensive experiments:
Auto-regressive model (Kennedy-O'Hagan):
Where:
- $y_{\text{HF}}$ = High-fidelity (experimental) response
- $y_{\text{LF}}$ = Low-fidelity (simulation) response
- $\rho$ = Scaling factor
- $\delta(\mathbf{x}) \sim \mathcal{GP}$ = Discrepancy function
Multi-fidelity GP:
8. Transfer Learning
Domain adaptation for tool-to-tool transfer:
Offset model (simple):
Linear adaptation:
GP adaptation:
9. Complete Optimization Framework
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<text x="380" y="28" fill="#e6edf3" font-size="21" font-weight="700" text-anchor="middle">Semiconductor Process Optimization & Recipe Tuning</text>
<text x="380" y="48" fill="#8b98a5" font-size="12" text-anchor="middle">Design of Experiments (DoE), Response Surface Methodology, and Bayesian Optimization</text>
<!-- DOE Phase -->
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<text x="107.5" y="195" fill="#8b98a5" font-size="10" text-anchor="middle">Input Recipe Factors:</text>
<text x="107.5" y="215" fill="#79c0ff" font-size="11" text-anchor="middle">• Gas Flow (Etch/CVD)</text>
<text x="107.5" y="233" fill="#79c0ff" font-size="11" text-anchor="middle">• RF Power & Bias</text>
<text x="107.5" y="251" fill="#79c0ff" font-size="11" text-anchor="middle">• Chamber Pressure</text>
<text x="107.5" y="269" fill="#79c0ff" font-size="11" text-anchor="middle">• Wafer Temperature</text>
<text x="107.5" y="300" fill="#3fb950" font-size="11" font-weight="600" text-anchor="middle">Taguchi Method Design</text>
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<text x="107.5" y="210" fill="#d2a8ff" font-size="11" font-weight="600" text-anchor="middle">Y = β₀ + ∑βᵢXᵢ + ∑βᵢⱼXᵢXⱼ</text>
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<text x="107.5" y="255" fill="#e6edf3" font-size="11" text-anchor="middle">• Etch Selectivity</text>
<text x="107.5" y="273" fill="#e6edf3" font-size="11" text-anchor="middle">• CD Uniformity (3σ)</text>
<text x="107.5" y="291" fill="#e6edf3" font-size="11" text-anchor="middle">• Defect Density (D0)</text>
<text x="107.5" y="315" fill="#3fb950" font-size="10" text-anchor="middle">Central Composite Design</text>
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<text x="107.5" y="273" fill="#e6edf3" font-size="11" text-anchor="middle">Fast Convergence (<20 Wafers)</text>
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<text x="380" y="452" fill="#6b7684" font-size="11" text-anchor="middle">Closed-Loop Autonomous Recipe Tuning in Plasma Etch, Chemical Mechanical Planarization (CMP) & ALD</text>
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10. Equations:
Process Modeling
| Model Type | Equation |
|---|---|
| Linear regression | $y = \mathbf{X}\boldsymbol{\beta} + \varepsilon$ |
| Quadratic RSM | $y = \beta_0 + \sum_i \beta_i x_i + \sum_i \beta_{ii}x_i^2 + \sum_{i |
| Gaussian Process | $y(\mathbf{x}) \sim \mathcal{GP}(m(\mathbf{x}), k(\mathbf{x},\mathbf{x}'))$ |
| Neural Network | $y = \sigma_L(\mathbf{W}_L\cdots\sigma_1(\mathbf{W}_1\mathbf{x}+\mathbf{b}_1)+\mathbf{b}_L)$ |
Optimization
| Formulation | Equation | ||
|---|---|---|---|
| Least squares | $\min_\mathbf{x} \ | \mathbf{y}(\mathbf{x}) - \mathbf{y}_{\text{target}}\ | _2^2$ |
| Robust | $\min_\mathbf{x} \mathbb{E}[f] + \kappa\sqrt{\text{Var}[f]}$ | ||
| Chance-constrained | $\Pr(y \in \text{spec}) \geq 1-\alpha$ | ||
| Expected Improvement | $\text{EI}(\mathbf{x}) = (y^*-\mu)\Phi(z) + \sigma\phi(z)$ |
Run-to-Run Control
| Controller | Equation |
|---|---|
| EWMA | $\hat{y}_{k+1} = \lambda y_k + (1-\lambda)\hat{y}_k$ |
| Recipe update | $x_{k+1} = x_k + G^{-1}(y_{\text{target}} - \hat{y}_{k+1})$ |
Notation:
| Symbol | Description |
|---|---|
| $\mathbf{x}$ | Recipe parameter vector |
| $\mathbf{y}$ | Process output vector |
| $n$ | Number of input parameters |
| $m$ | Number of outputs |
| $\boldsymbol{\beta}$ | Regression coefficients |
| $\mathcal{GP}$ | Gaussian Process |
| $k(\cdot,\cdot)$ | Kernel/covariance function |
| $\mu(\mathbf{x})$ | Predictive mean |
| $\sigma^2(\mathbf{x})$ | Predictive variance |
| $\mathbb{E}[\cdot]$ | Expectation operator |
| $\text{Var}[\cdot]$ | Variance operator |
| $\Phi(\cdot)$ | Standard normal CDF |
| $\phi(\cdot)$ | Standard normal PDF |
| $\boldsymbol{\xi}$ | Random disturbance/uncertainty |
| $G$ | Process gain matrix |
| LSL, USL | Lower/Upper Specification Limits |
| $C_{pk}$ | Process capability index |
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