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GRATINGS, MIRRORS AND SLITS
 GRATINGS, MIRRORS AND SLITS
Beamline Design for Soft X-Ray Synchrotron Radiation Sources

William Burling Peatman

Berliner Elektronenspeicherring-Gesellschaft fu r Synchrotmnstrahlung m.b.H.
BESSY, Berlin, Germany

CRC Press
Taylor & Francis Group
Boca Raton London New York

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Taylor & Francis Group, an informa business
CRC Press
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 To my family:
the source,
those essential along the way,
to the bright little lights at the end!
CONTENTS

Preface ix
List of figures xi
List of tables xiii

1. In case you didn’t know 1

1.1. Synchrotron radiation 2
1.2. Coupling the source to the experiment 6
1.3. Computer codes 9
1.4. Coordinate systems, distributions 9
1.5. Caveat emptor 13
1.6. Before starting, a last word 20

2. The source 25
2.1. Electron beam 27
2.2. Dipole magnet 30
2.3. Wavelength shifter (3 poles) 34
2.4. Multipole wiggler 36
2.5. Undulator 39
2.6. Coherence and the diffraction limit 55
2.7. Position and direction of the source axis 60

3. The optical path 69

3.1. Fermat’s principle 70
3.2. Ray tracing 73

4. Gratings 91
4.1. Basic considerations for the choiceof grating 92
4.2. Theory of conventional diffraction gratings 92
4.3. Toroidal and spherical gratings 99
4.4. High order light 102
4.5. Magnification within a monochromator 108
4.6. Some further relationships 111

vii
viii Contents

5. Mirrors 119
5.1. Reflectivity and polarization 119
5.2. Focussing properties of single geometries 125
5.3. Two-mirror systems 128
5.4. Extreme demagnifications 133
5.5. Figure errors 139
5.6. Surface roughness 147

6. Monochromators/Beamlines 151
6.1. Beamline design in three easy steps 152
6.2. The toroidal/spherical grating monochromator 155
6.3. The Rowland circle monochromator 167
6.4. The Petersen plane grating monochromator 172
6.5. A comparison: two soft x-ray monochromators 178

Appendices:
1: On the alignment of a beamline 189
2: Determination of a slit width or a pinhole diameter 195
3: Selected references on source stability and beam diagnostics 196
4: Selected references on light of higher orders 197
5: Selected references on heat loading and radiation damage 197
6: Selected references on contamination of optical components 198

General references 199

Index 209
PREFA CE

Up until the development of synchrotron radiation (SR) sources in the 1960’s and
1970’s, research in the extreme VUV and soft x-ray range of the electromagnetic
spectrum was hampered by the nature of the available sources. Line sources
produce a few wavelengths, or an abundance of them as in the case of hydrogen
lamps, while rare gas continua sources produce photons up to about 21 eV. Much
research employing line sources had been done without monochromators and
without elaborate beamlines. With the advent of the new synchrotron radiation
sources the need for monochromators and optical systems to handle the continuous
radiation emitted in the VUV and soft x-ray portion of the spectrum marked a
dramatic and abrupt change in the course of the development of practical optics.
Although the theoretical basis for what was to come had long existed, the practical
aspects of the design of optical systems for photon energies between 10 eV and
2000 eV, and of the manufacture of suitable optical elements for these energies had
until that time never been in significant demand and had therefore been neglected.

Most of the original synchrotron radiation sources, designed for the needs of high
energy physics and not as light sources, have been succeeded by synchrotron
radiation sources of the second generation: electron or positron storage rings with a
low emittance in which dipole radiation is the source. BESSY in Berlin, Germany,
in operation since 1982, is just one example of such a synchrotron radiation facility.
The synchrotron radiation is emitted from electrons undergoing centripetal
acceleration in the bending magnets. Since then, still better sources of synchrotron
radiation have been developed: wigglers and undulators installed in storage rings.
At present the world is experiencing a building boom of synchrotron radiation
sources of the third generation: storage rings in which the primary sources of
synchrotron radiation are undulators and where wigglers and dipole sources play a
secondary, albeit important role.

This book is intended for those who have been entrusted with the task of designing
the optical system which accepts synchrotron radiation from the source and brings
it in the desired form to the experiment. We restrict ourselves to storage rings with
an electron energy of ca. 0.5-2.5 GeV and emphasize the development of high
resolution monochromators for photon energies of ca. 10-1000 eV. The problems
associated with high energy storage rings (Ee| > 3 GeV) and with hard x-ray
radiation are not dealt with here. The problem of heat loading of optical elements
will only be alluded to. Relevant references to these and to some other subjects
have been provided in the appendices and under “general references” for the
reader’s convenience.
X Preface

A look at the references provided will give an indication of the number of scientists
and engineers making important contributions to this field. However, the lists are in
no way exhaustive. For the most recent developments, one is referred to the
proceedings of the various meetings on instrumentation for synchrotron radiation,
both national and international.

The contents of this volume have grown out of the author’s own collection of
formulas, references and experiences at BESSY. They had been organized and
extended for his lectures at the “School on the Use of Synchrotron Radiation in
Science and Technology” held at the International Center for Theoretical Physics
(ICTP) in Trieste, Italy in 1991, 1993 and 1995. Of essential importance to this
endeavor have been the fruitful and very enjoyable collaborations with my
professional “family” : the experimental group here at BESSY. Discussions with my
colleagues at the ICTP school and at sister institutions around the world are also
appreciated. The author is especially indebted to his friends Andreas Gaupp and
Gerd Reichardt for critically reading the manuscript, seeking out the most insidious
of errors and making important contributions in all aspects of this book. Despite
one’s best efforts, however, errors have a way of slipping by and improvements of
being overlooked. For these deficiencies, solely the author is responsible. He would
be most appreciative to have them pointed out by the reader.

Finally, this preface would be incomplete if I did not thank my wife, Angelika, for
encouraging me to take this effort on, despite the knowledge that it would mean
long hours late into the night and by dawn’s early light, and for her full support
throughout its duration.

William B. Peatman
Berlin
1997
LIST OF FIGURES

Page
Figure 1.1.1: Synchrotron Radiation Sources 3
Figure 1.1.2: The Time Structure of Synchrotron Radiation 5
Figure 1.1.3: The Intensity of Synchrotron Radiation per Stored Electron 5
Figure 1.2.1: The Practical Meaning of Brilliance 7
Figure 1.2.2: Brilliance and Flux Curves 8
Figure 1.4.1: Definition of Terms for the Ray Trace Program RAY 11
Figure 1.5.1: Spectral Power Distribution of an Undulator 14
Figure 1.5.2: Pre-Monochromator Optical System 15
Figure 1.5.3: Temperature Stability: Mirror Cooling 18
Figure 1.5.4: Temperature Stability: Magnet Cooling 19
Figure 1.5.5: Disturbing Effects of Undulator Operation 21
Figure 1.5.6: The Function Fk(K) for Undulator Radiation 22
Figure 2.1.1: Beta Functions and Dispersion for a TBA 10 Lattice 29
Figure 2.2.1: The Power and Flux Distributions of Dipole Radiation 33
Figure 2.2.2: Polarization Characteristics of Synchrotron Radiation 35
Figure 2.4.1: The Layout of a Wiggler/Undulator 37
Figure 2.4.2: Typical Wiggler Spectra 39
Figure 2.5.1: Typical Undulator Spectra 41
Figure 2.5.2: Angular Distribution of the Power from Two ID’s 44
Figure 2.5.3: Undulator Flux Versus Pinhole Area: U52 48
Figure 2.5.4: Undulator Flux Versus Pinhole Area: U100, U30 50
Figure 2.6.1: The Coherent Core of Undulator Radiation 59
Figure 2.6.2: The Ratio of Coherent to Total Flux from an Undulator 60
Figure 2.7.1: The Direction and Origin of the Emitted Radiation 62
Figure 2.7.2: Images of a Source from a Pinhole Array 64
Figure 2.7.3: An Example of a Detector for Undulator Radiation 66
Figure 3.1.1: The Optical Path 71
Figure 3.1.2: Three Optical Surfaces 74
Figure 3.2.1: Two Ways of Obtaining the Energy Dispersion 78
Figure 3.2.2: Test of the Source Characteristics 81
Figure 3.2.3: Footprint Showing the Illumination of a Mirror 84
Figure 3.2.4: The Length of a Grazing Incidence Mirror or Grating 85
Figure 3.2.5: Ray Trace Calculations: Foci from Two Mirrors 87
Figure 3.2.6: Illumination of a Grating Behind an Entrance Slit 88
Figure 4.2.1: Grating Definitions 94
Figure 4.3.1: Sagittal and Meridional Foci 101
Figure 4.4.1: Undulator Radiation and High Order Light 103
xi
xii List o f Figures

Figure 4.4.2: High Order Light: Suppression, Resolution 104

Figure 4.4.3: Reflectivity of Three Double Mirror Reflectors 106
Figure 4.4.4: A Grating Efficiency Map 108
Figure 4.5.1: The Optical Design of the Petersen Focussed PGM 110
Figure 4.6.1: The Blaze Angle of a Diffraction Grating 113
Figure 5.1.1: The Optical Constants for C, Au, Pt, SiC 121
Figure 5.1.2: The Calculated Reflectivities of Pt and SiC 122
Figure 5.1.3: The Calculated Reflectivity of Au 124
Figure 5.3.1: The Kirkpatrick-Baez Optical System 130
Figure 5.3.2: The Namioka Conjugate Sphere System 132
Figure 5.4.1: Focussing Characteristics of a Spherical Mirror 135
Figure 5.4.2: Focussing Characteristics of a Plane Elliptical Mirror 136
Figure 5.4.3: Focussing Characteristics of a Conjugate Sphere System 137
Figure 5.4.4: Demagnification of an Undulator Source 138
Figure 5.5.1: Power Spectrum of Surface Errors 141
Figure 5.5.2: Example of Figure Error of the First Type 142
Figure 5.5.3: Meridional and Sagittal Tangent Errors 144
Figure 5.5.4: The Effect of Tangent Errors on Line Width 145
Figure 5.6.1: Surface Quality 148
Figure 5.6.2: The Effect of Surface Roughness on Specular Reflectivity 148
Figure 6.2.1: A TGM for Photon Energies from ca. 15 to 160 eV 156
Figure 6.2.2: A TGM for Photon Energies from ca. 180 to 1100 eV 156
Figure 6.2.3: The Performance of a TGM for 15-160 eV Photons 157
Figure 6.2.4: The Performance of a TGM for 180-1100 eV Photons 159
Figure 6.2.5: A Focussed Spherical Grating Monochromator 162
Figure 6.2.6: The Complete Beamline for a Focussed SGM 164
Figure 6.2.7: The Performance of a Focussed SGM 166
Figure 6.3.1: The Rowland Circle Monochromator 169
Figure 6.3.2: The Constant Length Rowland Circle Monochromator 170
Figure 6.4.1: The Original Petersen Plane Grating Monochromator 173
Figure 6.4.2: The Petersen Focussed PGM with Spherical Mirrors 175
Figure 6.4.3: The Performance of a Petersen PGM with Spherical Mirrors 177
Figure 6.4.4: Resolution Versus Energy for a Petersen PGM 178
Figure 6.5.1: A Constant Length Rowland Circle Monochromator versus
a Petersen Plane Grating Monochromator 183
LIST OF TABLES

Page
Table 1.4.1: Some Characteristics of a Gaussian Distribution 12
Table 1.5.1: Thermal Loading of Optical Elements by ID Radiation 16
Table 1.6.1: Boundary Conditions 23
Table 2.1.1: Calculation of the Electron Beam Characteristics 31
Table 2.5.1: Source Parameters for the Undulator Calculations 42
Table 2.5.2: Radiative Power and Beam Divergence of Four ID’s 45
Table 2.5.3: Flux and Opening Angle of U52 49
Table 2.5.4: Flux and Opening Angle of U 100 51
Table 2.5.5: Flux and Opening Angle of U30 52
Table 2.5.6: Comparison of Divergence of Power and Flux 54
Table 3.1.1: The ajj Coefficients for Various Surfaces 75
Table 4.4.1: Optical Characteristics of Several Filter Materials 105
Table 5.1.1: Possible Observations with Polarized Light 126
Table 5.5.1: The Effect of Tangent Errors on Line Width 146
Table 6.1.1: The “Ideal” High Resolution Soft X-Ray Monochromator 155
Table 6.2.1: The Parameters of the BESSY Focussed SGM 165
Table 6.4.1: The Parameters of a Petersen PGM with Spherical Mirrors 176
Table 6.5.1: Boundary Conditions for a Monochromator Comparison 181
Table 6.5.2: Monochromator Comparison: Performance for Maximum
Resolution at 90 to 800 eV: Tally Sheet 186

xiii
 1

IN CASE YOU DIDN’T KNOW

Anyone who has had to build a rare gas continuum light source in order to
generate the necessary photons for his VUV experiments is easily convinced of
the virtues of synchrotron radiation. That generation of scientist is fading out,
much like his light source, and the motivation to design experiments that could be
performed at all within the limits of 10-21 eV photon energy with it. It is almost
embarrassing to look back upon those times and to recall what sort of a strait
jacket the rare gas light source was: (a) What new justifiable experiments could
still be done on hydrogen, nitric oxide, argon etc? Would they be done only
because they could be done in the meager range of photon energies and flux
available? (b) How could one change fields in view of the investment in time and
equipment that had been necessary to produce this limited spectrum with its
modest intensity. It would be tantamount to a denial of one's own history!

Synchrotron radiation sources free one of such fetters: untold numbers of photons
at any imaginable energy. Well, nearly. The fact that one must pack up one's
experiment and travel to a synchrotron radiation facility is for most an acceptable
hurdle in view o f what is to be gained. In the final analysis, the present situation
represents a significant improvement over the past. The nature of synchrotron
radiation has provided an enormous impetus to research on atoms, molecules,
surfaces, solids and interfaces. Furthermore, the designers of the synchrotron
radiation sources have kept up the pace of development, so that the possibilities
for the end user continue to improve. In order to tap the resources that a
synchrotron radiation source affords, the designer of monochromators and
beamlines must also keep up both with new technologies and with the most
effective tools available to him for the task. It is hoped that this book will help
him accomplish this goal in an optimal way.

This opening chapter is intended to provide the reader with some fundamental
information which is essential to the rest of the development: the nature of
synchrotron radiation, the concept of brilliance and what it means in regard to
beamline design, mathematical tools that are available for the task, the various
2 Chapter 1

coordinate systems employed by the aforementioned mathematical tools and some

of the typical problems encountered when using synchrotron radiation, especially
on the highly tuned third generation machines. Much of this will already be
known to some readers who can skip over those parts without hesitation.

Chapter 2 marks the real beginning of beamline design: analytical descriptions of

the various types of synchrotron radiation source which are the starting point for
ray tracing. A short chapter on the optical path and ray tracing provides a respite
between the material of chapter 2 and that in chapter 4: gratings. The grating is
the heart of any monochromator for soft x-rays and a thorough understanding of
the characteristics of different kinds of gratings is essential. Chapter 5 could be
subtitled "the proper care and feeding of a grating" dealing as it does with getting
as much of the desired radiation from the source to the grating as possible and
then guiding the dispersed radiation from the grating to the experiment. Finally,
the main types of monochromators/beamlines presently being planned and built at
synchrotron radiation laboratories around the world are described in detail in
chapter 6 and performance data given where available. A quantitative comparison
of the design and theoretical performance of a spherical grating monochromator
with that o f a plane grating monochromator closes out the body of the book.

1.1 SYNCHROTRON RADIATION

Synchrotron radiation is generated profusely when a) relativistic, b) light (i.e. not

heavy) c) charged particles are subject to d) a transverse acceleration. Thus,
synchrotron radiation originates from relativistic electrons or positrons in a strong
magnetic field, as in a synchrotron or storage ring. Using heavy particles or the
relatively weak acceleration of a linear accelerator reduces the photon intensity by
over six or more orders of magnitude. These prerequisites determine the
characteristics of synchrotron radiation (SR) that make it so advantageous as a
source of photons. These characteristics are:

1) The continuous spectrum from dipole magnets stretches from the infrared to
soft or hard x-rays, depending upon the energy of the electrons. In the case of
insertion devices (ID's: wigglers and undulators), the spectrum is not continuous
but is strongly peaked, depending upon the magnetic field strength of the insertion
device.

2) The emission is highly directed and emanates from a (very) small source: the
electron beam dimensions. In the case o f dipole radiation a wide swath o f emitted
radiation is produced, like the headlights o f an auto at night, sweeping around the
curves. The radiation from insertion devices is almost collimated, again
depending upon the magnetic field strength of the insertion device (figure 1.1.1).
In Case You Didn't Know 3

Figure 1.1.1: Synchrotron Radiation Sources

Shown are the three principal sources of synchrotron radiation, their spatial
emission characteristics and typical fluxes.

Dipole Magnet

Horizontal emission fan up to 50 mrad flux typically

photon energy

Wiggler

A /W W
e
N periods

Horizontal emission fan typically 5-20 mrad Flux 2N times that of a

dipole source with the
same horizontal mrad.

Undulator

e
J
N periods typically

Interference leads to a brilliance of

ca. that of a dipole source.

Horizontal emission fan < 1 mrad

photon energy
4 Chapter I

3) Synchrotron radiation has a well defined time structure. The electrons in the
storage ring are grouped in bunches which are synchronous with the phase of the
radio frequency cavity employed to restore the energy lost by them in the form of
synchrotron radiation. This leads to the synchrotron radiation being emitted as
pulses from each bunch as they pass by the viewer (figure 1.1.2).

4) Synchrotron radiation is highly polarized. In the plane o f the storage ring the
synchrotron radiation from dipole magnets and conventional insertion devices is
plane polarized. Above and below this plane dipole radiation is elliptically
polarized (figure 2.2.2). Elliptically polarized radiation can also be generated in
specially designed insertion devices.

5) The characteristics of the synchrotron radiation can be exactly calculated if one

knows the (exact) values of just three parameters: (a) current or the number of
electrons circulating in the storage ring and the cycling time, (b) the energy of the
electrons and (c) the radius o f curvature of the electron trajectory or equally, the
magnetic field strength at the point of emission o f the radiation. Figure 1.1.3
depicts the experimentally determined intensity o f the radiation per stored
electron making possible a highly precise determination of the ring current [1.1].
For dipole magnets synchrotron radiation can be a primary source o f light from
the IR to the (soft) x-ray region. Work is under way to make insertion devices
primary sources as well.

The high intensity of the synchrotron radiation together with the small source
dimensions and the small solid angle into which the synchrotron radiation is
emitted lead to a nearly ideal source for optical systems: a directed point source.
These three quantities taken together are referred to as brilliance. It is the goal of
the designers of storage rings o f the second and third generations to maximize the
brilliance o f the source. It is the job of the beamline scientist and engineer to
transfer this brilliance to the experiment.
In Case You Didn't Know 5

Figure 1.1.2. The Time Structure of Synchrotron Radiation

In order to restore the energy lost by the electrons as they emit synchrotron
radiation, they are accelerated each time they pass through the RF cavity shown
below. The time dependent sinusoidal field exists only in the RF cavity. The rest
of the sinusoidal wave shown indicates the relative positions around the storage
ring for electrons which are in phase with the cavity voltage, the so-called
"buckets". Electrons in a bucket constitute a "bunch". Electrons outside a bucket
are scattered by the out of phase cavity excitation and lost. This gives rise to the
time structure of synchrotron radiation.
Storage Ring Bunch
(Electrons)

Period x
1 - 1 nsec
(500 MHz Cavity)
Number of buckets
= harmonic number
_ circumference ( m)
= 3 x 10'8 x
Bucket

Figure 1.1.3 The Intensity of Synchrotron Radiation per Stored Electron

Shown is the measured photon intensity as a function of time. The normalized

photocurrent scales exactly with the number of electrons remaining in the
storage ring. Multiple losses occur occasionally during the scraping process
required to further reduce the number of electrons. The discrete steps,
representing single and multiple electron losses, can be identified up to more
than 1000 electrons. The uncertainty in the current measurement results from
that in the uncertainties in the values of the electronic charge and the cycling
time [1.1].

8 25
o
bo 20
U
Z.
i 15

10

; i______ i__i____ i____ i____ i__............ i

5000 5200 5400 5600 5800

Time (seconds)
6 Chapter 1

1.2 COUPLING THE SOURCE TO THE EXPERIMENT

The word "brilliance" has already been mentioned without having been defined:
(Photon flux) 1
Brilliance =
I OxCyC'xO'y BW
where Photon flux = photons/sec
I = electron current in the storage ring
a xo y = the transverse area from which the SR is emitted
<j'xc ’y = the solid angle into which the SR isemitted
BW = Bandwidth o f the monochromator .

Sometimes the term "brightness" is used for the above expression. This is
unfortunate, since "brightness" also has a different definition:
(Photon flux) 1
Brightness =
I O 'x O 'y BW
It has not been possible to get scientists to agree upon a single definition. Thus,
one must be aware of the different usages and stay alert!

Brilliance may be considered to be the density of photons in transverse phase

space. In general, the researcher needs a certain minimum number of
photons/second-volume or flux density at his experiment. These photons will have
been monochromatized to a greater or lesser extent, depending upon the
bandwidth (BW) o f the optical system, and will be focussed into a volume of
some particular characteristics. Thus, the brilliance o f the source and not just the
number o f photons/second must be transferred as completely as possible through
the optical system to the experiment. The brilliance equation given above is only
the first link in the chain: the source. In order to optimize the coupling of the
source to the experiment, the brilliance o f the source must be conserved, as well
as possible, as the synchrotron radiation is reflected and dispersed in the
beamline. A bad optical design, faulty optical elements or instability o f the
various "links" are just a few of the things which irrevocably lead to loss of
brilliance. Thus, in order to obtain a high flux of synchrotron radiation of the
desired qualities at the experiment, a brilliant source and a beamline in which this
brilliance is conserved are required. Figure 1.2.1 illustrates the differences
between a high brilliance system and one with a lower brilliance. Figure 1.2.2a
shows the brilliance expected from a synchrotron radiation facility of the third
generation: the 1980's design o f BESSY II [1.2]. The flux curves for the source
are shown as well (figure 1.2.2b).
Figure 1.2.1: The Practical Meaning of Brilliance

Source Monochromator Experiment

Mirror Entrance Grating Exit Slit
Slit
a. Phase space, crx x cry x cr'x x cr'y , large.

-Large focus volume

-Lower flux density
The source must be demagnified
Consequences:
The vertical aperture is enlarged
The optical aberrations increase
The tangent errors increase D
The cost increases
D
b. Phase space, crx x cry x cr'x x cr'y· small:

-Small focus volume

-Higher flux density
The source size is not resolution limiting
Consequences:
The vertical aperture remains small
The optical aberrations decrease D
The tangent errors decrease
The cost decreases D
Figure 1.2.2: Brilliance and Flux Curves

Brilliance and flux curves for a 1.7 GeV synchrotron radiation light source of the third generation.
The ring current used for the calculations was 100 mA [1.2].
Brilliance Flux

I ?
6
I -r-
o
T3
?to
h_
£ &
J 3
Li- 5

Photon Energy (eV) Photon Energy (eV)

In Case You Didn't Know 9

Regardless of the source, dipole, wiggler or undulator, the vertical source size
stems primarily from the horizontal emittance of the storage ring, the horizontal
to vertical coupling factor and the vertical (5-function at the source point. It is
generally much smaller than the horizontal source size, typically by a factor of
between 3 and 10 (chapter 2). If great importance is ascribed to energy resolution,
then the dispersive plane of the beamline should exploit the smaller vertical
source size and vertical brilliance must be conserved as completely as possible.

1.3 COMPUTER CODES

In order to design and optimize a beamline from the source to the experiment a
ray trace program [1.3, 1.4] is indispensable. This will be expanded upon in
chapter 3. Since it is possible to acquire a ray trace program gratis, and since PC's
and work stations are financially within reach of most institutions, there is no
justification in not having and using one. One cannot rely on hand calculations
and intuition alone.

Similarly, computer codes are available which enable one to describe undulator
sources in great detail [1.5, 1.6, 1.7]. Mathematical functions, fit programs and
the like are equally accessable [1.8, 1.9]. As mentioned above, most of these
programs are available "free for the asking".

Finally, it is possible to determine the effect o f the power of the synchrotron

radiation on the geometry o f optical components and to develop cooling schemes
to combat the resulting deformations. Computer codes for the finite element
method (FEM) of analysis are more difficult to use than the aforementioned and
are generally available only at some cost. Nevertheless, they are to be
recommended.

1.4 COORDINATE SYSTEMS, DISTRIBUTIONS

1.4.1 Coordinate Systems: The Storage Ring

There is no single generally accepted coordinate system for both storage ring
geometry and optical geometry. Indeed, this statement holds for each area alone.
In this book we try to adhere to the convention that the vertical direction, i.e.
perpendicular to the plane of the storage ring, is the "y" direction. In machine
physics this is often designated as the "z" direction. The direction of propagation
of electrons or photons is generally labled "s" by machine physicists, "r" in
grating theory and in ray trace programs "z". For examples see figures 2.1.1, 1.4.1
and 4.2.1. The "right hand rule" for Cartesian coordinate systems is often
10 Chapter 1

violated. In addition, in ray trace programs the coordinate system is usually

rotated according to the deflection plane of mirrors and gratings, meridional and
sagittal maintaining their designators (y or z and x respectively) throughout the
optical system (see section 1.4.2 below). As a partial solution to this problem the
designations "h" and "v" for horizontal and vertical are used in this book where
possible. These are unique at least in regard to the storage ring coordinates: to date
not one storage ring for synchrotron radiation has been built standing on edge!

Thus, the reader being aware of this state of affairs should try to avoid being
irritated or lead astray by it! One final point on this subject: we try to adhere to
the convention that a primed quantity refers to an angle and an unprimed quantity
to a length. Thus a' is (almost) always the standard deviation of an angle and a
that of a length. There are, however, a few exceptions, the main one being the
definition of the arm lengths of an optical system, r and r' (chapters 4, 5 and 6).

1.4.2 Coordinate Systems: Ray Trace Programs

For the ray trace programs, certain conventions must be established in order to
maintain one's sanity in working through a multi-element beamline design. The
definitions given in figure 1.4.1 for the BESSY ray trace program "RAY" are
intended to fulfill this need [1.4].

1.4.3 Distributions, Error Functions

In the development presented in this book, we will often (a) express functions in
terms of the Gaussian (normal) distribution or (b) approximate a given
distribution by one. In addition, for the convolution of the various functions used
to describe a complete system, one often resorts to the statistics associated with
randomly occurring errors according to GauB. The definitions associated with
these statistics are illustrated in table 1.4.1. In many real cases the relevant
functions do not strictly obey these statistics, but for convenience GauB statistics
are employed as a "best guess", which is certainly better than no estimate at all.

For ray trace calculations necessary for beamline design, some sort of distribution
function is required for a realistic definition o f the source and o f random surface
errors of mirrors and gratings, etc. Thus, for example, undulator and wiggler
sources are best described by Bessel functions. Useful approximations can be
made to these functions. Depending upon who is making the approximations and
how, the final approximate values of the quantities desired may deviate significantly
from "deriver" to "deriver". See, for example, figure 2.6.1 for a direct comparison.
In Case You Didn 't Know 11

Figure 1.4.1: Definition of Terms for the Ray Trace Program RAY

In particular note the redefinition of the coordinates under a rotation of the

coordinate system so that "Y" always remains in the optical plane [1.4].

Horizontal Deflection
12 Chapter 1

Table 1.4.1: Some Characteristics of a Gaussian Distribution

For many types of measurements, the scatter of measured values, xj, about their
average value, X, obeys the relationship derived by GauB (1808):

1 -(x -x )2
P (x ) ' T jn c '

The variance, , is defined as follows:

1 n _ i
O = 7 I(X j - x )
n - 1i=i
_ 1 n .
where n is thenumber of trials and x = — £ x j is the mean.
" i=l
The standard deviation, o , also known as the root mean square (rms) value, is
simply the square root of the variance above.

A plot of the distribution P(x) versus x is the familiar "bell" curve:

The following are useful relationships between a and the area under the curve:

x ± 1a => 68.3 % of the area

2 35
x ± —:— a => 76.0 % of the area
2
x ±2 o => 95.4 % of the area
x ±3o => 99.7 % of the area
2.35 a Full width at half maximum of the curve
(FW HM ), sometimes designated as A .
In Case You Didn’t Know 13

The assumption o f a Gaussian distribution also simplifies the interpretation of

measured or calculated data: for a Gaussian distribution, the full width at half
maximum (FWHM) is equal to 2.35 standard deviations (a). In other cases it is
the area under a distribution curve that is of interest. For a Gaussian distribution,
4 a corresponds to 95 % o f the area under the curve. See, for example, figures
2.5.3 and 2.5.4 and tables 2.5.2 through 2.5.5. From the calculated data (figures
2.5.3 - 2.5.5) the asymptotic limit can be determined and, taking 95 % of it, a a
value obtained.

1.5 CAVEATEM PTOR

Along with the indisputable advantages o f synchrotron radiation sources over

laboratory sources come new factors which must be controlled if the advantages
are to be enjoyed. This is particularly true o f insertion devices. If an insertion
device does not offer a significant advantage in flux at the experiment over a
dipole magnet source, the latter has simplicity o f operation to recommend it.
Thus, "let the buyer beware"!

1.5.1 Synchrotron Radiation Heat Load on the Optical Elements

Figure 1.5.1 shows the spectral power distribution o f an undulator with 80 periods
(N) and Xq = 52 mm [1.10]. The total power of 130 watts corresponds to the
brilliance and flux curves shown in figure 1.2.2a and b. Also shown in figure
1.5.1 is the amount of power absorbed in each o f the first two mirrors of the
model beamline shown in figure 1.5.2a. As will be seen the second o f these
mirrors is crucial for conserving vertical brilliance in this beamline (chapter 5).
Figure 1.5.2b shows schematically the deformation of this mirror resulting from
the heat absorbed in it (bottom curve of figure 1.5.1). The subject o f heat loading
will not be dealt with explicitly in this book, but references hereto are given in
appendix 5. In table 1.5.1 one can find the various power loading relationships for
wigglers and undulators: total power, maximum (axial) power/mrad(hor),
maximum power/mrad2, maximum power/mm(hor) and maximum power/mm2
[1.11]. Examples of these power relationships are to be found in chapter 2 (figure
2.5.2, table 2.5.2).

Whether the deformation of optical elements is caused by heat loading as shown

or by manufacturing limits (figure errors, chapter 5) brilliance is degraded and
some o f the scientific potential of the source irretrievably lost.
14 Chapter 1

Figure 1.5.1: Spectral Power Distribution of an Undulator

The spectral power distribution of radiation of an undulator with Xq = 52 mm

and N = 80 for Eei = 1.7 GeV, 100 mA and K = 2.0 is shown. The solid curve
shows the total power of the undulator. The dotted curve (middle) is the power
absorbed in the first mirror (MO). The dot-dash curve in the power absorbed in
the second mirror (Ml). The remaining power, 30 watts, reaches the entrance
slit. The beamline is shown in figure 1.5.2 [1.10].

Photon Energy (eV)

1.5.2 Thermomechanical Problems

Thermomechanical problems refer not to the deformation of the optical surface of

a mirror or grating but rather to the change in position of a mirror or grating in
the beamline or o f a magnet in the storage ring itself. Figure 1.5.3 shows the
measured photon intensity behind a 20 pm slit as a function of time [1.12]. Also
shown is the temperature of the mirror/mirror mount used to focus the
synchrotron radiation on the slit. The unambiguous correlation between the two
shows that the thermally regulated cooling water is periodically deadjusting the
position o f the mirror, and this despite a thermal regulation to ± 0.5° C! The
period of the thermoregulator is 6.5 minutes. By putting a buffer reservoir in the
cooling line before the water reaches the mirror, the water of 18°C ± 0.5°C is
mixed producing a stable 18° ± 0.05°C or better regulation (figure 1.5.3b). N.B.
The reservoir must withstand a water pressure o f 8-10 atmospheres and therefore
must be made correspondingly robust.
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