C. B.

Zarowin

Vol. 11, No. 10/October 1994/J. Opt. Soc. Am. A

2571

Robust, noniterative, and computationally efficient modification of van Cittert deconvolution optical figuring
C. B. Zarowin*
Research Department,Hughes Danbury Optical Systems, Inc., Danbury, Connecticut 06810 Received February 17, 1993; revised manuscript received February 22, 1994; accepted February 23, 1994 A modification of van Cittert deconvolution (VCD) is introduced and shown to yield a robust, noniterative (or closed-form), and numerically efficient method of deconvolution. This modification removes the restrictions limiting the applicability of conventional VCD only to shapes and relative positions of the convolved functions for which it converges, while also avoiding the ill effects of zeros in these functions. The resulting method is computationally efficient because it is noniterative and uses the fast Fourier transform. In contrast to the convergences obtained with VCD, those obtained with this modified method are ensured by their expansion in terms of an introduced auxiliary function rather than the convolved functions. This permits both the general removal of the above limitations and arbitrarily accurate deconvolution of infinitely sampled input data even in the presence of input data noise. For discretely sampled input data the accuracy of this modification is shown to be limited only by the implicit bandwidth of the input data density. To exemplify its numerical and analytical advantages, I apply the method to computer control of optical surface figuring. I also demonstrate an intrinsic means of optimal frequency filtering of raw input data made available by this modification. The advantages of this procedure are also applicable to image restoration.

1.

INTRODUCTION
1

The original iterative van Cittert deconvolution (VCD) has been shown by Hill and Ioup2 to be restricted to convolved functions for which this procedure converges. On the other hand, as these authors show, many convolved functional shapes and their relative positions interfere with its convergence. While they explore the origins2 of such divergence and for certain cases offer ways of modifying the functional forms that cause it, they propose no general means of overcoming these restrictions. In summary, the convolved functions for which VCD diverges and for which its use is perilous are, among others, 2 those that have a discontinuous edge, e.g., a top hat; those with arbitrary relative positions; and those for which the maximum ordinate is not at the origin, e.g., a functional shape that has a minimum at the origin between peaks. Our objective is to obtain a noniterative modification of VCD that removes these restrictions, first showing that this modification is consistent with closed-form or noniterative deconvolution using the multiplicative algebraic properties of Fourier transforms (FT's) for convolutions. 3 To elucidate the cause of these restrictions, we rederive VCD from a slightly different viewpoint, showing that it is equivalent to the series expansion of the FT of the reciprocal of a convolved function from that about zero, where a singularity occurs, to that about unity, which excludes this singularity; that is, it is equivalent to a series expansion about the convolutional identity element, unity in spatial frequency space or the delta function in coordinate space. Its equivalence to the description of VCD by Jansson 4'5 is noteworthy: "van Cittert recognized that" one of the deconvolved functions "could be considered" ... "a first approximation" in his deconvolution method. From a clarification of the basis of these restrictions we propose to obtain a numerical deconvolution procedure that is robust because it avoids the convergence depen0740-3232/94/102571-13$06.00

dence on the convolved functions and the singularity that occurs when one of the convolved functions reaches zero at some spatial frequency. This modification of VCD will be seen to be computationally efficient because it is noniterative and uses the fast Fourier transform (FFT). Finally, although the modification introduced here grew specifically from our exploration of the behavior of the VCD method, it appears that it is a particular implementation of a more general regularization of ill-posed Fredholm integral equations, 6 7 of which the convolution equation [Eq. (la)] below is an example. Of the many applications 4 5 that require solving a convolution equation for one of its convolved functions, our interest arose out of the need to determine reliably and accurately the dwell time map (x, y) that produces a given material thickness correction map Aho(x, y) for a given (tool) vertical removal rate map (x, y) over the surface area S0 for which Aho(x, y) is defined. For example, we require such a deconvolution in order to obtain the dwell time map for the mechanical polishing tool of computer-controlled polishing 8 or for the removal tool of plasma-assisted chemical etching,9 giving either the tool dwell time or the velocity that it must travel at each point of the map to achieve the required correction. The relation between these quantities is defined by a convolution equation:

Aho(x, y)So = ff i(x - x', y - y')T(x', y')dx'dy',

(la) which requires that the tool vertical removal rate map i(x, y) be convolved (or generically scanned over the running coordinates, x' and y'), weighted by the dwell time r(x, y) that we require for generation of the necessary correction map Aho(x, y) at each point over an area So. A
1994 Optical Society of America

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C. B. Zarowin

negative tool removal rate implies an additive rather than a subtractive process. If, of a variety of possibilities, we choose to implement physically the generic convolution with an x-y scan, i.e., with So = lly, scanning along x and stepping along y by Ay, the convolution equation (la) becomes

By defining the tool's (static) volume removal rate V

ffso (x, y)dxdy, we may normalize the tool removal rate

i(x, y) (positive for a subtractive process and negative for an additive process), so that the integral of the resulting tool shape factor f (x, y) = i(x, y)/V over the area So is

Y. Aho(x, y)
i X
x

II
F(k., y) =
"SO

so

f (x, y)dxdy

= 1.

(2)

[ix' fYlxlx'}y.'
[r(x', yi')Ilxlyldx' Ay',

(lb)

The spatial frequency characteristic F(kX, ky) of the tool shape factor f(x, y) is given by its Fourier transform: f(x, y)exp[-i(kxx + kyy)]dxdy, (3)

with step indices i = 1, 2, ... , m. Defining the tool scan velocity along x as v(x, yi) = 1x/r(x, yi) (lc)

yields the convolution equation in terms of the tool scan velocity v(x, yi) rather than the dwell time T(x, yi):

>

Aho(x, yi) = Vly Y-

f(x - x', yi) (Id)

where k y are the spatial frequencies along x and y, so that Eqs. (2) and (3) can be shown 3 to satisfy 0 c JIF(k, ky)l s IF(0, 0)1 = 1. From the Fourier convolution theorem3 we can write the convolution equation [Eqs. (1)] describing the surface shaping in terms of FT's similar in form to that of Eq. (3): AHo(kx, ky) = FT[Aho(x, y)], T(kx, ky) = T[T(x, y)], F(kX, ky) = FT[f(x, y)], and AHo(k,, k,)S0 = F(k., k,)T(k., k), (4a)

X [1/v(x', Yi')]dX'}Y'.

Given maps of the departure of a surface from its desired shape (the required correction) and of the removal rate of a tool, we require that unique map of the dwell time or the scan velocity of the tool that yields the desired figure correction. Deducing the dwell time requires solving the above convolution equation, for which, in 1931, van Cittert' described a method (VCD) that iteratively extracts a successively more accurate approximation of a one-dimensional equivalent of the dwell time map r(x, y) in our example. Thus Eqs. (1) are an exact (volume) correction over the area So, which has been shown' to be solvable for r(x, y) to any approximation in a finite number of iterations, in either a coordinate or a Fourier implementation of VCD, so long as the procedure converges and the consequences of zeros in f(x, y) are avoided.

effectively showing that IF(k,, k,)l is the tool efficiency for removing spatial frequencies (ks, ky) and that, at those spatial frequencies, the product of the tool shape factor FT and the dwell time FT is set by AHo(k., k,)So/V. For example, when the tool efficiency is zero at spatial frequencies (kr, ky), or IF(k., k,)l => 0, the required dwell time for a finite required correction FT, AHo(k, ky), becomes infinite, or T(kX, k,) => A, whereas, when IF(kX, k,)I X 1, the tool reaches its maximum efficiency in removing these spatial frequencies, or the dwell time required is a minimum. Further, since AHo or Aho(x, y) and F or f(x, y) are given, we solve for T or (x, y): T(k,, ky) = AHo(kx, ky)So/VF(k, ky), (4b)

2. SERIES FORM OF VAN CITTERT ITERATION

With the objective of finding a modification that overcomes the convergence restriction stemming from the nature of the convolved functions, we rederive the series equivalent to VCD from a slightly different perspective; without such a modification, we will see that this results only in a method identical to the frequency space FT iterative form of VCD outlined in Appendix A and to the coordinate space form in Appendix B. As we will also see below, the advantage of the frequency space FT is that the convolved integrands in Eqs. (1) become algebraic as a consequence of the Fourier convolution theorem, 3 permitting a noniterative (or closed-form) asymptotic approximation of the deconvolution to any accuracy for infinitely sampled input data. The following (re)derivation will be seen to miuggeit an artifice for avoiding the, restrictions on the shapes and the relative positions of the convolved functions to ensure that VCD converges while, at the same time, avoiding the ill effects of zeros in the convolved functions.

manifesting a singularity at Fl = 0. Since Eq. (4b) is implicitly an expansion of 1/F about (and including) this singularity, one desires a way of obtaining a series expansion that excludes it. Remembering that a delta function tool shape factor f(x, y) has a FT[ff(x, y)] = F(kx, ky) = 1 guarantees a valid (but trivial!) deconvolution; i.e., the delta function is a convolutional identity operator when F = F8 = 1, or (V/So)F8 T 8 = (V/So)T, = AHo(k., ky). As was suggested above, this is equivalent to van Cittert's starting approximation, which one makes by taking the first term in a series or an iterative expansion of the dwell time deconvolution as the required correction AHo(k, ky). Taking advantage of this property, we shift the expansion of 1/F from that about zero to that about 1/F8 = 1, 1/F = 1/[1 - (1 - F)] = Y (1 - F)P,
p=l

(5a)

and obtain an infinite series that converges if 11 - Fl < 1. Note that the singularity is now excluded. Thus the dwell time FT is T(k., ky) = Ts p=1
E

(1- F)P

(5b)

The addition of the subscript to T(k,, ky) =

Ho

C. B. Zarowin

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2573

(ks, ky)So/VF(k, ky) emphasizes that this is an exact (or infinitely iterated) dwell time FT. The infinite sum in Eq. (5b) can be further partitioned into a finite sum and a residue:
n-1

given by the difference between the required correction AHo(k., k,) and the nth approximate correction residue AHnR(kx, ky)H

Rn(k.,, ky)

AHo(k., ky) -AHn(k.,

y) (6g)

E(1 -F)P = E (1 -F)P + E(1 -F)P, p=1 p=1 p=n

= AHo(kx, ky)[1 - (1 - fln],

yielding

Z (1-F)P = [1 p=1

-(1 -F)]/F+ Yj (1-F)P,

p=n

x~~~~~~~n

(5c)

since the first (finite) sum is a geometric series. Thus the exact (infinitely iterated) dwell time FT from Eq. (4b) is Tc(kx, ky) = [AHo(k., ky)S 0 /VF] x [1-(1- F)n] + F
p=n

(1-F)P

(6a)

from which we identify the nth virtual (closed-form) iteration (or approximation) of the dwell time FT as Tn(k,, ky) = T.(kx, ky){1
-

whose inverse FT then yields the coordinate space removal equivalent r(x, y); note that, as n X , Eq. (6g) yields R(kx, ky) = AHo(k., ky), i.e., the exact (or infinitely iterated) removal necessarily becomes the required correction. For a given input data pair the FT of the required correction map Ho(kx, ky) and the tool shape factor F(k., ky), the number of virtual (or noniterative) iterations n that we require for a given residue to be achieved at each spatial frequency k = (kx + k 2)- 2 AHn(k) is uniquely determined by Eq. (6f). Among other possibilities, one might choose to identify the number of these virtual iterations n that we require in order to achieve the rms residue over all spatial frequencies
1S12

[1

F(k., ky))]},

(6b)

Lmsn ASO '(1 ' since, by Parseval's theorem, 3

rms(n) = (1/2r)[ (/So)

~'xy(a j~nX

where AHo(k., ky)So[F(kx, ky)V] = Ta(kx, ky). The nth virtual iteration of the coordinate space dwell time map rn(x, y) can be obtained from its inverse FT:
Tn(X, Y) = ffkky

T(kx, ky)exp[i(kxx + kyy)]

(6c)
X

ff
fOf
) 2n

|iAHn(kx, k) 2

x dkxdky/(2(6c)2)

dkxdkx

( (7b)

and the dwell time residue FT is ATn(kx, ky) = T.(kx, ky)F

p=n

and, with Eq. (6f),

Z.(1 -

F)P.

rms(n) = (1/2 w) (/So)

X

1^AHo(kx k)
1/2

As required, the exact dwell time FT is the sum of the nth virtual iteration and its residue: T.(kx, ky) = T(k., ky) + ATn(k., ky), (6d)

11 -F(kx, k

dkxdkx

>

(7c)

permitting us to express the dwell time residue FT, ATn(k., ky), in closed form: ATn(k,, ky) = T(kx, ky) - Tn(k., ky)
= T,(kx, ky){1 = T.(k., ky)(1

-[1 - (1 - F)n]l
-F)n.

(6e)

As n approaches infinity, the dwell time FT residue approaches zero as long as 11 - Fl < 1. Recognizing that the nth iterative correction residue FT, AHn(kx, ky) = VF(k,, ky)ATn(kx, ky)/S 0, we can obtain this quantity explicitly:

AHn(kx,ky) = AHo(k., ky)(1

F)n,

(6f)

as well as the equivalent coordinate space nth iterative correction residue from its inverse FT, Ahn(x, y) = FT[AHo(kx, ky)]. One may also recognize the nth approximation of the FT of the removal, Rn(kX, ky), to be

showing that the rms correction residue depends only on AHo(kx, ky), F(kx, ky), and n for infinitely sampled input data; i.e., the integration is over all k in Eq. (7c) and always approaches zero as n => . In contrast, for finitely sampled input data the rms correction residue does not (necessarily) approach zero because the data density of the input data for Aho(xi, yi) and f(xi, yi), i = 1, 2, ... , m, effectively band limits their spatial frequency content, as implied by Eq. (7c). This stems from the Wittaker-Shannon sampling theorem, 3 requiring that a band-limited function AHo(kx, ky) or F(kx, ky) be zero above kmaX = x = m. irux and kmaX = 7r/Ay = myrly. The surface is uniquely representable only when it is at 2kmax and 2kymax (the Nyquist frequencies) with data input maps of (2mx)(2my). Conversely, if we sample with (2mx)(2my) points, correction beyond spatial frequencies kmax and kmaX is empty. A plot of rms(n) calculated for * = my = 33, 49, and 65 data matrices for Aho(xi, y) and f(xi, yi) is given in Fig. 8 below and shows the asymptotic convergence of these residues to a smaller rms as the data density mx = my increases.

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C. B. Zarowin

pansion with an auxiliary function W(k), as follows:

1/F = (1/F)(W/W) = (W/F){1/[1 - (1 - W)]}

0.8 0.6 0.4 0.2

= (WF)p=l (1 - WYI

(8a)

where the only requirement is that I1 - WI < 1 [note that this also implies that W(k) # 0, the other requirement for validity]. Thus, in terms of an arbitrary but wellbehaved auxiliary function W(k), whose definition will be explored further below, the dwell time FT [Eq.(6b)] can be rewritten as
20 40 60 80

Fig. 1. Plot of F(k), 1 - F(k), AHo, and AHo(1 - F)n.

To(kX, ky) = [AHo(k., ky)So/FV]W

p=

E1

(1 - W)P.

A plot of the integrand in Eq. (7c), AHO(l - F)n, for an assumed AHo and F shown in Fig. 1 demonstrates that rms(n) approaches zero more rapidly for low spatial frequencies and considerably less rapidly at higher spatial frequencies. Thus suitable prefiltering of the spatial frequency content of AHo offers the potential of efficaciously removing its less accessible higher spatial frequencies, to the extent that this is advantageous, and may thus yield a smaller dwell time spatial frequency response to achieve a given rms residue. This will be demonstrated below for a case in which raw input data contain artifact high spatial frequencies that are due to data edges that are inaccessible to the tool, where the computational efficiency of this approach is used to presmooth the raw data. While the resulting correction will then be valid only for the smoothed initial shape, one can often achieve moderatefidelity corrections by using this technique without timeconsuming data-edge extensions. A comparison of the appropriate expressions in Appendix A shows that such a truncated series is completely equivalent to the frequency or coordinate space recursive van Cittert process.

(8b) Performing the same simplifications that yielded Eqs. (6) gives Tn(kx, ky) = T(kX, ky){1 - [1 - W(k)]} AHn(kX, ky) = AHo(k, k)[1 -W(k)]n' (8c) (8d)

showing that the convergence of Eq. (8c) can be achieved by the choice of an auxiliary function W for which both 11 - W(k)I < 1 and nW/F < oo. We explore the former next, and the latter will then be shown to be achievable even when IF(k)I => 0 with a suitable choice of W. The convergence requirement 11 - W(k)I < 1 can be rewritten as 11 or WW* < (W + W*), where W* is the complex conjugate. this becomes
Wr 2 -

2 W1 = (1 - W)(1

W*)

1 +WW* - (W + W*) < 1

(8e) With W
= Wr + iWi,

2W

+ 1 + Wi2 = (Wr - 1)2 + Wi2 < 1,

(8f)

3. REMOVING THE RESTRICTIONS THAT ARE DUE TO THE NATURE OF THE DECONVOLVED FUNCTIONS
Having reconstructed VCD from this slightly different perspective, we now use the same procedure to address the objective of removing the restrictions imposed by the convergence requirement. F(k) = IF(k)Iexp[-i'k(k)] does not generally satisfy the convergence inequality 11 - F < 1 for all k. As shown in Ref. 2, these restrictions may arise from the shape of the tool shape factor f(x, y) and its position relative to the dwell time r(x, y) [or, equivalently, F(kx, ky) and T.o(kX, ky)]. Unsurprisingly, although its cause is not so manifest in its coordinate space implementation, VCD also suffers from the same restrictions on account of the shape and the relative position of the convolved functions. The procedure leading to Eqs. (5) implies a general way of avoiding the above limitation, which we now show

which is plotted in Fig. 2. This plot of the imaginary part of W (Wi) versus the real part of W (W,) shows that the convergence of the expansion of Eq. (8a) is guaranteed inside the circle (W,. - 1)2 + W, 2 = 1, so that, for example,
when W = W, (or W, = 0), the series converges for 0 < Wr < 2. A well-behaved auxiliary convergence function

satisfies Eqs. (8e) and (8f) for all spatial frequencies; e.g.,
(Wr. 1)2 + W = 1

.Wr

yields a completely robust and transparent deconvolution

and, in addition, a means of performing the process noniteratively or in closed form. To free VCD from the restrictions on the shapes of (say) f (x, y) can be accomplished by the replacement of F(kx, ky) in the series exFig. 2. Region of convergence with auxiliary function W = Wr + iWi for modified VCD.

C. B. Zarowin 2 sin(ka)/ka - (sin(ka)/ka)

1 1
l
l

Vol. 11, No. 10/October 1994/J. Opt. Soc. Am. A 2

2575

with W = FI in Eqs. (6g), (8c), and (8d), so that the nth approximation to the dwell time FT is
Tn(k., k,) = T%(kx, k,)[1- (1 - IF(k)l)'],

(9a)

the residue FT is AH.(k k) = AHo(k, ky)(1

-

IF(k)l)n,

(9b)

-1 -16

-10

0 x

10 16

and the removal FT is R(kx, ky) = AHo(kx k)[1

-

Fig. 3. Convergence of VCD for rectangular pulse shape for a rectangular pulse of amplitude 1/2a for xi < a. The plot shows the spatial frequencies k = x/a where the inequality is satisfied and the deconvolution converges (dark-shaded regions) and where the converse holds (light-shaded regions). take W(k) to be a Gaussian function (not one of the convolution functions) and w(x) = exp[-(x/o0)2 ]/(7o- 2 )"2 with a FT W(k) = exp(-o-2 k2 /4). Thus WW* = exp(-o 2 k2 /2) and W + W* = 2 exp(-cr2 k2 /4), so that the convergence criterion [inequality (8e)] reduces to 1/2 exp(-cr 2k2 /4) < 1, which is satisfied for all (real) k. This deconvolution process now always converges as long as one employs an appropriate auxiliary convergence function (e.g., a Gaussian) without the above restrictions, since the expansion is now independent of the convolved functions. In contrast, for an ill-behaved function [for which inequality (8e) is not satisfied for all k], such as the rectangular pulse w(x) = U(x + a) - U(x - a) = 1/2a and 0 for Ixl < axI > a, respectively, VCD will not converge for all spatial frequencies. For such a pulse the FT of w(x), W(k) = sin(ka)/ka, WW* = sin2 (ka)/k2 a2 , and W + W* = 2 sin(ka)/ka,3 and the convergence criterion is 2 sin(ka)/ka - sin2 (ka)/k2 d2 > 0. The behavior of this inequality, shown in Fig. 3, is representative of a wider class of functions with shapes whose edges are similarly discontinuous. 2 When a (finite) coordinate space tool removal rate is zero beyond a radius r, its equivalent in spatial frequency space necessarily approaches zero for some value greater than 1/ro. On the other hand, as long as the spatial frequency of the required correction AHo(k, k,) is band limited (goes to zero) in the vicinity of or greater than 1/ro, the dwell time Tn(k., k,) is finite even when IF(k)I * 0. In general, this is not the case, and we must therefore address the limit of Tn(kx, k,) as IF(k)I X 0 without this restriction; doing this, we rewrite Eq. (8c) to show explicitly its F(k) dependence: T.%,x ky)I[A\Ho(k., ky)SO/V]
= {1 - [1 - W(k)]n}/F(k)

(1 - IFI)n].

(9c)

With these equations (and their inverse FT's for their coordinate space equivalents) we have found a method of deconvolution that is robust and computationally efficient and that produces a perfect deconvolution in the limiting case of infinite input data density, even in the presence of data noise. The effects of data noise on this deconvolution method will be accounted for in Section 8, where it is shown that the procedure still remains remarkably robust. Alternatively, for finite input data density, as required by the sampling theorem, the method produces as accurate a deconvolution as the input data density justifies. This method applies equally well when we exchange the terminology of tool function for blur function or required correction for image, etc.

IMPLICIT CONSERVATION THEOREMS At zero spatial frequencies (kx = 0 and k, = 0) Eqs. (4b), 4.
(6b), (6f), and (6g) yield Tx(O, 0) = AHo(O, O)So/V'F(O, 0),
T,(O, 0) = T(O, 0){1 H.(O, 0) = Ho(O, 0)[1
-

(lOa) (lOb) (lOc) (lOd)

[1

F(O, 0)]P},

F(O, 0)]',
-

R(O, 0) = AHo(O, 0){1 - [1

F(O, 0)]n};

but, from their definitions [e.g., Eq. (3)], Too(0, 0) =

ffO fO
|

r(x, y)dxdy = T.So,

(lOf) (lOg) (lOh) (lOi) (lOj)

AHo(O, 0) = AS

Aho(x, y)dxdy = AhoSo,

rn(X, y)dxdy =

Tn(0, 0)

T.So,

AHnA(0 0) = Rn(0, 0) =

OAhn(x, y)dxdy = Ah oS o ,
rn(x, y)dxdy =

= [nW(k)/F(k)][1 - (n - 1)(W/2!) + ***],

ff

nSo,

where we have used the binomial expansion, also valid for 11 - W(k)I < 1. This shows that the limit of this equation as IF(k)l X 0 can be constrained to remain finite [i.e., nW(k)/F(k) < cc] by a suitable choice of W. One such choice is W(k) = IF(k)l, for which the limit InW(k)/F(k)l In exp(icF(k))l = n as IF(k)I * 0. In the interest of computational economy, since F(k) [or f(x, y)] is given, the use of W(k) = IF(k)l both guarantees convergence and avoids difficulties that arise when IF(k)I => 0. The deconvolution examples given below are performed

where T? is the mean exact dwell time, Aho is the mean required correction, Yn is the mean nth approximate dwell time, and Ahn is the mean nth approximate correction residue, all these over the area So, where the required correction Aho(x, y) 0 0 and where Eq. (2) shows that F(O, 0) = 1. With these, Eq. (lOa) becomes
AhOSO = V.,

(lla)

showing that the mean volume correction (or volume to

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C. B. Zarowin

(a)

(e)

0. 001

'*~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~1

(b)

(D)
0.0014

0.0012

0.001

0.0008

0.0006

-0.

00

~~~~~~~~~~~~~~~~~~~~~~~~0. 0004
0.00 02

n/lU0

(c)

'(9)
Fig. 4. (a) Idealized required correction of peak thickness -v0.05 mm on a 65 x 65 grid. The required correction initial piston is 0.00358974. (b) Idealized finite (truncated Gaussian) tool removal map with peak rate 0.001 mm/s (60 Aum/min) on a 65 x 65 grid. (c) Residue for n = 1 for the tool of (b) on the correction of (a), yielding a rms of 13580 nm for a piston of 0.103758 mm. Residue, n = 1; rms (nm), 135785. (d) Dwell time for n = 1 for the tool of (b) on the correction of (a) with a dynamic range of 1.07. Dwell, n = 1; dwell dynamic
0.7

^ *
|

_:l

range, 1.07123. (e) Residue for n = 50 for the tool of (b) on the correction| of (a) yielding a rms of -68.1 nm for a piston of @ E $g >
i 60

0.5
0.25

20/20

BY (d)

-0.122 mm. Residue, n = 50; rms (nm), 68.1386. (c) Dwell Jl time for n = 50 for the tool of (b) the correction of (a) with a dynamic range of -1.787. Dwell, n = 50; dwell dynamic range, 1.56959. (g) rms residue versus number of virtual iterations n for (a) and (b). Note: in (d), (f), and dwell time plots in Figs. 5, 6, 7, and 10, the dwell time plots were shifted one half the length of both coordinates; the centers of the present plots should actually be in the (four) corners.
|

S g> i { S

C. B. Zarowin

Vol. 11, No. 10/October 1994/J. Opt. Soc. Am. A

2577

be removed), AhoSo, is the volume removal rate times the mean exact dwell time. Equation (lOb) reduces to
T- =

rn,

(lib)

or the mean exact dwell time is identical to its mean nth approximation. Equation (10c) shows that

Ahn = 0,

(1lc)

or the mean nth approximation to the exact correction residue is zero. Finally, from Eq. (Od) we obtain Tn = Aho, (lid)

or the mean nth approximation to exact removal equals the mean required correction. It may be noted that these are conservation expressions for mean values of these quantities and that, if we extend the argument leading to Eqs. (11a), (lib), and (lid), the piston, or the zero spatial frequency (featureless or dc) maximum removal, is given by the nth approximate dwell time multiplied by the volume removal rate over the area being corrected:
(V/So) nax = rnax

piston.

(lie)

5. APPLICATION OF THE DECONVOLUTION METHOD AND NUMERICAL EXAMPLES

To demonstrate the robustness, the efficiency, and the accuracy of this method of deconvolution, we use Eqs. (9) to explore the behavior of the figuring or shaping process with several numerical examples: (1) as a reality check, with intuitively predictable behavior, we apply it to an idealized and artificial surface correction and a finite removal tool map (here a Gaussian truncated at the base) for several input data densities (see Section 6); (2) to demonstrate this method's robustness with examples that have been shown 2 to be perilous with the use of VCD, we apply it to the same finite tool arbitrarily positioned in the data field; (3) we apply it to a tool having a minimum at the center (two superposed Gaussians whose centers are shifted on either side of the origin); and (4) we apply it to a clearly nonideal required correction (or raw and, incidentally, real correction in the sense that the data for it were obtained from measurement). If we use the FFT algorithm built into MATHEMATICA, DOS version 2.0, the calculation time for these deconvolutions of, e.g., 65 X 65 input data on a 33-MHz 486 personal computer with 16M random-access memory and a 256K static random-access memory cache is typically < 1 min and closely proportional to the number of sampled points. To exemplify the application of Eqs. (9), we first sample an idealized analytical correction and a finite tool removal rate map on an equally spaced 65 X 65 grid, shown in Figs. 4(a)-4(f). This idealized required correction map is a superposition of a low spatial frequency, rotationally symmetric Gaussian of peak amplitude -0.05 mm on which is superposed a higher spatial frequency squared sinusoid with similar rotational symmetry of amplitude 0.005 mm (5 gm). The tool is taken as a finite Gaussian, truncated at the base, with a peak removal rate of -0.001 mm/s (60 Am/min). Application of Eq. (9a)

yields the dwell time, and application of Eq. (9b) yields the residue maps for n = 1 and n = 50 with rms correction residues -1358 and 68 nm, respectively, showing that the low spatial frequency Gaussian is substantially removed by the tool for n = 1, only weakly reducing the amplitude of the higher spatial frequency squared sinusoid, and that as n > 50 the amplitude of the squared sinusoid is substantially reduced. In Fig. 4(g) the virtual iteration dependence of the rms correction residue shows a nonzero asymptotic behavior as n => o because the data density is finite. In Fig. 5 the same tool, which we have truncated at the base to make it finite and is arbitrarily offset from the map's origin, is applied to the above required correction [Fig. (4a)], showing that a similar residue is obtained for n = 1 and n = 50, independently of the phase shift between the correction and the tool, i.e., it does not cause the divergence previously associated with VCD.2 Note that the calculated dwell time maps for n = 1 and n = 50 clearly exhibit a compensating phase shift to that introduced in the tool's initial position, as it should. Application of Eqs. (9) with the tool shape shown in Figs. 6(a)-6(e), a minimum at the origin flanked by two peaks, to the same idealized required correction produces the correction residue and the dwell time maps shown for n = 1 and n = 50, while in Fig. 6(f) the rms dependence on the virtual iteration plot shows that no divergence appears for n < 85, also expected to be problematic with VCD.2 The raw (or as-measured) required correction of Fig. 7(a) shows artificially sharp data edges that thus generate artifact high spatial frequency content in the required correction FT. Application of Eqs. (9) with a truncated Gaussian tool [Fig. 4(b)] to this required correction produces the correction residues and the dwell times shown in Figs. 7(b) and 7(c); these can be interpreted as that part of the required correction inaccessible to this tool for n = 10 and n = 30. We will return to this behavior in Section 7 below, taking advantage of the implicit optimal filtering that it suggests, but for the moment we note that this deconvolution method produces a unique dwell time, at the price of rms residues that decrease only from -360.9 nm at n 10 and -237.4 nm at n = 30 with relatively large (-11.6 and -12.15 min/mm2 ) peak dwell times (and/or large piston) and large dwell time dynamic ranges [shown in Figs. 7(d) and 7(e)]. The dwell time dynamic range is the ratio of the minimum to maximum dwell time (or the maximum to minimum scan velocity), as seen from Eqs. (la)-(lc). A large dynamic range is thus equivalent to a high scan acceleration, or a change of the scan velocity, that one needs to compensate for the low tool efficiency at these artifact spatial frequencies.

6. DATA DENSITY DEPENDENCE OF DECONVOLUTION RESIDUE

Equation (7c), rms(n) = (1/2T)I(1/SO) fallkIAHo(k., kY)12
1/2

x [1 - IF(k,, ky)l]2ndkdkxI, shows that the rms residue depends on the FT of the required correction AHo(kx, ky), the FT of the tool shape

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rV

(a)

(d)

-0.

00~~~~~~~~~~~~~~~~~~~~~~.0 0.00

(b)(e
20~~~~~~~~~~~~~~~~

0.0014

0.004 0. 0002

(C)~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~f
Fig. 5. (a) Idealized finite (truncated Gaussian) tool removal map displaced from center (arbitrary phase with respect to correction) with peak rate -0.001 mm/s on a 65 x 65 grid. (b) Residue for n = 1 for the tool of (a) on the correction of Fig. 4(a), yielding a rms of -13580 nm for a piston of 0.1225 mm [compare with Fig. 4(c)]. Residue, n 1; rms (nm), 1357.85. (c) Dwell time for n = 1 for the tool of (a) on the correction of Fig. 4(a) with a dynamic range of -1.79 showing phase shift compensating for tool displacement. Dwell n = 1; dwell dynamic range, 1.07123. (d) Residue for n = 50 for the tool of (a) on the correction of Fig. 4(a), yielding a rms of -680 nm for a piston of 0.1225 mm [compare with Fig. 4(c)]. Residue, n = 50; rms (nm), 68.1386. (e) Dwell time for n = 50 for the tool of (a) on the correction of Fig. 4(a) with a dynamic range of -1.79 showing phase shift compensating for tool displacement. Dwell, n = 50 dwell dynamic range, 1.56959. (f) rms residue versus number of virtual iterations n for Figs. 4(a) and (a).

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2579

0.002

-0.002

(a)

(d)

0. 00

-0. 005

(b) (e)

0.6 0.0020 0.0015 0.0010

0.0005

12

24

36

48

60

72

84

(C)

(f)

Fig. 6. (a) Two-peak tool removal map with a saddle at the origin for which VCD diverges (peak rate 0.0005 mm/s on a 65 x 65 grid). (b) Residue for n = 1 for the tool of (a) on the correction of Fig. 4(a) yielding a rms of -32068 nm for a piston of =0.103 mm. Residue, n = 1; rms (nm), 3206.76. (c) Dwell time for n = 1 for the tool of (a) on the correction of Fig. 4(a) with a dynamic range of =0.67. Dwell, n = 1; dwell dynamic range, 0.667512. (d) Residue for n = 50 for the tool of (a) on the correction of Fig. 4(a), yielding a rms of =722.8 nm for a piston of =0.177 mm. Residue, n = 50; rms (nm), 722.764. (e) Dwell time for n = 50 for the tool of (a) on the correction of Fig. 4(a) with a dynamic range of =2.25. Dwell, n = 50; dwell dynamic range, 2.2547. (f) rms residue versus number of virtual iterations n for Figs. 4(a) and (a).

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0.514

0.512

0.51

(d) (a)

0.002 0.001 V

-0.001

60

(e)
(b)

60

(C) factor F(k, ky), and the number of virtual iterations n for infinitely sampled input data that are consistent with integration over all spatial frequencies. Since the global behavior of AH 02 (1 - IFI)2 n necessarily approaches zero as n X*x, the more pertinent behavior is the differential

Fig. 7. (a) Raw (as-measured) required correction map on a 65 x 65 grid showing artifact sharp data edges that generate artificial high spatial frequencies with peak thickness 0.515 mm. Required correction, initial piston, 0.509394897. (b) Residue for = 10 for the tool of Fig. 4(b) on the correction of (a), yielding a rms of 36909 nm for a piston of 0.533 mm and showing artifact data-edge-induced residue. Residue, n = 10, rms (nm), 360.916. (c) Dwell time for n = 10 for the tool of Fig. 4(b) on the correction of (a) with a dynamic range of -0.89 and a peak of 11.6 min/mm 2 . Dwell, n = 10; dwell dynamic range, 0.892144. (d) Residue for n = 30 for the tool of Fig. 6(a) on the correction of Fig. 4(a), yielding a rms of 237.4 nm for a piston of 0.558 mm. Residue, n = 30; rms (nm), 237.389. (e) Dwell time for n = 30 for the tool of Fig. 4(b) on the correction of (a) with a dynamic range of 1.86 and a peak of 12 min/mm 2 . Dwell, n = 30; dwell dynamic range, 1.86239. effect on rms(n) of the band limit on the spatial frequency that is due to the sampled data density, shown in Fig. 1. The band limit that is due to the sampling at increasing data densities permits the achievement of smaller rms correction residues as shown in Fig. 8.

C. B. Zarowin
rms
0.0016 _ 0.0014 _ 0.0012 _

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2581

% I %

7.5

P 15 0.0008 B _ 0.0006 0.000; 0.00

F

30

45

I-

Fig. 8. rms residue versus number of virtual iterations n for the equivalent of Figs. 4(a) and 4(b), sampled at 33 X 33 (top curve), 49 X 49 (middle curve), and 65 X 65 (bottom curve), showing smaller asymptotic rms residue as sample density increases.

60--V

(a)
Aho - Ah O 5

7. EFFICIENT SPATIAL FREQUENCY PREFILTER OF RAW MAP DATA AND ANALYTICAL FIGURING STRATEGIES
The raw required correction of Fig. 7(a) was shown above to produce a higher maximum dwell or, by Eq. (lie), a larger piston for a given rms residue or virtual iteration n because of the inaccessibility of some of the spatial frequencies in the raw required correction in the tool shape factor (those spatial frequencies of the tool shape that are small or absent). Thus the coordinate space correction residue is expected to consist of those components that could not be removed by the tool shape factor, or, equivalently, the absolute value of the tool shape factor FT or the tool efficiency IF(k)I is small at these spatial frequencies. The filter [1 - F(kX, k )I]n, for a given n, is unable to remove these components adequately [see Eq. (9c)]. Conversely, the removal or the subtraction of that correlation residue from the initial required correction guarantees that those spatial frequencies for which the tool is not zero are removed or suppressed. Thus the subtraction of the correction residue from the raw required correction with increasing virtual iteration n smooths the correction to produce an increasingly band-limited initial required correction that excludes the spatial frequencies inaccessible to those of the tool. If we take AHo - AHn as our smoothed required correction, a smaller rms residue will result for a particular maximum dwell time, or a smaller maximum dwell time will be required for a particular rms residue. Of course, this occurs at the price of a somewhat inappropriate but frequently acceptable correction residue, as close to the data edge as desired. Such an optimally filtered required correction is shown in Figs. 9(a), 9(b), and 9(c) for the cases Aho - Ahlo, Aho - Ah 50 , and Aho - Ahloo, respectively, where the rms residue and the maximum dwell time (or piston) are compared with the smoothing in Fig. 10. A comparison of these rms residues and maximum dwell times (or, equivalently, their resulting piston) at n = 100, without the smoothing of Figs. 7(b) and 7(c), clearly demonstrates the advantage of removing the artifact high spatial frequencies produced by the raw data edges. The rms residue without smoothing [Fig. 10(a)] of 360.9 nm is reduced to 8.7 nm with smoothing for Aho - Ahlo, and the peak dwell decreases

60

(b)

(C)

Fig. 9. (a) Required correction of Fig. 7(a) smoothed by the subtraction of residue for n = 10 with the use of a filter with the tool of Fig. 4(b). (b) Required correction of Fig. 7(a), smoothed by the subtraction of residue for n = 50 with the use of a filter with the tool of Fig. 4(b) and a higher passband than that in (a). (c) Required correction of Fig. 7(a), smoothed by the subtraction of residue for n = 100 with the use of a filter with the tool of Fig. 4(b) and a higher passband than that in (b).

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about that mean, convergence of the subject deconvolution procedure is guaranteed for

0 < IF + AFI < 2.

(12a)

Since, by its definition [Eqs. (2) and (3)], the modulus of the FT of the shape factor F(k, k) is already restricted to
0 < IF + AFI < 1,

(12b)

(a)

noise in the tool shape function cannot adversely affect the convergence of the subject deconvolution procedure. Insensitivity of this procedure's convergence to noise is equivalent to its convergence for any arbitrarily shaped input functions, since the addition of a random amplitude at each sampled point is simply another functional shape, which has been demonstrated above.

APPENDIX A: EQUIVALENCE OF THE VAN CITTERT ITERATIVE DECONVOLUTION IN SPATIAL FREQUENCY (FOURIER) AND COORDINATE SPACE

11
(b)
Fig. 10. (a) Residue for n
= 100

Here we show that the van Cittert iterative deconvolution process in spatial frequency (Fourier) space is completely equivalent to an iterative process in coordinate space, including, as was mentioned above, its inability to converge with iteration for certain functional shapes and positions. The van Cittert method can be implemented in terms of transforms 8 or coordinate integrations Van Cittert Recursive or Iterative Deconvolution in Fourier Space Given the required correction map Aho(x, y) and the tool shape factor f(x, y), we obtain AH = FT(Aho) and F(k) = FT(f), where F(k) ' F(O) = 1, as indicated above. Since Eq. (4b) requires that AHo(kx, ky)S 0 /V = F(k, ky)To(k, ky), following van Cittert,l by taking F 1, we try AHo(k, ky)So/V as a first approximation to F(k,, ky)Tl(k,, ky). This yields the first iteration correction residue FT:

with the tool of Fig. 6(a) on the

smoothed correction of Fig. 9(a), yielding a rms of -8.7 nm for a piston of 0.531 mm. Residue, n = 100; rms (nm), 8.6730. (b) Dwell time for n = 100 with the tool of Fig. 6(a) on the smoothed correction of Fig. 9(a). Dwell, n = 100; dwell dynamic range, 0.821704. from -11.6 min/mm 2 to -11.5 min/mm 2 . In addition, it is noteworthy that the speed and the computational efficiency of smoothing with this method, indicated above, roughly double the already short time required for this numerical evaluation.

AH, = AHo - [F(kx, ky)Tl(k., ky)V/So]

= AHo - FAHo = AHo(l - F); also, the second iteration correction residue FT is

8. EFFECT OF DATA NOISE ON THE DECONVOLUTION METHOD

Noise (i.e., statistical fluctuation) in the input data may occur in the required correction Aho(x, y) [or AHo(kX, ky)], in the tool volume removal rate V, and in the tool shape function f(x, y) [or F(kx, ky)] over the area S generated either during their measurement or, in the case of the tool, by actual physical variation. Inspection of Eq. (4b), the FT of the dwell time, shows that only fluctuation in the tool shape function f(x, y) [or F(kx, ky)] can produce perilous consequences, i.e., divergence, if F(kx, ky) does not satisfy 11 - F < 1. With F = IFl, for the reasons leading to Eqs. (9), this requires that 11 - 1 < or 0 < (2 - IFI)IFI, from which the convergence of this procedure is guaranteed for 0 < IFI < 2. With F = F + AF, where F is the mean and AF is a statistical fluctuation

AH2

AH1 - FAH1 = AH,(l - F) = AHo(l - F) 2 ;

so that, by induction, the nth iteration correction residue FT recursion relation is

AHn = AHn,(l- F),

(Al)

or, in closed form,

AHn = AHo(l - F)n.

(A2)

A comparison shows that Eq. (6f) is identical to Eq. (A2). In his 1931 paperl van Cittert used the coordinate space equivalent to the recursion relation (Al) to obtain numerically the nth iterative correction residue and also the equivalent of the dwell time, which is derived

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2583

from these considerations below. The nth iterative correction residue FT, Hn, subtracted from the required correction AHo, is the FT of the nth iterative removal Rn(k,, k,) = AHo - AHE. Introducing Eq. (Al), we obtain Rn(kX, k,) = AHo[1 - (1 - F)n]. Also, by definition, the nth iterative removal is the convolution of the tool footprint and the dwell time in FT terms: R(k., k,) = (V/So)F(k., k,)Tn(k., ky)
= AHo[l - (1 -fn],

Thus the nth removal rn plus the nth residue Ahn must sum to the required correction Aho: rn + Ahn = Ah o, where rn = Aho - Ahn = Aho [1 - Aho o (1 - f)n] and we recognize that the removal is related to the dwell time by r = (V/So)f e Tn. Finally, replacing Ahn with Eq. (A5), we obtain the nth dwell time map:
Tn

= (So/V)f -1 0 Aho 0 [1 - (1
1

- f)f],

(A6) (A7)

reproducing the equivalent of Eq. (6g). Of course, as was indicated above, this method of deconvolution suffers from the limitation on (say) F(kX, ky) arising from the convergence requirement. While it is less transparent in this form, the use of a suitable convergence function W (e.g., a Gaussian or Fl) introduced above clearly also applies to this development, permitting avoidance of the shape/position limitations normally ascribed to the van Cittert2 method. Van Cittert Recursive Deconvolution in Coordinate Space The convolution of the tool map and the dwell map produces the required correction map, Aho(x, y)So = V Of (x
-

r. = (So/V)f

o Aho.

A comparison with the Fourier results of the subsection above and Eq. (6e) shows that these results are identical, even though we performed an (implicit) integration in coordinate space.

ACKNOWLEDGMENTS
This paper benefited from useful observations and criticisms by R. J. Arguello, R. C. Babish, and R. J. Noll of Hughes Danbury Optical Systems, Inc. I am also indebted to a reviewer and a topical editor for identifying the relation between this study and Refs. 6 and 7. *Present address, Chemical Physics Laboratory, Hughes Research Laboratories, M/S RL62, 3011 Malibu Canyon Road, Malibu, California 90265.

x', y - y')T(x', y')dx'dy', (A3)

or, rewritten in terms of a convolution operator Aho(x, y)So = Vf (x, y) @r(x, y).

REFERENCES
(A4) 1. P. H. van Cittert, "Effect of slit width upon distribution of intensity in spectral lines, Part II," Z. Phys. 69, 298-308 (1931). 2. N. R. Hill and G. E. Ioup, "Convergence of the van Cittert iterative method of deconvolution," J. Opt. Soc. Am. 66, 487-489 (1976). 3. A. Papoulis, The Fourier Integral and Its Applications (McGraw-Hill, New York, 1962). 4. P. A. Jansson, "Method for determining the response function of a high-resolution infrared spectrometer," J. Opt. Soc. Am. 60, 184-191 (1970). 5. S. P. A. Jansson, Deconvolution (Academic, Orlando, Fla., 1984), Chap. III. 6. C. K. Rushforth, "Signal restoration, functional analysis, and Fredholm integral equations of the first kind," in Image
Recovery: Theory and Application, H. Stark, ed. (Academic,

If we employ this convolution operator and use a procedure identical to that in the subsection above, the first residue is Ah, = Aho - f o Aho, the second residue is Ah 2 = Ah1 - f s Ah l , and finally the nth residue is

Orlando, Fla., 1987), Chap. I.

7. C. W. Groetsch, The Theory of Tikanov Regularization for Fredholm Equations of the First Kind (Pitman, London, A hn.
1

Ahn = Ahn-1 - f o
= Aho

Ahn-1

o (1

f) (A5)

(1-f)n,

1984). 8. R. A. Jones, "Modeling the computer-controlled polishing process," Appl. Opt. 22, 2245-2246 (1983). 9. C. B. Zarowin and L. D. Bollinger, "Rapid, non-contact damage free shaping of optical and other surfaces" in Advances J. B. Arnold and R. E. Parks, eds., Proc. Soc. Photo-Opt. Instrum. Eng. 966, 91-97 (1988).
in Fabricationand Metrology for Optics and Large Optics,

which is the equivalent of the procedure introduced by van Cittert.1