Contents

2
What is the Graded-index (GRIN)?
A Graded-index material has a refractive index that varies with position
in accordance with a continuous function n(r).
The ray equation
ds is a differential length along the ray trajectory between A and B.
Trajectory S is described by the function x(s), y(s), and z(s).
3
1.3. Graded-Index Optics
Ray Equation
d dx n
n
ds ds x
c
| |
=
|
c
\ .
d dz n
n
ds ds z
c
| |
=
|
c
\ .
d dy n
n
ds ds y
c
| |
=
|
c
\ .
r d d
n n
ds ds
| |
= V
|
\ .
The Ray equation
Fermats principle
( )
0 r
B
A
n ds o =
}
Derivation of the ray equation
4
1.3. Graded-Index Optics
Ray Equation
( )
0 r
B
A
n ds o =
}
( )
( )
( ) ( ) ( )
2 2 2
cos , cos , cos
cos cos cos
, ,


s s
s s s
s
x y z
x y z
d d
x d y d z d
xdx ydy zdz dx dy dz
d ds dx dy dz
u u u
u u u
=
= + +
= + + =
= = + +
x
y
z A
B
S ds
( ) ( ) ( ) ( ) ( )
( )
( )
( )
2 2 2
2
' '
1 1 2 2
'
2 2
' '
1 1
'
'
2
'
2
, , , ,
, , , , ,
0
0
,
,

B B
A A
B
A
B
A
B
A
n ds n dx dy dz
dx dy dz
n du
du du du
dx
f u
I f x y y y y dx
f d f
y dx y
x x y y
f d f
I
y dx
z
y
z du x
du
o
= + +
| | | | | |
= + +
| | |
\ . \ . \ .
| |
= =
|
\
=
| | c c
=
|
c c
\ .
| | c c
=

c c
\ .
.
}
}
}
}
}
Eul
r r
r
er - Lagrange Equation
0

=
|

5
1.3. Graded-Index Optics
Ray Equation
( ) ( ) ( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
2 2 2
2 2 2
' ' ' ' ' '
' '
1 1
'
2 2 2
' ' '
2 2 2
' ' '
'
2 2 2 2 2 2
' ' ' ' ' '
, , , , , , , ,
0 0
2
0
2
1
dx dy dz
f u x x y y z z n x y z n x y z
du du du
f d f f d f
y dx y x du x
n d x
x y z n
x du
x y z
n d x
n
x du
x y z x y z
| | | | | |
= + + = + +
| | |
\ . \ . \ .
| | c c c c
| |
= =
| |
c c c c
\ .
\ .
| |
c
|
+ + =
|
c
|
+ +
\ .
c
=
c
+ + + +
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( )
2 2 2 2 2 2
2 2 2 2 2 2
1 d dx du
n
du
dx du dy du dz du dx du dy du dz du
n d dx d dx
n n
x ds ds
dx dy dz dx dy d
dx s
d n
n
ds ds x
z
| |
|
|
|
\ .
| |
|
=
|
+ + + +
\ .
| |
c
| |
|
= =
|
|
c
\ .
+ + + +
\ .
| |
c
=
|
c
\ .
( )
dz s
d n
n
ds ds z
| |
c
=
|
c
\ .
( )
dy s
d n
n
ds ds y
| |
c
=
|
c
\ .
Similar derivation is possible !
6
1.3. Graded-Index Optics
Ray Equation
( ) ( ) ( )
( )
( )
( )
,

+)

dx s
d n
x n x
ds ds x
dy s
d n
y n y
ds ds y
dx s dy s dz s
d n d n d n
n n n
ds d
dz s
d n
z n z
ds ds z
d
ds
s x ds ds y ds ds z
(
| |
c
(
=
( |
(
c
(
\ .

(
| | ( c
=
( |
(
c
( \ .

(
| |
c
(
=
( |
(
c
(
\ .

| | | | | |
c c c
= = =
| | |
c c c
\ . \ . \ .
( ) ( ) ( )
( )
( ) ( ) ( )


, ,
r
r
d xx s yy s zz s
n n n
n x y z
ds x y z
d s
d
n n x y z n s
ds ds
| |
+ + (
c c c

= + + |
|
c c c
\ .
| |
(

= V = V |
|
\ .
r d d
n n
ds ds
| |
= V
|
\ .
The Ray equation
7
1.3. Graded-Index Optics
Paraxial Ray Equation
A small-angle approximation used in Gaussian optics and ray tracing of light.
The trajectory is almost parallel to the z-axis,
so that





Two partial differential equations may be solved for the trajectory x(z) and y(z).
( ) ( ) ( )
2 2 2
. ds dz dx dy dz = + + ~
Trajectory of a paraxial ray in a graded-index medium
The paraxial ray equation
( ) ( ) ( )
( ) ( )
,
, ,


dx z dy z
d n d n
n n
dx s dy s dz s
d n d n d n
n n n
ds ds x ds ds y
dz dz x dz dz y
ds ds z
| | | | | |
c c c
= = =
| | |
c c c
|
\ .
| | |
c c
~ ~
| |
c c
\ . \ .
\ . \ .

8
1.3. Graded-Index Optics
Graded-Index Optical Components
Consider a slab of material whose refractive index n = n(y) is uniform in the x
and z directions but varies continuously in the y direction.
( )
( )
( ) ( )
( )
( ) ( )
( )
2
2
2
2
0
0 0
dx z
d n
n
dz dz x
dx z n y
d
n y
dz dz x
d x z
n y
dz
x z az b
d x z
dz
| |
c
~
|
c
\ .
c | |
= =
|
c
\ .
=
= +
=
( )
( )
( ) ( )
( )
( ) ( )
( )
( )
2
0
2
Initial condition : 0 and
z
d y z n y
n y
d
dy z
d n
n
dz dz y
dy z n y
d
n y
dz
z
dy z
y
d
y
y
z
z
d
=
| |
c
~
|
c
\ .
c | |
=
|
c
\
(
(
(

=
c

.
c
(If the solution is not a helical ray,
x(z) = 0.)
9
The slab with a parabolic index profile (Example 1.3-1)
( )
2 2 2 2
0
1 n y n y o ( =

1.3. Graded-Index Optics
Graded-Index Optical Components
SELFOC
Usually, o is chosen
to be sufficiently small
so that o
2
y
2
<< 1
for all y of interest.
( ) ( ) ( )
2 2 2 2 2 2 2 2
0 0 0 0
1
1 1 1
2
n y n y n y n y n y n n o o o
(
( = = ~ ~
(

( )
( )
( ) ( )
( )
2
2
2
2
0
0
0 0
0
dx z
d n
n
dz dz x
d x z
n y
d x z
dz
x
dz
| |
c
~ =
|
c
=
\ .
=
=
( )
( )
0
2
2 2
0 0
2
2
2 2
2
0
0
0
0 = and tan
z
d dy n d y
n n y n n y
dz dz y dz
n d y
dy z
y y
y
dz
y
dz n
o o
o o
u
=
c
| |
( ( ~ = =
|

c
\ .
( = ~
(
=

(
(

10
The slab with a parabolic index profile (Example 1.3-1)
1.3. Graded-Index Optics
Graded-Index Optical Components
( )
2
2 2 2
2
2 2 2
1 2 1 2
(1) 0
(2)
cos sin





p
Bz
h
Bz Bz
j z j z
h
y
y Ae
d y
y B Ae Ae
dz
B B j
y Ae A e B z B z
o o
o o
o o o
o o

=
=
= =
= = =
= + = +
( )
( )
1 2
0 1 0
0 2 0
0
0
2
(3) cos sin
(4) 0 =
tan tan
tan




p h
z
y y y B z B z
y y B y
dy z
B
dz
B
o o
u o u
u
o
=
= + = +
=
= =
=
0
0
tan
cos sin y y z z
u
o o
o
| |
= +
|

\ .
2
2
2
d y
y
dz
o =
( )
( )
0 0
0
0 = and tan
z
dy z
y y
dz
u
=
(
=
(
(

11
The slab with a parabolic index profile (Example 1.3-1)
1.3. Graded-Index Optics
Graded-Index Optical Components
( )
2
0
0
0
0 0
2
0
0
0
t
tan
cos sin
sin
tan
tan ta
n
n
a


y
y y z z
z
y y
u
u
o o
o
o
o

u o u
o
| |
+
|
\ .
| |
= +
|
\ .
= +
| |
= =
|
\ .
If the slab thickness is larger than 2y
max
,
the ray remains confined and
the slab serves as a light guide.
2
2
0
max 0
tan
y y
u
o
| |
= +
|
\ .
If y
0
is 0, all rays with different u
0
have the same phase (0 or t).
12
1.3. Graded-Index Optics
Exercise 1.3-1
( )
2 2 2 2
0
1 n y n y o ( =

( )
( )
( ) ( ) ( )
2 2 2 2 2
0
2 2 2
0
2 2 2 2 2 2
0
0
1
1
1
1 If 1
2


n n x y
n n x y
n x y x y
n
o
o
o o
(
= +

= +
(
~ + +
(

~
Axis
Cladding
Core
Cladding

13
1.3. Graded-Index Optics
Graded-Index Optical Components
A graded-index fiber
A refractive index n varies as a function
of the radial distance from its axis.
x or y
n(x,y)
n
0
14
1.3. Graded-Index Optics
Graded-Index Optical Components
A graded-index fiber
( ) ( )
( )
2 2 2 2 2 2
0
1
1 If 1
2
n n x y x y o o
(
= + +
(

2
0
2
2
0
2
2
2
2
2
0
d dy n
n n y
dz dz y
d y
n n y
dz
d y
y
n
y
n dz
o
o
o
o
c
| |
( ~ =
|

c
\ .
( =

( ~

=
2
0
2
2
0
2
2
2
2
2
0
d dx n
n n x
dz dz x
d x
n n x
dz
d x
x
n
x
n dz
o
o
o
o
c
| |
( ~ =
|

c
\ .
( =

( ~

=
( )
( )
( )
( )
( )
0
0
0
0
Initial condition : Meridional ray
0 = 0 and 0
0 = and tan
z
y
z
dx z
x
dz
dy z
y y
dz
u
=
=
(
=
(
(

(
=
(
(

( )
( )
( )
( )
( )
0
0
0
0
Initial condition : Helical ray
0 = 0 and tan
0 = and 0
x
z
z
dx z
x
dz
dy z
y y
dz
u
=
=
(
=
(
(

(
=
(
(

15
1.3. Graded-Index Optics
Graded-Index Optical Components
A graded-index fiber
( )
( )
( )
( )
( )
0 0
0
0
0
Initial condition : Meridional ray
0 = 0 and 0
0 = and tan
z
y y
z
dx z
x
dz
dy z
y y
dz
u u
=
=
(
=
(
(

(
= ~
(
(

( )
( )
( )
( )
( )
0 0
0
0
0
Initial condition : Helical ray
0 = 0 and tan
0 = and 0
x x
z
z
dx z
x
dz
dy z
y y
dz
u u
=
=
(
= ~
(
(

(
=
(
(

0
0
cos sin
y
y y z z
u
o o
o

| |
= +
|
\ .
( )
( )
1 2
2
2
2
2
2
1 2
2
cos sin
cos sin


d x
x
dz
d
x z A z A z
y z B z B z
y
y
dz
o
o
o
o o
o = +
= +
=
=
0
0
sin
cos
x
x z
y y z
u
o
o
o

| |
=
|
\
=

16
1.3. Graded-Index Optics
Graded-Index Optical Components
A graded-index fiber
0
0
cos sin
y
y y z z
u
o o
o
| |
= +
|
\ .
The meridional ray
The helical ray
0
0
sin
cos
x
x z
y y z
u
o
o
o
| |
=
|
\ .
=

17
1.3. Graded-Index Optics
Exercise 1.3-2
2 1
2 1
y y A B
C D u u
( (

(
=
(

( (

Matrix optics is a technique for tracing paraxial rays.













A, B, C, and D characterize the optical system.
Ray-transfer matrix M
18
1.4. Matrix Optics
What is the Matrix Optics?
A ray enters
an optical system
at location z
1
with position y
1
and angle u
1

and leaves
at location z
2
with position y
2
and angle u
2
.
2 1 1
2 1 1
y Ay B
Cy D
u
u u
= +
= +
Free-space propagation
19
1.4. Matrix Optics
Matrices of Simple Optical Components
Refraction at planar boundary
2 1 1 1 1
2 1
2 1
2 1
t n
1
a
1
0
y y d y d
y d y
u u
u u
u u
= + ~ +
=
( (
=
( (

(
(

1
0 1
d
M
(
=
(

1
2
1 0
0
M n
n
(
(
=
(
(

2 1
1
2 2 1 1 2 1
2
2 1
2 1
1
2
si
1
n
0
n i
0
s
y y
n
n n
n
n
y y
n
u u u u
u u
=
| |
= ~
|
\ .
( (
=
( (

(
(
(

20
1.4. Matrix Optics
Matrices of Simple Optical Components
1 0
1
1
M
f
(
(
=
(

(

2 1
1
2 1
2 1
2 1
1 0
1
1
y
y
f
y
f
y
y
u u
u u
(
(
(

(

=
=
( (
=
( (

Refraction at spherical boundary

Transmission through thin lens
2 1
1 1 1
1 2 1
2 1
2 2
2 1
1
2
2
2
1 0
1
n n n
n
y y
n n y
n n R
y y
R n
u u
u u
=
| |
= +
|
\ .
( (
=
(
(
| |
(
|
(

\ .

( (

1 2 1
2 2
1 0
M
n n n
n R n
(
(
= | |

(
|
(
\ .

( )
1 2
1 1 1
1 n
f R R
|
|
|
=
|
|

\
|
.
.
\
|
21
1.4. Matrix Optics
Matrices of Simple Optical Components
Reflection from a planar mirror

Refraction from a spherical mirror
1 0
2
1
M
R
(
(
=
(

2 1
1
2 1
2 1
2 1
2
1 0
2
1
y y
y
R
y y
R
u u
u u
=
= +
( (
=
(
(
(

(

(
2 1
2 1
2 1
2 1
1 0
0 1
y y
y y
u u
u u
=
=
( (
=
( (

(

(
1 0
0 1
M
(
=
(

At p.8 of week_01.pptx,
u
1
-u
2
, -u
2
u
1
.
=

22
1.4. Matrix Optics
Periodic optical systems
A cascade of N optical components or systems whose ray-transfer
matrices are M
1
, M
2
, , M
N
is equivalent to a single optical system of
ray-transfer matrix M.
The matrix of the system that is crossed by the rays is first placed to the right,
so that it operates on the column matrix of the incident ray first.
in
in
y
u
(
(

23
1.4. Matrix Optics
Exercise 1.4-2
Guiding light :
lenses
A cascade of
identical optical
systems.
24
1.4. Matrix Optics
Periodic optical systems
A periodic optical system is a cascade of identical unit systems.
1
1
m m m
m m m
y Ay B
Cy D
u
u u
+
+
= +
= +
0
0
m
m
m
y y A B
C D u u
( ( (
=
( ( (

25
1.4. Matrix Optics
Periodic optical systems
( )
( )
( )
( ) ( )
1
1 1
2
2
1
1
1 1
1
1
2
1
1
m m m m m m
m m m
m m m
m m m m
m m m
m m m
m m
y Ay B
Cy D
y Ay
y Ay
B
D
Cy y Ay
B
D
y Ay B Cy
y A D y AD BC y
y Ay
B
B
u
u u
u
u
u
+ +
+
+ +
+ +
+
+
+
+ + +
=
= +

= + +
= +
`
)

= +

= +
= +
Recurrence relation for ray position
( )
2
2
2 1
, 2
2

m m m
y
AD BC D
by F
et F D
y
M A b
+ +
=
=

26
1.4. Matrix Optics
Periodic optical systems
Recurrence relation for ray position
2
2 1
2 1 2
0
0
0 0
2 2 2
Trial solution :
2
2 2 0

2
1
m
m
m m m
m m m
y y h
y by F y
y h by h F y h
h bh F h bh
+ +
+ +
=
=
= +

=
=
2
1 h b b =
| | ( ) ( )
2
det 1 for thin lens F AD BC M = = =
(Linear difference equation)
(Unique solution exists.)
2 2
cosh
2
sinh
2
cosh sinh 1
x x
x x
e e
x
e e
x
x x

+
=

=
=
(Possible to diverge) (Converge)
27
1.4. Matrix Optics
Periodic optical systems
Recurrence relation for ray position (for general cases)
0
2
2 1
2 1 2
0 0 0
2 2 2 2 2 2
Trial solution :
2
2
2 2 0
m
m m m
m m m
m
y by F y
y h by h F y h
h bh h F h bh b
y
F
h
b F
y
+ +
+ +
=
=
= = + =
=
(Linear difference equation)
(Unique solution exists.)
(b > F: Possible to diverge) (b < F: Converge)
( )
( )
2 2 2
2 2
0 0
cosh cosh
cosh sinh
co
cosh
sh sinh


m m m m
m
h F F F
F F
F Fe
b
y y h y F ae be
F

=
=
= +

=
= =
( )
( )
( )
2 2 2
2
0
2
0
0
cos cos
cos sin
cos sin
cos
c
s
s
in
o




m m jm j
j
m
m
m
y y h y F ae be
h F F F
F j F
F j F
y
b F
F m d m
e
c

=
=
= = +
=
=
+
=
( )
0 0 0
0
0 0 0
2
0 0
1
0
0 0
2
0
0:
1:
cos sin
1
cos
sin






c
Ay B y F
d
y F
Ay B y
m
b
y F b
y y c
m y Ay B
y F d
u

u
u
=
+
= =

= = +
= +
+
=

28
1.4. Matrix Optics
Exercise 1.4-7