Fundamental - Optics. .Optical - Coatings

Chpt.
1 Final
7/30/99
2:39 PM
Page 1.1
Fundamental Optics
Fundamental Optics
Gaussian Beam Optics
1.2
Paraxial Formulas
1.3
Imaging Properties of Lens Systems
1.6
Lens Combination Formulas
1.8
1.11
Lens Shape
1.17
Lens Combinations
1.18
Diffraction Effects
1.20
Lens Selection
1.23
Spot Size
1.26
Aberration Balancing
1.27
Definition of Terms
1.29
Paraxial Lens Formulas
1.32
Principal-Point Locations
1.36
Material Properties
Performance Factors
Optical Specifications
Introduction
Optical Coatings
1.1
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.2
Introduction
Even though several thousand different optical components
are listed in this catalog, performing a few simple calculations will
usually determine the appropriate optics for an application or, at
the very least, narrow the list of choices.
The process of solving virtually any optical engineering problem
can be broken down into two main steps. First, paraxial calculations (first order) are made to determine critical parameters such
as magnification, focal length(s), clear aperture (diameter), and
object and image position. These paraxial calculations are covered
in the next section of this chapter.
THE OPTICAL
ENGINEERING PROCESS
Determine basic system

parameters, such as
magnification and
object/image distances
Second, actual components are chosen based on these paraxial

values, and their actual performance is evaluated with special
attention paid to the effects of aberrations. A truly rigorous
performance analysis for all but the simplest optical systems
generally requires computer ray tracing, but simple generalizations can be used, especially when the lens selection process is
confined to a limited range of component shapes.
Using paraxial formulas

and known parameters,
solve for remaining values
In practice, the second step may reveal conflicts with design

constraints, such as component size, cost, or product availability.
System parameters may therefore require modification.
Pick lens components

based on paraxially
derived values
Because some of the terms used in this chapter may not be

familiar to all readers, a glossary of terms is provided beginning
on page 1.29.
Finally, it should be noted that the discussion in this chapter
relates only to systems with uniform illumination; optical systems
for Gaussian beams are covered in Chapter 2, Gaussian Beam
Optics.
Determine if chosen
component values conflict
with any basic
system constraints
Melles Griot maintains a staff of knowledgeable,

experienced applications engineers at each of our
facilities worldwide. The information given in this
chapter is sufficient to enable the user to select the
most appropriate catalog lenses for the most
commonly encountered applications. However, when
additional optical engineering support is required,
our applications engineers are available to provide
assistance. Do not hesitate to contact us for help in
product selection or to obtain more detailed
specifications on Melles Griot products.
Estimate performance
characteristics of system
Determine if performance
characteristics meet
original design goals
Optical Coatings
Material Properties
ENGINEERING SUPPORT
1.2
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Chpt. 1 Final
7/30/99
2:39 PM
Page 1.3
Fundamental Optics
Paraxial Formulas
SIGN CONVENTIONS
The validity of the paraxial lens formulas is dependent on adherence to the following sign conventions:
For mirrors:
s is 1 for object to left of H

(the first principal point)
f is 1 for convex (diverging) mirrors

For lenses: (refer to figure 1.1)
f is 5 for concave (converging) mirrors
s is 5 for object to right of H
s is 1 for object to left of H
s is 1 for image to right of H

(the second principal point)
s is 5 for object to right of H
s is 5 for image to left of H
s is 5 for image to right of H
m is 1 for an inverted image
s is 1 for image to left of H
m is 5 for an upright image
m is 1 for an inverted image

m is 5 for an upright image
When using the thin-lens approximation, simply refer to the left and right of the lens.
rear focal point
front focal point

h
object
f
H H
image
Material Properties
s
principal points
Note location of object and image relative to front and rear focal points.
f = lens diameter
m = s/s = h/h = magnification or
conjugate ratio, said to be infinite if
either s or s is infinite
v
= arcsin (f/2s)
h = object height
= object distance, positive for object (whether real

or virtual) to the left of principal point H
s = image distance (s and s are collectively called

conjugate distances, with object and image in
conjugate planes), positive for image (whether real
or virtual) to the right of the principal point H
f
= effective focal length (EFL) which may be positive

(as shown) or negative. f represents both FH and
HF, assuming lens to be surrounded by medium
of index 1.0
Optical Coatings
h = image height
Figure 1.1 Sign conventions
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1.3
Fundamental Optics
Chpt. 1 Final
10/8/99
11:00 AM
Page 1.4
Typically, the first step in optical problem solving is to select a

system focal length based on constraints such as magnification or
conjugate distances (object and image distance). The relationship among focal length, object position, and image position is
given by
1
1
1
=
+
.
f
s
s
object
F2 image
F1
(1.1)
200
This formula is referenced to figure 1.1 and the sign conventions given on page 1.3.
By definition, magnification is the ratio of image size to object
size or
m =
(1.2)
This relationship can be used to recast the first formula into the
following forms:
(s + s )
(1.3)
(m + 1) 2
The same object is placed 30 mm left of the left principal point of

the same lens. Where is the image formed, and what is the magnification? (See figure 1.3.)
1
1
1
=
4
s
50
30
s = 475 mm
sm
f =
m+ 1
(1.4)
m =
s + s
f =
Figure 1.2 Example 1 (f = 50 mm, s = 200 mm, s = 66.7 mm)

Example 2: Object inside Focal Point
s
h
=
.
s
h
f = m
66.7
(1.5)
1
m+ 2+
m
s (m + 1) = s + s
(1.6)
s
475
=
= 42.5
s
30
(or virtual image is 2.5 mm high and upright).

In this case, the lens is being used as a magnifier, and the image can
be viewed only back through the lens.
Material Properties
where (s + s) is the approximate object-to-image distance.

With a real lens of finite thickness, the image distance, object
distance, and focal length are all referenced to the principal points,
not to the physical center of the lens. By neglecting the distance
between the lens principal points, known as the hiatus, s + s
becomes the object-to-image distance. This simplification, called the
thin-lens approximation, can speed up calculation when dealing
with simple optical systems.
Example 1: Object outside Focal Point
A 1-mm-high object is placed on the optical axis, 200 mm left of the
left principal point of a 01 LDX 103 (f = 50 mm). Where is the
image formed, and what is the magnification? (See figure 1.2.)
1
s
1
s
=
=
1
f
1
s
1 4 1
50
200
Optical Coatings
s
s
66.7
200
image
Figure 1.3 Example 2 (f = 50 mm, s = 30 mm, s = 475 mm)

Example 3: Object at Focal Point
A 1-mm-high object is placed on the optical axis, 50 mm left of the
first principal point of an 01 LDK 019 (f = 50 mm). Where is the
image formed, and what is the magnification? (See figure 1.4.)
s = 425 mm
= 0.33
(or real image is 0.33 mm high and inverted).
1.4
object
1
1
1
=
4
s
50
450
s = 66.7 mm
m =
F2
F1
m =
s
425
=
= 40.5
s
50
(or virtual image is 0.5 mm high and upright).
Chpt. 1 Final
9/2/99
4:15 PM
Page 1.5
Fundamental Optics
object
f
f
2
F2
image
F1
principal surface
Figure 1.4 Example 3 (f = 450 mm, s = 50 mm, s = 425 mm)

Figure 1.5 F-number and numerical aperture
Ray f-numbers can also be defined for any arbitrary ray if its
conjugate distance and the diameter at which it intersects the
principal surface of the optical system are known.
NOTE
Because the sign convention given previously is not

used universally in all optics texts, the reader may
notice differences in the paraxial formulas. However,
results will be correct as long as a consistent set of
formulas and sign conventions is used.
A simple graphical method can also be used to determine paraxial

image location and magnification. This graphical approach relies on
two simple properties of an optical system. First, a ray that enters
the system parallel to the optical axis crosses the optical axis at the
focal point. Second, a ray that enters the first principal point of the
system exits the system from the second principal point parallel to
its original direction (i.e., its exit angle with the optical axis is the same
as its entrance angle). This method has been applied to the three
previous examples illustrated in figures 1.2 through 1.4. Note that by
using the thin-lens approximation, this second property reduces to the
statement that a ray passing through the center of the lens is undeviated.
F-NUMBER AND NUMERICAL APERTURE

The paraxial calculations used to determine necessary element
diameter are based on the concepts of focal ratio (f-number or f/#)
and numerical aperture (NA). The f-number is the ratio of the focal
length of the lens to its clear aperture (effective diameter).
f-number =
f
.
f
(1.7)
Material Properties
To visualize the f-number, consider a lens with a positive focal

length illuminated uniformly with collimated light. The f-number
defines the angle of the cone of light leaving the lens which ultimately
forms the image. This is an important concept when the throughput
or light-gathering power of an optical system is critical, such as
when focusing light into a monochromator or projecting a highpower image.
The other term used commonly in defining this cone angle is
numerical aperture. Numerical aperture is the sine of the angle made
by the marginal ray with the optical axis. By referring to
figure 1.5 and using simple trigonometry, it can be seen that
NA = sinv =
(1.8)
Optical Coatings
f
2f
or
NA =
1
.
2(f-number)
(1.9)
1.5
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Imaging Properties of Lens Systems

THE OPTICAL INVARIANT
Example: System with Fixed Input NA
To understand the importance of the numerical aperture, consider

its relation to magnification. Referring to figure 1.6,
Two very common applications of simple optics involve coupling

light into an optical fiber or into the entrance slit of a monochromator. Although these problems appear to be quite different, they
both have the same limitation they have a fixed numerical
aperture. For monochromators, this limit is usually expressed in
terms of the f-number. In addition to the fixed numerical aperture,
they both have a fixed entrance pupil (image) size.
Suppose it is necessary, using a singlet lens from this catalog, to
couple the output of an incandescent bulb with a filament 1 mm in
diameter into an optical fiber as shown in figure 1.7. Assume that the
fiber has a core diameter of 100 mm and a numerical aperture of 0.25,
and that the design requires that the total distance from the source
to the fiber be 110 mm. Which lenses are appropriate?
By definition, the magnification must be 0.1. Letting s + s total
110 mm (using the thin-lens approximation), we can use equation
1.3,
NA (object side) = sinv =

Page 1.6
(1.10)
2s
NA" (image side) = sinv =
f
2s
(1.11)
which can be rearranged to show

(1.12)
f = 2s sinv
and
f = 2s sinv
(1.13)
leading to
s
s
Material Properties
Since
sinv
sinv
NA
NA"
(1.14)
f = m
is simply the magnification of the system,

s
we arrive at
m =
NA
NA"
(1.15)
The magnification of the system is therefore equal to the ratio

of the numerical apertures on the object and image sides of the
system. This powerful and useful result is completely independent
of the specifics of the optical system, and it can often be used to determine the optimum lens diameter in situations involving aperture
constraints.
When a lens or optical system is used to create an image of a
source, it is natural to assume that, by increasing the diameter (f)
of the lens, we will be able to collect more light and thereby produce
a brighter image. However, because of the relationship between
magnification and numerical aperture, there can be a theoretical limit
beyond which increasing the diameter has no effect on lightcollection efficiency or image brightness.
Since the numerical aperture of a ray is given by f/2s, once a
focal length and magnification have been selected, the value of NA
sets the value of f. Thus, if one is dealing with a system in which the
numerical aperture is constrained on either the object or image
side, increasing the lens diameter beyond this value will increase
system size and cost but will not improve performance (i.e., throughput or image brightness). This concept is sometimes referred to as
the optical invariant.
Optical Coatings
SAMPLE CALCULATION
To understand how to use this relationship between magnification and numerical aperture, consider the following example.
1.6
(s + s )
(m + 1) 2
to determine that the focal length is 9.1 mm. To determine the

conjugate distances, s and s, we utilize equation 1.6,
s (m + 1) = s + s ,
and find that s = 100 mm and s = 10 mm.
We can now use the relationship NA = /2s or NA = /2s to
derive , the optimum clear aperture (effective diameter) of the lens.
With an image numerical aperture of 0.25 and an image distance
(s) of 10 mm,
0.25 =
f
20
f = 5 mm.
Accomplishing this imaging task with a single lens therefore
requires an optic with a 9.1-mm focal length and a 5-mm diameter.
Using a larger diameter lens will not result in any greater system
throughput because of the limited input numerical aperture of the
optical fiber. The singlet lenses in this catalog that meet these criteria
are 01 LPX 003, which is plano-convex, and 01 LDX 003 and
01 LDX 005, which are biconvex.
Making some simple calculations has reduced our choice of
lenses to just three. Chapter 2, Gaussian Beam Optics, discusses
how to make a final choice of lenses based on various performance
criteria.
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.7
Fundamental Optics
f
2
v
f
image side
object side
Figure 1.6 Numerical aperture and magnification
filament
h = 1 mm
NA =
magnification = h" = 0.1 = 0.1X

h
1.0
optical system
f = 9.1 mm
f
= 0.025
2s
NA" =
f
= 0.25
2s"
f = 5 mm
fiber core
h" = 0.1 mm
s = 100 mm
s" = 10 mm
s + s" = 110 mm
Material Properties
Figure 1.7 Optical system geometry for focusing the output of an incandescent bulb into an optical fiber
Optical Coatings
1.7
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.8
Lens Combination Formulas

PARAXIAL LENS COMBINATION FORMULAS
COMBINATION EXAMPLES
Many optical tasks require several lenses in order to achieve an

acceptable level of performance. One possible approach to lens
combinations is to consider each image formed by each lens as the
object for the next lens and so on. This is a valid approach, but it is
time consuming and unnecessary.
It is much simpler to calculate the effective (combined) focal
length and principal-point locations and then use these results in
any subsequent paraxial calculations (see figure 1.8). They can even
be used in the optical invariant calculations described in the
preceding section.
It is possible for a lens combination or system to exhibit principal

planes that are far removed from the system. When such systems
are themselves combined, negative values of d may occur. Probably the simplest example of a negative d-value situation is shown in
figure 1.9. Meniscus lenses with steep surfaces have external principal planes. When two of these lenses are brought into contact, a
negative value of d can occur. Other combined-lens examples are
shown in figures 1.10 through 1.13.
EFFECTIVE FOCAL LENGTH
f =
f1 f 2
.
f1 + f 2 4 d
(1.16)
(1.17)
Notice that the formula is symmetric with respect to interchange

of the lenses (end-for-end rotation of the combination) at constant
d. The next two formulas are not.
= combination focal length (EFL), positive if

combination final focal point falls to right of
combination secondary principal point,
negative otherwise.
f1
= focal length (EFL) of first element.
f2
= focal length (EFL) of second element.
= distance from secondary principal point of

first element to primary principal point of
second element (positive if primary principal
point is to right of the secondary principal
point, negative otherwise).
s2 = distance from secondary principal point of

second element to final combination focal
point (location of final image for object at
infinity to left), positive if the focal point is
to right of second element secondary principal
point.
COMBINATION FOCAL-POINT LOCATION

z
For all cases,

s 2 =
f 2 (f1 4 d)
.
f1 + f 2 4 d
(1.18)
COMBINATION SECONDARY
PRINCIPAL-POINT LOCATION
Optical Coatings
This may be more familiar in the form

1
1
1
d
4
.
=
+
f
f1
f2
f1 f 2
Material Properties
SYMBOLS
The following formulas show how to calculate the effective focal

length and principal-point locations for a combination of any two
arbitrary components. The approach for more than two lenses is very
simple: calculate the values for the first two elements, then perform
the same calculation for this combination with the next lens. This is
continued until all lenses in the system are accounted for.
The expression for the combination focal length is the same
whether lens separation distances are large or small and whether f1
and f2 are positive or negative:
Because the thin-lens approximation is obviously highly invalid

for most combinations, the ability to determine the location of the
secondary principal point is vital for accurate determination of d when
another element is added. The simplest formula for this calculates
how far the secondary principal point of the final (second) element
is moved by being part of the combination:
z = s 2 4 f .
1.8
= distance to combination secondary principal

point measured from secondary principal
point of second element, positive if
combination secondary principal point is to
right of secondary principal point of second
element.
Note: These paraxial formulas apply to coaxial

combinations of both thick and thin lenses immersed
in any fluid with refractive index independent of
position. They assume that light propagates from left
to right through an optical system.
(1.19)
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.9
Fundamental Optics
INDIVIDUAL ELEMENT
1st element
2nd element
d
z, from formula
COMBINATION
3rd element
2 elements
combination secondary principal plane

(to find combination primary principal plane,
apply procedure to reversed combination
resulting from end-to-end rotation)
subsystem secondary principal plane
SUBSYSTEM
n-1 elements
nth element to be added to complete the system

d
z, from formula
system secondary
principal plane
COMPLETE SYSTEM
principal planes
not crossed
system primary principal plane (secondary principal

plane located by z formula for reversed system)
lens combinations or systems may exhibit crossed principal planes; single lenses cannot
subsystem secondary principal plane
SUBSYSTEM
principal planes internal but crossed
nth element to be added to complete the system
n-1 elements
d
subsystem primary principal plane
Figure 1.8 Generalization from combinations to systems
3 4
d>0
3 4
Material Properties
d<0
Figure 1.9 Extreme meniscus-form lenses with external principal planes (drawing not to scale)
Optical Coatings
1.9
7/30/99
2:39 PM
Page 1.10
Fundamental Optics
Chpt. 1 Final
z<0
s2
f<0
combination
secondary
principal plane
focal plane
Figure 1.10 Positive lenses separated by distance greater

than f1 + f2: f is negative, while both s2 and z are positive.
Lens symmetry is not required.
f1
H1
s2
f2
f1
H2
combination
secondary
principal plane
combination
focus
Figure 1.12 Telephoto combination: The most important

characteristic of the telephoto is that the EFL, and hence the
image size, can be made much larger than the distance from the
first lens surface to the image would suggest by using a positive
lens followed by a negative lens (but not necessarily the lens
shapes shown in the figure). For example, f1 is positive and
f2 = 4f1/2. Then f is negative for d less than f1/2, infinite for
d = f1/2 (Galilean telescope or beam expander), and positive for
d larger than f1/2. To make the example even more specific,
catalog lenses 01 LDX 189 and 01 LDK 021, with d = 78.2 mm,
will yield s2= 2.0 m, f = 5.2 m, and z = 43.2 m.
H2
tc
n
Material Properties
f2
H H
Figure 1.11 Achromatic combinations: Air-spaced lens

combinations can be made nearly achromatic, even though
both elements are made of the same material. Achieving
achromatism requires that, in the thin-lens approximation,
s
d =
( f1 + f 2 )
2
This is the basis for Huygens and Ramsden eyepieces.
Optical Coatings
tc
n
This approximation is adequate for most thick-lens situations.

The signs of f1, f2, and d are unrestricted, but d must have a
value that guarantees the existence of an air space. Element
shapes are unrestricted and can be chosen to compensate for
other aberrations.
1.10
Figure 1.13 Condenser configuration: A pair of identical

plano-convex lenses have their convex vertices in contact.
(The lenses could also be plano aspheres.) Because d = 0,
f = f1/2 = f2/2, f1/2 = s2, and z = 0. The secondary principal
point of the second element and the secondary principal point
of the combination coincide at H, at depth tc/n beneath the
vertex of the plano surface of the second element, where tc is
the element center thickness and n is the refractive index of the
element. By symmetry, the primary principal point of the combination is similarly located in the first element. Combination
conjugate distances must be measured from these points.
Chpt. 1 Final
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2:39 PM
Page 1.11
DIFFRACTION
el
en
gt
material 1
index n1
ld
v1
material 2
index n2
v2
Since diffraction increases with increasing f-number, and aberrations decrease with increasing f-number, determining optimum
system performance often involves finding a point where the combination of these factors has a minimum effect.
ABERRATIONS
The direction of a light ray after refraction at the interface between

two homogeneous, isotropic media of differing index of refraction is
given by Snells law:
( 1.20)
Technical Assistance
Detailed performance analysis of an optical system
is accomplished using computerized ray-tracing
software. Melles Griot applications engineers have
the capability to provide a ray-tracing analysis of
simple catalog components systems. If you need
assistance in determining the performance of your
optical system, or in selecting optimum components
for your particular application, please contact your
nearest Melles Griot office.
Alternately, a database containing prescription
information for most of the components listed in this
catalog is available on the catalog CD-ROM. If you
would like to obtain a copy of this database, please
contact your Melles Griot representative.
For analysis of more complex optical systems,
or the design of totally custom lenses, Melles Griot
Optical Systems, located in Rochester, New York, can
supply the necessary support. This group specializes
in the design and fabrication of high-precision,
multielement lens systems. For more information
about their capabilities, please call your Melles Griot
representative.
1.11
Optical Coatings
where 1 is the angle of incidence, 2 is the angle of refraction, and

both angles are measured from the surface normal as shown in figure
1.14.
APPLICATION NOTE
Material Properties
To determine the precise performance of a lens system, we can

trace the path of light rays through it, using Snells law at each
optical interface to determine the subsequent ray direction. This
process, called ray tracing, is usually accomplished on a computer.
When this process is completed, it is typically found that not all
the rays pass through the points or positions predicted by paraxial theory. These deviations from ideal imaging are called lens
aberrations.
In calculating diffraction, we simply need to know the focal

length(s) and aperture diameter(s); we do not consider other lensrelated factors such as shape or index of refraction.
av
Figure 1.14 Refraction of light at a dielectric boundary
Diffraction, a natural property of light arising from its wave

nature, poses a fundamental limitation on any optical system. Diffraction is always present, although its effects may be masked if
the system has significant aberrations. When an optical system is
essentially free from aberrations, its performance is limited solely
by diffraction, and it is referred to as diffraction limited.
n1sin1 = n2sin2
After paraxial formulas have been used to select values for component focal length(s) and diameter(s), the final step is to select
actual lenses. As in any engineering problem, this selection process
involves a number of tradeoffs, including performance, cost, weight,
and environmental factors.
The performance of real optical systems is limited by several
factors, including lens aberrations and light diffraction. The magnitude of these effects can be calculated with relative ease.
Numerous other factors, such as lens manufacturing tolerances
and component alignment, impact the performance of an optical
system. Although these are not considered explicitly in the following
discussion, it should be kept in mind that if calculations indicate that
a lens system only just meets the desired performance criteria, in
practice it may fall short of this performance as a result of other
factors. In critical applications, it is generally better to select a lens
whose calculated performance is significantly better than needed.
Fundamental Optics
Performance Factors
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.12
Even though tools for precise analysis of an optical system are

becoming easier to use and are readily available, it is still quite useful
to have a method for quickly estimating lens performance. This
not only saves time in the initial stages of system specification, but
can also help achieve a better starting point for any further
computer optimization.
The first step in developing these rough guidelines is to realize
that the sine functions in Snells law can be expanded in an infinite
Taylor series:
sin v1 = v1 4 v13 /3! + v15 /5! 4 v17 /7! + v19 /9! 4. . .
The first approximation we can make is to replace all sine functions with their arguments (i.e., replace sin 1 with 1 itself and so
on). This is called first-order or paraxial theory because only the first
terms of the sine expansions are used. Design of any optical system
generally starts with this approximation using the paraxial formulas.
The assumption that sin = is reasonably valid for close to zero
(i.e., high f-number lenses). With more highly curved surfaces (and
particularly marginal rays), paraxial theory yields increasingly large
deviations from real performance because sin . These deviations
are known as aberrations. Because a perfect optical system (one
without any aberrations) would form its image at the point and to
the size indicated by paraxial theory, aberrations are really a measure
of how the image differs from the paraxial prediction.
Material Properties
As already stated, exact ray tracing is the only rigorous way to

analyze real lens surfaces. Before the advent of computers, this was
excessively tedious and time consuming. Seidel addressed this issue
by developing a method of calculating aberrations resulting from
the 13/3! term. The resultant third-order lens aberrations are therefore called Seidel aberrations.
To simplify these calculations, Seidel put the aberrations of an
optical system into several different classifications. In monochromatic light they are spherical aberration, astigmatism, field
curvature, coma, and distortion. In polychromatic light there are
also chromatic aberration and lateral color. Seidel developed
methods to approximate each of these aberrations without actually
tracing large numbers of rays using all the terms in the sine
expansions.
In actual practice, aberrations occur in combinations rather
than alone. This system of classifying them, which makes analysis
much simpler, gives a good description of optical system image
quality. In fact, even in the era of powerful ray-tracing software,
Seidels formula for spherical aberration is still widely used.
SPHERICAL ABERRATION
Figure 1.15 illustrates how an aberration-free lens focuses
incoming collimated light. All rays pass through the focal point F .
The lower figure shows the situation more typically encountered in
single lenses. The farther from the optical axis the ray enters the
lens, the nearer to the lens it focuses (crosses the optical axis). The
distance along the optical axis between the intercept of the rays
that are nearly on the optical axis (paraxial rays) and the rays that
go through the edge of the lens (marginal rays) is called longitudinal spherical aberration (LSA). The height at which these rays
intercept the paraxial focal plane is called transverse spherical
aberration (TSA). These quantities are related by
TSA = LSA ! tan u.
(1.21)
Spherical aberration is dependent on lens shape, orientation, and

conjugate ratio, as well as on the index of refraction of the materials
present. Parameters for choosing the best lens shape and orientation
for a given task are presented later in this chapter. However, the
aberration-free lens
paraxial focal plane
u
F
TSA
LSA
longitudinal spherical aberration
transverse spherical aberration
Optical Coatings
Figure 1.15 Spherical aberration of a plano-convex lens
1.12
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.13
spot size due to spherical aberration =
0.067 f
f/# 3
(1.22)
ASTIGMATISM
When an off-axis object is focused by a spherical lens, the natural
asymmetry leads to astigmatism. The system appears to have two
different focal lengths.
As shown in figure 1.16, the plane containing both optical axis
and object point is called the tangential plane. Rays that lie in this
plane are called tangential rays. Rays not in this plane are referred
to as skew rays. The chief, or principal, ray goes from the object
point through the center of the aperture of the lens system. The
plane perpendicular to the tangential plane that contains the principal ray is called the sagittal or radial plane.
The figure illustrates that tangential rays from the object come
to a focus closer to the lens than do rays in the sagittal plane. When
the image is evaluated at the tangential conjugate, we see a line in
the sagittal direction. A line in the tangential direction is formed at
the sagittal conjugate. Between these conjugates, the image is either
an elliptical or a circular blur. Astigmatism is defined as the
separation of these conjugates.
tangential image
(focal line)
is
al ax
c
opti
sagittal image (focal line)
Material Properties
tangential plane
The amount of astigmatism in a lens depends on lens shape only

when there is an aperture in the system that is not in contact with the
lens itself. (In all optical systems there is an aperture or stop, although
in many cases it is simply the clear aperture of the lens element itself.)
Astigmatism strongly depends on the conjugate ratio.
Theoretically, the simplest way to eliminate or reduce spherical

aberration is to make the lens surface(s) with a varying radius of curvature (i.e., an aspheric surface) designed to exactly compensate for
the fact that sin v v at larger angles. In practice, however, most lenses
with high surface quality are manufactured by grinding and polishing
techniques that naturally produce spherical or cylindrical surfaces.
The manufacture of aspheric surfaces is more complex, and it is
difficult to produce a lens of sufficient surface accuracy to eliminate spherical aberration completely. Fortunately, these aberrations
can be virtually eliminated, for a chosen set of conditions, by combining the effects of two or more spherical (or cylindrical) surfaces.
In general, simple positive lenses have undercorrected spherical
aberration, and negative lenses usually have overcorrected spherical
aberration. By combining a positive lens made from low-index glass
with a negative lens made from high-index glass, it is possible to produce a combination in which the spherical aberrations cancel but
the focusing powers do not. The simplest examples of this are
cemented doublets, such as the 01 LAO series which produce
minimal spherical aberration when properly used.
Fundamental Optics
third-order, monochromatic, spherical aberration of a plano-convex

lens used at infinite conjugate ratio can be estimated by
principal ray
sagittal plane
optical system
object point
paraxial
focal plane
Optical Coatings
Figure 1.16 Astigmatism represented by sectional views
1.13
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.14
COMA
In spherical lenses, different parts of the lens surface exhibit different degrees of magnification. This gives rise to an aberration
known as coma. As shown in figure 1.17, each concentric zone of
a lens forms a ring-shaped image called a comatic circle. This causes
blurring in the image plane (surface) of off-axis object points. An
off-axis object point is not a sharp image point, but it appears as a
characteristic comet-like flare. Even if spherical aberration is
corrected and the lens brings all rays to a sharp focus on axis, a
lens may still exhibit coma off axis. See figure 1.18.
positive transverse coma
focal plane
As with spherical aberration, correction can be achieved by

using multiple surfaces. Alternatively, a sharper image may be
produced by judiciously placing an aperture, or stop, in an optical
system to eliminate the more marginal rays.
Figure 1.18 Positive transverse coma
spherical focal surface
Even in the absence of astigmatism, there is a tendency of optical

systems to image better on curved surfaces than on flat planes. This
effect is called field curvature (see figure 1.19). In the presence of astigmatism, this problem is compounded because there are two separate
astigmatic focal surfaces that correspond to the tangential and
sagittal conjugates.
Field curvature varies with the square of field angle or the square
of image height. Therefore, by reducing the field angle by one-half,
it is possible to reduce the blur from field curvature to a value of 0.25
of its original size.
Material Properties
FIELD CURVATURE
Figure 1.19 Field curvature
corresponding
points on S
1
points on lens
S
1
1
4
4
3
1
1
1
P,O
2
2
2
2
4
4
4
3
3
60
Optical Coatings
3 3
Figure 1.17 Imaging an off-axis point source by a lens with positive transverse coma
1.14
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.15
DISTORTION
Lateral Spherical
Longitudinal Spherical
Coma
Astigmatism
Field Curvature
Distortion
Chromatic
Aperture
()
Field Angle
()
Image Height
(y)
2
2
3
y
y2
y2
y3
2
2
red focal point
white light ray

OBJECT
PINCUSHION
DISTORTION
BARREL
DISTORTION
blue focal point
blue light ray
longitudinal
chromatic
aberration
Optical Coatings
red light ray
Figure 1.20 Pincushion and barrel distortion
Material Properties
The aberrations previously described are purely a function of the

shape of the lens surfaces, and can be observed with monochromatic light. There are, however, other aberrations that arise when
these optics are used to transform light containing multiple
wavelengths.
Aberration
CHROMATIC ABERRATION
Variations of Aberrations with Aperture,

Field Angle, and Image Height
The image field not only may have curvature but may also be
distorted. The image of an off-axis point may be formed at a
location on this surface other than that predicted by the simple
paraxial equations. This distortion is different from coma (where
rays from an off-axis point fail to meet perfectly in the image
plane). Distortion means that even if a perfect off-axis point image
is formed, its location on the image plane is not correct. Furthermore, the amount of distortion usually increases with increasing
image height. The effect of this can be seen as two different kinds
of distortion: pincushion and barrel (see figure 1.20). Distortion
does not lower system resolution; it simply means that the image
shape does not correspond exactly to the shape of the object.
Distortion is a separation of the actual image point from the
paraxially predicted location on the image plane and can be
expressed either as an absolute value or as a percentage of the
paraxial image height.
It should be apparent that a lens or lens system has opposite
types of distortion depending on whether it is used forward or backward. This means that if a lens were used to make a photograph,
and then used in reverse to project it, there would be no distortion
in the final screen image. Also, perfectly symmetrical optical systems
at 1:1 magnification have no distortion or coma.
The index of refraction of a material is a function of wavelength.

Known as dispersion, this is discussed in Chapter 4, Material
Properties. From Snells law (see equation 1.20), it can be seen that
light rays of different wavelengths or colors will be refracted at
different angles since the index is not a constant. Figure 1.21 shows
the result when polychromatic collimated light is incident on a positive lens element. Because the index of refraction is higher for
shorter wavelengths, these are focused closer to the lens than the
longer wavelengths. Longitudinal chromatic aberration is defined
as the axial distance from the nearest to the farthest focal point.
As in the case of spherical aberration, positive and negative
elements have opposite signs of chromatic aberration. Once again,
by combining elements of nearly opposite aberration to form a
doublet, chromatic aberration can be partially corrected. It is necessary to use two glasses with different dispersion characteristics,
so that the weaker negative element can balance the aberration of
the stronger, positive element.
Fundamental Optics
Positive lens elements usually have inward curving fields, and negative lenses have outward curving fields. Field curvature can thus
be corrected to some extent by combining positive and negative
lens elements.
Figure 1.21 Longitudinal chromatic aberration
1.15
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.16
LATERAL COLOR
Lateral color is the difference in image height between blue and
red rays. Figure 1.22 shows the chief ray of an optical system
consisting of a simple positive lens and a separate aperture. Because
of the change in index with wavelength, blue light is refracted more
strongly than red light, which is why rays intercept the image plane
at different heights. Stated simply, magnification depends on color.
Lateral color is very dependent on system stop location.
For many optical systems, the third-order term is all that may
be needed to quantify aberrations. However, in highly corrected
systems or in those having large apertures or a large angular field
of view, third-order theory is inadequate. In these cases, exact ray
tracing is absolutely essential.
red light ray
APPLICATION NOTE
Achromatic Doublets Are Superior

to Simple Lenses
Because achromatic doublets correct for spherical
as well as chromatic aberration, they are often
superior to simple lenses for focusing collimated
light or collimating point sources, even in purely
monochromatic light.
Although there is no simple formula that can be
used to estimate the spot size of a doublet, the
tables on page 1.26 give sample values that can be
used to estimate the performance of other catalog
achromats.
lateral color
blue light ray
aperture
focal plane
Optical Coatings
Material Properties
Figure 1.22 Lateral color
1.16
Chpt. 1 Final
9/2/99
4:13 PM
Page 1.17
To further explore the dependence of aberrations on lens shape, it

is helpful to make use of the Coddington shape factor, q, defined as
q =
(r2 + r1 )
.
(r2 4 r1 )
(1.23)
For imaging at unit magnification (s = s = 2f), a similar analysis

would show that a symmetric biconvex lens is the best shape. Not
only is spherical aberration minimized, but coma, distortion, and
lateral chromatic aberration exactly cancel each other out. These
results are true regardless of material index or wavelength, which
explains the utility of symmetric convex lenses, as well as symmetrical
optical systems in general. However, if a remote stop is present,
these aberrations may not cancel each other quite as well.
For wide-field applications, the best-form shape is definitely not
the optimum singlet shape, especially at the infinite conjugate ratio,
since it yields maximum field curvature. The ideal shape is determined
by the situation and may require rigorous ray-tracing analysis.
It is possible to achieve much better correction in an optical system by using more than one element. The cases of an infinite
conjugate ratio system and a unit conjugate ratio system are
discussed in the following section.
Material Properties
ABERRATIONS IN MILLIMETERS
5
4
exact longitudinal spherical aberration (LSA)
3
2
Figure 1.23 shows the transverse and longitudinal spherical

aberration of a singlet lens as a function of the shape factor, q. In this
particular instance, the lens has a focal length of 100 mm, operates
at f/5, has an index of refraction of 1.518722 (BK7 at the mercury
green line, 546.1 nm), and is being operated at the infinite conjugate
ratio. It is also assumed that the lens itself is the aperture stop. An
asymmetric shape that corresponds to a q-value of about 0.7426 for
this material and wavelength is the best singlet shape for on-axis
imaging. Best-form shapes are used in Melles Griot laser-line-focusing
singlet lenses. It is important to note that the best-form shape is
dependent on refractive index. For example, with a high-index
material, such as silicon, the best-form lens for the infinite conjugate ratio is a meniscus shape.
At infinite conjugate with a typical glass singlet, the plano-convex

shape (q = 1), with convex side toward the infinite conjugate, performs
nearly as well as the best-form lens. Because a plano-convex lens costs
much less to manufacture than an asymmetric biconvex singlet, these
lenses are quite popular. Furthermore, this lens shape exhibits nearminimum total transverse aberration and near-zero coma when used
off axis, thus enhancing its utility.
Aberrations described in the preceding section are highly

dependent on application, lens shape, and material of the lens (or,
more exactly, its index of refraction). The singlet shape that minimizes
spherical aberration at a given conjugate ratio is called best-form.
The criterion for best-form at any conjugate ratio is that the marginal
rays are equally refracted at each of the lens/air interfaces. This
minimizes the effect of sin v v. It is also the criterion for minimum
surface-reflectance loss. Another benefit is that absolute coma is
nearly minimized for best-form shape, at both infinite and unit
conjugate ratios.
Fundamental Optics
Lens Shape
exact transverse spherical

aberration (TSA)
42
41.5
41
40.5
0.5
1.5
Optical Coatings
SHAPE FACTOR (q)
Figure 1.23 Aberrations of positive singlets at infinite conjugate ratio as a function of shape
1.17
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.18
Lens Combinations
INFINITE CONJUGATE RATIO
As shown in the previous discussion, the best-form singlet lens
for use at infinite conjugate ratios is generally nearly plano-convex. Figure 1.24 shows a plano-convex lens (01 LPX 023) with
incoming collimated light at a wavelength of 546.1 nm. This drawing, including the rays traced through it, is shown to exact scale. The
marginal ray (ray f-number 1.5) strikes the paraxial focal plane significantly off the optical axis.
This situation can be improved by using a two-element system.
The second part of the figure shows a precision achromat (01 LAO 014),
which consists of a positive low-index (crown glass) element cemented
to a negative meniscus high-index (flint glass) element. This is drawn
to the same scale as the plano-convex lens. No spherical aberration
can be discerned in the lens. Of course, not all of the rays pass exactly
through the paraxial focal point; however, in this case, the departure
is measured in micrometers, rather than in millimeters, as in the case
of the plano-convex lens. Additionally, chromatic aberration (not
shown) is much better corrected in the doublet. Even though these
lenses are known as achromatic doublets, it is important to remember
that even with monochromatic light the doublets performance is
superior.
Figure 1.24 also shows the f-number at which singlet performance
becomes unacceptable. The ray with f-number 7.5 practically intercepts the paraxial focal point, and the f/3.8 ray is fairly close. This useful drawing, which can be scaled to fit a plano-convex lens of any focal
length, can be used to estimate the magnitude of its spherical aberration,
although lens thickness affects results slightly.
PLANO-CONVEX LENS
paraxial image plane
ray f-numbers
1.5
1.9
2.5
3.8
7.5
01 LPX 023
ACHROMAT
1.5
1.9
2.5
3.8
7.5
01 LAO 014
Optical Coatings
Material Properties
UNIT CONJUGATE RATIO

Figure 1.25 shows three possible systems for use at the unit
conjugate ratio. All are shown to the same scale and using the
same ray f-numbers with a light wavelength of 546.1 nm. The first
system is a symmetric biconvex lens (01 LDX 027), the best-form
singlet in this application. Clearly, significant spherical aberration
is present in this lens at f/2.7. Not until f/13.3 does the ray closely
approach the paraxial focus.
A dramatic improvement in performance is gained by using two
identical plano-convex lenses with convex surfaces facing and nearly
in contact. Those shown in figure 1.25 are both 01 LPX 081. The combination of these two lenses yields almost exactly the same focal
length as the biconvex lens. To understand why this configuration
improves performance so dramatically, consider that if the biconvex lens were split down the middle, we would have two identical
plano-convex lenses, each working at an infinite conjugate ratio,
but with the convex surface toward the focus. This orientation is
opposite to that shown to be optimum for this shape lens. On the other
hand, if these lenses are reversed, we have the system just described
but with a better correction of the spherical aberration.
1.18
Figure 1.24 Single-element plano-convex lens compared

with a two-element achromat
The previous examples indicate that an achromat is superior in
performance to a singlet when used at the infinite conjugate ratio
and at low f-numbers. Since the unit conjugate case can be thought
of as two lenses, each working at the infinite conjugate ratio, the next
step is to replace the plano-convex singlets with achromats, yielding
a four-element system. The third part of figure 1.25 shows a system
composed of two 01 LAO 037 lenses. Once again, spherical aberration
is not evident, even in the f/2.7 ray.
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.19
Fundamental Optics
SYMMETRIC BICONVEX LENS

2.7
3.3
4.4
6.7
13.3
ray f-numbers
paraxial image plane
01 LDX 027
IDENTICAL PLANO-CONVEX LENSES
2.7
3.3
4.4
6.7
13.3
01 LPX 081
IDENTICAL ACHROMATS
Material Properties
2.7
3.3
4.4
6.7
13.3
01 LAO 037
Optical Coatings
Figure 1.25 Three possible systems for use at the unit conjugate ratio
1.19
Optical Coatings
Material Properties
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.20
Diffraction Effects
In all light beams, some energy is spread outside the region predicted by rectilinear propagation. This effect, known as diffraction, is a fundamental and inescapable physical phenomenon.
Diffraction can be understood by considering the wave nature
of light. Huygens principle (figure 1.26) states that each point on
a propagating wavefront is an emitter of secondary wavelets. The
combined focus of these expanding wavelets forms the propagating
wave. Interference between the secondary wavelets gives rise to a
fringe pattern that rapidly decreases in intensity with increasing
angle from the initial direction of propagation. Huygens principle
nicely describes diffraction, but rigorous explanation demands a
detailed study of wave theory.
Diffraction effects are traditionally classified into either Fresnel
or Fraunhofer types. Fresnel diffraction is primarily concerned
with what happens to light in the immediate neighborhood of a
diffracting object or aperture. It is thus only of concern when the
illumination source is close to this aperture or object. Consequently,
Fresnel diffraction is rarely important in most optical setups.
Fraunhofer diffraction, however, is often very important. This is
the light-spreading effect of an aperture when the aperture (or
object) is illuminated with an infinite source (plane-wave illumination) and the light is sensed at an infinite distance (far-field) from
this aperture.
From these overly simple definitions, one might assume that
Fraunhofer diffraction is important only in optical systems with
infinite conjugate, whereas Fresnel diffraction equations should be
considered at finite conjugate ratios. Not so. A lens or lens system
of finite positive focal length with plane-wave input maps the farfield diffraction pattern of its aperture onto the focal plane; therefore, it is Fraunhofer diffraction that determines the limiting
performance of optical systems. More generally, at any conjugate
ratio, far-field angles are transformed into spatial displacements
in the image plane.
CIRCULAR APERTURE
Fraunhofer diffraction at a circular aperture dictates the
fundamental limits of performance for circular lenses. It is important
to remember that the spot size, caused by diffraction, of a circular
lens is
d = 2.44 l f/#
(1.24)
where d is the diameter of the focused spot produced from planewave illumination and l is the wavelength of light being focused.
Notice that it is the f-number of the lens, not its absolute diameter,
that determines this limiting spot size.
The diffraction pattern resulting from a uniformly illuminated circular aperture actually consists of a central bright region, known as
the Airy disc (see figure 1.27), which is surrounded by a number of much
fainter rings. Each ring is separated by a circle of zero intensity. The
irradiance distribution in this pattern can be described by
2J (x)
Ix = I0 1
x
(1.25)
where I0 = peak irradiance in image
J1 (x) = x
(41) n+1
n=1
x 2n42
(n 4 1)!n!2 2n41
J1 (x) = Bessel function of the first kind of order unity

x =
D
sin v
l
where l = wavelength
D= aperture diameter
v = angular radius from pattern maximum.
This useful formula shows the far-field irradiance distribution from
a uniformly illuminated circular aperture of diameter, D.
some light diffracted

into this region
APPLICATION NOTE
Rayleigh Criterion
In imaging applications, spatial resolution is ultimately
limited by diffraction. Calculating the maximum possible
spatial resolution of an optical system requires an
arbitrary definition of what is meant by resolving two
features. In the Rayleigh criterion, it is assumed that
two separate point sources can be resolved when the
center of the Airy disc from one overlaps the first
dark ring in the diffraction pattern of the second. In
this case, the smallest resolvable distance, d, is
d =
0.61 l
= 1.22 l f/#.
N.A.
secondary
wavelets
wavefront
wavefront
aperture
Figure 1.26 Huygens principle
1.20
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.21
Fundamental Optics
ENERGY DISTRIBUTION TABLE
sin v =
AIRY DISC DIAMETER = 2.44 l f/#
sin v =
SLIT APERTURE
lx
(1.28)
pw
where w is the slit width, p has its usual meaning, and D, w, and l
are all in the same units (preferably millimeters).
Linear instead of angular field positions are simply found from
r = s tan (v)
(1.29)
(1.26)
where s is the secondary conjugate distance. This last result is often

seen in a different form, namely the diffraction-limited spot-size
equation. For a circular lens that was stated at the outset of this
section:
where I 0 = peak irradiance in image

p w sin v
l
d = 2.44 l f/#
where l = wavelength
w = slit width
v = angular deviation from pattern maximum.
(see 1.24)
This value represents the smallest spot size that can be achieved
by an optical system with a circular aperture of a given f-number.
Circular Aperture
Position
(x)
Relative
Intensity
(Ix /I0)
Energy
in Ring
(%)
0.0
1.22p
1.64p
2.23p
2.68p
3.24p
3.70p
4.24p
4.71p
5.24p
1.0
0.0
0.0175
0.0
0.0042
0.0
0.0016
0.0
0.0008
0.0
83.8
7.2
2.8
1.5
1.0
Position
(x)
Relative
Intensity
(Ix /I0)
Energy
in Band
(%)
0.0
1.00p
1.43p
2.00p
2.46p
3.00p
3.47p
4.00p
4.48p
5.00p
1.0
0.0
0.0472
0.0
0.0165
0.0
0.0083
0.0
0.0050
0.0
90.3
4.7
1.7
0.8
0.5
Note: Position variable (x) is defined in the text.
1.21
Optical Coatings
Central Maximum
First Dark
First Bright
Second Dark
Second Bright
Third Dark
Third Bright
Fourth Dark
Fourth Bright
Fifth Dark
Slit Aperture
Material Properties
Energy Distribution in the Diffraction Pattern of a Circular or Slit Aperture
Ring or Band
A slit aperture, which is mathematically simpler, is useful in

relation to cylindrical optical elements. The irradiance distribution
in the diffraction pattern of a uniformly illuminated slit aperture is
described by
x =
(1.27)
pD
where D is the aperture diameter. For a slit aperture, this relationship

is given by
Figure 1.27 Center of a typical diffraction pattern for a

circular aperture
sin x
I x = I0
lx
The table below shows the major features of pure (unaberrated)

Fraunhofer diffraction patterns of circular and slit apertures. The
table shows the position, relative intensity, and percentage of total
pattern energy corresponding to each ring or band. It is especially
convenient to characterize positions in either pattern with the same
variable x. This variable is related to field angle in the circular
aperture case by
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.22
The graph in figure 1.28 shows the form of both circular and slit
aperture diffraction patterns when plotted on the same normalized
scale. Aperture diameter is equal to slit width so that patterns between
x-values and angular deviations in the far-field are the same.
when dealing with Gaussian beams, the location of the focused spot
also departs from that predicted by the paraxial equations given
in this chapter. This is also detailed in chapter 2.
GAUSSIAN BEAMS
Apodization, or nonuniformity of aperture irradiance, alters
diffraction patterns. If pupil irradiance is nonuniform, the formulas and results given previously do not apply. This is important to
remember because most laser-based optical systems do not have
uniform pupil irradiance. The output beam of a laser operating
in the TEM00 mode has a smooth Gaussian irradiance profile.
Formulas to determine the focused spot size from such a beam are
discussed in Chapter 2, Gaussian Beam Optics. Furthermore,
CIRCULAR APERTURE
91.0% within first bright ring
2J1(x)
yc =
83.9% in Airy disc
Material Properties
NORMALIZED PATTERN IRRADIANCE (y)
where J1(x) = x
(41)
n+1
n=1
1.0
.9
.8
.7
.6
.5
.4
.3
.2
.1
x 2n 4 2
(n 4 1)!n!22n 4 1
Note : J1 (x) is the Bessel function

of the first kind of order unity.
x =
slit
aperture
circular
aperture
0.0
48 47 46 45 44 43 42 41 0 1 2 3 4 5 6 7 8
POSITION IN IMAGE PLANE (x)
D sinv
l
l = wavelength
D = aperture diameter
v = angular radius from pattern maximum
2
sin x
p
ys =
, where x = l w sin v
x
l = wavelength
w = slit width
90.3% in
central maximum
v = angular deviation direction of pattern

maximum
Optical Coatings
95.0% within the two

adjoining subsidiary maxima
SLIT APERTURE
Figure 1.28 Fraunhofer diffraction pattern of a singlet slit superimposed on the Fraunhofer diffraction pattern of a
circular aperture
1.22
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.23
Having discussed the most important factors that affect a lens or

a lens systems performance, we will now address the practical matter
of selecting the optimum catalog components for a particular task.
The following useful relationships are important to keep in mind
throughout the selection process:
While angular divergence decreases with increasing focal length,

spherical aberration of a plano-convex lens increases with increasing
focal length. To determine the appropriate focal length, set the
spherical aberration formula for a plano-convex lens equal to the
source (spot) size:
Fundamental Optics
Lens Selection
$ Diffraction-limited spot size = 2.44 f/#
NA
0.067 f
f/# 3
(see eq. 1.22)
= 1 mm.
0.067 f
f/#3
This ensures a lens that meets the minimum performance needed.
Produce a collimated beam from a quartz halogen bulb having

a 1-mm-square filament. Collect the maximum amount of light
possible and produce a beam with the lowest possible divergence
angle.
In this example, we will accept f/2 collection efficiency, which gives

us a focal length of about 120 mm. For f/2 operation we would
need a minimum diameter of 60 mm. The 01 LPX 209 fits this
specification exactly. Beam divergence would be about 8 mrad.
This problem, illustrated in figure 1.29, involves the typical tradeoff between light-collection efficiency and resolution (where a beam
is being collimated rather than focused, resolution is defined by beam
divergence). To collect more light, it is necessary to work at a low
f-number, but because of aberrations, higher resolution (lower divergence angle) will be achieved by working at a higher f-number.
Finally, we need to verify that we are not operating below the

theoretical diffraction limit. In this example, the numbers (1-mm
spot size) indicate that we are not, since
In terms of resolution, the first thing to realize is that the

minimum divergence angle (in radians) that can be achieved using
any lens system is the source size divided by system focal length. An
off-axis ray (from the edge of the source) entering the first principal
point of the system exits the second principal point at the same
angle. Therefore, increasing system focal length improves this limiting divergence because the source appears smaller.
Example 2: Coupling an Incandescent Source into a Fiber
NA"
On pages 1.6 and 1.7 we considered a system in which the output

of an incandescent bulb with a filament of 1 mm in diameter was
to be coupled into an optical fiber with a core diameter of 100 m
and a numerical aperture of 0.25. From the optical invariant and
other constraints given in the problem, we determined that system
focal length is 9.1 mm, diameter = 5 mm, s = 100 mm, s = 10 mm,
NA = 0.25, and NA = 0.025 (or f/2 and f/20). The singlet lenses
that match these specifications are the plano-convex 01 LPX 003
or biconvex lenses 01 LDX 003 and 01 LDX 005. The closest
achromat would be the 01 LAO 001.
Material Properties
An optic that can produce a spot size of 1 mm when focusing a

perfectly collimated beam is therefore required. Since source size is
inherently limited, it is pointless to strive for better resolution. This
level of resolution can be achieved easily with a plano-convex lens.
diffraction-limited spot size = 2.44 ! 0.5 mm ! 2 = 2.44 mm.
Example 1: Collimating an Incandescent Source
To select a focal length, make an arbitrary f-number choice. As

can be seen from the relationship, as we lower the f-number (increase
collection efficiency), we decrease the focal length, which will worsen
the resultant divergence angle (minimum divergence = 1 mm/f).
$ Optical invariant = m =
$ Approximate on-axis spot size

of a plano-convex lens at the infinite
conjugate resulting from spherical aberration =
v min
v min = source size
f
Optical Coatings
Figure 1.29 Collimating an incandescent source
1.23
Fundamental Optics
Chpt. 1 Final
9/2/99
Page 1.24
We can immediately reject the biconvex lenses because of

spherical aberration. We can estimate the performance of the
01 LPX 003 on the focusing side by using our spherical aberration
formula:
spot size =
4:11 PM
0.067 (10)
23
0.067 f
3.3 3
= 0.008 mm.
= 84 mm.
We will ignore, for the moment, that we are not working at the
infinite conjugate.
This is slightly smaller than the 100-m spot size were trying
to achieve. However, since we are not working at infinite conjugate, the spot size will be larger than given by our simple calculation. This lens is therefore likely to be marginal in this situation,
especially if we consider chromatic aberration. A better choice is the
achromat. Although a computer ray trace would be required to
determine its exact performance, it is virtually certain to provide adequate performance.
Example 3: Symmetric Fiber-to-Fiber Coupling
Couple an optical fiber with an 8-m core and a 0.15 numerical
aperture into another fiber with the same characteristics. Assume
a wavelength of 0.5 m.
This problem, illustrated in figure 1.30, is essentially a 1:1 imaging
situation. We want to collect and focus at a numerical aperture of
0.15 or f/3.3, and we need a lens with an 8-m spot size at this
f-number. Based on the lens combination discussion on page 1.8,
our most likely setup is either a pair of identical plano-convex lenses
or achromats, faced front to front. To determine the necessary focal
This formula yields a focal length of 4.3 mm and a minimum

diameter of 1.3 mm. The 01 LPX 423 meets these criteria. The
biggest problem with utilizing these tiny, short focal length lenses
is the practical considerations of handling, mounting, and positioning them. Since using a pair of longer focal length singlets would
result in unacceptable performance, the next step might be to
use a pair of the slightly longer focal length, larger achromats,
such as the 01 LAO 001. The performance data, given on page 1.26,
shows that this combination does provide the required 8-mm spot
diameter.
Because fairly small spot sizes are being considered here, it is
important to make sure that the system is not being asked to work
below the diffraction limit:
2.44 ! 0.5 mm ! 3.3 = 4 mm .
Since this is half the spot size caused by aberrations, it can be
safely assumed that diffraction will not play a significant role here.
An entirely different approach to a fiber-coupling task such as
this would be a pair of spherical ball lenses (06 LMS series), listed
on page 15.15, or one of the gradient-index lenses (06 LGT series),
listed on page 15.19.
Material Properties
length for a plano-convex lens, we again use the spherical aberration estimate formula:
Optical Coatings
s=f
s"= f
Figure 1.30 Symmetric fiber-to-fiber coupling
1.24
Chpt. 1 Final
9/2/99
4:11 PM
Page 1.25
Fundamental Optics
Example 4: Diffraction-Limited Performance

Determine at what f-number a plano-convex lens being used at
an infinite conjugate ratio with 0.5-mm wavelength light becomes
diffraction limited (i.e., the effects of diffraction exceed those caused
by aberration).
2.44 ! 0.5 mm ! f/# =
0.067 ! f
f/#
or
f/# = (54.9 ! f)1/4 .
Spot size
Prescription information
Wavefront distortion.
Please contact our sales department for your free
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Non-US customers should contact the nearest
Melles Griot office (see back cover).
When working with these focal lengths (and under the conditions
previously stated), we can assume essentially diffraction-limited
performance above these f-numbers. Keep in mind, however, that
this treatment does not take into account manufacturing tolerances
or chromatic aberration, which will be present in polychromatic
applications.
A database containing prescription information

for most of the optical components listed in this
catalog is included in the Melles Griot catalog on
CD-ROM. This database, in a Zemax format,
facilitates the determination of
To solve this problem, set the equations for diffraction-limited spot

size and third-order spherical aberration equal to each other. The
result depends upon focal length, since aberrations scale with focal
length, while diffraction is solely dependent upon f-number. Substituting some common focal lengths into this formula, we get f/8.6
at f = 100 mm, f/7.2 at f = 50 mm, and f/4.8 at f = 10 mm.
MELLES GRIOT LENS DATABASE
Material Properties
Optical Coatings
1.25
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.26
Spot Size
In general, the performance of a lens or lens system in a specific
circumstance should be determined by an exact trigonometric ray
trace. Melles Griot applications engineers can supply ray-trace
data for particular lenses and systems of catalog components on
request. However, for certain situations, some simple guidelines
can be used for lens selection. The optimum working conditions
for some of the lenses in this catalog have already been presented.
The following tables give some quantitative results for a variety
of simple and compound lens systems that can be constructed
from standard catalog optics.
In interpreting these tables, remember that these theoretical values obtained from computer ray tracing consider only the effects
of ideal geometric optics. Effects of manufacturing tolerances have
not been considered. Furthermore, remember that using more than
one element provides a higher degree of correction but makes
alignment more difficult. When actually choosing a lens or a lens
system, it is important to note the tolerances and specifications
clearly described for each Melles Griot lens in the product listings.
The effect on spot size caused by spherical aberration is strongly

dependent on f-number. For a plano-convex singlet, spherical
aberration is inversely dependent on the cube of the f-number. For
doublets, this relationship can be even higher. On the other hand,
the spot size caused by diffraction increases linearly with f-number.
Thus, for some lens types, spot size at first decreases and then
increases with f-number, meaning that there is some optimum
performance point where both aberrations and diffraction combine
to form a minimum.
Unfortunately, these results cannot be generalized to situations
where the lenses are used off axis. This is particularly true of the
achromat/aplanatic meniscus lens combinations because their
performance degrades rapidly off axis.
The tables give spot size for a variety of lenses used at several different f-numbers. All the tables are for on-axis, uniformly illuminated,
collimated input light at 632.8 nm. They assume that the lens is
facing in the direction that produces a minimum spot size. When
the spot size caused by aberrations is smaller or equal to the
diffraction-limited spot size, the notation DL appears next to
the entry. The shorter focal length lenses produce smaller spot sizes
because aberrations increase linearly as a lens is scaled up.
Focal Length = 10 mm
Spot Size (m)*
Spot Size (m)*
Material Properties
01 LDX 005
f/2
f/3
f/5
f/10
01 LPX 005
550
120
30
15 (DL)
95
25
8 (DL)
15 (DL)
01 LPX 049
01 LAO 024
01 LAO 059 &

01 LAM 059
350
90
17
15 (DL)
80
11
8 (DL)
15 (DL)
4
5 (DL)
8 (DL)
15 (DL)
01 LAO 001
4
5 (DL)
8 (DL)
15 (DL)
f/2
f/3
f/5
f/10
*Diffraction-limited performance is indicated by DL.
Spot Size (m)*
Optical Coatings
f/2
f/3
f/5
f/10
01 LDX 123
01 LPX 127
01 LAO 079
01 LAO 126 & 01 LAM 126
800
225
42
15 (DL)
600
200
30
15 (DL)
80
35
9
15 (DL)
6
5 (DL)
8 (DL)
15 (DL)
1.26
Chpt. 1 Final
9/2/99
4:09 PM
Page 1.27
To improve system performance, optical designers make sure

that the total aberration contribution from all surfaces taken together
sums to nearly zero. Normally, such a process requires computerized analysis and optimization. However, there are some simple
guidelines that can be used to achieve this with lenses available in
this catalog. This approach can yield systems that operate at a much
lower f-number than can usually be achieved with simple lenses.
A two-element laser beam expander is a good starting example. In this case, two lenses are separated by a distance which is the
sum of their focal lengths, so that the overall system focal length is
infinite. This system will not focus incoming collimated light, but
it will change the beam diameter. By definition, each of the lenses
is operating at the same f-number.
The equation for longitudinal spherical aberration shows that
for two lenses with the same f-number, aberration varies directly with
the focal lengths of the lenses. The sign of the aberration is the same
as focal length. Thus, it should be possible to correct the spherical
LSA =
0.272 f1
f/# 2
1.069 f 2
f/# 2
(1.30)
After setting this equal to zero, we obtain

f1
1.069
=4
= 43.93.
f2
0.272
To make the magnitude of aberration contributions of the two
elements equal so they will cancel out, and thus correct the system,
select the focal length of the positive element to be 3.93 times that
of the negative element.
Figure 1.32 shows a beam-expander system made up of catalog
elements, in which the focal length ratio is 4:1. This simple system is
corrected to about 1/6 wavelength at 632.8 nm, even though the objective is operating at f/4 with a 20-mm aperture diameter. This is remarkably good wavefront correction for such a simple system; one would
normally assume that a doublet objective would be needed and a
complex diverging lens as well. This analysis does not take into
account manufacturing tolerances.
A beam expander of lower magnification can also be derived
from this information. If a symmetric-convex objective is used
together with a reversed plano-concave diverging lens, the aberration
coefficients are in the ratio of 1.069/40.403 = 42.65. Figure 1.32
shows a system of catalog lenses that provides a magnification of
Material Properties
positive lenses
plano-convex (reversed) 01 LPX
symmetric-convex 01 LDX
plano-convex (normal) 01 LPX
plano-concave (reversed) 01 LPK
symmetric-concave 01 LDK
plano-concave (normal) 01 LPK
1.069
0.403
0.272
Figure 1.31 shows the third-order longitudinal spherical

aberration coefficients for four of the most common positive and
negative lens shapes when used with parallel, monochromatic
incident light. The plano-convex and plano-concave lenses both
show minimum spherical aberration when oriented with their curved
surface facing the incident parallel beam. All other configurations
exhibit larger amounts of spherical aberration. With these lens types,
it is now possible to show how various systems can be corrected for
spherical aberration.
If a plano-convex lens of focal length f1 oriented in the normal

direction is combined with a plano-concave lens of focal length f2
oriented in its reverse direction, the total spherical aberration of
the system is
Specifically, we will examine how to null the spherical aberration

from two or more lenses in collimated, monochromatic light. Thus,
this technique will be most useful for laser beam focusing and
expanding.
aberration of this Galilean-type beam expander, which consists of

a positive focal length objective and a negative diverging lens.
Fundamental Optics
Aberration Balancing
negative lenses
longitudinal spherical aberration (3rd order) = kf2

f/#
Optical Coatings
aberration
coefficient
(k)
Figure 1.31 Third-order longitudinal spherical aberration of typical lens shapes
1.27
7/30/99
2:39 PM
Page 1.28
Fundamental Optics
Chpt. 1 Final
a) CORRECTED 4!BEAM EXPANDER
f= 420 mm
10-mm diameter
plano-concave
01 LPK 001
f= 80 mm
22.4-mm diameter
plano-convex
01 LPX 149
2.7 (the closest possible given the available focal lengths). The
maximum wavefront error in this case is only 1/4 wave, even though
the objective is working at f/3.3.
The relatively fast speed of these objectives is a great advantage
in minimizing the length of these beam expanders. They would be
particularly useful with Nd:YAG and argon-ion lasers, which tend
to have large output beam diameters.
These same principles can be utilized to create high numerical
aperture objectives that might be used as laser focusing lenses.
Figure 1.32 shows an objective consisting of an initial negative
element, followed by two identical plano-convex positive elements.
Again, all of the elements operate at the same f-number, so that
their aberration contributions are proportional to their focal lengths.
To obtain zero total spherical aberration from this configuration,
we must satisfy
1.069 f1 + 0.272 f 2 + 0.272 f 2 = 0
b) CORRECTED 2.7x BEAM EXPANDER
or
f1
= 40.51.
f2
f= 420 mm
10-mm diameter
plano-concave
01 LPK 001
f= 54 mm
32-mm diameter
symmetric-convex
01 LDX 119
Therefore, a corrected system should result if the focal length of

the negative element is just about half that of each of the positive
lenses. In this case, f1 = 425 mm and f2 = 50 mm yield a total system
focal length of about 25 mm and an f-number of approximately
f/2. This objective, corrected to 1/6 wave, has the additional advantage of a very long working distance.
UV OPTICS
Material Properties
c) SPHERICALLY CORRECTED 25-mm EFL f/2.0 OBJECTIVE
f= 425 mm
25-mm diameter
plano-concave
01 LPK 003
f= 50 mm (2)
27-mm diameter
plano-convex
01 LPX 108
Optical Coatings
Figure 1.32 Combining catalog lenses for aberration

balancing
The material presented in this section is based on the work of John

F. Forkner.
1.28
Melles Griot now offers a selection of UV optics

ranging from 193 to 355 nm. See Chapter 16,
UV Optics, for details.
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.29
Fundamental Optics
Definition of Terms
FOCAL LENGTH (f)
FOCAL POINT (F OR F)
Two distinct terms describe the focal lengths associated with

every lens or lens system. The effective focal length (EFL) or
equivalent focal length (denoted f in figure 1.33) determines
magnification and hence the image size. The term f appears
frequently in the lens formulas and tables of standard lenses.
Unfortunately, f is measured with reference to principal points
which are usually inside the lens so the meaning of f is not
immediately apparent when a lens is visually inspected.
Rays that pass through or originate at either focal point must be,
on the opposite side of the lens, parallel to the optical axis. This
fact is the basis for locating both focal points.
PRIMARY PRINCIPAL SURFACE
The second type of focal length relates the focal plane positions
directly to landmarks on the lens surfaces (namely the vertices)
which are immediately recognizable. It is not simply related to image
size but is especially convenient for use when one is concerned about
correct lens positioning or mechanical clearances. Examples of this
second type of focal length are the front focal length (FFL, denoted
ff in figure 1.33) and the back focal length (BFL, denoted fb).
To locate this unique surface, consider a single ray traced from

the air on one side of the lens, through the lens and into the air on
the other side. The ray is broken into three segments by the lens.
Two of these are external (in the air), and the third is internal (in
the glass). The external segments can be extended to a common
point of intersection (certainly near, and usually within, the lens). The
The convention in all of the figures (with the exception of a single

deliberately reversed ray) is that light travels from left to right.
primary principal point
tc
secondary principal surface

secondary principal point
te
primary principal surface

rear (secondary)
focal point
ray from object at infinity

ray from object at infinity
primary vertex A1
optical axis
F
r2
H
front (primary)
focal point
r1
A2 secondary vertex
A
f
B
f
B = rear edge to rear

focus distance
Material Properties
ff
reversed ray locates front focal

point or primary principal surface
fb
front focal point
A = front focus to front

edge distance
rear focal point
= effective focal length;

may be positive (as shown)
or negative
ff = front focal length

fb = back focal length
te = edge thickness
tc = center thickness
r1 = radius of curvature of first

surface (positive if center of
curvature is to right)
1.29
Optical Coatings
r2 = radius of curvature of second

surface (negative if center of
curvature is to left)
Figure 1.33 Focal length and focal points
Let us imagine that rays originating at the front focal point F (and
therefore parallel to the optical axis after emergence from the opposite side of the lens) are singly refracted at some imaginary surface,
instead of twice refracted (once at each lens surface) as actually
happens. There is a unique imaginary surface, called the principal
surface, at which this can happen.
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.30
principal surface is the locus of all such points of intersection of

extended external ray segments. The principal surface of a perfectly
corrected optical system is a sphere centered on the focal point.
Near the optical axis, the principal surface is nearly flat, and
for this reason, it is sometimes referred to as the principal plane.
BACK FOCAL LENGTH (fb)

This length is the distance from the secondary vertex (A2) to
the rear focal point (F ).
EDGE-TO-FOCUS DISTANCES (A AND B)
SECONDARY PRINCIPAL SURFACE

This term is defined analogously to the primary principal surface,
but it is used for a collimated beam incident from the left and focused
to the rear focal point F on the right. Rays in that part of the
beam nearest the axis can be thought of as once refracted at the
secondary principal surface, instead of being refracted by both lens
surfaces.
PRIMARY PRINCIPAL POINT (H)
OR FIRST NODAL POINT
This point is the intersection of the primary principal surface with

the optical axis.
Material Properties
REAL IMAGE
A real image is one in which the light rays actually converge;
if a screen were placed at the point of focus, an image would be
formed on it.
VIRTUAL IMAGE
SECONDARY PRINCIPAL POINT (H)

OR SECONDARY NODAL POINT
A virtual image does not represent an actual convergence of light

rays. A virtual image can be viewed only by looking back through
the optical system, such as in the case of a magnifying glass.
This point is the intersection of the secondary principal surface

with the optical axis.
F-NUMBER (F/#)
CONJUGATE DISTANCES (S AND S)

The conjugate distances are the object distance, s, and image
distance, s. Specifically, s is the distance from the object to H, and
s is the distance from H to the image location. The term infinite
conjugate ratio refers to the situation in which a lens is either focusing
incoming collimated light, or being used to collimate a source (therefore either s or s is infinity).
PRIMARY VERTEX (A1)
The primary vertex is the intersection of the primary lens surface
with the optical axis.
SECONDARY VERTEX (A2)
The secondary vertex is the intersection of the secondary lens
surface with the optical axis.
EFFECTIVE FOCAL LENGTH (EFL, f)
Assuming that the lens is surrounded by air or vacuum (refractive
index 1.0), this is both the distance from the front focal point (F) to the
primary principal point (H) and the distance from the secondary principal point (H) to the rear focal point (F). Later we use f to designate
the paraxial effective focal length for the design wavelength (0).
Optical Coatings
A is the distance from the front focal point to the front edge of
the lens. B is the distance from the rear edge of the lens to the rear
focal point. Both distances are presumed always to be positive.
FRONT FOCAL LENGTH (ff)

This length is the distance from the front focal point (F) to the
primary vertex (A1).
1.30
The f-number (also known as the focal ratio, relative aperture,

or speed) of a lens system is defined to be the effective focal length
divided by system clear aperture. Ray f-number is the conjugate
distance for that ray divided by the height at which it intercepts the
principal surface.
f /# =
f
.
NUMERICAL APERTURE (NA)

The numerical aperture of a lens system is defined to be the sine
of the angle, v1, that the marginal ray (the ray that exits the lens
system at its outer edge) makes with the optical axis multiplied by
the index of refraction (n) of the medium. The numerical aperture
can be defined for any ray as the sine of the angle made by that ray
with the optical axis multiplied by the index of refraction:
NA = n sin v.
(1.31)
MAGNIFICATION POWER
Often, positive lenses intended for use as simple magnifiers are
rated with a single magnification, such as 4#. To create a virtual
image for viewing with the human eye, in principle, any positive
lens can be used at an infinite number of possible magnifications.
However, there is usually a narrow range of magnifications that
will be comfortable for the viewer. Typically, when the viewer adjusts
the object distance so that the image appears to be essentially at
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.31
magnification =
250 mm
f
(f in mm).
(1.32)
Thus, a 25-mm focal length positive lens would be a 10! magnifier.
Diopter is a term used to define the reciprocal of the focal length,

which is commonly used for ophthalmic lenses. The inverse focal
length of a lens expressed in diopters is
diopters =
1000
f
(f in mm).
(1.33)
Thus, the smaller the focal length, the larger the power in diopters.
DEPTH OF FIELD AND DEPTH OF FOCUS
APPLICATION NOTE
Technical Reference
For further reading about the definitions and
formulas presented here, refer to the following
publications:
DIOPTERS
Fundamental Optics
infinity (which is a comfortable viewing distance for most individuals), magnification is given by the relationship
Rudolph Kingslake, Lens Design Fundamentals

(Academic Press)
Rudolph Kingslake, Optical System Design
(Academic Press)
Warren Smith, Modern Optical Engineering
(McGraw Hill).
If you need help with the use of definitions and
formulas presented in this catalog, our applications
engineers will be pleased to assist you.
In an imaging system, depth of field refers to the distance in

object space over which the system delivers an acceptably sharp
image. The criteria for what is acceptably sharp is arbitrarily chosen
by the user; depth of field increases with increasing f-number.
For an imaging system, depth of focus is the range in image
space over which the system delivers an acceptably sharp image. In
other words, this is the amount that the image surface (such as a
screen or piece of photographic film) could be moved while maintaining acceptable focus. Again, criteria for acceptability are defined
arbitrarily.
In nonimaging applications, such as laser focusing, depth of
focus refers to the range in image space over which the focused
spot diameter remains below an arbitrary limit.
Material Properties
Optical Coatings
1.31
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.32
Paraxial Lens Formulas

PARAXIAL FORMULAS FOR LENSES IN AIR
The following formulas are based on the behavior of paraxial
rays, which are always very close and nearly parallel to the optical
axis. In this region, lens surfaces are always very nearly normal to
the optical axis, and hence all angles of incidence and refraction
are small. As a result, the sines of the angles of incidence and
refraction are small (as used in Snells law) and can be approximated
by the angles themselves (measured in radians).
The paraxial formulas do not include effects of spherical
aberration experienced by a marginal ray a ray passing through
the lens near its edge or margin. All effective focal length values (f)
tabulated in this catalog are paraxial values which correspond to the
paraxial formulas.
The following paraxial formulas are valid for both thick and
thin lenses unless otherwise noted. The refractive index of the lens
glass, n, is the ratio of the speed of light in vacuum to the speed of
light in the lens glass. All other variables are defined in figure 1.33.
Surface Sagitta and Radius of Curvature

(refer to figure 1.34)
d
r 2 = (r 4 s) 2 +
2
d
s = r4 r2 4
2
r =
1
1
(n 4 1) 2 t c
= (n 4 1) 4 +
f
r2
n
r1 r2
r1
Material Properties
1
1
1
= (n 4 1) 4 .
f
r2
r1
(1.35)
> 0
s
d2
.
+
2
8s
(1.37)
(1.38)
Symmetric Lens Radii (r2 = 5r1)

With center thickness constrained,
ft c
2
r1 = (n 4 1) f f 4
n
tc
= (n 4 1) f 1 + 1 4
nf
(1.34)
where n is the refractive index, tc is the center thickness, and the

sign convention previously given for the radii r1 and r2 applies. For
thin lenses, tc 0, and for plano lenses either r1 or r2 is infinite. In
either case the second term of the above equation vanishes, and we
are left with the familiar Lens Makers formula
(1.36)
An often useful approximation is to neglect s/2.
Focal Length
1
(1.39)
where, in the first form, the + sign is chosen for the square root if f is
positive, but the 4 sign must be used if f is negative. In the second
form, the + sign must be used regardless of the sign of f. With edge
thickness constrained, the equation for r1 becomes transcendental:
1
f
2 (n41)
r1
f
(n41) 2
t c + 2r1 14 cos arcsin
2r1
nr12
(1.40)
where is the lens diameter. This equation can be solved by numerical

methods.
s>0
Plano Lens Radius

Since r2 is infinite,
r>
d
2
r1 = (n 4 1) f.
(1.41)
Principal-Point Locations (signed distances from vertices)
Optical Coatings
(r4s)
A 2 H =
A1 H =
Figure 1.34 Surface sagitta and radius of curvature
1.32
4r2 t c
n (r2 4 r1 ) + t c (n 4 1)
4r1 t c
n (r2 4 r1 ) + t c (n 4 1)
(1.42)
(1.43)
where the above sign convention applies.
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.33
f b = f" + A 2 H
A1 H = 4A 2 H
=
r1 t c
.
2nr1 4 t c (n 4 1)
Fundamental Optics
Back Focal Length
For symmetric lenses (r2 = 4r1),
= f "4
(1.44)
where the sign convention presented above applies to A2H and to

the radii. If r2 is infinite, lHpitals rule from calculus must be used,
whereby
f b = f "4
A1 H = 0
(1.49)
tc
n
(1.50)
(1.50)
and
A 2 H = 4
tc
.
n
(1.45)
(1.51)
f f = f 4 A1 H
For flat plates, by letting r1 in a symmetric lens, we obtain

A1H = A2H = tc /2n. These results are useful in connection with
the following paraxial lens combination formulas.
Hiatus or Interstitium (principal-point separation)
(1.46)
= f+
r1 t c
n(r2 4 r1 ) + t c (n 4 1)
where the sign convention presented above applies to A1H and to

the radii. If r1 is infinite, lHpitals rule from calculus must be used,
whereby
ff = f 4
tc
.
n
(1.52)
Edge-to-Focus Distances
which, in the thin-lens approximation (exact for plano lenses),
becomes
1
HH = t c 1 4 .
(1.54)
B = fb + s 2
where s1 and s2 are the sagittas of the first and second surfaces.
Bevel is neglected.
Magnification or Conjugate Ratio
m =
Q = 2p (14 cos v )
(1.48)
where this result is in steradians, and where

f
v = arctan
2 s
f
s4 f
s 4 f
=
.
f
=
(1.55)
PARAXIAL FORMULAS FOR

LENSES IN ARBITRARY MEDIA
These formulas allow for the possibility of distinct and completely
arbitrary refractive indices for the object space medium (refractive
index n), lens (refractive index n), and image space medium (refractive
index n). In this situation, the effective focal length assumes two
distinct values, namely f in object space and f in image space. It is
also necessary to distinguish the principal points from the nodal
points. The lens serves both as a lens and as a window separating
the object space and image space media.
1.33
Optical Coatings
is the apparent angular radius of the lens clear aperture. For an

observer at an on-axis object point, use s instead of s. To convert
from steradians to the more intuitive sphere units, simply divide
Q by 4p. If the Abb sine condition is known to apply, may
be calculated using the arc sine function instead of the arc
tangent.
s
s
Material Properties
The solid angle subtended by a lens, for an observer situated at an

on-axis image point, is
(1.53)
A = f f + s1
and
(1.47)
Solid Angle
v
= 4p sin 2
2
For positive lenses,
f 1
(n 4 1) 2 t c
4
HH = t c 1 4
n f
n
r1 r2
Front Focal Length
If either r1 or r2 is infinite, lHpitals rule from calculus must be used.

Thus, referring to page 1.27, for plano-convex lenses in the correct
orientation,
r2 t c
n(r2 4 r1 ) + t c (n 4 1)
Fundamental Optics
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.34
The situation of a lens immersed in a homogenous fluid (figure 1.35) is included as a special case (n = n). This case is of
considerable practical importance. The two values f and f are again
equal, so that the lens-combination formulas are applicable to
systems immersed in a common fluid. The general case (two different
fluids) is more difficult, and it must be approached by ray tracing on
a surface-by-surface basis.
LENS CONSTANT (k)
t (n 4 n)(n 4 n )
n 4n
n 4 n
4 c
.
+
r1
r2
n r1 r2
(1.56)
Effective Focal Lengths
n
f =
k
(1.57)
Lens Formula (Gaussian form)

n
n
+
= k.
s
s
(1.58)
(1.59)
4n t c n 4 n
.
k
n r1
(1.61)
ns
.
ks 4 n
(1.62)
Second Principal-Point-to-Image Distance

s =
n s
.
ks 4 n
(1.63)
Magnification
ns
.
n s
(1.64)
Lens Makers Formula

n
n
=
= k.
f
f
(1.65)
(1.66)
= A1 H+ HN
A 2 N = A 2 H + H N .
(1.67)
index n"= 1.333 (water)
index n = 1 (air or vacuum)
f
ff
fb
A1
F
(1.60)
Object-to-First-Principal-Point Distance
A1N
nn
Material Properties
nt c n 4 n
k n r2
Nodal-Point Locations
Lens Formula (Newtonian form)
k2
where x = s4f and x = s4f .
Optical Coatings
A 2 H =
m =
n
f =
.
k
xx = ff =
A1 H =
s =
This number appears frequently in the following formulas. It is

an explicit function of the complete lens prescription (both radii,
tc and n ) and both media indices (n and n). This dependence is
implicit anywhere that k appears.
k =
A2
H H
N N
index n = 1.51872 (BK7)
Figure 1.35 Symmetric lens with disparate object and image space indices
1.34
Chpt. 1 Final
7/30/99
2:39 PM
Page 1.35
Fundamental Optics
Separation of Nodal Point

from Corresponding Principal Point
APPLICATION NOTE
HN = HN = (n4n)/k, positive for N to right of H

and N to right of H.
For Quick Approximations
Back Focal Length

(see eq. 1.49)
Front Focal Length

f f = f 4 A1 H.
(see eq. 1.51)
Focal Ratios
The focal ratios are f/f and f /f, where f is the diameter of the
clear aperture of the lens.
APPLICATION NOTE
Numerical Apertures
Physical Significance of the Nodal Points
n sin v
n sin v"
f
where v" = arcsin
.
2s
Solid Angles (in steradians)
(see eq.1.48)
v
= 4p sin 2
2
Material Properties
f
where v = arctan
2s
A ray directed at the primary nodal point N of a lens

appears to emerge from the secondary nodal point
N without change of direction. Conversely, a ray
directed at N appears to emerge from N without
change of direction. At the infinite conjugate ratio,
if a lens is rotated about a rotational axis orthogonal
to the optical axis at the secondary nodal point
(i.e., if N is the center of rotation), the image
remains stationary during the rotation. This fact
is the basis for the nodal slide method for measuring
nodal-point location. The nodal points coincide with
their corresponding principal points when the image
space and object space refractive indices are equal (n
= n). This makes the nodal slide method the most
precise method of principal-point location.
QQ == 2p
(14
4 cos
cos vv)
2p (1
)
v
= 4p sin 2
2
f
where v = arcsin
2s
and
Q = 2p (1 4 cos v )
f b = f + A 2 H .
Much time and effort can be saved by ignoring the

differences among f, fb, and ff in these formulas
(assume f = fb = ff) by thinking of s as the lens-toobject distance, by thinking of s as the lens-to-image
distance, and by thinking of the sum of conjugate
distances s + s as being the object-to-image distance.
This is known as the thin-lens approximation.
(1.68)
f
where v = arctan
.
2s
To convert from steradians to spheres, simply divide by 4p.
Optical Coatings
1.35
7/30/99
2:39 PM
Page 1.36
Figure 1.36 indicates approximately where the principal points fall
in relation to the lens surfaces for various standard lens shapes. The
exact positions depend on the index of refraction of the lens material, and on the lens radii, and can be found by formula. In extreme
meniscus lens shapes (short radii or steep curves), it is possible that
Fundamental Optics
Chpt. 1 Final
both principal points will fall outside the lens boundaries. For
symmetric lenses, the principal points divide that part of the optical
axis between the vertices into three approximately equal segments.
For plano lenses, one principal point is at the curved vertex, and the
other is approximately one-third of the way to the plane vertex.
F
H
F
H
F
H
Material Properties
Optical Coatings
F
H
Figure 1.36 Principal points of common lenses
1.36
Chpt. 2 Final
7/30/99
4:59 PM
Page 2.1
Fundamental Optics
2.2
Transformation and Magnification by Simple Lenses
2.6
Lens Selection
2.10
Introduction to Gaussian Beam Optics
Material Properties
Optical Coatings
2.1
7/30/99
4:59 PM
Page 2.2
Introduction to Gaussian Beam Optics

In most laser applications it is necessary to focus, modify, or
shape the laser beam by using lenses and other optical elements. In
general, laser-beam propagation can be approximated by assuming that the laser beam has an ideal Gaussian intensity profile,
corresponding to the theoretical TEM00 mode. Coherent Gaussian
beams have peculiar transformation properties that require special
consideration. In order to select the best optics for a particular laser
application, it is important to understand the basic properties of
Gaussian beams. Unfortunately, the output from real-life lasers is
not truly Gaussian (although helium neon lasers and argon-ion
lasers are a very close approximation). To accommodate this variance,
a quality factor, M2 (called the M-square factor), has been defined
to describe the deviation of the laser beam from a theoretical
Gaussian. For a theoretical Gaussian, M2=1; for a real laser beam,
M2>1. Helium neon lasers typically have an M2 factor that is less
than 1.1. For ion lasers, the M2 factor is typically between 1.1 and
1.3. Collimated TEM00 diode laser beams usually have an M2 factor
ranging from 1.1 to 1.7. For high-energy multimode lasers, the M2
factor can be as high as 3 or 4. In all cases, the M2 factor, which
varies significantly, affects the characteristics of a laser beam and
cannot be neglected in optical designs.
In the following discussion, we will first treat the characteristics
of a theoretical Gaussian beam (M2 = 1) and then show how these
characteristics change as the beam deviates from the theoretical. In
all cases, a circularly symmetric wavefront is assumed, as would be
the case for a helium neon laser or an argon-ion laser. Diode laser
beams are asymmetric and often astigmatic, which causes their
transformation to be more complex.
Although in some respects component design and tolerancing
for lasers are more critical than they are for conventional optical
components, the designs often tend to be simpler since many of
the constants associated with imaging systems are not present. For
instance, laser beams are nearly always used on axis, which eliminates
the need to correct asymmetric aberration. Chromatic aberrations
are of no concern in single-wavelength lasers, although they are
critical for some tunable and multiline laser applications. In fact, the
only significant aberration in most single-wavelength applications
is primary (third-order) spherical aberration.
Optical Coatings
Scatter from surface defects, inclusions, dust, or damaged coatings is of greater concern in laser-based systems than in incoherent
systems. Speckle content arising from surface texture and beam
coherence can limit system performance.
Because laser light is generated coherently, it is not subject to
some of the limitations normally associated with incoherent sources.
All parts of the wavefront act as if they originate from the same
point, and consequently the emergent wavefront can be precisely
defined. Starting out with a well-defined wavefront permits more
precise focusing and control of the beam than would otherwise be
possible.
2.2
In order to gain an appreciation of the principles and limitations

of Gaussian beam optics, it is necessary to understand the nature of
the laser output beam. In TEM00 mode, the beam emitted from a laser
is a perfect plane wave with a Gaussian transverse irradiance profile
as shown in figure 2.1. The Gaussian shape is truncated at some
diameter either by the internal dimensions of the laser or by some
limiting aperture in the optical train. To specify and discuss propagation characteristics of a laser beam, we must define its diameter
in some way. The commonly adopted definition is the diameter at
which the beam irradiance (intensity) has fallen to 1/e2 (13.5%) of its
peak, or axial, value.
BEAM WAIST AND DIVERGENCE
Diffraction causes light waves to spread transversely as they
propagate, and it is therefore impossible to have a perfectly collimated
beam. The spreading of a laser beam is in precise accord with the
predictions of pure diffraction theory; aberration is totally insignificant in the present context. Under quite ordinary circumstances,
the beam spreading can be so small it can go unnoticed. The following formulas accurately describe beam spreading, making it
easy to see the capabilities and limitations of laser beams. The
notation is consistent with much of the laser literature, particularly
with Siegmans excellent Introduction to Lasers and Masers
(McGraw-Hill).
100
80
PERCENT IRRADIANCE
Material Properties
Fundamental Optics
Chpt. 2 Final
60
40
20
13.5
41.5w 4w
Figure 2.1
0
CONTOUR RADIUS
w 1.5w
Irradiance profile of a Gaussian TEM00 mode

Chpt. 2 Final
9/2/99
4:07 PM
Page 2.3
(2.1)
and
2
lz
w(z) = w 0 1 +
2
p w0
1/ 2
(2.2)
The irradiance distribution of the Gaussian TEM00 beam,

namely,
I (r) = I 0e42r
/w
2P
pw2
e42r
/ w2
(2.3)
l
pw0
632.8 1056
(p)(0.4)
= 5.04 1054 rad.
Using the asymptotic approximation, at a distance of z = 100 m,

w(z) = zv
= (10 5 )(5.04 1044 )
= 50.4 mm
which is approximately 126 times larger than w0.
Material Properties
where w = w(z) and P is the total power in the beam, is the same
at all cross sections of the beam. The invariance of the form of the
distribution is a special consequence of the presumed Gaussian
distribution at z = 0. If a uniform irradiance distribution had been
presumed at z = 0, the pattern at z = would have been the familiar
Airy disc pattern given by a Bessel function, while the pattern at
intermediate z values would have been enormously complicated. (See
Born and Wolf, Principles of Optics, 2d ed, Pergamon/ Macmillan).
v =
Simultaneously, as R(z) asymptotically approaches z for large

z, w(z) asymptotically approaches the value
lz
p w0
w(z)
(2.4)
v =
w(z)
z
l
p w0
(2.5)
w
w0
w0
1
irradiance surface
e2
ne
ic co
ptot
asym
v
z
w0
Optical Coatings
where z is presumed to be much larger than pw0/l so that the 1/e2

irradiance contours asymptotically approach a cone of angular
radius
where z is the distance propagated from the plane where the wavefront
is flat, l is the wavelength of light, w0 is the radius of
the 1/e2 irradiance contour at the plane where the wavefront is flat, w(z)
is the radius of the 1/e2 contour after the wave has propagated a
distance z, and R(z) is the wavefront radius of curvature after
propagating a distance z. R(z) is infinite at z = 0, passes through
a minimum at some finite z, and rises again toward infinity as
z is further increased, asymptotically approaching the value of z itself.
The plane z = 0 marks the location of a Gaussian waist, or a place
where the wavefront is flat, and w0 is called the beam waist radius.
A waist occurs naturally at the midplane of a symmetric confocal
cavity. Another waist occurs at the surface of the planar mirror
of the quasi-hemispherical cavity used in many Melles Griot lasers.
It is important to note that, for a given value of l, variations of

beam diameter and divergence with distance z are functions of a
single parameter. This is often chosen to be w0, or the beam waist
radius.
The direct relationship between beam waist and divergence
(v 1/w0) must always be considered when focusing a TEM00 laser
beam. Because of this relationship, the spectrally selective coating
of the spherical output mirror of a Melles Griot laser is actually supported on the concave inner surface of a weak meniscus lens. In
this paraxial, high f-number configuration, the lens introduces no
significant aberration. A new beam waist, larger than the intracavity beam waist, is formed by this lens near its output pupil. The
transformed beam has greatly reduced divergence, which is
advantageous for most applications. Note that it is the 1/e2 beam
diameter of this extracavity waist that is published in this catalog.
As an example to illustrate the relationship between beam waist
and divergence, let us consider the real case of a Melles Griot red
5-mW HeNe laser, 05 LHR 151, with a specified beam diameter of
0.8 mm (i.e., w0 = 0.4 mm). In the far-field region,
p w 20
R(z) = z 1 +
lz
This value is the far-field angular radius of the Gaussian TEM00

beam. The vertex of the cone lies at the center of the waist (see
figure 2.2).
Fundamental Optics
Even if a Gaussian TEM00 laser-beam wavefront were made

perfectly flat at some plane, with all elements moving in precisely
parallel directions, it would quickly acquire curvature and begin
spreading in accordance with
Figure 2.2 Growth in 1/e2 contour radius with distance

propagated away from Gaussian waist
2.3
7/30/99
4:59 PM
Page 2.4
Suppose instead that we decide to reduce the divergence

by directing the laser into a beam expander (reversed telescope)
of angular magnification m = 10, such as Melles Griot model
09 LBM 013 (figure 2.3). Consider the case in which the expander
is focused to form a waist of radius w0 = 4.0 mm at the expander
output lens. Since v 1/w0, by definition, v is reduced by a factor
of 10; therefore, for z = 100 m,
(10 )(5.04 10
10
54
w(z) =
= 5.04 mm.
Typically, one has a fixed value for w0 and uses the previously given
expression to calculate w(z) for an input value of z. However, one can
also utilize this equation to see how final beam radius varies with starting beam radius at a fixed distance, z. Figure 2.4 shows the Gaussian
beam propagation equation plotted as a function of w0, with the
particular values of l = 632.8 nm and z = 100 m.
The beam radius at 100 m reaches a minimum value for a starting
beam radius of about 4.5 mm. Therefore, if we wanted to achieve
the best combination of minimum beam diameter and minimum
beam spread (or best collimation) over a distance of 100 m, our
optimum starting beam radius would be 4.5 mm. Any other starting
value would result in a larger beam at z = 100 m.
We can find the general expression for the optimum starting
beam radius for a given distance, z. Doing so yields
1/2
p w 20
(2.7)
with
OPTIMUM COLLIMATION
Material Properties
By turning this previous equation around, we can define a

distance, called the Rayleigh range (zR), over which the beam radius
spreads by a factor of }}
2 as
zR =
For the expanded beam, the ratio w(z)/w0 is only a factor of 12.6
for a distance of 100 m, but it is a factor of 126 for the same distance
when the laser is used alone.
lz
w 0 (optimum) =
p
graphically in figure 2.4. If we put this value for w0 (optimum) back

into the expression for w(z), w(z) = }}
2 w0. Thus, for this example,
w(100) = }}
2 (4.48) = 6.3 mm.
(2.6)
Using this optimum value of w0 will provide the best combination of minimum starting beam diameter and minimum beam
spread (ratio of w(z)/w0) over the distance z. The previous example
of z = 100 and l=632.8 nm gives w0 (optimum) = 4.48 mm, shown
w(z R ) =
2w0 .
If we use beam-expanding optics (such as the 09 LBC, 09 LBX,

09 LBZ, or 09 LCM series), which allow us to adjust the position
of the beam waist, we can actually double the distance over which
beam divergence is minimized. Figure 2.5 illustrates this situation,
in which the beam starts off at a value of w(zR) = (2lz /p)1/2, goes
through a minimum value of w0 = w(zR)/}}
2 , and then returns to
w(zR). By focusing the beam-expanding optics to place the beam
waist at the midpoint, we can restrict beam spread to a factor of }}
2
over a distance of 2zR, as opposed to just zR.
This result can now be used in the problem of finding the starting
beam radius that yields the minimum beam diameter and beam
spread over 100 m. Using 2zR = 100, or zR = 50, and l = 632.8 nm,
we get a value of w(zR) = (2lz /p)1/2 = 4.5 mm, and w0 = 3.2 mm.
Thus, the optimum starting beam radius is the same as previously
calculated. However, by focusing the expander we achieve a final
beam radius that is no larger than our starting beam radius, while
still maintaining the }}
2 factor in overall variation.
Alternately, if we started off with a beam radius of 6.3 mm
(}}
2 w0 ), we could focus the expander to provide a beam waist of
w0 = 4.5 mm at 100 m, and a final beam radius of 6.3 mm at 200 m.
FINAL BEAM RADIUS (mm)
Fundamental Optics
Chpt. 2 Final
100
80
60
40
20
0
10
Optical Coatings
STARTING BEAM RADIUS w0 (mm)
Figure 2.3 Laser beam expander 09 LBM 013 (reversed

telescope)
2.4
Figure 2.4 Beam radius at 100 m as a function of starting

beam radius for a HeNe laser at 632.8 nm
Chpt. 2 Final
9/2/99
4:05 PM
Page 2.5
Fundamental Optics
LASERS AND LASER SYSTEMS
w0
beam expander
w(zR) = 2w0
zR
w(zR) = 2w0
zR
Figure 2.5 Focusing a beam expander to minimize beam

radius and spread over a specified distance
INCORPORATING M2 INTO THE BASIC EQUATIONS
w0v = l/p.
For a real laser beam, we have
w0MvM = M2l/p >l/p
Melles Griot manufactures many types of lasers and

laser systems for laboratory and OEM applications.
These, along with a wide variety of laser accessories, are
found in Chapter 41 through 47. Laser types include
helium neon (HeNe) and helium cadmium (HeCd) lasers;
argon, krypton, and mixed gas (argon/krypton) ion
lasers; diode lasers, and diode-pumped solid-state
(DPSS) lasers.
(2.8)
The following discussion is taken from the analysis by Sun [Haiyin

Sun, Thin Lens Equation for a Real Laser Beam with Weak Lens
Aperture Truncation, Opt. Eng. 37, no. 11 (November 1998)]. From
equation 2.5 we see that, for a theoretical Gaussian beam, the smallest possible value of the radius-divergence product is
where w0M and vM are the 1/e2 intensity waist radius and the farfield half-divergent angle of the real laser beam, respectively, and
M2 factors into equations 2.1 and 2.2 as follows:
wM(z) = w0M[1+(zlM2/pw0M2)2]1/2
Material Properties
RM(z) = z[1+(pw0M2/zlM2)2]
(2.9)
(2.10)
where wM and RM are the 1/e2 intensity radius of the beam and the
beam wavefront radius at z, respectively.
The definition for the Rayleigh range (equation 2.7) remains
the same for a real laser beam and becomes
zR = pw0R2/l.
(2.11)
Together, equations 2.9, 2.10, and 2.11 form a complete set to

denote the input of a real laser beam into a thin lens.
Optical Coatings
2.5
7/30/99
4:59 PM
Page 2.6
Transformation and Magnification by Simple Lenses
The standard lens equation can be written in dimensionless

form:
1
1
+
= 1.
s/f
s /f
In the regular form,

1
s+
/(s 4 f)
1
s
Material Properties
(s/f) + (z R /f) /(s/f 4 1)
1
(s /f)
= 1.
(2.14)
The main differences between Gaussian beam optics and

geometric optics, highlighted in such a plot, can be summarized as
follows:
$ There is a maximum and minimum image distance for
Gaussian beams.
Optical Coatings
$ The maximum image distance occurs at s = f + zR, rather than

at s = f.
$ There is a common point in the Gaussian beam expression
at s/f = s/f =1. For a simple positive lens, this is the point at
which the incident beam has a waist at the front focus and the
emerging beam has a waist at the rear focus.
3
2
1
0
41
parameter
42
()
zR
f
43
44
45
44 43 42 41
OBJECT DISTANCE
(s/f)
Figure 2.6 Plot of the lens formula for Gaussian beams,

with normalized Rayleigh range of the input beam as
the parameter
(2.13)
In the far-field limit as zR 0, this reduces to the geometric

optics equation. A plot of (s/f) versus (s/f) for various values of
(zR/f) is shown in figure 2.6. There are three distinct regions of
interest. For a positive thin lens, these correspond to real object
and real image, real object and virtual image, and virtual object
and real image.
2.6
0
0.25
0.50
1
$ A lens appears to have a shorter focal length as zR/f increases

from zero (i.e., there is a Gaussian focal shift).
or, in dimensionless form,

2
(2.12)
For Gaussian beams, Self has derived an analogous formula by

assuming that the waist of the input beam represents the object,
and the waist of the output beam represents the image. The formula is expressed in terms of the Rayleigh range of the input beam.
z R2
5
(s"/f)
It is already clear from the previous discussion that Gaussian

beams transform in an unorthodox manner. Siegman uses matrix
transformations to treat the general problem of Gaussian beam
propagation with lenses and mirrors. A less rigorous, but in many
ways more insightful, approach to this problem has been developed
by Self [S.A. Self, Focusing of Spherical Gaussian Beams, Appl.
Opt. 22, no. 5 (March 1983): 658]. Self shows a method to model
transformations of a laser beam through simple optics, under
paraxial conditions, by calculating the Rayleigh range and beam
waist location following each individual optical element. These
parameters are calculated using a formula analogous to the
well-known standard lens formula. Melles Griot engineers have
found this method to be particularly useful. The main points are as
follows.
IMAGE DISTANCE
Fundamental Optics
Chpt. 2 Final
Self recommends calculating zR, w0, and the position of w0 for

each optical element in the system in turn so that the overall transformation of the beam can be calculated. To carry this out, it is
also necessary to consider magnification: w0/w0. The magnification
is given by
m =
w0
=
w0
1 4 (s/f) 2 + (z /f) 2
R
(2.15)
The Rayleigh range of the output beam depends on m2, as can

be seen from the previous example, and is given by
z R = m 2 z R .
(2.16)
All the above formulas are written in terms of the Rayleigh range
of the input beam. Unlike the geometric case, the formulas are not
symmetric with respect to input and output beam parameters. For
back tracing beams, it is useful to know the Gaussian beam formula
in terms of the Rayleigh range of the output beam:
1
1
1
+
=
.
s
f
s + z R 2 /(s4 f )
(2.17)
Chpt. 2 Final
10/11/99
9:08 AM
Page 2.7
For real-world beams, the lens equation can be modified to

incorporate M2. Equation 2.12 becomes
1/[s+(zR/M2)2/(s-f)]+1/2 = 1/f,
(2.18)
and equation 2.14 transforms to

(2.19)
BEAM CONCENTRATION
DEPTH OF FOCUS
The spot size and focal position of a Gaussian beam can be

determined from the previous equations. Two cases of particular
interest occur when s = 0 (the input waist is at the first principal
surface of the lens system) and s = f (the input waist is at the front
focal point of the optical system). For s = 0, we get
Depth of focus (D z), that is, the range in image space over
which the focused spot diameter remains below an arbitrary limit,
can be derived from the formula
s =
(2.20)
1 + (lf/p w 20 ) 2
w =
lf/p w 0
1 + (lf/p w 20 ) 2
1/ 2
(2.21)
For the case of s = f, the equations for image distance and waist
size reduce to the following:
s = f
Dz
w(z)
4lf
3p w
4(632.8 1046 )(7 )

(3)(0.4p)
= 4.70 10
= 4.7 mm.
43
0.32p( 4.70 1043 ) 2
6328 1047
= 35.1 mm.
Since the depth of focus is proportional to the square of focal

spot size, and focal spot size is directly related to f-number, the
depth of focus is proportional to the square of the f-number of the
focusing system.
Material Properties
In many applications, a primary aim is to focus the laser to a very

small spot, as shown in figure 2.7, by using either a single lens or a
combination of several lenses. Melles Griot has designed a series of
single lenses optimized for this specific purpose. For example, by
using a 05 LHR 151 laser and a focusing singlet, 01 LFS 033, the
formula should be modified as follows:
0.32p w 02
By applying this result to the combination of the 05 LHR 151

laser and laser-line focusing singlet 01 LFS 033, we find
Dz =
Substituting typical values into these equations yields nearly

identical results, and for most applications, the simpler, second set
of equations can be used.
(2.22)
The first step in performing a depth-of-focus calculation is to set

the allowable degree of spot size variation. If we choose a typical
value of 5%, or w(z) = 1.05w0, and solve for z = D z, the result is
and
w = lf/p w 0 .
1/ 2
and
lz
w(z) = w 0 1 +
2
pw0
1/[(s/f)+(zR/M2f)2/(s/f-1)]+1/(s/f) = 1.
If a particularly small spot is desired, there is an advantage to

using a well-corrected high-numerical-aperture microscope objective
(see Chapter 29, Microscope Components, Spatial Filters and
Apertures) to concentrate the laser beam. The principal advantage
of the microscope objective over a simple lens is the diminished
level of spherical aberration. Although microscope objectives are
often used for this purpose, they are never designed for use at the
infinite conjugate ratio. Suitably optimized lens systems, which
Melles Griot can design and build on special request, are more
effective in beam-concentration tasks.
Fundamental Optics
M2 AND THE LENS EQUATION
2w0
1
Dbeam
e2
mm
Figure 2.7 Concentration of a laser beam by a laser-line

focusing singlet
2.7
Optical Coatings
The factor 4/3 arises because of the careful balance of spherical

aberration and diffraction designed into the singlet. The ratio f/w
is proportional to lens f-number, but is not equal to it.
Fundamental Optics
Chpt. 2 Final
7/30/99
4:59 PM
Page 2.8
TRUNCATION
In a diffraction-limited lens, the diameter of the image spot is
d = K l f/#
(2.23)
where K is a constant dependent on truncation ratio and pupil

illumination, l is the wavelength of light, and f/# is the speed of the
lens at truncation. The intensity profile of the spot is strongly dependent on the intensity profile of the radiation filling the entrance
pupil of the lens. For uniform pupil illumination, the image spot takes
on an Airy disc intensity profile as shown in figure 2.8. If the pupil
illumination is Gaussian in profile, an image spot of Gaussian
profile results as shown in figure 2.9. When the pupil illumination

is between these two extremes, a hybrid intensity profile results.
In the case of the Airy disc, the intensity falls to zero at the
point dzero= 2.44 ! l ! f/#, defining the diameter of the spot (see
figure 2.8). When the pupil illumination is not uniform, the image
spot intensity never falls to zero making it necessary to define the
diameter at some other point. This is commonly done for two
points:
d FWHM = 50% intensity point
and
d1/e 2 = 13.5% intensity point.
It is helpful to introduce the truncation ratio
1.0
T =
.9
.8
INTENSITY
.7
.6
50%
intensity
.5
.4
.3
.2
13.5%
intensity
.1
2.44 l (f-number)
Figure 2.8
plane
Db
Dt
(2.24)
where Db is the Gaussian beam diameter measured at the 1/e2

intensity point, and Dt is the limiting aperture diameter of the lens.
If T = 2, which approximates uniform illumination, the image spot
intensity profile approaches that of the classic Airy disc. When
T = 1, the Gaussian profile is truncated at the 1/e2 diameter, and the
spot profile is clearly a hybrid between an Airy pattern and a
Gaussian distribution. When T = 0.5, which approximates the case
for an untruncated Gaussian input beam, the spot intensity profile
approaches a Gaussian distribution.
Calculation of spot diameter for these or other truncation ratios
requires that K be evaluated. This is done by using the formulas
Airy disc intensity distribution at the image

K FWHM = 1.029 +
Material Properties
(2.26)
.9
The k function, plotted in figure 2.10, permits calculation of

on-axis spot diameter for any beam truncation ratio.
.8
INTENSITY
.7
.6
50%
intensity
.5
.4
The optimal choice for truncation ratio depends on the relative

importance of spot size, peak spot intensity, and total power in the
spot as demonstrated in the table below. The total power loss in
the spot can be calculated by using
PL = e42(Dt /Db )
.3
.2
13.5%
intensity
.1
Optical Coatings
0.6445
(T 4 0.2161) 2.221
0.6460
0.5320
4
.
K1/e 2 = 1.6449 + (T 4 0.2816)1.821
(T 4 0.2816)1.891
1.0
1.83 l (f-number)
2.8
(2.25)
and
Figure 2.9
plane
0.7125
(T 4 0.2161) 2.179
Gaussian intensity distribution at the image
(2.27)
for a truncated Gaussian beam. A good compromise between power

loss and spot size is often a truncation ratio of one. When T = 2
(approximately uniform illumination), fractional power loss is 60%.
When T = 1, d1/e2 is just 8.0% larger than when T = 2, while fractional
power loss is down to 13.5%. Because of this large savings in power
with relatively little growth in the spot diameter, truncation ratios
of 0.7 to 1.0 are typically used. Ratios as low as 0.5 might be
Chpt. 2 Final
7/30/99
4:59 PM
Page 2.9
The mathematics of the effects of truncation on a real-world

laser beam are beyond the scope of this chapter. Suffice it to say that
truncation, in general, increases the M2 factor of the beam. For an
in-depth treatment of this problem, please refer to the
aforementioned paper by Haiyin Sun as well as Changes in
Characteristics of a Gaussian Beam Weakly Diffracted by a Circular
Aperture by P. Belland and J. Crenn, App. Opt. 21 (1982).
beam to pass unscathed. The result is a cone of light that has a very
smooth irradiance distribution and can be refocused to form a
collimated beam that is almost equally smooth (see figure 2.11).
As a compromise between ease of alignment and complete
spatial filtering, it is best that the aperture diameter be about two
times the 1/e2 beam contour at the focus, or about 1.33 times the
99% throughput contour diameter.
Spot Diameters and Fractional Power Loss

for Three Values of Truncation
Truncation Ratio
dFWHM
d1/e2
dzero
PL (%)
Infinity
2.0
1.0
0.5
1.03
1.05
1.13
1.54
1.64
1.69
1.83
2.51
2.44
100
60
13.5
0.03
Figure 2.11 Spatial filtering smoothes the irradiance

distribution
SPATIAL FILTERING
Laser light scattered from dust particles residing on optical
surfaces may produce interference patterns resembling holographic
zone planes. Such patterns can cause difficulties in interferometric
and holographic applications where they form a highly detailed,
contrasting, and confusing background that interferes with desired
information. Spatial filtering is a simple way of suppressing this
interference and maintaining a very smooth beam irradiance distribution. The scattered light propagates in different directions from
the laser light and hence is spatially separated at a lens focal plane.
By centering a small aperture around the focal spot of the direct
beam, it is possible to block scattered light while allowing the direct
K FACTOR
2.5
spot measured at 13.5% intensity level
2.0
1.5
spot measured at 50% intensity level
1.0
0.5
spot diameter = K ! l ! f-number

1.0
2.0
3.0
4.0
T(Db/Dt)
Figure 2.10
Modular and Multiaxis Spatial Filters

The Melles Griot range of spatial filters includes
a three-axis unit with precision micrometers
(07 SFM 001) and a compact five-axis version
(07 SFM 003). These devices feature an open design
that provides access to the beam as it passes
through the instrument. Details of these products
and standard microscope objectives and mounted
pinholes that work with these spatial filters are
described in Chapter 29, Microscope Components,
Spatial Filters, and Apertures.
For those who wish to fabricate their own spatial
filters, unmounted pinholes can also be found in
Chapter 29, Microscope Components, Spatial Filters,
and Apertures. The precision individual pinholes are
for general-purpose spatial-filtering tasks. The highenergy laser precision pinholes are constructed
specifically to withstand irradiation from high-energy
lasers.
Optical Coatings
APPLICATION NOTE
Material Properties
3.0
K factors as a function of truncation ratio
Fundamental Optics
employed when laser power must be conserved. However, this low

value often wastes too much of the available clear aperture of the
lens.
2.9
Fundamental Optics
Chpt. 2 Final
9/2/99
4:04 PM
Page 2.10
Lens Selection
The most important relationships that we will use in the process
of lens selection for Gaussian beam optical systems are as follows:
Focused spot radius
w=
lf
p w0
(from 2.4)
Beam propagation
1/ 2
lz 2
w(z) = w0 1 +
pw 20
zR =
1/ 2
lz
w0 (optimum) =
p
and
p w 20
tables list beam diameter, so remember to divide by 2). Assuming a

collimated beam, we use the propagation formula to determine the
spot size at 80 m:
(from 2.2)
2

0.6328 1053 80, 000

w (80 m) = 0.41 +

(p) 0.4 2

= 40.3 - mm beam radius
( )
or 80.6-mm beam diameter. This is just about exactly a factor of 10

larger than we wanted. We can use the formula for w0 (optimum)
to determine the smallest collimated beam diameter we could
achieve at a distance of 80 m:
1/ 2
0.6328 1043 80,000

w 0 (optimum) =
(from 2.7)
l
We can also utilize the equation for the approximate on-axis
spot size caused by spherical aberration for a plano-convex lens at
the infinite conjugate:
spot diameter (3rd - order spherical aberration) =
0.067 f
(f/# ) 3
This formula is for uniform illumination, not a Gaussian intensity

profile. However, since it yields a larger value for spot size than actually occurs, its use will provide us with conservative lens choices.
Keep in mind that this formula is for spot diameter whereas the
Gaussian beam formulas are all stated in terms of spot radius.
1/2
= 4.0 mm.
This tells us that if we expand the beam by a factor of 10

(4.0 mm/0.4 mm), we can produce a collimated beam 8 mm in
diameter, which, if focused at the midpoint (40 m), will again be
8 mm in diameter at a distance of 80 m. This 10# expansion could
be accomplished most easily with one of the Melles Griot beam
expanders, such as the 09 LBX 003 or 09 LBM 013. However, if there
is a space constraint and a need to perform this task with a system
that is no longer than 50 mm, this can be accomplished by using
catalog components.
Figure 2.13 illustrates the two main types of beam expanders. The
Keplerian type consists of two positive lenses which are positioned
with their focal points nominally coincident. The Galilean type consists of a negative diverging lens, followed by a positive collimating
lens, again positioned with their focal points nominally coincident.
In both cases, the overall length of the optical system is given by
overall length = f1 + f 2
Material Properties
Example 1: Obtain 8-mm spot at 80 m
and the magnification is given by
Using the Melles Griot HeNe laser 05 LHR 151, produce a spot
8 mm in diameter at a distance of 80 m (see figure 2.12).
The product tables in Chapter 44, Helium Neon Lasers, gives the
output beam radius for the 25 LHR 151 as 0.4 mm (the product
magnification =
f2
f1
where a negative sign, in the Galilean system, indicates an inverted

image (which is unimportant for laser beams). The Keplerian system,
01 LAO 059
01 LDK 001
8 mm
Optical Coatings
0.8 mm
45 mm
Figure 2.12
2.10
80 m
Lens spacing adjusted empirically to achieve the desired spot size at 80 m
Chpt. 2 Final
9/2/99
4:04 PM
Page 2.11
Keplerian beam expander
f2
Galilean beam expander
spot size resulting from spherical aberration

0.067 50
=
= 14 mm.
6.25 3
f1
Fundamental Optics
Ideally, a plano-concave diverging lens is used for minimum

spherical aberration, but the shortest catalog focal length available is
410 mm. There is, however, a biconcave lens with a focal length of
45 mm (01 LDK 001). Even though this is not the optimum shape
lens for this application, the extremely short focal length is likely to have
negligible aberrations at this f-number. Ray tracing would confirm
this.
Now that we have selected a diverging lens with a focal length
of 45 mm, we need to choose a collimating lens with a focal length
of 50 mm. To determine whether a plano-convex lens is acceptable,
check the spherical aberration formula:
The spot diameter resulting from diffraction is

f1
2w 0 =
f2
Two main types of beam expanders
with its internal point of focus, allows one to utilize a spatial filter,
while the Galilean system has the advantage of shorter length for
a given magnification.
In order to determine necessary focal lengths for an expander,
we need to solve these two equations for the two unknowns.
In this case,
f1 + f 2 = 50
p4.0
= 5 mm.
Clearly, a plano-convex lens will not be adequate. The next choice

would be an achromat, such as the 01 LAO 059. The data in the spot
size charts on page 1.26 indicates that this lens is probably diffraction
limited at this f-number. Our final system would therefore consist of
the 01 LDK 001 spaced about 45 mm from the 01 LAO 059, which
would have its flint element facing toward the laser.
Example 2: Obtain 10 mm spot at > 100 mm
Figure 2.13
2 (0.6328 1043 ) 50
Focus the output of an 05 LHR 151 to a spot diameter of 10 mm,

but with the constraint that the last surface of the focusing optics
is no closer than 100 mm to the focal point (see figure 2.14).
Using a 100-mm-focal-length lens, the Gaussian beam focusing
equation yields a spot radius of
and
w =
Using a negative value for the magnification will provide us

with a Galilean expander. This yields values of f2 = 55.5 mm and
f1 = 45.5 mm.
01 LAO 059
0.6328 1043 100

p0.4
= 50 mm.
Thus, even a diffraction-limited focusing lens, with a 100-mm

focal length, will produce a 100-m-diameter focal spot with an
Material Properties
f2
=410.
f1
01 LLP 017
01 LDK 001
Figure 2.14
Optical Coatings
45 mm
95 mm
Laser focusing system with long working distance
2.11
Material Properties
Fundamental Optics
Chpt. 2 Final
7/30/99
4:59 PM
Page 2.12
0.8-mm-diameter input beam. In order to achieve the spot size

wanted, the beam must first be expanded by a factor of 10 before
it is focused. The 10# expander described in the previous example
could perform the task, as could any of the standard 10# expanders
offered by Melles Griot.
For focusing, we now have an 8-mm-diameter beam going into
the 100-mm-focal-length lens, so we are operating at f/12.5. At this
f-number we can probably use a plano-convex lens, but it is a good
idea to check the spherical aberration to make sure.
0.067 100
spot size (spherical aberration) =
= 3 mm.
12.5 3
The plano-convex lens, oriented with its convex surface toward
the beam expander, will provide diffraction-limited performance in
this case.
Although the effects of manufacturing tolerances should always
be taken into account when choosing a standard catalog lens, they
are not significant for the input lens of this beam expander because
the aperture is so small. With a diameter of 1 mm or less, virtually
any of the lenses in this catalog introduce only a fraction of a wave
of wavefront distortion as a result of manufacturing errors. However, with a larger beam, lens quality is a consideration. One of the
precision-grade lenses, in this case the 01 LLP 017, should be used
for this precision application.
Example 3: Collimate a diode laser
Collect and collimate the output of a diode laser to a 25-mmdiameter diffraction-limited beam. The output wavelength is 780 nm
and has a full-angle divergence of 60!20 (see figure 2.15).
The first step is to determine the numerical aperture needed to
collect all the light from a source with a 60-degree divergence angle.
Since numerical aperture is defined to be the sine of the half angle
of divergence,
NA = sin 30 = 0.5.
Stated in terms of f-number, 1/(2 NA), this is f/1. At this low
f-number we can immediately rule out virtually any simple lens or
achromat; even if a simple lens were available at this low
f-number, it would not provide the performance level required. The
best choice would be a highly corrected, multielement diode laser
collimating lens, such as the 06 GLC 002, which has a numerical

aperture of 0.5.
The 06 GLC 002 yields a collimated elliptical beam with dimensions of 8 mm ! 2.7 mm. The smaller dimension of this beam must
be expanded to match the larger dimension; otherwise, it will have
a larger beam divergence because of diffraction. Since there is
approximately a 3:1 ratio in the two dimensions, we will use a 3#
anamorphic prism pair, 06 GPA 004, to accomplish the expansion.
This will now yield a collimated beam 8 mm in diameter.
The next step is to expand the beam by a factor of 3.125#in order
to get to the desired 25-mm beam diameter. Since no constraint has
been given on the length of our optical system, well play it safe and
operate our beam expander at a minimum of f/10. This virtually
ensures diffraction-limited performance, even with singlets.
At f/10 and an 8-mm-diameter input beam, we would need a
focal length of 80 mm for the input lens of our collimator. Since we
are looking for diffraction-limited performance, our best choice
would be one of the precision diode laser singlets (06 LXP series).
Once again, we choose a high-precision lens because our beam has
a fairly large diameter and the effects of manufacturing tolerances
must be considered.
The closest focal length we have in this series of lenses is the
06 LXP 009 with a focal length of 110 mm. Operating at f/13.75,
we will have diffraction-limited performance, which can be verified by using the formula for spherical aberration. We now need a
collimating lens with a focal length of 3.125 ! 110 mm = 344 mm.
The best choice is probably the 01 LAO 277 because there is no
precision singlet lens with the necessary focal length. The achromat
is also manufactured to tighter tolerances.
The final system would then consist of the 06 GLC 002 mated
directly to the 06 GPA 004, followed by the 06 LXP 009 with its
curved surface facing toward the diode laser. The spacing between
the 06 LXP 009 and 06 GPA 004 is not critical. Finally, the
01 LAO 277 would follow, spaced approximately 455 mm from the
singlet, with its flint surface facing toward the diode laser.
Since the standard coating supplied with the 01 LAO series
achromats does not perform very well at 780 nm, this lens should
be specified with a /076 coating, which is optimized for performance
at 780 nm.
06 GPA 004
06 LXP 009
01 LAO 277
Optical Coatings
06 GLC 002
1.1 mm
455 mm
Figure 2.15
2.12
Melles Griot diode laser components, showing how they may be used in relation to each other
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.1
Fundamental Optics
3.2
Centration
3.3
Modulation Transfer Function
3.4
Cosmetic Surface Quality U.S. Military Specifications
3.6
Surface Accuracy
3.8
Wavefront Distortion
Material Properties
Optical Coatings
3.1
Fundamental Optics
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.2
Wavefront Distortion
Sometimes the best specification for an optical component is
its effect on the emergent wavefront. This is particularly true for
optical flats, collimation lenses, mirrors, and retroreflectors where
the presumed effect of the element is to transmit or reflect the
wavefront without changing its shape. Wavefront distortion is often
characterized by the peak-to-valley deformation of the emergent
wavefront from its intended shape. Specifications are normally
quoted in fractions of a wavelength.
Consider a perfectly plane, monochromatic wavefront, incident
at an angle normal to the face of a window. Deviation from perfect
surface flatness, as well as inhomogeneity of the bulk material
refractive index of the window, will cause a deformation of the
transmitted wavefront away from the ideal plane wave. In a
retroreflector, each of the faces plus the material will affect the
emergent wavefront. Consequently, any reflecting or refracting
element can be characterized by the distortions imparted to a perfect
incident wavefront.
Optical Coatings
Material Properties
INTERFEROMETER MEASUREMENTS
Melles Griot measures wavefront distortion with a laser
interferometer. The wavefront from a helium neon laser
(l = 632.8 nm) is expanded and then divided into a reference
wavefront and test wavefronts by using a partially transmitting
reference surface. The reference wavefront is reflected back to the
interferometer, and the test wavefront is transmitted through the
surfaces to the test element. The reference surface is a known flat
or spherical surface whose surface error is on the order of l/20.
When the test wavefront is reflected back to the interferometer,
either from the surface being tested or from another l/20 reference
surface, the reference and test wavefronts recombine at the
interferometer. Constructive and destructive interference occurs
between the two wavefronts. A difference in the optical paths of
the two wavefronts is caused by any error present in the test element
and any tilt of one wavefront relative to the other. The fringe pattern
is projected onto a viewing screen or camera system.
A slight tilt of the test wavefront to the reference wavefront produces a set of fringes whose parallelism and straightness depend on
the element under test. The distance between successive fringes
(usually measured from dark band to dark band) represents one
wavelength difference in the optical path traveled by the two
wavefronts. In surface and transmitted wavefront testing, the test
wavefront travels through an error in the test piece twice. Therefore, one fringe spacing represents one half wavelength of surface
error or transmission error of the test element.
Fringes that curve around the center of tilt (zero-order) are

convex, as a result of a high area on the test surface. Conversely,
fringes that curve away from the center of tilt (zero-order) are
concave as a result of a low area on the test surface.
By using a known tilt and zero-order direction, the amount and
direction (convex or concave) of the error in the test element can be
determined from the fringe pattern. Six fringes of tilt are introduced
for typical examinations. Melles Griot uses wavefront distortion
measurements to characterize achromats, windows, filters, beamsplitters, prisms, and many other optical elements. This testing
method is consistent with the way in which these components are
normally used.
INTERFEROGRAM INTERPRETATION
Melles Griot tests lenses with a noncontact phase-measuring
interferometer. The interferometer has a zoom feature to increase
resolution of the optic under test. The interferometric cavity length
is modulated, and a computerized data analysis program is used
to interpret the interferogram. This computerized analysis increases
the accuracy and repeatability of each measurement and eliminates
subjective operator interpretation.
A determination of the convexity or concavity of the error in the

test element can be made if the zero-order direction of the interference cavity (the space between the reference and test surfaces) is
known. The zero-order direction is the direction of the center of tilt
between the reference and test wavefronts.
3.2
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.3
The mechanical axis and optical axis exactly coincide in a

perfectly centered lens.
OPTICAL AND MECHANICAL AXES
Centration error is measured by rotating the lens on its mechanical axis and observing the orbit of the focal point. To determine
the centration error, the radius of this orbit is divided by the lens focal
length and then converted to an angle.
It is more difficult to achieve a given centration specification

for a doublet than it is for a singlet because each element must be
individually centered to a tighter specification, and the two optical
axes must be carefully aligned during the cementing process.
Centration is even more complex for triplets because three optical
axes must be aligned. The centration error of doublets and triplets
is measured in the same manner as that of simple lenses. One
method used to obtain precise centration in compound lenses is
to align the elements optically and edge the combination.
CYLINDRICAL OPTICS
Cylindrical optics can be evaluated for centering error in a
manner similar to simple lenses. The major difference is that
cylindrical optics have mechanical and optical planes rather than
axes. The mechanical plane is established by the expected mounting, which can be edge only or the surface-edge combination
described above. The radial separation between the focal line and
the established mechanical plane is the centering error and can
be converted into an angular deviation in the same manner as for
simple lenses. The centering error is measured by first noting the focal
line displacement in one orientation, then rotating the lens
180 degrees and noting the new displacement. The centering error
angle is the inverse tangent of the total separation divided by twice
the focal length.
Material Properties
orbit of
apparent focus
H
true focus
C2
v
optical axis
ical axis
mechan
MEASURING CENTRATION ERROR
DOUBLETS AND TRIPLETS
For a simple lens, the optical axis is defined as a straight line

that joins the centers of lens curvature. For a plano-convex or planoconcave lens, the optical axis is the line through the center of
curvature and perpendicular to the plano surface.
The mechanical axis is determined by the way in which the lens
will be mounted during use. There are typically two types of
mounting configurations, edge mounting and surface mounting.
With edge mounting, the mechanical axis is the centerline of the lens
mechanical edge. Surface mounting uses one surface of the lens as
the primary stability for lens tip and then encompasses the lens
diameter for centering. The mechanical axis for this type of mounting
is a line perpendicular to the mounting surface and centered on
the entrapment diameter.
Ideally, the optical and mechanical axes coincide. The tolerance
on centration is the allowable amount of radial separation of these
two axes, measured at the focal point of the lens. The centration
angle is equal to the inverse tangent of the allowable radial separation
divided by the focal length.
Fundamental Optics
Centration
C1
edge grinding removes

material outside imaginary cylinder
Optical Coatings
Figure 3.1
Centration and orbit of apparent focus
3.3
Fundamental Optics
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.4
Modulation Transfer Function

The modulation transfer function (MTF), a quantitative measure
of image quality, is far superior to any classic resolution criteria.
MTF describes the ability of a lens or system to transfer object
contrast to the image. Curves can be associated with the subsystems
that make up a complete electro-optical or photographic system.
MTF data can be used to determine the feasibility of overall system
expectations.
Bar-chart resolution testing of lens systems is deceptive because
almost 20% of the energy arriving at a lens system from a bar chart
is modulated at the third harmonic and higher frequencies. Consider
instead a sine-wave chart in the form of a positive transparency in
which transmittance varies in one dimension. Assume that the
transparency is viewed against a uniformly illuminated background.
The maximum and minimum transmittances are Tmax and Tmin,
respectively. A lens system under test forms a real image of the
sine-wave chart, and the spatial frequency (u) of the image is
measured in cycles per millimeter. Corresponding to the transmittances Tmax and Tmin are the image irradiances Imax and Imin.
By analogy with Michelsons definition of visibility of interference
fringes, the contrast or modulation of the chart and image are
defined, respectively, as
Mc =
Tmax 4 Tmin
Tmax + Tmin
(3.1)
Mi =
I max 4 I min
I max + I min
MTF = MTF(u) = M i / M c .
Material Properties
The monochromatic, diffraction-limited MTF (or MDMTF) of

a circular aperture (perfect aberration-free spherical lens) at an
arbitrary conjugate ratio is given by the formula
MDMTF(x) =
(3.2)
(3.3)
The graph of MTF versus u is a modulation transfer function

curve and is defined only for lenses or systems with positive focal
length that form real images.
It is often convenient to plot the magnitude of MTF (u) versus
u. Changes in MTF curves are easily seen by graphical comparison. For example, for lenses, the MTF curves change with field
angle positions and conjugate ratios. In a system with astigmatism
or coma, different MTF curves are obtained that correspond to
various azimuths in the image plane through a single image point.
For cylindrical lenses, only one azimuth is meaningful. MTF
curves can be either polychromatic or monochromatic. Polychromatic curves show the effect of any chromatic aberration that
may be present. For a well-corrected achromatic system,
polychromatic MTF can be computed by weighted averaging of
monochromatic MTFs at a single image surface. MTF can also
be measured by a variety of commercially available instruments.
Most instruments measure polychromatic MTF directly.
3.4
2
2
arc cos (x) 4 x 1 4 x

(3.4)
where the arc cosine function is in radians and x is the normalized

spatial frequency defined by
u
x =
(3.5)
u ic
where u is the absolute spatial frequency and uic is the incoherent

diffraction cutoff spatial frequency. There are several formulas for
uic including
u ic =
and
where Mc is the modulation of the chart and Mi is the modulation

of the image.
The modulation transfer function of the optical system at spatial
frequency u is then defined to be
Optical Coatings
PERFECT CIRCULAR LENS
=
=
=
1.22
rd
1.22l
n D 14
n D
ls
1.22l
2n sin(u ) 14
n D
l
2n sin(u )
l
n D
(3.6)
ls
where rd is the linear spot radius in the case of pure diffraction

(Airy disc radius), D is the diameter of the lens clear aperture (or
of a stop in near-contact), l is the wavelength, s is the secondary
conjugate distance, u is the largest angle between any ray and the
optical axis at the secondary conjugate point, the product n sin(u)
is by definition the image space numerical aperture, and n is the
image space refractive index. It is essential that D, l, and s have
consistent units (usually millimeters, in which case u and uic will be
in cycles per millimeter). The relationship
sin(u ) =
D
2s
(3.7)
implies that the secondary principal surface is a sphere centered

upon the secondary conjugate point. This means that the lens is
completely free of spherical aberration and coma, and, in the special
case of infinite conjugate ratio (s = f),
u ic = n
D
lf
(3.8)
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.5
The MDMTF of a rectangular aperture (perfect aberrationfree cylindrical lens) at arbitrary conjugate ratio is given by the
formula
MDMTF(x) = (1 4 x)
MTF is an extremely sensitive measure of image degradation.

To illustrate this, consider a lens having a quarter wavelength of
spherical aberration. This aberration, barely discernible by eye,
would reduce the MTF by as much as 0.2 at the midpoint of the
spatial frequency range.
(3.9)
1.0
1
(3.10)
rd
.8
2n sin(u )
l
lf
.4
circular aperture
.2
.2
.4
.6
.8
.6
(3.11)
The remaining three expressions for uic in the circular aperture case
can be applied to the present rectangular aperture case provided that
two substitutions are made. Everywhere the constant 1.22 formerly
appeared, it must be replaced by 1.00. Also, the aperture diameter
D must now be replaced by the aperture width w. The relationship
sin(u) = w/2s means that the secondary principal surface is a
circular cylinder centered upon the secondary conjugate line. In
the special case of infinite conjugate ratio, the incoherent cutoff
frequency for cylindrical lenses is
u ic = n
rectangular aperture
MDMTF
and rd is one-half the full width of the central stripe of the diffraction
pattern measured from first maximum to first minimum. This
formula differs by a factor of 1.22 from the corresponding formula
in the circular aperture case. The following applies to both circular
and rectangular apertures:
u ic =
where x is again the normalized spatial frequency u/uic, where, in

the present cylindrical case,
u ic =
Fundamental Optics
PERFECT RECTANGULAR LENS
1.0
NORMALIZED SPATIAL FREQUENCY, X
Figure 3.2 MDMTF(x) vs x, as a function of normalized

spatial frequency, x
(3.12)
1.0
IDEAL PERFORMANCE AND REAL LENSES
MDMTF
MTF
.6
.4
.2
lens with
/4 wavelength
aberration
.2
.4
.6
.8
1.0
NORMALIZED SPATIAL FREQUENCY, X
Optical Coatings
All real cylindrical, monochromatic MTF curves fall on or below

the straight MDMTF(x) line. Similarly, all real spherical and monochromatic MTF curves fall on or below the circular MDMTF(x)
curve. Thus the two ideal MDMTF(x) curves represent the perfect
(ideal) optical performance. Optical element or system quality is
measured by how closely the real MTF curve approaches the
corresponding ideal MDMTF(x) curve (see figure 3.3).
.8
Material Properties
In an ideal lens, the x-intercept and the MDMTF-intercept are

at unity (1.0). MDMTF(x) for the rectangular case is a straight line
between these intercepts. For the circular case, MDMTF(x) is a
curve that dips slightly below the straight line. These curves are
shown in figure 3.2. Maximum contrast (unity) is apparent when
spatial frequencies are low (i.e., for large features). Poor contrast is
apparent when spatial frequencies are high (i.e., small features).
All examples are limited at high frequencies by diffraction effects.
A normalized spatial frequency of unity corresponds to the
diffraction limit.
Figure 3.3 MTF as a function of normalized spatial

frequency, x
3.5
Material Properties
Fundamental Optics
Chpt. 3 Final
10/11/99
9:10 AM
Page 3.6
Cosmetic Surface Quality

U.S. Military Specifications
Cosmetic surface quality describes the level of defects that can
be visually noted on the surface of an optical component. Specifically, it defines state of polish, freedom from scratches and digs, and
edge treatment of components. These factors are important, not only
because they affect the appearance of the component, but also
because they scatter light, which adversely affects performance.
Scattering can be particularly important in laser applications because
of the intensity of the incident illumination. Unwanted diffraction
patterns caused by scratches can lead to degraded system
performance, and scattering of high-energy laser radiation can
cause component damage. Overspecifying cosmetic surface quality,
on the other hand, can be costly. Melles Griot components are
tested at appropriate levels of cosmetic surface quality according
to their intended application.
The most common and widely accepted convention for specifying surface quality is the U.S. Military Surface Quality Specification,
MIL-0-13830A, Amendment 3. The surface quality of all
Melles Griot optics is tested in accordance with this specification.
In Europe, an alternative specification, the DIN (Deutsche Industrie Norm) specification, DIN 3140, Sheet 7, is used. Melles Griot
can also work to ISO-10110 requirements.
SPECIFICATION STANDARDS
As stated above, all optics in this catalog are referenced to MIL0-13830A standards. These standards include scratches, digs, grayness,
edge chips, and cemented interfaces. It is important to note that
inspection of polished optical surfaces for scratches is accomplished
by visual comparison to scratch standards. Thus, it is not the actual
width of the scratch that is ascertained, but the appearance of the
scratch as compared to these standards. A part is rejected if any
scratches exceed the maximum size allowed. Digs, on the other hand,
specified by actual defect size, can be measured quantitatively.
Because of the subjective nature of this examination, it is critical
to use trained inspectors who operate under standardized conditions
in order to achieve consistent results. Melles Griot optics are
compared by experienced quality assurance personnel using scratch
and dig standards according to U.S. military drawing C7641866
Rev L. Additionally, our inspection areas are equipped with lighting
that meets the specific requirements of MIL-0-13830A.
The scratch-and-dig designation for a component or assembly
is specified by two numbers. The first defines allowable maximum
scratch visibility, and the second refers to allowable maximum dig
diameter, separated by a hyphen; for example,
SCRATCHES
A scratch is defined as any marking or tearing of a polished
optical surface. In principle, scratch numbers refer to the width
of the reference scratch in ten thousandths of a millimeter. For
example, an 80 scratch is equivalent to an 8-m standard scratch.
However, this equivalence is determined strictly by visual
comparison, and the appearance of a scratch can depend upon the
component material and the presence of any coatings. Therefore,
a scratch on the test optic that appears equivalent to the 80 standard
scratch is not necessarily 8 mm wide.
If maximum visibility scratches are present (e.g., several
60 scratches on a 6040 lens), their combined lengths cannot exceed
half of the part diameter. Even with some maximum visibility
scratches present, MIL-0-13830A still allows many combinations
of smaller scratch sizes and lengths on the polished surface.
DIGS
A dig is a pit or small crater on the polished optical surface.
Digs are defined by their diameters, which are the actual sizes of the
digs in hundredths of a millimeter. The diameter of an irregularly
shaped dig is 1/2# (length plus width):
50 dig = 0.5 mm in diameter
10 dig = 0.1 mm in diameter.
8050 represents a commonly acceptable cosmetic standard.
Optical Coatings
6040 represents an acceptable standard for most scientific

research applications.
105 represents a precise standard for very demanding laser
applications.
3.6
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.7
Fundamental Optics
The permissible number of maximum-size digs shall be one per

each 20 mm of diameter (or fraction thereof) on any single surface.
The sum of the diameters of all digs, as estimated by the inspector,
shall not exceed twice the diameter of the maximum size specified
per any 20-mm diameter. Digs less than 25 micrometers are ignored.
EDGE CHIPS
Lens edge chips are allowed only outside the clear aperture of
the lens. The clear aperture is 90% of the lens diameter unless
otherwise specified. Chips smaller than 0.5 mm are ignored, and
those larger than 0.5 mm are ground so that there is no shine to
the chip. The sum of the widths of chips larger than 0.5 mm cannot
exceed 30% of the lens perimeter.
Prism edge chips outside the clear aperture are allowed. If the
prism leg dimension is 25.4 mm or less, chips may extend inward
1.0 mm from the edge. If the leg dimension is larger than 25.4 mm,
chips may extend inward 2.0 mm from the edge. Chips smaller than
0.5 mm are ignored, and those larger than 0.5 mm must be stoned
or ground, leaving no shine to the chip. The sum of the widths of
chips larger than 0.5 mm cannot exceed 30% of the length of the edge
on which they occur.
CEMENTED INTERFACES
Because a cemented interface is considered a lens surface, specified
surface quality standards apply. Edge separation at a cemented
interface cannot extend into the element more than half the distance
to the element clear aperture up to a maximum of 1.0 mm. The sum
of edge separations deeper than 0.5 mm cannot exceed 10% of the
element perimeter.
Material Properties
BEVELS
Although bevels are not specified in MIL-0-13830A, our
standard shop practice specifies that element edges are beveled to
a face width of 0.25 to 0.5 mm at an angle of 4515. Edges meeting
at angles of 135 or larger are not beveled.
COATING DEFECTS
Optical Coatings
Defects caused by an optical element coating, such as scratches,

voids, pinholes, dust, or stains, are considered with the scratchand-dig specification for that element. Coating defects are allowed
if their size is within the stated scratch-and-dig tolerance. Coating
defects are counted separately form substrate defects.
3.7
Fundamental Optics
Chpt. 3 Final
7/30/99
5:03 PM
Page 3.8
Surface Accuracy
When attempting to specify how closely an optical surface
conforms to its intended shape, a measure of surface accuracy is
needed. Surface accuracy can be determined by interferometric
techniques. Traditional techniques involve comparing the actual
surface to a the test plate gage. In this approach, surface accuracy
is measured by counting the number of rings or fringes and examining the regularity of the fringe. The accuracy of the fit between
the lens and the test gage (as shown in figure 3.4) is described by the
number of fringes seen when the gage is in contact with the lens. Test
plates are made flat or spherical to within small fractions of a fringe.
The accuracy of a test plate is only as good as the means used to
measure its radii. Extreme care must be used when placing a test plate
in contact with the actual surface to prevent damage to the surface.
contact) appear. The number of rings indicates the difference in

radius between the surfaces. This is known as power or sometimes
as figure. It is measured in rings that are equivalent to half
wavelengths.
Beyond their number, the rings may exhibit distortion that
indicates nonuniform shape differences. The distortion may be local
to one small area, or it may be in the form of noncircular fringes
over the whole aperture. All such nonuniformities are known
collectively as irregularity.
Modern techniques for measuring surface accuracy utilize phasemeasuring interferometry with advanced computer data analysis
software. Removing operator subjectivity has made this approach
considerably more accurate and repeatable. A zoom function can
increase the resolution across the entire surface or a specific region
to enhance the accuracy of the measurement.
SURFACE FLATNESS
Surface flatness is simply surface accuracy with respect to a
plane reference surface. It is used extensively in mirror and optical
flat specifications.
POWER AND IRREGULARITY
Material Properties
During manufacture, a precision component is frequently compared with a test plate that has an accurate polished surface that is
the inverse of the surface under test. When the two surfaces are
brought together and viewed in nearly monochromatic light,
Newtons rings (interference fringes caused by the near-surface
Optical Coatings
maximum deviation
Figure 3.4
3.8
standard surface in contact
test surface
air gap between surfaces
reference surface
surface accuracy
Surface accuracy
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.1
Fundamental Optics
Material Properties
4.2
Introduction
4.3
Optical Properties
4.4
Mechanical and Chemical Properties
4.6
Melles Griot Lens Materials
4.7
Five Schott Glass Types
4.8
4.11
Optical Crown Glass
4.14
Low-Expansion Borosilicate Glass
4.15
Sapphire
4.16
ZERODUR
4.17
Calcium Fluoride
4.18
Material Properties
Synthetic Fused Silica
Material Properties Overview
Optical Coatings
4.1
Fundamental Optics
Chpt. 4 Final
10/11/99
9:13 AM
Material Properties Overview
Features
BK7
BK7
1.52 @
0.55 mm
Excellent all-around lens material provides broad transmission with

excellent mechanical characteristics
LaSFN9
LaSFN9
1.86 @
0.55 mm
High-refractive-index flint glass provides more power with less

curvature needed
SF11
1.79 @
0.55 mm
High-refractive-index flint glass provides more power with less

curvature needed
F2
1.62 @
0.55 mm
Material represents a good compromise between higher index and

acceptable mechanical characteristics
BaK1
1.57 @
0.55 mm
Excellent all-around lens material, but has weaker chemical

characteristics than BK7
OQSFS
1.46 @
0.55 mm
Material provides good UV transmission and superior mechanical

characteristics
UVGSFS
1.46 @
0.55 mm
Material provides excellent UV transmission and superior mechanical

characteristics
OPTICAL CROWN
1.52 @
0.55 mm
This lower tolerance glass can be used as a mirror substrate or in noncritical applications
SF11
F2
BaK1
Material Properties
Index of
Refraction
Usable Transmission Range
Material
Page 4.2
Optical-Quality
Synthetic
Fused Silica
(OQSFS)
UV-Grade
Synthetic
Fused Silica
(UVGSFS)
Optical Crown
Glass
Low-expansion
borosilicate glass
LEBG
LEBG
1.48 @
0.55 mm
Excellent thermal stability, low cost, and homogeneity makes LEBG useful
for high-temperature windows, mirror substrates, and condenser lenses
Sapphire
SAPPHIRE
1.77 @
0.55 mm
Excellent mechanical and thermal characteristics make it a superior

window material
2.40 @
10.6 mm
Zinc selenide is most popular for transmissive IR optics, transmits

visible and IR, and has low absorption in the red end of the spectrum
1.399 @
5 mm
This popular UV excimer laser material is used for windows, lenses,

and mirror substrates
ZINC SELENIDE
Zinc Selenide
Calcium
Fluoride
CALCIUM FLUORIDE
0.1
0.5
1.0
5.0
10.0
Optical Coatings
WAVELENGTHS IN mm
4.2
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.3
The most important material properties to consider in regard to

an optical element are as follows:
Mechanical Characteristics
The mechanical characteristics of a material are significant in
many areas. They can affect how easy it is to fabricate the material
into shape, which affects product cost. Scratch resistance is important
if the component will require frequent cleaning. Shock and vibration resistance are important for military, aerospace, or certain
industrial applications. Ability to withstand high pressure differentials is important for windows used in vacuum chambers.
Chemical Characteristics
The chemical characteristics of a material, such as acid or stain
resistance, can also affect fabrication and durability. As with mechanical characteristics, chemical characteristics should be taken into
account for optics used outdoors or in harsh conditions.
Glass manufacturers provide hundreds of different glass types

with differing optical transmissibility and mechanical strengths.
Melles Griot has simplified the task of selecting the right material
for an optical component by offering each of our standard components in a single material, or in a small range of materials best
suited to typical applications.
There are, however, two instances in which one might need to
know more about optical materials: one might need to determine
the performance of a catalog component in a particular application,
or one might need specific information to select a material for a
custom component. The information given in this chapter is intended
to help those in such situations.
Fundamental Optics
Introduction
$ Transmission versus wavelength

Cost
$ Thermal characteristics
Cost is almost always a factor to consider when specifying

materials. Furthermore, the cost of some materials, such as UVgrade synthetic fused silica, increases sharply with larger diameters
because of the difficulty in obtaining large pieces of the material.
$ Mechanical characteristics
$ Chemical characteristics
$ Cost.
Transmission versus Wavelength
A material must be transmissive at the wavelength of interest if
it is to be used for a transmissive component. A transmission curve
allows the optical designer to estimate the attenuation of light, at
various wavelengths, caused by internal material properties. For
mirror substrates, the attenuation may be of no consequence.
$ Index of refraction
Index of Refraction
Material Properties
The index of refraction, as well as the rate of change of index with

wavelength (dispersion), might require consideration. High-index
materials allow the designer to achieve a given power with less
surface curvature, typically resulting in lower aberrations. On the
other hand, most high-index flint glasses have higher dispersions,
resulting in more chromatic aberration in polychromatic applications.
They also typically have poorer chemical characteristics than lower
index crown glasses.
Thermal Characteristics
The thermal expansion coefficient can be particularly important
in applications in which the part is subjected to high temperatures,
such as high-intensity projection systems. This is also of concern
when components must undergo large temperature cycles, such as
in optical systems used outdoors.
Optical Coatings
4.3
Fundamental Optics
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.4
Optical Properties
The most important optical properties of a material are its
internal and external transmittances, surface reflectances, and
refractive indices. The formulas that connect these variables in the
on-axis case are presented below.
TRANSMISSION
External transmittance is the single-pass irradiance transmittance
of an optical element. Internal transmittance is the single-pass irradiance transmittance in the absence of any surface reflection losses
(i.e., transmittance of the material). External transmittance is of
paramount importance when selecting optics for an image-forming
lens system because external transmittance neglects multiple
reflections between lens surfaces. Transmittance measured with an
integrating sphere will be slightly higher. Let Te denote the desired
external irradiance transmittance (see equation 4.1), Ti the
corresponding internal transmittance, t1 the single-pass transmittance of the first surface, and t2 the single-pass transmittance of
the second surface:
4mt c
Te = t1 t 2 Ti = t1 t 2 e
(4.1)
where e is the base of the natural system of logarithms, m is the

absorption coefficient of the lens material, and tc is the lens center
thickness. This allows for the possibility that the lens surfaces might
have unequal transmittances (for example, one is coated and the
other is not). Assuming that both surfaces are uncoated,
t1t 2 = 1 4 2r + r 2
(4.2)
where
Material Properties
n 4 1
r =
n + 1
(4.3)
is the single-surface single-pass irradiance reflectance at normal

incidence as given by the Fresnel formula. The refractive index n must
be known or calculated from the material dispersion formula
(equation 4.6). These results are monochromatic. Both m and n are
functions of wavelength.
To calculate either Ti or the Te for a lens at any wavelength of
interest, first find the value of absorption coefficient m (equation 4.4).
Typically, internal transmittance Ti is tabulated as a function of wavelength for two distinct thicknesses Tc1 and Tc2, and m must be found
from these. Thus
m =4
Optical Coatings
1 1n Ti (t c1 )
1n Ti (t c2 )
+
2
t c1
t c2
m =4
4.4
tc
1n Ti .
The on-axis Te value is normally the most useful, but some

applications require that transmittance be known along other ray
paths, or that it be averaged over the entire lens surface. The method
outlined above is easily extended to encompass such cases. Values
of t1 and t2 must be found from complete Fresnel formulas for arbitrary angles of incidence. The angles of incidence will be different
at the two surfaces; therefore, t1 and t2 will generally be unequal.
Distance tc, which becomes the surface-to-surface distance along
a particular ray, must be determined by ray tracing. It is necessary
to account separately for the s- and p-planes of polarization, and
it is usually sufficient to average results for both planes at the end
of the calculation.
REFRACTIVE INDEX AND DISPERSION

The Schott Optical Glass catalog offers nearly 300 different
optical glasses. For lens designers, the most important difference
among these glasses is the index of refraction and dispersion (rate
of change of index with wavelength). Typically, an optical glass is
specified by its index of refraction at a wavelength in the middle of
the visible spectrum, usually 587.56 nm (the helium d-line), and by
the Abb v-value, defined to be vd = (nd41)/ (nF4nC). The designations F and C stand for 486.1 nm and 656.3 nm, respectively. Here,
vd shows how the index of refraction varies with wavelength. The
smaller vd is, the faster the rate of change is. Glasses are roughly
divided into two categories: crowns and flints. Crown glasses are
those with nd < 1.60 and vd > 55, or nd > 1.60 and vd > 50. The
others are flint glasses.
The refractive index of glass from 365 to 2300 nm can be
calculated by using the following formula:
B1l2
B2l2
B3l2
n = 2
+ 2
+ 2
+ 1
l 4 C2
l 4 C3
l 4 C1
1/2
(4.6)
Here l, the wavelength, must be in micrometers, and the constants

B1 through C3 are given by the glass manufacturer. Our tabulation of these constants for the glasses used in our catalog
components are presented on page 4.8. Values for other glasses
can be obtained from the manufacturers literature. This equation
yields an index value that is accurate to better than 1!1045 over
the entire transmission range, and even less in the visible spectrum.
(4.4)
where the bar denotes averaging. In portions of the spectrum where

absorption is strong, a value for Ti is typically given only for the lesser
thickness. Then
1
When it is necessary to find transmittance at wavelengths other

than those for which Ti is tabulated, use linear interpolation.
(4.5)
OTHER OPTICAL CHARACTERISTICS

Homogeneity within Melt
Homogeneity within melt is the amount of refractive index
variation within the manufactured glass blank. Inhomogeneity of
refractive index can result in transmitted wavefront distortion. The
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.5
Striae Grade
Stress Birefringence
APPLICATION NOTE
Fused-Silica Optics
Synthetic fused silica, described on page 4.11, is an
ideal optical material for many laser applications.
It is transparent from as low as 180 nm to over
2.0 mm, has low coefficient of thermal expansion,
and is resistant to scratching and thermal shock.
For more information on some of the specific
components manufactured from fused silica, see the
following pages: Lenses, pages 6.226.29; Mirrors,
9.129.17; Beamsplitters, 11.411.8.
Striae are thread-like inclusions within an optical glass. Striae

grades are specified in U.S. military specification MIL-G 174B. All
Melles Griot catalog components that utilize Schott optical glass
are specified to have striae that conform to MIL-G 174B grade A.
Grade A means that no visible striae, streaks, or cords are present
in the glass.
Fundamental Optics
maximum value for homogeneity within melt for all Schott optical
glasses used in Melles Griot catalog components is 1!1044.
Mechanical stress in optical glass leads to birefringence (anisotropy

in index of refraction) which can impair the optical performance of
a finished component. Optical glass is annealed (heated and cooled)
to remove any residual stress left over from the original manufacturing process. Schott Glass defines fine annealed glass to have a
maximum of 12 nm/cm of residual stress birefringence for blanks
of up to 800 mm in diameter and 100 mm in thickness.
Material Properties
Optical Coatings
4.5
Material Properties
Fundamental Optics
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.6
Mechanical and Chemical Properties

Mechanical and chemical properties of glass are important to lens
manufacturers. These properties can also be significant to the user,
especially when the component will be used in a harsh environment.
Different polishing techniques and special handling may be needed
depending on whether the glass is hard or soft, or whether it is
extremely sensitive to acid or alkali.
To quantify the chemical properties of glasses, each glass is rated
according to four categories: climatic resistance, stain resistance, acid
resistance, and alkali and phosphate resistance.
Climatic Resistance
Microhardness
The most important mechanical property of glass is microhardness. A precisely specified diamond scribe is placed on the glass
surface under a known force. The indentation is then measured.
The Knoop and the Vickers microhardness tests are used to measure
the hardness of a polished surface and a freshly fractured surface,
respectively.
Humidity can cause a cloudy film to appear on the surface of

some optical glass. Climatic resistance expresses the susceptibility
of a glass to this process. In this test, glass is placed in a watervapor-saturated environment and subjected to a temperature cycle
which alternately causes condensation and evaporation. The glass
is given a rating from 1 to 4 depending on the amount of surface
scattering induced by the test. A rating of 1 indicates little or no
change after seven days of exposure; a rating of 4 means a significant
change occurred in less than 30 hours.
Stain Resistance
Stain resistance expresses resistance to mildly acidic water
solutions, such as fingerprints or perspiration. In this test, a few
drops of a mild acid are placed on the glass. A colored stain, caused
by interference, will appear if the glass starts to decompose. A rating
from 1 to 5 is given to each glass, depending on how much time
elapses before stains occur. A rating of 1 indicates no observed stain
in 100 hours of exposure; a rating of 5 means that staining occurred
in less than 0.2 hours.
Acid Resistance
APPLICATION NOTE
Acid resistance quantifies the resistance of a glass to stronger

acidic solutions. Acid resistance can be particularly important to
lens manufacturers because acidic solutions are typically used to strip
coatings from glass or to separate cemented elements. A rating
from 1 to 4 indicates progressively less resistance to a pH 0.3 acid
solution, and values from 51 to 53 are used for glass with too little
resistance to be tested with such a strong solution.
Glass Manufacturers
Alkali and Phosphate Resistance
Optical Coatings
from 1 to 4, indicates the length of time that elapses before any

surface change occurs in the glass, and the second digit reveals the
extent of the change.
Alkali resistance is also important to the lens manufacturer

since the polishing process usually takes place in an alkaline
solution. Phosphate resistance is becoming more significant as
users move away from cleaning methods that involve chlorofluorocarbons (CFCs) to those that may be based on traditional
phosphate-containing detergents. In each case, a two-digit number
is used to designate alkali or phosphate resistance. The first number,
4.6
The catalogs of optical glass manufacturers contain

products covering a very wide range of optical
characteristics. However, it should be kept in mind
that the glass types that exhibit the most desirable
properties in terms of index of refraction and
dispersion often have the least practical chemical and
mechanical characteristics. Furthermore, poor
chemical and mechanical attributes translate directly
into increased component costs because working
these sensitive materials increases fabrication time
and lowers yield. Please contact us before specifying
an exotic glass in an optical design so that we can
advise you of the impact that that choice will have on
part fabrication.
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.7
Fundamental Optics

Melles Griot simple lenses are made of synthetic fused silica,
BK7 grade A fine annealed glass, and several other materials. The
following table identifies the materials used in Melles Griot lenses.
Some of these materials are also used in prisms, mirror substrates,
and other products.
Synthetic Fused Silica, UV Grade
01 LQC
01 LQD
01 LQP
01 LQS
Glass type designations and physical constants are the same as

those published by Schott Glass. Melles Griot occasionally uses
corresponding glasses made by other glass manufacturers but only
when this does not result in a significant change in optical properties.
Synthetic Fused Silica, Optical Quality
01 LQB
01 LQF
01 LQT
BK7 OPTICAL GLASS
BK7, Grade A Fine Annealed
01 LCN
01 LCP
01 LDK
01 LDX
01 LFS
01 LMN
01 LMP
01 LPK
01 LPX
LaSF N9, Grade A Fine Annealed
01 LPX 401
01 LPX 405
01 LPX 407
01 LPX 411
01 LPX 413
06 LMS
BaK1, Grade A Fine Annealed
01 LPX 415
01 LPX 421
01 LPX 423
Optical Crown
01 LAG

(LEBG)
Selected 01 CMP series
SF11, Grade A Fine Annealed
06 LXP
SK11 and SF5, Grade A Fine Annealed
06 LAI
Sapphire
01 LSX
Zinc Selenide
12 LNZ
12 LPZ
Various Glass Combinations
01 LAL
01 LAO
01 LAT
01 LBX
04 ECW
04 EHY
04 EPP
04 ERA 001
04 EWA
04 EWP 001
04 EWR 001
04 OAS
04 OAP
06 DDL
06 DBF
06 GLC
06 GLR
09 LBM
09 LCM
09 LSL
Optical Coatings
Melles Griot reserves the right to make material changes or substitutions on any optical components without prior notice.
Material Properties
A borosilicate crown glass, BK7, is the material used in many

Melles Griot products. BK7 performs well in chemical tests so that
special treatment during polishing is not necessary. BK7, relatively
hard glass, does not scratch easily and can be handled without special precautions. The bubble and inclusion content of BK7 is very
low: the bubble and inclusion content cross-section totals less than
0.029 mm2 per 100 cm3. Another important characteristic of BK7
is its excellent transmittance, as low as 350 nm. Because of these properties, BK7 is used widely throughout the optics industry. A variant of BK7, designated UBK7, has transmission almost as low as
300 nm. This special glass is useful in applications requiring a high
index of refraction, the desirable chemical properties of BK7, and
transmission deeper into the ultraviolet range.
Selected 01 CMP series
The following physical constant values are reasonable averages

based on historical experience. Individual material specimens may
deviate from these means. Materials having tolerances more
restrictive than those published in the rest of this chapter, or materials
traceable to specific manufacturers, are available only on special
request.
Lens Product Numbers
The quality of performance of optical lenses and prisms depends

on the quality of the material used. No amount of skill during
manufacture can eradicate striae, bubbles, inclusions, or variations
in index. Melles Griot takes considerable care in its material selection,
using only first-class optical materials from reputable glass manufacturers. The result is reliable, repeatable, consistent performance.
Materials
4.7
Fundamental Optics
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.8
Five Schott Glass Types

The following tables list the most important optical and physical
constants for Schott optical glass types BK7, SF11, LaSFN9,
BaK1, and F2. These types are used in most Melles Griot simple
lens products and prisms. Index of refraction and transmission, as well
as the most commonly required chemical characteristics and mechanical constants, are listed. Further numerical data and a more detailed
discussion of the various testing processes can be found in the Schott
Optical Glass catalog.
listed. It can be used to interpolate refractive index at other wavelengths within this range (to a precision of 1!1045 or better), but it
should not be used to extrapolate to wavelengths beyond this range.
Furthermore, the actual melt-to-melt tolerance on the index of refraction typically is about 0.001.
The internal transmittance values shown are melt-to-melt experimental means and may be affected by thermal history (coating,
annealing, or tempering operations) after manufacture.
The index of refraction data were obtained by using the constants

listed below together with the dispersion formula (equation 4.6).
The constants were determined through the index-of-refraction
measurements of a typical melt for each glass type. Note that the
dispersion formula is valid only within the wavelength range
For more detailed information of these materials, please refer to

the Schott Optical Glass catalog.
Physical Constants of Five Schott Glasses
Glass Type
BK7
SF11
LaSFN9
BaK1
F2
0.001
0.001
0.002
0.001
0.001
1!1044
1!1044
1!1044
1!1044
A
10
A
10
A
10
A
10
1!1044
A
10
64.17
25.76
32.17
57.55
36.37
1.03961212
2.31792344!1041
1.01046945
6.00069867!1043
2.00179144!1042
1.03560653!102
1.73848403
3.11168974!1041
1.17490871
1.36068604!1042
6.15960463!1042
1.21922711!102
1.97888194
3.20435298!1041
1.92900751
1.18537266!1042
5.27381770!1042
1.66256540!102
1.12365662
3.09276848!1041
8.81511957!1041
6.44742752!1043
2.22284402!1042
1.07297751!102
1.34533359
2.09073176!1041
9.37357162!1041
9.97743871!1043
4.70450767!1042
1.11886764!102
2.51
4.74
4.44
3.19
3.61
7.1!1046
8.3!1046
6.1!1046
6.8!1046
7.4!1046
8.4!1046
7.6!1046
8.6!1046
8.2!1046
9.2!1046
557C
505C
703C
592C
438C
8.20!10 9
6.60!10 9
1.09!10 10
7.30!10 9
5.70!10 9
Climate Resistance
Stain Resistance
Acid Resistance
Alkali Resistance
Phosphate Resistance
2
0
1.0
2.0
2.3
1
0
1.0
1.2
1.0
2
0
2.0
1.0
1.0
2
1
3.3
1.2
2.0
1
0
1.0
2.3
1.3
Knoop Hardness
610
450
630
530
420
Poissons Ratio
0.206
0.235
0.286
0.252
0.220
Melt-to-Melt Mean Index Tolerance

Homogeneity within Melt
Striae Grade (MIL-G-174-A)
Stress Birefringence, nm/cm, Yellow Light
Abb Factor (vd )
Constants of Dispersion Formula:
B1
B2
B3
C1
C2
C3
Coefficient of Linear Thermal Expansion (a):

430 to +70 (per C)
+20 to +300 (per C)
Transformation Temperature
Youngs Modulus (dynes/mm2)
Optical Coatings
Material Properties
Density (g /cm43)
4.8
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.9
Fundamental Optics
Refractive Index of Five Schott Glass Types
LaSFN9
BaK1
F2
351.1
363.8
404.7
435.8
441.6
1.53894
1.53649
1.53024
1.52668
1.52611
1.84208
1.82518
1.82259
1.89844
1.88467
1.88253
1.60062
1.59744
1.58941
1.58488
1.58415
1.67359
1.66682
1.65064
1.64202
1.64067
457.9
465.8
472.7
476.5
480.0
1.52461
1.52395
1.52339
1.52309
1.52283
1.81596
1.81307
1.81070
1.80946
1.80834
1.87700
1.87458
1.87259
1.87153
1.87059
1.58226
1.58141
1.58071
1.58034
1.58000
1.63718
1.63564
1.63437
1.63370
1.63310
486.1
488.0
496.5
501.7
514.5
1.52238
1.52224
1.52165
1.52130
1.52049
1.80645
1.80590
1.80347
1.80205
1.79880
1.86899
1.86852
1.86645
1.86524
1.86245
1.57943
1.57927
1.57852
1.57809
1.57707
1.63208
1.63178
1.63046
1.62969
1.62790
532.0
546.1
587.6
589.3
632.8
1.51947
1.51872
1.51680
1.51673
1.51509
1.79479
1.79190
1.78472
1.78446
1.77862
1.85901
1.85651
1.85025
1.85002
1.84489
1.57580
1.57487
1.57250
1.57241
1.57041
1.62569
1.62408
1.62004
1.61989
1.61656
643.8
656.3
694.3
786.0
821.0
1.51472
1.51432
1.51322
1.51106
1.51037
1.77734
1.77599
1.77231
1.76558
1.76359
1.84376
1.84256
1.83928
1.83323
1.83142
1.56997
1.56949
1.56816
1.56564
1.56485
1.61582
1.61503
1.61288
1.60889
1.60768
830.0
852.1
904.0
1014.0
1060.0
1.51020
1.50980
1.50893
1.50731
1.50669
1.76311
1.76200
1.75970
1.75579
1.75445
1.83098
1.82997
1.82785
1.82420
1.82293
1.56466
1.56421
1.56325
1.56152
1.56088
1.60739
1.60671
1.60528
1.60279
1.60190
1300.0
1500.0
1550.0
1970.1
2325.4
1.50370
1.50127
1.50065
1.49495
1.48921
1.74901
1.74554
1.74474
1.73843
1.73294
1.81764
1.81412
1.81329
1.80657
1.80055
1.55796
1.55575
1.55520
1.55032
1.54556
1.59813
1.59550
1.59487
1.58958
1.58465
h
g
F
F
e
d
D
C
C
s
t
Source
Spectral Region
Ar laser
Ar laser
Hg arc
Hg arc
HeCd laser
UV
UV
Violet
Blue
Blue
Ar laser
Ar laser
Ar laser
Ar laser
Cd arc
Blue
Blue
Blue
Blue
Blue
H2 arc
Ar laser
Ar laser
Ar laser
Ar laser
Blue
Blue
Green
Green
Green
Nd laser
Hg arc
He arc
Na arc
HeNe laser
Green
Green
Yellow
Yellow
Red
Cd arc
H2 arc
Ruby laser
Red
Red
Red
IR
IR
GaAlAs laser
Ce arc
GaAs laser
Hg arc
Nd laser
IR
IR
IR
IR
IR
InGaAsP laser
IR
IR
IR
IR
IR
Hg arc
Hg arc
4.9
Optical Coatings
Fraunhofer
Designation
Material Properties
SF11
BK7
Refractive Index, n
Wavelength
l
(nm)
Fundamental Optics
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.10
Internal Transmittance of Five Schott Glass Types

Internal Transmittance (%)
SF11
Thickness (mm)
LaSFN9
Thickness (mm)
BaK1
Thickness (mm)
F2
Thickness (mm)
Thickness (mm)
25
25
25
25
25
300
310
320
330
340
0.26
0.59
0.81
0.91
0.96
0.07
0.35
0.65
0.83
0.64
0.81
0.89
0.94
0.97
0.11
0.34
0.56
0.73
0.84
0.81
0.42
350
360
370
380
390
0.986
0.991
0.995
0.996
0.998
0.93
0.96
0.974
0.980
0.989
0.13
0.46
0.02
0.55
0.70
0.80
0.05
0.18
0.34
0.981
0.990
0.995
0.996
0.997
0.91
0.95
0.976
0.982
0.987
0.95
0.973
0.987
0.992
0.995
0.78
0.87
0.94
0.96
0.973
400
420
440
460
480
0.998
0.998
0.999
0.999
0.999
0.991
0.993
0.994
0.994
0.995
0.73
0.93
0.97
0.986
0.991
0.21
0.69
0.86
0.93
0.95
0.86
0.92
0.94
0.96
0.972
0.47
0.66
0.76
0.83
0.87
0.998
0.998
0.998
0.998
0.998
0.988
0.989
0.989
0.990
0.991
0.996
0.997
0.998
0.998
0.999
0.982
0.987
0.989
0.991
0.992
500
540
580
620
660
0.999
0.999
0.999
0.999
0.999
0.996
0.996
0.996
0.997
0.997
0.995
0.998
0.998
0.998
0.999
0.976
0.988
0.992
0.992
0.993
0.980
0.990
0.995
0.996
0.997
0.91
0.95
0.975
0.983
0.986
0.998
0.999
0.999
0.999
0.999
0.991
0.993
0.994
0.995
0.996
0.999
0.999
0.999
0.999
0.999
0.993
0.995
0.995
0.995
0.995
700
0.999
0.998
0.999
0.994
0.997
0.990
0.999
0.997
0.999
0.996
Optical Coatings
Material Properties
Wavelength
l
(nm)
BK7
4.10
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.11
Fused silica is an ideal optical material for many applications. It

is transparent over a wide spectral range, has a low coefficient of
thermal expansion, and is resistant to scratching and thermal shock.
Synthetic fused silica is far purer than fused quartz. This

increased purity ensures higher ultraviolet transmission and freedom
from striae or inclusions. The synthetic fused-silica materials used
by Melles Griot are manufactured by flame hydrolysis to extremely
high standards. The resultant material is colorless and non-crystalline,
and it has an impurity content of only about one part per million.
Controlling the purity of reactants and the conditions of reaction
ensures the high quality of the synthetic fused silica from which our
lenses are made.
$ Greater ultraviolet and infrared transmission

$ Low coefficient of thermal expansion, which provides stability
and resistance to thermal shock over large temperature
excursions
$ Wider thermal operating range
$ Increased hardness and resistance to scratching
$ Much higher resistance to radiation darkening from
ultraviolet, X-rays, gamma rays, and neutrons.
UV-grade synthetic fused silica (UVGSFS) is selected to offer

the highest transmission (especially in the deep ultraviolet) and very
low fluorescence levels (approximately 0.1% that of fused natural
quartz excited at 254 nm). UV-grade synthetic fused silica does not
fluoresce in response to wavelengths longer than 290 nm. In deep
ultraviolet applications, UV-grade synthetic fused silica is an ideal
choice. Its tight index tolerance ensures highly predictable lens
specifications.
Figure 4.2 shows a semilogarithmic comparison of the internal

transmittances of UV-grade synthetic fused silica and BK7 glass.
It is evident from this graph that UV-grade synthetic fused silica
averages about two orders of magnitude less absorption loss than
BK7 across the visible spectrum. In a sample thickness of 10 mm,
the internal transmittance of UV-grade synthetic fused silica differs
from unity only in the fifth decimal place. The high internal transmittance of such a material can be exploited by maintaining the optic
at Brewsters angle for the appropriate linear polarization, or with
the assistance of high-efficiency antireflection coatings such as
HEBBAR or one of the laser line V-coats. With these coatings it
is possible to achieve external transmittances of 98.5% and 99.5%,
respectively. Synthetic fused silica and HEBBAR are especially
well suited to each other in visible spectrum applications.
4.11
Optical Coatings
The left-hand table on page 4.13 shows the refractive index of a

typical UV-grade synthetic fused silica versus wavelength at 20C.
To obtain the index for optical-quality synthetic fused silica, round
the values off to the fourth decimal place.
Visible spectrum batch-to-batch transmittance variations in

synthetic fused silica are insignificant. The high ultraviolet internal
transmittance of UV-grade synthetic fused silica is correlated with
a visible internal transmittance that is so high it is beyond traditional
methods of measurement. It is necessary to measure optical signal
attenuation in fibers drawn of the material.
Material Properties
Optical-quality synthetic fused silica (OQSFS) lenses are ideally suited for applications in energy-gathering and imaging systems
in the mid-ultraviolet, visible, and near-infrared spectral regions.
The low dispersion of fused silica reduces chromatic aberration.
Infrared batch-to-batch transmittance variations in synthetic

fused silica are attributable to fluctuations in the OH chemical bond
content. These variations are most pronounced at wavelengths near
and beyond the water absorption band at 2.7 mm and are normally
uncontrolled because ultraviolet transmittance is generally regarded
as more important. High infrared transmittance can be ensured by
appropriate manufacturing controls, but only at the sacrifice of
ultraviolet transmittance.
Synthetic fused-silica lenses offer a number of advantages over

glass or fused quartz:
Synthetic fused silica also shows batch-to-batch transmittance

variations, especially in deep ultraviolet and infrared. These
variations are related to manufacture and impurity content rather
than subsequent history. In the ultraviolet, these variations have
been attributed to uncontrollable fluctuations in metallic impurity
content at the parts per billion level. Ultraviolet transmittance is the
basis for the classifications UV grade and optical quality. A
specification of UV grade ensures that a specimen is represented by
the broadest curve. Transmittance curves for optical quality may fall
anywhere between the UVGSFS curve and the OQSFS curve shown
in figure 4.1.
Synthetic fused silica (amorphous silicon dioxide) is formed by

chemical combination of silicon and oxygen. It is not to be confused
with fused quartz, which is made by crushing and melting natural
crystals, or by fusing silica sand, which results in a granular microstructure and bubble entrapment. Microstructure and impurities
lead to local index variations and contribute, along with bubbles and
opaque particles, to reduced transmission throughout the spectrum.
Glass transmittances are affected by thermal history after manufacture, as well as during the manufacturing process. Depending on
the manufacturer and subsequent thermal processing (coating,
annealing, or tempering), it is possible for any optical glass, including
BK7, to show internal transmittance reductions of several percent
across the entire spectrum with external transmittance correspondingly affected. Transmittance of all glass is especially uncertain at
wavelengths approaching the water absorption band at 2.7 mm.
Fundamental Optics
Synthetic Fused Silica
7/30/99
5:09 PM
Page 4.12
Fundamental Optics
Chpt. 4 Final
a) LOWER LIMITS
100
80
70
50
OQSF
40
BK7
60
UVGSFS
PERCENT EXTERNAL TRANSMITTANCE
90
30
20
10
0
140
160
180
200
220
240
260
280
300
320
340
360
380
400
420
440
460
480
500
WAVELENGTH IN NANOMETERS
b) UPPER LIMITS
100
BK7
80
50
OQSF
60
70
UVGSF
Material Properties
90
40
30
20
10
0
Optical Coatings
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
WAVELENGTH IN MICROMETERS
Figure 4.1
4.12
Comparison of uncoated external transmittances for UVGSFS, OQSFS, and BK7, all 10 mm in thickness
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.13
Fundamental Optics
SYNTHETIC FUSED-SILICA CONSTANTS

200
400
600
800 1000 1200 1400
99.997
99.995
99.993
n2 4 1 =
99.95
99.93
99.5
BK7
UVGSFS
99.3
99.0
97
95
93
0.8974794l2
l2 4 (9.896161) 2
0.4079426l2
2
l 4 (0.1162414) 2
(4.7)
Refractive Index of UV-Grade Synthetic Fused Silica*
99.90
99.7
99.1
l 4 (0.0684043)
+
OH bond
resonance
99.91
0.6961663l2
2
Figure 4.2 Semilogarithmic comparison of internal

transmittances of UVGSFS and BK7
The internal transmittance of UV-grade synthetic fused silica

shows a pronounced dip at 950 nm, while the data for BK7 give
no hint of a corresponding feature. It should be understood that BK7
and UVGSFS are manufactured by very different processes. One
of the many differences in these materials is that UVGSFS has a
much higher content of OH chemical bonds (hydroxyl content)
than does BK7. The dip in UVGSFS transmittance corresponds to
the OH bond resonance.
of Fused Silica, Journal of the Optical Society of America 55, no. 10

(October 1965): 12051209.
Wavelength
(nm)
Index of
Refraction
180.0
190.0
200.0
213.9
226.7
1.58529
1.56572
1.55051
1.53431
1.52275
532.0
546.1
587.6
589.3
632.8
1.46071
1.46008
1.45846
1.45840
1.45702
230.2
239.9
248.3
265.2
275.3
1.52008
1.51337
1.50840
1.50003
1.49591
643.8
656.3
694.3
706.5
786.0
1.45670
1.45637
1.45542
1.45515
1.45356
280.3
289.4
296.7
302.2
330.3
1.49404
1.49099
1.48873
1.48719
1.48054
820.0
830.0
852.1
904.0
1014.0
1.45298
1.45282
1.45247
1.45170
1.45024
340.4
351.1
361.1
365.0
404.7
1.47858
1.47671
1.47513
1.47454
1.46962
1064.0
1100.0
1200.0
1300.0
1400.0
1.44963
1.44920
1.44805
1.44692
1.44578
435.8
441.6
457.9
476.5
486.1
1.46669
1.46622
1.46498
1.46372
1.46313
1500.0
1550.0
1660.0
1700.0
1800.0
1.44462
1.44402
1.44267
1.44217
1.44087
488.0
496.5
514.5
1.46301
1.46252
1.46156
1900.0
2000.0
2100.0
1.43951
1.43809
1.43659
*Accuracy 83!1045.
4.13
Optical Coatings
1Malitson, I.H. Interspecimen Comparison of the Refractive Index
Index of
Refraction
Material Properties
200
400
600
800 1000 1200 1400
Wavelength
(nm)
PERCENT INTERNAL TRANSMITTANCE
99.990
99.97
99.991
Abb Constant: 67.880.5

Change of Refractive Index with Temperature (0 to 700C):
1.28 ! 1045/C
Homogeneity (maximum index variation over 10-cm aperture):
2 ! 1045
Density (at 25C): 2.20 g/cc
Continuous Operating Temperature: Maximum 900C
Coefficient of Thermal Expansion: 5.5 ! 1047/C
Specific Heat (25C): 0.177 cal/gC
Dispersion Formula1 at 20C (l in mm):
Fundamental Optics
Chpt. 4 Final
7/30/99
5:09 PM
Page 4.14
Optical Crown Glass

In optical crown glass, a low-index commercial-grade glass, the
index of refraction, transmittance, and homogeneity are not
controlled as carefully as they are in optical-grade glasses such as
BK7. Optical crown is suitable for applications in which component
tolerances are fairly loose and as a substrate material for mirrors.
Transmittance characteristics for optical crown are shown in
figure 4.3. Relevant properties of optical crown are shown in the
accompanying table.
OPTICAL CROWN GLASS CONSTANTS
Glass Type Designation: B270
Abb Constant:
Wavelength
(nm)
Refractive
Index, n
Fraunhofer
Designation
435.8
480.0
486.1
546.1
587.6
1.53394
1.52960
1.52908
1.52501
1.52288
g
F
F
e
d
Hg arc
He arc
Blue
Blue
Blue
Green
Yellow
589.0
643.8
656.3
1.52280
1.52059
1.52015
D
C
C
Na arc
Cd arc
H2 arc
Yellow
Red
Red
Source
Hg arc
Cd arc
H2 arc
Spectral
Region
vd = 58.5
Dispersion: (nF 4 nC ) = 0.0089
Transmission Values for 6-mm-thick Sample
Density: 2.55 g cm43 at 23C
300 nm = 0.3%
310 nm = 7.5%
320 nm = 30.7%
330 nm = 56.6%
340 nm = 73.6%
350 nm = 83.1%
Youngs Modulus: 71.5 kN/mm2

Specific Heat: Cp (20 to 100C) = 0.184 cal/gC
Refractive Index of Optical Crown Glass
Coefficient of Linear Expansion (20 to 300C):

93.3 ! 1047/C
Transformation Temperature: 521C
Softening Point: 708C
360 nm = 87.2%
380 nm = 88.8%
400 nm = 90.6%
450 nm = 90.9%
500 nm = 91.4%
600 nm = 91.5%
Note: Transmission in visible region (including reflection loss) = 91.7% (t = 2 mm).
100
Material Properties
90
80
70
60
50
40
30
20
10
Optical Coatings
300
400
500
1000
2000
3000
Figure 4.3
4.14
External transmittance for 10-mm-thick uncoated optical crown glass
Chpt. 4 Final
7/30/99
5:10 PM
Page 4.15
Refractive Index of Low-Expansion Borosilicate Glass

Wavelength
(nm)
Refractive
Index, n
Fraunhofer
Designation
486.1
514.5
546.1
587.6
643.8
1.479
1.477
1.476
1.474
1.472
F
e
d
C
Source
Spectral
Region
H2 arc
Ar laser
Hg arc
Na arc
Cd arc
Blue
Green
Green
Yellow
Red
The most well-known low-expansion borosilicate glass (LEBG)

is Pyrex made by Corning. It is well suited for applications in
which high temperature, thermal shock, or resistance to chemical
attack are primary considerations. On the other hand, LEBG is
typically less homogeneous and contains more striae and bubbles
than optical glasses such as BK7. This material is ideally suited
to such tasks as mirror substrates, condenser lenses for high-power
illumination systems, or windows in high-temperature
environments. Because of its low cost and excellent thermal stability,
it is the standard material used in test plates and optical flats. As
seen in figure 4.4, transmission of LEBG extends into the
ultraviolet and well into the infrared. The index of refraction in
this material varies considerably from batch to batch. Typical
values are shown in the accompanying table.
Fundamental Optics
LOW-EXPANSION BOROSILICATE GLASS CONSTANTS

Abb Constant: vd = 66
Youngs Modulus: 5.98 !109 dynes/mm2
Poissons Ratio: 0.20

Specific Heat at 25C: 0.17 cal/gC
3.25!1046/C
Melting Point: 1250C
100
Material Properties
Pyrex is a registered trademark of Corning, Inc.
80
60
40
20
0
.2
.4
.6
.8
1.4
2.4
2.8
Optical Coatings
Figure 4.4 External transmittance for 8-mm-thick uncoated

low-expansion borosilicate glass
4.15
10/11/99
9:14 AM
Page 4.16
Sapphire
Sapphire is a superior window material in many ways. Because
of its extreme surface hardness, sapphire can be scratched by only
a few substances (such as diamond or boron nitride) other than
itself. Chemically inert and insoluble in almost everything except at
highly elevated temperatures, sapphire can be cleaned with impunity.
For example, even hydrogen fluoride fails to attack sapphire at
temperatures below 300C. Sapphire exhibits high internal
transmittance all the way from 150 nm (vacuum ultraviolet) to
6000 nm (middle infrared). The external transmittance of sapphire
is shown in figure 4.5. Because of its great strength, sapphire windows
can safely be made much thinner than windows of other glass types,
and therefore are useful even at wavelengths that are very close to
their transmission limits. Because of the exceptionally high thermal
conductivity of sapphire, thin windows can be very effectively cooled
by forced air or other methods. Conversely, sapphire windows can
easily be heated to prevent condensation.
Sapphire is single-crystal aluminum oxide (Al2O3). Because of
its hexagonal crystalline structure, sapphire exhibits anisotropy in
many optical and physical properties. The exact characteristics of an
optical component made from sapphire depend on the orientation
of the optic axis or c-axis relative to the element surface. Sapphire
exhibits birefringence, a difference in index of refraction in orthogonal
directions. The difference in index is 0.008 between light traveling
along the optic axis and light traveling perpendicular to it. Malitson1
determined a dispersion relationship for the ordinary ray in sapphire.
This formula, along with the appropriate constants is shown below
(l in micrometers):
100
Fundamental Optics
Chpt. 4 Final
80
60
40
20
.1
.2
.3 .5
1.5
Figure 4.5
sapphire
External transmittance for 1-mm-thick uncoated
SAPPHIRE CONSTANTS*
Youngs Modulus*: 3.7 ! 1010 dynes/mm2
Poissons Ratio*: 40.02
A1l2
A 2 l2
A 3l2
Moh Hardness: 9 (by definition)
Optical Coatings
Material Properties
n2 4 1 = 4 2
+ 2
+ 2
l 4 l12
l 4 l22
l 4 l23
where
A1 = 1.023798

7.7 ! 1046/C
A 2 = 1.058264
A 3 = 5.280792
*Sapphire is anisotropic in many of its properties which require tensor

description. These values are averages over many directions.
l12 = 0.00377588
l22 = 0.0122544
l23
(4.8)
= 321.3616.
The transmission of sapphire is limited primarily by losses caused

by surface reflections. The high index of sapphire makes magnesium
fluoride almost an ideal single-layer antireflection coating. When
a single layer of magnesium fluoride is deposited on sapphire and
optimized for 550 nm, total transmission of a sapphire component
can be kept above 98% throughout the entire visible spectrum.
1 Malitson, I.H. Refraction and Dispersion of Synthetic Sapphire,
Journal of the Optical Society of America 525, no. 12 (Dec. 1967): 1377.
4.16
Refractive Index of Sapphire

Wavelength
(nm)
Refractive Index
n
265.2
351.1
404.7
488.0
514.5
1.8337
1.7970
1.7858
1.7754
1.7731
532.0
546.1
632.8
1550.0
2000.0
1.7718
1.7708
1.7660
1.7462
1.7377
Chpt. 4 Final
7/30/99
5:10 PM
Page 4.17
Typical of amorphous substances, the vitreous phase has a

positive coefficient of thermal expansion. The crystalline phase has
a negative coefficient of expansion at room temperature. The overall linear thermal expansion coefficient of the combination is almost
zero at useful temperatures.
Fraunhofer
Designation
Refractive Index
n
656.3
643.8
587.6
546.1
486.1
480.0
435.8
C
C
d
e
F
F
g
1.5394
1.5399
1.5424
1.5447
1.5491
1.5497
1.5544
.8
.6
.4
.2
271
fused silica
Figure 4.6 shows the variation of expansion coefficient with

temperature for a typical sample. The actual performance varies very
slightly, batch to batch, with the room temperature expansion
coefficient in the range of 80.15 ! 1046/C. By design, this material
exhibits a change in the sign of the coefficient near room temperature.
A comparison of the thermal expansion coefficients of ZERODUR
and fused silica is shown in the figure. ZERODUR, is markedly
superior over a large temperature range, makes ideal mirror
substrates for such stringent applications as multiple-exposure
holography, holographic and general interferometry, manipulation
of moderately powerful laser beams, and space-borne imaging
systems.
Wavelength
(nm)
ZERODUR, which belongs to the glass-ceramic composite

class of materials, has both an amorphous (vitreous) component and
a crystalline component. This Schott glass is subjected to special
thermal cycling during manufacture so that approximately 75% of
the vitreous material is converted to the crystalline quartz form.
The crystals are typically only 50 nm in diameter, and ZERODUR
appears reasonably transparent to the eye because the refractive
indices of the two phases are almost identical. However, scattering
at the grain boundaries precludes the use of ZERODUR for
transmissive optics.
Refractive Index of ZERODUR
THERMAL EXPANSION COEFFICIENT (X 106/ K)
Many optical applications require a substrate material with a

near-zero coefficient of thermal expansion and/or excellent thermal
shock resistance. ZERODUR with its very small coefficient of
thermal expansion at room temperature is such a material.
Fundamental Optics
ZERODUR
0
.2
ZERODUR
.4
.6
.8
250
150
50
50
150
TEMPERATURE IN DEGREES CENTIGRADE
ZERODUR CONSTANTS
Figure 4.6 Comparison of thermal expansion coefficients

of ZERODUR and fused silica
Dispersion: (nf nc) = 0.00967

Density: 2.53 g cm43 a 25C
Youngs Modulus: 9.1 ! 109 dynes/mm2
Poissons Ratio: 0.24
Material Properties
Abb Constant: vd = 66
MIRROR SUBSTRATES

Coefficient of Linear Expansion (20 to 300C) :
0.0580.10 ! 1046/C
Maximum Temperature: 600C
Optical Coatings
ZERODUR is commonly
used as a substrate for
l/20 mirrors with
aluminum type coatings.
See Chapter 9, Mirrors,
for ZERODUR coated
mirrors.
Zerodur is a registered trademark of Schott Glass Technologies.
4.17
9/2/99
4:02 PM
Page 4.18
Calcium Fluoride
Calcium fluoride (CaF2), a cubic single-crystal material, has
widespread applications in the ultraviolet and infrared spectra.
CaF2 is an ideal material for use with excimer lasers. It can be
manufactured into windows, lenses, prisms, and mirror substrates.
Wavelength
(mm)
Refractive Index
n
0.193
0.248
0.257
0.266
0.308
0.355
0.486
0.587
0.65
0.7
1.0
1.5
2.0
2.5
3.0
4.0
5.0
6.0
7.0
8.0
1.501
1.468
1.465
1.462
1.453
1.446
1.437
1.433
1.432
1.431
1.428
1.426
1.423
1.421
1.417
1.409
1.398
1.385
1.369
1.349
CaF2 transmits over the spectral range of about 130 nm to

10 mm as shown in figure 4.7. Traditionally, it has been used primarily
in the infrared, rather than in the ultraviolet. CaF2 occurs naturally and can be mined. It is also produced synthetically using the
Stockbarger method, which is a time- and energy-consuming process.
Unfortunately, achieving acceptable deep ultraviolet transmission
and damage resistance in CaF2 requires much greater material
purity than in the infrared, and it completely eliminates the possibility of using mined material.
To meet the need for improved component lifetime and
transmission at 193 nm and below, manufacturers have introduced
a variety of inspection and processing methods to identify and
remove various impurities at all stages of the production process,
from incoming materials through crystallization. The needs for
improved material homogeneity and stress birefringence have also
caused producers to make alterations to the traditional Stockbarger
approach. These changes allow tighter temperature control during
crystal growth, as well as better regulation of vacuum and annealing
process parameters.
Excimer-grade CaF2 provides the combination of deep ultraviolet
transmission (for 193 nm and even 157 nm), high damage threshold, resistance to color center formation, low fluorescence, high
homogeneity, and low stress birefringence characteristics required
for the most demanding deep ultraviolet applications.
CALCIUM FLUORIDE CONSTANTS
Density: 3.18 gm cm43 @ 25C
Material Properties
Refractive Index of Calcium Fluoride
Poisson Ratio: 0.26

dN/dT: 410.6!1046/C
Youngs Modulus: 1.75!107 psi
Coefficient of Linear Expansion:
18.9!1046/C (from 20C to 60C)
Melting Point: 1360C
100
PERCENT TRANSMITTANCE
Fundamental Optics
Chpt. 4 Final
80
60
40
20
0
.2
.4
.6
.8
1.0
4.0
10
External transmittance for calcium fluoride
Optical Coatings
Figure 4.7
4.18
Chpt. 5 Final
7/30/99
5:15 PM
Page 5.1
Fundamental Optics
Optical Coatings
5.2
OEM and Special Coatings
5.3
The Reflection of Light
5.4
Single-Layer Antireflection Coatings
5.8
5.12
Thin-Film Production
5.14
Single-Layer MgF2 Antireflection Coatings
5.17
HEBBAR Coatings
5.18
V-Coatings
5.23
High-Reflection Coatings
5.24
Metallic High-Reflection Coatings
5.25
Dielectric High-Reflection Coatings
5.29
MAXBRIte Coatings
5.33
Laser-Line MAX-R Coatings
5.35
Ultrafast Coating
5.37
Material Properties
Multilayer Antireflection Coatings
Optical Coatings
Optical Coatings
5.1
Optical Coatings
Material Properties
Fundamental Optics
Chpt. 5 Final
7/30/99
5:15 PM
Page 5.2
Optical Coatings
A comprehensive survey of all optical components currently in
use would reveal that the vast majority are made of various types
of glass. This survey would also reveal that a majority of these
optics are coated with thin layers of material(s) different from the
substrate. The purpose of these coatings is to modify the reflection
and transmission properties at the surface of the optical element.
Whenever light passes from one medium into a medium of
different optical properties (most notably refractive index), part of
the light (between 0% and 100%) is reflected and part of the light
(between 100% and 0%) is transmitted. The intensity ratio of reflected
and transmitted components is primarily a function of the difference
in refractive index and the angle of incidence. For many uncoated
optical glasses, reflected light typically represents a few percent of
incident radiation. For designs using more than a few components,
losses in transmitted light level can accumulate rapidly. More
important are corresponding losses in image contrast or modulation
caused by weakly reflected ghost images superimposed on the desired
image. Such unwanted images are often defocused beyond recognition
so that contrast reduction (rather than image confusion) is their
primary effect.
Applications generally require that the reflected portion of
incident light approach 0% for transmitting optics (lenses) and
100% for reflective optics (mirrors), or is at some fixed intermediate value for partial reflectors (beamsplitters). The only applications
that do not require coated optics involve transmitting optics in
which only a few surfaces are in the optical path, where transmission inefficiencies may be tolerable.
In principle, the surface of any optical element can be coated with
thin layers of various materials (called thin films) in order to ensure
the desired reflection/transmission ratio. Unfortunately, with the
exception of simple metallic coatings, this ratio depends on the
nature of the material from which the optic is fabricated, as well as
the wavelength and angle of incidence. There is also a polarization
dependence to this ratio when the angle of incidence is not 0 degrees.
special or OEM order, please contact Melles Griot to discuss your

requirements with one of our qualified applications engineers.
Today, dielectric coatings are remarkably hard and durable.
With proper care and handling, they can have a long life. In fact,
the surface of many high-index glasses that are prone to staining can
be protected with a durable antireflection coating. Several factors
influence coating durability. Coating designs should be optimized
for minimal overall thickness to reduce mechanical stress. The most
resilient materials should be used. Great care should be taken in coating fabrication to ensure high-quality, nongranular, even layers.
Although we cannot prevent accidental abuse of coated optics,
Melles Griot concentrates on these other factors to produce coatings that are as durable as possible.
Although the Melles Griot optical-coating departments have
many years of experience in designing and fabricating various types
of dielectric and metallic coatings, the science of thin films is still
developing rapidly. Melles Griot monitors and incorporates new
technology so that we are always able to offer the most advanced
coatings available.
The Melles Griot range of coatings currently includes antireflection, metallic reflectors, all-dielectric reflectors, hybrid reflectors,
partial reflectors (beamsplitters), and filters for monochromatic,
dichroic, or broadband applications. Many of the coatings can be
applied to the simple optics described in this catalog; some coatings can be applied only to a specific range of products; and some
of the coatings are supplied only as an integral part of a specific product (e.g., cube beamsplitters).
If you require a special coating not described in this catalog, please
contact a Melles Griot applications engineer to discuss our special
coating design services.
A multilayer coating (sometimes more than 100 individual layers)

can optimize the reflection/transmission ratio for several sets of
conditions (wavelength and angle of incidence) or optimize it over
a particular range of conditions.
Melles Griot is the leading supplier of precision simple optics.
Because optics for most applications require a coating of some sort,
it would not have been possible to achieve this market-leading position without our extensive knowledge of thin-film coatings. With
the state-of-the-art coating department located in Irvine, California,
as well as other coating facilities in Japan; Rochester, New York; and
the British Isles, Melles Griot is able not only to coat large volumes
of catalog and special optics, but also to develop and evaluate new
coatings for special customer requirements.
With new and expanded coating capabilities, Melles Griot now
offers the same high-quality coatings as a separate service to
customers wishing to supply their own substrates. As with any
5.2
Chpt. 5 Final
7/30/99
5:15 PM
Page 5.3
Fundamental Optics
OEM and Special Coatings

Melles Griot maintains coating capabilities at each of its lens
fabrication facilities worldwide, including the Irvine, California,
Photonics Components facility.
In the last few years, Melles Griot has expanded and improved
this coating facility to take advantage of the latest developments in
thin-film technology. The resulting operation can provide highvolume coatings at competitive prices to OEM customers, as well
as specialized, high-performance coatings for the most demanding
user.
The most important aspect of our coating capabilities is our
expert design and manufacturing staff. This group blends years of
practical experience with recent academic research knowledge.
With a thorough understanding of both design and production
issues, Melles Griot excels at producing repeatable, high-quality
coatings at competitive prices.
USER-SUPPLIED SUBSTRATES
Melles Griot not only coats catalog and custom optics with
standard and special coatings, but also applies these coatings to
user-supplied substrates. A significant portion of our coating
business involves applying standard or slightly modified catalog
coatings to special substrates.
HIGH VOLUME
The high-volume output capabilities of the Melles Griot coating
departments result in very competitive pricing for large-volume
special orders. Even the small-order customer benefits from this
large volume. Small quantities of special substrates can be coated
with popular catalog coatings during routine production runs at a
very modest cost.
CUSTOM DESIGNS
Material Properties
A large portion of the work carried out at Melles Griot coating

facilities is special coatings designed and manufactured to customer
specifications.
These designs cover a wide range of wavelengths, from infrared
to ultraviolet, and applications ranging from basic research through
the design and manufacture of industrial and medical products. The
most common special coating requests are for modified catalog
coatings, which usually involve a simple shift in the design wavelength.
TECHNICAL SUPPORT
Optical Coatings
Melles Griot applications engineers are available to discuss your

system requirements at any stage. This can make a significant
difference to overall coating cost. Often a simple modification to a
system design can enable catalog components or coatings to be
substituted for special designs at a reduced cost, without affecting
performance.
5.3
Fundamental Optics
Chpt. 5 Final
7/30/99
5:15 PM
Page 5.4
The Reflection of Light

REFLECTIONS AT UNCOATED SURFACES
Whenever light is incident on the boundary between two media,
some light is reflected and some is transmitted (undergoing
refraction) into the second medium. Several physical laws govern
the direction, phase, and relative amplitude of the reflected light.
For our purposes, it is necessary to consider only polished optical
surfaces. Diffuse reflections from rough surfaces are not considered here.
The law of reflection states that the angle of incidence equals the
angle of reflection. This is illustrated in figure 5.1 which shows
reflection of a light ray at a simple air/glass interface. The incident
and reflected rays make an equal angle with the axis perpendicular
to the interface between the two media.
INTENSITY
At a simple interface between two dielectric materials, the

amplitude of reflected light is a function of the ratio of the refractive
index of the two materials, polarization of the incident light, and
the angle of incidence.
When a beam of light is incident on a plane surface at normal
incidence, the relative amplitude of the reflected light, as a proportion
of the incident light, is given by
(1 4 p)
(1 + p)
(5.1)
where p is the ratio of the refractive indices of the two materials

(n1/n2 ). Intensity is the square of this expression.
The amount of reflected light is therefore larger when the

disparity between the two refractive indices is greater. For an air/glass
interface with the glass having a refractive index of 1.5, the intensity of the reflected light will be 4% of the incident light. For an
optical system containing ten such surfaces, this shows that the
transmitted beam will be attenuated to 66% of the incident beam
from reflection losses alone.
INCIDENCE ANGLE
The intensity of reflected and transmitted beams is also a function
of the angle of incidence. Because of refraction effects, it is necessary
to consider internal and external reflection separately at this point.
External reflection is defined as reflection at an interface where the
incident beam originates in the material of lower refractive index
(i.e., air in the case of an air/glass or air/water interface). Internal
reflection refers to the opposite case.
EXTERNAL REFLECTION AT A DIELECTRIC BOUNDARY
Fresnels laws of reflection precisely describe amplitude and
phase relationships between reflected and incident light at a
boundary between two dielectric media. It is convenient to think
of incident radiation as the superposition of two plane-polarized
beams, one with its electric field parallel to the plane of incidence
(p-polarized) and the other with its electric field perpendicular
to the plane of incidence (s-polarized). Fresnels laws can be
summarized in the following two equations which give the reflectance
of the s- and p-polarized components:
sin(v1 4v 2 )
rs =
sin(v1 + v 2 )
(5.2)
tan(v1 4v 2 )
.
rp =
tan(v1 + v 2 )
Material Properties
incident
ray
reflected
ray
vi = vr
vi
vr
In the limit of normal incidence in air, Fresnels laws reduce to

the following simple equation:
2
air
n 4 1
r =
.
n + 1
n = 1.00
glass n = 1.52
vt
refracted
ray
Optical Coatings
(5.3)
n
sinvt
= air
sinvi nglass
Figure 5.1
interface
5.4
Reflection and refraction at a simple air/glass
(5.4)
It can easily be seen that, for a refractive index of 1.52 (crown

glass), this gives a reflectance of 4%. This important result shows
that about 4% of all illumination incident normal to an air-glass
surface will be reflected. In a multielement lens systems, reflection
losses would be very high if antireflection coatings were not used.
The variation of reflectance with angle of incidence for both the
s- and p-polarized components can be seen in figure 5.2. It can be
seen that the reflectance remains close to 4% over about 30 degrees
incidence, and that it rises rapidly to 100% at grazing incidence. In
addition, note that the p-component vanishes at 56 39. This angle,
called Brewsters angle, is the angle at which the reflected light is
Chpt. 5 Final
7/30/99
5:15 PM
Page 5.5
Fundamental Optics
p-polarized
incident ray
100
absent p-polarized
reflected ray
normal
90
e1
v1
air or vacuum
index n1
70
60
isotropic dielectric solid

index n2
is
ax
le n
o
dip ectio
dir
s-plane
50
p-plane
40
refracted ray
dipole radiation
pattern: sin2v
v2
PERCENT REFLECTANCE
80
p-polarized
refracted ray
30
20
Figure 5.3 Brewsters angle (at this angle, the p-polarized

component is completely absent in the reflected ray)
vp
10
0
10
20
30
40
50
60
70
80
90
ANGLE OF INCIDENCE IN DEGREES

vc = critical angle
nair
completely polarized (see figure 5.3). This situation occurs when

the reflected and refracted rays are perpendicular to each other
(v1 + v2 = 90 ). This leads to the expression for Brewsters angle, vB:
nglass
vc
d
v1 = vB = arctan (n2/n1).
d
c
Under these conditions, electric dipole oscillations of the pcomponent will be along the direction of propagation and therefore
cannot contribute to the reflected ray. At Brewsters angle, reflectance
of the s-component is about 15%.
Figure 5.2 External reflection at a glass surface (n = 1.52)

showing s- and p-polarized components
c
b
Figure 5.4 Internal reflection at a glass surface (n = 1.52)

showing s- and p-polarized components
Material Properties
For light incident from a higher to a lower refractive index

medium, we can apply the results of Fresnels laws in exactly the
same way. The angle in the high-index material at which polarization
occurs is smaller by the ratio of the refractive indices in accordance
with Snells law. The internal polarizing angle is 332l for
a refractive index of 1.52, corresponding to the Brewster angle
(56 39) in the external medium as shown in figure 5.4.
The angle at which the emerging refracted ray is at grazing incidence is called the critical angle (see figure 5.5). For an external
medium of air or vacuum (n = 1), the critical angle is given by
(5.5)
and depends on the refractive index n(l), which is a function of

wavelength. For all angles of incidence higher than the critical angle,
total internal reflection occurs.
100
90
80
70
60
50
40
30
20
10
0
total reflection
Brewster
angle
33PRODUCT
21'
NUMBER
A B
07 PHT 501/07 PHF 501 10 3
07 PHT 503/07 PHF 503 15 5
07 PHT 505/07 PHF 505 20 5
07 PHT 507/07 PHF 507 30 5
07 PHT 509/07 PHFcritical
509 angle
40 5
rs
07 PHT
511/07 PHF41
5118' 50 5
rp
10
20
30
40
50
60
70
80
90
ANGLE OF INCIDENCE IN DEGREES
Figure 5.5 Critical angle (at this angle, the emerging ray is at
grazing incidence)
5.5
Optical Coatings
1
vc (l ) = arc sin
n(l )
PERCENT REFLECTANCE
INTERNAL REFLECTION AT A DIELECTRIC BOUNDARY
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.6
PHASE CHANGES ON REFLECTION

constructive interference
Material Properties
Quantum theory shows us that light has wave/particle duality.

In most classical optics experiments, it is generally the wave properties
that are most important. With the exception of certain laser systems
and electro-optic devices, the transmission properties of light through
an optical system can be well predicted and rationalized by wave
theory.
resultant
wave
TIME
One consequence of the wave properties of light is that waves

exhibit interference effects. Light waves that are in phase with each
other undergo constructive interference, (see figure 5.6). Light waves
that are exactly out of phase with each other (by 180 degrees or
p radians) undergo destructive interference, and their amplitudes
cancel. In intermediate cases, total amplitude is given by the vector
resultant, and intensity is given by the square of amplitude.
Various experiments and instruments demonstrate light
interference phenomena. Some interference effects are possible
only with coherent sources (i.e., lasers), but many are produced by
incoherent light. Three of the best-known demonstrations of visible
light interference are Youngs slits experiment, Newtons rings, and
the Fabry-Perot interferometer. These are described in most elementary optics and physics texts.
In all of these demonstrations, light from a source is split in
some way to produce two similar wavefronts. The wavefronts are
recombined with a variable path difference between them. Whenever
the path difference is an integral number of half wavelengths (and
if the wavefronts are of equal intensity), they cancel by destructive
interference (i.e., an intensity minimum is produced). An intensity
minimum is still produced if the interfering wavefronts are of differing
amplitude; the result is just non-zero. When the path difference is
an integral number of wavelengths, their intensities sum by constructive interference, and an intensity maximum is produced.
wave II
AMPLITUDE
INTERFERENCE
wave I
destructive interference
wave I
wave II
AMPLITUDE
There is another, more subtle difference between internal and

external reflections. During external reflection, light waves undergo
a 180-degree phase shift. No such phase shift occurs for internal
reflection (except in total internal reflection). This is one of the
important principles on which multilayer films operate.
zero amplitude
resultant
wave
TIME
Figure 5.6 A simple representation of constructive and

destructive wave interference
THIN-FILM INTERFERENCE
Optical Coatings
Thin-film coatings also rely on the principles of interference.

Thin films are dielectric or metallic materials whose thickness is
comparable to, or less than, the wavelength of light.
When a beam of light is incident on a thin film, some of the
light will be reflected at the front surface, and some of light will be
reflected at the rear surface as shown in figure 5.7. The remainder
will be transmitted. At this stage, we shall ignore multiple reflections.
The two reflected wavefronts can interfere with each other. This
5.6
Chpt. 5 Final
9/2/99
3:59 PM
Page 5.7
dense
medium
n2.00
l
n0
l
n
t = 1.5l/n = 0.75l
top = tn = 1.5l
Figure 5.7 Front and back surface reflections for a thin

film at near-normal incidence
air n0
c (vacuum)
v (medium)
(5.6)
To a very good approximation, n is the refractive index of the

material.
Returning to the thin film at normal incidence, the phase
difference between the reflected wavefronts is given by (top/l) !
2p, where l is the wavelength of light, as usual, plus any phase
differences caused by reflections at the surfaces. Clearly, if the
wavelength of the incident light and the thickness of the film are
such that a phase difference exists between reflections of p, then
reflected wavefronts interfere destructively, and overall reflected
intensity is a minimum. If the two reflections are of equal amplitude,
then this amplitude (and hence intensity) minimum will be zero.
In the absence of absorption or scatter, the principle of
conservation of energy indicates all lost reflected intensity will
appear as enhanced intensity in the transmitted beam. The sum
of the reflected and transmitted beam intensities is always equal
to the incident intensity. This important fact has been confirmed
experimentally.
Conversely, when the total phase shift between two reflected
wavefronts is equal to zero (or multiples of 2p), then the reflected
intensity will be a maximum, and the transmitted beam will be
reduced accordingly.
Material Properties
homogeneous
thin
film
front and back

surface reflections
transmitted light
refractive
index = n
top
optical thickness
n =
air n0~1.00
l
n0
The optical thickness is given by top = t ! n, where t is the

physical thickness, and n is the ratio of the speed of light in the
material to the speed of light in vacuum:
Fundamental Optics
will depend on the ratio of optical thickness of the material and

the wavelength of the incident light (see figure 5.8). The optical
thickness of an element is defined as the equivalent vacuum thickness (i.e., the distance that light would travel in vacuum in the same
amount of time as it takes to traverse the optical element of interest).
In other words, the optical thickness of a piece of material is the
thickness of that material corrected for the apparent change of
wavelength passing through it.
optical thickness
of film, top = nt
t
physical
thickness
Optical Coatings
Figure 5.8 A schematic diagram showing the effects of

lower light velocity in a dense medium (in this example, the
velocity of light is halved in the dense medium n = n/n0, and the
optical thickness of the medium is 2!the real thickness)
Spectrophotometer used to obtain a transmission and

reflectance measurement from a optical coating
5.7
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.8
Single-Layer Antireflection Coatings

The simple principles of single-layer antireflection coatings should
now be clear. The substrate (glass, quartz, etc.) is coated with a thin
layer of material so that reflections from the outer surface of the film
and the outer surface of the substrate cancel each other by destructive
interference. The intensity of the transmitted beam is correspondingly
increased so that, ignoring scattering and absorption,
incident energy = reflected energy + transmitted energy.

Two requirements create an exact cancellation of reflected beams
with a single-layer coating: The reflections are exactly 180 degrees
(p radians) out of phase, and they have the same intensity,
REFRACTIVE INDEX
The intensity of a reflected beam from a single surface, at normal
incidence, is given by
[(1 4 p) / (1 + p)]2 ! the incident intensity
(5.7)
where p is the ratio of the refractive indices of the two materials at

the interface.
For the two reflected beams to be equal in intensity, it is necessary
that p, the refractive index ratio, be the same at both the interfaces
n air
n film
=
n film
n substrate
(5.8)
FILM THICKNESS
(i.e., the three refractive indices must form a geometric progression).
The thickness of a single-layer antireflection film must be an odd

number of quarter wavelengths in order to achieve the correct phase
for cancellation. This requirement is shown in figure 5.9, which
explains the mechanism of a hypothetically perfect single-layer antireflection coating. There is a p/2 phase shift for reflections at both interfaces because they are low to high index medium interfaces. These
identical phase shifts cancel each other out. The net phase shift
between the two reflections is therefore determined solely by the
optical path difference 2t ! nc, where t is the physical thickness of
the coating layer and nc is the refractive index of the coating material.
The phase shift is therefore 2tn/l.
Single-layer antireflection coatings are generally deposited with
a thickness of l/4, where l is the desired wavelength for peak
performance. The phase shift is 180 degrees (p radians), and the
reflections are in a condition of exact destructive interference.
Since the refractive index of air is 1.0, the thin antireflection

film ideally should have a refractive index of }}}}}
nsubstrate
}}}}}. Optical
glasses typically have refractive indices of between 1.5 and 1.75.
Unfortunately, there is no ideal material that can be deposited in
durable thin layers with a low enough refractive index to satisfy
this requirement exactly (n = 1.23 for an antireflection coating on
crown glass). However, magnesium fluoride (MgF2) is a good
compromise because it forms high-quality, stable films and has a
reasonably low refractive index, 1.38 at a wavelength of 550 nm.
thin
film
n
Material Properties
air
n0
glass
n = 1.52
If top, the optical

thickness (nt) = l/4,
then reflections
interfere destructively
wavelength
=l
Magnesium fluoride is probably the most widely used thin-film

material for optical coatings. Although its performance is not
outstanding, it represents a significant improvement over an uncoated
surface. Typical crown glass surfaces reflect from 4% to 5% of visible
light at normal incidence. A high-quality MgF2 coating can reduce
this value to 1.5%. For many applications this improvement is sufficient, and sophisticated multilayer coatings are not necessary.
Such coatings work extremely well over a wide range of wavelengths and angles of incidence, despite the fact that the theoretical
target of 0% reflectance is achieved by a film of quarter wavelength
optical thickness only for normal incidence, and only if the refractive
index of the coating material is exactly the geometric mean of the
substrate and air. In fact, the single layer of quarter-wave-thickness
MgF2 coating designed for normal incidence makes its most
significant contribution to the transmission of steep surfaces, where
most rays are incident at large angles (see figure 5.10).
WAVELENGTH DEPENDENCE
Optical Coatings
resultant reflected
intensity = zero
t
physical
thickness
Figure 5.9 Schematic representation of a single-layer

antireflection coating
5.8
As with any thin film, performance depends on the incident light

wavelength for two reasons. First, at other than the design wavelength,
film thickness is no longer the ideal l/4. This is taken into account by
all thin-film design programs. A more subtle effect, which can be quite
important, is caused by the change in refractive index of the coating
and substrate with wavelength (i.e., dispersion). Only the most upto-date computer design packages, such as those used by Melles Griot,
include this higher level of sophistication for multilayer coatings. For
single-layer antireflection coatings, wavelength dependence of the
coating performance can be evaluated from analytical expressions.
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.9
Fundamental Optics
40
35
glass
30
PERCENT REFLECTANCE
AT 550 NANOMETERS
v = angle of incidence
25
20
15
uncoated glass
10
single-layer
MgF2
MgF2
1/4 wavelength optical thickness
at 550 nm (n = 1.38)
20
40
60
80
ANGLE OF INCIDENCE IN AIR (IN DEGREES)
subscripts: Rs = reflectance for s-polarization

subscripts: Rav = reflectance for average polarization
subscripts: Rp = reflectance for p-polarization
4
Rs = (45 incidence coating)
3
Material Properties
PERCENT REFLECTANCE
(at 45 incidence)
Rs = (normal incidence coating at 45)
Rav = (normal incidence coating at 45)

2
Rav = (45 incidence coating)

Rp = (normal incidence coating at 45)
Rp = (45 incidence coating)
400
500
600
700
Optical Coatings
Figure 5.10 Performance of a normal incidence coating design for 550 nm working at 45 degrees compared with a 45
degrees incidence coating working at 45 degrees.
5.9
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.10
ANGLE OF INCIDENCE
The irradiance reflectance of any thin-film coating varies with
the angle of incidence. Two main effects lead to a complicated
dependence of reflectance (hence transmission) on the angle of
incidence. First, the path difference of the front and rear surface
reflection from any layer is a function of angle. As the angle of incidence increases from zero (normal incidence), the optical path difference is decreased. The change in path difference results in a
change of phase difference between the two interfering reflections
in an identical manner to the phase change resulting from tilting a
Fabry-Perot interferometer.
The reflectance of any optical interface varies according to the
angle of incidence as shown in figure 5.10. Thin-film performance
evaluation at arbitrary angles of incidence is therefore quite complex,
even for a simple one-layer antireflection coating. In short, the
phase difference between the two pertinent reflections changes
together with their relative amplitude.
packing density of 100%. Real films, however, tend to be slightly

porous. The refractive index of a real magnesium fluoride film is usually slightly lower than 1.38 because the packing density is rarely
100% in practice. Because it is a complex function of the manufacturing process, packing density varies slightly from batch to
batch. Air and water vapor can also settle in the film and affect its
refractive index. For Melles Griot magnesium fluoride coatings,
this will usually correspond to an effective refractive index between
97% and 100% of the 1.38 theoretical value.
COATED SURFACE
REFLECTANCE AT NORMAL INCIDENCE
Suppose that the coating is of quarterwave optical thickness for
some wavelength l. Let na denote the refractive index of the external
medium at this wavelength (1.0 for air or vacuum), and let nf and ns,
respectively, denote the film and substrate indices. For normal incidence
at this wavelength (as shown in figure 5.11), the single-pass irradiance
reflectance of the coated surface can be shown to be
Material Properties
COATING FORMULAS (SINGLE LAYER)

Because of the practical importance and wide usage of singlelayer coatings, especially at oblique incidence, it is valuable to have
formulas from which coating reflectance curves, as functions of
wavelength, angle of incidence, and polarization, can be calculated.
(5.12)
regardless of the polarization state of the incident radiation. This

function is shown in figure 5.12
COATING DISPERSION FORMULA

The first step in evaluating performance of a single-layer antireflection coating is to calculate the refractive index of the film and
substrate at the wavelength of interest. For optical purposes, a thin
film may be considered to be perfectly homogeneous. The refractive
index of MgF2, whether amorphous or crystalline, is connected to
density with the Lorentz-Lorenz formula. The crystalline ordinary
and extraordinary indices of refraction may be averaged for the
amorphous phase.
(3.5821) (1043 )
n o = 1.36957 +
(l 4 0.14925)
and
(3.7415) (1043 )
n e = 1.381 +
(l 4 0.14947)
(5.9)
(5.10)
For the average of the ordinary and extraordinary indices of

refraction,
n = n(l ) =
1
2
(n o + n e ).
(5.11)
The value 1.38 is the universally accepted amorphous film index

for MgF2 at a wavelength of 550 nanometers, which assumes a
5.10
air or vacuum
index na
MgF2
antireflection
coating
index nf
substrate
index ns
wavelength l
The formulas for crystalline MgF2 are, respectively,
for the ordinary and extraordinary rays, where l is the wavelength

in microns.
Optical Coatings
n n 4 n 2f
R = a s
2
na n s + n f
Figure 5.11 Reflectance at normal incidence

COATED SURFACE
REFLECTANCE AT OBLIQUE INCIDENCE
At oblique incidence, the situation is more complex. Let n1, n2, and
n3, respectively, represent the wavelength-dependent refractive indices
of the external medium (air or vacuum), coating film, and substrate
as shown in figure 5.13. Assume that the coating exhibits a reflectance
extremum of the first order for some wavelength ld and angle of
incidence v1d in the external medium. The coating is completely
specified when v1d and ld are known. One may then identify n2 with
the film index nf (1.38 for MgF2 at 550 nm). The extremum is a
minimum if n2 is less than n3 and a maximum if n2 exceeds n3. The
same formulas apply in either case.
Chpt. 5 Final
7/30/99
Corresponding to the arbitrary angle of incidence v1 and

arbitrary wavelength l1 are angles of refraction in the coating and
substrate, given by
fused silica
1.8
1.6
n1 (l1 ) sin v1
v 2 = arcsin
n 2 (l1 )
and
BK7
1.4
1.2
n1 (l1 ) sin v1
v 3 = arcsin
n 3 (l1 ) .
1.0
LaSFN9
.8
.6
(5.15)
(5.16)
Following are formulas for the single-interface amplitude

reflectances for both the p- and s-polarizations:
SF11
.4
PERCENT REFLECTANCE PER SURFACE
Page 5.11
Fundamental Optics
2.0
5:16 PM
.2
1.4
1.5
1.6
1.7
1.8
REFRACTIVE INDEX (ng)
n 2 cos v1 4 n1 cos v 2
r12p =
1.9
r23p =
n 2 cos v 2 4 n 3 cos v 3
n 2 cos v 2 + n 3 cos v 3
v3
Rp =
and
Rs =
Figure 5.13 Reflectance at oblique incidence

Corresponding to the angle of incidence v1d is an angle of
refraction in the film:
sin v1d
v 2d = arcsin
.
n 2 (l d )
2
2
r12s
+ r23s
+ 2r12sr23s cos (2b )
(5.22)
2 2
1 + r12s
r23s + 2r12sr23s cos (2b )
where b is the phase difference (in the external medium) between

waves reflected from the first and second surfaces of the coating.
b =
l1
n 2 (l1 ) h cos v 2 .
(5.23)
The cosines must be in radians. The average reflectance is given by

R =
(5.14)
2p
1
2
(R p + R s ) .
(5.24)
With these formulas, reflectance curves can be calculated as functions

of either wavelength l1 or angle of incidence v1.
5.11
Optical Coatings
This wavelength is given by the equation
(5.21)
2 2
1 + r12p
r23p + 2r12pr23p cos (2b )
(5.13)
As v1 is reduced from v1d to zero, the reflectance extremum shifts

in wavelength from ld to ln, where the subscript n denotes normal
incidence.
n 2 (l n ) l d
ln =

.
n 2 (l d ) cos v 2d
2
2
r12p
+ r23p
+ 2r12pr23p cos (2b )
Material Properties
glass or silica substrate

index n3
v2
(5.20)
The subscript 12p, for example, means that the formula gives the
amplitude reflectance for the p-polarization at the interface between
the first and second media.
The corresponding irradiance reflectances for the coated surface,
accounting for both interferences and the phase differences between
the reflected waves, are given by
(5.19)
n1 cos v1 + n 2 cos v 2
optical path difference = 2n2bn1a
MgF2 antireflection
coating index n2
(5.18)
n1 cos v1 4 n 2 cos v 2
r12s =
r23s =
air or vacuum index n1

wa
vel
en
gth
l1
v1
n 3 cos v 2 4 n 2 cos v 3
n 3 cos v 2 + n 2 cos v 3
Figure 5.12 Reflectance at surface of substrate with

index ng when coated with a quarter wavelength of
magnesium fluoride (index n=1.38)
(5.17)
n 2 cos v1 + n1 cos v 2
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.12
Multilayer Antireflection Coatings

Previously, we discussed basic principles of thin-film design and
operation for a simple antireflection coating of magnesium fluoride.
It is useful to discuss to also discuss layer antireflection coatings in
order to understand the operation of multilayer coatings. It is beyond
the scope of this chapter to cover all aspects of modern thin-film
design and operation; however, it is hoped that this section will provide the reader with insight into thin films that will be useful when
considering system designs and specifying cost-effective coatings.
Two basic types of antireflection coating have been developed
that are worth examining in detail: the quarter/quarter coating and
the multilayer broadband coating.
THE QUARTER/QUARTER COATING
This coating is used as an alternative to the single-layer
antireflection coating. It was developed because of the lack of suitable materials available to improve the performance of single-layer
coatings. The basic problem of a single-layer antireflection coating is that the refractive index of the coating material is too high,
resulting in too strong a reflection from the first surface which cannot be completely canceled by interference of the weaker reflection
from the substrate surface. In a two-layer coating, the first reflection is canceled by interference with two weaker reflections.
If the substrate is crown glass with a refractive index of 1.52 and

if the first layer is the lowest possible refractive index, 1.38 (MgF2),
the refractive index of the high-index layer needs to be 1.70. Either
beryllium oxide or magnesium oxide could be used for the inner layer,
but both are soft materials and will not produce very durable coatings. Although it allows some freedom in the choice of coating
materials and can give very low reflectance, the quarter/quarter
coating is very restrictive in its design. In principle, it is possible to
deposit two materials simultaneously to achieve layers of almost any
required refractive index, but such coatings are not very practical.
As a consequence, thin-film engineers have developed multilayer
antireflection coatings and two-layer coating designs to allow the
refractive index of each layer to be chosen.
quarter/quarter antireflection coating

A B
C
air (n0 = 1.0)

low-index layer (n1 = 1.38)
high-index layer (n2 = 1.70)
substrate (n3 = 1.52)
A quarter/quarter coating consists of two layers, both of which

have an optical thickness of a quarter wave at the wavelength of interest. The outer layer is made of a low-refractive-index material, and the
inner layer is made of a high-refractive-index material (compared to
the substrate). As figure 5.14 shows, the second and third reflections
are both exactly 180 degrees out of phase with the first reflection.
How does one calculate the required refractive index of the inner
layer? Several methodologies have been developed over the last 40
to 50 years to calculate thin-film coating properties and converge
on optimum designs. The whole field has been revolutionized in
recent years with the availability of powerful microcomputers.
Among the most sophisticated and effective programs are those
developed by Professor H. A. Macleod, which are used by
Melles Griot.
wavefront A
wavefront B
AMPLITUDE
Material Properties
As with any multilayer coating, performance and design are

calculated in terms of relative amplitudes and phases which are
then summed to give the overall (net) amplitude of the reflected
beam. The overall amplitude is then squared to give the intensity.
wavefront C
With a two-layer quarter/quarter coating optimized for one

wavelength at normal incidence, the required refractive indices
can easily be calculated by hand. The formula for exact zero
reflectance for such a coating is
resultant
wave
Optical Coatings
n12 n3
(5.25)
= n0
n 22
where n0 is the refractive index of air (approximated as 1.0), n3 is
the refractive index of the substrate material, and n1 and n2 are the
refractive indices of the two film materials, as indicated in figure 5.14.
5.12
TIME
Figure 5.14
coating
Interference in a typical quarter/quarter
7/30/99
5:16 PM
Page 5.13
BROADBAND ANTIREFLECTION COATINGS
Absentee Layers
At other wavelengths, the absentee layer starts to have an effect,

for two reasons. The ratio between physical thickness of the layer
l0
Optical Coatings
An absentee layer is a film of dielectric material that does not

change the performance of the overall coating at one particular
wavelength, usually the wavelength for which the coating is being
principally optimized. This results from the fact that the coating has
an optical thickness of a half wave at that wavelength. The effects
of the extra reflections cancel out at the two interfaces since no
additional phase shifts are introduced. In theory, the performance
of the coating is the same at that wavelength whether the absentee
layer is present or not.
Material Properties
Many optical systems (particularly imaging systems) use

polychromatic (more than one wavelength) light. In order for the
system to have a flat spectral response, transmitting optics are coated
with a broadband or dichroic antireflection coating. The main
technique used in designing antireflection coatings that are highly
efficient at more than one wavelength is to use absentee layers within
the coating. There are two additional techniques that can be used
for shaping performance curves of high-reflectance coatings and
wavelength-selective filters, but these are not applicable to antireflection coatings.
The complex, computer-design techniques used by Melles Griot

for multilayer antireflection coatings are based on the simple principles of interference and phase shifts described in the preceding text.
All methods consider the combined effect of various film elements.
Because of the extensive properties of coherent interference, it is
meaningless to consider individual layers in a multilayer coating.
Each layer is influenced by the optical properties of the layer next
to it. The properties of that layer are influenced by its environment.
Clearly, this represents at least a complex series of matrix multiplications, where each matrix corresponds to a single layer.
An important aspect that is often overlooked in simple theory
is that there are multiple reflections in the coatings. In the previous
discussions, only first-order reflections have been considered. This
oversimplified approach is unable to predict correctly the behavior
of multilayer coatings. Second, third, and higher order terms must
be considered if real behavior is to be modeled accurately. The exact
behavior of an antireflection coating is clearly dependent on the
refractive index of the substrate to which it is applied. In order to
simplify the task of choosing and ordering coatings for optics of different glass types, Melles Griot has listed the coatings in this catalog
according to performance. Actual coatings applied by Melles Griot
are adjusted for different glass types in order to achieve the specified performance.
Two-layer antireflection coatings are the simplest of the socalled V-coatings. The term V-coating arises from the shape of the
reflectance curve as a function of wavelength, which is a skewed
V shape with a reflectance minimum at the design wavelength (see
figure 5.15). V-coatings are very popular, economical coatings for
near monochromatic applications, such as optical systems using
nontunable laser radiation (e.g., helium neon lasers at 632.8 nm).
Multilayer Broadband Antireflection Coatings
Interference is often thought of in terms of constructive or

destructive interference, where the phase shift between interfering
wavefronts is either 0 or 180 degrees. For two wavefronts to
completely cancel, as in a single-layer antireflection coating, a phase
shift of exactly 180 degrees is required. Where three or more reflecting surfaces are involved, complete cancellation can be achieved
by carefully choosing arbitrary phase and relative intensities. This
is the basis of a two-layer antireflection coating, where the layers are
adjusted to suit the refractive index of available materials, instead
of vice versa. For a given combination of materials, there are usually
two combinations of layer thicknesses that will give zero reflectance
at the design wavelength. These two combinations are of different
overall thickness. For any type of thin-film coating, the thinnest
possible overall coating is used since it will have better mechanical
properties (less stress). In this case, the thinner combination is also
less wavelength sensitive.
and the wavelength of light changes with wavelength. Also, dispersion

of the coating material causes optical thickness to change with
wavelength.
Fundamental Optics
Two-Layer Coatings of Arbitrary Thickness
REFLECTANCE
Chpt. 5 Final
WAVELENGTH
Figure 5.15 Characteristic performance curve of

a V-coating
5.13
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.14
Thin-Film Production
VACUUM DEPOSITION
Melles Griot manufactures thin films by a process known as vacuum deposition. Uncoated substrates are placed in a large vacuum
chamber capable of achieving a vacuum of at least 1046 torr. At
the bottom of the chamber is a source of the film material to be
vaporized, as shown in figure 5.16. The substrates are mounted on
a series of rotating carousels, arranged so that each substrate sweeps
in planetary style through the same time-averaged volume in the
chamber.
THERMAL EVAPORATION
The source of vaporized material is usually one of two types.
The simpler, older type relies on resistive heating of a thin folded
strip (boat) of tungsten, tantalum, or molybdenum by a high direct
current. Small amounts of the coating material are loaded into the
boat. A high current (10100 A) is passed through the boat, which

undergoes resistive heating. The coating material is then vaporized
thermally. Because the chamber is at a greatly reduced pressure,
there is a very long mean free path for the free atoms or molecules,
and the heavy vapor is able to reach the moving substrates at the
top of the chamber. Here it condenses back to the solid state, forming a thin, uniform film.
Several problems are associated with thermal evaporation. Some
useful substances can react with the hot boat, which can cause
impurities to be deposited with the layers, changing optical
properties. In addition, many materials, particularly metal oxides,
cannot be vaporized this way, because the material of the boat
(tungsten, tantalum, or molybdenum) melts at a lower temperature. Instead of a layer of zirconium oxide, a layer of tungsten would
be deposited on the substrate.
For the more volatile materials, thermal evaporation is still often
the method of choice. Coatings of excellent quality can be produced
if they are deposited on a hot substrate.
rotation motor
monitoring
plate
substrates
substrates
thermocouple
Material Properties
quartz lamp
(heating)
SOFT FILMS
vacuum
system
quartz lamp
ELECTRON BOMBARDMENT
shutter
vapor
E-beam gun
baseplate
filter
power
supply
detector
chopper
light source
water
cooling
reflection signal
power
supply
Optical Coatings
optical monitor
Figure 5.16 Schematic view of a typical vacuum deposition chamber
5.14
Until the advent of electron bombardment as a superior

alternative, only materials that melted at moderate temperatures
(2000C) could be incorporated into thin-film coatings. Unfortunately, the more volatile materials also happen to be the softer
materials, which produce less resilient films. Consequently, early
multilayer coatings deteriorated fairly quickly and required undue
amounts of care during cleaning. More important, sophisticated
designs with performance specifications at several wavelengths
could not be easily produced since these designs required many
individual layers, and the softness of the layers made some of these
films impractical.
Electron bombardment has become the accepted method of

choice for optical thin-film fabrication. This method is capable of
vaporizing even highly involatile materials, such as titanium oxide and
zirconium oxide. Using large cooled crucibles precludes reaction of
the heated material with the metal of the boat or crucible.
A high-flux electron gun (1 A at 10 kV) is aimed at the film
material contained in a large, water-cooled, copper crucible. Intense
local heating melts and vaporizes some of the coating material in
the center of the crucible without causing undue heating of the
crucible itself. For particularly involatile materials, the electron gun
can be focused to intensify its effects.
Careful control of temperature and vacuum conditions ensures
that most of the vapor is in the form of atoms or molecules, as
opposed to clusters. This produces a more even coating with better
optical characteristics and improved longevity.
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.15
Ion-assisted bombardment is a coating technique that can offer

unique benefits under certain circumstances. Ion assist during
coating leads to a higher atomic or molecular packing density in the
thin-film layers. This results in a higher refractive index and, most
important, superior mechanical characteristics.
The most notable examples of applications where scattering is

critical are intracavity mirrors for low-gain lasers, such as certain
helium neon laser lines and continuous-wave dye lasers.
TEMPERATURE AND STRESS
incident light
MONITORING AND CONTROLLING LAYER THICKNESS

A chamber set up for multilayer deposition has several sources
that are preloaded with various coating materials. The entire
multilayer coating is deposited without opening the chamber.
Material Properties
As each layer is deposited onto the reference blank, the intensity

of reflected light from it oscillates in a pseudo sine wave (rectified).
The turning points represent quarter- and half-wave thicknesses at
the monitor wavelength, with intermediate thicknesses between.
Deposition is automatically stopped as the reflectance of the reference
surface passes through the appropriate point.
SCATTERING
Figure 5.17 Interface imperfections scattering light in a

multilayer coating
5.15
Optical Coatings
Reflectance and transmittance are usually the most important

optical properties specified for a thin film, closely followed by
absorption. However, the degree of scattering caused by a coating
is often the limiting factor in the ability of coated optics to perform
in certain applications. Scattering is quite complex. The overall
degree of scattering is determined by imperfections in layer interfaces
and interference between photons of light scattered by these
imperfections as shown in figure 5.17. It is also a function of the
granularity of the layers. This is difficult to control as it is an inherent
characteristic of the materials used. Careful modification of deposition conditions can make a considerable difference to this effect.
The most common method of monitoring the deposition process

is optical monitoring. A monitor beam of light passes through the
chamber and is incident on a blank monitor substrate. Reflected
light is detected using photomultiplier and phase-sensitive detection.
Ion-assisted coating can also be used for cold processing.

Eliminating the need to heat parts allows cemented parts, such as
achromats, to be safely coated.
A source is heated, or the electron gun is turned on, until the

source is stable. The shutter above the source is opened to expose
the chamber to the vaporized material. When a particular layer is
deposited to the correct thickness, the shutter is closed and the source
is turned off. This process is repeated for the other sources.
A major problem with thin films is caused by inherent mechanical

stresses. Even with careful control of the vacuum, source
temperature, and optimized positioning of the optics being coated,
many thin-film materials do not deposit well on cold substrates.
This is particularly true of involatile materials. Raising the substrate
temperature a few hundred degrees improves the quality of these
films, often making the difference between usable and useless film.
The elevated temperature seems to allow freshly condensed atoms
(or molecules) to undergo limited surface diffusion.
Optics that have been given a multilayer thin-film coating at an
elevated temperature require very slow cooling to room temperature.
Thermal expansion coefficients of substrate and film materials are
likely to be somewhat different. As cooling occurs, the coating
contracts and produces stress in the layers. Many pairs of coating
materials do not adhere particularly well to each other owing to
different chemical properties and bulk packing characteristics.
Temperature-induced stress and poor interlayer adhesion are
the most common thickness limitations for optical thin films. Until
new technologies, such as ion-assisted deposition, are developed
into true production tools, stress must be reduced by minimizing
overall coating thickness and by carefully controlling the production process.
Specifically, the lack of voids in the more efficiently packed

film means that it is far less susceptible to water-vapor absorption.
Water absorption by an optical coating can change the index of
refraction of layers and, hence, the optical properties. Water absorption can also cause mechanical changes that can ultimately lead to
failure.
Fundamental Optics
ION-ASSISTED BOMBARDMENT
Optical Coatings
Material Properties
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.16
INTRINSIC STRESS
Even in the absence of thermal-contraction-induced stress, the
layers often are not mechanically stable because of intrinsic stress
from interatomic forces. The homogeneous thin film is not the
preferred phase for most coating materials. In the lowest energy,
natural form of the material, molecules are aligned in a crystalline
symmetric fashion. This is the form in which intermolecular forces
are more nearly in equilibrium.
In addition to intrinsic molecular forces, intrinsic stress results
from poor packing. If packing density is considerably less than
100%, the intermolecular binding may be sufficiently weakened to
make the layer totally unstable.
PRODUCTION CONTROL
Two major factors are involved in producing a coating to perform
to a particular set of specifications. First, sound design techniques
must be used. If design procedures cannot accurately predict the
behavior of a coating, there is little chance that satisfactory coatings
will be produced. Second, if the manufacturing phase is not carefully controlled, the thin-film coatings produced may perform quite
differently from the computer simulation.
Melles Griot uses the latest computer design programs with
exhaustive iterations to ensure that the final design is optimized.
Manufacturing high-quality thin films is not trivial. At Melles Griot,
more effort is expended on monitoring thin-film manufacture than
on any other single manufacturing procedure. Without such careful monitoring, the tedious design and optimization phase would
be wasted.
Great care is taken in coating production at every level. Not only
are all obvious precautions taken, such as thorough precleaning and
controlled cool down, but even the smallest details of the manufacturing process are carefully controlled. Our thoroughness and
attention to detail ensures that the customer will always be supplied
with the best design, manufactured to the highest standards.
QUALITY CONTROL
All batches of Melles Griot coatings are rigorously and thoroughly
tested for quality. Even with the most careful production control,
this is necessary to ensure that only the highest quality parts are
shipped.
Our inspection system meets the stringent demands of
MIL-I-45208A and our spectrophotometers are calibrated to
standards traceable to the National Institute of Standards and
Technology (NIST). Upon request, we can provide complete
environmental and photometric testing to MIL-C-675 and
MIL-M-13508. All are firm assurances of dependability and
accuracy.
5.16
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.17
PERCENT REFLECTANCE
Figure 5.18
45
2
0
1
500
600
700
Single-layer MgF2 coating /066
$ The most popular and versatile antireflection coating

for visible wavelengths
$ Highly durable and most economical
$ Optimized for 550 nm, normal incidence
$ Relatively insensitive to changes in incidence angle
$ Damage threshold: 13.2 J/cm2 810%, 10-nsec pulse
(1050 MW/cm2) at 532 nm
typical reflectance curve
Single-layer antireflection coatings for use on very steeply curved

or short-radius surfaces should be specified for an angle of incidence
approximately half as large as the largest angle of incidence
encountered by the surface. Depending on the specific application,
determination of the best wavelength for use in a coating specification
may require ray and energy tracing of the optical system in its
anticipated environment.
4
3
1
500
Figure 5.19
$
$
$
$
normal incidence
600
700
800
/067 Single-layer MgF2, visible/IR
Optimized for 670 nm, normal incidence

Useful for most visible and near-infrared diode wavelengths
Highly durable and insensitive to angle
Damage threshold: see /066 (similar specifications)
Material Properties
The effectiveness of MgF2 as an antireflection coating is increased

dramatically with increasing refractive index of the component
material. This means that, for use on high-index materials, there is
often little point in using more complex coatings. The reflectance
curves shown are for MgF2 on BK7 optical glass.
normal and 45 incidence

3
Single-layer antireflection coatings are routinely available for

almost any angle of incidence and any wavelength between 200 nm
in the ultraviolet and 1.6 mm in the infrared. To obtain such coatings,
simply specify (for each surface of each part) the precise wavelength
and angle of incidence for which reflectance is to be minimized. As
the 1.6-mm wavelength is approached, the angle-of-incidence range
becomes restricted to near-normal incidence. This is because of
practical limitations on physical coating thickness. It is usually
inadvisable to request a MgF2 coating for any wavelength greater
than 1.6 mm. Thicker MgF2 coatings are possible, but they tend to
exhibit crazing, poor adhesion, and significantly increased scattering.
400
PERCENT REFLECTANCE
Should you wish to specify a different wavelength and incidence

angle, it is no problem to shift the coating design. Please bear in
mind, however, that additional delivery time is needed for special
coatings, and that care should be taken in selecting the quantity of
items coated to maximize the efficiency of the coating run. Partially
filled chambers result in higher unit prices.
typical reflectance curves
Magnesium fluoride (MgF2) is commonly used for single-layer

antireflection coatings because of its almost ideal refractive index
(1.38 at 550 nm) and high durability. These coatings are optimized
for 550 nm (Melles Griot coating suffix /066) and 670 nm (/067) for
normal incidence, but as can be seen from the reflectance curves, in
figures 5.18 and 5.19, they are extremely insensitive to wavelength
and incidence angle. Many standard lenses in stock are coated with
MgF2. Our precision optimized achromats (01 LAO series) are
supplied standard with the /066 coating.
Fundamental Optics
Single-Layer MgF2 Antireflection Coatings
SINGLE VERSUS MULTILAYER COATINGS
Single-Layer MgF2 Antireflection Coating

Normal Incidence
Maximum Reflectance
Wavelength
Range
(nm)
On BK7
(%)
On Fused Silica
(%)
COATING
SUFFIX
400700
520820
2.0
2.0
2.25
2.25
/066
/067
Note: To order this coating, append coating suffix to product number and specify which
surfaces are to be coated.
5.17
Optical Coatings
While MgF2 does not offer the same performance as multilayer

coatings, such as HEBBAR (described on the following page), it
is preferred in some circumstances. Specifically, on lenses with very
steep surfaces, such as our 01 LAG series aspherics, MgF2 will
actually perform better than HEBBAR near the edge of the lens
because the performance of a coating shifts with the angle of
incidence. The shifted MgF2 will never be worse than an uncoated
lens, but, at very high angles, HEBBAR can actually be shifted to
a region where its performance is worse than if there were no coating
at all.
7/30/99
5:16 PM
Page 5.18
HEBBAR Coatings
Our HEBBAR (high-efficiency broadband antireflection)
coatings provide a very low reflectance over a broad spectral
bandwidth. These multilayer films, comprising alternate layers of
various index materials, are combined to reduce overall reflectance
to an extremely low level for the broad spectral range covered.
These coatings exhibit a characteristic, double-minimum reflectance curve covering a range of some 300 nm in wavelength. The
reflectance does not exceed 1.0% and is more typically below 0.6%
over this entire range. Within a more limited spectral range on
either side of the central peak, reflectance can be held well below
0.4%. HEBBAR coatings are somewhat insensitive to angle of
incidence. The effect of increasing the angle of incidence, however,
is to shift the curve to slightly shorter wavelengths and to increase
the long wavelength reflectance slightly. These coatings are extremely
useful for high-numerical-aperture (low f-number) lenses or steeply
curved surfaces. In these cases, incidence angle varies significantly
over aperture.
Six versions of HEBBAR coatings are offered (see figures 5.20
through 5.25). Many of our components are carried in stock with
a HEBBAR coating. The /078 covers most of the visible spectrum
(415700 nm) and is optimized for normal incidence. A 45-degreeincidence version of this coating (/079) is available. The infraredshifted /077 covers the range from 700 nm to 1100 nm. Two
HEBBAR coatings, the /075 and the /076, are specifically optimized
for diode laser wavelengths. The /074 is a modified HEBBAR
coating intended for use in the range from 300 nm to 500 nm. Over
this range, the reflectance is less than 1% and typically does not
exceed 0.5%. Due to the special nature of the /074 coating, it is
designed to be used only at an angle of incidence of 015 degrees,
and it is not suitable for use on lenses with steeply curved surfaces.
For these coatings, reflectance values apply to indices 1.471.55
only. Other indices, while having their own designs, will have
reflectance values approximately 20% higher for incidence angles
from 0 to 15 degrees and 25% higher for incidence angles of 30
degrees. The typical reflectance curves shown for the HEBBAR
coatings are for BK7 substrates, except for /074 which is for fused
silica.
HEBBAR Coatings
Wavelength
Range
(nm)
Maximum
Reflectance
(%)
Angle of
Incidence
(degrees)
440660
415685
415700
415680
632.8
632.8
0.6 Abs
0.4 Avg
1.0 Abs
1.0 Abs
0.3 Abs
0.4 Abs
015
015
015
030
015
030
/078
425670
425670
440670
440670
0.6 Avg
1.0 Abs
0.4 Abs
1.0 Abs
45
45
3045
4550
/079
7501100
7001100
7001150
7001100
0.6 Abs
0.4 Avg
1.0 Abs
1.0 Abs
015
015
015
030
/077
650850
650850
0.6 Avg
1.0 Abs
015
015
/075
780850
780850
725875
0.25 Abs
0.40 Abs
1.0 Abs
015
030
030
/076
300500
300500
1.0 Abs
0.5 Avg
015
015
/074
COATING
SUFFIX
Note: To order, append coating suffix to product number and specify which surfaces are
to be coated.
Optical Coatings
Material Properties
Fundamental Optics
Chpt. 5 Final
5.18
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.19
Fundamental Optics
normal incidence
45 incidence
2
1
400
Figure 5.20
500
600
3
2
1
$
$
$
$
HEBBAR coating for visible /079
Optimized for 425670 nm at 45-degree incidence

Perfect for plate beamsplitting applications
Ravg < 0.6%, Rabs < 1.0%
HEBBAR coating for near-infrared /077
5
4
3
normal incidence
45 incidence
2
1
500
550
600 650 700 750 800

850
900
Figure 5.23 HEBBAR coating for near-infrared and diode

wavelengths /075
$ Optimized for performance from 660 to 835 nm
$ Versatile for use with most diode lasers from visible
to near-infrared wavelengths
$ Ravg < 0.5%, Rabs < 1.0%
$ Damage threshold: see /078 (similar specifications)
Optical Coatings
700
1200
$ Covers popular Ti:sapphire and diode laser wavelengths:

750 to 1100 nm
$ Ravg < 0.4%, Rabs < 0.6%
$ Damage threshold: 6.5 J/cm2810%,
20-nsec pulse (260 MW/cm2) at 1064 nm
PERCENT REFLECTANCE
45 incidence
1000
1100
800
900
Material Properties
PERCENT REFLECTANCE
Figure 5.21
700
500
600
Figure 5.22
Industry-standard multilayer, AR coating for 415 to 700 nm

Excellent performance with HeNe and visible diode lasers
Optimized for normal incidence
Ravg < 0.4%, Rabs < 1.0%
Damage threshold: 3.8 J/cm2 810%,
400
normal incidence
45 incidence
700
HEBBAR coating for visible /078
$
$
$
$
$
PERCENT REFLECTANCE
PERCENT REFLECTANCE
5.19
7/30/99
5:16 PM
Page 5.20
Fundamental Optics
Chpt. 5 Final
normal incidence
45 incidence
3
2
1
500
Figure 5.24
800
900
600
700
Optical Coatings
Material Properties
$ Optimized for diode laser wavelengths, from 780 to 850 nm

$ Ravg < 0.25%, Rabs < 0.4%
4
3
normal incidence
45 incidence
2
1
300
1000
HEBBAR coating for diode lasers /076
PERCENT REFLECTANCE
PERCENT REFLECTANCE
Figure 5.25
$
$
$
$
400
350
450
500
HEBBAR coating for ultraviolet /074
Excellent broadband coverage for 300 to 500 nm

Covers HeCd and argon laser lines
Rabs < 1.0%
Damage threshold: 3.2 J/cm2 810%,
10-nsec pulse (260 MW/cm2) at 355 nm, on silica substrate
LASER-INDUCED DAMAGE
Melles Griot conducts laser-induced damage testing of our optics at Big Sky Laser Technologies, Inc., in Bozeman, MT.
Although the damage thresholds listed in this chapter do not constitute a performance guarantee, they are
representative of the damage resistance of our coatings. Occasionally, in the damage threshold specifications, a
reference is made to another coating because a suitable high-power laser is not available to test the coating within its
design wavelength range. The damage threshold of the referenced coating should be an accurate representation of
the coating in question.
For each damage threshold specification, the information given is the peak fluence (energy per square centimeter),
pulse width, peak irradiance (power per square centimeter), and test wavelength. The peak fluence is the total energy
per pulse, the pulse width is the full width at half maximum (FWHM), and the test wavelength is the wavelength of the
laser used to incur the damage. The peak irradiance is the energy of each pulse divided by the effective pulse length,
which is from 12.5% to 25% longer than the pulse FWHM. All tests are performed at a repetition rate of 20 Hz for
10 seconds at each test point. This is important because longer durations can cause damage at lower fluence levels,
even at the same repetition rate.
The damage resistance of any coating depends on substrate, wavelength, and pulse duration. Improper handling and
cleaning can also reduce the damage resistance of a coating, as can the environment in which the optic is used. These
damage threshold values are presented as guidelines and no warranty is implied. (See Chapter 14, High Energy Laser
Optics for details on our guaranteed high-energy laser coatings.)
When choosing a coating for its power-handling capabilities, some simple guidelines can make the decision process
easier. First, the substrate material is very important. Higher damage thresholds can be achieved using fused silica
instead of BK7. Second, consider the coating. Metal coatings have the lowest damage thresholds. Broadband dielectric
coatings, such as the HEBBAR and MAXBRIte are better, but single-wavelength or laser-line coatings, such as the
V and the MAX-R coatings, are better still. If even higher thresholds are needed, then high-energy laser (HEL) coatings
are required, such as those listed in Chapter 14. If you have any questions or concerns regarding the damage levels
involved in your applications, please contact a Melles Griot applications engineer.
5.20
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.21
HIGH-ENERGY-LASER COATED OPTICS

Optics and coatings specifically designed and
manufactured to withstand laser-induced damage
are recommended for high-power lasers, particularly
pulsed lasers.
See Chapter 14, High Energy Laser Optics, for an
extensive listing of these products, together with a
brief discussion of laser-induced damage.
Material Properties
Diode Laser Coating

This coating, designated /084 and shown in figure 5.27, is
designed to operate at two popular diode laser wavelengths. It is a
modified broadband coating which works well through the nearinfrared spectrum with reflection minima between 780 nm and
830 nm and also at 1300 nm.
Performance is guaranteed for incidence angles up to 15 degrees.
This coating can therefore be used even without complete collimation
of the diode radiation.
Visible/1064 nm Coating
This coating, designated /083 and shown in figure 5.26 is
designed for broadband antireflectance in the visible, as well as at
1064 nm, the wavelength of Nd-YAG lasers. With less than 1%
reflectance between 450 and 680 nm, and less than 0.25%
reflectance at 1064 nm, this coating will find many uses in any
system using a visible source in conjunction with low to moderate
power Nd:YAG laser fundamental radiation. Its high performance is guaranteed for incidence angles up to 15 degrees. Optics
with this coating are therefore best used at normal incidence and
can be used for both converging and diverging beams.
UV Broadband Coating
The ultraviolet broadband antireflection coating, designated
/072 and shown in figure 5.29, is designed for use on fused-silica
substrates and provides less than 1% reflectance from 245 nm to
440 nm. It is particularly useful with most popular excimer laser
lines, as well as other ultraviolet sources, such as mercury lamps.
The broad response of this coating allows it to perform well even
with poorly collimated light, which can be especially advantageous
when dealing with excimer laser sources.
Many optical systems require transmission of several, quite disparate

wavelengths or transmission over a very broad continuum of wavelengths. Examples include systems involving two types of lasers, a laser
system producing fundamental and harmonic wavelengths, a multiplewave mixing experiment, stimulated Raman experiments, or a system
using one laser for action and another for alignment.
In these situations, normal broadband coatings will not suffice.
For such cases, Melles Griot makes available extended-range antireflection coatings. These coatings offer either a single, extended
performance band or two separate high-performance regions. In the
latter case, one of the low-reflectance regions can be quite narrow,
since many of the applications often involve at least one laser beam.
Melles Griot manufactures many such coatings for a variety of customer specifications. The following special coatings are offered as
standard catalog items. The typical reflectance curves shown for
the extended-range HEBBAR coatings are for BK7 substrates,
except for /072 which is for fused silica.
Extended Broadband Coating

This very broad coating, designated /073 and shown in figure
5.28, offers good performance over the entire visible and nearinfrared spectral range. It is effective with broadband infrared
sources, such as infrared LEDs, as well as systems using several,
widely separated discrete laser lines.
Fundamental Optics
EXTENDED-RANGE HEBBAR ANTIREFLECTION COATINGS
Extended-Range HEBBAR Antireflection Coatings

Maximum Reflectance
(%)
Average Reflectance
(%)
Angle of Incidence
(degrees)
COATING
SUFFIX
Visible / 1064 nm
450700
1064
1.25
0.25
<1.0
015
/083
Diode Laser
780830
1300
0.5
0.5
<0.4
015
/084
Extended Broadband
4201100
1.75
<1.0
015
/073
UV Broadband
245440
1.0
<0.5
015
/072
5.21
Optical Coatings
Wavelength Range
(nm)
Coating
7/30/99
5:16 PM
Page 5.22
Fundamental Optics
Chpt. 5 Final
PERCENT REFLECTANCE
normal incidence
3
2
1
400
600
800
1000
$ Extremely versatile extended antireflection coating from

450 to 700 nm and 1064 nm
$ Ideal for Nd:YAG laser fundamental and second harmonic
$ Also performs well across the visible, including HeNe and
visible diode laser lines
$ Performance guaranteed from 015 on BK7 substrate
$ Rabs < 1.25% @ 450700 nm, Rabs < 0.25% @ 1064 nm
10-nsec pulse (107 MW/cm2) at 532 nm;
5.4 J/cm2810%, 20-nsec pulse (220 MW/cm2) at 1064 nm on
silica substrate
PERCENT REFLECTANCE
Material Properties
normal incidence
3
2
1
Figure 5.28
4
normal incidence
3
HEBBAR coating for visible and near-IR /073
4
normal incidence
3
2
1
200
1
Figure 5.27
Optical Coatings
1100
750
1350
900
1150
1500
HEBBAR coating for IR diode lasers /084
Extended antireflection coating: 780 to 830 nm and 1300 nm

Can be used with relatively uncollimated diode laser beams
Rabs < 0.5% @ 780 nm to 830 and 1300 nm
Damage threshold: see /083 (similar specifications at 1064 nm)
5.22
600
700
800
900
1000
Figure 5.29
$
$
$
$
500
$ Extended antireflection coating for 420 to 1100 nm

$ Excellent broadband coating, covering the visible and
near-infrared regions
$ Ravg <1.0%, Rabs <1.75%
6.5 J/cm2810%, 20-nsec pulse (260 MW/cm2) at 1064 nm
400
1100
Figure 5.26 HEBBAR coating for visible and Nd:YAG

wavelengths /083
PERCENT REFLECTANCE
PERCENT REFLECTANCE
$
$
$
$
300
400
500
HEBBAR coating for UV /072
Extended antireflection coating for 245 to 440 nm

Covers popular excimer and mercury lines
Ravg < 0.5%, Rabs < 1.0%
Damage threshold: 3.5 J/cm2810%,
10-nsec pulse (280 MW/cm2) at 355 nm on silica substrate
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.23
The typical reflectance curve illustrated in figure 5.30 is for a

V-coating on BK7 optical glass. Clearly the performance of such a
coating is highly dependent on the refractive index of the component material. However, we specify all coatings by performance
figures and not by design. This means that we will change the design
to suit the material being coated. This makes ordering coatings
simple: select the specification you want to achieve, tell us what to
put it on, and we do the rest. This means that your reflectance curve
may vary from the one shown on this page, but the coating will
meet your requirements. In addition to the standard coatings listed
here, Melles Griot can supply V-coatings at any center wavelength
from 193 nm to 2000 nm.
These coatings are not intended for use with high-energy lasers
although the Nd:YAG coatings are suitable for many mediumpower applications including diagnostics.
V-coatings are multilayer antireflection coatings that reduce the

reflectance of a component to near-zero for one very specific wavelength. Our V-coatings are intended for use at normal incidence, for
maximum reflectances of not more than 0.25% at their design wavelength.
They are extremely sensitive to both wavelength and angle of
incidence. For example, a V-coating intended for the helium neon
wavelength (632.8 nm) when used at 30-degree incidence will reflect
about 0.8%. At 45-degree incidence, the same coating will reflect over
2.5%. If your application involves other than normal angles of
incidence or high-numerical-aperture (low f-number) optics, it may
be better to use a HEBBAR coating.
Experience shows that the maximum reflectance typically
achieved by these coatings is often closer to 0.1% than the 0.25%
we specify. Using V-coatings on fused-silica optics can therefore
provide exceptionally high external transmittances.
Fundamental Optics
V-Coatings
V-Coating, Normal Incidence
193
248
266
308
351
ArF
ArF
YAG 3rd harm.
XeCl
Ar ion
0.5
0.25
0.25
0.25
0.25
COATING
SUFFIX
/101
/102
/103
/104
/105
0.25
0.25
0.25
0.25
0.25
/107
/111
/112
/113
/114
476
488
496
502
514
Ar ion
Ar ion
Ar ion
Ar ion
Ar ion
0.25
0.25
0.25
0.25
0.25
/115
/116
/117
/118
/119
532
543
633
670
694
YAG 2nd harm.

HeNe
HeNe
GaAlAs
Ruby
0.25
0.25
0.25
0.25
0.25
/122
/121
/123
/128
/124
780
830
850
904
1064
GaAlAs
GaAlAs
GaAlAs
GaAs
Nd:YAG
0.25
0.25
0.25
0.25
0.25
/163
/166
/167
/125
/126
1300
1523
1550
InGaAsP
HeNe
InGaAsP
0.25
0.25
0.25
/168
/169
/169
normal incidence
2
550
Figure 5.30
650
600
700
Example of a V-coating for 632.8 nm /123
$ Near-zero reflectance at one specific wavelength

and incidence angle
$ Maximum reflectance often less than 0.1%
$ Standard coatings available for most laser lines
$ Custom center wavelengths at specific angles of incidence
available per request
10-nsec pulse (361 MW/cm2) at 532 nm for /122 on silica
substrate; 10.6 J/cm2810%, 20-nsec pulse (480 MW/cm2)
at 1064 nm for /126 on BK7 substrate
5.23
Optical Coatings
Ar ion
HeCd
Ar ion
Ar ion
Ar ion
Material Properties
364
442
458
466
473
4
PERCENT REFLECTANCE
Laser Type
Wavelength
(nm)
Maximum
Reflectance
(%)
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.24
High-Reflection Coatings
Melles Griot offers a wide variety of high-reflection coatings
for mirrors, beamsplitters, polarizing beamsplitters, dichroic mirrors,
bandpass filters, and rejection filters. Some of these coatings are
applied to optics as requested; others are offered only as an integral
part of specialized optical elements.
High-reflection coatings are ordered in the same way as antireflection coatings, namely by appending the three-digit coating
suffix to the catalog number of the part being ordered.
High-reflection coatings may be applied to the outside of a
component, such as a flat piece of glass, to produce a first-surface
mirror. Alternately, they may be applied to an internal surface to
produce a second-surface mirror, such as a prism.
Reflectance of such films can easily be made to exceed the highest

metallic reflectances over limited wavelength intervals. Such films
are effective for both s- and p-polarization components and over
a wide angle-of-incidence range. At oblique incidence, reflectance
is markedly reduced.
Because of the materials chosen for the multilayer, durability
and abrasion resistance of such films are normally superior to those
of metallic films.
High-reflection coatings can be categorized as either metallic or

dielectric coatings.
METALLIC COATINGS
air
Metallic coatings are used primarily for mirrors and are not
classified as thin films in the strictest sense. They do not rely on
principles of interference, but rather on the optical properties of
the coating material. However, metallic coatings are often overcoated with thin dielectric films to increase reflectance over a desired
range of wavelengths or angles of incidence. In these cases, the
metallic coating is said to be enhanced.
Overcoating metallic coatings with a hard, single, dielectric layer
of half-wave optical thickness improves abrasion and tarnish resistance but only marginally affects optical properties. Depending on
the dielectric used, such overcoated metals are referred to as durable,
protected, or hard coated.
The main advantages of metallic coatings are broadband spectral
performance, insensitivity to angle of incidence and polarization,
and low cost. Their primary disadvantages are lower durability,
lower reflectance, and lower damage threshold.
Material Properties
performance curve are to use two or more stacks centered at slightly

shifted design wavelengths, or to slightly perturb the layer thickness
within a stack.
substrate
quarter-wave thickness of high-index material

quarter-wave thickness of low-index material
Figure 5.31
A simple quarter-wave stack
DIELECTRIC COATINGS
High-reflectance dielectric layers work on the same principles
as dielectric antireflection coatings. Quarter-wave thicknesses of
alternately high- and low-refractive index materials are applied to
the substrate to form a dielectric multilayer as shown in figure 5.31.
By choosing materials of appropriate refractive indices, the various
reflected wavefronts can be made to interfere constructively in order
to produce a highly efficient reflector.
Optical Coatings
The peak reflectance value is dependent upon the ratio of

refractive indices of the two materials, as well as the number of
layer pairs. Increasing either increases the reflectance.
The width of the reflectance curve (versus wavelength) is also
determined by the film index ratio. The larger the ratio, the wider
the high-reflectance region. In contrast to antireflection coatings,
the inherent shape of a high-reflection coating can be modified in
several different ways. The two most effective ways of modifying the
5.24
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.25
ALUMINUM (/016)
$ The most widely used metallic mirror coating
$ Provides consistently high reflectance throughout the
near-ultraviolet, visible, and near-infrared regions
$ Ravg > 90% from 400 to 1200 nm
$ The best general-purpose metallic reflector for visible to

near-infrared
$ Protective overcoat extends life of mirror and protects surface
$ Ravg > 87% from 400 to 800 nm
Protected aluminum is the very best general-purpose, metallic
coating for use as an external reflector in the visible and nearinfrared spectra. Unless we specify otherwise or you specifically
request a different coating, our mirrors are coated with protected
aluminum. Protected aluminum is coated with a dielectric film of
disilicon trioxide (Si2O3) of half-wavelength optical thickness at
550 nm. The protective film arrests oxidation and helps maintain
high reflectance. It is durable enough to protect the aluminum coating from minor abrasions.
Aluminum, the most widely used metal for reflecting films, offers
consistently high reflectance throughout the visible, near-infrared,
and near-ultraviolet regions of the spectrum. While silver exhibits
slightly higher reflectance than aluminum through most of the visible spectrum, the advantage is temporary because of oxidation
tarnishing. Aluminum also oxidizes, though more slowly, and its
oxide is tough and corrosion resistant. Oxidation significantly
reduces aluminum reflectance in the ultraviolet and causes slight scattering throughout the spectrum.
PERCENT REFLECTANCE
95
95
90
85
normal incidence
45 incidence
s-plane
p-plane
400
500
450
550
80
600
650
700
750
normal incidence
Figure 5.33
Protected aluminum coating /011
90
Material Properties
100
PERCENT REFLECTANCE
100

PROTECTED ALUMINUM (/011)
We offer eight forms of standard metallic high-reflection coatings

formed by vacuum deposition. These coatings, which can be used
at any angle of incidence, can be applied to most optical components.
Simply append the coating suffix number to the component product
number (see figures 5.32 through 5.39).
Metallic reflective coatings are delicate and require care during
cleaning. Dielectric overcoats substantially improve abrasion resistance, but they are not impervious to abrasive cleaning techniques.
Clean, dry pressurized gas can be used to blow off loose particles,
then clean, deionized water, a mild detergent, and alcohol can be
used. Gentle cleaning with a swab is recommended.
Fundamental Optics
85
80
400
600
800
1000
Figure 5.32
Optical Coatings
Aluminum coating /016
5.25
7/30/99
Page 5.26
ULTRAVIOLET-ENHANCED ALUMINUM (/028)
$
$
$
$
$ Maintains reflectance in the ultraviolet region

$ Dielectric overcoat prevents oxidation and increases abrasion
resistance
$ Ravg > 86% from 250 to 400 nm
$ Ravg > 85% from 400 to 700 nm
10-nsec pulse (5.7 MW/cm2) at 355 nm
Enhanced performance in the mid-visible region

Durability of protected aluminum
Ravg > 93% from 450 to 750 nm
10-nsec pulse (33 MW/cm2) at 532 nm,
By coating the aluminum with a multilayer dielectric film,

reflectance is increased over a wide range of wavelengths. The
durable enhancing multilayer produces a peak reflectance
of 95% with an average across the visible spectrum of 93%.
This coating is well suited for applications requiring the durability
and reliability of protected aluminum, but with higher reflectance
in the mid-visible regions. The reflectance of enhanced aluminum
peaks between 530 nm and 580 nm and is high from 400 nm to
800 nm.
95
90
85
80
Enhanced aluminum coating /023
750
100
90
80
normal incidence
70
60
200
250
300
350
400
Figure 5.35
Ultraviolet-enhanced aluminum coating /028
Optical Coatings
Figure 5.34
normal incidence
45 incidence
s-plane
p-plane
450
500
550
600
650
700
By applying a film of an ultraviolet-transmitting dielectric (usually

MgF2), the reflectance of pure, bare aluminum can be preserved in
the ultraviolet. The dielectric layer prevents oxidation of the aluminum
surface and provides abrasion resistance. While the resulting surface
is not as abrasion resistant as our protected aluminum, this coating
may be cleaned with care. Reflectance averages over 86% from 250
to 400 nm and over 86% throughout the visible spectrum. This
coating can be applied to all Melles Griot mirrors.
PERCENT REFLECTANCE
100
400
Material Properties
5:16 PM
ENHANCED ALUMINUM (/023)
PERCENT REFLECTANCE
Fundamental Optics
Chpt. 5 Final
5.26
Chpt. 5 Final
9/27/99
2:29 PM
Page 5.27
PROTECTED SILVER (/038)
$
$
$
$
$
$
$
$
$
$
95
100
80
normal incidence
60
40
20
90
normal incidence
0
400
85
600
700
800
900
80
Figure 5.37
400
Figure 5.36
500
Material Properties
PERCENT REFLECTANCE
100
Silver is frequently used in the near-infrared (the interval

containing neodymium and gallium arsenide laser lines) because
it avoids the small dip in reflectance exhibited by aluminum in this
interval. In the near ultraviolet, silver has very low reflectance, and
aluminum is a preferable choice. From the visible into the middleinfrared, silver offers the highest internal reflectance available from
a metallic coating. Silver has less effect than aluminum on the
polarization state in these regions of the spectrum.
Melles Griot uses a proprietary coating and edge-sealing

technology to offer a first-surface external protected silver coating.
In recent tests, the protected silver coating has shown no broadening effect on a 52-femtosecond pulse. This information is presented
as a guideline for femtosecond applications and no warranty is
implied. Protected silver offers extremely broad performance, from
400 nm to well into the infrared, with excellent durability.
Due to the specialized tooling required to produce the protected
silver coating, it is offered only on a limited range of substrates.
Through most of the visible and near-infrared spectra, silver has

higher reflectance than aluminum, at least for a short time following
deposition. Rapid oxidation quickly causes unprotected silver coatings
to deteriorate. In the internal silver coating, oxidation and tarnish are
prevented by coating the external surface with an additional layer of
either Inconel or copper. The Inconel or copper layers are subsequently painted to increase abrasion resistance. In this way, the high
initial reflectance of silver is indefinitely preserved.
Extremely versatile mirror coating

Excellent performance for the visible to infrared region
Ravg > 95% from 400 nm to 20 mm
Can be used for ultrafast Ti:Sapphire laser applications
10-nsec pulse (75 MW/cm2) at 532 nm,
PERCENT REFLECTANCE
For internal reflection (second-surface) mirrors and prisms only

Preferred for visible to near-infrared region
Less polarization effects than aluminum
Ravg > 98% from 400 nm to 1200 nm
Fundamental Optics
INTERNAL SILVER (/036)
450
500
550
600
650
Protected silver coating /038
700
Internal silver coating /036
Optical Coatings
Inconel is a registered trademark of EM Industries, Inc.
5.27
7/30/99
5:16 PM
Page 5.28
BARE GOLD (/045)
PROTECTED GOLD (/055)
$
$
$
$
$
$
$
$
Widely used in the near, middle, and far infrared

Effectively controls thermal radiation
Damage threshold: 1.1 J/cm2810% ,
Because it combines good tarnish resistance with consistently

high reflectance throughout the near, middle, and far infrared, gold
is widely used in these regions. While it is possible to construct multilayer films that may surpass the reflectance of gold at specific
wavelengths, the useful range of gold is unequaled. Gold is especially
effective in controlling thermal radiation. Because bare gold is soft
and scratches easily, bare-gold mirrors should be cleaned only by
flow-washing with solvents and clean water or by blowing the surface clean with a low-pressure stream of dry air.
PERCENT REFLECTANCE
100
80
60
normal incidence
40
20
Optical Coatings
Material Properties
0
400
Figure 5.38
The performance of the durability of dielectrics

Protective overcoat extends coating life
The Melles Griot proprietary protected gold mirror coating

combines the natural spectral performance of gold with the
durability of hard dielectrics. Protected gold provides over 96%
average reflectance from 650 to 1700 nm, and over 98% average
reflectance from 2 to 16 mm. As well as the damage threshold listed
above, the /055 coating was tested for laser-induced damage and was
found to withstand up to 182 J/cm2 with a 260-s pulse
(0.4 MW/cm2) at a wavelength of 3 m. These mirrors can be cleaned
regularly using standard organic solvents, such as alcohol or acetone.
800
1200
1600
2000
2400
Bare gold coating /045
100
PERCENT REFLECTANCE
Fundamental Optics
Chpt. 5 Final
80
60
40
20
2800
normal incidence
700 800 900 1000 1100 1200 1300 1400 1500 1600
Figure 5.39
Protected gold coating /055

Coating Type
Wavelength Range
(nm)
Average Reflectance
(%)
COATING SUFFIX
Aluminum
Protected Aluminum
Enhanced Aluminum
UV-Enhanced Aluminum
Internal Silver
Protected Silver
Bare Gold
Protected Gold
4001200
400800
450750
250400
4001200
40020,000
70020,000
65016,000
90
87
93
86
98
95
99
98
/016
/011
/023
/028
/036
/038
/045
/055
To order, append coating suffix to product number.
5.28
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.29
Fundamental Optics
Dielectric High-Reflection Coatings

QUARTER-WAVE STACK
If the difference in the refractive index of the materials is large,

then a quarter-wave stack containing only a few layers will have a
very high reflectance.
PERCENT REFLECTANCE
100
80
60
40
20
0.2 0.4
0.6 0.8
1.0
1.2
1.4
1.6 1.8 2.0
The basic building block for any coating involving high levels of
reflection is the quarter-wave stack a stack of alternate layers of
high- and low-refractive-index material. Each layer in the stack
ideally has an optical thickness of a quarter wave at the design
wavelength. Alternate reflections are phase shifted by 180 degrees
because they occur at low- to high-index interfaces (external
reflections). These phase shifts are exactly canceled by the
180-degree phase shifts caused by the path difference between
alternate reflecting surfaces. All reflected wavefronts are therefore
exactly in phase and undergo only constructive interference.
RELATIVE WAVELENGTH
PERFORMANCE CURVE
Outside the fairly narrow region of high reflectance, the

reflectance slowly reduces toward zero in an oscillatory fashion.
Width and height (i.e., peak reflectance) of the high-reflectance
region are functions of the refractive-index ratio of the two materials
used, together with the number of layers actually included in the
stack. The peak reflectance can be increased by adding more layers,
or by using materials with a higher refractive index ratio. Amplitude
reflectivity at a single interface is given by
(14p)
(1+ p)
where
N41
n H2
nS ,
(5.26)
nS is the index of the substrate, and nH and nL are the indices of the highand low-index layers. N is the total number of layers in the stack.
The width of the high-reflectance part of the curve (versus wavelength) is also determined by the film index ratio. The higher the
ratio, the wider is the high-reflectance region.
BROADBAND COATINGS
In contrast to antireflection coatings, the inherent shape of a
high-reflectance coating can be modified in several different ways.
The two most effective ways of modifying a performance curve are
to use two or more stacks centered at slightly shifted design wavelengths, or to perturb the layer thicknesses within a stack.
There is a subtle difference between multilayer antireflection
coatings and multilayer high-reflection coatings, which allows the
performance curves of the latter to be modified by using layer thicknesses designed for different wavelengths within a single coating.
Consider a multilayer consisting of pairs, or stacks of layers, which
are designed for different wavelengths. At any given wavelength,
providing at least one of the layers is highly reflective for that wavelength, the overall coating will be highly reflective at that wavelength.
Whether the other components transmit or are partially reflective
at that wavelength is immaterial. Transmission of light of that wavelength will be blocked by reflection of a single component.
The main parameters used to describe the performance of a

thin film are reflectance and transmittance (plus absorptance, where
applicable). Another less well-defined parameter is scattering. This
is hard to define because of the inherent granular properties of the
materials used in the films. Granularity causes some of the incident
light to be lost by specular reflection. Often, it is scattering, not
mechanical stress and weakness in the coating, that limits the
maximum practical thickness of an optical coating.
This can be summarized by an empirical rule. At any wavelength,

the reflection of a multilayer coating consisting of several discrete
components will be at least that of the most reflective component.
Exceptions to this rule are coatings that have been designed to
produce interference effects not just involving the surfaces within
the two-layer or multilayer component stack, but also between the
stacks themselves. Obvious examples are narrowband interference
filters which are described in detail later and in Chapter 13, Filters.
5.29
Optical Coatings
SCATTERING
On the other hand, in an antireflection coating, even if one of

the stacks is exactly antireflective at a certain wavelength, the overall coating may still be quite reflective because of reflections by the
other components (see figure 5.41).
Material Properties
nH
p =
nL
Figure 5.40 Typical reflectance curve of an unmodified

quarter-wave stack
The reflection versus wavelength performance curve of a single

dielectric stack has a characteristic flat top inverted V shape as
shown in figure 5.40. Clearly, reflectance is a maximum at the wavelength for which both the high- and low-index layers of the multilayer are exactly one-quarter-wave thick.
Optical Coatings
Material Properties
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.30
BROADBAND REFLECTION COATINGS

The design procedure for a broadband reflection coating should
now be apparent. Two design techniques are used. The most obvious
approach is to use two quarter-wave stacks with their maximum
reflectance wavelengths separated on either side of the design wavelength. This type of coating, however, tends to be too thick and
often has poor scattering characteristics. The basic design is very
useful for dichroic high reflectors, where the peak reflectances of
two stacks are at different wavelengths.
A more elegant approach to broadband dielectric coatings is
to use a single modified quarter-wave stack. In this modified stack,
the layers are not all of the same optical thickness. They are graded
between the quarter-wave thickness for two wavelengths at either
end of the intended broadband performance region. The optical
thicknesses of the individual layers are usually chosen to follow a
simple arithmetic or geometric progression. Using designs of this
type, multilayer, broadband, high-reflectance coatings are possible
with reflectances in excess of 99% over several hundred nanometers. The greatest impact of improved broadband reflector design
and manufacturing technology has almost certainly been on dye laser
design and applications. In many of these scanning systems, high
reflectance over a large wavelength region is absolutely essential. In
many non-laser instruments, all-dielectric coatings are favored over
metallic coatings because of their high reflectance. Multilayer
broadband coatings are available with high-reflectance regions
spanning almost the entire visible spectrum. Such films are effective
for both s- and p-polarization components, and over a wide range
of incidence angles. At oblique incidence, reflectance is markedly
reduced.
effective broadband high-reflection coating

incident
wavelength l0
NOTE: If at least one component is totally

reflective, the coating will not transmit
light at that wavelength.
noneffective broadband antireflection coating

incident
wavelength l0
NOTE: Unless every component is totally

nonreflective, some reflection losses will occur.
totally reflective component for l0

partially reflective component for l0
totally nonreflective component for l0
Because of the materials chosen for the multilayer, durability

and abrasion resistance of such films are superior to those of metallic
films. Although the reflectance of dielectric coatings can easily be
made to exceed the highest metallic reflectances over very large
wavelength intervals, metallic coatings are still superior in terms of
usable ranges of incidence angles and wavelengths for a single coating.
Figure 5.41 Schematic multicomponent coatings with

only one component exactly matched to the incident
wavelength, l . (the high-reflection coating is successful; the
antireflection coating is not).
POLARIZATION EFFECTS
At certain wavelengths, a multilayer dielectric coating shows a

remarkable difference in its reflectance of the s- and p-polarization
components (see figure 5.42).
When light is incident on any optical surface at angles other

than normal incidence, there is always a difference in the reflection/
transmission behavior of s- and p-polarization components. In
some instances, this difference can be made extremely small. On
the other hand, it is sometimes advantageous to design a thin-film
coating that maximizes this effect (e.g., thin-film polarizers).
Polarization effects are not normally considered for antireflection
coatings since these are nearly always used at normal incidence
where the two polarization components are equivalent.
High-reflectance or partially reflecting coatings are frequently
used away from normal incidence, particularly at 45 degrees, for
beam steering or beam splitting. Polarization effects can therefore
be quite important for these types of coating.
5.30
The basis for the effect is the difference in effective refractive

index of the layers of film for s- and p-components of the incident
beam, as the angle of incidence is increased from zero. This should
not be confused with the phenomenon of birefringence in certain
crystalline materials, most notably calcite. Unlike birefringence, it
does not require the symmetric properties of a truly crystalline
phase. It arises from the difference in magnetic and electric field
asymmetries for s- and p-components of an electromagnetic wave
at oblique incidence.
The resultant difference in reflectance of the two polarization
components is always in the same sense. Maximum s-polarization
reflectance is always greater than the maximum p-polarization
7/30/99
5:16 PM
Page 5.31
80
60
40
INTERFERENCE FILTERS
20
0.8
0.9
1.0
1.1
1.2
RELATIVE WAVELENGTH
Figure 5.42 The s-polarization reflectance curve is always

broader and higher than the p-polarization reflectance
curve
Many dielectric coatings are used at peak reflectance wavelengths

where polarization differences can be made negligible. In some
cases, the polarization differences can be be put to good use. The
edge region of the reflectance curve is a wavelength region in
which the s-polarization reflectance is much higher than the
p-polarization reflectance. This can be maximized in a design to
produce a very efficient thin-film polarizer.
EDGE FILTERS AND HOT OR COLD MIRRORS
Traditionally, such filters were made from colored glasses.

Melles Griot offers a range of these economical and useful filters in
Chapter 13, Filters. Although they are adequate for many applications, they have two drawbacks: they function by absorbing unwanted
wavelengths, which may be a problem in such high-power situations
as projection optics, and the edge of the transmission curve may not
be as sharp as necessary for some applications.
typical transmittance curve
100
90
80
70
60
50
40
30
20
10
450
Material Properties
In many optical systems, it is necessary to have a wavelength

filtering system that transmits all light of wavelengths longer than
a reference wavelength or transmits light at shorter wavelengths
than a reference wavelength. These types of filters are often called
short-wavelength or long-wavelength cutoff filters.
550
650
750
Figure 5.43
Spectral performance of an interference filter
Optical Coatings
Thin films acting as edge filters are now routinely manufactured

using a modified quarter-wave stack as the basic building block.
Melles Griot produces many edge filters specially designed to meet
customers specifications. A selection suitable for various laser
applications is offered as standard catalog items.
reflectance at oblique incidence. If the reflectance is plotted as a

function of wavelength for some arbitrary incidence angle, the
s-polarization high-reflectance peak always extends over a broader
wavelength region than the p-polarization peak.
In many applications, particularly those in the field of resonance

atomic or molecular spectroscopy, a filtering system is required
that transmits only a very narrow range of wavelengths of
incident light. For particularly high-resolution applications, monochromators may be used, but these have very poor throughputs. In
instances where moderate resolution is required and where the
desired region(s) is fixed, interference filters should be used.
Interference filters are produced by applying a complex multilayer coating to a colored glass blank. The complex coating consists
of a series of broadband quarter-wave stacks which act as a verythin multiple-cavity Fabry-Perot interferometer. The colored glass
absorbs light that would be transmitted by higher order interferences.
Figure 5.43 shows the transmission curve of a typical
Melles Griot interference filter, the 550-nm filter from the visible40 filter set (03 IFS 008). Notice the square shape of the transmission
curve which dies away very quickly outside the high-transmission
(low-reflectance) region.
More information concerning the design and operation of such
filters can be found together with product listings in Chapter 13,
Filters.
PERCENT REFLECTANCE
s-plane
p-plane
This type of filter is used in high-power image-projection systems

where the light source often generates intense amounts of heat
(infrared and near-infrared radiation). Thin-film filters designed
to separate visible and infrared radiation are known as hot or cold
mirrors, depending on which wavelength region is rejected (reflected)
and which is transmitted. Melles Griot offers both hot and cold
mirrors as catalog items (see Chapter 13, Filters).
Fundamental Optics
100
PERCENT TRANSMITTANCE
Chpt. 5 Final
5.31
Fundamental Optics
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.32
PARTIALLY TRANSMITTING COATINGS
An alternative to the outdated metallic beamsplitter is a broadband (or narrowband) multilayer dielectric stack with a limited
number of pairs of layers, which transmits a fixed amount of the incident light. Just as in the case of metallic beamsplitter coatings, the
ratio of reflected and transmitted beams depends on the angle of
incidence. Since the angle of incidence is normally fixed at 45 degrees,
this does not present a significant problem. Unlike a metallic coating, a high-quality film will introduce negligible losses by either
absorption or scattering. There are, however, two drawbacks to
dielectric beamsplitters. The performance of these coatings is more
wavelength sensitive than that of metallics, and the ratio of transmitted and reflected intensities may be quite different for the s- and
p-polarization components of the incident beam. In polarizers, this
can be used to advantage. The difference in partial polarization of
the reflected and transmitted beams is not important, particularly
where polarized lasers are used. In beamsplitters, this is usually a
drawback. A hybrid metal-dielectric coating is often the best
compromise.
Melles Griot produces coated beamsplitters with designs ranging
from broadband performance without polarization compensation,
to broadband with some compensation for polarization, to a
completely new range of cube beamsplitters that are virtually nonpolarizing at certain laser wavelengths. These nonpolarizing
beamsplitters offer unparalleled performance with the reflected
s- and p-components matched to better than 5%.
Optical Coatings
Material Properties
In many applications, it is desirable to split a beam of light into

two components with an arbitrary intensity ratio. This is performed
by inserting an optical surface at some oblique angle (usually 45
degrees) to produce a separate reflected and transmitted component.
In most cases, a multilayer coating is applied to the surface in order
to modify intensity and polarization ratios of the two beams.
5.32
Chpt. 5 Final
7/30/99
5:16 PM
Page 5.33
PERCENT REFLECTANCE
99
98
97
96
normal incidence
45 incidence
500
600
700
800
Figure 5.44 MAXBRIte /001 coating

$ Exceptional reflectance for s- and p- polarization
$ Excellent performance for common visible lines
$ Suitable for external laser-beam manipulation and many
instrument applications
$ Ravg > 98% from 480 to 700 nm
100
99
98
97
96
600
normal incidence
45 incidence
700
800
900
Material Properties
PERCENT REFLECTANCE
MAXBRIte Coatings
100
MAXBRIte (multilayer all-dielectric xerophilous broadband

reflecting interference) coatings are, without a doubt, the best broadband mirror coatings commercially available. The /001 coating covers the visible spectrum from 480 nm to 700 nm, the /003 is useful
for diode laser applications from 630 nm to 850 nm, and the /009
coating offers enhanced blue response. They all reflect well over
98% of incident laser radiation within their respective wavelength
ranges.
These coatings exhibit exceptionally high reflectances for both
s- and p-polarizations. In each case, at the most important laser
wavelengths and for angles of incidence as high as 45 degrees, the
average of s- and p-reflectances exceeds 99%. For most applications,
they are superior to metallic or enhanced metallic coatings.
The /001 MAXBRIte coating (figure 5.44) is suitable for
instrumental and external laser-beam manipulation tasks. It is the
ideal choice for use with tunable dye and parametric oscillator
systems. The structural design of this coating is such that flatness
specifications as tight as l/10 can be maintained using low-expansion
substrate materials.
The /003 MAXBRIte coating (figure 5.45) covers all the
important diode laser wavelengths from 630 to 850 nm; therefore,
it can be used with both visible and near-infrared diode lasers. This
broadband coating is ideal for applications employing nontemperature- stabilized diode lasers where wavelength drift is likely to
occur. The /003 also makes it possible to use a HeNe laser to align
diode systems.
The /007 ultraviolet MAXBRIte coating (figure 5.46) offers
superior performance for ultraviolet applications. It is ideal for use
with many of the excimer lasers, as well as the third and fourth harmonics of most solid-state lasers. It is also particularly useful with
broadband ultraviolet light sources, such as mercury and xenon
lamps. Due to mechanical stresses within this intricate coating, it
is limited to substrates of l/4 figure or less.
The /009 extended MAXBRIte coating (figure 5.47) offers superior
response below 500 nm, and it is particularly useful for helium
cadmium lasers at 442 nm, or the blue lines of argon-ion lasers. Like
the /007, mechanical stresses in this complex coating limit its use to
substrates of l/4 figure or less.
Because of the many applications for these superior coatings we
stock a number of precoated substrates.
Fundamental Optics
MAXBRIte Coatings
Average
Reflectance
(%)
Angle of
Incidence
(degrees)
COATING
SUFFIX
480700
630850
245390
420700
98
98
98
98
045
045
045
045
/001
/003
/007
/009
$
$
$
$
$
Useful with visible, near-infrared diode, and HeNe lasers

Easily accommodates diode wavelength drift
Ideal for pointing and alignment applications
Ravg > 98% from 630 to 850 nm
Optical Coatings
Wavelength
Range
(nm)
Note: To order, append coating suffix to product number.
5.33
7/30/99
5:17 PM
Page 5.34
Fundamental Optics
Chpt. 5 Final
80
60
normal incidence
45 incidence
40
20
100
PERCENT REFLECTANCE
PERCENT REFLECTANCE
100
99
98
97
96
normal incidence
45 incidence
0
250
300
350
400
400
500
600
700
$ Excellent performance for excimer and YAG third- and

fourth-harmonic lines, as well as broadband ultraviolet
sources
$ Superior reflectance from 0 to 45 degrees incidence for
s- and p-polarizations
$ Ravg > 98% from 245 to 390 nm
$ Wavelength range extended even farther than /001

MAXBRIte
$ Outstanding performance from 0 to 45 degrees incidence
$ Ravg > 98% from 420 to 700 nm
10-nsec pulse (35 MW/cm2) at 532 nm on silica substrate
OPTICS GLASS CLEANING
Optical Coatings
Material Properties
Melles Griot removes all contamination from our substrates prior to coating with a high-volume, five-stage Interlab
semi-aqueous glass cleaner.
5.34
Chpt. 5 Final
7/30/99
5:17 PM
Page 5.35
PERCENT REFLECTANCE
100
80
normal incidence
60
40
20
0.8
Figure 5.48
0.9
1.0
1.1
RELATIVE WAVELENGTH, g = l0 /l
MAX-R coating, normal incidence
80
60
20
0.8
/255 13.3 J/cm2810%,

Figure 5.49
0.9
1.0
1.1
RELATIVE WAVELENGTH, g = l0 /l
1.2
MAX-R coating, 45-degree incidence
$ Highest possible reflectance achieved at specific laser

wavelengths and angles of incidence
$ Standard MAX-R coatings available for popular
laser wavelengths at both 0 degrees and 45 degrees
$ Custom designs easily produced
$ Coatings available from 193 nm to 1550 nm
Material Properties
/205 2.4 J/cm2810%,

45 incidence
s-polarization
p-polarization
40
LASER-INDUCED DAMAGE
The following laser damage threshold statistics do
not constitute a performance guarantee but should
be representative for MAX-R coatings.
PERCENT REFLECTANCE
100
APPLICATION NOTE
1.2
These multilayer coatings achieve the highest possible reflectances

at specific laser wavelengths and at particular angles of incidence. At
these wavelengths and angles, laser-line MAX-R coatings outperform MAXBRIte. We offer coatings for angles of incidence at
0 degrees (see figure 5.48) and 45 degrees (see figure 5.49). Because
the layer thicknesses differ for these two angles, the coatings cannot
be used interchangeably. Laser-line MAX-R coatings are intended
for external beam-manipulation applications. Specified coating
reflectances apply to p-polarization (except at normal incidence,
where the p- and s-polarization states are indistinguishable).
Reflectances for s-polarization generally exceed those for ppolarization. Other coatings can be supplied at any center wavelength
from 193 nm to 1.6 mm.
Fundamental Optics
Laser-Line MAX-R Coatings
/225 12.6 J/cm2810%,

/275 13.6 J/cm2810%,
/241 2.4 J/cm2810%,
For g = l0/l, l0 is the design wavelength and l is

arbitrary. For example, l = l0/g = 1064 nm/0.9 =
1182 nm, if one looks at g = 0.9 for the /291 coating.
For values of g below 0.8 and above 1.2, the
reflectance curves oscillate sinusoidally, in a manner
that varies from coating to coating and run to run.
Optical Coatings
/291 17.7 J/cm2810%,

PLEASE NOTE FOR THE ABOVE CURVES:
5.35
Fundamental Optics
Chpt. 5 Final
7/30/99
5:17 PM
Page 5.36
Laser-Line MAX-R Coatings, Normal Incidence
Laser-Line MAX-R Coatings, 45-Degree Incidence
Minimum
Reflectance Rp (%)
Wavelength
(nm)
0
Incidence
015
Incidence
COATING
SUFFIX
Wavelength
(nm)
Laser Type
45
Incidence
4510
Incidence
COATING
SUFFIX
ArF
KrF
Nd:YAG 4th harm.
XeCl
Ar ion
97.0
98.0
98.0
99.0
99.0
94.0
95.0
95.0
96.0
96.0
/201
/202
/203
/204
/205
193
248
266
308
351
ArF
KrF
Nd:YAG 4th harm.
XeCl
Ar ion
97.0
98.0
98.0
98.0
98.0
94.0
95.0
95.0
95.0
96.0
/251
/252
/253
/254
/255
364
442
458
466
473
Ar ion
HeCd
Ar ion
Ar ion
Ar ion
99.0
99.3
99.5
99.5
99.5
96.0
99.0
99.3
99.3
99.3
/207
/209
/211
/213
/215
364
442
458
466
473
Ar ion
HeCd
Ar ion
Ar ion
Ar ion
98.0
99.0
99.3
99.3
99.3
96.0
98.0
98.0
98.5
98.5
/257
/259
/261
/263
/265
476
488
496
502
514
Ar ion
Ar ion
Ar ion
Ar ion
Ar ion
99.5
99.5
99.5
99.5
99.5
99.3
99.3
99.3
99.3
99.3
/217
/219
/221
/222
/223
476
488
496
502
514
Ar ion
Ar ion
Ar ion
Ar ion
Ar ion
99.3
99.3
99.5
99.5
99.5
98.5
98.5
98.5
98.5
98.5
/267
/269
/271
/272
/273
532
543
633
670
694
Nd:YAG 2nd harm.

HeNe
HeNe
GaAlAs
Ruby
99.5
99.5
99.5
99.5
99.3
99.3
99.3
99.3
99.3
99.0
/225
/226
/229
/228
/231
532
543
633
670
694
Nd: YAG 2nd harm.

HeNe
HeNe
GaAlAs
Ruby
99.5
99.5
99.5
99.0
99.0
98.5
98.5
98.5
98.5
98.5
/275
/276
/279
/278
/281
780
830
850
904
1064
GaAlAs
GaAlAs
GaAlAs
GaAs
Nd:YAG
99.3
99.3
99.3
99.3
99.2
99.0
99.0
99.0
99.0
99.0
/233
/237
/238
/239
/241
780
830
850
904
1064
GaAlAs
GaAlAs
GaAlAs
GaAs
Nd:YAG
99.0
99.0
99.0
99.0
99.0
98.5
98.5
98.5
98.5
98.0
/283
/287
/288
/289
/291
1300
1523
1550
InGaAsP
HeNe
InGaAsP
99.2
99.2
99.2
99.0
99.0
99.0
/245
/247
/247
1300
1523
1550
InGaAsP
HeNe
InGaAsP
99.0
99.0
99.0
98.5
98.5
98.5
/295
/297
/297
193
248
266
308
351
Material Properties
Laser Type
Minimum
Reflectance Rp (%)
Optical Coatings
SPHERICAL AND CYLINDRICAL MIRRORS

Virtually any of our mirror coatings can be applied to standard optical components. Common examples include using
plano-concave lenses to make spherical concave mirrors or coating plano-convex lenses to make secondary mirrors for
Cassegrain beam expanders or telescopes. The radius of curvature of any of our simple lenses can be calculated using
the data given in the product tables together with the formulas presented at the end of Chapter 1, Fundamental
Optics.
5.36
Chpt. 5 Final
7/30/99
5:17 PM
Page 5.37
Fundamental Optics
Ultrafast Coating
Melles Griot has developed a new coating which is designed for

ultrafast laser systems in the near-infrared. The ultrafast coating
(/091, shown in figure 5.50), an all-dielectric coating, centered at
800 nm, minimizes pulse broadening for ultrafast applications. The
coating also offers exceptionally high reflectance for both
s- and p-polarizations in the range from 750 nm to 870 nm.
The ultrafast coating is ideal for high-power Ti:sapphire laser

applications. This coating is superior to protected and enhanced
metallic coatings because of its ability to handle higher powers. For
lower power light sources, the protected silver /038 coating is strongly
recommended for ultrafast applications because of its low pulsebroadening effect.
Melles Griot offers the /091 coating standard on both a 12.5-mmand a 25.0-mm-diameter ultraviolet synthetic fused-silica substrate.
80
PERCENT REFLECTANCE
100
60
40
p-plane
s-plane
20
700
APPLICATION NOTE
800
900
1000
Dispersion Curve
typical dispersion curves
Ultrafast coating /091
$ Rp > 99% from 770 mm to 830 nm, Rs >99% from 750 nm

to 870 nm
$ Low pulse broadening
Ultrafast Coating (/091)

Wavelength
Range
(nm)
Minimum
Reflectance
Rp(%)
Angle of
Incidence
(deg)
Pulse
Broadening
(%)
COATING
SUFFIX
770830
99.0
45
<18.0
/091
-300
Material Properties
$ High laser-damage threshold
protected silver (53.5 fsec)

all dielectric (62 fsec)
no mirrors (52 fsec)
NORMALIZED INTENSITY
Figure 5.50
-200
-100
100
200
300
TIME (fsec)
Optical Coatings
Dispersion effects (pulsed broadening) measured

using an autocorrelation of laser pulses with a fourmirror test line
5.37
9/2/99
3:58 PM
Page 5.38
Fundamental Optics
Chpt. 5 Final
Optical Coatings
Material Properties
SALT-FOG AND HUMIDITY

TESTING FOR OPTICAL COATINGS
Melles Griot has tested several standard optical
coatings to ensure spectral performance under
non-laboratory environmental conditions. The
following list identifies optical coatings that passed
environmental testing for salt- fog and humidity.
The humidity testing was done per MIL-C-14806A
paragraph 4.4.6. The salt-fog test was done per
MIL-C-14806 paragraph 4.4.8 and MIL-STD-810C
reference 1.3, method 509.1, procedure I.
Humidity testing was done at 120F and the relative
humidity was at 95-100% for 24 hours. Salt-fog
testing was done at a temperature of 95F, pH
solution of 6.5, collection rate of 1.18 ml/hr, and
specific gravity of 1.034.
Optical Coatings Passing Environmental Test
for Salt-Fog and Humidity
Antireflection
Single layer MgF2 /066
Single layer MgF2 /067
HEBBAR /072
HEBBAR /073
HEBBAR /074
HEBBAR /075
HEBBAR /076
HEBBAR /077
HEBBAR /078
HEBBAR /079
HEBBAR /083
HEBBAR /084
V-coating at 248 nm
V-coating at 532 nm
V-coating at 904 nm
V-coating at 1300 nm
V-coating at 15231550 nm
COATING CAPABILITIES
Melles Griot uses a state-of-the-art, Eddy Company,
SYS/48B ion-assisted coating chamber for our highprecision reflective and antireflection coatings.
This fully automatic system produces multilayer
dielectric coatings with excellent thin film quality,
high damage thresholds, and low loss. In addition,
the automatic coating process allows us to produce
coatings with higher precision, better uniformity,
and greater batch-to-batch repeatability. This benefits
not only our research customers but also our OEM
customers. To meet your specific needs Melles Griot
can produce custom coatings in high volume or in
prototype quantities. Contact your local Melles Griot
sales office for more information.
Our coating chamber is located in a Class-10,000
clean room to ensure coatings of the highest quality.
If required, we can also inspect coated optics in a
clean room and then package them in special cleanroom packaging so that the parts can be shipped
direct to and opened in a clean room environment.
Reflective
MAXBRite /001
MAXBRite /003
MAXBRite /009
MAX-R at 351 nm
MAX-R at 633 nm
MAX-R at 1064 nm
Filter/Beamsplitter
Hot Mirror
Cold Mirror
UV plate beamsplitter
03 BTF at 550 nm
03 BTF at 850 nm
03 BDS 001 beamsplitter
5.38
State-of-the art Eddy SYS/48B coating chamber

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Chpt.

Gaussian Beam Optics

Imaging Properties of Lens Systems

Lens Combination Formulas

Paraxial Lens Formulas

Gaussian Beam Optics

Determine basic system

Second, actual components are chosen based on these paraxial

Using paraxial formulas

In practice, the second step may reveal conflicts with design

Pick lens components

Because some of the terms used in this chapter may not be

Melles Griot maintains a staff of knowledgeable,

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s is 1 for object to left of H

f is 1 for convex (diverging) mirrors

For lenses: (refer to figure 1.1)

f is 5 for concave (converging) mirrors

s is 5 for object to right of H

s is 1 for object to left of H

s is 1 for image to right of H

s is 5 for object to right of H

s is 5 for image to left of H

s is 5 for image to right of H

m is 1 for an inverted image

s is 1 for image to left of H

m is 5 for an upright image

m is 1 for an inverted image

rear focal point

front focal point

= object distance, positive for object (whether real

s = image distance (s and s are collectively called

= effective focal length (EFL) which may be positive

Figure 1.1 Sign conventions

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Typically, the first step in optical problem solving is to select a

Gaussian Beam Optics

The same object is placed 30 mm left of the left principal point of

Figure 1.2 Example 1 (f = 50 mm, s = 200 mm, s = 66.7 mm)

(or virtual image is 2.5 mm high and upright).

where (s + s) is the approximate object-to-image distance.

Figure 1.3 Example 2 (f = 50 mm, s = 30 mm, s = 475 mm)

(or real image is 0.33 mm high and inverted).

(or virtual image is 0.5 mm high and upright).

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Gaussian Beam Optics

Figure 1.4 Example 3 (f = 450 mm, s = 50 mm, s = 425 mm)

Because the sign convention given previously is not

A simple graphical method can also be used to determine paraxial

F-NUMBER AND NUMERICAL APERTURE

To visualize the f-number, consider a lens with a positive focal

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Imaging Properties of Lens Systems

Example: System with Fixed Input NA

To understand the importance of the numerical aperture, consider

Two very common applications of simple optics involve coupling

NA (object side) = sinv =

NA" (image side) = sinv =

which can be rearranged to show