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Large-aperture broadband sapphire

windows for common aperture, target
acquisition, tracking, and surveillance
systems

Joel Askinazi

Joel Askinazi, "Large-aperture broadband sapphire windows for common

aperture, target acquisition, tracking, and surveillance systems," Proc. SPIE
3060, Window and Dome Technologies and Materials V, (27 June 1997); doi:
10.1117/12.277046

Event: AeroSense '97, 1997, Orlando, FL, United States

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 Large aperture, broadband sapphire windows
for common aperture, target acquisition,
tracking and surveillance systems

Joel Askinazi*

Hughes Danbury Optical Systems, Inc., Danbury, CT

ABSTRACT

State of the art optical sensing systems performing target acquisition/tracking and surveillance functions are being designed to
incorporate a number of sensors into one package. These include visual and MWIR cameras, FURs, and laser range fmders.
These combined systems are being configured to view through a common aperture window. Typical window diameters are to
eleven inches, but some surveillance applications have windows approaching twenty inches in diameter.

These sensor windows typically operate in hostile environments including very high pressure differentials, large thermal
gradients, and severe rain and sand abrasion. EMI/EMC protection and de-icing capabilities are also commonly required. For
airborne applications and to minimize thermal gradients, thinner, lightweight, high strength windows are also necessary.

Sapphire is an ideal window material to satisfy these requirements due to its high strength, UV-MWIR bandpass, minimal optical
scatter, excellent index of refraction homogeneity and very high scratch!impact resistance.

Associated optical fabrication, grid lithography and optical coating processes have been developed at Hughes Danbury for
sapphire windows. This paper addresses the development of a family oflarge aperture, broadband sapphire windows which also
provide EMI/EMC protection and de-icing capabilities. The resulting design configuration and performance characteristics are
also addressed. Future technology development requirements are also discussed.

Keywords: Sapphire, optical windows, broadband, visible, NIR, MWIR, EMI/EMC, grid structures, de-icing heaters, protective
claddings and coatings.

WENDOW FUNCTIONALITY OBJFCTWES

State of the art targeting/tracking and surveillance sensors are being deployed in a number of demanding airborne, seaborne and
land based applications. With the advent of new UV- MV/JR sensor detector technology, these systems are being packaged to
include multiple sensors sharing a common aperture window.

These sensor windows typically have common functionality objectives. They must efficiently transmit UV to MWIR radiation
to the sensors. They must successftilly survive and operate in severe environments. They must also provide de-icing and
EMI/EMC protection capabilities. Further, they must be designed to ensure producibility, maintainability and low life cycle
costs.

A family of windows fully responsive to these requirements has been developed and demonstrated. This paper will address the
development approach followed, the resulting hardware, and the capabilities in-hand for application to new, similar sensor
window requirements.

WINDOW DEVELOPMENT APPROACH

To develop this class of fully responsive windows, Hughes Danbury synthesized a window development approach. The
approach integrated and extended a core set of technologies in-hand at Hughes. To minimize risk, we elected to employ
demonstrated optical materials and to couple them with proven design and manufacturing techniques developed in-house.
Together, these were extended and tailored to satisfy the unique requirements of these windows. Critical demonstrations were

214 SPIE Vol. 3060 • 0277-786X1971$10.00

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 conducted which verified these tailored techniques and processes. Once demonstrated, they were integrated into production
windows.

This paper will address these development efforts and the resulting hardware. It will also address the capabilities now in-place
for application to large aperture broadband windows having similar requirements.

WINDOW REQUIREMENTS
Table 1 summarizes the functional requirements typical to these broadband windows. These include geometrical, optical
performance, fmishing, durability, de-icing, EMI/EMC protection and survivability requirements. The specifics of the
requirements may vary with the individual application; however, those noted in Table 1 were employed to guide our initial
development efforts.

Typical Window Requirements

Aperture: 8 — 11 inch diameter

Thickness: 0.20" to I .0" +
Wedge: 10 arc-sec
Surface Quality: ScratchlDig: 60140 Within CA;
80/50 Outside CA
Figure: 2J8 rms (4") 0.63 pM RT
Surface Finish: 15 — 30 A rms
Transmiftance RT: Window Assembly
(Thickness Dependent) 0.4 — 0.7 pm 73%
1.4—1.7 pm 80%
3.0 — 4.3 pm 80%
4.3 — 5.0 pm 43%

Coating: AR Coatings Interior/Exterior

Heating Requirement:
EMIIEMC Protection:
Thermal Shock:
Durability — MIL F 4861 6 (Moderate to Severe)
5 watts/in2 on Rear Surface
Grid with Protective Overcoating
Hot: 66°C (Hot Air) — 20°C (Warm Water)
Cold: -54°C (Cold Air) —÷ 0°C (Cold Water)

Table 1.

DESIGN APPROACH

To address each of the key window performance requirements, we developed a design approach which built on our existing
capabilities base and extended it where necessary. Tables 2a-2b summarize the approach we followed.

We selected sapphire as the optical window material best suited to address the optical transmittance and survivability
requirements. We further aimed to satisfy the transmittance requirement by integrating low reflectance anti-reflection coatings
and high efficiency (low blockage/diffraction) grid structures for the EMI/EMC protection and de-icing heater.

To provide EMIIEMC protection, we employed our standard lithography techniques to fabricate the grid structure. However to
ensure that the grid structures would be most durable, we employed our patented process to produce grid structures which are
flush with the exterior window surface. Previous testing had confirmed the rain/sand impact resistance and surface smoothness
of this approach.

To provide window de-icing, we fabricated a uniaxial grid structure on the rear surface of the window using standard lithography
techniques.

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 Key Window Performance Requirements iii
and Design Approaches

Parameter Requirement Design Approach

Optical Transmittance 0.4 — 0.7 pm — 73% • Sapphire Optical Material
and Reflectance I .4 — I .7 pm — 80% • Low Reflectance AR Coatings
3 — 4.3 pm — 80% • High Efficiency Grid Structures
4.3 — 5.0 pm — 43%

EMI/EMC Protection Exterior Surface Grid • Flush, Ion Milled Grid

Plus Impact/Abrasion Structure Sapphire Protective Cladding
Resistance
Deicing with Abrasion Interior Surface • Uniaxial Grid Structure
Resistance Heater -5 watts/in2 w/Busbars
. Protective Sapphire Cladding

Table 2a.

Key Window Performance Requirements

and Design Approaches (Continued)

Parameter Requirement Design Approach

Microroughness 15 A RMS Surface Employ Demonstrated
Roughness Over CA Superpolishing Techniques
Transmitted Wavefront < /8 RMS (4") @ 0.63 pm Employ Demonstrated
Superpolishing Techniques
Mechanical Survivability • Survive Environmental Superpolishing Techniques
(Window Thickness Loadings Slow Crack Growth Design/
Requirements) • 15 — 30 A Surfaces Analysis Techniques
• 60/40—80/50
Scratch/Dig

Table 2b.
To provide further durability, we applied a thick (8 micron) aluminum oxide cladding over each of the grid structures. Anti-
reflection coatings were then applied over each aluminum oxide cladding to optimize the optical transmittance.

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 The 15 angstrom rms microroughness requirement was achieved using in-house developed super-polishing techniques. These
techniques also assist in satisfying the scratch/dig requirement and help to ensure minimum subsurface polishing damage thereby
maximizing mechanical survivability. Slow crack growth design analyses and techniques were also used to complement the
manufacturing process to ensure high strength windows.

A-plane sapphire is most applicable for large windows (1 1 inches) because of crystal size limitations. Our sapphire polishing
techniques were fine tuned to this crystal orientation. It should be noted that a-plane sapphire is much more difficult and time
consuming to polish than c-plane material.

The super-polishing techniques developed were also critical to achieving the transmitted wavefront required for these windows.

TYPICAL WINDOW CONFIGURATION

Figure 1 displays the typical window configuration baselined to address the combined optical, strength, durability, EMJJEMC
protection and de-icing requirements consistent with those defined in Table 1. This configuration is also fully consistent with the
design and manufacturing approach discussed above.

It should be pointed out that the window configuration must be tailored to the specific requirements of each particular window.
For example, windows subject to less demanding surface abrasion and rain/sand impact requirements may not require flush grid
structures. Standard surface grids may be adequate. Further, the de-icing heater and its busbar design must be tailored to the
specific geometry of the window. Circular windows would require a different busbar layout than shown for rectangular windows.

Typical Window Configuration

VG 2850A

Anti-Reflective Protective A1203

Coating Cladding

I I i EMI/EMC Grid (Ion Milled/Flush)

Sapphire Substrate
De-lcing Heater
Protective A1203 Cladding
- -. -
Anti-Reflection Coating

EMI/EMC Protection Grid Busbar

I Exterior I I
Deicing
Interior I
Surface Heater
Surface

Busbar

Figure 1.
SAPPHIRE- A HIGHLY ATTRACTIVE OPTICAL MATERIAL
Sapphire has for several years been recognized as having superior properties for broadband window applications. The benefits as
directly related to the sensor operational requirements can be categorized as optical performance benefits and weight benefits.
These benefits are summarized in Table 3.

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 Sapphire is a Highly Attractive Material

. Excellent Optical Performance

- Lower Wavefront Error
- Higher Transmission
- Lower Scatter

. Lowest Weight
- Strength/Weight 5x Typical Broadband Materials
- 0.5 — O.67x Typical Window Weight
- Sustains Large Environment (PressurelDynamic)
Loadings
. Lower Life Cycle Cost
- Replacement Due to Environmental Degradation
—112x Typical lR Broadband Materials
. Superior Durability
. Rain/Sand Abrasion Resistance 2 — 3x
Typical IR Window Materials

Table 3.
Optical performance improvements with a sapphire window can be related to reduced transmitted wavefront error, higher
wideband transmittance, and reduced scatter in the MWIR.
The transmitted wavefront quality has the potential for significant improvement because of the low index of refraction change
with temperature (dn/dt), and because of the combined factor of good index homogeneity and reduced window thickness. The
reduction in wavefront error will result in enhanced sensor performance.
The transmittance of sapphire in the UV-MWIR is comparable and in some cases higher than that for other traditional broadband
window materials. The broadband transmittance is a necessity to maintain signal to noise. For some of the wave bands sapphire
will also be superior to other traditional broadband window materials.
The scatter properties of sapphire are significantly better than other traditional broadband window materials at the UV- visible
wavelengths and can even be noticeably better in the MWIR. This will reduce background noise and significantly improve signal
transmission compared to other traditional broadband materials. This translates into improved image quality and target
discrimination performance.
The weight reduction which is possible with sapphire is directly related to the increased strength. The strength to weight ratio is
five times that of traditional broadband window materials. This translates into a weight savings of about two thirds of that
required for traditional broadband window materials for the same loadings.
Another byproduct of sapphire is that it provides superior durability. The life cycle costs will be improved considerably for
sapphire due to these properties. The rain/sand abrasion threshold is also two to three times greater than for traditional broadband
materials, which will reduce the need for refurbishment due to environmental wear by at least half.
OPTICAL LITHOGRAPHY FOR DE-ICING HEATERS AND EMIJEMC PROTECTION
Hughes Danbury has a complete production optical lithography capability in-house. Several thousand windows have been
gridded in this facility over the past few years. We have gridded windows as large as 16" x 6". Figure 2 shows typical state ofthe
art grid structures fabricated at Hughes for these windows. Hughes has also developed a patented process to apply grid structures
flush with the window surface. Figure 3 summarizes that process.

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 HDOS Has Fabricated Grid Structures On
Windows Up to 16" x 6"

Photomicrographs of a Grid Structure with 5 pm Linewidth and 200 pm Line Spacing

Figure 2.

The Flush Grid Fabrication Approach Has Been Developed ::U I 'I
. M1TÜI
at Hughes Danbury Optical Systems

Remove Photoresist
Cost with Cost with and Overcost with
Photoresist Expose Ion Etch Gold Sspphire

Figure 3.

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 We have tailored our lithography processes to apply grids to sapphire optics. Most notably we developed the processes
necessary to produce flush grids in sapphire. In addition, we developed nickel doped gold films necessary to provide the sheet
resistance required for the de-icing heater in producible thicknesses. Further we developed the processes necessary to apply grid
structures sequentially to both surfaces ofthe window without damage. This was particularly important in applying the de-icing
grid followed by the EMI/EMC protection grid structure. These demonstrated processes are in-place and can be readily applied
to satisfy unique requirements for broadband windows.

WFNDOW TRANSMITTANCE- COATINGS AND GRID EFFECTS

To satisfy the window optical transmittance requirements noted in Table 1, an integrated coating/cladding design was developed.
As noted earlier, thick (8 micron) aluminum oxide protective claddings were applied over the two grid structures. Several anti-
reflection coating designs were developed to further optimize the window transmittance so as to satisfy these requirements. Our
key objective for the anti-reflection coatings was, as a minimum, to counteract the transmittance losses incurred with the grid
structures. The anti-reflection coating design selected employs a single layer coating on each window face. One coating layer is
designed to optimize window transmittance over the UV to NIR band and the other for the MWIR band. The anti-reflection
coatings materials were selected for their optical, adhesion and durability properties. Complete optical and durability testing
confirmed their performance and survivability.

Table 4 summarizes the window transmittance as compared with the requirements of Table 1 . The transmittance values are
broken out to demonstrate the individual impacts of the sapphire substrate, the claddings/coatings, and the grid structures
blockage. It can be seen that the claddings/AR coatings increased the transmittance ofthe bare polished window by 3-7 percent.
This was sufficient to counteract the effects of the two grid structures which provided a nominal 5 percent area blockage.

It should be pointed out that the transmittance values achieved are highly dependent on the window thickness, grid
configurations (blockage), and the specific coatings selected. Thinner windows will have higher transmittance than noted in
Table 4. Further, we have developed other multi-layer anti-reflection coating designs to provide even greater transmittance if
required. In general, these coatings will need to be tailored to each unique design.

Typical Window Transmittance —

Coatings and Grid Effects

Average Transmittance (%)

0.4 — 0.7 pm I .4 — I .7 pm 3 — 4.3 pm 4.3 — 5 pm

Uncoated Sapphire 71.9 80.5 81.7 42.7

Substrate
Fully Coated Window 78.2 91 .9 88.7 45.6
(Cladding and AR
Coatings)
Fully Coated Window 74.3 87.3 84.3 43.3
with EMI/EMC Protection
and Heater Grids
(5% Obscuration)
Typical Requirement 73 80 80 43

Table 4.

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 SAPPIIIRE WENDOW STRENGTH
Super-polishing techniques developed at Hughes were applied to optically finish the windows. These were developed to
minimize subsurface damage and to maximize window strength. Figure 4 summarizes some typical initial results of sapphire
strength testing of samples fmished with our super-polishing technique. The details ofthese results were reported by Hughes at
the DoD Windows and Domes Conference during October, 1995. Another paper being presented at the current conference
expands upon these results and addresses the impact of post polishing treatments recently developed. These treatments resulted
in an average strength increase of thirty one percent as compared with samples not undergoing the post polishing treatment.
Combined with a simultaneous seventeen percent increase in Weibull modulus, a combined increase in window strength of over
sixty percent is anticipated.

HDOS's Superpolishing Techniques Ensure a

High Strength Sapphire Window

190,000

I 70,000

. 150,000

I ::::
90,000

70,000

I t I
50,000
0 1 2 3 4 5 6 7 8 9 10

Sample of Treatment

Figure 4.
DEVELOPMENT ACHIEVEMENTS
A set of key development accomplishments resulting from our window development effort are summarized in Table 5. These
include key achievements in optical fabrication, optical lithography, coatings/claddings, window strength and survivability.
Collectively these were instrumental in permitting us to satisfy the window requirements of Table 1.

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 Development Achievements

. Optical Fabrication Processes Demonstrated

- Achieved Supersmooth Surfaces (2 — 7 A rms) and Required Transmitted
Wavefront
. Developed/Demonstrated Flush and Surface EMI/EMC Protection Grid and
Deicing Heater Fabrication Processes Including:
- Nickel Doped Gold Heater Material
- Minimum Defects Heater Grids with Required Resistance (Bus to Bus)
- Grid Obscurations Confirmed (4% EMI/EMC, 1% Heater)
. Developed Protective A1203 Cladding (8 pm) and AR Coatings:
- Passed All MIL-F-48616 Tests Including Thermal Shock
• Completed Key Demonstrations and Verified:
- Polished Sapphire and Flush Grid Strength Properties
- Surface Roughness
- AR Coating/Cladding Performance Survivability and Abrasion Resistance
- Heater Producibility and Characteristics
- Post Polishing Strength Enhancements
• Developments Demonstrated on Full Size Windows

Table 5.
These achievements were demonstrated by building and testing a class of broadband sapphire windows of varying aperture sizes
as seen in Figure 5. The larger window in the figure has a diagonal dimension approaching 11 inches. The smaller windows have
a diagonal dimension approaching 6 inches.

A Class of Sapphire Windows of Various

Apertures up to 11" Has Been Built

Figure 5.

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 Figure 6 contains photographs of two large windows fabricated employing the processes discussed above. The upper
photograph shows a window which contains a de-icing heater, an EMI/EMC protection grid, protective claddings and the anti-
reflection coatings. The lower photograph shows a window having fully polished edge bevels. These polished surfaces are
instrumental in further enhancing window strength. Polishing the edges is particularly important for highly stressed window
applications.

Advanced Sapphire Window Fabrication

Demonstrated Performance
. 2 Angstroms rms Surface Roughness on a 10-inch
"A" Plane Substrate
. ?J8 Transmitted Wavefront 6328 nm
. 150 ksi Flexure Strength

Capabilities
. Super-polishing of c" and "A" Plane Sapphire
. Full Lithography capability for Flush and Surface
Grids and Heaters
. Protective cladding and AR coating
. complete Window Design Assembly and
Integration capabilities
. High Strength Fabrication Techniques

Excellent Broadband Performance

with Superior Strength

Figure 6.
CAPABILITIES SUMMARY
Sapphire window development continues in earnest at Hughes Danbury. In addition to the work reported above, we continue to
make further progress in the area of optical fmishing to satisfy emerging requirements. Table 6 summarizes our recent
accomplishments and capabilities. Most notable of our newest accomplishments is the development of advanced optical
finishing processes which have permitted us to achieve transmitted wavefront errors of <0.025 wave rms, <40/20 scratchldig
surfaces, <1 angstrom mis microroughness, and near zero wedge error. We are currently investigating the application of these
capabilities to windows having clear apertures up to 11 inches.

NEW AREAS OF SAPPHIRE WThfDOW DEVELOPMENT

As our sapphire window fabrication capabilities are expanded, new and even more challenging requirements continue to emerge.

There is an emerging interest in producing large aperture (20+ inch diameter) sapphire windows. The durability, reduced weight,
high strength, and low life cycle cost benefits of sapphire are most attractive for these new applications. Current optical blank
fabrication limitations have prevented the development of these large windows. Figure 7 shows a two pane 1 7" diameter
sapphire window polished at HDOS-Itek. It is desirable to produce a monolithic equivalent. Efforts to eliminate these window
blank manufacturing limitations and apply current window manufacturing processes to this type of large window blank are under
consideration.

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 Capabilities Summary ________

. Developed High Performance Sapphire Windows Integrating:

- Superpolishing Processes Providing:
. RMS Transmitted Wavefront Error:
- Conventional Processes: <<0.1 25 Wave
- Advanced Processes: <0.025 Wave
. RMS Surface Flatness: <0.2 Wave
. High Residual Strength/Reduced Subsurface
Damage
- 150 Ksi, 40/20 Scratch/Dig
. Supersmooth Surfaces — <1 Angstrom RMS
S Near Zero Wedge Error
- Post-Polishing Processes for Additional 30% Strength
Increase
- Protected EMI/EMC and Deicing Grid Structures
(Flush Grids and Claddings)
- Transmittance Optimized, Durable Anti-Reflection
Coatings
. Currently Producing Windows to I I Inch Aperture

Table 6.

A Replacement Monolithic Large Aperture

Sapphire Window is Desired
VG 285C

Figure 7.

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 Currently achievable transmitted wavefront errors in sapphire can limit the performance capabilities ofthe sensors behind them.
Therefore, significantly reduced transmitted wavefront errors (<0.025 waves rms 0.63 microns), not readily achievable with
state ofthe art optical fmishing techniques, are desired for medium to large sapphire windows.

The current limitation arises from the inhomogeneity of index of refraction of sapphire window blanks. Specialized advanced
optical fmishing techniques are required to correct for the localized, transmitted wavefront errors which result from these index
inhomogeneities. Efforts to apply Hughes' advanced fmishing techniques for large sapphire windows are under consideration.

Optics which conform to the curvature of airborne platforms are also highly desirable to reduce drag. Conformal sapphire optics
would be most attractive as they would offer the combined benefits of conformality with the other benefits of sapphire optics
discussed above. Efforts to develop processes to fabricate these conformal optics are also under consideration.

Hughes Danbury is involved in potential developments in each of these areas. We intend to continue reporting on our
accomplishments as progress is made.

CONCLUSIONS
Hughes Danbury recognizes the benefits that sapphire windows afford. Accordingly we have made the development of sapphire
window technology a major objective for us. We have developed and have in-hand complete window design and fabrication
capabilities to produce high performance sapphire windows offering superior optical performance, EMI/EMC protection, de-
icing heaters, durable coatings, and low life cycle cost. These capabilities are currently being implemented at Hughes Danbury
to produce sapphire windows up to 11 inches. They are also available to satisfy upcoming related window requirements.

We continue to investigate expanding our capabilities to meet the challenges posed by even larger, higher optical performance,
planar and non planar sapphire windows. We will to continue to report on our expanded capabilities as they are developed.

1997 HUGHES DANBURY OPTICAL SYSTEMS, INC., ALL RIGHTS RESERVED.

Further author information —

*j.A. correspondence: Email: jaskinazi@dpc.hdos.hac.com; Telephone: 203-797-6141; Fax: 203-797-5117

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