Optical Design with Zemax

for PhD

Lecture 15: Scattering

2016-04-22
Herbert Gross

Winter term 2015 / Summer term 2016 www.iap.uni-jena.de

 2

Preliminary Schedule
No Date Subject Detailed content
Zemax interface, menus, system description, editors,, coordinate systems, aperture,
1 11.11. Introduction
field, wavelength, layouts, raytrace, stop and pupil, solves, ray fans, paraxial optics
surface types, quick focus, catalogs, vignetting, footprints, system insertion, scaling,
2 02.12. Basic Zemax handling
component reversal
aspheres, gradient media, gratings and diffractive surfaces, special types of
3 09.12. Properties of optical systems
surfaces, telecentricity, ray aiming, afocal systems
representations, spot, Seidel, transverse aberration curves, Zernike wave
4 16.12. Aberrations I
aberrations
5 06.01. Aberrations II PSF, MTF, ESF
6 13.01. Optimization I algorithms, merit function, variables, pick up’s
7 20.01. Optimization II methodology, correction process, special requirements, examples
slider, universal plot, I/O of data, material index fit, multi configuration, macro
8 27.01. Advanced handling
language
9 03.02. Correction I simple and medium examples

10 10.02. Correction II advanced examples

11 02.03. Illumination simple illumination calculations, non-sequential option

12 23.03. Physical optical modelling Gaussian beams, POP propagation

13 08.04 Tolerancing I Sensitivities, Tolerancing

14 15.04. Tolerancing II Adjustment, thermal loading

Introduction, surface scattering, diffraction and empirical, optical, systems, volume
15 22.04. Scattering
scattering, models, tissue, scattering in Zemax
Introduction, matrix calculus, properties, single and double layer, miscellaneous,
16 13.05. Coatings
coatings in Zemax
 3

Contents

1. Introduction
2. Fourier description and PSD of surface scattering
3. Diffraction scattering models
4. Empirical models and BSDF
5. False light in optical systems
6. Calculation of straylight and examples
7. Volume scattering
8. Modelling
9. Tissue scattering
10. Scattering in Zemax
Definition of Scattering

 basic description of scattering

Light Distribution due to Surface Geometry
y
Specular
Different surface geometries: Smooth
surface reflex
No scattering
Every micro-structure generates
x
a specific straylight distribution

Discrete y
Regular pattern of
grating diffraction
orders
x

y
Irregular Continuous
grating linear scatter
pattern

y
Statistical
Broad scatter
isotropic
spot
surface

Ref.: J. Stover, p.10

Phenomenology of Surface Scattering

 Scattering at rough surfaces:

statistical distribution of light scattering
in the angle domain
qs
qi

dP
Log
dq
 Angle indicatrix of scattering:
- peak around the specular angle
- decay of larger angle distributions
depends on surface treatment
Normal polishing

special polishing

scattering angle q
specular angle
Definition of Scattering

• Physical reasons for scattering:

- Interaction of light with matter, excitation of atomic vibration level dipols
- Resonant scattering possible, in case of re-emission l-shift possible
- Direction of light is changed in complicated way, polarization-dependent

• Phenomenological description (macroscopic averaged statistics)

1. Surface scattering:
1.1 Diffraction at regular structures and boundaries:
gratings, edges (deterministic: scattering ?)
1.2 Extended area with statistical distributed micro structures
1.3 Single micros structure: contamination, imperfections
2. Volume scattering:
2.1 Inhomogeneity of refractive index, striae, atmospheric turbulence
2.2 Ensemble of single scattering centers (inclusions, bubble)

Therefore more general definition:

- Interaction of light with small scale structures
- Small scale structures usually statistically distributed (exception: edge, grating)
- No absorption, wavelength preserved
- Propagation of light can not be described by simple means (refraction/reflection)
Scattering Mechanisms and Models

1. Surface scattering
1.1 Edge diffraction
1.2 Scattering at topological small structures of a surface
Continuous transition in macroscopic dimension: ripple due to manufacturing,
micro roughness, diffraction due to phase differences
1.3 Scattering at defects (contamination, micro defects), phase and amplitude

2. Scattering at single particles:

2.1 Rayleigh scattering , d << l
2.2 Rayleigh-Debye scattering, d < l
2.3 Mie scattering, spherical particles d > l

3. Volume scattering
3.1 Scattering at inhomogeneities of the refractive index,
e.g. atmospheric turbulence, striae
3.2 Scattering at crystal boundaries (e.g. ceramics)
3.3 Scattering at statistical distributed dense particles
e.g. biological tissue
Approximations in Scattering Models

 Geometry simplified
 Boundaries simplified, mostly at infinity
 Isotropic scattering characteristic
 Perfect statistics of distributed particles
 Multiple scattering neglected
 Discretization of volume
 Angle dependence of phase function simplified
 Scattering centers independent
 Scatterers point like objects
 Spatially varying material parameters ignored
 Field assumed to be scalar
 Decoherence effects neglected
 Absorption neglected
 Interaction of scatterers neglected
 l-dispersion of material data neglected
Definition of Scattering

 Fourier description and PSD

Autocorrelation Function

 Autocorrelation function of a rough surface

1
L 
C (x)  h( x)  h( x  x)   h( x)  h( x  x) dx

 Correlation length tc :
Decay of the correlation function,
statistical length scale C( x)

 Value at difference zero rms2

C (0)   rms
2

 Special case of a Gaussian

distribution
2
1 x 
  
2 tc
C ( x)   rms
2
e 
tc

x
Surface Characterization

h(x) topology C(x) autocorrelation

1
< h1h2 > C ( x )    h( x )  h( x  x ) dx
x L
correlation

x

FFT FFT

A(k) PSD(k)
power spectral
L
density
A(k )   h( x, y )  e ikx dx | |2
0
1 2
spectrum square FPSD (k )    h( x )  eikx dx
L
k k
PSD of a Surface
 Fourier transform of a surface L

spectral amplitude density A(k )   h( x, y )  e ikx dx

0
2
 PSD power spectral density 1 1 2  i  x v x  y  v y 
FPSD (v x , v y )     h( x, y )  e dx dy
relative power of frequency A 2
components
    FPSD  vx , v y  dvx dv y
2 1
rms
 Arae under PSD-curve A
1 1
 Meaningful range of frequencies v  ...
D l
 Polished surfaces are similar and have fractal sgtructure,
PSD has slope 1.5 ... 2.5

 Relation to auto-correlation function of the surface


1
FPSD (v)  Fˆ C ( x)     C ( x)  cos  xv  dx
 0
Spatial Frequency of Surface Perturbations
 Power spectral density of the perturbation
log A2Four
 Three typical frequency ranges,
scaled by diameter D
oscillation of 1. Long range, figure error
the polishing deterministic description
machine
resolution degradation
2. Mid frequency, critical
model description complicated
3. Micro roughness
statistical description
decrease of contrast

limiting line
slope m = -1.5...-2.5

long range
low frequency
figure mid micro
Zernike frequency roughness

1/D 12/D 40/D 1/l
Definition of Scattering

 diffraction scattering models

Kirchhoff Theory of Scattering

 Scalar model for straylight calculation with Kirchhoff diffraction integral

Surface as phase mask

ik
 xx '  yy ' 
 Approximations:
Es ( x' , y' )  E0   e 2 kih ( x, y )  e R
dxdy
-no obscuration
- smooth surface limit

l
 1
8 cos q i   rms
ks
ki qi

qs

r

h1
h2
Harvey-Shack Theory
 Description of scattering by linear system theory H(x,y)

Lout  H  Lin
L: ray density
scattering
B
contribution

 Transfer function x 
1 y
1 C  , 
4 cosqi  rms 2  rms  r r cosqi
2 s
H (S)
OTF ( x, y )  e e 

specular
A
contribution
 Angle distribution: y

1. specular part LPSF ( )

2. scattering part

LPSF ( ,  )  Fˆ H S ( x, y )
 A   ( ,  )  B  S ( ,  ) specular
contribution

 Scattering contribution corresponds to BSDF

I ( ,  )
  FBSDF q i ,  i , q s ,  s 
1
S ( ,  ) 
scattering
contribution

R  Pi  cos q i R
i
Definition of Scattering

 BSDF and empirical scattering models

BSDF of a Surface

 Description of scattering characteristic of a surface: BSDF

(bidirectional scattering distribution function)

 Straylight power into the solid angle dW

from the area element dA relative to
the incident power Pi normal
n
dLs dPs dW
FBSDF  
dPi cos q  dPi  dW

 The BSDF works as the angle response solid angle

function

P(q ,  )   FBSDF q i , i ,q ,   P(q i , i )  cos q i dWi

incident q scattered
i
power qs power
 Special cases: formulation as convolution dP dPs
i
integral
area
element
Model Functions of Surfaces

 Exponential correlation
decay 
x
1  2rms  t c
C( x )   2rms  e tc FPSD ( s)  
 1  s  t c  2
PSD is Lorentzian function

2
1 x   st 
2
  
2 t c  t c  2  c 
 2 
 Gaussian coerrelation C( x )   2
e FPSD ( s)  rms
e
4
rms

 n  1
 
 Fractal surface with  2  K
Hausdorf parameter D FPSD ( s )   nn1
 1  n s
2      
 2  2 
 K correlation model A
FPSD ( s )  
1  s  B 
parameter B, s 2 C/ 2
BSDF Model of Harvey-Shack
m
 Empirical model function of BSDF     spec 
 FBSDF (  )  a   
  ref 
 
 Notations:
sine of scattering angle   sin q s
slope parameter m

glance angle  spec  sin q spec

reference and pivot angle : ref

BSDF value at reference: a

 Simple isotropic scalar model

s   spec

ref
Definition of Scattering

 Data of technical surfaces

Roughness of Optical Surfaces

roughness
rms [nm]

Roughness 10 4
of optical
Grinding
surfaces,
Dependence of Computer
treatment controlled
technology polishing
102
Ductile
manufacturing

Magneto-
rheological
treatment Plasma
10 0 etching
Diamond
Polishing turning

material removal
10 -2 Ion beam
qmm / s

10 -6 -4 finishing 10 -2
10 10 0 10 +2
Roughness of Optical Surfaces

super normal
metal
polish polish
l

10.0 TIS = 10-6 TIS = 10-5 TIS = 10-4

TIS = 10-3

5.0

TIS = 10-2
2.0

1.0
TIS = 10-1

0.5

0.2

0.2 0.5 1.0 2.0 5.0 10.0 20.0
BRDF of Black Lacquer

 Maximum BRDF at angle of reflection

 Larger BRDF BRDF

for skew incidence 10-1
z
80°
qi
70°

10-2
q
x
60°

10-3
50°
40°
30° 20° 10° 0° qi
10-4

10-5

10-6
0° 30° 60° 90° 120° 150° 180° 210° 240° q
Ref.: A. Bodemann
Definition of Scattering

 false light in optical systems

Sources of Stray Light

Ref: B. Goerz
Straylight and Ghost Images

a b
 Different reasons
 Various distributions
Scattering of Light

 Scattering of light in diffuse media like frog

Ref: W. Osten
Definition of Scattering

 Calculation of straylight and examples

Practical Calculation of Straylight

 Photometrical calculation of the transfer of energy density

dP  L  cos q  dA  dW

 Integration of the solid angle by raytrace

 in the system model

P  Es  g  T  FBRDF  W

g : geometry factor incident ray

surface response : BSDF mirror

T : transmission

next
surface
FBRDF
real used solid
angle
Practical Calculation of Straylight

 Decomposition of the system

into different ray paths scattering
diffraction

detector

scattering

source

 Properties:
- extrem large computational effort
- important sampling guaratees quantitative results for large dynamic ranges
- mechanical data necessary and important
often complicated geometry and not compatible with optical modelling
- surface behavior (BRDF) necessary with large accuracy
Straylight Calculation

1. Mechanical 2. Simplified mechanics

system for calculation

3. Critical
straylight
paths

Ref: R. Sand
Example for Straylight in a Telescope

 Straylight calculation in a telescope

 Contributions form: Log I(q)
1. surfaces
2. mechanical parts 10-5
3. diffraction at edges

collimator

10-7 spider
diffraction

aperture
diffraction

primary
mirror
secondary
10-9 mirror

q
 Scattering Theory in volumes
Model Options

 3 major approaches T-matrix DDA

numerical
 Analytical vs. numerical PSTD FDTD
Rigorous
solutions Maxwell solutions
Mie
spheres GLMT
analytical
Cylinders

Monte Carlo SH expansion

numerical
Radiation transport FD - grid- Finite
equation based elements

analytical spheres

Features: - polarization(PMC)
- electric field (EMC)
- particles fixed
- time resolved

FD-grid based
numerical
FE
Diffusion
equation
layered cylinder
analytical
bricks
Model Validity Ranges

 Typical tissue features

 Model validity ranges

vesicles,
cell nuclei
lysosomes

macromolecule
aggregates,
cell membranes mitochondria cells
stiations in
collagen fibrils

0.01 m 0.1 m 1.0 m 10 m

typical scale
size l = d
single: Rayleigh

single: Mie

volume: Maxwell

volume: RTE
The Volume Dilemma

 Problem:
- Exact solutions of scattering: Maxwell equations
- volume sampling requires large memory
- realistic simulations: small volumes ( 2 m3 )
- real sample volumes can not be calculated directly

 Approach:
- Calculation of response function of microscopic scattering particles with Maxwell
equations
- empiricial approximation of scattering phase function p(q)
- solution of transport theory with approximated scattering function

Ref: A. Kienle
 Model Validity Ranges

volume
 Simple view: diagram volume vs. density
eye
cataract
OCT
imaging

blood

volume microscopic
sample density of
radiation scattering centers
transport
diffusion
equation single multiple continuous
equation interaction
particles scattering inhomogen media
n(x,y,z) gs,a

rigorous
Maxwell

density of
scattering centers

single multiple continuous

interaction
particles scattering inhomogen media
n(x,y,z) gs,a
Rigorous Scattering at Sphere

 Maxwell solution in the nearfield

nout=1.33 / nin=1.59 nout=1.59 / nin=1.33 nout=1.33 / nin=1.59 + 5 i

l = 600 nm

r = 1 m

r = 2 m

Ref: J. Schäfer

Ref: J. Schäfer
Rayleigh-Scattering

 Scattering at particles much smaller

than the wavelength

d  l
 Scattering efficiency decreases with
growing wavelength

128 4a 4 ns2  n 2
Qs 
3l4 ns2  2n 2
 Angle characteristic depends on
wavelength
 Phase function

 1  cos 2 q 
3
p(q ) 
16

 Example: blue color of the sky

Mie Scattering

 Result of Maxwell equations for spherical dielectric

particles, valid for all scales
 Interesting for larger sizes d  l

 Macroscop interaction:
Interference of partial waves,
complicated angle distribution
 Usuallay dominating: forward scattering
 Parameter: n, n', d, l 
 Example: small water droplets ( d=10 m)
 Limitattion: interaction of neighboring particles

 Approximation of parameter 5l  2  n  a  50l n  ns  1.1n

 2 nd 
0.37 2.09
 n' 
cross section   3.28      1
 l  n 
Ref.: M. Möller
 Transport Theory
Transport Theory

 Radiative transport equation: photon density model (gold standard for large volumes),
Purely energetic approach, no diffraction
 Integration of PDE by raytracing or expansion in spherical harmonics
 Options:
1. time, space and frequency domain
2. fluorescence
3. polarization
4. flexible incorporation of boundaries and surfaces, voxel based
 Analytical solutions for special geometries:
1. several source geometries
2. space extended to infinity
3. Already some minor differences to Monte-Carlo approach due to assumptions
 Not included features:
1. diffraction, no description of speckles, interference
2. no coherent back scattering
3. no dependencies of neighboring scatterers
Radiance Transport Equation

 Description of the light prorpagtion with radiance transport equation

for photon density balance:
1. incoming photons
2. outgoing photons dP  dPdiv  dPext  dPscat  dPsrc
3. absorption, extinction
4. emission, source
 
1 Lr , t, s            
 s  Lr , t, s   a  s   Lr , t, s   s   Lr , t, s   ps , s 'd  Qr , t, s 
c t
 Numerical solution approach:
Expansion into spherical harmonics
 Scattering in Tissue
Approaches of Biological Straylight Simulation

 Large scale / cells: macroscopic range

scale scattering typical
Diffusion equation, isotropic of size mechanism structures
Some analytical solutions, numerical
10 m cell
with spherical harmonics expansion
Parameters: effective 's, a, n cell core
mitochondria
 Medium scale / cell fine structure: 1 m
mesoscopic range l visible Mie
scattering lysosome, vesikel
transport theory, radiation propagation
only numerical solutions, scalar anisotropic 0.1 m collagen fiber
Prefered: Monte-Carlo raytrace Rayleigh aggregated macro molecules
scattering
Some analytical solutions
0.01 m membrane
Parameters: s,a,n, p(,q)
 Fine scale: microscopic range
Only small volumes, with polarization
Maxwell equation solver, FDTD, PSTD, Some analytical solutions
Parameter: complex index n(r)
 Correct scaling: feature size vs. wavelength, depends on application
Henyey-Greenstein Scattering Model

1 1 g2
 Henyey-Greenstein model for human tissue pHG (q , g )  
Phase function 4 1  g 2  2 g cos q 3 / 2

g  cos q   p(q ) cos q d (cos q )  2  p(q ) cos q sin q dq
 Asymmetry parameter g: 0
90
Relates forward / backward scattering 120 60
g = 0 : isotropic g = 0 , isotrop

g = 1 : only forward
150 g = 0.3
30
g = -1: only backward
g = -0.5 g = 0.5

forward
 Rms value of angle spreading 180 g = -0.8
g = 0.7
0 z
g = 0.95

qrms  2(1  g )
210 330
 Typical for human tissue:
g = 0.7 ... 0.9 240 300
270
Real Scatter Objects

Bio-medical real sample examples

cancer cell dentin cell complex

blood vessel muscle fibers wood

Light Scattering in Beer

 The absorption in beer is dispersive

 A longer path length changes the spectral composition of white light illumination
 Daylight illumination from the side gives the characteristic color
 Illumination from the bottom changes the color form yellow to red depending on
the height

Ref: A. Kienle
 Scattering in Zemax
 52

Scattering in Zemax

 Definition of scattering at every surface

in the surface properties of sequential mode
 Possible options:
1. Lambertian scattering indicatrix
2. Gaussian scattering function
3. ABg scattering function
4. BSDF scattering function (table)
5. User defined
 More complex problems only make sense in
the non-sequential mode of Zemax,
here also non-optical surfaces (mechanics) can be included
 Surface and volume scattering possible
 Optional ray-splitting possible
 Relative fraction of scattering light can be specified
 53

Scattering in Zemax

 Definition of scattering at every surface

in the surface properties of non-sequential mode
 Options:
1. Scatter model
2. Surface list for important sampling
3. Bulk scattering parameters
 54

Scattering in Zemax

 Definition of scattering at a surface

in the non-sequential mode
1. selection of scatter model
2. for some models:
to be fixed:
- fraction of scattering
- parameter 
- number of scattered rays for ray splitting
Scattering Functions in Zemax

 Surface scattering:
Projection of the scattered ray on the surface, difference to the specular ray: x

 Lambertian scattering: FBSDF ( x)  A

isotropic 2
x

 Gaussian scattering FBSDF ( x)  A  e 2

A
 ABg model scatter FBSDF ( x) 
B x
g

 BSDF by table

 Volume scattering: Angle scattering description by probability P

 Henyey-Greenstein volume scattering

(biological tissue model) 1 g2
P(q ) 

4  1  g 2  2 g cosq 
3/ 2

 Rayleigh scattering

P(q ) 
3
8l 4
1  cos 2
q 
 56

Scattering Tables in Zemax

 Data file with scattering functions: ABg-data.dat
 File can be edited
 57

Scattering Input and Viewing in Zemax

 Tools / Scatter / ABg Scatter Data Catalogs

 Specification and definition of scattering
parameters for a new ABg-modell function:
wavelength, angle, A, B, g

 Analysis / Scatter viewers / Scatter Function Viewer

Graphical representation of the scattering function
 58

Scattering with Importance Sampling

 Acceleration of computational speed:

1. scatter to - option, simple
2. Importance sampling with energy normalization
 Importance sampling:
- fixation of a sequence of objects of interest
- only desired directins of rays are considered
- re-scaling of the considered solid angle
- per scattering object a maximum
of 6 target spheres can be
defined
 59

Bulk Scattering

 Definition of bulk scattering at the surface

menue
 Wavelength shift for fluorescence is possible
 Typically angle scattering is assumed
 Some DLL-model functions are supported:
1. Mie
2. Rayleigh
3. Henyey-Greenstein
 60

Scattering Example I

 Simple example: single focussing lens

 Gaussian scattering characteristic at
one surface

 Geometrical imaging of a bar pattern

 Image with / without Scattering
Scattering must be activated in settings

 Blurring increases with growing -value

 61

Scattering Example II

 Example from samples with non-sequential mode

 Important sampling accelerates the calculation
 62

Scattering Bulk Example

 Volume scattering example

 Stokes shift is possible for fluorescence