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3.1 Introduction
In this section we formulate par-axial geometric optics in terms of 2 2 matrices1 and associated rays. These rays can be traced through the optical system by matrix-vector multiplication.
This scheme allows complex, multi-element, optical systems to be analysed and simplified
is a simple algorithmic scheme which is easily calculated, either analytically or numerically.
This scheme is then used to identify the main optical reference planes, known as the principal planes, and the effective focal length. The properties of these planes allow us to represent
complex optical system by their equivalent simple lenses. Finally we consider the limitations
of this system and outline the next level of optical analysis, being full geometric ray tracing.
where r is the height from the optical axis, and angle made with the perpendicular to the plane
P as shown in figure 1.
Ray
r
0
Optical Axis
Figure 1: Vector notation for an optical ray of height r, angle in plane a distance z along the
optical axis.
We then describe the propagation of this ray by a 2 2 matrix
a b
M=
c d
such that the height and angle of the new ray is given by
r1
a
r1 = M r0
=
1
c
b
d
r0
0
We then define a Matrix Operator M for each optical component2 we can trace rays through the
system by a series of matrix multiplies.
1 This formulation is different than that given in Hecht who uses the transpose, the final results are however the
same.
2 Each refractive index interface and distance between them.
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If we have N components with propagation matrices Mi for i = 1, . . . , N, then for an initial ray
of r0 the final ray rN is given by a series of pre-multiplies, giving,
rN = MN MN1 . . . M2 M1 r0
which we can then write as
rN = Ms r0
Ms = MN MN1 . . . M2 M1
where
and 1 = 0
1
M=
0
where
d
1
so giving us the matrix for propagation a distance d along the optical axis.
Note: This does not depend on the refractive index of the media it is propagating through.
r1
r0
P0
Ray
P1
Optical Axis
n0
n1
Ray
1
r0
P
Optical Axis
r0
u
and 1 =
r0
v
We recognise planes P0 and P2 as the object and image planes of the lens, to u and v are linked
by the Gaussian Lens Formula of,
1 1 1
+ =
u v
f
so but substitution we get that,
1 =
r0 r0
r0
= 0
u
f
f
where
M=
1
1
f
0
1
giving the matrix for a thin lens of focal length f . This is valid for both positive lenses (where
f > 0) and negative lenses (where f < 0).
Ray
P0
P1
P2
n0
n1
r0
P
Optical Axis
Interface
r0
n1
n0
Figure 6: Detail of curved dielectric interface of radius R with added construction angles.
Since the interface is of zero thickness, then clearly r1 = r0 , but the angular relation is much
more complex. Consider the more detailed drawing of the interface in figure 6.
The angles 0 and 1 are the angles the ray makes with the surface normal which, for a spherical
surface, is the line from r0 back to the centre of curvature c. For a dielectric interface 0 and 1
are linked by Snells Law, so for small angles, we have that
n 0 0 = n 1 1
We also have that
0 = 0
and
1 = 1
where is the angle between the surface normal and the optical axis. From this we can then
solve for 1 to give
n0 n1
n0
1 = 0 +
n1
n1
Additionally from the geometry, we have for small angles, that = r0 /R, so we get a final
expression for 1 of
n0 n1
n0
1 =
r0 +
0
n1 R
n1
which in matrix formulation can be written as
r1 = M r0
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where
M=
n0 n1
n1 R
0
n0
n1
1
R
C(n0 n1 )
n1
0
n0
n1
Now a flat surface simply has curvature C = 0, which is then identical to the matrix for a flat
dielectric surface discussed above.
So given this set of matrices we can now model any par-axial system containing curved dielectric surfaces with spaces between them, so in practice any system containing lenses.
Note we actually only need two of the matrices, these being (a) for propagation a distance d
and (b) refraction at a spherical dielectric interface. The other matrices being combinations or
special cases of these two.
Ray
r
0
P1
Optical Axis
Figure 7: Location of the plane where a ray crosses the optical axis.
If the ray in plane P0 has ray vector,
r
r=
then noting that downward angles are negative, the distance from P0 to P1 is given by
d=
with d > 0 specifying that P1 is the right of P0 and d < 0 that P1 is to the left of P0 .
The second is given two rays in P0 the location of the plane P1 where they cross each other as
shown in figure 8.
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P0
r2
r1
0
P1
Optical Axis
r
r1 = 1
1
r
and r2 = 2
2
r1 r2
2 1
where again d > 0 specifying that P1 is the right of P0 and d < 0 that P1 is to the left of P0 . The
distance d when in the first case = 0 and in the second 1 = 2 .
The third is given a ray in plane P0 , what is its height in plane P1 separated by a distance d.
This is denoted by h in figure 8. Simple geometry shows that if in P0 we have
r
r=
then h = r + d
Now give this set of tools, we are able to apply them to optical system.
M10
M11
= propagation distance d5
= n3 /air interface with curvature C6
n1
C1
C2 C3
n2
C4 C5
n3
C6
r
h
P0
P1
d0
Mo
P2
d1
d 2 d3
d4
d5
P3
d6
Ms
Figure 9: Image location and magnification of a multi-element lens by matrix ray methods.
which will describe propagation between planes P1 and P2 , being the front and back surfaces
of the lens system, these being know at the input and output planes of the system.
If we locate an object in plane P0 , the propagation from P0 P1 is again described by a matrix,
Mo , so we can form total matrix
MT = Ms Mo
which describes propagation from the input plane P0 to P2 , being the back surface of the lens.
To find the image location and magnification,
1. Propagate two rays from P0 to P2 with the same initial height, say unity, but different
angles using the MT matrix.
2. The plane where these rays cross will give the location of the image plane, d6 in the
above figure, relative to the output plane P2 . d6 > 0 signifies a real image, while d6 < 0
a virtual image.
The condition that d6 , the image is formed at infinity, can be identified checking if
the two rays in plane P2 have the same angle .
3. The height h of the either ray (both the same), in plane P3 will give the system magnification as
h
M=
r
with M > 0 signifying an upright image and M < 0 an inverted image.
So once the system matrix Ms has been formed, this operation can be repeated for any object
distance. Such calculations are best performed by computer. There is a accompanying set
of JAVA classes to do these calculations allowing you to experiment, these are detailed in the
appendix to these notes.
the output plane of the lens. From the previous section, we note that the determinate of all the
component matrices are unity except the two representing a refractive index change at either a
flat or curved interface, where for a n0 n1 interface,
n0
|M| =
n1
so noting that for matrices, if we have that
C = BA
then
Then if we have a system with a series of refractive index changes as show in figure 10, 7 in
this case, the determinant for the whole system,
n0 n1
n6 n7 n0
|Ms | =
...
=
n1 n2
n7 n8 n8
so the ratio of the initial to final refractive index.
Ms
n0
P1
n1
d1
d2
n3
n4 n 5 n 6
d3
d4
d5
d6
n7
d7
n8
P2
Ms
(a)
P1
P2
r1
Pf
r2
t
Pb
(b)
P2
Pf
Back Focal
Plane
fb
Back Focal Length
Figure 11: Back Principal Plane and focal length of a Multi-element system.
We first calculate the system matrix Ms which describes propagation between plane P1 P2 .
If we then consider a ray parallel to the optical axis of unit height, then in the output plane P2
we will have a ray
1
r2
r2 =
= Ms
2
0
which crosses the optical axis at a distance t from plane P2 in plane Pfb where
t=
r2
.
2
Due to the imaging properties of any lens, all input rays parallel to the optical axis will be
focused at the same point, also any pair of parallel rays entering plane P1 will also cross in
plane Pfb . This defines plane Pfb as the Back Focal Plane of the system, being the plane in
which an image of an infinite object will be formed.
The whole optical system defined by Ms is therefore acting as a single thins lens of focal length
fb located in a plane Pb which, in general, is displaced from P2 , the back aperture of the system.
This plane Pb is defined as the Back Principal Plane and the fb as the back focal length of the
system.
The location of Pb is where ray r2 and the input r1 crosses, so noting that
r2
1
r2 =
and r1 =
2
0
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1 r2
2
then noting that s is the distance from P2 back to Pb , the back focal length is then just fb = t s,
so combining there two we get that
1
fb =
2
If we write the 2 2 system matrix in its components, being
a b
Ms =
c d
then we immediately have that,
a
r2 =
c
r2 = a and
2 = c
t = P2 Pfb =
s = P2 Pb
fb = Pb Pfb
We can then repeat the operation to find the equivalent front planes by tracing a ray of unit
height from plane P2 back to P1 as shown in figure 12.
Noting, from above, that the propagating back from P2 to P1 is equivalent to taking the inverse
of the system matrix, then in plane P1 we have ray
r1
1 1
r1 =
= Ms
0
1
so the ray cross the optical axis a distance t from plane P1 in plane Pf f , where now,
t=
r1
1
where Pf f is the Front Focal Plane. Similarly the distance from P1 to Pf , the Front Principal
Plane is
1 r1
s=
1
and the front focal length, is then given by
ff =
1
1
Note in this case f f is negative, since it is the distance from the Front Principal Plane back to
the Front Focal Plane.
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Ms
Pf
(a)
P1
P2
r1
r2
Front Focal
Plane
Pf
Pf
P1
(b)
t
s
ff
Front Focal Length
Figure 12: Front Principal Plane and focal length of a Multi element system.
The inverse system matrix
M1
s
1
d
=
|Ms | c
b
d
=
c
a
b
a
where for the usual case of the same refractive index on both sides of the system, a = a etc.,
so we immediately have that
d
r1 = d and 1 = c
r1 =
c
so giving that get that
t = P1 Pf f
s = P1 Pf
f f = Pf Pf f
d
= position of Front Focal Plane
c
d 1
position of Front Principal Plane
=
c
1
= Front Focal Length
c
so giving us the locations of the planes and the focal lengths in terms of the system matrix
elements. Not in almost all cases, the determinate is unity, so
f f = fb
so the front focal length is the same as the back focal length, with the negative signifying the
direction of the front and back focal planes from the front and back principle planes.
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200 mm
20 mm
-100 mm
1.50
From these we can calculate the system matrix for propagation from input to output planes,
numerically it is,
0.9667 13.333
Ms =
0.0073 0.9330
we can then use this matrix to calculate the planes as shown in figure 13. This gives the focal
length to be 136.36 mm.
9.09
4.54
fb = 136.36
Pf
Pb
R2 = 100
R1 = 200
n = 1.5
P1
P2
d = 131.82
t = 20
Pf
Figure 13: Locations of plane of a Thick Lens, all length are in mm.
.
See workshop question 3.5 to do this calculation yourself using the supplied program.
The important point about Principal Planes is when we come to consider imaging. Take the
same lens as in figure 13, but now use it to image an object as shown in figure 14. Here we
place an object a distance do from the input plane of the lens, P1 . If we trace a ray from the
base of the object at angle 1 , then at the input plane P1 we have ray r1 , we know the system
matrix Ms , we can calculate r2 in plane P2 and hence the image distance di . We can then trace
a ray from the top of the object of height ho , and find the image height hi . For the above lens a
typical set of numerical results is shown below.
Object distance
d0
Image distance
d1
hi /ho
Magnification
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300 mm
244.02 mm
-0.7894
s=9.09
t=4.54
Pf
Pb
Object
ho
rf
r1
r2
rb
do
di
hi
Image
n = 1.5
P1
P2
t = 20
Figure 14: Location of object and image for a thick lens be considering the Principal Planes.
Now is we define the object and image distances with respect to the Principal Planes, as
u = do + s Object to Pf distance
v = t + di Pb to Image distance
then we find, that
1 1 1
+ =
u v
f
v
u
which gets us back to the Gaussian Lens Formula. The numerical values for the above geometry
are:
u
v
f
M
=
=
=
=
309.09 mm
244.02 mm
136.36 mm
0.7894
which you can verify yourself! See question 3.6 for the rather difficult analytic calculation of
this same result.
Also importantly if we take ray r1 in plane P1 and project it to the front Principal Plane, it
intersects it at height r f . If we repeat the process for ray r2 in plane P2 and project it to the back
Principal Plane, it intersects it at height rb . It can be shown (see question 3.6), that
r f = rb
so that a ray entering Pf at height r f will leave Pb at the same height, only is direction will be
changed. This characterised the Principal Planes as Planes of Unit Magnification.
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This means that the propagation between the two principal planes is equivalent to a thin lens
of focal length f , the focal length of system. The imaging properties are shown in figure 15.
Therefore the imaging between the system input plane P1 and output plane P2 can be considered
are being:
1. Propagation from plane P1 to Pf , the front Principle Plane.
2. Refraction by an ideal thin lens of focal length f , which gives output in plane Pb , the
back Principle Plane.
3. Propagation from Pb to P2 , the output plane. (Note the expression calculated above for
the location of plane Pb is the distance from P2 Pb ).
See question 3.7 for a numerical example of this.
P1
Object
Pf
Pb
P2
v
u
f
s
Image
These assumptions have the effect of linearising the equations, (removing the sin() and ), so
allowing us to apply linear matrix methods to the problem. For optical systems this analysis
will give:
1. correct location on object, image and principal planes,
2. correct focal length and magnification,
3. no information about imaging quality (aberration),
4. no information how the performance of the system changes with object size or lens aperture size.
This scheme is however very useful in understanding the operation of pre-assembled system
and also for design of systems from pre-made components. We will be using it in Topic 5 to
look at various practical optical systems. It does not however give a detailed analysis of the
imaging quality or the design of actual components.
???
normal by u.
In three dimensions the vector formulation of Snells Law can be shown to be given by
= n2 (r2 u)
n1 (r1 u)
which for reflection,shown in figure 16.a, can be relatively simply expressed as,
u
r 2 = r 1 2 (r1 .u)
while for refraction, shown in figure 16.b, we get the rather more complex relation that,
n1 (r1 .u)]
^r
2
^u
a)
^u
b)
^r1
^r2
^r1
n1
R
n2
Figure 16: Geometry for full ray tracing with ray direction and surface normals characterised
by unit vectors.
where
1
r 1 .u 2
2 2
n2 n21 1 (r1 .u)
|r1 .u|
=
n2 (r2 .u)
provided that we are below critical angle. These expression do not simplify any further and
have to be calculated digitally at each surface3 .
So with reference to figure 17 can trace a ray from point p0 with direction r0 by,
1. find intersection point with surface S1 , being p1 . If S1 is flat, spherical or parabolic
surface the intersection point p1 has an analytic solution, for other shapes is also require
iteration,
2. find the surface normal u1 at point p1 .
3. calculate r2 from the vector form of Snells Law,
4. find intersection with S2 , being p2 , and repeat the process.
u1
u2
r1
r0
p0
p1
p2
n1
n0
S1
r2
n2
S2
In the early days this was done graphically with angles calculated by hand.
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Figure 18: Schematic of tracing a pencil of parallel rays through a positive lens. The par-axial
rays are focused a distance f behind the lens but the outer rays are focused short.
There are a series of aberrations types, and the aim of optical design is to use combination
of surfaces to cancel, or a least reduce the aberrations to an acceptable level, so that the real
system closely matches the performance of the ideal par-axial system. We will look as some
simple examples in Topic 5, but any significant analysis is beyond this type of optics course.
Optical ray tracing is an ideal computational task, being one of the first computerised numerical tasks. Optical ray tracing is usually combined with computer aided optical design in an
integrated package that allows the user to predict the optical performance of a system and also
optimise the design by iterative modification of the surfaces curvatures and component thicknesses.
3.10 Summary
In this section we have,
1. described the matrix scheme for the par-axial geometric analysis of optical system
2. shown that by tracing rays, this system can be used to determine the imaging properties
of complex optical systems,
3. shows that complex optical system can be represented by a simple 2 2 matrix, the
system matrix,
4. investigated to properties of the system matrix in particular its determinant which gives
the ratio of refractive index on object to image side of the system, and its inverse, which
gives the imaging properties of rays reversed back through the lens,
5. defined the principal planes and shown how they can be calculated from the system
matrix,
6. shown how a complex optical system can be specified by it principal planes and focal
length, and how this relates to the simple Gaussian Lens Formula,
7. discussed the limitations of matrix rays methods, and outlined the underlying models of
full ray tracing as the next level of complexity in geometric analysis of optical system.
The methods covered in this topic will be used in the analysis of practical optical systems in
Topic 5.
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Workshop Questions
3.1 Dielectric Block
Calculate the 2 2 matrix operator that corresponds to a block of dielectric material with parallel sides, length l and refractive index n.
R2
n
R1
Show that your answer is equivalent to the matrix operator for a simple thin lens.
r2
r1
f1
f2
java /ifp/java/examples/optics/ThickLens
using any of the CPL AB systems.
This program uses the D ISPLAY classes from S CIENTIFIC P ROGRAMMING to ask you for the
parameters and and performs the calculation when you click G O. It involves no programming!
dx
dx
n1 (r1 u)
is consistent with the normal formulation of Snells Law when applied to the system below.
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^r
1
n1
x
n2
^r
2
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