Analytical Ray Tracing

Analytical Ray Tracing: apply the refraction law for each refraction surface
to compute exactly rays path throughout a given optical system.
Meridional rays: rays within the plane containing the optical axis; they will stay
in the same plane throughout the optical system
Skew rays: rays in planes that do not contain the optical axis; these rays do
not intersect the optical axis
We will limit our discussion to paraxial, meridional ray tracing through a
thick lens as an illustration of the ray tracing process.
Fig. 6.7
In the paraxial ray region, and
Apply this approximation at point P
1
yields:
2 2 1 1
u u n n = u u u sin tan ~ ~
1 1 1 1 t t i i
n n u u = ( ) ( )
1 1 1 1 1 1
o o o o + = +
t t i i
n n
and

have we
1
1
1
R
Y
= o
|
|
.
|

\
|
+ =
|
|
.
|

\
|
+
1
1
1 1
1
1
1 1
R
Y
n
R
Y
n
t t i i
o o
Analytical Ray Tracing
Rearranging terms yields:

The power of a single refracting surface is:
We have:
Which is the refraction equation for the first surface
(6.12)
1
1
1 1
1 1 1 1
Y
R
n n
n n
i t
i i t t
|
|
.
|

\
|
= o o
( )
1
1 1
1
R
n n
D
i t

=
1 1 1 1 1 1
Y D n n
i i t t
= o o
After refraction, the ray advances through the homogeneous medium to P
2
.
The height of P
2
can be expressed as:
1 21 1 2 t
d Y Y o + = (6.13)
Which is known as the transfer equation. In the paraxial ray region, d
12
= V
1
V
2
The above two equations can be used to trace the ray throughout the entire
optical system.

Matrix Format for the Ray Tracing
Lets rewrite the Eqs. (6.12) & (6.13):
1 1 1 1 1 1 i i i t t
Y D n n = o o
1 1
0
i t
Y Y + =
1 1 1
Y Y Y
t i
= =
(6.14)
(6.15) where
In the matrix format:



or (6.17)
(

=
(

1
1 1 1
1
1 1
1 0
1
i
i i
t
t t
Y
n D
Y
n o o
(

=
(

1
1 1 1 1 1
1
1
1 0
i
i t t i
t
t
Y
n D n n
Y
o o
(6.16)
Ray after
refraction
Refraction
operation
Ray before
refraction
Matrix Format for the Ray Tracing
Accordingly, we use the following matrices to represent the rays:
(

1
1 1
1
t
t t
t
Y
n
r
o
(

1
1 1
1
i
i i
i
Y
n
r
o
(

=
1 0
1
1
1
D
R
and (6.18)
The 2x2 refraction matrix is:
(6.19), and Eq. (6.16) can be written as:
1 1 1 i t
r R r =
(6.20)
For ray transferring from points P
1
to P
2
inside the lens, we have:
0
1 1 2 2
+ =
t t i i
n n o o

1 1 21 2 t t i
Y d Y + = o
(6.21)
(6.22) where
1 2 1 2
and
t i t i
n n o o = =
Matrix Format for the Ray Tracing
In matrix format, we have: (6.23)
Hence (6.25). From eq. (6.20), we get:

(6.26)
(

=
(

1
1 1
1 21 2
2 2
1
0 1
t
t t
t i
i i
Y
n
n d Y
n o o
The transfer matrix (6.24)

T
21
takes the transmitted ray at P
1
(i.e. r
t1
) and transforms it
into the incident ray at P
2
:
(

1
0 1
1 21
21
t
n d
T
1 21 2 t i
r T r =

(

2
2 2
2
i
i i
i
Y
n
r
o
1 1 21 2 i i
r R T r =
Note the order of the multiplication
Matrix Format for the Ray Tracing
Similarly, at the second interface, the refraction matrix is:
Combine with Eq. (6.26), we have:

(6.28)
and (6.27)

(

=
1 0
1
2
2
D
R

( )
2
2 2
2
R
n n
D
i t

=
2 2 2 i t
r R r =
1 1 1 21 2 2 i i t
Ar r R T R r = =
1 21 2
R T R A=

(
(
(
(

+
=
1
21 1
1
21
1
21 2 1
2 1
1
21 2
1
1
t t
t t
n
d D
n
d
n
d D D
D D
n
d D
A
Where (6.29), is a system matrix
Meaning of the Matrix Elements
For a lens in the air, , we have: and set
1 21 l t l
n n d d = =
(6.31)
Note: (1) Det are 1: |R
1
|= |R
2
|= |T
21
|= |A|= 1 (can be used as a self check)
(2) A only depends on the parameters of lens, such as thickness d
l
, index of
refraction n
l
, radii R
1
and R
2
, and does not depend on a specific ray.
(3) Each element in the matrix A has its specific meaning. We can prove that
if the lens is in the air:
(

=
(
(
(
(

+
=
22 21
12 11
1
2 1
2 1
2
1
1
a a
a a
n
d D
n
d
n
d D D
D D
n
d D
A
l
l
l
l
l
l
l
l
f
a
1
12
=

i
t
o
i
f
n
f
n
a
2 1
12
= =
(6.34), different media in each side (6.35)
(6.36)
Note: (3) similarly, we can verify that for a thick lens:
(6.37)
( )
12
11 1
1 1 1
1
a
a n
H V h
i

= =
( )
12
22 2
2 2 2
1
a
a n
H V h
t

= =
Meaning of the Matrix Elements
(4) The concept of image formation (Fig. 6.8) enters directly after
the introduction of the appropriate object and image planes:
I
T A T
o P P P P
I o

2 21 1
2 1
o o I I
r T A T r
1 21 2
=
(

=
(

o
o o
o o I I I
I I
Y
n
n d a a
a a
n d Y
n o o
1
0 1
1
0 1
1 22 21
12 11
2
(6.32)
(6.33)
h
1
=f(1-a
11
)
h
2
=f(a
22
-1)
for syst in air
Note: (5) In the matrix format, each ray operation is represented by a matrix. The
outgoing ray is determined by the incoming ray multiplying the matrix. Also, the
successive ray operations can be obtained by the multiplication of corresponding
matrices.
Thin Lens Case
Thin lens (example): let d
l
0, which corresponds to a thin lens. This yields
T
12
=E, transfer matrix becomes unit matrix. Thus:
( )
(

=
(

=
(

+
= =
1 0
1 1
1 0
1
1 0
1
2 1
2 1
f D D D
R R A
For two thin lenses separated by a distance d in the air, the system matrix is:
(

+
+
=
(

=
1
1 1 1
1 0
1 1
1
0 1
1 0
1 1
1
2 1 2 1 2 1 2
f d d
f f d f f f d f
d
f
A
Also
2 1 2 1
12
1 1 1
f f
d
f f f
a + = = and
2
1 1 1
f
fd
H O h = =
1
2 2 2
f
fd
H O h = =
Concave spherical mirrors (Fig. 6.11):
From the law of reflection, we have:
Matrix Analysis of Mirrors
Therefore the matrix for the concave spherical mirror is:
r i r i
Y Y = = , u u
Considering: and ( )
R
Y
R
Y
i i
i i i i
= ~ ~ u o u o tan ( ) 2
r i r i
o o u u = =
R
Y
i
i r
2
= o o

R
nY
n n
i
i r
2
= o o

(

=
(

i
i
r
r
Y
n R n
Y
n o o
1 0
2 1

(

=
1 0
2 1 R n
M
o

1 det =
o
M

We have: and multiplying n on both sides, we have
i r
Y Y =
In matrix format:
{
and its determinant
(6.39)
Plane mirror and optical cavity (Fig. 6.12):
Let R , the above matrix becomes: matrix for plane mirror

The minus sign in the first element reverses the ray direction upon reflection.
The system matrix for an optical cavity shown in Fig. 6.12 is:
Plane Mirrors and Optical Cavity
(

=
1 0
0 1
|
M
(

= =
1
0 1
1 0
0 1
1
0 1
1 0
0 1
12 1 | 21 2 |
d d
T M T M A
1 A det
1 2
0 1
=
(

=
d
A
For axial ray (o = 0), the system will bring it back
to its starting point and the final ray is identical to
the initial ray. This indicates that the ray will stay
(trapped) in the pair of mirror. This pair of mirrors
is said to form a cavity.
f
i
i
i i f
r
Y
r
r Ar r
=
(

=
= =
0
for

d
21
is negative since the ray goes
against the positive direction
Three criteria for ideal imaging:
(1) A point object forms a point image (sharp, no blur)
(2) M
T
does not depend on the distance to the optical axis (no distortion)
(3) A vertical object plane forms a vertical image plane (no field curvature)

Aberrations: the departure from these ideal imaging conditions.
Aberrations
Monochromatic aberrations: It arises when the paraxial ray condition is not
satisfied and occurs even when the light is single colored (monochromatic). The image
is blurred and distorted when suffering this type of aberration.

Chromatic aberration: it arises from the fact that n is actually a function of
frequency or color, which makes the focal length f of a lens become a function of
frequency. Therefore, the images formed by the different frequency components of
light do not overlap, the final image appears as multi-colored. This can occur even
when all the monochromatic aberrations are corrected (or paraxial ray condition is
satisfied).
Chromatic Aberrations
Chromatic aberration (CA) (Fig. 6.36 & 6.37): induced by polychromatic light:
different colored rays will traverse an optical system along different paths.
For thin lens, since is a function of wavelength
( )
|
|
.
|

\
|
=
2 1
1 1
1
1
R R
n
f
l
h wavelengt of function a also is
1 1 1
o i
S f S
=
For given S
o
,
i.e. different color light forms images at different locations
Example: For a white collimated (parallel) ray bundle incident along the optical axis of
a lens, different colors of light will be focused at different locations (Fig. 6.36). For
normal dispersion, longer , smaller n(), therefore, longer , longer focal length f();
i.e. blue light is more tightly focused than red light.
Axial chromatic aberration (A. CA): the axial distance between two such focal points
spanning a given frequency range. As a result of CA, the image of a white source is
not a point, but rather becomes a blurred spot. The smallest spot is known as the
circle of least confusion.
Chromatic Aberrations
Lateral chromatic aberration (L. CA) (Fig. 6.37): similarly, the image of an off-axis point
will be formed by the constituent frequencies of the incident light, each arriving at a
different height above the axis. In essence, the frequency dependence of f() causes a
frequency dependence of transverse magnification. The vertical distance between two
such image points: lateral CA.
When the blue focus, F
B
, is on the left side of the red focus, F
R
, the A. CA is said to
be positive. Positive lens has a positive A. CA (Fig. 6.36), and negative has a negative
A. CA. This suggests that a combination of a positive and negative lens might make
the focal length at given two wavelengths overlapping (achromatized for these two )
Achromatic doublet: a compound lens (doublet) formed by a
positive (f
1
) and a negative (f
2
) lens, and separated by a distance d.
Considering:

The focal length is:
2 1 2 1
1 1 1
f f
d
f f f
+ =
( ) ( )
1 1
2 1
1
1
1
1 1
1
1
=
|
|
.
|

\
|
= n
R R
n
f
|
|
.
|

\
|
=
2 1
1
1 1
R R

( ) ( )
2 2
3 2
2
2
1
1 1
1
1
=
|
|
.
|

\
|
= n
R R
n
f
|
|
.
|

\
|
=
3 2
2
1 1
R R

R
1
R
2
n
1
n
2
R
3
Achromatic Doublet
We have: (6.45)
( ) ( ) ( )( )
2 1 2 1 2 2 1 1
1 1 1 1
1
+ = n n d n n
f
For given materials for the two lenses, that is, the indices of refraction, n
1R
, n
1B
, n
2R
, and
n
2B
are given, we can choose the radii R
1
, R
2
, and R
3
, to make the focal length at the
two given wavelengths equal to each other:
R B
f f
1 1
=
( ) ( ) ( )( )
( ) ( ) ( )( )
2 1 2 1 2 2 1 1
2 1 2 1 2 2 1 1
1 1 1 1
1 1 1 1


+ =
+
B B B B
R R R R
n n d n n
n n d n n
(6.46)
For two thin lenses in contact, d = 0 and the above equation reduces to:
R B
R B
n n
n n
1 1
2 2
2
1

(6.47)
such as the doublet has the same focal length at these two wavelengths.
Monochromatic Aberrations
Monochromatic aberration : when the paraxial ray condition is not maintained, the
three ideal imaging criteria can not be met, and the aberrations come in. There
are five primary aberrations and they can be divided into two groups:
(1) Image blurring: a point source does not form a point image. They include
spherical aberration, coma and astigmatism.
(2) Image distortion: field curvature and distortion.
Third-order theory: retain the first two terms in the expansion: + =
! 5 ! 3
sin
5 3


R
n n
S
n
S
n
i o
1 2 2 1

= +
Spherical Aberration (SA) (Fig. 6.13 & 6.14): A point on the optical axis does not
form a point image. Previously, in the paraxial ray region, we use sin ,
we have:
S
i
does not depend on the height of the ray.
Spherical Aberrations
If we use third-order expansion: , for a spherical surface we have

! 3
sin
3

=


(
(

|
|
.
|

\
|
+
|
|
.
|

\
|
+ +

= +
2
2
2
1 2 1 2 2 1
1 1
2
1 1
2
i i o o i o
S R S
n
R S S
n
h
R
n n
S
n
S
n
(6.40)
The additional term, which varies approximately as h
2
, is
the deviation from the first-order (paraxial ray) theory. As a
result, higher rays are focused tighter than the paraxial
rays. Similarly, for a converging lens, the marginal rays will
be bent more, being focused in front of the paraxial rays.
|
|
.
|

\
|
= +
o
o
i
i
i o
l
S n
l
S n
R l
n
l
n
1 2 2 1
1

S
i
fixed S
o
, R:
S
i
drops with increasing
Longitudinal Spherical Aberration (L. SA): is the distance between the axial intersection
of a ray and paraxial focus, F
i
. L. SA is positive if the intersection point is located on the
left of F
i
and negative on its right. Positive lens has positive L. SA, while negative lens
has negative L. SA.
Transverse Spherical Aberration (T. SA): the disk radius, or the height of ray above axis
at the focal point. Because of T. SA, the image will be blurred. The screen is usually
put at the position of circle of least confusion, where is the smallest disk position.
Spherical Aberrations
Characteristics of SA : (1) SA depends on the lens shape: P.L. SA > 0; N. L. SA < 0;
(2) lens orientation (6.16): even for the same lens, the SA depends on its
orientation with respect to the object; (3) object distance: the closer to the lens,
the larger the SA for a single lens; (4) aperture size: the smaller the aperture, the
smaller the SA, at the cost of less light entering the optical system.
In a real optical system, the reduction of SA is usually done by adjusting the above
parameters, like for instance, combining one converging (SA>0) with one
diverging (SA<0) lens.
Coma (Fig. 6.22): an image degradation associated with an off-axis object point. The
image formed by an off-axis point is not a point, but a comatic spot. Like SA,
coma is dependent on the shape of the lens. By adjusting the lens shape and
combination of different types of lenses, the coma can be minimized.
Astigmatism
Astigmatism (Fig. 6.27) : For an object point relatively far away from OA, the
incident ray will form a relative large angle to OA. The outgoing cone of rays will
have a elliptical shape, and reduced to lines in two locations. These two lines are
known as primary image (F
T
, meridional focus) and secondary image (F
S
, sagittal
focus). Between them lies a circle with the smallest cross section (circle of least
confusion), where the image plane is located. The astigmatism can be reduced by
lens combination.
Field Curvature
Field curvature (Fig. 6.29) : point source gives a point image, however, a planar
object normal to optical axis will not be imaged as a planar image normal to OA,
but rather as a curved image surface.
The field curvature for a positive lens makes an image curved inward, towards the
object plane, whereas for a negative lens it curves outwards, away from the plane.
The combination of these two types of lens will negate the field curvature.
The field curvature is measured by:
Where n
j
and f
j
are the indices and focal length of the j thin lens forming the system

=
= A
m
j
j j
i
f n
Y
x
1
2
1
2
0 or 0
1 1
2 2 1 1
2 2 1 1
= + = + f n f n
f n f n
Petzval condition: for two lenses, the Ax can be made zero by this condition

(6.44)
Distortion


Distortion (Fig. 6.33 & 6.34) : the transverse magnification, M
T
, is a function of the
off-axis image distance.
Pincushion distortion: When M
T
on the optical axis is less than off-axis M
T
,
pincushion (positive) distortion
Barrel distortion: When M
T
on the optical axis is larger than off-axis M
T
, barrel
(negative) distortion

For an optical system, the distortion depends on the arrangement of the lens and AS
(aperture stop) by reference to the object, as shown in the Fig. 6.34. For a positive
lens, if the aperture stop is placed after it, the distortion is pincushion, whereas in front
of the lens, it is barrel. Therefore, using a stop midway between identical lens
elements, the distortion from the first lens will precisely cancels the contribution from
the second. This approach has been widely used in the design of photographic lenses.
Nikkor 18-200mm VR2 (16 elements)
F=50mm, f/4.8, 1/20s
pincushion
~$700
In a wide focal range lens, distortions cant be completely suppressed
Nikkor 50mm f1.8 (6 elements)
F=50mm, f/4.5, 1/20s
~$100
~straight line, almost no distortions
Single focal lenses (no zoom) are easier to get corrected