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Optical Specification Fabrication and Testing First
Edition Schwiegerling Digital Instant Download
Author(s): Schwiegerling, Jim
ISBN(s): 9781628413670, 1628413670
Edition: First
File Details: PDF, 51.21 MB
Year: 2014
Language: english
Library of Congress Cataloging-in-Publication Data

Schwiegerling, Jim, author.

Optical specification, fabrication, and testing / Jim Schwiegerling.
pages cm
Includes bibliographical references and index.
ISBN 978-1-62841-366-3 (alk. paper)
1. Optical instruments–Design and construction. 2. Optical
instruments–Specifications. 3. Optical materials–Specifications. I. Title.
TS513.S39 2014
681’.4–dc23
2014029391

Published by
SPIE
P.O. Box 10
Bellingham, Washington 98227-0010 USA
Phone: +360.676.3290
Fax: +360.647.1445
Email: [email protected]
www.spie.org

Copyright © 2014 Society of Photo-Optical Instrumentation Engineers (SPIE)

All rights reserved. No part of this publication may be reproduced or distributed in

any form or by any means without written permission of the publisher.

The content of this book reflects the thought of the author. Every effort has been made
to publish reliable and accurate information herein, but the publisher is not responsible
for the validity of the information or for any outcomes resulting from reliance thereon.

Printed in the United States of America.

First printing
Table of Contents
Preface ix
List of Acronyms xi

1 Properties of Optical Systems 1

1.1 Optical Properties of a Single Spherical Surface 1
1.1.1 Sign conventions 1
1.1.2 Planar refractive surfaces 2
1.1.3 Spherical refractive surfaces 3
1.1.4 Reflective surfaces 5
1.1.5 Gaussian imaging equation 7
1.1.6 Newtonian imaging equation 9
1.1.7 The thin lens 10
1.2 Aperture and Field Stops 10
1.2.1 Aperture stop definition 10
1.2.2 Marginal and chief rays 10
1.2.3 Vignetting 12
1.2.4 Field stop definition 13
1.3 First-Order Properties of an Optical System 15
1.3.1 Gaussian imaging with multiple surfaces 15
1.3.2 Paraxial raytracing 16
1.3.3 Cardinal points 24
1.3.4 Entrance and exit pupils 28
1.3.5 Extension of Gaussian imaging to thick systems 29
1.3.6 Longitudinal magnification 31
1.3.7 Lagrange invariant and the AΩ product 31
1.3.8 Numerical aperture, f-number, and working f-number 33
1.3.9 Depth of focus 37
1.3.10 Field of view 39
1.3.11 Front and back focal distances 39
Bibliography 41
2 Diffraction and Aberrations 43
2.1 Limitations of Optical Systems 43
2.1.1 Black box optical system based on cardinal points and pupils 43

v
vi Table of Contents

2.1.2 Wavefront picture of optical imaging 43

2.1.3 Diffraction-limited systems and connection to Fresnel diffraction 45
2.1.4 Point spread function (PSF) 49
2.1.5 Sign and coordinate system conventions 50
2.1.6 Optical path length (OPL), optical path difference (OPD),
and wavefront error 51
2.1.7 Transverse ray error and spot diagrams 53
2.2 Aberrations of Rotationally Symmetric Optical Systems 55
2.2.1 Piston and tilt 58
2.2.2 Primary aberrations 63
2.2.2.1 Spherical aberration 64
2.2.2.2 Coma 65
2.2.2.3 Astigmatism 67
2.2.2.4 Field curvature 70
2.2.2.5 Distortion 72
2.3 Aberrations of General Optical Systems 74
2.3.1 Examples of non–rotationally symmetric systems 74
2.3.2 Generalization of primary aberrations to the on-axis case 75
2.3.3 Orthogonal functions 75
2.3.4 Zernike polynomials 78
2.3.5 Examples of different orders of Zernike polynomials 80
2.3.6 Fitting Zernike polynomials to wavefront error 84
2.3.7 Pupil size conversion 88
2.3.8 Different variations found in the literature 89
References 91
Bibliography 91
3 Optical Quality Metrics 93
3.1 Introduction 93
3.2 Through-Focus PSF and Star Test 93
3.2.1 Diffraction-limited case (defocus) 93
3.2.2 Seidel spherical aberration 94
3.2.3 Zernike spherical aberration 95
3.2.4 Seidel astigmatism 95
3.2.5 Zernike astigmatism 96
3.2.6 Seidel coma 96
3.2.7 Zernike coma 96
3.3 Measures of Distortion 97
3.3.1 Conventional case 97
3.3.2 Scheimpflug imaging 98
3.4 Resolution Targets 100
3.4.1 Rayleigh criterion 100
3.4.2 1951 USAF target 101
3.5 PSF and Wavefront-Based Metrics 102
3.5.1 Strehl ratio 102
Table of Contents vii

3.5.2 Peak-to-valley, variance, and RMS wavefront error 103

3.5.3 Relationship to Zernike coefficients 105
3.5.4 Relationship to Strehl ratio 106
3.5.5 Encircled and ensquared energy 107
3.5.6 Example of optical quality metrics 107
3.6 Optical Transfer Function 109
3.6.1 Modulation transfer function 110
3.6.2 Phase transfer function 111
3.6.3 Fourier transform relationship to PSF 111
3.6.4 Autocorrelation of pupil function 112
3.6.5 Line spread function 114
Bibliography 117
4 Optical Surfaces and Their Fabrication 119
4.1 Introduction 119
4.2 Optical Surfaces 119
4.2.1 Flats 119
4.2.2 Spheres 120
4.2.3 Conoids 121
4.2.4 Even and odd aspheres 125
4.2.5 Forbes Q polynomials 126
4.2.6 Astigmatic and freeform surfaces 133
4.3 Optical Materials 135
4.3.1 Glass and plastics 135
4.3.2 Dispersion formulas 139
4.3.3 Infrared and ultraviolet materials 140
4.4 Fabrication Techniques 141
4.4.1 Grinding and polishing spherical and flat surfaces 141
4.4.2 Grinding and polishing aspheric surfaces 142
4.4.3 Diamond turning and oscillating tool head 143
4.4.4 Magnetorheological finishing 143
4.4.5 Ion beam figuring 144
4.4.6 Molding optical elements 144
References 145
Bibliography 145
5 Non-interferometric Testing 147
5.1 Autocollimator Tests 147
5.2 Surface Radius of Curvature 148
5.2.1 Lens gauge 148
5.2.2 Spherometer 150
5.2.3 Autostigmatic measurements 151
5.3 Measurement of First-Order Properties of Optical Systems 152
5.3.1 Measurements based on the Gaussian imaging equation 152
5.3.2 Neutralization test 152
viii Table of Contents

5.3.3 Autocollimation technique 153

5.3.4 Focimeter 153
5.3.5 Focal collimator 154
5.3.6 Reciprocal magnification 155
5.3.7 Nodal-slide lens bench 156
5.4 Measurement of Wavefront Error and Transverse Ray Error 158
5.4.1 Foucault knife-edge test 158
5.4.2 Wire and Ronchi test 162
5.4.3 Hartmann screen test 163
5.4.4 Shack–Hartmann sensor 164
5.4.5 Fitting Shack–Hartmann data to Zernike polynomials 171
5.4.6 Moiré deflectometry 174
References 176
Bibliography 176
6 Basic Interferometry and Optical Testing 177
6.1 Review of Two-Beam Interference 177
6.1.1 Plane waves 177
6.1.2 General wavefront shapes 179
6.1.3 Visibility 180
6.1.4 Coherence 181
6.2 Fizeau Interferometer 181
6.2.1 Classical Fizeau interferometer 181
6.2.2 Newton’s rings 183
6.2.3 Laser Fizeau interferometer 184
6.3 Twyman–Green Interferometer 186
6.4 Mach–Zehnder Interferometer 186
6.5 Lateral Shearing Interferometers 188
6.6 Interferograms 189
6.7 Phase-Shifting Interferometry 191
6.7.1 Phase-shifting techniques 191
6.7.2 Reconstruction algorithms 192
6.7.3 Phase unwrapping 193
6.8 Testing Aspheric Surfaces 195
References 198
Bibliography 198

Index 199
Preface
This book is a continued development of the notes for a course called Optical
Specification, Fabrication and Testing that I teach at the University of Arizona
College of Optical Sciences. The course is required for undergraduate optical
engineering students in their final semester of study. At this point in their
academic career, the students have a solid background in optics and are
focusing on the next phase of their lives, typically securing a job in industry. In
reviewing the coursework that the students have taken over their undergraduate
career, I find that the topics tend to be compartmentalized. We teach
geometrical optics in one course, interference and diffraction in another course,
and aberrations in still another. The goal for the course and for this book is to
connect the dots between these chunks of knowledge and to illustrate the
development of an optical system from the initial layout, to design and
aberration analysis, to fabrication, and finally to testing and verification of the
individual components and the system performance. This book also seeks to
cover more specialized topics such as fitting Zernike polynomials, representing
aspheric surfaces with the Forbes Q polynomials, and testing with the Shack–
Hartmann wavefront sensor. These topics are covered in more detail than is
found in other textbooks, and the techniques are developed to the point where
the reader can pursue their own analysis or modify to their particular situation.
Finally, there is also a limit on the detail that can be provided on any of the
topics found in the book. Bibliographic references have been provided at the
end of each chapter to facilitate more in-depth study.
I would like to thank John Greivenkamp, José Sasián, Bill Duncan, Ping
Zhou, and Greg Forbes for their valuable suggestions in improving the
manuscript. I wish to also thank the peer reviewers. Their thorough reading of
the material and constructive comments have greatly enhanced the content.
Thanks also go to Tim Lamkins and editor Dara Burrows for their help in
turning a batch of messy notes into a quality book. I appreciate all of the
members of the SPIE staff who have helped in the production of the book.
Finally, with much love, I owe many thanks to my wife, Diana, and to my
children, Max and Marie, for their unwavering love and support.
Jim Schwiegerling
September 2014

ix
List of Acronyms
BFD back focal distance
BFL back (rear) focal length
bfs best-fit sphere
CCD charge-coupled device
CMOS complementary metal-oxide semiconductor
DIN Deutsche Industrie Norm
DOF depth of focus
EE encircled energy
EFL effective focal length
FFD front focal distance
FFL front focal length
FFOV full field of view
FOV field of view
HFOV half field of view
IBF ion beam figuring
JIS Japanese Industry Standard
LSI linear-shift-invariant (optical system)
LWIR long-wave infrared
MRF magnetorheological finishing
MWIR mid-wave infrared
NA numerical aperture
OPD optical path difference
OPL optical path length
OTF optical transfer function
PSF point spread function
PTF phase transfer function
PV peak-to-valley (error)
PZT lead zirconate titanate
TCE thermal coefficient of expansion
TPI threads per inch

xi
Chapter 1
Properties of Optical Systems
1.1 Optical Properties of a Single Spherical Surface
1.1.1 Sign conventions
Prior to launching into a discussion of optical specification, fabrication, and
testing, a coordinate system and a consistent sign convention need to be defined.
These definitions will enable easy viewing of the figures and diagrams and
interpretation of the physical quantities that are being illustrated. In general, the
axis for an optical system will be taken as the z axis. Typically, light will travel
from left (more negative values of z) to right (more positive values of z) with
regard to this axis, unless the light is reflected from a surface. The vertical axis will
typically be taken as the positive y axis. The coordinate system will be considered
right-handed. In the following derivations, there are several signed quantities:
distances, radii of curvature, and angles. Distances are measured from a reference
point and are signed to be consistent with the coordinate system. For example,
if one optical surface is located at z ¼ 0 and a second optical surface is located at
z ¼ þ10, then the distance from the first surface to the second surface is positive.
Similarly, distances measured in the z direction are negative. The same
convention holds for the x and y directions as well. An object with its base on the
z axis and its top at y ¼ 5 would have a positive height, while its image may
be upside down with its base still on the z axis but its “top” now at y ¼ 3. In
this latter case, the image height is negative.
Angles are measured with regard to a reference line such as the z axis or a
normal to an optical surface. Counterclockwise angles are positive and
clockwise angles are negative. For example, a ray that starts on the z axis (y ¼ 0)
at the first optical surface described above and that has a height of y ¼ 2 at the
second optical surface would form a positive angle with regard to the z axis.
Finally, the sign convention for radii of curvature is that positive radii have their
center of curvature to the right of the surface, while negative radii have their
center of curvatures to the left of the surface. In general, arrowheads will be used
in the figures to help illustrate the sign of the quantities depicted. Figure 1.1
illustrates the various conventions outlined above.

1
2 Chapter 1

+y
Height > 0
Distance > 0

+z
Distance < 0
Height < 0

Angle > 0 Angle < 0

Radius > 0
Radius < 0

Figure 1.1 Coordinate system and sign convention.

1.1.2 Planar refractive surfaces

Geometrical optics is a branch of optics that utilizes a ray picture to analyze
optical systems. A ray is a specialized vector, having both an origin and a
direction that illustrates the propagation of light. Rays are useful for assessing
the optical properties of systems containing prisms, mirrors, and lenses. In
homogeneous media, rays travel in straight lines. When a ray reaches a
boundary between two media, the ray is bent or refracted. Figure 1.2
illustrates the refracting of a ray at the boundary between two regions of index
n and n0 . Snell’s law, as shown in Eq. (1.1), describes the degree of refraction
n sini ¼ n0 sin i0 , ð1:1Þ
where i and i0 are the angles the ray forms with respect to the surface normal.
The convention of using unprimed variables for values before the interface
and primed variables for values after the interface will be used in the ensuing
discussion. A ray in a medium of refractive index n that is incident on a
surface at an angle i will refract to leave the surface at angle i0 . The newly
refracted ray will then continue in a straight line until it intercepts a new
boundary.
Figure 1.2 is also useful for the sign convention that will be used to describe
angles in the ensuing discussion. Angles that are measured counterclockwise
Properties of Optical Systems 3

Index n Index n’

i'
i

Figure 1.2 Refraction of a ray at the boundary between two materials.

from a reference line (the normal to the planar interface in this case) will be
taken as positive, while clockwise rotations will represent negative angles. Both
i and i0 are positive in the Fig. 1.2.

1.1.3 Spherical refractive surfaces

The spherical refracting surface shown in Fig. 1.3 separates two optical spaces
with refractive indices of n and n0 , respectively. A line passing through the
center of curvature of the spherical surface is deemed an optical axis.
The intersection of the optical axis with the surface is called the vertex. This
surface has a radius of curvature R, which is the distance from a point on the
surface to the center of curvature. The value of R has units of length
[e.g., millimeters (mm) for elements such as the optics found in camera lenses
or meters (m) for mirrors found in astronomical telescopes]. As R approaches
infinity, the spherical surface approaches a plane. To avoid computational
issues when describing infinite radius, spherical surfaces can also be specified
in terms of surface curvature, C ¼ 1/R. Units for curvature for the examples
above are mm1 and m1. When specifying an optical surface in terms of
curvature, C ¼ 0 for a planar surface.

Index n Index n’

Vertex
Optical Axis

Radius R

Figure 1.3 Spherical refractive surface of radius R, separating spaces with refractive index
n and n0 .
4 Chapter 1

The power f of an optical surface describes its ability to cause light to

converge or diverge as it passes through the surface. The power is defined as
n0  n
f ¼ ðn0  nÞ  C ¼ , ð1:2Þ
R
which has units identical to the curvature. In cases such as that shown in
Fig. 1.3, when n0 > n, rays parallel to the optical axis will converge as they
pass through the surface. This situation is associated with a positive power.
When n0 < n, the same incident rays would diverge after refracting at the
surface. The surface would have negative power in that case.

Example
n ¼ 1.0 (air), n0 ¼ 1.5, and R ¼ 80 mm.
1:5  1:0
f¼ ¼ 0:00625 mm1 : ð1:3Þ
80 mm
If the air at the interface is replaced with water, such that n ¼ 1.33, then
the power is
1:51:33
f¼ ¼ 0:002125 mm1 : ð1:4Þ
80 mm
Note that the power is reduced when the difference between n and n0 is
reduced.
Rays traveling parallel to the optical axis are said to be collimated and on-
axis. When these rays intercept a surface with positive power, they will refract
and converge to a point F 0 . Similarly, there exists a point F in which rays that
diverge from F intercept the positively powered surface and are refracted so
that they become parallel to the optical axis. The points F and F 0 are called the
front and rear focal points of the surface, respectively. The focal length is
related to the distance from F or F0 to the surface vertex. The effective focal
length (EFL) fE is defined as the reciprocal of the power:
1
fE ¼ : ð1:5Þ
f
The front focal length (FFL) fF and the rear (back) focal length (BFL) fR0
are defined as
n
fF ¼  ¼ nfE , ð1:6Þ
f
and
n0
fR0 ¼ ¼ n0 fE : ð1:7Þ
f
Note that there are some differences in literature regarding the definition of BFL,
so caution should be used when using this value. In some cases the BFL refers to
the rear focal length fR0 , whereas as in other cases the BFL refers to the distance
Properties of Optical Systems 5

from the last optical surface to the rear focal point. For the single-refracting-
surface example above, these distances are identical. However, when optical
systems with multiple surfaces are analyzed, these distances in general will be
different. The term rear focal length will be used to describe fR0 , whereas back focal
distance (BFD) will be used here for the distance from the last refracting surface to
the rear focal point to avoid this confusion.
The effective focal length fE describes the equivalent focal length for a
media of index of one, whereas the FFL and the BFL incorporate the local
refractive index of the optical space. The front focal length fF and the rear
focal length fR0 are the physical distances to the respective focal points,
whereas the EFL need not be. For the example given by Eq. (1.3), the EFL is
fE ¼ 160 mm. The FFL fF ¼ 160 mm, meaning that the front focal point is
located 160 mm to the left of the interface. The rear focal length is fR0 ¼
240 mm, meaning that the rear focal point is located 240 mm to the right of
the interface. The longer distance in this latter case is due to the refractive
index n0 ¼ 1:5 in this region. Figure 1.4 illustrates the meaning of the front
and rear focal lengths. Figure 1.4(a) shows a ray passing through the point F
in front of the surface. This ray will ideally refract at the surface and emerge
parallel to the optical axis. The FFL is the distance from the surface vertex to
the point F. Figure 1.4(b) shows a ray traveling parallel to the optical axis
through the region of index n. For the case where n0 > n, this ray will refract at
the surface and ideally cross the optical axis at a point F0 . The rear focal length
is the distance from the surface vertex to F0 . The sign convention used for
measuring these lengths requires that distances to the left of the surface are
negative and those to the right of the surface are positive.

1.1.4 Reflective surfaces

In the case of reflective surfaces, the definitions and sign conventions outlined
above still hold as long as we assume that n0 ¼ n. Under this assumption, the
power is given by
2n
f ¼ 2nC ¼  , ð1:8Þ
R
and the assorted focal lengths are
n R 1
fF ¼ fR0 ¼  ¼ nfE ¼ ¼ : ð1:9Þ
f 2 2C
Equation (1.9) shows that collimated on-axis light striking a mirror will
focus to a point half-way between the mirror’s vertex and its center of
curvature, as shown in Fig. 1.5. The subsequent discussion considers
the imaging properties of a single refractive surface. However, all of the
definitions and derivations hold for a reflective surface, too, as long as the
preceding sign conventions and the assumption regarding n0 changing sign
after a reflection is used.
6 Chapter 1

n’ > n

fF
(a)

n’ > n

F‘

f‘R
(b)

Figure 1.4 Illustration of the front and rear focal points. (a) Rays passing through the front
focal point F are refracted by the surface and emerge parallel to the optical axis. (b) Rays
traveling parallel to the optical axis are refracted by the surface and pass through the rear
focal point F 0 .

n’ = −n

F‘

Radius R

Figure 1.5 Collimated light focuses to a point halfway to the center of curvature of the
mirror.
Properties of Optical Systems 7

1.1.5 Gaussian imaging equation

The Gaussian imaging equations allow the determination of the object and
image locations for a surface of power f. The distance from the surface vertex
to the object will be denoted by z, and the distance from the surface to the
image plane is denoted by z0 . In keeping with the sign convention, these
distances are negative if the distance is measured to the left of the surface and
positive if it is to the right of the surface. The Gaussian imaging equation is
n0 n
 ¼ f: ð1:10Þ
z0 z
The planes located at z and z0 are said to be conjugate since they satisfy the
Gaussian imaging equation. Figure 1.6 shows the object and image distances
for a single refracting surface.
Continuing the previous example, where n ¼ 1.0, n0 ¼ 1.5, and f ¼
0.00625 mm1, an object located 500 mm to the left of the surface would
be imaged to
1:5 1:0
 ¼ 0:00625 mm1 ) z0 ¼ þ 352:94 mm: ð1:11Þ
z0 ð  500 mmÞ
Since z0 is positive, the image is formed to the right of the surface.
We can also examine the transverse (or lateral) magnification of the system
for an extended object. Figure 1.7 shows an extended object of height y, located
a distance z to the left of the surface. The image of this object has a height y0 . The
sign convention states that positive heights are above the optical axis and
negative heights are below the optical axis. The transverse magnification m is
the ratio of the image height to the object height and is given by
y0
m¼ : ð1:12Þ
y

Index n Index n’

z z‘

Figure 1.6 An object located a distance z from a single refracting surface of power f will
be imaged to a point located at z0 . By convention, z < 0 and z0 > 0 in this figure.
8 Chapter 1

Index n Index n’

y
u
u‘ y‘

z z‘

Figure 1.7 An extended object of height y results in an image of height y 0 . The ratio of
these heights is the transverse magnification of the system. In this illustration, the
magnification is negative, meaning that the image is inverted.

Figure 1.7 shows a case where m < 0, which means that the image is
inverted relative to the object. This figure is also useful for developing an
alternative expression for transverse magnification. First, the paraxial
approximation needs to be developed. If U is the angle of the incident ray
and U 0 is the angle of the refracted ray, then for small object height y, the
following approximations can be made: u ≅ tanU and u 0 ≅ tanU 0 . The
paraxial angles u and u 0 are the slopes of the rays. Furthermore, the ray
undergoes refraction as described by Snell’s law in Eq. (1.1). If the object
height y is again considered to be small, then the paraxial angles u ≅ sinU
and u 0 ≅ sinU 0 . Combining these approximations, Snell’s law can be
rewritten as
ny n0 y0
nu ¼ n0 u 0 ) ¼ 0 : ð1:13Þ
z z
Rearranging Eq. (1.13) gives
y0 nz0
m¼ ¼ : ð1:14Þ
y n0 z
Continuing the example from Eq. (1.11),
352:94
m¼ ¼ 0:47 : ð1:15Þ
1:5ð500Þ
The image height is therefore about 47% of the object height and inverted
since m is negative. These relationships also enable alternative expressions for
the Gaussian imaging equation to be derived:


z0 n0 n z0 z0
 ¼ f ) 1  m ¼ , ð1:16Þ
n0 z0 z n0 fR0
Properties of Optical Systems 9

so that
z0 ¼ ð1  mÞfR0 : ð1:17Þ
Similarly, multiplying the Gaussian imaging equation by z / n and rearranging
gives


m1
z¼ fF : ð1:18Þ
m
Note that in cases where the object is located infinitely far from the
surface, the transverse magnification approaches zero. To get a useful
measure of magnification in this case, the angular magnification ma is used
instead. The angular magnification is given by
u0
ma ¼, ð1:19Þ
u
or the angular subtense of the image divided by the angular subtense of the object.

1.1.6 Newtonian imaging equation

The Newtonian imaging equation provides yet another means of relating the
object and image positions for a given refracting surface. For this relationship,
however, the object and image distances ~ z and z~ 0 are measured from the front and
rear focal points, respectively. Figure 1.8 shows a typical imaging arrangement.

In referring to Fig. 1.8, the Gaussian imaging equation can be written as either
n0 n n0 n0 n n
0 ~ 0  ~ ¼ 0 or 0 ~ 0 ~ ¼ 0: ð1:20Þ
fR þ z fF þ z fR fR þ z fF þ z fF
0
The relations can be solved for ~ z and ~ z , and combined to give
z~
~ z 0 ¼ fF fR0 , ð1:21Þ
which is known as the Newtonian imaging equation.

Index n Index n’

F F‘

~
z fF f‘R ~
z‘

z z‘

Figure 1.8 Imaging with the Newtonian equations measures the object and image
distances from the front and rear focal points.
10 Chapter 1

1.1.7 The thin lens

The thin lens is a useful concept in laying out optical systems. A thin lens is a
lens whose thickness is much smaller than its radii of curvature. In making this
approximation, the thin lens can be considered a planar surface with optical
properties similar to a single refracting surface. For a thin lens with front
radius R1 and back radius R2, the power of the lens is simply the sum of the
powers of the two surfaces. If the index of refraction of the lens material is
nlens and the refractive index of the surrounding environment is no, then the
power of the thin lens is given by


nlens  no no  nlens 1 1
f¼ þ ¼ ðnlens  no Þ  , ð1:22Þ
R1 R2 R1 R2
which is known as the Lensmaker’s equation. The preceding derivations and
definitions for focal lengths and imaging properties all hold for the thin lens
when the power f from Eq. (1.22) is used.

1.2 Aperture and Field Stops

1.2.1 Aperture stop definition
The aperture stop is a mask within the system that limits the size of the bundle
of rays that passes through an optical system. This mask can be a separate
mask or the clear aperture of one of the optical elements. The aperture stop is
typically circular, but this is not a requirement. Figure 1.9(a) shows a single
surface with the aperture stop located at the surface vertex. The object can be
considered to consist of a series of discrete point sources. Each point source
radiates light into all directions. The aperture stop in effect blocks most of
these rays and only allows a limited cone of light from the point source to pass
through the refractive surface. Figure 1.9(b) shows a case where the aperture
stop is shifted toward the object. The object and image locations as well as the
magnification of the system remain unchanged, but the cone of light coming
from the object is modified by the aperture stop location. As will be shown in
later sections and chapters, the aperture stop dimensions and location affect
the amount of light that reaches the image as well as how well the rays come
to a focus. In this latter case, note that the rays in Fig. 1.9(a) pass through
nearly the entire surface as drawn, while the rays in Fig. 1.9(b) only pass
through a peripheral portion of the surface. These different locations create
different angles of incidence for the rays at the surface and consequently
different angles of refraction following the surfaces. As will be shown, a
judicious choice of the location of the aperture stop can optimize the quality
of an optical system.

1.2.2 Marginal and chief rays

There are several special rays that provide useful information regarding the
properties of an optical system. One set of rays contains what is called the
Properties of Optical Systems 11

(a)

(b)

Figure 1.9 Limiting the bundle of rays passing through a refracting surface. (a) Aperture
stop located at the surface. (b) Aperture stop located in front of surface.

marginal rays. These rays start at the object plane on the optical axis and pass
through the edge of the aperture stop. In an ideal system, the marginal rays
exiting the system will appear to intersect the optical axis at the image plane.
In Fig. 1.9, one particular marginal ray is labeled. This ray starts on axis at the
object and passes through the upper edge of the aperture stop. This ray is
sometimes referred to as the upper rim ray. The ray starting at the same
location but passing through the lower edge of the aperture stop (lower rim
ray) is considered a marginal ray as well. Marginal rays will propagate
through the optical system and ultimately converge to the optical axis at the
image plane. Furthermore, if the marginal rays intersect the optical axis at
some location between the object and image, then an intermediate image is
formed. These intermediate image planes can be useful in that a mask or
reticle can be placed at the location, having the effect of superimposing the
reticle pattern onto the final image. This technique is often used in microscope
eyepieces, for example, to allow scaled rulings to be placed over the image in
order to measure features. Care should also be taken when designing optical
systems with intermediate image planes so that these planes are not located at
or near a lens surface. Any imperfections or debris located on this lens surface
12 Chapter 1

Figure 1.10 (a) Reticle inside a panoramic sight. (b) Close up of reticle with small particles
that get superimposed onto the image through the sight.

would be superimposed onto the final image. Figure 1.10(a) shows an example
of a reticle inside a World War I era artillery sight. The grid aids the gunner in
targeting. Figure 1.10(b) shows a close up of the image where dirt particles on
the reticle appear superimposed on the image.
A second special ray defined with regard to the aperture stop is the chief
ray (or principal ray). The chief ray is defined as the ray that starts at the edge
of the object and passes through the center of the aperture stop. Where the
chief ray crosses the optical axis is called a pupil plane. The size of this pupil is
defined by the height of the marginal ray in the pupil plane.

1.2.3 Vignetting
Vignetting occurs when a surface other than the aperture stop limits
an off-axis cone of rays passing through an optical system. In Fig. 1.9(b),
the aperture stop is located in front of the refracting surface. The size of the
aperture was chosen so that the bundle of rays passing through it intersects
the surface and refracts toward the image. In Fig. 1.11, the aperture stop
diameter is increased. In this case, the rays falling into the hashed region of the
figure miss the refracting surface and consequently do not continue to the
image plane. In reality, this refracting surface is mounted, and the mount will
clip this portion of the beam. The consequence of vignetting is to reduce the
amount of light reaching the image plane. In Fig. 1.11, the bundle of rays
starting on the optical axis is unclipped by the refracting surface, and all of the
light reaches the on-axis image point. The bundle of rays starting from the
edge of the object is vignetted, and consequently only a fraction of the rays
reach the image plane. Intermediate starting points on the object will have
varying degrees of clipping, so the effect of vignetting in general is to cause a
decrease or “roll off” of the image brightness toward the edge of the image.
Properties of Optical Systems 13

Index n Index n’

al Ray
Margin

Chi
ef R
ay
Stop

Figure 1.11 Vignetting occurs when a portion of the cone defined by the aperture stop
misses or is clipped by another element in the system. Light in the hashed portion of the
beam misses the refracting surface.

This effect is illustrated in Fig. 1.10(a) as well. The darkness of the image in
the upper and lower left corners of the image is caused by vignetting.
Vignetting can be caused by size constraints of various optical elements in a
system, or it can be intentionally introduced by the lens designer to block
certain rays from reaching the image plane. Often, the rays that are most
difficult to bring into focus come from the edge of the object. Blocking these
rays may improve image quality with only minimal or imperceptible
reductions in image brightness.

1.2.4 Field stop definition

The field stop limits the size of the object that can be used with an optical
system. The field stop is another mask within the system that blocks or clips
light coming from outside a given region of the object. Often, the field stop is
located at an intermediate image plane or at the final image plane. In the
case of the intermediate image plane, the field stop is useful for controlling
stray light that may be entering the system. When the field stop is located at
the final image plane, the image sensor (typically CMOS or CCD arrays in
today’s digital imaging systems) defines the dimensions of the field stop.
Figure 1.12 illustrates the effect of the field stop. The field stop is located at
the final image plane in this case. In Fig. 1.9(b) this imaging configuration
had an object defined by the black arrow. Placing the field stop allows only a
portion of the object to reach the image plane, so that only the gray arrow
can be recorded in the final image. CMOS and CCD arrays often serve as
the field stop and image recording device in modern imaging systems. The
specification of the size of these arrays is somewhat convoluted, and care
should be taken when determining the dimension of the arrays. The
dimensions of these digital arrays are typically specified in units of inches.
For example, 1/4 in. and 1/2 in. (read as one-quarter inch and one-half inch)
14 Chapter 1

Index n Index n’

Field
Aperture Stop
Stop

Figure 1.12 A field stop limits the size of the object that can be imaged with an optical
system.

sensors are common. The dimensions here are not the length of the diagonal
of the sensor. The dimensions for these sensors are 3.2  2.4 mm and 6.4 
4.8 mm, respectively. The naming convention for these sensors comes from
their predecessor, vidicon tubes. Vidicon tubes were originally developed in
the 1950s and were used for recording images in video cameras. Figure 1.13
shows a photograph of a vidicon tube. An image was projected onto the
circular end of the tube. The intensity variations of the image changed the
local capacitance of the tube. An electron beam was raster scanned across a
rectangular region of the tube end. Variations in read-out voltage encoded
the image. The inch dimension for specifying CMOS and CCD arrays refers
to the diameter of the equivalent vidicon tube. The true active area of the
tube and consequently the digital arrays is smaller. Table 1.1 provides a
listing of common CMOS and CCD sensors and their corresponding array
dimensions.
The dimensions of a digital image sensor and its corresponding resolution
provide insight into the size of the individual pixels on the sensor. For example,

Figure 1.13 Vidicon tube. An image is projected onto the circular region at the left end of
the tube leading to variations of capacitance on the surface. An electron beam within the
tube scans across this surface and the resulting voltage variations encode the image
(reprinted from Wikimedia Commons).
Properties of Optical Systems 15

Table 1.1 Common CMOS and CCD sensors and their dimensions.

Sensor type Width (mm) Height (mm) Diagonal (mm)

1/10 in. 1.28 0.96 1.60
1/8 in. 1.60 1.20 2.00
1/6 in. 2.40 1.80 3.00
1/4 in. 3.20 2.40 4.00
1/3.6 in. 4.00 3.00 5.00
1/3.2 in. 4.54 3.42 5.68
1/3 in. 4.80 3.60 6.00
1/2.7 in. 5.37 4.04 6.72
1/2.5 in. 5.76 4.29 7.18
1/2 in. 6.40 4.80 8.00
1/1.8 in. 7.18 5.32 8.93
1/1.7 in. 7.60 5.70 9.50
1/1.6 in. 8.08 6.01 10.07
2/3 in. 8.80 6.60 11.00
1 in. 12.80 9.60 16.00

a common commercially available image sensor is specified as a 1/3-in. CCD

array with a resolution of 1296  964 pixels. From Table 1.1, the dimensions of
this sensor are 4.8  3.6 mm. If the horizontal and vertical dimensions are
divided by the number of pixels in the corresponding directions, then each pixel
is 3.75-mm square.

1.3 First-Order Properties of an Optical System

1.3.1 Gaussian imaging with multiple surfaces
In the previous sections, only a single refracting surface was considered.
However, optical systems have many refracting (and/or reflecting) surfaces.
The concepts introduced previously are easily extended to multisurface
systems. One technique for finding the location and magnification of an image
for a given object when multiple surfaces are involved is to repeatedly use the
Gaussian imaging equation. Conceptually, the image location and magnifica-
tion of the object are determined for the first surface in the optical system via
the Gaussian imaging equation. This image (and its size) is then used as the
object for the second surface. The process is repeated for each of the surfaces
in the system until the final image is found.
For example, Fig. 1.14 shows an optical system with M surfaces. An
object of height y1 is located a distance z1 to the left of the first surface. Using
Eq. (1.10),
n01 n1 0 n01 z1
 ¼ f1 ) z 1 ¼ , ð1:23Þ
z01 z1 f1 z1 þ n1
where f1 is the power of the first surface, the distance z01 where the image is
formed by the first surface can be calculated. Furthermore, the height of this
16 Chapter 1

Surface 1 Surface 2 Surface M

Index n1 Index n’2

y1
Index n’1 =n2

y‘2 y‘1 = y 2

z‘2

t‘1 z2
z1 z‘1

Figure 1.14 Repeated application of the Gaussian imaging equation is used to determine
the image position and size for systems with multiple surfaces.

image y01 can be calculated using Eq. (1.14) for the transverse magnification
such that
n1 z01
y01 ¼ y: ð1:24Þ
n01 z1 1
The image formed by the first surface now becomes the object for the
second surface by assuming that
z2 ¼ z01  t01 ; and y2 ¼ y01 , ð1:25Þ
where t01 is the separation between the first and second surfaces.
Furthermore, the refractive index n01 following the first surface is the same
as the refractive index n2 preceding the second surface. In other words, the
new object distance is the location of the image formed by the first surface
relative to the vertex of the second surface, and the new object height is the
height of the image formed by the first surface. The steps outlined in
Eqs. (1.23) and (1.24) are repeated for all M surfaces to determine the
location and size of the final image formed by the complete optical system.
While this technique is functional and conceptually easy to understand, the
technique of paraxial raytracing outlined in the next section not only
provides the same information, but also provides additional insight into
useful properties of the optical system.

1.3.2 Paraxial raytracing

Paraxial raytracing, sometimes called ynu raytracing, is a powerful technique
for understanding the properties of rotationally symmetric optical systems. As
the name implies, the rays involved are in the neighborhood of the optical axis
but can be applied to much larger regions. These paraxial rays in particular
are easy to work with since exact raytracing algorithms can be simplified to
Properties of Optical Systems 17

become strictly linear. This linearity of the equations governing paraxial

raytracing explains the choice of name for the optical system parameters
derived from the paraxial quantities: first-order optics.
Figure 1.15 shows the geometry for deriving the refraction of a paraxial
ray. Here, the subscript on the variables is in reference to the refracting surface
they are associated with. Furthermore, for clarity, the primed variables have
been replaced by their equivalent unprimed values incident on the next
surface. For example, the paraxial ray angle following the refraction at
surface 1 would typically be specified as u01 . However, this paraxial angle is
equivalent to u2, the paraxial angle incident on surface 2. In reference to the
figure, consider a ray leaving point O on the optical axis and intersecting
surface 1 of radius R1 at a height y1 above the optical axis. This ray is
refracted by the surface using Eq. (1.1) then propagates to cross the optical
axis at point O0 . Several angles are involved in the derivation. First, the angle
a is formed by drawing a line from the center of curvature of the surface
through the point of intersection. By definition, this line is normal to the
spherical surface. The angles u1 and u2 are the paraxial angles, which are just
the slopes of the incident and refracted rays. Note that the paraxial angles are
unitless. Finally, angles i1 and i2 are the angles of incidence and refraction of
the rays relative to the surface normal. The arrows on each of the angles in
Fig. 1.15 indicate their sign. Angles measured in the counterclockwise
direction are positive and angles measured in the clockwise direction are
negative. From the diagram, the following relationships hold:
i1 ¼ u1  a and i2 ¼ u2  a: ð1:26Þ
Furthermore, Snell’s law holds for the rays such that
n1 sin i1 ¼ n2 sin i2 : ð1:27Þ
As the height of the point of intersection y1 is reduced, several approximations
become valid. First, all the angles involved become small, such that i1 ≅ sin i1
and i2 ≅ sin i2 . This is effectively the same approximation that was made
when deriving the transverse magnification in Eq. (1.14). In that case, the

i1 α
Index n1 α Index n 2

y1 i2
u1 α u2
O R1 O‘

Surface 1

Figure 1.15 Geometry for the refraction of a paraxial ray at a surface.

18 Chapter 1

point of intersection was on the optical axis, so a equaled zero. The second
effect of making y1 small is that the spherical refracting surface is essentially a
plane over the scale. In this realm,
y
tanðaÞ≅  a ≅ 1 : ð1:28Þ
R1
Combining the small-angle approximations with the definitions in Eqs. (1.2)
and (1.26) through (1.28) gives the paraxial refraction equation:
n2 u2 ¼ n1 u1  y1 f1 , ð1:29Þ
where f1 is the power of the refracting surface. Note that when the paraxial
angle u is weighted by the index of refraction n, the resultant quantity nu is
called the optical angle. The paraxial refraction equation states that the
optical angle of the refracted ray is linearly dependent on the optical angle of
the incident ray, the height of the ray intersection, and the surface power.
Equation (1.29) describes the paraxial refraction of a ray at a surface. To
complete the paraxial raytracing algorithm, a similar expression is needed to
determine the change in the ray height between the current surface and the
next refracting surface. In this manner, multiple surfaces can be raytraced by
alternating between refracting at a surface and transferring the ray to the next
surface. Continuing the paraxial raytracing process, if a second refractive
surface followed by an index n3 is added to the geometry shown in Fig. 1.15,
then the ray refracted from the first surface will propagate until it intersects
the second surface at a height of y2 . Figure 1.16 shows the geometry of the
system with the second refracting surface in place. When propagating from
surface 1 to surface 2, the slope of the ray remains unchanged, but its height
varies. To determine the point of intersection of the ray on the second surface,
similar approximations apply as appeared in the paraxial ray refraction
derivation. As the values of y1 and y2 are decreased so that the rays are in the
neighborhood of the optical axis, the small heights mean that the curved
refracting surfaces are essentially planar in this region. This assumption
indicates that the axial separation between the points of intersection of the ray
on surfaces 1 and 2 is approximately the same as the separation between the

Index n 2
Index n1 u2 Index n 3

y1
y2
u1
O t2

Surface 1 Surface 2

Figure 1.16 Geometry for the transfer of a paraxial ray between two surfaces.
Properties of Optical Systems 19

surface vertices t2 . Furthermore, since the paraxial angles are just the slopes of
the rays, the paraxial angle is just the ratio of the change in ray height over the
change in the separation between the surfaces. Using these approximations in
Fig. 1.16,
y y
u2 ¼ 1 2 : ð1:30Þ
t2
Note that the minus sign appears before the paraxial angle u2 in this case
because, as drawn in Fig. 1.16, this angle is negative, while both y1 y2 and t2
are positive. Rearranging Eq. (1.30) and multiplying and dividing by the
refractive index n2 gives


t2
y2 ¼ y1 þ n2 u2 : ð1:31Þ
n2
Equation (1.31) is known as the paraxial transfer equation. Incorporating
the index of refraction allows the paraxial transfer equation to be written in
terms of the optical angle n2 u2 , which is the form that the paraxial refraction
equation provides. The quantity t2 / n2 is known as the reduced thickness. In
this example, only two refracting surfaces were considered, but the paraxial
raytracing process can be generalized to an arbitrary number of surfaces. For
the jth surface in a series of optical surfaces, the paraxial transfer and
refraction equations can be summarized as

0
0 0 tj
yjþ1 ¼ yj þ n j u j 0 ð1:32Þ
nj
and
n0j u0j ¼ nj uj  yj fj , ð1:33Þ
where the primed notation is again used to refer to values following the jth
surface, and the unprimed values refer to quantities prior to the jth surface.
Repeated application of Eqs. (1.32) and (1.33) allows a paraxial ray to be
traced through a multisurface optical system. The spacings tj , indices nj , and
surface powers fj of the optical system are defined. To trace a ray from the
object of known height y0 and optical angle n00 u00 , first the intersection height
y1 of this ray with the first surface is determined with Eq. (1.32). Next, the
optical angle n01 u01 is calculated with Eq. (1.33) by noting that n1 u1 ¼ n00 u00 .
The outputs of these operations are the ray height y1 and the optical angle
leaving the first surface n01 u01 , given the inputs y0 and n00 u00 as well as the
parameters of the first surface. The process is then repeated for the second
surface and so on to find the various ray heights and optical angles
throughout the system.
Paraxial raytracing can be implemented in a variety of ways. One
technique is to use matrix operations for transfer and refraction. However, we
will use a more conventional “brick chart” method. Figure 1.17 shows the
design of a cemented doublet from Edmund Optics (Part 45793). The specified
20 Chapter 1

N-LAK22 N-SF6

4.5 2.5

R3 = −84.13
R1 = 15.56

R2 = −13.75

Figure 1.17 Cemented doublet designed for a wavelength of 880 nm.

thicknesses and radii are in units of millimeters. The doublet is designed for a
wavelength of 880 nm, so the refractive indices of N-LAK22 and N-SF6 are
1.6408 and 1.7801, respectively.
Table 1.2 shows the results of a paraxial raytrace for the cemented doublet.
The raytrace is easily implemented into spreadsheet software. The spreadsheet is
arranged so that every other column represents a surface in the optical system.
Here, the object plane, three surfaces of the cemented doublet, and the image
plane are labeled. Values in these columns represent data corresponding to the
surface, such as its radii, curvature, power (or its negative), and the height of a
paraxial ray when it intersects the surface. The columns between the surfaces
contain values associated with the spaces between surfaces, such as the
separation, refractive index, reduced thickness, and the optical angle of a
paraxial ray traveling between the previous and subsequent surface. Several rows
of data are needed to set up the paraxial raytrace. The first four rows of the table

Table 1.2 Paraxial raytrace of a cemented doublet.

Object Surface 1 Surface 2 Surface 3 Image

R 1 15.56 13.75 84.13 1

C 0 0.064267 0.07273 0.01189 0

t 1 4.5 2.5 t03

n 1 1.6408 1.7801 1

f 0 0.0411825 0.01013 0.009273

t/n 1 2.742565 1.404415 t03

yja 1 0.887054 0.841838 0

njuja 0 0.0411825 0.0321959 0.0400018

yjb 0 0.274256 0.4186001 2.499885

njujb 0.1 0.1 0.102778 0.0988970

Properties of Optical Systems 21

correspond to information given about the optical system, including surface radii,
surface curvature, thickness, and refractive index placed in their appropriate
columns. The values for the first, third, and fourth rows are given in Fig. 1.17. The
curvature values in the second row are simply the reciprocals of the corresponding
surface radii. The distance from the object to the first surface is assumed to be
infinite here, and the distance from the last surface vertex to the image plane is set
to t03 . These values assume an infinite object distance and assume that the image
plane lies at the rear focal point of the lens. Two more rows of calculations are
added for convenience. The first row contains f, which is calculated by negating
the power in Eq. (1.2). The second row contains the reduced thickness t=n,
calculated simply by taking the ratio of the thickness to the index from previous
rows in the table. With these values in place, paraxial rays are now easily traced
through the system.
The location of the image plane can be found by tracing a paraxial ray
parallel to the optical axis. In this example, this ray will be called the a ray,
and the subscript a will be used on the surface heights and optical angles.
Since the ray is sought to be parallel to the optical axis, n1 u1a ¼ 0. The height
of the a ray at the first surface can be any value, but a value of y1a ¼ 1 will be
chosen for convenience. The optical angle of this ray following refraction at
the first surface is calculated from Eq. (1.33) as
n01 u01a ¼ n1 u1a  y1a f1
ð1:34Þ
¼ 0 þ 1  ð0:0411825Þ ¼ 0:0411825:
Here, the value of calculating f is seen. The optical angle following
refraction is calculated simply by multiplying the cells for y1a and f1 , and
adding the cell for n1 u1a . The height of the intersection of this refracted ray
with the second surface is calculated from Eq. (1.32) as

0
t1
y2a ¼ y1a þ n01 u01a 0
n1 ð1:35Þ
¼ 1 þ ð0:0411825Þ  ð2:742565Þ ¼ 0:887054:
Again, the value of calculating the reduced thickness is seen in that the height
of the ray at the second surface is calculated by simply multiplying the cells for
n01 u01a by the reduced thickness and then adding the cell for y1a . This process is
repeated for the second and third surfaces to propagate the paraxial ray
through the system. The final equation in the series is

0
0 0 t3
y4a ¼ y3a þ n 3 u 3a 0 , ð1:36Þ
n3
where the subscript 4 refers to the image plane. In this expression, t03 is
unknown. However, as the image plane is located at the rear focal point and
the a ray is parallel to the optical axis when it enters the system, the height of
22 Chapter 1

the a ray at the image plane should be zero. Therefore, Eq. (1.36) can be
rearranged to give
0:841838
0 ¼ 0:841838 þ ð0:0400018Þðt03 Þ)t03 ¼ : ð1:37Þ
0:0400018
Thus, t03 ¼ 21:04498 mm. Note that Edmund Optics in its specifications calls
this distance the back focal length. This description should not be confused
with the definition of the rear focal length f 0R given in Eq. (1.7).
The process outlined above can be performed for any ray given a ray
height and optical angle incident on the first surface to initiate the process.
A second ray, called the b ray, is included in the paraxial raytrace in Table 1.2.
This ray was chosen to be independent of the a ray, meaning that it is not
simply a scaled version on the a ray (i.e., the initial optical angle is not zero).
For this example, the b ray is chosen to have a height of zero at the first
surface and an optical angle incident on the first surface of 0.1. The paraxial
refraction and transfer equations are used in a manner similar to that
described for the a ray to propagate the b ray through the system. The
calculated values are shown in the table.
While these techniques are useful for rays in which the height and slopes
are known at the beginning of the system, the situation where the ray
parameters are known at some later point in the system poses some issues. For
example, the properties of a given ray emerging from the optical system are
often known. The paraxial transfer equation can be used to propagate this
paraxial ray to the image plane. However, the heights and optical angles for
the ray at early surfaces in the system remain unknown. A method for
recovering the ray parameters for an earlier surface for known parameters at
some later point in the optical system is needed. There are two techniques for
handling this situation. The first technique is to reorder Eqs. (1.32) and (1.33)
such that

0
0 0 tj
yj ¼ yjþ1 nj uj 0 ð1:38Þ
nj
and
nj uj ¼ n0j u0j þ yj fj : ð1:39Þ
In this case, the height at an earlier surface is determined from values that
follow it. Similarly, the optical angle of the refracted ray and the surface
parameters are used to calculate the optical angle of the incident ray. To
summarize, Eqs. (1.32) and (1.33) are used to propagate paraxial rays forward
through a system, and Eqs. (1.38) and (1.39) are used to propagate paraxial
rays backward through a system. Thus, depending on the location of the
known ray parameters, the ray can be propagated backward or forward to fill
the whole space from object to image plane.
A second technique for handling paraxial rays where the known
parameters are not at the first surface is known as ray scaling. Equations (1.32)
Properties of Optical Systems 23

and (1.33) form a system of equations that are linear in y and nu. One of the
properties of these linear systems is that a new ray, which will be denoted as
the c ray, can be constructed from a linear combination of two independent
rays such that
yjc ¼ Ayja þ Byjb
ð1:40Þ
nj ujc ¼ Anj uja þ Bnj ujb ,
where A and B are constants. Solving Eq. (1.40) for A and B gives
yjc nj ujb yjb nj ujc yjc nj uja þ yja nj ujc
A¼ and B¼ : ð1:41Þ
yja nj ujb yjb nj uja yja nj ujb yjb nj uja
Note that linearity holds for the optical angle after the surface as well.
Consequently, Eqs. (1.40) can be modified by adding primes to all of the
optical angles and will still be valid. The cemented doublet example will be
expanded to illustrate the use of ray scaling. Suppose that the lens in
Fig. 1.17 is used in a system where the aperture stop is located on the third
surface and has a diameter of 8 mm. Furthermore, suppose that the field
stop is at the image plane and limits the height of the chief ray to
2.104498 mm. Based on these specifications, ray scaling can be used to
determine the properties of the marginal and chief rays throughout the
system. The notation yj and nj uj will be used for the parameters of the
marginal ray at each surface, and the chief ray parameters will be given by
yj and nj u j . The latter parameters should be read as “y bar” and “nu bar,”
respectively. Figure 1.18 illustrates the parameters associated with the
marginal and chief rays as they emerge from the cemented doublet. The
aperture stop specification suggests that the height of the marginal ray at
the last surface is y3 ¼ 4 mm since the marginal ray must pass through the
edge of the aperture stop. Furthermore, the optical angle of the marginal
ray emerging from the aperture stop is n03 u03 ¼ y3 =t03 ¼ 0:190069.
In terms of the chief ray, the height of the chief ray at the aperture stop
is y 3 ¼ 0:0 mm since the chief ray must pass through the center of

Aperture Field
Stop Stop
n‘3 = 1
Margin
al Ray
y3
Chief Ray y4
u‘3 u‘3

t‘3

Figure 1.18 Cemented doublet with the aperture stop at the last surface and the field stop
on the image plane.
24 Chapter 1

the aperture. The chief ray height at the image plane is y 4 ¼ 2:104498 mm
since the chief ray is limited by the edge of the field stop. The optical
angle of the chief ray emerging from the aperture stop is n0 3 u 0 3 ¼
2:104498=t03 ¼ 0:1.
Based on these values and the values from Table 1.2, the ray scaling
constants for the marginal ray are
y3 n03 u03b y3b n03 u03
A¼
y3a n03 u03b y3b n03 u03a

4ð0:0988970Þ0:4186001ð0:19007Þ
¼ ¼ 4:751513 ð1:42Þ
0:841838ð0:0988970Þ0:4186001ð0:0400018Þ
and
y3 n03 u03a þ y3a n03 u03
B¼
y3a n03 u03b y3b n03 u03a
4ð0:0400018Þ þ 0:841838ð0:19007Þ
¼ ¼ 0: ð1:43Þ
0:841838ð0:0988970Þ0:4186001ð0:0400018Þ
Similarly, if the chief ray parameters are used in place of the marginal ray
parameters, then A ¼ 0:4186001 and B ¼ 0:841838, where the bars have
been added to the ray scaling constants to distinguish them from the marginal
ray scaling constants. Now Eq. (1.40) can be used to calculate the ray heights
and optical angles of the marginal and chief rays at the other surfaces in the
system. For example, the chief ray parameters at the first surface are given by
y 1 ¼ A y1a þ B y1b ¼ 0:4186001  ð1Þ þ 0:841838  ð0Þ ¼ 0:4186001
n1 u 1 ¼ A n1 u1a þ Bn1 u1b ¼ 0:4186001  ð0Þ þ 0:841838  ð0:1Þ ¼ 0:0841838: ð1:44Þ

Table 1.3 summarizes the heights and optical angles for the marginal and
chief rays at the various surfaces of the cemented doublet.

1.3.3 Cardinal points

Six “special” points known as the cardinal points are defined by the paraxial
raytracing data for a complex rotationally symmetric optical system. With
knowledge of these six points, a multi-element optical system can be reduced

Table 1.3 Marginal and chief ray parameters for cemented doublet.
Object Surface 1 Surface 2 Surface 3 Image

yj 4.751508 4.214846 4 0

nj uj 0 0.19568 0.15298 0.19007

yj 0.4186001 0.140442 0 2.104498

nj uj 0.0841838 0.101423 0.1 0.1

Properties of Optical Systems 25

Optical System Optical System

F P P‘ F‘

Optical System Optical System

θ
P P‘ θ N N‘

Figure 1.19 Cardinal points of an optical system.

to a “black box,” and properties of the rays entering and leaving the system
can be easily determined without knowledge of all of the surfaces, spacing,
and materials within the box. Figure 1.19 shows the properties of the cardinal
points of a generalized optical system.
The first two cardinal points are the front and rear focal points, F and F0 .
These points were encountered previously in Fig. 1.4 for a single refracting
surface. For the generalized optical system, a ray passing through the front
focal point F will emerge from the optical system parallel to the optical axis.
Similarly, a ray parallel to the optical axis entering the optical system will
emerge from the system and pass through the rear focal point F0 . The front
and rear focal points also define the front and rear focal planes, which are
planes perpendicular to the optical axis and intersecting the optical axis at
their respective focal points. If a point source is placed on the front focal plane
but off the optical axis, then the light emerging from the optical system will be
collimated but propagating at an angle to the optical axis. Similarly,
collimated light entering the optical system at an angle to the optical axis will
emerge from the optical system and come to a focus at a point on the rear
focal plane. The position of the focal spot will be dependent on the angle of
the incident collimated rays.
The second set of cardinal points are the front and rear principal points, P
and P0 . As with the focal points, the principal points define the intersection of
the front and rear principal planes with the optical axis. The principal planes
are said to be planes of unit magnification. A ray striking the front principal
plane at a given location is mapped to an identical location on the rear
principal plane and appears to emerge from that point. In general, the
emerging ray will be traveling in a direction different from that of the incident
ray. The last pair of cardinal points are the nodal points, N and N0 . A ray
traveling at an angle to the optical axis and passing through the front nodal
point emerges from rear nodal point at the same angle.
The cardinal points of the cemented doublet example can be found using
the paraxial raytracing results. First, the location of the rear focal point is
found by tracing a collimated on-axis incident ray and determining where this
26 Chapter 1

ray crosses the optical axis after it emerges from the optical system. The
parameters of the a ray were previously used in Eq. (1.37) to determine that
t03 ¼ 21:04498 mm, or in other words, the rear focal point F 0 is located
21.04498 mm to the right of the last surface of the cemented doublet. Next, the
rear principal plane is found. This plane is located by finding the intersection
of the incident marginal ray and the emerging marginal ray.
In Fig. 1.20, the incident marginal ray is projected forward from the first
surface, and the emerging marginal ray is projected backward from the third
surface. The intersection of these two projections defines the location of the rear
principal plane. The corresponding rear principal point is located at the intersection
of the rear principal plane and the optical axis. The distance from the rear principal
plane to the rear focal point for the cemented doublet example is given by
y1
P0 F 0 ¼  u0 ¼ 24:99885 mm: ð1:45Þ
3
For a multisurface optical system with M total surfaces, the distance from the
rear principal point to the rear focal point is found in a similar manner, but u03
is replaced by u0M in Eq. (1.45). Furthermore, the rear focal length of this
multisurface system is defined as fR0 ¼ P0 F 0 .
The front focal point and front principal plane are found by first tracing a
ray through the system that emerges from the last surface parallel to the optical
axis. In general, any ray that has its emerging ray parallel to the optical axis can
be used. For the cemented doublet example, ray scaling will be employed to
define a c ray that satisfies this requirement. For convenience, the ray just
passing through the edge of the field stop with height y3c ¼ 2:104498 mm and
paraxial angle u03c ¼ 0 will be determined. Using Eqs. (1.40), the ray scaling
constants are given by A ¼ 2:081285 and B ¼ 0:841838. Based on these
constants, the height and optical angle of the c ray at the first surface are
y1c ¼ Ay1a þ By1b ¼ 2:081285 mm
ð1:46Þ
n1c u1c ¼ An1 u1a þ Bn1 u1b ¼ 0:0841838:

Aperture Field
Stop Stop
n‘3 = 1
Margin
al Ray
y1

P‘ u‘3 F‘

P‘F’

Figure 1.20 The rear principal plane is located at the intersection of the incident and
emerging marginal ray segments.
Properties of Optical Systems 27

Note that the optical angle of this ray is the same as the optical angle of
the chief ray incident on the first surface. This occurs because the c ray was
chosen to intersect the chief ray at the edge of the field stop in the rear focal
plane. Consequently, the corresponding incident rays must be parallel to one
another. The front focal point is found by determining where the incident c
ray crosses the optical axis. This location is given by
y1c
V 1 F ¼  u ¼ 24:723106 mm, ð1:47Þ
1c
where V 1 is the position of the vertex of the first surface. The minus sign in
this calculation means that the front focal point lies to the left of the first
surface. The front principal plane is found by projecting the incident and
emerging c ray, and finding where they intersect. For the cemented doublet
example, the distance from the front principal plane to the front focal
point is
y3c
PF ¼  u ¼ 24:99885 mm: ð1:48Þ
1c
The minus sign indicates that the front focal point is to the left of the front
principal point. Based on Eqs. (1.47) and (1.48), the front principal point lies
0.275744 mm to the right of the first surface. For a multisurface optical system
with M total surfaces, the distance from the front principal point to the front
focal point is found in a similar manner, but y3c is replaced by yMc in
Eq. (1.48). In addition, the front focal length of this multisurface system is
defined as fF ¼ PF . Figure 1.21 shows the layout for determining the front
focal length of the cemented doublet example.
Finally, the nodal points can be found relative to the principal points. In
general, the nodal points of a system with M surfaces are shifted relative to the
corresponding principal points such that
0 0
PN ¼ P0 N 0 ¼ fF þ fR ¼ ðn M  n1 ÞfE , ð1:49Þ

Aperture Field
n1 = 1 Stop Stop
y1c y3c
F u1c V1 P P‘ F‘

PF P‘F’
Figure 1.21 A ray that emerges parallel to the optical axis is used to determine the
locations of the front focal point and front principal point.
28 Chapter 1

where n0M is the refractive index following the last surface (i.e., the image
space index) and n1 is the refractive index preceding the first surface (i.e., the
object space index). In many cases including the cemented doublet example,
the object and image space indices are identical, so the nodal points coincide
with their respective principal points.

1.3.4 Entrance and exit pupils

The entrance pupil is the image of the aperture stop formed by all of the lens
(optical) surfaces preceding the stop, and the exit pupil is the image of the stop
formed by all of the surfaces following the stop. If the entrance pupil is the
object for the entire system, its image is formed at the exit pupil. For a well-
corrected system, the exit pupil is a 1:1 mapping of the entrance pupil, which is
to say that the scaling of rays passing through the entrance pupil will be
mapped to the same relative position in the exit pupil. The entrance pupil can
be thought of as a port that captures light from the object scene. The light that
gets into the entrance pupil makes it to the exit pupil (assuming no loss due to
reflections and/or vignetting) and contributes to the image. Figure 1.22 shows
the entrance and exit pupils for a typical camera lens.
The positions of the entrance and exit pupil are determined by the position
at which the chief ray appears to cross the optical axis in object and image
space. The chief ray incident on the first surface is projected to determine the
point at which it crosses the optical axis. This point defines the location of
the entrance pupil. The size of the entrance pupil is determined by projecting
the incident marginal ray onto the plane of the entrance pupil. The marginal
ray will define the boundary of the entrance pupil. Similar definitions hold for
the exit pupil, where the emerging chief and marginal rays are used to define
the location and size of the exit pupil. Figure 1.23 shows the layout for finding

Figure 1.22 Entrance and exit pupils of a typical camera lens.

Properties of Optical Systems 29

n1 = 1 Aperture Field
Stop Stop
Marginal Ray
Margin
al Ray
y1
V1 Chief Ray
y1
E E‘ F‘
u1
Chief Ray

Figure 1.23 Determination of the entrance and exit pupil locations.

the entrance and exit pupils. Based on the values in Table 1.3, the distance
from the first surface vertex to the entrance pupil E is
y1
V 1 E ¼  u 1 ¼ 4:972455 mm: ð1:50Þ
Projecting the incident marginal ray onto the entrance pupil plane
determines the diameter of the entrance pupil. Since the incident marginal ray
is parallel to the optical axis, the entrance pupil diameter for the cemented
doublet example is simply DE ¼ 2y1 ¼ 9:503017 mm. In terms of the exit
pupil for this example, the aperture stop is located at the last surface of the
doublet, and consequently there are no optical surfaces after the stop to form
an image of the exit pupil. As a result, the exit pupil E0 is located at the
aperture stop and has the same diameter.
For a general optical system with M surfaces, the incident marginal ray
may not be parallel to the optical axis, and the entrance and exit pupils are not
necessarily located at the aperture stop. In this general case, the location and
diameter of the entrance pupil are given by
 
y1  u1 y 1 

V 1 E ¼  u 1 and DE ¼ 2  y1  u 1 : ð1:51Þ

Similarly, the exit pupil location and diameter are given by

 
yM  u0
y 
and DE 0 ¼ 2  yM  0 :
M M
V M E0 ¼  u 0 u ð1:52Þ
M M

1.3.5 Extension of Gaussian imaging to thick systems

In Section 1.1.3, the power of a single spherical refractive surface as well as the
front, rear, and effective focal lengths of the surface were defined. In
Section 1.1.5, this surface power was used to relate an object a distance z from
the surface vertex to its image a distance z0 from the surface via the Gaussian
imaging equation. The transverse magnification of the image was also defined
in this latter section. For a single spherical refractive surface, the principal
30 Chapter 1

points coincide with the surface vertex and consequently with one another. In
systems with M optical surfaces, the principal points in general no longer
coincide with one another or with any of the surface vertices. The concepts of
focal length, power, and the Gaussian imaging relationship can be generalized
to handle this multisurface system. The front and rear focal lengths of the
system are given by
fF ¼ PF and f R0 ¼ P0 F 0 : ð1:53Þ
The power F of the system is
n0M n1
F¼ 0 0
¼ : ð1:54Þ
PF PF
Equation (1.5) for the effective focal length remains as the reciprocal of
the system power. The Gaussian imaging equation [Eq. (1.10)] can be used to
relate the object and image positions if the distances to the object and image
planes are measured relative to their respective principal points. An object
located at a point O is imaged to a point O0, and the effective object and image
distances are given by z ¼ PO and z0 ¼ P0 O0 . The Gaussian imaging equation
becomes
n0M n1
0
 ¼ F: ð1:55Þ
P0 O PO
Finally, the transverse magnification as given by Eq. (1.14) becomes

n1 P0 O0 z0 =n0M
m¼ ¼ ð1:56Þ
n0M PO z=n1
for the multisurface system, where z and z0 are defined in Fig. 1.24. This figure
also shows a system reduced to its cardinal points, as well as the generalized
definitions for front and rear focal points and object and image distances.
For the cemented doublet example, the front focal length from Eq. (1.48) is
–24.99885 mm, the rear focal length is 24.99885 mm, and the power of the lens
is 0.0400018 mm–1.

Index n1 Index n’M

fF f‘R

O F P P‘ F‘ O‘

z z‘
Figure 1.24 Gaussian imaging of a system simplified to its cardinal points.
Properties of Optical Systems 31

1.3.6 Longitudinal magnification

The longitudinal magnification of an optical system describes the apparent
shift in the image plane location for a change in the object location. In
Fig. 1.25, an object located at point O is imaged to the point O0 . If the object is
shifted along the optical axis a distance Dz, there is a corresponding shift Dz0
in the image position. The shift in the image location is given by
n0M
Dz0 ¼ m1 m2 Dz, ð1:57Þ
n1
where m1 and m2 are the transverse magnifications for the original and shifted
system, respectively. For small shifts, the values of the transverse magnification
for the two positions are nearly identical. The longitudinal magnification m of a
system is given by
0 0
nM nM
m ¼ m m
1 2 ≅ m2 , ð1:58Þ
n1 n1 1
One potential application of longitudinal magnification is to determine
the required adjustment for an image plane sensor. If the position of an object
can only be known to within a tolerance of Dz, then the image plane sensor
needs to be adjustable within the range of Dz0 ¼ mDz to ensure that the object
can be brought into focus.

1.3.7 Lagrange invariant and the AΩ product

Using Eq. (1.39), the paraxial refraction equation for the marginal and chief
rays at the jth surface of a system can be written as
nj uj ¼ n0j u0j þ yj fj and nj u j ¼ n0j u 0j þ y j fj : ð1:59Þ
Solving both equations for fj and equating leads to the following relationship:
nj u j yj nj uj y j ¼ n0j u 0j yj n0j u0j y j : ð1:60Þ
Note that the quantity on the left side of Eq. (1.60) has the same form as the
quantity on the right side of the equation. The difference between the two
sides is that the optical angles for the left side are prior to the surface and the

Δz Index n1 Index n’M

Δz’
O F P P‘ F‘ O‘

z1 z‘1

z2 z‘2

Figure 1.25 Displacement of the image plane for a small change in the object location.
32 Chapter 1

optical angles on the right side follow refraction from the surface. This
relationship suggests that the quantity described by either side of the equation
remains invariant with paraxial refraction at a surface.
Similarly, Eq. (1.32), the paraxial transfer equation for the marginal and
chief rays at the jth surface of a system, can be written as

0
0
0 0 tj 0 0 tj
yjþ1 ¼ yj þ n j u j 0 and y jþ1 ¼ y j þ n j uj 0 : ð1:61Þ
nj nj
Solving both equations for the reduced thickness and rearranging gives
nj u j yj nj uj y j ¼ nj u j yjþ1 nj uj y jþ1 : ð1:62Þ
Note that the quantity on the left side of Eq. (1.62) has the same form as
the quantity on the right side of the equation. The difference between the
two sides is that the ray heights for the left side are for the jth surface and
the ray heights on the right side are for the following surface. This
relationship suggests that the quantity described by either side of the
equation remains invariant with transfer between two surfaces. Further-
more, the quantities in Eq. (1.62) have the same form as the quantities in
Eq. (1.60), suggesting that regardless of transfer or refraction, the
quantity remains unchanged throughout the paraxial optical system.
The Lagrange invariant Ж (Cyrillic “Zhe”) is defined as
Ж ¼ nu y  nuy, ð1:63Þ
where the optical angles and ray heights can be evaluated prior to or following
any surface in the system. The Lagrange invariant will be identical for each
location. At the object or image planes, the Lagrange invariant reduces to
Ж ¼ nuy, ð1:64Þ
since y ¼ 0. Similarly, at the pupil,
Ж ¼ nuy, ð1:65Þ
since y ¼ 0.
The Lagrange invariant is related to the AV product (also known as
étendue or throughput) of an optical system. In radiometry, the radiant flux
Fe that can pass through an optical system is given by
Fe ¼ Le AV, ð1:66Þ
where Le is the source radiance, A is the area of the entrance pupil, and V
is the solid angle subtended by the source. Equation (1.66) assumes no
losses due to reflection or vignetting at the surfaces. From Fig. 1.26, the
area of the entrance pupil and solid angle subtended by the source are
given by
2
py
A ¼ py and V ¼ 2 ,
2
ð1:67Þ
r
Another Random Scribd Document
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unusual care, but did not start till the last moment. He was shown
up into the drawing-room as usual. Mercedes and her two sisters
were in the room.
"I have to quarrel with you," the former said laughingly. "I hear
that you have been cruelly ill-treating a gentleman in whom I had
once great interest;--not only ill-treating him, but turning him into a
laughing-stock. Now, señor, I demand that you tell us what it was
about, and why you have thus assailed a gentleman to whom, as
you know, I was once much attached."
"Were you much attached to him, Donna Mercedes?"
"Well," she said, pouting, "you know I was all but affianced to
him."
"By your own wishes, señora?"
"Well, never mind about my own wishes," she said; "it is quite
sufficient that I was almost affianced to him. Now I demand from
you again a true and complete history how this came about."
"Well," he said, "you can hardly expect, señora, that I should go
into particulars of this kind before your sisters--young ladies, who
cannot but be horrified by deeds of violence."
Mercedes laughed. "Well, you will tell me some day, won't you,
what it was all about, and why you so ill-treated him? I hear that he
will not be able to show his face for some time in Madrid."
"I will tell you all that is good for you to learn," he said in a tone
of banter. "I know that you must be grieving terribly over it."
"Of course I am, dreadfully!" the girl said. "When I heard how
you had been treating him, I almost made up my mind not to speak
to you again. Ah! here is Leon, and looking as serious as a judge."
 Leon came up to Mercedes, and to her surprise took her by the
hand.
"Little sister," he said, "I have a very serious duty to perform. I
have had another request for your hand."
The girl turned pale. "You know," she said, "that I do not intend
to marry, Leon; I have told you so over and over again."
"That may be so, sister; but I believe that ladies change their
minds in these matters not infrequently. The gentleman who is your
suitor is not unknown to you. He is of good blood and honourable
position. You will, perhaps, anticipate his name. It is the Cavalero
Captain Arthur Hallett, a Knight of Isabella of the first class, and a
Companion of the order of Fernando the Catholic."
The girl's face, which had been set with a mutinous expression,
changed suddenly, a deep wave of colour rushed over her face, and
her head drooped.
"He has my willing consent to the alliance, Mercedes; indeed, I
know of no one in the world to whom I could so willingly commit
you and your happiness."
"I know, señora," Arthur said, "that I am very unworthy of so
great a gift, but at least I can promise to do my best to make you
happy."
The girl lifted her head suddenly. "Do not say that you are
unworthy," she said. "It is I who should say that. Have you not
saved me from death? Have you not saved Spain from being ruined?
It is I who feel, above all things, honoured by your love."
Then Leon said, with a slight smile: "I don't think that there is
any occasion for me to lay my orders upon you on the subject. Take
her, Arthur. I can trust her happiness in your hands with a certainty
that my confidence will not be abused;" and he gave her hand to
Arthur, who bent down and kissed her.
The two younger girls clapped their hands loudly. "Oh, Arthur!"
Inez exclaimed, "I shall never call you Don Arthur again. We are
pleased! We always knew that Mercedes was fond of you--anyone
could have seen that with half an eye, but we did not know what
you felt towards her. We are pleased, I cannot tell you how much! I
believe we are more pleased than she is."
"Now, you madcap!" her brother said; "suppose you two come
in with me to the next room, and let us leave these two young
people alone."
"And did you really doubt that I loved you?" Mercedes said a
short time afterwards. "I have been so afraid of showing it too
much; but after being carried in your arms all that journey, I knew
that I could never marry anyone else. If you had not asked for me
before you went away, I should have assuredly gone into a convent."
Half an hour later the others returned to the room, and they
held a long conversation together. It was finally agreed, in view of
the opposition that would be raised by the Spanish clergy on the
ground of the difference of religion, that the engagement should be
kept quiet for a time, and that things should go on as they were.
"It cannot be many months before this war is over," Leon said,
"and you will be returning to England. You will necessarily be away a
great deal, and it will avoid much trouble and argument if you assent
to the matter being kept quiet."
Both Mercedes and Arthur agreed that it would be better so, as
they felt sure that there would be a vehement opposition on the part
of the clergy if a member of a noble family contracted a marriage
with a heretic.
To Arthur's surprise, when he called next morning, Mercedes,
who received him alone, said with a flush, "Good-morning, Arthur!"
in English. He looked at her with surprise.
"Do you mean to say that you understand English, Mercedes?"
"I have been learning it for the past year," she said in imperfect
English, but with a pretty accent. "I loved you, Arthur, after you had
saved me, and so I loved everything English; and as I had plenty of
time upon my hands I have spent two hours a day ever since in
learning it. I had no difficulty in finding a mistress, for several
English families settled in the town after the last war."
"And you thought, perhaps, that it would come in useful,
Mercedes?"
"I did not quite like to think that," she said, glancing at him;
"but it seemed to me that perhaps, as I loved you so much, you
might some day come to love me. I never quite thought so, you
know, but I could not help sometimes hoping it. Anyhow, sir, it is
quite enough for you that, whatever was the reason, I have learned
English; and now, when we are together alone you must always talk
it with me. I want to get to speak quite perfectly before I go to
England and meet your friends."
"You really talk it very fairly now," he said, "and you must not
be in the least afraid that anyone will find fault with you."
"I suppose you have heard," Leon said a few days later, "that
Don Silvio is still in Madrid. They say he will see no one."
"I shall feel rather glad when he is gone, Leon. He is evidently a
revengeful fellow; that is quite clear by the way in which he fixed a
quarrel upon me. He won't do anything himself, but I think he is
quite capable of hiring a ruffian to put me out of the way. I know
that plenty of unprincipled characters are to be found in the city who
would willingly do the job for a few dollars."
"I have no doubt about that, and I was intending to speak
seriously to you on the subject. Things are still very quiet, but I dare
say Colonel Wylde would send you to one or other of the armies if
you were to ask him."
"I am not at all disposed to go until I am obliged to; I am
enjoying myself a great deal too much for that. But I have taken
precautions. Roper comes with me every evening to your house, and
meets me at the door when I go away; and, moreover, I have
bought a shirt of mail. It is a splendid example of the best sort of
work of that kind. I have put it on the table and tried to drive a knife
through it, but, striking with all my force, I simply broke the weapon
and did not injure the chain. I put it on now whenever I go out after
dark."
"I am very glad to hear it. No amount of strength or bravery can
save a man from the hands of an assassin, and a good mail shirt is
worth a score of guards, for a man who bides his time will always
find a chance sooner or later."
"That is how I look at it, and I can assure you that I am far too
happy at the present time to be willing to throw away the smallest
chance."
Three days later Don Lopez called at Arthur's rooms.
"I have heard this morning that Don Silvio has gone out of
town. Now you will have to look to yourself. So long as he was here
I considered that you were safe, for if anything happened to you
suspicion would at once fall upon him. Now that he is away, people
might suspect as much as they liked, but it would be extremely
difficult to bring the matter home to him."
"But I should hardly think he will do anything more in the
matter," Arthur said.
"I think quite the contrary," Lopez replied. "If you had simply
met him and wounded him, the thing might have passed off quietly.
That would have shown that you were the better swordsman, and
there would have been an end of it. But you have made him the
laughing-stock of the town. It will be a joke against him all his life
that he was driven about like a sheep by a man whom he boasted
he was going to kill like a dog, and he will never get over it. No one
could stand such disgrace with equanimity, but of course it is
infinitely worse for a man as proud and as touchy about his family as
he is."
"I will look out, but I don't think any precautions will be of much
value. If a man wants to stab you, he is sure to find an opportunity
sooner or later. However, I have my coat of mail, and I rely more
upon that than on any vigilance on my part or on Roper's."
Two days later, when Arthur was returning home from Leon's,
two men sprang out from a dark entry and struck at his back. Sharp
exclamations broke from them as, instead of their knives burying
themselves to the hilt, they struck on a hard substance. Arthur was
nearly knocked down by the force of the blows, but, springing
round, he seized both men by the throat before they could recover
from their surprise. Roper, who was walking some ten paces in the
rear, rushed up.
 "All right, Roper, I have got them!" Arthur cried, and, squeezing
their throats, he dashed their heads together with all his strength
two or three times, with the result that as he released his hold they
fell to the ground insensible.
"I think we will walk on, Roper. I must have pretty nearly broken
their skulls, to say nothing of half-choking them. If we were to give
them into custody it would be an endless affair, and I might be kept
here for months. They will certainly not repeat the experiment, and
whatever attempt Don Silvio may make next, it will not be in the
same direction."
The next morning he told Leon of what had happened.
"I don't know whether you did right to let them go, Arthur.
There is nothing to prevent this fellow from trying again in some
other way."
"Nor would there have been if I had given them into custody.
You may be sure that his bribes would be large enough to secure
their silence as to who had employed them, and they would simply
have declared that they only attacked me to obtain possession of
any valuables I might have about me. Don Silvio is rich, and it is a
hundred to one that, before the trial came on, the men would have
escaped. A hundred pounds would bribe any jailer in Spain. If by
accident this failed, he would bribe the judges, so that nothing
would ever come out against the villain who set the men on me, and
I might be kept dancing attendance on the courts for months."
"That is true enough, Arthur. Still, the matter would be kept
hanging over his head, and until it was settled he would be hardly
likely to make another attempt upon you. However, we need not
discuss it now that you have let the fellows go scot-free."
 "I have not let them go scot-free, I can assure you. In the first
place I nearly strangled them, and in the second I am by no means
sure that I did not fracture their skulls."
"That sort of man has got a very hard skull," Leon answered.
"Probably you would have fractured mine if you had dashed it
against somebody else's with those muscular arms of yours, but I
have doubts whether the head of a professional bravo would not
stand even such a blow as that--I won't say with impunity, but at
least without any very serious damage."
"Don't say anything to Mercedes about it, it would only fidget
her. And I can assure you it does not disquiet me. The mail shirt has
indisputably proved that it is knife-proof, and when Don Silvio
receives the reports from these two gentlemen he will see that all
attempts to dispose of me in that way will be in vain. I give him
credit for ingenuity, and it is quite possible he will hit upon some
other idea. However, I trust that I shall be able to meet it, whatever
it is; and indeed I shall be somewhat interested to see what his next
plan may be."
"What do you say, Arthur, to my mentioning this affair at the
club, and saying loudly that I have no doubt whatever it is the
outcome of your duel with him?"
"My dear Leon, that would simply entail his challenging you, and
the man really doesn't fence badly. It was only my superior length of
arm and sheer strength that overbore him."
"I could refuse to fight him," Leon said.
"No, I don't think you could, and certainly I should not like you
to do so. You and I may feel perfectly convinced that this attack
upon me last night was his work, but we have no absolute proof of
it. The fact that I beat him in a duel simply shows that I am a much
better swordsman than he is, and is no reflection upon his character.
So you see, if you were to bring this accusation against him, without
having a shadow of real proof, I doubt if you could refuse to meet
him. You see, the man has a large circle of friends and relatives, and
possesses much influence. You were willing to accept him as a
brother-in-law, and although just at present the town has a laugh
against him, that would not prevent his friends from rallying round
him were you to bring such a terrible accusation against him as that
of his setting assassins on me."
"No, I suppose not," Leon said regretfully. "You know, Arthur, I
feel more grateful to you than ever, for it is evident now that you not
only saved Mercedes from death, but from marriage with a man of
whose real character I was altogether ignorant. How grieved I
should have been had she been tied to such a man, who would
assuredly have shown himself in his true colours sooner or later!"
"Yes, she has certainly had a narrow escape, Leon, though I
cannot help thinking that in any case you would have learned more
of him before the marriage came off."
Leon shook his head.
"I don't see how I could. He bore a very respectable character,
and indeed was thought highly of. That he should have picked a
quarrel with you is not altogether unnatural in the circumstances,
and really this attempt upon your life is the only thing I have against
him. It is a thousand pities now that, instead of treating him as you
did, you did not run him through and have done with him."
"I don't know that it has made much difference, Leon. He has,
as you say, powerful friends and connections, and whereas, if he had
fallen in a duel with yourself or any other noble of his own rank,
they would have thought no more of the matter, they would certainly
have attempted to avenge his death if I, a foreigner and a heretic,
had killed him. The Church counts for a great deal, and I believe he
is a very rigid Catholic; therefore the chances are that there would
have been a terrible row over it, and I might have had to leave the
kingdom, which, in the present circumstances, would be particularly
disagreeable to me."
"Well, perhaps you are right," Leon said. "The really unfortunate
part of the affair is that he should have taken it into his head to
resent the fact that Mercedes did not keep to her resolution of
remaining single and perhaps going into a convent."
"But you did not guarantee that she would, Leon?"
"No; but you know, in that letter that you wrote and I signed,
we certainly gave him to understand that she broke on the
engagement on those terms."
"Yes, that was so. But I imagine that a young lady has the right
to change her mind without being called to account for it."
"Yes, that is all very well, but, you see, the gentleman has also
some sort of right to resent it. Well, it is useless to say any more
about it. You have let the fellows go, and whether for good or evil
the matter is concluded as far as they are concerned."
 CHAPTER XVII
KIDNAPPED

A priest was sitting at a table in a second-class café when a

gentleman entered and came up to the table.
"Good-morning, count!" the priest said. "I received your note
asking me to meet you at this place, and here I am."
"Thanks, father!" the other said, as he took a seat beside him
and ordered coffee. He waited till it was brought, and then went on:
"I wanted to see you about a rather delicate matter that concerns
you, and, I may say, the Church."
The priest looked surprised.
"You are, I know," the count went on, "the spiritual adviser of
Count Leon de Balen and his family."
"I can hardly say of the count," the priest said with a smile, "for,
like too many young noblemen of his age, he does not trouble me
with his confessions; but of the ladies, yes."
"May I ask if Donna Mercedes comes very often to confession?"
"Well, my son, unless you ask for some very particular reason,
that is a question I should not care to answer."
There was a ring of dissatisfaction in the priest's answer that
the count was not slow to notice.
"I have a reason for asking," he said. "You know, father, that I
was at one time, I will not say actually betrothed, but very nearly so,
to Donna Mercedes. She broke off the affair under the plea that she
had made up her mind to remain single and to devote herself to
good works."
"So she told me," the priest said, "and I highly approved of her
determination."
"May I ask, father, if she has repeated that statement to you of
late?"
"She has not come to me frequently of late," the priest said in a
tone that showed it was a sore point with him.
"I thought so," the count went on. "Well, father, you can hardly
help noticing that for some time past a young English adventurer
has been frequently at the house."
The priest nodded.
"He is a friend of her brother's. It is a matter that I have
regretted, as I have considered that so close an intimacy with a
heretic is not seemly; but this cannot affect Donna Mercedes."
"I should say, father, that it does, very seriously. I have
information of what takes place in the house, and I can assure you
that if not already engaged, it is certain that Donna Mercedes will be
betrothed to this adventurer before long."
The priest uttered an angry exclamation.
"It would be a grave scandal, a terrible scandal," he said, "for
the daughter of a noble house to be betrothed to a heretic!"
"And a serious loss to the Church too," the count said smoothly.
"If this marriage could be prevented, doubtless she would revert to
her previous intention of entering a convent; and I need hardly say
that she is an heiress, and that her revenues would be better
employed in the Church than by this young heretic."
The priest nodded. The fact was too evident to need argument.
 "I have done my best to prevent it," the count went on, "by
challenging this young upstart to a duel; but, as you may perhaps
have heard, he proved himself the better swordsman. I have,
therefore, resolved to lay the matter frankly before you, in order that
you may, if you choose, put a stop to what, as you say, would be a
grievous scandal."
"I do not see how I could do so," the priest said gloomily. "It
would be useless for me to speak to her brother, who is most to
blame, for he should not have permitted so close an intimacy to
arise. Nor do I think that I should succeed with Donna Mercedes
herself. She is, I regret to say, of a somewhat headstrong
disposition. I have more than once spoken to her about this strange
intimacy between her brother and a gentleman who is at once a
foreigner and a heretic, but she has always replied that it was a
matter on which I should speak to her brother and not to her, as it
was he who had brought him to the house. And once when I tried to
press the matter she said, in a tone that was not altogether seemly,
that he had saved her life, as of course I had heard--though, for my
part, I doubt whether Cabrera would have carried his threat into
execution--and that she certainly would not take any step to induce
her brother to close his doors to his visits."
"No, father, I did not think for a moment that any persuasions
would turn this unhappy girl from the course on which she seems to
be bent."
"What, then, do you propose? I am willing to take any steps
that would put a stop to this deplorable state of things."
"Well, father, you know that, although some laxity has been
shown of late years, the laws against infidelity to the Church are still
in force."
"That is so," he said. "But this young man is, it appears, an
agent of his government; and though we could assuredly use these
laws against a native, we could scarcely put them in force against a
commissioner of a friendly country."
"That I foresaw," the count said; "but what cannot be done
openly can be done privately. There can be little doubt that if this
young adventurer were shut up in a cell in a monastery for a few
years, Donna Mercedes, when all trace of him was lost, would revert
to her original intention and enter a convent, in which case her
property would go to the Church."
The priest was silent for some time.
"It is a daring plan," he said, "one of which I certainly could not
approve did I see any other way of saving this unfortunate girl from
eternal perdition, which would doubtless befall her. Were she to
marry this English stranger, no doubt she would in time adopt his
religion. I must think it over. It would be a grave step to take, and if
it were to be discovered it might cause a serious scandal; at the
same time something might be risked for the sake of this young
lady's eternal welfare."
"I do not think that the risk would be worth taking into
consideration," the count said. "There must be plenty of cells in your
monasteries where he could be confined without the smallest fear of
discovery. He would, of course, be well treated; and after Donna
Mercedes had taken the veil he might even be released on taking an
oath never to divulge where he had been, or to make any complaint
as to his treatment. He would, doubtless, be glad enough to regain
his liberty on those terms.
 "When he disappeared, suspicion would naturally fall upon me,
for it is well known that I have great cause of complaint against him.
People would say that I had had him quietly removed--a grievous
suspicion to have to bear; but I would do so cheerfully in order to
save Donna Mercedes from this young adventurer, whom her brother
has so foolishly and incautiously allowed to lead her away. I have no
doubt that I shall be watched for a long time; but assuredly no
suspicion whatever could fall upon the Church of having come to the
lady's rescue."
"Certainly her marriage to this heretic would be a terrible
scandal," the priest said, "and one to be avoided by every possible
means. Well, my son, I will think it over, and will lay the matter
before higher authorities. Will you meet me here again in a few
days' time, when I shall probably be able to give you an answer?"
"Good, father! I feel at any rate that I have only done my duty
in endeavouring to save this young lady, whom I sincerely esteem
and respect, although there are no longer any relations between us.
It appeared to me that it was a matter in which the Church should
interfere; and having now laid it before you, I feel that my
conscience is relieved, and that I have no further interest in the
matter."
"I see, my son, that your opinion is an entirely disinterested
one, and that you are acting simply in the interest of this young lady
and of the Holy Church."
The count and the priest met again two days later.
"My son, the matter has been decided upon. I have laid it
before my bishop, and he agrees with me that it is incumbent on the
Church to take every means to prevent this young lady from going
to eternal perdition. The monastery in which this young man shall be
confined has been settled upon. Perhaps you can tell us the best
way in which he can be secured, for he is assuredly a man of
exceptional strength and not likely to suffer himself to be carried
away without a severe struggle."
"That is so, father. The matter is not without difficulty," the
count said. "After nightfall he never goes out without being attended
by a pestilent knave, his servant, and the two could not be overcome
without a veritable battle. He must, therefore, be taken in the
daytime. If you like, father, I will undertake that part of the business,
although it is not to be done without some difficulty and danger. He
must be enticed by a fictitious message to some quiet house. Here
six men will be waiting for him, and as soon as he enters they will
fling themselves upon him and overpower him. They will then bind
him, and leave him; then, when it is dark, either a carriage, or a
stretcher carried by four lay brothers of the monastery, can come for
him and carry him off, it makes but little difference to me whither,
and I would rather not know, so that I may be able to swear that I
have not seen him since the day we met, and that I am wholly
ignorant of his whereabouts. If you will be here every day at this
hour, I will come and tell you when the bird is caged."
"So be it, my son, and indeed we shall all feel grateful to you for
the service you will have rendered the Church."
The next morning Arthur received the following letter:--
"Señor Hallett, the writer of this letter has become aware of a
plot against you and a certain young lady in whom you have a great
interest. If you will call on him at twelve o'clock, he will be awaiting
you on the second étage of the Number 2 Strada de Barcelona, the
first door to the right. He prays you to be silent as to this
rendezvous, as his life would be forfeited were it known that he had
made this communication to you."
The street was a central one and largely frequented, so no
thought entered Arthur's mind that there could be any danger in
attending at the rendezvous; and accordingly at a quarter to twelve
he left his house, carrying, however, a brace of pistols in his pocket.
On arriving at the place indicated, he passed through the open
doorway and ascended the stairs to the second floor, then he rang
the bell of the door to the right. It was opened by a little old woman.
"Come in, señor," she said; "you are expected."
He entered; she closed the door behind him, and led the way to
an inner room. He was about to go in, when there was a rush of
footsteps behind him, and four men flung themselves suddenly on to
his back, the weight and impetus of the charge throwing him
forward on to his face. Before he could recover from his surprise and
attempt to struggle, a rope was thrown over his head, pulled down
to his elbows, and then tightened, and in a minute he was bound
and helpless. He was carried into the room and the knots more
securely fastened, his wrists being bound tightly behind his back,
and his ankles lashed together. Then two of the men left the room,
and the others remained sitting with their knives in their hands.
Arthur cursed his own folly in not having let Roper know where
he was going; and yet, as he told himself, it was but natural that,
having been informed that the plot affected Mercedes, he should
have kept the matter to himself. That he had fallen into the power of
Count Silvio he did not doubt for a moment; and yet he thought
that, unscrupulous and revengeful as he might be, he would hardly
venture to put him to death. Every moment he expected him to
appear, but the hours went slowly by. He had been gagged as soon
as he was bound, and no effort he had made had sufficed to get the
gag from his mouth. From time to time he heard footsteps as people
went up and down to the floor above, and if he could have freed his
mouth he would have shouted, in spite of the knives with which his
guards menaced him. At length the light faded and the room
presently became dark.
Half an hour after night had fallen he heard a ring at the bell.
One of the guards answered it, and four figures in monks' clothes
and with hoods over their heads entered. They brought a stretcher
and laid it down beside Arthur, lifted him upon it, and fastened a
strap across his shoulders and another across his legs; then they
lifted the stretcher and bore him away. He was greatly puzzled by
the proceedings. These might be men employed by the count and
disguised as monks--he could hardly believe that they were really
monks. He was carried for a long time, but as a cloth had been
thrown over him, he could form no idea whatever as to the direction
in which his bearers were proceeding. When they stopped and
knocked at a door, however, he calculated that the journey had
occupied at least three hours. They might therefore have come miles
from the city, but on the other hand they might have wound about,
and so might not be a hundred yards from the place where he was
captured. A door opened, and after a pause they moved on again.
Then Arthur felt that they were descending some stairs. When they
reached the bottom they turned into another door, lowered the
stretcher to the ground, and took off the cloth. The ropes that
bound Arthur were loosed, a lantern was placed on the floor, and
without a word the whole party of monks left the cell and locked the
door behind.
Arthur got up at once, picked up the lantern, and examined his
prison. It was a cell some ten feet square. At one side was a stone
pallet, on which some straw had been thrown, otherwise the floor
was perfectly bare. The only window was an opening near the
ceiling about a foot long and six inches wide, with two strong bars
across it.
"Well," he said to himself, "this certainly looks like a monk's cell,
or rather the prison cell of a monastery, and it appears as if I had
not fallen into the hands of the count after all. Things are bad
enough in all conscience, but even to be in the grip of the
Inquisition, which does not, so far as I know, exist now, would be
better than to be in the hands of such a scoundrel. Still, it is strange
that the Church should have interfered with me. I know how bigoted
the clergy are, and how unscrupulous, but I should not have thought
that they would have dared to meddle with a British officer. However,
I can hardly believe that they will attempt my life; I don't see what
good it could do them. I would give a good deal to know what their
game is. Well, I suppose it is useless to bother about it at present. I
am so stiff both in the wrists and ankles that I can scarcely stand. At
any rate, it is civil of them to leave me a light."
In a quarter of an hour the door opened again, and two monks
came in. They put a large jug of water and a dish of fried beans on
the floor, and retired without speaking.
"Let me think," Arthur said to himself. "This is Friday, so I
suppose it is fast day. I hope this is not a sample of their ordinary
fare. However, as I have had nothing since breakfast, it is not to be
despised."
He ate a hearty meal, and then lay down on the stone bench,
and was soon asleep. When he awoke, daylight was shining through
the little window, and he got up and looked round again. Certainly
the prospect was not a cheering one; the walls were perfectly bare,
and broken only by the door and the window. As the cell was twelve
feet high, the window was altogether beyond his reach. He would
have given a good deal to be able to look out and see whether he
was in a town or in the country, and whether or not the window
opened into a courtyard. This question was, however, presently
settled by the sound of the rumble of distant vehicles. At long
intervals one passed the window, and occasionally a foot-passenger
went by. Arthur therefore concluded that he was in a town, and was
equally certain that the window looked into a quiet and little-
frequented street, and was probably level with the pavement. This,
however, gave him but little clue to the position of the monastery,
for there were, he knew, at least a dozen such buildings in the town.
Still, it was something to know that he was within reach of human
beings.
 "A TALL MAN WITH A HARSH, ASCETIC
FACE ENTERED"

By standing against the opposite wall he could now obtain a

glimpse through the window. He saw that the wall of the building
must be at least two feet thick. Having made what observations he
could, he sat down on his bed and waited for what should come
next. Presently his breakfast was brought in; it consisted of bread,
some fried meat, and, to his satisfaction, some coffee. An hour later
the door opened again, and a tall man with a harsh ascetic face
entered.
"You perhaps wonder why you are confined here," he said. "I
have come to tell you. You are an obstacle to the designs of the
Church. You have seduced the affections of one of her daughters,
and in order that she may be saved from perdition, which would be
her doom if she were to many a heretic, it has been thought
necessary to seclude you here. Doubtless, in time she will recover
from the glamour that you have thrown over her, and will deeply
regret her passing aberration; will again become an obedient
daughter of the Church, and perhaps find a happy refuge in its
cloisters. When this takes place you will be released, but not until
then. We do not desire to be harsh with you; you may be supplied
with books and other indulgences, but a prisoner you will remain
until she enters the walls of a cloister."
"I understand, señor," Arthur said quietly; "and perceive that it
is the lady's revenues, and not her soul, which are the main object
of your care. Well, señor, you have made me a prisoner, but I have
sufficient faith in the young lady's affection to believe that until she
is absolutely convinced of my death she will not turn her thoughts
towards the cloister, and that therefore you are likely to have me on
your hands for a very considerable time. At least, I am grateful to
you for your offer of books, and shall be glad if you will furnish me
with a selection."
"I may say further," the man said, "that you will be instructed in
the tenets of our religion, and that should you see the error of your
ways and ask to be received into the bosom of the Church, possibly
all further objection to your union with the young lady in question
may be removed."
Arthur laughed. "Your opinion of my principles must be a very
low one if you can suppose that I shall be tempted to abandon them
even with such a bait as you have been good enough to hold out."
"Naturally that is your opinion at present," the monk said coldly;
"it may alter after a few months of confinement."
"I fancy not, señor; and I warn you that no more serious
offence can be committed than the capture and imprisonment of an
officer in the British service."
"I am prepared to take that risk, señor, and you are not likely to
be released, whatever happens, until matters are arranged. I will
now leave you to yourself."
When the door had opened Arthur observed that a number of
monks were grouped in the passage outside, evidently prepared to
fall upon him should he offer any violence to their prior, or attempt
to make his escape.
When the prior had left, Arthur sat down and thought the
matter over. The look-out was certainly not bright. He saw that he
had very little chance of making his escape from the monastery. It
was no doubt a large building, with any number of passages and
corridors, in which, if he could escape from the cell, he would simply
be lost, so that long before he could find his way to the gate, he
would be overtaken and captured again. One thing, however, he
might do. No doubt for a short time the two monks who brought him
provisions would be accompanied by others, but when they found
that he showed no signs of trying to effect his escape, they would
become less vigilant. In that case he might possibly overcome these
two men, make his escape to the story above, and drop out a note
from the window which might be taken to Leon, who would
assuredly obtain his release without delay. He could tear a blank
page out of one of the books with which he was to be provided, and
write a message upon it. His pencil had not been taken from him,
nor his pocket-knife.
The days went on. He had no reason to complain of his
treatment; the food was good and wholesome; the monks who
attended to him brought a can of water daily, carried away his basin
and emptied it, and swept out his cell. A mattress and blankets had
been substituted for the straw, a supply of such books as he asked
for had been brought to him, and it was evident that his captors
desired that he should have nothing to complain of save his loss of
liberty.
After ten days he resolved to carry his plan into execution.
Tearing out a blank leaf carefully, he wrote upon it:
"I am confined in a monastery. I can give no information as to
its position save that it is in the town. Apply to regent for an order to
search."
He then signed his name, folded up the slip of paper, and on the
outside wrote:
"One hundred dollars will be paid by the Count Leon de Balen to
anyone who will bring this note to him."
He then waited for a favourable opportunity.
He had, one day when meat was served to him, abstracted the
knife and hidden it in his stocking. The monks, when they removed
the tray, did not notice that anything was missing, but he observed
that on the following day they carefully felt the mattress. By this he
guessed that the loss of the knife had not been discovered till that
morning. The monks, fearing that they would be blamed for
carelessness, had very likely protested that they had brought it as
usual into the kitchen with the tray; and had only for their own
satisfaction looked to see if it were hidden there. Arthur had taken it
without any definite view of using it; but he thought that if this
attempt to obtain succour failed, it might come in useful in any
future plan he might devise.
Next day, when his attendant monks were bending to place his
basin and tray on the floor, he suddenly rushed at them and hurled
them both to the ground. Then he hurried out of the cell.
Four monks were standing in the passage. Running at full speed
he dashed at them. Two of them were levelled to the ground; he
cast the other two aside, and ran on. At the end of the passage was
a staircase. Up this he darted, and found himself in a corridor similar
to that below. A number of doors opened from it. He turned the
handle of one of these, ran across the room to the window, pushed
his hands through the bars, and dropped the note. A moment later
he heard a bell ring loudly and sharply. Doubtless one of the men he
had overthrown had at once run to it, and was giving the alarm,
which would send all the monks to the entrance. He had done what
he had to do, so he walked quietly downstairs again. Five of the
monks were huddled in the passage, and at his approach they took
to headlong flight. With a laugh Arthur entered his cell and sat
down. Presently a terrified face appeared at the door and looked in.
"Come in," Arthur said cheerfully. "I trust I did not hurt any of
you. I merely wished to see whether my muscles were in working
order. I find that they are quite right, thank you, and, having
ascertained that, have come back to my cell. You can, if you like,
shut the door again, for this room is rather draughty when it is
open."
The door was immediately shut, and the bolts shot. Arthur
wondered what the next move would be. No one came near him for
two hours; then to his surprise he heard a grinding sound against
the door, and half a minute later the head of an auger appeared.
Another hole was made touching the first, then a fine saw was
thrust through. This began to work, and presently a piece was cut
out of the door some six inches wide and eighteen inches long. After
a pause the piece was fitted in again. Next he heard a sound of
screws being driven in, and then he saw that hinges had been
fastened to the flap, so that it could be opened and closed from the
other side at will. Then he heard two bolts fixed to it. The noise
went on for some time, and he knew by the sound that two more
bolts had been screwed on to the door itself.
He saw at once that the monks intended in future to pass his
food in to him, instead of entering his cell. This proved to be the
case. The flap was opened and his tray handed in, together with a
basin of water. "They are determined that the monks shall not be
exposed to assault and battery again," he laughed. "I have evidently
given them a scare. Now, I have nothing to do but wait and see if
anything comes of my note."
A fortnight of anxious waiting passed. His food, books, and
water were handed in regularly, but no one entered his cell. He
listened anxiously whenever he heard the slightest stir in the
monastery that would tell him that search was being made, but no
such sound met his ear. At last he came to the conclusion that his
note could never have reached Leon's hands. Being but a scrap of
paper, it might have escaped the eyes of passers-by and been
trodden in the mud; or again, the prior might at once have
suspected the reason of his strange conduct and despatched a monk
to pick up the note. Several times he wrote the same message on
pieces of paper, rolled them up into a small ball, and threw them
through the window in the hope that some passer-by might be
attracted by the sight of the pellet, and open it to see what was in it.
Till the end of a fortnight he remained patient, spending most of
his time in reading; but when he finally determined that the letter
had gone astray, he threw aside his books and decided that he must
rely upon himself. It was evident that if he was to escape at all, it
must be through the wall under the window. He had read of escapes
by prisoners, and some of these had been performed in
circumstances at least as difficult as those that confronted him, and
with means no better than the knife he had in his possession. Much
must, of course, depend upon the thickness of the wall and the
materials of which it was built. He could see by the window that it
must be at least two feet thick, and if constructed of solid blocks of
stone there would be no possibility of getting them out, as his knife
was but some six inches long in the blade, so that it would be
necessary to wear the wall away into dust. Of course, if there were
no other way, this is what he must attempt.
But for the precaution that had been taken to prevent his
escape, this would not have been possible, for the monks, when
they came in, could not have failed to notice the gradual crumbling
away of the wall. There was, however, one other chance. As this was
a subterranean, or almost subterranean room, there was not likely to
be a vault under it; therefore it was probable that the wall was not
continued far under the bottom of his cell. It might be one foot, it
might be two, but the solid stonework would not go much deeper; it
would rest upon a bed of concrete, or possibly of loose rubble. Once
through that, he would probably find nothing but earth between him
and the pavement above. These pavements were in most of the side
streets mere cobble stones. He therefore set to work now to
examine the stones forming the floor. They were about two feet
square, and after some consideration he determined that the best to
operate upon would be that at the foot of his bed, as this would be
hidden from the sight of anyone looking through the trap. His
greatest difficulty would be to get rid of the materials that must
necessarily be removed. Stones he might manage to clear out by
throwing them through the window with sufficient force to carry
them across the street; earth, he finally concluded, he would have to
dispose of in the same way.
In order to do this, however, he would have to reach the
window. Of course, if he were certain that the cell would never be
entered, he could pile it up against the wall to the right and left of
the door, for the hole was too narrow to admit a head. However, this
was a risk that he would not like to run. The excavation would
occupy many weeks, possibly many months, and it was hardly likely
that so long a time would elapse before a visit was made to his cell.
After much thinking he concluded that if he took up two of the slabs,
and placed one against the wall and the other upon it, he could just
reach the window. Then, by fastening the end of a blanket to one of
the bars, he could easily pull himself up by it and throw the mould
outside.
This was certain to be slow work, and a few handfuls of soil
scattered on the road would not be likely to attract any attention.
Examining the floor carefully, he saw that the slabs of stone were by
no means even, from which he concluded that they were not laid in
cement, probably not even in concrete, but that the ground had
been simply smoothed down and the flags laid on it, and perhaps
hammered down. The cells had probably not been intended as living
rooms, but were used as prisons, perhaps as far back as the days of
the Inquisition.
Having once made up his mind and carefully examined the
stones, Arthur lay down on the floor and prepared to act. He had
just finished his breakfast and handed out the tray as usual, so he
would not be disturbed again for at least four hours. He began with
his knife to loosen the stone at the foot of his bed, which was on the
left-hand side of the cell, and found to his satisfaction that the slabs
were laid close together, but not so closely that the knife would not
in most places go down between them.
The crevices were filled up with the dust of many years, and it
took him till dinner-time to clear this out. He was gratified at finding,
however, that while in some places his knife encountered stones
when he thrust it deep, at other points he could push it down to the
hilt without encountering any obstacle. This showed him that his
conjecture was correct. The ground had simply been smoothed
down, chips of stone from the building thrown upon it and mixed
with the sand, and on this the paving had been laid down. Beyond
the fact that his knife went lower than the bottom of the stone, he
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