Abstract

Immersion gratings, diffraction gratings where the incident radiation strikes the grooves while immersed in a dielectric medium, offer significant compactness and performance advantages over front-surface gratings. These advantages become particularly large for high-resolution spectroscopy in the near-IR. The production and evaluation of immersion gratings produced by fabricating grooves in silicon substrates using photolithographic patterning and anisotropic etching is described. The gratings produced under this program accommodate beams up to 25  mm in diameter (grating areas to 55   mm×75   mm). Several devices are complete with appropriate reflective and antireflection coatings. All gratings were tested as front-surface devices as well as immersed gratings. The results of the testing show that the echelles behave according to the predictions of the scalar efficiency model and that tests done on front surfaces are in good agreement with tests done in immersion. The relative efficiencies range from 59% to 75% at 632 .8   nm. Tests of fully completed devices in immersion show that the gratings have reached the level where they compete with and, in some cases, exceed the performance of commercially available conventional diffraction gratings (relative efficiencies up to 71%). Several diffraction gratings on silicon substrates up to 75   mm in diameter having been produced, the current state of the silicon grating technology is evaluated.

© 2007 Optical Society of America

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2006 (6)

D. J. Mar, J. P. Marsh, D. T. Jaffe, L. D. Keller, and K. A. Ennico, "Performance of large chemically etched silicon grisms for infrared spectroscopy," in Ground-Based and Airborne Instrumentation for Astronomy, I. S. McLean and M. Iye, eds., Proc. SPIE 6269, 62695R (2006).

J. P. Marsh, D. J. Mar, and D. T. Jaffe, "Fabrication and performance of silicon immersion gratings for infrared spectroscopy," in Ground-Based and Airborne Instrumentation for Astronomy, I. S. McLean and M. Iye, eds., Proc. SPIE 6269, 62694J (2006).
[CrossRef]

J. Ge, D. McDavitt, B. Zhao, and S. Miller, "Large format silicon immersion gratings for high resolution infrared spectroscopy," in Optomechanical Technologies for Astronomy, E. Atad-Ettedgui, J. Antebi, and D. Lemke, eds., Proc. SPIE 6273, 62732C (2006).
[CrossRef]

P. J. Kuzmenko, "Prospects for machined immersion gratings in the near-infrared and visible," in Optomechanical Technologies for Astronomy, E. Atad-Ettedgui, J. Antebi, and D. Lemke, eds., Proc. SPIE 6273, 62733S (2006).
[CrossRef]

Y. Ikeda, N. Kobayashi, S. Kondo, C. Yasui, K. Motohara, and A. Minami, "WINERED: a warm near-infrared high-resolution spectrograph," in Ground-Based and Airborne Instrumentation for Astronomy, I. S. McLean and M. Iye, eds., Proc. SPIE 6269, 62693T (2006).
[CrossRef]

P. J. Kuzmenko, P. J. Davis, S. L. Little, L. M. Little, and J. V. Bixler, "High efficiency germanium immersion gratings," in Optomechanical Technologies for Astronomy, E. Atad-Ettedgui, J. Antebi, and D. Lemke, eds., Proc. SPIE 6273, 62733T (2006).
[CrossRef]

2004 (1)

H.-U. Kaeufl, P. Ballester, P. Biereichel, B. Delabre, R. Donaldson, R. Dorn, E. Fedrigo, G. Finger, G. Fischer, F. Franza, D. Gojak, G. Huster, Y. Jung, J.-L. Lizon, L. Mehrgan, M. Meyer, A. Moorwood, J.-F. Pirard, J. Paufique, E. Pozna, R. Siebenmorgen, A. Silber, J. Stegmeier, and S. Wegerer, "CRIRES: a high-resolution infrared spectrograph for ESO's VLT," in Ground-Based Instrumentation for Astronomy, A. F. M. Moorwood and M. Iye, eds., Proc. SPIE 5492, 1218-1227 (2004).
[CrossRef]

2003 (6)

J. H. Lacy, M. J. Richter, T. K. Greathouse, D. T. Jaffe, Q. Zhu, and C. Knez, "TEXES: sensitive and versatile spectrograph for mid-infrared astronomy," in Instrument Design and Performance for Optical/Infrared Ground-Based Telescopes, M. Iye and F. M. Moorwood, eds., Proc. SPIE 4841, 1572-1580 (2003).
[CrossRef]

R. Bernstein, S. A. Shectman, S. M. Gunnels, S. Mochnacki, and A. E. Athey, "MIKE: a double echelle spectrograph for the Magellan telescopes at Las Campanas Observatory," in Instrument Design and Performance for Optical/Infrared Ground-Based Telescopes, M. Iye and A. F. M. Moorwood, eds., Proc. SPIE 4841, 1694-1704 (2003).
[CrossRef]

O. A. Ershov, J. P. Marsh, K. N. Allers, and D. T. Jaffe, "Infrared grisms using anisotropic etching of silicon to produce a highly asymmetric groove profile," in IR Space Telescopes and Instruments, J. C. Mather, ed., Proc. SPIE 4850, 805-812 (2003).
[CrossRef]

P. J. Kuzmenko, L. M. Little, P. J. Davis, and S. L. Little, "Modeling, fabrication, and testing of a diamond-machined germanium immersion grating," in IR Space Telescopes and Instruments, J. C. Mather, ed., Proc. SPIE 4850, 1179-1190 (2003).
[CrossRef]

N. Ebizuka, S.-Y. Morita, T. Shimizu, Y. Yamagata, H. Omori, M. Wakaki, H. Kobayashi, H. Tokoro, and Y. Hirahara, "Development of immersion grating for mid-infrared high dispersion spectrograph for the 8.2 m Subaru Telescope," in Specialized Optical Developments in Astronomy, E. Atad-Ettedgui and S. D'Odorico, eds., Proc. SPIE 4842, 293-300 (2003).
[CrossRef]

J. P. Marsh, O. A. Ershov, and D. T. Jaffe, "Silicon grisms and immersion gratings produced by anisotropic etching: testing and analysis," in IR Space Telescopes and Instruments, J. C. Mather, ed., Proc. SPIE 4850, 797-804 (2003).
[CrossRef]

2000 (4)

F. Vitali, E. Cianci, D. Lorenzetti, V. Foglietti, A. Notargiacomo, E. Giovine, and E. Oliva, "Silicon grisms for high-resolution spectroscopy in the near-infrared," in Optical and IR Telescope Instrumentation and Detectors, M. Iye and A. F. Moorwood, eds., Proc. SPIE 4008, 1383-1394 (2000).
[CrossRef]

L. D. Keller, D. T. Jaffe, O. A. Ershov, T. Benedict, and U. U. Graf, "Fabrication and testing of chemically micromachined silicon echelle gratings," Appl. Opt. 39, 1094-1105 (2000).
[CrossRef]

H. Dekker, S. D'Odorico, A. Kaufer, B. Delabre, and H. Kotzlowski, "Design, construction, and performance of UVES, the echelle spectrograph for the UT2 Kueyen telescope at the ESO Paranal Observatory," in Optical and IR Telescope Instrumentation and Detectors, M. Iye and A. F. M. Moorwood, eds., Proc. SPIE 4008, 534-545 (2000).
[CrossRef]

D. Lee and J. R. Allington-Smith, "An experimental investigation of immersed gratings," Mon. Not. R. Astron. Soc. 312, 57-69 (2000).
[CrossRef]

1999 (2)

R. Szumski and D. D. Walker, "The immersed echelle-I. Basic properties," Mon. Not. R. Astron. Soc. 302, 139-144 (1999).
[CrossRef]

K. Sato, M. Shikida, T. Yamashiro, M. Tsunekawa, and S. Ito, "Roughening of single-crystal silicon surface etched by KOH water solution," Sens. Actuators A 73, 122-130 (1999).
[CrossRef]

1998 (7)

P. J. Kuzmenko and D. R. Ciarlo, "Improving the optical performance of etched silicon gratings," in Infrared Astronomical Instrumentation, A. M. Fowler, ed., Proc. SPIE 3354, 357-367 (1998).
[CrossRef]

H. U. Kaeufl, K. Kuehl, and S. Vogel, "Grisms from germanium/silicon for astronomical instruments," in Infrared Astronomical Instrumentation, A. M. Fowler, ed., Proc. SPIE 3354, 151-158 (1998).
[CrossRef]

N. Ebizuka, M. Iye, and T. Sasaki, "Optically anisotropic crystalline grisms for astronomical spectrographs," Appl. Opt. 37, 1236-1242 (1998).
[CrossRef]

J.-D. T. Smith, S. A. Rinehart, J. R. Houck, J. E. Van Cleve, J. C. Wilson, M. R. Colonno, J. Schoenwald, B. Pirger, and C. Blacken, "SCORE 1+: enhancing a unique mid-infrared spectrograph," in Infrared Astronomical Instrumentation, A. M. Fowler, ed., Proc. SPIE 3354, 7980809 (1998).
[CrossRef]

J. T. Rayner, "Evaluation of a solid KRS-5 grism for infrared astronomy," in Infrared Astronomical Instrumentation, A. M. Fowler, ed., Proc. SPIE 3354, 289-294 (1998).
[CrossRef]

M. Goto, K. Motohara, M. Imanishi, K. Sugiyama, K. Tomita, F. Iwamuro, and T. Maihara, "Development of a machine-cut metal grating for near-infrared spectroscopy," Publ. Astron. Soc. Pac. 110, 841-847 (1998).
[CrossRef]

D. T. Jaffe, L. D. Keller, and O. A. Ershov, "Micromachined silicon diffraction gratings for infrared spectroscopy," in Infrared Astronomical Instrumentation, A. M. Fowler, ed., Proc. SPIE 3354, 201-212 (1998).
[CrossRef]

1997 (2)

T. Baum and D. J. Schiffrin, "AFM study of surface finish improvements by ultrasound in the anisotropic etching of Si〈100〉 in KOH for micromachining applications," J. Micromech. Microeng. 7, 338-342 (1997).
[CrossRef]

B. Depuydt, P. M. Boone, P. Union, P. F. Muys, D. Vyncke, and C. Goessens, "Interferometric characterization of stress birefringence in germanium," in Optical Inspection and Micromeasurements II, C. Gorecki, ed., Proc. SPIE 3098, 559-565 (1997).
[CrossRef]

1995 (3)

E. Loewen, D. Maystre, E. Popov, and L. Tsonev, "Echelles: scalar, electromagnetic, and real-groove properties," Appl. Opt. 34, 1707-1727 (1995).
[CrossRef] [PubMed]

B. J. Grenon, D. C. Defibaugh, D. M. Sprout, and C. J. Taft, "Manufacturing performance of the ALTA 3000 mask writer," in Fifteenth Annual BACUS Symposium on Photomask Technology and Management, G. V. Shelden and J. N. Wiley, eds., Proc. SPIE 2621, 14-18 (1995).
[CrossRef]

R. G. Tull, P. J. MacQueen, C. Sneden, and D. L. Lambert, "The high-resolution cross-dispersed echelle white-pupil spectrometer of the McDonald Observatory 2.7-m telescope," Publ. Astron. Soc. Pac. 107, 251-264 (1995).
[CrossRef]

1994 (4)

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1992 (1)

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K. Sato, M. Shikida, T. Yamashiro, M. Tsunekawa, and S. Ito, "Roughening of single-crystal silicon surface etched by KOH water solution," Sens. Actuators A 73, 122-130 (1999).
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Figures (13)

Fig. 1
Fig. 1

Schematic of an etched silicon grating used in different modes: (top) front-surface grating with light incident from the right; (middle) immersion grating with light incident from the left. The phase difference between the first and the last groove is n times larger when the light passes through a medium with index of refraction n. The bottom panel shows an enlarged view of the ruled surface. The ruled grooves are separated by flat groove tops that served as etch stops during the manufacturing process. The groove spacing and allowable spacing error are related to the projected spacing and the groove piston error through the blaze angle δ (see text).

Fig. 2
Fig. 2

(Color online) Relationship between silicon crystal planes and blaze angle. The positions of the (111) and (100) planes are indicated by dashed lines. Cutting a surface in the silicon boule at the (100) plane results in a blaze at the natural angle of 54.74°. Cuts 1 and 2 will result in blaze angles δ 1 ( < 54.74 ° ) and δ 2 ( > 54.74 ° ) , respectively.

Fig. 3
Fig. 3

(Color online) Steps involved in chemically ruling a grating in silicon material.

Fig. 4
Fig. 4

We used scanning electron micrographs of etched gratings to determine etch rates R 100 and R 111 for (100) and (111) planes. R 100 is calculated from an incompletely etched sample (top micrograph) by measuring the depth from the top and dividing by the etch time. R 111 is determined from the bottom micrograph by measuring the length of the undercut silicon nitride layer and multiplying that length by sin 54.7 ° .

Fig. 5
Fig. 5

Material at the top of the groove is exposed to the etchant for longer than the material near the vertex. As a result, the opening angle of the groove increases with time causing a change in the blaze angle.

Fig. 6
Fig. 6

(Top): Scanning electron micrograph of a grating etched on a thin wafer showing thin strips of residual passivation layer. A by-product of KOH etching, Si ( OH ) 4 , polymerizes and creates white grains. (Bottom): The same grating after etching in hot phosphoric acid. Both the nitride strips and the etch residue are removed by the phosphoric acid.

Fig. 7
Fig. 7

(Top): Scanning electron micrograph of an aluminized grating showing several grooves and (middle) a corner detail of one groove. The grating is incompletely etched. (Bottom): A corner of the aluminum layer peeled back by many rapid thermal cycles reveals the smoothness of the aluminum layer in contact with the silicon surface.

Fig. 8
Fig. 8

(Color online) (Top): Grating G1–shaped to its finished prism form, with a 1.2 5   μm antireflection coating on its entrance face. (Bottom): Grating G1 after an aluminum coating was deposited on the grating surface. The ellipse drawn on the grating illustrates the boundary of a 23   mm circular beam from the entrance face, projected on the grating surface.

Fig. 9
Fig. 9

Front-surface, monochromatic spectra of (top) G0, (middle) G1, and (bottom) G3 at 543 .5   nm . The lower scale on the x axis gives the position along the spectrum in pixels while the upper scale identifies the order number of the peaks. The y axis scale is in counts integrated over several rows in the cross-dispersion direction. The gratings show a steady improvement in eliminating scattered light and ghosts going from the earliest work (G0) to our most recent effort (G3).

Fig. 10
Fig. 10

Monochromatic spectra of (top) G0, (middle) G1, and (bottom) G3 in immersion at 1 .523   μm . The lower scale on the x axis gives the position in pixels while the upper scale identifies the order number of the peaks. The y axis scale is in counts integrated over 10 rows in the cross-dispersion direction.

Fig. 11
Fig. 11

(Color online) Spectral PSFs of (a) G0, (b) G1, and (c) G3 compared to the PSF of a mirror. All profiles were measured in immersion at 1 .523   μm with a 10   mm collimated beam (see Table 3). The wings on the profiles of G1 and G3 reflect the collapse of the Airy rings to one dimension.

Fig. 12
Fig. 12

(Color online) Surface error plots of grating surfaces of G0 (beam diameter 15   mm ), G1, and G3 (25 mm) taken with a Zygo interferometer using λ = 632.8   nm , before the devices were shaped into prisms. From top to bottom, the peak-to-valley ranges are 0.2894, 0.2627, and 0.0572 waves, and the rms wavefront errors are 0.0682, 0.0522, and 0.0099 waves, respectively. Each contour corresponds to 10% of the individual peak-to-valley range. All three gratings exhibit diffraction limited performance on the scales shown.

Fig. 13
Fig. 13

Sum of several thousand exposures of the monochromatic spectrum of G3 at λ = 543.5   nm . The level of the grass is more than 10 4 down from the strongest diffraction peak. The Lyman ghosts between the diffraction orders are less than 0.1% of the peak and are likely attributable to the photolithographic mask.

Tables (5)

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Table 1 Immersion Grating Physical Design Parameters

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Table 2 Measured Immersion Grating Efficiencies Obtained From Reflection Measurements at λ = 543.5 and 632.8 nm and Immersion Measurements at λ = 1523 nm

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Table 3 Width of Point-Spread Function (PSF) and Measured Resolving Power

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Table 4 Scattered Light Due to Random Errors in Groove Positions

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Table 5 Estimate of Microroughness from the AFM Data and Calculated Total Diffuse Scattered Light at λ = 632.8, 1.523, and 3.5 μm

Equations (14)

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R = 2 n L sin δ λ = 2 n W tan δ λ = m N ,
m λ = σ n ( sin α + sin β ) ,
d β d λ = m σ cos δ = sin α + sin β λ cos β ,
η η 0 = exp [ ( 2 π λ 2 ε rms ) 2 ] ,
h = σ τ 2 tan 54.7 ° ,
ε etch = Δ R 111 R 100 σ τ 2 tan 54.7 ° .
Δ R 111 R 111 = 2 ε etch R 100 / R 111 σ τ .
I ( β ) I 0 = ( sin [ π s λ ( sin β sin α ) ] [ π s λ ( sin β sin α ) ] ) 2 ,
d β d λ = 2 n tan δ λ ,
Δ λ = λ 2 n f tan δ Δ x ,
I grass I 0 = ( 2 π λ 2 ε spacing sin δ ) 2 ,
I diffuse I 0 = ( 2 π n λ 2 ε roughness ) 2 ,
Δ x M = M λ f P cos δ
I ghost I line = [ 2 π n λ A sin δ ] 2 ,

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