Alexander V. Tikhonravov

Some theoretical aspects of thin-film optics and their applications.

The principal focus of my report is on the theoretical study of the properties of spectral coefficients in a complex wave-number plane. The basic results of the study are described, and their application to the synthesis of a rugate filter and to inhomogeneous layer recognition problems are considered. General results concerning the existence of solutions to synthesis problems are also presented. The close analogy between synthesis problems in thin-film optics and optimal control problems is outlined, and some applications of Pontryagins maximum principle are considered.

Optimal single-band normal-incidence antireflection coatings.

Mathematical and computational evidence that strongly suggests that optimal solutions exist to single-band, normal-incidence antireflection coating problems is presented. It is shown that efficient synthesis and refinement techniques can quickly and accurately find such solutions. Several visible and infrared antireflection coating examples are presented to support this claim. Graphs that show the expected optimal performance for different representative substrates, refractive-index ratios, wavelength ranges, and overall optical thickness combinations are given. Typical designs exhibit a pronounced semiperiodic clustering of layers, which has also been observed in the past. Explanations of this phenomenon are proposed.

Optical coating design approaches based on the needle optimization technique

Design approaches for optical thin films that recognize the key role of a designs total optical thickness are presented. These approaches are based primarily on the needle optimization technique but also utilize other optimization procedures. Using the described design approaches, an optical coating engineer can obtain a set of theoretical designs with different combinations of principal design metrics (merit function value, number of layers, and total design optical thickness); this extends opportunities for choosing the most practical and manufacturable design. We also show that some design problems have multiple solutions with nearly the same combinations of principal design metrics.

The phase retrieval problem

In the phase retrieval problem one seeks to recover an unknown function g(t) from the amplitude mod g(k) mod of its Fourier transform. Since phase and amplitude are, in general, independent of each other, it is necessary to make use of other kinds of information which implicitly or explicitly constrain the admissible solutions g(t). In this paper we survey a variety of results explaining circumstances under which g(t) may be uniquely recovered from mod g(k) mod and supplementary information. A number of explicit formulae for the phase are discussed. We pay particular attention to the phase retrieval problem as it arises in certain inverse-scattering applications.

Ultraviolet optical and microstructural properties of MgF2 and LaF3 coatings deposited by ion-beam sputtering and boat and electron-beam evaporation

Single layers of MgF2 and LaF3 were deposited upon superpolished fused-silica and CaF2 substrates by ion-beam sputtering (IBS) as well as by boat and electron beam (e-beam) evaporation and were characterized by a variety of complementary analytical techniques. Besides undergoing photometric and ellipsometric inspection, the samples were investigated at 193 and 633 nm by an optical scatter measurement facility. The structural properties were assessed with atomic-force microscopy, x-ray diffraction, TEM techniques that involved conventional thinning methods for the layers. For measurement of mechanical stress in the coatings, special silicon substrates were coated and analyzed. The dispersion behavior of both deposition materials, which was determined on the basis of various independent photometric measurements and data reduction techniques, is in good agreement with that published in the literature and with the bulk properties of the materials. The refractive indices of the MgF2 coatings ranged from 1.415 to 1.440 for the wavelength of the ArF excimer laser (193 nm) and from 1.435 to 1.465 for the wavelength of the F2 excimer laser (157 nm). For single layers of LaF3 the refractive indices extended from 1.67 to 1.70 at 193 nm to approximately 1.80 at 157 nm. The IBS process achieves the best homogeneity and the lowest surface roughness values (close to 1 nm(rms)) of the processes compared in the joint experiment. In contrast to MgF2 boat and e-beam evaporated coatings, which exhibit tensile mechanical stress ranging from 300 to 400 MPa, IBS coatings exhibit high compressive stress of as much as 910 MPa. A similar tendency was found for coating stress in LaF3 single layers. Experimental results are discussed with respect to the microstructural and compositional properties as well as to the surface topography of the coatings.

Influence of small inhomogeneities on the spectral characteristics of single thin films

It is well known that the spectral transmittance and reflectance of a thin film can be influenced by even small inhomogeneities or variations in its complex refractive-index profile. Formulas are derived that describe the theoretical variation of the spectral characteristics for small changes in the refractive index and the extinction coefficient of a homogeneous thin film. These formulas, accurate to the first order in the change in the complex refractive index, are compared with exact calculations for a number of different types of inhomogeneities. It is shown that specific qualitative features in the refractive-index profile of a nearly homogeneous thin film frequently can be determined from an examination of the change in the spectral transmittance and reflectance at normal incidence.

Computational manufacturing as a bridge between design and production

Computational manufacturing of optical coatings is a research area that can be placed between theoretical designing and practical manufacturing in the same way that computational physics can be placed between theoretical and experimental physics. Investigations in this area have been performed for more than 30 years under the name of computer simulation of manufacturing and monitoring processes. Our goal is to attract attention to the increasing importance of computational manufacturing at the current state of the art in the design and manufacture of optical coatings and to demonstrate possible applications of this research tool.

Estimation of the average residual reflectance of broadband antireflection coatings

We deal with optimal two-material antireflection (AR) coatings for the visible and adjacent spectral regions. It has been shown before that, for a given set of input parameters (refractive indices of the substrate, ambient medium and high- and low-index coating materials, and for a given spectral width of the AR coating), such designs consist of one or more clusters of layers of approximately constant optical thickness and number of layers. We show that, through the analysis of many different optimal coatings, it is possible to derive two parameters for a simple empirical expression that relates the residual average reflectance in the AR region to the number of clusters. These parameters are given for all possible combinations of relative spectral bandwidth equal to 2, 3, and 4; low-index to ambient-medium index ratio equal to 1.38 and 1.45; and high-to-low index ratio equal to 1.4, 1.5, and 1.7. The agreement between the numerically and the empirically calculated values of residual average reflectance is excellent. From the information presented the optical thin-film designer can quickly calculate the required number of layers and the overall optical thickness of an AR coating having the desired achievable residual average reflectance.

Broadband high-reflection multilayer coatings at oblique angles of incidence

The angular properties of various wideband high reflectors are investigated. The theory is developed for the design of high reflectors based on contiguous quarter-wave stacks for use at one oblique angle or for a range of angles of incidence. Numerical results are presented for several high reflectors designed to have a high reflectance in the 0.4-0.8-mum spectral region for use at 50 degrees and with angles of incidence ranging between 0 degrees and 50 degrees . A random error perturbation analysis shows that such layer systems can be produced experimentally.

Investigation of the effect of accumulation of thickness errors in optical coating production by broadband optical monitoring

We present a theoretical approach enabling one to perform a preproduction investigation of the effect of accumulation of thickness errors in the course of optical coating production using broadband optical monitoring. On the basis of this approach we investigate and compare thickness errors that may be associated with such factors as random and systematic errors in measurement data, instabilities of deposition rates, and inaccuracies of on-line algorithms predicting termination instants for layer depositions.