J. B. Murphy and C. Pellegrini Vol. 2, No. 1/January 1985/J. Opt. Soc. Am.

B 259

Generation of high-intensity coherent radiation in the

soft-x-ray and vacuum-ultraviolet region

J. B. Murphy and C. Pellegrini

Brookhaven National Laboratory, Upton, New York 11973

Received July 27, 1984; accepted September 13, 1984

An electron beam can be made to interact with an undulator magnet so that a collective unstable mode is excited.
In this mode, the beam generates coherent radiation whose wavelength is determined by the undulator period and
the electron energy. By proper choice of the electron-beam energy, energy dispersion, and density, one can obtain
coherent radiation in the soft-x-ray region with peak and average power of the order of hundreds of megawatts and
hundreds of milliwatts, respectively. Larger peak powers, of the order of a gigawatt, can be expected for UV radia-
tion with X in the range of 500-2000 A. We discuss the physical principles of these systems and give examples of
how they might be built.

1. INTRODUCTION is the following: z is the electron-beam and the electromag-

The generation of coherent intense soft-x-ray radiation would
allow one to perform new and unique experiments in such
fields as biology, chemistry, and physics. The possibilities
offered for soft-x-ray microscopy and holography would be
particularly interesting.
In this paper, we describe a system capable of providing
coherent radiation with peak and average powers of the order
of hundreds of megawatts and hundreds of milliwatts, re-
spectively, at wavelengths as short as 30 A. Larger peak
powers, of the order of a gigawatt, can be expected for UV
radiation with A in the range 500-2000 A. The system con-
2
sists of a relativistic electron beam with energy E = moc yo
traversing an undulator magnetic with a period Xo and a
magnetic field Bo. The wavelength of the spontaneous ra-
diation emitted by the beam is given by'
X = Xo(l + K 2 )/2yo 2 ,
where K = eBoXO/27rmoc
2
is the undulator parameter.
2 = (yo )
It has been shown A4that, for appropriate values of the
undulator period, undulator length, electron-beam energy
dispersion and density, the beam can produce coherent ra-
diation whose amplitude grows exponentially until one reaches
a saturation regime.
An electron beam capable of producing this radiation in the
soft-x-ray and VUV regions can be obtained from an electron
storage ring. We give the basic parameters of such a stor-
age-ring-undulator-magnet system and evaluate the wave-
length and the peak power of the radiation.
netic-wave direction of propagation; x and y are the transverse
coordinates; Bo is the undulator magnetic field (we use a he-
lical undulator for simplicity), and Xoand N. are its period
and length in number of periods, respectively; X is the wave-
length of the radiation field; Syis the electron energy in units
of m 0 c 2 ; As - 1 is the longitudinal electron velocity and d =
K/y is the amplitude of the transverse velocity; the electron
phase relative to the electromagnetic wave 4 is related to z and
t by X = 2-7rz/Xo+ 27r(z - ct)/; the resonant energy YR is
related to Xo,X,and K by YR 2 = Xo(1+ K2)/2X;the undulator
frequency w0 is wo = 2rco3 /Xo;the amplitude Eo and phase
00 of the radiation field are combined to yield a complex am-
plitude a = iEoe°o.
To write the FEL equations, it is convenient to use a set of
normalized variables and to introduce some quantities to
characterize the beam properties.3 4 We will use the relativ-
istic beam-plasma frequency
2
p( 4(rrenoC3
1/2
(1)
where (Yo) is the average value of the initial electron energy
and re the electron classical radius; we introduce also the
quantities
_eRo2 __ 2/3 (2)
and

2. FREE-ELECTRON LASER EQUATIONS

To0=
~kOW0 (
o 1- 'Y2
yR 2 ) (3)

Following the work of other authors,

56
we write the free- and a normalized time
electron laser (FEL) equations using the phase and the energy
as electron variables and use the slowly varying amplitude and
(
r = 2 wop .YR.2&t. (4)
phase approximation for the radiation field. These equations
can be written in a general form including the effects of Using these definitions, we can construct a set of dimen-
space-charge fields and the higher harmonics of the radiation sionless variables
field.4 To simplify our discussion, we neglect these terms and
use the results of Ref. 4 to evaluate their effects. Our notation i = 4 - 6nt, (5)

0740-3224/85/010259-06$02.00 © 1985 Optical Society of America

 260 J. Opt. Soc. Am. B/Vol. 2, No. 1/January 1985 J. B. Murphy and C. Pellegrini

r=l1 , (6)
(o)

A= aeiot (7)
(47rmc2(,y)nop)/ 2

and write the FEL equations as3

As= 1 1-2r i=1,2, (8a)

= - 1 Aei'i +
(8b)

A i6A + eii (8c)

10
with T
Fig. 1. Plot of Al versus r for b = 9.1 X 10-3, p = 3 X 10-3, and
A (8d) several values of the initial rms energy spread:
a(O) = 0.75p, (c) u,(o) = p. (a) u,(O)= 0.1p, (b)
p
where i\ is the detuning parameter
=yo2-R2 (8e)
2
YR 2
The dot indicates differentiation with respect to T. The angle
brackets indicate an average over the particle initial phases,
0
i.e., ( ) = (/N)Z-j, where N is the number of particles.
From these equations, we can show that the quantity ('7

wD
H = (r) + AI 2 (9) z
C'
is an invariant. In terms of laboratory variables, this can be
written as
E2
= mc2no(y) + ° = constant, (10)
47r U O ~~~~T Ia
which is seen to be the conservation of energy relation for the Fig. 2. Plot of aI versus r for b = 9.1 x O-3, p = 3 X 1O-3 and several
electron-beam-radiation-field system. It is also convenient, values of the initial rms energy spread: (a) u,(o)= 0.1p, (b) o'(o) =
using Eq. (6), to rewrite Eq. (9) as 0.75p, (c) oa(o)= p.

- (yo) =p(A12 Al 2) (11)

('yo)
which relates the change in the field amplitude A directly to
the average change in electron energy. One can see from Eq.
(11) that, assuming that Aol << Al, the quantity pAl 2 mea-
sures the efficiency of energy transfer from the electron beam
to the radiation field.
In integrating the FEL equations, the maximum time is
defined by the undulator length tmax = N Xo/c. In terms of
the scaled time this becomes
4
TMAX = rp (
3. THE FREE-ELECTRON-LASER COLLECTIVE
INSTABILITY AND COHERENT-RADIATION
GENERATION
The system of Eqs. (8a)-(8c) has been discussed in Refs. 2 and
3, where it has been shown that for < th 1.9 the system is
unstable and the field amplitude A grows exponentially.
Both the radiation field and the beam bunching grow expo-
nentially. We can characterize the bunching by the param-
eter b = I (e-4')I. The nonlinear regime and the saturation
that follow the initial exponential growth have also been
studied in these papers.
In this paper, we discuss a collectively unstable system using
the parameters that apply to an electron beam obtained from
a storage ring.
We assume that the initial field amplitude is zero, and we
introduce an initial noise in the electron phase distribution
so that the initial value of b = I (e i) I is 1/\/N\, Nx being the
number of electrons in one radiation wavelength. In Fig. 1,
we show the evolution of the field amplitude Al versus for
different values of the initial electron-beam rms energy spread
(12) 0
fo and for 6 = 0. One can see that, for ,Oo<< p, the field am-
plitude Al reaches a value of the order of unity, so that, from
Eq. (11), we have an energy-transfer efficiency of the order of
p, i.e., at the peak of Al we have transferred a fraction p of the
beam energy to the radiation field.
Figure 2 shows the evolution of the rms electron-beam en-
ergy spread for the same values of 0,o as in Fig. 1. One can see
that, when the field peaks, the energy spread becomes of the
order of p,provided that o°, p.
The time needed to reach the peak can be seen from Figs.
1 ad 2 to be 10. Assuming that yo = YR, we can see from
Eq. (12) that to reach the peak we need an undulator with a
number of periods N - /p.
J. B. Murphy and C. Pellegrini Vol. 2, No. 1/January 1985/J. Opt. Soc. Am. B 261

Let us summarize the results of this section: Table 2. Electron-Beam Parameters in the Bypass
Section
(1) The electron-beam undulator-magnet radiation-field Parameters Electron Beams
system is unstable if 6 < th, and both the field amplitude Al
and the beam bunching b grow exponentially up to a satura- Energy, E (MeV) 500.00 400.00 300.00
Beta horizontal, fl. (in) 3.00 3.00 3.00
tion level, where AI- 1 and b 1;
Beta vertical, b, (m) 1.00 1.00 1.00
(2) If the system's initial conditions are Aol = 0, bo, de-
Coupling, X 0.01 0.01 0.01
termined by noise, 0,o < p then the electronbeam will transfer rms horizontal beam 1.O1E- 04 8.10E - 05 6.07E - 05
a fraction p of its energy in a number of undulator periods of radius, a. (m)
the order of 1/p. rms horizontal angular 3.37E - 05 2.70E - 05 2.02E - 05
(3) After traversing the undulator, we have IAI 1, b spread, a' (rad)
1 and u - p. rms vertical angular 5.81E - 06 4.65E - 06 3.49E - 06
spread, oy' (rad)
rms vertical beam 5.81E - 06 4.65E - 06 3.49E - 06
4. ELECTRON-BEAM-UNDULATOR SYSTEM radius, ay (m)

As we wish to discuss the operation of a FEL over a large

wavelength range (30-2000 A), we consider operating the UNDULATOR
storage ring at energies ranging from 300 to 500 MeV. In
addition, we consider three undulator designs: a 5-mm-period
undulator for A in the range 30-100 A, a 1-cm-period undu-
lator for A in the range 100-250 A, and one with Xo= 2.5 cm
for A in the range 500-2000 A.
To calculate the undulator properties, we assume that the
undulator is of the hybrid (permanent-magnet and iron) type
and calculate the magnetic field from7

Bo = 3.33 exp(-5.47 g + 1.8 S-2)T, (13)

where Aoand g are the period and the gap, respectively. A RF SYSTEM
complete listing of the undulator data can be found in Table Fig. 4. Sketch of the storage ring and the bypass section.
1. The output-radiation wavelengthsfor the three undulators
are signified by n's in Fig. 3.
The electron beam described in Table 2 can be obtained in
impossible to operate the ring. The small aperture (gap) of
a storage ring, as we see in Section 5. However, if we tried to
the undulator would lead to vanishing small-beam lifetimes
resulting from collisions with undulator walls. The minimum
install the undulators described in Table 1 directly in the ring
such that the electron beam would pass through the small allowable gap depends on both the ring and the undulator
parameters and must be determined experimentally.
aperture of the undulator on each revolution, it would become
For this reason, we propose to install the undulator in a ring
Table 1. Undulator Magnets bypass, as shown in Fig. 4. The electron beam would normally
circulate in the ring, where the effect of synchrotron-radiation
Undulator
damping would produce the beam properties of Table 3.
Properties Undulators
About once per damping time, of the order of 50 msec for the
Period, X0 (cm) 0.5 1.0 2.5 storage ring illustrated in Table 3, the beam is taken into the
Gap,g (cm) 0.1 0.2 0.5 bypass and focused in the undulator by a special quadrupole
Pump strength, Bo (T) 1.2 1.2 1.2 triplet. In going through the undulator, the electron beam
Undulator parameter, K 0.56 1.12 2.80 produces the radiation, its energy is decreased by pET, and
its energy spread increases from its initial value to about p.
25(
() The beam is then taken back into the storage ring and left
N - roo
9. _ \ 00^
there for a time long enough for synchrotron-radiation
20 damping to bring its characteristics back to their starting
70 ;
. .. 00C value. A more detailed discussion of the storage ring and the
60 \
160 bypass system is given in Section 5.
15,

50 \ E
20X As the electron beam circulates in the ring, it performs both
100(
\\ 200 vertical and horizontal oscillations (the so-called betatron
'I - , , I , 10,
A ,
1, \\
I
100 oscillations). The betatron functions H and f3, which
20

250 300 350 400 450 500 30 4.100 500 ,

ENERGY(8.I) ENERGY.,II)
Fig. 3. Plot of the output wavelength A and the estimated peak-
power output versus energy for (a) 0 = 5 mm, (b) Ao0 = 1 cm, (c) o
= 2.5 cm. The X values are signified by o's, and the power values are
given by O's. For the power curves, a solid line (-) corresponds to
Z = 0.1 , a dashed line (--- ) to Z = 1 Q, and a dotted-dashed line
(a. )to Z= 10Q.
characterize the amplitude and the period of the betatron
"' -----------
3.E11E11G1
"" (-I)
oscillations, are a measure of the focusing properties of the
magnetic lattice. Together with the emittance , which is the
area in the position angular-deviation phase space in which
the beam is contained, the beta functions determine the beam
size, i.e., the rms beam height H = I . The choice of
the beta functions in the bypass is determined by the re-
262 J. Opt. Soc. Am. B/Vol. 2, No. 1/January 1985 J. B. Murphy and C. Pellegrini

Table 3. Storage-Ring Parameters When the beam enters the bypass section, it undergoes ad-
Storage-Ring ditional focusing to increase p, as shown in Table 2.
Parameters Electron-Beam Properties The ring has two 10-m-long straight sections, one used for
the radio-frequency system and one for the bypass switching
Energy, E (MeV) 500 400 300 magnets. The arcs joining the two long straight sections each
Gamma, y 978 782 587 have three equal periods. Each period has two dipole magnets
Bending radius, RB 4 4 4
with a focusing quadrupole between them and two quadrupole
(m)
Average radius, Rav 15 15 15
doublets on the external sides. The ring energy dispersion
(m)
is controlled by the central quadrupole and is nonzero only
Number of 6 6 6 in the dipoles and in the region between them.
achromatic bends, The momentum compaction a = (dE/E)/(dl/l) relates the
M change in orbit length to the relative energy deviation from
rf voltage, V (MV) 1 1 1 the design energy E 0 of the ring. For a ring with this magnetic
Harmonic number, h 100 100 100 structure, the momentum compaction a and the horizontal
Number of bunches 1 1 1 emittance eH are approximately given by'0
Average current, Io 0.10 0.10 0.10
(amp) 1 (,r\2 RB
Electron number, N 1.97E + 11 1.97E + 11 1.97E + 11 a-=, (15)
Synchronous phase, 1.38E - 03 5.67E - 04 1.79E - 04 6 \M Ray
0s
Momentum 1.22E - 02 1.22E - 02 1.22E - 02 EH = 7.7 X 10-13
' 2 mrad, (16)
compaction, a M3 (6
Horizontal 3.41E - 09 2.18E - 09 1.23E - 09 where RB and Rav are the bending and the average ring radii
emittance, Ex
and M is the number of achromatic bends. An achromatic
(mrad)
Vertical emittance, Cy 3.38E - 11 2.16E - 11 1.22E - 11
bend typically consists of two dipole magnets with a hori-
(mrad) zontally focusing quadrupole between them and is designed
Zero current bunch 1.99E - 03 1.42E - 03 9.24E - 04 to focus all the entering electrons, regardless of energy, to the
length, UpO (m) same point when they leave the bend. The vertical emittance
Zero current energy 2.14E - 04 1.71E - 04 1.29E - 04 is determined by the couplingbetween the horizontal and the
spread, Oe(0) vertical oscillation that is due to the magnet misalignment Ev
Synchrotron tune, v8, 1.97E - 02 2.20E - 02 2.54E - 02 = XEH.
Synchrotron 1.38E - 03 5.67E - 04 1.79E - 04 At zero or small current, the rms energy spread and the
radiation loss, U0 bunch length are determined by synchrotron radiation and
(MeV)
are given by"
rf acceptance, Erf 3.23E - 02 3.61E - 02 4.17E - 02

afo = 4.38 X 10-7 (17)

quirement of keeping p as large as possible, which requires RB"1 2 '
small O3H, f, without violating the energy-spread condition
a, < p. In effect, for a beam with nonzero transverse emit- p = Rav (18)
tances EH, i,,, it is necessary to add to the real energy spread vs
an effective spread given by 8
where vs = Cls/coois the ring synchrotron-oscillation tune. At
large currents, the microwave instability' 2 caused by the beam
ae,eff= 1/2 ( 27 1K 2 EvV + + +H
)V(14) interaction with the broad-band high-frequency storage-ring
~~XoJ
+1 1+ 2
OPH Pv impedance can increase the energy spread aoand the bunch
length ap. An increase of ap reduces the value of p, while u,
In what follows, we will make sure that the condition Ueeff < increases and the condition a, S p can be violated.
ao is always satisfied. To evaluate this effect, we use the approximate condi-
In the cases that we consider in Section 5, the undulator tion' 2
length varies between 2 and 3 m and is determined by the
condition N. 1/p. This length is also consistent with our
0 s 2-rEoao-2
eIp| (Z for n 2Ray
assumption on the beta functions. ap

5. ELECTRON STORAGE RING AND BYPASS where Ip is the peak current related to the average bunch
SECTION current Io by

The storage ring that we consider is similar to those used as Table 4. Electron-Beam Bunch-Length and Peak-
synchrotron-radiation sources, for instance, the National Current Parameters
Synchrotron Light Source VUV ring.9 Its main characteris- Parameters Electron Beams
tics are given in Table 3.
Since we want to maximize the electron density to obtain Effective coupling impedance (2) 0.1 1.0 10
Bunch length, ap (microwave limit) (cm) 0.95 2.0 4.4
a large value of p in the undulator, we have chosen a ring de-
Peak current, Ip (A) 397 184 86
sign that minimizes the beam emittance and the bunch length.

J. B. Murphy and C. Pellegrin'i
Ip = (2ir)l/ -10 (20)
and IZ(n)/nj is the effectivelongitudinal coupling impedance
of the ring.
From expressions (18)-(20), the following expressions for
the microwave-instability-limited bunch length and energy
spread can be obtained:
up =avRa 2dEvS 2n) (21)
Vs
(22)
?a P
The storage-ring coupling impedance is determined by the
vacuum-chamber geometry and by the bending radius in the
2 3
curved section' "1 and is a quantity difficult to calculate a
priori. However, in modern storage rings, values of the order
of 1 £ have been obtained. Since this quantity is important
in determining the performance of our system, we have chosen
to use in ourcalculations three values of IZ(n)/nI, i.e., 0.1, 1,
10 Q. Let us notice that a 10-Q coupling impedance is large
and is a pessimistic assumption, whereas a 1-Q value is realistic
and has been already obtained. On the other hand, a 0.1-Q
value would require a breakthrough in storage-ring design.
The microwave-instability-limitedbunch lengths and peak
currents, which depend on the value of the coupling imped-
ance but not on the energy, are given in Table 4. The bunch
lengths are typically of the order of a few centimeters, and the
peak currents are in the 100-400-Arange.
To test the beam for stability against transverse coherent
oscillations, we have used the conditions that the coherent
12
betatron tune shift be smaller than the synchrotron tune :
(23)
a= e3P ZTeff < s,
irvpEo
with the transverse couplingimpedance ZT,eff evaluated from
the longitudinal impedance as'2
(24)
ZTeff = 2 (R)2 1 Z(n)j
The ring described in Table 3 will be free from transverse
instability problems provided that the effective impedance
can be kept on the order of 1 Q or less.
As a final measure of the ring's feasibility, we compute the
4 order of 500 MW down to wavelengths of about 500 A and
Touschek lifetime' Tt. The Touscheck lifetime is the time
in which losses resulting from Coulomb collisions between
electrons in the same bunch have reduced the beam current
to half of its initial value. For the range of ring parameters
given in Table 3, Tt > 1 h.
6. RESULTS
In Fig. 5, we plot the FEL parameter p and the microwave-
instability-limited energy spread a, versus the beam energy
for the 5-mm, 1-cm, and 2.5-cm undulators, respectively.
Recalling that the limit on the allowable energy spread is
< p, it can be seen from Fig. 5(a) that, if the ring impedance
can be kept at or below 0.1 Q, one can expect to obtain high-
intensity coherent soft x rays in the range 30-85 A. From
Figs. 5(b) and 5(c), it can be seen that the energy spread in the
ring will not pose any problems for the generation of intense
radiation in the range 85-2000 A.
Vol. 2, No. 1/January 1985/J. Opt. Soc. Am. B 263
-1I I
2
,,
- R\ I\
I- ------- 5-
,.k
_ 500 " 300 400 500
ENERGY(VI ENERGY(MV) ENERGY(MV)
Fig. 5. Plots of the FEL parameter p and the microwave-instabil-
ity-limited rms energy spread a-,versus energy for (a) Xo= 5 mm, (b)
X0- 1 cm, (c) Xo= 2.5 cm. The p valfies are signified by o's, and the
a-, values are given by O's. Each figure displays the p and a, values
for three values of Zeff = 0.1, 1.0, 10. A solid line (-) corresponds
to Z = 0.1 , a dashed line (- -- ) to Z = 1 , and a dotted-dashed line
(a ) to Z = 10 . The lines are not fitted to the points; they are
drawn simply to indicate trends;
Figure 3 shows plots of the peak power versus energy for the
three undulator designs. The peak power is calculated as-
suming that the radiation-pulse length is equal to the elec-
tron-bunch length.
7. CONCLUSIONS
Using the system described (an electron storage ring with an
undulator in a special bypass section), we can obtain high-
intensity coherent radiation by sending the beam through the
undulator and by using the FEL collective instability to pro-
duce radiation. Compared to other systems, such as a FEL
oscillator or a transverse optical klystron, this system has the
advantage that it does not require mirrors to form an optical
cavity or an input high-power laser to bunch the electron
beam. On the other hand, by its nature, this system can
produce only high-intensity short-radiation pulses with a
repetition rate of the order of 10 Hz.
The storage ring needed to operate the system is charac-
The other important
terized by a small transverse emittance.
ring parameter is the longitudinal coupling impedance. For
a value of the order of 1 , one can obtain peak powers of the
peak powers of 50 MW down to wavelengths of 80 A;the power
decreases sharply at lower wavelengths. If it should become
possible to reduce IZ(n)/ni to 0.1 , one could get peak powers
of the order of 20 MW down to wavelengths of 30 A.
One should also remember that in this paper we have con-
centrated our attention on the first-harmonic production only;
however, from the results of Ref. 4, we know that the system
will also produce higher harmonics, and this can shift down
the lower limit for soft-x-ray production.
We want to emphasize that the results presented here are
o, preliminary and that one might improve the system perfor-
mance by optimizing other ring parameters, such as the mo-
mentum compaction, the radio frequency, and the radio-fre-
quency voltage. To obtain a more complete understanding
of the system, one should investigate diffraction effects on the
radiation that result from the finite-beam radius and consider
a three-dimensional calculation, taking into account the
264 J. Opt. Soc. Am. B/Vol. 2, No. 1/January 1985
electron-density variation in both the transverse and longi-
tudinal directions.
This research was performed under the auspices of the U.S.
Department of Energy under Contract No. DE-AC02-
76CH00016.
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