The International Journal of Advanced Manufacturing Technology (2020) 109:1419–1430

https://doi.org/10.1007/s00170-020-05740-w

ORIGINAL ARTICLE

Recent developments and applications of chemical

mechanical polishing
Zhao-Wei Zhong 1

Received: 26 April 2019 / Accepted: 6 July 2020 / Published online: 16 July 2020
# Springer-Verlag London Ltd., part of Springer Nature 2020

Abstract
This article discusses advanced developments and applications of chemical mechanical polishing (CMP) published recently in
the selected papers indexed by Web of Science. The topics covered are advances in slurry and abrasives, pads and conditioning,
CMP for semiconductor device manufacturing, CMP for other applications, modeling and simulations, and CMP with ultrasonic
vibrations, lasers, photocatalysts, or UV lamps. Nonspherical abrasive particles have been developed for CMP, resulting in
increased material removal rates (MRRs). Advanced conditioning methods have been proposed to uniformly generate pad
surface shapes. Fixed abrasive CMP has advantages with higher MRRs. New models for designing the pad and conditioner
have been proposed, and more uniform pad shapes can be obtained. Integrated advanced process control improves the wafer-to-
wafer variation. Dental implants treated by CMP perform equally or better than the baseline-machined implants and the biphasic
calcium phosphate-treated implants. The slurry distribution and the abrasive behavior can be simulated by means of multiphase
modeling. Molecular dynamics simulations can explore the mechanism of CMP. CMP of wafers can be simulated using an
atomic force microscope with its tapping mode. Theoretical models have been developed to calculate removal depths, study the
chemical action in CMP, and explore the crystal orientation effects. CMP assisted by ultrasonic vibrations increases CMP MRRs
and lowers the roughness of polished surfaces. CMP assisted by using UV lamp power, femtosecond lasers, or photocatalysts
enhances CMP MRRs.

Keywords Chemical mechanical polishing . Slurry . Abrasive . Pad . Conditioning . Semiconductor device manufacturing .
Modeling . Simulation . Ultrasonic vibration . Laser . Photocatalyst . UV light

1 Introduction papers reported innovative researches on CMP slurry and

Chemical mechanical polishing (CMP) is considered the only
process to attain global planarization [1] and thus has been
widely accepted [2, 3] for obtaining ultrasmooth and flat sur-
faces [4–6]. It is the most competent process for wafer
planarization [7] in the semiconductor industry [8]. Many pa-
pers reviewed in this paper presented CMP for manufacturing
of semiconductor devices. Besides the semiconductor field,
CMP has found many applications in other fields as well.
Slurry and the abrasive material are most important factors
affecting the material removal of CMP [1–3, 9, 10]. Many
* Zhao-Wei Zhong
mzwzhong@ntu.edu.sg
1
School of Mechanical and Aerospace Engineering, Nanyang
Technological University, 50 Nanyang Avenue, Singapore 639798,
Republic of Singapore
abrasives. The nonuniformity of polished surfaces and de-
creased material removal rates (MRRs) can be caused by
pad wear. Understanding the wear mechanism of pads can
help to improve the pad conditioning and result in uniform
surfaces polished [11].
Meanwhile, research efforts have been made via modeling
and simulations to reveal the polishing mechanisms.
Furthermore, conventional CMP of brittle and hard materials
is difficult to concurrently achieve both high MRRs and low
surface roughness [12]. To overcome the difficulties, CMP
with ultrasonic vibrations, lasers, photocatalysts, or UV lamps
has been proposed.
This general review article attempts to provide brief intro-
duction to the developments and applications of CMP pub-
lished recently in the selected papers indexed by Web of
Science. Sections 2–7 of this paper cover the topics of slurry
and abrasives, pads and conditioning, CMP for semiconductor
device manufacturing, CMP for other applications, modeling
1420
and simulations, and CMP with ultrasonic vibrations, lasers,
photocatalysts, or UV lamps, respectively.
2 Slurry and abrasives
As discussed in Section 1, abrasives and the slurry are critical
components affecting the MRRs of CMP [1–3, 9, 10, 13]. The
surface and mechanical characteristics, structure, morphology,
and type of abrasive particles affect the material removal pro-
cess [14], and thus the choice of them plays a key role [15].
Recently, CMP with a fixed abrasive pad has become an al-
ternative technique to loose-abrasive polishing using a tradi-
tional pad [16, 17]. Many papers reported innovative re-
searches on CMP slurry and abrasives, briefly introduced as
follows.
Liang et al. [18] introduced zinc acetate and developed
peanut-shaped silica particles for CMP, as these particles
could significantly increase MRRs because of their shapes.
They introduced CMP as a new method for planarization of
Ti alloys, and nanoscale flatness was obtained [19]. MRRs
were increased up to 100 nm/min because of the fast reforma-
tion rate of oxide layers with sufficient H2O2. Dong et al. [1]
used an approach assisted by the lanthanum ion-induced effect
and developed peanut-shaped silica abrasives as well. The
lanthanum ions functioned like glue and attracted negatively
charged silica. The mechanical actions were increased be-
cause of the peanut shape, and the abrasives resulted in more
solid-chemical reactions with the substrates, leading to an in-
creased MRR by 32.6% compared with that using spherical
silica abrasives.
Chen et al. [14] proposed abrasive particles with special
properties to be used in CMP and achieved increased MRRs.
The particles had mesoporous silica (mSiO2) shells and solid
silica (sSiO2) cores developed using cetyltrimethylammonium
bromide. They [15] used mSiO2/CeO2 particles having CeO2
nanoparticle coatings and mesoporous silica (mSiO2) cores for
CMP of oxides. This led to decreased scratches and better
surface finish because of the spring-like behavior of the elastic
3+
mSiO2 cores. The MRR was also increased, due to more Ce
ions on CeO2 surfaces.
Sanusi et al. [20] studied ultrafiltration to recover the tung-
sten slurry used for CMP. Membrane fouling was caused by
the cake layer formed on the membrane surface, resulting in
membrane pore jamming. The average size of silica particles
was decreased from that in the fresh slurry by 42% after CMP.
Before it could be recycled in CMP, the used slurry also re-
quired chemical modification.
Khanna et al. [21] investigated the agglomeration behavior.
With an optical sensing system, the particle distribution was
obtained. Big particles (> 0.5 μm) in the slurry delivered
using pumps caused defects during CMP. A higher shear rate
of the pump resulted in more agglomeration in slurries.
Int J Adv Manuf Technol (2020) 109:1419–1430
Zhou and Zhu [22] presented preparation of CeO2/CeF3
powders. They milled ammonium fluoride, oxalic acid
dihydrate, and cerium nitrate hexahydrate and then calcined
them to obtain the powders. The powders having a fluorine
doping content of 7 wt% led to large MRRs and considerable
suspension stability. The decreased abrasive hardness and
changes of particle morphology resulted in good surface
finish.
Wang et al. [23] modified alumina particles using N-(2-
aminoethyl)-3-aminopropyltrimethoxysilane. Compared with
unmodified particles, the modified particles demonstrated a
larger friction coefficient, leading to improved surface finish
and greater MRRs.
Huang et al. [24] used magnetic nanoparticles (MNPs) and
ultrasonic vibrations to treat wastewater. Ultrasonic vibrations
could decrease MNP sizes and had good adsorption capabili-
ty, leading to 5 recycle times of MNPs.
Bun-Athuek et al. [25] studied the diameter and surface
changes of silica particles in CMP of sapphire. During
CMP, aluminum silicate is left from the machined sapphire
and adhered to the slurry particles. This decreased the ef-
fective particle surface areas and thus degraded the slurry
particles, resulting in reduced MRRs with increased ma-
chining time. They [26] polished sapphire wafers with a
mixture of large and ultrafine silica particles. The ultrafine
particles stuck to the large particles and altered the particle
surfaces. Better MRRs and surface finish of the wafers were
achieved.
Dong et al. [27] developed potassium dihydrogen phos-
phate solution-in-oil (KDP aq/O) for CMP of KDP. They
replaced water in the traditional water-in-oil solution, reduced
the corrosion pits on KDP surfaces, and achieved better sur-
face finish.
Zhou et al. [28] investigated CMP of sapphire with silica
particles of different sizes. Using 10-nm particles resulted in
straight atomic step edges and smooth surfaces of 0.06 nm.
Zhang et al. [29] also conducted CMP of sapphire wafers with
silica-based slurries, and they revealed that most (not all) of
the halogen salts and alkali metals could increase MRRs,
which also depended on the alkaline agents and the particle
size.
Qu et al. [30] studied CMP of molybdenum using colloidal
silica and H2O2-based slurry. Due to soluble (NH4)2MoO4
formed, MRRs of Mo were increased with the adding of am-
monium sulfate in the slurry.
Mandal et al. [31] added two reducing (sodium thiosulfate
and oxalic acid) and three oxidizing (ferric nitrate, potassium
permanganate, and hydrogen peroxide) agents in slurry to
investigate CMP of diamond. Hydrogen peroxide had almost
no influence on the CMP, but oxalic acid resulted in the best
MRR. Adding the redox agents accelerated the attachment
and removal of O or Si atoms in the slurry on diamond
surfaces.
Int J Adv Manuf Technol (2020) 109:1419–1430
Lei et al. [32, 33] prepared Ce-doped and zinc-doped SiO2
abrasives and performed CMP of sapphire. They revealed that
the chemical reaction between the abrasives and sapphire led
to low surface roughness and high MRRs.
The quality of machined surfaces has drawn attention for
advanced applications [34]. Besides MRRs, the roughness
[35] and the flatness [36] of machined surfaces are important
indicators to access the performance of machining processes.
If roughness and flatness do not fulfil the allowed require-
ments, rework might be necessary [35, 36]. However, theoret-
ical models are not sufficient yet, and hence more researches
are demanded to establish optimal process conditions [37].
Chen et al. [38] studied colloidal silica with different dis-
persion states in CMP of silicon. The surface roughness was
decreased with improved dispersion of colloidal silica.
Dispersant made aggregate micelles disperse into smaller uni-
form particles, which created a thin film between the pad and
Si surfaces and reduced the roughness of the polished surface.
They [39] conducted CMP of SiO2 films with core/shell-struc-
tured polystyrene/ceria abrasives to investigate the influence
of the core size. The biggest cores tested led to the largest
MRR; the smallest cores tested resulted in the lowest surface
roughness.
SiC nanospheres were synthesized, and their sizes were
adjusted by Zhang [40] via adjusting the hexane/water ratio.
Compared with irregular nanoparticles, these nanospheres
lowered the roughness of silicon surfaces by 74% and en-
hanced the MRR of the CMP by 30%.
CMP of HgCdTe wafers was performed by Zhang et al.
[41] with a slurry containing SiO2 nanospheres, H2O2, malic
acids, and citric, after lapping of the wafers. The slurry
governed the removal of the oxidized films on the wafers,
while the acids dominated the passivating process. They [42]
also developed a method for CMP of Ti alloys with an
environment-friendly slurry having deionized water, malic ac-
id, H2O2, and silica. During CMP, H2O2 dictated the process
of corrosion. The corrosion current of H2O2 was steady with
the reactants of vanadia, alumina, and titania generated on the
Ti alloy surfaces and was increased significantly with the ad-
dition of H2O2, demonstrating the outstanding reaction of the
Ti alloy and the slurry. Moreover, they [43] used the slurry
containing silica, H2O2, and citric acid and performed CMP of
cadmium zinc telluride wafers. It was found that H2O2 dom-
inated the passivating process. They [44] also developed an-
other environment-friendly slurry consisting of chitosan oli-
gosaccharide, H2O2, and silica. During CMP of Cu, CuO and
Cu(OH)2 were formed by H2O2 on Cu surfaces, which were
then dissolved by H+ ions from the ionization of chitosan
oligosaccharide. The layer was eliminated by silica, resulting
in an ultrasmooth Cu surface.
Using in situ electro-CMP of Al, Liu et al. [45] studied the
evolution of corrosion inhibitor films. They used environmen-
tally friendly inhibitor 1,2,4-triazole (TAZ) to replace the
1421
conventional benzotriazole inhibitor. TAZ had high
planarization efficiency, wide potential inhibition interval,
and low current density.
In summary, nonspherical abrasive particles such as
peanut-shaped silica abrasive particles were developed for
CMP, resulting in increased MRRs. Particles having mesopo-
rous silica shells and solid silica cores could lead to decreased
scratches and better surface finish because of the spring-like
behavior of the elastic cores. The MRR was also increased,
due to more Ce3+ ions on CeO2 surfaces. Decreased abrasive
hardness and changes of particle morphology could result in
good surface finish. Modified particles with a larger friction
coefficient led to improved surface finish and greater MRRs.
Ultrafine particles could stick to large particles and alter the
particle surfaces, leading to better MRRs and surface finish.
Most of the halogen salts and alkali metals could increase
MRRs. MRRs of Mo were increased with the adding of am-
monium sulfate in the slurry. Adding redox agents accelerated
the attachment and removal of O or Si atoms in the slurry on
diamond surfaces in CMP of diamond.
3 Pads and conditioning
A pad must be used in CMP, and its surface condition is
important affecting the quality of the polished surface and
the polishing effectiveness [46, 47]. Proper roughness of the
polishing pad must be maintained to achieve stable polishing
[48]. Thus, a conditioner is widely used during CMP for the
maintenance of the preferred surface condition of the pad [49,
50]. However, the nonuniformity of polished surfaces can be
caused by pad wear. Therefore, understanding the wear mech-
anism can help to improve the pad conditioning and lead to
uniform surfaces polished [11]. CMP of large optical flats can
be also conducted to obtain smooth surfaces and global pla-
narity. But, this poses a challenge for the large-diameter pad to
be conditioned with high profile accuracy [51].
The pad roughness renders microscopic asperities for ma-
terial removal, and thus, it must be kept in an appropriate
range by using a conditioner for reliable CMP. Studies proved
that the conditioner broke the pad surface and maintains the
pad wear rate (PWR). Kim et al. [48] explored the mechanism
for PWR changes. Pads had mechanical moduli changes when
the process temperature rose. The pad property suddenly
changed at temperatures of 60 to 80 °C. The tensile strength
change led to the PWR drop. However, the drop, which re-
sulted from diamond tip wear, could be prevented by an ap-
propriate conditioner design.
Ban et al. [51] proposed an advanced conditioning method
for polishing of large optical flats using subaperture condition-
ing that introduced the traverse movement and decreased the
conditioner size. This method could uniformly generate the
pad surface shape by varying the traverse movement speed
1422
at different segments. Using an analytical model, the pad
shape could be calculated.
Lin et al. [52] used a theoretical model and investigated
pads with a cross pattern. Assuming the contact area of the
wafer and pad had the Gaussian distribution, the model calcu-
lated polishing times and the removal depth of each abrasive
particle. The study revealed that the surface pattern was influ-
enced by the pad pattern, which generated the shallow part of
the abrasive removal depth on wafers.
Zhou et al. [46] investigated the deterioration and variation
of the pad performance in CMP of fused silica. The pad sur-
face became rough after long time polishing, causing rougher
surfaces being polished and decreased MRRs. The pad had
mechanical collision and chemical actions during CMP, lead-
ing to pad wear and deteriorated performance. The downward
pressure increment accelerated the performance deterioration.
Shin et al. [47] investigated the physicochemical degrada-
tion of nonused pads in CMP of metals with H2O2, which
reacted with the pads, leading to degradation of the pad poly-
mer chain network and the reduced elastic modulus. The
H 2 O 2 -soaked pads caused within-wafer nonuniformity
(WIWNU) and MRR changes.
Fixed abrasive CMP has advantages over conventional
CMP in processing flat optical surfaces with higher MRRs
and better uniformity. However, the pad shape after wear is
concave, affecting the surface uniformity. To study the fixed
abrasive pad wear, Nguyen et al. [11] proposed an analytical
model, considering the contact time between the conditioner
and pad surface and kinematic motions. The pad wear rate
increases with increased contact time and cutting path density.
The contact time and the cutting path density near the pad
center are more than those near the pad edge, resulting in
nonuniform pad wear. The calculation results agreed with
the experimental results. Nguyen et al. [53] further studied
the relationships of the pad shape and the speeds of the pad
and conditioner. A new model for designing the pad and con-
ditioner was proposed [54]. Different pad wear profiles result-
ed from changing of the conditioner positions, patterns and
sizes, and a more uniform pad shape could be obtained. Tian
et al. [17] conducted CMP of glass using a fixed abrasive pad.
The diluted chemical fluid led to better polishing performance
than deionized water. Ex situ conditioning resulted in good
surface finish, while in situ conditioning achieved high MRRs
due to the larger alumina particles generated on the pad. They
[16] also performed CMP of optical silicon using a fixed abra-
sive pad and seven chemical slurries. Three of them resulted in
Ra < 35 nm and MRRs > 50.4 μm/min.
CMP using a fixed abrasive pad may be also called chemo-
mechanical-grinding (CMG). Wang et al. [55] developed
binder-free abrasive pellets (BAPs) with 100 wt% abrasives
and conducted CMG of sapphire wafers using the BAP. They
found that the roughness (Ra) of the wafers and the MRR of
the CMG were 0.993 nm and 1.311 μm/h, respectively. In
Int J Adv Manuf Technol (2020) 109:1419–1430
another research, Wang et al. [56] employed a fixed abrasive
pellet for machining of optical materials. The surface rough-
ness Ra and the MRR were 4.89 nm and 11.26 mm3/min,
respectively. Li et al. [57] analyzed the hydrodynamics of
the slurry, designed the pad grooves, simulated the slurry
flow, and conducted polishing experiments. The new pad
led to uniform slurry flow and good surfaces with low
roughness.
Besides pad wear in polishing, wear effects were addressed
in various machining and testing processes such as friction stir
processing [58], strain-induced melt activation process [59],
microstructural evolutions [60], friction stir welding and nano-
particles [61], lapping [62, 63], turning [64, 65], and milling
[66]. Such researches may be applied to the further investiga-
tions of the wear effects on CMP in the future.
In summary, advanced conditioning methods were pro-
posed to uniformly generate the pad surface shape. Pads had
mechanical moduli changes when the process temperature
rose. Fixed abrasive CMP has advantages with higher
MRRs and better uniformity. However, the pad shape after
wear is concave, affecting the surface uniformity. Thus, a
new model for designing the pad and conditioner was pro-
posed, and a more uniform pad shape could be obtained. Ex
situ conditioning resulted in good surface finish, while in situ
conditioning achieved high MRRs.
4 CMP for semiconductor device
manufacturing
For manufacturing of transistors and metal interconnects,
CMP of tungsten is a critical process [67]. As metal flake
defects would result in electrical shorts, such CMP defects
are problems [68]. For the next-generation semiconductor,
SiC is a key material because of its excellent properties [69,
70]. Therefore, CMP is widely conducted for machining of
SiC [71]. Cobalt [72] and ruthenium are promising barrier
materials for the interconnects in the sub-10-nm technology
node for manufacturing of integrated circuits (ICs) [73–75].
For giant large-scale IC fabrications, roughness, WIWNU,
and MRR are the challenging issues [76]. With the minimum
feature size scaling towards sub-14 nm, fin field effect tran-
sistors (FinFETs) are the design architecture and CMP is
needed for this integration scheme [77]. β-Ga2O3 is processed
via CMP, and it has applications in high-performance
FinFETs [78]. CMP integrates SiGe into Si-based structures,
and the SiGe-based FinFET extends the complementary metal
oxide semiconductor [79]. Protrusion/dishing was reported
being a problem [80]. To avoid copper corrosion, advanced
microelectronic technology requires an alkaline solution in the
post-cleaning of copper CMP [81]. Moreover, CMP also faces
more new challenges for further improving surface flatness
Int J Adv Manuf Technol (2020) 109:1419–1430
and roughness, decreasing the machining cost, and enhancing
machining efficiency [82].
Liu et al. [76] studied the impacts of large particles on
surface roughness, WIWNU, and MRRs of
tetraethylorthosilicate (TEOS). They found that surface
roughness and WIWNU deteriorated but edge MRRs in-
creased significantly, when large particles were 8.6 million
parts/ml. A useful approach to good stability of slurry and
CMP was to filter out the larger particles of colloidal silica.
CMP of cobalt films was performed by Popuri et al. [83]
with a silica-based slurry that had H2O2 and citric acid. They
reported that the soluble complex generated from abraded
cobalt significantly enhanced the MRRs. In another research,
Oniki et al. [84] utilized a transparent sheet that had a low
refractive index, during CMP for measuring the thickness of
the SiO2 film on silicon wafers.
CMP was performed by Han et al. [85] for removing SiN
films, using their developed slurries with high-removal selec-
tivity between SiN films and oxide. Selective CMP of Si3N4/
SiO2 was also performed by Bae et al. [86] with a silica abra-
sive. The abrasive surface charge was modified to a strong
negative zeta potential, which increased the attractive forces
to Si3N4 and the repulsive forces to SiO2 and thus significantly
augmented the selectivity of Si3N4 over SiO2.
After CMP of copper interconnects, CuO residue was ob-
served and hence studied by Kim et al. [87]. It was found that
because of the cleaning tool configuration, the cleaning chem-
ical was not sufficient to remove the residue at the wafer
center. Therefore, the problem was overcome by process im-
provements. The W-void formation during CMP was also
investigated by Kim et al. [67, 88]. The investigations re-
vealed that the void was formed due to the friction force and
oxidation. In addition, non-efficient in situ cleaning could re-
sult in flake defects [68].
The compositions of the wafer surface film in CMP of W
were investigated by Cui et al. [89]. The investigation found
that the Ti barrier was at the wafer edge, polishing of the
barrier did not start at certain time, and this led to a smaller
barrier rate.
Cheng et al. [75] investigated the CMP mechanism influ-
enced by the KIO4 concentration. The corrosion of Ru was
promoted by increased KIO4 concentration. When CMP of
barrier layers was conducted using the slurry with KIO4, gal-
vanic corrosion of Cu was a crucial problem. Thus, Cheng
et al. [90] investigated galvanic corrosion inhibitors for the
Cu/Ru couple in KIO4 solutions, and they found that 1,2,4-
triazole and benzotriazole were good corrosion inhibitors for
Cu.
TaN/Ta is replaced with the Mn/Ru barrier-liner in Cu in-
terconnects for the 5-nm technology. The galvanic corrosion
and the removal rate selectivity for CMP of Cu/Ru/Mn/
SiCOH are the challenges. To tackle the challenges, the
polishing of Mn, Cu, Ru, and SiCOH films on the substrates
1423
was performed by Sagi et al. [91] employing silica dispersions
that had guanidine carbonate, potassium permanganate, and
benzotriazole. The polishing did not result in loss and corro-
sion of Mn/Ru and Cu films. In addition, the corrosion and the
CMP of Co and Cu films were also studied by them [92]. The
solution of H2O2, oxalic acid, and nicotinic acid minimized
the corrosion of Co films. The solution with 3-wt% silica
abrasives led to excellent MRRs, roughness, and flatness of
Co and Cu films.
Koli et al. [77] introduced two methods for tightly control-
ling the gate height in CMP of metal gates. To achieve the
final gate height of less than 5 nm, integrated advanced pro-
cess control (iAPC) using the data collected from each wafer
to adjust polishing time could improve the wafer-to-wafer
variation, while zonal iAPC could improve additional
within-wafer variation by adjusting the zone pressure.
CMP of SiC wafers was performed by Lu et al. [93], and
the study revealed that larger %OH reacted with the SiC sur-
face and created a soft SiO2 layer, resulting in larger chemical
reaction rates and lower surface roughness. In another CMP
application for r-plane sapphire, because of the high breaking
energy that was needed to break the Al-O bonds, the MRR
was only 0.5 μm/h. Therefore, wafers were soaked by Zhao
et al. [94] for 1 week in a new chelating agent, and this ap-
proach significantly augmented the MRR to 2.48 μm/h.
In summary, the soluble complex generated from abraded
cobalt significantly enhanced the MRRs in CMP of cobalt
films with a silica-based slurry that had H2O2 and citric acid.
Selective CMP of Si3N4/SiO2 could be performed with a silica
abrasive newly modified. Galvanic corrosion inhibitors for the
Cu/Ru couple in KIO4 solutions were investigated, and 1,2,4-
triazole and benzotriazole were good corrosion inhibitors for
Cu. The CuO residue observed after CMP of copper intercon-
nects was overcome by process improvements. Integrated ad-
vanced process control could improve the wafer-to-wafer var-
iation and additional within-wafer variation and achieve the
final gate height of less than 5 nm. Larger %OH reacted with
the SiC surface and created a soft SiO2 layer, leading to larger
chemical reaction rates and lower surface roughness. The ap-
proach to soak r-plane sapphire wafers for 1 week in a new
chelating agent significantly augmented the MRR.
5 CMP for other applications
Ceramics have many applications in a number of industries
[95]. Certain ceramic materials such as Al2O3 and SiC are
abrasives used in the industry for machining applications
[96]. Sapphire, GaN, and SiC are difficult to efficiently finish
with damage-free surfaces. Without CMP, damage-free and
smooth surfaces of extremely hard materials such as SiC and
diamond are difficult to achieve efficiently [97]. Glass sub-
strates have wide applications in portable devices, and CMP
1424
can remove the defects introduced by grinding [98]. CMP is
performed for machining of flat optical components [99]. In
addition, CMP can enhance the quality of the end faces for
fiber array optics [100]. Furthermore, it can be employed for
finishing optical silicon substrates for infrared applications
[101]. Nanocrystalline diamond (NCD) thin films have intrin-
sic rough surfaces. Traditional diamond polishing has limita-
tions: films shatter because of high mechanical pressures and
wafer bow, resulting in uneven surfaces. Thus, CMP of NCD
films was researched [102]. CMP can also process Ti alloys,
which are used in micro-systems, medical sciences, and avia-
tion [19]. CMP of diamond was conducted using a SiO2
wheel, without the conventional dry-etching process [103].
Moreover, CMP found applications for reducing surface de-
fects of cemented carbide inserts processed by grinding, for
enhancing the cutting efficiency [104].
Hu et al. [104] conducted CMP of insert rake faces with the
parameters optimized using Taguchi’s method. The inserts
finished using CMP and grinding were employed for turning
of the stainless steel. The cutting forces of polished inserts
were smaller than those of ground inserts, under the same
turning conditions. The average tool life of polished inserts
was 32.3% longer than that of ground inserts.
Yuan et al. [97] developed a model for CMP of diamond
and reported that B4C powders were the best abrasive. Good
chemical reaction could be achieved when the abrasive hard-
ness was over 2900 MPa. Diamond oxidation reaction could
be promoted by the mechanical and chemical synergic effect.
Zhang et al. [99] proposed a CMP model based on the
Preston equation. The simulation revealed that lower axial
run-out error resulted in better polishing accuracy but lower
MRRs. A CMP machine was developed, and CMP tests
achieved the flatness of 58 nm and roughness of 0.56 nm for
a UBK7 optic with a 300-mm diameter.
Werrell et al. [102] performed CMP of NCD thin films with
six different slurries for 3 h. It was found that this polishing
was a chemical process and increased the O1s oxygen content
on the film surface. Smaller particles were bonded in greater
numbers to the film surface, resulting in more C–C bond
weakening to be polished at a greater rate.
Liu et al. [100] studied CMP of fused silica with nanopar-
ticles and reported that the material was removed by the tribo-
chemical effect of the silica and particles. The relative speed
between the pad and workpiece, the chemical reagent and
concentration, and polishing pressure determined the MRRs.
Ozdemir et al. [105] presented CMP of implantable titani-
um surfaces. CMP formed a thin oxide film on titanium im-
plants to limit the growth of bacteria, enhanced the attachment
of biocompatible coatings, and controlled the cell attachment.
Ozdemir and Basim [106] reported that in CMP of titanium
plates, an oxide film grew on the implant surfaces. Film chem-
ical compositions, MRRs, surface roughness, and wettability
of the film were studied under different CMP conditions.
Int J Adv Manuf Technol (2020) 109:1419–1430
Alsaeedi and Ozdemir [107] performed CMP of dental im-
plants. These polished implants performed equally or better
than the baseline-machined implants and the biphasic calcium
phosphate-treated implants. The CMP provided the highest
passivation on the Ti-based surface, increasing the corrosion
resistance of the implants.
Zhong et al. [101] conducted fixed abrasive (two-body
abrasion) CMP of silicon substrates, different from the con-
ventional three-body abrasion CMP. It was found that table
speed and head load had significant effects on the MRR,
which was much higher than that of conventional CMP. The
polishing time could be significantly reduced to a few minutes
from hours, because of the high polishing efficiency.
Compared with polishing of metals and semiconductors,
CMP of glass was still not enough [108]. Therefore, Tian
et al. [98] conducted CMP of glass disk substrates using a
low-cost fabric cloth pad. It was found that pad rotation speed
and downforce had significant effects on the MRRs.
Downforce and the interaction of pad rotation speed and
downforce had significant effects on polished surface flatness.
The interaction of polish head rotation speed and pad rotation
speed had significant effects on surface finish. Good flatness
and surface finish with high polishing efficiency could be
obtained.
In summary, CMP of silicon lenses, glass disk substrates,
cutting tool insert rake faces, diamond, and NCD thin films
has been performed. Dental implants treated by CMP per-
formed equally or better than the baseline-machined implants
and the biphasic calcium phosphate-treated implants.
6 Modeling and simulations
The mechanism of CMP was not clear, and the understanding
of CMP behaviors was a challenge [5]. This is because the
details of the material removal process cannot be directly ob-
served during CMP experiments [109]. Thus, research efforts
have been made via modeling and simulations to reveal the
polishing mechanisms.
Multiphase modeling was carried out, and the slurry distri-
bution and the abrasive behavior were simulated by Nguyen
et al. [9] with a new dynamic model. They found that the
particle number in the interface of the pad and the wafer would
be greater with reduced speeds and a larger gap of the pad and
the wafer and the abrasive distribution was nonuniform.
Guo et al. [109] performed molecular dynamics simula-
tions and explored the mechanism for CMP of diamond using
silica. C atoms were not removed in pure H2O, while C atoms
on the diamond surface were oxidized in aqueous H2O2 to
form C-OH or C-O-C bonds and were mechanically removed
by the abrasive. Wen et al. [110] also performed molecular
dynamics simulations and studied CMP of (100) Si. Aqueous
H2O2 made Si be oxidized and then Si and the abrasive
Int J Adv Manuf Technol (2020) 109:1419–1430
mechanically interacted. The interfacial Si-O and Si-Si bonds
on the substrate generated by chemical reactions were me-
chanically broken, and Si atoms were removed from the
surface.
Shi et al. [111] significantly improved CMP of GaN using
S2O82−-Fe2+-based slurry, which had a large influence on the
surface finish and polishing efficiency. They [5] simulated
CMP of sapphire wafers with an atomic force microscope
using its tapping mode. The probe tip of the atomic force
microscope knocked down, adhered, and removed the chem-
ical products from the wafer during imaging, resulted in char-
acterizations of CMP.
Yin et al. [6] conducted CMP of sapphire and also the
analysis using chemistry software to investigate the reactions
of sapphire and H2O and of sapphire and MgO-doped colloi-
dal silica. During CMP, the solid-chemical reaction of the
silica and sapphire occurred, resulting in good surface finish
and increased MRRs. Rastegar [112] conducted simulations
to study particle location changes and large particle effects.
Even 1 wt% of larger particles could deteriorate the wafer
uniformity, and in situ conditioning could improve the MRR
uniformity. Wei et al. [113] developed a MRR model to study
the chemical action in CMP of SUS304. The MRR was in-
creased with the increased slurry flow rate. It reached a max-
imum value when the H2O2 concentration was 10%.
Lin et al. [114] established a theoretical model for the de-
termination of removal depths by considering the chemical
reaction in CMP of silicon, which was validated by the
CMP experiments. Momoniat [115] derived a Reynolds equa-
tion in cylindrical polar coordinates, considering the effect of
the Coriolis force on CMP, which increased the peak pressure.
Zhu et al. [116] used a quasi-continuum method and sim-
ulated CMP of single-crystal copper, and they reported that
the crystal orientation of copper greatly affected the surface
finish. The bonding strength between closely packed surfaces
was weak and tended to lead to slip deformation. The mean
tangential cutting force in the (001)[100] orientation was
much greater than those in other two crystal orientations stud-
ied. They [117] further reported that shear band deformation
occurred in the cutting direction at 45° inside the copper ma-
terial, associated with sliding and dislocations in the shear
band region. Bigger abrasives led to deeper residual stresses,
larger plastic deformation, and better quality.
Kawaguchi et al. [118] simulated CMP of Cu using aque-
ous H2O2 and a SiO2 grain. O atoms and OH groups were
developed by the chemical reactions of H2O2. The next step
was the most important for effective CMP: the O atom intrud-
ed into Cu and dissociated Cu−Cu bonds at the interface of the
grain and Cu surface, raising a Cu atom from the surface,
which was sheared off by the grain. Then, this Cu atom was
eliminated due to the generation and desorption of Cu(OH)2.
Yu et al. [119] proposed a machine learning method to
combine a data-driven model and a physics-based model for
1425
CMP. The former model forecasted the asperity density and
radius of the polishing pad by employing the wear of the
conditioner and polishing pad determined using the latter
model. The MRR was predicted by using the asperity density
and radius of the polishing pad. This approach was validated
by experiments to be able to predict the MRR in CMP.
Luo et al. [120] built a theoretical model to investigate the
motion trajectories of abrasives. They performed simulations
to analyze the effects of process parameters on the trajectory
distribution. Polishing of silicon substrates using optimized
process parameters obtained from simulations resulted in flat
surfaces with roughness Ra of 2.69 nm [120].
One challenging issue is the scale of CMP modeling using
finite element methods (FEMs). The diameters of the
polishing head, wafer/substrate, and polishing pad have mac-
roscale sizes, while the thicknesses of the wafers/substrates
and polishing pad have mesoscale sizes. The abrasive particles
have microscale sizes or even nanoscale sizes if nanoscale
particles are modeled. Recently, the thicknesses of ultrathin
wafers have microscale sizes. These size-scale differences
bring challenges to FEM modeling for optimal element sizes
to be used.
Azimi et al. [121] studied the mesh sensitivity of an extend-
ed FEM for a crack model. The optimal element size was
obtained and the size had a central influence. The evaluation
revealed the special sensitivity because of the variation of the
element size. Due to the limitation resulted from the compu-
tational cost, the optimal element size may not always be
obtained. More researches on the mesh sensitivity of the
FEMs applied to the modeling and simulations for CMP pro-
cesses may be conducted as the future work.
In summary, the slurry distribution and the abrasive behav-
ior can be simulated by means of multiphase modeling.
Molecular dynamics simulations could explore the mecha-
nism for CMP. CMP of wafers could be simulated using an
atomic force microscope with its tapping mode. Theoretical
models have been developed to calculate removal depths,
study the chemical action in CMP, and explore the crystal
orientation effects.
7 CMP with ultrasonic vibrations, lasers,
photocatalysts, or UV lamps
Conventional CMP of brittle and hard materials [122] has
limits in concurrently achieving both high MRRs and low
surface roughness [12, 123]. To overcome the limits, CMP
with ultrasonic vibrations, lasers, photocatalysts, or UV lamps
has been attempted.
A vibrator was developed by Li et al. [124], which provid-
ed vibrations to wafers with a frequency of 1.7 MHz in the
amplitude of nanometers. This made particles in pad cells
crush into the contact area, which increased active particles
1426
for polishing. As the center area of the wafer had more active
particles, the surface quality was largely improved at this area.
Hu et al. [125] performed ultrasonic CMP and lapping of
SiC, which decreased surface roughness. Ultrasonic lapping
offered good surface finish and high MRRs to the next ultra-
sonic polishing process, in which ultrasonic energy drove
chemical corroding of SiC in the CMP slurry. Defects such
as pits and scratches were further removed by ultrasonic CMP,
resulting in good surface finish and high MRRs.
Liu et al. [12] performed CMP with ultrasonic elliptical
vibrations and with the polished sample attached on the vibra-
tor that could vibrate in vertical and horizontal directions at the
same time, resulting in high MRRs up to 693.6 nm/min. A soft
layer on the polished surface created by the chemical reaction
of the slurry was removed by the mechanical action of vibra-
tions and polishing.
A new pad was developed with photocatalysts, and CMP
of SiC wafers was performed by Zhou et al. [69]. It was found
that the ∗OH radicals under the UV light were more than those
without the UV, which promoted efficient chemical reactions.
As a result, the MRR of the CMP using the UV and the new
pad was largely increased, compared with that of the CMP
using the traditional pad.
With the oxidability of UV photo-excited hydroxyl radicals
on TiO2 particles, Yuan et al. [126] proposed photocatalysis-
assisted CMP to polish SiC wafers clean and effective without
toxic chemicals. UV light irradiation boosted the oxidation of
hydroxyl radicals on SiC wafers. Ultrasmooth surfaces were
achieved via chemical reactions and mechanical abrading.
Wang et al. [127] conducted CMP of GaN with photocat-
alytic oxidation, as flat and smooth GaN is a good substrate
for LED applications. They found that better surface finish
and increased MRRs could be achieved with increased UV
lamp power or TiO2 concentration, due to the enhanced reac-
tion rate of photocatalytic oxidation.
Wang et al. [70] used a femtosecond laser to assist CMP of
SiC. The MRR of SiC irradiated in the transverse irradiation
mode was 3 times greater than that of nonirradiated SiC. The
rippled SiC surface greatly increased the contact area of SiC
and the polishing slurry.
In summary, CMP assisted by ultrasonic vibrations in-
creases CMP MRRs and lowers the roughness of polished
surfaces. CMP assisted by using UV lamp power, femtosec-
ond lasers, or photocatalysts enhances CMP MRRs.
8 Conclusions
(1) Nonspherical abrasive particles have been developed for
CMP, resulting in increased MRRs. Particles having mesopo-
rous silica shells and solid silica cores lead to decreased
scratches and better surface finish. Decreased abrasive hard-
ness and changes of particle morphology result in good
Int J Adv Manuf Technol (2020) 109:1419–1430
surface finish. Modified particles with a larger friction coeffi-
cient lead to improved surface finish and greater MRRs.
Ultrafine particles stick to large particles and alter the particle
surfaces, leading to better MRRs and lower surface roughness.
(2) Advanced conditioning methods have been proposed to
uniformly generate pad surface shapes. Pads have mechanical
moduli changes when process temperatures rise. Fixed abra-
sive CMP has advantages with higher MRRs. However, the
pad shape after wear can be concave, affecting the surface
uniformity. A new model for designing the pad and condition-
er has been proposed, and a more uniform pad shape can be
obtained. Ex situ conditioning results in good surface finish,
while in situ conditioning achieves high MRRs.
(3) The soluble complex generated from abraded cobalt
significantly enhanced the MRRs in CMP of cobalt films with
a silica-based slurry that had H2O2 and citric acid. Selective
CMP of Si3N4/SiO2 could be performed with a silica abrasive
newly modified. 1,2,4-triazole and benzotriazole are good cor-
rosion inhibitors for Cu. Integrated advanced process control
improves the wafer-to-wafer variation and additional within-
wafer variation. Larger %OH reacted with the SiC surface and
created a soft SiO2 layer, leading to larger chemical reaction
rates and lower surface roughness. The approach to soak r-
plane sapphire wafers for 1 week in a new chelating agent
significantly augmented the MRR.
(4) CMP of silicon lenses, glass disk substrates, cutting tool
insert rake faces, diamond, and NCD thin films has been per-
formed. Dental implants treated by CMP perform equally or
better than the baseline-machined implants and the biphasic
calcium phosphate-treated implants.
(5) The slurry distribution and the abrasive behavior can be
simulated by means of multiphase modeling. Molecular dy-
namics simulations can explore the mechanism of CMP. CMP
of wafers can be simulated using an atomic force microscope
with its tapping mode. Theoretical models have been devel-
oped to calculate removal depths, study the chemical action in
CMP, and explore the crystal orientation effects.
(6) CMP assisted by using UV lamp power, femtosecond
lasers, or photocatalysts enhances CMP MRRs. CMP assisted
by ultrasonic vibrations increases CMP MRRs and lowers the
roughness of polished surfaces.
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