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3 The Group of 1D First-Order Optical Systems



In the previous chapter we have traced a line of approach for investigating the relation between the ray-optics description of paraxial propagation through 1D optical systems and the symplectic Lie group of 2 x 2 real matrices, associated with the quadratic polynomials in the conjugate va,ria,bles q and p under Poisson bracket operation and matrix exponentiation. When considering rays with small inclination angles to the axis (p2 << p~ ~ n 2) and accordingly objects and images extending across the ~xis well within all the pupil-apertures of the system (Iq[ << all system pupil-apertures), the optica,1 Hamiltonia, n becomes quadratic in both q and p, i.e.,

H(q, p, z)


1 p2

+ 2



showing separate "kinetic" and " potential" -like contributions. Hamiltonian (3.1.1) is a model function in several fields of physics (Fig. 3.1), both in the classical-like context, where q and p are interpreted as canonically conjugate variables for which {q,p} = 1, and in the quantum-like context, where q and p are interpreted as noncommuting operators for which [q, p] = Ri, R signifying the "quantization constant" inherent in the specific framework. Accordingly, we have examined the transformations of the position and lp2 , 89 q2 and momentum ray-variables, generated by the quadratic monomials ~ 1 -~qp in the real space as well as in the optical phase-space, in order to identify the possible optical systems that may produce such transformations. We have drawn in fact a definite correspondence of each monomial to a traceless matrix in the symplectic Lie algebra sp(2, R) and then to a unimodular transformation 1 2 1 matrix in the corresponding symplectic Lie group @(2, IR). The ~p _,~q2_ and i qp-generated optical systems are thereby recognized as a free-medium section, 2 a refracting interface and a positive scaler, as sketched in the scheme:


Linear Ray and Wave Optics in Phase Space

_#/e~/#'" l~ r ~ I tt ( q. l) ) = I q


FIGIJI/.t'; 3.1. T i m tlanIl()lfi(: (>s('illat()r-likc ttalnill,()Ifiml pl~ysi('al systc~ns i~ ~m~W l)rm~(:lms ()f l>twsics.



1 )2 + 5q 1 ~ Ii~()(lcls several ~1

generating function
free- reed iu m section
thin lens

generating matrix

transformation matrix

1 ~q2

1 ')


- ( I )) ~))


K, -(_(~ K:,
__ }(~, 1


( , -f


11 --/f l

positive magnifier

I qp ---+ 2



(~..~/2 1) '~ \() c .~/~} "

Als<), we lm,ve i::<livi<tlm,liz(',t tim reslX:<:tiw: a,rea-l)r(:servix~g tra,l~sf~)r:lm,tions in ttl('~ q-p t)la,~l<; as ,!, q-slma,r, ,i,/>-sll(;ar a,~l<t a re(:it)r()<:a,1 s('ali~lg ill q a,~l(1 p. Here we fllrther ext)lore tim <:<)rrest)on<ten(:e |)etween qlm<tra,ti(: I)<)lynomials a n(t first-or(ter ()t)ti(:al systelliS. Se(:ti(m 3.2 (tes(:ri|)es the t)rt)(tlu:t rifle of ray matrices for obtaining the ()verall ray-matrix of a (:onq)osite systeni. Basic consi(terations on fl'ee llm<tillIll se(:ti(nl ml<t thin lens Ilm,tri(:es are tlmll elaborated in Sect. 3.3. In t)a,I'ticular, a.s regards the free pr()i)agati(m nm,trices, the dif%rcnce in their "behaviollr" wtmn understood as a|)stract nm,tri(:es or optical matrices is remarke(t. Section 3.4 shows that every symplectic nmtrix can be synthesized as a,n ordered product of a, finite number of lp2_ an(t 89 matrices. From the opticM viewpoint, this means that every first-order optical system is equivalent to a properly designed arrangement of a finite number of thin lenses sepa, rated by uniform index media,. Consequently every phaseplane transformation mapping the ingoing ray coordinates to the outgoing ray coordinates can be pictured as a sequence of horizontal and vertical shears. The lp2_ and lq2-generated matrices look thereby as the building blocks for the whole domains of the real symplectic matrices and first-order optical systems. As a conclusion, a one-to-one correspondence between the set of 1D linear optical systems and the symplectic group Sp(2, IR) of 2 x 2 real matrices

The Group of the 1D First-Order Optical Systems


is established. Section 3.6 illustrates the link of the attractive and repulsise oscillator-like Hamiltonian dynamics with fractional Fourier transformers and beam expanders (or reductors), which individualize in the (q, p) plane scaled rotations and squeezes. Two interesting realizations of optical matrices are described. One realization, which applies locally near the group identity, involves the lqp_ and lp2-generated optical systems, and accordingly is visualized in the optical phase plane as a q-shear followed by a scaling and then by a p-shear (w 3.5). The other realization, which in contrast applies to the entire i q2_ 1 1 group, involves the ~ , -~qp-, and ~(p2 + q2 )-generated optical systems; it is pictured in the (q, p) plane as a rotation followed by a scaling and a vertical shear (w 3.7). Conclusive considerations about the link between quadratic polynomials and paraxial ray matrices are given in Sect. 3.8. Finally, Sect. 3.9 describes the method to integrate Hamilton's equation for the optical ray matrix, detailing separately focusing and defocusing quadratic index media.



Ray matrix of composite optical systems

Optical systems, consisting of several components connected together in cascade, can be handled symply by multiplying the ray matrices of the individual optical dements, arranged in the reverse order [1]. In fact, each optical d e m e n t has its own input and output t)lanes and acts on the ray incident on its input plane in a certain way to produce the ray at its output plane. Thus the ray propagation through a sequence of N optical elements with ray-matrices M1, M.~, ..., M N is accounted for by the following chain of matrix relations
U 1

-- MlU0, M2ul,

U2 oo~


U N -- MNUN_I,

where as usual uj denotes the ray-coordinate vector uj - (qj,pj)T at the fixed reference plane IIj, j = 0, .., N (Fig. 3.2). The intermediate planes IIj, j = 1, .., N - 1 play the double role as the output and input planes respectively for the j - t h and (j + 1)-th optical element, whilst H 0 and H N are the input and output planes for the first and last clement as well as for the overall system. Combining the input-output relations (3.2.1), we obtain the transfer law for the ray coordinates from H o to H N in the form u N -- M N M N _ 1 - . - M 2 M lr o = M u 0. (3.2.2)

Accordingly, the ray matrix M of the overall system comes to be the product M = MNMN_I--" M2M 1 (3.2.3)

lli = H0

Linear Ray and Wave Optics in Phase 5pace

FI 1-12 FIN_2


HN = FIo
i i

I n c o m i n g ray 9




" ~ ' ~ N-2


i E m e r g i n g ray

Input plane

Output plane

FI(ll~]I1E 3.2. Propagatio~l of a ligl~t ray tln'o~gl~ a seq~mncc of optical clc~ncnts. The optical ~natrix ()f tim ()vcrall s y s t c ~ is tim I)ro(l~ct of the i~t(livi(l~ml ray I~mtriccs fro~ l l,, to H N .

with tlm ~ml, ri(:(;s M~, .., M x l)(;ing a rra~ge(l i~ tlle illW;l'S(', ()l'(l(;r fr()~ t h a t in wlfi(:l~ t,l~(; (~orresl)()~(li~g (,h:l~(',~fl,s are t)la.(~(;(l ()~ t|m axis wit,t~ r('st)(:ct Lo t,hc (lir('~('ti()~ ()f t,l~(; i~(:()~i~g ray. 3.2.1 77~,ic/,: a'n,d th, m lc, nsc,s'

As all (;xalllI)h', ()f a (:()llll)()llllr r ,";yst,clll, WC r162 a th, it'k h:lls, wlli(:ll l)asi(~ally (:()llsists ()f tw() sl)ll(;ri(:al sllrfil(~(;s S(:l)arat(;(l t)y 1,1,11at)I)r(:('ial)h; (tisl, ml(:(;. ~1'11r r a y 1)r()l)a,ga,ti()ll l,]lrr a th, i~:k lolls llla,y l)(; s(;(;ll a,s ('()llq)rising
l, ll(; f()ll()wi]lg s(;(lll(;ll(:(; ()f ray-l,l'a,~lsf()rlIlal, i()lls: 1) r(:fl'a,(:l,i()~l a l, l,ll(; fl'()lll, sllrfa,ce w i t l l r('fra('l,ilw4 1)()w(:r ~ , 2) fl'cc t)r()l)aga,l,i()l~ l hr()~gl~ l,hc lc,~s ()f a x i a l t,hi(:k-

~(;ss (t m~(l 3) r(;fra('ti()~ al, t,lm t)a,(~k s~lrfa(~(; witt~ t)()w(;r 7)2 (Fig. 3.:l.a,)). T h e thi(:k l(;~s ~m,t,rix is titan ()l)tain(;(l D(m~ tim ()r(h;r(;(l t)r()(t~(:t, ()f r(;fl'a('~tion-K(;(; i)l'()t)a,ga,l,i()]~-rt;fra('ti()~ l~m,tri('cs, wl~i(~l~ ti~m,lly gives
M t h i c k lens --

( 1-07~'

1 -- 07)2




wt~(;r(; t,t~r fo(:al t)()w(;r 7) ()f the, lens is 7) - 7)~ + 7)2 - i)7)~7)2, a,n(t i) denotes the axia,l ttfi(:k~(;ss ()f tl~(; l(;~s (tivi(Ie(t |)y th(; r(;la.tiv(; re,fra,(:tiv(; in(t(;x. As a fl~rther (~,xa,~q)h;, wc consider a, t h i n lens, for~m.lly define,(] a,s consisting of t,w() refracting s~rfa.(:(;s with negligil)le set)a.ra,tion in bet, ween, so t,hat, a ray
incident height a,t a, give, n p o i n t fr()m the, o t h e r on one surface emerges reference a , p t ) r o x i m a , t e l y a,t t h e s a m e IIi an(t Iio a,re, t a k e n to s~rfa,ce. T h e planes

(:()in('i(h~ with t,h(; t)la,nc ()f tt~e lens, a,lt,h o u g h Hi rela,tes to incidenL rays whilst, Iio relates to e m e r g i n g rays (Fig. 3.3.b)). T h e ray m a t r i x of the thin lens is then obtaine(t as the p r o d u c t of two refraction m a t r i c e s relevant to the two lens interfaces. T h e resulUng m a t r i x looks like a, refraction m a t r i x , i.e.,
M t h i n lens -_']'9 1 ' "

The Group of the 1D First-Order Optical Systems

",%,," 1-1o I


l-[i= ]-] o
//0 2


(q~ ,p
! d-~O
.;_ . . . . . . . . . . . . . . ."

i i





k-- ----J
i ", I

i i i9 i. i i. 9





FIGURE 3.3. (a) Propagating through a thick lens, the light ray experiences the refraction at the front surface, the propagation through the lens and another refraction at the back surface. (b) Being the refracting surfaces of a thin lens separated by a negligible distance, the light ray experiences only the refractions at the lens front and back surfaces. tile focal power 7) of tile lens being tile SUlil of the refracting powers of the two surfa, ces: 7) = P l -31-P 2 . The lens power 7) is c o m m o n l y expressed in t e r m s of the reduced focal length f a,s 7) - 1/f, with f - f1/7~01 - f2/~/~02, ~,01 and n % d e n o t i n g the refractive indices of the media, in the object a,nd image spaces. T h e formal analogy between the refraction and thin lens matrices establishes the optical equivalence between a refracting interface with a, given refracting power 7) and a thin lens with the same focusing power. Disregarding the real design, in the following we will refer to a thin lens a,s the optical element described by the ray m a t r i x (3.2.5). Also, a,ccording to the usual practice, we will refer to converging, or positive, lenses, when f > 0, and to diverging, or negative, lenses, when f < 0. As is well known, positive lenses cause converging spherical waves to converge more rapidly, and diverging spherical waves to diverge less rapidly or to converge; in contrast, nega, tive lenses cause converging spherical wa,ves to converge less rapidly or to diverge, and diverging waves to diverge more rapidly.


The subgroup of free propagation and thin lens matrices

Free-medium sections a,nd thin lenses are the basic c o m p o n e n t s of every firstorder optical system. As it is proved, in fact, every optical t r a n s f o r m a t i o n can be realized by a finite sequence of free p r o p a g a t i o n s and lens operations, or equivalently every 2 x 2 real symplectic m a t r i x can optically be synthesized properly arranging free p r o p a g a t i o n sections and thin lenses.


Linear Ray and Wave Optics in Phase Space

We denote by T(d) and L(f) the optical matrices relevant respectively to portions of a uniform refractive index medium, T(d)--cdK--a,n(1 ttli~l l(;::S(;S, L(.f)(,~K, __

( 10 d)l '



1 "


W(; r('(:all ttm.t et ml(t .f (l(;~(,t(, th(; s(,(.ti()ll l('llgt, ll a.ll(t ttl(; l('lls f()(:a.1 l('llgt, ll, t)()t,h s(:a,l(',(l 1)y 1,11(;r(',l(wa,ld, I'(',fra,(:tiv(', ill(|(',x. Als(), thin l(',lls llla,l,l'i(:(~,s a,l'(', (',(tllivalelltly (tcn()t(;(l t)y L ( . f ) ( ) r L(7) ), 7) 1)(;i~g tl~(~ f()(:a,1 t)()w(;r: 7) = l/f. Tl~(', lil~fit ('a,s(;s ()f (t --, () (se(:ti()~ ()f ~(;gligit)l(; l(;~gtl~) m~(t f --~ 4-oo (l(;~s ()f ~(~gligit)l(~ f()(:al t)()w(',r) i(leld,ify tlm llllit,y nmtrix I: T(()) = I a,n(1 L(-t-oc) = I. Inl,(~r(~stillgly, T a.n(l L a r(~ lmilll()(llllar ml(l, r(;st)(;(:tively, lq)t)er- ml(l l()wertria,llgllla,r llm,tri(:(',s. 'l'll(~y ar(', tll(', r(',I)res(~ld, a,tiv(~s ()f l,ll(; tw() AI)(;limi ()i~(~t)a,ra.~(;t(;r s~fi)gr()~q)s ()f tt~(', sy~q)l(;(:ti(: gr(nq) 5~p(2, IR), g(;~(;ra,t(;(l r(;sI)(',(:tiv(;ly t)y t,l~(~ a lg(4)ra ('~l(;~(;~d,s K _ m~(l K + as ilh~strat(;(l il~ (ll~a.l)t(;r 2 (!i!i 2.3, 2.4.1 an(t 2.4.2) [2]. Tlm s~fi)gr()~q) a,(l(litivity l)r()t)(~rty (2.3.12) witl~ r(;sl)(;(:t t() the i)a,l'a.lll(',l,(',r ()f l,II(; alg(:l)ra-t()-gr()~q) (;Xl)()~(;~tiati(n~ writ(;s as T(d~ )T(d~) = T ( d ~ ) T ( d I ) = T(d), witl~ (3.3.3)

d - d~ 4- d~, a.n(1 sin~ila,rly

L(.f, )L(.f,) = L(./~ )L(.fl ) = L(.f ), witl~
1 1 1


117 ~,fl +.7.,'


Th(~ a,t)()v(~ r(4a,ti(n~s ext)ress in f()rnm,1 temps tim well kn()wn t)r()tmrty tha, t, the se(lllell(:(', ()f two free st)a,ce sections d 1 an(t d~ is equivalent t()()lie section of length d = d I + d~ and, similarly, two casca,de(t lenses f~ a,n(t .f~ (with no f~+f~. fu sepa,ra,ti()n i~ between) a,re equiva,lent to the lens f - f~ As a,n inune(tiate consequence of (3.3.3) and (3.3.5), we also ha,ve T(d)T(-d) and L(f )L(-f) = L(-f ) L ( f ) = I, (3.3.8) which sta, te the existence and unicity of the inverse to every T and L-type matrix a,ccording to [T(d)] -1 - W ( - d ) - e - d K (3.3.9) = T(-d)T(d)I, (3.3.7)

The Group of the 1D First-Order Optical Systems



[L(f )]-1

_ L(-f)

- e - ~ K+.


Formally, since both T ( - d ) and L ( - f ) reproduce the typology of the matrices (3.3.1) and (3.3.2), relations (3.3.9) and (3.3.10) confirm that T and L-type matrices do form two proper one-parameter subgroups of Sp(2, R), when regarded as real upper and lower triangular matrices with unit diagonal entries. Optically, relation (3.3.10) establishes ttmt the inverse of a lens system should be a lens with opposite value of the focal length. This is a physically realizable system; relation (3.3.8) can therefore be implemented by the simple sequence of two lenses with opposite focal lengths. As the lens f alters the direction of propagation of the ingoing ray, the lens - f acts oppositely on the intermediate ray, which then regains the original direction of propagation. Hence matrices (3.3.2) do form a subgroup even when interpreted as the optical matrices of thin lenses. On the contrary, by (3.3.9) the inverse of the free propagation by the distance d should be the free propagation by the distance - d , which in principle may a,ppea, r not physically realizable since distances occur naturally as positive quantities. Therefore inatrices (3.3.1), when interpreted as optical inatrices for propagation through portions of a homogeneous medium, do not strictly form a, subgroup. In the next pa,ragra, ph we will see that the propagation corresponding to "negative" values of d can optically be realized by a, suitable sequence of free propaga, tion sections and thin lenses. The inverse of the free propaga,tion matrix, i.e. the matrix T ( - d ) , acquires then a physical concreteness, although unlike T(d) it does not correspond to a single and unique optical element. Accordingly, relation (3.3.7) becomes optically synthesizable, the effect of the free propagation by d being completely vanished by the propagation through the system T ( - d ) , as the ray eventually recovers the initial position and direction. Apart from their physical rea,liza,bility, "negative" free propagations, when framed within the colnInon conventions rega,rding the optical systems, can be given a practical interpretation which relates to the character, real or virtual, of the rays we are dealing with. Let us write d in terms of the axial coordinate as d = Zo - zi (the refractive index being omitted for simplicity), so that T - l ( z o - zi) = T ( - ( Z o - zi)) = T ( z i Zo).


Suppose that the ray coordinates (qo, po) are known at the plane Zo. Evidently the ray coordinates (qi, pi) at the preceding plane zi may be calculated by the inverse matrix T -1 (Zo - zi) = T(zi - Zo). In symbols, we have





If the portion of space from zi to Zo is not free, but occupied by some optical system, the ray at zi, we might obtain through T ( z i - Zo), is not the actual ray


Linear Ray and Wave Optics in Phase Space

at zi, t)ut the virtual ray (see w 1.8.1), namely the ray t h a t would produce the given ray at Zo, if the intervening space between zi and Zo were free. E x e m p l a r y to this view are some optical systems, we will describe below as, for instance, the Fourier tra.nsforming configura,tion realized by (tivcrging thin le~ses. The a.l)ove discussion gives a t)hysi(:a.1 concreteness to free t)rot)agation and thin lens matri(:es, T(d) and L ( f ), with negative va,lu('~s ()f d a,n(t .f. The present t r e a t m e n t a,(:(p~ires in(lee(t a, g(;n(;ral vali(tity, (:Oral)rising within the same for~m,lisl~ tl~(; (:a,s(;s ()f (liv(;rgil~g l(;~scs, virtual ()t)jc(:ts al~(1 virt~ml i~m,g(;s.


f~}'ee prvpagation th',vugh "negative" distartces

Fr(;(; t)r()I)a,ga, ti()lls (:()rr('~st)()ll(liIlg t() n(;gativ(; va,llu;s ()f l,ll(; (lisl,ml(:(; (:aal t)(; rea,1ize(t t)y ltsing a tillit(; lnmd)cr ()f l,liill l(,ns('~s s(;I)a.ra,t(;(l I)y tilfil,('~ (listalm(;s. This lnm(tlfiv()(:a,lly (;sta,t)lisll(;s l,ll(: l)llysi(:al r(;a,liza,t)ility ()f tlm ilw(;rs(; ()f free t)rot)aga.ti()ll l)y a. ('.(nlstru(:til)h'. ()l)ti(:al syst(nll, ml(t ll(;ll(:(; (:()llq)()S(;S tlu; (:()lltra.st t)ctwe('.ll tll(; "llmtlleIlmti(:al" ml(l "()I)ti(:al" t)etm,vi()ln" ()ftll(; s(;t, ()f Iim,tri(:cs (3.3.1) in fa.v(nlr ()f tim gr(nlI) strll(:tllre ()f tim set ()f lill('ar ()l)ti(:a.l syst(;nls. Arra,ngi~lg l,llre(; l(uls(;s al)l)r()I)riat(4y (:h()s(ul ml(l Sl)a~:(;(t ()ira fl'()l~ tim ()thers ()11(; lllay sy~tl~('.siz(', a "~wgativ(:" fr(;('. I)r()I)agati()n. I~ fa(:t, tl~('~ f()r~ml i(t(;l~tity (A ~ ) _ L(.f a )T(d.~)L(f.e)T(d ~)L(.f,), (3.3.13)

(:a.~ |)(; s()lv(;(t fi)r tll(: l)ara,~l(:t(;rs of tlm ()I)ti(:a,1 a,rra,~g(uim~d, ()~ tll(: right, i.e. tl~e f()('al l(n@d,s .f~, f.~, fa a~(t t,l~e (lista~('(:s d,, d.,, in ()r(h'r t() I)r()(tu(:c a "n(;ga,tive" free t)r()I)a.gati()~ nmtrix, fi)r whi(:h in(tee(l we nn~st l~a,ve


1, ( : = 0 ,



S~l)stituting l,h(; va,,'i()~s T an(l L ~na.tri(:cs ent(;ring (3.3.13), w(; ()l)ta,in for the e~d,ri(;s of tim nm, trix (n~ tlu; left, tim expressi()~s

AC :

1- ~

fD l'


D -- 1 + dl

f2 '


f3 + f 2 f a




f2 fa ,


f'~' .

which by (3.3.14) provide the relations







f3 + f2f3'

fl -- f3 '

f2 > ~ + d--~"

It is immediately evident tha,t f2 must be positive. Also, it can easily be checked t h a t f~ and fa as well must be positive. Therefore, identity (3.3.13) satisfying requirements (3.3.14) is concevaible with all the three lenses positive:

L, s

> o.


The Group of the 1D First-Order Optical Systems

....- < ....................................................... . < ............................................ !



__2, !


~ o

9 ]
] !

0 1 < > FI, i.f !A ill d<O .f


13o .1~ A!

A ii


1........................ :..: .............................. :.:................................................ j






FIGURE 3.4. A possible three-lens configuration implementing the free propagation by a "negative" distance. Clearly the choice of the p a r a m e t e r s , i.e., focal lenghts and distances, satisfying the above relations is not unique. However, in order to prove the existence of some optical configuration being in accord with (3.3.16), we choose f2 - fa - f. Consequently, we have
1 fl = 2 d2 f + Y > 0,



which can be satisfied, for instance, by setting d 2 - 3f. It follows t h a t fl - f, dl - 3 f d2, (3.3.21) (3.3.20)

thus yielding a s y m m e t r i c configuration with three identical lenses equally spaced from each other (Fig. 3.4). T h e B - e n t r y of the ray m a t r i x comes to be B-3f < O. (3.3.22)

T h e value of f will be fixed according to some specific request on the value of B. Thus, from B - - d , d > 0, we obtain f - 5" a T h e reader m a y work out other configurations satisfying (3.3.16).


Linear Ray and Wave Optics in Phase Space


Optical matrices factorized in terms of free propagation sections and thin lenses

E v e r y 2 x 2 real symt)h;ctic m a t r i x can be u n d e r s t o o d a,s a ray m a t r i x reprcs(',~d,i~lg a. first-or(ler ot)ti(:al syst,(',nl. Ih',n(:e, first-()r(t(;r ()t)tica.1 sysI, elIIS Call |)e rega.r(te(t a,s ot)tit:a,1 mm,l()gs ()f I)hysit:a,1 t)ro(:ess(',s (t(',s(:ril)e(t |)y 2 x 2 real synlt)lc(:(,i(: maI, ri(:(',s. I(, (:a,n 1)(; l)r()vc(t, in fact, tlm,t (',very 2 x 2 real symt)le(:ti(: llmtrix is exI)r(',ssit)l(; as tlle I)r()(lll('t ()f a fillit(: llluld)('r ()f T ml(l L-like mal, ii(',(:s, (,tHis a.ls() I)l'()vi~lg (,Ira,l, every ()I)tic:a.1 sys(,(~,lll (:a.ll 1)(; r(',a,lize,(1 as a,n a.i)t)r()i)ria(,(', ([i~fit(',) s(',(t~t(;~(:(', ()f fl'(;(', t)r()t)a,ga.l,i(n~ s(',(:ti(ms a,II(] (,lfin l(',nses [3 ]. th',re w(', (;xmlli11(', tll('~ r('a,lizal)ility ()f (',v(',ry Hp(2, N) syst(',lll |)y ml ()t)tic:al il,l'l'il,llg(~,lll(~,llI, ()f tllill l(',llS(',S ml(l fr(',(',-~ll(',(liln~l S(',('t,i(nlS. W(', slla,ll 11()1, (twell ()n tll(', (tll(;sti(nl r(;ga,r(ting tll(: lllilli]lnnil ]nu~fl)(',r ()f h',~s(',s ~(;(',(1(',(1 1,() r(;aliz(~ a i)a,rti(:~llar systeI~l. Tl~is (lll(',s(,i()li is a~alyz(;(1 i~ (l(;I,ail i~ [a.n]; tl~(;l'(:, as a, res~flt ()f a.II a,(:(:lll'a,(,(: i~w(:stiga,(,i()~ ()f tlm va.ri(n~s r(:gi()~s ()f Hp(2,1R), (,lm.(, (:a.lt 1)(: r(:a.(:h(:(l l)y (n~(:, (,w() an(l (,l~r(:(: ](:~s (:()nligura,(,i(nls, it is sl~()w~ tlmt (:very (:I(:~(:l~(, i~ (,I~(: gr()~I) (:a,~ l)(: r(:aliz(:(l l)y an ()I)ti(:al (:()l~lig~m~(,i()l~ i~w()Iving n() l~i()r(: t]m.ll tlu'(:(: h:llS(:s. W(: firs(,ly (:()~si(l(:r ()l)(,i('al (:()l~Iig~tra,ti()~s, (l(:~m.l~(li~g f()r (,In'(:(: l)a,rani(:(,crs (,() I)(: (l(:li~(:(l, m~(l l)r()v(: tlm,t t,l~(:y yi(;l(l sld(,a.l)l(: ()l)(,i('al sy~(,l~(:s(:s f()r (:l(:~(:I~ts in Sl)(:(:ili(: r(:gi(n~s ()f (,I~(: Hp(2, lR) gr(nq). ~l'h(:l~, ~()r(: (:(n~l)l(:x a.rrm~g(:n~(:nts wi(,l~ il~(:r(:a,si~g ~nl~l)(:rs ()f l(:~s(:s m~(l fr(:(: l)r(>l)a,ga,(,i()~ s(:(:(,i()~s ar(; (:()nfigurc(l i~ ()r(l('r t() sl~()w (lint ~n~i~()(l~lar l)~r('ly (liag()iml ~mt, ri('('s at(' ()l)(i('ally realiza,l)l(:. Tlfis is l)a.si(: t() (,I~(: ('()~(:h~siv(: l)r()()f a,s (:la,l)()I'a.t(:(l i~ ,~ 3.4.4, (:()~(:(;rning (,I~(: I)()ssil)ili(,y ()f r(:I)r(:s(:~(,i~g (:v(:ry r(:a,l sy~q)l(:(:(,i(: ~m,(,l'ix wi(,l~i~ the c()n~(:(:(,(:(I i(l(:~(,i(,y (:()~l)()~(:n(, ()f (,l~(: gr()~l) in tlm f()rn~ a,s (,h(: fa.(:t()r(:(l l)ro(lu(:t of T, L a~(l I)~r(:ly (liag()~m,1 ~mt, ri('(;s, h~ the f()rtl~('()~d~g (tis(:~ssi()~ tl~e ma,trix T ( d ) is ~n~(t(;rs(,()()(l a,s (t(;s(:ril)i~g (,r~fly fl'(;(; t)r()l)a,ga,(,i(n~ s(;(:(,i()l~S, a,~(t hence the t)a,ram(;ter d is limite(t t() n()mmgative values. This is in or(ler t() evidence the rcleva,n(:e of tlm inh(:r(:nt ,scmigr()ul) (inst(:a.(l ()f gr()~H)) s(,r~u:t,~rc of the set of the free,-t)r()t)aga,ti()~ nm,ti'i(:('~s to I)revent (,1~(', sinq)h; thre(; t)arameter configura,tions, c()mt)rising one or two lenses, from e x h a u s t i n g all the threeparameter Sp(2, IR) systems. The, restriction on the m a t r i x T(d) is relaxed in w 3.4.4, w h e r e " n e g a t i v e " (tistan(:es are allowed.


TL T and L TL configurations

The simplest realization of a 2 x 2 symplectic matrix by means of thin lenses and free propagation sections, one may envisage, should involve an arrangement allowing for three parameters, which then might be two distances and one focal length or conversely two focal lengths and one distance. The resulting configurations will be denoted as TLT and LTL, respectively.

The Group of the 1D First-Order Optical Systems



Then, let M (~ ~)) be a syInplectic inatrix. Supposing M has non null entries, the following sequence of optical elements can be hypothesized
\ /

(~ BD) -- T ( d 2 ) L ( f ) T ( d i )


having M as tile relevant ray matrix. The lengths dl, d 2 and f are determined according to the relations
1 d-z

1 -



dI + d2

dl d2



As f may range from - o o to +oc, whilst d I and d 2 are thought as nonnegative quantities, not all the possible values of the matrix entries A, B, C, D can be reached. In fact, only the two families of symplectic matrices"

['A>I \C >0 B>0 D>I


/'A<I B ) \ c <o o<1


are synthesizable by the one lens configuration (3.4.1), according to whether the central lens is chosen as negative or positive. The complementary two lens configuration -- L ( f 2 ) T ( d ) L ( f I ) is also possible, with the choice


d _ A, 1
fl --

d f2

D, d -



f2 ~ fl f2



which, on account of the restriction d _> 0, allows to implement matrices having

As a simple example for the optical realization (3.4.4), we may consider a thick lens. On account of the equivalence between a refracting surface and a thin lens, having the same, respectively, refracting and focal power 7), it is evident that a thick lens can be realized by a pair of thin lenses spaced by the lens thickness; the ray matrix (3.2.4) can then be factorized as in (3.4.4).


Special s y s t e m s as T L T and L T L configurations

It is interesting to investigate the potential of the previously described single and double lens configurations to implement matrices with one or both vanishing off-diagonal elements, of course, within the inherent restrictions. So doing, we gain a useful visualization of the special systems, which, abstractly introduced in w 1.8.4 as corresponding to ray matrices with one vanishing entry, are now seen to be realizable by thin lenses and free-propagation sections.


Linear Ray and Wave Optics in Phase 5pace

Telescopic and imaging systems

T h e LTL configuration (3.4.4) is a p p r o p r i a t e to synthesize symplectic matrices having C = 0. In fact, the identity

((a 2>O) _ L ( L ) T ( d ) L ( f ~ )


is a,(:t~lal)le with d = .f, + f2 = B a,n(t A = - . f 2 / f l . We re(:a,ll fi'o~ !i 1.8.4 tl~a,t ()t)ti(:al systel~S (les(:riber t)y ray-~m,tri(:es with (7 = () are lla,Ille(l afocal ()r tele,scop'ic syst, e ~ s , as |,l~e r ()f the c ~ e r g e n t ray (lel)c~(ls ()lily ()~l t,l~(; (]ire(:l,i(m of |,t~e in(:i(lent ray. T l ~ s any ray (:oming into t,l~(' sysl,ex~ l)a,ra,lh'l 1,() the ()t)t,i(:al axis (;~(;rg(;s t)a.rallel to the axis a.s well. If I~ - (), 1,1~(; si~tzh; h;~s ('()~fiN~ra,t,i()~ (3.4.1) ca,~ 1)(', (lesigl~e(1 witl~ 1/.f - ( 7 , d.~/d, = - A a.~,(l l / f -= l / d I + 1/d.~ (focal r i()l,)i~, ()r(ler 1,()give
c: <() A ,) - T ( d ' 2 ) L ( f ) T ( d , )"
A<0 ()


limite(1, ~f ('(~r,sc, t,r negatiw; wdlles of t,t~c eiltries A a n(l (~. A(:(:or~ling to tile f~r rela,t,i~ll, tll~ i11terllw,~tia,te lellS is I)~sitiw~ a,ll~l r t~e llll~h;rst~o~l as (:Olllt)Ose<t 1)y I,W<) 1)<)sitiw~ lellses witll fi~r lellgllts d, all<l d 2. ()I)ti('M syst~'~s witl~ /~ =- () a,I'~' ~:alh;r i'm agi'ng syst~:~s (r 'mag'n'~i/ie't'.~), a,s the t)()siti~)l~ ~f t,l~; ~ l , ~ ) ~ i ~ g ray ~let)e~ls ~l~ly ~ t,l~', l)~siti~)~ ~)f tl~; i~(~)ming ray. ~I'l~s all tl~e rays fr()l~ tl~(, I)()i~t qi i~ tl~(, i~q)~t I)la~e are i~mger ilgo th(; t)oint q,, - Aqi ill tile ()lll, I)llt l)la.~e (w 1.8.4). Sy~I)h;r ~lI)l)er a,~tl h)wt'r t,ria,~g~la,r ~ml, ri(:es, a.s t,l~t)st; i~ (3.4.7) an(t (3.4.8), sl)a~ t,w() s~d)gr()~lt)S ()f 5;p(2, IR), wit, l~ tl~e (liag()~ml ~mtl'i('es ]w~longing I,() hotly. T m~(1 L-like ]~a,l,ri(:es ret)res(;~t t)rr s~fl)sel, s ()f I,l~ese s~]])grout)s. As a ('()~('l~si()~, we ~my say t h a t tt~(; T L T aa~(t LTL realizatiox~s (3.4.1) an(t (3.4.4) a,l'(; a,i)i)r()I)ria.l,e I,() sy~tl~esiz('~ ~n~il~()(I~la.r ~t)i)(;r a l~(| l()wer triangular matri(:cs, a l t h o u g h the respe('tive non ~mll clen~ents A, B, D an(t A, C, D can not a,rl)itrarily |)c vahu;(t, as in(ti(:at(;d |)y the restrictions in (3.4.7) and (3.4.8). Also, ox~e a n(t two lens config~rations can not describe diagonal matrices, sin(:e t)<)t,h si(h;s ()f (3.4.1) and (3.4.4) l,~rn int() the m~it m a t r i x when /3 = 0 and C = (). In thai, case more comt)lex configura,tions can be envisaged involving additional free-t)ropagation sections and thin lenses besides those entering configurations (3.4.1) an(t (3.4.4) [:~.,~].

Collimating and focusing systcms

Symplectic matrices having one zero along the diagonal, when regarded as optical matrices, are representative of collimating and focusing systems. In general, matrices with D = 0 describe the p r o p a g a t i o n from the prima, ry focal plane of the system to the plane l o c a t e d by the axial position of the relative secondary principal plane i.e. sH' = 1-A Correspondingly, m a t r i c e s
n02 C "

The Group of the 1D First-Order Optical Systems

Hi !

17 0 !

I-I o !

I-Ii !


d= A-I(,

i i , i i i i

i i , , i t i


(o-V_~ [c ~cl



I d=D-! -~ --U

i i , ; a i i

i i , i , i i

~-- f


i--~- d



FIGURE 3.5. Optical realization of a symplectic matrix having (a) D -- 0 ( c o l l i m a t i n g system) and (b) A - 0 ( i m p e r f e c t F o u r i e r transforming system).

with A - 0 account for the propagation from the plane located by the axial 1-D position of the primary principal plane as su c to the secondary focal

plane of the system (w 1.8.4). Evidently, a D - 0 matrix can be realized by the one lens setup
(~ -C-1

) - T(d)L(f)T(f)


with taking f
1 c, d

A-1 c,


which then demand for C < 0 and A < 1 in order that both T(d) and T ( f ) represent positive free propagation sections. Likewise, to produce an A = 0 matrix, the reverse configuration can be arranged according to
(~ -C-1

D ) -- T ( f ) L ( f ) T ( d )


with f
1 c, d

- Dc1 ,

( 3 . 4 12)

thus requiring that C < 0 and D < 1. The single lens decompositions (3.4.9) and (3.4.11) establish, within the specified restrictions, the equivalence of collimating and focusing systems to thin lenses, whose input and output planes be properly placed. In (3.4.9) the input is taken at the primary focal plane of the lens as the output at distance d A-1 from the secondary principal plane, which for a thin lens is the lens plane (Fig. 3.5.a)). Reversely, in (3.4.11) the input is taken at the distance d - o-1 C from the lens plane and the output at the secondary focal plane (Fig. 3.5.b)). Focusing systems perform the imperfect Fourier transform of the

VI i

Linear Ray and Wave Optics in Phase Space


I-I i

~I o

i i

' i

I:" - YoCl

i i

i i

, i .t .f .--..i

i :,



T i ~ .t --.----.t ~

i ~ ,



FI(]I~I~E 3.6. Si~glc le~s rcalizatio~ of a~ m~ti(liag()~ml sy~I)l(:ctic ~natrix (pc)fi:ct Fourier transfi)r~i~g syste~). The "2f" sysl,c~n witl~ (a) a p()sitivc l(:~s m~(l (b) a ~mgativc lens. i~I)~(, sig~ml, (,1~(: a lX~l)li(,~(l(: (lis(,ril)~(,i()~x ()f tile ()~1,t)~(, sig~m,l t)(:i~g i~(,(:rt)r(:t(:(t a.s (,1~(: l:()~ri(:r (,rm~sfi)r~xl ()f 1,1~(: inl)~(, ~n~l(,il)li(:(1 1)y a (l~m.(lra.(,i(: t)lxa,s(: t(:rm. Tll(: fi~r(,l~('r r(:(t~(:s(, A = ()i~ (3.4..9), ()r D - () i1~ (3.4.11), yi(:l(ls d -- .f, (,ll~s t)r()vi(li~xg fi)r (,Ix(: pe'~:fect F()~n'i(:r t,ra~|sfi)rlxxil~g sys(,(:l~l t,l~(: si~tzl(: l(:~xs r(:aliza,tion F(f) -() - 1 / () (') (7 _ T(f)L(f)T(f) (3.4.13)

l Th(: a.ll(,i(liag()xml llm.(,rix a.l)()v(: (l(:s(a'il)(:s ill g(:n(:ra.l (,h(: ()l)tiwi(,h f - c" (:a,l l)r()Im.ga,(,i()ii fl'()lll (,If(: l)rinmry fl)(:a,l l)lan(: ()f th(; syst,(:Ixl (,() (,If(: s(:(:(m(lary (m(:, ()ll wlli(~ll th(: l)(:rf(:(:(, F()In'i(:r (,railsf()rnl ()f ill(: illg()illg signa,l is f()I'mc(l (,~ 1.8.4). A('(~()r(lillg t() (3.4.13), tlx(: silxxl)l(:st r(:a.liza,ti()Ix ()f s11(:ll a syst(:lll (:(resists ()f a l)()sitiv(; tllill l(:lls, wit, If tlx(: ligllt rays |)(:illg l)r()l)agat(:(l fr()i11 tll(: fr(mt t() th(: ])a(~k ft)t~al I)lml(: (s(:(: tll(: s(:ll(:xxx(: in Fig. 3.6.a) ft)r t,lx(: (:x(:nq)lary (:a.s(: of a bi-('()llv(:x l(:ns). Ill t)rilwiI)l(:, th(: T L T (l(:sign (3.4.13) sh()lfl(t s(,ri(:tly a d m i t only I)()sitiv(: l(:ns(:s, ('()rr(:sI)()ll(|ing t() ll(:ga,tiv(: va,hms ()f C in th(: given ma, trix. H()w(:v(:r, lx(:gativ(: wfllms ()f f arc a,lh)w(:(t as w(:ll. Tlx(: r(:slflting ()t)(,i(:al configura,ti()ll is (l(:I)i(:t(:(t ixx Fig. 3.6.t)) f()r ttl(: illustrativ(: (:a,s(: ()f a, t)i-(:()~l(:a,ve lens. T a k i n g iIlt() a,(:(:ollnt the m(:aning of the sign of th(: fo(:al length f , which, in a.ccor(t with the (:ommon (:onventions (w167 1.8.1 and 3.3), esta,blishes the character, r(:al ()r virtual, of the object a n d image rays, the reader m a y easily verify t h a t the forma.1 r e p r e s e n t a t i o n for the opti('al setup in the figure turns to be .illst the T L T p r o d u c t (3.4.13), with f retaining its own sign in the T - m a t r i c e s . Thus, llnimo(tular antidiagonal m a t r i c e s can be realized by use of one lens of 1, placed m i d w a y b e t w e e n two reference planes s e p a r a t e d f()cal length f c by 2 Ifl. This configuration is r e p o r t e d as the 2 f s y s t e m . Finally we note t h a t the double lens configuration (3.4.4) can also be valued to c o r r e s p o n d to a ray m a t r i x with D = 0, A = 0, or A = D = 0. In particular,

The Group of the 1D First-Order Optical Systems



17 o





ff (a) ~!


~= f (b)

FIGURE 3.7. Double lens realization of an antidiagonal symplectic matrix (perfect Fourier transforming system). The Fourier tube with (a) positive lenses and (b) negative lenses.

in Fig. 3.7 we show the double lens setups (also known as Fourier tubes), suited to perform the perfect Fourier transform of the object distribution.


Pure magnifiers

The basic one and two lens configura,tions (3.4.1) and (3.4.4) are not suited to realize unimodular purely diagonal matrices, which within the optical context are interpreted as the ray transfer matrices of pure magnifiers (w 1.8.4). Either additional thin lenses or additional free propagation sections or both must be added to the optica,1 arrangements (3.4.1) and (3.4.4), thus introducing further parameters, which can be adjusted in order that both the off-diagonal elements in the resulting ray matrix may vanish. We consider the optical identity (3.4.8) for the imaging matrix, which for convenience is rewritten as
A<0 C<0 0 a-l) - T(d,)L(L)T(dl),






- -C,

d,, A - ---.

Concatenating the TLT sequence (3.4.14) with a thin lens on the left or right, the lower-left entry of the resulting optical matrix may vanish. Accordingly, we may realize the pure magnifier matrix by the optical arrangement
0 M -1
L(f2)T(d2)L(II)T(dI) ,


the magnification M being determined by the parameters f and d as M d2

dl --


1 1 1 fl = d l + d2



Linear Ray and Wave Optics in Phase Space

, f,


/ '21< >'



f, h



" *


FIGURE 3.8. 'I'wo-lc~s rcalizatio~ of a I)~rc ~nag~filier. whi,:h also yM(t d~ = .f, + f2 (Fig. 3.8). Th(; nmgnifi(:a,ti()n .hd is (:lea,rly nega.tivc, ttnls signifyillg an inv(;rsi(nl ()f the ray t)()sitioll wittl r(;st)('~(:t t() tlm ()t)ti(:al a,xis. W(; (:ml ()])taill a l)()sitiv(; ina.gnifi(:ati()n t)y (:as(:a~lillg tw() llla,gllifi(;rs like (3.4.16). Ill fa,(:t, l)(;illg a striking t)r()l)(;rty ()f (tiag()lm.1 llml, ri(:('s tllat tlmy llnflt, it)ly ill|,() (liag()lml llml,ri(:(;s a,s -~ M l () M~-' () M ~ (3.4.18)


with 3d - ,hd~3d 2, w(; ('ml lmv(; 3d > () witll 1)()ill 3d~ < () ml(1 3/[ 2 < (). E(t~m.ti()~s (3.4.16) a l~(l (3.4.18) arc t)a.si(: t()()~r t)~rt)()s(;s, 1)(;('m~s(', th(;y rei)resent tlw, l)r()()f tlla,t Inlr(;ly (lia,g()na,l synq)h;(:ti(: nm, tri(:(;s (:ml t)e syld, hesiz(;d t)y (',()I~(:a,te~m,ti~g tl~i~ l(;~ses m~(1 free t)r()l)aga,ti()~ se(:ti()ns. The rea,(t(;r (:an easily verify t h a t tlm sa,~n(; ot)ti(:al (:()~fig~ra,ti()n as in (3.4.16) inay t)e ()l)tai~(;(1 a,(l(li~g a, fr(;(; t)r()t)a,gati()I~ s(;(:ti()~ t() tlm right of the (h)uble lens rcalizati()n (3.4.7) ()f a,n a,fi)ca,1 nm, trix.

Pure magnifiers and Fbu'ri~;'r t'innsforming systt~ms

Rcma,rkably, a, purely magnifying configuration can also b(; r(;a,(:hed t)y enlarging the two h;ns (:onfigura,tion (3.4.16) to (:()nlprise a,n a,(htitiona,1 fl'ee propa,gation section, thus y M d i n g

D(.A4)- T(d2)L(.f2)T(d)L(.fl)T(dl ) ,
where the involved lengths are related through AA - _12
fl --


fl ~

d + dl.Ad -1- d-2- -- 0

.A/I "


Preserving the restriction of 0 _< dx, d~ d 2 ~ C<) in order t h a t the T-matrices strictly correspond to free p r o p a g a t i o n sections, the magnification A/I, satisfying (3.4.20), comes to be negative and hence the focal lenghts fl and f2 are required to be b o t h positive or b o t h negative.

The Group of the 1D First-Order Optical Systems

i i .ti i i .IS.



a ./I i l:*



i i . i ~ :

! i i

' .tl




/2 -'


' [i






F I G U R E 3.9. Optical realization of a pure magnifier with .hal < 0 by cascading two Fourier t r a n s f o r m i n g systems. (a) I.hd < 1 (b) .hd I > 1.

We observe that the second of (3.4.20) may be satisfied by setting d I -fl, d2 - f2 and accordingly d - f l + f2- The resulting two lens configuration turns to be the sequence of two 2 f systems, described in w 3.4.2 and pictured in Fig. 3.6.a). Therefore wc write D(A//) - F ( f 2 ) F ( f l )

.A/[ - - [ z




On account of the considerations of w 3.4.2 concerning the interpretation of the sign of the focal lengths in the implementation of the Fourier transform by thin lenses, the focal lengths fl a,nd f2 above ca.n be let to be a,rbitrarily positive or negative, thus allowing for both negative and positive magnifications. According to (3.4.21), a pure magnifier can be realized by using two lenses, spaced so as to have a common focal point, and embraced by two free-medium sections, whose lengths are adjusted according to the focal length of the corresponding a,djacent lens. Thus, in the whole system both the effective length and the optical power vanish. As all example, Fig. 3.9 shows two possible realizations of an M < 0 configuration by concatenating two Fourier transformers, both having positive lenses; the respective performances are pictured for an incoming bundle of parallel rays. The propagation through both systems manifests an inversion of the ray-coordinate with respect to the optical axis along with a magnifying or dcmagnifying effect according to whether ~ > 1 or < 1. In particular, we emphasize that two identical Fourier transformers in sequence produce a pure inversion of the ray coordinates, in accord with the general property of the Fourier transform. Then, a ray emerging from a soquence of four identical Fourier transforming systems has the same coordinates (position and inclination) as when entering to (see also w 3.6.1). In contrast, f14 > 0 configurations demand for lenses of opposite signs. Figure 3.10 shows two possible realizations. The path of an ingoing bundle of


Linear Ray and Wave Optics in Phase Space



El o



i i i ) i




FIGURE 3.10. Optical rcalizatioI~ of a pure magnifier with M > () by casca(li~g two Fo~ricr trm~sfor~ni~g systelnS. (a) M < l (b) M > I. t)a,ra,lM rays is t,ra(:(~(t, sll()willg tim (:()llt,ra,sl, illg (~tt'(~(:ts ()f tim tw() systcnls, tim first t)r()(llu:illg a, re(llu:ti()ll (.A4 < 1) ()f the traxlsversc size ()f t,tle tnnl(lle, the SO,(:()ll(l, ()ll t,ll(} (:()ld,ra,ry, a,ll eXl)a,llsi()ll (.A4 > 1). Tim ot)ti(:al (:()~lfigurati()Ils t)i(:tllrc(l ill Figs. 3.9 ml(t 3.10 nmy tlmll 1)e lnl(lcrst()()(t as tll(~ ()t)ti(:al mlal()gs ()f I)llysi(:a,1 I)r()('esses, (les(:ril)e(1 t)y 2 x 2 sylllI)l(~(:t,i(: t)ln'ely (tiag()na,1 llm.tri(:es with ll(~ga,tive all(l I)()sitiv(~ (~t,ries, r(~sI)(~(:tiv(~ly. Also, as a, t)()sitiv(; ~a,g~ifi(w ('i.1,111)(~,a,rra,~g'(~(t })y (:a,s(:a~li~g tw() n(;gat,iv(~ l~mgnifying systems, f(n~r I)()sitive F(n~rier traaM'()rnfing (:()nfig~mtti()ns (:a,n |)e (:()n(:a,t(;na,t(;(t to sy~thesize the ()I)ti(:a,1 mm, l()g ()f m~y I)l~ysi(:a,l I)r()('ess (tes(:ri|)e(l t)y a, 2 x 2 synq)le('ti(: (tiag(nm,1 I)()sitive ~na,trix. Finally, we n()te tha,t the (:()nfig~mtti()n (3.4.16) (:a,n als() t)e (mla,rge(t to (-omprisc a,n a,(t(titi()~m,1 thin le~s thus lca,(li~g t() tim thr(~(~-leI~S sct~t) D(.A4) - L ( . f , ~ ) T ( d , ~ ) L ( f ) T ( d I )L(.fl ). (3.4.22)

We invite the reader to find out the explicit expressions linking the involved t)arameters d I , d 2, fl, f2 and f. Also, wc suggest to prove the rcalizability I _ ~1 + ~ 1 a,n(t accordingly of the (:onfigura,tioIl with fl - di, f2 - d2, 7 A/I _12 which is interpreted as the sequence of two Fourier tubes.

The subgroup o f pure m a g n i f i e r s

Tile ideal magnifiers form a proper subgroup of the set of 1D linear optical systems. This straightforwardly follows from the properties of the unimodular diagonal matrices, we have denoted by D ( 3 / ) . In fact, as already shown, the p r o d u c t of two matrices in the set { D ( 3 d ) , Ad real} belongs to the set as weli, a,nd hence just rewriting (3.4.18) we have D(.A41)D(.M2) - D(.A/[2)D(.M1) - D(Ad), ~4
.A/~IM 2 .


The Group of the 1D First-Order Optical Systems


The inverse of a pure magnifier is the magnifier with reciprocal magnification:

[D(.s -1 - D ( . / ~ - I ) , (3.4.24)

and the unit matrix I can be interpreted as the optical matrix of the magnifier with A/l = 1: D(1) = I. (3.4.25) We note that, according to (3.3.7) and (3.3.8), the unit matrix can be optically synthesized by cascading two, positive and "negative", free propagation sections or two thin lenses having opposite focal lenghts. Due to (3.4.25), the identity matrix can also be implemented by cascading two positive or two 1I ' and hence it can be realized as negative pure magnifiers with A42 = M two, positive and negative, Fourier tubes nested one into the other or as four positive Fourier transforming systems concatenated one to the other with the relative focal distances being related by flf3 = f~ f4.

Pure magnifiers without inversion

Positive ideal magnifiers constitute a proper subgroup of the group of unimodular purely diagonal matrices {D(AJ), ,k4 real}, because cascading two positive magnifiers produces a positive magnifier. In w2.4.3 we have elaborated for the pure magnifiers without inversion the exponential representation, rewritten in (3.1.2), involving the traceless matrix K3, representative of the mixed quadratic monomial lpq. As we will see later, under specific restrictions the scale matrix S(m) plays a crucial role as a building "block" for the representation of optical matrices in a factored product form involving as well the T and L matrices. Therefore, we further coinInent here on the system S(m), suggesting in particular some possible optical realizations of it. We may rephrase relatively to the scaling matrix S(m)

m-1 ) ~

?It _


the formal considerations developed in w 3.3 in respect to the free propagation section and thin lens inatrices, T(d) and L ( f ) , thus completing the view of the three one parameter subgroups of @(2, IR), generated by the algebra basis {K_, K+, K3} by exponentiation through a real parameter. Evidently, S-like matrices constitute a proper subgroup of Sp(2, IR); more precisely, the set {S(m), m > 0} is included into the subgroup {D(A/I), A/I real} of unimodular diagonal matrices D(A/I). Then, as particular cases of (3.4.23) and (3.4.24), we can state the closure property
S(T~I)S(~2) = 8(~2)8(~1) = 8(77-~),

m -- m l m 2 > 0



Linear Ray and Wave Optics in Phase Space

for ma,trices (3.4.26), and hence the existence and unicity of the inverse being

[S(I~,.)] -1 -- S(lrt -1).


In a,ddition, the previously developed considerations concerning the optical realiza,tion of pure-magnification devices with ,A/I > 0 apt)ly to the system (3.4.26) as well. Thus, tim symplectic diagonal ma,tric(',s, generated by the a,lg('])ra, nmt, rix Ka, (:an ()t)ti(:a,lly t)e realiz(;(t |)y (:()n(:a,t(',~m,ting tw() systems like (3.4.16)()r two Fouri(',r tra,~sformers (3.4.13), the relewml, fo(:a,1 l(;ngt, hs |)eing related t() th(; nm.gnifi('a,ti()~ '~, a,s

.f~ = -,,,,,.f,.


An (;xa,~q)le is giv(;~ i~ Fig. 3.10. Also, we ('m~ (:as(:a,(l(; tw() ~mgat,iv(; ~m,gnifiers t() sy~tl~(',siz(', tim ~m,t,rix (3.4.26), tim resull, i~g (:(mfig~n'a,ti()~ nmy t)e regar(te(t a.s ()t)ti(:a.1 a,I~al()gs ()f tl~(', ~a.trix ~,,sKa, tim, i~v()lv(;(t f()(:al l(;~gt,l~s fl, f2, .f:~, .f~ 1)(;ing s~ita|)ly (:l~()s('a~ t() satisfy tim r(;la,ti(m

f.e.f4 - (,,~/2.f, f,a.



Sympler:tic mat's'ices as optical mat's'ices

At)t)r{)t)ria.te (:()ll.jllr {)f T, L a.ll{t D-like ilm.l,rir {:a,Ii 1)e a.rrmlged to be eqlliva,lent t() ally giv(',ll sylllI)lectic llmtrix, (;x(:llutiIlg tim a.ld,iclia,g()lm,1 nm,t,ri(:es, for whi(:h, a,s (lis(:llsse(1 ill .~ 3.4.2, the 2.f sysl, ellls a.ll(t t,lm F(nn'ier tut)es t)rovide the slfit, a,t)le ()l)l,i(:al rea,liza,ti(ms. In tiffs (:()llll('~(:l,i()ll, il, is w()rt,h emphasizing once a,ga.iil tim (litf'erence, relatively t{) tim gr{nlI) I)r()perty, of t,he matrices T ' s a.(:(:or(ting to whether they are rega,r{te(l as In~r('ly ~m,thematical entities or interI)reted a.s fi)rnm.1 l,ools for n~o{telling ot)tir syst, e~ns. Ma,thematica,lly, the 2 x 2 ~nin~o{lular real upper triangular ma,trir (3.3.1) do form a, subgroup of tl~c synq)lcctic grout) Sp(2, I~). In co~trast, {)ptically ttmy represent ra,y-t)roI)aga,ti(m througl~ I)ortions of a, l~(m~ogeimous nm(timn, a,~(t hence do not form a. subgroup because the inverse of a, fr(;e-propagation section cannot be synthesized a,s a free-t)ropagation section as well; it should demand in fact for sections of "negatiw~" length and thereby is not physically realizable. In the following we rega,rd T(d) just as the upper triangula,r matrix ot)tically synthcsizabh; by portions of a homogeneous medium or by more complex arrangements of lenses separated by uniform medium sections according to whether the parameter d takes on a positive or negative value. It is easily proved t h a t every symplectic matrix with non vanishing upperleft entry can be realized as the ray matrix of an optical system, composed by the sequence of a free propagation, a pure magnifier and a thin lens, namely

(Ac#0 D B) -- L ( f ) D ( . M ) T ( d )


The Group of the 1D First-Order Optical Systems


with the parameters d, 3/[ and f being related to the entries of the matrix as

_B A ' M-A



A C"


Needless to say, the optical arrangement on the right of (3.4.31) is basically composed by thin lenses and free propagation sections. Interestingly, since D represents an optical system with vanishing effective length and focal power, the presence of the matrices T and L in the synthesis (3.4.31) directly relates to the entries B and C, respectively. Thus, if B = 0 or C = 0, correspondingly T or L disappears from (3.4.31). If A = 0, and hence D ~ 0, the reader ma,y easily verify that the reverse ordering TDL may be effectively applied:



However, following the suggestion put forward in w 3.4.2 we can verify the feasibility of the optical equivalence

(~ --D C-1 ) -- F ( - ~



which unlike (3.4.33) coInprises tile case D = 0 as well. Oil account of tile optical realization of F ( f ) by a 2 f system, it is evident that the product in (3.4.34) describes tile propagation from an input plane, placed at distance d from the primary focal plane of the lens, to the secondary focal plane. The presence of T ( d ) reveals in fact that system (3.4.34) performs the imperfect Fourier transform of tile input signal, and so ma.rks tile difference with respect to a perfect Fourier transforming system, corresponding to d = 0, i.e. D = 0. Equation (3.4.31) and all others, obtainable changing the order of the optical components in the product configuration on the right, represent the conclusive step of the investigation presented in this section. We may accordingly state that every 2 x 2 symplectic matrix can arise as an optical matrix; in other words, every Sp(2, R) system can be realized a,s an optical system composed by a suitably arranged and characterized set of thin lenses separated by (positive) free propagation sections. This establishes the homomorphism between the symplectic group Sp(2, R) and the group of the 1D linea,r optical systems.


Wei-Norman representation of optical elements: LST synthesis

In the previous section it has been shown that every real symplectic matrix with non vanishing diagonal is expressible in a product form involving the matrices T, L and D. In general, the matrix T is to be considered from a purely


Linear Ray and Wave Optics in Phase 5pace

mathematical viewpoint as a real unimodular u p p e r - t r i a n g u l a r matrix, admitting the exponential reprcsenta, tion in t e r m s of the algebra, m a t r i x K , and hen(:e describing from the optical viewpoint a single free-propagation section or a suitable a,rrangement of free-ine(tilm~ sections and thin lenses. Here we will see that, resorting to the well known W e i - N o r m a n t h e o r e m of Lie group theory [4.1], sy~t)le(:ti(: nmtrices having a positive A or D entry a,d~fit a,n ordered t)ro(tu(:t forn~ rel)rese~tati()~ in t e n ~ s of T, L a,n(t S-like ~lm,tI'i('(;s; Im,~ll(;ly i~l I,('r~ls ()f a l~t)t)(;r trimitL~la,r ~lm,trix witli ~mit (tia,g(mal entl'i(;s, a, ~lninl()(l~fla,r t)()sitiv('-(h'finitc (lia,g()nal matrix, ml(l a h)wer triangular IIm,ti'ix with uliit (lia,g()lial (;~ltI'ies. In fa,('t, tll('~ ()t)ti(:a,1 a,rI'a,llgelllellt (~ B)

L(7))S(.,,,.)T(d )


(h;~xm,~(ls for tll(; I)ara,~(;t(;rs P , 't~, m~(1 d 1)(; rela,te(l t() tl~(; ~m,tl'ix eh;l~ents t)y
7'_c. , ',,,A , ,tB_.4'


.j~st a,s (3.4.32) witl~ M rel)la(:(;(l t)y 'ttt. As 't~t > (), i(h;~d,ity (3.5.1) is a,(l~fissit)h; ()nly f()r llmtri('.es witll t)()sitive (liagoilal (;IlI,ry A, wllih; D is ill general a,lh~w('~(l t() rmlg~'~ fr(~lll --C~ t,(~ OO. Tll(; rea,(l(;r iimy w;rify tlmt th(' fa,('.t()riza,t,i(~ils wllere t,tl('~ limt, rix L is (~ll tll(; l(;ft ()f tll('~ xlmtrix T (i.e., t,llc I~ST, SLT a,n(1 LTS (:(mfigllra,ti(ms) are sllital)le t,() syntllesize sYnll)h;(:ti(: xlm,tri(:(;s having A > () a,~(t - ~ < I ) < c~. I~ (:~)ld,ra,st, t,tle fa,(:t()riza,ti~)~ls wll('xo, tlm nm,trix L is (m th(; right (~f T (wtli('ll lea,(l t,(~ t tlo TSL, STI~ a~l(t TI~S ('(~Ilfigl~rati(~s) (:a,n a,(:(:()~nd, for D > () a,x~(l A a,rlfitra,rily ra,~gi~g t,l~r(~gl~ t,l~(; real line. T h e eq~fiva,h;~t:e (;xt)I't,,ss(:(t i~l (3.5.1) a,s w(;ll a,s in all tl~e ()tl~er fa,(:t()I'e(t forms, obta,ina,|)h; chm~gi~g tl~e ()rtter r the (:omt)onent ~m,t,ri(:es in the t)r()(l~lct on the right, sta,tes the I)ossil)ility of representing every Sp(2, I~) element with t)ositive ut)t)er-h;fl, or lower-right entry a,s the or(lere(1 1)ro(tuct of elements (trawn from the on(~t)a,ra,~neter subgrout)s generated |)y the corresponding a,lgel)ra, ma,tri('es K , K+, and K 3. Thus, on ac('ou~t of the ext)onential ret)resentatioI~s of the ma,tri(:es involved in the t)ro(hlct, we (:a,n write

with 7~, s and d defined t)y (3.5.2); namely, 7~ c A, s - - 2 1 n A , d - ~ . Accordingly, every 2 x 2 symplectic matrix with positive upper-left or lowerright entry can be interpreted as an optical matrix arising from the appropriate conjuctions of (positive or negative) free-propagations, thin lenses and recipro(:al s(:aling systems. W i t h i n tile (:ontext of 1D linear optics tile decoInposition (3.5.3) acquires an utmost relevance when a p p r o a c h i n g p r o p a g a t i o n problems. In that case the initial values of the ray matrix entries are set in order to reproduce the identity matrix. The continuity of the process assures that in a

The Group of the 1D First-Order Optical Systems


Hi i

no I

i i


0 0


I I m


section positive magnifier

d free-propagation

thin lens

(positive or negative)


El. :~

lower-triangular unit-diagonal matrix
(5'p(2,R) parabolic subgroup)

unit-diagonal matrix

(5;p(2,R) parabolic subgroup)

(,,;p(2,R)hyperbolic subgroup) unit-diagonal matrix


-9 ~ t~

( (,


........ / - q

$ A~-.~'--I

overall scaling p-shear

F I G U R E 3.11. W e i - N o r m a n synthesis of an optical m a t r i x .

neighbourhood of the initial position, i.e. in a neighbourhood of the identity, the entries A and D remain greater than zero. The representation (3.5.3) is therefore "locally" allowed in that neighbourhood, where we can write M(z, zi) - c p(z)K+ cs(z)Kac d(z)K- ,

M(zi, zi) - I,


thus decomposing the overall problem of determining the transfer matrix M(z, zi) into the "partial" problems of determining the parameters 7)(z), s(z) and d(z). Notably the factors in (3.5.4) directly relate to the "dynamics" assolp2 ciated respectively with the quadratic monomials l q2 , lqp and ~ , which can easily be investigated and possibly expressed through definite functional forms of the relevant characteristic parameters P(z), s(z) and d(z) (see w167 1.5.2 and 2.4). As an example, when considering the propagation in a parabolic index profile medium, we will see that the differential equations for the matrix ele-


Linear Ray and Wave Optics in Phase Space

ments A, B, C, D turn into differential equations for the parameters 7), s, d of the decomposition (3.5.4), which, offering an alternative parametrization of the problem, may provide a deeper feeling for the behaviour of the system. Figure 3.11 sumnm,rizes the vari(ms i n t e r p r e t a t i o n s of the LST de(:omposition (3.5.1) within the grmlt) theorcti(:a,1 context as well as within the optica,1 context in terms of b o t h optical system a,rrangeme~lts a,Ii(t t)hase-t)la,Im transf()rnm,ti()n sequen(:es. M()reover, as in tile lilmar a t)I)r()xinmtion tim ray tA,ra,nsfer m a t r i x M is the Iim,i,rix r('4)n'st'lltativ('~ ()f t,tl('~ ray transfer ()t)cra,t()r 9)l, relat, i(m (3.5.4) a.lso sta,tes t]lat t]le ray tI'a,llS[(W ()i)(;ra,tt)r ()f a,]ly ()]It tirst-t)I'(h'x 1D ()t)ti(:al systenl is fa,(:tt)rizal)h'~ in a ll('~iglfl)t)llrh()()(t ()f the (;ntra,ll('c t)la,nc illl,() tlw, t)r()(tu(:t of tile Lie transfornmti(ms g('al('xa.te(1 |)y tlm lll()n(nllials ~ a,s 2 ml(l ~ ( z , z~) - (,P(~)K+ r 9~l(Z~,Zi)



where K , K~ ml(l K:~ are tile Lic ()l)cra, t()rs ass()(:ia, te(t witll tlm (tll()tc(l mono,,rials (see .~ 1.5.2 an(l 2.3) [4]. Rt'~stri(:tly to tl~(: li~mar al)t)r()xi~m, tiol~ the ~m.trix an(l ot)eI'a.t()r i(lentities, (:].5.4) /-I,11(| (:].5.5), tn'(wi(h: tlm a,~swer t,(, l,l~(; I,,(,],1(',~ (,f z-,w(h,ri,~g, whi(.h lma,v()i(lal)ly arises wl~(;~ al)l)I'(m(:l~i~g tim i~t, egrati,m ()f ttm~ilt,()~'s e(l~ations in tl~e (:a,se of a, z-(h;t)el~(li~g IIa~ilt,()~im~, (t~(; t,() 1,1~(' i~ gel~(;ra.1 ~()~(:()~mn~tatiw'~ nat,~tre ()f ~m,tri('es a,n(t ()I)erat()rs. In w 1.5.3 w(; n~(;~iti()I~('(t tha,t the fa(~l,()rizati()~i ()f 9/1 ca~ 1)(, (~()l~t,i~nt(;(t t,() i~(:l~(h, higher or(h'r t(,rn~s, a(:(',()unti~g fl)r t,lic a.1)crra,ti()~s. Ea~'l~ ,~f 1,1~(' a,(htit, i,)~m,1 fi~:t()rs tak(;s tl~(; fi)n~ of a, Lie tra,nsfi)n~m,tio~, a,ltl~()~lgl~ it, ('a,~()t t)e giwu~ a 2 x 2 ~m,trix ret)rcse~ta,tion.


Rotations and squeezes in the phase plane

In w 1.5.2, when discussing the t)hase-st)ace d y n a m i c s g e n e r a t e d by the Lie tI'ansfornmtions ass()('iate(t with (tynami(:al flm(:tions qua(h'ati(: in tile t)osition an(t m ( ) m e n t u m ray varia|)les, we have (:onsi(tere(t the t)olynomials 1(p2 + q2) 1 (p2 q2). We hav(~ sh()we(t t h a t they give rise to (tefinitely different and ff motions in the phase plane, the corresponding trajectories lying respectively along a circle and a branch of hyt)erbola. Here we reconsider in detail the above bynomials in order to identify the optical systems they may describe.


Attractive oscillator, phase-plane rotation and fractional Fourier transform

We denote as Ha.o. the quadratic homogeneous polynomial

Hao 1
. .

2 + ~_~12 q2 ,



The Group of the 1D First-Order Optical Systems


which typically models the attractive oscillator-like dynamics. The space coordinate q has been explicitly scaled by a,n a p p r o p r i a t e length factor f s ' whose optical interpretation is clarified below. The corresponding Lie o p e r a t o r ka.o. is

~0 L~.o. - p Oq

q 0

f 2 Op'
t.. ~..


which we rewrite in terms of the operators K_ and K+, defined by (2.3.5), in the convenient form 1" __ 1 _ 1 K+) (3 .6 .3 ) L~.o. - fs ( L K + ~

Accordingly tile m a t r i x representative Ha.o. linearly relates to the sp(2,]R) basis matrices K _ and K+ as

.ao ( -1/fs2 ~ ..
K 1 (fs) - l ( f s K


~s_s Ul(fs),
- 1 ( - 1 /0 f~
fs .) 0


where we have denoted by K~ (fs) the algebra element + ~1K + )



Tile convenience of such a, seemingly odd definition will become a p p a r e n t later. In order to identify the optical system described by the harmonic oscillatorlike Hamiltonian (3.6.1), we exponentiate the traceless m a t r i x (3.6.4) t h r o u g h the axial distance A z -- z - zi. As a result, we obtain the "transfer matrix" for the ray propagation from zi to z in the form (a)

F~(fs) . .cAzHa . . . _c2~Kl(fs) ~ -- ( - ~ c~162 1 sin r

.fssinr cos r



having interpreted the dimensionless a r g u m e n t ZXz of the circular functions as tile angle 6, c o m m o n l y measured in unity of ~ t h r o u g h the t)araIneter (~:
r ~ Z-Zi 7r


-- c~(z)~.


Note that, as fs has the dimension of length, the off-diagonal entries in (3.6.6) have the dimensions of length and (length) -1 respectively, as it should be for an optical m a t r i x in the ray-coordinate and m o m e n t u m representation. a As in the case of the matrices K_, K+ and K a (see w 2.4), we may compute the exponential function of the matrix K 1(fs) (as well of K2(fs ) below) by simply applying the exponential power series, since powers of g 1(fs) (and g 2(fs)) are easily computed. The interested reader may consult [14] in ch. 2 for a general account of the methods of computing exponential functions of matrices.


Linear Ray and Wave Optics in Phase 5pace

- - - " - ~ P (z)

FIGURE 3.12. I)hasc-t)lane (ly~mmic generate(l by the attractive oscillator Hmniltonian (3.6.1). The ray represe~tative poi~t slips alo~g the ellipse (leter~ni~e(1 by tim i~fitial data and the frostily parm~mter fs.

The tra~sfl)r~m.ti(n~ a('t(;(l 1)y tim ~xm.trix F " ( f s ) ()~ th(; t)lm.s(,'-l)la,n(; wtria|)h;s (q,p) fr()~ l,lm i~itia.l (la.ta (q,s,Pi) is (l(;s(:ril)e(l 1)y

q(z) ..... qi (:()s q5 + Pi.fs sil~ (/),

p( z ) - ~ qi si~ 4) + pi (:()s 05,

whicll is ()f (:(Jllrs(; ill a(:(:(n'r wittl rcslllt (1.5.23). The (:y(:li(: lm.t,llre (ff tim l)llas(; l)la,n(; lll()ti(m (3.6.8) is al)l)ar(;llt. As tile ray I)r()t)agal,(;s (,llr()llgll (,ll(; "()l)(,i(:al" sys(,(;Ill (3.6.6), (,ll(; r(;I)r(;s(;~d,ativ(; I)()i~t P in tim q-p t)lan(; l~()v(;s al()l~g (,l~e (;llit)s(; q(fz2)2, s + P ( z ) 2 - ~'

q2 2 e - - ~ + Pi'


The consta,~t e is (t(;t(;rn~i~m(t t)y the t)aran~etcr fs a,n(l the initial Wd~leS; r specifies fi)r ea,(:tl va,hu', ()f tllc axial t)arameter z tllc a,xlgle of tlm rotation of the (:orrcst)on(li~g representative t)oint P(q(z),p(z)) with rest)cot to the initial t)()int P~(q~,p~) (Fig. 3.12). The rotation is ('h)(:kwise or (:o~nter(:lockwisc accor(tiIlg to the sigll of fsEvi(tcntly the nmtrix F'~(fs) relates to a rotation by r ct~ along a I l in general cllipti(:al contour in the phase-plane. In fact, as will be clarified later, it can t)asically be interpreted as a phase-plane rotator. In particular, with fs = 1, F'~(1) takes the appearance of a pure rotation matrix by the angle r - sin r

cos r

where K 1 -- Z 1 (1) = =2 +K+ , the unit a r g u m e n t being omitted. Accordingly the representative point Inoves along a circle centered around the origin with radius v(, - v/q] + p~.

The Group of the 1D First-Order Optical Systems


Interestingly, with r form matrix (3.4.13),

~ (i.e. c ~ - 1) we recover the perfect Fourier trans-

F(fs) -

--1/f S

fS ) -- (~TrKl(f S )
0 '

(3.6 11)

(the unit order being omitted as well), which then is seen to relate to the phase plane rotation by rr/2. The matrix F~(fs) is reported in the literature as the fractional Fourier transfoTwz matrix of order c~ and family parameter fs" The term "fractional" evokes the charming vision of the "extension to continuum" of a process that occurs through finite-size steps. It is in fact in conformity with this "idea of fragmentation" that tile fractiona,1 Fourier trailsform has been introduced within different contexts of both mathematics and physics. Condon, for instance, investigated about a continuous group of functional transformations isomorphic with the group of rotations of a plane about a fixed point by multiples of an arbitrary angle, thus generalizing the property of the Fourier transform group, which in fact corresponds to rotations by multiples of tile right a,ngle [5.1]. Likewise, Namias ela,bora,ted tile functional form of Fourier-like operators, a,dlnitting, as the Fourier tra,nsform, the HerlniteGauss eigenfunctions, but with eigenvalues evenly separa,ted by a fraction of the imaginary unit [5.2]. The definition of the Fourier transform of fractional order within the optical context has been inspired by the performance of an optical system perceived as obtainable by fragmenting the Fourier transform configuration into a larger and larger number of shorter and shorter free-space sections interleaved with weaker and weaker lenses [5.a], or equivalently as capable of extending to arbitrary angles the property of the Fourier tra,nsforming system to rotate by a right angle the Wigner chart in the inherent Wigner phase plane [5.4]. The rotation by a right angle in the optical phase plane is the underlying canonical transformation acted by the Fourier operation on the conjugate variables q and p. Letting the rotation angle vary continuously leads to the fractional Fourier operation. Thus, the finite-step transformations marked by multiples of the right angle, corresponding to Fourier transform systems possibly concatenated one to the other, become specific events within the smooth evolution of the process governed by the continuously varying angle qS(z) over the 2re range, and so by the continuously varying axial parameter z. Such a phase plane rotation by a continuously varying angle may be achieved by sectioning the basic Fourier transforming configurations into an increasing number of similar configurations appropriately designed, as we will see later. The relation, and the relevant visualization in the optical phase plane, between the Fourier transform and the Wigner distribution function is clarified in w 8.4.1.


Linear Ray and Wave Optics in Phase Space

After its i n t r o d u c t i o n into the field of optics, the (:oncept of fractional Fourier t r a n s f o r m and the relevant forma, lism gave rise to a huge variety of applications, investigations and new formulations in an increasingly enriched ()t)tics scenario. In the forthcoming paragrat)hs we will simply cla,rify the con(:cI)t of fractional Fourier t r a n s f o r m at a very basic l(;v(;1, a,(t(lr(;ssing the rea,(lcr to the related lit,era, t~re for a wider mid (teet)er t,rcatnie~lt [5].

FT"actional t:owrit'.'r t'ra'n.@~Twt matT"let's as a sy'mplt'ctic subgT"oup

Rcnmrkat)ly, fin" a fixc(l wdlu; ()f th(' fanlily Im,ra.nlcter fs, tllc ma.tri(:cs F ~ span a t)rot)cr Ab(;liall slfl)grr162 the symplc(:tic gr()llt) Sp(2, R) with rcst)c('t to the order (~, wtfi('tl Ilmy ra.llge ill t)riIl(:it)lc tllr(nlgll all tile r(;a,1 lilm. In fact, with (~ - 0 w(: (fi)ta,in the i(lcntity nm,trix; lla,llmly,
F~ I. (3.6.12)

Also, l)y th(: a,(l(li(,i()ll f()nlnllas ()f ill(: (:ir(:lfla.r flult:i,i()llS, w(: lmv(:
F'~' ( f s ) F ' ~ ( f s ) -

<OS(4)l A-r ) ' .~i,,(O, +~2) -/--~-

fs sin(01 +0:~1 )
~o.~(r +%) (3.6 13)

= F",+"~(.fs ) - F,,'~(.fs)F,,,(fs) wlfi(:h r(,flc(:ts tll(', w('ll kll()wl~ I)r()I)('rty tl~a,t (,l~(' ('()~I)()siti(n~ ()f tw() r()tati()ns l)y th(: a,ngl(:s 4>, m~(l </>~is (:(l~fiva,h:nt (,() th(: r()I,a,(,i()ll })y tl~(: a,llgl(: (/5 -- ('/>, + ~ . T h e ad(litivi(,y t)r()l)('rty (3.(i. 13) with r(;sI)('~(:t (,() tim ()r(ler (~ lea(Is t()i(tcntify tt~('~ i~v('xsc t() F " (fs) a,s (,Ira ~m,t,rix (:()I'r(;st)()~(li~g t() (,lm ()I)l)()si(,('~ vahm ()f (~,
[F" (.fs)]-' -

F-')(fs ) -

((:()s</) ~ sin r

-'fssi"4>) (:i)s 4>



wlfi(:h then r(:la,t(:s t() (,l~(: r()(,a(,i()n l)y tl~(: mlgl(: c/> i~i t,l~(: I'(~V(~l'S(~(lir(:(:tion. Also, the n,a,trix F~'(/s),'.a.,, t,e interpret,',| a,s tim <~-th I,,,wcr of Fl(.fs), i.e., of the "()r(linary" F()~ri(;r (,ra,nsf()rm:
F"(L ) -[F(.5)]". (3.6.15)

In P r o b l e m 5 we suggest a, (tircct proof of the a,bovc rcla,tion in the case of 1 a - ~ , 7n -- +1, ... Wc invite the reader to interpret the exponential reprcscnta,tion (3.6.6) of F'~(.fs) from the viewpoint of the power relation (3.6.15). Interestingly, with 4) - 2jTr for any integer value j - 0, 4-1, .., we recover the identity matrix: FnJ(fs) -- F ~ -- I. (3.6.16) T h e cyclic b e h a v i o u r of the fractional Fourier t r a n s f o r m i n g systems with respect to the order a is then easily established in the general form F~+4J(fs) -- F ~ ( f s ) , (3.6.17)

The Group of the 1D First-Order Optical Systems

I ~ I I I


i i i i , i

i i i i i i

i , i , i i


i i i ! i ,



FIGURE 3.13. Lohmann type I optical realization of the fractional Fourier transform matrix F~.(a) Positive lens. (b) Negative lens. which is in accord of course with the well known periodicity of the ordinary Fourier transforming system. Hence the angle r can conveniently be limited to anyone interval of amplitude 27r, as r E (-Tr, 7r] for instance, and accordingly the order a to the interval c~ c ( - 2 , 2].

Fragmenting the optical Fourier transforming system. The type I and type H optical setups
We investigate now the possibility of optically synthesizing the fractional Fourier transform matrix F~(fs). Taking as model tile single lens geometry of the Fourier transform, described in w 3.4.2, we may think of the F ~ system as formed by a thin lens of focal length .[~ placed between two free-medium sections of the same length d~. It is easy to verify that the symmetric single lens geometry F~(fs) = T(d~)L(f~)T(d~), (3.6.18) can be designed with the involved parameters d~ and f~ being determined by the angle r and the family parameter fs according to the relations d~ - fs tan(C/2), fs r f~ - sin -7c < r < 7r. (3.6.19)

Positive values of r in the inherent range, namely 0 < r < 7r, guarantee t h a t both d~ and f~ are positive, thus yielding a one-lens configuration like that pictured in Fig. 3.13.a) with a bi-convex lens. In contrast, negative values of r -7c < r < 0, yield negative values of d~ and f~ as well; the optical configuration demands therefore for a negative lens as that sketched in Fig. 3.13.b), virtual objects and virtual images being involved. The single lens realization (3.6.18) of the F ~ system is reported as Lohmann's type I geometry [5.4]. Likewise, a double lens geometry can be designed to optically implement the F ~ system, consisting of two identical lenses of focal length f~ spaced by


Linear Ray and Wave Optics in Phase Space












3.14. I x ) l ~ m ~ l ) o s i t i v e le~ses.


tyI)e lI ()l)ti('al r(;alizati()~ ()f tl~e fra('ti()~al F o ~ r i e r t r m ~ s f l ) r ~ ~ n a t r i x N e g a t i v e Ictuses.

a fl'(;(;-t)r()t)a.gati()~ s(',('t,i()~ ()f l(;l~gl,l~ d~. Exl)li(:itly, w(', ()t)ta.i~ F'~(L) : L(L~)T(d~)L(.f~), wil,l~ l,l~(; (t(:Ii~i~g r('lal,i()~s fl)r tl~(; r(4(:vm~t l)ara~(q,(;rs ct~ a~(l .f~ ct~ - f s si,,0,
'f" ta,~(O/2)' - 7 r < 0 < 7r.



Tlle ()I)ti(:al (~()xlfigln'ati()~ls at(: sll()Wll ill Fig. 3.14. l)()sitive l(;lls(;s, axl(l s() r(;al ()l).j(;(:t an(1 illm,g(; rays, at(; illv()lv(;(l f()r l)()sitiv(~ vahl('~s ()f th(; r()tati()li allglc 0, () < 0 < 7r, wllilst liegativ(~ l(;lls(;s, ml(l ll(;ll(:('~ virtlm,1 ()|).je(:t ml(l illm,g('~ rays, are ixiv()lve(t f()r ll(:gativ(: va.hws ()f 0, -~r < 4) < (). The (t(nll)h; lens realizati()n (3.6.2()) ()f t,l~(; F '~ syst,(;~ is r(;l)()rt(;(1 as Loh,'m,a'n,'n,',s' t y p e I I 9eo'm, ct'~'y [~.4]. Tile, ()I)ti('a,1 (:()llfigllra,ti()llS (3.6.18) an(1 (3.6.2()) are, (les(a'il)(;(l a.s well l)y st)e(:ifi(: ra,y-llmtri('(;s i11v()lvillg l,ll(; r(',sI)(;(:tiv(; 1)a.ra,lll(;t(;rs d~, .f~ a.~l(1 d~z , ,f~, an(| ()f (:o~n's(; tll(', ()r(h;r c~ tllr()llgh th(; mlgl(; 0, illst,(;a(t ()ftll(; g(;ll(;ral raym a t r i x (3.6.6) illv()lving the fancily t ) a r a ~ e t e r fs- The r(~a(ler is a.skc(1 to write down tt~(; ray ~m.t,ri(:('~s fi)r tl~e fl'a.(:ti()~al t,yt)e I a~(t tyt)e II ~u~it,s. Evi(hmtly tim valuta 0 = 7r (:a,m~ot t)e a(:(:()~n~te(t for t)y the ot)ti(:al representati()i~s (3.6.18) m~(t (3.6.20), as the relevant relations (3.6.19) an(t (3.6.21) become un(tefin(;(t in t h a t case. Ih)wevcr, with 4~ = 7~ the rotation matrix has the forn~ of the scaling ~mtrix with ma,gnification factor M = - 1 , namely



- -I,


thus signifying reflection with respect to the optical axis, whatever be the value of fs- According to the results of w 3.4.3, the sequence of two identical (i.e., with lenses having the same focal distances) Fourier transforming systems produces a 7v-rotation of the ray vector in the q-p plane. This is clearly in accord with

The Group of the 1D First-Order Optical Systems


the additivity property (3.6.13), by which we can write F ( f s ) F ( f s ) - F2(fs). (3.6.23)

With 0 - ~ (i.e., (~ - 1) we regain f r o I I l (3.6.18) and (3.6.20) the one and two lens configurations of the perfect Fourier transforming system. With decreasing values of a, [a[ < 1, we can "continuously" fragment the single or double lens Fourier transforming configuration into an increasing number, Ict[-1, of similar single or double lens configurations with the relevant free-propagation sections and thin lenses, respectively, becoming increasingly shorter and weaker. With (~ - 89 for instance, the one-lens geometry (3.6.18) obtains with
di (v/~ -


f~ - V~fs.


The relevant ray matrix is

F-} ('f~ ) __1

l/v~ -1/ x~ f s

fs/x~ ) 1/ x~ '


whose square is readily verified to yield F(fs); namely F2 (fs)" F2 (fs) - F(fs)(3.6.26)

! In other words, F 2 (fs) represents the optical system that operates the square root of the Fourier transform. Thus, with the order c~ ranging within the interval ( - 2 , 2], we obtain a "family" of optical systems with the geometries depicted in Figs. 3.13 and 3.14. The family is uniquely individualized by the real parameter fs, also reported as the standard focal length. It represents the scale of the ordinary Fourier transform, which corresponding to ct = 1 results by appropriately cascading fractional transforms of lower orders belonging to the same family fsIn other words, the family parameter fs identifies the basic Fourier transform unit, which can be fragmented and reconstructed by the opposite operations of sectioning into fractional units down to the required c~-th root, and of cascading such fractional units up to the required c~-th power. It is clear that both the fragmentation and the reconstruction of the basic Fourier transforming unit can be achieved with fractional configurations of different orders which, of course, sum up to unity. In Fig. 3.15, for instance, we show three possible realizations of an imaging system producing a perfect inverted image of the object (c~ = 2), by cascading fractional order units, the relevant orders summing up to 2 in all cases. Evidently the fragmentation of a system is not unique.


Linear Ray and Wave Optics in Phase Space Ho f 2/.~ 1213 I


~., .......







2: ......


! -.......









. . . . . . . . . . . . . . . . . . . . .

iiiiiiiiiiiiiiiiiiiiiii iiiii!i ii
. . . . .



of (tifferent or(lers.

3.15. P e r f e c t i m a g i n g s y s t e m ((~ - 2) o b t a i l m ( l b y c a s c a ( l i l l g f r a c t i o l l a l F()llrier l m i t s 2. (b) t w o ,lIlit, s w i t l l (~ -- 5 2 and (a) t h r e ( , llIlit.s w i t h (~ -- (~2 -- (~:~ _ .~, ,mits with ~, .~, ( ~ -.~ . -


~ (f2/:, - f,/:,); ((:)three


Tile (:on(:eI)l, ()f family, wtmre tile fra,(:tional traalsfc)rnts witll the sa.me stan(ta,r(t focal length fs group together, naturally arises frolll tlle rule, by which the systems (3.6.6) axe (:a,scaded. As displa,yed by the s(;migroup property (a.O.la), only cas(-a,diiLg fractional units having tile same a,bsolute value of fs, tile overall systeln is aga,in a fractiona,1 Fourier transform, and also belongs to tile same fa,mily. Notably, as already evidenced in (3.6.10), with fs = 1 we obtain the family of the pure rotations in tile q-p plane:
F ~ -





Finally, we wish to comment on the optical "performance" of a thin lens as it emerges from the considerations here developed. A lens is ab]e to perform

The Group of the 1D First-Order Optical Systems


two basic operations in optical processing: imaging and Fourier transform. The concept of fractional Fourier transform allows to frame both operations within the same context, where the imaging can be seen as a fractional Fourier transformation and correspondingly the ordinary Fourier transform as a particular realization of the fractional transformation. We know, in fact, that the elementary optical system consisting of a thin lens of focal length f placed midway between two reference planes separated by 2d can operate as an imaging or a Fourier transforming systeIn according to tile relative values of f and d. For d = 2f the systems acts as an imaging system, whilst with d = f it operates as a Fourier transformer. It is evident that in both the type I and type II geometries one can range from one operation to the other through the intermediate steps of fractional Fourier transformation by continuously adjusting the order parameter c~, and accordingly the involved lengths d I and f~, or d~ and f~. It may appear however that the claimed "fractionalization to the continuum" does not have a practical consistency due to tile ixnpossibility of realizing an infinitely short free-propagation section as an infinitely weak thin lens. We will see in w 3.9.1 that a quadratic graded-index focusing medium behaves in respect to the (paraxial) ray propagation as a fractional Fourier transforming system, thus offering the possibility of physically defining the process of a continuous fractionalization of the Fourier transforming operation.

Rotations and squeezes in the fractional Fourier transform operation

It is evident that the phase plane operation of the F ~ system results from rota.tions and scaling transformations, appropriately designed and concatenated one to the other. In fact, as said earlier, with fs - 1 the fractional Fourier transform matrix takes the form as that of a pure rotation matrix by the associated angle r c ~ . Then we are naturally led to decompose the fractional Fourier transform matrix F(~(f s) into scale and rotation matrices according to the sinfilarity transformation F~(fs)-

S(f:/2)F"S(fsl/2 ).


The pure rotation by 4) - c ~ is sandwiched between two scale transformations with reciprocal magnifications, f s 1/2 and f:/2. Note that S(fsl/2 ) -

[S(fs--1/2)]-l. Of course, the off-diagonal entries in the pure rotation matrix F ~

above are understood having their own dimensions of length and (length) -1, although not evidenced by a visible parameter. Also, the magnification factors fs- 1/2 and f 1/2 of the scaling matrices must be regarded as numerical values, s as those obtainable, for instance, by cascading two Fourier transforming systerns as described in w 3.4.3. In particular, with c~ - I we obtain on one side the ordinary Fourier transform whilst on the other the pertinent decomposition in


Linear Ray and Wave Optics in Phase Space

t e r m s of scaling and rotations by tile right angle, i.e.,

( 0 fs)- ( ~
-1/f s 0


0 )(01 1)(1/~/~s 0)
s 0 0 ~S



Th(; ab()ve (tis(:llssi()n ('(mfirms th(; relation ()f the Follrier t r a n s f o r m to tile t)has(:-t)la~l(: s(:a,h:(1 r()tati()ns })y th(: right angle and (:orr(:st)()n(tingly of the fi'a,(:ti()lml F()uri(:r trmlsfi)r111 t() s(',ah:(l r()tati(ms 1)y arl)itra.ry, a,~l(t (',oIltimlously a,(tjllstal)h:, fra,('l,i()llS ()f 1,t1(: I'igtlt a.11~1(:, hi a('(:()r(t witll (t(:('(nllI)()siti()~l (3.6.28) w(: ~11a,y r(:gar(l 1,11(: fl'a,(:l,i()lm.1 F()llri(:r (,ransf()rnl(:rs a,s ph,a,s'e-plane 'lvtato'r,s. R(:s()rt, illg t() (,lm ()l)t,i(:al (:()llfigllra,ti()n, (h:s(:rit)(:(t ii1 1,11(: l)r(:vi()us t)ara,grat)ll, w(: llmy l,ll(:r(:f()r(: say l,lml, 1,11(: fra,gill(:lll,a,ti()~l ()f 1,11(: F()llri(:r tra,nsf()rllli~lg (',()~lfigllra,ti(nl i~ll,() shllilar (:()nfigllrati()lls witll ill(:r(:a,sillgly sh()rt(:r fl'(~(~-i)r()l)aga,ti()ll s(~('l,i(nls i11t(;rl('a,v(',(l t)y i~l(:r('a,sillgly w('a,k(;r (,llill I(Uls('~s (:()rrcst)(n~(ls i~1 1,11(; ()l)ti('a,1 t)l~as(; t)la,~m t() a, fl'a,g~ll(;~ltati()~l ()f tlm r()ta,ti()~l a,~lp;lc int() i~(:r(;a,singly s~m.ll(;r Ka(:i,i()ns ()f th(~ right a,~lgl(;. Fil~a,lly, l)a,ralh;li~lg 1,1~(:si~gl(; l)()i~t t)lm,s(;-l)la,l~(; vi(',w ()f Fig. 3.12, it is i~lt,('x(:sl, i~Ig 1,() vis~mliz(: 1,11(:(:II'(:('t ()f (,l~(: fra,(:l,i()~lal F()~u'i(:r (,ra,l~sf()r~ ()l)(:ra(,i()~1 ()n a, ray (tis(,ril)~ti()~l i~1 l)lms(:-l)la.~m. W(: (:()xlsi(h:r 1,11(: Ga,~ssia,~l (i(:x~si(,y (listril)~tion 2,~,,~,, ' , (3.6.30)


a.lr(;a(ly ~s(:(1 f()r s()~(: ill~sl,ra(,iv(: (:xm~t)l(:s i~ (~lm,t)(,(:r 2; as ~()(,(:(1 (,l~(:I'(:, (,h(: t)()sitiv(: (t~mx~ti(,i(:s c~q a,~(l a~, sl)(:('ify th(: rills (:xt(:llsi()ns ()f (,l~(: (l(:~sity (listrit)~(,i()~ in (,11(: t)has(: l)lan(: al()~lg (,l~(: q a,n(t p-axis, r(:st)(:(',tiv(:ly. ()~ a,(:(',()~l(, ()f r(:la(,i()~l (2.2.67), it is (:a,sy (,()(:la|)()ra,t(: (,l~(: a~a,ly(,i(:a,1 (:xt)r(:ssion fi)r ttl(: (:fli:(:t I)r()(t~(:(:(t ()~ tl)(: (tistril)~ti()~ (3.6.3()) ])y (,t~(: ()I)(,i(:a,1 F()~ri(:r tra,nsfi)rnm,(,i()n (3.(i.8). H()w(:v(:r, it is h(:lt)flfl t() giv(: a t)i(:(,()ria,1 vi(:w. Figure 3.16 sllows th(: tra.~lsf()rmati()~l a.(:t(:(t by F~/3( 1 ~) ()n th(: r(:I)r(:s(:nta,tiv(: phaseplan(: a,rca of the (tistril)~tioI~ (3.6.30), id(:ntific(t by any ()~1(: ()f tll(: elliptical contours (2.5.16), as, for ins(,an(:(:, t h a t corrcst)on(ting to th(: wdu(: ~ = 2. The proper s(:quen('(: of s(:aling, r()(,ation and scaling, to whi(-h a(:(:()r(ti~lg to (3.6.28) the (tesired fractional Fouri(;r t r a n s f o r m a t i o n , i.e., F2/3(~), can be thought as equivalent is exemt)lifie(t " In the graphs the scaled variables q and -p-have O-q O-p

been us('d, thus o b t a i n i n g as initial phase plane ar(;as circles of radius r = v ~ . 3.6.2

Repulsive oscillator, phase-plane squeeze and Lor'cntz transformations

We consider now the q u a d r a t i c h o m o g e n e o u s polynomial

Hr9~. __ -~P

2 _

~ 1

2 f ~ . q 2,


The Group of the 1D First-Order Optical Systems


FIGURE 3.16. Phase-plane view of the decomposition (3.6.28) of the fractional Fourier 1 into the proper sequence of scaling, rotation and scaling, through transform matrix F2/3(7) the relevant effects produced on the Gaussian ray density (3.6.30).

which typically models the repulsive oscillator dynamics. The Lie operator
Lr.o. is


q O

L r . o . - p -~q -t- f : Op '


which, in the similar way as k~.o., relates to the operators K_ and K+ as

A __ 1 _ 1 ~+) Lr.o. fs ( f s ~ - ~ " (3.6.33)

Likewise, the matrix ret)resentative Hr.o.writes in terms of tile matrices K and K+ according to 0 Hr.o. _ ( 1/f~ where K 2(fs) is the algebra element K 2 ( f s)
_ _ 1~(fs

1 0) _

~2 K 2 ( f s,) '



__ ~ 1K


1If s

fs )


Exponentiating the traceless matrix (3.6.34) through the real parameter Az -z - zi, we obtain the "transfer matrix" for the ray propagation from zi to z as B(T, fs) -- c A z H

2TK2(fs) 7 (- ~1 -COSh sinh T

s )cosh sinh T



having denoted the dimensionless argument Az of the hyperbolic sine and cosine functions by





Linear Ray and Wave Optics in Phase Space

The t r a n s f o r m a t i o n acted by the m a t r i x B(~-, fs) on the phase-plane varia,bles (q,p) from the initial data (qi,pi) is then

q(z) =

qi cosh 7- + pifs sinh 7-,

1 qi sinh 7- + pi cosh T, p( z) - -Tff


i~ a,(:(:()r(t witl~ E( t. (1.5.26). Evidently, the t)hase-t)la.lm lllOti()ll is no lllOr(; cyclic as i~ the (:a,se r the systen~ (3.6.(i). In fa,('t, as th(: ray t)r~)t)agates thr(n~gh the "oI)ti(:al" syst~;~ (3.6.36), tlm ret)rescn~ta,tiw; l)(fi~d, i~ th~'~ (q, p) t)laue moves a,l(n~g ~n~(; of tim lwm~('l~es ~f tl~e hyt)erl)()la
q(z) 2
- p(z) ~ O, 0 -







wll~s~'~ ch'lillit~', slla,l)~'~ is ~h'~t~;rllli~e(l l~y 1,1~r il~itial ~la.ta,, wl~i(:l~ al~n~g with the t)a.ra,~r fs tix tl~e wd,~; of tl~e (:r b. F~)r a, givcu~ va.l~u'~ ,~f fs, the' ~la,tri('r B(7-, fs) fin'l~ al~ Al)elia~ s~fl)gro~lt)~)f tl~e sy~I)lecti(: ga'~n~l) Sp(2, N) witl~ rr t,~) tim I)al'a,lllett'.r 7-. I~ fa(:t, tl~e a,~htiti~)~ fln'~n~lae fin" l,t~,; l~yt)crt~)li(: fl~(:l,i~n~s yM~l tim se~igr~n~l) l)r~t)erty
B ( r, , .[s ) B ( r.2 , .[s ) = B(7-, + r.~,./s)-- B ( r.~ , .[s ) B ( 7-, , .[s ) ,

a,c(:~)r(lillg t~) wlfi('ll we a.ls() lla,ve

B(r, A ) B ( - T , fs) = B ( - T , A ) B ( r , .fs) = I,

tl~e i~hu~tity ~m.trix I~ci~g i~lce~t I = B(0, .fs), wl~a.tew;r t~e .fs. Tlle illW;l'Se t,~ B(7-, fs) is therel)y tlle llmtrix /B(T, fs)] -1 - B ( - T , fs) --


- ~ 1 sinh r

('ostl 7-



The lm.tllre ()f the', lfim.sc t)la,ne dynamics (tescribed by (3.6.38) is ba,sically (teter,lli,led by the t)rescnce of the hyperbolic fimctions so as the circular functions entering (3.6.8) deter,nine the cyclic behaviour of the fractional Fourier tra,,lsform gcnerate(t (tymtmics. Then, we set fs = 1 in (3.6.36) in order to evidem:e the intrinsic (:hal'acter of the B-generated pha,se-pla,ne dynamics.

B-genes'rated phase-plane dynamics: wtations and squeezes

W i t h fs = 1, the ma, ti'ix (3.6.36) takes tile symmetric form

(ohsink c2 K2co ) h


The Group of the 1D First-Order Optical Systems


paralleling in t e r m s of the m a t r i x K~ K_-K+ 2 , and so of the hyperbolic functions, expression (3.6.10) for the fractional Fourier t r a n s f o r m m a t r i x F ~ relative to a unit value of the family p a r a m e t e r . Notably, F (~ is an o r t h o g o n a l m a t r i x : [FC~]-1 = [F~] n-, whereas B(T) is s y m m e t r i c and positive definite (b). E q u a t i o n (3.6.39) identifies in the q-p plane the equilateral h y p e r b o l a q(z) 2 - P(Z) 2 - b, b - q2 _ p/2, (3.6.44)

whose branches intersect the q or p-axis according to w h e t h e r the initial values (qi ,Pi) a.re such t h a t b > 0 or b < 0. E i t h e r cases, the a,symptotes are the straight lines p = +q. T h e d y n a m i c s of the ray vector in the phase plane under the action of B(~-) is simila, r to t h a t under S ( m ) , which, a,s noted in w 2.5, identifies the h y p e r b o l a qp = qiPi. It is evident, in fact, t h a t the h y p e r b o l a s qp = qiPi a,nd q2 _ p2 q~ _ p/2 can be t u r n e d one into the other by a p r o p e r r o t a t i o n by 4" Then, as phase-plane r o t a t i o n s are a c t u a t e d by fractional Fourier transfornfing systems, we m a y guess for B(T) a t h r e e - s t e p realization in t e r m s of pure r o t a t i o n s and squeezes as B(T) -- F -1/2 S ( c ~ ) F 1/2. (3.6.45) Notably, (3.6.45) a,llows us to identify a,n optical realization of the symplcctic m a t r i x B(T), on account of the optical realizations of the fl'a(:tional Fourier t r a n s f o r m i n g and pure magnifying s y s t e m s discussed in w 3.6.1 and w 3.4.3. We invite the reader to prove t h a t a. s y m m e t r i c single-lens realization of m a t r i x (3.6.45) is actuabh', with d - t a n h ( ~ ) a n d f - - s i n h - l ( T ) when 7- > 0, whilst a more complex configuration d e m a n d i n g for more t h a n two lenses is needed to i m p l e m e n t negative values of T. In order to clearly show t h a t the m a t r i x B(T) o p e r a t e s in the phase plane as a scale t r a n s f o r m a t i o n in a similar fashion as S ( m ) , but w i t h respect to a reference direction Inaking an angle 0 - ~ w i t h the q-axis, we consider again the Gaussian d i s t r i b u t i o n (3.6.30) ~nd the relevant r e p r e s e n t a t i v e c = 2 phaseplane ellipse. For illustrative purposes, we set Crq = crp = or, and accordingly consider the circle C of radius r = 2or centered a r o u n d the origin, q2 + p 2 _ r2, (3.6.46)

s A matrix A is positive definite if the scalar product (u, Au) is positive for any vector u in the linear space acted by A. It is evident that in the case of matrix (3.6.43) we have (p2 + q2) cosh ~- + 2pq sinh T > 0 on account of the inequalities [sinhr[ < cosh r and 2pq <_ p2 + q2 holding through all the domain of the real parameter r as well as of the ray variables q and p.


Linear Ray and Wave Optics in Phase Space

F I G I I I I E 3.17. l'l~ase-plal~e view of tl~e <leco~q~ositio~ (3.6.45) of tt~e sqllee.z(, ~m,trix B ( ~1) i~to t,l~c prol)cr scq~c~wc of r()l,al, i()~, s(:ali~g, m~(l rotations, tl~r(n~g]~ t,l~e rclewu~t (:fleets pro(h~(:e(l ()~ 1,|~(: (lm~ssim~ ray (h:~sil,y (3.6.3()).

A(.l,i~lg (nl 1,11(~1)ea,,~ 1)y S(,)~) (w(; ,l~ay (,ake t~ = ('T), (,lie r(;l)r(~s(n~i,aiiw; (:ir(:le C is (.rm~sf(n'~(:(l i~(,()tlw ellil)s('~
( , - 2 r q 2 + (,2rp2 = r2,


syllllll('l,ri(:ally l)()si(,i()ll(;(l ill 1,11(;q-p l)lmte wi(,ll s(;llliaxis a = ~'rr a,ll(l b = ('-Tr. Tlw.ll, Slll)l)()sillg r > 1), w(: llmy S(;e (,lm,(, (,lie ])('.a,lll-l,l'a.llsf()rllla,(,i()ll a.t:l,e,(t 1)y 1,11(; ()l)ti(:al lllat,rix S(tl~) t)r()(lll(:('s all (~l()llga.(,i()ll ()f 1,11(' q-siz(' ()f (,ll(' (:ir(:le t)y (,w a,ll(l (',()l'l'(:sl)()ll(tillgly a ('()~l(,ra('l,i(nl ()f 1,11(:p-siz(: l)y 1,11(:sallle fiu'l,()r. Ill ()l,tl(:l" w()r(ls, l,tl(: ])(:roll r(:l)r(:s(:llt,ai,iv(: ('iI'('l(: C is s(tll(:(:z(:(l a.l(mg 1,11(:p axis (s(:(: t,hir(t gra,t)ll ill Fig. 3.17). rI'll(: a,r(:a, ()f (:llil)s(: (3.6.47) is ()l)vi()llsly 1,11(: sa,111(: as I,haI, ()f tll('~ ()rigi~lal ('ir(:l('~: M = 471(72. Likewis(;, (,ra.llsfi:rrillg 1,11('.t)('.a.~11 fl'(nll zi 1,() z (,hr()llgll B(T), 1,11('~l)lmse-t)la.ne (:ir(:le C is tra,nsf()rlll('~(l ild,() (,lm ellit)s(;
(',()sll(2r) q2 + ( : ( ) s l l ( 2 r ) t ? - 2 si~lll(2r) p q = r 2.


71" 71" T h e llm.j()r axis is ill tile ~ ()r --~ (tirecti(m a(:(:or(ting to w h e t h e r r is t)()sitive or negat, ive. If 7- > 0, f()r inst, a.ii(:e, t,he xlm,jor axis (:(nlies t,o lie a,l()ng l,ll(: (lirect, ion m a k i n g a, { angle wil, h the q-a,xis (see t,he la,st, grat)h in Fig. 3.17), st)ecifically being a = cTr an(t b = ('.-Tr. T h e init, ial t)ha,se-plane area, is then stretched up to the factor m - c r in the dire(:tion at { to the q-axis and orthogonally squeezed down t)y the same factor. T h e system B(T) is indeed referred to as h y p e r b o l i c ezpa'r~,der ()r 'l'eductor a,(:t:()r(ting to w h e t h e r r > 0 or r < 0. Figure 3.17 shows the r o t a t i o n - s c a l i n g - r o t a t i o n sequence, whose overall effect is the e x p e c t e d squeeze of the phase t)lane area in the direction at ~ to tile q-axis. As in the graphs of Fig. 3.16, the scaled variables q and ~ have been used. O-q cr It is possible to p r o d u c e squeeze in any direction 0, com[~ining scaling and r o t a t i o n m a t r i c e s t h r o u g h a similarity t r a n s f o r m a t i o n analogous to (3.6.45) with F 1/2 replaced by F ~. In fact, the reader can easily verify t h a t the m a t r i x

The Group of the 1D First-Order Optical Systems


B(r, 0) - F -~ S(cr

~ - ( cosh r + cos(20)sinh 7sin(20) sinh r ) sin(20) sinh r cosh r - cos(20)sinh r / '



produces a scale transformation with respect to the direction making the angle 0 - c, 2 with the q-axis. Like (3.6.43), the matrix B(r, 0) is symmetric and positive definite. Also, it is characterized by two parameters specifying the "entity" and the "direction" of the squeeze. In accord with the previously adopted symbology, we identify the specific determinations of matrix (3.6.49) corresponding to 0 - 0 and 0 - { as S(m) and B ( r ) respectively; namely, B(r, 0) - S(m), m - e ~ and B(r, {) - B ( r ) . Interestingly, although the matrices S and F ~ separately form proper subgroups of the group Sp(2, R), the matrices B ( r , 0) do not span a subgroup. In fact, successive squeeze transformations along different directions do not compose into one scale transformation, but into a squeeze preceded or followed by a rotation (see Problem 10). It is worth evidencing the formal similarity between the squeeze matrix B ( r ) and the Lorentz transformation matrix in the Cartesian system of z and ct, positive and negative values of r respectively corresponding to boosts and antiboosts. Likewise, the pure magnifier matrix S(m) has the form of the Lorentz transforInation matrix in the Dirac's light-cone coordinate system, which is rotated in the Euclidean plane (z, ct) by -~. A(:(:()rdingly, we may note that as successive ilOIl collinear squeezes do not combine into one squeeze, Lorentz boosts in different directions do not multiply into one Lorentz boost, but into a Lorentz transformation preceded or followed by the Wigner rotation. The Lie algebra sp(2, R) is in fact isomorphic to the underlying algebra so(2, 1) of the group S0(2, 1) of the Lorentz transformations in three (two space and one time) dimensions. This isomorphisIn, a.nd in particular the analogy in the behaviour of optical scale transformations and Lorentz boosts, has suggested optical experiments to test the abstract properties of the Lorentz group [6]. Finally, we briefly comment on the factored representation of the squeeze matrix (3.6.36), which is naturally suggested by (3.6.45) in the form B(T, fs) -- F - 1 / 2 ( f s ) S ( e r ) F 1 / 2 ( f s ) -- S ( f : / 2 ) B ( T ) S ( f ( 1 / 2 ) , (3.6.50)

paralleling expression (3.6.28) for the fractional Fourier transform matrix F ~ ( f s ) . The parameter fs retains its role as the focal length of the Fourier transform unit associated with the fractional Fourier transforming systems with c~ - -t-1, entering (3.6.50). The transformation acted by B(r, fs) produces therefore the further scalings by f s 1/2 and f l / 2 with respect to that acted by B(~-).

150 3.6.3

Linear Ray and Wave Optics in Phase Space

Generator matrices of pure rotations and squeezes

We frame the matrices S 1 and K,~ within the proper algebraic context. Defined a,ccording to relati(ms (3.6.5) and (3.6.35) for a unit value of the length t)a.rameter .fs, the ma.tri(:es K1 a.nd K~ ha,ve been re('ognized as the generators of pure r()ta,tions a,nd S(l~W.ezes in the t)ha,se plane, and a.sso(:ia.ted with optical systems (tist)la,ying r(~st)(;('tiv(@ a (tefinit( ~,f()(:~si~g a,n(t (tefi)(:l~sing })ehaviour. I~(~t l~s rewrite t,l~e l)erti~(nd, (;xl)ressi()~s, i.e.

~( K K, - ~

+-K, ) ,

K~ - ~(U



witl~ tl~e (;xI)li('it ~mtrix f<)r~s <)f K a~<t K~ t)ei~g i'el)r<)<l~<:(~,<l(3.1.2). As a synthesis ()f the (:()~si(l(~.ra,ti()~s (lev(4()t)(;(1 ill .~!i 3.6.1 a,n(1 3.6.2, we may (:()~t)l(~.t,(; tl~e ta.1)h: ()f (:()rr(;sl)()~(l(~(:es (3.1.2) a(l(li~g tl~e f()lh)wi~g"
generating function generating matrix transformation matrix



- ~(()
.. 1[0




(,20 K~

__ /(cos0 si~0 ) ~,- sit~ 4) cos 0

si,,h r c(,sl, '


1 2_


---+ U ~ - ~ t .


B (r) - (

wlficll alh)w us t,()(:llara~'t(Mz(~ tile 89 (p2 + q2)_~elle, ra.t(~(l syst(~lllS 1)y (n'tll()~onal lmilll<)<llllar lllatri(:(~s a.ll(l (:()rr(~sl)()ll(liligly t,ll(' 5 (p:--q2 sylmiietric (letiliit,(; I)()sit,iw~ ~lliilil()(l~llar nia,tri(:(~s. As ~()te(t i~ ~ 2.3.1, t,l~(~ ~mtri(:es { K , K~, K:~ } <h) f()r~ a <4()se(t set with restmct t,() tile I~i(~,I)r<)(l~l(:ts, l)(;ilig ill fa('t

[K+, K ] - 2K:,,

[K K:,] -


hi a like mam~(;r, the set ()f l~mtri(:e,s {KI, K~, K:~} a,ls()('h)se l~ll(ler (:()mnmta,ti(m a(x:or(ting t()

[K1,K~] - U:,,

[K,,K:,] - - K ~ ,

[K~,K:~] - - K ~ ,


Theref()r(~, like {K_, K~, U:, }, tlm set {U~, U~, K:~ } is a t)asis f()r ,~p(2, R) as well; it is, in flu:t, easy t() verify that a,ny matrix in the algebra, can lmiquely be written a,s a, linear rea,1 (:()~nt)i~m,tion of K~, K~ a,nd K 3. Finally we mention that the ()ne-pa, rameter subgroups generated by K~ and Ka, formed rest)ectively t)y the matrices B(T) a,n(t S(m), are reported in the group theory as hyperbolic subgroups, whilst that genera,ted by K1, formed by the pure rotation matrices F '', is called elliptic subgroup. Also, the subgroups generated by U and U + , respectively formed by the m~trices T(d) and L(f), are referred to as pa~ubolic s'ubg'rvups. Tile reader Ilmy gain a feeling for the difference between matrices in these subgroups, by noting that, unlike for the elliptic subgroup (see Eq. (3.6.15)), powers of the matrices in the hyperbolic and parabolic subgroups grow indefinitely and never reproduce the identity; the hyt)erbolic and parabolic subgroups are in fact noncompact [2].

The Group of the 1D First-Order Optical Systems



Rotations and squeezes as building blocks of any symplectic transformation

As a conclusion of the present investigation of the rotation and squeeze generating matrices, we prove tha,t any optical (symplectic) matrix M E Sp(2, R) is uniquely expressible as the product of a B- and an F~-matrix. In symbols, M

B(T, 0)F ~,


with the entries At B, C, D on one side being related to the two squeezeparameters 7-, 0, and the rotation angle r c~7c/2 on the other side as
cosh z t'-"~'jfant'9A ~ %_

89v / A 2 + B 2 + C 2 --t- D 2 + 2

2(BD+AC) A2+Bg._Cg_D 9.


(t:) - - B - C -A+D


The inverse-order factorization, namely M - F~'B(T ', 0'), is as well a,ctuable with
' ~, r r , 0' 0 + r (3.~.5s)


Equations (3.6.55) and (3.6.57) yield the polar decomposition of symplectic matrices, in general involving a real symmetric positive-definite unimodula,r matrix and a real skew-symmetric unimodular matrix, corresponding to B(T, O) and F ~ in our case [3.6].


Iwasawa representation of optical elements



In w 3.5 we have described the representation of optical matrices as ordered products of elements drawn from the K+-, K a- and K_-generated subgroups. Inspired by the original suggestion by Wei and Norman [4.1], the LST decomposition is widely exploited in quantum mechanics in connection with the solution of the Schr6dinger equation with an underlying SU(2) or SU(1, 1), i.e. angular m o m e n t u m and harmonic oscillator-like, symmetry. However, as remarked, the LST optical arrangement is not global as it is not applicable to every optical matrix, although it is definitely suitable to propagation problems. In contrast, the representation of optical matrices as ordered products of three elements drawn from the K 1 - , K a- and K+-generated subgroups is global in the sense that it applies to every symplectic matrix and is unique in the sense that the parameters of the representation are uniquely determined in terms


Linear Ray and Wave Optics in Phase Space

of tile entries of the given matrix. In fact, the LSF (~ a r r a n g e m e n t involving thin lenses, pure magnifiers a,nd pha,se-t)lane rota, tors, we will describe here, resort to the Iwa,sa,wa de(:omposition theorem, whi(:h is a, basic reslllt of the Lie gr(nq) theory valid for every non(:onq)a.ct semisimtfle Lie grollp. For a, st)e(:ifi(: (tis(:ussion ()f th(; Iwa,sa,wa de(:omt)osition t,he()relll within the general (:()llt,(;xt, of tim Lie grolq) t,lmory, we address t,h(; rea(h;r to [7]. We will sll()w tierc l,tl(~ fcasil)ilit,y ()f l,lm Iwasawa r(;t)r(;s(;llt, at, i()ll ill l,llc (:asc ()f interest, I,() 11s, i.(;., f()r t,lm ()t)ti('.al llm,tl'i('.('~S l)(;hnlgillg l,() t,lie sylllt)l(;(:l,i(: gr(nlt) b~p(2, R). Ev(~ry ray-transfer llml, rix ('a,ll t)(; (h;('.()lllI)()s(;(t illl,() tllc fa,(:t,()r(',(l 1)r()(tllct, ()f a, leIls, a. t)()sitivc-(t(;filfit(; I)llr(; llm.gllitier a,ll(l a, tflm,s('~-l)lalm l'()l,a,t,()r a.s

(~}, l/))

_ L(T))S(,,,,,)F,,"


Tl~e I'(~lati()lls l)(~tw(;(:II tll(~ vari()lls l)a.rml~(~t(~rs ()l)ta,ill ill t,llc fi)l'll~ A - ',,~ ('()s (/,, B - ',,~ sin r ' (:()s r (~' - - ' , , ~ 7 ) ('()s r - si,~ 4), D - - , , ~ 7) si,~ 4) + ,,--; Ill whi(:l~ art; st)lv(:(l f()r 7 ), ,,~ m~(l (/) l.()giv(:
a +


II, l~;I.y l)(; (:()llV(;lli(;lll, I,()('~l~l)l()y a ~()~ ~u~it Wd~(; ()f 1,1~('sta~(taI'(l f()('al l(;l~gth fs i~ tl~(; fl'a.(:ti()~al Kn~ri('r trm~sf()r~ ~ a t r i x e~teri~g (3.7.1). I~ tlmt (:as(:, .fs ~la,y t)e left, as a fl'(;(; l)aral~mt(;r, wl~()s(; ~m.g~fit~t(l(; (:an fl'(;(;ly l)e ('l~()s(;I~ a(:(:()r(ling t,() ()l~r (:(n~v(u~i(n~(:(: i'(:lativ(:ly t() t,l~('~Sl)(;(:iti(: t)r()t)l(u~ ~ ( t ( ; r ('xm~i~m.ti()n Is]. ~I~,ki~g (l~m a,('('()~t ()f t,lm ext)()lm~tia.1 r(~I)I'eSe~tat,i()~s ()f t,l~(~ ~mtri('.(~s L, S a.n(1 F '~, w(~ (:a,n Cxl)r(:ss th(~ I)r()(l~(:t i~ (3.7.1) int() tlm fiu~(:ti()nal f()nn (A //)D _ , "PK, (~.~K:,,~.~OK,, ',,, _ , .~/2. (3.7.4)

E(t~m.ti()~ (3.7.1) exI)r(~sscs in tlm ()t)ti(:a.1 (:ontext tim g(u~eral I)r()I)erty of every ~o~('()l~q)a.(:t s(,~isin~t)lc Lie gr(),q)(in t)arti(:~llar, ()f Sp(2, R)), whose eh;ments (:m~ ~mi(tuely })c (h~('()Int)()sc(t int() the pro(tu(:t ()f tier(;(; fa.(:t()rs, taken ea,ch ()~e fr(n~ a, nmxinm,1 ~filt)()tent gr()ut) N', a, lnaxi~m,1 At)elia,~ s~fl)group A and the m a x i m a l ('()mt)a,(:t subgrout) ]C. For Sp(2, R) the subgrout)/C is formed by the ()rtt~()gonal ma.tri(:es F (~, whilst N" and A can be chosen to comprise respectively the lower-triangular matrices L with unit entries on the diagonal and the mutua, lly c o n m m t i n g t)ositive (tiagona,1 matrices S. Hence, the "A/A/C' decomt)osition takes the form (3.7.1). We note t h a t the three factors belong respe(:tively to the parabolic, hyperbolic and elliptic s u b g r o u p of Sp(2, R). Figure 3.18 s u m m a r i z e s the group-theoretical and optical content of the LSF" (te(:omt)ositioI~ (3.7.1), inirroring Fig. 3.11 relative to the LST decomposition. Notably, as evidenced in the figure, the ray t r a n s f o r m a t i o n acted by any first order optical system can be interpreted as a definite sequence of a phase-plane rotation, an overall scaling and a p-shear.

The Group of the 1D First-Order Optical Systems

153 I3o

Fl i i i


: I



, i

i i

fractional Fourier transformer

positive magnifier

thin lens


O_ "~ 0 L o~ lower-triangular unit-diagonal matrix
(,~;p(2,R) p a r a b o l i c s u b g r o u p )

unit-diagonal matrix
(5;p(2,P,) h y p e r b o l i c s u b g r o u p )

anti-symmetric matrix
(5'/,(2,R) elliptic s u b g r o u p )

> r



r" O.


rotation overall scaling p-shear

F I G U R E 3.18. I w a s a w a s y n t h e s i s of a n o p t i c a l m a t r i x .


Canonical and noncanonical representations of symplectic matrices

We complete here tile investigation started in tile previous chapter concerning the relation between quadratic polynomials and optical systems. We consider indeed the general quadratic function in q and p (see also w167 1.5.2 and 2.3)
1 1 Q(q, p) - -~bp 2 + cqp + -~aq 2.


The representative traceless matrix is





Linear Ray and Wave Optics in Phase Space

which is expressible in t e r m s of the algebra basis { K

, K + , K a } as




It is easy t() (:omt)~te the ext)o~mntia,1 flmction of Q, tlms (:(mq)rising all the (:orrest)onden(:es establishe(t in (3.1.2) and (3.6.52) into one fon~"
generating fu nction generating matrix transformation matrix

1 t)t)2 + (:qp + 2 1aq2 5

a,b,c, ( ~ R





Tl~e ead,ries ()f t,l~(; gl'{)ll t) eh;lll(;llt, ~'< Q, <h;1){;ll(lillg ()11 ]){)l,ll l,ll('~ ('~xt)(nl('a~tia.ti(m 1)a.ra.]ll<;l,er ( a.ll{l l,llr (:(wHi<'i(ud,s (a, b, c) ()f l,ll<'~<tlla,r fi)rlll, (:xl)licil,ly write

A(<) - r + ~ si,,1,(A<), C(() - - ~ sil,l,(A(), I)(()


/3(() -- -~ sil,l,(A(), t:()sl,(A()- ~ si,,l,(A().


wllere A is t,llt: Stllla.rt'~ rt)t)l, t)f (let Q: A = v/r .2 - ab. Ill tlle gr(nlI)l,lw()ry tlle real ~n~fi)ers (a, b. r are k~()w~ as tim "t'()(n'(li~mte" ()f 1,t~(; ca'n.o'n.i(:a/ r(;l)r(:s(:~l,al,i(n~ ()f gl'()ll I) ('.l(u~(;~d,s ()f ('Xl)(n~(;~l,ia,l l,yl)(;, i.e., rel)rese~ll, a.1)h; i~l 1,11('~fin'~l ~'(q wil,li l,ll('~ g(;~l(;rat, ing ~lml, rix Q ])ei~lg (;xl)ressed i~ t,erI~lS ()f tl~(,, a.lg('J)ra ])asis { K , K ~ , K a }, a.s sl~()w~ i~ (3.8.3). As ~(;~ti()ned i~ w 2.3.1, l,l~('r(; a.r(; I)(wl, i(n~s ()f 1,t~(; sy~l)h;(:l,i(: grr Sp(2, IR), w|~()s(' ('~l('~x~t;~l,s (:a,n ~()I, ])(; r(;l)r(;s(ud,(;(l as (;Xl)()n(ud,ia,1 l~ml)t)ings ()f ('~l(;l~(ud,s il~ its a lg(;|)ra ()~ t,t~e ()tl~(;r l~a,~(l, i~ w 3.5 we lmw; (h;scril)e(l (,1~{; I,S'I' r{;l)r('se~d,at, io~ of symI)le(:ti(: nmtri(:es, wl~ir h)(:ally a I)I)li('s t() })()th exI)()~(u~tial an(t n(m ext)(mential tyl)(; ~m,l,ri(:es. It inw)lw;s three fa,{:t()rs ta,ke~ (;a,{:l~ fl'(n~ the ()net ) a r a m e t e r sul)gr(n~I)S ge~mrate(1 |)y t,l~(; a,lge|)ra, basis elen~e~d,s { K , K + , K a }. In the gr(nH) tlm()ry, th(; LST-lik(; r(;alizati(m is kn()wn as a noncanonical r(;pr e s e n t a t i o n ()f symt)le(:ti(: l~m.trices. T h e relevant t)aran~e,t(;rs (7~, '~t,d) can therefore |)e intert)rete(t a,s the (:oor(tinates ()f the (local) n()n (:a~()nica,1 L S T representa,ti(m of the ext)onential-tyt)e grout) element. Evidently, the tra(:eless m a t r i x Q is equally expressible in t e r m s of the a,lgebra elements {K+, K a , K 1 } , which p e r t a i n to the I w a s a w a r e p r e s e n t a t i o n discussed in w 3.7. In fact, one has

Q = aK+ + 2oK a + 2bK1,

with, of course,

(3.8.6) (3.8.7)



T h e n paralleling the relation between the coefficients (a, b, c) and the p a r a m eters (7), m, d) of the Wei-Norman representation, the coefficients (a, b, c) and

The Group of the 1D First-Order Optical Systems


the parameters (7), m, r of the global LSF ~ representation (3.7.1) are similarly interpretable as canonical and noncanonical (global) coordinates of the exponential-type group elements. The reader may deduce the relations between the canonical and noncanonical coordinates (a, b, c) and (P, m, d), as well as (a, b, r and (7), m, r using (3.8.5), (3.5.2) and (3.7.2) [4.3, 4.6]. 3.8.1

A bit on the non-exponential type elements of Sp(2,IR)

Let us summarize the basic results we have estabished up to now. The symplectic group Sp(2, R) is a three-parameter Lie group, which consists of all 2 x 2 real unimodular matrices S. The unimodularity of elements in Sp(2, R) is equivalent to the symplectic condition SJS T -a, (3.8.8)

where a - (_~ 1 {)) is the unit symplectic matrix. The Lie algebra sp(2, IR) consists of all 2 x 2 real traceless matrices. It is the algebra of Sp(2, R) in the sense that the exponential of any matrix in sp(2, IR) is a matrix of Sp(2, IR); namely E=c r QESp(2,R) VQEsp(2,~) and (ER. (3.8.9)

However, not all d e m e n t s in Sp(2, R) can be interprete(t as exponential of el(;ments in the relevant algebra sp(2, IR). We may convince ourselves of this by a simple reasoning. Let us consider the trace of any exponential-type matrix in Sp(2, IR). Being (3.8.10)

--Z7 j=0 ,
the linearity of the trace allows us to write
(X) (X)


~ ~Trqr - ~ r ~ Trq L(2j)!

j=o j=o

2r + (2j+l)! ~2jq-1 TrQ2J+I],


where tile even and odd power terms have been separated. Noting that Q2j _ (_ det Q)JI, Q2j+I _ ( _ det Q)JQ, j - 0, 1, 2, ... (3.8.12)

on due account of that TrI = 2 and TrQ =0, we end up with


TrE - 2 ~ (-)J X ~ (det Q)J = 2 cos(C v/det Q). (2j)!




Linear Ray and Wave Optics in Phase Space

Tt~en comprising the case that (let Q > 0, yielding the circular cosine ( - 1 < cos x _< 1), as well as the case t h a t det Q < 0, yielding the hyperbolic cosine (cosh:r _> 1), we can (:onclude that all the single-exponential type inatrices E in Sp(2, IR) satisfy the relation

T,. E _> - 2 .


Evi(lr sy~I)h;(:l,i(: ~mtrir witl~ trar < -2 r m~r sr syl~t)h;r nmI,l"i(:cs l,]m,l, (|() ll()[, a,l'is(; fr()l~l (;Xl)()]le~d,ial l~ml)t)i]~gs ()f ch;~l('~ld,S in l,]l(; a,lgel)ra exist. As 1)asi(' (;xamt)lcs, wc lnay ret)()rt tll(; llla,t,l'i(:(;s (set; als() Prt)|)le~n 11)



(, ,,)
(," ~-() -1



wld<'.l~ i~ fi~r (:m~ l)(; ()l)tail~e(l as tim l)r()(l~zc:t, ()f t,w()eXl)()~e~l,ia.1 l,yt)(; ~m.trices" ~ _~ - r ' '. (3.8.16)


Integrating the equation for the ray transfer matrix

fin" I,IH: <)l)ti(:a.1 (3.9.1)

W~; r~',~'~nlsi~h;r ll~;r~; t,ll~'~Im)l)hnll <)f s<)lvillg llalllilt<nl'S ~;r llm.l,rix M ( z , zi),

M(z, zi) -

( A(z, zi) I~(z, zi) )

C(z, z.i) l)(z, zi)

fin" t,lie l)r~l)a,gal,i~ni lln~ler l,ll~; (tlm.(lra.l,ir IImiiill,~)nimi (3.1.1), where l,ll~; lne(lillm t)ara,,,eters 't,,, (z) a,,r 't,~ ( z ) a r e in gr z-(lel)e,,,le,~l, fimc:ti,),,s. It, lms ])~'~'ll I)r~)v~'~l ill .~ 1.7.3 thal, 1,11r eigries A, B, C, D ~)f M ( z . zi) are {)t)ta.ine{l as s~)ll~ticn~s t{) tl~{; set ~)f first-r162 {tiffi'xentia.1 eq~m,ti{ms
A' = c~
",, '

A(z,~, z,~) -


B' -


C' - -'t~,.~A, C(z.i, z.i) =


D' = -,~,.~B, D(zi,



zi) --


zi) = 1;


the t)rix~e ~le~{~t,ing ~teriva,tive wit, h rest)cot to the axia,1 coor(timtte z. Interestingly, the ot)tic:al equivah'~nces established in the previous sections, in partic:~flar the LST parametrization, suggest alternative, and possibly further enlightening and effective, integration approaches to the set (3.9.2). Since A(z~,z~) = 1 and D(z~,z~) = 1, the contimfity of the elements of M ( z , zi) a,s functions of z, assures t h a t m(z, zi) > 0 and similarly D(z, z~) > 0 in a neighl)ourhood of the initial position zi. We can therefore resort to the factoriza.tion (3.5.1) in terms of the matrices L, S and T, thus expressing M(z, zi) in terms of the z-dependent parameters 7), s and d as M ( z , zi)
~ 7~(z)K+



The Group of the 1D First-Order Optkal Systems


As prescribed by relations (3.5.2), the magnification factor re(z) - c s(z)/2, the focal power P ( z ) and the reduced distance d(z) are linked to the matrix entries A, B, C, D through A - e */2, C--7) e s/2
, B -

de ~12.


Therefore, exploiting Eqs. (3.9.2) it is easy to obtain the set of differential equations for 7), s and d as 7),

- ~ 1 7)2 - n ~ - o ,

~(~) - o, (3.9.5)

~' + ~

- o,

d' - l e-* - 0

d(zi) - O.

Equation (3.9.4) represents the link between the paralnetrizations (3.9.1) and (3.9.3) of the optical matrix M. Indeed, once the explicit expressions for the overall matrix entries are known from (3.9.2), the decomposition (3.9.3) is uniquely deterufined through the algebraic relations (3.9.4). Conversely, solving (3.9.5) for 7), s, d allows us to evaluate the matrix entries by (3.9.4). Moreover, limiting ourselves to consider in (3.9.2) the equations for (A, C), as the entries (B, D) ()bey formally similar set of equations, we see that they yield two independent homogeneous linear equations of the second order for A and C; namely,

A" + ~'~ n0

+ 2 ZA1~, 0
+ ~c

- o,


1~ A ' ( z i ) ~


c ( ~ ) - o c ' ( ~ ) - - . . . (~)

The entries B and D obey the same equations as A and C, respectively, with 1 ) and D ( z i ) - - 1 the proper initial values being B(z~) - O, B'(z~) no(Z~ D'(z~) = 0. Solving, for instance, the first of (3.9.6) for A and B, allows us to obtain C and D simply by integration of the relevant equations in (3.9.2). Likewise, inspecting Eqs. (3.9.5), it is evident that solving for 7) allows us to integrate for s and then for d. In this connection, the equation for 7) deserves some comments. It is structured as the generalized Riccati equation [9]
dz = a~ -q- a l ( Z ) W -[-

a2(z)w 2,

w(zi) --



whic, in fact, with ao(Z ) - n 2 ( z ) , equation for 7) . Setting


al(z )

gild a ~ ( z ) Vt

1 turns into the no(Zi)

-no(Z)--, (3.9.8) v the equation for 7) is transformed into the homogeneous linear equation of the second order for the function v(z)


Linear Ray and Wave Optics in Phase Space

t /t2

'1/'+ n--~~ + ~ v 7t o 7t0



the s a m e a,s t h e e q u a t i o n f o r A in (3.9.6). T h e a,t)ovc cxt)rcsscs a genera,1 p r o t ) c r t y of the Riccati cqlm,tio~l (3.9.7), which is tlmlc(t int() a, h()m()gcn(~()lls linca,r (~(tlm,ti()n of the sc(:(m(t ()r(tcr 1)y the subst, it, lit, i()11 w ",uv' (~),,,. C()llV('~rsely, . a,ny liIlea.r s(;c(nl(t ()r(h;r (;(tlm,ti(m (:a,n bc giv(;11 1,11(; I/i(:(:a,ti f()I'lll l)y a sllital)h; (,l'a,llsf()l'llla,(,i()ll ()f 1,11(; (h;l)Cll(h;llt wlrial)lc. As a, (:()n('lllsi()11, we llmy say t t m t tll(; tra,('ki~lg ()f a l)araxial ray I)r()t)a,ga,t, iIlg (,111"()11gll a,]l illl1()n1()gtU~(:()l~S ~(:(li~lnl (I(:I)(U~(Is ()~I (,lie s()l~ll, i(n~ ()f a, ]~()~1()g(:~1(:(n~s lin(:ar (:(t~m,(,i()~l ()f (,11(: s(:('.(nl(1 ()r(l(:r ((3.9.6) ()r (:).9.0)). Fr()lll i(, a.ll (,lm 1)a,ram(:t(:rs, whi(:h (:()~lq)l(:(,(:ly ('lm.ra,(:t(:riz(: (,11(: r(:l(:wu~t ()t)ti(:a.1 ~m,(,rix, i.(:., (,lie (u~tri(:s A, H, ('~, D ()r (,t1(: flu~('(,i(n~s 7), s, d ()f tll(: I)()ssil)ih: fa,(:t()riza,ti()~l i~ (,(:rills ()f the ~lm(,ri(:(:s L, S, T , (:a.~ s(,ra,ig(,l~fi)rwa.r(lly l)(: ()l)(,ailm(l. W(: (:l~ll)llasiz(: y(:(, a.ga,in tha,t th(: I)ara.~1(:(,(:rs P , ,~, d l)(:l"(,a.in (,() a, h)(:a.l r(:l)r(:s(ulta,(,i()~1 ()f (,11(: ()l)(,i(:al n m t r i x M ( z , z;), whilst (,11(: (:lH,ri(:s A, H, (:, D (,() a gh)l)al r(:l)r(:s(:~lta,ti()n. I~ tll(: ~l(:xt 1)ara,gral)ll w(: (lis(:~ss i~1 (h:tail t, ll(: si~l)l(: (:as(: wl~(:I'(: tl~(: ~ll(:(li~m l)ara,n~(:t(;rs ~t()(z) a,~1(l ~,~ (z) a,r(: z-in(h:l)(;l~(h:n(,. In (,Ira(, (:a,s(:, th(: s()h~(,i()ns to l';(IS. (3.9.6) (:m~ I)(: giv(u~ i~ (:xI)li(:it f()ni~. 3.9.1

Ray-tT'acing in a q'uad'l'atic gradcd-ind(',:r mc, d i u m

'l'llc ray t)rt)I)agati(nl al(nlg a (tlla,(trati(: grath',(1-ill(lt;x lll('~(Iilllll, (l(;s(',i'i|)(;(t |)y th(; I)a,ra,|)()li(: I)r(Jfih; ()f 1,11(; rcfl'a,(:tivc in(h;x [10]
'n(q, z ) 'n() -

l =_,r~.~q 2


whcr(~ the ()ll-axis va,llu; n o ml(t the trallsv(;rs(', (tcriva, tiv(', 'It,2 a,rc l)()(,ll (:()nsta,nt w i t h the axial ('()()r(lilm.t(: z, is cxt)li(:itly s()lwdflc("). In fa,(:t, wit, t1 z-ill(tot)trident me(titan t)a,ra, Inct(;rs, E(ts. (3.9.6) tak(; th(; form

dz2y + - - y - (),
'/t 0


w i t h the initial va,lues t)cillg assigned a,ccording to the specific entry, A or C, we are solving for. T h e cha,racter of t h e s o l u t i o n of the at)ove e q u a t i o n , a,nd hence the beh a v i o u r of t h e light ray in tim m e d i u m , (tepen(ts on t h e sign of n e. Accordingly, w(; m a y d i s t i n g u i s h bctw(;(;n focusing a n d d c f o c u s i n g m e d i a .
As already noted, the i n d e x flmction (3.9.10) is valid over a limited range of the transverse c o o r d i n a t e q, a p p r o p r i a t e to the linear a p p r o x i m a t i o n of our concern, as it b e c o m e s u n p h y s i c a l if n b e c o m e s less t h a n the refractive i n d e x in the v a c u u m , generally taken as unity.

The Group of the 1D First-Order Optical Systems Focusing quadratic medium


A focusing index profile, for which n 2 > 0, exhibits a maximum on the optical axis and decreases radially from it. The general solution of Eq. (3.9.11) writes in terms of the harmonic functions as
y(z) : C 1 COS ~ -31- C2 s i n



where c 1 and c 2 denote two arbitrary constants, determined by the initial values, and ( is the dimensionless axial coordinate
~ ( z ) - ~-n-Z(z% - zi).


Determining c I and c 2 according to the initial values appropriate to the entries A, B, C or D, we obtain
A -- cos ~, ~ __ 1

sin ~, (3.9.14)

C = - v / n 0 n 2 sin ~,

D = cos ~.

It is apparent that the field ray corresponds to the cosine solution of Eq. (3.9.11) as the axial ray to the sine solution. The optical ma,trix M(z, zi) writes therefore

- v/no n e sin ~

siIl~ ) '


Mfo r ( z, zi ) --

cos ;

and the ray variables change with the a,xial coordinate according to
q(z) qi c o s ~ +


sin~, (3.9.16)

p(z) = - qi v/n0 n2 sin ~ + Pi cos ~. The ray oscillates back and forth ~cross the axis with the spatial period Z27r~, (3.9.17)

known as the p i t c h (Fig. 3.19). The maximum transverse excursion of the ray
to qm x + m xim.m

forms with the axis along its path is / ) m a x ~ P m a x / n o = V / n 2 / n o q m a x . If the width of the material is greater than 2qmax, the ray remains confined within the medium, which then acts as a light guide. The matrix (3.9.18) has the same form as the fractional Fourier transform matrix (3.6.6). In fact, we can write Mfoc(Z, zi ) - F~(Z)(fs) , (3.9.18)


Linear Ray and Wave Optics in Phase Space



i~ \

/ \


FI(~,URE 3.19. Ray t r a j e c t o r y i~ a foc~mi~g ~ n e ( l i ~ .

where the stm~(la,r(t f()ca,1 hu~gtl~ .fs is i(tentifier a,s

fs ~ 1

(:r te z

a,n(t tim or(ter ~ ra,I~ges r a,(:(:()r(ting t() relati(n~ (3.6.7), wlfir

(:(z) -

witl~ t,l~e axial gives tl~en

~ z--z i

as exI)e(:te(t

As alrea,tly ll()l,e(l, ill fat:t, a, (tlm,tlra,tic gra,tlett-i11(lex fi)t:llsi~lg llle(lilllll t)rovitles the ()t)tit'al sysl,eIll I,() iIllI)lement the fl'at:titmal Fr tra,nsf()rlning ot)era,tion with a. (:(mtimit)llsly ranging ortter. T h e r ()f the ra,y I)a.th a,(:ross the ot)tit'al a,xis (:orI'eSl)()ii(l to the (:()IltilnlOllS rota,titnl of tlw, ret)resent,a,tive I)oint ill l,lle l)tm,se, l)lmle, wtli('ll dest:rit)es tim ellit)se (3.6.9) (letermine(t t)y the mc'(ti11111 Imra,meters 'n,0 a,n(t 'n2, a,n(t the initial (ta,ta,. As the ()rr ~ is r lillke(t to the t)rr wt,ria,t)l(; z, tim system nmu a,('t a,s a, F()lu'ier tra, nsf()rmillg s y s t e m a,t the t)r()t)er (tist, a,ll(:e L F fl't)m the input screen. In fa(:t, if L v is sllch t h a t a ( L v + z~) - 1, a,n(t hen(:e Lv
Z 2 ~/~,,, V " (3.9.20)


the p r o p a g a t i o n t h r o u g h th(; m e d i u m over the distance L v from the input pla, ne results in the o r d i n a r y Fourier t r a n s f o r m a t i o n with foca,1 lenth fs- This establishes the possibility of optically realizing a Fourier t r a n s f o r m a t i o n as well by a piece of a quadra,ti(: m e d i u m of proper length L~. At distances c~Lv from z i , tile s y s t e m behaves as a Fourier transformer of fractional order c~. T h e n we can imagine the g r a d e d - i n d e x m e d i u m as formed by a c o n t i n u u m of planes from zi along the optical axis; on each plane at z we z Lv - z ~ of the object can observe the fractional Fourier t r a n s f o r m of order (~

at zi. At planes regularly placed from the i n p u t plane at distances LF, 2L~,

The Group of the 1D First-Order Optical Systems

l-I 4(h i 1}





]7 4h,

/ -

~x/7770n 2

= I


I =

[F(.f)] 4
hl~ 2 =-

I ',

= F(-.f)










FIGURE 3.20. A quadratic focusing medium is like a sequence of Fourier transformers. 3Lr, and so on, we may detect the successive powers of the Fourier transform of the object; specifically, at distance j L ~ we observe the j - t h power of the Fourier transform of the object (Fig. 3.20). For j = 4h, we recover the identity matrix and hence the input signal, according to the periodicity of the Fourier transform operation (a). The overall medium can be understood as a sequence of identical Fourier transforming configurations, L~ fixing the z-size of the Fourier transform units, by which the medium may be thought as composed.
D e f o c u s i n g quadratic m e d i u m

For a, defocusing index profile: n 2 < 0, which exhibits a, minitnum on the a,xis a,nd increa,ses fa,r from it, Eq. (3.9.11) is solved by hyperbolic sine a,nd cosine functions. Hence the optical matrix writes as (
M d e r ( Z ' Z i ) --

cosh ~ V/--rt02 sinh{

1 % sinh~) v,,_,~o cosh{

~ ( z ) - i _2a. (z - zi)

which has evidently the same form as the squeeze matrix (3.6.36), being indeed
Mdef(Z , Zi)

B(~, fs),

.fs -

1 v/_% ~2 9


As the height of the ray with respect to the axis increases while propagating from the input plane, the representative point in the phase plane moves along the branch of the hyperbola (3.6.39). The propagation along a defocusing quadratic medium physically realizes the three-step phase-plane transformation (3.6.50) involving squeezes and scaled rotations. a More precisely, as it will be shown in w 5.4, the Fourier transformed signal is affected by a phase factor, which obviously cannot be accounted for within the ray-optics description of the performance of the optical system.


Linear Ray and Wave Optics in Phase Space

B e i n g (:oshsc > 0, t h e W e i - N o r m a n d e c o m p o s i t i o n c a n safely b e a p p l i e d t h r o u g h t h e w h o l e { (i.e., z) d o m a i n . T h i s is left as a n e x e r c i s e to t h e r e a d e r .



It ha,s |)cell t)r()vc(1 tha, t e v e r y first-()r(ter ()t)ti(:al systcxll (:a,ll t)c l u l ( l c r s t o o d a.s a s('xtll(',~l(:(', ()f tllill l(',~lscs s(',l)a,ra,t(;(l l)y ff(;('~-I)r()t)aAati()ll s('~(:ti(ms, visllaliza.t)lc a S('qll('~ll(:('~ ()f v(;rti(:a,1 a ll(l ll()l'iz()Id, a.1 stl(;a.rs in tilt; t)llas(; i)lmle view. Tile ()t)ti(:al syst,enls, ~(',ll(;ra,te(l l)y t,]l(', at,tra,(:tiv(; a,]l(l l'(;1)lllsiv(', ()s(:illa,tof like ttmlfilt()llia,llS 1721)2+ ~q21 ' a,ll(l :jp I 2 _ }1q2 , lm.vc l)(',(~,ll (',Xa,lllillc(1. q'lw, f()rnlcr is rc(:()glfiZ(',(t as I)erf()nldllg s(:al(',(t r()t,a.ti()lls ill l,ll(', I)lm.s(; l)la,~(;, wl~(;r(',a,s t h e l a t t e r a,(:ts as a s(p~(',czing trm~sf()rnm,ti(m. T w o i~t,cI'eStil~g rc, a liza.ti()~s (~f ()I)ti(:al ~m,ti'i(:e,s l~a.w', 1)e,(;~ (lcs(:ril)e,(l i~ (:or-

,'(,st)o,,(l(;1,(:(, wit,l, t,l,c tw,)il.lg,~,},I'a. ],a.sis { K

, K,,

K:,} a.,,(l { K

, K , , K:,}.

( ) h e realizati()~l, wlii(:ti al)l)li(;s l()(:a,lly Ii(',a,r tll(; (',ld,ra~l(:(; s(:re(;]l, syld, ltcsises t,l~e ()l)ti('a.l ~ m t r i x as a s(;(ll~(;~(:(; ()f a. (1)()sitiv(; ()r ~l(;gativ(;) fl'(;(~l)r()l)a,ga,ti()n s(;(:ti()n, a. I)()sitiv(;-(l(;linit(; l)llr(; ~m,guili(;r m~(l a, t h i ~ l(;~s, a,u(l a(x:()r(li~g;ly is vislm,liz(;(l i~ t,l~e ()I)ti(:al 1)lm,s(; I)la.~(; a,s a l~()riz()~d,a,1 sl~(',ar f()ll()wc(l I)y a s(:a,ling; a,n(1 a, v(',l'l,i(:al sl~(m,l'. TI~(; ()t,l~(',r r(;a.lizati()~ all()ws ~s t,() (l(',s(:ril)(', t,l~(; syste~n a.s a, s(',(t~(;l~(:(: ()f a fl'a,(:ti()~a,1 F()~rier I,l'a,]~sf()rl~i]~g~ sysl,(;l~, a, I)()sitiv('-(l(;fi~fitc t)urc lna,g;l~ilier a,l~(t a, t,l~i~ lel~S, m~(t h(',ll(:e is t)i(:t~rc(I i~ tl~c t)ha,s(', l)la,n(; a,s a, r()t,a,ti()~ f()ll()w(;(l |)y a, s ( : a l i ~ m~(1 l,t~(',~ t)y a v('rti('a.1 st~(',a,r. In t,ll(', ~(;xt, (;lmt)t,(',r, tl~(', ligl~t, t)r()t)a,ga,ti()l~ will 1)(', r(;(:()~si(tcrc(l witlfin t h e fram(',w()rk ()f wav(; ()t)ti(:s. W e will i~v(~,st,ig;a,t,(~ t,h(', ra,y-wa,ve (:(mne(:ti()]~, w()rking ()~d, t h e ()I)(;rat()r r(;t)r(',s(;~ta,ti()l~ ()f tt~(', litmar 1D ()t)ti(:al systcn~s tl~r()ugh a s()rt ()f (t~m,~xtiza,ti()~ t)r()('(',(il~re, sit~filar t() tl~a,t a,t)t)lic(i t,() (:la,ssi(:a,1 ~x~(',(:ha,ni(:s t() yicl(t (l~m~d,~m~ m(',(:tm,~i('s. R a y vc(:t()rs will t)e rct)la(:(',(t |)y w a v e fim(:tions a,n(t t,h(', ~mi~()(lula,r nmtri(:(;s ()f t,h(', symI)lc(:ti(: g;r()ut) ~p(2, ~) will t)c rcpla, ced t)y t h e mfita,ry ()t)(',rators ()f t,l~c I~C,tapl(',(:ti(: grout) AJp(2, ]~).

1. Co~si(ler a thick lens, co~sisfing of two refracting surfaces with curvature radius/~t mid /-~2 separ~rte(t by a distance d on the optical axis. Deilote by 'n(,~ and 'rt(,~ the refractive

indices in the object aim image space, and by n the refractive index of the lens material. Take the reference planes imincdiately at the left and at the right of the lens (Fig. 3.3.a)). (a) Find tt~c positions of the principal, focal aim nodal points of a the lens. (b) Express the ttfick lens matrix (3.2.4) in terms of the coordinates of the principal points s H and SH,. (C) Write down the explicit expression of the reduced focal length of a thin lens in terms of the relevant parmncters, i.e., n(,1, n,,.e, n, R~ and R~. 2. Enlarge configuration (3.3.13) by (a) an additional free-propagation section placed on the right or the left, and (b) two additional free-propagation sections placed on both sides. Write down in both cases the relations for the relevant parameters and individualize some configuration in accord with the obtained relations. 3. Specialize the parameters of the LTL configurations, which may synthesize symplectic matrices having (a) D = 0, (b) A = 0, and (c) A = D = 0. Specify in every case the

The Group of the 1D First-Order Optical Systems

restrictions on the non null matrix elements. 4. Specify the parameters 7), m and d for the "dual" decomposition: (A ~) _ T ( d ) S ( m ) L ( 7 ) ) , D > 0,


which reproduces what in the group theory is called the antinormal ordering, hi turn, the LST realization (3.5.1) reproduces the so called normal ordering. 5. Prove relation (3.6.15) for c ~ - 1 1 , 2, 9.(Hint: Rewrite (3.6.15) as [F~(fs)] 1/~ -~.n ~ m F ( f s) and use Sylvester's theorem according to which

BD - - sin(~nO) Csin(rnO)

B sin(rn, O) Dsin(rn~)--sin(m-1)O

) ,

COS(~ -- ----~.)

6. Decompose the fractional Fourier transforming matrix F ~ ( f s ) into the form S-1Fc~S for negative values of fs. 7. Write down the relation between the matrix entries (A, B, C, D) and the the parameters (7), rn, r of the K:M.hf decomposition: (A B) _ F ~ S ( m ) L ( 7 ) ) . 8. Consider two symplectic matrices M 1 and M2, whose relative N'.AK; decompositions are given with the appropriate parameters being 7)1, m l , (751 and 7)2, rn2, r Prove t h a t the parameters 7), m, r of tile LSF ~ synthesis of the product matrix M 2 M 1 -- L ( 7 ) ) S ( m ) F ~ are where


r 1 6 2 +r

P-P~ +~,

~-~2 __ , H 2 COS 2 (~)2 -t- (?Tt.12 -~- 1H.127) 2) SiIl 21~)2 - - 77L127)1 S i I l ( 2 0 2 ) ,

--7) __ 2_._~_~ .1

[2rn~7), cos(24)2)+ (m~ - m72 - rn~P~2) sin(202)],

t a n 4) 2

tan r -- ,,~ ( l _ p I tan 4)2)"

(Hint" Write the Iwasawa decomposition of tile internal sequence F~2L(7), )S(rn, ) -- L(7)) S ( ' ~ ) F ~ in tile product M 2 M 1 ; then combine tile resulting sequential rotations, lenses and magnifiers). 9. Identify the parameters (7), m, 4)) of the A/'MK~ decomposition of the squeeze matrix (3.6.49)" B ( r , 0) -- L(7))S(rn)F ~,
in terms of the squeeze parameters r, 0. 10. Prove that two squeezes into different directions do not multiply into a single squeeze. (Hint: Consider as an example the product B ( % , 0)B(%,01); identify the parameters of the relevant N'AK; decomposition; then, verify t h a t they do not reproduce the results of Problem 9, thus proving that B ( % , 0 ) B ( % , 01) = B ( r , 0)N ;~. It is also possible to express (r, 0, ~p --/32 ) in terms of (%, %, 01 ).) 11. Verify t h a t the matrices
-- cos 4) -- sin 4) sin 4) ~ --cos 4)]


( -- cosh r sinh T sinh r - - c o s h z-]

are not of exponential type. (Hint: Write down the above matrices in the neighbourhood of the identity, i.e., respectively as I+(~Q 1-t-O((~ 2) and I + r Q 2 +O(r2). Verify t h a t Q1 and Q2 do not belong to sp(2, R).) 12. Infer the equations for the parameters 7), rn and 4) relevant to the Iwasawa decomposition of the optical matrix M ( z , zi) of the parabolic index medium.


Linear Ray and Wave Optics in Phase Space

For the ray m a t r i x apt)roach to linear ot)tics see [12] of oh. 2. For tl~cr a n d at)t)licative (:onsiderations on the symt)lectic Lie algebra and gr()~ll) , see [9] alitt [1()] ii~ t']~. 1. Nit)re re('ent ilWestigatit)I~S, ii~ relatioil a,s well to get)~etrit:al ()t)tit:s, t:a~ 1)r finn~(1 i~ [11] ()f t:t~. 2. T h e ~()~ eXl)()~le~t, ial ~mt~u'e ()f the syn~t)lc(:lir gr()~t) S p ( 2 , IR) is ana lyse(l in [2.1] R. Si~o,~ m~(l N. Ni~k~(la, "Tl~e l,wo-<li~e~sioxml syx~plectic m~d inetaplectic gro~l)S m~(l tlmir ~ufiversal cow;r', i~ Sy'm'mctric.s i'n Science VI, I~. Gr~fl)er ted.) (Ple~n~n Press, New York, 1993), pp. 659-689. [3] Tt~(; rclali()~ l)(;l,wt;r "~all~c~al,i(:s" a~(l "r ()f ll~t, 2 2 real sy~t)lt;(:ti(: lllal, rix is i~vcsl,igal,t'sI i~

[a. 2]

[aa] [a.4] [:~.,~] [:~q [at]

H. H. Arse~m~flt, "(lm~eralizatio~ of tl~e pri~mipal plm~e ('o~mept i~ ~natrix optics", A~n..I. l'l~ys. 48, 397-39.9 (198()). M. Nazaratl~y a ~ l .1. Slam,fir, "First-or~ler ~pti(:s- a ('m~>~icai operat~r represe~tatioga: l~ssless systemics", .1. Opt. Soc. A~,. 72, 356-364 (1982). II. I I. Arse~m~llt mul I~. Ma('~kow, "l,'~wt,orizatio~ of t,t~e t,rm~sfer ~mtrix for sy~u~etrical <~ptical systm~ls", .l. ()pt. Soc. A~n. 73, 1350-1359 (1983). l~. Nlac~kr a ~ i I I. l l. Arse~mt~lt, "Matrix r fi)r ~ s y ~ m l , rical ol)tical sysl,elllS", .l. ()l)t. St)('. A,~. 73, 136()-136(i (1!)83). E.(?.(~. S~(larst~m~, N. lk,l~k~n~(la m~(l 1{. Si~o~, "I{ealizatio~ of tirst or(ler optical sysl,e~s ~si~g l,lfil~ Ictuses", ()pti(:a A(:ta 32, 855-872 (1985). R. Si~r m~l K.I~. Wolf, "Str~cl,~re ~)f tim set of paraxial ~)l)tical systemics", .I. Opt. So('. A~n. A 17, 342- 355 (2()()()). K.B. Wolf, Gcomc.tric Optic,s on Ph,asc S'pac~'. (Springer, Berli~, 2()()4), (:1~. 1(), pp. 179-2()4.

T h e {~t)crat~w (~r lllatrix) tlt;(:r


ill refills r

tile a lgcl~ra gicilc~ratr

K +,

K _ a nr K:~ (t)r K , ,

, K:~) is illllstratcd in several Iml)crs ill relation with

b o t h tilt, ilnilary t;v()lltti()ll ()t)t;rat()rs ass~t:iatett with tllmlllllll~ systen~s anti the symt)let:t it' IIla t)s a sst)t:iate(t with Ha Illiltt)Iliax~ systems. We (l~)tt',

[4.1] [4.2]

[4.a] [4.4]

,1. Wei all(1 E. Normall, "Lie algebraic solution of linear differential equations", J. Math I~hys. 4, 575-581 (1963). R. M. Wilcox, "Exponelltial operators mid parameter differentiation ill quantum physics", J. Math. Phys. 8, 962-982 (1967). D.T. Truax, "Baker-Cainpbell-Haus(torff relations and unitarity of SU(2) and SU(1, 1)squeeze operators", Phys. Rev. D 31, 1988-1991 (1985). G. Dattoli, J. C. Gallardo and A. Torre, "An algebraic view to the operatorial ordering and its applications to optics", 1Riv. Nuovo Cim. 11, 11, 1-79 (1988). G. Dattoli and A. Torre, "A general view to Lie algebraic methods in applied mathematics, optics and transport systems for charged beam accelerators", in Dynamical Sgrrrmet'ries and Chaotic Behaviour" in Physical Systems, G. Maino, L. Fronzoni and M. Pettini (eds.) (World Sc. Publ., Singapore, 1991), pp. 21-89.

The Group of the 1D First-Order Optical Systems


[4.6] M. Ban, "Decomposition formulas for SU(1, 1) and SU(2) Lie algebras and their applications in quantuin optics", J. Opt. Soc. Am. B 10, 1347-1359 (1993). [4.7] A. Torre, "Lie algebra treatment of two and three-mode interaction Hamiltonians", Recent Res. Devel. Quantum Electronics, 2, 111-131 (2000). [4.8] A.J. Dragt and J.M. Finn, "Lie series and invariant functions for analytic symplectic maps", J. Math. Phys. 17, 2215-2227 (1976). [4.9] A.J. Dragt, "Lectures on nonlinear orbit dynamics", Physics of High Energy Particle Accelerators, AIP Conference Proceedings, R. A. Carrigan, F. R. Huson and M. Month (eds.) 87 (Amer. Inst. Phys., New York, 1982), pp. 147-313. [4.10] A. J. Dragt, "Lie algebraic theory of geometrical optics and optical aberrations", J. Opt. Soc. Am. 72,372-378 (1982). [4.11] A. J. Dragt, E. Forrest and K. B. Wolf, "Foundations of a Lie algebraic theory of geometrical optics", Lie Methods in @tics, J. S~nchez Mondragon and K.B. Wolf (eds.) (Springer-Verlag, Berlin, 1986), ch. 4, pp. 105-157.


The bibliography about the fractional Fourier transform and its various applications in optics is extremely wide. Here we quote the seminal papers by Condon and Namias as well as the basic papers by Mendlovic and Ozakta.s, and by Lohmann, through which the concept of fractional Fourier t r a n s f o r m has been introduced in optics. A wider view on the subject can be found in the review papers [5.7]-[5.9], and in the COlnprehensive book [5.10]. Fractional Fourier transformers are also investigated in [3.7] (see, in particular, ch. 15, pp. 341-353).

[5.1] [5.2]

E. U. Condon, "Immersion of the Fourier transform in a contimlous group of functional transformations", Proc. Natl. Acad. Sci. USA 23, 158-164 (1937). V. Namias, "The fractional order Fourier transform and its application to quantum mechanics", J. Inst. Maths. Applics. 25, 241-265 (1980).

[5.3] D. Mendlovic and H.M. Ozaktas, "Fourier transforms of fractional order and their optical interpretation: I", J. Opt. Soc. Am. A 10, 1875-1881 (1993); II, ibid., 25222531. [5.4] A.W. Lohmann, "hnage rotation, Wigner rotation, and the fractional order Fourier transform", J. Opt. Soc. Am. A 10, 2181-2186 (1993). [5.5] D. Mendlovic, H.M. Ozaktas and A.W. Lohmann, "Graded-index fibers, Wigner distribution functions, and the fractional Fourier transform", Appl. Opt. 33, 61886193 (1994). [5.6] G.S. Agarwal and R. Simon, "A simple realization of fractional Fourier transformation and relation to harmonic oscillator Green's function", Opt. Commun. 110, 23-26 (1994). [5.r] A.W. Lohmann, D. Mendlovic and Z. Zalevsky, "Fractional transformations in optics", in Progress in Optics, Vol. XXXVIII, E. Wolf, ed. (Elsevier, Amsterdam, 1997), ch. 4, pp. 263-342. [5.s] H. M. Ozaktas, M.A. Kutay and D. Mendlovic, "Introduction to the fractional Fourier transform and its applications", in Advances in Imaging and Electron Physics, Vol. 106, P.W. gawkes (ed.) (Academic Press, San Diego, 1999), ch. 4, pp. 239-291. [5.9] A. Torre, "The fractional Fourier transform and some of its applications to optics", in Progress in Optics, Vol. 43, E. Wolf (ed.) (Elsevier, Amsterdam, 2002), ch. 7, pp. 521-586. [5.10] H.M. Ozatkas, Z. Zalevsky and M.A. Kutay, The Fractional Fourier Transform with Applications in Optics and Signal Processing (Wiley, New York, 2001).


Linear Ray and Wave Optics in Phase Space

[6] The link between the symplectic group Sp(2, IR) and the little Lorentz group SO(2, 1) is investigated in [3.7], ch. 5, pp. 69-90, and in [6.1] Y.S. Kim and M.E. Noz, "Dirac's light-cone coor(tinate system", Am. J. Phys. 50, 721-724 (1982). [6.2] Y.S. Kim an(t M.E. Noz, "Ilhlstrative exainples of the syInplectic group", Am. J. Phys. 51, 368-375 (1983). [6.:3] D. Hml, Y.S. Kiill mltl M.E. Noz, "Lillear cmloIlical trmlsforlilatiolls of cotlerent an(t sqlmeze(t states ill tile Wigller plmse space", Plws. R ev. A 37, 807-814 (1.088);II Qlmld, itat,iw,~ mlalysis", Pllys. Rev. A 40, .()()2-!)12 (1.989). [6.4] Y.S. Killl ml(1 M.E. Noz, l'h,a,sc Space l~ict,'wn: of Qua'n,t,u'm, M~'chanics (Worl(1 So. Plfl)l., Sillgat)ore, 1991). [6.5] P.K. Aravill(1, "SiIIullatillg tile Wigiler a,llgle wittl a parmlletric mllplifier", Phys. I{ev. A42, 4(177-4084 (199()). [(i.(i] F. (Ji()c(:i, (l. l)att()li, C. Mari ml(l A. Torte, "Mea.slu'illg tll(; Wigll('r rotatiol~ with (;le(:tr()~ I)(;m~s", l)t~ys. Rev. A 46, 514.()-5153 (1.().()2). [6.7] I). ttm~, Y.S. Kiln m~(l M.E. Noz, "Wig~mr rotatio~s m~(l lwasawa (leco~l)ositio~s i~ l)()larizati()~ ()l)ti('s", l)l~ys, l/ev. E 60, 1()36-1()41 (1.().().()). [6.8] .l..l. Mo~z6~ m~(l I~.I~. Shnchez-Soto, "M~fltilayer optics as m~ m~al()g (:()~np~ter for t,est,i~g Sl)(~'ial relativity", l)l~ys. I~ett,. A262, 18-26 (1.().().()). [6.9] T. Yo~te, .1..1. Mo~zdn, L.L. S~h~(:t~ez-Soto, .].F. Carifie~m mM C. l~dl)ez-Lacasta, "U~(l(;rsta~(li~g ~n~ltilay(~'rs fi'()~ a ge()~etri('al viewp()i~t", .1. ()pt. S()(:. A~. 19, 6()3-6().() ( 2()()2). [7] F()r a (lis(:~ssi(n~ ()[ I1~(; lwasawa (l('(:()~l)()sti()~ t l~(;()r('J~ wi~ l~i~ t l~(' g('~mral group tl~(;()l'y (:(nd.(;xt w(; ~ a y S~lgg(;st

[7.1] K. Iwasawa, "Ol~ the represe~tations of Lie algel)r;~s", .1I)~..1. Math. 19, 513-523 (1.948). [7.2] K. Iwasawa, "Oil soll~le types of topological grolll)S", Alul. Math. 50, 507-558 (1.948). [7.:3] S. Helga,s()~, Diffc~:ntial Gcomt:try and Syrrml,t:t~c b'pact;.s (A(:a(texnic Press, New York, 1.962), pp. 21.9-225. [7.4] S. Lm~g, "SL2(1~,)" (h(ltlis()~ Wesley, New York, 1993), Pl). [i59-68.0. [8] Ai)I)li(:ati()~s ()f the Iwasawa (h'~('()nq)osition t()()t)ti('al t)r()t)le~s are ill~strated in [:3.(i], [(i.7] [(i.:~], [:3.7], ('l~. 9, l)l). 173-177, and i~ [8.1] l-l,. Simo~ and N. Muk~n~(la, "Iwasawa deco~nposition for SU(1, l) and the Giioy effect for squeeze(t states", Opt. Commun. 95, 39-45 (1993). [8.2] R. Simo~ and N. Muk~(la, "Iwasawa deco~nposition in first-or(let optics: universal treatment of shape-invariant propagation for coherent and partially coherent beams", J. Opt. Soc. A~n. A 15, 2146-2155 (1998). [.9] E.L. Ince, O~'dinary DifJ'e,'rential Equations (Dover Publ., New York, 1956). [10] For a detailed ray tra,(',ing in a t)arabolic-index m e d i u m we suggest [10.1] [10.2] [10.3] [10.4] D. Marcuse, Light Transmission Optics (Van Nostrand-Reinhold, Princeton, 1972). E.W. Marchand, Gradient Index Optics (Academic Press, New York, 1978). S. Cornbleet, Microwave and Geometrical Optics (Academic Press, London, 1994). V. Lakshminarayanan, A.K. Ghatak and K. Thyagarajan, Lagrangian Optics (Kluwer Academic Publ., Boston, 2002).