Spectral Characterisation of Infrared Optical Materials and Filters

The University of Reading
Department of Cybernetics
Spectral Characterisation of Infrared
Optical Materials and Filters
A thesis submitted for the degree of
Doctor of Philosophy
by
Gary J. Hawkins
CPhys, MInstP, MOSA, MEOS
December 1998
To Angela and Amy,
for their support and understanding.
... We have to remember that what we observe is not nature,
but nature exposed to our method of questioning.
Werner Karl Heisenberg
Physics and Philosophy (1955)
Spectral Characterisation of Infrared Optical Materials and Filters
Dr. Gary J. Hawkins PhD Thesis (#R7935) - The University of Reading, UK December 1998
________________________________________________________________________________________
ii
ABSTRACT
The optical and semiconductor properties of the materials used in the design and manufacture of
infrared interference filters play a vital role in defining the spectral performance achievable from a multilayer
filter design. This thesis examines the theoretical basis of the behaviour of absorptive and dispersive mechanisms
in optical materials and derives methods of determining values for their complex optical constants.
By applying these properties to the multilayer filter design, a predictive model for the filter performance
has been constructed to determine if a chosen design can achieve the specified spectral performance
requirements, prior to manufacture. Examples are given demonstrating the convergence of prediction with
practice.
This predictive model approach has then been expanded to develop a method for determining the
spectral design requirements for the individual filters and coatings integrated into an atmospheric radiometer
instrument. This process uses an integrated systems approach, by which the characteristics of all the contributing
elements provide a predicted spectral model of the instrument. By then applying reverse synthesis to this model,
the particular spectral requirements of the individual filters can be determined. Examples are given of particular
spectral design requirements for filters derived using this method.
The effects of the space environment on the spectral and physical properties of infrared filters and
materials is also presented. This includes a description of the radiation environments to which filters are
subjected in low Earth orbit. A quantitative analysis of the effects of this environment on the spectral
characteristics of exposed filters and materials is made, together with an assessment of the physical degradation
mechanisms that affect filter performance.
ACKNOWLEDGEMENTS
The work described in this thesis was carried out while I was employed as a Research Fellow in the
University of Reading Infrared Multilayer Laboratory. It is the result of combining my part-time research
activities together with the design and manufacturing requirements of infrared filters and coatings for use in
various spaceflight radiometer projects.
I would especially like to thank Roger Hunneman for his constant encouragement and support in the
development of this research, particularly for the many stimulating and instructive discussions we had on the
practice of thin film design and manufacture. I am also extremely grateful to Dr. John Seeley for his guidance
and inspiration during the formative stages of this research, and to my supervisor Dr. John Bowen.
I also wish to thank all my colleagues, both past and present, from the Infrared Multilayer Laboratory in
the Department of Cybernetics for their assistance during the progression of this research, and to colleagues at
Oxford University and Rutherford Appleton Laboratory for the development of the project work for which many
of the filters were destined. Finally, I would like to acknowledge the partial funding of my post during the
development of this research by the UK Natural Environment Research Council.
G.J. Hawkins
December 1998
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iii
CONTENTS
Page
Abstract ii
Acknowledgements ii
Table of Contents iii
Preface v
Introduction v
1. INFRARED MATERIALS ABSORPTION THEORY
1.1 General description of absorption 1
1.2 Electronic absorption 3
1.3 Lattice absorption 5
1.4 Phonons 5
1.4.1 Phonon absorption theory 6
1.4.2 Phonon dispersion theory 6
1.5 Single phonon absorption 7
1.6 Multi-phonon absorption 8
1.7 Dielectric dispersion 10
1.8 Temperature-dependent effects 12
1.8.1 Thermal vibrations 15
1.8.2 Thermal expansion coefficients 16
1.9 Infrared material properties 17
1.9.1 Germanium 18
1.9.1.1 Germanium absorption 19
1.9.1.2 Germanium dispersion 20
1.9.1.3 Germanium resistivity 21
1.9.2 Silicon 22
1.9.2.1 Silicon absorption 23
1.9.2.2 Silicon dispersion 23
1.9.3 Zinc Selenide 25
1.9.3.1 Zinc Selenide absorption 26
1.9.3.2 Zinc Selenide dispersion 27
1.9.4 Zinc Sulphide 28
1.9.4.1 Zinc Sulphide absorption 29
1.9.4.2 Zinc Sulphide dispersion 30
1.9.5 Cadmium Telluride 30
1.9.5.1 Cadmium Telluride dispersion 31
1.10 Conclusion 32
2 INFRARED SUBSTRATE CHARACTERISATION
2.0 Introduction 33
2.1 Absorption () and extinction coefficient (k) theory 33
2.2 Loss-free incoherent internal reflection 34
2.3 Incoherent multiple internal reflection including absorption 39
2.4 Predictive substrate thickness calculations 46
2.4.1 Thickness model validation 52
2.5 Reduced substrate-temperature effects 53
2.5.1 Temperature model verification 58
2.6 Angle of incidence effects 59
2.6.1 Total internal reflection 67
2.7 Coherence of multiple internal reflections 68
2.8 Conclusion 70
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iv
3 INFRARED THIN FILM CHARACTERISATION AND DEPOSITION TECHNIQUE
3.1 Lead telluride (PbTe) dispersion 71
3.2 Lead telluride (PbTe) absorption 73
3.2.1 Modified lead telluride photo-absorption spectra 75
3.3 Zinc selenide (ZnSe) dispersion 76
3.4 Thin film deposition technique 78
3.4.1 Fractional thickness reflection monitoring 80
3.5 Nucleation, growth and structure of infrared thin films 84
3.6 Conclusion 88
4 MULTILAYER CALCULATION THEORY AND APPLICATIONS
4.1 Loss-free multilayer matrix calculation 90
4.2 Multilayer calculations including layer absorption 94
4.3 Predictive design modelling of a ultra-wide (5-30m) passband filter 97
4.3.1 Infrared materials selection 97
4.3.2 5-30m passband filter design method 98
4.3.3 Performance prediction and comparison with measurement 98
4.4 Systems design of far-infrared filters 100
4.5 Conclusion 102
5 AN INTEGRATED SYSTEMS PERFORMANCE APPROACH
TO INFRARED SPECTRAL INSTRUMENT DESIGN
5.0 Introduction 103
5.1 Advantages of an integrated spectral systems approach 104
5.2 HIRDLS Optical system layout 104
5.3 Filter design requirements 106
5.3.1 Bandpass filter design 108
5.3.2 Blocking filter design 111
5.3.3 Antireflection coatings 112
5.3.3.1 Germanium lens thickness distribution 113
5.4 Instrument performance requirements 114
5.4.1 Margin Ratio 114
5.4.2 Ghost-image suppression 119
5.4.3 Corrective spectral passband placement requirements 120
5.4.4 Thermal background suppression 121
5.5 Instrument performance verification 121
5.5.1 Instrument channel passband profile 122
5.5.2 Instrument channel blocking performance 123
5.6 Conclusion 126
6 EFFECTS OF THE SPACE ENVIRONMEN ON INFRARED FILTERS AND MATERIALS
6.1 LDEF Experiment background 128
6.2 Thermal cycling effects 129
6.2.1 Solar flux 129
6.3 Ionizing radiation 131
6.4 Atomic Oxygen 132
6.5 Filter experiment construction 134
6.6 Pre-launch / post-recovery filter analysis 138
6.6.1 Uncoated crystal materials 138
6.6.2 Soft substrate / coating materials 139
6.6.3 Hard substrate / coating materials 140
6.6.4 Results summary 141
6.7 LDEF Orbital meteoroid and debris impacts 143
6.7.1 Micrometeorite impact characteristics 144
6.8 Experiment conclusions 146
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7. SUMMARY AND CONCLUSIONS 147
8. FUTURE RESEARCH 147
9. REFERENCES 148
10. APPENDICES 152
Appendix A Temperature-dependent complex refractive indices
Appendix B Thickness-dependent polynomial coefficients
Appendix C Absorption program algorithm
Appendix D Multilayer matrix calculation with absorption
Appendix E Publications list
Appendix F Refractive Index Data Sources
PREFACE
In the development of the research for this thesis I am indebted to many co-workers and colleagues who
have helped in the formation of the concepts that have been described. In particular I would like to acknowledge
the discussions with John Barnett and John Whitney from the University of Oxford which resulted in the
integrated system approach to the spectral design of the HIRDLS instrument. Where other work is directly
attributable to other workers, principally in the area of refractive index data, these sources have been listed in
Appendix F, in addition to being cited by the references.
My main contributions to this subject and the responsibilities I have had for the work described in this
thesis include; the development of methods for the determination of precise values of complex refractive index
of infrared materials using data from existing sources and new spectral measurements which are presented here;
the spectral design, manufacture and verification of filters and coatings for use in the HIRDLS instrument, and
the analysis of the spectral design of the instrument. Further, I was also directly responsible for carrying out the
post-flight spectral and physical analysis of the infrared samples flown by the University of Reading on the Long
Duration Exposure Facility.
This PhD thesis was submitted to The University of Reading in December 1998 and will not be used or
submitted to any other University for future examination.
INTRODUCTION
This thesis describes the results of an investigation into the spectral characteristics of infrared substrate
and thin film materials, and their implementation in the design and manufacture of interference filters for space-
flight radiometer instruments. It is a necessary requirement in infrared spectrometry and radiometry to have
effective and precise filtering for the elimination of unwanted radiation, whilst maximising the performance of
the isolated spectral passband. In these types of application, the integrated rejection of radiation on either side of
the passband is just as important as the precise spectral definition given to the filter. Detailed knowledge of the
spectral characteristics of the materials, and how to best utilise them, is therefore a crucial element in
understanding the limitations to the design and fabrication of high performance filters. Substrate and coating
materials are required to be highly transparent across the spectral passband region of interest, and mechanically
robust enough to withstand the range of environmental conditions to which they are frequently subjected. Yet,
where filters are required to operate in regions remote from the optimum characteristics of the available
materials, knowledge of the ultimate performance by predictive design analysis is essential to determine if the
performance of the realised filter has been achieved.
Research into the properties of infrared optical materials has significantly increased over the past few
years. This has been facilitated by the technological growth of computing facilities combined with the data
acquisition and advanced software capabilities now available. These developments have permitted spectral
analysis of infrared materials to be performed to a higher data point resolution and accuracy. Advances in
Fourier Transform Infrared (FTIR) spectrophotometer design and cryopumping technology have also permitted
spectral measurements to be made across a wider wavelength and temperature range than previously available.
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Many differing methods for the determination of the complex refractive index variables n and k have
been developed by workers in the optics community. Many of these have now published accurate models which
describe these characteristics across various differing wavelength and temperature ranges. As part of this thesis I
have brought together many of the differing refractive index models described in the reference literature which
define the real part of the refractive index to formulate algorithms which can now be used to describe both their
wavelength and temperature-dependent characteristics. The determination of values for k to complete this
characterisation has been performed by combining the values calculated from the algorithms for the real part of
the refractive index (n) to the spectral measurements of bulk materials. These calculations use incoherent
reflection from two or more surfaces and include multiple internal reflections to determine the absorption
coefficient () and hence extinction coefficient (k). By combining the absorption calculations with the real part
of the refractive index, a complete database model of the complex refractive index has been derived and verified
for a selection of differing infrared materials.
As a result of combining the theoretical models with measurements available from FTIR spectroscopy,
the extrapolation and interpolation of measured data to predict the spectral characteristics of alternative substrate
thicknesses and operating temperatures is now reliably accurate and valid as a method of predictive performance.
Additionally, the advantages of using a predictive performance model based on measured characteristics include
the ability to account for spectral anomalies which cannot be predicted by generic absorption models.
The growth in high speed computing has also created the capability to predict the performance of
complete instrument designs. This requires the spectral combination of multiple components, to derive the
instrument throughput response prior to manufacture, assembly and calibration testing. These advances have
subsequently demanded higher levels of material performance and characterisation.
Large scale spectral performance calculations through the use of multi-page relational spreadsheets
have also improved coating design and manufacturing efficiency. As a result of distributing the multilayer
blocking over a number of elements, the continuous spectral blocking previously required on single component
filters has been removed. This approach has allowed an optimal instrument design to be created in which each
element is only required to perform its own specialised function.
This thesis characterises the spectral performance of a variety of different infrared materials over a
wider frequency, temperature and thickness range than currently available from traditional literature sources.
From this, predictive performance models are now possible for applications where direct measurements are
unobtainable or unavailable. Additionally, a fully integrated spectral systems design model is presented, in which
the performance requirements specified at the instrument level are fed back through the instrument to define the
specific characteristics required by the filters.
The first two chapters of this thesis describe the development of the research. An initial survey of the
general theories of materials, including electronic absorption, lattice absorption and dispersion are presented in
Chapter 1. This is followed in Chapter 2 by a detailed study of the characteristics of the most frequently used
infrared filter substrate materials and the implementation of predictive modelling algorithms to derive the
spectral characteristics of materials of differing thickness and/or operating temperatures.
Chapter 3 contains details of the spectral characteristics of the thin-film deposition materials used in the
design and manufacture of infrared multilayers. The thin film deposition technique, and structural characteristics
of deposited multilayers is also described.
Multilayer calculation theory and applications are discussed in Chapter 4. These computational
methods, which include substrate and thin-film layer absorption are described there. In order to assess the
practicality of predictive performance modelling, examples of analyses for manufactured filters and infrared
systems design are included in this chapter.
Chapter 5 presents the integrated systems performance approach to infrared spectral instrument design.
Using the EOS HIRDLS instrument as an example with a specified instrument level channel response, the
process of determining the spectral requirements for the two bandpass filters and antireflection coatings is
described. This process takes into account the spectral characteristics of the optical materials in the transmissive
optics, the relative spectral response of the detector, the expected atmospheric signal, and thermal emission from
the instrument. This design approach allows an improved design for the filters, by minimising the number of
layers, maximising the transmission and aiding filter manufacture. The use of the design model also allows the
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vii
instrument spectral performance to be verified using the spectral profiles of manufactured components. The
spectral calculations for example channels are discussed together with the spreadsheet calculation method.
In order to assess the durability and stability of manufactured infrared filters and materials, a selection
of components manufactured by the University of Reading Infrared Multilayer Laboratory were exposed to the
space environment in low Earth orbit on the NASA Long Duration Exposure Facility (LDEF) for a period of 69
months. Chapter 6 summarises the most recent results from the effects of that environment on the physical and
optical properties of the filters and material flown, and compares this with the environmental conditions required
for survival of filters and coatings in current spaceflight instruments.
Dr. Gary J . Hawkins PhD Thesis (#R7935) - University of Reading, UK December 1998
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1

CHAPTER 1
I NFRARED MATERI ALS ABSORPTI ON THEORY

The design of any infrared filtering system requires the selection of materials based upon knowledge of
the optical, mechanical and thermal properties available. Frequently, the selection of suitable materials results
from compromises between these various properties as no single material will possess the ideal characteristics
required to suit the wide variety of applications. A study of the infrared material characteristics, particularly the
absorption and dispersion processes is therefore essential for the selection of suitable materials for use both as
substrates and evaporated layer materials.

1.1 General description of absorption

This chapter highlights the absorption processes that occur in five of the most frequently used filter
substrate materials, namely; Group IV materials Silicon (Si) and Germanium (Ge), and Group II-VI materials
Zinc Selenide (ZnSe), Zinc Sulphide (ZnS) and Cadmium Telluride (CdTe). These substrate materials have
been selected from the wide range of infrared materials available as they represent filter substrates onto which
evaporated layer materials are frequently and successfully deposited, having selective regions of high
transparency and good thermal conductivity.

All of the observed intrinsic absorption characteristics present in the spectrum of an infrared optical
material can be classified by three fundamental processes involving interaction between the material and the
incident electromagnetic radiation, namely; electronic absorption, lattice or phonon absorption and free-carrier
absorption.

The electronic absorption characteristics observed towards the higher frequency end of the infrared
spectrum are the result of interaction between the incident radiation and the motions of electrons or holes within
the material. Only electromagnetic radiation with sufficient energy to cause an electron to transfer between the
valence band and conduction band (hf) will be absorbed by this mechanism. The various transitions of these
electrons define the position of the short wavelength absorption edge. The resulting spectrum provides
information on the width of the energy band-gap of the material, and through spectral anomalies, can indicate
the presence of impurities.

The lattice absorption characteristics observed at the lower frequency regions, in the middle to far-
infrared wavelength range, define the long wavelength transparency limit of the material, and are the result of
the interactive coupling between the motions of thermally induced vibrations of the constituent atoms of the
substrate crystal lattice and the incident radiation.

Hence, all materials are bounded by limiting regions of absorption caused by atomic vibrations in the
far-infrared (>10m), and motions of electrons and/or holes in the short-wave visible regions. In the interband
region, the frequency of the incident radiation has insufficient energy (E=hf) to transfer electrons to the
conduction band and cause absorption; here the material is essentially loss-free.

In addition to the fundamental electronic and lattice absorption process, free-carrier absorption in
semiconductors can be present. This involves electronic transitions between initial and final states within the
same energy band. The absorption or emission of the resulting photons is accompanied by scattering by optical
or acoustic-mode phonon vibrations or by charged impurities. This type of absorption is evident where the
spectral profile of the material is highly absorbing, producing considerably lower transmission than otherwise
expected.

These intrinsic absorption properties of semiconductors and insulators define the transparency of the
material. To be transmitted in the region between the electronic and lattice absorptions, the incident radiation
must have a lower frequency than the band-gap (E
g
) of the material. This is defined by the short wavelength
semiconductor edge at =hc/eE
g
, preventing electrons transferring to the conduction band. The generalised
profile of the electronic absorption edge is known as the Urbach tail
[1]
where the exponentially increasing
absorption coefficient follows the general relationship:

_________________________________________________________________________________________
2
( ) kT hf
1 ) (ln
=

(1-1)

The illustrations in Figures 1-1 and 1-2 show the effects of these various absorption and dispersion
mechanisms present in a typical crystalline material across the uv-visible to far-infrared wavelength regions.

Figure 1-1 Optical dispersion properties of a typical crystalline material

Figure 1-2 Optical absorption properties of a typical crystalline material
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3

1.2 Electronic Absorption

In conductors, absorption due to the presence of a cloud of free electrons or holes is continuous, with a
magnitude that increases approximately as the square of the incident wavelength. Overlapping valence and
conduction bands provide high reflectivity but prohibit transparency throughout the entire infrared. As the
electron energy bands become separated in semiconductors however, the extent to which free electron carriers
cause absorption becomes dependent upon the size of the energy gap at any given temperature, and the absence
of impurities.

The electronic absorption processes at the higher frequency end of the infrared spectrum caused by
band-to-band or band-to-exciton (electron in an electrostatically attracted combination with a hole) transitions
can be divided into four main categories for semiconductor materials;
i) Intrinsic absorption, where in a pure semiconductor transitions between full valence bands and empty
conduction bands are free to occur.
ii) Extrinsic absorption, where transitions occur between the valence or conduction band and donor or acceptor
sites in the band gap.
iii) Free carrier absorption in which transitions occur within any one energy band, and
iv) Localised energy states caused by defects or impurities, where electrons or holes may be excited into a
higher energy state.

At frequencies close to the electronic absorption edge, a change in the bandgap (E
g
) of the crystal by a
fraction of an electron volt can change the absorption coefficient () by nearly four orders of magnitude. By
measurement of the spectral position and profile of the absorption edge, values for the energy band-gap (E
g
) can
be determined, together with other general information about the energy states either side of the forbidden band
responsible for electrical conduction
[2]
. However, the estimation of the energy gap from the absorption edge is
not a straightforward process (and is outside the scope of this thesis) for the following reason;

As the momentum of a photon (h/) is very small compared to the crystal momentum (h/a), where a is
the lattice constant, the photon-absorption process should conserve the momentum of the electron. However, the
absorption coefficient () for a given photon energy hf is proportional to the probability (P
i,f
) for the transition
from the initial state (n
i
) to the final state (n
f
) , the density of electrons in the initial state, and also to the density
of available final states. These processes must be summed for all the possible transitions between states that are
separated by an energy difference equal to hf,
( )
hf
i f i f
i
f
P nn =
,
. Therefore both the exact positioning and
shape of the electronic absorption edge cannot easily be predicted or modelled through solid state theory
without detailed knowledge of all the allowed & forbidden, direct & indirect transitions available, together with
knowledge of the density of electrons as given by the product of the density of states and the Fermi-Dirac
function, with the probability of an electron level possessing an electron given by:

f E
E E
kT
f
( )
exp
=
+

1
1
(1-2)
where, E is the energy level, E
f
is the Fermi-energy level, k is Boltzmanns constant and T is the absolute
temperature. Figure 1-3 illustrates the various electronic absorption energy band transitions available in a
typical semiconductor material.

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4
Energy
(C)
Band-gap (Eg)
Valence
Band
Direct Energy
Conduction
Band
(D)
(A)
(E)
Indirect energy
band-gap (B)

Figure 1-3 Electronic absorption energy band transitions

(A) Direct valence to conduction band transitions (constant k vector)
(B) Indirect valence to conduction band transitions aided by photon/phonon coupling interactions
(C) Inter-valence band transitions
(D) Valence band free-carrier transitions aided by impurities or photon/phonon interactions
(E) Conduction band free-carrier transitions aided by impurities or
photon/phonon interactions

Optical materials that are opaque in the visible, because of comparatively small bandgaps ( 1.25eV),
are arbitrarily classified as infrared semiconductors whilst materials of larger bandgap, and whose lattice
absorption is present in the far-infrared are insulators. Figure 1-4 illustrates the generalised distinction between
semiconductor and insulator materials, where the energy band gap (E
g
) is plotted against molecular / atomic
weight. Infrared semiconductors comprising Group IV elements and certain Group III-V compounds are
positioned below the horizontal line, whilst infrared II-VI and lighter III-V insulator materials are above.

0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
0 50 100 150 200 250 300 350
Molecular Weight
E
n
e
r
g
y

B
a
n
d

G
a
p

(
E
g
)
Ge
Si
Sn
InAs
GaAs
GaP
SiC
ZnS
ZnSe
CdSe
ZnTe
CdTe
PbTe
(I V)
(I I I -V)
(I I -VI )
InSb

Figure 1-4 Energy band-gap of infrared semiconductors and insulators at 300K vs molecular weight

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5
1.3 Lattice Absorption

The conductive properties of many materials that are suitable for use as optical substrates can provide a
good indication of the expected spectral performance, as the systematic tendencies in the electrical properties
tend to parallel the optical behaviour. Insulator materials show some regions of transparency, either in the near
or far-infrared, whilst good electrical and thermal conductors exhibit a continuous background of electronic
absorption over the whole infrared region

All of the resonant absorption processes involved in an infrared material can be explained by the same
common principal. At particular frequencies the incident radiation is allowed to propagate through the crystal
lattice producing the observed transparency, other frequencies however, are forbidden when the incident
radiation is at resonance with any of the properties of the lattice material, and as such are transferred as thermal
energy, exciting the atoms or electrons. The resonant vibrational absorption characteristics created by the lattice
are highly complex, consisting of several types of fundamental vibrations. In order that a mode of vibration can
absorb, a mechanism for coupling the vibrational motion to the electromagnetic radiation must exist.

Transfer of electromagnetic radiation from the incident medium to the material is in the form of a
couple, where the lattice vibration produces an oscillating dipole moment which can be driven by the oscillating
electric field (E) of the radiation. In order for the total transfer of energy to be complete, the following three
conditions must be satisfied;
i) the conservation of energy is maintained,
ii) the conservation of momentum is maintained, and
iii) a coupling mechanism between the material and the incident medium is present.

The conservation of momentum is governed by the relationship between de Broglies particle/wave
duality, from the photon and phonon momenta, where the photon momentum is P = h/. The phonon
momentum in the crystal is given by P = h/a, where a is the lattice constant for the unit cell. When =a, the
conservation of momentum is preserved between the incident photon and thermal phonon, resulting in complete
absorption of the incident radiation by the lattice. However, the photon has a low momentum when compared to
the momentum of a phonon, therefore two or more photons are required to satisfy the conservation of
momentum and produce total absorption.

The coupling mechanism between the incident photon and the lattice phonon is produced by a change
of state in the electric dipole moment (M) of the crystal. A dipole moment arises when two equal and opposite
charges are situated a very short distance apart, and is the product of either of the charges with the distance
between them. Thus energy absorbed from the radiation will be converted into vibrational motion of the atoms.
In simple gas molecules this gives rise to a characteristic spectral absorption band, as the many molecules form
a large number of coupled dipole moments.

In more complex lattice structures, in order for a mode of vibration to absorb any incident radiation,
the basic mechanism for coupling must be present. Three different coupled absorption mechanisms exist
[3]
;
i) Reststrahl absorption, this only occurs in ionic crystals and is caused by the creation of single phonons in the
lattice.
ii) Multi-phonon absorption which occurs when two or more phonons simultaneously interact and produce an
electric moment with which the incident radiation may couple.
iii) Defect induced one phonon absorption, which in a pure crystal is where the creation of a single phonon is
not accompanied by a transitional change of state in dipole moment that can act as a couple, but is induced by
the existence of a crystal defect or impurity to aid the coupling mechanism.

1.4 Phonons

Although vibrations generated in the crystal lattice may be considered as a sequence of hypothetical
oscillators and their associated coupling mechanisms. The crystal lattice can also be considered as a single large
vibrating system, which is able to pulsate at various frequencies generating its own oscillations. As the
superposition of all the displacements at the various points within the system must be the same as the atomic
displacements at those points, then the various modes of vibration can be considered as applying to the whole
crystal lattice assembly. In this composite system, the energy associated with the modes of vibration can still
only change in discrete steps, only now these quanta of vibrational energy involve displacements of all the
atoms rather than by a single coupled atom. Where the temperature is raised in a crystal lattice, the amplitude of
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6
the atomic vibrations increases, which in turn produces an increase in the number of phonons in the system.

1.4.1 Phonon absorption theory

Whereas a static lattice model deals with the average positions of atoms in a crystal, the idea of lattice
dynamics extends the concept of the crystal lattice to an array of atoms with finite masses that are capable of
motion. This motion is not random but a superposition of discrete standing and/or travelling waves that interact
with the atomic vibrations to produce phonons. The phonons produced are continually scattered by various
barriers or interactions that limit the mean free path of the vibration. The scattering processes are caused by
combinations of either interactions between phonons, point defects caused by impurities, or grain boundaries
and dislocations. For each of these mechanisms there will be a thermal resistance which will increase the
amount of absorption. This absorption will also depend upon the incident wavelength, as a change in
temperature will alter the nature of the phonon spectrum. At low temperatures only the longest wavelength
phonons are excited and cause absorption; at high temperatures absorption will tend to become dominant at
shorter wavelengths.

Both harmonic (linear propagation) and anharmonic (non-linear propagation) waves can be
superimposed on the lattice vibrations. At low temperatures where the amplitude of the vibrations is small the
higher order anharmonic terms may be neglected, whereas at higher temperatures where atomic displacements
are greater, anharmonic wave interactions become appreciable, causing energy from a wave to become
converted into a wave with a different frequency and creating an additional phonon. This will subsequently
change the absorption profile of the material.

The possible combinations of phonons is a complex problem, and beyond the scope of this thesis,
however, in general the mechanisms of combining phonons is defined by the Umklapp process
[4]
. The idea of
which is that if two incident phonons have large wave vectors, the resultant wave vector may be sufficiently
large that its corresponding wavelength may be shorter than twice the interatomic spacing. This would cause the
phonon velocity to become reversed meaning that the phonon travelling in the opposite direction will reduce
any heat transfer through the substrate but will produce its own thermal resistance. This occurs as a result of the
material having discrete and periodic modes of vibration.

1.4.2 Phonon dispersion theory

The longitudinal and transverse modes of vibration in a crystal lattice are most suitably described by
phonon dispersion. Phonon dispersion is the relationship between the frequency of vibration of the phonon ()
as a function of the wave vector (k), where k = 2/. For acoustic phonons, where there exists only one atom
per unit cell, longitudinal deformations create atomic displacements parallel to the propagation of the wave with
forces between adjacent atoms that obey Hookes law of elasticity. The illustration in Figure 1-5 represents the
acoustic dispersion in the first Brillouin zone.

Figure 1-5 Acoustic phonon dispersion for a monatomic lattice

An important feature of this dispersion curve is the periodicity of the function. For a unit cell of length
a, the repeat period is 2/a, which is equal to the unit cell length of the reciprocal lattice. Therefore, the useful
profile information is contained in the waves with wave vectors lying between the limits -/a <k </a. This
range of vectors is called the first Brillouin zone. At the Brillouin zone boundaries the nearest atoms of the
_________________________________________________________________________________________
7
chain vibrate in the opposite directions and the wave becomes a standing wave. As k approaches zero at longer
wavelengths, the phase velocity (
0
) is equivalent to the velocity of sound in the crystal.

For optical phonons, where there are different kinds of atoms per unit cell such as in compound
semiconductors and insulators, the lattice modes of vibration require two solutions for vibrations of the two
contributing atoms in the structure. In this case both an acoustic and optical branch are present, as illustrated in
Figure 1-6, where M and mare the masses of the constituent atoms and is a force constant for the material.

Figure 1-6 Acoustic and Optical phonon dispersion for a diatomic lattice
representative of a compound semiconductor.

The allowed frequencies of propagation of the wave are split into an upper optical branch and a lower
acoustic branch. Between these branches there is a band of frequencies in which waves cannot propagate. The
width of this forbidden band depends on the difference of the atomic masses. If the atomic masses are identical,
the two branches join at the boundaries of the first Brillouin zone at /2a. It should be noted in this case the first
Brillouin zone goes from k =-/2a to k =+/2a compared to /a in the monatomic lattice.

The profile of the acoustic branch is similar to that of the monatomic lattice, but the optical branch
represents a completely different form of wave motion. The difference between acoustical and optical branches
can be found at long wavelength, where contrary to the optical phonons, the two atoms in the unit cell move
opposite to each other; the one with the lighter mass possessing a greater amplitude. At the same long
wavelength part of the spectrum for acoustical phonons the displacement of both atoms has the same amplitude,
direction and phase.

1.5 Single phonon absorption

Single phonon Reststrahl absorption can occur in any material possessing an ionic character with an
alternating pattern of positive and negative ions. This fundamental one-phonon absorption process is associated
with the electrostatic motions of opposite charges which produce an oscillating electric field with which the
incident radiation can couple.

The wave vectors associated with this absorption only follow the longitudinal and transverse optical
branches of the phonon dispersion curves as there exists two or more atoms per unit cell. In diatomic ionic
crystals, when the interaction between the photon and phonon conserve the wave vector momentum, such that
k =2/ 0, the theory predicts the strongest absorption will be present, such that the crystal becomes totally
reflecting, between the transverse and longitudinal optical vibration frequencies at a resonant frequency that
corresponds to Equation 1-3,
max
/
= +
2
1 1
1 2
F
m M
(1-3)
where mand M are the masses of the two ions. If one ion is much heavier than the other, the smaller of the two
masses will determine the value of the bond strength (F). Therefore to achieve transparency to the longest
wavelength, requires both ions to be as heavy as possible.
_________________________________________________________________________________________
8

The behaviour of this type of absorption is most suitably described as a damped Lorentz classical
oscillator. This is based on the assumption that the material contains charged particles which are bound to
equilibrium positions by Hookes law forces (i.e. for a certain range of atomic stresses (vibrations), the strain
produced is proportional to the stress applied). If the magnitude of the force is assumed to be inversely
proportional to the square of the distance between the atoms (Coulombic), the resonant frequencies for materials
with different atomic masses can be predicted from empirical estimations of F. This general rule has been found
to be correct to within about 20% of the measured spectral position for a number of diatomic infrared crystals
[5]
.

In general, ionic crystals exhibit good transmission with constant refractive index and low absorption
coefficient up to the lattice absorption band (typically beyond 6m) at which point the single phonon produces a
heavily absorbing mode of vibration and subsequent strong reflection coefficient. The refractive index
undergoes a rapid change forcing the Fresnel reflection coefficient to become quiet high. The extinction
coefficient also rises rapidly. At wavelengths longer than the resonant Reststrahl frequency, the absorption
coefficient decreases, and the refractive index falls to a level slightly higher than on the short wavelength side
of the absorption band. The difference in refractive index is characteristic of this absorption mechanism in ionic
crystals. The long wavelength limit of transparency is therefore set by the Reststrahl frequency with the
absorption falling rapidly at higher frequencies. For most ionic materials more than one absorption peak is
present. Figure 1-7 shows the measured Reststrahl absorption peaks for a selection of ionic crystals.

As the temperature of the material is reduced, the Reststrahl frequency moves slightly towards shorter
wavelengths and the peak reflection increases. The refractive index however is unaffected, other than by the
characteristic change defined by the temperature-dependent dispersion coefficients.

1400.0 1300 1200 1100 1000 900 800 700 600 500 400 300 220.0
Wavenumber (cm-1)
R
e
f
l
e
c
t
i
o
n

Fused Silica
Sapphire
Magnesium Fluoride
Calcium Fluoride
Barium Fluoride

Figure 1-7 Measured reststrahl absorption peaks for various ionic crystals.

In homopolar crystals (Ge, Si) where there is an absence of polar electric field interactions, the atomic
motions are determined only by the local elastic restoring forces, and as such there is no single phonon
interactive coupling and the longitudinal vibration then equals the transverse vibration mode. Hence only weak
multi-phonon absorption harmonics are present.

1.6 Multi-phonon absorption

Multi-phonon absorption occurs when two or more phonons simultaneously interact to produce electric
dipole moments with which the incident radiation may couple. These dipoles can absorb energy from the
incident radiation, reaching a maximum coupling with the radiation when the frequency is equal to the
vibrational mode of the dipole in the far-infrared. The different vibration modes are complex, comprising
several different types of vibrations. There are two modes of vibrations of atoms in crystals, longitudinal and
_________________________________________________________________________________________
9
transverse. In the longitudinal mode the displacement of atoms from their positions of equilibrium coincides
with the propagation direction of the wave, for transverse modes, atoms move perpendicular to the propagation
of the wave.

Where there is only one atom per unit cell, the phonon dispersion curves are represented only by
acoustic branches. If there is more than one atom per unit cell both acoustic and optical branches appear. The
difference between acoustic and optical branches being the greater number of vibration modes available. In a
diatomic cell the acoustic branch is formed when both atoms move together in-phase, the optical branch being
formed by out-of-phase vibrations. Generally, for N atoms per unit cell there will be 3 acoustic branches (1
longitudinal and 2 transverse) and 3N-3 optical branches (N-1 longitudinal and 2N-2 transverse).

Compound semiconductors have two transverse optical modes (TO), two transverse acoustic modes
(TA), one longitudinal optical mode (LO), and a longitudinal acoustic mode (LA). The two transverse modes can
exhibit similar dispersion characteristics on the energy / wave vector diagrams. As phonon emission is
quantized, selectivity forbids certain combinations of phonon absorption modes, however the varied
combination of all the modes available produces a highly complex absorption structure. In single compound
(homopolar) covalently bonded semiconductors such as Silicon and Germanium where there is no bonding
dipole, the incident radiation induces a dipole moment with a stronger couple, producing more phonons (usually
<4) as illustrated for a measured Silicon substrate in Figure 1-8 and Table 1-1.
0
1
2
3
4
5
6
7
8
9
10
0 200 400 600 800 1000 1200 1400 1600
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
LO+TA
TO+TA
LO+LA
TO+LA
TO+LO 2TO+LO
3TO
2TO
2TO+LA
Data Source : FTIR Measurement

Figure 1-8 Measured far-infrared multi-phonon absorption profile of Silicon @ 293K

Table 1-1 Multi-phonon assignments in Silicon
[6]

Wavenumber (cm
-1
) Peak Energy (eV) Phonon Assignment
1448 0.1795 3TO
1378 0.1708 2TO+LO
1121 0.1614 2TO+LA
964 0.1195 2TO
896 0.1111 TO+LO
819 0.1015 TO+LA
740 0.0917 LO+LA
689 0.0756 TO+TA
610 0.0702 LO+TA

Where; TO =0.0598eV, LO =0.0513eV, LA =0.0414eV, TA =0.0158eV

Multi-phonon absorption also occurs in ionic crystals in a form similar to that in homopolar crystals.
Its strength is usually greater than in the homopolar case but is substantially weaker than one-phonon reststrahl
absorption.
_________________________________________________________________________________________
10

1.7 Dielectric Dispersion

The real part (n) of the complex refractive index (N=n-ik) of an infrared dielectric or semiconductor
material is not independent of the extinction coefficient (k) but was proved by Kronig
[7]
in 1926 to be related
through the Kramers-Kronig relationship to take the form;
( )
( ) ( )
n P
nk
d
2
2 2
0
1
2
2
'
'
'
' (1-4)
where P denotes the principal value integral and the angular frequency (2/). The absorptive term 2nk is
integrated over all frequencies () for which there is no absorption. Therefore in a material containing
absorption, any change in the value of n is controlled by the size of the absorption. At both short and long
infrared wavelengths the deviations from this relationship are associated mainly with k rather than n, therefore
the transmission tends to be affected more than the reflectivity. This relationship is characterised by the
generalised shape of the dispersion profiles for the various different infrared materials as illustrated in Fig. 1-9.

1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
0.0 2.0 4.0 6.0 8.0 10.0 12.0 14.0 16.0 18.0 20.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
Ge (F-1)
Si (F-2)
CdTe (F-3)
ZnSe (F-4)
ZnS (F-5)
Al2O3 (F-6)
BaF2 (F-7)
CaF2 (F-8)
Data sources referenced in Appendix F

Figure 1-9 Refractive index dispersion of several common infrared substrate materials at 300K

There are many different numerical methods for characterising the optical properties of infrared
materials in this interband region
[8]
. Each of which generally falls into one of four categories : (i) empirical
formula, (ii) harmonic-oscillator models, (iii) quantum-mechanical treatments and (iv) point-by-point analysis
of the Brillouin zone. Each of these methods possess certain advantages for particular materials but are often
constrained by limited wavelength ranges in their application.

(i) Optical properties determined from empirical formulas, such as the Sellmeier and Herzberger
equations for the refractive index and Urbachs rule for the absorption coefficient, are not directly related
through the Kramers-Kronig dispersion relationship between n and k. But as formulations derived through
curve fitting algorithms, they usually provide a good approximation of the dispersive material profiles but are
generally only valid across a narrow wavelength range.

(ii) The harmonic-oscillator models do not incorporate any optical energy band-gap (E
g
) function.
Therefore, the optical energy band gap cannot be determined from this approach and would then require the
additional use of many different curve fitting functions to describe n and k in this region.

_________________________________________________________________________________________
11
(iii) Quantum-mechanical treatments involve either a quantized electromagnetic photon interaction,
where an infinite lifetime for the excited electron state is assumed, or a non-quantized electromagnetic
interaction where finite lifetime assumptions are used. This type of approach provides optical constants that are
highly accurate but only over extremely small energy or wavelength ranges.

(iv) The point-by-point analysis of the Brillouin zone does not provide equations for the optical
constants in any algebraic form, but is derived from critical point analysis of observed peaks in the optical
spectra. Agreement with experimental results is often poor.

A similar behaviour pattern is found in the spectra of all dielectric and semiconductor materials,
namely a continuum of absorption at short wavelengths preceding an electronic absorption edge and succeeded
by the interband transparent region and subsequent lattice absorption. The transparent region is subject to
increasing absorption from charge carriers, if present, and is then itself interrupted by lattice resonances and
harmonics, each contributing to a significant change in the refractive index dispersion profile.

The effect of temperature change on the dielectric and semiconductor dispersion profiles generally
exhibits a linear displacement in the shape of the dispersion profile with decreasing refractive index as the
temperature is reduced. The refractive index declines towards long wavelengths due to the influence of lattice
absorption. When the material cools the amount of lattice absorption reduces, and the dispersion profiles at the
differing temperatures converge at long wavelength, where the high frequency lattice dielectric constant (
) is
a fixed valve for the material.

All materials exhibit this decline in refractive index with increasing wavelength in the loss free
interband region. The shape of the dispersion curve has been defined by the classical oscillator to which
Sellmeier, Herzberger and Lorentzian mathematical functions have been applied. Modified temperature-
dependent Sellmeier equations and polynomial regression coefficients have proved the most suitable curve
fitting algorithms for calculations of refractive index data for the group IV and II-VI materials as defined by
Equation 1-5. These have therefore been used to produce many of the dispersion models implemented in this
thesis.

( ) ( )
n A
B
C
D
E
= +
2
2
2
2
1 (1-5)
where the coefficients A-E are temperature-dependent.

In semiconductor and semi-insulator materials free electrons can also contribute to the dispersion
profile setting up an intense absorption edge at short wavelength, as the absorption increases with wavelength
due to free carriers. When carrier dispersion is superimposed on intrinsic material there is significant additional
decline of refractive index towards long wavelength dependent upon the carrier concentration
[9]
.

Generally, in dielectric materials, the low conductivity indicates that practically all the electronic
charges are bound to their parent atoms, and are therefore not free to migrate under the action of an applied
field
[10]
. The action of an applied radiation field (E) to the bound charges in the dielectric displaces them
relative to each other, the positive charges being displaced in the direction of the field, the negative charges in
the opposite direction. Each atom thus acquires an electric dipole moment parallel to, and in the same direction
as the applied field. This effect is the dielectric polarization with an electric polarization vector (P), and is
defined as the electric dipole moment per unit volume. P is generally proportional to E and related by equation;

P =
o
E (1-6)
where
o
is the permittivity of free space and is the real electric susceptibility constant for a given material at
a given frequency and temperature, and is independent of E. To describe the combined effects of the applied
field E and the electric polarization vector P the electric displacement is then added;

D =
o
E +P (1-7)
where for a vacuum: =0, P =0, giving the electric displacement as D =
o
E and for a real dielectric material
D = E, where is the real dielectric constant given by (1+ )
o
. The dielectric constant () is therefore
determined entirely by localised electrons bound to the lattice, the size of which is a function of the electron
polarizability.
_________________________________________________________________________________________
12

To summarise, dielectrics show strong periodic resonances that define the profile of the dispersion
curve, as represented in Figure 1-10 for characteristic dielectric dispersion, whereas semiconductors show only
weak multi-phonon harmonics. Semiconductors are dominated by the electronic absorption edge with carrier
absorption thereafter, whereas dielectrics have a considerably wider interband region and have no contribution
from these effects, and in semiconductors, dispersion due to free carriers can be considerable and additive to the
dispersion intrinsically present.

Figure 1-10 Dielectric dispersion at an absorption peak

1.8 Temperature-dependent effects

Obtaining detailed knowledge of the effects of temperature on the optical properties of infrared
substrate materials is an essential prerequisite for achieving an optimum filter design performance. The range of
material transparency, refractive index and amount of absorption can be highly temperature-dependent and
often used to considerable advantage if the effects are quantified. The advantages to infrared systems of using
cooled detectors are well known, with the signal-to-noise ratio being increased, photon detector sensitivity
being improved and the possible elimination of stray radiation from an instrument itself. Additionally if a source
being viewed through a radiometer is itself cold, progressively cooling the radiometer optics can also reduce
spurious signals. By modelling the effects of the temperature dependence on the dispersive spectrum of a
material, the filter performance on cooling can be simulated and compared.

Of the three physical processes that affect the intrinsic optical properties of an infrared material,
namely; electronic transitions, lattice vibrations and free-carrier absorption, the dominating absorption effect
depends on the material. However at all temperatures, all materials possess contributions to the complex
refractive index from electronic transitions. Additionally, semiconductors are influenced by free carrier effects
with the size of contribution being dependent on the carrier concentration. Dielectric insulators and
semiconductors additionally require characterisation of the lattice vibrations at reduced temperatures to define
the effect. In the transparent region of an infrared material, more subtle processes such as impurities, defects
and scattering are also important irrespective of temperature. Intrinsic Rayleigh scattering by the crystalline
structure is generally a weak effect, but extrinsic scattering by defects or grain boundaries can be of more
significant concern depending on the spectral region of interest. Neither of these scattering effects are discussed
in detail here, though they are of fundamental interest to the properties of the materials themselves, they are
dependent on the manufacturing process and are considered constant with temperature.

The temperature-dependent effects of the materials characterised in this thesis have been defined in
Section 1.9 for both the refractive index and long wavelength lattice absorption. The following Figures 1-11 to
_________________________________________________________________________________________
13
1-16 characterise the changes in refractive index (dn/dT) with temperature and illustrate calculated extinction
coefficients measured at reduced temperature for the five materials selected.
1.0E-06
5.1E-05
1.0E-04
1.5E-04
2.0E-04
2.5E-04
3.0E-04
3.5E-04
4.0E-04
4.5E-04
2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0 13.0 14.0 15.0 16.0 17.0 18.0
Wavelength (m)
T
e
m
p
e
r
a
t
u
r
e

C
o
e
f
f
i
c
i
e
n
t

(
d
n
/
d
T
)
Ge(F-1)
Si (F-9)
ZnSe(F-9)
ZnS (F-10)
CdTe (F-11)
Data sources referenced in Appendix F

Figure 1-11 Temperature-index coefficient (dn/dT) for various infrared substrate materials

1E-05
1E-04
1E-03
1E-02
250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
50K
300K

Figure 1-12 Calculated extinction coefficient (k) profile from measured multi-phonon absorption spectra of
Germanium (Ge) at 300 and 50K
_________________________________________________________________________________________
14
1E-06
1E-05
1E-04
1E-03
1E-02
250 350 450 550 650 750 850 950 1050 1150 1250 1350 1450 1550
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
50K
300K

Figure 1-13 Calculated extinction coefficient (k) profile from measured multi-phonon absorption spectra of Cz
Silicon (Si) at 300 and 50K

1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
250 300 350 400 450 500 550 600 650 700
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
50K
300K

Zinc Selenide (ZnSe) at 300 and 50K

_________________________________________________________________________________________
15
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
50K
300K

Zinc Sulphide (ZnS) at 300 and 50K

1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
250 300 350 400 450 500
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
50K
300K

Figure 1-16 Calculated extinction coefficient (k) profile from measured multi-phonon absorption
spectra of Cadmium Telluride (CdTe) at 300 and 50K

1.8.1 Thermal vibrations

The concepts of temperature and thermal equilibrium associated with crystal solids are based on
individual atoms in the system possessing vibrational motion. The classical theory of thermal energy by atomic
vibrations, though providing suitable explanations at elevated temperatures, has proved unsatisfactory at
reduced or cryogenic temperatures. Quantum mechanics has subsequently provided theories based upon
statistical probability that have provided possible mechanisms to explain some of the observed phenomena. A
system of vibrating atoms in a crystal is highly complicated, and beyond the realm of any realisable theoretical
method of analysis or calculations to verify spectral measurements from the total thermal energy of a crystalline
_________________________________________________________________________________________
16
substrate. However, there are general rules for atomic lattice structures in thermal equilibrium which give a
relative probability of particles in the crystal having different energies.

For a system of distinguishable particles, the probability statistics of the energy of the system are
described by the Maxwell-Boltzmann general equation
f
MB
=A exp(-E/kT). If particles are indistinguishable they are divided into two types;
(i) electrons, which are subject to the Pauli exclusion principal and obey Fermi-Dirac statistics f
FD
=[exp{(E-
E
F
)/kT}+1]
-1
, where E
F
is the Fermi-energy.
(ii) photons and phonons which are defined by Bose-Einstein statistics
f
BE
=[exp{(E-)/kT}-1]
-1
, where is a normalising constant, adjusted so the total probability is equal to unity
when each function is summed over all the energy states available.

When a particle is bound to a crystal, the energy can only have discrete values as defined by the energy
band structure. The quantum-mechanics of a one-dimensional simple harmonic oscillator gives permitted
energies of (n+) h where is the angular frequency and n is the permitted energy integer. At a position of
minimum energy (0K) the energy can never be zero, but has energy of h (zero-point energy) and as such
will still provide crystal vibration.

As an atom can vibrate independently in three dimensions it is equivalent to three separate oscillators.
The total thermal energy for N atoms will then be 3NkT, ignoring the h term, the specific heat required to
change the temperature by one degree will then be 3Nk where the specific heat of a solid for a given number of
atoms is independent of temperature if N is the Avagadro number (6.02x10
23
). A detailed calculation of this
form would require a knowledge of the number of atoms vibrating with frequencies
1
...
n
, which would
depend on the density of states, and integration over the whole range of atomic vibrational frequencies would be
required.

The thermal vibrations in a solid produce atomic displacements, which in a three dimensional lattice
can be resolved into different states of polarization such that vibrations parallel to the wave vector are
longitudinal waves and the two directions at right angles to the wave vector are transverse waves. As the rules
of quantum mechanics apply to all the different atomic vibrations in the crystal, the lattice pulsates as a
complete assembly in discrete energy steps of h (phonons). The phonon is related to both the frequency of
vibration and the temperature. If the temperature is raised, the amplitude of atomic vibration increases, and in
quantum terms this is considered as an increase in the number of phonons in the system.

The concept of the phonon is therefore considered as the quantum of lattice vibrational energy onto
which is superimposed a complex pattern of standing and/or travelling waves that represent changes in
temperature. If the crystal is at a uniform temperature the standing wave concept is adequate as the phonon
vibrations are uniformly distributed.

1.8.2 Thermal expansion

During the temperature change between the elevated thermal conditions during filter deposition and
the practical application of a filter operating at cryogenic temperatures, the infrared substrate is subjected to a
wide range of thermal and mechanical stresses. The linear thermal expansion coefficient is therefore an
important parameter in the selection of the most suitable substrate material for a particular application as it will
determine the amount of stress in a coating caused by dimensional changes and heat flow during the thermal
cycling process.

When a substrate is cooled, the reduction in thermal energy causes a decrease in the vibrational
amplitudes of the individual atoms. The average separation between atoms therefore decreases and the substrate
contracts. This process is described by the coefficient of linear expansion (), defined in the case of a circular
substrate as the ratio of change in diameter () per degree to the diameter of the substrate (). The
temperature-dependence on this value is obviously crucial where wide temperature range excursions are
anticipated.

Browder et al
[11]
investigated the coefficients of linear thermal expansion by interferometric
measurement for Chemical Vapour Deposition (CVD) infrared materials ZnS & ZnSe, together with both single
crystal and polycrystalline Ge across a temperature range of 300-80K. Interpolated data from these results, as
_________________________________________________________________________________________
17
illustrated in Figure 1-17, show germanium to possess a low thermal expansion, with characteristics similar to
ZnS. These results showed no appreciable difference between single and polycrystalline germanium.

0
1
2
3
4
5
6
7
8
50 75 100 125 150 175 200 225 250 275 300
Temperature (K)
T
h
e
r
m
a
l

E
x
p
a
n
s
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
0
-
6
/
K
)
ZnSe
ZnS
Ge
Data Source : Appendix F-12

Figure 1-17 Temperature-dependent thermal expansion coefficients of Ge, ZnS and ZnSe

1.9 I nfrared material properties

There are many high quality crystalline substrate materials that now exist for optical filtering that
possess good transparent properties over a wide range of infrared wavelengths. From the numerous materials
available, the five materials selected as suitable candidates of typical filter substrates have been employed in
various infrared radiometer instruments for which the optical properties are described in this section. Figures 1-
18 and 1-19 show the measured spectral profiles for each of these materials from which the relative
transparency bandwidths and long wavelength absorption characteristics can be seen.

0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
ZnS ZnSe CdTe
Si Ge

Figure 1-18 Measured transmission profiles of Ge, Si, ZnS, ZnSe & CdTe bulk substrate materials
showing comparative transparency widths.

_________________________________________________________________________________________
18
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 200 400 600 800 1000 1200 1400 1600 1800 2000
ZnS ZnSe CdTe
Si
Ge

Figure 1-19 Measured long wavelength lattice absorption profiles of Ge, Si, ZnS, ZnSe & CdTe
bulk substrate materials (5-300m)

The bulk properties of a given substrate material can vary considerably depending on the impurity
levels, precise composition, state of internal strain, and variations in the manufacturing process, affecting
homogeneity. The following materials characterisation in sections 1.9.1 to 1.9.5 provides a indication of the
predicted performance to be expected from generic properties of these materials for the various thicknesses and
operating temperatures most frequently used in filtering applications.

1.9.1 Germanium

Germanium has proved to be the most useful semiconductor substrate for applications as a window or
lens material in the 1.6 - 18m region. Having the highest refractive index (n 4.0) of any of the infrared bulk
transmitting substrate materials and low dispersion properties across a wide range of temperatures avoids
chromatic aberration in many applications. This combination of high refractive index and low dispersion also
means imaging by a single Ge lens with low f-number is easily achievable. Its surface hardness and robust
mechanical strength also aid applications where ruggedness is a requirement. It is also non-hydroscopic, non-
toxic and possesses good thermal conductivity.

The principal region of transparency extends from 1.8-18m at 300K extending to 1.5-18m at
50K. The short wavelength cut-off corresponds to an energy gap between 0.68eV at 300K to 0.83eV at 50K and
a transmission level of approximately 47% from a refractive index of 4.0. The long wavelength multi-phonon
absorption profiles for a predicted low resistivity (4-20cm) substrate, calculated from a 1.3mm reference
measurement, are shown in Figure 1-20 for calculated substrate thicknesses 1.0-3.5mm at 293K.

_________________________________________________________________________________________
19
0.00
0.10
0.20
0.30
0.40
0.50
0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000 5500 6000 6500
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50
DataSource: FTIR Measurement

Figure 1-20 Calculated transmission profiles of Germanium (Ge) at 293K for substrate thicknesses
between 1.0-3.5 mm

1.9.1.1 Germanium absorption

Both germanium and silicon have a diamond type structure, where each atom is surrounded by four
adjacent atoms occupying the corner points of a tetrahedron, to which it is bound by covalently bonded electron
paired bonds. The diamond structure is considered as two interpenetrating face-centred-cubic lattices, in which
one lattice is displaced from the other by one quarter of the main body diagonal. The vibration modes
experienced from this arrangement consist of the displacement of one sub-lattice with respect to the other,
giving rise to displacements and therefore polarizations that are exactly opposite and 180 out of phase
producing no resultant polarization and hence no coupling mechanism to the incident radiation. This is the
principal reason no Reststrahl type absorption occurs in the Group IV elements, particularly as there is no dipole
moment (homopolar) to couple with the incident radiation. However, since there are two atoms per unit cell,
there are still optical and acoustic branches of the phonon dispersion curves to generate the multi-phonon
absorption.

The multi-phonon absorption profile in germanium is complex, consisting of several types of phonon
vibrations, primarily due to the transfer of energy from low energy photons to free carriers, this is accompanied
by the transfer of momentum between free carriers and phonons in the crystalline lattice. For the absorption to
occur, these processes must coincide jointly to retain the conservation of energy and momentum. The
mechanism for the two phonon absorption is that one of the vibrational modes induces a charge on the atoms
and a second mode simultaneously causes a vibration of the induced charge producing a second order electric
moment and coupling to the incident radiation. This electric moment will occur at a sum or difference in
frequency of the two phonons, giving discrete absorption bands at these frequencies.

Detailed phonon vibration modes of germanium are scarcely reported in any of the reference literature
sources available. S.D. Smith et al
[12]
investigated phonon absorption by neutron irradiating material from
which electrons showed no induced vibrational absorption, with radiation of 5x10
18
, 2 MeV electrons, whilst
another sample showed such a high background absorption that no adequate measurements could be made.
Figure 1-21 shows the predicted multi-phonon absorption profiles calculated for 0.5mm thick germanium across
the 300-50K temperature range (10-40m).
_________________________________________________________________________________________
20
0.00
0.10
0.20
0.30
0.40
0.50
250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
50
100
150
200
250
300
DataSource: FTIR Measurement

Figure 1-21 Calculated multiphonon absorption profiles of 0.5 mm thick Germanium (Ge) for 300-50K
temperature range
1.9.1.2 Germanium dispersion

Accurate dispersive refractive index data has been extensively investigated over a number of years. In
1976, Icenogle et al
[13]
reported refractive index values for a discrete series of four temperatures between 297K
and 94K and wavelengths between 2.5 and 13m. Barnes and Piltch
[14]
utilised this data to derive a fitted
temperature-dependent modified Sellmeier equation (1-8) and published the following values for the
coefficients in 1979
( ) ( )
n A
B
C
D
E
2
2
2
2
2
= +
(1-8)

where; A =-6.040 x 10
-3
T +11.05128, B = 9.295 x 10
-3
T +4.00536, C =-5.392 x 10
-4
T +0.599034
D = 4.151 x 10
-4
T +0.09145 and E =1.51408 T +3426.5

Calculations from this equation has been evaluated
[15]
from which accurate values for high-grade
optical quality germanium are within 0.025% or better, over the 2.5-14m range, and are considered sufficiently
accurate to extrapolate to 40m, as illustrated in Figure 1-22 and tabulated in Appendix A. Interpolation of this
equation has been extensively used in the calculation spreadsheet models to predict the performance of filter
profiles as described in Chapter 2. From this model, the refractive index varies over the temperature range of
250K by approximately 45ppm/K from a mean temperature coefficient (dn/dT) of +4.1x10
-4
K
-1
between 2-
20m.
_________________________________________________________________________________________
21
3.85
3.90
3.95
4.00
4.05
4.10
4.15
0.0 5.0 10.0 15.0 20.0 25.0 30.0 35.0 40.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

( n
)
300
250
200
150
100
50
300K
50K
Data Source: Appendix F-1

Figure 1-22 Temperature-dependent refractive index dispersion profiles for Germanium (Ge) between 300-50K

1.9.1.3 Germanium resistivity

Absorption of n-type single crystal material was originally found by Capron and Brill
[16]
, in 1973, to
be superior to that of p-type germanium from ninety two samples investigated with resistivities ranging from
0.9cm to 57cm. They also found that the absorption increased with increasing temperature. The maximum
transmittance derived from this experiment, at 300K and 10.6m, was for samples doped with antimony to a
resistivity of 5-10cm with n-type conductivity producing an absorption coefficient of 0.02cm
-1
. This agreed
well with similar measurements by Horrigan et al
[17]
for n-type single crystal Ge with impurity concentrations
less than 10
13
cm
-3
using a CO
2
laser.

Further studies by Osmer et al
[18]
in 1989 found antimony doping can improve the high temperature
transmission of Ge, between 70-120C at the expense of degraded room temperature performance across the 8-
12m region. Thornton
[19]
conducted experiments on low resistivity (0.85-3.8cm) germanium between 7-
20m across the 70-150C range of temperatures from which the interpolated data in Figure 1-23 averaged
over the 8-11m waveband were derived.
0.5
2.0
3.5
30
70
90
105
130
150
0
5
10
15
20
25
30
35
40
45
50
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
Resistivity
Temperature (C)
45-50
40-45
35-40
30-35
25-30
20-25
15-20
10-15
5-10
0-5

Figure 1-23 Temperature profile of single crystal n-type Germanium vs transmission and resistivity

_________________________________________________________________________________________
22
Free carrier (electron and hole) absorption can occur throughout the transparent region of the infrared
spectrum in addition to the intrinsic absorption processes created by doping to produce n-type or p-type
material. Holes in germanium absorb more energy than electrons, creating greater absorption. For intrinsically
neutral Ge, the number of holes times the number of electrons is a constant. Reducing the number of holes to
produce lower resitivity material is performed by increasing the number of electrons by the addition of group V
donor atoms. However, excessive addition leads to higher electron concentration and subsequent increased
absorption. Therefore, achieving high quality optical germanium is a compromise between dopant levels and
intrinsic hole concentration. Germanium is not usually used at high temperatures because of the excessive
absorption caused by the increased number of thermally generated holes. However, doping to lower n-type
resistivities can make it useful at temperatures as high as 80C.

1.9.2 Silicon

During the past few decades, silicon has been developed to be the worlds most widely produced
semiconductor material, and as such is the most readily available for use in infrared systems, producing
consistently high purity and sufficiently large quantities and dimensions to suit most applications. Investigations
on the general optical properties of the material have been extensively reported over many years. Its refractive
index and low dispersion properties are nearly as favourable as germanium. However, unlike germanium, no
correlation between resistivity and transmissivity appears to exist, limiting the user to define optical grade
material as the only procurement specification requirement available. Silicon is a robust, high melting point
(1420C) material that can be finished by ordinary glass working processes. On crystallisation it forms a
diamond lattice structure that exists in either single or polycrystalline form.

Two different methods of ingot production are used to obtain a high quality monocrystalline Si
substrate material: the Czochralski (Cz) crystal pulling technique, where a seeded crystal is pulled from the melt
in a silica crucible and permitted to grow in a mechanically unconstrained environment, permitting precise
control of the crystal orientation and shape (standard grade), and the Float Zone (Fz) refining technique
(premium hyperpure grade), where a seeded molten zone is supported by surface tension between two vertical
cylindrical rods of the material and passed through a heated crucible, re-orientating and refining the crystal
through its travel. The most noticeable optical difference between the two grades is the presence of a
significantly more pronounced absorption band at approximately 9m (1110 cm
-1
) in Cz material, and a reduced
absorption profile in premium hyperpure grade (Fz) material beyond 20m, following the multi-phonon
absorption region, where the material exhibits a nearly complete transparency recovery.

The transmittance of premium hyperpure grade (Fz) material is shown in Figure 1-24 The
transmittance spectrum is free from major absorption from the electronic edge at 1.2m up to about 6.5m
where the multi-phonon absorption commences.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50

Figure 1-24 Calculated transmission profiles of hyperpure Silicon (Si) at 293K for substrate thicknesses
between 1.0-3.5 mm

_________________________________________________________________________________________
23
1.9.2.1 Silicon absorption.

The intrinsic multi-phonon absorption properties of silicon, shown in Figure 1-25, show the predicted
effects of temperature between 300K and 50K for two different thickness of substrate (0.5 & 3mm). Various
interrelated factors determine the highly complex spectral structure of both silicon and germanium, comparative
even to partially ionic II-VI semiconductors such as ZnS, ZnSe and CdTe where multi-phonon absorption is
also present. The multi-phonon absorption profile exhibits a number of well-separated highly resonant
absorption peaks in contrast to the fewer broader peaks exhibited by the II-VI materials. Additionally, because
of the small anharmonic (non-linear propagation) broadening of the different vibration modes, many of the
individual phonon absorption features in the spectrum remain distinct. More than twenty five different two and
three phonon modes of vibration have been measured and reported
[20]
in silicon for this wavelength range
involving all combinations of the two TO modes, two TA modes, LO mode and LA mode.

0.00
0.10
0.20
0.30
0.40
0.50
0.60
250 350 450 550 650 750 850 950 1050 1150 1250 1350 1450 1550
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0.5mm-50K
0.5mm-100K
0.5mm-150K
0.5mm-200K
0.5mm-250K
0.5mm-300K
4mm-50K
4mm-100K
4mm-150K
4mm-200K
4mm-250K
4mm-300K
0.5mm
4.0mm
Data Source: FTIR Measurement

Figure 1-25 Calculated multiphonon absorption profiles of standard optical Cz grade Si for thicknesses of
0.5 and 4.0 mm between 300-50K

1.9.2.2 Silicon dispersion

The refractive index of the transparent region of silicon has been reported by a number of investigators
[21-24]
using a variety of techniques. Each of these reports has found variations in accuracy such that no coherent
set of temperature dependent dispersion profiles have emerged even though high purity optical quality single
crystal material was used. This can be seen for various temperatures for material from differing sources in
Figure 1-26. Consequently, the refractive index data derived for a temperature-dependent predictive dispersion
model is the result of selective data across different wavelength regions.
_________________________________________________________________________________________
24
3.38
3.40
3.42
3.44
3.46
3.48
3.50
3.52
1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
343K
104K
293K
Data Sources : Appendix F-2, F-9, F-10, F-13, F-14, F-15

Figure 1-26 Incomplete refractive index data of Silicon between 343 and 104K

The dispersion equation (1-9) producing the best fit to this disparate data set for ambient room
temperature (293K) was derived by Edwards et al
[23]
(thick line) with the following modified Sellmeier
expression.
( )
n
A B
2
2
1
2
2
1
2
= + +

(1-9)

where
1
=1.1071m, =1.16858x10
1
, A =9.39816 x 10
-1
and B =8.10461 x 10
-3
.

From refractive index measurements at cryogenic temperatures published by Wolfe et al
[25]
, the
temperature variation of the dispersion profiles were highly non-linear, providing spurious analysis results.
However, the effects of temperature on the refractive index profile of silicon had been further investigated
across a narrower temperature range (243-343K) by Barron
[26]
using a Buchdahl refractive index polynomial.
Using this narrow wavelength range data, I was able to determine a temperature-dependant polynomial
regression from which the refractive index profile illustrated in Figure 1-27 could be interpolated and
extrapolated to provide the refractive index data required for the predicted model between 0.2-12m. Beyond
this wavelength, where there is a high degree of absorption, a constant value from the appropriate temperature
profile was used, as shown in Figure 1-27.

n = A +B + C
2
+D
3
+E
4
(1-10)

where A = 1.600x10
-4
T +3.431, B = - 2.643x10
-2
, C = 4.324x10
-3
,
D = - 3.194x10
-4
, & E = 8.835x10
-6

_________________________________________________________________________________________
25
3.36
3.38
3.40
3.42
3.44
3.46
3.48
0.0 2.0 4.0 6.0 8.0 10.0 12.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

( n
)
50
100
150
200
250
300
300K
50K

Figure 1-27 Temperature-dependent refractive index dispersion profile for Silicon (Si)

1.9.3 Zinc Selenide

Zinc selenide is a clear yellow polycrystalline material with a grain size of approximately 70m,
transmitting in the range 0.5-15m. It is essentially free of extrinsic impurity absorptions, providing extremely
low bulk losses from scatter. The main identifiable extrinsic bulk absorption is zinc hydride, whose free
diatomic molecule has a vibrational mode at 1608cm
-1
. Having a very low absorption of energy makes it useful
for optical components in high power laser window and multispectral applications, providing good imaging
characteristics. ZnSe is also useful in high resolution thermal imaging systems, where it is used to correct for
colour distortion which is often inherent in other lenses used in the system.

The predicted substrate transmittance spectra of II-VI CVD ZnSe shown in Figure 1-28, for substrate
thicknesses between 2.0-4.5mm, has an observed electronic absorption edge at approximately 0.476m (
2.6eV) at 300K and far infrared multi-phonon absorption edge commencing at approximately 22.2m

0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 2500 5000 7500 10000 12500 15000 17500 20000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50

Figure 1-28 Calculated transmission profiles of Zinc Selenide (ZnSe) at 293K for thicknesses
between 2.0 and 4.5 mm

_________________________________________________________________________________________
26
1.9.3.1 ZnSe absorption

The multi-phonon lattice absorption of ZnSe has been extensively investigated since the first
transmission and reflection measurements were made by Aven et al
[27]
on cubic ZnSe in 1961. Since neutron-
scattering and Raman-scattering have become available in the early 1970s, as has the increased availability of
CVD ZnSe, investigations of ZnSe has demonstrated that in the three and four-phonon regions, ZnSe exhibits a
characteristic structure consistent with predicted calculations by Bendow et al
[28]
. Figure 1-29, shows a
predicted far-infrared transmission profile calculated for a thin specimen of CVD ZnSe (t =0.5mm) material at
temperatures ranging from 50-250K in the two-phonon region. Eight features have been identified to
correspond with lattice absorption from published Raman spectroscopy characteristics
[29-31]
defined in Table 2.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
300 320 340 360 380 400 420 440 460 480 500
Wavenumber (1/cm)
50
100
150
200
250
1
2 3
4 5
6 7
8

Figure 1-29 Transmittance of calculated 0.5 mm thick CVD ZnSe in the 2-phonon absorption region for a
temperature range 50-250K

Table 2 2-Phonon absorption assignments for CVD ZnSe
Feature Absorption Assignment Position (cm
-1
)
1 2A 300
2 O+A 329
3 2LA 362
4 2LA 380
5 TO+LA 401
6 2TO 412
7 LO+TO 430
8 2LO 448

Where features 1 and 2 are attributed to acoustic and optical+acoustic assignments due to unknown transverse
or longitudinal modes.

Characterisation involving three phonon absorption has required the use of thick specimens to provide
adequate absorption profiles. Figure 1-30 shows a predicted far-infrared transmission profile calculated for a
thick specimen of CVD ZnSe, (t =3mm) material at temperatures ranging from 50-250K in the three-phonon
region. Twelve features have been identified in this region to correspond with lattice absorption from the
published Raman spectroscopy characteristics
[29-31]
as defined in Table 3.

_________________________________________________________________________________________
27
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
450 470 490 510 530 550 570 590 610 630 650 670
Wavenumber (1/cm)
50
100
150
200
250
9 10 11 12
13
14 15 16 17 18
19 20

Figure 1-30 Transmittance of calculated 3 mm thick CVD ZnSe in 3-phonon absorption region for a
temperature range 50-250K

Table 3 3-Phonon absorption assignments for CVD ZnSe
Feature Absorption Assignment Position (cm
-1
)
9 TO+2LA 466
10 2TO+TA 473
11 LO+2LA 484
12 LO+TO+TA 491
13 2LO+TA 509
14 2TO+LA 539
15 LO+TO+LA 557
16 2LO+LA 575
17 3TO 612
18 LO+2TO 630
19 2LO+TO 648
20 3LO 666

Detailed characteristics of the temperature dependence of multi-phonon absorption in ZnSe has further
been investigated by Miles
[32]
where the bulk and surface absorption coefficients were measured by 10.6m
laser calorimetry between 20-300C. Temperature variations of certain transverse and optical mode vibration
frequencies were derived across this range to be approximately 10cm
-1
/C. This effect can be observed from the
long wavelength shifts illustrated in Figure 1-29 between the 50-250K predicted calculations.

1.9.3.2 Zinc Selenide dispersion

At wavelengths between the visible and infrared regions, ZnSe behaves as a dielectric material, with a
refractive index decreasing with increasing wavelength. The mean value of n being approximately 2.4 at 300K.
Over this same region, the extinction coefficient k is very small (<10
-5
), providing uniformly high transmission.
As a result of these characteristics, ZnSe has been used extensively for optical components and windows.
Marple
[33]
derived the following Sellmeier type dispersion equation (1-11) at 300K with a claimed experimental
error of 0.002 ;

n= +
40
190
0113
2
2
.
.
.
(1-11 )

The effects of temperature on this refractive index profile was investigated across a narrow
temperature range (243-343K) by Barron
[34]
using a Buchdahl refractive index polynomial. From this limited
_________________________________________________________________________________________
28
data set, I could derive a temperature-dependant polynomial regression, in Equation 1-12, from which the
refractive index profile illustrated in Figure 1-31 was interpolated and extrapolated to provide the refractive
index data required for the predicted model for this material.

n = A +B + C
2
+D
3
(1-12 )

where; A = 1.509x10
-4
T +2.407, B = -1.801x10
-5
T - 2.564x10
-4

C = 1.300x10
-6
T - 1.308x10
-5
, D =-3.878x10
-8
T - 1.480x10
-5

2.30
2.32
2.34
2.36
2.38
2.40
2.42
2.44
2.46
2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0 13.0 14.0 15.0 16.0 17.0 18.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
50
100
150
200
250
300
300K
50K
DataSource: Appendix F-9

Figure 1-31 Temperature-dependent refractive index dispersion profile for CVD Zinc Selenide (ZnSe)

1.9.4 Zinc Sulphide

Zinc Sulphide (ZnS) exists both in a natural and synthetic crystalline form possessing cubic (Zinc
blende) or hexagonal (Wurtzite) lattice structures. Substantial amounts of impurity, principally iron, are usually
found in the composition of natural ZnS minerals that affect the physical and optical properties, preventing
reproducible characterisation. A variety of techniques have been developed to obtain synthetic ZnS in large,
high purity crystals, including evaporation, sublimation, high pressure growth from molten ZnS, and sintered
hot-pressed polycrystalline ZnS (IRTRAN 2). For the purposes of this study, optical characterisation was
performed on CVD ZnS (Cleartran
) material. This is chemically formed under low pressure, high temperature

conditions through a reaction furnace to produce traditional ZnS which is then post deposition treated to
improve scatter and homogeneity properties, by removal of zinc hydrides from the material.

The transmittance of ZnS is shown in Figure 1-32, between 0.33 and 250m at 293K for substrate
thicknesses between 2-4.5mm. The electronic absorption edge at approximately 0.33m corresponds to an
energy band gap of 3.7eV, and a transparency region until approximately 10m where multi-phonon absorption
dominates. The short wavelength roll off is attributed to the combination of intrinsic Rayleigh scattering of
microcrystals in its structure, and a significant contribution of extrinsic scattering caused by Zn-H (zinc
hydride) impurity absorption and sulphur vacancies incorporated during the vapour growth process, as proposed
by Lewis et al
[35]
.

_________________________________________________________________________________________
29
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50

Figure 1-32 Calculated Transmission profiles of ZnS at 293K for thicknesses between 2.0-4.5 mm

1.9.4.1 Zinc Sulphide absorption

A number of investigations have been performed on the multi-phonon lattice absorption spectra of
ZnS. However, it was not until 1980 when consistent thick samples of CVD polycrystalline ZnS became
commercially available that definitive measurements of the two and three phonon regions could be made
[36]
.
Klein and Donadio performed critical point analysis of two-phonon absorption modes from which the following
features were identified. These are illustrated in Figure 1-33 for a predicted 1mm thick ZnS substrate in the
temperature range 300-50K.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
500 550 600 650 700 750 800
Wavenumber (1/cm)
50
100
150
200
250
300
1
1
2 3 4
5
6 7
8 9 10
11

Figure 1-33 Calculated transmittance of 1.0 mm thick ZnS in 2-phonon absorption region for a
temperature range of 50-300K

Table 3 2-Phonon absorption assignments for CVD ZnS
Feature Phonon Assignment Position (cm
-1
)
1 LO+LA 526
2 TO+LA 530
3 LO+LA 544
4 2TO 596
5 2O 602
_________________________________________________________________________________________
30
6 2O 612
7 2TO 636
8 LO+TO 650
9 2O 662
10 2LO 668
11 2LO 704

Features 5, 6 and 9 are attributed to optical assignments due to unknown transverse or longitudinal modes.

1.9.4.2 Zinc Sulphide Dispersion

Feldman
[37]
measured the refractive index of ZnS at 293K from which the following polynomial
regression coefficients could be fitted across the wavelength range from 1-18m :

n =2.29819 - 1.798x10
-2
+2.19x10
-3
2
-1.614x10
-4
3
+2.538x10
-6
4
(1-13)

The effects of temperature across the range 243-343K had been reported by Barron
[38]
across the 3-
5m and 7-12m bands, from which I could determine the following temperature-dependent polynomial
regression as illustrated in Figure 1-34.

n =A +B +C
2
+D
3
+E
4
(1- 14)
where ; A = 5.608x10
-5
T +2.282, B =-8.671x10
-6
T - 1.563x10
-2

C =5.549x10
-7
T +2.067x10
-3
, D =2.597x10
-8
T - 1.714x10
-4

E =-9.798x10
-10
T +2.884x10
-6

1.90
1.95
2.00
2.05
2.10
2.15
2.20
2.25
2.30
0.0 2.0 4.0 6.0 8.0 10.0 12.0 14.0 16.0 18.0 20.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
50
100
150
200
250
300
50K
300K

Figure 1-34 Temperature-dependent refractive index dispersion profile of Zinc Sulphide (300-50K)

This dispersion model was compared to measured values obtained by Wolfe et al
[39]
at 295.9 and
84.9K from which a mean variation in refractive index over the 2-14m range averaged 0.02% representing
only a 5x10
-4
difference in refractive index. This is in good agreement with the experimental data and is
subsequently used for the ZnS material predictive performance model.

1.9.5 Cadmium Telluride

Of the long wavelength (>18m) transparent II-IV materials available, cadmium telluride has proven
to provide good optical performance across a wide range of temperatures and has provided adequate mechanical
robustness to be used as a substrate material
[40]
. Compared to the limited selection of alternative materials
capable of transmitting in these long wavelengths (viz. KRS-5, KRS-6, CsI, CsBr, Diamond) CdTe has a high
resistance to moisture sensitivity, is available at a reasonable price and can operate at elevated filter deposition
temperatures without disassociating. It is however also the softest of the II-VI materials and is most easily
scratched or prone to cleaving. Its external transmittance spectrum is shown in Figure 1-35. The external
_________________________________________________________________________________________
31
transmittance spectrum has an electronic absorption edge at approximately 0.83m which corresponds to an
energy band gap of 1.49eV at 293K, and a far-infrared multi-phonon absorption edge commencing at
approximately 27m. The multi-phonon absorption spectrum for CVD CdTe (20-40m) is shown in Figure 1-
36 for a predicted 3mm thick substrate for the temperature range 300K - 50K.

0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 2000 4000 6000 8000 10000 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Data Source: FTIR Measurement

Figure 1-35 Calculated transmission profiles of Cadmium Telluride (CdTe) at 293K for thicknesses
between 2.0-4.5 mm

0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
250 300 350 400 450 500
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
50
100
150
200
250
300

Figure 1-36 Calculated transmittance of multi-phonon absorption profiles for 3.0 mm thick CdTe (300-50K)

1.9.5.1 Cadmium Telluride dispersion

Marple et al
[41]
originally measured the refractive index at 300K from a prism of melt-grown material
with polished surfaces in 1962 from which the following modified Sellmeier equation (1-15) was derived;

n A
B
C
= +
2
2 2
(1-15)
where A =5.68, B=1.53, and C
2
=0.366

For CVD material, in 1966 Ladd
[42]
was able to fit a modified Sellmeier equation of the following form
and established a temperature coefficient of 1.0x10
-4
/K

_________________________________________________________________________________________
32
n
2
-1 = A
1
2
/(
2
-
2
1
) + A
2
2
/(
2
-
2
2
) (1-16)

with A
1
=6.1977889, A
2
=3.2243821,
2
1
=0.1005326m
2
, and
2
2
=5279.518m
2
.

Subsequent measurements of CVD CdTe by Harvey and Wolfe
[43]
across a range of reduced
temperatures (80-300K) provided adequate data for Barnes et al
[44]
to fit a temperature-dependant Sellmeier
dispersion equation (1-17) of the form ;

( ) ( )
n A
B
C
D
E
= +
2
2
2
2
(1-17)
where ; A =-2.973x10
-4
T +3.8466, B = 8.057x10
-4
T +3.2215
C =-1.10x10
-4
T +0.1866, D =-2.160x10
-2
T +12.718
E =-3.160x10
1
T +18753

The temperature-dependence of this model were derived in both linear form and using a quadratic
polynomial. The temperature deviation from a straight line fit to the quadratic however resulted in a greater
deviation in the quadratic than the experimental evidence suggested. This temperature dependant model as
illustrated in Figure 1-37 has now been used to provide the dispersive index characteristics for the predicted
performance calculations for this material.
2.60
2.62
2.64
2.66
2.68
2.70
2.72
2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0 13.0 14.0 15.0 16.0 17.0 18.0 19.0 20.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
300
250
200
150
100
50
50K
300K
Data Source: Appendix F-11

Figure 1-37 Temperature-dependent refractive index dispersion profile of Cadmium Telluride (300-50K)

1.10 Conclusion

As a result of the research for this chapter, I have been able to bring together a wide range of disparate
information sources to define the real part of the complex refractive index for the infrared materials selected.
This has produced a concise set of temperature-dependent dispersive index models which can now be applied to
the spectral measurements obtained from real substrate materials to determine their absorption properties and
thus quantify their complex refractive index. This process has required extensive interpolation of the refractive
index models to achieve the data point resolution and accuracy required to correspond with the measurements.
This was performed using polynomial curve fitting algorithms in Microcal ORIGIN
software through which

interpolations were calculated for both wavelength and temperature.
Dr. Gary J. Hawkins PhD Thesis (#R7935) - University of Reading, UK December 1998
_________________________________________________________________________________________
33
CHAPTER 2
PREDICTIVE BULK SUBSTRATE CHARACTERISATION
2.0 Introduction
The bulk optical properties of a crystalline substrate material are represented by the complex refractive
index as a function of wavelength and temperature. Materials for the visible spectrum change comparatively little
with temperature or wavelength. However, in the infrared every material is strongly influenced by the effects of
lattice absorption and dispersion, with additional effects caused by pronounced changes with temperature. The
use of predictive modelling of these properties can therefore be of considerable benefit in understanding the
limitations, or advantages, in the filter performance, which can be achieved from knowledge of the materials
prior to the multilayer design.
Modelling of these properties firstly requires the construction of a database for refractive index and
extinction coefficient spectra, followed by computations to demonstrate the performance changes with
temperature and substrate thickness. By combining the temperature-dependent dispersion algorithms derived in
Chapter 1 with spectral measurements obtained for differing temperatures and substrate thicknesses, a database
of calculated n and k substrate values can be implemented into the multilayer thin-film design process.
2.1 Absorption ( ) and extinction coefficient (k) theory
The velocity of propagation of a electromagnetic wave through a solid is given by the frequency-
dependent complex refractive index N n ik where the real part, n is related to the velocity, and k , the
extinction coefficient is related to the decay, or damping of the oscillation amplitude of the incident electric
field. The optical properties of the solid are therefore governed by the interaction between the solid and the
electric field of the electromagnetic wave.
If a plane wave of frequency (f) propagates through a solid with velocity () in a direction defined by
(x), the electric field (E) is described by the following progressive wave equation:
[ ] E E i
0
2 exp f t - (x / (2-1)
Where, (E
0
)

is the incident electric field vector and [ ] i2 f t - (x / is the displacement at time t after a
disturbance, created by the electric field at a point situated at x along the line of propagation.
From Maxwells equations on electromagnetic theory, the speed of light in a vacuum c is related to the
permittivity of free space
0
, (the degree to which a medium can resist the flow of charge, defined by the ratio of
the electric displacement to the intensity of the electric field that produces it), and the permeability of free space
0
(the ratio of the magnetic flux density in a solid to the external magnetic field strength inducing it, = B/H.)
by the equation c=1/(
0
0
)
1
.
The velocity of propagation through the solid of complex refractive index N n ik is related to the
speed of light in a vacuum, c, by c N / , then:
1

n
c
ik
c
(2-2)
Therefore, substituting 1/ into equation (2-1) above produces:
( ) E = E exp ft exp
xn
exp
fkx
0 i
i
c c
2
2 2

j
(
,
\
,
(

j
(
,
\
,
( (2-3)
where the last term ( ) 2 x / c fk is a measure of the damping factor, or extinction coefficient (k).
As the power (P) or intensity of an incident wave through a solid is the conductivity () of the solid
multiplied by the square of the electric field vector (P=E
2
), then using the damping factor term, the fraction of
the incident power that has propagated from position (o) to a distance (x) through the material with conductivity
() is given by:
_________________________________________________________________________________________
34
( )
( )
( )
( )
P x
P 0
E x
E
fkx
2
2

j
(
,
\
,
(
0
4
exp
c
(2-4)
from which the absorption coefficient () can be expressed in terms of the extinction coefficient (k) as:
4 fk
c
(2-5)
As the velocity of light in a vacuum, c = f, then = 4k/, and the power or intensity is P = P
o
exp
-x
.
This equation is known as Bouguers law or Lamberts law of absorption, by which radiation is absorbed to an
extent that depends on the wavelength of the radiation and the thickness and nature of the medium. The
absorption coefficient is therefore described as the reciprocal of the depth of penetration of radiation into a bulk
solid, i.e., it is equal to the depth at which the energy of the radiation has decreased by the factor of e
-x
, or
alternatively, the intensity of the incident radiation is attenuated by the solid to 1/e of its initial value at a
distance from the surface boundary defined by /4k.
When electromagnetic radiation passes from one medium into another the values of the relative
permittivity
r
and relative permeability
r
must alter according to the characteristics of the materials. In addition
to this, boundary conditions are required to be defined to ensure waves in the two media match at the interface.
This requires the tangential components of E (electric field vector) and H (magnetic field vector) to be
continuous across the boundary, and the normal components of D (electric displacement vector) and B (magnetic
flux density vector) to also be continuous across the boundary.
Hence,
0
1
E
1
=
0
2
E
2
and
0
1
H
1
=
0
2
H
2
.
The optical impedance of a material is another useful parameter in considering reflection and
transmission of electromagnetic waves across an interface, Z=E
x
/H
y
=E
y
/H
x
=(
0
r
/
0
r
)
1
. By substituting values
for
0
(8.854x10
-12
Fm
-1
) and
0
(1.257x10
-6
Hm
-1
), the impedance of free space Z
0
= (
0
/
0
)
1
= 377. The
optical admittance of free space, Y, is given by Y = 1/Z
0
= (
0
/
0
)
1
= 2.654x10
-3
-1
. In a dielectric with a
relative permittivity given by
r
and a relative permeability given by
r
which is at unity, the admittance is given
by y = (
0
r
/
0
)
1
= Y
r
1
= Y N = Y (n-ik)
The effects of thin-film interfaces can be calculated in terms of E and H, parallel to the boundary,
however this notation can become cumbersome, particularly where exact values of
r
and
r
are not well
quantified, therefore a modified optical admittance is introduced to connect H and E ( = H/E). At normal
incidence, = y = Y N, while at oblique incidence where the incident wave becomes polarised
p
= y/cos = Y N/cos and
s
= ycos = NY cos.
In the case of an absorbing material, the behaviour of a beam of radiation incident in a medium of
refractive index n
1
on an absorbing medium of complex refractive index n
2
= n
2
-ik
2
, with an angle of incidence
1
, using Snells law in complex form is then defined by:
n
1
sin
1
= n
2
sin
2
= (n
2
- ik
2
)sin
2
(2-6)
2.2 Loss-free incoherent internal reflection
When radiation originating in air (n=1) is incident on the surface of an optically transparent material,
some of the radiation is reflected from the surface and some is transmitted into the material. The fraction of
radiation reflected for the electric and magnetic fields is given by:
( )
( )
R
n
n
E

+
cos sin
cos sin

2 2
2
2 2
2
(2-7)
R
n
n
n
n
n
n
H

j
(
,
\
,
(
+
j
(
,
\
,
(
cos sin
cos sin

1
1
2 2
2
2 2
2
(2-8)
_________________________________________________________________________________________
35
where, R
E
and R
H
are the fraction reflected of the electric and magnetic field vectors when the electric field is
perpendicular to the incidence plane, and magnetic field is parallel to the incidence plane. is the angle of
incidence (measured from the normal to the surface) and n is the refractive index of the material. For natural
(unpolarized) radiation at normal incidence (=0), the fraction of radiation reflected is the mean of these two
equations. This will determine the reflection from the front surface only. Before the radiation can exit from the
opposite side, it undergoes a second reflection from the inside of the second surface boundary. This second
surface reflection is further reflected back from the front surface again, producing multiple internal reflections. If
these reflections are all added up, the total theoretical external transmittance (T
ab
) of a polished, uncoated, plane
parallel substrate, in a transparent region remote from the materials absorption edges, and with no scattering
within the material can be predicted from the real part of the refractive index (n) of the substrate.
T
n
n
ab

+
2
1
2
(2-9)
The refractive index has also been characterised by an empirical relationship between the index of
refraction and the energy gap of a semiconductor, known as the Moss rule
[45]
,
n
E
g
j
(
,
,
\
,
(
(
Constant
1
4
(2-10)
where E
g
= semiconductor bandgap energy derived from the cut-on position of the short wavelength absorption
edge.
If no absorption losses are present in the substrate (k=0), and taking into account multiple internal
reflections from both surfaces, the reflection coefficient is:
R
n
n
ab
+
1
2
1
2
(2-11)
In the range of frequencies in which the absorption is weak or absent
(i.e. k
2
<< (n-1)
2
), and where there exists no second surface for internal reflections, the value of the reflection
coefficient from the incident surface reduces to:
( )
( )
R
n
n
a

+
1
1
2
2
(2-12)
Where losses occur during the propagation of a wave through the substrate, the imaginary part of the
complex refractive index is added to the reflection coefficient as a frequency-independent measure of uniformly
attenuated radiation.
( )
( )
R
n k
n k
a
+
+ +
1
1
2
2
2
2
(2-13)
The extinction coefficient, k will only be zero when the conductivity () of the material is zero, i.e. the
material is essentially loss-free. If the conductivity is not zero, and the material is not perfectly transparent or
reflective then the radiation experiences a loss. When the conductivity is high, both n and k become large and
nearly equal, in this case the material becomes perfectly reflective.
The following illustration in Figure 2-1 summarises the effects of the reflections from the surfaces of a
loss-free uncoated substrate.
_________________________________________________________________________________________
36
Figure 2-1 Simplified energy flow through an uncoated substrate
I
o
= Radiation intensity on the incident surface of the substrate at an angle normal to the optical surface
R
a
-
= Energy reflected from the incident surface
T
a
+
= Transmitted energy through the incident surface
T
b
-
= Attenuated energy impinging on the second surface
R
b
-
= Reflected energy from the second surface boundary
T
b
+
= Energy transmitted through the second surface
T
ab
= External transmittance observed through the substrate
R
ab
= Reflection coefficient of the substrate (1-T
ab
)
Where there are no absorption losses and using an incoherent source, the total reflectivity is the
summation of the multiple internal reflection intensities from the front and rear surfaces
[46]
:
R
ab
= R
a
+
+ T
a
+
R
b
+
T
a
-
[1 + R
a
-
R
b
+
+ (R
a
-
R
b
+
)
2
+ ... ] (2-14)
this is equivalent to :
R
ab
= R
a
+
+ T
a
+
R
b
+
T
a
-
/(1 - R
a
-
R
b
+
) (2-15)
As the values of T
+
and T
-
are identical and where there are no absorption losses, such that R
a
= R
a
+
=
R
a
-
, T
a
= T
a
+
= T
a
-
and R
a
+ T
a
= 1, then:
R =
R + R - 2 R R
1 - R R
ab
a b a b
a b
(2-16)
The total transmitted energy, by the same summation is given by:
T
ab
= T
a
+
+ T
b
+
[1 + R
a
-
R
b
+
+ (R
a
-
R
b
+
)
2
+ ... ] (2-17)
T =
T T
1 - R R
ab
a b
a b
- +
(2-18)
Where there is no absorption, this can be re-arranged such that as R
a
= 1-T
a
and
R
b
= 1-T
b
then the total throughput transmittance is given by:
T
T T
ab
a b
+
1
1 1
1
(2-19)
Figure 2-2 illustrates this relationship between the transmittance and reflectance of the front and rear surfaces
and the total transmittance or reflectance of the substrate.
(a) (b)
R
a
-
R
b
-
T
a
+
T
b
-
T
b
+
R
ab
T
ab
Second
Surface
Substrate
Incident
Surface
t
Air Air
Incident
Radiation I
o
n
_________________________________________________________________________________________
37
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00
Ra=Rb, Ta=Tb
R
a
b
,

T
a
b
Rab
Tab
Figure 2-2 Calculated total transmittance (T
ab
) and reflectance (R
ab
) values for a loss free uncoated substrate.
Calculations of transmittance from the loss-free dispersive refractive index models used in this thesis
for predictive performance calculations are compared in Figures 2-3 to 2-7 with spectral measurements at 293K
across the full interband region for each material using various substrate thicknesses. For the Group IV materials
in Figures 2-3 and 2-4, Ge and Si, the coincidence is in good agreement between the calculation and
measurement (within 1%), validating the refractive index model, and illustrating the high transparency of these
materials in the loss free interband regions. The Group II-VI materials in Figures 2-5 to 2-7 however show the
extent of scattering caused by lattice vacancies and/or interstitial excess ions and impurity absorption present in
the crystalline structure of the material. The coincidence progressively improves towards long wavelength in all
these materials, where the effects of scattering are less pronounced and the material closely exhibits loss-free
characteristics prior to the multi-phonon lattice absorption edge.
0.00
0.10
0.20
0.30
0.40
0.50
500 1000 1500 2000 2500 3000 3500 4000 4500 5000 5500 6000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Calculation
Measurement
Figure 2-3 Overlay of predicted loss-free dispersive refractive index model of Germanium at 293K compared to
a spectral measurement for a 1.3mm thick uncoated substrate (1.6-20m)
_________________________________________________________________________________________
38
0.00
0.10
0.20
0.30
0.40
0.50
0.60
1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Calculation
Measurement
Figure 2-4 Overlay of predicted loss free dispersive refractive index model of Fz Silicon at 293K compared to a
spectral measurement for a 1.9mm thick uncoated substrate (1-10m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 2000 4000 6000 8000 10000 12000 14000 16000 18000 20000 22000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Calculation
Measurement
Figure 2-5 Overlay of predicted loss free dispersive refractive index model of Zinc Selenide at 293K compared
to a spectral measurement for a 4.8mm thick uncoated substrate (0.45-40m)
_________________________________________________________________________________________
39
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Calculation
Measurement
Figure 2-6 Overlay of predicted loss free dispersive refractive index model of Zinc Sulphide at 293K compared
to a spectral measurement for a 2.5mm thick uncoated substrate (0.3-40m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000 11000 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Measurement
Calculation
Figure 2-7 Overlay of predicted loss free dispersive refractive index model of Cadmium Telluride at 293K
compared to a spectral measurement for a 2.0mm thick uncoated substrate (0.85-40m)
2.3 Incoherent multiple internal reflection including absorption
Figure 2-8 illustrates the effects of incoherent multiple internal reflections on the energy flow through a
finite thickness substrate. For a given optical substrate of finite thickness (t), absorption coefficient (), and
reflectivity from front and rear surfaces of (R
a
-
) and (R
b
+
), the amount of transmitted radiation traversing the first
interface T
a
+
will be (1-R
a
+
)I
o
, where I
o
is the intensity of the incident wave. After travelling through a distance
(t) of the substrate the incident radiation is attenuated by e
-t
. The radiation therefore reaching the second
interface (T
a
-
) is (1-R
a
+
)I
o
e
-t
. Due to reflection (R
b
-
) at the interface of the second surface, only the fraction given
by (1-R
a
+
)(1-R
b
-
)I
o
e
-t
will emerge. The amount internally reflected as R
b
-
(1-R
b
-
)I
o
e
-t
will become progressively
more attenuated as a result of the multiple internal reflections becoming absorbed within the material or
emerging as a negligible contribution compared to the first order reflectivity.
_________________________________________________________________________________________
40
(1-R)Io e
R
(
1
-
R
)
I
o
e
R
(
1
-
R
)
I
o
e
3
R
(1-R
)Io e
R
(1-R
)Io e
N
e
g
lig
ib
le
--
R
(
1
-
R
)
I
o
e 2
RIo
Io
2
R
(
1
-
R
)
I
o
e
R
(1-R
)Io e
R
(1-R
)Io e
4
3
2
4
- t
4
-
t
4
-2 t
R
(
1
-
R
)
I
o
e
2
t
(1-R)Io
a
-2
t

t
2(n-1)
R
(1-R
) Io e
2
-2n-1

t
R
(1-R
) Io e
R
(1-R
) Io e
- t
5
-
t
3
- t
3
4
-5
5
-
2
2
3
(1-R) Io e
-
t
- t
b
2
t -

2 2 2 2
t
2
(1-R) e
-
1-R e
2
-
t
t
Io
Figure 2-8 Analysis of the energy flow through a substrate of finite
thickness inclusive of multiple internal reflections.
The results of these multiple internal reflections produce an overall external transmittance (T
ab
) given by:
( )( )
T
R R
R R
ab
a b
t
a b
t
+
+
1 1
1
2
exp
exp
(2-20)
Where the 2nd order internal reflection term becomes negligible if the thickness becomes very large,
reducing the external transmission coefficient (T
ab
) to:
( )( )
T R R ab a b
t

+
1 1 exp

(2-21)
If a homogeneous substrate is used, where R
a
+
= R
b
-
= R, T
a
= T
b
= 1 - R, and I
0
= incident intensity,
then the transmitted intensity (I) becomes:
( )
I
I0
1
1
2
2 2
R
R
t
t
exp
exp
(2-22)
All higher order internal reflections are negligible compared to the 2nd order term and as such are
ignored in the derivation.
Prediction of an uncoated substrate transmission can therefore be calculated across a range of
thicknesses from the determination of the absorption coefficient () using a reference measurement providing
the dispersive bulk refractive index is known.
For high substrate thickness values, particularly in spectral wavelength regions where there is high
absorption, the 2nd order denominator term can be neglected when compared to the size of the numerator,
therefore:
( ) I I0

1
2
R
t
exp

(2-23)
or by re-arranging :
( ) t lnI - ln I + 2 ln 1- R 0 (2-24)
from which the absorption coefficient () can be derived :
_________________________________________________________________________________________
41
( )

+
j
(
,
,
\
,
(
(
ln
T T T T R R T
T
a b a b a b ab
ab
2
2
4
2
t
(2-25)
The effects of these equations on the overall transmittance through an uncoated substrate are illustrated
in Figures 2-9 and 2-10. Figure 2-9 shows the variation in external transmittance vs absorption coefficient ()
for different refractive indices calculated for a 1mm substrate, where in regions containing high absorption the
effect on the transmittance caused by inaccurate refractive index data is progressively less pronounced than in
regions of low absorption. Therefore in the electronic and lattice absorption regions of the spectrum reasonably
accurate predictive models are still achievable and valid, though exact values of n maybe unobtainable.
0
10
20
30
40
50
60
70
80
90
100
0 5 10 15 20 25 30 35 40 45 50
Absorption Coefficient (1/cm)
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
1.00
1.50
2.00
2.50
3.00
3.50
4.00
4.50
5.00
5.50
6.00
n=1
n=6
Figure 2-9 Variation in transmission (T
ab
) vs absorption coefficient () for different refractive indices
between 1.0-6.0 for a 1mm substrate.
In comparison to this, Figure 2-10 shows the effect of the absorption coefficient on differing
thicknesses of substrate for a fixed refractive index (n=4), where in regions of high absorption, the transmittance
falls rapidly with increasing substrate thickness, and in regions of low absorption the effect of thickness is less
pronounced. Hence there is a desire to use differing substrate thicknesses for the accurate determination of the
complete material absorption profile.
_________________________________________________________________________________________
42
0
5
10
15
20
25
30
35
40
45
50
0 5 10 15 20 25 30 35 40 45 50
Absorption Coefficient (1/cm)
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
0.50
0.75
1.00
1.25
1.50
1.75
2.00
2.25
2.50
2.75
3.00
0.5mm
3mm
Figure 2-10 Variation in transmission (T
ab
) vs absorption coefficient for different thicknesses of Germanium
in the range (0.5 - 3.0mm) at 10m.
Additionally, if the dispersive refractive index or surface reflectivities of the substrate are unknown,
then by measuring two samples of different thicknesses (t
1
and t
2
), a value of can be obtained from Equation 2-
26, as illustrated in Figure 2-11, where the absorption coefficient is compared between a single thickness
calculation of known dispersive index and subtractive calculations from two substrates of known thickness.
( )
T
T
ab
ab
t t
1
2
2 1

exp

(2-26)
This method can also be used for determination of the extinction coefficient using Lamberts law of
absorption, which relates the transmittance (T), thickness (t) and values of k through the equation
/ 4 kt
e T

(2-27)
For two known thicknesses values of k are then obtained from:
( ) [ ]
1 2
2
1
4
ln
t t
T
T
k
(
,
\
,
(
j
(2-28)
where the wavelength is in the same units as t
0
5
10
15
20
25
30
35
250 300 350 400 450 500 550 600 650 700
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-11 Comparison of absorption coefficient calculations for Germanium between single thickness (solid)
and subtractive calculations from two differing substrate thicknesses (dashed).
_________________________________________________________________________________________
43
The absorption coefficient () profiles in Figures 2-12 to 2-21 illustrate the implementation of the
absorption Equation 2-25 to calculate the far-infrared multi-phonon and electronic absorption databases from
which predictive uncoated substrate performances are calculated.
0
5
10
15
20
25
30
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-12 Far-infrared multi-phonon absorption profile of measured Germanium at 293K (12.5-250m)
0
20
40
60
80
100
120
140
4500 4700 4900 5100 5300 5500 5700 5900 6100 6300 6500
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-13 Electronic absorption profile of Germanium at 293K (1.54-2.2m)
_________________________________________________________________________________________
44
0
2
4
6
8
10
0 200 400 600 800 1000 1200 1400 1600
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-14 Far-infrared multi-phonon absorption profile of measured Fz hyperpure Silicon
at 293K (6.25-250m)
0
5
10
15
20
25
30
35
40
45
8000 8200 8400 8600 8800 9000 9200 9400 9600 9800 10000
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-15 Electronic absorption profile of Fz Silicon at 293K (1-1.25m)
0
5
10
15
20
0 100 200 300 400 500 600 700 800
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-16 Far-infrared multi-phonon absorption profile of measured ZnSe
at 293K (12.5-250m)
_________________________________________________________________________________________
45
0
5
10
15
20
15000 16000 17000 18000 19000 20000 21000
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-17 Electronic absorption profile of ZnSe at 293K (0.47-0.67m)
0
5
10
15
20
25
30
35
40
0 200 400 600 800 1000 1200
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-18 Far infrared multi-phonon absorption profile of measured ZnS
at 293K (8.3-250m)
0
5
10
15
20
25
30
35
20000 21000 22000 23000 24000 25000 26000 27000 28000 29000 30000
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-19 Electronic absorption profile of ZnS at 293K (0.33-0.5m)
_________________________________________________________________________________________
46
0
5
10
15
20
25
30
35
250 300 350 400 450 500 550 600
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-20 Far-infrared multi-phonon absorption profile of measured CdTe
at 293K (16.6-40m)
0
5
10
15
20
25
30
35
40
45
10000 10250 10500 10750 11000 11250 11500 11750 12000
Wavenumber (1/cm)
A
b
s
o
r
p
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
1
/
c
m
)
Figure 2-21 Electronic absorption profile of CdTe at 293K (0.83-1m)
2.4 Predictive substrate thickness calculations
In order to predict the characteristic absorption profiles of the uncoated substrate material, a reference
spectral database was first created containing the transmission profile together with details of the appropriate
refractive index profile corresponding to the measurement temperature for the sequential series of wavenumber
points and substrate thickness. Obtaining a highly accurate transmission measurement from this reference
substrate was essential to achieve a good accuracy for the predicted model, as all subsequent calculations will be
performed on the information contained within this initial spectral database. Using this reference data and the
internal reflectance algorithms defined in Section 2.3, the absorption coefficient () and extinction coefficient
(k) were calculated. From this reference absorption profile in combination with the real part of the predicted
dispersion profile derived in Chapter 1, the spectral profiles of alternative substrate thicknesses were determined.
To obtain an accurate reference database, the use of differing thicknesses of reference substrate material
was preferred. This ensured the transmission profile of the differing strong and weak absorption regions were
exhibited to best effect. By definition, the absorption coefficient represents the amount of absorption per unit
thickness. Therefore, the accuracy of the calculation should be as valid for thin specimens as for thicker
specimens, provided in thin specimens coherent multiple internal reflection effects are not present. However, as
the number of multiple internal reflection passes are less in a thick specimen, the exponential attenuation is more
pronounced, and the accuracy of the calculated absorption coefficients is therefore greater. However, in
_________________________________________________________________________________________
47
materials that possess regions of high absorption, the attenuation through a thin specimen is less pronounced, and
can exhibit a spectral structure which is otherwise saturated in thicker specimens. Thin specimens were therefore
preferably used in these high absorption regions for deriving the absorption coefficient profile, as the thicker
specimens became limited by the radiometric measurement accuracy of the spectrometer, producing absorption
profiles with considerable noise and unsuitable for use in the reference database.
The choice of reference substrate thickness was therefore governed by two constraints, depending on
the absorption characteristics in the regions of interest. Where a material exhibits a low absorption spectrum, a
thicker substrate was used to enhance the characteristics of the material. Where strong absorption bands are
present thinner specimens were used in those regions to resolve the individual characteristics of the absorption
bands within the material. The topographic illustrations in Figures 2-22 to 2-26 show the effect of the far
infrared absorption characteristics verses thickness for the different materials selected.
Figures 2-27 to 2-34 shows the results of predicted performance calculations in the electronic and
multi-phonon absorption regions for each of the infrared materials selected across a range of thicknesses. It can
be seen as the thickness is increased the electronic absorption edge shifts to longer wavelengths resulting in a
reduced transparency bandwidth of the substrate. The size of this shift (d/dT) for Ge, Si, ZnSe, ZnS & CdTe is
0.0274, 0.0147, 0.0062, 0.0052 & 0.0046 m/mm respectively. From these spectra an estimation of the
expected loss in transmission as a function of thickness can be derived.
1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100
1
2
3
4
5
6
0.4-0.6
0.2-0.4
0-0.2
Figure 2-22 Germanium absorption topography - plan view (thickness 1-6mm at 293K)
1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100
1
2
3
4
5
6
0.4-0.6
0.2-0.4
0-0.2
Figure 2-23 Fz Silicon absorption topography - plan view (thickness 1-6mm at 293K)
1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100
1
2
3
4
5
6
0.6-0.8
0.4-0.6
0.2-0.4
0-0.2
Figure 2-24 Zinc Sulphide absorption topography - plan view (thickness 1-6mm at 293K)
_________________________________________________________________________________________
48
1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100
1
2
3
4
5
6
0.6-0.8
0.4-0.6
0.2-0.4
0-0.2
Figure 2-25 Zinc Selenide absorption topography - plan view (thickness 1-6mm at 293K)
1500 1400 1300 1200 1100 1000 900 800 700 600 500 400 300 200 100
1
2
3
4
5
6
0.6-0.8
0.4-0.6
0.2-0.4
0-0.2
Figure 2-26 Cadmium Telluride absorption topography - plan view (thickness 1-6mm at 293K)
0.00
0.10
0.20
0.30
0.40
0.50
0 50 100 150 200 250 300 350 400 450 500 550 600 650 700 750 800
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50
Figure 2-27 Predicted far-infrared multi-phonon absorption of uncoated Ge
for substrate thicknesses of 1.0-3.5mm at 293K (12.5-250m)
_________________________________________________________________________________________
49
0.00
0.10
0.20
0.30
0.40
0.50
4700 4800 4900 5000 5100 5200 5300 5400 5500 5600 5700 5800 5900 6000 6100
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50
Figure 2-28 Predicted electronic absorption edge of uncoated Ge
for substrate thicknesses of 1.0-3.5mm at 293K (1.64-2.13m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0 200 400 600 800 1000 1200 1400 1600
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50
Figure 2-29 Predicted far-infrared multiphonon absorption of uncoated Fz Si
for substrate thicknesses of 1.0-3.5mm at 293K (6.26-250)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
8000 8200 8400 8600 8800 9000 9200 9400 9600 9800 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
1.00
1.50
2.00
2.50
3.00
3.50
Figure 2-30 Predicted electronic absorption edge of uncoated Fz Si
for substrate thicknesses of 1.0-3.5mm at 293K (1-1.25m)
_________________________________________________________________________________________
50
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 100 200 300 400 500 600 700 800
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-31 Predicted far-infrared multi-phonon absorption of uncoated ZnSe
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
15000 16000 17000 18000 19000 20000 21000 22000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-32 Predicted electronic absorption edge of uncoated ZnSe
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 100 200 300 400 500 600 700 800 900 1000 1100 1200
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-33 Predicted far-infrared multi-phonon absorption of uncoated ZnS
_________________________________________________________________________________________
51
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
10000 12000 14000 16000 18000 20000 22000 24000 26000 28000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-34 Predicted electronic absorption edge of uncoated ZnS
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
250 275 300 325 350 375 400 425 450 475 500 525 550 575 600
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-35 Predicted far-infrared multi-phonon absorption of uncoated CdTe
for substrate thickneses of 2.5-4.5mm at 293K (16.7-40m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
8000 8500 9000 9500 10000 10500 11000 11500 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
2.00
2.50
3.00
3.50
4.00
4.50
Figure 2-36 Predicted electronic absorption edge of uncoated CdTe
_________________________________________________________________________________________
52
2.4.1 Thickness model validation
In order to validate the integrity of the n and k dispersion models derived by this method of analysis,
spectral performance calculations of alternative thicknesses of substrate have been carried out. These reveal
transmission profiles to be accurate to within approximately 1% of the measurement result. Figures 2-37 and 2-
38 show the performance variation between the calculated and measured results of alternative substrate
thicknesses in both the far-infrared multi-phonon, and near-infrared electronic absorption regions of Germanium.
Figure 2-39 is an overlay of the transmission variations exhibited for the far-infrared region, illustrating the size
of the error envelope using this method.
0.00
0.05
0.10
0.15
0.20
0.25
0.30
0.35
0.40
0.45
0.50
250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
5.00C
5.00M
2.85C
2.85M
1.30C
1.30M
1.09C
1.09M
0.84C
0.84M
0.41C
0.41M
5.0mm
0.41mm
2.85mm
1.3mm
C :- Calculated
M :- Measured
1.09mm
0.84mm
Figure 2-37 Overlay of predicted and measured spectral profiles of Germanium for various substrate thicknesses
at 293K (8-40m)
0.00
0.05
0.10
0.15
0.20
0.25
0.30
0.35
0.40
0.45
0.50
4500 4750 5000 5250 5500 5750 6000 6250 6500
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
5.00C
5.00M
1.30C
1.30M
0.84C
0.84M
0.41C
0.41M
C :- Calculated
M :- Measured
Figure 2-38 Overlay of calculated and measured spectral profiles of the Germanium electronic absorption edge
for various substrate thicknesses at 293K (1.54-2.2m)
_________________________________________________________________________________________
53
-0.03
-0.02
-0.01
0.00
0.01
0.02
0.03
250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e

V
a
r
i
a
t
i
o
n
5.00
2.85
1.30
1.09
0.84
0.41
Figure 2-39 Variation between calculated and measured spectral profiles of Germanium multi-phonon
absorption for various substrate thicknesses at 293K (10-40m)
2.5 Reduced substrate-temperature effects
The transmittance of all optical substrate materials used in the far-infrared are strongly temperature
dependent. When these materials are used at reduced cryogenic temperatures, the ambient room temperature data
on the optical properties is frequently inadequate for obtaining an accurate predictive performance model.
In semiconductor materials, the most dominant absorption mechanism is caused by two-phonon
absorption. As the temperature reduces, the two-phonon absorption bands become significantly weaker and
narrower, increasing the transparency bandwidth of the material. The absorption in this region results from the
combined effect of two inter-related mechanisms, (i) the electric moment (M) associated with the distributed
charge density of the atomic bonding, to which the incident radiation couples, and (ii) anharmonic interactions
distributed between the atomic charge density states of the crystal. As the phonon vibration modes are excited by
interaction with the electric moment (M), they may also further dissipate energy through anharmonic interactions
within the crystal, creating additional harmonics to that caused by the primary coupling absorption mechanism.
As the temperature is reduced the lattice contracts and oscillations of the atoms about their equilibrium points
reduces. This in turn reduces the size of the phonon vibration amplitudes and subsequently reduces the intensity
of the absorption profile. The detailed effects of temperature on the thermal vibrations of a crystal lattice is a
highly complex branch of semiconductor theory, and is outside the realm of this thesis.
The availability of information on the optical properties of infrared materials at reduced temperatures is
limited, even non-existent, from most reference literature sources. Stierwalt
[47]
measured the transmittance
spectra of BaF
2
, Sapphire, KRS-5, Irtran 2 (ZnS) and Quartz materials at 77 and 4K in the early 1980s using a
Beckman IR-3 spectrophotometer. To make these low temperature measurements, a sample dewar was
constructed to fit into the gas compartment of the spectrophotometer comprising a central liquid helium chamber
to which the sample was attached. Surrounding this was a copper radiation shield cooled with liquid nitrogen and
fitted with KBr windows. Results from this experiment showed a significant reduction in absorption coefficient,
falling to nearly half its room temperature value at 4K. Most other literature references detail the temperature
dependence of specific isolated absorption features and predict deviations through multi-phonon theory. An
investigation into the effects of temperature is therefore opportune to characterise the performance of substrate
materials operating at reduced temperature.
In this thesis, changes of profile in the multi-phonon absorption region have been used to predict the
performance of the materials at reduced temperatures. Low temperature measurements of the materials reported
here was performed using a Perkin Elmer Spectrum 2000 optica FTIR spectrophotometer, to which a Air
Products Displex DE202 cryogeneic cooler
, fitted with KRS-5 windows, was attached. Samples were clamped

to the cold finger of the cooler in a fixture using screws and indium shims to ensure intimate thermal contact.
_________________________________________________________________________________________
54
Stabilised temperature control was achieved using an in-built controlled heater regulated by a temperature
measurement from a reverse biased diode. Experimentally no evidence of temperature changes due to either the
presence or absence of illumination from the spectrophotometer infrared source were observed.
Figures 2-40 to 2-44 show the calculated extinction coefficient (k) profiles derived for the selected
substrate materials between 300-50K which were obtained from analysis of these spectral measurements. By
combining the appropriate temperature-dependent dispersive refractive index data to the extinction coefficient
profiles produced a predicted complex refractive index model which was subsequently interpolated to determine
the spectral profile of materials of alternative thickness and temperatures. Predicted far-infrared transmittance
profiles for a 2mm thick substrate are illustrated for each material between 300 and 50K in Figures 2-45 to 2-49.
Appendix B lists the temperature-dependent polynomial regression analysis derived from the measurements for
each of the materials, from which the transmittance profile of alternative temperatures can be derived.
1E-05
1E-04
1E-03
1E-02
250 300 350 400 450 500 550 600 650 700 750 800 850 900 950 1000
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
300K
250K
200K
150K
100K
50K
50K
300K
Figure 2-40 Calculated extinction coefficient (k) profiles from measured Germanium
at temperatures between 300-50K (10-40m)
1E-05
1E-04
1E-03
300 400 500 600 700 800 900 1000 1100 1200 1300 1400 1500
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
300K
250K
200K
150K
100K
50K
300K
Figure 2-41 Calculated extinction coefficient (k) profiles from measured Cz Silicon
at temperatures between 300-50K (6.7-33.3m)
_________________________________________________________________________________________
55
1E-05
1E-04
1E-03
1E-02
300 350 400 450 500 550 600 650 700
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
300K
250K
200K
150K
100K
50K
300K
50K
Figure 2-42 Calculated extinction coefficient (k) profiles from measured ZnSe
at temperatures between 300-50K (14.3-33.3m)
1E-06
1E-05
1E-04
1E-03
1E-02
500 600 700 800 900 1000 1100
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
300K
250K
200K
150K
100K
50K
300K
50K
Figure 2-43 Calculated extinction coefficient (k) profiles from measured Zinc Sulphide
1E-06
1E-05
1E-04
1E-03
1E-02
250 300 350 400 450 500 550
Wavenumber (1/cm)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
300K
250K
200K
150K
100K
50K
50K
300K
Figure 2-44 Calculated extinction coefficient (k) profiles from measured CdTe
_________________________________________________________________________________________
56
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
0.4
0.45
0.5
10 15 20 25 30 35 40
Wavelength (um)
T
r
a
n
s
m
i
t
t
a
n
c
e
300
250
200
150
100
50
Figure 2-45 Calculated transmission profile of 2.0mm thick uncoated Germanium
0
0.1
0.2
0.3
0.4
0.5
0.6
6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Wavelength (um)
T
r
a
n
s
m
i
t
t
a
n
c
e
300
250
200
150
100
50
Figure 2-46 Calculated transmission profile of 2.0mm thick uncoated Cz Silicon
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30
Wavelength (um)
T
r
a
n
s
m
i
t
t
a
n
c
e
300
250
200
150
100
50
Figure 2-47 Calculated transmission profile of 2.0mm thick uncoated ZnSe
_________________________________________________________________________________________
57
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
10 11 12 13 14 15 16 17 18 19 20
Wavelength (um)
T
r
a
n
s
m
i
t
t
a
n
c
e
300
250
200
150
100
50
Figure 2-48 Calculated transmission profile of 2.0mm thick uncoated ZnS
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
15 20 25 30 35 40
Wavelength (um)
T
r
a
n
s
m
i
t
t
a
n
c
e
300
250
200
150
100
50
Figure 2-49 Calculated transmission profile of 2.0mm thick uncoated CdTe
For the electronic absorption edge, the effects of reduced temperature on the forbidden energy gap
reduces the size of the gap proportionately to the square of the temperature, shifting the edge position to shorter
wavelengths. This shift has been fitted for various materials by the following empirical relationship
[48]
:
E T E
T
T
g g
( ) ( )
+
0
2
(2-29)
where E
g
(0) is the value of the energy gap at zero Kelvin and and are constants. The effect of this short
wavelength shift is shown in Figure 2-50 for Germanium and Silicon, where the shift in absorption edge position
(d/dT) is approximately 0.7nm/K for Germanium and 0.15nm/K for Silicon.
_________________________________________________________________________________________
58
1.00
1.10
1.20
1.30
1.40
1.50
1.60
1.70
1.80
1.90
0 50 100 150 200 250 300
Temperature (K)
W
a
v
e
l
e
n
g
t
h

(
u
m
)
Ge
Si
Figure 2-50 Variation in semiconductor edge position with temperature for Germanium and Silicon.
2.5.1 Temperature model verification
In order to verify the accuracy of the calculated absorption profiles, derived using the dispersive n and k
database. Examples of the calculated deviations between the predicted and measured values are shown in Figures
2-51 and 2-52 for germanium and silicon. These results show a reasonable agreement between the calculated
model and the measured spectral performance, to within a mean experimental accuracy of approximately 1% for
germanium and 2% for silicon. The difference in deviation between the calculations of the germanium and
silicon reinforces the need for a highly accurate set of reference measurements from which the extinction
coefficient (k) database is derived. This is an area of research which would benefit re-visiting in the future, with
increased temperature control and stability, a greater accuracy is achievable.
-6
-5
-4
-3
-2
-1
0
1
2
3
4
5
6
250 300 350 400 450 500 550 600 650 700 750 800
Wavenumber (1/cm)
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)

D
e
v
i
a
t
i
o
n

300
250
200
150
100
50
Figure 2-51 Overlay of transmittance deviation between calculated transmittance
and measured profiles for Ge at 300, 250, 200, 150 and 50K
_________________________________________________________________________________________
59
-6
-5
-4
-3
-2
-1
0
1
2
3
4
5
6
250 350 450 550 650 750 850 950 1050 1150 1250 1350 1450 1550
Wavenumber (1/cm)
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)

D
e
v
i
a
t
i
o
n
300
250
200
150
100
50
Figure 2-52 Overlay of transmittance deviation between calculated transmittance
and measured profiles for Cz Si at 300, 250, 200, 150 and 50K
2.6 Angle of incidence effects
The reflection and refraction of plane waves at a boundary between two media of differing properties
are well known
[49]
, following Snells law and the Fresnel formulas. A plane wave incident on a dielectric
discontinuity is split into two waves; the transmitted wave proceeding into the second medium and the reflected
wave propagating back into the incident medium from which the following relation is derived.
n
1
sin
i
= n
1
sin
r
= n
2
sin
t
(2-30)
where
i
,
r
, and
t
are the incident , reflected and transmitted angles, and n
1
& n
2
are the refractive indices of the
incident and transmitted mediums. As (
r
=
i
) then the transmitted

angle
t
into the second medium is defined
as:
sin
sin

t
i
n
n
1
2
(2-31)
Although this is true for all forms of electromagnetic wave propagation, the dynamic properties of
reflected and transmitted waves, such as intensity, phase changes, polarization effects depend entirely upon the
specific nature of the wave propagation and the interface conditions. At an uncoated substrate boundary with a
plane wave incident at an oblique angle, the electric and magnetic field vectors are split into two polarization
components that are parallel (p) and perpendicular (s) to the incident plane. Both the transmitted and reflected
polarization components can be calculated for each orientation separately and then combined to produce a
resultant mean polarization effect.
The p-wave is also known as a TM wave, (as the magnetic field vector H is transverse to the plane of
incidence), and the s-wave is alternatively known as a TE wave, (as the electric field vector E is transverse to the
plane of incidence). The conventions for defining the reflection and refraction of s and p polarized waves are
illustrated in Figure 2-53.
_________________________________________________________________________________________
60
(a) (b)
Figure 2-53 Reflection and refraction of p(a) and s (b) polarization waves
The Fresnel reflection and transmission coefficient formulas for these s and p polarizations are :
s-polarization
r
n n
n n
s

+
1 1 2 2
1 1 2 2
cos cos
cos cos

(2-32), t
n
n n
s

+
2
1 1
1 1 2 2
cos
cos cos

(2-33)
p-polarization
r
n n
n n
p

+
1 2 2 1
1 2 2 1
cos cos
cos cos

(2-34), t
n
n n
p

+
2
1 1
1 2 2 1
cos
cos cos

(2-35)
These formulae give the ratio of the amplitude of the reflected and transmitted waves relative to the
amplitude of the incident wave. The total energy reflected from the boundary and transmitted into the substrate is
the square of the Fresnel coefficients. Figures 2-54 to 2-56 illustrate the variation of loss-free transmitted and
reflected energy with angle of incidence for refractive index values of 1.25 to 4.0 (in 0.25 increments) for the s,
p and mean polarizations.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 10 20 30 40 50 60 70 80 90
Angle (Deg)
R
e
f
l
e
c
t
a
n
c
e

/

T
r
a
n
s
m
i
t
t
a
n
c
e
Figure 2-54 R and T vs Angle of incidence for n = 1.25-4.0 P-Polarization
H
E
H
E
H
E
i
r
p
t
p
n
o
n
1
2
i
H
E H
E
H
E
r
s
t
s
1
n
o
n
1
_________________________________________________________________________________________
61
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 10 20 30 40 50 60 70 80 90
Angle (Deg)
R
e
f
l
e
c
t
a
n
c
e

/

T
r
a
n
s
m
i
t
t
a
n
c
e
Figure 2-55 R and T vs Angle of incidence for n = 1.25-4.0 S-Polarization
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 10 20 30 40 50 60 70 80 90
Angle (Deg)
R
e
f
l
e
c
t
a
n
c
e

/

T
r
a
n
s
m
i
t
t
a
n
c
e
Figure 2-56 R and T vs Angle of incidence for n = 1.25-4.0 Mean - Polarization
For normal incidence there is no difference between the s and p polarizations and the Fresnel
reflectance and transmittance energies become Equations 2-36 and 2-37.
R R
n n
n n
s p

+
j
(
,
\
,
(
1 2
1 2
2
(2-36),
( )
T T
n n
n n
s p

+
4
1 2
1 2
2
(2-37)
The Fresnel coefficients r
s
, r
p
, t
s
, t
p
change differently as a function of the angle of incidence, with the
reflectance of the s wave always being greater than the p wave. In Figure 2-54 it can be seen the reflectance of
the p-polarization falls to zero at a definite angle (Brewsters angle). At this particular angle, the result of the
Fresnel reflectance (r
p
) and refracted transmission (t
p
) waves are at an angle of 90 to each other which produces
a reflected beam which is plane polarized in the plane of incidence with oscillations parallel to the surface, and
electric vector perpendicular to the plane of polarization. The angle at which this occurs is given by
B
= tan
-1
n
2
/ n
1
, which for Ge, Si, CdTe, ZnSe and ZnS are at angles of 76.0, 73.6, 69.5, 67.4, and 65.6 respectively.
_________________________________________________________________________________________
62
This effect is most noticeably observed in the predicted p-polarization spectra illustrated in Figures 2-57, 60, 63,
66, and 69, where there is a reduced transmission at angles greater than the Brewster angle, reducing the
resultant mean-polarization throughput.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 1000 2000 3000 4000 5000 6000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
89
50
40
30
20
10
0
70
60
80
Figure 2-57 Calculated Ge P-Polarization (0-89) at 293K (1.67-250m)
0.00
0.05
0.10
0.15
0.20
0.25
0.30
0.35
0.40
0.45
0.50
0 1000 2000 3000 4000 5000 6000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-58 Calculated Ge S-Polarization (0-89) at 293K (1.67-250m)
_________________________________________________________________________________________
63
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0 1000 2000 3000 4000 5000 6000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
89
80
70
60
50
40
30
20
10
0
Figure 2-59 Calculated Ge Mean-Polarization (0-89) at 293K (1.67-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
70
80
60
50
40
30
20
10
0
89
Figure 2-60 Calculated Fz Si P-Polarization (0-89) at 293K (1-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-61 Calculated Fz Si S-Polarization (0-89) at 293K (1-250m)
_________________________________________________________________________________________
64
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
70
60
50
40
30
20
10
0
80
89
Figure 2-62 Calculated Fz Si Mean-Polarization (0-89) at 293K (1-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 5000 10000 15000 20000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
70
60
50
40
30
20
10
0
80
89
Figure 2-63 Calculated ZnSe P-Polarization (0-89) at 293K (0.45-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-64 Calculated ZnSe S-Polarization (0-89) at 293K (0.45-250m)
_________________________________________________________________________________________
65
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-65 Calculated ZnSe Mean-Polarization (0-89) at 293K (0.45-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
70
60
50
40
30
20
10
0
80
89
Figure 2-66 Calculated ZnS P-Polarization (0-89) at 293K (0.33-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-67 Calculated ZnS S-Polarization (0-89) at 293K (0.33-250m)
_________________________________________________________________________________________
66
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0 5000 10000 15000 20000 25000 30000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0-50
60
70
80
89
Figure 2-68 Calculated ZnS Mean-Polarization (0-89) at 293K (0.33-250m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 2000 4000 6000 8000 10000 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
70
60
50
40
30
20
10
0
80
89
Figure 2-69 Calculated CdTe P-Polarization (0-89) at 293K (0.83-40m)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0 2000 4000 6000 8000 10000 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0
10
20
30
40
50
60
70
80
89
Figure 2-70 Calculated CdTe S-Polarization (0-89) at 293K (0.83-40m)
_________________________________________________________________________________________
67
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0 2000 4000 6000 8000 10000 12000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
0-60
70
80
89
Figure 2-71 Calculated CdTe Mean-Polarization (0-89) at 293K (0.83-40m)
2.6.1 Total internal reflection
Under circumstances where the incident medium has a refractive index which is larger than the second
medium, as is the case for the rear surface boundary of an uncoated substrate, and if the incident angle () is
large, then Snells law, as defined in equation 2-33 gives values that become meaningless as sin
t
has values
greater than 1. The refracted wave under these circumstances then propagates parallel to the rear surface. The
critical angle of incidence defining this condition being given by
c
= sin
-1
(n
2
/n
1
), where n
2
<n
1
. For Ge, Si,
CdTe, ZnSe and ZnS the values of this critical angle are 14.5, 17.1, 22.0, 24.6 and 27.0. At incident angles
greater than these values there can be no energy flow across the boundary and the wave becomes totally
internally reflected. The amplitude of the reflected wave differs from the incident amplitude by a change of
phase to the s and p polarizations given by:
s-pol

s
c
j
(
,
\
,
(
2
1
1
2
1
2
2
1
1 2
tan
sin sin
sin
/
(2-38)
p-pol

p
c
n
n
+

j
(
,
\
,
(
j
(
,
\
,
(
,
,
,
]
]
]
]
2
1
1
2
1
2
2
1
1 2
1
2
2
tan
sin sin
sin
/
(2-39)
The effects of this phase change on the various substrate materials are shown in
Figure 2-72. The s and p polarizations undergo different phase changes upon total internal reflection, where
linearly polarized radiation becomes elliptically polarized upon reflection. The degree of polarization being
defined by the size of phase difference between the two polarizations. The relative phase difference between the
s and p polarizations (
p
-
s
) derived from Equations 2-38 and 2-39 is given in Equation 2-40:
+

p s
c
2
1
1
2
1
2
2
1
tan
cos sin sin
sin
(2-40)
_________________________________________________________________________________________
68
0.00
0.50
1.00
1.50
2.00
2.50
3.00
3.50
0 10 20 30 40 50 60 70 80 90
Angle (Degrees)
P
h
a
s
e

(
R
a
d
i
a
n
s
)
P-Pol (+ pi)
Ge / Si / CdTe / ZnSe / ZnS
Ge / Si / CdTe / ZnSe / ZnS
S-Pol
Figure 2-72 Totally internally reflected phase of s and p-polarizations vs angle of incidence for
Ge, Si, CdTe, ZnSe and ZnS materials.
2.7 Coherence of multiple internal reflections
When a finite thickness substrate is viewed with wide-band uncollimated radiation, the multiple-beam
interference created by reflectance deviations between the front and rear surfaces cancel, and the energy of the
reflected beams can be summed, as described in Section 2.3. However, when a highly flat and parallel substrate
is illuminated by quasi-monochromatic radiation, with a narrow frequency bandwidth from a scanning
spectrometer, then the interference effects between the front and rear surfaces can be observed as a pattern of
Fabry-Perot fringes, known as a channel spectrum. This channel spectrum is superimposed on the spectral profile
of the substrate, modulating its transmission as illustrated in Figure 2-73, under which circumstances the
amplitude reflectances are required to be summed, taking into account the phase differences of the reflected
beams. On a wavenumber scale, this channel spectrum will have a constant periodicity, with a fixed frequency
interval, whilst on a wavelength scale the ripple frequency will decrease with increasing wavelength.
Figure 2-73 Overlaid spectra of substrate fringes in 0.41mm Germanium and 0.575mm Silicon
_________________________________________________________________________________________
69
Liddel and Macleod derived the following coherent mathematical expression for determination of the
total fringe amplitude which could be applied to highly collimated narrow bandwidth radiation with highly
parallel thin substrates.
T
T T
R R R R
ab
a b
a b a b
+ 1 2 2
1 2 1 2
2
/ /
cos( )
(2-41)
where is the thickness and reflection phase changes.
However, the practical implementation of this algorithm was considered by Liddel and Macleod
[50]
to
be a particularly complex problem to solve, as in order to estimate the total effect of this equation it must be
integrated over the complete range of possible thickness variations within the substrate, over the range of
wavelengths and angles of incidence defined by the bandwidth of the incident radiation and with the
appropriately distributed weight proportion for each angle.
The combination of the reflected waves from the two surfaces can be considered similar to the principal
of superposition which applies to all electromagnetic fields. This is defined as the total electric field created by
different sources as being the summation of fields due to each source. The sources of two plane waves are
mutually coherent between the two surfaces if the phase difference (
2
-
1
) is constant. If the phase difference
varies with time in a random manner , the sources of the two waves are mutually incoherent. The degree of
mutual coherence is derived from time-averaged intensity distributions of the interference pattern formed by the
two waves. If the two waves are mutually coherent (i.e.
2
=
1
) the interference pattern is stationary with a
spatial period given by;

2 2 sin( / )
(2-44)
where is the angle between the two wave vectors.
If the two waves are not coherent, the phase difference varies over a time interval (). Being able to
observe this will depend on the speed of the detection process, as the intensity is averaged over the time interval
of the phase difference. The degree of mutual coherence is defined by Equation 2-43 :
1
2 1
0
e dt
j ( )
(2-43)
When = 1, there is complete mutual coherence (i.e. perfect temporal coherence), if
= 0-1, there is partial mutual coherence and if = 0 there is complete mutual incoherence.
In the case of the parallel sided substrate where the phase difference produces a value of between 0-1,
and the path difference between the two beams does not exceed the coherence length of the wave l
c
= c
c
, where
c
is the coherence time, then interference fringes will appear. As the frequency f = 1/ , the coherence time can
also be defined by f =1/
c
where f is caused by the sum of randomly emitted wave trains from a source
producing a spectrum of finite bandwidth. The coherence length is then defined by the distance the radiation
travels within the coherence time
c
given by l
c
= c
c
= c/f. This approximates to l
c
=
2
/ where is the
bandwidth or resolution of the incident radiation. The condition of spectral fringes from a parallel sided substrate
is therefore when the thickness of the substrate is less than the coherence length of the incident radiation.
By example, for the above illustration with a scanning resolution of 2cm
-1
the coherence length varies
from 5.6mm at 16.6m to 5.1mm at 33m, causing the substrate to act as an interference layer. Elimination of
the channel spectrum for this thickness of substrate will therefore only occur if radiation is used with a scanning
resolution of approximately 20cm
-1
.
_________________________________________________________________________________________
70
2.8 Conclusion
The implementation of the analysis methods derived in this chapter have provided a concise set of
dispersive n and k values for the selected infrared materials, across a wide range of temperatures, wavelengths
and thicknesses. These dispersive models can now be incorporated as an integral part of future filter design
calculations.
_________________________________________________________________________________________
71
CHAPTER 3
INFRARED THIN FILM CHARACTERISATION
AND DEPOSITION TECHNIQUE
In order for an infrared material to be useful in a multilayer interference coating, it must be able to fulfil
certain requirements. Amongst these are high transparency, particular refractive index values, homogeneity, high
packing density, good adhesion, low stress, hardness and be able to survive the widest range of possible
environmental conditions. The choice of layer materials that are available for use in the infrared which meet
these criterion is limited when the combination of high transparency over the widest possible range of
wavelengths and selection of appropriate refractive index values are the main requirements. In this chapter I
shall be reporting on the optical characterisation of two of the most frequently deposited layer materials used in
the infrared, together with the deposition technique and details of the nucleation, growth and microstructure of
some representative multilayers.
Lead Telluride (PbTe) and II-VI materials tend to dominate the multilayer materials selection for the
design of filters operating in the mid to long-infrared wavelengths both at room and reduced temperatures. The
high value of refractive index contrast between the two materials (n
H
/n
L
) is the most desirable parameter in the
design of a multilayer, particularly as this keeps the number of layers and the physical thicknesses to a minimum
for performing a particular spectral function. The combination of the PbTe/II-VI high refractive index contrast,
together with the advantages of the PbTe negative optical expansion coefficient and position of the PbTe
semiconductor absorption edge all assist to produce efficient multilayer designs. Zinc Selenide (ZnSe) is a good
complementary II-VI multilayer material to PbTe, providing a high index contrast and transparency out to the
20m region in bulk form, beyond which multi-phonon absorption then dominates. As ZnSe is a hard-coating
material, it also provides good environmental resistance to the multilayer.
3.1 Lead Telluride (PbTe) Dispersion
The use of PbTe as a high index (H-layer) material has significant advantages in a multilayer, by
satisfying both the spectral filtering requirement with the minimum number of layers in order to maximise
optical throughput, and providing continuous short wavelength blocking, due to the long wavelength position of
its semiconductor absorption edge. Its high refractive index also enhances the stop-band width, and provides a
high effective index (n
*
), reducing the size of any spectral shifts caused by inclined illumination. The
semiconductor absorption edge at 3.5m at 300K removes the need for a large number of subsidiary blocking
stacks that would normally be required to provide continuous short wavelength blocking to link up with the
substrate electronic absorption edge (at 1.5m for Ge). The long wavelength shift of this edge position to
around 5.5m at 65K, then further improves this advantage beyond that achievable with multilayers containing
germanium as the principal H-layer material. A further advantage of PbTe as a layer material is long wavelength
Reststrahl wavelength ( 110m) making it particularly attractive for use in filters beyond 15m, where
alternative high index materials are becoming absorbing. The refractive index of PbTe is one of the highest
known of the usable infrared layer materials, with a value of n 5.5 at 300K rising to 5.7 at 200K and 5.85
at 80K.
The optical dispersion properties of PbTe material are primarily defined by the carrier concentration,
substrate (deposition) temperature, pressure conditions, deposition rate and departure from stoichiometry. Non-
stoichiometries in PbTe have been found to induce additional concentrations of free carriers in the material from
which an accelerated reduction in refractive index and increased absorption is exhibited with increasing
wavelength. Evans et al
[51]
determined that an excess of only one part in 10
6
of either Pb or Te was adequate to
significantly degrade the performance of a narrow band filter at 15m. These excesses of either element are
considered to exist in the deposited layer as interstitial atoms, which to a limited extent, can diffuse out at
dislocations or grain boundaries by annealing
[52]
. However, the practice of annealing is not ideal when the
requirements for precise and reproducible spectral positioning and shape of a required filter profile are tightly
specified. Therefore, in stoichiometric PbTe material, as depletion of any one of the vaporisation products can
significantly affect the optical performance, the layer must be deposited under optimum deposition conditions to
produce highly transparent and reproducible films direct from the deposition chamber.
The introduction of oxygen into the evaporation chamber during a PbTe layer deposition has been
found to compensate for a tolerable range of non-stoichiometry in the evaporation vapour. This is done with a
partial pressure of 5x10
-5
Torr, from which complete transparency of the material can be restored. The
_________________________________________________________________________________________
72
transparency of the material is then sensitive to the combination of the partial pressure, deposition temperature
and deposition rate. The best deposition temperature for the PbTe/II-VI materials has been found to be around
185C with a rate of approximately 5s
-1
.
An alternative approach to restoring departures from stoichiometry has been the use of non-
stoichiometric source material. As free-carrier absorption becomes noticeable under conditions of depleted
oxygen supply, an investigation in our laboratory into depositions using tellurium-enriched source material was
initiated for a series of long wavelength (>15m) filters. This revealed that using a source material containing
1% excess of tellurium was adequate to restore complete transparency of the material at these wavelengths, with
no addition of partial pressure of oxygen being required. However, though adequate for long wavelength filters
operating in ambient room temperature conditions, upon cooling, this material was subsequently found to
degrade with greater amounts of absorption than that exhibited by stoichiometric material when deposited under
ideal conditions. Analysis of the optical and semiconductor properties of a single film of excess-Te PbTe,
deposited on germanium and silicon substrates, was investigated by Zhang
[53]
from which further analysis
required for constructing the refractive index database for this research has produced a temperature-dependant
dispersive index model using the following algorithm in Equation 3-1 and illustrated in Figure 3-1 for predicted
temperatures of 25, 50, 100, 150, 200, 250 & 300K.
n A B C D E + + + +
2 3 4
(3-1)
where :
A = -2.885x10
-3
T + 7.542, B = 3.280x10
-6
T - 3.250, C = 4.068x10
-5
T + 2.286x10
-2
,
D = - 3.186x10
-6
T - 6.903x10
-4
, & E = 6.646x10
-8
T + 6.855x10
-6
5.20
5.40
5.60
5.80
6.00
6.20
6.40
6.60
6.80
3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 11.0 12.0 13.0 14.0 15.0 16.0 17.0 18.0 19.0 20.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
25
50
100
150
200
250
300
300K
25K
Figure 3-1 Temperature-dependent refractive index profiles of PbTe containing 1% excess Te
As a result of variations in the deposition parameters, which affect the exact optical properties of the
deposited PbTe films, reproducible characterisation of the dispersion and absorption properties for
stoichiometric PbTe material has proved to be notoriously difficult. The sensitivity to the amount of short
wavelength scatter which varies with the exact deposition conditions, combined with the relatively long
wavelength semiconductor edge, has meant that the amount of data available for analysis in the transparent
region of the substrate, prior to the lattice absorption, is limited. Approximations using bulk material properties
from semiconductor theory have therefore to be used to characterise this material for an n and k database
[54]
. This
is not such a problem with tellurium-enriched material as the short wavelength scatter is considerably less due to
the absence of oxygen, making the deposited film denser and more glassy, and providing better reference data
for analysis.
For intrinsic PbTe material, the predicted index dispersion profile generally follows the simple classical
oscillator of resonant wavelength (
0
) from which the dielectric constant (=n
2
) varies with wavelength
according to Equation 3-2. Onto this can then be superimposed the effects of varying carrier concentrations.
_________________________________________________________________________________________
73

j
(
,
\
,
(
1
1
1
0
2

0
for >
photo
(3-2)
In this equation, the value of
is an asymptotic value of the dielectric constant (

0
) at long
wavelengths and
photo
is the threshold wavelength for intrinsic photoconductivity. Walton and Moss
[55]
measured
the index of single crystals of PbTe in the range 4.5m to 8.0m. These samples had an intrinsic carrier
concentration of 10
18
carriers per cm
3
, the effect of which was considered negligible to the value of the refractive
index at these wavelengths. They found values of n
= 5.64 0.03 and

0
= 1.27m. By combining this data
with values of the high frequency dielectric constants reported by Dalven
[56]
as given in Table 3-1 for
temperatures of 373, 300 and 77K, an intrinsic dispersion curve can be plotted for the three temperatures, as
illustrated in Figure 3-2. In general, the lower the temperature, the higher the refractive index is at any given
wavelength and the shorter the wavelength, the greater is the change of refractive index with temperature.
Table 3-1 Dielectric properties of intrinsic PbTe
Temperature 77K 300K 373K
Bandgap (eV) 0.22 0.31 0.33
photo
(m) 5.71 4.00 3.65
36.9 32.8 32.0

N 5x10
14
10
16
10
17
For additional concentrations of carriers, the superposition of carrier dispersion on the intrinsic
refractive index (n) profile can be calculated
[57]
by addition of Equation 3-2 relating the refractive index and
carrier concentration.
( )
n n
Ne
m c

0
2
2
0
2
2
2
*

(3-3)
where; N is the carrier concentration, e the electronic charge, m
*
the effective mass (PbTe 0.1e),
0
the static
dielectric constant, c the velocity of light and n
0
the intrinsic dielectric dispersion.
5
5.2
5.4
5.6
5.8
6
6.2
6.4
6.6
6.8
7
3.5 4.5 5.5 6.5 7.5 8.5 9.5 10.5 11.5 12.5 13.5 14.5
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x

(
n
)
77K
300K
373K
No
No
No x 10
No
No x 10
No x 100
Figure 3-2 Dielectric dispersion for bulk PbTe with added concentrations of carrier dispersion
3.2 Lead Telluride (PbTe) Absorption
A major problem limiting both the performance and possible characterisation of PbTe-based multilayer
filters are the effects of scattering and absorption in the individual layers of a multilayer stack. Scattering losses
_________________________________________________________________________________________
74
caused by deflections of the incident radiation by volume or surface defects, or the formation of microcrystal
grain boundaries in the deposited films are difficult to quantify as the amount of scattering is dependant on the
surface preparation, deposition conditions and material characteristics of the film. Absorption however, being an
interdependent function of the complex refractive index has been thoroughly investigated over many years and
reported for many infrared materials
[58]
.
The PbTe absorption spectra in Figure 3-3 shows the effects of temperature on both the amount of
absorption and positioning of the absorption features at temperatures of 300 and 77K. Contrary to the behaviour
of most semiconductor materials, the position of the PbTe electronic absorption edge moves to longer
wavelengths on cooling. This is considered to be due to the anomalous decrease in size of the forbidden band-
gap ( 4.2x10
-4
eV/K). In order for the PbTe to transmit, the band-gap must be larger than the wavelengths of
interest, the band-gap defining the position of the short wavelength transmittance limit (=hc/eE
g
). The
absorption characteristic provides a continuum of intense absorption at short wavelengths which is bounded by a
steep absorption edge. In this region, the extinction coefficient (k) is close to an exponential function in
magnitude and extends over several decades. Its onset is caused by the optical excitation of electrons obtaining
sufficient energy to achieve either direct or indirect transitions into the conduction band. The type of transition
being dependent on the exact structure of the energy bands. In intrinsic PbTe between 450K and 100K the band-
gap changes from 0.4eV to 0.25eV. The size of the wavelength shift is proportional to the reciprocal of the
temperature, moving from 3.2 to 5.0m across this temperature range.
1E-04
1E-03
1E-02
1E-01
1E+00
0.0 5.0 10.0 15.0 20.0 25.0 30.0 35.0 40.0
Wavelength (m)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
77K
Photo-
absorption
region
Figure 3-3 Semiconductor model of PbTe extinction coefficient (k) at 300 and 77K
In intrinsic material, the amount of photo-absorption at wavelengths shorter than the principal
semiconductor edge is dependent on both the carrier concentration and temperature. The effect of temperature
displaces the entire spectrum in proportion to the shift in position of the photo-absorption threshold wavelength.
The photo-absorption effect, caused by direct electron transfers from the valence to conduction band, involves
the electron in an increase of energy equal to the forbidden gap. There is no change in the momentum of the
electron, with the k-vector (2/) remaining constant. In this region the refractive index reduces slowly from the
threshold value. The intrinsic absorption profile of PbTe is considered to exist with two distinct absorption
processes, initially the linear photo-absorption region which is followed by the electronic absorption edge.
By extension of the previous dispersion analysis, the following bulk semiconductor model
[59]
in
Equation 3-4 and illustrated in Figure 3-3 represents a model of the extinction coefficient profile for PbTe at 300
and 77K. This profile shows both absorption processes and can be used to predict the performance of filters on
cooling.
2
2
2
2
0
3
3
nk
Ne
m c
( ) ( )
*

(3-4)
_________________________________________________________________________________________
75
where; N = carrier concentration, e = electronic charge, m
*
= effective mass ( 0.1 m
e
),
0
= absolute dielectric
constant, c = velocity of light, & = carrier mobility ( 1800 cm
2
/V/sec)
3.2.1 Modified lead telluride (PbTe) photo-absorption spectra
Though in regions remote from the absorption edge this model gives a good indication of the shift in
filter profile. I have suggested
[60]
further modifications were required to this model in the region between the
photo-absorption and intrinsic semiconductor edge to simulate experimental effects which have been observed
on the spectral profile of long-wave pass edge filters operating in this region. When a filter passband overlaps
with the absorption edge, the agreement of the model is poor. The measured performance exhibits a smoother
and less steep profile in this region than that supported by the calculation. This indicates that k changes more
gradually and smoothly in practice than the simplified model would suggest, and that the absorption edge is more
representative of a single stage process, merging the photo-absorption regions and electronic semiconductor
edge together. Improvements to the microstructure of the deposited multilayer would be a more desirable
outcome, but is difficult to achieve using conventional thermal evaporation technology.
The modified lead telluride absorption spectra illustrated in Figure 3-4 which I have proposed for this
material show a more gradual short wavelength roll-off of the photo-absorption region as opposed to the linear
absorption profile described previously. This modified profile indicates that at short wavelengths there is an
interaction between both the photo-absorption and electronic absorption processes. This involves both direct and
indirect electrons making transitions, with certain electrons experiencing a change in momentum due to phonon
interaction, others making the transition directly. Previously, the two processes were considered to be
independent, however experimental evidence from the effect of cooling on a long wave pass edge filter in Figure
3-5 containing PbTe as the principal H-layer material indicate a merging of the two processes, with only certain
proportions of the electrons absorbing incident radiation, and making the transition directly. Other possible
reasons for smoothing the photo-absorption characteristic are;
i) Not all of the available atoms are absorbing the incident radiation (or some are re-radiating), creating only
preferential absorption at certain wavelengths.
ii) The interfacial boundaries of each PbTe surface may be exhibiting unexpected amounts of absorption that are
different to that found within the bulk material properties of the layer, depending on the microstructure of the
film, and
iii) Free charges which may be liberated at the surface of a layer may remain trapped to localised surface atoms.
The optical characterisation of stoichiometric thin-film PbTe material is an area of ongoing research
within our laboratory still requiring further validation.
1E-04
1E-03
1E-02
1E-01
1E+00
0 5 10 15 20 25 30
Wavelength (m)
E
x
t
i
n
c
t
i
o
n

C
o
e
f
f
i
c
i
e
n
t

(
k
)
Modified
photo-absorption
region
Figure 3-4 Modified semiconductor model of PbTe extinction coefficient (k) spectra at 300 and 77K
_________________________________________________________________________________________
76
0
20
40
60
80
100
120
3.00 3.25 3.50 3.75 4.00 4.25 4.50 4.75 5.00 5.25 5.50 5.75 6.00 6.25
Wavelength (m)
T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
300K
90K
Figure 3-5 Measured PbTe-based long-wave pass edge filter at 300K and 90K
(showing a gradual transition between the photo and electronic absorption regions)
3.3 Zinc selenide (ZnSe) dispersion
The use of ZnSe as a low index II-VI material (n 2.35) complements PbTe as a hard dielectric with
good transparency out to wavelengths beyond 20m in its thin-film form. Being a dielectric material, the
refractive index is defined by the dielectric constant (), which is determined entirely by localised electrons
bound to the lattice, the magnitude of this dielectric constant being a function of the electron polarizability. The
shape of the dispersion profile, is characterised by a decline to increasing wavelength which follows the
Sellmeier
[61]
dielectric dispersion profile caused by the influence of lattice absorption. As the material cools the
amount of lattice absorption reduces and the temperature profiles converge at long wavelength, where the high
frequency dielectric constant (
) becomes a fixed value. Determination of a refractive index profile to use for

the n and k database for this material in its thin film form was derived using the Manificacier
[62]
envelope method
and verified through reverse synthesis.
This method uses only the transmission measurement of a single dielectric film deposited on a known
substrate material in the region of high transparency to determine the real and imaginary parts of the complex
refractive index N = n - ik, and thickness t. This film is bounded by two transparent media with refractive
indices, n
0
and n
1
. In normal incident radiation, the amplitude of the transmitted wave is given by;
( )
( )
A
t t iN t
r r iN t

+
1 2
1 2
2
1 4
exp
exp

(3-5)
where, t
1
, t
2
, r
1
, and r
2
are the transmittance and reflection coefficients at the front and rear surfaces. The
transmittance of the layer is given by;
T
n
n
A
1
0
2
(3-6)
( )
( )
T
n n n k
C C C C nt
+
+ +
16
2 4
0 1
2 2
1
2
2
2 2
1 2
cos
(3-7)
where in the case of spectral regions containing weak absorption, such that k
2
<<(n - n
0
)
2
and k
2
<< (n - n
1
)
2
, then
the coefficients are;
( ) exp 4 k t (3-8)
( )( ) C n n n n
1 0 1
+ + (3-9)
( )( ) C n n n n
2 0 1
(3-10)
_________________________________________________________________________________________
77
From the oscillating spectral profile of a single film, the transmittance maxima and minima of Equation 3-7
occur where;
4 nt m (3-11)
where m is the order number. In the case where n > n
1
which corresponds to a semiconducting film on a
transparent non-absorbing substrate, C
2
<0, the extreme values of the transmission are given by Equations 3-12
and 3-13
( )
T
n n n
C C
max

+
16
0 1
2
1 2
2
(3-12)
( )
T
n n n
C C
min

16
0 1
2
1 2
2
(3-13)
The ratio of these two equations gives;
( )
[ ]
( )
[ ]

+
C T T
C T T
1
2
1
1
1
2
1
2
max min
max min
(3-14)
From equation 3-9, 3-10 and 3-12,
( )
[ ]
n N N n n +
2
0
2
1
2
1
2
1
2
(3-15)
where
N
n n
n n
T T
T T
+
+

0
2
1
2
0 1
2
2
max min
max min
(3-16)
The refractive index is therefore determined by knowing T
max
, T
min
, n
1
and n
0
at the same wavelength.
The film thickness can then be calculated from two maxima or minima using equation 3-11;
( ) ( ) ( )
t
M
2 n n
1 2
1 2 2 1

(3-18)
where, M is the number of oscillations between the two extrema and
1
, n(
1
) and
2
, n(
2
) are the corresponding
wavelengths and refractive indices.
By using this method the refractive index profile in Figure 3-6 was determined for a single film of ZnSe
with a optical thickness of 24 quarter-wave optical thickness (QWOT) deposited at a fixed monitoring
wavelength of 4m (physical thickness 10m). From this, the following polynomial regression in Equation 3-19
was determined from which the database for this material could be constructed.
n A B C D E + + + +
2 3 4
(3-19)
where at 300K, A =2.4615, B = -0.0083, C = -0.0007 , D = 0.0003, E = -0.00002 ,
_________________________________________________________________________________________
78
2.405
2.410
2.415
2.420
2.425
2.430
2.435
2.440
2.445
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0
Wavelength (m)
R
e
f
r
a
c
t
i
v
e

I
n
d
e
x
Calculated Index
Polynomial
R i
Figure 3-6 Dispersive refractive index profile of ZnSe at 300K
Modelling the effects of temperature on the optical properties of the various infrared materials
mentioned in both bulk and thin film form has provided a good indication of the amount of dispersion that is
present across the infrared region. Further refinement and research is still however needed in the characterisation
of both PbTe and II-VI layer materials to produce a more complete model of their properties, which time has not
permitted on this occasion.
3.4 Thin film deposition technique
In order to achieve an efficient manufacture of precision infrared filters, the optical thickness control of
the multilayer during deposition is required to be highly accurate and reproducible. There are several methods
for monitoring layer thickness, of which quartz crystal and optical monitoring systems are the most common. In
the infrared region, an optical monitoring system is usually the most effective way to control thickness,
particularly as the layer thicknesses can be relatively large, which often limits the operational frequency range of
a quartz crystal, induced by excessive mass loading.
Ensuring the combination of high thickness accuracy, reproducibility and being able to utilize the
optimal spectral characteristics of the thin film materials, all aid to producing successful filter deposition yields.
This requirement for high accuracy is also becoming progressively more important as filters and coatings being
employed in space-flight optics are required to be deposited on tightly specified, high cost components, where
there exists no opportunity for optical re-working. These requirements therefore dictate that close attention must
be given to the design of the deposition plant, the substrate mounting methods, and the accurate measurement of
the optical thickness during deposition. These considerations have resulted in our laboratory developing a unique
fabrication process containing bespoke apparatus designed and manufactured in-house
[63]
.
Filter coatings are fabricated using a Balzers 510 bell jar deposition plant fitted with a cryopump and
containing a geometry of rotating thermal evaporation sources and stationary substrates. The deposition layer
materials are evaporated from resistance heated Molybdenum sources mounted on a rotating slip ring assembly,
as illustrated in Figure 3-7. This tooling configuration allows precise thermal control of the coating substrates
during deposition to ensure a good uniformity of the deposited layers. Further essential control of the substrate
temperature is achieved in the deposition by clamping the substrates using Pb annular washers, backing pieces
and disc springs. This arrangement provides a low impedance thermal path from the substrate to the temperature
controlled coating jig, keeping the substrate temperature constant despite the considerable and variable radiated
thermal flux from the evaporation sources. This is particularly important as the sticking coefficient of most of
the infrared materials deposited is strongly temperature dependant
[64]
. This reproducible and controlled method
of clamping ensures that there is a minimum of variation in the filter substrate and monitor piece environment
during the deposition. Thermocouples attached to the coating jig plate are used to monitor the temperature,
which by using controlled air cooling varies by approximately 1-2C during PbTe deposition and by 2-3C
during a ZnSe layer. For the deposition of PbTe/ZnSe based infrared coatings, a temperature between 185-200C
_________________________________________________________________________________________
79
has been found to provide an optimum combination of good optical and mechanical properties for thermally
deposited films. Whilst for ZnS/Ge based multilayers a substrate temperature of 125C is best suited, and for
BaF
2
films a higher deposition temperature of 230C is more appropriate.
Modified Balzers BA510 bell jar
chamber showing
(a) Temperature controlled substrate
coating jig mounting
(b) Evaporant control shutters
(c) Evaporation sources
(d) Rotating slip ring assembly
(e) LT brushes
(f) Ring gear / pinion for rotation
(g) Water cooled support ring
(h) Base plate with lead throughs
Figure 3-7 Balzers BA510 deposition plant layout
The deposition plant geometry of stationary substrates and rotating sources allows in-situ optical
reflectance monitoring of each layer during the deposition process, as illustrated in Figure 3-8. The monitor
substrate, usually of the same dimensions as the filter substrates, is mounted in the centre of the coating jig in
precisely the same way as the filter substrates as described above. In this way the monitor experiences the same
thermal environment as the filter pieces. Signal-to-noise ratio is optimised by removing all unwanted signals, firstly
by coarse grinding the rear surface of the monitor substrate and secondly by anti-reflecting the receiving monitor
surface with a single quarter-wave antireflection coating at the monitor wavelength immediately prior to the first
deposited layer. This effectively makes the monitor refractive index equal to 1.0. All subsequent layers deposited at
that wavelength will initially rise in reflection to a maximum at the quarter wavelength optical thickness and then fall
back to the starting level at the half-wave thickness. Thickness is monitored by observing and recording reflected
interference fringes at as short a wavelength as possible to obtain the best signal-to-noise ratio from the infrared
detector but also to maximise accuracy by counting as many fringes as possible. Each completed layer is made
effectively absent by continuing deposition until its reflectivity returns to the starting level. The next layer of the
alternating materials can then be deposited in the same way and so on. This monitoring procedure can be carried out
for typically around 31 layers before the monitor piece has to be changed as a result of absorption of the layer
materials. This procedure is known as even order monitoring and is well suited to the manufacture of bandpass
filters, the highly reproducible nature of the process allows filters to be placed in wavelength accuracy to a precision
of around 0.3% in the infrared region beyond 3.5m.
A chopped infrared signal from either a Nernst filament, wire wound resistor or quartz halogen bulb is
focused by CaF
2
optics onto the monitor substrate, the reflected signal is then re-focused onto the slit of a
monochromator which is set to the desired monitoring wavelength. The monochromatic signal is then further
focused by an IRTRAN II (ZnS) lens onto a pyroelectric detector which is then signal processed by a phase
sensitive detector, the output of which is used to control the process.
_________________________________________________________________________________________
80
Figure 3-8 Substrate thermal contact and layer monitoring arrangement
3.4.1 Fractional thickness reflectance monitoring
In order to manufacture edge filters or broadband antireflection coatings with steep edges or highly
transparent spectral responses over a wide spectral region, it is necessary to deposit layers which are of non-
quarterwave, or multiple quarterwave, thicknesses at the monitor wavelength. This is achieved by including an
additional shutter below the substrate plane, as illustrated in Figure 3-9. By the operation of this simple shutter
arrangement which isolates the filter pieces from the flux of the evaporant being received by the monitor (and by the
filter pieces up to that point in operation), accurate fractional layer thicknesses can be deposited from the reflectance
fringes being deposited as the layer grows on the central monitor piece, as illustrated in Figure 3-10. The following
algorithm is then used which links reflectance level to optical thickness.
Figure 3-9 Plan view of shutter arrangement
_________________________________________________________________________________________
81
Figure 3-10 Reflectance signal during deposition
The signal amplification at time a in Figure 3-10 increases the sensitivity at the layer interfaces for
accurately determining the termination thickness of an integral quarterwave.
Prediction of the reflectance amplitude (I
s
) versus thickness during layer deposition is calculated by the
algorithm:
( )( )
( ) ( )
I
R R
R R R
s

+
1
1 1
1
2 1
2
max min
max max min
sin q
(3-20)
where R
max
= (n
2
- y
o
)
2
/(n
2
+ y
o
)
2
, R
min
the residual reflectance minimum, n the refractive index of the
depositing layer, q the optical thickness in quarterwaves (4nt/), and y
o
the effective refractive index of the
antireflected substrate, and subsequent absentee layers deposited upon it. Comparison of this predicted characteristic
has been found to be a near perfect approximation to that derived experimentally
[65]
. However, for the determination
of the specific reflectance levels associated with a particular layer thickness, further modifications
[65]
are applied to
this algorithm for operation of the shutters.
The normalised reflectance change (S) of the interference fringe is the reflectance at the particular
thickness, minus the minimum level, divided by the total reflectance swing, as given by Equation 3-21;
( )
( )
S
R R
R R
q
min
max min
(3-21)
This can then be applied to the formula in Equation (3-22), which is applicable to a layer deposited on any
underlying structure of existing layers:
( ) ( )
S
C q
+
1
1 1 2
2
cot
(3-22)
where C is a contrast figure given by (1-R
min
)/(1-R
max
).
For low refractive index materials (L-layers), this is calculated depending on the reflection parameters of the layer
being deposited:
C
R
R
L
L
L
j
(
,
\
,
(
1
1
min[ ]
max[ ]
(3-23)
_________________________________________________________________________________________
82
Determination of the predicted shutter opening level on the reflectance fringe, which then provides a
symmetrical terminating reflectance, can be calculated (in radians) by Equation 3-24:
( )
R R
R R
N q
C
open L
L L
i
L
+

+

j
(
,
\
,
(
j
(
,
\
,
(
max[ ]
min[ ] max[ ]
tan 1
2 2
2
(3-24)
where N is the integral number of quarterwaves out of which the fraction is being subtracted.
The opening lost QWOT (i.e. that thickness deposited on the monitor only prior to the opening
reflectance) can then be calculated by Equation 3-25:
q
R R
R R
C
open
L L
open L
L
j
(
,
,
\
,
(
(

2
1
1
tan
min[ ] max[ ]
max[ ]
(3-25)
Determining the terminating reflectance level is then calculated using the fractional thickness required to
be deposited plus the opening lost QWOT (i.e. q
open+i
= q
open
+ q
i
) from which the closing lost QWOT (i.e. that
deposited on the monitor following the terminating reflectance) can be calculated from Equation 3-26:
q
R R
R R
C
close
L L
close L
L
j
(
,
\
,
(

2
1
1
tan
min[ ] max[ ]
max[ ]
(3-26)
The fraction deposited on the required substrates is therefore
( )
q N q q
i open close
+ . Converting this
into a reflectance level to determine the terminating reflectance point is then calculated using Equation 3-27:
( )
( )
R R
R R
q q C
close L
L L
open i L
+

+ +
j
(
,
\
,
(
max[ ]
min[ ] max[ ]
tan 1
2
2
(3-27)
When the quarterwave fraction is required to be subtracted from a multiple number of integral
quarterwaves, the maximum and minimum reflectance parameters used to calculate the opening level are calculated
from the N=1 reflectance fringe. The terminating reflectance level can then be calculated by substituting values
appropriately from the N-1 reflectance fringe.
Evans et al
[66]
showed by a prediction of the reflectance curves from Cartesian (Argand) diagrams which
represent the deposition of alternating L and PbTe(H) layers, that as a result of growth increments which occur at
the interface between layers, the determination of a predicted H-layer maximum would provide a more accurate
value for the contrast calculation than the actual R
max
provided by the layer itself. Therefore, using the reflectance
parameters of the preceding L-layer, the predicted H-maximum can be calculated inclusive of the index contrast
(n
H
/n
L
) of the two layers, in Equation 3-28:
R
R
R
n
n
R
R
n
n
H
L
L
H
L
L
L
H
L
max[ ]
max[ ]
max[ ]
max[ ]
max[ ]
j
(
,
,
\
,
(
(
+
+
j
(
,
,
\
,
(
(
,
,
,
,
,
,
,
]
]
]
]
]
]
]
]
1
1
1
1
1
1
2
2
2
2
2
(3-28)
from which the H-layer contrast is then calculated by:
_________________________________________________________________________________________
83
C
R
R
H
L
H
j
(
,
\
,
(
1
1
min[ ]
max[ ]
(3-29)
Calculation of the appropriate reflection levels required for the shutter opening and closing positions are
then determined by substituting the actual deposited H-layer reflectance parameters back into Equations 3-24 to 3-
27.
The optical deposition thickness (q
i
) for each layer is given by:
q Z
n
n
X Y
i i
mon
F
D
i
i

j
(
,
,
\
,
(
(
,
,
,
]
]
]
]
0
(3-30)
where i is the individual layer number (i=1...n), is the quarter-wave optical thickness,
0
is the design wavelength
(i.e. the wavelength at which all the layer design thicknesses are correct),
mon
is the monitoring wavelength, n
F
is
the refractive index of the layer at the deposition temperature, n
D
is the refractive index at the design temperature, X
and Y are additional growth parameters following layer termination, and Z is the fine tuning coefficient used to
accurately locate the profile to the desired spectral position. From this, the physical thickness (t
p
) of both the
individual layers and the complete multilayer structure at the deposition temperature (n
F
) can then be calculated
from Equation (3-31).
t
q
n
p mon
i
F i
n
i
4
1
(3-31)
The implementation of these algorithms has been used extensively in the successful manufacture of filters
in our laboratory over many years. As part of this research I have translated this algorithm into a multipage
relational spreadsheet which is now used on a regular basis for the optical monitoring of filters during the
deposition process. Table 2 shows a typical example of a coating prescription defining some of the coating
calculation parameters used in the spreadsheet.
_________________________________________________________________________________________
84
Table 2 Example coating prescription record
COATING PRESCRIPTION
Project / Filter Type Description HIRDLS Channel 15 Common Warm / Cold Filter High Pass + Ext HP Blocker
Prod 1 - Deposited using Electronic PSD monitoring method
Run Number 4211
Run Date 05-Oct-98
Design Description 19 Layer ZnSe/PbTe Optimised TSB High Pass Edge Filter + QWS
Required to be at 1075cm-1 at RT
Operator GJH
Deposition Plant B1
Calibration Run Number 0
Calibration Run Description 0
Design Wavenumber (cm-1) 1268.8 Wavelength (um) 7.881
Monitoring Wavelength 5.000
Monochromator Drum Reading 4.15 Qm=Qd*Monit Wn/Design Wn
Monochromator Slit Width 4.00 Qf = (Qm-x)*y*z
Blocking Filter Identification 3.9um
Blocking Filter Cut-On (um) 3.9um
IR Source QI
Monitor Material Ge
Monitor Index 4.00
Monitor Diameter (mm) 25.4
Monitor Thickness (mm) 2.0
Material nd nf x y ID Temp (C) Lot / Batch No.
1 ZnSe 2.35 2.35 0.00 1.00 L 185 0
2 PbTe 5.5 5.35 0.01 0.99 H 185 0
3 Ge 4.15 4.15 0.00 1.00 M 120 0
4 ZnS 2.2 2.2 0.00 1.00 Z 120 0
5 GeSe 3.3 3.3 0.00 1.00 G 185 0
Fine Tuning Coefficient (Z) 1.0000
Run No. 4211 HIRDLS Channel 15 Common Warm / Cold Filter High Pass + Ext HP Blocker
Print Date 15-Nov-98 19 Layer ZnSe/PbTe Optimised TSB High Pass Edge Filter + QWS
Layer FTG Layer Design Taper Layer Deposition Growth Growth Layer Deposition
(from Sub) Design Material Index Correction Thickness Index Correction Correction Material Thickness
Import ID (nd) (Deg) (nf) (x) (y) (Qf)
1 2.0000 L 2.35 1.000 180.000 2.35 0.00 1.00 ZnSe 3.153
2 2.0000 H 5.50 1.000 180.000 5.35 0.01 0.99 PbTe 3.026
3 2.0000 L 2.35 1.000 180.000 2.35 0.00 1.00 ZnSe 3.153
4 2.0000 H 5.50 1.000 180.000 5.35 0.01 0.99 PbTe 3.026
5 2.0000 L 2.35 1.000 180.000 2.35 0.00 1.00 ZnSe 3.153
6 2.0000 H 5.50 1.000 180.000 5.35 0.01 0.99 PbTe 3.026
7 2.0000 L 2.35 1.000 180.000 2.35 0.00 1.00 ZnSe 3.153
8 2.0000 H 5.50 1.000 180.000 5.35 0.01 0.99 PbTe 3.026
9 1.8184 L 2.35 1.000 163.652 2.35 0.00 1.00 ZnSe 2.866
10 1.6229 H 5.50 1.000 146.057 5.35 0.01 0.99 PbTe 2.454
11 1.5614 L 2.35 1.000 140.527 2.35 0.00 1.00 ZnSe 2.461
12 1.5316 H 5.50 1.000 137.843 5.35 0.01 0.99 PbTe 2.315
13 1.5068 L 2.35 1.000 135.613 2.35 0.00 1.00 ZnSe 2.375
14 1.5006 H 5.50 1.000 135.053 5.35 0.01 0.99 PbTe 2.268
15 1.5343 L 2.35 1.000 138.084 2.35 0.00 1.00 ZnSe 2.418
16 1.4610 H 5.50 1.000 131.486 5.35 0.01 0.99 PbTe 2.208
17 1.6300 L 2.35 1.000 146.696 2.35 0.00 1.00 ZnSe 2.569
18 1.3597 H 5.50 1.000 122.376 5.35 0.01 0.99 PbTe 2.054
19 0.8298 L 2.35 1.000 74.678 2.35 0.00 1.00 ZnSe 1.308
3.5 Nucleation, growth and structure of infrared thin films
The optical and physical properties of deposited infrared thin-film materials are known to vary
considerably from that of the bulk material, particularly if the thickness of the film is very small, or if the
microstructure possesses a high concentration of crystal defects. The microstructure of infrared films deposited
by thermal evaporation tends to exhibit a highly columnar structure with a large internal surface area, which is
the primary influence affecting the optical and mechanical properties of the films. These structural characteristics
are responsible for many of the difficulties experienced in the fabrication and subsequent performance of optical
coatings
[67]
which are inherent to their method of formation in the deposition process. The deposition of the
multilayer films included in this thesis have been prepared by thermal evaporation as discussed earlier in this
chapter.
_________________________________________________________________________________________
85
The process of film formation with this technique is by condensation from the vapour phase of the
material. The thermodynamic requirement for condensation to occur is that the partial pressure of the film
material in the gas phase is equal or larger than its vapour pressure in the condensed phase at that temperature.
However, this is only true if the condensation occurs on a film material already condensed or on a substrate
made of the same material. Generally, the substrate is of a chemical composition different to that of the film
material. In this circumstance an additional adsorption phase is to be considered, where the vapour atoms are
adsorbed onto the substrate surface, requiring them to combine with other adsorbed atoms. On an atomic scale, a
clean substrate surface is composed of a large number of adsorption sites to which an atom becomes bound with
a certain amount of adsorption energy. The adsorbed atom does not remain stationary in this state but there is a
possibility of either re-evaporation, with an energy equal or greater than the adsorption energy, or of migration to
an alternate adsorption site with less energy. This migration mobility is a phenomenon in which the mobility of
the atoms or molecules find the lowest energy stable configuration. In addition to migration, other processes,
such as collisions, occur depending on the arrival rate of the atoms at the substrate. There is a probability that
one migrating atom will collide with another and form a bond of two atoms or more, creating an localised island
cluster, which is the formation of the primary nucleation. The creation of the isolated nucleation centres means
the film at this stage is not continuous but provides a lower energy site to which subsequent atoms can condense.
The specific shape of the cluster results from a compromise between differing surface characteristics. One tends
towards making the cluster spherical, and the other, being adsorption at alternative sites on the substrate, tends to
make the film flat.
These clusters continue to enlarge until they touch neighbouring clusters where they join together to
form a single cluster. This process is called the coalescence or agglomeration stage of the film growth, in which
a network of clusters is formed separated by substrate valleys. The valleys are then slowly filled until a single
continuous film is formed. If the depositing vapour atoms possess a low mobility, and the impingement rate of
atoms arriving at the surface is high, then cluster growth in three dimensions during the nucleation and
coalescence stages progresses rapidly. The thin film can then contain microvoids or vacancies during the film
growth, which act as centres for inducing structural film defects.
The columnar structure of thermally deposited multilayers is best described by the microstructure zone
model of Movchan and Demchishin
[68]
shown in Figure 3-11. Zone 1 in this model shows the deposition of the
evaporated vapour at low substrate temperatures. This produces insufficient mobility of the impinging atoms to
overcome shadowing effects created in the growth of clusters during the nucleation stages of the film formation,
causing a less dense columnar growth. Other effects such as oblique incidence of the vapour and high surface
roughness of the substrate can also contribute to less dense growth in this zone. Voids are noticeably present in
this zone which may continue throughout the growth of the film. The columns in this zone are usually amorphous
or generally consist of smaller disordered crystals. As a result the film growth in this zone, films are often
subjected to compressive stress upon cooling, lifting the deposited film from the surface of the substrate.
Increasing the substrate temperature increases the mobility of the atoms, enhancing surface diffusion
and increasing the density of the film. Zone 2 shows this effect by the formation of a more tightly packed
columnar structure. In the transition zone between 1 and 2, the film has fewer voids than in zone 1, consisting of
small vertical fibrous grains. As the substrate temperature rises further still towards zone 3, film hardness and
abrasion resistance increase significantly, however the film is then subjected to increasing tensile stress as the
mismatch between the thermal expansion coefficients of the deposited layer and substrate induce failure upon
cooling. This is characterised by a matrix of right-angled cracks in the film or multilayer caused by the differing
rates of contraction.
_________________________________________________________________________________________
86
Zone 1 Zone 2 Zone 3
Temperature
Figure 3-11 Temperature-dependent microstructural zones of condensed films
Figure 3-12 shows a high resolution electron micrograph of a thermally deposited ZnSe/PbTe based
multilayer in which both the columnar structure of the films, and the existence of film voids appear to be evident.
To obtain this SEM, the sample was prepared on a thin (400m) germanium substrate which was then snapped
across its diameter to reveal the multilayer cross-section. As a result of this procedure, these particular voids
may have been caused by either disordered crystal defects within the layers, which upon breaking removed
material from those sites or genuine nucleation voids. These voids have only occurred in this single isolated
region and within this particular multilayer. The subsequent sample preparation of a similar multilayer treated to
the same process revealed a void-free breakage. These characteristics confirm that the film growths of
multilayers using our existing thermal evaporation technology is within the transition region between zones 1
and 2. This microstructural analysis is a new area of research activity on films currently being conducted
between our laboratory and Prof. Shigetaro Ogura of Kobe Design University, Japan, from which this is the first
presented picture obtained for these types of multilayer at this resolution.
PbTe
ZnSe
PbTe
ZnSe
PbTe
ZnSe
PbTe
ZnSe
PbTe
ZnSe
Ge
Figure 3-12 Columnar microstructure of a ZnSe/PbTe multilayer deposited on Ge
containing structural voids in the PbTe layers.
_________________________________________________________________________________________
87
Further optical assessment of cross-sectioned infrared multilayers has been investigated as a result of
the filter dimensioning and sizing requirements for the focal plane array of the EOS High Resolution Dynamics
Limb Sounder (HIRDLS) instrument. This instrument has required the development of sub-millimetre sized
(1.39 x 0.63mm) cooled filters for the detector assembly, as discussed in Chapter 5, for which cutting through
the multilayer was performed by a 40m metal-diamond blade mounted to a high precision slitting saw. Figures
3-13 and 3-14 show an example of the filter cutting and identification marking required for these filters. The
removed identification material was performed by ablation using a Krypton Fluoride (KrF) excimer laser
operating at 248nm, from which two pulses with a pulse length of 25ns produced the 60m high characters
which are about 0.3m deep.
Figure 3-13 SEM showing cut-filter size
Figure 3-14 Identification marking
The cross-sectioned multilayers in Figures 3-15 and 3-16 are the blocking and bandpass coatings for a
narrow bandpass filter at 17.4m. The multilayer is a alternate sequence of ZnSe/PbTe layers, where the light
bands are PbTe material. The blocking stack in Figure 3-15 is a spectrally overlapping combination of two
Herpin quarterwave stacks on to which is then further deposited an optimised Tschebysheff
[69]
long-wave pass
edge filter. This design construction can be seen as a graduated sequence of layer thicknesses increasing from the
substrate outwards. On the rear surface of this filter is deposited a triple half-wave bandpass filter as shown in
Figure 3-16. As can be seen, this filter contains a repeating series of integral quarter-wave thickness layers, and
three cavity layers of multiple quarter-wave thickness.
Figure 3-15 17.4m Blocking filter Figure 3-16 17.4m Bandpass filter
_________________________________________________________________________________________
88
3.6 Conclusion
As a result of this investigation into the optical and physical properties of these thermally deposited
films, it has clearly become evident that considerable improvements to the microstructure are needed. The results
of the optical characterisation have provided some initial models for the dispersive optical properties, to which
further refinements can now be applied. However, achieving an accurate determination of the temperature-
dependent optical constants is limited by the variabilities of the deposition process to reproducibly manufacture
films to the high-quality needed. The use of ion-beam assisted deposition techniques during the film growth may
help to improve this reproducibility, and increase the density of the films. This equipment was not available
during my research, but would improve the refractive index of the materials and provide values closer to the bulk
properties. Ion-beam assist may also promote a degree of amorphism in the deposited films by altering the
microstructures and porosity caused by the nucleation of crystallites. This will result in greater spectral and
environmental stability of the multilayer, and increase its resistance to damage.
_________________________________________________________________________________________
89
CHAPTER 4
MULTILAYER CALCULATION THEORY AND APPLICATIONS
An example of an idealised multilayer stack is shown in Figure 4-1. It consists of a total of m layers
deposited upon a substrate which has a complex optical refractive index given by n n ik
s s s
. Each of the
layers has a physical thickness (t
m
) and optical constants given by n n ik
m m m
, where n
m
is the dispersive
refractive index and k
m
is the dispersive extinction coefficient. The incident radiation has an angle () from a
non-absorbing incident medium of refractive index (n
0
). If the layers are non-absorbing, the layer boundaries are
parallel and the angle of refraction in the m
th
layer,
m
, is determined from Snells law. Each layer in the stack is
therefore specified by three parameters, t
m
, n
m
and k
m
. These quantities, along with n
0
, n
s
, and k
s
, specify the
principal optical properties of the multilayer. With these quantities and angle of incidence the reflectance R and
transmittance T of the multilayer can be calculated as a function of wavelength.
Figure 4-1 Nomenclature used for designating the thickness, refractive index,
and angle of refraction for each layer in a multilayer stack.
The phase of the m
th
layer is defined as
m
= 2n
m
t
m
, where is the wavenumber of the incident
radiation, = 1/. The wavenumber (cm
-1
) is proportional to the frequency of the radiation. In computing the
spectral transmittance of a multilayer, the advantages in using this wavenumber scale are that many spectral
transmittance profiles tend to have a even symmetry about some point when plotted on a frequency scale,
whereas the profiles are quite asymmetrical when plotted versus wavelength. A further advantage of using
frequency as the calculation variable is that often maxima and minima on a single film transmittance or
reflectance curve are spaced at equal intervals on a frequency scale, whereas on a wavelength scale they are
spread out to long wavelengths and compressed together in the short wavelength region.
When radiation is incident upon a multilayer at oblique incidence, both R and T must be computed
separately in each plane of polarization. R
p
, T
p
in the p-plane of polarization, where the electric vector is parallel
to the plane of incidence and R
s
, T
s
in the s-plane, where the electric vector is perpendicular to the plane of
incidence. Generally, when unpolarized radiation is incident upon a multilayer at non-normal incidence, both the
reflected and transmitted light becomes partially plane polarized. If the incident radiation is elliptically
polarized, as illustrated in Figure 4-2, the degree of elliptical polarization of both the reflected and transmitted
radiation is altered. This is because not only is the reflectance and transmittance different in the two planes, but
also because the phase shift on reflectance is different for the two planes. If the radiation which is obliquely
incident on a multilayer is initially unpolarized then the polarizing effect of the multilayer can be neglected and
the average reflectance and average transmittance is the mean of the two polarizations (i.e. R
ave
= (R
p
+ R
s
)/2 ,
and T
ave
= (T
p
+ T
s
)/2).
_________________________________________________________________________________________
90
Figure 4-2 Linear (a) and Elliptical (b) polarized radiation
4.1 Loss-free multilayer matrix calculation
The calculation matrix described here, determines the spectral transmittance and reflectance profiles for
a loss-free multilayer design on an absorptive substrate. The calculation is for normal incidence radiation, and
assumes the films are optically homogeneous. From electromagnetic field theory, the electric field vector (E
m-1
)
and magnetic field vector (H
m-1
) at the incident boundary of a film are related to the electric field (E
m
) and
magnetic field (H
m
) vectors at the boundary of the adjacent film by the product of the following matrices per
layer. The matrix is calculated at each boundary throughout the multilayer as the magnitude of the electric and
magnetic field vectors alter with the properties of the layer
[70]
. Application of the appropriate boundary
conditions between each layer require that the tangential components of the E and H vectors are continuous
across each boundary to the equations of wave propagation. Figure 4-3 illustrates a plane wave incident on a thin
film.
Figure 4-3 Plane wave incident on a single thin film
The electric and magnetic field vectors of the waves travelling in the direction of incidence are denoted
by the symbol +, and those waves travelling in the opposite direction by the symbol -. At the interface of the
m
th
layer, the tangential components of E and H are:
E E E
m m m
+
+
(4-1)
_________________________________________________________________________________________
91
( )( ) H H E E E
m m m

+
1 1
(4-2)
Neglecting the common phase factors, and where E
m
and H
m
represent the resultants, then:
E
H
H E
E
m
m
m
+
+
j
(
,
\
,
(
1
2
1 1
(4-3)
E
H
H E
E
m
m
m
+
j
(
,
\
,
(
1
2
1 1
(4-4)
H H
E H
E
m m
m +
+
j
(
,
\
,
(
1
2
1
1
(4-5)
H H
E H
E
m m
m

j
(
,
\
,
(
1
2
1
1
(4-6)
The fields at the other interface m-1 are similar to Equations (4-3)-(4-6) at the same instant of time and
at a position with identical x and y coordinates. These can be determined by multiplying by the phase difference
in the z direction given by e
i
or

e
-i
where:
2
1
N
1
d cos
(4-7)
and
1
may be complex. The values of E and H at this interface are therefore :
E E e
H
E e
m m
i m
m
i
+ +
+
j
(
,
\
,
(
1
1
1
2

(4-8)
E E e
H
E e
m m
i m
m
i

+
j
(
,
\
,
(
1
1
1
2

(4-9)
( ) H H e H E e
m m
i
m m
i
+ +
+
1 1
1
2

(4-10)
( ) H H e H E e
m m
i
m m
i

1 1
1
2

(4-11)
where
1
is the tilted optical admittance given by
1
1
1
H
E
.
As the trigonometric identities for e
ix
= cos x + isin x, and e
-ix
= cos x - isin x, then
( )
E E E E H
i
m m m m m
+
+ +
1 1 1
1
cos
sin
(4-12)
( )
H H H E
i
H
m m m m m
+
+ +
1 1 1
1
sin
cos
(4-13)
This can then be written in matrix notation as:
( ) E
H
i
i
E
H
m
m
m
m
,
]
]
]

,
,
]
]
]
,
,
]
]
]
1
1
1
1
cos sin
sin cos

(4-14)
By replacing with refractive indices of the layer and substrate materials (n
m
/n
s
), the initial characteristic matrix
( M
1
) per layer (m) can be defined as:
M
E
H
i
n
n
i
n
n
E
H
m
m
m
s
m
m
m
s
m m
m
m
1
1
1
,
]
]
]

,
,
,
,
,
]
]
]
]
]
]
,
,
]
]
]
cos sin
sin cos

(4-15)
where:
m
= 2n
m
d cos
m
/ , d is the physical thickness, n
s
= substrate index, n
m
= film index,
m
= film
thickness (in radians), = phase thickness.
_________________________________________________________________________________________
92
m
can also be defined by the phase factor of the positive going wave given by:
m

2
(4-16)
where = wavenumber (cm
-1
) and = design reference wavelength.
Let : cos
m
= A = D, i
m m
sin / = B, i
m m
sin = C
then:
M
A iB
iC D
1

,
,
]
]
]
(4-17)
for successive layers:
layer 2 layer 1
M
A iB
iC D
A iB
iC D
2
2 2
2 2
1 1
1 1
,
]
]
]
,
,
]
]
]
(4-18)
M
A A iB iC
iC A D iC
A iB iB D
iC iB D D
2
2 1 2 1
2 1 2 1
2 1 2 1
2 1 2 1
+
+
,
,
]
]
]
+
+
+
,
,
]
]
]
(4-19)
as i
2
1 then M
2
is:
M
A A B C
iC A D jC
A iB iB D
C B D D
2
2 1 2 1
2 1 2 1
2 1 2 1
2 1 2 1

+
,
,
]
]
]
+
+
+
,
,
]
]
]
(4-20)
Let: AA A A B C
2 1 2 1
, BB A iB iB D +
2 1 2 1
, CC iC A D iC +
2 1 2 1
and DD C B D D +
2 1 2 1
the
matrix ( M
1
) is:
M
AA BB
CC DD
,
]
]
]
(4-21)
therefore, for a multilayer containing q-layers:
E
H
M
E
H
m
m
q
q
q
0
0 1
j
(
,
\
,
(
j
(
,
\
,
(
(4-22)
The loss-free transmittance and reflectance for the multilayer assembly can be calculated from this product
matrix by:
( ) ( )
T
n n
n AA n DD n n BB CC
q
s o
o s o s
+ + +
4
2 2
(4-23)
( ) ( )
( ) ( )
R
n AA n DD n n BB CC
n AA n DD n n BB CC
q
o s o s
o s o s
+
+ + +
2 2
2 2
(4-24)
Wherever the optical thickness of any layer is an integral number of halfwaves /2, , 3/2, 2 etc.. the
matrix boundary condition is always M
,
,
]
]
]
1 0
0 1
where, at the given reference design wavelength the value
of the transmittance for that layer will be absentee.
The transmittance profile of the uncoated substrate is given by:
T
T T
R R
ab
a b
t
a b
t
exp
exp
1
2
(4-25)
where a = incident surface and b = rear surface boundary. By substituting measurements of the spectral
transmittance of the uncoated substrate, combined with the dispersive refractive index model, the absorption
coefficients () is calculated using the algorithm defined in Equation 4-26 across the range of absorbing
wavelengths.
_________________________________________________________________________________________
93
( )

+
j
(
,
,
\
,
(
(
ln
T T T T R R T
T
a b a b a b ab
ab
2
2
4
2
t
(4-26)
The transmittance of the multilayer and substrate is then calculated by combining the coefficients
derived from the product matrix with the absorption coefficients determined for the substrate in Equation 4-27:
T
T T
R R
ab
aq bq
t
aq bq
t
exp
exp
1
2
(4-27)
where T
aq
, T
bq
, R
aq
, R
bq
are the transmittance and reflectance coefficients of the multilayer at the mth layer
adjacent to the substrate, and t is the product of the absorption coefficient profile and substrate thickness. The
effect of applying this calculation to a broadband antireflection coating with and without substrate absorption is
illustrated in Figures 4-4 and 4-5, from which the effects of absorption caused by the substrate is demonstrated
for differing thicknesses.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
loss free
2mm
2.5mm
3mm
3.5mm
4mm
Loss Free
2.0mm
4.0mm
Figure 4-4 Broadband antireflection coating on ZnSe (5.7-18.2m)
Double side coated loss-free calculation and including substrate absorption
A computer program using this algorithm to determine the effects of substrate absorption in a loss-free
multilayer was written at the commencement of this research using the Apple II basic programming language.
The flowdown diagrams of the program are attached in Appendix C, together with details of its operation and
implementation using the database method. With advances in computing technology however, this program was
superseded by the use of absorption modelling using spreadsheets and advanced thin-film software packages.
However, at the time of its development, the program was capable of performing analysis beyond that available
elsewhere.
_________________________________________________________________________________________
94
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0 250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Loss Free
1mm
1.5mm
2mm
2.5mm
3mm
3.5mm
4mm
Loss Free
4.0mm
Figure 4-5 Broadband antireflection coating on Germanium (5.7-18.2m)
Double side coated, loss-free calculation and including substrate absorption (1-4mm)
4.2 Multilayer calculations including layer absorption
The matrix calculations presented in Section 4.1 are useful for the case of non-absorbing layers, for
which the Fresnel coefficients are real. This represents the ultimate achievable performance by design, with
perfectly transparent materials deposited on an absorbing substrate. The development of the algorithm inclusive
of absorbing layers, for which the refractive indices are replaced by complex dispersive quantities produces
complex Fresnel coefficients, which when combined with the substrate model is then closer to a true
representation of the predictive performance of the manufactured filter.
In the absorbing multilayer case, the refractive index in the characteristic matrix is complex (N
m
= n
m
-
ik
m
), comprising the real part of the refractive index n
m,
and the imaginary part as the extinction coefficient k
m
.
The relationship between the electric and magnetic vectors in the medium of incidence to that in the substrate for
a single film can be expressed in matrix notation as follows
[71]
:
( ) E
H
i
i
E
H
a
a
b
b
,
,
]
]
]

,
,
]
]
]
,
,
]
]
]
cos sin /
sin cos

1
1
(4-28)
where, a is the incident medium boundary and b is the substrate boundary = 2N
1
d cos
1
/, is the optical
admittance given by
m
=Y (n
m
ik
m
) for the layer material, andY is the admittance of free space given by:
Y =
0
0
= 0.002654
-1
(4-29)
as the optical admittance
m
= H
m
/E
m
, this matrix can be written as:
( ) B
C
i
i
,
,
]
]
]

,
,
]
]
]
,
,
]
]
]
cos sin /
sin cos

1
1 2
1
(4-30)
where C/B = H
m1
/E
m1
, B = normalised electric field amplitude and C = normalised magnetic field amplitude.
Extending this assembly to a two layer case as illustrated in Figure 4-6,
_________________________________________________________________________________________
95
Figure 4-6 Plane wave incident on a two layer structure
The characteristic matrix is given by:
( )
E
H
i
i
E
H
b
b
c
c
,
,
]
]
]

,
,
,
]
]
]
]
,
,
]
]
]
cos sin /
sin cos

2 2 2
2 2 2
(4-31)
B
C
i
i
i
i
m
,
,
]
]
]

,
,
]
]
]
,
,
]
]
]
,
,
]
]
]
cos sin /
sin cos
cos sin /
sin cos

1 1 1
1 1 1
2 2 2
2 2 2 3
1
(4-32)
This recursive matrix can then be extended to the general case of an assembly of
q-layers, where the characteristic matrix is the product of the individual matrices taken in their sequential order,
i.e.,
B
C
i
i
m m m
m m m m
q
s
,
,
]
]
]

,
,
]
]
]
j
(
,
\
,
(
,
,
]
]
]
cos sin /
sin cos

1
1
(4-33)
where the phase factor
m
= 2N
m
d
m
cos
m
/ and
s
= Y (n
s
ik
s
) for the substrate
m
= Y N
m
cos
m
for s-polarization (TE) (4-34)
m
m
m
N
Y
cos
for p-polarization (TM) (4-35)
and where we have now used the suffix s to define the substrate or exit medium.
s
= Y N
s
cos
s
for s-polarization (TE) (4-36)
s
s
s
N
Y
cos
for p-polarization (TM) (4-37)
If
0
, the angle of incidence, is given, then the values of
m,s
can be found from Snells law, i.e.
N
0
sin
0
= N
m
sin
m
= N
s
sin
s
(4-38)
As B/C = E
a
/H
a
, the reflectance, transmittance and absorptance can be calculated as the following
coefficients, where
0
is the admittance of the incident medium.
R
B C
B C
B C
B C
q

+
j
(
,
\
,
(

+
j
(
,
\
,
(
0
0
0
0
(4-39)
_________________________________________________________________________________________
96
( )
( )( )
T
B C B C
q
s
+ +

4
0
0 0

Re
(4-40)
( )
( )( )
A
BC
B C B C
q
s

+ +
4
0
0 0

Re
(4-41)
where * = complex conjugate.
The reflectance, transmittance and absorptance are then related by R + T + A = 1. A mathematical analysis for a
single film with complex indices using this multilayer calculation procedure is described in Appendix D.
Double-side coated calculations shown in Figures 4-7 and 4-8 are inclusive of the dispersive complex
refractive index models of both the layer and substrate materials as applied to the previous examples of
broadband antireflection coatings. The predicted design model utilizes the reference complex material databases
for both the substrate and layer materials for the dispersive calculations, (with the exception of an
uncharacterised outer BaF
2
layer material responsible for the additional absorption present in the measurement at
750cm
-1
) . It can be seen that outside of this region which is dominated by the BaF
2
that there is good
agreement between the predictive design calculation and the measurement of the manufactured element.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Water
Absorption
BaF2 Film
Absorption
Figure 4-7 Broadband antireflection coating containing ZnSe/PbTe and BaF
2
outer layer
deposited on a 2.0mm ZnSe substrate
(comparison of predicted calculation performance (thin line) and measurement (thick-line) at 300K
_________________________________________________________________________________________
97
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
BaF2 Film
Absorption
Figure 4-8 Broadband antireflection coating containing ZnSe/PbTe and
BaF
2
outer layer deposited on a 3.0mm Ge substrate
(comparison of predicted calculation performance (thin line) and measurement (thick-line) at 300K
4.3 Predictive design modelling of a ultra-wide (5-30 m) passband filter
The design and manufacture of an ultra-wide (5-30m) infrared passband filter for use in FTIR studies
presents an example of the implementation of predictive design modelling. A design model of the filter and the
materials used in its construction has been developed from the data derived in Chapters 1 and 2 capable of
accurately predicting spectral performance at both 300K and the reduced operating temperature at 200K. This
design model is based on the optical and semiconductor properties of the multilayer filter containing PbTe layer
material in combination with the dielectric dispersion of ZnSe deposited on a CdTe substrate together with the
use of BaF
2
as an antireflection layer. Comparisons between the computed spectral performance of the model
and spectral measurements from manufactured coatings over a wavelength range of 4-30m and temperature
range 300-200K are presented.
Fourier Transform Infrared (FTIR) absorption studies of the vibrational modes of the photosynthetic
water-oxidising enzyme Photosystem II has led to the need for the design and manufacture of an ultrawide
infrared passband filter capable of transmitting infrared radiation with wavelengths between 5m and 30m
[72]
.
(Photosystem II is the enzyme responsible for the oxidation of water to dioxygen in algae and higher plants
[73-74]
).The specification requirements demanded for these filters in this study are unique. It is required that the filter
provide high average transmittance across the 5-30m wavelength band of >75%, with a spectral positioning
tolerance at 5m of 2%, and edge steepness of <4%. Continuous short wavelength blocking with transmittance
less than 10
-4
was needed, and the filters were required to operate at a reduced temperature of 200K.
4.3.1 Infrared materials selection
The choice of substrate and layer materials exhibiting continuous transparency out to the 30m region
is somewhat limited, particularly where soft and moisture sensitive materials are unacceptable for use, as is the
case in this application. Realistically the choice of possible materials is restricted to the following:- For the
substrate, CdTe and diamond were the most probable candidates, however, diamond had to be rejected on
grounds of cost and possible availability. The other possibilities of using KRS-5 and CsI were rejected on the
grounds of KRS-5 being too soft and not stable at the filter deposition temperatures, and CsI being highly
moisture sensitive. Cadmium telluride (CdTe) was therefore the most suitable substrate, providing good long
wavelength transparency out to 30m prior to the multi-phonon lattice-absorption region
[75]
, as illustrated in
Chapter 2. A substrate thickness of 2mm provided adequate mechanical robustness in combination with limiting
the long wavelength transmittance loss.
_________________________________________________________________________________________
98
For the layer materials, the choice of PbTe for the high index material
[76]
was straightforward, as the
only other possibility was that of using germanium with greater long wavelength loss. For the lower index
material, zinc selenide was selected because of its relatively low value of refractive index (n = 2.4) compared
with those of the other possibilities of CdSe (n = 2.54) and CdTe (n = 2.65) all of which possess good long
wavelength transparency. Finally, there is a overriding need in the design of filters requiring very wide ranges of
high transmittance (5-30m, a ratio of 6 to 1 in this case) for the use of a very low index material as the outer
antireflection layer. For this part of the structure either PbF
2
(n =1.75) or BaF
2
(n = 1.35) could have been used.
The choice was made to use BaF
2
as it has a lower refractive index, is less soluble than PbF
2
and because PbF
2
is
known to sometimes have free Pb in the film causing absorption. yttrium fluoride (YF
3
) and ytterbium fluoride
(YbF
3
) were also considered as candidate low index fluorides but dismissed due to their shorter reststrahl
wavelengths.
It should be realised that BaF
2
could have been used throughout the entirety of the filter as the lower
index material, and not just for the antireflection part of the structure
[77]
. This would make very little difference
to the final performance, apart from a slight reduction in layer count, as the multilayer part of the design is
essentially acting as a dispersive matching layer between the substrate and the antireflection layer. The
overriding practical reason that BaF
2
was not used throughout the design was, that in common with nearly all
fluorides, the build up of tensile stress in the BaF
2
layers would precipitate mechanical failure of the structure on
cooling. Barium fluoride, as with all the fluorides when deposited by thermal evaporation, forms a soft thin-film.
To minimise surface roughness and reduce tensile stress, the film was deposited with a higher substrate
temperature ( 210C) than the underlying stack (185C), the higher deposition temperature producing a
denser, more glassy film. To avoid the influence of moisture, to which all fluorides are susceptible, a ZnSe outer
protection layer was deposited as part of the integral multilayer design. The dispersion profile is described by a
Lorentzian curve fit
[78]
as defined in Equation 4-42:
( )
n A
B
C D
+
+
2
(4-42)
with coefficients A = 8.61x10
-1
, B = 1.51x10
9
, C = 3.08x10
4
, D = 2.33x10
9
and = wavenumbers (cm
-1
).
4.3.2 5-30 m passband filter design method
The general design method used to meet the high transmittance requirement over a wide spectral
interval was by the refinement of a Tschebysheff equi-ripple polynominal
[79]
long-wave pass edge filter. This
type of filter is characterised by alternate low and high index layers, in this case of ZnSe/PbTe respectively. In
this design the variable layer thicknesses increase towards the centre of the multilayer, where they become of
equal thickness, followed by a symmetrical thickness decrease towards the outer layers. By using these materials,
the equivalent index (n
*
) of this type of structure approximates to the original substrate refractive index at its
outer surfaces, matching well to the CdTe substrate interface, and providing a good outer interface for the
application of the BaF
2
antireflection and protection multilayer of equivalent index n
Sub
. The underlying
Tschebysheff ZnSe/PbTe edge filter was refined by optimisation to reduce the ripple amplitude, following which
a further refinement with, and including the BaF
2
antireflection and ZnSe protection layers was performed. The
resulting structure, deposited on both surfaces of the substrate, is composed of 18 layers, each layer of an
optimized and non-quarterwave fractional thickness. The spectral positioning of the coating on the first surface
was displaced relative to the coating on the opposite side in order to avoid the coincidence of residual ripple
minima still present in the design following its refinement. The combination of materials and design principals
used in this application can be applied to all wideband filters in this wavelength region. The limiting constraints
being defined at short wavelengths by the PbTe semiconductor absorption edge and the long wavelength limit by
the CdTe multi-phonon lattice-absorption.
4.3.3 Spectral performance prediction and comparison with measurement
Calculated models of the predicted filter performance at 300K & 200K together with the measurement
results of the manufactured filters are shown in Figures 4-9 & 4-10. Using the dispersion and absorption models
for the selection of materials described earlier, good agreement for the observed long wavelength temperature
shift caused by the negative temperature coefficient of the PbTe material has been verified. This amounts to a
total shift of 30cm
-1
(1.42%) producing a temperature coefficient for the filter of -0.29cm
-1
K
-1
. Predictive
_________________________________________________________________________________________
99
modelling of the change of edge steepness with temperature has also produced good agreement increasing the
edge from 3.26% at 300K to 3.17% at 200K. The transmittance, though not perfectly matched with the predicted
calculation due to random deposition thickness errors is satisfactory for the filter requirements and found by
tolerance analysis to be within a 2% envelope of the layer thickness accuracy.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000 2250 2500
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Measurement
Calculation
Figure 4-9 Overlay of the spectral measurement and the predicted calculation performance model at 300K
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000 2250 2500
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Measurement
Calculation
Figure 4-10 Overlay of the spectral measurement and the predicted calculation performance model at 200K
_________________________________________________________________________________________
100
4.4 Systems design of far-infrared filters
In terms of a spectral systems design model, the filters and dichroic beamsplitters used in the long
wavelength channels of the Pressure Modulator Infrared Radiometer (PMIRR) shows the degree of complexity and
difficulty in the design and manufacture of a multi-channel system. These coatings consisted of ultra-wideband
dichroic beamsplitters and, in the case of Channel 6, a 20m narrow bandpass filter. The ultra wideband multi-
channel dichroic beamsplitters covering the spectral range of 0.3 to 52m were designed
[80]
to provide a highly
reflective broad, flat response in the visible and mid-infrared wavelength regions, from 0.3 to 12.2m, and
maximum transparency across the far-infrared wavelength range from 19.6 to 52.6m. The detailed optical
arrangement of the dichroics and filter is illustrated in Figure 4-11. The dichroic beamsplitter 202D was required to
transmit Channels 6 (510-460cm
-1
), 7 (340-290cm
-1
) and 8 (240-190cm
-1
). Dichroic beamsplitter 302D was required
to transmit Channel 8 whilst reflecting Channels 6 and 7, and 303D transmits Channel 7 whilst reflecting Channel 6.
This group of 3 long wavelength channels at 20.7, 31.9 & 47.2 m were selected at wavelengths to measure the
abundance of atmospheric water vapour, dust and surface temperature.
Figure 4-11 PMIRR optical layout - far infrared channels
The two longest wavelength channels are at wavelengths beyond the limits of conventional multilayer
dielectric filter design, requiring dielectric spaced resonant mesh filter designs
[81]
. The channel 6 filter at 20.7m
however, was designed and fabricated as a traditional dielectric multilayer filter on stoichiometric, polished,
polycrystalline CdTe substrates, onto which was deposited the following Tellurium-enriched PbTe
[82]
and ZnSe
multilayer bandpass filter design. The use of Te-enriched PbTe provides enhanced long wavelength transmittance at
300K, with less absorption than that of stoichiometric material as described in Chapter 3. A triple half-wave
bandpass filter with low index material cavity layers and containing an antireflection quarter-wave 3-layer
simulation was developed as the band defining filter design. The 3-layer simulation on the outside of the multilayer
replaced an equivalent quarterwave layer with a refractive index of 3.0.
Sub | 0.1L H 2L H L H 2L H L H 2L 0.395L 0.154H 0.395L | Air
The choice of coating and substrate materials for the dichroic beamsplitters required a high transparency at
long wavelengths and a highly absorptive material to achieve a flat response at short wave. Ultra-pure Fz Silicon,
which has good transmittance >20m was used for the substrate material. Various layer material combinations were
assessed resulting in PbTe, Ge and CdTe as offering the most suitable characteristics to satisfy the requirements,
though in the far infrared region lattice absorption produces design limitations by restricting the number and total
thickness of the layers that can be used before significant loss in transparency is observed.
_________________________________________________________________________________________
101
To achieve the spectral profiles required, knowledge of the optical constants of the coating materials in
both the short wavelength electronic absorption regions and long wavelength lattice absorption bands, together with
the effects of dispersion across the wide wavelength range was required. Additionally, experience had shown there
was a need to reduce possible stress induced failures which can be caused by depositing thick layers. This problem
of stress in the necessarily thick coatings was encountered when depositing onto the full size (35mm x 35mm)
substrates. By re-designing the multilayer to have a much greater number of thinner layers using sub-divided
equivalent 3-layer simulations
[83]
, I was able to reduce this stress, and ensure the spectral performance required at
the critical wavelengths was unimpaired.
Antireflection on the rear surface of these beamsplitters was performed using a low absorbing conformal
organic coating (Parylene N). This provided adequate long wavelength transmittance and was of an index closely
matching the square root of the silicon substrate. This organic coating passed environmental testing requirements
and was temperature cycled between 233 and 313K.
The spectral requirement for this channel was for a fully blocked 10% wide bandpass filter to operate at
300K in a fast cone of f/0.81. In addition to the combined system throughput of the three dichroic beamsplitters, in
order to achieve the short wavelength blocking requirements, the rear surface of the bandpass filter comprised 3
subsidiary overlapping Herpin multilayers. These blocked the high order transmittance, which in combination with
an optimized equi-ripple Tschebysheff low-pass stack
[84]
defined the cut-on position and provided a broad flat
region of transparency across the passband. A spectral overlay showing the predicted interaction between the
dichroic beamsplitters and bandpass filter to achieve the required system response is illustrated by
dispersive/absorptive calculations in Figure 4-12. The spectral overlay in Figure 4-13 shows good agreement with
the predicted model for the measured spectra of the manufactured components calculated for the required incident
angles and operating temperatures.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
200 300 400 500 600 700 800 900 1000
Wavenumber (1/cm)
R
e
s
p
o
n
s
e
302D
303D
362F
202D
301L
Throughput
202D
303D
302D
301L
362F
Throughput
R
R
T
T
T
Figure 4-12 PMIRR Channel 6 (20m) narrow bandpass filter
Calculated spectral throughput using dispersive / absorptive materials
_________________________________________________________________________________________
102
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
200 300 400 500 600 700 800 900 1000
Wavenumber (1/cm)
R
e
s
p
o
n
s
e
202D
301L
302D
303D
362F
Throughput
302D
301L
303D
202D
362F
R
R
T
T
T
Throughput
Figure 4-13 PMIRR Channel 6 (20m) narrow bandpass filter
Measured spectral throughput for the individual elements and combined system response
4.5 Conclusion
As a result of applying the complex refractive index constants derived for the substrate and thin-film
materials to the multilayer calculation algorithms described, predicted spectral performance models for a range of
differing filters has been developed. Comparisons of these models with the measured spectral profiles obtained for
the manufactured filters has shown good agreement, and verified the accuracy of both the optical constants and this
method of analysis. The rationale behind the choice of substrate and coating materials for use in these example
filters has also been discussed and presented.
_________________________________________________________________________________________
103
CHAPTER 5
AN INTEGRATED SYSTEMS PERFORMANCE APPROACH TO
INFRARED SPECTRAL INSTRUMENT DESIGN
5.0 Introduction
Infrared filters and coatings have been employed on many remote sensing radiometer instruments
[85]
to
measure the thermal emission profiles and concentrations of chemical constituents found in planetary
atmospheres. The High Resolution Dynamics Limb Sounder
[86]
(HIRDLS) is an example of the most recent
developments in limb-viewing radiometry by employing a cooled focal plane detector array to provide
simultaneous multi-channel monitoring of gas and aerosol emissions.
The High Resolution Dynamics Limb Sounder (HIRDLS) is a limb viewing infrared radiometer for
high-resolution monitoring of stratospheric and mesospheric temperature, trace chemical species and
geopotential height gradients in the Earth's atmosphere. It is scheduled for launch on the NASA EOS-Chem
satellite in 2003 along with other instruments to make measurements relating to the chemistry of the atmosphere.
The HIRDLS instrument will obtain data at higher resolutions than has been measured previously with a vertical
resolution of 1km and horizontal scales of 400km or less. These measurements will enable new research in
chemical mixing, transport and exchange between the stratospheric and tropospheric layers in the atmosphere to
be performed, and will directly monitor the temperatures and concentrations of the trace elements associated
with atmospheric changes to world climate.
The HIRDLS instrument is a descendant from earlier infrared limb sounding instruments, namely; the
Improved Stratospheric and Mesospheric Sounder
[87-89]
(ISAMS)

on the Upper Atmosphere Research Satellite
(UARS), and the Pressure Modulator Infrared Radiometer
[90]
(PMIRR) on the Mars Observer. Both of these
instruments use pressure modulation radiometry
[91]
to measure the emission profiles through an absorption cell in
the optical train. This technique detects radiation from the emission lines of a specific radiatively active
atmospheric constituent gas by modulating the pressure of the same gas in a cell placed in the optical path of the
instrument. Using this arrangement, pressure within the cell is cyclically modulated using an electromagnetically
driven free piston compressor/expander attached to the cell, the resulting absorption fluctuations superimpose an
amplitude modulation on the infrared signal passing through the cell. By this method, the target gas is registered
and can be detected against the non-modulated background by the cooled detectors.
These generic types of radiometer have traditionally used discrete detectors and separate optical trains
for measurements in each spectral channel resulting in a complex optical layout with a large number of coated
components, including sets of spectrally demanding beamsplitters. With advances in focal plane array
technology, simultaneous multi-channel measurements can be made using a cooled focal plane detector array
with integral filters permitting a greater number of spectral channels than would be practical by the pressure
modulation technique.
The radiances to be measured by the HIRDLS instrument are caused by mid-infrared thermal emission
from the atmosphere in the vibration/rotational bands of their molecular emitters, and from any aerosol and
cloud emissions. The specific passbands selected are chosen to measure emissions from carbon dioxide (CO
2
),
ozone (O
3
), nitric acid (HNO
3
), nitrous oxide (N
2
O), nitrogen dioxide (NO
2
), dinitrogen pentoxide (N
2
O
5
),
chlorine nitrate (ClONO
2
), methane (CH
4
) water vapour (H
2
O) and chlorofluorocarbons CFCl
3
and CF
2
Cl
2
,
together with aerosol at several wavelengths.
The instrument contains 21 spectral channels spanning a wavelength range from 6 to 18m. For each of
these channels the spectral bandwidth and position are isolated by an interference bandpass filter at 301K placed
at an intermediate focal plane of the instrument. A second filter cooled to 65K, positioned at the same
wavelength but designed with a wider bandwidth, is placed directly in front of each cooled detector element to
reduce stray radiation from internally reflected in-band signals, and to improve the out-of-band blocking.
In this chapter, the process of determining the spectral requirements I have developed for the two
bandpass filters and the antireflection coatings used on the lenses and dewar window of the instrument is
described. This process uses a system performance approach taking the instrument spectral specification as a
target. It takes into account the spectral characteristics of the transmissive optical materials, the relative spectral
response of the detectors, thermal emission from the instrument, and the predicted atmospheric signal to
_________________________________________________________________________________________
104
determine the predicted radiance profile for each channel. Using this design approach a more optimal
design for the filters has been achieved, minimising the number of layers to improve the in-band transmission
and aid manufacture. The use of this design method has also permitted the instrument spectral performance to be
verified using the measured response from manufactured components. The spectral calculations for an example
channel are discussed, together with the spreadsheet calculation method. All the contributions made by the
spectrally active components to the resulting instrument channel throughput are identified.
5.1 Advantages of an integrated spectral systems approach
Traditionally, the design and manufacture of interference filters for use in radiometer instruments has
required the development of complex multilayer structures
[92-94]
, often involving the use of a large number of
layers to provide adequate (if not excess) continuous blocking on either side of the passband. This type of
approach had evolved in part, from the way that the performance of the separate elements of the spectral system
was specified for procurement purposes, usually being defined in isolation from the rest of the system. This was
partly due to the complexity of carrying out a thorough spectral analysis of the system as a whole, and partly due
to deficiencies in the knowledge of the spectral characteristics of the materials and coatings, with the instrument
designer tending to regard the regions of greater than required blocking due to the interaction of the elements in
the design as a bonus. What was probably not realised, was the small but significant loss of in-band performance
together with the additional risk of mechanical failure induced by the inherent thickness related stress in the
multilayer to which this approach leads. With improved knowledge of the spectral characteristics of materials I
have developed in the previous chapters, and the ability to handle large spreadsheets, an integrated approach to
the spectral design is now more readily achievable.
By adopting an integrated systems approach to the HIRDLS instrument, the spectral performance for
each filter and/or coating can be tailored specifically to perform its own specialised function. This permits a
degree of flexibility previously unavailable from spectral radiometer design in the past, as both the individual
filters and the instrument as a whole can be optimised to achieve a more efficient design. This approach has also
provided advantages during the evolution of the instrument by including the capability to interactively assess
performance requirement changes as they occur. The ability to assess alternative filter designs and evaluate (and
even possibly compensate for) the effects of a non-compliant performance from a particular component on the
overall system throughput has proved an invaluable tool for the spectral designer.
The instrument spectral throughput is verified on a channel by channel basis using the same model. The
model now uses the component spectral measurements rather than the predicted component transmissions.
Spectral measurements of individual components made at the instrument operating temperatures together with
corrections to the spectral positioning of the filters are used to compensate for the difference in illumination
between that existing in the measurements to that experienced in the instrument. Further corrections are then
made for the effects of coating non-uniformity on the spectral placement, particularly in the case of the
antireflection coatings on the curved surfaces of the lenses. Care must be taken to ensure that the accuracy of the
measurements and knowledge of the temperatures at which they are made is adequate to ensure confidence in the
model.
5.2 Optical system layout
The optical system layout for the HIRDLS instrument, as illustrated in Figure 5-1, is that of an off-axis
Gregorian telescope
[95]
that focuses infrared radiation from the atmosphere on to the cooled focal plane detector
assembly. The line of sight of the telescope is determined by the horizontal and vertical setting of a 2-axis scan
mirror (M0) which reflects the incident beam through a 180mm circular primary diffraction baffle (PDB) and on
to the primary parabolic mirror (M1). Radiation reflected from this mirror is focused through the plane of the
chopper at the first field stop and on to a secondary ellipsoid mirror (M2), inclined to the paraboloid axis, and
positioned with a focus coincident with that of the primary paraboloid. The secondary ellipsoidal mirror (M2)
focuses the reflected ray bundles onto the array of warm band-defining filters (WF1-21) in f/7 illumination which
is thermostatically controlled at 301K. Radiation transmitted through the filters is then directed through the
concave surface of an antireflected germanium lens (L1), from which the divergent ray bundles fall on to a fold
mirror (M4). Reflected rays from the fold mirror are then collected by the convex surface of a second
antireflected germanium lens (L2) and focused through the antireflected zinc selenide window (DW) of the
detector package, through the cold filter assembly (CF1-21) in f/1.5 illumination and on to the array of cooled
detectors at 65K
_________________________________________________________________________________________
105
Primary Diffraction Baffle (PDB)
Warm
Filters (WF1-21)
301K
Ge Lens
(L1)
Ge Lens (L2)
Paraboloid
(M1)
ZnSe
Dewar Window (DW)
(M4)
Cold
Filters
(CF1-21)
65K
Fold Mirror
Stop
First Field Stop
(M0)
Mirror
Scan
Chopper
(ILS)
Lyot Stop
Ellipsoid
(M2)
Figure 5-1 HIRDLS Optical system layout
The detector assembly is an array of 21 separate HgCdTe infrared detectors optimised for maximum
response at the selected measurement wavelength and cooled by a Stirling cycle cooler to a temperature of
approximately 65K. The whole focal plane assembly, illustrated in Figure 5-2, comprising the secondary ghost
image suppression filters and detectors is contained in a hermetically sealed vacuum dewar.
Figure 5-2 HIRDLS Focal plane array cold filter and detector layout
The filters are deposited onto 16mm diameter low resistivity (5-40cm) monocrystalline germanium. With the
need for the best image quality on the detectors, the thickness of the filter substrates is unique for each spectral
channel to compensate for chromatic and field curvature aberrations (optical path length differences) defocusing
_________________________________________________________________________________________
106
the telescope subsystem over the wide spectral range of the HIRDLS channels. Additionally the specified
thickness of the substrate is further adjusted to compensate for the thickness (in equivalent-germanium
thickness) of the multilayers themselves, which are of differing thicknesses according to spectral placement and
the physical thickness of the deposited multilayers needed. This desire for best image quality also leads directly
to a tight tolerance on this overall equivalent germanium thickness figure, which in turn necessitates a tighter
tolerance on the thickness of the manufactured uncoated substrate of 5m with a thickness and parallelism
tolerance of 2m. The equivalent germanium thickness is calculated as the ideal thickness of the filter for its
central passband wavelength on the assumption that the filter is equivalent to a single thickness of germanium
with no thin film coatings, as defined in Equation 5-1:
=
i
i
g
g
s
n
T
n
n
T T
1
1
1
0
(5-1)
Where :-
T
0
= Germanium equivalent thickness required,
n
g
= Germanium refractive index at the operating temperature
T
i
= Total physical thickness of thin-film coating material (i)
n
i
= Refractive index of thin-film coating material (i)
= Summation for all the materials in the thin film stack.
5.3 Filter design requirements
The spectral characteristics of each of the 21 radiometric channels in the HIRDLS instrument is defined
by a warm band-defining interference filter mounted in the warm filter array at 301K, positioned at the
intermediate focal plane of the telescope in f/7 converging illumination. The second filter, mounted in the cold
filter array, is spectrally positioned at the same wavelength as the band-defining filter but having a wider
bandwidth, is placed directly in front of each cooled detector element, the detector and filter both operating at
65K in f/1.5 converging illumination. The cold filters are designed with a wider bandwidth to ensure that the
spectral band is unambiguously defined by the warm filters.
The primary function of the narrower warm band-defining filters is to spectrally isolate the required
passband for each channel and provide broadband blocking of unwanted spectral energy by multilayer
interference within the limits of the HIRDLS passband range. The wider, cold bandpass filters of each channel
pair is individually tailored to spectrally work in conjunction with its companion by assisting with the
suppression of out-of-field ghost images, i.e. spectral cross-talk contamination between channels. This results
from internally reflected out-of-band radiation from a filter in a particular channel returning as in-band signals to
another channel from within the detector package assembly and elsewhere.
There is also a further advantage in this dual filter arrangement as the crucial band-defining filters
operate in an f/7 cone with minimal degradation of shape due to the illumination, whilst the cold filters operate in
f/1.5 illumination at the detector plane, which being of significantly wider bandwidth are less affected than the
band-defining filters would have been had they been placed in this illumination. The ratio of in-band to out-of-
band signal is also improved when using two filters compared with the performance of a single filter, this avoids
multi-stack interactions which can lead to unwanted transmission spikes in the stop-band. Additionally, and just
as importantly, the filters reduce the amount of thermal background radiation of the instrument from reaching the
detectors and reinforce the out-of-band blocking .
Blocking outside the range of the HIRDLS passband (6-18m) is provided by the combination of the
germanium and zinc selenide multi-phonon absorption profiles from the two lenses (L1 & L2) and dewar
window (DW), together with the roll-off of the antireflection coatings. These behave as cut-off filters to short-
wave and have a roll-off beyond 18m as a result of the spectral properties of the bulk and layer materials
discussed previously. Account is also taken in the instrument spectral design of the detector wavelength
response; this differs according to the various materials used for the different wavelength groupings of channels,
and can be used to determine the limits of the interference blocking required from the filters.
Although many of the HIRDLS channels have relatively narrow passbands, down to just 1.0% between
half power points in certain channels, very few of the passbands contain spectral lines from only a single
molecule. The majority of the channels contain multiple trace constituents and/or contaminants which define the
_________________________________________________________________________________________
107
spectral structure. Differential spectroscopy is then used to obtain independent measurements of each
quantity by subtracting element concentration profiles across channels. As the radiance emitted by the
atmosphere has a structure which varies rapidly with wavelength, the measured emission is highly sensitive to
the passband shape and position (but not to throughput, which is measured by on-board radiometric calibration).
This imposes tight requirements for the manufacture of each filter, and even tighter constraints upon the
knowledge of the overall instrument spectral response.
The spectral requirements on the filters are :-
i) the position of the edges of the passband are required to be typically within 2cm
-1
for the half power points,
depending on adjacent spectral features;
ii) knowledge of the relative spectral response across the pass-band to within 1% with absolute frequency
accuracy of 0.2cm
-1
, and
iii) the sensitivity outside the required passband must be sufficiently small that radiance corresponding to those
frequencies is less than 1% of the wanted in-band radiance or half of the instrument noise whichever is the
greater.
Although these requirements apply to the instrument as a whole, the infrared filters play the primary
role in determining the spectral response. Additional requirements specifically relating to the filters are;
iv) a minimum sensitivity to the effects of non-parallel illumination,
v) a minimum temperature coefficient, so as to allow operation within the instrument spectral specification, over
as wide a range as possible of temperature in the 65K and 301K regions,
vi) highest possible in-band transmission,
vii) the spectral bandpass profile should be as square as is practical, consistent with minimising the total number
of layers to maximise transmission. This is specified as the spectral interval between 5% transmission points
which is not to exceed 1.6 x FWHH (Full Width Half Height),
viii) the filters should be robust enough to survive testing to MIL-F-48616 (this includes humidity and adhesion
testing) as well as dimensioning by diamond sawing under water, and in the case of the cold filters, repeated
temperature cycling from 300 to 65 K
ix) the filters should not show undue degradation in transmission or shift in spectral placement during their 15
year life (up to 10 years before launch and a 5 year life in orbit);
x) the surface quality of the coatings used in the filters should be such as to minimise scattering. Incidence of
pinholes and spatter from evaporation sources to be reduced to a minimum (there is an opportunity to avoid
these obvious defects by selection after cutting).
Taken together, these requirements make considerable demands on the coating materials and the design
and manufacture of the multilayer structures of the filters. Table 5-1 details the end-to-end spectral passband
requirements for each channel in the HIRDLS instrument. From this, the specific requirements for each of the
filters is derived by taking into account corrections caused by the f-number incident on the two sets of filters in
the instrument, and the wavelength displacement created by the long wavelength characteristics of the materials
and coatings.
_________________________________________________________________________________________
108
Table 5-1 HIRDLS Instrument spectral requirements
Channel Target SW50% Tol Centre LW50% Tol Bandwidth Min Max FWHM Min Max
Number Species (cm-1) (cm-1) (cm-1) (cm-1) (cm-1) (cm-1) (cm-1) (cm-1) (%) (%) (%)
1 N20 587.3 1.0 575.4 563.5 2.0 23.8 20.8 26.8 4.14 3.61 4.66
2 CO2 614.8 1.0 607.7 600.5 2.0 14.3 11.3 17.3 2.35 1.86 2.85
3 CO2 639.5 2.0 624.8 610.0 3.0 29.5 24.5 34.5 4.72 3.92 5.52
4 CO2 660.0 3.0 643.0 626.0 3.0 34.0 28.0 40.0 5.29 4.35 6.22
5 CO2 680.0 3.0 667.5 655.0 3.0 25.0 19.0 31.0 3.75 2.85 4.64
6 Aerosol 835.0 2.4 828.3 821.5 2.3 13.5 8.8 18.2 1.63 1.06 2.20
7 CFCl3 852.0 2.4 843.5 835.0 2.4 17.0 12.2 21.8 2.02 1.45 2.58
8 HNO3 903.5 2.5 882.5 861.5 2.5 42.0 37.0 47.0 4.76 4.19 5.33
9 CF2Cl2 931.5 2.6 923.8 916.0 2.6 15.5 10.3 20.7 1.68 1.12 2.24
10 O3 1009.0 2.8 1000.0 991.0 2.8 18.0 12.4 23.6 1.80 1.24 2.36
11 O3 1046.5 2.9 1028.8 1011.0 2.9 35.5 29.7 41.3 3.45 2.89 4.01
12 O3 1138.5 3.2 1129.3 1120.0 3.2 18.5 12.1 24.9 1.64 1.07 2.21
13 Aerosol 1220.0 3.4 1211.0 1202.0 3.4 18.0 11.2 24.8 1.49 0.92 2.05
14 N2O5 1259.8 1.0 1244.7 1229.5 2.0 30.3 27.3 33.3 2.43 2.19 2.68
15 N2O 1281.8 1.0 1269.1 1256.3 1.0 25.5 23.5 27.5 2.01 1.85 2.17
16 ClONO2 1298.8 1.0 1288.6 1278.3 1.0 20.5 18.5 22.5 1.59 1.44 1.75
17 CH4 1367.5 3.8 1346.5 1325.5 3.8 42.0 34.4 49.6 3.12 2.55 3.68
18 H2O 1435.0 4.0 1411.0 1387.0 4.0 48.0 40.0 56.0 3.40 2.83 3.97
19 Aerosol 1415.8 1.0 1409.1 1402.3 1.0 13.5 11.5 15.5 0.96 0.82 1.10
20 H2O 1542.0 4.3 1482.0 1422.0 4.1 120.0 111.6 128.4 8.10 7.53 8.66
21 NO2 1630.5 4.6 1608.0 1585.5 4.5 45.0 35.9 54.1 2.80 2.23 3.36
22 Alignment 1542.0 4.3 1482.0 1422.0 4.1 120.0 111.6 128.4 8.10 7.53 8.66
MICRONS (as derived from cm-1)
Channel Target SW50% Tol Centre LW50% Tol Bandwidth Min Max FWHM Min Max
Number Species (um) (+/- nm) (um) (um) (+/- nm) (um) (um) (um) (%) (%) (%)
1 N20 17.03 29.0 17.38 17.75 63.0 0.72 0.63 0.81 4.14 3.61 4.67
2 CO2 16.27 26.5 16.46 16.65 55.5 0.39 0.31 0.47 2.35 1.86 2.85
3 CO2 15.64 48.9 16.01 16.39 80.6 0.76 0.63 0.89 4.72 3.92 5.54
4 CO2 15.15 68.9 15.55 15.97 76.6 0.82 0.68 0.97 5.29 4.36 6.23
5 CO2 14.71 64.9 14.98 15.27 69.9 0.56 0.43 0.70 3.75 2.85 4.65
6 Aerosol 11.98 34.4 12.07 12.17 34.1 0.20 0.13 0.27 1.63 1.06 2.20
7 CFCl3 11.74 33.1 11.86 11.98 34.4 0.24 0.17 0.31 2.02 1.45 2.58
8 HNO3 11.07 30.6 11.33 11.61 33.7 0.54 0.48 0.60 4.76 4.19 5.33
9 CF2Cl2 10.74 30.0 10.83 10.92 31.0 0.18 0.12 0.24 1.68 1.12 2.24
10 O3 9.91 27.5 10.00 10.09 28.5 0.18 0.12 0.24 1.80 1.24 2.36
11 O3 9.56 26.5 9.72 9.89 28.4 0.34 0.28 0.39 3.45 2.89 4.02
12 O3 8.78 24.7 8.86 8.93 25.5 0.15 0.09 0.20 1.64 1.07 2.21
13 Aerosol 8.20 22.8 8.26 8.32 23.5 0.12 0.08 0.17 1.49 0.92 2.05
14 N2O5 7.94 6.3 8.03 8.13 13.2 0.20 0.18 0.22 2.43 2.19 2.68
15 N2O 7.80 6.1 7.88 7.96 6.3 0.16 0.15 0.17 2.01 1.85 2.17
16 ClONO2 7.70 5.9 7.76 7.82 6.1 0.12 0.11 0.14 1.59 1.44 1.75
17 CH4 7.31 20.3 7.43 7.54 21.6 0.23 0.19 0.27 3.12 2.56 3.68
18 H2O 6.97 19.4 7.09 7.21 20.8 0.24 0.20 0.28 3.40 2.84 3.97
19 Aerosol 7.06 5.0 7.10 7.13 5.1 0.07 0.06 0.08 0.96 0.82 1.10
20 H2O 6.49 18.1 6.75 7.03 20.3 0.55 0.51 0.59 8.11 7.54 8.68
21 NO2 6.13 17.3 6.22 6.31 17.9 0.17 0.14 0.21 2.80 2.23 3.37
22 Alignment 6.49 18.1 6.75 7.03 20.3 0.55 0.51 0.59 8.11 7.54 8.68
5.3.1 Bandpass filter design
To achieve the spectral profile requirements, bandpass filter designs containing multiple half-wave
cavities utilising the high refractive index contrasts available from PbTe in combination with the II-VI
compounds ZnSe, ZnS and CdTe are used for both warm and cold filter types. By careful use of these low index
material combinations
[96]
in the bandpass designs it is possible to fine tune the FWHH of the filter passband. In
other cases group IV element, germanium can be used as a substitute for selected PbTe layers, but with the
change in refractive index being greater, lacks the sensitivity of outcome obtainable using the other materials but
is still of occasional use. This approach to narrow band filter design is described by Jacobs
[97]
, it has the great
advantage that quarter wavelength thickness layers are used throughout the reflector stacks, maintaining the
thickness monitoring regime and relative thickness accuracy of the layers. The use of PbTe as a layer material in
the filters has particular advantages both in the design and use of bandpass filters :-
i) Its high refractive index value means a minimum number of layers are required to perform a given spectral
function. The high index also enhances the stop-band width, and provides a high effective refractive index (n
*
)
multilayer, reducing the size of spectral shift caused by inclined illumination. ii) A short wavelength absorption
edge at 3.5m at room temperature removes the need for subsidiary blocking stacks to link up with the
germanium electronic absorption edge at 1.5m. The long wavelength movement of this edge to 5.5m at 65K
then further improves this advantage beyond that achievable with multilayers using germanium, and iii) It has a
reststrahl wavelength of 110m making it particularly attractive for use in filters beyond 15m where alternative
high index materials are becoming absorbing.

_________________________________________________________________________________________
109
All these factors have been considered in manufacturing the HIRDLS filters, with the only filters in the set
which had to use the equivalent germanium based multilayers being Channel 21 warm and cold filters and
Channel 20 cold filter. This was necessary because the bandpass positions of these particular filters was below
the short-wave electronic absorption edge of the PbTe at their operating temperatures. Figures 5-3 and 5-4
illustrate a selection of the PbTe and Ge based L-spaced triple half-wave bandpass filter profiles suitable as
prospective candidates to achieve the spectral requirements demanded of each channel filter.
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
0.90 0.91 0.92 0.93 0.94 0.95 0.96 0.97 0.98 0.99 1.00 1.01 1.02 1.03 1.04 1.05 1.06 1.07 1.08 1.09 1.10
Relative Frequency
L
i
n
e
a
r

T
r
a
n
s
m
i
t
t
a
n
c
e
Figure 5-3 Overlay of candidate triple half-wave (THW) bandpass filters (1-10% FWHM)
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
0.80 0.82 0.84 0.86 0.88 0.90 0.92 0.94 0.96 0.98 1.00 1.02 1.04 1.06 1.08 1.10 1.12 1.14 1.16 1.18 1.20
Relative Frequency
L
o
g

T
r
a
n
s
m
i
t
t
a
n
c
e

Figure 5-4 Log transmittance plot of candidate triple half-wave (THW) bandpass filters
(Note the distinct bands characterise the generic filter design depending on the number of layers, order of the
cavities, and number of intercavity layers)
The squareness of the shape of the passband profile improves as the number of cavities increases having
the effect of increasing the total number of layers in the structure. In addition to this, the narrower the filter is
required to be, the larger the number of layers between the cavities is required. The effects of absorption, by
reducing the transmission, rises sharply with diminishing bandwidth and the sensitivity of the shape of profile to
layer thickness errors also increases with diminishing bandwidth. All these various factors mitigate against the
use of bandpass filters with greater than three cavities designs for filters narrower than 2.5% FWHH.
_________________________________________________________________________________________
110
The cavity type, high or low index, also has to be considered when filters are used with highly converging
illumination. The use of PbTe with ZnSe gives a high effective index (n
*
) of 2.70 in the low index spacer case
and 3.6 (3.75 cold) in the high index case. Where for high index cavities :
( ) n n n
H L
*
= (5-2)
and for low index cavities:
( ) ( )
n n
n
n n n n
L
L
L H L H
*
=
+ 1
2
(5-3)
With the use of an f/1.5 illumination cone at the cold focal plane, it would be preferable to use H-
spaced designs, at least for the narrower channels. However, one of the few problems associated with PbTe is
that it possesses a thickness-dependant absorptive loss which becomes apparent in thicknesses typical of those
used in the spacers of bandpass filters. This loss leads to a 5-10% reduction in peak transmission in the H-spaced
as opposed to the L-spaced designs of the same bandwidth. The choice of L or H-spaced, 3 or 4 cavity design
bandpass filters is therefore rather difficult. In practice as throughput is important, most of the filters are L-
spaced, H-spaced only being used where the effects of conical illumination would be unacceptable. Figure 5-5
shows the comparative shift in centre wavenumber with angle of incidence for equivalent L and H-spaced triple
half-wave bandpass filters.
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
0.0 5.0 10.0 15.0 20.0 25.0 30.0 35.0 40.0 45.0
Angle of Incidence (Degrees)
C
e
n
t
r
e

W
a
v
e
n
u
m
b
e
r

S
h
i
f
t

(
%
)
L-Spaced
H-Spaced
4.4%
2.75%
4.3%
2.66%
Figure 5-5 Shift in centre wavenumber with angle of incidence for L and H-spaced
triple half-wave (THW) bandpass designs

The use of L-spaced multiple cavity filters does have one further advantage in that the designs
invariably have a very small temperature coefficient of centre wavelength shift due to the interaction of the
negative temperature coefficient of expansion of the PbTe with the smaller positive temperature coefficient of
the ZnSe compounded with the layer sensitivities in the filter
[98]
. In the other case of the H-spaced family these
coefficients do not tend to cancel out and there is quite large coefficient for the filter. Typical values of the
temperature coefficient for a 2% bandwidth filter with first order spacers over the range 300K to 70 K are; -2.8 x
10
-5
C
-1
for L-spaced designs (a -6 cm
-1
shift in centre wavenumber at 10m over range 300K to 80K), and -
10x10
-5
C
-1
(a -21 cm
-1
shift for same example) for the equivalent H-spaced design.

With these bandpass design considerations, Figure 5-6 illustrates the predicted transmission throughput
profiles and bandwidths achieved from the various selected L-spaced triple half-wave bandpass designs to meet
the band-defining requirements of each channel in the HIRDLS instrument. The bandpass filters in Figure 5-7
are representative of the manufactured bandpass designs from the HIRDLS engineering model corrected for their
respective operating temperatures and cone angles.
_________________________________________________________________________________________
111
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0.60
0.70
0.80
0.90
1.00
500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
21
20
19
18
17
16
15
14
13
12
11
10
9
8
7
6
5
4
3
2
1
Figure 5-6 Predicted HIRDLS Warm band-definition bandpass design performance, by channel (5.9-18m)
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0.40
0.50
0.60
0.70
0.80
0.90
1.00
500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
21 20
13 12 6 5
2
1
DW
L1
L2
Figure 5-7 Selection of manufactured HIRDLS warm and cold bandpass filters at their required operating
temperatures and corrected for the appropriate cone angles
5.3.2 Blocking filter design
The filter blocking designs for the HIRDLS instrument are required to satisfy several criterion, these
include; (i) the need to suppress ghost-imaging, resulting in an out-of-band blocking requirement of
transmissions <10
-4
from the shortest channel passband which commences at 5.75m to the filter passband short
wavelength edge 10
-4
point and transmissions <10
-2
from the long wavelength channel 10
-2
point of the filter
passband long wavelength edge to the detector cut-off edge at 18.3m for both warm and cold filters in each
channel. For the cold filters this requirement is deemed to be satisfied by the product of filter transmission and
detector response. In the case of the warm filters it is met by the product of the filter transmission and the optical
system response, not including the detector. (ii) A requirement of the cold blocking coatings is to reduce the
thermal background seen by the detectors, in general this requirement is met by the ghost image suppression, and
finally, (iii) The instrument blocking also requires the combination of the blocking from both filters and
antireflection coatings to ensure the specified in to out-of-band radiance Margin Ratio is achieved, as described
later in Section 5.4.1.
The filter blocking is carried out by multilayer interference stacks, placed on the opposite surface of the
substrate to the bandpass filter. These stacks are constructed from the same layer materials as the bandpass
_________________________________________________________________________________________
112
filters, taking full advantage of the material features described in Chapters 1 and 2. To satisfy the ghost-
suppression requirement, typically there is one, two or three short-wave blocking stacks (except on the shortest
wavelength channels (20 & 21) where they are not needed). In all channels, except the longest, where they are
not required, there are one or two long-wave blocking stacks. Overall, in most channels the final blocking
coating has a spectral profile resembling a broadband bandpass filter, being a multilayer combination of the two
types of short and long wave pass blocking filters. In general, the design methods used to meet the blocking
requirements of the filters use combinations of long and short-wave pass edge filters as illustrated in Figure 5-8.
BLOCKER
BANDPASS
BLOCKER
COLD FILTER
WARM FILTER
BANDPASS
Figure 5-8 Disposition of warm and cold filter coatings
The structure of the multilayer blocking stacks are refinements of extracted Tchebysheff equi-ripple
polynomials
[99]
and Herpin quarter-wave stacks. The Tschebysheff filter designs are characterised by alternate
high and low index layers (PbTe/ZnSe) of varying thicknesses which increase towards the centre of the
multilayer, where they become of equal non-quarter wave thickness, followed by a symmetrical decrease towards
the outer layers. Herpin quarter-wave stacks are of symmetrical thickness throughout the multilayer, and in
addition to the Tschebysheff edge filter provides good short wavelength rejection. By using overlapping
combinations of these designs, the equivalent refractive index approximates to the original substrate refractive
index at its outer surfaces, matching well to the germanium substrate interface and providing a suitable
equivalent index at the outer interface for the application of an antireflection multilayer of index n
Sub
. The
underlying Tchebysheff and Herpin PbTe/ZnSe blocking filters are refined by optimization to reduce the ripple
amplitude and enhance the in-band transmission.
5.3.3 Antireflection Coatings
The broadband antireflection coatings deposited on the ZnSe dewar window and Ge lenses are required
to have the highest and flattest possible transmission performance over the HIRDLS passband wavelength range
of 6 to 18m whilst simultaneously reducing the reflectivity to less than 2.7% per surface (this level being set by
the suppression of ghost images requirement). The minimum acceptable transmission for the coating alone on
both surfaces (ignoring substrate absorption) required an in-band performance for each channel of >92% with a
minimum average transmission over all of the HIRDLS bands of 94%.
The antireflection coating developed to satisfy this requirement comprised a single multilayer stack
with 10 layers of alternating high and low refractive index layers of PbTe and ZnSe. The stack is overlaid with a
three layer antireflection system comprising layers of ZnSe, BaF
2
and outermost mechanical protection layer of
ZnSe. The materials were selected for their low absorption in film thickness at wavelengths throughout the 6 to
18m instrument passband range. It is essential to use a low index material at the outside of such a wide band
coating to obtain the highest and widest transmission zone.
The bulk properties of fluoride materials have been well documented
[100]
, possessing refractive indices values
less than 2, they suitably provide good index matching across a wide wavelength bandwidth between the
_________________________________________________________________________________________
113
multilayer stack and incident medium. Barium fluoride (BaF
2
, n=1.35) was selected after investigating two
other possibly suitable materials (suitable because it was felt that their absorption out to 18m would be low
enough to be useful). Thorium fluoride (ThF
4
, n=1.4) was found to have more absorption than BaF
2
beyond
12m and in samples tested, suffered with stress induced mechanical failure. It was also unacceptable to use
radioactive materials such as ThF
4
. The other material, Lead Fluoride (PbF
2
), has a higher refractive index of
1.75 which would lead to loss of average transmission and a reduction in passband width, also the deposited
layers can contain free Lead causing excess absorption. The problems with these materials confirmed the
original choice of BaF
2
. The layer thickness of the multilayer stack has been refined to provide an optimal flat
spectral response
[101]
. The spectral response of the two types of antireflection coating deposited on the ZnSe and
Ge materials are shown in Figure 5-9.
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0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000 2250 2500
Wavenumber (1/cm)
T
r
a
n
s
m
i
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a
n
c
e
ZnSe
Dewar
Window
ZnSe
Dewar
Window
Ge Lens L1*
Ge Lens L1
Ge Lens L2
Ge Lens L2
Figure 5-9 Broadband antireflection coating profiles from the Ge lenses and ZnSe Dewar Window
(* - Ge Lens L1 profile is that for Channel 18 footprint)
A few weak absorption bands have been observed in the antireflection coatings, most notably around
the 6.4m region (1570cm
-1
) between the spectral positions of Channels 20 and 21. These bands are commonly
seen in vacuum deposited fluorides and are probably associated with the loss of fluorine from the coating. They
tend not to be present in measurements of coatings made directly on removal from the deposition plant but
gradually get stronger over a few weeks under ambient (uncontrolled) laboratory conditions. Both the ZnSe and
Ge antireflection coatings have shown this behaviour with the rate of change reducing with time, and appearing
to reach equilibrium. The spectral performance of the antireflection coating at the Channels 20 and 21 positions
remains unimpaired.
5.3.3.1 Germanium lens thickness distribution
As a result of depositing the broadband antireflection coating on to the highly curved convex and
concave surfaces required for the germanium lens L1, significant variation in thickness uniformity was exhibited
across the lens surface. This thickness variation caused the spectral positioning of the antireflection profile to
become distributed at wavelengths which depended on the thicknesses uniformity of the concentric regions
contoured across the surface, forming an inter-dependent spectral and spatial channel arrangement. In order to
quantify the effects of this spectral and spatial distribution on each channel, reduced aperture measurements were
performed at fixed spatial positions through the lens at positions representative of the mean radial channel
distributions, from which I could derive the contoured thickness gradients relating the spectral and spatial inter-
dependence. When these thickness gradients are then super-imposed on the distributed channel footprint of the
lens, a predictive spectral design model of the expected antireflection wavelength position can be derived for
each channel.
The resultant effects of this spatial distribution on the spectral profile of the antireflection coating
performance can be seen in Figure 5-10 in which a significant distribution of the short wavelength edge is
present. This distribution amounts to a spectral range of 200cm
-1
(0.62m) between the channel at the thickest
part of the coating and closest to the centre (Channel 2) and the channel with the thinnest calculated thickness
(Channel 18) on the periphery of the lens. This variation approximates to a thickness distribution of 11% across
_________________________________________________________________________________________
114
the surface of the lens. It should be noted that for each of the shortest wavelength channels adequate
provision for the spectral and spatial placement was considered in the coating design such that none of the
channels were cut-off as a result of their spatial positioning through the lens. The instrument design had already
placed the longer wavelength channel footprints through the centre of the lens, where the thickness of the
coatings was naturally greater. Had it been otherwise this problem would have been very difficult to resolve, as
the passband is virtually at the limit of spectral width for a coating of this performance. The negligible change
observed for the long wavelength performance is attributed to the multi-phonon absorption profile of the 3.5mm
thick germanium and reststrahl absorption properties in the antireflection layer materials which dominate the
change in antireflection profile caused by variation in thickness across the lens. Evaluation of germanium lens L2
has shown negligible effects of thickness distribution as a result of the lesser surface curvatures on the lens.
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0.90
1.00
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Wavenumber (1/cm)
T
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s
m
i
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a
n
c
e
Channel 2 Channel 18
Figure 5-10 Calculated effects caused by the spatial channel distribution
on the antireflection coating of Ge lens L1
5.4 HIRDLS Instrument performance requirements
The overall (or end-to-end) performance of each channel in the HIRDLS instrument is predicted
through a multipage relational design spreadsheet configured to derive the requirements for the filter elements
using an iterative verification method. By this method, each contributing element within the instrument is
defined as a fixed spectral profile on to which various warm and cold filter design solutions can be added and
tested to ensure the performance requirements of the instrument are satisfied. The multiple pages within the
spreadsheet address each channel specification requirement independently. From these, either tabulated or
graphical analyses are used to assess the proposed filter designs. The spectral analysis of the system verifies
compliance with the following requirements :-
5.4.1 Margin Ratio
Evaluation of the instrument system performance is performed primarily by the determination of a ratio
between the integrated in-band and out-of-band radiance profiles (Margin Ratio). This Margin Ratio (M)
includes the integrated throughput response product of the channel as illustrated for representative Channels 1
and 21 in Figures 5-11 to 5-13. This is combined with the Planck function and limb absorption in Figure 5-14 for
the respective target channel heights and temperatures to calculate the wanted in-band radiance (R
w
) profile and
unwanted out-of-band radiance (R
u
) profile. Determination of the acceptance criterion is based upon the ratio by
which the maximum permitted in-band radiance exceeds the unwanted radiance in Equation 5-4.
u
w
R
nen R
Max M
) 5 . 0 * , 01 . 0 * (
= (5-4)
where nen is the rms radiometic noise (mW/m
2
/ster).
To satisfy this requirement the total response of the instrument channel must have a value of M
exceeding unity. In order to ensure this requirement is satisfied for the response of actual manufactured
_________________________________________________________________________________________
115
components integrated into the instrument, a safety margin is included to increase the required value of M
by design to between 3.0 and 5.0. Table 5-2, Section a, illustrates the range of Margin Ratio values achieved
from the Channel 1 verification analysis example for an nen of 1.2x10
-3
Wm
-2
.ster. It can be seen from the out-
of-band requirement column that for other than the 10km height and 300K black body radiation profile of the
internal radiometric calibration target, the response of the instrument is dominated by the need to satisfy the
radiometric noise requirement (nen*0.5), rather than by the in-band throughput radiance (R
w
*0.01) from the
instrument spectral design. Hence in this case, by achieving a Margin Ratio value greater than unity by
measurement, the instrument requirement is satisfied.
1E-10
1E-09
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
Mirrors Detector Optical Train ZnSe DW Ge L1 Warm Filter Cold Filter Ge L2
Throughput
Figure 5-11 Predicted blocking design performance of Channel 1 (17.4m) - Log Transmittance
1E-10
1E-09
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
ZnSe DW Ge L2 Ge L1 Warm Filter Cold Filter Detector Mirrors Optical Train
Throughput
Figure 5-12 Predicted blocking design performance for Channel 21 (6.75m) - Log Transmittance
_________________________________________________________________________________________
116
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0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
ZnSe DW Ge L2 Ge L1 Warm Filter Cold Filter Detector Mirrors Optical Train
Throughput
Figure 5-13 Predicted design performance of Channel 21 (6.75m) - Linear Transmittance
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
1E+01
1E+02
1E+03
250 500 750 1000 1250 1500 1750 2000 2250
Wavenumber (1/cm)
R
a
d
i
a
n
c
e
10km
20km
30km
40km
50km
60km
70km
Planck Function
300K
250K
240K
230K
220K
210K
Limb Absorption
Figure 5-14 Atmospheric limb absorption and Planck function temperatures for target channel heights
The spreadsheet used to calculate the value for the Margin Ratio uses the predicted design performance
of each element on a 2cm
-1
wide spectral interval. The in-band and out-of-band filter transmissions are contained
in separate columns, with additional columns for the transmissions of the optical train, antireflection coatings,
and detector response, and then a set of columns is provided for each atmospheric height of interest (10-70km in
10km intervals). Figure 5-15 shows the process of combining the spectra as an example for Channel 19.
_________________________________________________________________________________________
117
Figure 5-15 Channel 19 example instrument spectral design and throughput
Optical Train & Detector Response Overlay
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0.10
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0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
350 550 750 950 1150 1350 1550 1750 1950 2150
Wavenumber (cm-1)
T
r
a
n
s
m
i
t
t
a
n
c
e

(
L
i
n
e
a
r
)
Channel 19 Cold & Warm Filters, Optical Train & Antireflection Overlay
Combined Final Passband Response (Thick Line)
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0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
1360 1370 1380 1390 1400 1410 1420 1430 1440 1450
Wavenumber (cm-1)
T
r
a
n
s
m
i
t
t
a
n
c
e

(
L
i
n
e
a
r
)
Channel 19 Cold and Warm Filter Overlay
(Warm Filter - Solid Line)
1E-12
1E-9
1E-6
1E-3
1E+0
350 550 750 950 1150 1350 1550 1750 1950 2150
Wavenumber (cm-1)
T
r
a
n
s
m
i
t
t
a
n
c
e

(
L
o
g
)
Ge, ZnSe Antireflection Coatings & Combined AR Response (6 Surfaces)
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
350 550 750 950 1150 1350 1550 1750 1950 2150
Wavenumber (cm-1)
T
r
a
n
s
m
i
t
t
a
n
c
e

(
L
i
n
e
a
r
)
Limb Absorption, Planck Function (10KM) & Black Body Calibration Target
1E-2
1E-1
1E+0
1E+1
1E+2
1E+3
350 550 750 950 1150 1350 1550 1750 1950 2150
Wavenumber (cm-1)
R
a
d
i
a
n
c
e

(
L
o
g
)
Channel 19 Final Instrument Spectral Response
1E-24
1E-21
1E-18
1E-15
1E-12
1E-9
1E-6
1E-3
1E+0
350 550 750 950 1150 1350 1550 1750 1950 2150
Wavenumber (cm-1)
T
r
a
n
s
m
i
t
t
a
n
c
e

(
L
o
g
)
_________________________________________________________________________________________
119
In addition to satisfying the Margin Ratio requirement for the instrument there is a need to assess the
system response profile outside of the HIRDLS wavelength range. The relative spectral response of each channel
is required to be such that when viewing a 300K black body, the integrated out-of-band radiance across the
spectral range between 1.54m and 40m is required not to exceed 0.25% of the integrated in-band radiance for
that channel. This ratio has been calculated for the Channel 1 example in Table 5-2, Section b, which
demonstrates compliance of this ratio to the requirement.
Table 5.2. Channel Blocking Compliance
a. Channel Margin Ratio
Radiometric Noise (nen) - mw/m
2
/ster 1.2
Height
Km
Temperature
K
In-Band
Radiance
Out-of-band
Radiance
Out-of-Band
Requirement
Margin
Ratio
10 210 109.40 0.2822 1.09 3.88
20 220 45.30 0.2080 0.60 2.88
30 240 12.05 0.0962 0.60 6.24
40 250 4.67 0.0398 0.60 15.06
50 230 1.22 0.0117 0.60 51.15
60 220 0.28 0.0033 0.60 180.07
70 210 0.04 0.0007 0.60 823.36
BB 300 547.34 1.5058 5.47 3.63
Channel Specification Margin Ratio Requirement 3.0-5.0
b. Integrated In-Band to Out-of-Band Radiance Ratio
Planck Function Temp (K) 300
In/Out of Band Cross Over (%) 0.20
Integrated Out-of-Band Radiance 1.41
Integrated In-Band Radiance 547.3
Out/In-Band Radiance Ratio (%) 0.25
Channel Specification Requirement Less Than 0.25
c. Cold Filter Thermal Background Rejection
Planck Function Temperature (K) 301
Cold Filter In / Out-of-Band Cross Over (%) 0.2
Integrated Out-of-Band Area 10.1
Integrated In-Band Area 5136.0
Out-of-Band / In-Band Area Ratio 507.8
Channel Specification Requirement Greater than 10.0
5.4.2 Ghost-Image suppression
The effects of cross channel signal contamination is suppressed in the instrument by the array of
secondary cold (65K) filters housed within the detector assembly. These cooled filters of wider passband width
prevent out-of-band signals internally reflected from either the ZnSe dewar window (DW) or Ge lens (L2) being
recognised in other channels as in-band signals originating from a different height. Though this effect will be
considerably reduced by the use of efficient high performance antireflection coatings, this alone is inadequate to
suppress the effects of stray light to an acceptable level.
The selection of suitable cold filter bandwidths required a compromise between satisfying the need for
minimum interaction between the cold filter passband and the spectral profile of the warm filter (to ensure the
band-definition is unambiguously performed by the warm filter), and minimising the transmission of unwanted
stray radiation. To satisfy both criteria the accepted compromise required the 50% points of the cold passband to
overlap between the limits of 1% and 4% points on each edge of the warm filter profile. At wavelengths beyond
these limits the filter would be required to provide continuous blocking to cover all channels within the passband
wavelength range of the instrument. Predicted prototype bandpass profiles, representative of each channel
_________________________________________________________________________________________
120
wavelength, were analysed by the RAL Optical Science Group. By using a combination of spectral, optical and
atmospheric cross-talk matrices they determined that warm and cold filter transmissions of <10
-4
to shorter
wavelengths of the passband, and <10
-2
to longer wavelengths of the passband, would be adequate to reduce the
ghost image signals to an acceptable level. It should be noted that this requirement is only for instrument
passband range of 6 to 18m.
5.4.3 Corrective spectral passband placement requirements
As a result of the combined effects of multi-phonon absorption inherent in the bulk material properties
of the transmissive optics (particularly Channels 1-9) together with the differing illumination distributions on
both sets of filters generated by the optical design, a displacement of the spectral position and bandwidth of both
warm and cold filter profiles from the desired instrument requirement will occur. I have therfore made
corrections to the spectral placement and bandwidth of the filter passbands to compensate for these
displacements such that when the filters are combined into the system, the end-to-end channel spectral placement
is correct.
To quantify the size of this effect for each channel a nominally correct warm and cold bandpass design
pair was introduced to the design spreadsheet to calculate the end-to-end channel profile and determine the
resultant channel placement and bandwidth. From this analysis a ratio between the warm filter profile and
instrument channel end-to-end profile was calculated, representing the compensation required to the warm filter
to negate the effects of absorption. To this ratio the spectral effects of the f/7 warm filter ray count distribution in
Figure 5-16, is included to produce a final compensation factor which was then applied to the end-to-end channel
passband placement specification to derive the warm filter spectral position requirement. I have also applied
compensation ratios to the cold filter passband to ensure correct spectral placement in the f/1.5 cone in Figure 5-
17. The Channel 1 spectral profile example in Figure 5-18 illustrates the deviations between the instrument end-
to-end specification and the positional corrections required to the warm and cold filter passbands.
0
1000
2000
3000
4000
5000
6000
0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0
Angle (Degrees)
R
a
y

C
o
u
n
t
Figure 5-16 f/7 warm filter ray count distribution
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121
0
200
400
600
800
1000
1200
1400
1600
0.0 3.0 6.0 9.0 12.0 15.0 18.0 21.0
Angle (Degrees)
R
a
y

C
o
u
n
t
Figure 5-17 f/1.5 cold filter ray count distribution
0.00
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0.40
0.50
0.60
0.70
0.80
0.90
1.00
500 510 520 530 540 550 560 570 580 590 600 610 620 630 640 650
Wavenumber (1/cm)
T
r
a
n
s
m
i
t
t
a
n
c
e
Warm Filter (F/7 Cone)
Cold Filter (F/1.5 Cone)
Cold Filter (F/8 Cone)
Warm Filter (F/8 Cone)
Combined Material
Absorption Profile
Channel
Throughput
Specification
Corrected Warm Filter
Figure 5-18 Overlay of measured spectral profiles of Channel 1 warm and cold filters corrected for cone
angle, bulk material absorption properties, and final corrected channel placement profile
5.4.4 Thermal background suppression
The cold filters additionally serve to reduce the background thermal flux of the instrument reaching the
detectors. Verification of adequate broadband blocking performance of the cold filters is required to show
sufficient rejection against radiation from a 301K Planck function. The degree of suppression of thermal
background radiation from the instrument is derived for each channel from the integrated out-of-band to in-band
area ratio of the response profile from the combined detector, cold filter and 301K Planck function profiles. The
verification target criterion for this parameter is deemed to be satisfied if the integrated out-of-band rejection is
greater than the integrated in-band throughput by a factor of 10. As it can be seen for the example channel in
Table 5-2, Section c previously, this ratio has been comfortably exceeded.
5.5 HIRDLS Instrument performance verification
The spectral measurement and verification procedure used to integrate the response data from the
HIRDLS manufactured components is performed through two relational spreadsheets. These are used to verify
compliance with the instrument performance requirements and comprise an instrument verification spreadsheet
and an instrument throughput spreadsheet. The instrument verification spreadsheet is used to determine the
_________________________________________________________________________________________
122
complete spectral response of the instrument on a coarse data interval of 2cm
-1
. This is used to verify compliance of
the instrument with the Margin Ratio, thermal background suppression, and total radiance profile for each height
across the broad spectral range of 1.54m to 40m (3125 data points). The instrument throughput spreadsheet is
used to provide detailed passband profile analysis of each channel across the channel passband with a fine data
interval of 0.25cm
-1
between 5m and 20m (6000 data points).
Since each element in the optical path of the instrument is placed some distance apart, and angular beam
walk-off is inevitable as a result of the curved surfaces in the instrument. I have assumed multiple-beaming between
adjacent components does not occur. Under these circumstances it is appropriate for the spectral profiles from each
element to be multiplied together within the design and verification spreadsheets together with the Planck function
and limb absorption profiles. This provides considerable improvements to the blocking performance of the
instrument and reduces the sensitivity of the instrument to small spectral leaks caused by either pinholes or minor
surface defects in any of the individual coatings as illustrated in Figure 5-19.
Figure 5-19 High-resolution SEM micrograph showing a coating pinhole
5.5.1 Instrument channel passband profile
The channel placement accuracy of the HIRDLS instrument throughput requires the filter edge positions to
be located typically within 2.5cm
-1
of the nominal spectral location. For certain channels however, where there
exist unwanted spectral features adjacent to the band of interest, a spectral placement accuracy of 1.0cm
-1
is
required. The spectral end-to-end spectral throughput of the complete channel requires the shape of the energy grasp
profile to meet two specific requirements :- (i) the integrated throughput between the 0.2% and the 50% relative
transmission points is required to contribute no more than 30% of the integrated transmission between the 50%
relative transmission points, and (ii) the width of the spectral interval between the 5% relative transmission points is
not to exceed 1.6 times the passband width. By applying these criterion, both the shape and edge steepness of the
throughput profile are defined. Figure 5-20 shows an overlay of the measured spectral performance achieved for
each of the contributing elements in Channel 1, together with the calculated throughput profile. It can be seen from
the channel passband compliance summary in Table 5-3, that the overall channel throughput has achieved the
profile requirements defined by the specification.
_________________________________________________________________________________________
123
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
1.10
500 510 520 530 540 550 560 570 580 590 600 610 620 630 640 650
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
Mirrors
Detector
Ge L2
ZnSe DW
Ge L1
Cold Filter
Warm Filter
Throughput
Figure 5-20 Measured profile for each component for the Channel 1 wavelength
and calculated end-to-end throughput (corrected for temperature and illumination)
Table 5-3 Channel Passband Throughput Profile
a. Passband Width Ratio SW Point
(cm
-1
)
LW Point
(cm
-1
)
Bandwidth
(cm
-1
)
Passband 50% Width 583.6 563.7 19.9
Passband 5% Width 585.6 561.1 24.5
50% - 5% Width Ratio 1.23
Channel Specification Requirement Less Than 1.60
b. Integrated Transmission Ratio
0.2% - 50% Integrated Transmission 29.34
50% - 50% Integrated Transmission 159.98
0.2%-50% / 50%-50% Ratio (%) 18.34
Channel Specification Requirement Less Than 30%
c. Peak Transmission
Maximum Throughput Transmission 20.3
Channel Specification Requirement Greater Than 8.0%
5.5.2 Instrument channel blocking performance
The measured wide-band spectral blocking performance of the components in the Channel 1 and 21
examples are illustrated as overlaid spectra in Figures 5-21 to 5-24. Although each individual component only
contributes a fraction of the total out-of-band blocking, the system as a whole, depending as it does on the product
of the individual transmissions, has much lower out-of-band transmissions than required by the specification. There
are a number of advantages to the use of distributed blocking over a number of components in this way, individual
blocking levels at the 10
-4
level can actually be verified by measurement together with reduced sensitivity to
possible minor coating defects and more margin for minor deviations in blocking. This has also allowed the filters to
benefit such that the required blocking performance is better quantified in terms of the specific wavelength regions
and rejection levels required. Figures 5-25 and 5-26 illustrates an example predicted channel in-band and out-of-
band radiance, inclusive of the atmospheric Planck function temperatures and limb absorption features for the
various target heights to be viewed by the instrument.
_________________________________________________________________________________________
124
1E-10
1E-09
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
Mirrors Detector ZnSe DW Ge L2 Ge L1 Warm Filter Cold Filter
Throughput
Figure 5-21 Measured Channel 1 (17.4m) blocking performance and total system throughput
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
ZnSe DW Ge L2 Ge L1 Detector Mirrors
Warm Filter
Cold Filter
Throughput
Figure 5-22 Channel 1 (17.4m) measured end-to-end passband throughput performance
1E-10
1E-09
1E-08
1E-07
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
250 500 750 1000 1250 1500 1750 2000 2250 2500 2750 3000 3250 3500 3750 4000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
ZnSe DW
Ge L2 Ge L1 WarmFilter Cold Filter Detector Mirrors
Throughput
Figure 5-23 Measured Channel 21 (6.75m) blocking performance and total system throughput
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125
0.00
0.10
0.20
0.30
0.40
0.50
0.60
0.70
0.80
0.90
1.00
250 500 750 1000 1250 1500 1750 2000
Wavenumber (1/cm)
T
h
r
o
u
g
h
p
u
t
ZnSe DW Ge L2 Ge L1
Warm Filter Cold Filter Detector Mirrors
Throughput
Figure 5-24 Measured Channel 21 (6.75m) end-to-end passband throughput performance
1E-06
1E-05
1E-04
1E-03
1E-02
1E-01
1E+00
1E+01
1E+02
1550 1560 1570 1580 1590 1600 1610 1620 1630 1640 1650 1660 1670
Wavenumber (1/cm)
R
a
d
i
a
n
c
e
BB
10km
20km
30km
40km
50km
60km
70km
Figure 5-25 Channel 21 (6.75m) predicted in-band radiance
1E-12
1E-10
1E-08
1E-06
1E-04
1E-02
500 600 700 800 900 1000 1100 1200 1300 1400 1500 1600 1700 1800 1900 2000
Wavenumber (1/cm)
R
a
d
i
a
n
c
e
BB
10km
20km
30km
40km
50km
60km
70km
Figure 5-26 Channel 21 (6.75m) predicted out-of-band radiance
_________________________________________________________________________________________
126
5.6 Conclusion
In the Channel 1 and 21 cases illustrated here, the measurements have verified that both the warm and cold
filters have achieved the channel blocking requirements defined by the Margin Ratio, integrated in-band to out-of-
band radiance ratio and cold filter thermal background rejection as tabulated in Table 5-2. From the system
analysis, the total throughput model of the instrument has produced a calculated average rejection level of 10
-9
within the HIRDLS wavelength range, with additional contributions from the germanium lenses and dewar
window considerably increasing the channel rejection blocking levels to short-wave. This verification model is
of course limited by the low level blocking measurement accuracy on each component at approximately 10
-4
.
Actual rejection levels may be greater as calculated from the design profiles.
It could be argued that I have achieved a non-optimum result, in so far as having achieved a very much
lower level of out-of-band transmission than required, especially at short-wave, and that there may still remain
opportunities for further reducing the number of layers. It should be remembered however, that the individual
components also have their own out-of-band transmission requirements to meet, as discussed earlier, as well as
there being instrument throughput requirements. Also, in the case of the antireflection coatings, the low levels of
short-wave out-of-band transmission is a by-product of the coating design, the number of layers and their
thickness being predicated by the need for high and wide in-band transmission. Additionally, at wavelengths
below the 5m region, the electronic absorption edge of the Lead Telluride (PbTe) content of the coatings
dominate and is primarily responsible for reducing the transmission still further. The amount of PbTe used in the
coatings is consistent with the minimum necessary to obtain the best in-band performance together with the
necessary component level blocking, even this amount gives rise to the very low levels of short-wave
transmission observed.
With the results of this work I have developed an integrated system performance approach to the
spectral design of HIRDLS instrument which has led to an improved specification for the spectral performance
requirements for the filters. Together with this compliance to the spectral requirements of the instrument have
also been verified by component level spectral measurements integrated into the instrument for the example
Channels 1 and 21. The predicted spectral performance of the HIRDLS instrument given by the model using
component level measurements are to be compared with the results of the radiometric calibration of the
instrument engineering model and later more comprehensively with that of the flight model.
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127
CHAPTER 6
EFFECTS OF THE SPACE ENVIRONMENT
ON INFRARED FILTERS AND MATERIALS
With a continuously increasing demand for improvements to spaceflight optical instrumentation, for
both high optical system performance and lengthening operational lifetimes, an investigation into the effects of
the space environment on the durability and spectral stability of infrared filters and materials on the NASA Long
Duration Exposure Facility (LDEF) was opportune. Prior to this experiment, assurance of the survivability of
filters had been provided by ground-based testing, in an attempt to simulate those aspects of the space
environment considered the most serious. Such testing, however, cannot prevent occasional anomalous
behaviour or unexplained failures, particularly when filters may have been fabricated at a time considerably
earlier than the proposed operating lifetimes, or delays may have extended the operational lifetime of the
mission.
To obtain the data necessary for an assessment of the ability of filters to withstand the environmental
rigours of space therefore required that in-situ testing was necessary. The experiment to expose infrared
interference filters and coatings which had been constructed using traditional design and deposition methods was
therefore a necessary requirement for assessing the filter materials suitability and stability when subjected to
radiation from the space environment. The optical and physical behaviour of these filters and materials in the
space environment being unconfirmed previously, but is critical to their performance.
The principal objectives of the experiment were to investigate the effects of the space environment on
the spectral and mechanical stability of the multilayers and materials flown. Assess if a lifetime could be
determined for filters and materials operating in the orbital environment, and determine any degradation
mechanisms affecting the optical system performance.
In this chapter I will be presenting results, previously un-published, of the specific environments to
which the individual filters and coatings were exposed, together with summarised details of the pre and post
flight spectral measurement correlations. I refer the reader to my published final SERC report entitled Space
exposure of infrared filters and materials on the NASA Long Duration Exposure Facility (LDEF), Published
by The University of Reading ISBN 07049 04098 (1991) for a more complete and comprehensive assessment of
the experiment construction, measurement strategy and performances achieved for each of the individual filters
and materials flown.
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128
Earth Facing Tray G12
Figure 6-1 Deployment of the LDEF from Challenger Space Shuttle mission 41C.
6.1 LDEF Experiment Background
The NASA Long-Duration Exposure Facility (LDEF) was a free-flying satellite designed to provide an
economical means of achieving space exposure in the Low Earth Orbit (LEO) of experiments that could benefit
from post recovery measurements of the retrieved hardware
[102]
. The LDEF experiment structure was designed
and fabricated at NASA Langley in the late 1970s as a passive reusable satellite for planned repeat missions
using the two-way transport capability provided by the Space Shuttle. It is a 4.3 meter diameter by 9.1 meter
long aluminium cylindrical structure with the cross section of a 12-sided regular polygon.
Experiments were attached to the exterior of the structure in self contained experiment trays, each tray
measuring 86.4cm x 127cm which could be further sub-divided to accommodate smaller experiments. The
9709Kg facility was placed in orbit by the Shuttle Challenger on 7th April 1984 at a 482km circular orbit with a
28.4 inclination relative to the equator. The structure was gravity-gradient stabilised and mass loaded so that
one end of the LDEF was always pointed at Earth and one side (leading edge) was always oriented into the orbit
path (sun rising) ram direction. In orbit, the orientation of the structure ended up rotated around its long axis
such that the leading edge was offset from the ram direction by about 8. This orientation remained constant
throughout the entire operational lifetime of the mission. LDEF also used a viscous damper which was designed
to gradually eliminate any destabilising oscillations caused during deployment.
Duration of the exposure was originally anticipated to last for a period of 10-12 months for retrieval in
early 1985. Due to Shuttle re-scheduling and the loss of Challenger, LDEF was not retrieved until the 12th
January 1990 after 5 years and 8 months (2106 days) and 32,422 orbits in low Earth orbit, by which time the
_________________________________________________________________________________________
129
orbit had degraded from 482km to 340km. This extended duration presented a unique opportunity to study the
long term effects of space exposure on the filters and substrate materials flown.
6.2 Thermal cycling effects
A spaceflight vehicle in low Earth orbit will receive radiant thermal energy from three primary
sources
[103]
; the incoming solar radiation (solar constant), reflected solar energy (Earth albedo), and outgoing
longwave radiation emitted by the Earth and atmosphere itself with a blackbody radiation spectrum of 288K.
Certain amounts of this energy will be reflected by the vehicle, and the vehicle itself radiates energy into the cold
sink of space at 3K. The thermal environment of any spacecraft surfaces will tend towards a temperature which
balances these energy fluxes with any energy produced internally within the vehicle. A similar thermal balance
process applies to the Earth itself. The Earth/atmosphere is in radiative equilibrium with the Sun. However, it is
not in balance everywhere on the globe, as there are variations with respect to geography, and atmospheric
conditions. A space vehicles motion with respect to the Earth results in its viewing only a continuously changing
portion across the full global thermal profile, so it sees these variations as functions of time depending on the
thermal time constants of the vehicle. The thermal environment is therefore primarily dependant upon the orbital
parameters.
The LDEF thermal design was completely passive, relying on surface coatings and internal heat paths
for temperature control and equalisation. To maximise the internal radiation coupling between the spacecraft
components, high-emittance coatings were used. All interior surfaces were coated with Chemglaze Z-306 black
paint. This unexposed coating did not suffer any degradation during the LDEF mission. However, because the
LDEF structure was not baked out after being painted, the Chemglaze Z-306 became one the leading sources of
contamination. Actual internal flight temperatures were recorded at intervals of approximately 112 minutes for
the first 390 days of the LDEF mission. Temperature measurements were taken using five copper-constantan
thermocouples, a radiometer and two thermistors for reference measurements. The recorded temperature range
for all seven locations was from 3.8C to a maximum of 56.7C. Figure 6-2 shows the daily averaged cyclic
temperature excursions versus time experienced by the closest thermocouple for each of the two trays flown.
The effects of this temperature cycling on a deposited multilayer causes thickness contraction and
expansion of each of the layers, the size of which depend on the thermal expansion coefficient properties of the
materials. As dielectric coatings deposited on optical components are usually brittle, and may be under constant
tensile or compressive stress, delamination of the coating can result if the induced thermal mismatch between
adjacent layers becomes too large. The resultant failure of the coating significantly degrading the spectral
performance of the optical system. In addition to the unwanted thickness variations, which can displace the
spectral profile from its desired position, temperature cycling effects can also cause the spectral performance to
deteriorate, as the optical dispersion properties of the materials change with temperature, these variations can
become significant and adversely affect the spectral profile of the filter. The coatings must therefore be
constructed of materials with sufficient adhesion between the interfaces to withstand the thermally induced
expansions and contractions and possess a low susceptibility to thermally induced dispersion.
6.2.1 Solar flux
All of the exterior surfaces on the LDEF received direct solar illumination for periods of time during
the mission. The cumulative times for the illumination of individual surfaces on the facility varied from 10-25%
of the total mission lifetime. The amount of cumulated illumination time per orbit changed as the angle between
the Suns illumination vector and the plane of the LDEF orbit varied, as illustrated in Figure 6-3.
_________________________________________________________________________________________
130
-angle: angle between the plane of the orbit and the sun illumination
solar incident: heat due to direct illumination from the sun
albedo: heat due to the portion of the solar incident energy reflected from the planet onto the LDEF
planetary: heat due to energy emitted from the planet
Figure 6-3 Variation of the Suns illumination with the plane of the LDEF orbit
The rate of accumulation of solar exposure is calculated in terms of the equivalent number sun hours.
This depends upon the solar form factor
[104]
for direct solar radiation and upon the Earths albedo form factor
which is then combined with an appropriate value of albedo for reflected radiation from the Earth. The solar
form factor for a surface on an orbiting spacecraft is a function of its orientation with respect to the Suns rays.
The Earth albedo form factor for a surface on a spacecraft is a function of the position of the spacecraft relative
to the Earths illuminated hemisphere and to the orientation of the surface with respect to the local vertical
direction. Both form factors when averaged over a complete orbit are defined by the angle that the spacecrafts
orbit plane makes with the Suns rays and the orientation of the exposed surface with respect to the spacecrafts
heading. The Earth albedo was determined from Nimbus 7 radiometer measurements reported by Smith et al
[105]
. Figure 6-4 shows the build up of cumulative equivalent sun hours with time for the two exposed trays B08
and G12. The solar exposure builds approximately linearly with time except for a visible modulation caused by
seasonal variations.
0
1000
2000
3000
4000
5000
6000
7000
8000
9000
10000
0 250 500 750 1000 1250 1500 1750 2000 2250
Days After Release
C
u
m
u
l
a
t
i
v
e

E
q
u
i
v
a
l
e
n
t

S
u
n

H
o
u
r
s B08 - Leading Edge
G12 - Earth facing
Figure 6-4 Cumulative equivalent sun hours vs time (incident Solar + Earth reflected radiation)
_________________________________________________________________________________________
131
This accumulated exposure of solar radiation was one of the most important contributors to materials
degradation on the LDEF. Figures 6-5 and 6-6 shows the effects of this radiation on a As
2
S
3
/ KRS-5 coating
deposited on a KRS-5 substrate from the leading edge tray B08, where gross discoloration and thermal blistering
had destroyed the sample.
Figure 6-5 Pre-flight B8/19 coated
KRS-5 sample
Figure 6-6 Post-flight B8/19 coated
KRS-5 sample showing thermal fatigue
6.3 Ionizing radiation
LDEF was deployed at an altitude of 482km. At this orbital altitude, three sources of energetic particles
dominate most of the penetrating charge particle radiation encountered
[106]
- high energy galactic cosmic rays
and geomagnetically trapped protons, with energies between 100-1000 Mev, and neutrons from the
atmosphere. Additionally, where shielding is less than 1g/cm
2
geomagnetically trapped electrons make a
significant contribution and dominate the surface absorbed dose. All three sources are strongly shielded by the
Earths magnetic field. Due to this shielding, the absorbed dose induced by galactic cosmic rays and solar
fluences are weak. Thus, trapped proton exposure is primarily responsible for the LDEF absorbed dose
measurements. This occurs mainly during passes through the South Atlantic Anomaly where the magnetic field
intensity is at its highest and is produced because the Earths magnetic field is not centred on the Earth and
generates trapped orbits for charged particles in the geomagnetic field
[107]
. Under modest shielding, over 95%
of the radiation exposure on the LDEF was from trapped protons encountered in this region. Penetrating charged
particle radiation presents a significant challenge to the design and operation of a orbiting vehicle as many of the
particles have sufficient energy to penetrate several centimeters of metal and produce significant levels of
ionization inside the vehicle. A high level of radiation will significantly affect materials, chemical processes, and
living organisms.
The galactic cosmic rays consist mainly of the nuclei of the elements of hydrogen through to uranium,
these have a broad energy spectrum and high average energies of approximately 7 Gev/nucleon. The LDEF dose
contribution from galactic cosmic rays was predicted to be about 6 rad, and decreases slowly with shielding
depth than the trapped proton dose. The actual LDEF cosmic ray experiments, using about 20 of the actinide
elements in the periodic table (i.e. Th, U, etc) with nuclei atomic weights Z>65, showed this contribution to be
closer to a value of 10 rad (0.1 Gray). Galactic cosmic ray particles bombard the Earth isotropically with a
composition in the vicinity of Earth being ~98% nuclei and ~2% electrons and positrons. The absorbed dose was
therefore dominated by the heavy nuclei. Rare solar flares that produce energetic particles with energies well
above 1 Gev also contribute a minor dose component at all shielding depths.
The principal mechanisms that cause damage in dielectric coatings
[108]
by ionizing radiation are
electronic ionisation and atomic lattice displacements. Charged particles such as protons, deuterons, and helium
ions mainly interact with the electrons in the dielectric, whilst neutrons interact only weakly with electrons,
principally colliding with nuclei and displacing their position in the lattice. As atoms are considerably larger than
their nuclei, interactions with the atomic nucleus is much less probable. For charged particles, heavier than the
_________________________________________________________________________________________
132
electron, little change in direction or energy is suffered by the particle. The electron collision may be knocked
out of the atom, producing an ion and free electron. By this process chemical bonds may also be broken and
produce free radicals, new chemical species or induced radioactivity
[109]
.
Electrons and ions produced by these events can be trapped at lattice defects or other low energy
positions where a change to the absorption spectra of a material is possible. Darkening or other discoloration can
result, and the coating may degrade as a result of the radiation.
Comparing the proton fluence experienced on the LDEF with that required for the EOS HIRDLS
instrument shows the samples onboard the LDEF were exposed to a greater fluence of trapped protons than that
required by the ionizing radiation requirements for EOS spacecraft instruments
[110]
. Figure 6-7 shows the
required surface incidence fluence of trapped protons and cosmic ray protons for a five year polar orbit at an
altitude of 705km with values ranging from approximately 8x10
9
to 2x10
5
compared to a range of 5x10
9
to
1.2x10
7
experienced by the LDEF.
1E+05
1E+06
1E+07
1E+08
1E+09
1E+10
0 100 200 300 400 500 600
Energy (MeV)
I
n
c
i
d
e
n
t

F
l
u
e
n
c
e

(
P
r
o
t
o
n
s
/
c
m
^
2
*
M
e
V
)
LDEF
HIRDLS
Figure 6-7 Trapped proton fluence from LDEF compared with the HIRDLS instrument requirements
6.4 Atomic oxygen
The effects of atomic oxygen (monatomic oxygen) bombardment were originally highlighted with the
early shuttle flights, by a visible effect on exposed polymer surfaces such as Kapton, where changes in
characteristics due to atomic oxygen were found to cause undesirable temperature excursions in low Earth orbit
and shorten the useful lifetime of many spacecraft components
[111]
. It has also been proposed that atmospheric
atomic oxygen plays a role in the production of a visible shuttle glow upon re-entry into Earths atmosphere.
Post-flight analysis of painted surfaces on the shuttle were also noted to have been returned with a brighter
surface than prior to launch.
Atomic oxygen bombardment contributes significantly to surface degradation, erosion, and
contamination of materials with which it collides due to its high speed of 1.15 km/sec compared to an average
speed of a spacecraft relative to the atmosphere of 7.24 km/sec, and high collision energies (4-5eV). At this
energy, atomic oxygen initiates a number of chemical and physical reactions with the materials and penetrate
surfaces, substituting oxygen to form oxide compounds, more stable than those originally present. The element
exists in monatomic form in the upper regions of the atmosphere (>400km altitude). The effects of atomic
oxygen bombardment on a polymer film produces a heavily etched and eroded surface. Polymer films that have
been coated with thin metallic layers have suffered atomic oxygen attack through pre-existing pinholes in the
metal film, this leads to underlying cavities which eventually produces complete loss of the polymer, leaving a
free-standing metal film.
As the orbit of the LDEF was inclined to the equator (28.5), its 12-sided geometry caused the atomic
oxygen fluence to vary from experiment to experiment. The angle of each experiment surface relative to the ram
direction was used to determine the atomic oxygen fluence by the fixed structural geometry of the vehicle and its
_________________________________________________________________________________________
133
constant flight attitude in orbit
[112]
. Figures 6-8 and 6-9 shows the atomic oxygen fluxes and fluences for the two
exposed tray surfaces located at the Earth facing location (G12) and the space facing location near to the leading
edge of the vehicle (B8). The extent to which on-board materials were exposed to atomic oxygen, the total
atomic oxygen fluence, is of primary interest. This fluence is the flux (atoms/cm
2
/sec) times the exposure period
(seconds), with the flux defined as the number density of atomic oxygen (atoms/cm
3
) times the orbital velocity
(cm/s). The altitude of the flight, orientation of the surfaces, and the extent of solar activity determine the amount
of atomic oxygen exposure.
1E+10
1E+11
1E+12
1E+13
1E+14
1E+15
0 250 500 750 1000 1250 1500 1750 2000 2250
Cumulative days after release
A
t
o
m
i
c

O
x
y
g
e
n

F
l
u
x

(
A
t
o
m
s
/
c
m
^
2

s
e
c
)
G12 - Earth Facing
B8 - Leading Edge
Figure 6-8 Atomic oxygen flux vs time for LDEF rows B8 and G12
1E+18
1E+19
1E+20
1E+21
1E+22
0 250 500 750 1000 1250 1500 1750 2000 2250
A
t
o
m
i
c

O
x
y
g
e
n

F
l
u
e
n
c
e

(
A
t
o
m
s
/
c
m
^
2
)
B8 - Leading Edge
G12 - Earth Facing
Figure 6-9 Atomic oxygen fluence vs time for LDEF rows B8 and G12
Atomic oxygen flux was not constant during the orbital lifetime of the LDEF as decreasing solar
activity caused atomic oxygen flux to decrease during the first three years of the flight. Following this, the
combination of increasing solar activity and decreasing altitude caused the atomic oxygen flux to increase
rapidly. The flux during the latter months of the mission was almost two orders of magnitude greater than the
flux encountered early in the mission. Figure 6-10 shows the accumulated atomic oxygen fluence expressed as a
percentage of the total fluence exposed for the mission. This highlights the combined effect on atomic oxygen
fluence caused by the varying solar activity and the loss in altitude. Approximately 75% of the total atomic
oxygen exposure accumulated during the last year of the flight with approximately 50% accounted for in the last
six months.
_________________________________________________________________________________________
134
0
10
20
30
40
50
60
70
80
90
100
0 250 500 750 1000 1250 1500 1750 2000 2250
C
u
m
u
l
a
t
i
v
e

A
t
o
m
i
c

O
x
y
g
e
n

F
l
u
e
n
c
e

(
%
)
% Decay of average
orbit altitude
Cumulative atomic
oxygen fluence
Figure 6-10 Cumulative Atomic Oxygen fluence as a percentage of total exposure
Comparing the atomic oxygen fluence experienced on the LDEF with that required for the EOS
HIRDLS instrument
[113]
shows the expected atomic oxygen bombardment to be equivalent to that experienced by
the optical components on the leading edge tray (B8). Figure 6-11 shows the expected atomic oxygen fluence
profile for a five year polar orbit at an altitude of 705km with values ranging from approximately 8x10
20
to
1x10
20
, this compares to a range of 1x10
20
to 5x10
21
experienced by the LDEF leading edge tray B8. It should
be noted that the optical elements on the LDEF experiment were under direct exposure to the flux of atomic
oxygen, whilst in HIRDLS the filters are internal to instrument, providing far greater protection for survival.
1.00
2.00
3.00
4.00
5.00
6.00
7.00
8.00
9.00
1998 1999 2000 2001 2002 2003 2004
Launch Date
A
t
o
m
i
c

O
x
y
g
e
n

F
l
u
e
n
c
e

(
A
t
o
m
s
/
c
m
^
2
)

x

1
0
^
2
0
Figure 6-11 Atomic oxygen fluence requirement for the HIRDLS instrument after five years in orbit
6.5 Filter experiment construction
In order to obtain a representative assessment of the effects of exposure to the space environment of the
infrared filters and materials flown on the LDEF, a total of 46 components were distributed between two tray
locations, as illustrated in Figure 6-12. One location was positioned to be continuously facing Earth (G12) at an
angle of 90.8 off the RAM incidence angle (Figure 6-14), whilst the other location tray was positioned to
continuously view space on the leading edge of the vehicle (B08) at 38.1 off the RAM incidence angle (Figure
6-15). Each tray was designed to maximise the exposure of the full aperture to the complete range of space
radiation environments and temperature excursions.
_________________________________________________________________________________________
135
Figure 6-12 Location of exposed filter experiment trays
The filters were each housed in chromic anodized BS.L93 aluminium alloy circular holders and
mounted in 6061-T6 chromic anodized aluminium alloy base plates. Thermal contact was ensured by Pb washers
located either side of the substrate. Induced pressure differentials across the substrates were relieved by a hole in
each backing piece to prevent substrate flexing or deformation. Figure 6-13 shows the substrate holder
construction.
Figure 6-13 Filter holder assembly
_________________________________________________________________________________________
136
29
5
26
16
32
21
35
6
22
36
18
15
38
7
13
40
44
45
41
8
Figure 6-14 Earth facing tray G12
Earth Facing Exposed Materials (G12)
Holder
No.
Substrate
Material
Coating
Materials
Filter
Type
5 MgF2 - Uncoated Substrate
6 CaF2 - Uncoated Substrate
7 KRS-5 - Uncoated Substrate
13 KRS-5 As2S3 /KRS-5 61-Layer Quarter Wave Stack
15 CdTe - Uncoated Substrate
16 KRS-6 ZnS/KRS-5 - ZnSe/KRS-5 33-Layer Quarter Wave Stack
18 KRS-5 CdTe/KRS-5 - As2S3/KRS-5 61-Layer Quarter Wave Stack
21 Ge PbTe/ZnS 7.35m 5% L-Spaced THW BP
29 Ge PbTe/ZnS 14.5m 0.7% L-Spaced FP BP
32 Ge PbTe/ZnS 14.5m 0.7% Split-Spacer FP BP
35 Ge PbTe/ZnSe 14.5m 0.7% Split-Spacer FP BP
36 Ge PbTe/ZnS 14.5m 0.7% L-Spaced FP BP
38 Ge PbTe/ZnS 11m 10% H-Spaced THW BP
40 Ge PbTe/ZnS 15m 10% L-Spaced THW BP
41 Ge PbTe/ZnS 15m 10% L-Spaced THW BP
44 ZnSe PbF2/PbF2 10.6m Single Wavelength AR
45 Ge PbTe/ZnS 9.24m 2% H-Spaced DHW BP
_________________________________________________________________________________________
137
Figure 6-15 Leading edge tray B08
24
37
4
39
11
34
2
23
25
33
17
14
31
46
9
19
30
47
42
28
3
12
10
27
1
27
Space Facing Exposed Materials (G12)
Holder No. Substrate Coating Materials Filter Type
1 MgF2 - Uncoated Substrate
2 CaF2 - Uncoated Substrate
9 CdTe - Uncoated Substrate
10 Si - Uncoated Substrate
11 Y-Quartz - Uncoated Substrate
12 Z-Quartz - Uncoated Substrate
14 KRS-5 As2S3 / KRS-5 61-Layer Quarter Wave Stack
17 KRS-6 ZnSe / KRS-5 - ZnS / KRS-5 33-Layer Quarter Wave Stack
19 KRS-5 CdTe / KRS-5 - As2S3 / KRS-5 61-Layer Quarter Wave Stack
23 Ge - Uncoated Substrate
24 Al2O3 Ge / SiO 4.45m 3.5% 2L:1H Quarter Wave Stack
25 Al2O3 Ge / SiO 4.45m 3.5% 2L:1H Quarter Wave Stack
27 Ge PbTe / ZnS 14.5m 0.7% L-Spaced Fabry-Perot BP
28 Ge PbTe / ZnS 14.5m 0.7% L-Spaced Fabry-Perot BP
30 Ge PbTe / ZnS 14.5m 0.7% Split-Spacer Fabry-Perot BP
31 Ge PbTe / ZnS 14.5m 0.7% Split-Spacer Fabry-Perot BP
33 Ge PbTe / ZnSe 14.5m 0.7% Split-Spacer Fabry-Perot BP
34 Ge PbTe / ZnSe 14.5m 0.7% Split-Spacer Fabry-Perot BP
37 Ge PbTe / ZnS 8-12m Long-Wave Pass Edge Filter
39 Ge PbTe / ZnS 11m 10% H-Spaced THW BP
42 Ge PbTe / ZnS 10.6m 2.5% H-Spaced DHW BP
43 Ge PbTe / ZnS 10.6m 2.5% H-Spaced DHW BP
46 Al2O3 - Uncoated Substrate
47 Si SiO 4.4m Single Wavelength AR
_________________________________________________________________________________________
138
6.6 Pre-launch / post-recovery filter analysis
The variety of differing samples selected for inclusion on the two experiment locations were
subdivided into three generic material types, viz:- uncoated crystal materials, soft multilayer coating /
substrates and hard multilayer coating / substrates. By subdividing the samples by this criteria direct
comparisons of spectral and physical assessments from equivalent exposed and control sample types could be
made. Control specimens fabricated simultaneously with the exposed samples were retained under ambient
laboratory temperature and humidity conditions to assess comparative changes of the two environments.
Validating spectral changes which occurred as a direct result of the exposure to the space environment were
only considered valid if they complied with the following criterion :-
i) Representative control samples remain spectrally stable, whilst equivalent exposed samples become
spectrally displaced and/or deformed beyond the tolerance budget.
ii) Where no control samples exist, exposed samples have spectrally changed by either displacement and/or
deformation beyond the normal expectations of the coating and/or substrate materials durability.
Spectral variations occurring from the experimental samples were considered to be unchanged, if as a
result of the exposure, the following was found :-
i) Situations in which the exposed samples have remained spectrally stable, but where control specimens have
become displaced and/or deformed are considered to be unaffected by the space environment and indicate space
to be a more benign environment than component storage under normal laboratory conditions.
ii) Both the exposed and control samples have become spectrally displaced and/or deformed by an equivalent
amount and in the same direction.
iii) Where no control sample exists the exposed sample remains spectrally unaltered from the original
measurement and/or the expectation of the substrate/coating material properties.
iv) Both the exposed and control samples remain spectrally unaltered from the original measurement.
For each sample type, pre and post flight average transmission was calculated from coincident spectral
regions. This enabled the changes which may have occurred in both the exposed and control samples to be
quantified over the complete spectrum, and give an indication of the change in energy throughput of the
components as a result of the exposure. Bandpass filter measurements were compared by measuring the centre
wavenumber and 50% full width half-power points, and correlating the wavenumber displacement between pre
and post flight measurements. All the spectral features were corrected for instrument wavenumber and
transmission calibration prior to analysis.
Correlations of pre/post flight average transmissions, were analysed statistically to ensure both localised
and wideband regions the changes were seen in the context of their equivalent samples. Statistical comparisons
between pre and post flight data use the correlation coefficient (r), mean deviation and standard deviation (SD). The
correlation coefficient (r) is defined as;
( )
( )
( ) ( )
r
x x y y
x x y y
=

2
2
(6-1)
The size of the coefficient provides an indication of how well the pre and post flight data sets
correspond, where ;
r = +1 = perfect direct correlation
r = -1 = perfect inverse correlation, and
-0.5 < r < + 0.5 = no correlation
6.6.1 Uncoated crystal materials
Samples of uncoated crystal materials, selected for evaluation of their long wavelength multi-phonon
and/or Reststrahl absorption properties included; CaF
2
, MgF
2
, Ge, Si, CdTe, TlBrI (KRS-5), TlClBr (KRS-6),
Al
2
O
3
(sapphire), and Y & Z-cut quartz.
Figure 6-16 shows the results of the pre-launch and post-recovery transmission correlation for these
materials. The correlation of average transmittances from equivalent coincident spectral regions for the uncoated
crystals gave a correlation coefficient (r) of 0.9962. The mean deviation, however, indicated a consistent loss in
_________________________________________________________________________________________
139
transmission of -0.765%, this was within the accuracy envelope permitted, inferring that no noticeable changes were
observed. Controls for these crystals were unavailable.
0
10
20
30
40
50
60
70
80
90
100
40 45 50 55 60 65 70 75 80 85 90
Post-Flight Average Transmission (%)
P
r
e
-
F
l
i
g
h
t

A
v
e
r
a
g
e

T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
Figure 6-16 Average transmission correlation of uncoated crystal materials
6.6.2 Soft substrate / coating materials
Soft multilayer coating and substrate materials principally comprised KRS-5 (TlBrI) based multilayer
quarter-wave stacks deposited on KRS-5 and KRS-6 (TlClBr) substrates. These were designed to utilize, by
multilayer action, the long-wavelength Reststrahl blocking properties of the materials. All of these components
were originally fabricated for use in the Galileo-Jupiter probe
[114]
.
Three different types of material combinations were employed to produce the various spectral response
characteristics available for this category using KRS-5 with a choice of As
2
S
3
/CdTe/ZnS and ZnSe alternate
layer materials. Each material combination produced a high region of transparency throughout the infrared
spectrum containing periodic interference fringes which resulted at long-wavelength (~ 40m) with a deep
reststrahl absorption edge. All of the designs possessed the same basic multilayer structure containing
alternative quarter-wavelength (/4) thickness layers reproduced at regular periods.
Substrate / (LH)
n
/ Air
where L = low index, H = high index material and n = number of repeating periods.
The resulting structure produced a periodic highly transparent interference spectrum containing a
reflection zone (notch) where the interference between layers add together to produce a region of destructive
interference. The size of this zone being dependent upon the index contrast of the multilayer materials. This
region is particularly sensitive to thickness, index or absorption changes in the structure. Figure 6-17 shows the
results of the pre-launch and post-recovery transmission correlation for this group of filters.
_________________________________________________________________________________________
140
Soft (Volatile) Materials (KRS-5/KRS-6) Correlation (T%)
(Correlation of 6 co-incident regions)
0
10
20
30
40
50
60
70
80
90
100
0 10 20 30 40 50 60 70 80 90 100
P
r
e
-
F
l
i
g
h
t

A
v
e
r
a
g
e

T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
Figure 6-17 Mean transmission correlation of soft substrate / coating materials
Comparisons of pre and post flight average transmittance were made between the soft (volatile) exposed
samples from both sites, the correlation coefficient (r) was -0.168, indicating no correlation pre/post flight for these
samples. This was also evident from visual inspections, where gross physical degradation / delamination of the
coatings and substrate material was observed. Considerably less degradation in both spectral and physical properties
was observed in samples located on the Earth-facing tray (G12) compared to equivalent samples located on the
leading edge (B08). As a result of this experiment, the use of these materials in unprotected environments should be
considered highly unsuitable in space borne IR instruments.
6.6.3 Hard substrate / coating materials
The selection of hard multilayer coating and substrate material flight specimens comprised spectrally
selective filters from the following atmospheric remote-sensing and weather forecasting satellite research
projects; NIMBUS 4, 5, 6, 7, ITOS, TIROS-N, PIONEER and GALILEO. The substrates were Ge, Al
2
O
3
, Si
and ZnSe based with combinations of PbTe based multilayers in alternating combinations with ZnS and ZnSe or,
in the case of Al
2
O
3
and Si, with SiO. The multilayer structures were principally bandpass filters with differing
numbers of cavities at various wavelengths between 4.4 and 15m and bandwidths (FWHH) between 0.7 and
6%. Additionally there was an 8-12m long-wave pass edge filter and two antireflection coatings at 4.4 and
10.6m. The following design bandpass configurations were used :-
i) Single cavity Fabry-Perot design
Substrate (Ge) / LHLHLHLLHLHLH / Air Where LL is /2
Selected for highly sensitive transparent side bands
ii) H-Spaced double cavity half-wave design
Substrate (Ge) / LHLHHLHLHLHHLHL / Air
Selected for sensitivity to absorption or index changes in the passband
iii) H and L-Spaced triple cavity half-wave design
a. Substrate (Ge) / LHLHLLHLHLHLLHLHLHLLHL / Air
b. Substrate (Ge) / LHHLHLHHLHLHHL / Air
c. Substrate (Ge) / XLLHLHLLHLHLLX / Air
Where X is a fractional simulated matching Herpin stack.
These designs were selected as they are all sensitive to changes in their passband profiles resulting from
absorption or refractive index changes.
iv) Split-cavity Fabry-Perot design
Substrate (Ge) / LHLHL
H
2
L
2
H
2
LHLHL
In this Fabry-Perot configuration the single cavity is sub-divided into three alternate layers each with a
thickness of /8; considered for better stability and microstructure of the cavity.
_________________________________________________________________________________________
141
Pre and post flight comparisons between the exposed and control hard multilayer coating / substrate
materials produced an extremely good set of correlation data. The correlation coefficient obtained from 48
coincident spectral regions was very high at 0.9967 from the exposed samples compared with the equivalent
control samples where a correlation coefficient of 0.9988 was obtained for comparisons between 19 similar
coincident regions. These values verified the correlations made to be valid and well matched. The mean
deviations obtained from the exposed and equivalent control samples were -1.376% and -1.302% respectively.
This indicates a small consistent loss in transmission for both data sets but is still within the transmission budget
defined for the measurement accuracy from the two spectrophotometers. These filters are therefore considered
to be particularly stable with no degradation occurring as a result of the exposure. Figures 6-18 and 6-19 shows
the results of the pre-launch and post-recovery transmission correlation for both the exposed and control
samples for this group of filters.
0
10
20
30
40
50
60
70
80
90
0 10 20 30 40 50 60 70 80
P
r
e
-
F
l
i
g
h
t

A
v
e
r
a
g
e

T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
Figure 6-18 Average transmission correlation of exposed "Hard" substrate / coating material filters
0
10
20
30
40
50
60
70
80
90
0 10 20 30 40 50 60 70 80 90
P
r
e
-
F
l
i
g
h
t

A
v
e
r
a
g
e

T
r
a
n
s
m
i
s
s
i
o
n

(
%
)
Figure 6-19 Average transmission correlation of control "Hard" substrate / coating material filters
6.6.4. Results summary
The uncoated materials average transmittance correlation was very high between pre- and post flight
measurements. A consistent loss in transmission was indicated but this was sufficiently small within the transmission
accuracy envelope permitted to infer no changes had occurred. Comparison of pre- and post-flight average
transmittance values from the soft-coated materials produced a poor correlation indicating no correlation between
pre- and post-flight sample spectra. This was also evident from visual inspections, where gross physical degradation
_________________________________________________________________________________________
142
of the coatings and substrate materials was evident, having occurred as a result of excess space exposure and the
effects of atomic oxygen bombardment. Figures 6-20 and 6-21 show the effects of these changes on an uncoated
sample of KRS-5 material. X-ray composition analysis on this sample showed that free thallium ions had
disassociated and migrated to the surface (Figure 6-22) causing the material to become opaque. Post-flight visual
and spectral analysis of these materials showed that less degradation had occurred in the Earth-facing tray (G12)
than on the leading edge tray (B08).
Figure 6-20 Pre-Flight uncoated KRS-5
Figure 6-21 Post-Flight uncoated KRS-5
Figure 6-22 Post-Flight X-ray spectrum of KRS-5. Histograms show abundance of free thallium at the
surface and indicate no other contamination materials
From the hard-coated (II-VI/PbTe based) materials flown, comparisons of pre- and post-flight average
transmission were well correlated. They showed a small and consistent loss in transmission for both the exposed
_________________________________________________________________________________________
143
and control samples (~1.3%), but within the transmission envelope measurement accuracy of the
spectrophotometers. These samples are considered stable, showing no degradation as a result of the exposure. A
PbTe/ZnS-based sample was cleaned in 1,1,1-Trichloroethane and Propan-2-ol and re-measured. The spectrum
remained unchanged indicating the surface was not contaminated during exposure to space.
6.7 LDEF Orbital meteoroid and debris impacts
Any spaceflight vehicle travelling in low Earth orbit will encounter meteoroids and orbital debris.
Meteoroids are natural in origin, originating from comets or asteroids, whilst debris is the result of manmade
materials remaining in the Earth orbit. Either object can pose serious damage to the vehicle and exposed
surfaces. On the LDEF, the space facing experiment tray B08 provided some of the best examples of secondary
ejecta from all of the impact sites recorded
[115]
, and the various possible effects on a variety of different
experimental samples. Several impacts occurred into the sides and edges of sample holders, leaving secondary
ejecta spray patterns on the base plate, experiment samples and experiment-tray walls. Impacts into many of the
coated specimens created deep well-like depressions in the centre of the impact feature with a highly-defined
outer spallation zone. Although complete substrate cleavage occurred from an impact on the uncoated sample of
calcium fluoride, most of the other impacts produced only localized coating delamination around the periphery
of the impact site. One impact occurred into the side of the experiment base-plate (in the separation between the
experiment base-plate and experiment-tray wall), creating an ejecta spray pattern onto the inside of the
experiment-tray wall across from the crater. This crater is one of only a few found on LDEF which could be
geometrically shown to have been produced by a highly oblique impact.
A total of 787 impact crater sites were recorded from the four experiments (S0001, A0056, A0147)
contained in tray B08; approximately 26 of these sites being distributed over the surface area containing optical
materials (Figure 6-23). The majority of the impact craters were found on the base-plate and sample holders
were evenly distributed over the complete tray. In contrast, only one impact crater was found on samples from
the Earth facing tray G12, with an estimated diameter of 0.5mm.
Figure 6-23 Post-flight inspection observations and impact cratering distribution
_________________________________________________________________________________________
144
6.7.1 Micrometeorite impact characteristics
Four impact sites are of particular interest from the cratering phenomena observed from optical surfaces
of tray B08. The impact on the uncoated calcium fluoride (B8-2) occurred near to the edge of the sample holder.
The impact crater was ~1mm diameter with a spallation zone diameter of ~5.5mm. The substrate cleaved in two
directions from the impact site at an angle of ~75 to the opposite sides of the sample, breaking the sample into 3
pieces, as shown in Figure 6-24.
Although other samples had impact craters of this size with large spallation diameters and small
fractures, this was the only sample which showed evidence of complete substrate fracture, showing the fragile
and brittle nature of calcium fluoride as a substrate material, whilst remaining functional. The crater itself
consists of finely shattered material, as shown in Figure 6-25, and contains no visible remaining impact debris.
Figure 6-24 CaF
2
Impact crater Figure 6-25 Localized CaF
2
impact site
A large impact feature on an exposed PbTe/ZnS coated Ge substrate (B8-37) occurred close to the edge
of the substrate and holder interface with a spallation diameter of ~4.5 mm (Figure 6-26). The sample consisted
of a 1mm thick Germanium substrate coated with a lead telluride/zinc sulphide based multilayer. Delamination
as a result of the impact has occurred around the localized periphery of the spallation zone (Figure 6-27),
extending the impact area by approximately 1mm. The impact has not induced any further coating damage
beyond the localized delamination area, or added stress to the surrounding coating material so validating the
adherence integrity of the coating.
Figure 6-26 B8/37 Impact feature Figure 6-27 B8/37 Localized impact site
An antireflection coated silicon sample (B8-47) received a small impact directly at the edge position
between the specimen and its holder (Figure 6-28), producing an ejecta spray pattern of molten aluminium which
back-reflected across the sample surface. The component comprised a 1mm thick silicon substrate coated with a
single antireflection layer of silicon monoxide. Photographs obtained by scanning electron microscopy in Figure
6-29 show the detailed impact damage sustained in the collision. This SEM was taken at 175x magnification at
an angle of 30 and shows the nature of the aluminium surface-deposit ejected out of the impact area. The figure
also shows the high granularity of the deposited material, which gives a visual indication of the impact force
distribution of material ejected.
_________________________________________________________________________________________
145
Figure 6-28 B8/47 Edge position impact
Figure 6-29 B8/47 impact site 175x
The impact at this site exposed the edges of crystal cleavage planes running parallel to the surface of
the substrate. The surface fragmented at the crater edge without damaging the coating around the periphery of
the impact site.
Sample B8-25 received three impact craters over a small localized area of the exposed aperture. The
sample comprised a germanium/silicon monoxide multilayer coating deposited on a 1 mm thick sapphire
substrate. Observing two of the sites by optical microscopy (Figures 6-30 & 6-31) showed that two different
types of impact damage had been sustained. Two of the sites were similar in form with uniform concentric rings
extending out at various radii from the centre. The other site was larger in size and not so concentrically
uniform. The various colours observed are reflections from different thicknesses of layer materials, broken by
radial fractures in the concentric rings.
Figure 6-30 B8/25 Ge/SiO on Al
2
O
3
(1)
2
O
3
(2)
SEM micrographs obtained from these sites (Figures 6-32 & 6-33) show the nature and form of two
different types of impact cratering.
2
O
3
(1) Figure 6-33 B8/25 Ge/SiO on Al
2
O
3
(2)
_________________________________________________________________________________________
146
SEM Figure 6-32 shows a region of the original uncoated substrate material around the centre of the
site. A small ring of very fine debris, and the uniform circular nature of the first concentric ring, indicate a
possible shock-wave extending from the centre radially upon impact. The coating material, fragmenting radially
on the first elevated concentric ring, produced the different colours observed optically. Material further away
from the centre appears less fragmented and more molten, possibly due to the radial propagation of heat from the
centre. Further magnification from the centre of the impact sites show possible residual micrometeorite debris.
Figure 6-33 is a larger impact site on that same sample magnified by 190x. Here the impact has
produced a central circular area of the original uncoated substrate material, surrounded by which is a uniform
inner concentric ring of coating material shaped from a possible shock-wave extending radially on impact from
the centre of the site. Material beyond the interface between the uncoated substrate and coating has fragmented
in a non-uniform single concentric area. Possible impact debris is visible at the centre of the impact crater.
As a result of these impacts, no further delamination of the coating material has occurred beyond the
immediate periphery of the impacted area. This could have been produced by either induced stress in the
coating, or by general mechanical fatigue. Subsequently the effects of these impacts have produced no
significant degradation on either the performance, usage or environmental adhesion integrity of the coatings or
substrate materials.
6.8 Experiment conclusions
The effects of space exposure on the infrared filters and materials flown on LDEF were minor. No
significant changes were found either in transmission or spectral position of any hard coated II-VI / PbTe-based
multilayers on Germanium substrates, or in uncoated crystal substrates. The softer materials however were
adversely affected in their physical and optical properties by the long exposure in space, from exhibiting a
reduced transmission to complete opacity. Although impacts by micrometeorites damaged some samples, these
did not detract from their function and performance as an optical component. Likewise, atomic oxygen and space
radiation caused no spectral effects which could be detected, other than in soft material samples which were
exposed beyond that intended for these types of components.
_________________________________________________________________________________________
147
SUMMARY AND CONCLUSIONS
This thesis has described the results of the research carried out into the optical properties of a selection
of infrared materials, and their implementation into filter and optical systems design. The analysis methods
developed in this work have been applied to spectral transmission measurements of a comprehensive set of
infrared materials typically used in the manufacture of filters. This analysis has provided a concise set of
dispersive n and k values across a wide range of temperatures and wavelengths, which can now be included as an
integral part of future filter design calculations. By incorporating these values into the putative multilayer
designs of the filters and antireflection coatings and into the models of spectral characteristics of the lens and
window materials in the optical train, a predicted performance model has been constructed for the HIRDLS
radiometer instrument. This model is used in a process of establishing a spectral requirement for the filters,
working from the known spectral characteristics of the other optical elements in the system together with the
knowledge of the spectral requirements of the instrument. Further, by using this model working with actual
spectral measurements of the filters and coated elements it has been demonstrated that the spectral design of the
instrument as a whole has complied with the requirements demanded by the formal instrument specification. At a
later date, the overall spectral response of the instrument as predicted by the model will be correlated with the
radiometric calibration of the instrument. Additionally, as a result of the spectral and physical analysis performed
on the exposed filters and materials from the LDEF experiment, an increased confidence in their use in satellite
borne optical remote sensing instrumentation has been established.
FUTURE RESEARCH
This research has primarily been concerned with the optical characterisation of the materials currently
in use for the design and manufacture of infrared filters and coatings at Reading. An investigation into the
properties of alternative substrate and coating materials would be of interest, in extending the selection of
infrared materials currently available and providing advantages to the multilayer design methods by improved
refractive index matching. Indeed some work has already started but not reported here on GeSe, There may also
be additional mechanical advantages in the disposition of alternative materials within a multilayer, by either
reducing the intrinsic stress or providing better adhesion of the multilayer to the substrate.
The accuracy of the temperature-dependent dispersion models derived in this thesis may be further
enhanced by the increased control and stability offered by the use of a total helium immersion cryostat in the
cold spectral measurements. This equipment was not available during the course of my research, however, our
laboratory has recently acquired this apparatus to which the application of this characterisation method is well
suited. Research into further refining both the stoichiometric PbTe and II-VI layer material dispersion and
absorption models is required, particularly for operation at reduced temperatures, this will enable more precise
multilayers to be deposited. A further examination of the deposition parameters in an attempt to provide better
films for optical characterisation would be invaluable, particularly how the rate of deposition, pressure,
temperature, and cooling rate may affect the quality of the thin-film properties. The implementation of ion-beam
assisted deposition techniques should help to improve the mechanical and optical properties of the layer
materials, by densifying the deposited films. This may assist with the optical characterisation of these materials
by providing more reproducible and dense films, and also increase the environmental durability and spectral
stability of the materials. The further work of verifying the predicted spectral performance models with the
measured instrument throughput when the HIRDLS instrument radiometric calibration is carried out should
establish the integrity of the instrument system model.
_________________________________________________________________________________________
148
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_________________________________________________________________________________________
152
APPENDICES
Appendix A Temperature-dependent complex refractive indices
Appendix B Thickness-dependent polynomial regression coefficients
Appendix C Absorption program algorithm
Appendix D Multilayer matrix calculation with absorption
Appendix E Publications list
Appendix F Refractive Index Data Sources
Appendix A.
Refractive index (n) values for Germanium (Ge) 2-20 m
Wl ( m) 300 250 200 150 100 50
2.0 4.1069 4.0867 4.0655 4.0433 4.0200 3.9957
2.5 4.0674 4.0470 4.0259 4.0041 3.9816 3.9585
3.0 4.0472 4.0267 4.0057 3.9843 3.9623 3.9399
3.5 4.0353 4.0149 3.9940 3.9728 3.9511 3.9291
4.0 4.0278 4.0073 3.9866 3.9655 3.9441 3.9223
4.5 4.0227 4.0022 3.9815 3.9605 3.9393 3.9177
5.0 4.0190 3.9986 3.9779 3.9570 3.9359 3.9145
5.5 4.0164 3.9959 3.9753 3.9545 3.9334 3.9121
6.0 4.0143 3.9939 3.9733 3.9525 3.9315 3.9103
6.5 4.0127 3.9923 3.9717 3.9510 3.9300 3.9089
7.0 4.0114 3.9910 3.9705 3.9497 3.9288 3.9078
7.5 4.0104 3.9900 3.9695 3.9488 3.9279 3.9069
8.0 4.0095 3.9891 3.9686 3.9479 3.9271 3.9061
8.5 4.0088 3.9884 3.9679 3.9473 3.9264 3.9055
9.0 4.0082 3.9878 3.9673 3.9467 3.9259 3.9049
9.5 4.0076 3.9873 3.9668 3.9462 3.9254 3.9045
10.0 4.0072 3.9868 3.9663 3.9457 3.9250 3.9041
10.5 4.0067 3.9864 3.9659 3.9453 3.9246 3.9037
11.0 4.0063 3.9860 3.9656 3.9450 3.9243 3.9034
11.5 4.0060 3.9857 3.9652 3.9447 3.9240 3.9031
12.0 4.0057 3.9854 3.9649 3.9444 3.9237 3.9029
12.5 4.0054 3.9851 3.9647 3.9441 3.9234 3.9026
13.0 4.0051 3.9848 3.9644 3.9439 3.9232 3.9024
13.5 4.0049 3.9846 3.9642 3.9436 3.9230 3.9022
14.0 4.0046 3.9843 3.9639 3.9434 3.9228 3.9020
14.5 4.0044 3.9841 3.9637 3.9432 3.9226 3.9018
15.0 4.0041 3.9839 3.9635 3.9430 3.9224 3.9017
15.5 4.0039 3.9837 3.9633 3.9428 3.9222 3.9015
16.0 4.0037 3.9834 3.9631 3.9426 3.9220 3.9014
16.5 4.0035 3.9832 3.9629 3.9424 3.9219 3.9012
17.0 4.0033 3.9830 3.9627 3.9423 3.9217 3.9010
17.5 4.0030 3.9828 3.9625 3.9421 3.9215 3.9009
18.0 4.0028 3.9826 3.9623 3.9419 3.9214 3.9008
18.5 4.0026 3.9824 3.9621 3.9417 3.9212 3.9006
19.0 4.0024 3.9822 3.9619 3.9415 3.9211 3.9005
19.5 4.0022 3.9820 3.9617 3.9414 3.9209 3.9003
20.0 4.0020 3.9818 3.9616 3.9412 3.9207 3.9002
_________________________________________________________________________________________
153
Extinction coefficients (k) for Germanium (Ge) 12-35 m
Wl ( m) 300K 250K 200K 150K 100K 50K
12.0 4.00E-05 3.00E-05 4.00E-05 4.00E-05 3.00E-05 4.00E-05
12.5 4.00E-05 4.00E-05 4.00E-05 4.00E-05 3.00E-05 4.00E-05
13.0 5.00E-05 4.00E-05 4.00E-05 4.00E-05 4.00E-05 4.00E-05
13.5 5.00E-05 5.00E-05 4.00E-05 4.00E-05 4.00E-05 4.00E-05
14.0 5.00E-05 4.00E-05 4.00E-05 4.00E-05 4.00E-05 4.00E-05
14.5 6.00E-05 6.00E-05 3.00E-05 7.00E-05 2.00E-05 4.00E-05
15.0 6.00E-05 1.00E-04 6.00E-05 8.00E-05 4.00E-05 4.00E-05
15.5 1.40E-04 7.00E-05 1.00E-04 8.00E-05 6.00E-05 7.00E-05
16.0 1.00E-04 8.00E-05 7.00E-05 6.00E-05 6.00E-05 6.00E-05
16.5 9.00E-05 8.00E-05 7.00E-05 7.00E-05 7.00E-05 7.00E-05
17.0 1.50E-04 1.30E-04 1.30E-04 1.30E-04 1.30E-04 1.20E-04
17.5 2.90E-04 2.70E-04 2.50E-04 2.40E-04 2.10E-04 2.10E-04
18.0 3.30E-04 2.90E-04 2.70E-04 2.40E-04 2.20E-04 2.00E-04
18.5 3.60E-04 3.10E-04 2.80E-04 2.60E-04 2.30E-04 2.30E-04
19.0 3.80E-04 3.40E-04 3.20E-04 2.80E-04 2.50E-04 2.30E-04
19.5 3.90E-04 3.40E-04 3.10E-04 2.70E-04 2.30E-04 2.20E-04
20.0 3.70E-04 2.90E-04 2.70E-04 2.20E-04 1.90E-04 1.70E-04
20.5 3.20E-04 2.70E-04 2.40E-04 2.00E-04 1.60E-04 1.60E-04
21.0 3.90E-04 3.40E-04 2.80E-04 2.40E-04 2.00E-04 1.90E-04
21.5 4.50E-04 3.70E-04 3.50E-04 2.90E-04 2.60E-04 2.30E-04
22.0 6.10E-04 5.00E-04 4.60E-04 3.90E-04 3.50E-04 3.10E-04
22.5 7.50E-04 6.50E-04 5.80E-04 4.90E-04 4.00E-04 4.10E-04
23.0 9.50E-04 8.30E-04 7.60E-04 6.30E-04 5.50E-04 5.30E-04
23.5 1.39E-03 1.28E-03 1.14E-03 9.60E-04 8.10E-04 7.30E-04
24.0 1.34E-03 1.13E-03 9.30E-04 7.70E-04 6.40E-04 5.30E-04
24.5 8.60E-04 6.80E-04 5.70E-04 4.80E-04 3.70E-04 3.10E-04
25.0 8.80E-04 7.00E-04 6.60E-04 6.90E-04 5.30E-04 4.40E-04
25.5 1.62E-03 1.49E-03 1.33E-03 1.14E-03 9.50E-04 7.80E-04
26.0 1.93E-03 1.64E-03 1.44E-03 1.19E-03 9.30E-04 7.80E-04
26.5 2.19E-03 1.85E-03 1.67E-03 1.33E-03 1.13E-03 9.10E-04
27.0 2.71E-03 2.42E-03 2.12E-03 1.79E-03 1.40E-03 1.13E-03
27.5 3.40E-03 2.81E-03 2.52E-03 2.02E-03 1.57E-03 1.19E-03
28.0 4.04E-03 3.85E-03 3.71E-03 3.23E-03 2.88E-03 2.38E-03
28.5 6.81E-03 5.69E-03 4.74E-03 3.88E-03 2.93E-03 2.20E-03
29.0 6.56E-03 5.60E-03 5.29E-03 4.21E-03 3.28E-03 2.57E-03
29.5 6.54E-03 5.00E-03 4.16E-03 3.06E-03 2.18E-03 1.73E-03
30.0 3.95E-03 3.24E-03 2.80E-03 2.04E-03 1.64E-03 1.20E-03
30.5 3.24E-03 2.76E-03 2.28E-03 1.77E-03 1.45E-03 1.12E-03
31.0 3.18E-03 2.62E-03 2.33E-03 2.02E-03 1.62E-03 1.11E-03
31.5 3.37E-03 2.78E-03 2.40E-03 1.84E-03 1.52E-03 1.12E-03
32.0 3.12E-03 2.68E-03 2.18E-03 1.74E-03 1.49E-03 1.04E-03
32.5 2.90E-03 2.45E-03 2.08E-03 1.75E-03 1.38E-03 9.80E-04
33.0 2.87E-03 2.43E-03 2.33E-03 1.99E-03 1.70E-03 1.01E-03
33.5 3.12E-03 2.58E-03 2.32E-03 1.84E-03 1.51E-03 1.10E-03
34.0 3.34E-03 2.67E-03 2.46E-03 1.90E-03 1.52E-03 1.15E-03
34.5 3.33E-03 3.21E-03 2.54E-03 1.78E-03 1.42E-03 1.00E-03
35.0 3.52E-03 2.95E-03 2.73E-03 1.98E-03 1.45E-03 1.13E-03
_________________________________________________________________________________________
154
Refractive index (n) values for Silicon (Si) 0.5-12 m
Wl ( m) 300 250 200 150 100 50
0.50 3.4669 3.4589 3.4509 3.4429 3.4349 3.4269
1.00 3.4567 3.4487 3.4407 3.4327 3.4247 3.4167
1.50 3.4482 3.4402 3.4322 3.4242 3.4162 3.4082
2.00 3.4411 3.4331 3.4251 3.4171 3.4091 3.4011
2.50 3.4354 3.4274 3.4194 3.4114 3.4034 3.3954
3.00 3.4308 3.4228 3.4148 3.4068 3.3988 3.3908
3.50 3.4272 3.4192 3.4112 3.4032 3.3952 3.3872
4.00 3.4244 3.4164 3.4084 3.4004 3.3924 3.3844
4.50 3.4223 3.4143 3.4063 3.3983 3.3903 3.3823
5.00 3.4207 3.4127 3.4047 3.3967 3.3887 3.3807
5.50 3.4195 3.4115 3.4035 3.3955 3.3875 3.3795
6.00 3.4187 3.4107 3.4027 3.3947 3.3867 3.3787
6.50 3.4181 3.4101 3.4021 3.3941 3.3861 3.3781
7.00 3.4177 3.4097 3.4017 3.3937 3.3857 3.3777
7.50 3.4174 3.4094 3.4014 3.3934 3.3854 3.3774
8.00 3.4171 3.4091 3.4011 3.3931 3.3851 3.3771
8.50 3.4169 3.4089 3.4009 3.3929 3.3849 3.3769
9.00 3.4167 3.4087 3.4007 3.3927 3.3847 3.3767
9.50 3.4164 3.4084 3.4004 3.3924 3.3844 3.3764
10.00 3.4162 3.4082 3.4002 3.3922 3.3842 3.3762
10.50 3.4160 3.4080 3.4000 3.3920 3.3840 3.3760
11.00 3.4159 3.4079 3.3999 3.3919 3.3839 3.3759
11.50 3.4159 3.4079 3.3999 3.3919 3.3839 3.3759
12.00 3.4160 3.4080 3.4000 3.3920 3.3840 3.3760
_________________________________________________________________________________________
155
Extinction coefficient (k) values for Fz Silicon (Si) 6.5-30 m
Wl ( m) 300 250 200 150 100 50
6.5 4.02E-06 3.16E-06 2.74E-06 4.61E-06 7.01E-06 7.10E-06
7.0 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
7.5 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
8.0 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
8.5 4.00E-05 4.00E-05 3.00E-05 4.00E-05 4.00E-05 4.00E-05
9.0 3.00E-04 3.10E-04 3.10E-04 2.70E-04 1.80E-04 8.00E-05
9.5 5.00E-05 4.00E-05 3.00E-05 4.00E-05 5.00E-05 4.00E-05
10.0 7.00E-05 7.00E-05 6.00E-05 7.00E-05 8.00E-05 9.00E-05
10.5 1.30E-04 1.20E-04 1.10E-04 1.10E-04 1.10E-04 1.10E-04
11.0 1.80E-04 1.70E-04 1.60E-04 1.60E-04 1.60E-04 1.70E-04
11.5 2.00E-04 1.80E-04 1.60E-04 1.50E-04 1.50E-04 1.60E-04
12.0 1.60E-04 1.40E-04 1.30E-04 1.20E-04 1.10E-04 1.30E-04
12.5 1.70E-04 1.50E-04 1.30E-04 1.20E-04 1.10E-04 1.30E-04
13.0 2.30E-04 2.00E-04 1.70E-04 1.50E-04 1.40E-04 1.60E-04
13.5 3.20E-04 2.90E-04 2.60E-04 2.20E-04 2.10E-04 2.30E-04
14.0 1.70E-04 1.50E-04 1.20E-04 1.00E-04 8.00E-05 1.00E-04
14.5 1.20E-04 1.10E-04 9.00E-05 8.00E-05 7.00E-05 9.00E-05
15.0 1.30E-04 1.20E-04 1.00E-04 9.00E-05 8.00E-05 1.00E-04
15.5 1.60E-04 1.40E-04 1.20E-04 1.00E-04 9.00E-05 1.10E-04
16.0 6.80E-04 6.40E-04 5.80E-04 5.20E-04 4.60E-04 4.70E-04
16.5 1.03E-03 9.00E-04 7.50E-04 6.20E-04 5.30E-04 5.30E-04
17.0 4.40E-04 3.80E-04 3.10E-04 2.50E-04 2.10E-04 2.40E-04
17.5 4.00E-04 3.50E-04 3.00E-04 2.50E-04 2.20E-04 2.50E-04
18.0 4.00E-04 3.50E-04 2.90E-04 2.40E-04 2.00E-04 2.30E-04
18.5 3.40E-04 3.00E-04 2.50E-04 2.00E-04 1.70E-04 2.10E-04
19.0 3.30E-04 2.90E-04 2.40E-04 2.10E-04 1.90E-04 2.20E-04
19.5 3.70E-04 3.20E-04 2.70E-04 2.30E-04 2.00E-04 2.60E-04
20.0 3.00E-04 2.60E-04 2.10E-04 1.70E-04 1.40E-04 1.50E-04
20.5 2.70E-04 2.30E-04 1.80E-04 1.40E-04 1.20E-04 1.80E-04
21.0 2.20E-04 1.80E-04 1.50E-04 1.10E-04 9.00E-05 1.10E-04
21.5 1.90E-04 1.50E-04 1.20E-04 9.00E-05 7.00E-05 1.00E-04
22.0 1.60E-04 1.30E-04 1.00E-04 8.00E-05 6.00E-05 8.00E-05
22.5 1.40E-04 1.20E-04 9.00E-05 7.00E-05 5.00E-05 7.00E-05
23.0 1.30E-04 1.00E-04 8.00E-05 6.00E-05 5.00E-05 6.00E-05
23.5 1.30E-04 1.00E-04 8.00E-05 6.00E-05 4.00E-05 4.00E-05
24.0 1.20E-04 1.00E-04 7.00E-05 5.00E-05 4.00E-05 4.00E-05
24.5 1.10E-04 9.00E-05 7.00E-05 5.00E-05 4.00E-05 3.00E-05
25.0 1.10E-04 9.00E-05 6.00E-05 5.00E-05 3.00E-05 3.00E-05
25.5 1.10E-04 9.00E-05 7.00E-05 5.00E-05 3.00E-05 3.00E-05
26.0 1.20E-04 9.00E-05 7.00E-05 5.00E-05 3.00E-05 3.00E-05
26.5 1.20E-04 1.00E-04 8.00E-05 5.00E-05 3.00E-05 3.00E-05
27.0 1.20E-04 1.00E-04 7.00E-05 5.00E-05 3.00E-05 2.00E-05
27.5 1.20E-04 1.00E-04 7.00E-05 5.00E-05 3.00E-05 2.00E-05
28.0 1.20E-04 1.00E-04 7.00E-05 5.00E-05 3.00E-05 2.00E-05
28.5 1.30E-04 1.00E-04 7.00E-05 5.00E-05 4.00E-05 2.00E-05
29.0 1.30E-04 1.00E-04 7.00E-05 5.00E-05 4.00E-05 2.00E-05
29.5 1.30E-04 1.00E-04 7.00E-05 5.00E-05 4.00E-05 2.00E-05
30.0 1.30E-04 1.00E-04 7.00E-05 5.00E-05 3.00E-05 2.00E-05
_________________________________________________________________________________________
156
Refractive index (n) values Zinc Selenide (ZnSe) 1.5-20 m
Wl ( m) 300 250 200 150 100 50
1.5 2.4447 2.4384 2.4320 2.4257 2.4194 2.4130
2.0 2.4424 2.4364 2.4304 2.4244 2.4185 2.4125
2.5 2.4402 2.4346 2.4289 2.4232 2.4176 2.4119
3.0 2.4381 2.4328 2.4274 2.4220 2.4166 2.4113
3.5 2.4361 2.4310 2.4259 2.4208 2.4157 2.4106
4.0 2.4341 2.4293 2.4244 2.4196 2.4147 2.4098
4.5 2.4322 2.4276 2.4229 2.4183 2.4137 2.4090
5.0 2.4303 2.4258 2.4214 2.4170 2.4126 2.4081
5.5 2.4283 2.4241 2.4198 2.4156 2.4114 2.4071
6.0 2.4263 2.4223 2.4182 2.4141 2.4101 2.4060
6.5 2.4243 2.4204 2.4165 2.4126 2.4087 2.4048
7.0 2.4222 2.4185 2.4147 2.4109 2.4072 2.4034
7.5 2.4200 2.4164 2.4128 2.4091 2.4055 2.4019
8.0 2.4177 2.4142 2.4107 2.4072 2.4037 2.4002
8.5 2.4153 2.4119 2.4085 2.4051 2.4017 2.3983
9.0 2.4128 2.4095 2.4062 2.4029 2.3996 2.3963
9.5 2.4100 2.4068 2.4036 2.4004 2.3972 2.3941
10.0 2.4071 2.4040 2.4009 2.3978 2.3947 2.3916
10.5 2.4040 2.4010 2.3979 2.3949 2.3919 2.3889
11.0 2.4006 2.3977 2.3948 2.3918 2.3889 2.3860
11.5 2.3970 2.3942 2.3913 2.3885 2.3857 2.3828
12.0 2.3931 2.3904 2.3876 2.3849 2.3821 2.3794
12.5 2.3890 2.3863 2.3836 2.3810 2.3783 2.3757
13.0 2.3845 2.3819 2.3794 2.3768 2.3742 2.3717
13.5 2.3797 2.3772 2.3748 2.3723 2.3698 2.3674
14.0 2.3745 2.3722 2.3698 2.3675 2.3651 2.3628
14.5 2.3690 2.3668 2.3645 2.3623 2.3601 2.3578
15.0 2.3631 2.3610 2.3589 2.3568 2.3547 2.3525
15.5 2.3568 2.3548 2.3529 2.3509 2.3489 2.3469
16.0 2.3501 2.3483 2.3464 2.3446 2.3428 2.3409
16.5 2.3429 2.3413 2.3396 2.3379 2.3362 2.3346
17.0 2.3353 2.3338 2.3323 2.3308 2.3293 2.3278
17.5 2.3272 2.3259 2.3246 2.3233 2.3220 2.3207
18.0 2.3185 2.3174 2.3164 2.3153 2.3142 2.3131
18.5 2.3094 2.3085 2.3077 2.3068 2.3060 2.3051
19.0 2.2997 2.2991 2.2985 2.2979 2.2973 2.2967
19.5 2.2894 2.2891 2.2888 2.2884 2.2881 2.2878
20.0 2.2785 2.2785 2.2785 2.2785 2.2785 2.2784
_________________________________________________________________________________________
157
Extinction coefficient (k) values Zinc Selenide (ZnSe) 10-33 m
Wl ( m) 300 250 200 150 100 50
10.0 8.30E-07 1.20E-06 6.80E-07 3.50E-07 4.00E-07 5.20E-07
10.5 9.20E-07 1.48E-06 8.63E-07 5.45E-07 1.08E-06 1.73E-06
11.0 1.21E-06 1.50E-06 8.43E-07 4.45E-07 1.21E-06 2.84E-06
11.5 1.40E-06 1.70E-06 9.31E-07 5.40E-07 1.60E-06 4.21E-06
12.0 1.77E-06 1.90E-06 1.00E-06 5.63E-07 1.87E-06 5.20E-06
12.5 1.80E-06 1.90E-06 1.00E-06 4.80E-07 1.90E-06 5.70E-06
13.0 2.10E-06 1.91E-06 8.06E-07 2.52E-07 1.53E-06 5.64E-06
13.5 2.58E-06 2.46E-06 1.28E-06 6.98E-07 1.79E-06 5.53E-06
14.0 4.24E-06 4.07E-06 2.64E-06 1.77E-06 2.52E-06 5.55E-06
14.5 7.97E-06 8.78E-06 7.58E-06 6.69E-06 7.29E-06 1.00E-05
15.0 2.00E-05 2.00E-05 2.00E-05 1.00E-05 1.00E-05 2.00E-05
15.5 3.00E-05 3.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
16.0 5.00E-05 4.00E-05 4.00E-05 3.00E-05 2.00E-05 2.00E-05
16.5 6.00E-05 4.00E-05 3.00E-05 2.00E-05 2.00E-05 1.00E-05
17.0 7.00E-05 5.00E-05 4.00E-05 3.00E-05 2.00E-05 2.00E-05
17.5 9.00E-05 7.00E-05 5.00E-05 3.00E-05 2.00E-05 2.00E-05
18.0 9.00E-05 7.00E-05 5.00E-05 3.00E-05 2.00E-05 2.00E-05
18.5 1.10E-04 8.00E-05 6.00E-05 4.00E-05 3.00E-05 2.00E-05
19.0 1.60E-04 1.20E-04 1.00E-04 7.00E-05 5.00E-05 4.00E-05
19.5 2.50E-04 2.10E-04 1.70E-04 1.20E-04 1.00E-04 8.00E-05
20.0 4.40E-04 3.70E-04 3.00E-04 2.30E-04 1.90E-04 1.60E-04
20.5 6.50E-04 5.40E-04 4.20E-04 3.10E-04 2.40E-04 1.90E-04
21.0 8.40E-04 6.70E-04 5.20E-04 3.80E-04 2.80E-04 2.20E-04
21.5 1.13E-03 9.60E-04 8.30E-04 7.30E-04 6.90E-04 6.00E-04
22.0 2.46E-03 2.44E-03 2.45E-03 2.47E-03 2.44E-03 2.27E-03
22.5 5.57E-03 5.38E-03 5.11E-03 4.84E-03 4.49E-03 4.12E-03
23.0 8.36E-03 7.92E-03 7.67E-03 7.07E-03 5.77E-03 5.24E-03
23.5 9.42E-03 8.53E-03 7.87E-03 7.43E-03 6.89E-03 6.20E-03
24.0 1.02E-02 8.62E-03 8.23E-03 6.01E-03 3.97E-03 3.32E-03
24.5 9.51E-03 6.94E-03 4.83E-03 3.12E-03 2.17E-03 1.80E-03
25.0 6.39E-03 4.80E-03 3.56E-03 2.59E-03 2.03E-03 1.70E-03
25.5 5.85E-03 4.85E-03 4.08E-03 3.37E-03 2.84E-03 2.42E-03
26.0 6.99E-03 6.14E-03 5.39E-03 4.60E-03 3.88E-03 3.36E-03
26.5 9.00E-03 7.76E-03 6.75E-03 5.66E-03 4.71E-03 4.05E-03
27.0 1.05E-02 8.56E-03 7.49E-03 5.97E-03 4.70E-03 4.03E-03
27.5 9.47E-03 7.95E-03 6.49E-03 4.90E-03 3.69E-03 3.09E-03
28.0 8.51E-03 6.95E-03 5.50E-03 4.08E-03 3.02E-03 2.43E-03
28.5 7.81E-03 6.19E-03 4.92E-03 3.62E-03 2.62E-03 2.04E-03
29.0 7.51E-03 5.96E-03 4.66E-03 3.38E-03 2.41E-03 1.83E-03
29.5 7.16E-03 5.74E-03 4.43E-03 3.19E-03 2.26E-03 1.71E-03
30.0 6.95E-03 5.55E-03 4.29E-03 3.11E-03 2.23E-03 1.66E-03
30.5 7.01E-03 5.65E-03 4.41E-03 3.30E-03 2.44E-03 1.81E-03
31.0 7.54E-03 6.19E-03 5.02E-03 3.96E-03 3.00E-03 2.22E-03
31.5 8.58E-03 7.15E-03 5.91E-03 4.69E-03 3.53E-03 2.58E-03
32.0 1.46E-02 8.85E-03 7.17E-03 5.78E-03 4.53E-03 3.30E-03
32.5 1.22E-02 1.13E-02 8.91E-03 7.66E-03 6.36E-03 4.75E-03
33.0 1.29E-02 1.30E-02 9.50E-03 9.88E-03 9.16E-03 6.76E-03
_________________________________________________________________________________________
158
Refractive index (n) values for Zinc Sulphide (ZnS) 1.5-20 m
Wl ( m) 300 250 200 150 100 50
1.5 2.2759 2.2737 2.2715 2.2692 2.2670 2.2648
2.0 2.2700 2.2679 2.2658 2.2638 2.2617 2.2597
2.5 2.2647 2.2628 2.2609 2.2589 2.2570 2.2551
3.0 2.2600 2.2582 2.2564 2.2546 2.2528 2.2510
3.5 2.2557 2.2540 2.2523 2.2506 2.2490 2.2473
4.0 2.2517 2.2502 2.2486 2.2470 2.2454 2.2438
4.5 2.2481 2.2466 2.2451 2.2435 2.2420 2.2405
5.0 2.2446 2.2431 2.2417 2.2402 2.2387 2.2373
5.5 2.2412 2.2397 2.2383 2.2369 2.2355 2.2340
6.0 2.2378 2.2363 2.2349 2.2335 2.2321 2.2307
6.5 2.2343 2.2328 2.2314 2.2300 2.2286 2.2271
7.0 2.2306 2.2292 2.2277 2.2263 2.2248 2.2234
7.5 2.2268 2.2253 2.2238 2.2223 2.2208 2.2192
8.0 2.2226 2.2211 2.2195 2.2179 2.2163 2.2148
8.5 2.2181 2.2165 2.2148 2.2131 2.2115 2.2098
9.0 2.2132 2.2115 2.2097 2.2079 2.2061 2.2044
9.5 2.2079 2.2060 2.2041 2.2022 2.2003 2.1983
10.0 2.2020 2.1999 2.1979 2.1958 2.1938 2.1917
10.5 2.1955 2.1933 2.1911 2.1889 2.1867 2.1844
11.0 2.1885 2.1861 2.1837 2.1813 2.1789 2.1765
11.5 2.1808 2.1782 2.1756 2.1730 2.1704 2.1678
12.0 2.1724 2.1696 2.1668 2.1640 2.1611 2.1583
12.5 2.1634 2.1603 2.1572 2.1542 2.1511 2.1481
13.0 2.1535 2.1502 2.1469 2.1436 2.1403 2.1370
13.5 2.1430 2.1394 2.1358 2.1322 2.1287 2.1251
14.0 2.1316 2.1278 2.1239 2.1201 2.1162 2.1123
14.5 2.1195 2.1153 2.1112 2.1070 2.1029 2.0987
15.0 2.1065 2.1020 2.0976 2.0932 2.0887 2.0843
15.5 2.0927 2.0880 2.0832 2.0784 2.0737 2.0689
16.0 2.0781 2.0730 2.0680 2.0629 2.0578 2.0527
16.5 2.0627 2.0573 2.0519 2.0465 2.0411 2.0357
17.0 2.0464 2.0407 2.0350 2.0292 2.0235 2.0177
17.5 2.0294 2.0233 2.0172 2.0112 2.0051 1.9990
18.0 2.0115 2.0051 1.9987 1.9923 1.9859 1.9794
18.5 1.9929 1.9861 1.9794 1.9726 1.9659 1.9591
19.0 1.9735 1.9664 1.9593 1.9522 1.9451 1.9380
19.5 1.9534 1.9459 1.9385 1.9310 1.9236 1.9161
20.0 1.9325 1.9247 1.9169 1.9092 1.9014 1.8936
_________________________________________________________________________________________
159
Extinction coefficient (k) values for ZnS (Cleartran

) 10-33 m
Wl ( m) 300 250 200 150 100 50
10.0 5.70E-10 8.20E-10 8.00E-08 7.10E-09 3.90E-08 2.90E-08
10.5 8.91E-06 8.92E-06 7.92E-06 8.42E-06 7.62E-06 8.72E-06
11.0 3.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
11.5 2.00E-05 2.00E-05 1.00E-05 1.00E-05 9.52E-06 1.00E-05
12.0 3.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05 2.00E-05
12.5 6.00E-05 6.00E-05 5.00E-05 4.00E-05 4.00E-05 4.00E-05
13.0 1.10E-04 9.00E-05 7.00E-05 5.00E-05 4.00E-05 4.00E-05
13.5 1.60E-04 1.30E-04 9.00E-05 8.00E-05 6.00E-05 5.00E-05
14.0 2.60E-04 2.10E-04 1.60E-04 1.30E-04 9.00E-05 8.00E-05
14.5 7.30E-04 6.80E-04 6.20E-04 5.80E-04 5.60E-04 5.60E-04
15.0 2.23E-03 1.68E-03 1.00E-03 6.20E-04 4.00E-04 3.00E-04
15.5 2.76E-03 2.24E-03 2.35E-03 2.54E-03 2.66E-03 2.92E-03
16.0 3.52E-03 3.01E-03 3.64E-03 2.86E-03 2.80E-03 2.53E-03
16.5 3.36E-03 3.81E-03 3.54E-03 3.50E-03 3.08E-03 3.63E-03
17.0 3.51E-03 3.87E-03 3.55E-03 4.20E-03 3.61E-03 4.26E-03
17.5 3.53E-03 3.72E-03 3.65E-03 3.48E-03 3.63E-03 3.21E-03
18.0 3.34E-03 3.22E-03 2.65E-03 1.80E-03 1.43E-03 1.11E-03
18.5 2.32E-03 1.63E-03 1.09E-03 8.00E-04 6.00E-04 4.90E-04
19.0 2.96E-03 2.97E-03 2.24E-03 2.05E-03 1.86E-03 1.76E-03
19.5 4.05E-03 3.96E-03 3.65E-03 3.49E-03 2.76E-03 3.22E-03
20.0 4.06E-03 4.05E-03 4.02E-03 4.64E-03 4.06E-03 4.30E-03
20.5 4.23E-03 4.15E-03 4.50E-03 3.96E-03 4.14E-03 3.64E-03
21.0 3.89E-03 4.59E-03 4.37E-03 4.36E-03 4.62E-03 3.35E-03
21.5 3.84E-03 4.66E-03 3.58E-03 3.30E-03 3.18E-03 2.50E-03
22.0 3.85E-03 3.57E-03 3.63E-03 4.42E-03 3.63E-03 2.91E-03
22.5 4.18E-03 3.93E-03 3.81E-03 4.38E-03 3.52E-03 2.66E-03
23.0 3.42E-03 4.06E-03 4.26E-03 6.74E-03 3.72E-03 3.63E-03
23.5 3.58E-03 3.06E-03 3.60E-03 4.84E-03 4.86E-03 3.74E-03
24.0 5.64E-03 4.43E-03 3.33E-03 4.31E-03 5.97E-03 3.30E-03
24.5 4.75E-03 3.84E-03 4.94E-03 5.87E-03 4.22E-03 4.58E-03
25.0 3.50E-03 5.08E-03 4.74E-03 3.74E-03 6.56E-03 3.78E-03
25.5 4.52E-03 3.65E-03 5.52E-03 5.00E-03 5.28E-03 3.96E-03
26.0 4.07E-03 4.09E-03 5.13E-03 4.22E-03 3.95E-03 5.34E-03
26.5 3.82E-03 4.04E-03 3.83E-03 6.71E-03 3.72E-03 3.83E-03
27.0 4.66E-03 3.55E-03 5.64E-03 4.14E-03 5.57E-03 4.90E-03
27.5 4.33E-03 4.13E-03 3.91E-03 3.99E-03 4.42E-03 4.28E-03
28.0 3.33E-03 4.42E-03 5.27E-03 9.03E-03 4.24E-03 3.90E-03
28.5 5.23E-03 4.43E-03 4.46E-03 4.41E-03 3.62E-03 4.12E-03
29.0 3.80E-03 4.54E-03 3.84E-03 4.32E-03 7.72E-03 4.31E-03
29.5 5.11E-03 3.33E-03 4.06E-03 3.72E-03 4.07E-03 4.73E-03
30.0 4.75E-03 3.65E-03 4.64E-03 4.25E-03 4.66E-03 4.25E-03
30.5 3.76E-03 3.92E-03 4.32E-03 5.50E-03 3.24E-03 3.70E-03
31.0 3.75E-03 4.15E-03 3.57E-03 4.31E-03 4.41E-03 6.25E-03
31.5 3.71E-03 4.20E-03 3.97E-03 3.56E-03 3.30E-03 4.65E-03
32.0 4.42E-03 4.15E-03 5.81E-03 4.35E-03 3.61E-03 3.91E-03
32.5 4.18E-03 4.09E-03 6.46E-03 6.21E-03 7.02E-03 5.17E-03
33.0 3.27E-03 3.77E-03 4.40E-03 3.88E-03 4.63E-03 3.23E-03
_________________________________________________________________________________________
160
Refractive index (n) values for Cadmium Telluride (CdTe) 1-24 m
Wl ( m) 300 250 200 150 100 50
1.0 2.8015 2.8004 2.7992 2.7980 2.7967 2.7954
1.5 2.7337 2.7302 2.7268 2.7233 2.7197 2.7162
2.0 2.7122 2.7082 2.7041 2.7000 2.6959 2.6917
2.5 2.7025 2.6982 2.6939 2.6895 2.6852 2.6808
3.0 2.6972 2.6927 2.6883 2.6838 2.6793 2.6748
3.5 2.6938 2.6892 2.6847 2.6801 2.6756 2.6710
4.0 2.6914 2.6868 2.6822 2.6776 2.6730 2.6683
4.5 2.6895 2.6849 2.6803 2.6756 2.6710 2.6663
5.0 2.6880 2.6833 2.6787 2.6740 2.6693 2.6646
5.5 2.6866 2.6819 2.6773 2.6726 2.6679 2.6632
6.0 2.6854 2.6807 2.6760 2.6713 2.6666 2.6619
6.5 2.6842 2.6795 2.6748 2.6701 2.6653 2.6606
7.0 2.6830 2.6783 2.6736 2.6688 2.6641 2.6594
7.5 2.6818 2.6771 2.6724 2.6676 2.6629 2.6582
8.0 2.6806 2.6759 2.6712 2.6664 2.6617 2.6569
8.5 2.6794 2.6746 2.6699 2.6652 2.6604 2.6557
9.0 2.6781 2.6734 2.6686 2.6639 2.6591 2.6544
9.5 2.6768 2.6721 2.6673 2.6626 2.6578 2.6530
10.0 2.6754 2.6707 2.6659 2.6612 2.6564 2.6517
10.5 2.6740 2.6693 2.6645 2.6598 2.6550 2.6502
11.0 2.6726 2.6678 2.6631 2.6583 2.6535 2.6487
11.5 2.6710 2.6663 2.6615 2.6568 2.6520 2.6472
12.0 2.6694 2.6647 2.6599 2.6552 2.6504 2.6456
12.5 2.6678 2.6630 2.6583 2.6535 2.6487 2.6439
13.0 2.6661 2.6613 2.6566 2.6518 2.6470 2.6422
13.5 2.6643 2.6595 2.6548 2.6500 2.6452 2.6404
14.0 2.6624 2.6577 2.6529 2.6482 2.6434 2.6386
14.5 2.6605 2.6558 2.6510 2.6463 2.6415 2.6367
15.0 2.6585 2.6538 2.6491 2.6443 2.6395 2.6347
15.5 2.6565 2.6518 2.6470 2.6422 2.6374 2.6327
16.0 2.6544 2.6496 2.6449 2.6401 2.6353 2.6305
16.5 2.6521 2.6474 2.6427 2.6379 2.6331 2.6283
17.0 2.6499 2.6452 2.6404 2.6357 2.6309 2.6261
17.5 2.6475 2.6428 2.6381 2.6333 2.6286 2.6238
18.0 2.6451 2.6404 2.6357 2.6309 2.6262 2.6214
18.5 2.6426 2.6379 2.6332 2.6284 2.6237 2.6189
19.0 2.6400 2.6353 2.6306 2.6259 2.6211 2.6163
19.5 2.6373 2.6327 2.6280 2.6233 2.6185 2.6137
20.0 2.6345 2.6299 2.6253 2.6206 2.6158 2.6110
20.5 2.6317 2.6271 2.6225 2.6178 2.6130 2.6083
21.0 2.6288 2.6242 2.6196 2.6149 2.6102 2.6054
21.5 2.6257 2.6212 2.6166 2.6119 2.6072 2.6025
22.0 2.6226 2.6182 2.6136 2.6089 2.6042 2.5995
22.5 2.6194 2.6150 2.6104 2.6058 2.6011 2.5964
23.0 2.6161 2.6118 2.6072 2.6026 2.5979 2.5932
23.5 2.6128 2.6084 2.6039 2.5993 2.5947 2.5900
24.0 2.6093 2.6050 2.6005 2.5960 2.5913 2.5866
_________________________________________________________________________________________
161
Extinction coefficient (k) values for Cadmium Telluride (CdTe) 20-40 m
Wl ( m) 300 250 200 150 100 50
20.0 4.10E-08 4.70E-08 7.00E-08 2.20E-07 7.90E-07 3.90E-08
20.5 7.03E-07 3.97E-07 5.13E-07 3.05E-07 7.99E-07 3.47E-07
21.0 2.34E-06 7.11E-07 1.90E-06 9.05E-07 1.42E-06 7.86E-07
21.5 4.98E-06 2.89E-06 3.44E-06 2.75E-06 2.61E-06 1.48E-06
22.0 1.00E-05 8.15E-06 9.56E-06 7.21E-06 6.96E-06 5.71E-06
22.5 2.00E-05 1.00E-05 2.00E-05 1.00E-05 9.87E-06 8.50E-06
23.0 3.00E-05 2.00E-05 2.00E-05 1.00E-05 9.40E-06 7.00E-06
23.5 3.00E-05 3.00E-05 2.00E-05 1.00E-05 1.00E-05 7.26E-06
24.0 4.00E-05 3.00E-05 3.00E-05 2.00E-05 1.00E-05 1.00E-05
24.5 4.00E-05 3.00E-05 2.00E-05 2.00E-05 1.00E-05 7.28E-06
25.0 6.00E-05 5.00E-05 5.00E-05 3.00E-05 2.00E-05 2.00E-05
25.5 7.00E-05 6.00E-05 4.00E-05 3.00E-05 2.00E-05 1.00E-05
26.0 8.00E-05 6.00E-05 5.00E-05 3.00E-05 2.00E-05 1.00E-05
26.5 9.00E-05 7.00E-05 5.00E-05 3.00E-05 2.00E-05 1.00E-05
27.0 1.00E-04 8.00E-05 5.00E-05 3.00E-05 2.00E-05 2.00E-05
27.5 1.20E-04 9.00E-05 6.00E-05 4.00E-05 2.00E-05 2.00E-05
28.0 1.60E-04 1.30E-04 1.10E-04 7.00E-05 5.00E-05 4.00E-05
28.5 2.30E-04 2.00E-04 1.60E-04 1.10E-04 8.00E-05 6.00E-05
29.0 3.50E-04 2.80E-04 2.20E-04 1.40E-04 9.00E-05 5.00E-05
29.5 5.10E-04 4.10E-04 3.30E-04 2.30E-04 1.60E-04 1.10E-04
30.0 7.30E-04 6.20E-04 4.90E-04 3.40E-04 2.40E-04 1.70E-04
30.5 9.80E-04 8.30E-04 6.50E-04 4.40E-04 3.00E-04 2.10E-04
31.0 1.29E-03 1.06E-03 8.10E-04 5.30E-04 3.60E-04 2.50E-04
31.5 1.64E-03 1.38E-03 1.09E-03 8.50E-04 7.30E-04 7.00E-04
32.0 2.52E-03 2.34E-03 2.22E-03 2.09E-03 2.00E-03 2.05E-03
32.5 4.38E-03 4.26E-03 4.24E-03 4.60E-03 4.71E-03 4.85E-03
33.0 6.38E-03 5.95E-03 6.01E-03 6.53E-03 6.61E-03 4.87E-03
33.5 7.77E-03 5.68E-03 1.04E-02 6.60E-03 8.88E-03 4.52E-03
34.0 6.97E-03 6.83E-03 6.52E-03 7.24E-03 7.85E-03 7.09E-03
34.5 6.68E-03 7.16E-03 6.43E-03 7.93E-03 7.23E-03 4.19E-03
35.0 7.04E-03 7.00E-03 6.25E-03 5.46E-03 3.10E-03 1.85E-03
35.5 6.45E-03 6.46E-03 5.25E-03 3.40E-03 1.90E-03 1.15E-03
36.0 6.23E-03 6.53E-03 4.06E-03 2.58E-03 1.66E-03 1.06E-03
36.5 5.99E-03 5.23E-03 3.75E-03 2.50E-03 1.84E-03 1.40E-03
37.0 5.99E-03 4.41E-03 3.90E-03 2.81E-03 2.29E-03 1.71E-03
37.5 6.38E-03 4.69E-03 4.54E-03 3.52E-03 2.75E-03 2.11E-03
38.0 7.42E-03 5.08E-03 5.17E-03 4.29E-03 3.25E-03 2.50E-03
38.5 8.82E-03 3.63E-03 1.01E-02 5.35E-03 5.13E-03 2.90E-03
39.0 6.63E-03 4.54E-03 7.54E-03 4.90E-03 5.09E-03 3.38E-03
39.5 5.88E-03 4.77E-03 4.88E-03 3.79E-03 4.84E-03 3.49E-03
40.0 6.74E-03 3.71E-03 3.40E-03 2.31E-03 5.93E-03 3.86E-03
_________________________________________________________________________________________
162
Appendix B
Polynomial regression coefficients for the determination of Germanium (Ge) transmittance profile
for uncoated substrate material of thickness t at 293K
T = A
0
+ A
1
t + A
2
t
2
+ A
3
t
3
+ A
4
t
4
+ A
5
t
5
+ A
6
t
6
cm
-1
A
0
A
1
A
2
A
3
A
4
A
5
A
6
800 0.47223 -0.01230 0.00471 -0.00225 0.00058 -7.8x10
-5
4.1x10
-6
780 0.47388 -0.01658 0.00984 -0.00503 0.00138 -0.00019 1.1x10
-5
760 0.47006 -0.01078 0.00077 -0.00066 0.00026 -4.6x10
-5
3.0x10
-6
740 0.47235 -0.01609 0.00388 -0.00154 0.00034 -3.9x10
-5
1.8x10
-6
720 0.47650 -0.02464 0.01697 -0.00871 0.00239 -0.00033 1.8x10
-5
700 0.46977 -0.00597 -0.00081 0.00023 -6.6x10
-6
-5.5x10
-6
5.9x10
-7
680 0.47190 -0.02076 0.00427 -0.00195 0.00051 -6.8x10
-5
3.6x10
-6
660 0.46884 -0.02584 -0.00262 0.00185 -0.00049 6.6x10
-5
-3.6x10
-6
640 0.46738 -0.02998 -0.00462 0.00280 -0.00064 7.1x10
-5
-3.0x10
-6
620 0.47327 -0.03198 0.00728 -0.00305 0.00077 -0.00010 5.3x10
-6
600 0.46754 -0.01497 -0.00727 0.00406 -0.00110 0.00015 -8.2x10
-6
580 0.47114 -0.06963 0.00817 -0.00126 0.00021 -2.3x10
-5
1.2x10
-6
560 0.47236 -0.12541 0.02529 -0.00524 0.00089 -9.2x10
-5
4.1x10
-6
540 0.47530 -0.12802 0.03161 -0.00904 0.00199 -0.00025 1.3x10
-5
520 0.47075 -0.13511 0.02768 -0.00575 0.00105 -0.00012 6.5x10
-6
500 0.47169 -0.11416 0.02143 -0.00470 0.00096 -0.00013 7.1x10
-6
480 0.47272 -0.11222 0.02264 -0.00557 0.00117 -0.00015 7.7x10
-6
460 0.46690 -0.14945 0.02568 -0.00157 -4.8x10
-4
1.2x10
-4
-8.3x10
-6
440 0.46168 -0.21637 0.05537 -0.00905 0.00078 -8.6x10
-6
-2.4x10
-6
420 0.45580 -0.35116 0.14571 -0.04046 0.00735 -0.00077 3.5x10
-5
400 0.46944 -0.21993 0.06641 -0.01637 0.00294 -0.00032 1.5x10
-5
380 0.43915 -0.41076 0.19133 -0.05540 0.01007 -0.00104 4.7x10
-5
360 0.37981 -0.51848 0.31588 -0.10775 0.02132 -0.00229 0.00010
340 0.25050 -0.44422 0.33111 -0.13152 0.02917 -0.00341 0.00016
320 0.41226 -0.48433 0.26548 -0.08496 0.01631 -0.00174 7.9x10
-5
300 0.42033 -0.45112 0.22850 -0.06823 0.01231 -0.00124 5.3x10
-5
280 0.41922 -0.47644 0.25459 -0.07979 0.01500 -0.00156 6.9x10
-5
260 0.45579 -0.35116 0.14570 -0.04046 0.00735 -0.00077 3.5x10
-5
240 0.46357 -0.20478 0.05100 -0.00863 0.00089 -0.00004 2.2x10
-15
220 0.47035 -0.21094 0.06246 -0.01554 0.00287 -0.00032 1.5x10
-5
200 0.46545 -0.24272 0.07495 -0.01718 0.00276 -0.00027 1.1x10
-5
180 0.47053 -0.20939 0.06105 -0.01475 0.00262 -0.00028 1.3x10
-5
160 0.47378 -0.16236 0.04188 -0.01032 0.00193 -0.00021 1.0x10
-5
140 0.47116 -0.11158 0.01929 -0.00348 0.00056 -0.00006 2.9x10
-6
120 0.46707 -0.12958 0.01770 0.00035 -0.00077 0.00014 -8.8x10
-6
100 0.46800 -0.13403 0.02054 -0.00066 -0.00058 0.00012 -8.3x10
-6
80 0.46932 -0.10393 0.01378 -0.00102 -6.7x10
-5
2.5x10
-5
-1.8x10
-6
60 0.47061 -0.03658 0.00125 0.00049 -0.00021 3.7x10
-5
-2.4x10
-6
40 0.46995 -0.03705 0.00138 -2.6x10
-5
6.8x10
-5
-2.1x10
-5
1.8x10
-6
_________________________________________________________________________________________
163
Polynomial regression coefficients for the determination of Fz Silicon (Si) transmittance profile
T = A
0
+ A
1
t + A
2
t
2
+ A
3
t
3
+ A
4
t
4
+ A
5
t
5
+ A
6
t
6
cm
-1
A
0
A
1
A
2
A
3
A
4
A
5
A
6
1500 0.53794 -0.00428 -7.9E-04 4.5E-04 -1.3E-04 1.9E-05 -1.1E-06
1480 0.53812 -0.01175 -9.3E-05 1.3E-04 -3.4E-05 4.5E-06 -2.4E-07
1460 0.53869 -0.02710 2.0E-03 -6.4E-04 1.7E-04 -2.3E-05 1.3E-06
1440 0.53821 -0.03029 1.0E-03 1.4E-05 -1.1E-05 1.4E-06 -5.9E-08
1420 0.53854 -0.02413 1.3E-03 -3.1E-04 7.4E-05 -9.4E-06 4.7E-07
1400 0.53838 -0.02073 6.8E-04 -6.7E-05 6.8E-06 1.4E-07 -5.9E-08
1380 0.53808 -0.02062 -2.3E-04 4.3E-04 -1.3E-04 1.9E-05 -1.1E-06
1360 0.53834 -0.02052 4.9E-04 2.6E-05 -1.8E-05 3.4E-06 -2.4E-07
1340 0.53792 -0.01858 -6.3E-04 5.5E-04 -1.5E-04 2.1E-05 -1.1E-06
1320 0.53821 -0.02503 4.0E-04 1.9E-04 -6.1E-05 9.1E-06 -5.3E-07
1300 0.53861 -0.03025 1.7E-03 -3.7E-04 8.4E-05 -1.1E-05 5.3E-07
1280 0.53799 -0.02475 2.7E-05 3.2E-04 -8.0E-05 9.8E-06 -4.7E-07
1260 0.53857 -0.02021 1.1E-03 -3.5E-04 9.8E-05 -1.4E-05 8.3E-07
1240 0.53813 -0.01539 -3.1E-04 3.0E-04 -7.9E-05 1.0E-05 -5.3E-07
1220 0.53849 -0.01614 5.3E-04 -9.8E-05 1.9E-05 -1.8E-06 5.9E-08
1200 0.53859 -0.02362 1.2E-03 -3.0E-04 7.4E-05 -9.9E-06 5.3E-07
1180 0.53816 -0.03255 6.1E-04 3.3E-04 -1.1E-04 1.5E-05 -8.3E-07
1160 0.53777 -0.04038 3.9E-04 8.0E-04 -2.4E-04 3.4E-05 -1.9E-06
1140 0.53834 -0.05458 3.2E-03 1.1E-06 -5.7E-05 9.8E-06 -5.9E-07
1120 0.53828 -0.06262 4.4E-03 -1.6E-04 -2.7E-05 5.8E-06 -3.6E-07
1100 0.53863 -0.05822 4.4E-03 -4.4E-04 5.7E-05 -5.5E-06 2.4E-07
1080 0.53838 -0.04398 2.3E-03 -9.1E-05 -8.8E-07 7.6E-07 -5.9E-08
1060 0.53831 -0.03257 8.4E-04 2.1E-04 -7.2E-05 1.0E-05 -5.9E-07
1040 0.53833 -0.02944 6.6E-04 1.9E-04 -6.7E-05 1.0E-05 -5.9E-07
1020 0.53867 -0.03832 2.2E-03 -2.9E-04 5.3E-05 -5.7E-06 2.4E-07
1000 0.53900 -0.05655 5.0E-03 -9.1E-04 1.9E-04 -2.5E-05 1.3E-06
980 0.53836 -0.08082 7.4E-03 -3.8E-04 -4.8E-05 1.3E-05 -8.9E-07
960 0.53812 -0.09451 1.0E-02 -6.9E-04 -1.9E-05 1.1E-05 -7.7E-07
940 0.53801 -0.09160 8.9E-03 -3.2E-04 -1.1E-04 2.3E-05 -1.5E-06
920 0.53821 -0.11238 1.4E-02 -1.5E-03 8.3E-05 2.4E-06 -4.7E-07
900 0.53812 -0.14307 2.4E-02 -3.3E-03 3.6E-04 -2.5E-05 7.7E-07
880 0.53823 -0.14528 2.5E-02 -3.7E-03 4.6E-04 -3.9E-05 1.5E-06
860 0.53830 -0.12316 1.8E-02 -2.3E-03 2.5E-04 -1.9E-05 7.1E-07
840 0.53871 -0.09739 1.2E-02 -1.6E-03 2.4E-04 -2.7E-05 1.4E-06
820 0.53858 -0.13489 2.2E-02 -3.4E-03 4.6E-04 -4.4E-05 2.0E-06
800 0.53860 -0.10659 1.4E-02 -1.7E-03 1.9E-04 -1.5E-05 5.9E-07
780 0.53816 -0.13170 2.0E-02 -2.6E-03 2.6E-04 -1.6E-05 4.1E-07
760 0.53822 -0.14450 2.4E-02 -3.6E-03 4.5E-04 -3.8E-05 1.5E-06
740 0.53761 -0.18932 4.0E-02 -6.9E-03 8.8E-04 -7.0E-05 2.4E-06
720 0.53832 -0.12979 2.0E-02 -2.5E-03 2.6E-04 -1.7E-05 4.7E-07
700 0.53888 -0.05400 4.1E-03 -5.4E-04 9.5E-05 -1.1E-05 5.3E-07
_________________________________________________________________________________________
164
Polynomial regression coefficients for the determination of Zinc Selenide tranmsittance profile
T = A
0
+ A
1
t + A
2
t
2
+ A
3
t
3
+ A
4
t
4
+ A
5
t
5
+ A
6
t
6
cm
-1
A
0
A
1
A
2
A
3
A
4
A
5
A
6
700 0.71556 0.00129 -0.00471 0.00245 -6.2E-04 7.5E-05 -3.6E-06
690 0.72640 -0.01930 0.01014 -0.00325 5.6E-04 -5.0E-05 1.8E-06
680 0.69029 0.03961 -0.02957 0.01028 -1.9E-03 1.9E-04 -7.7E-06
670 0.74268 -0.05104 0.03158 -0.01152 2.3E-03 -2.4E-04 1.0E-05
660 0.75169 -0.06739 0.03895 -0.01365 2.6E-03 -2.6E-04 1.1E-05
650 0.72024 -0.01803 0.00302 -0.00120 2.8E-04 -3.5E-05 1.8E-06
640 0.70713 -0.00054 -0.01265 0.00446 -8.3E-04 7.8E-05 -3.0E-06
630 0.71890 -0.02480 4.0E-04 -6.9E-13 1.4E-13 -1.4E-14 5.8E-16
620 0.72890 -0.04613 0.00858 -0.00215 2.8E-04 -1.4E-05 -2.1E-15
610 0.75016 -0.08343 0.03584 -0.01248 2.4E-03 -2.4E-04 1.0E-05
600 0.75929 -0.09515 0.04568 -0.01608 3.1E-03 -3.2E-04 1.3E-05
590 0.77683 -0.12760 0.06526 -0.02290 4.4E-03 -4.5E-04 1.8E-05
580 0.72965 -0.05259 0.00884 -0.00269 5.3E-04 -5.5E-05 2.4E-06
570 0.72204 -0.04086 -0.00121 0.00097 -1.9E-04 1.7E-05 -5.9E-07
560 0.75553 -0.09573 0.03755 -0.01281 2.5E-03 -2.5E-04 1.0E-05
550 0.69840 0.00314 -0.03213 0.01226 -2.5E-03 2.5E-04 -1.1E-05
540 0.75393 -0.09726 0.03273 -0.01064 2.0E-03 -1.9E-04 7.7E-06
530 0.71763 -0.04890 -0.00778 0.00376 -7.5E-04 7.4E-05 -3.0E-06
520 0.74412 -0.11791 0.02569 -0.00728 1.4E-03 -1.3E-04 5.3E-06
510 0.72281 -0.11949 0.00486 0.00204 -5.7E-04 6.6E-05 -3.0E-06
500 0.70863 -0.16634 0.00781 0.00395 -1.0E-03 1.0E-04 -4.1E-06
490 0.74529 -0.29982 0.07104 -0.01323 1.8E-03 -1.5E-04 5.3E-06
480 0.73072 -0.33978 0.08133 -0.01295 1.4E-03 -8.8E-05 2.4E-06
470 0.72309 -0.39347 0.10574 -0.01792 2.0E-03 -1.3E-04 3.6E-06
460 0.64562 -0.45551 0.13700 -0.02063 1.3E-03 2.4E-05 -4.7E-06
450 0.55086 -0.63585 0.32015 -0.08887 1.4E-02 -1.2E-03 4.4E-05
440 0.38716 -0.45440 0.22602 -0.06048 9.1E-03 -7.3E-04 2.4E-05
_________________________________________________________________________________________
165
Polynomial regression coefficients for the determination of Zinc Sulphide (Cleartran

) transmittance
profile for uncoated substrate material of thickness t at 293K
T = A
0
+ A
1
t + A
2
t
2
+ A
3
t
3
+ A
4
t
4
+ A
5
t
5
+ A
6
t
6
cm
-1
A
0
A
1
A
2
A
3
A
4
A
5
A
6
1000 0.75324 -0.00241 4.0E-06 6.0E-08 -1.3E-08 1.3E-09 -5.3E-11
990 0.75356 -0.00348 9.1E-06 -1.6E-07 2.7E-08 -2.7E-09 1.1E-10
980 0.75389 -0.00609 2.6E-05 -7.3E-08 -3.4E-09 4.0E-10 -1.8E-11
970 0.75422 -0.00716 3.6E-05 -4.6E-08 -2.0E-08 2.2E-09 -9.5E-11
960 0.75456 -0.00850 5.1E-05 -1.6E-07 -1.5E-08 1.7E-09 -7.1E-11
950 0.75491 -0.01210 1.0E-04 -7.4E-07 1.1E-08 -6.1E-10 2.4E-11
940 0.75527 -0.01728 2.1E-04 -2.1E-06 3.3E-08 -1.5E-09 5.3E-11
930 0.75564 -0.02067 3.0E-04 -3.7E-06 6.8E-08 -3.2E-09 1.1E-10
920 0.75602 -0.02307 3.8E-04 -5.0E-06 8.7E-08 -3.3E-09 1.1E-10
910 0.75639 -0.02492 4.4E-04 -6.1E-06 6.9E-08 5.9E-10 -6.5E-11
900 0.75678 -0.02687 5.1E-04 -7.5E-06 6.5E-08 3.4E-09 -2.0E-10
890 0.75718 -0.02799 5.6E-04 -8.7E-06 1.3E-07 -1.6E-09 2.6E-15
880 0.75765 -0.02638 4.9E-04 -7.4E-06 1.2E-07 -3.1E-09 7.7E-11
870 0.75813 -0.02335 3.9E-04 -5.0E-06 5.3E-08 4.9E-10 -5.3E-11
860 0.75861 -0.02146 3.3E-04 -3.8E-06 3.1E-08 1.1E-09 -6.5E-11
850 0.75911 -0.02055 3.0E-04 -3.4E-06 4.4E-08 -7.8E-10 1.2E-11
840 0.75964 -0.02239 3.5E-04 -4.4E-06 5.1E-08 -2.0E-10 -1.8E-11
830 0.76019 -0.02920 6.0E-04 -9.8E-06 1.7E-07 -4.2E-09 9.5E-11
820 0.76081 -0.03657 9.4E-04 -1.9E-05 4.0E-07 -9.7E-09 2.0E-10
810 0.76144 -0.04320 0.00131 -3.1E-05 7.3E-07 -1.6E-08 2.4E-10
800 0.76209 -0.05345 0.00201 -5.9E-05 1.7E-06 -4.7E-08 8.4E-10
790 0.76276 -0.06613 0.00307 -1.1E-04 3.9E-06 -1.2E-07 2.5E-09
780 0.76345 -0.07579 0.00402 -1.7E-04 6.4E-06 -2.2E-07 4.5E-09
770 0.76415 -0.08323 0.00484 -2.2E-04 9.1E-06 -3.3E-07 7.0E-09
760 0.76415 -0.09234 0.00595 -3.0E-04 1.4E-05 -5.3E-07 1.2E-08
750 0.76414 -0.10120 0.00714 -3.9E-04 1.9E-05 -7.8E-07 1.8E-08
740 0.76413 -0.11502 0.00922 -5.6E-04 3.0E-05 -1.3E-06 3.1E-08
730 0.76408 -0.14168 0.01393 -0.00103 6.4E-05 -3.1E-06 7.7E-08
720 0.76399 -0.16668 0.01919 -0.00162 1.1E-04 -5.7E-06 1.5E-07
710 0.76376 -0.19903 0.02717 -0.00266 2.0E-04 -1.1E-05 2.9E-07
700 0.76240 -0.27974 0.05253 -0.00667 6.1E-04 -3.6E-05 1.0E-06
690 0.75121 -0.45797 0.13515 -0.02454 2.8E-03 -1.9E-04 5.8E-06
680 0.69483 -0.63110 0.26050 -0.06154 8.6E-03 -6.7E-04 2.2E-05
670 0.15587 -0.21571 0.12428 -0.03804 6.5E-03 -5.9E-04 2.2E-05
660 0.74337 -0.51095 0.16717 -0.03293 4.0E-03 -2.8E-04 8.8E-06
650 0.57329 -0.63757 0.30938 -0.08281 1.3E-02 -1.1E-03 3.7E-05
_________________________________________________________________________________________
166
Polynomial regression coefficients for the determination of Cadmium Telluride (CdTe) transmittance
profile for uncoated substrate material of thickness t at 293K
T = A
0
+ A
1
t + A
2
t
2
+ A
3
t
3
+ A
4
t
4
+ A
5
t
5
+ A
6
t
6
cm
-1
A
0
A
1
A
2
A
3
A
4
A
5
A
6
450 0.66618 -0.00565 0.00003 -1.7E-07 1.2E-08 -1.2E-09 5.3E-11
440 0.66680 -0.00901 0.00007 -3.3E-07 -2.5E-08 2.9E-09 -1.2E-10
430 0.66747 -0.01255 0.00014 -1.2E-06 3.4E-09 8.6E-10 -4.1E-11
420 0.66819 -0.01346 0.00016 -1.6E-06 3.0E-08 -1.6E-09 6.5E-11
410 0.66897 -0.01554 0.00021 -2.5E-06 3.9E-08 -1.4E-09 4.7E-11
400 0.66982 -0.02336 0.00047 -8.3E-06 1.9E-07 -6.3E-09 1.8E-10
390 0.67075 -0.02767 0.00065 -1.4E-05 3.0E-07 -7.0E-09 1.2E-10
380 0.67176 -0.03131 0.00083 -1.9E-05 4.9E-07 -1.3E-08 2.4E-10
370 0.67287 -0.03521 0.00105 -2.7E-05 7.4E-07 -1.8E-08 2.7E-10
360 0.67409 -0.04613 0.00180 -6.1E-05 2.1E-06 -6.8E-08 1.3E-09
350 0.67542 -0.08054 0.00545 -3.1E-04 1.7E-05 -7.6E-07 1.8E-08
340 0.67661 -0.15090 0.01869 -1.8E-03 1.5E-04 -8.4E-06 2.3E-07
330 0.67509 -0.26346 0.05383 -7.6E-03 7.7E-04 -4.9E-05 1.5E-06
320 0.66561 -0.38973 0.11203 -2.0E-02 2.3E-03 -1.6E-04 4.9E-06
310 0.51443 -0.56463 0.27117 -7.2E-02 1.1E-02 -9.2E-04 3.2E-05
300 0.07954 -0.11287 0.06635 -2.1E-02 3.6E-03 -3.3E-04 1.2E-05
_________________________________________________________________________________________
167
Appendix C
_________________________________________________________________________________________
168
_________________________________________________________________________________________
169
Appendix D
Multilayer calculation matrix with absorption
in normal incidence illumination
Example single layer calculation
The layer phase factor is given by

2 Nd cos
where N is the complex refractive index, d is the physical
thickness (m), is the angle of incidence, and is the evaluation wavelength (m). In this case where normal
incidence illumination = 0 then cos = 1 and is subsequently ignored, and as N= (n - ik), then becomes
( )
2 d n ik
.
The characteristic matrix for the recursive sequence is:
B
C
m
i
m m
i
m m m s
m
q
,
,
]
]
]
,
,
]
]
]
,
,
]
]
]

1
1 cos sin /
sin cos

where :
B is the normalised electric field amplitude, C is the normalised magnetic field amplitude, s is the substrate, m is
the individual layer being calculated and q is the total summation of layers.
Using the complex trigonometric identity for cos given by:
cos = cos (x - iy) = cos(x) cosh(y) + isin(x) sinh(y)
then ( ) cos cos

m
d
n
m
ik
m

,
,
]
]
]
2
in terms of x and y then :- x
dn
m
and y
dk
m
evaluation of the first term cos

m
then becomes:
( ) cos cos cos cosh sin sinh

m
m m m m
x iy
dn dk
i
dn dk

j
(
,
\
,
(
j
(
,
\
,
( +
j
(
,
\
,
(
j
(
,
\
,
(
2 2 2 2
m
=Y (n
m
ik
m
),
s
= Y (n
s
ik
s
) where Y is the admittance of free space given by ;
Y =
0
0
= 0.002654
-1
and
m
&
s
are the optical admittance of the layer and substrate.
Where the substrate is non-absorbing, ik
s
= 0 therefore
s
= Y n
s
(which in the case of germanium
s
= Y n
s
= Y 4.0).
Using the complex trigonometric identity for sin given by :
sin
m
= sin (x - iy) = sinx coshy + icosx sinhy
and where cosh(-x) = cosh(x) and sinh(-x) = -sinh(x)
then ( ) sin sin sin cosh cos sinh

m
x iy
dn
m
dk
m
i
dn
m
dk
m

j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
2 2 2 2
From the initial characteristic matrix, B then becomes:
B =
( )
cos
sin

m
i
m
m
s
+ =
( )
( )
cos
sin
m
i
m
n
s
ik
s
n
m
ik
m
+
and C becomes j
m m m s
sin cos +
Returning to B, as cos
m
= cos (x - iy) = cos(x) cosh(y) + isin(x) sinh(y), then:
_________________________________________________________________________________________
170
( )
( )
B=

cos cosh sin sinh
sin cosh cos sinh
2 2 2 2
2 2 2 2
dn
m
dk
m
i
dn
m
dk
m
i
s
ik
s
m
ik
m
dn
m
dk
m
i
dn
m
dk
m
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
+ +
j
(
,
,
\
,
(
(
j
(
,
,
\
,
(
(

j
(
,
,
\
,
(
(
j
(
,
,
\
,
(
(
where k
s
= 0, as in the case of the substrate in a non-absorptive region then n
s
- ik
s
= n
s
.
Expanding B into real and imaginary parts then requires firstly separating
in
s
n
m
ik
m
into real
and imaginary parts by multiplying by its complex conjugate,
in
s
n
m
ik
m
in
s
n
m
ik
m
n
m
ik
m
n
m
ik
m
in
s
k
m
n
s
k
m
n
m
k
m

+
+

+
2 2
.
The real parts of B become :
Re(B) =

cos cosh sin cosh
cos sinh
2 2
2
2
2 2
2 2
2 2
dn
m
dk
m
n
s
k
m
n
m
k
m
dn
m
dk
m
n
s
k
m
n
m
k
m
dn
m
dk
m
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
+
+
+
and imaginary parts of B become ;
Im(B) =

sin sinh sin cosh
cos sinh
2 2
2
2
2 2
2 2
2 2
dn
m
dk
m
n
s
k
m
n
m
k
m
dn
m
dk
m
n
s
k
m
n
m
k
m
dn
m
dk
m
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
+
+
+
+
B is therefore represented by B = Re(B) + iIm(B)
Returning to C, where C = i
m
sin
m
+ cos
m
s
and

m
dn
m
i
dk
m

2 2
,
using the trigonometric identities :
sin = sin(x +iy) = sinx coshy + icosx sinhy, and
cos = cos(x +iy) = cosx coshy + isinx sinhy, then
C

+
+
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
i
m
dn
m
dk
m
i
dn
m
dk
m
dn
m
dk
m
i
dn
m
dk
m
s

sin cosh cos sinh
cos cosh sin sinh
2 2 2 2
2 2 2 2
as i
m
= i(n
m
- ik
m
),Y = iY n
m
+ Y k
m
and
s
= Y n
s
then separating out the real and imaginary parts of C
becomes :
Y Re(C) = Y k
m
sin
2
dn
m
j
(
,
\
,
( cosh
2
dk
m
j
(
,
\
,
( +Yn
r
cos
2
dn
m
j
(
,
\
,
( sinh
2
dk
m
j
(
,
\
,
( +
Y n
s
cos
2
dn
m
j
(
,
\
,
( cosh
2
dk
m
j
(
,
\
,
(
and
Y Im(C) = Y n
m
sin
2
dn
m
j
(
,
\
,
( cosh
2
dk
m
j
(
,
\
,
( -Y k
m
cos
2
dn
m
j
(
,
\
,
( sinh
2
dk
m
j
(
,
\
,
( +
_________________________________________________________________________________________
171
Y n
s
sin
2
dn
m
j
(
,
\
,
( sinh
2
dk
m
j
(
,
\
,
(
Inserting the real and imaginary parts to determine the reflection and transmission coefficients :
R =

0
0
0
0
B C
B C
B C
B C
+
j
(
,
\
,
(
j
(
,
\
,
(
*
and
( )
( )( )
T =
4
0
Re

s
B C B C
0 0
+ +
*
where
*
= complex conjugate, and
0
= Y
then for R,
0
0
B C
B C
B C i
i
+

+
j
(
,
\
,
(
Y Y
Y Y
Im(B) - Im(C))
Re(B) + Re(C) + ( Im(B) + Im(C))
Re( ) Re( ) (
denoting numerator coefficients Y Re( ) Re( ) ( B C i + Y Im(B) - Im(C)) as a+ib and denominator coefficients
Y Y Re(B) + Re(C) + ( Im(B) + Im(C)) i as f+ig, and expanding by multiplying by its complex conjugate, then:
( )
0
0
2 2
B C
B C
a ib
f ig
f ig
f ig
af bg i bf ga
f g
+

+
+

+ +
+
j
(
,
\
,
(
j
(
,
\
,
(
j
(
,
\
,
(
*
is then equivalent to :
0
0
2 2
2 2
B C
B C
B C B C B C B C
B C B C
i
B C B C B C B C
B C B C
+

+ + +
+ + +
+
+ +
+ + +
j
(
,
\
,
(
(

Y Y Y Y
Y Y
Y Y Y Y
Y Y
Re( ) Re( ))( Re( ) Re( )) ( Im( ) Im( ))( Im( ) Im( ))
( Re( ) Re( )) ( Im( ) Im( ))
( Im( ) Im( ))( Re( ) Re( )) ( Im( ) Im( ))( Re( ) Re( ))
( Re( ) Re( )) ( Im( ) Im( ))
The admittance of free spaceY between numerator and denominator cancel, and by denoting the equation in
the form v+iw then :
v
B C B C B C B C
B C B C
+ + +
+ + +
(Re( ) Re( ))(Re( ) Re( )) (Im( ) Im( ))(Im( ) Im( ))
(Re( ) Re( )) (Im( ) Im( ))
2 2
, and
iw
B C B C B C B C
B C B C
+ +
+ + +
(Im( ) Im( ))(Re( ) Re( )) (Im( ) Im( ))(Re( ) Re( ))
(Re( ) Re( )) (Im( ) Im( ))
2 2
The reflection coefficient inclusive of absorption is then calculated by R = v
2
+ w
2
.
Returning to the transmission coefficient T, as
0
= Y and
s
= Y n
s
, then :
T
n
s
B C B C
+ + +
4
2 2
(Re( ) Re( )) (Im( ) Im( ))
Calculation of the absorptance can then be deduced from A = 1 - T - R
This calculation procedure has been verified by example using a single layer of refractive index
n
m
= 2.0 and extinction coefficient of k
m
= 0.05 deposited on a loss free germanium substrate of index
n
s
= 4.0. The film thickness was a single quarter-wave layer of physical thickness 1.25m calculated for a
wavelength = 10m. Using these parameters, values of T = 90.780%, R = 0.137% and A = 9.083% were
calculated and correctly verified by comparing with an industry standard thin-film software program.
_________________________________________________________________________________________
172
Appendix E
Publications
Principal Author
1. G.J. Hawkins, R. Hunneman, J.J. Barnett, J.G. Whitney : Spectral design and verification of HIRDLS filters
and antireflection coatings using an integrated system performance approach, Proc SPIE Annual Meeting
San Diego 1998, (in press)
2. G.J. Hawkins, R. Hunneman, M.T. Gardner, G.T. Babcock : An ultra-wide passband (5-30m) filter for FTIR
studies of Photosystem II, Infrared Physics & Technology, Vol 39. pp 297-306, (1998)
3. G.J.Hawkins, R. Hunneman, C.Cole : "Infrared filters for space-flight focal plane array applications",
Proc. SPIE 2253, pp 333-347, (1994)
4. G.J.Hawkins, R.Hunneman : "Design and Fabrication of Infrared Filters for Remote Sounding
Instrumentation", Proc. SPIE 2210, pp 639-65, (1994)
5. G.J.Hawkins, J.S.Seeley, R.Hunneman : "Exposure to space radiation of high performance infrared multilayer
filters and materials technology experiment (A0056)", NASA Conf. Proc. 3134 Pt 3 First LDEF post-retrieval
symposium pp 1477-1491, (1991)
6. G.J.Hawkins, R.Hunneman, J.S.Seeley : "Space Exposure of Infrared Filters and Materials on the NASA Long
Duration Exposure Facility (LDEF)", University of Reading, ISBN 07049 04098 (1991).
7. G.J.Hawkins, J.S.Seeley, R.Hunneman SERC Final Report (GR/F/67990) on Study of Effects of the Space
Environment on Infrared Filters and Materials Flown on the NASA LDEF Mission.PPARC Assessment of
final report graded Alpha-5 for scientific and/or technological merit.
8. G.J.Hawkins, J.S.Seeley, R.Hunneman : "Preliminary results from Infrared Filters and Materials". LDEF
Spaceflight Environment Effects Newsletter, NASA Code 720. 1, No.5 (1990).
9. G.Hawkins, R.Hunneman, J.S.Seeley : "Preliminary results from Infrared Multilayer Filters and Materials
exposed to the space environment on the NASA LDEF mission", Proc. SPIE 1320, pp 407-419, (1990)
10. G.Hawkins, R.Hunneman, J.Seeley : "Spectral characterisation of cooled filters for remote sensing", Proc.
SPIE 915, pp 71-78. (1988)
11. G.Hawkins, R.Hunneman, J.Seeley. : "Design and disposition of infrared optical multilayer coatings for the
Improved Stratospheric and Mesospheric Sounder (ISAMS)", Proc. SPIE 868, pp 52-62, (1987)
Co-Author
12. R. Hunneman, G.J. Hawkins : The manufacture and spectral assessment of the filters and antireflection
coatings for use in the HIRDLS instrument, Proc SPIE Annual Meeting San Diego 1998, (in press)
13. R. Hunneman, G.J. Hawkins : Infrared filters and dichroics for the advanced along track scanning radiometer
(AATSR), Applied Optics, Vol 35, No 28, pp 5524-5528, (1996).
14. R. Hunneman, G.J. Hawkins : Novel material combinations for enhanced infrared filter performance, Proc
IOP Optoelectronics Conf, ISBN 07503 03824, pp 188-193 (1996).
15. R.Hunneman, G.J.Hawkins : Infrared filters and dichroics for the Advanced Along Track Scanning
Radiometer (AATSR), Proc OSA Optical Interference Coatings Conf, Vol 17, pp 358-360, (1995).
16. R.Hunneman, J.J.Barnett, G.J.Hawkins : High-Performance Infrared Filters for the HIRDLS 21-Channel
Focal Plane Detector Array, Proc. SPIE 2210-49, pp 516-532, (1994).
17. A.Zheng, J.S.Seeley, R.Hunneman, G.J.Hawkins : "Ultra-narrow Filters with Good Performance when Tilted
and Cooled", Applied Optics, Vol.31, No. 22, pp 4336-4338, (1992).
18. A.Zheng, J.S.Seeley, R.Hunneman, G.J.Hawkins : "Design of narrowband filters in the infrared region",
Infrared Physics and Technology, Vol 31, No.3, pp 237-244, (1991).
19. J.S.Seeley, R.Hunneman, G.J.Hawkins : "System performance in IR atmospheric radiometry", Proc. SPIE
1270, pp 244-249, (1990).
20. K.Zhang, R.Hunneman, J.S.Seeley, G.J.Hawkins : "Investigation of ultra wideband multi-channel dichroic
beamsplitters from 0.3 to 52m", Infrared Physics and Technology, Vol.30, pp 45-53, (1990).
21. K.Zhang, J.Seeley, R.Hunneman, G.Hawkins : "Optical and semiconductor properties of lead telluride
coatings", Proc SPIE 1125, pp 45-52, (1989).
22. J.Seeley, G.Hawkins, R.Hunneman : "Performance model for cooled IR filters", J. Inst. Phys. 'D'
optics-ECOOSA, pp S71-S74, (1988).
_________________________________________________________________________________________
173
Appendix F
Refractive Index Data Sources
F-1 N.P. Barnes, M.S. Piltch, : Temperature-dependent Sellmeier coefficients and nonlinear optics
average power limit for germanium, J.Opt.Soc.Am., Vol. 69, No. 1 pp 178-180 (1979)
F-2 D.F. Edwards, E. Ochoa, : Infrared Refractive index of Silicon,
Applied Optics, Vol 19, (24), pp.4130-4131, (1980)
F-3 E.D. Palik, : Cadmium Telluride (CdTe), Handbook of Optical Constants of Solids,
Academic Press Inc, ISBN 0-12-544420-6, pp 409-427 (1985)
F-4 A. Feldman, : Optical Materials Characterization Final Technical Report,
National Bureau of Standards Technical Note 933, pp53-54, (1978).
F-5 M. Debenham, : Refractive Indices of Zinc Sulfide in the 0.405-13-m Wavelength Range,
Applied Optics, Vol. 23, No. 14, pp 2238-2239, (1984).
F-6 S.S. Ballard, K.A. McCarthy, W.L. Wolfe, : Optical Materials for Infrared Instrumentation,
The University of Michigan, Willow Run Laboratories, Report No. 2389-11-S, pp24-25 (1959)
F-8 D.F Bezuidenhout, : Calcium Fluoride (CaF
2
), Handbook of Optical Constants of Solids II, Academic
Press Inc, ISBN 0-12-544422-2, pp 815-835 (1991)
F-9 D.R. Barron, : Buchdahls chromatic co-ordinate concept applied to IR materials,
Thorn EMI Electronics, (1987).
F-10 W.L. Wolfe, A.G. DeBell, J.M. Palmer, : Status of cryogenic refractive index measurements,
Proc. SPIE 245, pp 164-172 (1980)
F-11 N.P. Barnes, M.S. Piltch, : Temperature-dependent Sellmeier coefficients for Cadmium Telluride,
J.Opt.Soc.Am Vol 67 No. 5 May 1977
F-12 J.S. Browder, S.S. Ballard, : Thermal expansion data for eight optical materials from 60K to 300K,
Applied Optics, Vol. 16, No. 12, pp 3214-3217, (1977)
F-13 Commercially Published Data : Eagle Picher, Electro-Optic Materials,
Germanium and Silicon Optics, Quapaw, Oklahoma 74363, USA.
F-14 D.F. Edwards, : Silicon (Si), Handbook of Optical Constants of Solids,
Academic Press Inc, ISBN 0-12-544420-6, pp 547-569 (1985)

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