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Topics in Applied Physics 135

Georg Gaertner
Wolfram Knapp
Richard G. Forbes Editors

Modern
Developments in
Vacuum Electron
Sources
Topics in Applied Physics

Volume 135

Series Editors
Young Pak Lee, Physics, Hanyang University, Seoul, Korea (Republic of)
Paolo M. Ossi, NEMAS - WIBIDI Lab, Politecnico di Milano, Milano, Italy
David J. Lockwood, Metrology Research Center, National Research Council
of Canada, Ottawa, ON, Canada
Kaoru Yamanouchi, Department of Chemistry, The University of Tokyo, Tokyo,
Japan
Topics in Applied Physics is a well-established series of review books, each of
which presents a comprehensive survey of a selected topic within the domain of
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Georg Gaertner Wolfram Knapp
• •

Richard G. Forbes
Editors

Modern Developments
in Vacuum Electron Sources

123
Editors
Georg Gaertner Wolfram Knapp
Aachen, Nordrhein-Westfalen, Germany FMB/IFQ
Otto von Guericke University Magdeburg
Richard G. Forbes Magdeburg, Germany
Advanced Technology Institute and
Department of Electronic Engineering
University of Surrey
Guildford, Surrey, UK

ISSN 0303-4216 ISSN 1437-0859 (electronic)

Topics in Applied Physics
ISBN 978-3-030-47290-0 ISBN 978-3-030-47291-7 (eBook)
https://doi.org/10.1007/978-3-030-47291-7
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Preface

During the historical development of Vacuum Electronics a lot of review articles

and also several more extensive textbooks have been written on vacuum electron
sources, reflecting the status of knowledge of that time. One of the first textbooks
was “Thermionic Emission” by Reimann (Chapman & Hall, London 1934 [1]).
More famous later on became the book of Herrmann and Wagener “The Oxide
Coated Cathode” (Chapman & Hall, London 1951 [2]). It appeared during the
introduction of the reservoir and impregnated cathodes and suffers from this
handicap. Of course also cold emission was not a topic then. There are older
detailed review articles of that time by Herring and Nichols on thermionic emission
[3] and by Nottingham [4]. There are also detailed chapters on thermionic emission
in the context of electron tube applications by Kohl from Sylvania [5] and by
Nergaard et al. from RCA [6] and also review articles, e.g., by Haas et al. [7] on
thermionic emission and by others, all originating during the high noon of vacuum
electron tubes before 1980. It is still instructive to read these books or reviews
nowadays, since some of the knowledge of the past has been forgotten.
In the last 20 years also some reviews on cold cathodes appeared, especially the
book edited by Zhu, “Vacuum microelectronics” [8] and the book “Field Emission
Electronics” by Egorov and Sheshin [9], published by Springer in 2017.
More recent overviews dealing with thermionic and cold cathodes were given by
Hawkes [10], Dowell et al. [11], Yamamoto [12] and Umstattd [13]. In 2008
appeared the Springer book “Vacuum Electronics—Components and Devices”,
containing also a chapter on vacuum electron sources by Gaertner and Koops [14],
giving a wrap up on all types of historic and new cathodes used in different tubes,
but not going into more detail especially needed for modern cathodes.
Hence in view of new insights, new types of cathodes and thermionic cathode
improvements during the high noon of the CRTs, and due to intense research on
cold cathodes in the last 20 years, it became important to compile a new textbook
on vacuum electron sources. This is also intended as a comprehensive source for
future cathode developments and new applications with specific demands, which is
much more detailed than the last review articles. This is now realized in this book,
which will mainly address the more recent types, with special emphasis on

v
vi Preface

promising new trends for future applications. Yet we have also included some
already historic top results on scandate and oxide cathodes from the last phase
of the CRT era as possible starting points for future developments. The require-
ments of high-brightness cathodes for electron beam applications are addressed in
Chap. 6. Modern photocathodes are the subject of Chap. 7. In Chaps. 8 and 9
theoretical concepts of thermal, photo and mainly field emission are critically
discussed. Chapters 10–12 are devoted to carbon field emitters, explosive emitters
and field emitter arrays.
“Modern Developments in Vacuum Electron Sources” deals with one of the most
essential components of all vacuum electron devices, namely the electron sources or
cathodes, which in general are decisive for the overall performance of the respective
vacuum electron device or vacuum tube. Despite the rise and the fall of once
dominating types of vacuum tubes such as radio valves and cathode-ray tubes, the
improvement of cathodes continues and new applications with increased demands
arise, such as electron beam lithography, high-power and high-frequency microwave
tubes, terahertz imaging, and electron sources for accelerators. New developments in
cathodes needed for these applications are addressed by world experts in this field,
wrapping up the state of the art and giving future perspectives. Let us close with an
advice to the reader: if you are interested in the history of science and technology, in
general, you should start with Chap. 1. If you want to know more about the basics
and electron emission theory, you should start with Chaps. 8 and 9.
In case of German names with Umlaut (ä, ö, ü) always the German-English
transcription (ä = ae, ö = oe, ü = ue) has been used. In case of literature searches
please take both versions into account. (the same holds for German ß = ss)

General Literature: Reviews on Cathodes

(Thermionic and/or Field Emission)

1. A.L. Reimann, Thermionic Emission (Chapman & Hall, London, 1934)

2. G. Herrmann, S. Wagener, The Oxide Coated Cathode (Chapman & Hall,
London, 1951)
3. C. Herring, M. Nichols, Thermionic emission. Rev. Mod. Phys. 21(2), 185–270
(1949)
4. W. Nottingham, Thermionic Emission, Handbuch der Physik, ed. by S. Flügge,
vol. 21, Elektronen-Emission/Gasentladungen I, (Springer, Berlin, 1956),
pp. 1–175
5. W.H. Kohl (Sylvania), Materials and Techniques for Electron Tubes, Reinhold
Publishing 1960, revised edition; 1. Edition 1951: Materials and Technologies
for Electron Tubes
6. L.S. Nergaard, R.S. Burnap et al., Electron Tube Design, RCA internal pub-
lication 1962, collection of 53 articles by RCA engineers, starting with
“Fundamentals of Electron Emission” by L. S. Nergaard, pp. 1–27
Preface vii

7. G. Haas, R. Thomas: Thermionic emission and work function, In Techniques of

Metal Research, Vol. 6/1, ed. by E. Passaglia, (Interscience Publ., 1972),
pp. 94–262
8. Ed. Wei Zhu, Vacuum Microelectronics (Wiley, 2001) (Topic: Field Emission)
9. N. Egorov, E.P. Sheshin, Field Emission Electronics (Springer, 2017)
10. P.W. Hawkes, Thermionic emission. Encycl. Appl. Phy. 21 (Wiley, 1997),
229–243
11. D.H. Dowell, J. Smedley et al., Cathode R&D for future light sources. SLAC-
Pub-14002 and Nucl. Instrum. Methods Phys. Res. A 622, 685 (2010)
12. S. Yamamoto, Fundamental physics of vacuum electron sources. Rep. Prog.
Phys. 69, 181–232 (2006)
13. R.R. Umstattd, Advanced Electron Beam Sources, Chapter 8 in Modern
Microwave and Millimeter-Wave Power Electronics, ed. by R. Barker et al.,
(Wiley, 2005), pp. 393–444
14. G. Gaertner, H.W.P. Koops, Vacuum electron sources and their materials and
technologies, Chap. 10 in Vacuum Electronics (Springer, Berlin, 2008),
pp. 429–482

Aachen, Germany Georg Gaertner

Magdeburg, Germany Wolfram Knapp
Guildford, UK Richard G. Forbes
January 2020
Contents

1 History of Vacuum Electronics and Vacuum Electron Sources

and Future Development Trends . . . . . . . . . . . . . . . . . . . . . . . . .. 1
Georg Gaertner
1.1 The Foundations of Vacuum Electronics . . . . . . . . . . . . . . . . . 1
1.1.1 The Availability of Electric Power . . . . . . . . . . . . . . . 1
1.1.2 Milestones in Vacuum Technology . . . . . . . . . . . . . . . 9
1.2 Historical Development of Vacuum Electron Tubes . . . . . . . . . 12
1.2.1 The Rise of Incandescent Lamps . . . . . . . . . . . . . . . . . 12
1.2.2 The Early History of Vacuum Tubes and the Radio
Tube Era . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 14
1.2.3 The Technological Cycle of Cathode Ray Tubes . . . .. 17
1.2.4 The Continuous Progress of Other Noncyclic Vacuum
Electron Tubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 19
1.3 Historical Development and Improvement Directions
of Modern Vacuum Electron Sources . . . . . . . . . . . . . . . . . . .. 21
1.4 Future Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 27
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 28
2 Review on Impregnated and Reservoir Ba Dispenser
Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 33
Jean-Michel Roquais, Bernard Vancil, and Michael Green
2.1 Introduction: Historical Development of Different Types
of Ba Dispenser Cathodes . . . . . . . . . . . . . . . . . . . . . . . ..... 33
2.2 Impregnated Ba Dispenser Cathodes (Jean-Michel
Roquais) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 35
2.2.1 Structure of Impregnated Dispenser Cathodes;
The Different Pellets and Impregnants . . . . . . . . ..... 35
2.2.2 Emission Properties of Impregnated Cathodes . . ..... 37
2.2.3 High-Resolution Surface Characterization and
Correlation to Emission; Emission Model . . . . . ..... 50

ix
x Contents

2.2.4 Recent Developments on Dispenser Cathodes . . . . . . . 55

2.2.5 Applications of Dispenser Cathodes . . . . . . . . . . . . . . 55
2.3 Reservoir Cathodes (Bernard Vancil, Michael Green) . . . . . . . . 57
2.3.1 Basic Structure and Historical Development . . . . . . . . . 57
2.3.2 Performance of Reservoir Cathodes . . . . . . . . . . . . . . . 61
2.3.3 Selected Designs and Recent Reservoir Cathode
Developments . . . . . . . . . . . . . . . . . . . . . . . . . ..... 68
2.4 Conclusions and Future Aspects . . . . . . . . . . . . . . . . . . ..... 77
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 78
3 State of the Art and Future Perspectives of Ba Scandate
Dispenser Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 83
Georg Gaertner and Yiman Wang
3.1 Introduction: Historical Development of Different Types
of Ba Scandate Dispenser Cathodes and Application
Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 84
3.2 LAD Top-Layer Ba Scandate Dispenser Cathodes
with Re on W Base Matrix (G. Gaertner) . . . . . . . . . . . . . . . . . 86
3.2.1 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.2.2 Experimental Conditions . . . . . . . . . . . . . . . . . . . . . . . 86
3.2.3 Summary of Emission Results . . . . . . . . . . . . . . . . . . . 95
3.2.4 High-Resolution Cathode Characterization . . . . . . . . . . 115
3.2.5 Conclusions on LAD Top-Layer Scandate
Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 119
3.3 Nanosized-Scandia Doped Dispenser Cathodes with W-Base
Matrix (Yiman Wang) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 120
3.3.1 Motivation for the Development of the Nanosized-
Scandia Doped Dispenser (SDD) Cathodes . . . . . . . .. 120
3.3.2 Structure, Features, and Manufacture of Nanosized-
Scandia Doped Dispenser Cathodes . . . . . . . . . . . . . .. 121
3.3.3 Emission Characteristics of SDD Cathodes . . . . . . . .. 127
3.3.4 Generation of Miniature Electron Beams . . . . . . . . . .. 138
3.3.5 Fundamentals of Ba Scandate Dispenser
Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
3.3.6 Summary and Discussion . . . . . . . . . . . . . . . . . . . . . . 161
3.4 General Conclusions and Outlook . . . . . . . . . . . . . . . . . . . . . . 165
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
4 Modern Developments in Ba Oxide Cathodes . . . . . . ........... 173
Georg Gaertner
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
4.2 Historical Development and Model Development . . . . . . . . . . . 174
4.3 Peculiarities of the Oxide Cathode . . . . . . . . . . . . . . . . . . . . . . 176
4.4 Oxide Cathode Preparation and Activation . . . . . . . . . . . . . . . . 177
Contents xi

4.5 Emission Characteristics and Work Function . . . . . . . . . . . . .. 180

4.5.1 Pulse Emission Decay . . . . . . . . . . . . . . . . . . . . . . .. 180
4.5.2 Typical Experimental Procedures to Determine
the Emission Parameters . . . . . . . . . . . . . . . . . . . . . .. 181
4.6 Life Limiting Effects and Accelerated Life Tests of Oxide
Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 185
4.6.1 Accelerated Life by Increased Operating
Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 186
4.6.2 Accelerated Life by Increased Continuous DC-Load . .. 194
4.6.3 Emission Life Limitation by Continuous
or Intermittent Gas Poisoning . . . . . . . . . . . . . . . . . . . 197
4.7 Electrical Conductivity of Oxide Cathodes . . . . . . . . . . . . . . . . 201
4.8 Current Model of the Oxide Cathode . . . . . . . . . . . . . . . . . . . . 208
4.9 Types and Variants of Oxide Cathodes . . . . . . . . . . . . . . . . . . 211
4.10 Alternate Preparation Methods . . . . . . . . . . . . . . . . . . . . . . . . . 213
4.11 Conclusions and Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
5 Cathodes of Medical X-Ray Tubes . . . . . . . . . . . . . . . . . . . . ..... 221
Rolf Behling
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 221
5.1.1 X-Ray Tubes for Medical Diagnostics . . . . . . . . ..... 221
5.1.2 The Basics of the Generation of Bremsstrahlung ..... 222
5.2 Conditions of Operation of Medical Diagnostic
X-Ray Tubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 225
5.3 Release of Electrons into the Vacuum Space—Historical
Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
5.4 Tungsten Emitters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
5.4.1 Why Still Tungsten Emitters? . . . . . . . . . . . . . . . . . . . 231
5.4.2 Work Function of Tungsten . . . . . . . . . . . . . . . . . . . . 233
5.4.3 Some Basics of Thermionic Emission . . . . . . . . . . . . . 234
5.4.4 Characteristics of Cathodes—Emission Chart . . . . . . . . 234
5.4.5 Heating of the Emitter . . . . . . . . . . . . . . . . . . . . . . . . 235
5.5 The Electron Beam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
5.5.1 Beam Focusing and Focal Spot Metric . . . . . . . . . . . . 237
5.5.2 Advanced Electron Optics . . . . . . . . . . . . . . . . . . . . . . 238
5.5.3 Electrostatic Beam Compression and Current
Switching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
5.6 Overall Charge Balance in a Medical X-Ray Tube . . . . . . . . . . 241
5.7 Alternatives to Tungsten Emitters . . . . . . . . . . . . . . . . . . . . . . 245
5.7.1 Reduction of the Work Function . . . . . . . . . . . . . . . . . 245
5.7.2 Carbon Nanotube (CNT) and Graphene Emitters . . . . . 246
5.8 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
xii Contents

6 Cathodes for Electron Microscopy and Lithography . . . ........ 251

Pieter Kruit
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
6.2 Source Parameters for High-Resolution Applications . . . . . . . . . 253
6.2.1 Brightness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254
6.2.2 Energy Spread . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 256
6.2.3 Operational Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . 256
6.2.4 A Note on Coherence . . . . . . . . . . . . . . . . . . . . . . . . . 257
6.3 Focused Electron Beams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
6.3.1 Contributions to the Probe Size . . . . . . . . . . . . . . . . . . 260
6.3.2 Resolution and Probe Current . . . . . . . . . . . . . . . . . . . 263
6.4 Thermionic Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
6.4.1 Emission Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
6.4.2 Practical Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
6.4.3 Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . 272
6.5 Schottky Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
6.5.1 Emission Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
6.5.2 Practical Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277
6.5.3 Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . 281
6.6 Field-Emission Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
6.6.1 Emission Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
6.6.2 Practical Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
6.6.3 Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . 286
6.7 Photoemission Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
6.7.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
6.7.2 Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . 288
6.8 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
7 Photocathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 293
Wei Liu, Matt Poelker, John Smedley, and Romain Ganter
7.1 Introduction to Photoemission . . . . . . . . . . . . . . . . . . . . . . . .. 293
7.1.1 One-Step and Three-Step Models
of Photoemission . . . . . . . . . . . . . . . . . . . . . . . . . . .. 293
7.1.2 Comparison Between Metal and Semiconductor
Photoemission Processes Based on the Three-Step
Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295
7.1.3 Importance of the Density of States . . . . . . . . . . . . . . . 297
7.2 Metallic Photocathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
7.2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
7.2.2 Practical Approach to Photoemission from Metals . . . . 298
7.2.3 QE Performances of Metals . . . . . . . . . . . . . . . . . . . . 301
7.2.4 Limitations and Potential of Metallic Photocathodes . . . 306
Contents xiii

7.3 Positive Electron Affinity Semiconductors . . . . . . .......... 314

7.3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . .......... 314
7.3.2 Preparation and Performance of Cs2Te
Photocathodes . . . . . . . . . . . . . . . . . . . . .......... 315
7.3.3 Sensitivity to Vacuum . . . . . . . . . . . . . . .......... 317
7.3.4 Alkali-Antimonide Photocathodes . . . . . . .......... 319
7.4 NEA Semiconductors: GaAs Based Photocathodes
for Polarized Electron Beams . . . . . . . . . . . . . . . .......... 321
7.4.1 Overview of GaAs Photocathodes . . . . . . .......... 321
7.4.2 Theory: Spin Relaxation Mechanisms . . . .......... 325
7.4.3 Recent Measurements with GaAs NEA
Photocathodes . . . . . . . . . . . . . . . . . . . . .......... 327
7.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 340
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......... 341
8 A Thermal-Field-Photoemission Model and Its Application ...... 345
Kevin L. Jensen
8.1 Electron Emission: Sources and Uses . . . . . . . . . . . . . . . . . . . . 345
8.2 Emission Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
8.2.1 Transmission Probability . . . . . . . . . . . . . . . . . . . . . . . 353
8.2.2 Supply Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354
8.2.3 Gamow Factor and the Kemble Approximation . . . . . . 355
8.2.4 The Schottky–Nordheim Barrier . . . . . . . . . . . . . . . . . 357
8.3 Local Emission Current Density . . . . . . . . . . . . . . . . . . . . . . . 359
8.3.1 Energy Slope Factors . . . . . . . . . . . . . . . . . . . . . . . . . 359
8.3.2 Formulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
8.3.3 Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363
8.3.4 Nottingham Heating . . . . . . . . . . . . . . . . . . . . . . . . . . 366
8.4 Current from a Protrusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . 368
8.4.1 Hemisphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369
8.4.2 Point Charge Model . . . . . . . . . . . . . . . . . . . . . . . . . . 376
8.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
9 Renewing the Mainstream Theory of Field and Thermal
Electron Emission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 387
Richard G. Forbes
9.1 General Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 388
9.2 Technical Conventions . . . . . . . . . . . . . . . . . . . . . . . . . ..... 388
9.2.1 Equation Systems . . . . . . . . . . . . . . . . . . . . . . . ..... 389
9.2.2 Other International Conventions About Equation
Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 391
9.2.3 The Meaning of the Symbol ‘e’ . . . . . . . . . . . . ..... 391
xiv Contents

9.2.4 Conventions Concerning the Term ‘Field’ . . . . . . . . . . 392

9.2.5 Field Emission Customary Units . . . . . . . . . . . . . . . . . 394
9.3 Emission Theory—General Issues . . . . . . . . . . . . . . . . . . . . . . 394
9.3.1 Smooth-Surface Conceptual Models . . . . . . . . . . . . . . 394
9.3.2 The Problems of Smooth-Surface Models . . . . . . . . . . 396
9.3.3 Barrier Form, Electron Motive Energy and Barrier
Strength . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 397
9.3.4 Image Potential Energy and the Schottky Effect . . . . .. 398
9.3.5 Scaled Field as a Modelling Parameter . . . . . . . . . . .. 399
9.3.6 Barrier Strength and the Barrier Form Correction
Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
9.3.7 ‘Thermal Electron’ Versus ‘Thermionic’ . . . . . . . . . . . 401
9.3.8 The Concept of ‘Wave-Mechanical Flyover’ . . . . . . . . 402
9.3.9 The History of Thermal Electron Emission Theory . . . . 403
9.4 Validity Regimes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406
9.4.1 Transmission Regimes and Emission Current
Density Regimes . . . . . . . . . . . . . . . . . . . . . . . . . . .. 406
9.4.2 Regimes for the Exactly Triangular Barrier . . . . . . . .. 407
9.4.3 Regimes for the Schottky-Nordheim
Barrier—Qualitative Discussion . . . . . . . . . . . . . . . . . 411
9.5 Emission Theory—Mathematical Background . . . . . . . . . . . . . . 415
9.5.1 Relevant Elements of Statistical Mechanics . . . . . . . . . 415
9.5.2 Elements of Barrier Transmission Theory . . . . . . . . . . 417
9.6 Emission Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
9.6.1 Field Electron Emission Equations . . . . . . . . . . . . . . . 421
9.6.2 Scaled Form for the SN-Barrier Kernel Current
Density . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 423
9.6.3 The Principal Field Emission Special Mathematical
Function v(x) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 423
9.7 Device and System Theory Issues . . . . . . . . . . . . . . . . . . . . .. 431
9.7.1 Basic Auxiliary Parameters for Ideal FE
Devices/Systems . . . . . . . . . . . . . . . . . . . . . . . . . . .. 432
9.7.2 Field Enhancement Factors . . . . . . . . . . . . . . . . . . . .. 434
9.7.3 Macroscopic Current Density and Area
Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 435
9.8 The Interpretation of Measured Current-Voltage Data . . . . . . .. 436
9.9 Future Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 437
Appendix 9.1. Fundamental and Universal Constants Used in Field
Emission Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 438
Appendix 9.2. High-Precision Formulae for v(x) and u(x) . . . . . . . . .. 441
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 442
Contents xv

10 Carbon-Based Field Emitters: Properties and Applications . . . ... 449

Nikolay V. Egorov and Evgeny P. Sheshin
10.1 Introduction: General Information on Carbon-Based
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
10.2 Carbon-Based Material Structures . . . . . . . . . . . . . . . . . . . . . . 454
10.2.1 Graphene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
10.2.2 Carbon Fibers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
10.2.3 Pyrographite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
10.2.4 Glassy Carbon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468
10.2.5 Nanotubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 469
10.2.6 Diamond-like Films . . . . . . . . . . . . . . . . . . . . . . . . . . 472
10.2.7 Fullerenes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
10.2.8 Onion-like Carbon Structures . . . . . . . . . . . . . . . . . . . 474
10.3 Theoretical Behavior of Post-like Field Emitters . . . . . . . . . . . . 475
10.3.1 Field Emission Theory in Brief . . . . . . . . . . . . . . . . . . 475
10.3.2 The Almazov–Egorov Model: The Single-Emitter
Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 476
10.3.3 The Almazov–Egorov Model: The Regular Emitter
Array . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 483
10.3.4 Optimizing Multi-emitter Systems . . . . . . . . . . . . . ... 487
10.4 Materials Science and Experimental Field Emission
Properties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
10.4.1 Fullerenes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
10.4.2 Carbon Nanotubes . . . . . . . . . . . . . . . . . . . . . . . . . . . 495
10.4.3 Pyrographite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496
10.4.4 Glassy Carbon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497
10.4.5 Onion-like Carbon Structures . . . . . . . . . . . . . . . . . . . 498
10.4.6 Carbon Fibers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
10.4.7 Diamond-like Films . . . . . . . . . . . . . . . . . . . . . . . . . . 501
10.5 Devices and Equipment Employing Carbon-Based FE
Cathodes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502
10.5.1 Field Emission Light Sources . . . . . . . . . . . . . . . . . . . 503
10.5.2 Flat Display Screens . . . . . . . . . . . . . . . . . . . . . . . . . . 511
10.5.3 Microwave Devices . . . . . . . . . . . . . . . . . . . . . . . . . . 515
10.5.4 X-Ray Tubes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 516
10.5.5 Electron Guns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
10.6 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521
xvi Contents

11 Explosive Electron Emission of Carbon-Based Cathodes,

and Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 529
Georgiy N. Fursey
11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 529
11.2 Experimental . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 531
11.2.1 Explosive Electron Emission (EEE) . . . . . . . . . . . . . .. 531
11.2.2 Low Threshold Field and Explosive Electron
Emission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 534
11.2.3 Development of the X-Ray Source . . . . . . . . . . . . . .. 534
11.2.4 Autonomous X-Ray Tubes—Experimental
Parameters of the Tubes . . . . . . . . . . . . . . . . . . . . . .. 536
11.3 Results and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 537
11.3.1 Determination of the Focal Spot Size—Divergence
of the X-Ray Flux . . . . . . . . . . . . . . . . . . . . . . . . . .. 537
11.3.2 Portable X-Ray Apparatus . . . . . . . . . . . . . . . . . . . .. 538
11.3.3 Opportunities for External Focusing of Pulsed X-Ray
Radiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 541
11.4 Summary and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . .. 543
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 544
12 Spindt Cathodes and Other Field Emitter Arrays . . . . . . . . . .... 547
Georg Gaertner and Wolfram Knapp
12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547
12.2 Spindt Field Emitter Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . 548
12.2.1 History of Spindt Emitters . . . . . . . . . . . . . . . . . . . . . 548
12.2.2 Fabrication Technology . . . . . . . . . . . . . . . . . . . . . . . 549
12.2.3 Spindt Emitter Performance . . . . . . . . . . . . . . . . . . . . 553
12.2.4 Performance Improvement Over Time in the Last
Four Decades . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562
12.2.5 Applications of Spindt Arrays . . . . . . . . . . . . . . . . . . . 563
12.3 Other Field Emitter Arrays . . . . . . . . . . . . . . . . . . . . . . . . . . . 567
12.3.1 Si Field Emitter Arrays . . . . . . . . . . . . . . . . . . . . . . . . 567
12.3.2 Carbon Nano Tube (CNT) Arrays . . . . . . . . . . . . . . . . 569
12.4 General Evaluation and Conclusions . . . . . . . . . . . . . . . . . . . . 574
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581
Contributors

Rolf Behling XTraininx—Technical Consulting, Hamburg, Germany

Nikolay V. Egorov Saint Petersburg State University, St. Petersburg, Russia
Richard G. Forbes Advanced Technology Institute & Department of Electrical
and Electronic Engineering, University of Surrey, Guildford, UK
Georgiy N. Fursey The Bonch-Bruevich Saint-Petersburg, State University of
Telecommunications, Saint Petersburg, Russia
Georg Gaertner Consultant, Aachen, Germany
Romain Ganter Paul Scherrer Institut, Villigen, Switzerland
Michael Green Consultant, Palo Alto, CA, USA
Kevin L. Jensen Code 6362, MSTD Naval Research Laboratory, Washington,
DC, USA
Wolfram Knapp Otto von Guericke University, Magdeburg, Germany;
Knapptron GmbH Vacuum Electronics, Möser, Germany
Pieter Kruit Delft University of Technology, Delft, The Netherlands
Wei Liu Thomas Jefferson National Accelerator Facility, Newport News, VA,
USA;
Institute of Modern Physics, Chinese Academy of Sciences, Lanzhou, China;
University of Chinese Academy of Sciences, Beijing, China
Matt Poelker Thomas Jefferson National Accelerator Facility, Newport News,
VA, USA
Jean-Michel Roquais Thales AVS France, Vélizy-Villacoublay, France

xvii
xviii Contributors

Evgeny P. Sheshin Moscow Institute of Physics and Technology, Dolgoprudny,

Russia
John Smedley Los Alamos National Laboratory, Los Alamos, NM, USA
Bernard Vancil Ebeam Inc., Beaverton, OR, USA
Yiman Wang Beijing, China
Chapter 1
History of Vacuum Electronics
and Vacuum Electron Sources
and Future Development Trends

Georg Gaertner

Abstract The historical rise of vacuum electronics (VE) was enabled by the avail-
ability of electrical power and by improved vacuum techniques, but its further
progress relied on improved electron sources and their control. The development
of VE has been pushed by several technological waves/cycles, starting with incan-
descent lamps, continuing with the radio tube era and then followed by the cathode-
ray tubes. Yet vacuum electronics is still alive and has specific advantages in the
high-power, high-frequency domain. The improvement trends of cathodes over time,
related to specific and also advanced application requirements will be addressed.

1.1 The Foundations of Vacuum Electronics

1.1.1 The Availability of Electric Power

One of the prerequisites for vacuum electronics is, of course, the availability of
electric power generators and later on of a distributing grid for power supplies.
Hence the advances in this field happened some decades before the rise of vacuum
electronics started [1–4]. We find a similar development (limiting) growth curve as
in other fields of technology.
Already in antiquity around 585 B.C., the first concepts of magnetic and electric
forces were described by Thales of Miletus, electron being the Greek word for amber,
wherefrom charges could be generated by rubbing, and magnetic forces being mani-
fested in magnetic ores found in Magnesia [3, 5]. Yet they more or less remained
curiosities and did not trigger any applications. An exception could be the so-called
battery of Baghdad from the time of the Parthian Empire after 247 B.C., which was
capable to deliver 250 μA at 0.25 V, when a saline solution was added; a possible
application could have been electroplating [6].

G. Gaertner (B)
Consultant, Aachen, Germany
e-mail: [email protected]

© Springer Nature Switzerland AG 2020 1

G. Gaertner et al. (eds.), Modern Developments in Vacuum Electron Sources,
Topics in Applied Physics 135, https://doi.org/10.1007/978-3-030-47291-7_1
2 G. Gaertner

Fig. 1.1 The 1663

electrization machine of Otto
von Guericke, using a sulfur
sphere and friction. The
figure is based on [7], “The
electrical experimenter”,
Sept. 1915, p.198

In modern times Otto von Guericke was not only a pioneer in vacuum technology
with the Magdeburg half-spheres experiment in 1654, demonstrating that 16 horses
could not draw two evacuated metal half-spheres apart [2, 7, 8]. Guericke also built an
electrization machine in 1663 (see Fig. 1.1), using a sulfur sphere and friction [3, 7–
11]. With this sulfur sphere, Gottfried Wilhelm Leibniz in 1672 discovered electrical
sparks. In 1745 the German cleric Ewald von Kleist and the Dutch scientist Pieter
van Musschenbroek from Leyden, both found that charges generated by friction
could be stored and accumulated in a Kleist jar or more commonly “Leyden jar”
[9]. Typical for spark experiments using Leyden jars were very high voltages and
rather low discharge currents (with powers in the order of 30–50 W, see Ayrton [11]).
In 1799/1800 Alessandro Volta (Italian) produced continuous electrical power for
the first time (as opposed to a spark or static electricity) from a stack of 40 cells of
silver and zinc plates, with felt soaked with salt solution in between the electrodes.
This battery lasted for several days [3, 9, 12]. From our knowledge nowadays, it had
a electromotive force of 62.8 V and should have been capable of delivering about
20 W, due to the conversion of chemical to electrical energy in a redox reaction. In
a replica experiment to be followed on YouTube [13], one can see that the voltage
of 22 elements’ stack of Zn and Cu, which Volta also used, is about 24 V and the
power in the order of 8 W. Of course, one can increase the current by using several
parallel cells or larger cell sizes and one can increase the voltage by further stacking.
Such an upscaling was of course realized in the following years. The introduction
of the horizontal trough battery by William Cruickshank in 1802, in one version
consisting of 60 Zn–Ag pairs with an estimated power of 17 W, increased battery
life to several weeks. For all these galvanic cells the achievable current was limited
by the electrode area, the current density being usually a factor of about 5 lower than
1 History of Vacuum Electronics and Vacuum … 3

the maximum current density of about 50 mA/cm2 [14, 15]. Humphrey Davy used
3 different batteries with powers ranging from about 170 to 260 W for his chemical
experiments, with which he first isolated alkali elements and also demonstrated arc
discharges between carbon electrodes. Based on these improved cells, William Pepys
in 1808 started to construct one of the strongest batteries with 2000 plate pairs in a
trough configuration and 82.6 m2 total plate area (103 cm2 single plate surface area)
for the Royal society of London [3, 16, 17], financed by a subscription [17]. It was
a plunge type battery in a nitrous and sulfuric acid solution of higher conductivity,
finally installed in 1810 with an estimated power of about 7 kW at 1.7–2.2 kV (see
Fig. 1.2).
A battery of 600 Zn–Cu galvanic cells with single electrode surface area of
900 cm2 was constructed in Paris in 1813, funded by Napoleon I, with an estimated
power of 4.6 kW. But both approaches had been surpassed before by Vasily Petrov
in St. Petersburg in 1802/1803 with a huge, also horizontal battery of 4 troughs with
4200 Zn–Cu galvanic cells (491 cm2 single plate area) with an estimated power of
17 kW. Yet he was still using a salt solution (as Volta) of lower conductivity. He also
demonstrated the first continuous arc discharge between two carbon electrodes in
1802/3, but unfortunately published it only in Russian [18].

Fig. 1.2 The great Battery of London (ca. 1810), figure from [16], Louis Figuier, “Les Merveilles
da la Science”, Paris 1867 (Fig. 346, p. 673), reproduced by G. Gaertner
4 G. Gaertner

The main improvement trend was to increase the rather short life of these galvanic
cells by using different and improved materials. In this context John F. Daniell (UK)
in 1836 introduced a porous diaphragm between the Zn–Cu electrodes and 2 fluids in
order to overcome polarization [3, 9]. In 1854 the German Wilhelm Josef Sinsteden
invented the lead accumulator by replacing copper by lead and using sulfuric acid
as the fluid, which was then strongly improved in 1859 by the Frenchman Gaston
Planté, making the first secondary or rechargeable battery with electrodes of Pb and
PbO2 and an electrolyte of sulfuric acid technically feasible [9]. A predecessor of
this accumulator was invented by J. W. Ritter in 1802 [9]. In Germany the physician
Carl Gassner in 1887 developed the first dry cell.
It has to be noted that up to that time also in the later literature in most cases, no
performance data on these devices were given since metrology was still in its infancy.
The author estimated the performance based on material and geometrical data and
our knowledge nowadays and made use of the work of Ayrton [11] and King [19]. Of
course the estimated power given for different batteries up to 1825 has to be reduced,
if one sets a minimum requirement for the operational time of about 1000 h.
These electrical power sources were also very valuable for establishing the laws
of electricity and magnetism in the years to come, as done by the Danish man Hans
Christian Oersted, by the Frenchman André- Marie Ampère in 1820 and later by the
German Georg Simon Ohm (1826), the Englishman Michael Faraday (1829, 1852)
and finally by James Clerk Maxwell (1865) [3].
Another approach to supply electrical power was based on the conversion of
mechanical energy to electrical energy by moving magnets and inductive currents.
The first usable machine was built by the Frenchman Hyppolite Pixii in 1832, by
turning a permanent magnet in front of a pair of coils, producing an alternating
current. In a second machine built in the same year, he introduced a commutator
and obtained undulating DC current [9, 12]. A commercial application arose, when
a supply for the electrical arc lamps for lighthouses was needed. In 1857–1858 Prof.
Frederick Holmes constructed a magneto-electric machine for the South Foreland
lighthouse in the UK. The test version had 36 permanent magnets on 6 wheels,
weighed 2000 kg and gave a DC output of 1.8 kW [3] (according to [20] only of
700 W). In the final version two machines with 60 permanent stationary magnets
were delivered, now with iron frames instead of wood, which weighed 5500 kg. The
two wheels with coils were driven by a steam engine through a belt drive [3, 19].
Looking at the weight of these machines, they were not really efficient.
Werner Siemens in Germany showed, based on an idea of Henry Wilde, that
permanent magnets were not necessary to convert mechanical to electrical energy, and
built his first technically convincing dynamo-electric machine (“Elektrodynamische
Maschine”) of table-size in 1866, which could deliver 26–29 W. Thus, the efficiency
could be greatly improved and in the years to come more powerful machines were
built, for instance, the Siemens dynamo of 1877 with a commutator delivering 20 A at
50 V (1 kW DC) [3, 5, 9, 20]. The Pearl street power station installed by T.A. Edison
in 1879 generated electric power of 100 kW [3, 4]. In 1883 the company Siemens
Brothers installed a dynamo machine with single-phase alternators in London with
250 kW power. In 1900 the same company showed a 1.57 MW machine at the Paris
1 History of Vacuum Electronics and Vacuum … 5

Exhibition [3]. As an example of the worldwide activities Siemens & Halske designed
and built the first public power plant of about 4 MW in the vicinity of the coal mines
in Brakpan near Johannesburg in South Africa, which went into operation in 1897
[21]. Each of the 3-phase generators generated 975 kW at 700 V. The power was
transmitted at 10 kV to various gold mines. A picture of the machine room is shown
in Fig. 1.3.
The number of power stations strongly increased with time in the years from 1890
to 1910 and also the maximum power. In that time DC was dominant and in order
to store energy for low load intervals accumulator stations were added, allowing
to store about 15% of total electrical energy [4]. In the beginning of the twentieth
century, the majority of new power stations supplied either alternating or 3-phase
AC current. It has to be pointed out that in general the steam electric power stations
need, for example, coal for steam generation and hence in total chemical energy is
converted via thermal to mechanical and then to electrical energy. For a 100 MW
turbo generator the amount of coal needed is enormous: 150 tons of brown coal per
hour and 350 tons of steam per hour. Such a power plant was Golpa-Zschornewitz in
Germany with 45 MW in 1915 (1918 180 MW), which was later topped by Boxberg
(German Democratic Republic) with 3.52 GW in 1966 [9].

Fig. 1.3 Machine room in 1897 of the power station Brakpan in South Africa, equipped with
Siemens & Halske three-phase generators (975 kW at 700 V), coupled directly to the steam engines
[21]. Courtesy of Siemens Historical Institute
6 G. Gaertner

The first huge water power station was built by Tesla and Westinghouse in 1895 at
the Niagara falls, comprising 3 aggregates of turbines and 2-phase dynamo-machines
of 4 MW each [5]. In 1924/25 the Walchensee power station went into operation in
Germany, with four 3-phase generators delivering 72 MW in total and two single-
phase generators of 52 MW [5].
From the power stations the electrical energy was fed into a power grid, distributing
it to the end-users, but DC transmission was limited to shorter distances. The first
successful long-distance 3-phase transmission took place from Lauffen power station
to the Frankfurt Electricity Exhibition over 175 km in 1891 and was realized by
Michail von Doliwo-Dobrowolski of AEG (he was born in St. Petersburg in 1862)
[4]. In 1925 long-distance transmission started, using 3-phase (rotating) current and
high voltages of 110 kV or 220 kV due to lower losses [4].
The first pioneer nuclear power station Obninsk near Moscow was built in the
Soviet Union in 1954 and supplied 5 MW. Calder Hall (two reactors) was built in
the UK in 1956 and had an output of 69 MW (later on 180 MW); it was followed by
Shipping Port in the US in 1957 with 100 MW [10]. In 1974 Biblis A in Germany
generated 1.2 GW of electrical power [9], see Fig. 1.4. Nowadays the Kashiwazaki-
Kariwa Nuclear Power Plant in Japan with 7 boiling water reactors and a rated power
of 8.2 GW is the largest one of the world. It was completed in 1997 [22]. Of course
nuclear fission is much more efficient than the burning of coal: 1 atom of U235 supplies
200 MeV of energy compared to 4 eV by the chemical reaction of 1 atom C12 with
O2 , which means 1 g of U235 delivers about 2.5 million times more energy than 1 g of
coal. In this case the nuclear reactor supplies the thermal energy for the steam–electric
power plant and replaces firing of coal [4]. An intermediate drastic improvement step
could be nuclear reactors using fast neutrons, with higher reactor temperature and
much more efficient use of nuclear fuel, also strongly reducing the amount and decay

Fig. 1.4 Nuclear power plant Biblis in Germany 1974 [26]; Courtesy of Siemens Historical Institute
1 History of Vacuum Electronics and Vacuum … 7

times of nuclear waste. A promising alternative also is the molten salt thorium reactor,
which is currently discussed worldwide. Such a type was tested by Weinberg and his
team 1965–69 in the USA (based on U233 ) and is based on the conversion of Th232
to U233 by neutron capture. It has several advantages over the nuclear reactor types
used so far: Th232 is 4 times more abundant than U238 , the reactor type is inherently
safer, is more efficient, with less radioactive waste, decays faster, is not useful for
nuclear weapons, but the initial radioactivity of the waste can be higher [23]. A
further approach with about 60% higher efficiency compared to conventional nuclear
reactors are fast breeder reactors, which have already a longer history of research and
development. Here in 2016, the BN 800 fast breeder reactor in Belojarsk in Russia
went into operation with a power of 800 MW. Its predecessor BN 600 started in
1980. The next reactor of this type there, the BN 1200, is under construction [24].
A still more efficient and safer approach would be nuclear fusion reactors. The first
prototype of it, the International Thermonuclear Experimental Reactor (=ITER) in
Cadarache (France) is planned to show the feasibility with a gain factor Q = 10
(fusion energy to plasma energy) around 2035 [25]. An international collaboration
as in the ITER project is needed, since the problems in maintaining a high density
plasma at temperatures higher than in the interior of the sun for a longer time are
tremendous [25].
One should keep in mind that the majority of all power plants: coal, nuclear,
geothermal, solar thermal electric power plants, waste incineration plants as well as
many natural gas power plants are steam-electric (86%!). Yet it has to be mentioned
that hydropower stations have surpassed the largest nuclear power stations in the
meantime: the Itaipu Dam water power plant (Brazil, Paraguay) delivers 14.2 GW
electric power since 1991 [5, 27], where the dam has created an artificial lake of
1350 km2 area (total cost 20 billion US$). Besides the flooding of river valleys
there are a lot more risks associated with the dam itself, as can be seen from the
Sayano-Shushenskaya Dam and power plant in Russia (6.4 GW, 1985), where already
several accidents have happened. By the way, since 1961 the new Niagara Falls power
station delivers 2.5 GW. Yet the new world record is set by the Three Gorges Dam
hydropower plant in China in 2008 with 22.5 GW and an artificial lake of 1000 km2
area [27].
In Fig. 1.5 the maximum available electrical power per generator/power station is
shown in dependence on time. After a slow increase in the seventeenth and eighteenth
century, a steep increase starts in the nineteenth century with the industrial revolution.
In the time before 1820, the red squares are power estimates partly based on rebuilt
devices and our knowledge nowadays. The blue triangles from 1826 on (after the
formulation of Ohms law) are based on measurements (data based on [3–5, 9, 20,
21, 26, 27]). The steeper slope of the blue dashed line is the limiting curve for the
conversion of finally mechanical to electrical energy based on thermal, hydropower or
nuclear power sources. The learning curve for a new technology such as the galvanic
cells or Siemens generators may be steeper, but initially starts lower. The availability
of electrical power is, of course, a prerequisite for the start of vacuum electronics,
together with the development of vacuum technology. The increasing demand for
electric energy at the end of the nineteenth century is driven by the demand for
lighting, then followed by motors and electric transportation/tramways.
8 G. Gaertner

Fig. 1.5 Availability of electrical power versus time (per power generator/power plant): The red
lines show the slow increase in available electrical power till 1800, when it was generated via
friction or conversion of chemical to electrical energy. The steeper slope of the blue dashed line is
the limiting curve for the conversion of finally mechanical to electrical energy based on thermal,
hydropower or nuclear power sources. The learning curve for new technology such as the galvanic
cells or Siemens generators may be steeper, but initially starts lower. Copyright Georg Gaertner,
Aachen, Germany

In this context we will shortly mention alternative sources of energy, which are
less risky. They did not play a role in the initial advancement of electrical energy
supply, but have become important nowadays. Here the wording renewable energies
is wrong, since physicists are well familiar with the conservation of energy: it at
least should be renewable or sustainable energy sources, which means permanently
available energy supplies, such as wind energy or light from the sun. The maximum
rated power of offshore single wind turbines now reaches 8 MW [28–31], with a blade
length up to 80 m, onshore values of 2–4 MW are typical. Photovoltaic power plants
have been realized up to 1 GW peak (166 MW peak Solarkomplex Senftenberg in
Germany; 850 MW peak solar plant near Longyangxia in China) [32]. Yet the electric
energy supplied is strongly fluctuating, the average level is much lower than the peak
rating, the problem of storage is not solved and their advancement is also linked to
strongly increasing area consumption. The strong fluctuations still imply the need
for conventional power plants for the baseload [33–35].
It is instructive to look at the following comparison. The area consumption of
power plants of different kinds is not only a question of the net basement area used,
but also for the required surrounding infrastructure. Let us take the Biblis nuclear
power plant as an example: the total electric power available was about 2.35 GW,
1 History of Vacuum Electronics and Vacuum … 9

assuming the planned Blocks C and D would have been realized then 4.7 GW would
have been available from an area of about 0.3 km2 at the banks of River Rhine (see
Wikipedia [36]). If we compare it with wind power area requirements, we refer, for
example, to the statistical evaluation of Denholm et al. from the US Department of
Energy [37]. In their report they derived an average permanent direct impact area
(including permanent clearing area) of 0.3 ha/MW (+ a temporary impact area of
0.7 ha/MW), but a total wind park project area of 34 ha/MW. This larger area is due to
the fact that a certain distance between wind turbines is needed to avoid the turbulent
flow created by other wind turbines from the initially laminar flow. From the first
value for the direct impact one would calculate an area consumption of 14.1 km2
for 4.7 GW capacity of wind power, but from the distance requirement the area
consumption is 1598 km2 , which is already 62% of the federal state Saarland. If one
takes into account that offshore at best 20% of the nominal power can be realized,
the required area reaches about 8000 km2 , which is half of the area of Thüringen.
This should not rule out wind energy as a renewable energy source in the energy
mix, but its risks such as killing flying animals, reducing forest area, changing the
airflow patterns and an observed drying effect on soil should be taken into account
[31, 37].

1.1.2 Milestones in Vacuum Technology

The second basic condition for the rise of vacuum electronics is the availability of
vacuum and hence vacuum technology. Already in antiquity Greek philosophers,
especially Demokritos (460–370 B.C.), were speculating whether there might exist
an absolutely empty space, in contrast to matter (filled by indivisible atoms). It was
Aristotle (384–322 B.C.), who claimed that nature will not allow total emptiness and
that there is a “horror vacui”, which became also the dogmatic belief of the catholic
church [38, 39].
Only at the beginning of modern times, with a weakening belief in dogmas, in
1641–1643 in Italy Gasparo Berti and Vincenzo Viviani could explain why suction
pumps cannot pump water higher than about 10 m, namely because of atmospheric
pressure. Berti first measured this pressure with a water column and demonstrated
vacuum above the column. In 1643/1644 then Viviani and Evangelista Torricelli
replaced water by mercury in a thin column and invented the Hg pressure manometer
[5, 38, 40].
Based on his experiments with the first air pump in 1641, Otto von Guericke first
could not remove water from a wooden barrel by pumping, because it was of course
not airtight. He then replaced the barrel by two iron half-spheres, which exactly fitted
on each other, but only when he used thicker material they withstood air pressure
and he was able to evacuate them. This was eventually the first vacuum chamber. In
1654 and 1656 he showed experiments with evacuated half-spheres at the Imperial
10 G. Gaertner

Diets (Reichstage) in Regensburg and Würzburg. In 1657 he conducted his famous

Magdeburg half-spheres experiment (now with copper) also using a solid piston
pump for evacuation and reaching an estimated 13 mbar rough vacuum. 16 horses
could not move the evacuated half-spheres apart. The work of Guericke was first
reported in the books of Caspar Schott (Professor in Würzburg, whom Guericke had
sent his results) in 1657 and 1664 and in an extended version by Guericke himself
in 1672 [8, 38, 39, 41].
In 1660 Robert Boyle with the help of Robert Hooke improved the solid piston (air)
pump and added a U tube Hg manometer in the vessel and thus reached 8 mbar. These
Hg manometers are capable of measuring vacuum down to 1 mbar and with later
improvements down to 0.1 mbar [40]. Despite a lot of new insights, for example, the
Boyle–Mariotte law for ideal gases, the vacuum achieved was only slowly improved
during the next 200 years, as can be seen in Fig. 1.5. Only when solid piston vacuum
pumps as used by von Guericke got replaced by mercury piston pumps as first used
by the glassblower Heinrich Geissler from Bonn (Germany) in 1855/56, reaching
0.13 mbar, this initiated an accelerated improvement of the ultimate vacuum [38, 40].
In 1865 Sprengel [40] devised a pump in which a train of mercury droplets trapped
packets of gas in a glass tube and carried the gas away and thus reached 1.3 × 10−2
mbar. This type of pump was continuously improved in the following decades by
several researchers like William Crookes and finally G. Kahlbaum, who reached 5
× 10−6 mbar in 1894 [40].
Of course this also needed improvement of pressure measurement, which was
achieved by McLeod in 1874. The McLeod gauge permits pressure measurements
down to 10−6 mbar. It is based on the compression of the gas by a mercury column
to an easily measured higher pressure, and the use of Boyle’s law to calculate the
original pressure [40].
In the beginning of the twentieth century the German physicist Wolfgang Gaede
developed several new types of vacuum pumps, which revolutionized vacuum tech-
nology [38]. His inventions were initially triggered by the need for better vacuum
for metal surface investigations. It started with the development of the motor-driven
rotary oil pump (fore pump) reaching 2 × 10−2 mbar, which was manufactured by
the Leybold company from 1907 on. The next step was the invention of the Hg rotary
vane pump also in 1905, capable of reaching about 2 × 10−6 mbar using a fore pump
as above. Gaede introduced the molecular drag pump in 1913, achieving 4 × 10−7
mbar, and the mercury diffusion pump in 1915 [40, 42]. In 1916, I. Langmuir further
increased the pumping speed of the Hg diffusion pump, which is needed for industrial
applications, and in 1918 R. Sherwood reached 2.7 × 10−8 mbar with an improved
version [42].
For such low pressures the hot-filament ionization gauge was invented by O. E.
Buckley in 1916, ranging down 1.3 × 10−8 mbar [43]. In the next 30 years, only slow
progress was made concerning the ultimate vacuum. In 1937, Hunt described methods
to reach ultrahigh vacuum (UHV, ranging from 10−7 to 10−11 mbar), including baking
and use of getters, but the sensitivity of gauges was not sufficient for pressures lower
1 History of Vacuum Electronics and Vacuum … 11

than 10−8 mbar. In the years from 1935 to 1950, various getters were introduced,
which after sealing and activation, helped to further pump down the tubes during
operation. It was finally recognized that the limited sensitivity of the gauges was
related to the creation of soft X-rays at the collector and a superimposed photoelectron
current [42, 44]. A breakthrough in pressure measurement sensitivity was the Bayard–
Alpert gauge, which lowered the X-ray limit drastically by reducing the surface
area of the collector. It was invented by R. Bayard and D. Alpert and is able to
measure down to 10−11 mbar [44]. Improvements in pumping soon followed. The
molecular pump of Gaede was improved in the form of a multistage turbo-molecular
pump by W. Becker of the company Pfeiffer Vakuum in 1958, with attainable vacua
now in the range of 10−10 mbar [45]. Also in 1958 L. Hall of the company Varian
introduced the ion getter pump, which is capable of reaching 10−10 mbar after first
pumping down with a high vacuum pump and baking the vacuum chamber [46].
Further improvements of the Bayard–Alpert design reduced the X-ray limit further
and allowed to measure pressures below 10−12 mbar. The years from 1950 to 1970
were very fruitful years for vacuum science and technology. Residual gas analysis
was introduced by W. Paul by application of quadrupole mass filters. The ultimate
vacuum was further reduced. Already Hobson [47] reported 1 × 10−14 mbar in a
small glass system cooled to 4.2 K, measured with a Bayard–Alpert gauge. This was
again reached by W. Thompson and S. Hanrahan in 1977. XHV results of 4 × 10−14
mbar were obtained by C. Benvenuti in 1977 and 1993 [44, 48]. In 1989, H. Ishimaru
of Japan obtained 5 × 10−13 mbar by using a turbo-molecular pump for pumping
down, careful baking the Al chamber and maintaining XHV by two ion getter pumps
and a titanium sublimation pump. This is the lowest value for chambers at room
temperature. For the measurement, he used a point collector gauge [49].
The lowest pressure reported so far, namely 6.7 × 10−17 mbar, was determined
indirectly from the storage of anti-protons in a Helium cooled Penning trap by G.
Gabrielse et al. in 1990 at CERN [50]. In this application of cooled Paul ion traps
top results were also achieved recently by Micke et al. in 2019 [51] and by Schwarz
et al. in 2012 [52], both claiming a pressure range of 1 × 10−15 –1 × 10−14 mbar
(1 × 10−13 –1 × 10−12 Pa). For accelerator applications also a new pump type has
been introduced, such as linear non-evaporable getter (NEG) pumps, explained in
the review of Benvenuti [53].
The ultimate vacuum reached as a function of time is shown in Fig. 1.6, which
is an update of G. Gaertner (see [2]) based on [2, 42, 44, 48, 51, 52]. It is a typical
development function with some prominent milestones, showing a slow decrease
of the ultimate vacuum reached (logarithmic scale) from 1650 to1850 (blue broken
line), then followed by a much steeper decrease from then on, (red broken line,
consistent with an exponential fit) partly motivated by the improvement drive of
incandescent lamps and later radio tubes and CRTs. There is an indication of the
progress currently slowing down, since all pressure values below 10−13 mbar were
obtained with cryo-cooled ion traps.
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with Unrelated Content
certain number of aboriginal Indians, free from all the duties which it
was customary to pay. (Forros de todos os dereitos, que
custamavam pagar.) If this factory existed, neither the period of its
commencement is evident, nor by whom it was established.
The intelligence which the ship of Garciam brought to Portugal, in
the year 1528, that the Spaniards had formed an establishment upon
the river Plate, induced King John III. who wished that river to
become the divisionary line, to despatch an armament, in the year
1531, under the command of Martim Affonso de Souza, with orders
to erect fortifications and to distribute lands to those who wished to
establish themselves in the country. The fleet, after having made and
recognised Cape St. Augustin, navigated along the coast and
entered the bay of All Saints, where they discovered and captured
two French vessels. Joam de Souza, captain of one of the ships
composing the armament, was sent to announce to the King this
circumstance. Martim Affonso continued his voyage to the south,
and after refreshing at Porto Seguro, he found out and entered the
bay of St. Luzia, to which he gave the name of Rio de Janeiro, in
consequence of discovering it on the 1st of January, 1532.
Prosecuting the voyage, and always keeping as near land as
possible, he gave to the most remarkable and important places, the
names of the saints on whose days he discovered them. Having
passed the island of St. Sebastian, on the 20th of the same month,
he proceeded to that part of the port where it is supposed the factory
was situated, and of which no doubt he was previously informed. It
appears, however, after various operations upon the northern bar of
the port to establish there the colonists, who wished to remain in the
land, he changed his plan and removed them to the southern bar. He
spent eleven months in the execution of various measures upon the
coast, and it was the month of December before he arrived at the
river Plate; for the sun, say the Portuguese, was on the tropical line
of Capricorn. (O sol chegou ao tropico de Capricornio.) Not meeting
with any Spanish settlements upon any part of the coast, he returned
to the colony at the southern bar of the bay of Santos, augmenting it
considerably, by giving lands to all individuals who determined to
settle there, in pursuance of the orders he had received. He sent
eighty men into the interior, for the purpose of discovering or making
a conquest of the mines of Cannanea. The entire party were
murdered by the Carijos Indians.
In the same year that Martim Affonso sailed from the Tagus, a
Portuguese squadron captured and conducted to Lisbon a ship of
Marseilles, which had been laden with Brazil wood, at Pernambuco,
where they demolished the Portuguese factory of Itamaraca,
founded by C. Jacques, and left sixty Frenchmen in their place. This
information induced the King to send Duarthe Coelho Pereyra to
expel the French, which he accomplished, and removed the factory
to the margin of the river Hyguaraçu, a few miles distant from the
first situation. This new establishment was the origin of the town of
Hyguaraçu, to whose mother-church the same D. C. Pereyra, being
then the donatory of the captaincy of Pernambuco, gave for patrons
the saints Cosme and Damian, in gratitude for the expulsion of the
French on the day of those saints, in the year 1531. It may be here
remarked, that very little progress, up to this period, would appear to
have been made by the Portuguese for the colonization of this
country, now known to them thirty-two years, and which they had
assumed the right of calling and considering their own.
King John III. at last roused by the attempts which the French
merchants were making to form establishments near the places now
called Pernambuco and Bahia, also by the formation of colonies,
which the Spaniards were promoting on the banks of the Paraguay,
determined to people this continent; and, in order to facilitate the
colonization, he divided the coast into certain large portions of fifty
leagues, which, under the denomination of capitanias, (captaincies,)
were to be bestowed on individuals distinguished by their services to
the crown; and who were to go personally, or to send colonists, in
ships, at their own cost, receiving an uncontrolled jurisdiction over
these royal donations. The historian, Joam de Barros, who was one
of the donatories, and was presented with the district of Maranham,
affirms that the country was partitioned into twelve captaincies; but
there were actually only nine, as five portions which he probably took
into his account, were divided betwixt Martim Affonso de Souza and
his brother Pedro Lopez de Souza, who were the two first donatories
that settled in the Brazil. Martim Affonso, who has been previously
mentioned, received a considerable tract of country contiguous to St.
Vincente, where we left him endeavouring to form a colony. Pedro
Lopez chose his quantum of territory in two lots, one near his
brother’s, called St. Amaro, and the other denominated Itamaraca, at
a very inconvenient distance from the first, situated not far from
Pernambuco, which latter capitania, as has been already stated,
became the portion of Duarthe Coelho Pereyra. The lands adjacent
to the southern Parahiba river were conceded to Pedro de Goes.
The country betwixt the great river St. Francisco, which was the
southern boundary of Pernambuco, and Bahia, was allotted to
Francisco Pereira Coutinho. The next portion of territory, proceeding
southward, was denominated the Capitania dos Ilheos, running north
and south from the Rio dos Ilheos, (River of Islands,) and granted to
Jorge Figueiredo Correa. Cabral’s Porto Seguro was included in the
range of coast which formed the capitania of the same name, and
was a donation to Pedro Campo Tourinha. Espirito Santo (Holy
Spirit) was the appellation given to the next in rotation, and obtained
by Vasco Fernandez Coutinho. Rio de Janeiro was not colonized for
some time afterwards. This mode of allotment was not calculated to
maintain a long duration. The captains possessed despotic
jurisdiction over the colonists, many of whom were degradados, or
criminals, consequently less adapted to live in harmony, and the
whole being at the mercy of the former, complaints were frequent; so
that, after a lapse of about seventeen years from its commencement,
this system was terminated by a royal revocation of the power of the
captains, followed by the appointment of Thomé de Souza, a fidalgo,
as governor-general of the Brazil, who arrived at Bahia, the bay of All
Saints, in April 1549, with instructions to build a city, which was to be
called St. Salvador. The fleet was accompanied by some Jesuits,
who thus obtained in the Brazilian regions, those means of improving
the condition of the Indians, and of the country in other respects,
which has been so honourable to their Trans-Atlantic character, and
which presents so pleasing and striking a contrast to their conduct in
Europe, filled as that conduct was with “treasons, stratagems, and
spoils.” With the mother-country, this colony passed under the
dominion of the Spanish crown, in the year 1580, for a period of
nearly sixty years. The Dutch possessed themselves of Pernambuco
in the year 1630, and ultimately of the whole country from the great
river St. Francisco to Maranham, which they retained till the year
1654. The last Philip, just before the Brazil reverted to the
Portuguese, conferred the title of Viceroy upon the governor-general
at Bahia, who then was the Marquis of Montalvam, and which
honour all his successors enjoyed. The seat of the vice-regal
government was transferred by Don Joseph I. from Bahia to Rio de
Janeiro, in 1773, which expired on the arrival of the royal family in
that country, in the year 1808. Don John IV. gave the title of Prince of
Brazil to his eldest son, Prince Don Theodosio, which descended to
all the hereditary princes of the house of Braganza, till the 17th of
December, 1815, when the Prince Regent, (now Don John VI.)
raised that country into a kingdom.
The Brazil is of such prodigious extent, that it will be impossible
for it to arrive even at a medium state of perfection under the
dominion of one government. Its prominent boundaries, now that
Monte Video is in the possession of the Portuguese, may be
geographically considered the river Amazons and the Atlantic on the
north; the river Plate on the south; the ocean on the whole of its
prolonged range of eastern coast; and the great rivers Madeira, &c.
running north; the Paraguay and Uruguay stretching south to the
river Plate, on the west; although the two provinces of Solimoes and
Guianna, north of the Amazons, and actually subordinate to the
governor of Para, carry its northern boundaries, politically speaking,
almost as far as the Oronocos, making its length upwards of forty
degrees. Its greatest width is about thirty degrees, from Cape St.
Augustin to Point Abuná, upon the margin of the river Madeira.
This vast region, comprising nearly two millions of square miles,
is now divided into twenty-two provinces, including the two
mentioned above, viz.
Guianna All bordering in part upon the coast.
Para
Maranham
Siará
Rio Grande, North
Parahiba
Pernambuco
 Seregipe d’El Rey
Bahia
Porto Seguro
Espirito Santo
Rio de Janeiro
St. Paulo
St. Catharina
Rio Grande, South

Mato Grosso
Paraná
Uruguay
Solimoes Interior provinces.
Piauhy
Minas Geraes
Goyaz

The zoology and phytology of this country extend to such an

infinity of objects, that they would form a separate history of
themselves. They, as well as mineralogy, will be partially treated
upon in the topography of each province. In reference to the first
subject, it may be here observed, that a very considerable portion of
the Brazil is still occupied by Indians, consisting of a vast number of
nations, more or less numerous, and generally divided into tribes or
hordes, wandering about in a state of nudity, the principal part of
their time employed in hunting, gathering honey, and such fruits as
nature spontaneously produces. They believe in the immortality of
the soul and a Creator of all, whom they commonly denominate
Tupan, and, like many other barbarians, their adoration is divided
between the good and evil spirit, which latter they call Anhanga. No
state of government is found amongst them; each tribe has its
elective captain, who directs them only on occasions of assaults and
in forming ambuscades against an enemy. Each nation has its
peculiar idiom, but there is one exists amongst them denominated
the general lingua, which is the Tupinamba. At this day many tribes
retain the ancient custom of perforating their faces and using pieces
of wood as ornaments. In contracting marriages, the degree of
relationship is not respected. Polygamy is admitted amongst
particular individuals only, in a very few nations. Divorcements are
generally very rare amongst them. They are acquainted with no
liberal art, and have a great antipathy to civilization. Thousands of
instances have occurred, in which they have preferred fleeing from it
back again into the woods, in pursuit of their former rude habits. The
governor of one of the comarcas of Minas Geraes related to me an
instance of an Indian who, instructed in the Catholic faith, had
actually entered upon the functions of a priest, and who,
notwithstanding, was afterwards induced, from the natural bent of his
mind, to abscond and rejoin his uncivilized tribe. Their inherent
indolence is conspicuous, and they have but little consideration in life
beyond the acquirement of their daily sustenance. Frequent
instances occur of their assassinating some of the Portuguese, for
whom they lie in ambush. The Portuguese almost universally provide
themselves with fire-arms, on traversing the districts inhabited by the
Indians, at which they are greatly terrified. Such as live upon the
banks of auriferous rivers or lands, and come in contact with the
Portuguese, will give pieces of gold for trifling articles of European
manufacture, particularly knives, the metal of which they consider of
such value, that, in sharpening them, they do not use a whetstone,
but a piece of wood, in order that the blade may experience as little
diminution as possible by the operation. Few Indians are seen in any
of the seaport-towns of the Brazil. Some are employed in the bay of
Rio de Janeiro, rowing boats in the service of the government. They
appear to keep themselves quite distinct, and do not mix with any
other class of people. They are not tall, but their early occupation of
hunting has given to their limbs much strength and agility. A fine
proportion of form is their general characteristic, and they possess
great muscular powers. Their features are regular, and there is an
universal resemblance between them and the various tribes. They
are of a copper-colour, with strong, lank, black hair, which is
permitted to hang over their ears, necks, and foreheads, adding
something to the sombre aspect of their countenances, which are
sad even to an extreme. If they were capable of learning from
history, and appreciating with feelings of patriotism the force of such
an event, it might naturally appear to be a dejection originating in the
corroding idea of the conquest of their country by strangers; but this
apparent characteristic melancholy can only be the result of, and
founded upon, their former habits of life and precarious mode of
subsistence; which having once contracted, and possessing an
innate aversion to civilized intercourse, may never totally disappear.
There is nothing ferocious in their physiognomy; on the contrary,
they seem very inoffensive. I never saw them indulge in any gaiety,
rarely laughing, and speaking seldom. They are expert rowers, and
on a transient cessation from their labour, exhibit no disposition to
hold converse with each other, nor curiosity or interest in the objects
and bustle around them. The Jesuits were undoubtedly the best
class of ecclesiastics who have hitherto visited the Brazil, not only,
as has been observed, in initiating the Indians into Christianity, but in
the general pursuit and encouragement of literature. The missions,
for which they were so celebrated, will come under consideration in
treating of the provinces where they instituted them; also the
establishments of Christianized Indians, as well as the numerous
savage tribes existing at the present day.
As the colonization of the capitania of Rio de Janeiro did not
occur till after the Brazil was placed under the jurisdiction of a
governor-general, and no allusion having been made to that event in
the course of these preliminary observations, besides having long
assumed the highest rank amongst the provinces of the Brazil, it
naturally presents itself first in order, as well as the circumstances
arising out of a residence in its capital, for our consideration.
 CHAP. III.
PROVINCE OF RIO DE JANEIRO.

Its Colonization—Contests with the French and Tamoyo Indians—

Expulsion of the French—Foundation of St. Sebastian—
Boundaries—Division into Comarcas—Mountains—Principal
Rivers—Lakes—Bays—Capes—Islands—Mineralogy—Zoology
—Phytology—Cities and Towns—Boundaries, Towns, and
Productions of the Comarcas of Ilha Grande and Parahiba Nova
—Boundaries of the Comarca of Rio de Janeiro—The Metropolis
—Situation—English Burial-Ground—Streets—Royal Mode of
riding—Compulsory Homage upon the Occasion—Churches—
Convents—Gloria Hill—Female Convents—Visit to one—
Fountains—Visit to the Aqueduct—Squares—Palace—Public
Buildings—Public Garden—Library—Manufactories—Theatre—
Roads leading from the City—Palace of St. Christovāo—Troops
of Miners and others from the Interior—Caza de Don Pedro—
Royal Mill, Shacara, and Stables—Fire-Works—Beija Maō—
Fidalgos and higher Orders of Society—Splendour of Churches—
Royal Chapel—Religious Festivals and Observances—Funeral
Processions—Catacombs—The Host—State of Society—
Markets.
Joam de Solis, who has been already mentioned, entered the
bay of Rio de Janeiro, in the year 1515, on his second voyage to
South America; and about four years afterwards Fernando de
Magellan, and Ruy Falleiro, a famous Portuguese mathematician
who accompanied him, also remained a short time in it, bestowing
upon it the name of St. Luzia. Martini Alfonso de Souza, who was
engaged in an exploration of the whole coast, went into the bay on
the 1st of January, 1532, and very improperly gave it the name,
which it yet retains, of Rio de Janeiro, (River of January,) evincing,
what would not be supposed to be possible, that he considered it a
river. No attempts were made, however, to form any settlements
here till the year 1555, when M. Villegagnon, a Frenchman, who had
rescued Queen Mary from Scotland, with his comrades, took
possession of the second island, after passing the entrance into the
bay. His avowed object was that of propagating Calvinism in the new
world. On this island, which took and still retains his name, he
constructed the fort of Coligni, in honour of the excellent man and
famous admiral, Gaspar de Coligni, his patron and warm supporter
in establishing this colony, to which, in the following year, he
despatched a further succour of three ships of war and near three
hundred persons. King John III. of Portugal, receiving intelligence of
this event, ordered Duarthe da Costa, then governor-general at
Bahia, individually, to make himself acquainted with the actual state
of the Protestants; but no attempts were made to displace them till
after the death of the King, when Dona Catharina gave instructions
to Mendo de Sa, the successor of Duarthe da Costa, to expel them,
sending him two armed ships, with some caravels, which the
governor augmented by some ships of war and two caravels that
were in the port, and putting on board all the people he could
assemble, personally embarked with the squadron. He visited all the
intervening capitanias of the coast, and received on board all those
who were willing to accompany him. The French defended
themselves vigorously against the attacks of this fleet; but not being
able to remedy the destruction and havoc which they sustained from
the more powerful ships of the Portuguese, they retired by night to
the continent, uniting themselves with the Tamoyo Indians, whose
friendship they had previously conciliated. Mendo de Sa collected
the artillery which the French had left, and, with one of their ships,
which he found in the port, he returned to Bahia.
Intelligence was received afresh that the Protestants continued to
frequent the bay of Rio de Janeiro, and were successively becoming
more strongly fortified in the continental situations they had taken up.
The crown of Portugal, now discovering of how much importance it
would be effectually to take possession of and colonize this fine port,
which having no donatory or forces to impede the establishment of
whatever enemy might think proper to proceed there for that
purpose, resolved to despatch Estacio de Sa to Bahia, with two
galliots, and there to receive from his uncle, Mendo de Sa, the
governor, such an accession of force as would enable him to
extirpate the French. Estacio de Sa, having augmented the squadron
as much as circumstances would allow, arrived at Rio de Janeiro in
1565, and took up a station near the Sugar-Loaf Mountain, at the
place now called Villa Velha; but in various attacks, which he made
upon the united French and Indians, fortune was never decisively
propitious to him. This circumstance induced Mendo de Sa to
prepare, in the bay of Bahia, an armament, which consisted of three
galliots, commanded by Christovam de Barros, two ships of the
crown, which were cruizing on the coast, and six caravels. This
auxiliary force he accompanied in person to the assistance of his
nephew, visiting, as before, the intervening capitanias, and offering
to convey, gratuitously, all families who might wish to people the
future colony; and, in consequence, a great many did accompany
him. He arrived on the 18th of January, 1567, but deferred the attack
till the 20th, that day being St. Sebastian’s, under whose auspices he
meant to begin and carry on the enterprise. Two years had
previously passed in useless and indecisive contention, which, in two
days, Mendo de Sa brought to a successful termination, by
possessing himself of the forts Urussumiri and Paranapucuy, not,
however, without his followers feeling the effect of the arrows of the
Tamoyos, which often transfixed the shield to the arm that supported
it. Amongst others, Estacio de Sa received a wound from one of
them, of which he expired a few days afterwards. The French
escaped in four ships which they had in the harbour; and Mendo de
Sa did not allow much time to elapse before he removed the first
establishment to the situation now forming a ward or district of the
present capital, denominated Misericordia, and there marked out its
commencement. In honour of his patron saint, he gave it the name of
St. Sebastian, which has given way to that of Rio de Janeiro now
more generally used. The governor assigned to the celebrated
Jesuit, Nobrega, ground, in the midst of the city, for a college, which
he endowed for the support of fifty brethren. Having occupied himself
near a year and a half in arranging every thing necessary for the
continuation and security of the new city, he returned to the capital in
June, 1568. He left for governor his nephew, Salvador Corrêa de Sa,
whose administration was short, as well as that of Christovam de
Barros, who succeeded him by royal patent, and whose jurisdiction
over the affairs of the capitania terminated in 1572, when King
Sebastian divided the state into two governments; the city of St.
Sebastian becoming the capital of the southern division, which was
delivered to Dr. Antonio Salema, with power over the capitanias from
the river Belmont, southward. The same sovereign, becoming
sensible of the inconvenience resulting to the crown from this
partition, ordered that the general executive government should
revert to its anterior state; and nominated, as successor to Salema,
the said Salvador Corrêa de Sa, with patent of captain-general,
dated the 10th January, 1576, and who remained in this situation
until the year 1598. None of those who followed him governed during
so long a period, with the exception of Sandozo Gomes Freyre
d’Andrade, who discharged the duties of the appointment from the
year 1733 to 1763, and which expired only with his life in the course
of the latter year.
This province, which acquires its name from the magnificent port
of its capital, now comprehends the ci-devant capitania of St.
Thomé, half of that of St. Vincente, and a portion of Espirito Santo. It
is bounded on the north by the latter, from which it is separated by
the river Cabapuâna, and by the province of Minas Geraes, from
which it is divided by the rivers Preto and Parahiba, and in part by
the serra of Mantiqueira; on the south by the Atlantic Ocean, which
also washes its eastern limits; and on the west by the province of St.
Paulo. It is estimated to be sixty leagues in length, from east to west,
near its northern extremity; and twenty-three leagues of medium
width, reckoning from the fortress of St. Cruz, at the entrance of the
bay of Rio de Janeiro, to the river Parahibuna, and to have fifty
leagues of southern coast, from Cape Frio to Cape Trinidade, which
is near three leagues to the west of Point Joatinga. It is divided by
the Organ Mountains into two parts; Northern, or Serra-Acima,
(Mountains above,) and Southern, or Beira-Mar, (Sea-coast,) which
latter is subdivided into four, and the former into two districts or
territories, as follows:—
Ilha Grande.
Rio de Janeiro.
Beira-Mar
Cape Frio.
Goytacazes.
Parahiba-Nova.
Serra-Acima
Canto-Gallo.
 A line drawn from south to north, commencing at the fort of Lage,
at the entrance of the port of Rio, passing up the middle of the bay,
by the river Inhumirim upwards, and on to the origin of the Piabanha,
descending by it to the Parahiba, divides the province into east and
west.
Mountains.—All the districts of this province, with the exception
of Goytacazes, are picturesquely mountainous, and present an
infinite variety of novel, sublime, and wondrous scenery, of which no
verbal description can give an adequate representation. The Organ
Mountains, so called from the similarity which their pyramidical
heads, in various parts, bear to the front of an organ, are the
principal. That portion of them which assimilates more distinctly to
the object from which the whole range derives the name is an
approximation of precipitous pointed masses, separated by profound
winding and narrow valleys, through which romantic openings the
way leads from Beira-Mar to the district of Canto-Gallo, without
having to ascend any comparatively high elevations in traversing
them. This is, indeed, the region of solemn and poetic sequestration.
Its unchanged and primeval condition would appear to afford a
suitable retirement for such as have acquired a calamity-induced
distortion of the mind,—a misanthropical distaste to society and the
world.
The Macacu, otherwise Serra-Grande, (Great Mountain,) the
mountains of St. Anne, of Sambe, of Tapacora, and of Urussanga,
are situated in that extremity betwixt the districts of Rio de Janeiro
and Cape Frio; the Mount of St. Joam, a league above the
emboucheur of the river of the same name, the Serra Jarixina, about
twenty miles north-west of the capital, and that of Bocaina, in the
district of Parahiba-Nova, constitute, together with the Organ
Mountains, those of the greatest altitude in the province.
Rivers.—It cannot boast of any very large or magnificent rivers,
although it is irrigated by innumerable streams descending from the
mountains. The river Parahiba is the only considerable one,
originating in a small lake, situated upon a southern portion of the
Serra Bocaina, a continuation of the Organ range, and about five
leagues to the north of Paraty. It runs at first under the name of
Paratinga, parallel with the mountains prolonged in piles from the
south-west, in a line with the coast; enters the province of St. Paulo,
where it receives the small river Jacuhy, by the left bank, a little
above the town of St. Luiz, and somewhat below it, by the same
margin, the river Parahibuna, which rises in the serra of Ubatuba. At
this confluence it takes the name of Parahiba, approximates the sea
a little to the west of the meridian of the capital, then turns towards
the north-north-east, flowing along the base of Serra Itapeva, and by
the town of Jacarehy. After a course of twenty leagues, with little
variation, it inclines to the east and east-south-east, watering the
towns of Thaubate, Pindamonhangaba, Guaratingueta, and Lorena;
again turns towards the province in which it has its source,
approaching it within five leagues; bathes the town of Rezende;
inclines to the north-east, gathering the river Pirahy, (which comes in
a northern course from its origin in the serra of Ilha Grande,) and
many leagues lower, having taken an easterly direction, it receives
the Parahibuna which is its largest confluent, by the left margin, and
the afore-mentioned Piabanha, by the right. This part is designated
Tres Rios, (Three Rivers.) Ten leagues below, the Pomba enters it by
the northern bank, which flows from the western part of the Serra
Frecheira principally in a south-east course, through a stony bed,
rendering the navigation difficult even to canoes. A little lower it
receives the Bengálas, which brings with it various other streams.
Soon after this junction, it descends the precipitous fall of St. Fideles,
to which point barks ascend. Eight leagues lower down, the Muriahe
empties itself into it by the northern margin. Six leagues may be
computed from this confluence to the emboucheur of the river
Parahiba, and from thence to the fall of St. Fideles, which is the first
advancing up the river, seventy-two islands are numbered; and
above this fall they are still more numerous. Its waters are
precipitated by a great many falls, which run principally through a
stony bed, and are discharged into the Atlantic, on the eastern coast
of the province. This river does not bring with it to the ocean so large
a volume of water as might be imagined from its vast extent, which
may be accounted for by its running principally betwixt two
cordilleras, (the Organ Mountains and the Mantiqueira with their
branches,) the greatest interval of which does not exceed twenty
leagues, and almost all its tributary streams are poor and
inconsiderable. Eight leagues below Lorêna, where it has already
assumed the appearance of a large river, its course is contracted by
a long wall of rock, of more than sixty feet high and six hundred
yards in extent, reducing its channel to the width of about ten yards.
It abounds in a great variety of fish. The adjacent territory, on both
banks, from its source to its mouth, is considered to be well adapted
for the growth of the sugar cane, and the very small part of it which is
cultivated, is appropriated to that purpose; but the far greatest
proportion yet remains in a state of wild nature, and although
perhaps granted to different donatories, its impenetrable woods form
the native retreat of the Indian and the ounce, each still asserting the
claim of possession. The river Maccahe, which has a course of
fifteen leagues, affording ten leagues of navigation to a fall, rises in
the Organ range, and winds amongst mountains and woods, till it
encounters the St. Pedro, formed by various small streams in the
vicinity of Serra Frade. Three leagues may be computed from this
confluence to its emboucheur, which is in front of the islands of St.
Anna, thirty miles north of Cape Frio, dividing that district from
Goytacazes. The river St. Joam rises in the skirts of the rock of
Canudos, with the name of Aguas Claras, (Clear Waters,) more
considerable, and affording navigation for a greater space than the
Maccahe, runs like it amongst woods and mountains, and
disembogues about seven leagues to the south-west of it, bathing
the southern skirts of the mountain of its name. Large quantities of
timber are exported by it. The rivers Curubichas and Bannanal join it
by the left bank, the Bacaxa, which issues from the Serra St. Anna
with the appellation of Rio do Oiro, (the Gold River,) unites it on the
right by two mouths, having formed, a little higher, a large lake, into
which the Capivari, coming from the same serra, empties itself.
Below this confluence, little more than three leagues, the Ipuca
disembogues, rises near the Maccahe, and forms a considerable
island. After it the Lontra, and ultimately the Doirado, near which
there is a remarkable production, called the jiquitiba tree, its trunk
being fifty-six spans in circumference. All three are navigable, and
incorporate themselves with the river St. Joam, by its northern
margin.
 The river Guandu takes its name at the confluence of the St.
Anna with the das Lages, the courses of which are in an opposite
direction to this point; the first issues from the Organ Mountains,
near the heads of the river Piabanha, and runs south-west till it
encounters the other, which flows north-east from its origin in the
frontier serra of Ilha Grande. The Guandu passes the royal palace
(ex-Jesuitical) of St. Cruz, and discharges itself by two mouths into
the bay of Marambaya. The early possessors of this part of the
country, in order to evitate the damage which they sustained by the
inundations of this river, submerging the extensive and fine
campinhas (plains) of the southern part, opened a trench of two
miles long from it to the small river Taguahy, which runs in a parallel
direction, and by this mode discharged the excess of water which the
banks of the Guandu could not contain at the period of the floods.
The western mouth, or that of Taguahy, is little more than a league
distant from the proper one of the Guandu: barks navigate both. The
river Mambucâba, which is a fine river, even beyond the point where
the tide reaches, issues from the serra of Bocaina, and disembogues
in front of the bar of Cayrussu.
Lakes.—Lakes are numerous in this province. The principal are
situated in the districts of Cape Frio and Goytacazes; many of them
are surrounded by marshy lands, and none possess, in any point of
view, the attractions peculiar to such diffusions of inland water in
Europe. The lake of Jacaré-pagua, or Jaracapauha, is narrow and
about four leagues long, parallel with and very near to the beach. It
abounds with fish, receives some small streams, and has an outlet to
the sea at its eastern extremity. It is situated at the eastern base of
the picturesque and lofty mountain of the Gavea, about two leagues
to the west of the Sugar-Loaf. At its opposite base is the beautiful
and highly pleasing cascades of Tejuca.
The lake of Roderigo de Freytas is of a circular form, and half a
league in diameter; is about two miles distant from the bay of Bota-
fogo, and five from the capital. In its vicinity is the mother-church of
the parish of St. Joam Baptista; also the royal manufactory of
gunpowder, and a botanical garden of trees and exotic plants. The
tea plant is here cultivated, and, unquestionably, would prosper in
this climate with proper attention; but this establishment, upon the
whole, is miserably neglected. The lake of Marica, which is a league
and a half in length, from north-east to south-east, and little less in
width, communicates with that of Cururupina, nearly of equal length
from east to west, and about the same width from north to south.
They both approach very much to a triangular form. The channel
which unites them is called the river Bambuhy, and forms a small
lake in the centre. The Cururupina is the eastern one, and its
extremity is near Negra Point, which is at an equal distance betwixt
Cape Frio and the Sugar-Loaf Mountain. The rivulet of Bananal, and
that from which it takes its name, are the largest streams that enter
it. The Marica, under which name the small one is also
comprehended, receives at its southern end the Baccahi, which half
a league above its mouth traverses the lake Braba, about a mile
long. The small river Itapitiu enters its northern extremity. It is
prolonged in a parallel line; and at a short distance from the sea, to
which it opens a passage in the winter or rainy season, possesses a
great abundance of excellent fish, and, in consequence, furnishes a
branch of the dizimos (a tax of one-tenth) of the province. The lake
of Piratininga, three-quarters of a league from east to west, and
proportionably wide, is about a mile distant from the Sacco, or Gulph
of St. Joam de Carahi; it is also abundant in fish, and is separated
from the sea by a sand-bank, through which a passage is opened in
the rainy season, to prevent its inundating the adjacent country. Near
half a league to the east of Piratininga is situated the lake Itaypu, a
mile and a half long, and of proportionable width; and betwixt it and
the sea is the parish of the same name, the church of which is
dedicated to St. Sebastian. Its inhabitants are fishermen and
cultivators of mandioca and sugar.
Bays.—This province can boast of two as fine ports as any in the
world, the bays of Rio de Janeiro and of Angra dos Reys (King’s bay,
or creek.) The first is upwards of twenty leagues from Cape Frio,
and, of all others in South America, merits most properly the
denomination of a bay; its narrow entrance, embosomed in lofty
scenery of the beautiful and sublime, being about eight hundred and
fifty fathoms in width, and fourteen in depth, while the bay itself,
which is six leagues in length, almost north and south, four at its
greatest width, and thirty-two in circumference, is beautified with a
great number of islands, and has depth for the reception of the
largest fleets. It may be said to be divided into two emboucheurs, as
the island of Lage, occupied by a fort of the same name, is situated
about the centre. The entrance of the bay is commanded by the
additional fort of St. Cruz, on the east, and the batteries of St. Joze
and St. Theodozio, on the western side, near an immense naked
rock, already mentioned, which is ninety-seven fathoms in
perpendicular altitude, and is in the form of a sugar-loaf, and so
denominated. The fort of St. Cruz is situated at the base of a high
rugged mountain, called Pico, in consequence of its having a pointed
termination. From hence signals are made to the city, announcing all
vessels as they appear upon the horizon. The two principal bays that
branch from it are, Bota-fogo, behind the batteries of St. Jose and St.
Theodozio, and the larger one of Jurufuba, to the north of Fort St.
Cruz. Upon the beach of the latter is situated the parish of St. Joam
de Carahi. The first discovery of this bay and the origin of its
improper name have been already alluded to; its more appropriate
and primitive name was Nitherohy. Lery, who was there with
Villegagnon, says, that the Indians then called it Ganabara; but the
first is the most suitable, “nithero” signifying concealed, or hidden,
and “hy” water, as it is only on arriving in front of the inlet that the bay
is discovered, being previously concealed by mountains. This bay is
the receptacle of a vast number of rivers, principally inconsiderable;
but, as they are the medium of an easy conveyance to the capital of
the productions in their vicinity, it may not be unimportant to describe
those of the most consequence. Two leagues and a half, in a direct
line, or four by the road towards Campinha, is the mouth of the river
Iraja, which issues from one of the small lakes, and affords
navigation with the tide to its port of the same name. A quarter of a
league to the north of the preceding, the Miriti enters the bay,
increased by the junction of the Inhamuahi, (which issues from the
Serra Bangu,) and the Pavuna, about two leagues and a half distant
from its mouth. It traverses a country in a great measure marshy,
and is only navigable for the space of three miles, in a direct line to
the port which takes its name, where cases of sugar, and the
produce of St. Joam and Our Lady of Apezentacâo, are put on board
the bay boats. About a league to the north of it is the Sarapuhi, which
originates in the Serra Cachoeira. Its banks are serpentine, and it is
only navigable for about a league. The dwellers in the parishes of St.
Antonio and Jacutinga export their productions by it. The Iguassu, a
mile further to the north-east, has its source in the Serra Tinguá; is
navigable for four leagues; brings with it to the bay the waters of the
Iguare, which issues from one of the lakes, and affords navigation for
a mile to the port bearing its name. Also the Maraby, flowing from the
Serra Boa-Vista, and navigable to the port of Couto, three leagues
above its mouth. It also receives the Dos Ramos, navigable for a
space of eight miles, to the skirts of the Serra Mantiqueira, in which it
originates. The river Inhumirim enters the bay about half a league
further, and is navigable for three leagues: one of its confluents, the
Jaguamirim, flows from the morasses, and affords navigation for six
miles; another, the Saracuruna, descends from the serra of its name,
and is navigable only for a league; also the Figueyra, which comes
from Serra Frade. Boats go up very near to its origin, where it has
the name of Cayoába. By the Inhumirim, (the source of which is little
distant from the Piabanha,) the miners, amounting to no great
number, comparatively, descend by boats to the capital, and return in
the same way, with manufactured articles, up its channel to the port
of Estrella, where they leave the mules to recruit for the return
journey; but the major part of these people, as well as others,
proceed the whole way with the mules. The port of Estrella is a
flourishing place, (being on the main way to the mines,) with some
little commerce, and has a chapel of Our Lady, situated in the angle
of the confluence of the aforesaid Saracuruna, four miles from the
bay.
From the Inhumirim there is a channel to the river Pilar, the last
confluent of the Iguassu. Little more than two leagues to the east-
north-east of the Inhumirim, and in front of the small island of
Guayanna, the Suruhy, issuing from the Organ Mountains,
discharges itself into the bay, and, like the others, admits of the
navigation of boats up its channel for about seven miles. It receives
the Goya, which comes from one of the morasses. All the
productions of the adjacent country are excellent; and there is,
perhaps, no soil better adapted for banana groves, which are
cultivated here with great care. Half a league further is the mouth of
the Iriry, which originates in marshy ground, and is only navigable for
two miles.
About two miles to the east of the Iriry, is the emboucheur of the
Magéassú, which descends from the Organ Mountains, bathes the
town of the same name, and affords navigation for ten miles. The
Guapimirim, is about two miles from the Magé. Its course is about six
leagues, and originates in the same mountains.
About two miles from hence is the principal of two mouths by
which the Macacu enters the bay. It is one of its largest streams, and
is navigable for fifteen leagues. Alligators of a very large size inhabit
its banks, and take shelter amongst the high reeds which grow in the
water. Its source is in the Organ Mountains, near the rock called
Canudos, and it is united on its right margin by the rivers Guapiassu,
Cabucu, and Varge; on its left by the Cacerebu and the Aldeia. The
Guapiassu, which is the most considerable, comes from the same
mountains as the Macacu; and, a little before its incorporation with
that river, communicates with it by a channel called Rio dos Morros
(River of Rocks.) There is a quarry of pedra sabāo, a peculiar stone,
near its heads, which is excavated in large pieces, and sawn for the
purpose of forming the mouths of furnaces in engenhos, or sugar-
works, being considered of eternal duration. The principal confluent
of this tributary river is Piracinunga, the main branch of which
originates between the high points of the Organ Mountains. Betwixt
the rivers Macacu and Guapiassu there is a certain portion of
territory, comprising about two leagues, the most fertile in the district,
which was bequeathed, in 1718, by André da Costa, as a legacy to
some poor persons, with inalienable succession, and an annual
pension of two missas, (masses,) for each house. This colony has
now arrived at the number of twelve hundred individuals, and this
bequest would maintain ten times as many, with adequate industry.
The Guaxindiba flows from the Serra Taypu, and, describing
numerous windings and turnings, enters the bay about two miles
from the Macacu. The Emboassu, disemboguing four miles further,
has its source in the Serra St. Gonçalo, and is navigable with the tide
for a short distance.
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