Optics and Laser Technology 106 (2018) 145–151

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Optics and Laser Technology

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Full length article

Focusing error detection based on astigmatic method with a double

cylindrical lens group
Zhen Bai a,b, Jingsong Wei a,⇑
a
Shanghai Institute of Optics and Fine Mechanics, Chinese Academy of Sciences, Shanghai 201800, China
b
University of Chinese Academy of Sciences, Beijing 100049, China

a r t i c l e i n f o a b s t r a c t

Article history: Autofocusing and autotracking are widely used in maskless laser lithography, optical imaging, and
Received 30 January 2018 recording and readout of optical information storage. With the development of optoelectronic tech-
Received in revised form 15 March 2018 niques, the accuracy of autofocusing and autotracking thus needs to be improved to the nanoscale,
Accepted 3 April 2018
and the autotracking range also needs to be extended to tens of micrometers. In this work, an astigmatic
method with two cylindrical lenses is proposed, where the focusing error signal is extracted to detect the
focusing error. A theoretical analysis and simulation are carried out, accordingly. A focusing error detec-
tion system is established to demonstrate the theoretical analysis. The experimental results indicate that
the focusing error signal curves present good ‘‘S” characteristics. The linear tracking range is up to 18 lm,
and the tracking accuracy is approximately 50 nm. The theoretical and experimental results indicate that
the astigmatic method with two cylindrical lenses is a good method for autofocusing and autotracking
with both high accuracy and large dynamic range. This work is useful in the fields of high-resolution
maskless laser lithography and optical imaging.
Ó 2018 Elsevier Ltd. All rights reserved.

1. Introduction of focus (DOF) of systems can be estimated as DOF ¼ 0:5k=ðNAÞ2

[11], where NA and k are numerical aperture of objective lens
Autofocusing and autotracking are widely used in maskless and laser wavelength of the system, respectively. The DOF is
laser lithography, optical imaging, and recording and readout of becoming smaller and smaller for the maskless laser lithography
optical information storage, when the laser beam is focused on a and optical imaging systems. For example, the DOF is about 200
small spot with an objective lens having a high numerical aperture nm for a system with NA of 0.95 and laser wavelength of
(NA) and short depth of focus [1–10]. In autofocusing and auto- k ¼ 405 nm. The DOF is shortened to about 100 nm when the NA
tracking, one of the critical factors is focusing error detection of objective lens is increased to 1.40 [22,23]. The accuracy of focus-
[11–17]. For focusing error detection, the astigmatic method is ing and tracking of the objective lens is required to be improved to
widely used owing to its simple operation and low cost, in which the nanoscale, and the tracking range is also required to be
only one cylindrical lens and four-quadrant detector (FQD) are extended to tens of micrometers, accordingly. However, to our
usually required [18–21]. The basic principle of the astigmatic knowledge, the astigmatic method with a single cylindrical lens
method is as follows: when the sample is out of focus, the cylindri- does not meet the requirements [24–26]. This is because the high
cal lens changes the distribution of the reflected laser beam, result- accuracy is accompanied by a short linear range. The short linear
ing in a different spot shape on the FQD. By measuring the focusing range means a very small dynamic autotracking range. In contrast,
error signal on the FQD, one can calculate the defocus amount. the accuracy is too low when the dynamic range is large enough.
Then, autofocusing and autotracking are realized by compensating In this work, an astigmatic method is proposed in which a dou-
the defocus amount, which may be conducted through servo ble cylinder lens group replaces the single cylinder lens. Focusing
systems. error detection is carried out using a combination of the double
With the development of optoelectronic techniques, the objec- cylinder lens group and FQD. With this method, the linear dynamic
tive lenses with high NA are being used in the autotracking unit of tracking range can reach up to approximately 18 lm, and the
maskless laser lithography and optical imaging systems. The depth focusing accuracy is improved to 50 nm theoretically and experi-
mentally. The proposed method provides a good way of autofocus-
ing and autotracking with both higher accuracy and larger dynamic
⇑ Corresponding author. range.
E-mail address: weijingsong@siom.ac.cn (J. Wei).

https://doi.org/10.1016/j.optlastec.2018.04.005
0030-3992/Ó 2018 Elsevier Ltd. All rights reserved.
146 Z. Bai, J. Wei / Optics and Laser Technology 106 (2018) 145–151

2. Theory of astigmatic method with a double cylindrical lens

group

The schematic of the optical path in the proposed method is

presented in Fig. 1a, where two cylindrical lenses (marked as CLx
and CLy ) are used as astigmatic elements. The focal lengths of CLx
and CLy are marked as f x and f y , respectively. The cylindrical lenses
CLx and CLy are placed into a mutually orthogonal system. CLx tunes
the x-directional optical axis of spot on the FQD and CLy changes
the y-directional optical axis of spot on the FQD. Thus, CLx and
CLy together form a double cylindrical lens group (DCLGÞ. The
FQD, which is placed behind the DCLG, is used as the signal detec-
tion element and acquires the focusing error signal (FES). Lo is the
objective lens with a focal length of f o , and is used to focus the laser
beam onto a spot. Pf is the focal plane of Lo , while Pa and P p are the
apofocal plane and perifocal plane of Lo , respectively. In Fig. 1a, the
DCLG actually functions as an astigmatic element and generates
the FES. The generation principle of FES is as follows. When the
sample is placed on the focal plane P f of Lo , the reflected light Fig. 2. The spot profile onto the FQD.
passes through Lo and DCLG, then arrives at the FQD. The spot on
the FQD is circular (shown in Fig. 1b-b2). The spot on the FQD
at the FQD. ao and bo are the object and image distances of Lo ,
becomes an upright ellipse when the sample is placed on the plane
respectively. ax and bx are the object and image distances of CLx ,
Pa (apofocus) of Lo (shown in Fig. 1b-b1). A horizontal elliptical spot
respectively. ay and by are object and image distances of CLy ,
can be formed if the sample is placed on the plane P p (perifocus) of
respectively. lxy is the distance between CLx and CLy . In order to cal-
Lo (shown in Fig. 1b-b3).
The FES can be analyzed as follows: A1 , A2 , A3 , and A4 are the culate the r x value, one can consider CLy as a glass plate, as is
areas of the spot on each quadrant of the FQD, as shown in shown Fig. 3a, where ro and r clx the radii of light beam onto Lo
Fig. 2, with intensities of I1 , I2 , I3 , and I4 , respectively. r x and r y and CLx , respectively. mx is the distance between CLx and the
are the radii of the x-axis and y-axis of the spot on the FQD, respec- FQD. Based on the Gaussian imaging formula, one can obtain
tively. The FES is defined as:
1=ao þ 1=bo ¼ 1=f o ; 1=ax þ 1=bx ¼ 1=f x ð5Þ
I1 þ I2  I3 þ I4
FES ¼ ð1Þ Based on the homothetic triangle theory, one can obtain:
I 1 þ I2 þ I 3 þ I4
Let us assume that the spot on the FQD has a uniform intensity rx =r clx ¼ ðmx  bx Þ=bx ; r clx =ro ¼ ax =bo ð6Þ
distribution; then, one can obtain Then r x can be calculated as:
Ii ¼ CAi ði ¼ 1; 2; 3; 4Þ ð2Þ
mx  bx mx  bx ax
rx ¼ r clx ¼ r o ð7Þ
where C is a constant. Considering the symmetry of the spot, bx bx bo
A1 ¼ A3 ; A2 ¼ A4 ð3Þ From Eqs. (5) and (7), one can obtain:
Based on Eqs. (1)–(3) and geometrical relationship of the spot,   
mx mx ðao  f o Þ lx ðao  f o Þ
one can calculate FES as follows: rx ¼ ro þ 1 1 ð8Þ
f x ao f o  lx ao þ lx f o ao f o
2 3
26 jr x j jr y j 7 Similarly, ry can be calculated by considering CLx as a glass
FES ¼ arcsin qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi  arcsin qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi5 ð4Þ
p4 rx þ ry
2 2 r 2x þ r 2y
plate, as is shown in Fig. 3b, where the rcly is the radius of light
beam onto the CLy and my is the distance between CLy and the
FQD. Using a series of mathematical operations, one has
The values of r x and ry can be obtained through the imaging
principle, where the light is reflected by the sample, as shown in " # 
my my ðao  f o Þ ly ðao  f o Þ
Fig. 3. The reflected light goes through Lo and DCLG, before arriving ry ¼ ro þ 1 1 ð9Þ
f y ao f o  ly ao þ ly f o ao f o

Based on Fig. 3, one can see that my ¼ mx  lxy , ly ¼ lx þ lxy , hence

Eq. (9) can be further written as
" # 
mx  lxy ðmx  lxy Þðao  f o Þ ðlx þ lxy Þðao  f o Þ
ry ¼ ro þ 1 1
fy ao f o  ðlx þ lxy Þao þ ðlx þ lxy Þf o ao f o
ð10Þ

Therefore, one can obtain the dependences of the FES, rx , and ry

on the defocus amount of Da0 through the Eqs. (4), (8), and (10),
respectively, where Da0 is defined as the change in the amount
of ao . The relation between FES and Da0 is called as ‘‘S” curve.
The maximum of r x and r y are marked as Rx and Ry , respectively.
Fig. 1. Schematic of astigmatic method with a double cylindrical lens group. (a) In practical applications, the values of Rx and Ry are also limited
Optical path and (b) shape change of spot on the FQD. by the size of the FQD.
 Z. Bai, J. Wei / Optics and Laser Technology 106 (2018) 145–151 147

Fig. 3. Simplified optical path for the calculation of (a) r x and (b) r y .

3. Calculated and simulated results systems, the defocus amount Da0 is approximately tens of microm-
eters; here, the dynamic linear range can be set as 10 lm <
For an autofocus and autotracking optical system, the parame- L < 40 lm. One can set the initial values as lx ¼ lx0 ¼ 350 mm;
ters lx , lxy , and mx need to be determined using Eqs. (4), (8), and lxy ¼ lxy0 ¼ 20 mm; and mx ¼ mx0 ¼ 140 mm.
(10) when the values of Lo , CLx and CLy are fixed. The parameters In order to obtain a threadlike elliptical spot that also presents
are set as follows f o ¼ 2 mm and ro ¼ 5 mm for Lo ; f x ¼ 80 mm symmetrical change on the FQD, Rx and Ry should be chosen appro-
for CLx ; f y ¼ 150 mm for CLy . The sample is initially placed on the priately. On one hand, the FQD cannot receive all the light if Rx and
focal plane of Lo , thus ao ¼ f o ¼ 2 mm. One can optimize the Ry are too large; on the other hand, the change of the spot is insuf-
parameters lx , lxy , and mx by calculating the dependence of FES ficient to result in a large change in the FQD if Rx and Ry are too
on Da0 , i.e., from ‘‘S” curve with large dynamic tracking range small. That is, improper Rx and Ry values cannot obtain a good
and high tracking accuracy. For the ‘‘S” curve, there is a linear range ‘‘S” curve. Therefore, Rx and Ry should be restricted to an appropri-
between peak point and valley point. For example, Fig. 4 shows a ate range to meet the experimental requirements. Simultaneously,
typical ‘‘S” curve, where the peak point and valley point are marked to decrease the noise from stray lights, it is required that Rx  Ry .
as A and B, respectively. The linear response of FES on the defocus According to the requirements, one can set 3:3 mm < Rx <
amount can be set between points C 1 and C 2 . The defocus amount L 3:8 mm, 3:3 mm < Ry < 3:8 mm, and jRx  Ry j < 0:1 mm. Then,
shown in Fig. 4 is thus defined as a linear range. the other parameters, lx , lxy , and mx , can be optimized using the
Before optimizing the parameters, one needs to set the initial flow diagram shown in Fig. 5.
values of lx , lxy , and mx according to the experimental requirements. By parameter optimization, lx ¼ 400 mm;mx ¼ 150 mm; and lxy
For example, in maskless laser lithography and optical imaging ¼ 30 mm are obtained, and the ‘‘S” curve thus obtained is pre-
sented in Fig. 6a; the typical spots on the FQD are also given in
Fig. 6b-d. Fig. 6b-d correspond to the sample placed on the apofo-
cal, focal, and perifocal planes, respectively. One can see from Fig. 6
that the linear range L of the ‘‘S” curve is approximately 18 lm, and
the spots on the FQD are threadlike ellipses when the sample is
placed on the apofocal and perifocal planes, respectively.
rx ¼ 3:427 mm;r y ¼ 0:023 mm for the perifocal plane and
rx ¼ 0:023 mm;r y ¼ 3:427 mm for the apofocal plane. The spot on
the FQD becomes circular with r x ¼ 1:727 mm and ry ¼
1:728 mm when the sample is placed on the focal plane.

4. Experimental result and discussion

In order to verify the optimized results obtained through our

theory, a focusing error detection system, shown in Fig. 7, was
Fig. 4. The schematic of the definition of linear range. established. In this setup, a laser beam with a wavelength of 658
148 Z. Bai, J. Wei / Optics and Laser Technology 106 (2018) 145–151

Fig. 5. The flow chart of the parameter optimization process.

Fig. 6. Calculated ‘‘S” curve and spot on the FQD. (a) ‘‘S‘‘ curve. Spot shape for the sample placed onto (b) apofocal plane, (c) focal plane, and (d) perifocal plane.

nm passes through the 1/2 waveplate, polarized beam splitter The experimental results of the real spot shape on the FQD are
(PBS), 1/4 waveplate, and an objective lens Lo in succession. It is presented in Fig. 8. The spot is basically circular when one places
then focused onto the sample surface. The beam reflected from the sample on the focal plane, as shown in Fig. 8c. Compared with
the sample surface passes through the objective lens Lo and PBS, original spot of laser beam (as shown in Fig. 8a), the spot size
goes through the DCLG, and focuses on the FQD. The objective lens becomes smaller due to the converging effect of cylindrical lens,
is installed on a piezoelectric tube (PZT) and can be moved up and however, the spot shape is similar to the original shape of laser
down along the z-directional optical axis by feeding the FES into beam. The spot shape changes from an upright ellipse (Fig. 8b),
the PZT controller. Based on the theoretical calculations, the to a circle (Fig. 8c), and to a horizontal ellipse (Fig. 8d) when one
parameters are chosen as follows: f o ¼ 2 mm and ro ¼ 5 mm for moves the sample from the apofocal plane, to the focal plane,
Lo ; f x ¼ 80 mm for CLx ; f y ¼ 150 mm for CLy ; and to the perifocal plane, respectively. By comparing Figs. 6 and
lx ¼ 400 mm;mx ¼ 150 mm;lxy ¼ 30 mm. 8, one can see that the experimental spots are approximately equal
 Z. Bai, J. Wei / Optics and Laser Technology 106 (2018) 145–151 149

between the quadrants of the FQD restrict the FES value from
reaching one. The linear range is up to 18 lm as seen in Fig. 9,
and it is consistent with the theoretical value.
Another experiment is carried out to test the accuracy of our
results. In this experiment, if one lets the PZT move up and down
with a frequency of 5 Hz, the FES can be detected. The defocus
amount Da0 can be seen and analyzed through the FES signal.
Fig. 10 shows the experimental results. In Fig. 10a, a square wave
stimulation electric signal is sent into the PZT, and the PZT moves
up and down within a distance of 500 nm, with a frequency of 5
Hz. That is, the Da0 is periodically changed in the up and down
directions, with an amplitude and frequency of 500 nm and 5 Hz,
respectively. The movement of PZT causes the defocus of the sam-
ple and the defocus is measured by using the established setup in
Fig. 7. Experimental schematics of focusing error detection system. (1/2WP-1/2
Fig. 7. Fig. 10b gives the corresponding detection results. It is obvi-
wave plate, 1/4WP-1/4 wave plate, PBS-polarized beam splitter).
ous that the FES curve presents a clear change at a frequency of 5
Hz implying that the focusing error detection system could detect a
to the calculated results. A slight discrepancy between the real and 500 nm defocus amount clearly and precisely. One can continue to
calculated spots may be due to the parameters of the objective lens decrease the defocus amount to 50 nm, as shown in Fig. 10c, where
Lo . In the calculations, Lo is considered as an ideal lens composed of a square wave stimulation electric signal is sent into the PZT which
a single piece of the lens. However, in our experiment, Lo is an moves up and down within a distance of 50 nm with a frequency of
objective lens of high NA. The NA of Lo is 0.90. Lo is actually com- 5 Hz. Fig. 10d shows the detection results; although the curve is
posed of a battery of lenses. Hence, there is no focal length, but not smooth, the time response of FES still changes periodically
only working distance. Thus, in our calculation of the FES and spot, with time.
the working distance is used to replace the focal length of Lo . The noise of the FES value is also measured when the PZT actu-
By observing the change of spot shape on the FQD with the ator is motionless and static. Fig. 11 gives the results. One can see
defocus amount Da0 , the FES curve is obtained, as shown in that the FES noise is in the range of ±0.002, and without any peri-
Fig. 9. In Fig. 9a, the dependence of intensity signal of each quad- odic characteristic. This can tell us that the periodical signal in
rant of the FQD on Da0 is presented; one can see that signal values Fig. 10 is from PZT actuator, not from the noise. The focusing error
in quadrants A and C are the same, and those in quadrants B and D detection method could detect a defocus amount of 50 nm, and the
are the same, which indicates that the shape change of the spot on detection accuracy can reach up to 50 nm.
the FQD with Da0 is symmetrical and uniform. The spot is at the
center of the FQD. Further, the ‘‘S” curve (the dependence of FES 5. Conclusion
on Da0 ) is obtained through the combination of Eq. (1) and
Fig. 9a. Fig. 9b is based on the experimental results and presents In this work, an astigmatic method with two cylindrical lenses
a good ‘‘S” curve characteristic. The FES value changes from is proposed. The theoretical analysis and simulation, to obtain
0.845 to 0.752. The diaphragm in the system and the gap the optimal system parameters, have been provided. The focusing

Fig. 8. The original shape of the laser beam (a) and experimental spot on the FQD. The sample is placed on (b) apofocal plane, (c) focal plane, and (d) perifocal plane of the
objective lens.

Fig. 9. Experiment results of ‘‘S” curves. (a) Dependence of signal in every quadrant on defocus amount, (b) ‘‘S” curve.
150 Z. Bai, J. Wei / Optics and Laser Technology 106 (2018) 145–151

Fig. 10. Accuracy detection of defocus amount Da0 by moving the PZT up and down at a frequency of 5 Hz. (a) For a defocus amount Da0 of 500 nm, (b) the corresponding FES
detection; (c) for a defocus amount Da0 of 50 nm, (d) the corresponding FES detection.

cooperation program in science and technology innovation

(2016YFE0110600). International Science & Technology Coopera-
tion Program of Shanghai (16520710500).

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