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Basic theory
This next part of the book is a long and rather tedious account of some basic theory
which is necessary in order to make calculations of the properties of multilayer
thin-film coatings. It is perhaps worth reading just once, or when some deeper
insight into thin-film calculations is required. In order to make it easier for
those who have read it to find the basic results, or for those who do not wish
to read it at all to proceed with the remainder of the book, the principal results are
summarised, beginning on page 46.
12
Maxwell’s equations and plane electromagnetic waves 13
Table 2.1.
Symbol for
Symbol Physical quantity SI unit SI unit
Table 2.2.
Symbol Physical quality Value
ε = εr ε0 (2.8)
µ = µr µ0 (2.9)
ε0 = 1/(µ0 c2 ) (2.10)
where ε0 and µ0 are the permittivity and permeability of free space, respectively.
εr and µr are the relative permittivity and permeability, and c is a constant that
can be identified as the velocity of light in free space. ε 0 , µ0 and c are important
constants, the values of which are given in table 2.2.
The following analysis is brief and incomplete. For a full, rigorous treatment
of the electromagnetic field equations the reader is referred to Born and Wolf [3].
div D=0
and, solving for E
E = εµ ∂∂tE2 + µσ ∂∂tE .
2
∇2 (2.11)
14 Basic theory
H
A similar expression holds for .
First of all we look for a solution of equation (2.11) in the form of a plane-
polarised plane harmonic wave, and we choose the complex form of this wave,
the physical meaning being associated with the real part of the expression.
represents such a wave propagating along the x axis with velocity v. EE is the
vector amplitude and ω the angular frequency of this wave. The advantage of the
complex form of the wave is that phase changes can be dealt with very readily
by including them in a complex amplitude. If we include a relative phase, ϕ, in
(2.12) then it becomes
where E exp(iϕ) is the complex vector amplitude. The complex scalar amplitude
is given by E exp(iϕ) where E = |E |. Equation (2.13), which has phase ϕ relative
to expression (2.12), is simply expression (2.12) with the amplitude replaced by
the complex amplitude.
For equation (2.12) to be a solution of equation (2.11) it is necessary that
ω2 /v 2 = ω2 εµ − iωµσ. (2.14)
c2 = 1/ε0 µ0 (2.15)
c2 εµ µσ
= −i ,
v 2 ε 0 µ0 ωε0 µ0
where c/v is clearly a dimensionless parameter of the medium, which we denote
by N:
µr σ
N 2 = ε r µr − i . (2.16)
ωε0
This implies that N is of the form
There are two possible values of N from (2.16), but for physical reasons we
choose that which gives a positive value of n. N is known as the complex
refractive index, n as the real part of the refractive index (or often simply as the
refractive index because N is real in an ideal dielectric material) and k is known
as the extinction coefficient.
Maxwell’s equations and plane electromagnetic waves 15
= i 2 E.
ωN 2
c µ
16 Basic theory
Now
∂
curl =
∂x
i+
∂
∂y
+
∂
j
∂z
k ×
∂ 2π N ωN
= −i α = −i α,
∂x λ c
∂ ωN ∂ ωN
= −i β, = −i γ
∂y c ∂z c
so that
curl H = −i ωN
c
(ŝ × H ).
Then
ωN
ŝ H ) = i ωN E,
2
−i ( ×
c c2 µ
i.e.
ŝ H ) = − cµ
( ×
N
E (2.23)
and similarly
N
cµ
ŝ E ) = H .
( × (2.24)
Now
µ = µr µ0 (2.26)
y = NY (2.27)
and
H = y(ŝ × E ) = N Y (ŝ × E ). (2.28)
Maxwell’s equations and plane electromagnetic waves 17
= nY
1
2
EE ∗ŝ. (2.32)
18 Basic theory
implying
EE ∗ = EE ∗ exp[−(4πk/λ)(αx + βy + γ z)]
and
1 2
I = n Y E exp[−(4πk/λ)(αx + βy + γ z)].
2
The expression (αx + βy + γ z) is simply the distance along the direction
of propagation, and thus the irradiance drops to 1/e of its initial value in a
distance given by λ/4πk. The inverse of this distance is defined as the absorption
coefficient α, that is
α = 4πk/λ. (2.33)
The absorption coefficient α should not be confused with the direction cosine.
However,
E exp[−(2πk/λ)(αx + βy + γ z)]
is really the amplitude of the wave at the point (x, y, z) so that a much simpler
way of writing the expression for irradiance is
n Y (amplitude)2
1
I= (2.34)
2
or
I ∝ n × (amplitude) 2 . (2.35)
This expression is a better form than the more usual
I ∝ (amplitude)2 . (2.36)
The relative phases of these waves are included in the complex amplitudes. For
waves with these phase factors to satisfy the boundary conditions for all x, y, t at
z = 0 implies that the coefficients of these variables must be separately identically
equal:
ω ≡ ωr ≡ ωt
λ ≡ λr ≡ λt .
Next
0 ≡ n 0 βr ≡ n 1 βt
that is, the directions of the reflected and transmitted or refracted beams are
confined to the plane of incidence. This, in turn, means that the direction cosines
of the reflected and transmitted waves are of the form
Also
n 0 sin ϑ0 ≡ n 0 αr ≡ n 1 αt
so that if the angles of reflection and refraction are ϑ r and ϑt , respectively, then
ϑ0 = ϑr (2.38)
that is, the angle of reflection equals the angle of incidence, and
n 0 sin ϑ0 = n 1 sin ϑt .
which is the familiar relationship known as Snell’s law. γ r and γt are then given
either by equation (2.37) or by
Note that for the reflected beam we must choose the negative root of (2.40) so that
the beam will propagate in the correct direction.
Figure 2.2. Convention defining positive directions of the electric and magnetic vectors
for reflection and transmission at an interface at normal incidence.
incident and transmitted waves, but along the negative direction of the y axis
for the reflected wave.
We are now in a position to apply the boundary conditions. Since we have
already made sure that the phase factors are satisfactory, we have only to consider
the amplitudes, and we will be including any phase changes in these.
(a) Electric vector continuous across the boundary:
Ei + Er = Et . (2.41)
Hi − Hr = Ht
where we must use a minus sign because of our convention for positive directions.
The relationship between magnetic and electric field through the characteristic
admittance gives
y0 Ei − y0 Er = y1 Et . (2.42)
This can also be derived using the vector relationship (2.28) and (2.41). We can
eliminate Et to give
y1 (Ei + Er ) = y0 (Ei − Er ),
Er = y0 − y1 = n0 − n1
i.e.
Ei y0 + y1 n0 + n1 (2.43)
the second part of the relationship being correct only because at optical
frequencies we can write
y = nY .
Similarly, eliminating E r ,
Et = 2y0 = 2n 0 .
Ei y0 + y1 n0 + n1 (2.44)
These quantities are called the amplitude reflection and transmission coefficients
and are denoted by ρ and τ respectively. Thus
y0 − y1 n0 − n1
ρ= = (2.45)
y0 + y1 n0 + n1
2y0 2n 0
τ= = . (2.46)
y0 + y1 n0 + n1
In this particular case, all y real, these two quantities are real. τ is always a
positive real number, indicating that according to our phase convention there is
no phase shift between the incident and transmitted beams at the interface. The
The simple boundary 23
behaviour of ρ indicates that there will be no phase shift between the incident and
reflected beams at the interface provided n 0 > n 1 , but that if n 0 < n 1 there will
be a phase change of π because the value of ρ becomes negative.
We now examine the energy balance at the boundary. Since the boundary
is of zero thickness, it can neither supply energy to nor extract energy from
the various waves. The Poynting vector will therefore be continuous across the
boundary, so that we can write:
net irradiance = Re (Ei + Er )(y0 Ei − y0 Er )∗
1
2
= Re Ei (y1 Et )∗
1
2
(1 − R) = T. (2.49)
Equations (2.47), (2.48) and (2.49) are therefore consistent with our ideas of
splitting the irradiances into incident, reflected and transmitted irradiances which
can be treated as separate waves, the energy flow into the second medium being
simply the difference of the incident and reflected irradiances. Remember that
all this, so far, assumes that there is no absorption. We shall shortly see that the
situation changes slightly when absorption is present.
find that the application of the boundary conditions leads us into complicated and
difficult expressions for the vector amplitudes of the reflected and transmitted
waves. Fortunately there are two orientations of the incident wave which lead to
reasonably straightforward calculations: the vector electrical amplitudes aligned
in the plane of incidence (i.e. the x y plane of figure 2.1) and the vector electrical
amplitudes aligned normal to the plane of incidence (i.e. parallel to the y axis in
figure 2.1). In each of these cases, the orientations of the transmitted and reflected
vector amplitudes are the same as for the incident wave. Any incident wave of
arbitrary polarisation can therefore be split into two components having these
simple orientations. The transmitted and reflected components can be calculated
for each orientation separately and then combined to yield the resultant. Since,
therefore, it is necessary to consider two orientations only, they have been given
special names. A wave with the electric vector in the plane of incidence is known
as p-polarised or, sometimes, as TM (for transverse magnetic) and a wave with the
electric vector normal to the plane of incidence as s-polarised or, sometimes, TE
(for transverse electric). The p and s are derived from the German parallel and
senkrecht (perpendicular). Before we can actually proceed to the calculation of
the reflected and transmitted amplitudes, we must choose the various reference
directions of the vectors from which any phase differences will be calculated.
We have, once again, complete freedom of choice, but once we have established
the convention we must adhere to it, just as in the normal incidence case. The
conventions which we will use in this book are illustrated in figure 2.3. They
have been chosen to be compatible with those for normal incidence already
established. In some works, an opposite convention for the p-polarised reflected
beam has been adopted, but this leads to an incompatibility with results derived
for normal incidence, and we prefer to avoid this situation. (Note that for reasons
connected with consistency of reference directions for elliptically polarised light,
the normal convention in ellipsometric calculations is opposite to that of figure 2.3
for reflected p-polarised light. When ellipsometric parameters are compared with
the results of the expressions we shall use, it will usually be necessary to introduce
a shift of 180 ◦ in the p-polarised reflected results.)
We can now apply the boundary conditions. Since we have already ensured
that the phase factors will be correct, we need only consider the vector amplitudes.
(b) Magnetic component parallel to the boundary and continuous across it. Here
we need to calculate the magnetic vector amplitudes, and we can do this either by
using equation (2.28) to operate on equation (2.50) directly, or, since the magnetic
vectors are already parallel to the boundary we can use figure 2.3 and then convert,
The simple boundary 25
Figure 2.3. (a) Convention defining the positive directions of the electric and magnetic
vectors for p-polarised light (TM waves). (b) Convention defining the positive directions of
the electric and magnetic vectors for s-polarised light (TE waves).
since H = y E :
y0 Ei − y0 Er = y1 Et . (2.51)
At first sight it seems logical just to eliminate first E t and then Er from these two
equations to obtain E r /Ei and Et /Ei
Er = y0 cos ϑ1 − y1 cos ϑ0
Ei y0 cos ϑ1 + y1 cos ϑ0
Et = 2y0 cos ϑ0
(2.52)
Ei y0 cos ϑ1 + y1 cos ϑ0
and then simply to set
R=
Er 2 T =
y1
Et 2
Ei and
y0 Ei
but when we calculate the expressions which result, we find that R + T = 1. In
fact, there is no mistake in the calculations. We have computed the irradiances
measured along the direction of propagation of the waves and the transmitted
wave is inclined at an angle which differs from that of the incident wave. This
leaves us with the problem that to adopt these definitions will involve the rejection
of the (R + T = 1) rule.
We could correct this situation by modifying the definition of T to include
this angular dependence, but an alternative, preferable and generally adopted
approach is to use the components of the energy flows which are normal to
the boundary. The Eand H vectors that are involved in these calculations are
then parallel to the boundary. Since these are those that enter directly into the
boundary it seems appropriate to concentrate on them when we are dealing with
the amplitudes of the waves.
26 Basic theory
Ei = Ei cos ϑ0 Hi = Hi = y0 Ei =
y0
Ei (2.53)
cos ϑ0
Er = Er cos ϑ0
y0
Hr = Er (2.54)
cos ϑ0
Et = Et cos ϑ1
y1
Ht = Et . (2.55)
cos ϑ1
The orientations of these vectors are exactly the same as for normally incident
light.
Equations (2.50) and (2.51) can then be written as follows.
(a) Electric field parallel to the boundary:
Ei + Er = Et
giving us, by a process exactly similar to that we have already used for normal
incidence,
Er y0 y1 y0 y1
ρp = = − + (2.56)
Ei cos ϑ0 cos ϑ1 cos ϑ0 cos ϑ1
Et 2y0 y0 y1
τp = = + (2.57)
Ei cos ϑ0 cos ϑ0 cos ϑ1
2
y0 y1 y0 y1
Rp = − + (2.58)
cos ϑ0 cos ϑ1 cos ϑ0 cos ϑ1
4y0 y1 y0 y1 2
Tp = + , (2.59)
cos ϑ0 cos ϑ1 cos ϑ0 cos ϑ1
The simple boundary 27
Ei = Ei Hi = Hi cos ϑ0 = y0 cos ϑ0 Ei
Er = Er Hr = Hr cos ϑ0 = y0 cos ϑ0 Er
Et = Et Ht = y1 cos ϑ1 Et
and here we have again an orientation of the tangential components exactly as for
normally incident light, and so a similar analysis leads to
Er
ρs = = (y0 cos ϑ0 − y1 cos ϑ1 )/(y0 cos ϑ0 + y1 cos ϑ1 ) (2.60)
Ei
Et
τs = = (2y0 cos ϑ0 )/(y0 cos ϑ0 + y1 cos ϑ1 ) (2.61)
Ei
Rs = [(y0 cos ϑ0 − y1 cos ϑ1 )/(y0 cos ϑ0 + y1 cos ϑ1 )]2 (2.62)
Ts = (4y0 cos ϑ0 y1 cos ϑ1 )/(y0 cos ϑ0 + y1 cos ϑ1 ) 2
(2.63)
where the ϑ and the y in (2.65) and (2.66) are those appropriate to the particular
medium. In particular, Snell’s law, equation (2.39), must be used to calculate ϑ.
Then, in all cases, we can write
η0 − η1 2η0
ρ= τ= (2.67)
η0 + η1 η0 + η1
η0 − η1 2 4η0 η1
R= T = . (2.68)
η0 + η1 (η0 + η1 )2
These expressions can be used to compute the variation of reflectance of
simple boundaries between extended media. Examples are shown in figure 2.4
of the variation of reflectance with angle of incidence. In this case, there is no
absorption in the material and it can be seen that the reflectance for p-polarised
light (TM) falls to zero at a definite angle. This particular angle is known as the
Brewster angle and is of some importance. There are many applications where the
windows of a cell must have close to zero reflection loss. When it can be arranged
that the light will be linearly polarised a plate tilted at the Brewster angle will be
a good solution. The light that is reflected at the Brewster angle is also linearly
polarised with electric vector normal to the plane of incidence. This affords a way
of identifying the absolute direction of polarisers and analysers—very difficult in
any other way.
The expression for the Brewster angle can be derived as follows. For the
p-reflectance to be zero, from equation (2.58)
y0 n0Y y1 n1Y
= = = .
cos ϑ0 cos ϑ0 cos ϑ1 cos ϑ1
Snell’s law gives another relationship between ϑ 0 and ϑ1 :
n 0 sin ϑ0 = n 1 sin ϑ1 .
tan ϑ0 = n 1 /n 0 . (2.69)
Figure 2.4. Variation of reflectance with angle of incidence for various values of refractive
index. p-Reflectance (TM) to be zero, from equation (2.37).
We must now examine the modifications necessary in our results in the presence
of absorption. First we consider the case of normal incidence and write
N0 = n 0 − ik0
N1 = n 1 − ik1
y0 = N0 Y = (n 0 − ik0 )Y
y1 = N1 Y = (n 1 − ik1 )Y .
The analysis follows that for absorption-free media. The boundary conditions are,
as before:
30 Basic theory
Figure 2.5. (a) Nomogram giving variation of optical admittance with angle of incidence
for s-polarised light (TE waves). (b) Nomogram giving variation of optical admittance with
angle of incidence for p-polarised light (TM waves).
Ei + Er = Et .
(b) Magnetic vector continuous across the boundary:
y0 Ei − y0 Er = y1 Et
and eliminating first Et and then Er we obtain the expressions for the amplitude
coefficients
ρ=
Er = y0 − y1 = (n0 − ik0 )Y − (n1 − ik1 )Y
Ei y0 + y1 (n0 − ik0 )Y + (n1 − ik1 )Y
(n 0 − n 1 ) − i(k0 − k1 )
= (2.70)
(n 0 + n 1 ) − i(k0 + k1 )
τ=
Et = 2y0 = 2(n 0 − ik0 )Y
Ei y0 − y1 (n0 − ik0)Y + (n1 − ik1)Y
2(n 0 − ik0 )
= . (2.71)
(n 0 + n 1 ) − i(k0 + k1 )
Our troubles begin when we try to extend this to reflectance and transmittance. We
remain at normal incidence. Following the method for the absorption-free case,
we compute the Poynting vector at the boundary in each medium and equate the
The simple boundary 31
two values obtained. In the incident medium the resultant electric and magnetic
fields are
Ei + Er = Ei (1 + ρ)
and
Hi − Hr = y0(1 − ρ)Ei ,
respectively, where we have used the notation for tangential components, and
in the second medium the fields are τ E i and y1 τ Ei respectively. Then the net
irradiance on either side of the boundary is
T =
1
EE ∗
2 Re(y1 ) t t
.
EE ∗
2 Re(y0 ) i i
1
The simple boundary 33
This is completely consistent with (2.73), that is, with a slight manipulation,
Re[y0∗ (ρ − ρ ∗ )]
T = 1 − ρρ ∗ + . (2.76)
Re(y0 )
An alternative form uses
Et = (y 2y+0y ) Ei
0 1
so that
4y0 y0∗ Re(y1 )
T = . (2.77)
Re(y0 ) · [(y0 + y1 )(y0 + y1 )∗ ]
Now let the surface be coated with a dielectric system so that it presents the
admittance Y . Then, since, in the absence of absorption, the net irradiance
entering the thin-film system must also be the emergent irradiance,
4y0 y0∗ Re(Y )
T = . (2.78)
Re(y0 ) · [(y0 + Y )(y0 + Y )∗ ]
Let Y = α + iβ then
4α(n 20 + k02 )
T =
n 0 [(n 0 + α)2 + (k0 − β)2 ]
and T can readily be shown to be a maximum when
and this is greater than unity. This is not a mistake but rather a consequence
of the definition of transmittance. Irradiance falls by a factor of roughly 4πk 0
in a distance of one wavelength, rather larger than any normal value of k 02 /n 20 ,
so that the effect is quite small. It originates in a curious pattern in the otherwise
exponentially falling irradiance. It is caused by the presence of the interface and is
a cyclic fluctuation in the rate of irradiance reduction. Note that the transmittance
is unity if the coating is designed to match n 0 − ik0 rather than its complex
conjugate.
A dielectric coating that transforms an admittance of y 1 to an admittance of
y0∗ will also, when reversed, exactly transform an admittance of y 0 to y1∗ . This
is dealt with in more detail later when induced transmission filters are discussed.
Thus, the optimum coating to give highest transmittance will be the same in both
34 Basic theory
There are two solutions to this equation and we must decide which is to be
adopted. We note that it is strictly (n 1 − ik1 )α and (n 1 − ik1 )γ that are required:
The quantity within the square root is in either the third or fourth quadrant and so
the square roots are in the second quadrant (of the form −a + ib) and in the fourth
quadrant (of the form a − ib). If we consider what happens when these values are
substituted into the phase factors, we see that the fourth quadrant solution must
be correct because this leads to an exponential fall-off with z amplitude, together
with a change in phase of the correct sense. The second quadrant solution would
lead to an increase with z and a change in phase of the incorrect sense, which
would imply a wave travelling in the opposite direction. The fourth quadrant
solution is also consistent with the solution for the absorption-free case. The
transmitted phase factor is therefore of the form
where
The existence of such waves is another good reason for our choosing to consider
the components of the fields parallel to the boundary and the flow of energy
normal to the boundary.
We should note at this stage that provided we include the possibility of
complex angles, the formulation of the absorption-free case applies equally well
to absorbing media and we can write
main concern is the calculation of the tilted admittance connected with such a
wave. Since the x, y and t variations of the wave are contained in the phase
factor, we can write
∂
curl ≡
∂x
+
∂
∂x
i +
∂
∂x
j × k
≡ −i
2π N
λ
α −i i
2π N
λ
γ × k
and
∂
≡ iω,
∂t
k
where the is a unit vector in the z direction and should not be confused with the
extinction coefficient k.
For p-waves the H vector is parallel to the boundary in the y direction and
so H j E
= H y . The component of parallel to the boundary will then be in the x
i
direction, E x . We follow the analysis leading up to equation (2.23) and as before
curl H = σ E + ε ∂∂tE
= (σ + iωε)E
= 2 E.
iωN 2
c µ
k j
−( × ) = i
so that
Hy ωNλ N
ηp = = =
Ex 2πc 2µγ cµγ
NY y
= = .
γ γ
E is now along the y axis and a similar analysis to that for p-waves yields
= N Y γ = yγ .
Hx
ηs =
Ey
ηp = y/ cos ϑ
(2.80)
ηs = y cos ϑ.
symbol + (that is, positive-going) and waves in the opposite direction by − (that
is, negative-going).
The interface between the film and the substrate, denoted by the symbol b,
can be treated in exactly the same way as the simple boundary already discussed.
We consider the tangential components of the fields. There is no negative-going
wave in the substrate and the waves in the film can be summed into one resultant
positive-going wave and one resultant negative-going wave. At this interface,
then, the tangential components of and E H
are
Eb = E+
1b + E−
1b
Hb = η1 E+ −
1b − η1 E1b ,
where we are neglecting the common phase factors and where E b and Hb
represent the resultants. Hence
1
E+
1b = (Hb /η1 + Eb ) (2.85)
2
1
E−
1b = (−Hb /η1 + Eb ) (2.86)
2
1
H+
1b = η1 E+
1b = (Hb + η1 Eb ) (2.87)
2
1
H−
1b = − η1 E−1b = (Hb − η1 Eb ). (2.88)
2
The fields at the other interface a at the same instant and at a point with identical
x and y coordinates can be determined by altering the phase factors of the waves
to allow for a shift in the z coordinate from 0 to −d. The phase factor of the
positive-going wave will be multiplied by exp(iδ) where
δ = 2π N1 d cos ϑ1 /λ
and ϑ1 may be complex, while the negative-going phase factor will be multiplied
by exp(−iδ). We imply that this is a valid procedure when we say that the film
The reflectance of a thin film 39
is thin. The values of E and H at the interface are now, using equations (2.85) to
(2.88),
1
E+ + iδ
1a = E1b e = (Hb /η1 + Eb )eiδ
2
1
E−
1a = E−
1b e
−iδ
= (−Hb /η1 + Eb )e−iδ
2
1
H+
1a
+ iδ
= H1b e = (Hb + η1 Eb )eiδ
2
1
H−
1a
− −iδ
= H1b e = (Hb − η1 Eb )e−iδ
2
so that
Ea = E+
1a + E1a
−
iδ iδ
e + e−iδ e − e−iδ
= Eb + Hb
2 2η1
i sin δ
= Eb cos δ + Hb
η1
+ −
Ha = H1a + H1a
iδ iδ
e − e−iδ e + e−iδ
= Eb η1 + Hb
2 2
= Eb iη1 sin δ + Hb cos δ.
E
Since the tangential components of and H are continuous across a boundary,
and since there is only a positive-going wave in the substrate, this relationship
connects the tangential components of E and H at the incident interface with
the tangential components of E and H which are transmitted through the final
interface. The 2 × 2 matrix on the right-hand side of equation (2.89) is known as
the characteristic matrix of the thin film.
We define the input optical admittance of the assembly by analogy with
equation (2.64) as
Y = Ha /Ea (2.90)
when the problem becomes merely that of finding the reflectance of a simple
interface between an incident medium of admittance η 0 and a medium of
admittance Y , i.e.
η0 − Y
ρ=
η0 + Y
40 Basic theory
(2.91)
∗
η0 − Y η0 − Y
R= .
η0 + Y η0 + Y
We can normalise equation (2.89) by dividing through by E b to give
Ea /Eb B cos δ (i sin δ)/η1 1
= = (2.92)
Ha /Eb C iη1 sin δ cos δ η2
and B and C, the normalised electric and magnetic fields at the front interface,
are the quantities from which we will be extracting the properties of the thin-film
system. Clearly, from (2.90) and (2.92), we can write
Ha C η2 cos δ + iη1 sin δ
Y = = = (2.93)
Ea B cos δ + i(η2 /η1 ) sin δ
and from (2.93) and (2.91) we can calculate the reflectance.
B
C
is known as the characteristic matrix of the assembly.
We can apply equation (2.89) again to give the parameters at interface a, i.e.
Ea cos δ1 (i sin δ1 )/η1 cos δ2 (i sin δ2 )/η2 Ec
=
Ha iη1 sin δ1 cos δ1 iη2 sin δ2 cos δ2 Hc
and the characteristic matrix of the assembly, by analogy with equation (2.92) is,
B cos δ1 (i sin δ1 )/η1 cos δ2 (i sin δ2 )/η2 1
= .
C iη1 sin δ1 cos δ1 iη2 sin δ2 cos δ2 η3
Y is, as before, C/B, and the amplitude reflection coefficient and the reflectance
are, from (2.91),
η0 − Y
ρ=
η0 + Y
(2.95)
∗
η0 − Y η0 − Y
R= .
η0 + Y η0 + Y
This result can be immediately extended to the general case of an assembly
of q layers, when the characteristic matrix is simply the product of the individual
matrices taken in the correct order, i.e.
q
B cos δr (i sin δr )/ηr 1
= , (2.96)
C iηr sin δr cos δr ηm
r=1
where
2π Nr dr cos ϑr
δr =
λ
and where we have now used the suffix m to denote the substrate or emergent
medium
If ϑ0 , the angle of incidence, is given, the values of ϑ r can be found from Snell’s
law, i.e.
N0 sin ϑ0 = Nr sin ϑr = Nm sin ϑm . (2.97)
The expression (2.96) is of prime importance in optical thin-film work and
forms the basis of almost all calculations.
42 Basic theory
ηrp =
yr2
=
Y 2 (nr − ikr )2 . (2.100)
ηrs ηrs
It is useful to examine the phase shift associated with the reflected beam. Let
Y = a + ib. Then with η 0 real
η0 − a − ib
ρ=
η0 + a + ib
(η2 − a 2 − b2 ) − i(2bη0 )
= 0 ,
(η0 + a)2 + b 2
i.e.
(−2bη0)
tan ϕ = , (2.101)
(η02 − a 2 − b2 )
where ϕ is the phase shift. This must be interpreted, of course, on the basis of
the sign convention we have already established in figure 2.3. It is important
to preserve the signs of the numerator and denominator separately as shown,
otherwise the quadrant cannot be uniquely specified. The rule is simple. It is
the quadrant in which the vector associated with ρ lies and the following scheme
can be derived by treating the denominator as the x coordinate and the numerator
as the y coordinate.
Numerator + + − −
Denominator + − + −
Quadrant 1st 2nd 4th 3rd
Note that the reference surface for the calculation of phase shift on reflection
is the front surface of the multilayer.
Reflectance, transmittance and absorptance 43
1= R+T + A
so that
Re(ηm )
A = 1 − R − T = (1 − R) 1 − . (2.105)
Re(BC ∗ )
In the absence of absorption in any of the layers it can readily be shown that the
above expressions are consistent with A = 0 and T + R = 1, for the individual
film matrices will have determinants of unity and the product of any number of
these matrices will also have a determinant of unity. The product of the matrices
can be expressed as
α iβ
iγ δ
T Re(ηm )
ψ= = . (2.110)
(1 − R) Re(BC ∗ )
The phase change on reflection (equation (2.101)) can also be put in a form
compatible with equations (2.106) to (2.109).
Im[ηm (BC ∗ − C B ∗ )]
ϕ = arctan 2 B B ∗ − CC ∗ )
. (2.111)
(ηm
Ei + Er = B
η0 Ei − η0 Er = C.
so that
−Im(η0 B + C)
ζ = arctan . (2.112)
Re(η0 B + C)
Again it is important to keep the signs of the numerator and the denominator
separate. The quadrant is then given by the same arrangement of signs as
equation (2.101).
46 Basic theory
2.6 Units
We have been using the International System of Units (SI) in the work so far.
In this system y, η and Y are measured in siemens. Much thin-film literature has
been written in Gaussian units. In Gaussian units, Y , the admittance of free space,
is unity and so, since y = N Y , y (the optical admittance) and N (the refractive
index) are numerically equal at normal incidence, although N is a number without
units. The position is different in SI units, where Y is 2.6544 × 10 −3 S. We could,
if we choose, measure y and η in units of Y siemens, which we can call free
space units, and in this case y becomes numerically equal to N, just as in the
Gaussian system. This is a perfectly valid procedure, and all the expressions for
ratioed quantities, notably reflectance, transmittance, absorptance and potential
transmittance, are unchanged This applies particularly to equations (2.96) and
(2.106)–(2.110). We must simply take due care when calculating absolute rather
than relative irradiance and also when deriving the magnetic field. In particular,
equation (2.89) becomes
Ea cos δ (i sin δ)/η1 Eb
= ,
Ha /Y Hb /Y
(2.113)
iη1 sin δ cos δ
where η is now measured in free space units. In most cases in this book,
either arrangement can be used. In some cases, particularly where we are using
graphical techniques, we shall use free space units, because otherwise the scales
become quite cumbersome.
N is often called the complex refractive index, n the real refractive index (or often
simply refractive index) and k the extinction coefficient. N is always a function
of λ.
k is related to the absorption coefficient α by
α = 4πk/λ. (2.33)
form
E = E exp[iωt − (2π N/λ)x + ϕ], (2.20)
E
where x is the distance along the direction of propagation, is the electric field,
E the electric amplitude and ϕ an arbitrary phase. A similar expression holds for
H , the magnetic field:
y = NY. (2.117)
(In Gaussian units Y is unity and y and N are numerically the same. In SI units
we can make y and N numerically equal by expressing y in units of Y , i.e. free
space units. All expressions for reflectance, transmittance etc involving ratios
will remain valid, but care must be taken when computing absolute irradiances,
although these are not often needed in thin-film optics, except where damage
studies are involved.)
The irradiance of the light, defined as the mean rate of flow of energy per
unit area carried by the wave, is given by
1
I = Re(E H ∗). (2.31)
2
This can also be written
nY E E ∗ ,
1
I= (2.118)
2
where ∗ denotes the complex conjugate.
48 Basic theory
ρ=
Er = y0 − y1 = (n0 − ik0) Y − (n1 − ik1 ) Y
Ei y0 + y1 (n0 − ik0) Y + (n1 − ik1 ) Y
(n 0 − n 1 ) − i (k0 − k1 )
= (2.70)
(n 0 + n 1 ) − i (k0 + k1 )
τ=
Et = 2y0 = 2 (n 0 − ik0 ) Y
Ei y0 − y1 (n0 − ik0) Y + (n1 − ik1) Y
2 (n 0 − ik0 )
= , (2.71)
(n 0 + n 1 ) − i (k0 + k1 )
Oblique incidence calculations are simpler if the wave is split into two plane-
polarised components, one with the electric vector in the plane of incidence,
known as p-polarised (or TM, for transverse magnetic field) and one with the
electric vector normal to the plane of incidence, known as s-polarised (or TE,
for transverse electric field). The propagation of each of these two waves can
be treated quite independently of the other. Calculations are further simplified
if only energy flows normal to the boundaries and electric and magnetic fields
parallel to the boundaries are considered, because then we have a formulation
which is equivalent to a homogeneous wave.
We must introduce the idea of a tilted optical admittance η, which is given
by
NY
ηp = (for p-waves)
cos ϑ (2.80)
ηs = N Y cos ϑ (for s-waves),
Numerator + + − −
Denominator + − + −
Quadrant 1st 2nd 4th 3rd
Figure 2.8. (a) An assembly of thin films. (b) The potential transmittance of an assembly
of thin film consisting of a number of subunits.
that is the ratio between the irradiance leaving the assembly and the net irradiance
actually entering. For the entire system, the net irradiance actually entering is the
difference between the incident and reflected irradiances.
The potential transmittance of a series of subassemblies of layers is simply
the product of the individual potential transmittances. Figure 2.8 shows a series
of film subunits making up a complete system. Clearly
Ie Id Ib Ic Ib
ψ= = = = ψ1 ψ2 ψ3 . (2.123)
Ii Ia Ia Ib Ic
The potential transmittance is fixed by the parameters of the layer, or
combination of layers, involved, and by the characteristics of the structure
at the exit interface, and it represents the transmittance which this particular
combination would give if there were no reflection losses. Thus, it is a measure of
the maximum transmittance which could be expected from the arrangement. By
definition, the potential transmittance is unaffected by any transparent structure
deposited over the front surface—which can affect the transmittance as distinct
from the potential transmittance—and to ensure that the transmittance is equal to
the potential transmittance the layers added to the front surface must maximise the
irradiance actually entering the assembly. This implies reducing the reflectance of
the complete assembly to zero or, in other words, adding an antireflection coating.
The potential transmittance is, however, affected by any changes in the structure
at the exit interface and it is possible to maximise the potential transmittance of a
subassembly in this way.
We now show that the parameters of the layer, or subassembly of layers,
together with the optical admittance at the rear surface, are sufficient to define the
potential transmittance. Let the complete multilayer performance be given by
B 1
= [M1 ][M2 ] . . . [Ma ][Mb ][Mc ] . . . [M p ][Mq ] ,
C ηm
where we want to calculate the potential transmittance of the subassembly
[Ma ][Mb ][Mc ]. Let the product of the matrices to the right of the subassembly
52 Basic theory
be given by
Be
.
Ce
Now, if
Bi Be
= [Ma ][Mb ][Mc ] , (2.124)
Ci Ce
then
Re(Be Ce∗ )
ψ= . (2.125)
Re(Bi Ci∗ )
By dividing equation (2.124) by B e we have
Bi 1
= [M ][M ][M ] ,
Ci a b c
Ye
where Ye = Ce /Be , B1 = B1 /Be , C1 = C1 /Ce and the potential transmittance is
Re(Ye )
ψ=
Re(Bi Ci ∗ )
Re(Ce /Be ) Be Be∗ Re(Ce /Be )
= =
Re[(Bi /Be )(Ci∗ /Be∗ )] Re(Bi Ci∗ )
∗
Re(Be Ce ) ∗
Re(Be Ce )
= ∗ = ,
Re(Bi Ci ) Re(Bi Ci∗ )
δ = m(π/4) m = 0, 1, 2, 3 . . .
For m even, cos δ = ±1 and sin δ = 0, so that the layer is an integral number of
half wavelengths thick, and the matrix becomes
1 0
± .
0 1