Class 8

Optical Surface Errors

Zernike Polynomials
And other polynomials

Ref: IOMA Text

Chapter 3

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 Mechanical Effects on Optical Performance
Reflective Surfaces
Reflective
Rigid-Body Surface
Motions

Incoming
Elastic Surface
Wavefront
Distortions

Distorted
Wavefront

Refractive Elements

Rigid-Body & Elastic

Surface Errors

Distorted
Wavefront
Index Changes:
Temperature

Index Changes: Refractive Element

Stress

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 Integrated Optomechanical Modeling

FEA Model Surface Errors Interferogram File

Nastran, Ansys, Abaqus SigFit Polynomials or
Rectangular Array

Spot Diagram Point Spread Wavefront Error

Optical Model Function
CodeV, Zemax, Oslo, Glad Optical Performance Metrics

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 Surface Error (SE or SFE) & Wavefront Error (WFE)
Mirror WFE 2 SE
SE WFE

Planer
Incident Reflected
Wavefront Wavefront

Flat Reflective Reflective

Surface w/bump Surface

Window

SE WFE
WFE (n n' ) SE
Planer
Incident Transmitted
Wavefront Wavefront

SE - surface error
n - index of window
medium n - index of medium
Plate Parallel Plate
w/bump

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 Surface Deformations & Wavefront Error
Ray paths for Undeformed Surface
Surface deformations produce wavefront
n
error in the optical system
Reflecting
Incident Ray
Ray

Refracting
Undeformed Optical Surface Ray
Deformed Optical Surface
n

Refracting Surface: WFE = (ncos - ncos)SE Reflecting Surface: WFE = 2(SE)cos

Common
Approximation
nominal WFE=2(SE)
ray path
SE

perturbed SE
ray path
Ray path reflecting off
deformed surface

SE - deformation normal to the optical surface

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 Optical Surface Rigid-Body Motions (Average motion of Surface)
Rigid-body motions in six degrees-of-freedom
three translations & three rotations
despace, decenter, tip/tilt
Despace Decenter Tip /Tilt
for axisymmetric surface, can ignore rotation about the
optical axis

Computing rigid-body motions using FEA Models

CG
Rear
1) Represent optical element as single node & lumped mass Front
Vertex
Node
Vertex
Node
Node
FEA output yields rigid-body displacements only

Lumped Mass
2) For optical elements where 2D or 3D FEA models are used with many nodes
representing the optical surface have two options
FEA interpolation elements (e.g. MSC/Nastran RBE3) compute average rigid-body motions
do not use this approach for thermal loading due to radial growth

external software to perform best-fit rigid-body calculation using least-squares algorithm (see
Integrated Optomechanical Analysis Book)

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 Rigid Body Motion of Vertex = Average motion of optical surface

Tx, Ty = decenters, Tz = despace, Rx, Ry = tilts, Rz = spin, xi,yi,zi = node position, wi = area wt

y
Motion at node i d~xi T x z i R y y i R z x
y
x
Y
d~y i T y z i R x xi R z X z z
CodeV Zemax +
d~z i T z y i R x x i R y
y
Z Oslo z x Rest of World

x z
Define error: using corrected dz y

E wi (dxi d~
xi ) 2 wi (dy i d~
y i ) 2 wi (dz i d~z i ) 2
i

Min Error E
0 CodeV x & y tilts
Tx
converted to LHS
in seq file
Solve 6 simultaneous equations for R-B motion:

wT w z R
i
i x
i
i i y wi y i R z
i
w dx
i
i i (1 eqn of the 6)

Rigid-Body motion is always calculated and reported in Right-Hand system in SigFit.

Rigid-Body motion may or may not be subtracted depending on user choice

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Rigid-Body Errors in the Optical Model
Optical surfaces may be perturbed in 6-DOF in the optical model

Single Doublet Single

Element Tilt Element
Decenter Despace

Mechanical coordinate system must be related to optical coordinate system

be careful of left-handed CS rotations (CodeV) - and units (radians vs degrees)
default optical surface CS defined at the vertex
for off-axis optics, need to relate rigid-body motion at the physical optic to the vertex of the
parent optic (rigid-element connecting center to vertex) or modify default coordinate system

x PM
Mechanical CS
z at center of aperture
Three-Mirror PM
Anistigmat

SM Optical CS origin
TM at vertex
z

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 Y
Y
Rigid-Body Perturbations - Optical Model Coordinate Systems X
X

Optical system is normally described with respect to a chain of local

coordinate systems for each surface
X
X

Decentering or tilting an optical surface is done by tilting or decentering Y

the local CS in which the surface is defined

Y

CODEV Local
multiple tilts and decenters are cumulative Coordinate Systems

Decouple perturbations using decenters and return, global coordinates,

coordinate breaks (Zemax)

yi
xi
Rotationally symmetric Tilted / decentered y3
yi
system system y2 x3 image
y3 xi
x2
y2 x3 s3
y1 x2 y1
image y0 x1 Y s2
y0 x1
x0 x0

object object

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Zernike Polynomials for Elastic Surface Distortions (can include RB motion)
Popular approach to aid in the interpretation of optical test results
similar form to optical aberrations (Fritz Zernike, 1934)
orthogonal over circular aperture

Adopted by mechanical engineers to represent finite element results

simplifies data interpretation
results of thousands of grid points reduced to a few significant Zernike terms
verify & check results
e.g. thermal soak (focus, spherical aberration) or three-point mount (trefoil)
easy to remove terms and look at residual error
e.g. design of primary mirror: optimize design based on surface errors after tilt & power
removed if can be corrected by optical system

Pass data to optical design software (i.e. CodeV / Zemax)

surface displacements / wavefront error / stress birefringence
Other polynomials used for optical surfaces
2
aspheric polynomials z A0 A1r A2 r ... An r n

X-Y polynomials z A00 A10 x A01 y A20 x 2 A11 xy A02 y 2 ... Anm x n y m
Legendre, Legendre-Fourier Polynomials
[Ref. 2,3,4,5]

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 Zernike Polynomials
Constraints
Z (r , ) A00 An 0 R r R Anm cosm Bnm sin m
n
0 m
n n a) n - m must be even
n2 n 1 m 1
b) n m

Normalized
Radius r = dimensionless normalized radius, polar angle, Anm & Bnm - polynomial coefficients
r nm
r=1
m
2
R r 1
s n s ! r ( n2 s )
nm nm
n
s 0
s! s ! s !
2 2
Example: Zernike polynomials representing a set of surface errors
x, y a 0 a 11 a 2 2 a 3 3 a i i

a0 a1 a2
Surface Error 1 2

a3 ai
3 i Residual Error

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 Zernike Polynomial Terms & Shapes

Bias/Piston: 1 Tip/Tilt Power/Focus Pri-Astigmatism

rcos() & rsin() 2r2-1 r2cos(2) & r2sin(2)

Pri-Trefoil: Pri-Spherical: Pri-Tetrafoil:

Pri-Coma: r3cos(3) & r3sin(3) 6r4-6r2+1 r4cos(4) & r4sin(4)
(3r -2r)cos() & (3r3-2r)sin()
3

Sec-Astigmatism: Sec-Coma: Sec-Spherical: Pri-Hexafoil:

( 4r4-3r2)cos(2) & (4r4-3r2)sin(2) (10r5-12r3+3r)cos() & (10r5-12r3+3r)sin() 20r6-30r4+12r2-1 r6cos(6) & r6sin(6)

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 Ordering: Standard (CODEV) vs. FRINGE
Standard and Fringe Zernike Polynomials Standard Fringe Standard Fringe
Z01 Z01 Z44
Different sets, different orders, different normalizations Z02
Z03
Z02
Z03
Z45
Z46
Z04 Z05 Z47

Standard Zernike Polynomials Z05

Z06
Z04
Z06
Z48
Z49
Z07 Z10 Z50 Z34
unlimited number of terms Z08 Z07 Z51 Z35
Z09 Z08 Z52
two common orderings (CodeV & Zemax different) Z10
Z11
Z11
Z17
Z53
Z54
1) CodeV follows Born & Wolf (Amplitude normalization) Z12
Z13
Z12
Z09
Z55
Z56
Z14 Z13 Z57
2) Zemax follows convention from Noll (RMS normalization) Z15 Z18 Z58
Z16 Z26 Z59
Z17 Z19 Z60
Fringe Zernike polynomials are a subset of the Standard Z18
Z19
Z14
Z15
Z61
Z62
Z36

Zernikes (University of Arizona) Z20

Z21
Z20
Z27
Z63
Z64
37-terms Z22
Z23 Z28
Z65
Z66
Z24 Z21 Z67
Both CodeV & Zemax use Amplitude normalization Z25 Z16 Z68
Z26 Z22 Z69
different order than standard terms in CodeV or Zemax Z27 Z29 Z70
Z28 Z71
include higher-order symmetrical terms (r10 & r12); Z29
Z30
Z72
Z73
eliminates the higher-order azimuthal terms Z31
Z32
Z30
Z23
Z74
Z75
Z33 Z24 Z76
Zernike Standard Zernike Order Fringe Zernike Z34 Z31 Z77
Z35 Z78
Term CodeV Zemax Order Z36 Z79
Z37 Z80
r 2 cos2 Z04 Z06 Z05 Z38
Z39
Z81
Z82
Z40 Z32 Z83
r 2 sin 2 Z06 Z05 Z06 Z41
Z42
Z25
Z33
Z84
Z85 Z37
Z43

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 Zernike Pyramid Charts & Zernike Ordering
Standard Zernikes (Zemax ref. Noll)
sin cos
Fringe Zernikes (CodeV/Zemax) n/m 12 11 10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9 10 11 12
0 1
sin cos 1 3 2
n/m 5 4 3 2 1 0 1 2 3 4 5 2 5 4 6
0 1 3 9 7 8 10
1 3 2 4 15 13 11 12 14
n 5 21 19 17 16 18 20
2 6 4 5
6 27 25 23 22 24 26 28
3 11 8 7 10
7 35 33 31 29 30 32 34 36
4 18 13 9 12 17 8 45 43 41 39 37 38 40 42 44
5 27 20 15 14 19 26 9 55 53 51 49 47 46 48 50 52 54
6 29 22 16 21 28 10 65 63 61 59 57 56 58 60 62 64 66
7 31 24 23 30 11 77 75 73 71 69 67 68 70 72 74 76 78
8 33 25 32 12 91 89 87 85 83 81 79 80 82 84 86 88 90
9 35 34 m
10 36
11
Standard Zernikes (CodeV ref. Born & Wolf)
12 37 sin cos
n/m 12 11 10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9 10 11 12
*n + m constant along 'V' 0 1
1 3 2
2 6 5 4
n = radial wave number = Rn 3 10 9 8 7
4 15 14 13 12 11
m = circumferential wave number 5 21 20 19 18 17 16
= cos(m) and sin(m) 6 28 27 26 25 24 23 22
7 36 35 34 33 32 31 30 29
8 45 44 43 42 41 40 39 38 37
9 55 54 53 52 51 50 49 48 47 46
10 66 65 64 63 62 61 60 59 58 57 56
11 78 77 76 75 74 73 72 71 70 69 68 67
12 91 90 89 88 87 86 85 84 83 82 81 80 79

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 Normalization of the Zernike Polynomials
1) Amplitude normalization (CodeV / Born & Wolf convention)
all terms unit amplitude: e.g. Z = 1.0 at R = 1
RMS for axisymmetric terms = n 1
1

RMS non-axisymmetrical terms = 2n 1 1

2) RMS normalization (Zemax / Noll convention)
all terms: RMS = 1.0 at over circle Note: Zemax uses
factor on axisymmetric terms = n 1 Amplitude Norm
for Fringe Zernikes
factor non-axisymmetrical terms = 2n 1

Avoid Order and Normalization Errors: specify type (n & m) and normalization:
Amplitude normalization: 1 of focus => peak-valley = 2 RMS= 0.577
RMS normalization: 1 of focus => peak-valley = 2 3 RMS = 1.0

Normalization
Zernike Term Unit Amplitude Unit RMS
Focus (n = 2) 2r 2 1
3 2r 2 1
Spherical (n = 4) 6r 4 6r 2 1
5 6r 4 6r 2 1
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 Comparison of Power terms for different normalizations

ZRN1 = 1.732*ZRN

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 Normalization Radius affects coefficient magnitude

Zernikes are defined over a 'unit circle'

To get the unit circle, divide the real geometry by Rnorm = normalization radius
True Node position = j , Normalized Node position: rj = j / Rnorm
Thus Rnorm affects polynomial magnitude
polynomials useless unless know Rnorm
In SigFit, Rnorm is determined in priority order
1) User specified Rnorm
2) Determined by specified aperture Rnorm = Raper
3) Determined by max node position Rnorm = RmaxNode

Power 2r 2 1

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Alternative Zernike Representation - Magnitude, & Phase
Truncated Standard Set
Term n m Type
Terms may be represented in magnitude and phase 1 0 0 Piston
2 1 1 Tilt
each of the terms that are a function of the azimuthal angle, 3 2 0 Focus
, such as tilt, astigmatism, & coma have a cosine & 4 2 2 Pri Astigm atism
sinusoidal dependence 5 3 1 Pri Com a
6 3 3 Pri Trefoil
e.g. instead of X and Y-tilt terms, the magnitude and phase 7 4 0 Pri Spherical
(orientation) of the tilt is used 8 4 2 Sec Astigm atism
9 4 4 Pri Tetrafoil
10 5 1 Sec Com a
Zernike Tilt A11r cos B11r sin( ) where coefficients are Anm & Bnm 11 5 3 Sec Trefoil
12 5 5 Pri Pentafoil
(n=1, m=1)
13 6 0 Sec Spherical
y 14 6 2 Ter Astigm atism
15 6 4 Sec Tetrafoil
16 6 6 Pri Hexafoil
x 17 7 1 Ter Com a
18 7 3 Ter Trefoil

A11 r cos B11 r sin

19 7 5 Sec Pentafoil
20 8 0 Ter Spherical
21 8 2 Qua Astigm atism
22 8 4 Ter Tetrafoil
2 2
Magnitude A11 B11 23 8 6 Sec Hexafoil
24 8 8 Pri Octafoil
1 B
Phase tan 1 11
m A11 45 Terms compressed to 24

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 Computing the Zernike Coefficients
Fitting Zernike Coefficients to a Set of Finite Element Derived Data may
be performed using the following steps
1) Least Squares Error Function 4) Matrix Form H c p
E Wi i i 2 where H jk Wi ji ki & pj W
i i ji

i - node number
i = perturbation of the ith node 5) Solve for {c} the Zernike Coefficients
i = Zernike polynomial representation of the ith node
Wi = area weighting of the ith node
cj - Zernike coefficients 6) Compute RMS Fit Error
how well do the Zernike Polynomials
2) Zernike Polynomial Displacements fit the data

i c j ji E W c
i i j ji
2

i - node number Wi = Weighting Factor

cj - Zernike coefficients use for non-uniformly spaced grid
ji - Zernike polynomials points / varying grid density
each node weighted by the fraction
3) Minimize Error of total area it represents
for a relatively uniform spaced grid
W c
E
2 i i j ji ji 0 use Wi = 1
c j

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 Why Zernike Fitting?

To pass FE results to optics programs

convert nodal displacements to something optics programs can read

Simplify data interpretation

Thousands of displacements represented as a few terms

To decompose surface distortions optically relevant terms

Rigid-body motion (which may be re-aligned to correct)
Power (which may be re-focused to correct)
Other terms (which can NOT be easily corrected - unless adaptive)

To help analysts understand FE model

Power => may be effect of mount radial location
Trefoil, Hexafoil => 3 point mount effect
Tetrafoil => square-cell core effect, Hexafoil => hex-cell core effect
Tetrafoil, Pentafoil => for axisym load may point at modeling errors

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 Example: Flat Turning Mirror in 1g at 45 deg

Mirror on Delta Frame

Deformed - Side View

Elastic motion masked by rigid body

motion which will be corrected by
pointing action.

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 FE Raw Displacement (Normal) RMS=95 Best-Fit Plane Removed in SigFit RMS=2.3

BFP and Power Removed in SigFit RMS=1.6 All Terms Removed in SigFit RMS=0.03

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 Example: Zernike Fit Table

Sigmadyne, Inc. SigFit Version=v2003-r1 17-Feb-03 14:02:09

------------------------------------------------------------------------------
Order Aberration Magnitude Phi Residual Residual
K N M (Waves) (Deg) RMS P-V
Input(wrt zero) 95.6034 91.1636
1 0 0 Bias 92.29817 .0 24.9243 91.1636
2 1 1 Tilt 49.61448 179.9 2.2775 10.0795
3 2 0 Power (Defocus) -2.81611 .0 1.5887 8.1731
4 2 2 Pri Astigmatism .03751 89.8 1.5886 8.1791
5 3 1 Pri Coma .01434 -180.0 1.5886 8.1862
6 3 3 Pri Trefoil 4.43376 0.0 .2369 1.3379
7 4 0 Pri Spherical .33960 .0 .1782 1.1849
8 4 2 Sec Astigmatism .00891 0.0 .1781 1.1890
9 4 4 Pri Tetrafoil .01092 0.0 .1781 1.1760
10 5 1 Sec Coma .00038 0.0 .1781 1.1764
11 5 3 Sec Trefoil .43847 -60.0 .1203 .7565
12 5 5 Pri Pentafoil .00226 -.1 .1203 .7596
How good is fit?
13 6 0 Sec Spherical -.00403 .0 .1203 .7596 Residual shows
14 6 2 Ter Astigmatism .00037 -90.0 .1203 .7599 what NOT
15 6 4 Sec Tetrafoil .00124 0.0 .1203 .7599 representd by
16 6 6 Pri Hexafoil .42821 -30.0 .0379 .3101 polynomials.

Wave Numbers Poly Coefficient Residual RMS and P-V

Common
N=radial and clocking after Each polynomial
Name
M=circumf to 1st high point removed

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Orthogonality of Zernike Polynomials
Form orthogonal set over normalized circular aperture
no combination of other terms can equal a given term i.e. terms are independent
deleting / adding terms does not change the value of the other coefficients
orthogonality holds for continuous data but not for discrete data

Discrete Data: Uniform vs. Non-Uniform

coupling increases when the finite element mesh is non-uniform Isomesh

Non-circular geometry (loss of orthogonality)

data must be fit to interior of circle that just encloses the non-circular aperture
(exist regions of no data to constrain the polynomial)
do exist other polynomials & fitting routines for non-circular geometry to Irregular mesh
maintain orthogonality (annular Zernikes)

surface data
Elliptical Obscured
Aperture Aperture
no data

What if the Zernike terms are not orthogonal

removing terms changes the value of the other coefficients & terms lose some of their meaning
overall fit is NOT less accurate i.e. rms and p-v still accurate, Poly coeff still represent surface
[Ref. 7]

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 Orthogonality of Zernike Polynomials - cont
Mathematically two functions, 1& 2, are orthogonal if the area of the product of
the two functions over a unit circle is zero
1 2

rddr 0
0 0
1 2

1
e.g. piston and focus 2 1
2 1 2r 2 1 rdr 2 0
0 4 2

e.g. spherical and astigmatism

1 2 1

6 r
6 r 1 ( 2 r cos 2 ) rdrd ( 6 r 7 6 r 5 r 3 )( 0 0 )dr 0
4 2 2

0 0 0

Loss in orthogonality if aperture non-circular or non-full

e.g. circular aperture with central hole / focus & piston terms

1
2 1 .0032 .04

2 1 2r 2 1 rdr 2
4 2 4

2
0.12 0
0. 2
Obscured Aperture

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 Orthogonality of Zernike Polynomials - cont

Some orthogonality of Zernike polynomials also lost when fitting terms to discrete
data such as from a FEA displacements

The condition of orthogonality for discrete data becomes

k
1k 2 k Ak 0
where Ak is the area associated with each node (= Area weighting)

Comparsion of orthogonality for piston (0), focus (1), and spherical

aberration (2), using varying mesh densities
K = number of equally spaced radial integration points (nodes).
as K increases and converges to continuous data, terms become uncoupled
K 0 1 0 2 1 2 In Zernike Fit, the coefficient matrix = H
10 .00500 .01990 .02460
20
50
.00125
.00020
.00499
.00080
.00623
.00100
H c p
100 .00005 .00020 .00025 H jk Wi ji ki
200 .00001 .00005 .00006
500 .00000 .00001 .00001
1000 .00000 .00000 .00000
For pure orthogonality, off-diagonals
must be zero.
Reference: Genberg, Michels, Doyle, "Othogonality of Zernike Polynomials", SPIE Paper # 4771-33 July, 2002

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 Annular Zernike Polynomials
Orthogonal over annular aperture
Annular
continuous data (not for discrete data, unless very dense) Aperture
circular aperture (not polygon aperture)
surface data
see ref. Mahajan
NOT available in CodeV, Zemax, Oslo no data

Annular Zernikes need both rmax and rmin

normalized radius r (r = 1 at max radius)
annulus ratio = rmin/rmax

Spher
5
1 2
6r
4

6 1 2 r 2 1 4 2 4 set = 0

Spher 5 6r 4 6r 2 1

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 Elliptic Zernike Polynomials (not in CodeV or Zemax)
Elliptic coordinates = Polar coordinates = r, Replace polar coord with
elliptic in Zernike Equations
2 2
cos sin R
r arctan A tan
A B
R R RB
Power

RB

RA

Astigmatism

Plan view in XY plane (NOT iso view)

RA = 1.0, RB = 0.5

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 Optical Modeling of Elastic Surface Deformations
1) Zernike Polynomial Surface Definition (CodeV & Zemax) = Redefine surface
Elastic sag displacements fit to polynomials added as perturbations to base surface
sag
cr 2
z a i Zi Other polynomial
1 1 1 k c r
r 2 2
types allowed:
z XY, Aspheric
Base Surface Surface Error represented
by Zernike Polynomials

c = curvature = 1/RoC Z = unit polynomial

k = conic constant a = coefficient This option
redefines the
CODEV 10th-order Standard Zernike polynomial (66-terms)
original surface
ZEMAX 20th-order Standard Zernike polynomial (231-terms)
accuracy: Zernike fit residual error

a0 a1 a2
Surface Error 1 2

a3 ai
3 i Residual Error

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 Optical Modeling of Elastic Surface Deformations - continued
2) Surface Interferogram Files (CodeV) = add .int files to existing definition
represent small perturbations to an optical surface using surface normal data
Zernike polynomial format (Standard or Fringe)
unlimited number of terms
accuracy issue: residual fit error / use of surface normal
Grid format: uniform rectangular array of data
interpolate data at FEA node points to uniform grid
optical ray tracing interpolates for rays between uniform array Uniform Grid

This option
Interferogram File Examples adds perturbation
y
Zernike Format Grid Format to original surface
! Sigmadyne, Inc. SigFit ! Sigmadyne, Inc. SigFit
z ! Zernike Polynomial Coefficients ! Surface= 1 Optic-Id= 1 OpticLabel=primary mirror
! INR S01 6.5740E+02 ! INR 2.5882E+00
S01 L02 1G -Z S01 L01
ZRN 9 SUR SSZ 1.0 WVL 0.63
GRD 5 5 SUR WVL 0.63 SSZ 1.00E+02 NDA 32767
-5.86169E-02
32767 32767 32767 32767 32767
7.89198E+00
32767 32767 567 32767 32767
-5.99984E-01
0.00000E-01 32767 222 345 321 32767
1.39644E-01 32767 32767 234 32767 32767
Surface Normal Direction 2.49190E-01 32767 32767 32767 32767 32767
of Optical Surface 0.00000E-01
0.00000E-01
-3.45566E-01

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 Optical Modeling of Elastic Surface Deformations - continued

3) Grid Sag Surface (Zemax) = add .dat file to existing definition

uniform array using sag displacements and/or slope data
accuracy issues
interpolate data at FEA node points to uniform grid
optical ray tracing interpolates for rays between uniform array

zij zbase z ( xi , y j ) z z 2 z
z , , ,
x y xy Uniform Grid

Grid Sag Surface Format This option

sag Header: #X, #Y, dX, dY, Unitflag, XDE, YDE
adds perturbation
401 401 0.30000E-01 -0.30000E-01 2 0.00000E+00 0.00000E+00
to original surface
r 1.158102E-06 -2.345126E-08 2.400100E-06 -1.828496E-08
1.157576E-06 -1.165541E-08 2.399672E-06 -1.025381E-08
1.157402E-06 -7.655202E-11 2.399485E-06 2.224779E-09
z 1.157576E-06 1.165601E-08 2.399672E-06 1.025580E-08 Data
1.158102E-06 2.345181E-08 2.400100E-06 1.828683E-08
1.158984E-06 3.531085E-08 2.400769E-06 2.631786E-08
1.160222E-06 4.723313E-08 2.401679E-06 3.434889E-08

z z 2z
z
x y xy

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 Optical Modeling of Elastic Surface Deformations:
Polynomial surface vs. surface interferogram files
best option is the polynomial surface if get accurate polynomial fit
accuracy of interferogram files depends on curvature of surface
have ~2% error for f/1.5; error decreases with higher f/# = flatter surface
offer advantages in user I/F; more Zernike terms than polynomial surface
Polynomial surface vs. Uniform array
problem dependent (polynomial fit); arrays greater than 400 x 400 ~ 1% error
Separate rigid-body motions and elastic surface errors
'Best' modeling approach dependent on surface curvature, accuracy, preference
Surface Interferogram Files: RMS Spot Size Percent Error Grid Sag Surface: RMS Spot Size Percent Error

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 SigFit - Surface Deformation Issues - Radial Correction

Finite Element results predict the WRONG behavior for a curved optic under an
uniform temperature increase. If T > 0, then RoC should increase in this example.

FE Z displacements = dz Radially corrected displacement = dz

=> RoC decreases => RoC increases

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 Optical Surface Deformations Sag Value vs. FEA Z-Displacements Sag

Sag change is not equal to the FEA Z-displacement Z if the node y

is displaced in the radial direction
z
Computing the change in sag, Sag:
SagL from nominal node position (excellent approximation)
Modify Z to get sag at ro Fit to SagL at ro (linear and scaleable)
z (ro )
Sag L Z r
r
SagNL from displaced node position = r (exact) r ' ro r
Modify Z and r. Fit to SagNL at r Sag NL z Sag (ro ) Sag (r ' )
nonlinear => not scaleable

Sag displacements for vertex mounted surface subject to uniform increase in temperature

original
SagNL
node position
(zo,ro)
undeformed shape FEA computed Z

SagL displaced node

position = r
z deformed shape
r
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 Some other Polynomials which may be fit to conventional, circular optics

Aspheric polynomials - axisymetric

* supported by CodeV, Zemax, Olso
* NOT orthogonal (causes large coefficients, alternating signs, poor stability)
* May be Even Only, or Both even & odd terms.
* Odd powers have discontinuous slopes at central axis (r=0)

z A0 A1r A2 r 2 ... An r n

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 Some other Polynomials which may be fit to conventional, circular optics

Forbes QCON polynomials- general asphere axisymetric, even only, start at r4

* supported by CodeV, Zemax
* Orthogonal, good stability
* No Bias (r0) or Power (r2) terms. (SigFit adds these terms)

cr 2 J

a Q [r / r ]
2
z (r ) ( r / rmax ) 4
j
con
j max
1 1 (1 k )c 2 r 2 j 0

n = power on r
j= QCON index

n 42j

Ref 10
Plots of 4 Qjcon( 2) where =r/rmax

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 Some other Polynomials which may be fit to conventional rectangular optics

XY polynomials:
* supported by CodeV, Zemax, Olso
* NOT orthogonal over rectangle
* single normalizing radius

z A00 A10 x A01 y A20 x 2 A11 xy A02 y 2 ... Anm x n y m

Legendre polynomials:
* NOT supported by optics codes
* Orthogonal over rectangle
* independent normalizations in X and Y

N M
z cnm Pn ( x) Pm ( y )
n 0 m 0
K k

Pn x 1 n
2n 2k ! x n2 k K k

Pn y 1
2m 2k ! y m2 k

k 0 2 k!n k !n 2 ! k 0 2 m k!m k !m 2 !

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 Legendre Polynomials

Legendre Polynomials of degree n given by Pn(z)

Pn z 1
K k
2n 2k ! z n2 k
Pn z
2n ! zn
2n 2! z n2
...
k!n k !n 2 ! 2 n! 2 1!n 1!n 2!
2 n
2 n n
k 0

where K = n/2 or (n-1)/2 whichever is an integer

P0 z 1;
P1 z z ;
1
P2 z 3 z 2 1;
2
1
P3 z 5 z 3 3 z
2
1
P4 z 35 z 4 30 z 2 3;
8
1
P5 z 63 z 5 70 z 3 15 z
8

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 Legendre Polynomials (2-d)

N=0
M=0 N=1
M=0

N=2
N=3
M=0
M=0

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 Legendre Polynomials (2-d)

N=1 N=2
M=1 M=1

N=3
M=3 N=4
M=3

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 Some other Polynomials which may be fit to cylindrical optics
* Grazing incidence, near-cylindrical, X-ray optics

Fourier-Legendre polynomials - for full cylinders

* NOT supported by most optics codes
* Orthogonal over unit cylinder
N M
f ( z , ) Pn ( z ) Anm cos(m) Bnm sin( m)
n 0 m 0
K
Pn z 1
k
2n 2k ! z n2 k
k 0 2 n k!n k !n 2 !

Legendre polynomials in Z and Q for cylindrical panels (not full cylinder)

* NOT supported by optics codes
* Orthogonal over cylindrical sector
N M
f ( z , ) cnm Pn ( z ) Pm ()
n 0 m 0
K k

Pn z 1 n
2n 2k ! z n2 k K k

Pn 1
2m 2k ! m2k
k 0 2 k!n k !n 2 ! k 0 2 k!m k !m 2 !
m

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 Fourier-Legendre Polynomials

Surface
X-Ray
Normal

Positive polynomial
displacement is in
positive normal direction

Near-cylindrical optics
Grazing Incidence

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 Cylindrical Optics = Grazing Incidence (for X-Ray)

Continuous Mirror Segmented Mirror

Fit with Fourier-Legendre Poly Fit with Legendre Poly

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 Fourier-Legendre Polynomials (M=0)

N=0, M=0 N=1, M=0

Avg-R
Delta-R

N=2, M=0 N=3, M=0

Axial sag

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 Fourier-Legendre Polynomials (M=2)

N=0, M=2 N=1, M=2

Roundness

N=2, M=2 N=3, M=2

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 If Polynomials not a good fit, interpolate to a Uniform Grid
Accuracy in interpolation critical for high performance optical systems
particularly near rapidly varying displacements
e.g. localized regions around mount areas, quilting of lightweight mirrors
Shape function interpolation
uses same polynomials used in the FE solution for interpolation
cubic based on translations and rotations of element in which ray falls

FE Displacements
Interpolated to 401x401 array

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2011
 Integrated Modeling Flow Chart
Thermal Thermal
Model Loads

System Temperature
Distribution

Mechanical Finite Element

Loads Structural Model

Optical Element Optical Element

Surface Stress Optical Element
Displacements Distribution Temperature
Distribution
SigFit SigFit SigFit SigFit SigFit
Higher-Order Index Change: Birefringence: Index Change:
Rigid-Body
Surface Wavefront Polarization Wavefront
Motions
Deformations Error Errors Error

Optical Analysis
Model

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References

1) Doyle, K. B., Genberg, V. L., Michels, G. J., Bisson, G. R., "Optical modeling of finite element surface displacements using
commercial software", Proc. SPIE Vol. 5867, Bellingham, WA (2005).

2) Genberg, V. L., Structural Analysis of Optics Handbook of Optomechanical Engineering, CRC Press (1997).

3) Malacara, D., Optical Shop Testing, John Wiley and Sons, Inc., 1978.

4) Born, M. and E. Wolf, Principles of Optics, Pergamon Press, New York, 1964.

5) R. Noll, "Zernike polynomials and atmospheric turbulence", J. Opt. Soc. Am., Vol. 66, No. 3 p. 207 (1976)

6) Genberg, V. L., "Optical Surface Evaluation", in Proc. Structural Mechanics of Optics, Vol. 450-08, SPIE, Bellingham, WA, 1983.

7) Genberg, V. L., Michels, G. J., Doyle, K. B., Orthogonality of Zernike Polynomials, Proc. SPIE 4771, Bellingham, WA (2002).

8) V. N. Mahajan, "Zernike annular polynomials for imaging systems with annular pupils", J. Opt. Soc. Am., Vol. 71, No. 1, p.75 (1981)

9) Doyle, K. B., Genberg, V. L., Michels, G. J., Integrated Optomechanical Analysis, SPIE Tutorial Text, SPIE Press, 2002.

10) G. W. Forbes and C. P. Brophy, Asphere, O Asphere, how shall we describe thee, Proc SPIE Vol 7100, 710002-1 (2008)

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