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Copyright © 2000 Marcel Dekker, Inc.

Copyright © 2000 Marcel Dekker, Inc.

ISBN: 0-8247-7916-9

Headquarters

Marcel Dekker, Inc.

270 Madison Avenue, New York, NY 10016

Marcel Dekker AG

Hutgasse 4, Postfach 812, CH-4001 Basel, Switzerland

tel: 41-61-261-8482; fax: 41-61-261-8896

http:/www.dekker.com

The publisher offers discounts on this book when ordered in bulk quantities. For

more information, write to Special Sales/Professional Marketing at the headquarters

address above.

Neither this book nor any part may be reproduced or transmitted in any form or by

any means, electronic or mechanical, including photocopying, micro®lming, and

recording, or by any information storage and retrieval system, without permission

in writing from the publisher.

10 9 8 7 6 5 4 3 2

John Jarem dedicates this book to his wife,

Elizabeth A. Connell Jarem, and his children,

Amy, Chrissy, and Sean.

Noriko Tsuchihashi Banerjee, and his sons,

Hans and Neil.

From the Series Editor

This volume is about neither mathematics for the sake of mathematics nor

electromagnetic theory for the sake of electromagnetic theory. It is about the

important and useful computational methods that need to be applied to the

analysis and hence the design of electromagnetic and optical systems.

Computational Methods for Electromagnetic and Optical Systems presents

the best and most pertinent mathematical tools for the solution of current

and future analysis and synthesis of systems applications without over-

generalization; that means using the best and most appropriate tools for

the problem at hand. Optical design certainly proves that some problems

can be evaluated by ray tracing; others need scalar wave theory; still others

need electromagnetic wave analysis; and, ®nally, some systems require a

quantum optics approach. Thus, rays, waves, and photons have coexisted

in optical science and engineering, each with its own domain of validity and

each with its own computational methods.

Solutions of Maxwell's equations are described that can be applied to the

analysis of diffraction gratings, radiation, and scattering from dielectric

objects and holograms in photorefractive materials. Fundamentally it is

necessary to understand how electromagnetic radiation is transmitted,

re¯ected, and refracted through one- and two-dimensional isotropic and

anistrophic materials. One- and two-dimensional Fourier transform theory

allows for the study of how spectral components are propagated. The alter-

native method of split-step beam propagation can be applied to inhomoge-

neous media.

Other computational methods covered in these pages include: coupled-

wave analysis of inhomogeneous cylindrical and spherical systems, state

variable methods for the propagation of anisotropic waveguide systems,

and rigorous coupled wave analysis for photorefractive devices and systems.

The computational methods described here should be very valuable

whether the reader needs to simulate, analyze, or design electromagnetic

and optical systems.

Brian J. Thompson

Preface

increasingly important area of research. The analysis and design of modern

applications in optics and those in traditional electromagnetics demand

increasingly similar numerical computations due to reduction in feature

sizes in optics. In electromagnetics a large amount of research concentrates

on numerical analysis techniques such as the method of moments, ®nite

element analysis, and the ®nite difference analysis technique. In the ®eld

of optics (a part of electromagnetics), much research has been done on

the analysis of thin and thick diffraction gratings for application to spectro-

metry and holography.

From the late 1970s to the present, an extremely important technique for

the analysis of planar diffraction gratings, developed by different research-

ers, has been a state variable technique called rigorous coupled wave analy-

sis. This technique is based on expanding Maxwell's equations in periodic

media in a set of Floquet harmonics and, from this expansion, arranging the

unknown expansion variable in state variable form, from which all

unknowns of the system can be solved. For planar diffraction gratings

this technique has proved to be very effective, providing a fast, accurate

solution and involving only a small matrix and eigenvalue equation for the

solution.

In control theory and applications, the state variable method has been

widely applied and in fact forms a foundation for this area. In the electro-

magnetics area (including optics), the state variable method, although a

powerful analysis tool, has seen much less application. When used, it is

applied in conjunction with other methods (for example, the spectral

domain method, transmission ladder techniques, K-space analysis tech-

niques, and the spectral matrix method) and is rarely listed as a state vari-

able method. The purpose of the present volume is to tie together different

applications in electromagnetics and optics in which the state variable

method is used. We place special emphasis on the analysis of planar diffrac-

tion gratings using the rigorous coupled wave theory method.

This book introduces students and researchers to a variety of spectral

computational techniques including K-space theory, Floquet theory, and

the beam propagation technique, which are then used to analyze a variety

of electromagnetic and optical systems. Examples include analysis of radia-

tion through isotropic and anisotropic material slabs, planar diffraction

gratings in isotropic and anisotropic media, propagation through nonlinear

and inhomogeneous optical media, radiation and scattering from three-

dimensionally inhomogeneous cylindrical and spherical structures, and dif-

fraction from photorefractive materials. The K-space and Floquet theory

are applied in the form of a recently developed algorithm called rigorous

coupled wave analysis. A full-®eld approach is used to solve Maxwell's

equations in anistropic media in which standard wave equation approach

is intractable. The spectral techniques are also used to analyze wave mixing

and diffraction from dynamically induced nonlinear anisotropic gratings

such as in photorefractive materials. This book should be particularly valu-

able for researchers interested in accurately solving electromagnetic and

optical problems involving anisotropic materials. Ef®cient and current,

rapidly convergent, numerical algorithms are presented.

The organization of the book is as follows. In Chapter 1, mathematical

preliminaries, including the Fourier series, Fourier integrals, Maxwell's

equations, and a brief review of eigenanalysis, are presented. Chapter 2

deals with the K-space state variable formulation, including applications

to anisotropic and bianisotropic planar systems. Chapter 3 covers the

state variable method and the rigorous coupled wave analysis method as

applied to planar diffraction gratings. Many types of gratings are analyzed,

including thin and thick gratings, surface relief gratings, re¯ection gratings,

and anistropic crossed diffraction gratings. In both Chapters 2 and 3, we

apply the complex Poynting theorem to validate numerical solutions.

Chapter 4 reviews the split-step beam propagation method for beam and

pulse propagation. Chapter 5 applies the state variable method and rigorous

coupled wave theory to the solution of cylindrical and spherical scattering

problems. The interesting problem of scattering from a cylindrical diffrac-

tion is considered. Chapter 6 uses state variable and full-®eld analysis to

study modal propagation in anisotropic, inhomogeneous waveguides and in

anisotropic, transversely periodic media. Chapter 7 is concerned with the use

of spectral techniques and rigorous coupled wave theory to study dynamic

waves moving in photorefractive materials with emphasis on induced trans-

mission and re¯ection gratings.

The intended primary audience is seniors and graduate students in elec-

trical and optical engineering and physics. The book should be useful for

researchers in optics specializing in holography, gratings, nonlinear optics,

and photorefractives, as well as researchers in electromagnetics working in

antennas, propagation and scattering theory, or electromagnetic numerical

methods. The book will also be of interest to the military, industry, and

academia, and to all interested in solving various types of electromagnetic

propagation problems. The book should be ideal for either classroom adop-

tion or as an ancillary reference in graduate-level courses such as numerical

methods in electromagnetics, diffractive optics, or electromagnetic scatter-

ing theory.

We would like to acknowledge Dr. Brian J. Thompson for encouraging us

to write this book and for his interest in the subject. We are also indebted to

Linda Grubbs, who typed parts of the manuscript. We acknowledge all

those who allowed us to reproduce part of their work. We also thank the

ECE department at the University of Alabama for their long-term support,

which made the writing possible. Finally, we acknowledge the support and

encouragement of our wives, Elizabeth Jarem and Noriko Banerjee, and our

parents and families, during the writing of the book.

John M. Jarem

Partha P. Banerjee

Contents

Preface

1. Mathematical Preliminaries

Cylindrical and Spherical Systems

Waveguide and Periodic Media

Analysis of Induced Photorefractive Gratings

1

Mathematical Preliminaries

1.1 INTRODUCTION

stating them. In this book, we enter into a little more depth and solve these

equations for analyzing various electromagnetic (EM) and optical problems,

e.g., diffraction gratings, radiation and scattering from dielectric objects,

and holograms in photorefractive materials. The emphasis on ®nding the

solutions in our text concerns the use of Fourier and state variable analyses.

In this chapter, we brie¯y restate Maxwell's equations and review mathe-

matical techniques pertinent to the analyses presented in later chapters.

Maxwell's equations in differential form are a set of four coupled

!

partial differential equations relating the electric ®eld E , the magnetic

! ! !

®eld H , the electric displacement, D , and the magnetic ¯ux density B :

!

r D i
1:1:1

!

r B 0
1:1:2

!

! @B

r E
1:1:3

@t

!

! ! ! @ D

r H Jc J i
1:1:4

@t

! !

In Eqs. 1.1.1±4, i denotes the impressed charge density, and J c , and J i are

conduction and impressed current densities, respectively. In time-reduced

! !

form (i.e., assuming variations of the form A Re
A exp j!t, Eqs. 1.1.1±4

read

2 Chapter 1

!

r D i
1:1:5

!

r B 0
1:1:6

! !

r E j! B
1:1:7

! ! ! !

r H Jc Ji j! D
1:1:8

In Eqs. 1.1.5±8, the electric and magnetic ®eld variables are related through

the constitutive relations as

! ! ! ! ! !

D 0 E B 0 lH J c rE
1:1:9

tively, and l are the relative permittivity and permeability tensor, respec-

tively, of the material, and r is the conductivity tensor. More general

constitutive relations that apply to, for instance, chiral media, can be

found later on in the book.

p

2, etc., where j 1, is orthogonal over an interval x0 ; x0 2=K for

any value of x0 . The orthogonality can be demonstrated by considering the

integral

x0 2=K

2

I exp jnKx exp jmKx dx 1:2:1

x0 K m;n

1 mn

m;n 1:2:2

0 m 6 n

interval x0 ; x0 2=K as

X

1

f
x Fn exp
jnKx
1:2:3

n 1

Introduction 3

Multiplying Eq. 1.2.3 by exp
jmKx, integrating over the interval
x0 ,

x0 2=K, interchanging the summation and the integral, and using Eqs.

1.2.1 and 1.2.2, we obtain

x0 2=K X

1
x0 2=K

f
x exp
jnKx dx Fn exp
jnKx

x0 n 1 x0

exp
jmKx dx

X1

2 2

Fn m;n F

n 1

K K m

Now, replacing m by n,

x0 2=K

K

Fn f
x exp
jnKx dx
1:2:4

2 x0

Note that if a function fe
x is de®ned as fe
x f
x exp
jx, where is a

constant, then over the interval
x0 ; x0 2=K, it can be written as

X

1

fe
x Fn exp
jkxn x kxn nK
1:2:5

n 1

If two functions f x and g x having Fourier series expansions

X

1 X

1

f
x Fn exp
jnKx g
x Gn exp
jnKx
1:2:6

n 1 n 1

over the same interval are multiplied, the product function h
x has a

Fourier series expansion

X

1

h
x Hn exp
jnKx
1:2:7

n 1

over the same interval. We can ®nd the Fourier coef®cients of h
x in the

following way:

4 Chapter 1

X

1 X

1

h
x f
xg
x Fn exp
jnKx Gm exp
jmKx

n 1 m 1

X

1 X

1

Fn Gm exp
j
n mKx

n 1 m 1

1:2:8

X

1 X

1

Fl m Gm exp
jlKx

l 1 m 1

X

1

Hl exp
jlKx

l 1

1 to 1. Hence the Fourier coef®cients Hl of h x can be expressed as

X

1

Hl Fl m Gm
1:2:9

m 1

precise, Eqs. 1.2.8 and 1.2.9 should be understood in the following sense [1]:

X

N

h
x lim Hl exp
jlKx

N!1

l N

!
1:2:10

X

L X

M

lim lim Fl m Gm exp
jlKx

L!1 M!1

l L m M

points. First, the two limits L and M are independent of each other, and

the inner limit has to be taken ®rst. Secondly, the upper and lower bounds in

each sum should tend to in®nity simultaneously [1].

In solving a practical problem on a computer, the truncation of the

in®nite series is inevitable. Later, in Chapter 3, we will show that there is a

convergence problem resulting from application of the Laurent rule to ®nd

the Fourier coef®cients of the product of two functions f x and g x, repre-

sented by ®nite or truncated Fourier series, which are pairwise discontinu-

ous at x x0 , though their product h x is continuous at that point. We will

further show that the convergence problem can be alleviated using the so-

called inverse rule. Situations like this arise in the analysis of surface relief

diffraction gratings in electromagnetics, when the permittivity is a discon-

tinuous function of x. In this important case, the normal electric ®eld and

Introduction 5

boundary conditions, the normal electric displacement (which is a product

of the two) must be continuous.

tion f x is given as [2]

1

F kx f x exp jkx x dx 1:3:1

1

1

1

f x F kx exp jkx x dx 1:3:2

2 1

The de®nitions for the forward and backward transforms are consistent

with the engineering convention for a traveling wave, as explained in [2].

If f
x denotes a phasor EM ®eld quantity, multiplication by exp j!t gives a

collection or spectrum of forward traveling plane waves.

The two-dimensional extensions of Eqs. 1.3.1 and 1.3.2 are

1
1

F
kx ; ky f
x; y exp
jkx x jky y dx dy
1:3:3

1 1

1
1

1

f
x; y F
kx ; ky exp
jkx x jky y dx dy
1:3:4

22 1 1

verse pro®le of an EM ®eld at a plane z. Hence in Eqs. 1.3.3 and 1.3.4,

f x; y and F kx ; ky have z as a parameter. For instance, Eq. 1.3.4

becomes

1 1

1

F x; y; z F kx ; ky ; z exp jkx x jky y dx dy

22 1 1

1:3:5

The usefulness of this transform lies in the fact that when substituted into

Maxwell's equations, one can reduce the set of three-dimensional PDEs to a

6 Chapter 1

tudes F kx ; ky ; z.

function fp n with period N can be formed as [3]

X

1

fp
n f
n rN
1:4:1

r 1

continuous function f x evaluated at the points x n.

The discrete Fourier Transform (DFT) of fp n is de®ned as

X1

N

2

Fp
mK fp
n exp
jmnK K
1:4:2

n0

N

1NX1

fp
n F
mK exp
jmnK
1:4:3

N n0 p

relationship to the z-transform, the Fourier transform and the Fourier ser-

ies, the readers are referred to any standard book on digital signal proces-

sing [3].

For the purposes of this book, the DFT is a way of numerically

approximating the continuous Fourier transform of a function. The DFT

is of interest because it can be ef®ciently and rapidly evaluated by using

standard Fast Fourier Transform (FFT) packages. The direct connection

between the continuous Fourier transform and the DFT is given below. For

a function f x and its continuous Fourier transform F kx ,

1

Fp
mK F
mK jmKj <
1:4:4

In Eq. 1.4.4, Fp
mK is de®ned, as in Eq. 1.4.2, to be the DFT of fp
n. The

equality holds for the ®ctitious case when the function is both space and

spatial frequency limited.

Introduction 7

Many of the computations in this book are based on determining the eigen-

values and eigenvectors of a matrix A. Therefore this section will brie¯y

review the methods and techniques associated with numerically solving this

problem [4,5]. The matrix A, which is a square matrix, in general transforms

a column vector x that transform into themselves and satisfy

Ax qx 1:5:1

These column vectors are called the eigenvectors of the system. The values q

which satisfy are known as the eigenvalues, the characteristic values, or the

latent roots of the matrix A. Equation 1.5.1 can be written as a linear set of

equations as

a21 x1 a22 qx2 a23 x3 a2n xn 0

1:5:2

an1 x1 an2 x2 an3 x3 ann qxn 0

where I is the identity matrix. The result of Eq. 1.5.3 is an nth order poly-

nomial called the characteristic equation or eigenvalue equation. The equa-

tion is given by

P
q qn a1 qn 1

a2 qn 2

an 1 q an
1:5:4

The roots of this equation are the eigenvalues of the matrix A. When the

roots are all unequal to one another, the roots or eigenvalues are called

distinct. When the eigenvalue occurs m times, the eigenvalue is a repeated

value of order m. When the root has a real and nonzero imaginary part, the

roots occur in complex conjugate pairs. In factored form Eq. 1.5.4 can be

written as

8 Chapter 1

The coef®cients of the eigenvalue equation can be found directly from the

matrix A. For instance, setting q to zero in Eq. 1.5.5, we ®nd

det A q1 q2 qn 1:5:7

tion and comparing the polynomial coef®cients of the resulting equation.

For example, if n 2,

1:5:8

and thus

a1 q1 q2 1:5:9

a1 q1 q2 qn 1:5:10

negative sum of diagonal coef®cients, that is,

of A.

Let Tk Tr
Ak . Then a useful formula for the coef®cient an of the char-

acteristic equation is

Introduction 9

a1 T1

1

a2
a T T2

2 1 1

1

a3
a T a1 T2 T3

3 2 1

1:5:13

1

an
a T an 2 T2 a1 Tn Tn

n n 1 1 1

For the case when the roots of P
q are distinct, a nontrivial vector xi

can be found for each root that satis®es

The matrix formed of the columns of xi is called the modal matrix M. The

name modal matrix comes from control theory where a dynamical system

can be decomposed into dynamic modes of operation. For EM diffraction

grating problems and also for EM problems which use k-space (spatial

Fourier transform) techniques, the EM ®eld solutions associated with a

state variable analysis can be decoupled into spatial mode solutions.

These modes are analogous to the dynamical modes of operation encoun-

tered in control systems.

If the eigenvalues are distinct, which is mainly the case under consid-

eration in this text, the modal matrix is nonsingular and therefore its inverse

exists. Letting M be the modal matrix, we may write

MQ AM 1:5:15

It can be shown that the inverse of M exists; hence, from Eq. 1.5.15 we

obtain

Q M 1A M 1:5:16

If Q is squared we have

Q2 M 1 A M M 1 A M M 1 A2 M 1:5:17

10 Chapter 1

have

A2 M Q2 M 1

1:5:18

Ap M Qp M 1

1:5:19

pth power. A matrix polynomial N A can be conveniently evaluated as

1

N
A M N
Q M
1:5:20

used. N Q is the diagonal matrix formed by placing in each diagonal matrix

entry the polynomial N qi . Thus the modal matrix provides a convenient

way to evaluate quickly and accurately the powers and polynomials of the

matrix A.

In this text we will be greatly concerned with calculating the exponen-

tial function of the matrix A. The exponential function of the matrix A,

namely exp A, is de®ned as

1 1

exp
A I A
A2
Ak
1:5:21

2 k!

which is the same in®nite series expansion as is used to de®ne the exponen-

tial function exp
a.

We now review two important aids that help in the solution and

evaluation of an exponential matrix and in fact any function of the matrix

A. These are called the Cayley±Hamilton theorem and the Cayley±Hamilton

technique. These aids will be presented only for the cases of matrices with

distinct eigenvalues.

The ®rst theorem to be reviewed is the Cayley±Hamilton theorem. If

we have a polynomial N
q qn c1 qn 1 cn 1 q cn then using Eq.

1.5.20 we have

2 3

N
q1 0 0

6 0 N
q2 7

6 7 1

N
A M6 0 N
q3 7M
1:5:22

4 5

..

.

Introduction 11

characteristic equation, that is, N q P q, then N qi P qi 0,

i 1; 2; ; n, and thus

2 3

0 0 0

60 0 0 7

P A M6

40

7M

5

1

0 1:5:23

0 0

We thus see that the matrix A satis®es its own characteristic equation.

Another important aid in evaluating a function of a matrix, where the

function is analytic over a given range of interest, is provided by the Cayley±

Hamilton technique. We ®rst consider the case where the analytic function is

a polynomial of higher degree than the characteristic polynomial P
q of

order n. Let the polynomial be N
q. We consider the case where the roots

(or eigenvalues) of P
q are distinct. In this case,

N
q R
q

Q
q
1:5:24

P
q P
q

Multiplying by P q, we have

substitute A for q in Eq. 1.5.25, we have

using an n 1 polynomial expression.

Consider next the case where the matrix function is a general analytic

function over a region of interest, for example F A exp A. In this case

F q can be expanded in an in®nite power series over the analytic region of

interest. As in the case when F q was a polynomial, F q can be written as

12 Chapter 1

R
q 0 1 q 2 q2 n 1 qn 1

1:5:29

We have, after evaluating Eq. 1.5.28,

F
q1 R
q1

F
q2 R
q2

1:5:30

F
qn R
qn

i 1; . . . ; n can be determined. At this point we would like to show that the

function Q q is analytic. To do this we write Q q as

F
q R
q

Q
q
1:5:31

P
q

In this expression we note that over the region of interest, the numerator

and denominator of Eq. 1.5.31 have the same zeros. Since in Eq. 1.5.31 all

functions F
q, Q
q, P
q, and R
q are analytic over the range where F
q

is, we may replace q by the matrix A. We have

Thus we have shown that the analytic matrix function F
A can be evaluated

by using a polynomial matrix expression of order n 1 as given by R
A in

Eq. 1.5.29.

Introduction 13

PROBLEMS

1. Derive the wave equation for the electric and magnetic ®elds start-

ing from Maxwell's equations in a homogeneous isotropic source

free region. How does this change if the material is anisotropic?

2. Find from ®rst principles the Fourier series coef®cients for a per-

iodic square wave s
x of unit amplitude and 50% duty cycle. Now

®nd the Fourier series coef®cients of s2
x (a) from ®rst principles

and (b) using the Laurent rule. Plot s2
x vs x by employing the

Fourier series coef®cients you found using (b). Use 5, 10 and 100

Fourier coef®cients. Describe the general trend(s).

3. Find the two-dimensional Fourier transform of a rectangle (rect)

function of unit height and width a in each dimension.

4. Show that the two-dimensional Fourier transform of a Gaussian

function of width w is another Gaussian function. Functions like

this are called self-Fourier transformable. Find its width in the

spatial frequency domain. Can you think of any other functions

that are self-Fourier transformable?

5. Find the DFT of a square wave function using a software of your

choice. Comment on the nature of the spectrum numerically com-

puted as the width of the square wave changes.

0 1

1 20 0

6. Find sin A where A is a matrix given by @ 1 7 1 A using

the Cayley Hamilton theorem [5]. 3 0 2

REFERENCES

J. Opt. Soc. Am. A, 15, 1808±1816 (1996).

2. P. P. Banerjee and T.-C. Poon, Principles of Applied Optics, Irwin, New York,

1991.

3. A. Antoniou, Digital Filters: Analysis and Design, McGraw-Hill, New York,

1979.

4. P. M. Deruso, R. J. Roy, and C. M. Close, State Variables for Engineers, John

Wiley, New York, 1967.

5. L. A. Pipes and L. R. Harvill, Advanced Mathematics for Engineers and

Scientists, McGraw-Hill, New York, 1970.

2

Spectral State Variable Formulation for

Planar Systems

2.1 INTRODUCTION

theory, and electromagnetics in general [1±34] is the way radiation is trans-

mitted, re¯ected, refracted, and propagates through two-dimensionally in®-

nite homogeneous material layer systems. This problem has been studied for

a wide variety of different material layers, e.g., isotropic dielectric materials,

isotropic permeable materials, anisotropic dielectric and permeable materi-

als, and bi-anisotropic materials. It has also been studied when a wide

variety of different types of electromagnetic (EM) source radiation is inci-

dent on, or is present in, a layer of the planar system, e.g., incident plane

wave, dipole source, line source, Gaussian beam, antenna source, wave-

guide-¯ange system, microstrip line source strip. The synthesis and design

of isotropic planar multilayer optical systems has also received considerable

attention [11-13].

In carrying out EM studies of these types of systems, a very powerful

tool for analysis [1±10] is provided by one- and two-dimensional Fourier

transform theory (also called k-space theory). This theory is a powerful tool

because it allows virtually any time-reduced EM source in any layer to be

represented as a sum of plane waves whose propagation through the layers

of the system can be analyzed in several manageable, tractable ways. Thus

by using two-dimensional Fourier transform theory one can study (a) how

individual plane spectral components propagate through the overall EM

system, (b) the strength of the spectral components that are excited by the

source in the system, and (c) the overall spatial response of the system at any

given point in the system by adding up (using superposition) the different

spectral components.

16 Chapter 2

transmission, and scattering from isotropic, anisotropic, and bi-anisotropic

planar layered media has received wide attention for a long time. References

2 and 8 give a complete review and description of re¯ection from planar

isotropic single and multilayers. A topic that has received less attention but

still has been studied by a number of researchers is the problem of determin-

ing the radiation and scattering when sources and external incident ®elds

(plane waves, Gaussian beams, etc.) excite EM ®elds in an anisotropic or bi-

anisotropic planar multilayer system. The anisotropic and bi-anisotropic

EM scattering problem is considerably more dif®cult to analyze than the

isotropic case because the anisotropic or bi-anisotropic constitutive material

parameters couple the ®eld components together, creating from Maxwell's

equations a much more complicated system than arises in the isotropic case.

In most isotropic propagation problems the typical approach, based on

Maxwell's equations, is to decouple one component from one another and

then derive a second-order partial differential wave equation from which the

solution to the EM problem can be obtained. For most anisotropic and bi-

anisotropic scattering problems this procedure is quite intractable.

Attempting this procedure for most anisotropic or bi-anisotropic systems

would lead to fourth-, sixth-, or eighth-order partial differential equations

that would be quite dif®cult to solve. For anisotropic and bi-anisotropic

materials an alternate procedure that has been developed for transversely

homogeneous planar layers is to Fourier transform all EM ®eld quantities

with respect to (w.r.t.) the transverse coordinate(s) and then algebraically

manipulate the reduced Fourier transformed ®eld variable equations into a

standard state variable form. Eigenanalysis of these ®rst-order state variable

equations yields the propagation constants and propagation modes of the

system. In this procedure, the two longitudinal ®eld components are

expressed in terms of the four transverse ®eld components and then sub-

stituted into Maxwell's equations to reduce the system to a 4 4 state

variable form. Expressing the longitudinal ®elds in terms of the transverse

®elds is useful as it allows simple boundary matching of the tangential ®eld

components from one layer interface to another. The eigenanalysis method

is also known as the exponential matrix method [25,26] and was discussed in

Chapter 1.

The approach just mentioned [18±29] will be used in this chapter and

consists of (1) replacing ®rst-order transverse derivative operators with

terms proportional to their wavenumbers @F=@x / jkx F, @F=@z /

jkz F, (2) writing out the six ®eld component equations (these equations

will contain ®rst-order longitudinal derivative operator terms @F=@y, (3)

manipulating these equations so as to eliminate the longitudinal electric

®eld component Ey and the longitudinal magnetic ®eld component Hy

Spectral State Variable Formulation 17

(this reduces the number of curl equations from six to four), and ®nally (4)

putting the four remaining equations into a standard 4 4 ®rst-order state

variable matrix equation form. The four transverse components Ex , Ez , Hx ,

and Hz form the components of the 4 1 state variable column matrix. As

shown in Section 2.4, this procedure provides a straightforward method of

analyzing bi-anisotropic material layers whenever oblique and arbitrarily

polarized plane wave radiation is incident on the material layers.

This 4 4 state variable matrix procedure has been ®rst implemented

by Teitler and Henvis [19], and perhaps others, who have reduced Maxwell's

equations in an anisotropic layer to a set of four ®rst-order linear differential

equations and then, assuming an exponential form of solution, have solved

for the normal or eigen modes that describe propagation in the layer. The

method is further developed by Berreman [20], who, starting from

Maxwell's six component equations, puts the general anisotropic equations

into a 4 4 form (where the 4 1 column vector contains the two tangential

electric ®eld components and two tangential magnetic ®eld components),

and then solves, using matrix techniques, for the four eigenvectors and

eigenvalues of the system. Berreman [20] has studied several anisotropic

material examples, including propagation in an orthorhombic crystal, pro-

pagation in an optically active material (described by the Drude model), and

propagation involving Faraday rotation based on Born's model. Berreman

[20] has also considered the state variable method as applied to determining

propagation in media that are anisotropic and longitudinally periodic. Lin-

Chung and Teitler [21], Krowne [22], and Morgan et al. [23] have used the

4 4 matrix method of Berreman [20] to study propagation of plane waves

in strati®ed or multilayer anisotropic media. Weiss and Gaylord [24] have

used the Berreman method to study strati®ed multilayer resonators and

optical ®lters (Fabry-Perot/Solc ®lter) composed of anisotropic materials.

Two recent papers by Yang [25,26] study the important problem of formu-

lating the EM state variable equations so that ef®cient numerical solution of

the equations arises. This problem has also been studied by Moharam et al.

(see Ref. 23 in Chapter 3 of this book).

Dispersion in anisotropic and birefringent materials, and properties of

the EM ®eld propagation in these materials, have been studied by many

other researchers. Yeh [27] has studied EM propagation in layered birefrin-

gent media. Alexopoulos and Uslenghi [28] study re¯ection and transmis-

sion with arbitrarily graded parameters. Graglia et al. [29] study dispersion

relations for bi-anisotropic materials and their symmetry properties. The

book by Lindell et al. [6] also quotes many papers that have studied propa-

gation in bi-anisotropic materials.

Another area where the k-space state variable analysis is useful is in

the problem of characterizing radiation from antennas, dipoles, and metallic

18 Chapter 2

papers [30±34] have studied the problem of determining the radiation from

arbitrarily oriented electric and magnetic dipoles embedded in anisotropic

planar layers. Tsalamengas and Uzunoglu [32] have studied the problem of

determining the EM ®elds of an electric dipole in the presence of a general

anisotropic layer backed by a ground plane. Their method consists of

Fourier transforming all EM ®elds in the transverse coordinates, casting

the Fourier transformed differential equations into the form of a ®rst-

order matrix differential equation, and, after solving this, matching EM

boundary conditions at the half-space±anisotropic layer interface, to deter-

mine all ®elds of the system. An interesting feature of the Tsalamengas and

Uzunoglu [32] method is that they have de®ned auxiliary vector components

(the electric ®eld and magnetic ®eld were resolved into components parallel

and perpendicular to the planar interfaces) that allow them to construct a

matrix solution where the ground plane boundary condition is built into

their matrix solution. This simpli®es the problem to matching of the bound-

ary conditions at the half space±anisotropic layer boundary. Tsalamengas

and Uzunoglu [32] have solved several numerical examples including radia-

tion from a dipole when uniaxial materials, ferrites, or magnetoplasmas

comprise the anisotropic layer. The method differs from other methods in

that the fundamental matrix differential equation is for a 2 2 matrix rather

than the usual column matrices used by almost all other researchers.

Krowne [34] has used Fourier transform theory and the 4 4 matrix

formalism of Berreman [20] to study propagation in layered, completely

general bi-anisotropic media and to study Green's functions in bi-anisotro-

pic media. Krowne's [34] analysis, in addition to determining the modes of

propagation in all bi-anisotropic layers, includes the effect of arbitrary elec-

tric and magnetic surface currents located at the interfaces of the bi-aniso-

tropic layers. The surface current sources are delta source functions in the

spatial domain and therefore planar sources in the Fourier k-space trans-

form domain.

Tang [31] has studied the EM ®elds in anisotropic media due to dipole

sources using Sommerfeld integrals and a transverse electric and transverse

magnetic decomposition of the ®elds of the system. Ali and Mahmoud [30]

have also studied dipole radiation in strati®ed anisotropic materials using a

3 3 state variable matrix technique.

In addition to the state variable analysis, a second theme that will be

developed in this chapter is the use of the complex Poynting theorem as an

information aid to the computation of the EM ®elds of the system. First, the

complex Poynting theorem will be used as a cross-check of the numerical

calculations themselves. The use of this theorem over a given region of

space, regardless of whether the region contains lossy (gain) material or

Spectral State Variable Formulation 19

not, must show equality between the power radiated out of the region and

the power dissipated and energy stored in the region. This is a more strin-

gent and useful test than the more standard test of checking conservation of

power from one layer to another. Checking power conservation from one

layer to another is a conclusive test as long as the materials inside the layers

are nonlossy. It is inconclusive if the layers inside are lossy, since in this case

the power transmitted out of a given region will necessarily be less than the

power transmitted into the given region, since some power must be dissi-

pated as heat in the lossy layer. The complex Poynting theorem on the other

hand accounts for not only all power transmitted into and out of a given

region but also all power dissipated and energy stored in the region. In a

given computation, if the surface and volume integrals of the complex

Poynting theorem do not agree precisely, some degree of numerical error

has been made in the computation. If the agreement is too poor, most likely

a signi®cant computational error has been made somewhere in the calcula-

tions, and it is most likely that the computations cannot be trusted.

A second way that the complex Poynting theorem is an aid to EM ®eld

analysis is that it can give insight into the way that energy is stored and

power is dissipated in a given region of space. Often in making EM ®eld

plots, the plots of the individual ®eld components, either electric or mag-

netic, can be deceptive, since, for example, the ®elds can appear large but in

reality be standing waves, which are actually transmitting very little real

power into a system. Plots of the energy stored and power dissipated then

give great insight into how EM radiation is actually interacting with a

material at a given place in space.

In what follows, both the state variable method (in conjunction with k-

space analysis) and the complex Poynting theorem will be applied to study a

wide variety of different EM planar re¯ection and transmission problems.

Section 2.2 will consider one of the simplest possible cases, namely when a

normally incident plane wave impinges on an isotropic lossy material slab.

Section 2.3 will study the case when an oblique incident plane wave impinges

on an anisotropic layer. Section 2.4 will develop the general 4 4 state

variable equations that apply to re¯ection and transmission through a gen-

eral bi-anisotropic layer. The analysis will apply to the case when the inci-

dent radiation is an oblique arbitrarily polarized plane wave. The complex

Poynting theorem will also be applied to this case.

Section 2.5 will consider cases when EM sources that are not plane

waves impinge on an anisotropic layer. In this section k-space theory is used

to decompose the EM source into a plane wave Fourier spectrum from

which a tractable analysis can be carried out. In particular, the cases of a

waveguide±¯ange system that radiates into an anisotropic lossy layer are

considered. The expression for the wave slot admittance is developed. In this

20 Chapter 2

considered. The complex Poynting theorem is applied to radiation in this

section. Section 2.6 summarizes the work of Tsalamengas and Uzunoglu [32]

who have considered the case of EM radiation from a dipole in the proxi-

mity of a general anisotropic grounded layer using k-space theory.

Finally, Section 2.7 presents the work of Yang [25,26], which concerns

ef®cient methods of solving the state variable equations when large evanes-

cent plane wave components are present in the analysis. In this case, the

presence of the large evanescent plane waves causes severe numerical singu-

larity of the solutions. Yang presents a method of removing these singula-

rities from the calculations, yielding a useful EM solution.

Overall in this chapter only cases of homogeneous single-layer mate-

rial slabs are considered. Only a single-layer analysis has been carried out in

order to make the analysis as simple and clear as possible. Extension to

multilayer analysis is straightforward. Later chapters use multilayer ana-

lyses extensively. The multilayer analysis is described thoroughly in these

chapters.

LAYER

2.2.1 Introduction

In this section we study one of the simplest EM state variable problems,

namely the problem of determining the EM ®elds that result when a plane

wave propagates with normal incidence in an isotropic lossy dielectric slab

~2 ~ 0 j ~ 00 , ~ 2 ~ 0 j ~ 00 ) (see Fig. 1). Three cases are studied: (1) a

plane wave is normally incident on the slab, (2) a plane wave is normally

incident on the slab backed by a perfect conductor, and (3) the EM ®elds are

excited by an electric or magnetic current source. These cases are solved by

the state variable method. Because all eigenvectors or eigenmodes of the

state variable system can be solved in closed form, these examples show in a

simple manner the principles and properties of the state variable formalism

that apply to much more complicated problems (anisotropic planar slabs,

diffraction gratings, etc.).

2.2.2 Analysis

To begin the analysis in this section we assume that all propagation is at

normal incidence and that the EM ®elds of the system in Regions 1, 2, and 3

~ y;

in an
x; ~ z

~ coordinate system are given by

Spectral State Variable Formulation 21

` ~` =0 , ` ~ ` =0 , ` 1; 2; 3, 0 8:85 10 12 (F/m), 0 4 10 7 (H/m).

!

~ a^ x

E ` Ex`
y

2:2:1

!

~ a^ z

H ` Hz`
y ` 1; 2; 3

From Maxwell's equations assuming source free regions,

! !

r~ E ` j!~ ` H `

2:2:2

! !

r~ H ` j!~` E `

@Ex`

j!~ ` Hz`

@y~

2:2:3

@Hz`

j!~` Ex`

@y~

p

the state variables Ex` Sx` , Hz` Uz` =0 , y k0 y,~ 0 0 =0 377

,

p 2

k0 ! 0 0 , where ! 2f , f is the frequency, and is the freespace

wavelength, ` ~ ` =0 `0 j`00 , ` ~` =0 `0 j`00 , and after substi-

tution we ®nd

22 Chapter 2

@Sx`

j ` Uz`

@y

2:2:4

@Uz`

j ` Sx`

@y

Letting

Sx` 0 j`

V A
2:2:5

Uz` j` 0

(and dropping the ` subscript for the moment) we may write Eq. 2.2.5 in the

general state variable from

@V
y

AV
y
2:2:6

@y

eigenvectors of the matrix A according to the equation

AV qV 2:2:7

X

N

V Cn Vn eqn y
2:2:8

n1

matrix A, and Cn are general constants. We may demonstrate that Vn eqn y is a

solution of Eq. 2.2.8 by direct substitution. We have for n 1; 2,

d=dy Vn eqn y Vn d=dyeqn y qn Vn eqn y . But qn Vn AVn , hence

d

V eqn y A
Vn eqn y
2:2:9

dy n

then gives the full EM solution.

The eigenvalues of qn , n 1; 2; of A in Eq. 2.2.7 satisfy

Spectral State Variable Formulation 23

or

q2 0 2:2:10

traveling mode in the ` 1; 2; 3 regions. Substituting in Eq. 2.2.10 we have

j2 0 j 00 0 j 00 0 2:2:11

1 0 1=2

r r 02 r 002 1=2

2

2:2:12

1 0 02 002 1=2

1=2

r r r

2

We note that qn j, n 1, corresponds to a forward traveling

wave and that qn j, n 2, corresponds to a backward traveling

wave in all regions of the system. We also note that these solutions obey

proper boundary conditions in all regions. For example, in Region 3, we

have for the forward traveling wave n 1, that for the exponential part of

the EM wave, Ex / exp y ! 0 as y ! 1 when > 0, and for the oscil-

lary part of the wave Ex y; t cos y !t, which indicates a wave traveling

to the right, since the phase velocity v' != < 0. A similar analysis in

Region 1 shows that the second eigenvalue q2 j corresponds to a

backward traveling wave.

The eigenvector V1 Sx1 ; Uz1 t , V2 Sx2 ; Uz2 t can be determined

from Eq. 2.2.7 after substitution of the eigenvalue qn , n 1; 2, into Eq.

2.2.10. For the forward traveling wave in any of the three regions we

have q1 j ,

q1 j Sx1

0 2:2:13

j q1 Uz1

dependent. We have q1 Sx1 jUz1 0 or Uz1 jq1 =Sx1 . Letting

Sx1 1, the forward traveling eigenvector is V1 1; j =T , where T

denotes the matrix transpose. Substituting the backward traveling wave with

q2 j , the backward traveling eigenvector corresponding to

q2 is V2 1; j =T .

24 Chapter 2

in Regions ` 1; 2; 3 as

!
`

E n Sxn` eqn` y a^ x

2:2:14a

!
` 1

H n Uzn` eqn` y a^ z

0

where

Sxn` 1 n 1; 2

j
` j
`

Uz1` Uz2`
22:14b

` `

` ` j`

Since the medium is linear, a superposition over the modes in Eq. 2.2.14

gives the total ®eld in any region. The total electric and magnetic ®elds

which can exist in Regions 1, 2, and 3 is given by

!
` X

2

!
`

E Cn` E n
2:2:15a

n1

!
` X

2

!
`

H Cn` H n
2:2:15b

n1

where Cn` are general complex coef®cients that need to be determined from

boundary conditions.

As a cross-check of the solution we note that for any region (suppres-

sing the ` subscript and superscript),

1 @Ex 1 j @Ex

Hz
2:2:16

j!~ @y~ 0 @y

Ex C1 exp y C2 exp y

Spectral State Variable Formulation 25

1 j

Hz C1 exp y C2 exp y 2:2:17

0

which is the same solution as Eq. 2.2.15b when the eigenvectors of Eq.

2.2.14 are used.

In addition to the ®eld amplitudes of the electric and magnetic ®elds,

another important quantity to calculate is the time-averaged power that

passes through any layer parallel to the material interface. This is explained

in detail in the next subsection.

The previous subsection has presented the EM ®eld solution for a normally

incident plane wave on a uniform, isotropic, lossy material layer. An impor-

tant numerical consideration in all computations is the accuracy with which

the numerical computations have been performed. A relatively simple test of

the computation, which applies only when the slab is lossless, is provided by

calculating the power incident on the slab, calculating the sum of the powers

transmitted and re¯ected from the slab, and then calculating the difference

of these two sums to compute the error in the numerical solution. As just

mentioned, this test applies only when the layer is lossless. When the layer is

lossy, the power re¯ected and transmitted does not equal the incident power,

since some of the power is absorbed as heat inside the material layer. In the

case when the layer is lossy, one can test numerical accuracy results by using

the complex Poynting theorem. The purpose of this section will be to present

the complex Poynting theorem (Harrington [3]) as it applies to the lossy

material slab and also to test the numerical accuracy of the EM ®eld solu-

tions that will be studied in Section 2.3.2.

For an isotropic material, the complex Poynting theorem states that

the time-averaged power delivered (meter 3 ) at a point P contained in a

! !

volume V~ ! 0 by the electric and magnetic sources J i and M i should be

balanced by the sum of (1) the time-averaged power Pf (meter 3 ) radiated

over the surface S~ enclosing the volumes V, ~ (2) the electric power PDE

3

and magnetic power PDM (meter ) dissipated over the volume V, ~ and (3)

2j! times the difference between the time-averaged magnetic energy W M

stored in V~ and the time-averaged electric energy W E stored in V, ~ where

! 2f (radians) is the angular frequency and f is the frequency in Hertz.

Mathematically the complex Poynting theorem for a general isotropic

material is given by [3]

26 Chapter 2

1 ! ! 1 ! !t ! !t

E H a^ n d S~ E J H M d V~ 0

2 S~ 2 ~

V

2:2:18

!t

where J is a general electric displacement, conduction and source current

!t

term and M represents the generalized magnetic current. Mathematically

these currents are given by

!t ! !i

J j! ~ 0 j ~ 00 E J
2:2:19

!t ! !i

M j! l~ 0 j l~ 00 H M
2:2:20

!i !i

where J and M are impressed source terms, and we have assumed that the

permittivity and permeability are complex anisotropic quantities. After

some algebra, we obtain from Eq. 2.2.18,

where

! !i ! !i

Ps 1

2 E J H M d V~

~

V

(source power)

! !

Pf 12 E H ^a^ n d S~

S~

! h 0 !i ~

PWE 2!W E 2! 41

E ~ E d V

~

V

! h 0 !i ~

PWM 2!W M 2! 14 H l~ H d V

~

V

Spectral State Variable Formulation 27

! h 00 !i ~

PDE 1

2 E ~ E d V

~

V

2:2:22

1 ! h 00 !i ~

PDM 2 H l~ H d V

V

Fig. 1. This box is assumed to have end faces that have the cross section S~

and are parallel to the interfaces of the slab. For this box we ®rst note that in

the power ¯ow integral Pf , the integral over the lateral portion of the box

(the portion between the end faces of the box) is zero. This follows since

there is no variation in the EM ®elds or power ¯ow in the x- and z-direc-

tions. Thus the power ¯ow integral can be written as a sum of the power

¯ows as calculated over the two end faces of the box.

where

! !

PIN 1

2 E H ^
a^ y d S~
2:2:24

S~ y~ ~y

! !

POUT 1

2 E H ^
a^ y d S~
2:2:25

S~ ~ y~

y

The minus sign in Eq. 2.2.25 is a result of the fact that the outward normal

on the y~ end cap is a^ y . Using Eqs. 2.2.21 and 2.2.23, we ®nd that the

complex Poynting theorem for the present problem can be written as

sionless coordinates x k0 x, ~ etc., and to normalize the complex Poynting 0

theorem equations p by

an amount of power PFS ~ 2

INC S= 20 E0 =1

p

(watts),

0

where 0 ~ 0 =~0 377

, 1 ~ 1 =~1 =0 (dimensionless), and

E02 =1 1 volt2 =m2 . With this normalization, and also carrying out all

integrals in Eqs. 2.2.22, 24, 25, each term in Eq. 2.2.26 can be written as

28 Chapter 2

! 0 ! ! 0 !

PWE 10 2 E E dy E E dy (dimensionless)

E0 `y `y

! !

PWM 0 H l 0 0 H dy (dimensionless)

`y

! 00 !

PDE E E dy (dimensionless)

`y

! !

PDM 0 H l 00 0 H dy (dimensionless)

`y

1 h ! ! i

POUT 0 2 E 0 H a^ y

E0

yy

h! ! i

E 0 H a^y (dimensionless)

yy

h! ! i

PIN E 0 H a^ y (dimensionless)

yy

h

1 1 ! ! ! ! i

Ps 0 k 0 0 E J i H M i dy

E02 `y

h

! ! ! ! i

k0 1 0 E J i H M i dy (dimensionless)

`y

meability, respectively. Substitution of the ®eld solutions as obtained

through the state variable technique into the above one-dimensional inte-

grals gives the various power terms that make up the complex Poynting

theorem. Because all permittivity and permeability tensor elements are con-

stant, and because all EM ®eld solutions in the equations are exponentials,

we note that all the one-dimensional power integrals can be carried out in

closed form. For checking numerical error, this is important, since estimates

of the error using these formulae do not depend on the accuracy of the

numerical integration.

Space

In this subsection we consider the case when a plane wave from y 1 is

normally incident as a dielectric slab. In this case the C11 and C23 coef®cients

Spectral State Variable Formulation 29

are known (see Eq. 2.2.15), with C11 E0 , where E0 is the incident ampli-

tude (volts/m), and C23 0 also, since there is no re¯ected wave from

Region 3. As the coef®cient C21 represents the complex amplitude of the

re¯ected ®eld in Region 1, we let C21 R, and since the coef®cient C13

represents the complex amplitude of the transmitted ®elds in Region 3, we

let C13 T. Using these coef®cients, the ®elds in Regions 1, 2, and 3 are

given by (see Fig. 1).

Region 1

j 1 2:2:28

Hx 1 E0 exp 1 y R exp 1 y

0 1

Region 2

1 j 2 2:2:29

Hx 2 C12 exp 2 y C22 exp 2 y

0 2

Region 3

1 j 3 2:2:30

Hz 3 T exp 3 y L

0 3

The Ex
3 and Hz
3 ®elds have been written with a exp
3
y L in order to

refer the phase of the T coef®cient to the y L boundary.

The boundary conditions require that the tangential electric and mag-

netic ®elds match at y 0, L. Matching of the tangential electric and

magnetic ®elds at y 0 and y L leads to four equations in four

unknowns, from which the EM ®elds in all regions can be determined. It

is convenient to use the electric ®eld equations at the boundaries to eliminate

the unknowns in exterior Regions 1 and 3, thus reducing the number of

equations from four to two. When we do so, we ®nd that

2
1

E a11 C12 a12 C22

1 0
2:2:31

0 a21 C12 a22 C22

30 Chapter 2

where

2
1
2

a11 a12 1

2 1 1 2

2
3

a21 exp
2 L a22 2 3 exp
2 L

2 3 2 3

2:2:32

Also

R E0 C12 C22

2:2:33

T C12 exp
2 L C22 exp
2 L

coef®cients C12 and C22 of the system.

We now apply the complex Poynting theorem of Eq. 2.2.27 to the

normal incident plane wave case being studied in this section. We assume

that the Poynting box has its left face 0:5 from the Region 1±2 interface,

i.e., y~ y~ in 0:5, and has its right face at y~ y~ out , y~ out 0. For the

present analysis there are no sources in the layer, so Ps 0. Substituting we

®nd that the complex Poynting theorem is given by

where

PDE1 PDE3 0

0

PDE2 200 c12 exp 2 y c22 exp 2 y2 dy

y2

where

yout yout > L

y2

L yout < L

Spectral State Variable Formulation 31

PDM1 PDM3 0

2 0

2

PDM2 200 2 c exp 2 y c22 exp 2 y dy

2 y2 12

PWE PWE1 PWE2 PWE3

yin

PWE1 10 E0 exp 1 y R exp 1 y2 dy

0

0

PWE2 20 c12 exp 2 y c22 exp 2 y2 dy

y2

L

PWE3 30 T exp 3 y L2 dy

y3

where

(

L yout > L

y3

yout yout < L

PWM PWM1 PWM2 PWM3

2
yin

2

PWM1 10 1 E0 exp
1 y R exp
1 y dy

1 0

2
0

2

PWM2 20 2 c12 exp
2 y c22 exp
2 y dy

2 y2

2
L

PWM3 30 3 T exp
3
y L2 dy

3 y3

PIN j 1 E0 exp
1 yin R exp
1 yin E0 exp
1 yin

1

R exp
1 yin

POUT j 2 c12 exp
2 yout c22 exp
2 yout c12 exp
2 yout

2

c22 exp
2 yout

32 Chapter 2

3

POUT j T exp
2
yout L2

3

1, T is the transmission coef®cient in Region 3, and c12 and c22 are wave

coef®cients in Region 2. The expressions for PWE3 and PWM3 have been

chosen so that when yout > L (that is, yout is in Region 2) the lower

limit y3 equals the upper limit and PWE3 and PWM3 are zero as they should

be.

The conservation theorem as given by Eq. 2.2.34 states (1) that the

sum of Re POUT and PD PDE PDM PD is real and nonnegative), which

by de®nition equals Re PBOX , should equal Re PIN and (2) that the sum of

Im POUT and the energy±power difference PWE PWM , which by de®ni-

tion equals Im PBOX , should equal the sum of Im PIN .

As a numerical example for the normal incidence case, we assume that

the layer thickness is L~ 0:6, that free space bounds the layer in Regions 1

and 3, and that the slab has a lossy permittivity given by 2 3 j0:4 and

relative permeability 2 2:5 j0:2. Figs. 2, 3, and 4 show plots of the EM

®elds and different power terms associated with the present example. Figure

2 shows the Ex electric ®eld (magnitude, real and imaginary parts) plotted

vs. the distance y~ y~ from the incident side interface. In observing the real

and imaginary plots of Ex , one notices that the standing wave wavelength of

Ex is greatly shortened in Region 2 as opposed to Region 1. This is due to

the greater magnitude of the material constants j2 j j3 j0:4j and j2 j

j2:5 j0:2j in Region 2 as opposed to Region 1. In observing the plots of

Fig. 2 one also notices that the continuity of the Ex is numerically obeyed as

expected. In Fig. 2 one also notices that the presence of the lossy layer

causes a standing wave in Region 1 with a standing wave ratio SWR

jExMAX j=ExMIN j jE0 Rj= jE0 Rj 1:2. This means that the lossy layer

represents a fairly matched load to the normally incident plane wave. In

Region 2 of Fig. 2 it is observed that the jEx j is attenuated to about 30%

as the EM wave is multiply re¯ected in the lossy layer.

In Fig. 3, plots of the real and imaginary parts of PIN and PBOX are

made as a function of the distance y~ out , the distance that the Poynting Box

extends to the right of the Region 1±2 interface. As can be seen from Fig. 3,

the complex Poynting theorem is obeyed to a high degree of accuracy as the

real and imaginary parts of PIN (solid line) and PBOX (cross) agree very

closely. One also observes that as the distance y~ OUT increases, the power

dissipated PD increases, the Re POUT decreases, and both change so as to

Spectral State Variable Formulation 33

Figure 2 The Ex electric ®eld (magnitude, real and imaginary parts) plotted versus

the distance y~ from the incident side interface is shown.

leave the sum constant and equal to Re
PIN . Also plotted in Fig. 3 is the

Im
POUT and the energy difference term PWE PWM . One observes from

these plots that the Im
POUT and PWE PWM vary sinusoidally in Region

2 and that the nonconstant portions of these curves are out of phase with

one another by 180 . Thus the sum of Im
POUT and PWE PWM is a

constant equal to Im
PIN . Thus the imaginary part of the power is

exchanged periodically between Im
POUT and PWE PWM so as to

keep the Im
PIN a constant throughout the system. Figure 4 shows plots

of the electric and magnetic energy and power stored and dissipated in the

Poynting box, again versus the distance y~OUT . As can be seen from Fig. 4,

the electric and magnetic stored energy terms PWE and PWM are nearly

equal to each other.

(RAM)

As a second example, assume that a material similar to the one in the

previous example is placed against an electric perfect conductor (EPC)

34 Chapter 2

Figure 3 Plots of the real and imaginary parts of PIN and PBOX as a function of the

distance y~ OUT .

layer. A practical application of this is in designing radar evading aircraft,

where such a layer of appropriate thickness is pasted on the metal surface of

the aircraft to minimize radar re¯ectivity. In this case the electric and mag-

netic ®eld equations at y~ 0 are the same as in the ®rst example. Thus

2
1

E a11 C12 a12 C22
2:2:35

1 0

where a11 and a12 have been de®ned previously. At y~ L~ the tangential

component of the electric ®eld must vanish due to the presence of the metal.

This leads to the equation

From these equations C12 and C22 can be determined as well as all other

coef®cients in the system.

Figure 5 shows the Re
Ex , Im
Ex , and jEx j plotted versus the dis-

tance y~ y~ from the Region 1±2 interface, using the material parameter

Spectral State Variable Formulation 35

Figure 4 Plots of the electric energy term, magnetic energy term, power stored, and

power dissipated in the Poynting box, vs. the distance y~ OUT .

values of Section 2.2.4. As can be seen from Fig. 5, the presence of the EPC

in Region 3 causes a larger standing wave (SWR) than was observed when a

free space occupied Region 3. One also notices that the presence of the EPC

causes more internal re¯ection within the slab layer, Region 2, as can be seen

by the increased ripple or decaying SWR pattern displayed by the jEx j plot.

Figure 6 shows the various normalized power terms associated with the

complex Poynting theorem of Eq. 2.2.34. Figure 6 uses the same geometry

as Fig. 3. The only difference between Fig. 3b and Fig. 6 is that an EPC is in

Region 3 of Fig. 6, whereas free space was in Region 3 of Fig. 3. As can be

seen in Fig. 6, as in Fig. 3, the complex Poynting theorem is obeyed to a high

degree of accuracy since the real and imaginary part of PIN (solid line) and

POUT (cross) agree with each other very closely. We also notice from Fig. 6

that a higher oscillation of PWE PWM and Im
POUT occurs than in Fig.

2. This higher internal re¯ection in the slab is caused by the high re¯ectivity

of the EPC at the Region 2±3 interface.

Figure 7 shows the plot of normalized re¯ected power (re¯ected

power/incident power, db) of a uniform slab that results when a plane

wave is normal to the slab. Region 3 is an EPC, and in Region 2, 2 7

36 Chapter 2

Figure 5 Plots of the Re Ex , Im Ex , and jEx j plotted versus the distance y~ .

j3:5 and 2 2:5 j0:2. In this ®gure, the normalized re¯ected power is

plotted versus the slab length L. ~ As can be seen from Fig. 7, at a slab

~

thickness of L 0:066 the re¯ectivity of the layer drops sharply (about

21 db down from the re¯ection that would occur from a perfect conductor

alone). At this slab thickness the layer has become what is called a ``radar

absorbing layer'' (RAM), since at this slab thickness virtually all radiation

illuminating a perfect conductor with this material will be absorbed as heat

in the layer and very little will be re¯ected. Thus radar systems trying to

detect a radar return from RAM-covered metal objects will be unable to

detect signi®cant power. It is interesting to note that only a very thin layer of

RAM material is needed for millimeter wave applications. For example, at

millimeter wavelengths (95 GHz), L~ 0:066 0:2088 mm.

Layered Media

In this subsection we consider the state variable analysis of the EM ®elds

!

that are excited when a planar sheet of electric surface current J S Jsx a^ x

J a^ x (Amp/m) is located in the interior of an isotropic two-layered medium.

Spectral State Variable Formulation 37

Figure 6 Plots of the various normalized power terms associated with the complex

Poynting theorem of Eq. 2.2.34. This ®gure uses the same geometry as Fig. 3.

The material slab, like the layer considered in Section 2.2.2, is assumed to be

bounded on both sides by a uniform lossless dielectric material that extends

to in®nity on each side. For this analysis we locate the origin of the coordi-

nate system at the current source and label the different regions of the EM

system as shown in Fig. 8. Following precisely the same state variable EM

analysis as we followed in Section 2.2.2, we ®nd that the general EM ®eld

solutions in each region are given by

Region 1 0

0

Ex
1 C11 0 exp
1 0
y L C21 0 exp
1 0
y L C11 0 0

2:2:37a

0 0 j
1 0

Uz
1 0 Hz
1 C 0 exp
1 0
y L
2:2:37b

1 0 21

38 Chapter 2

for the case where Region 3 is an EPC and Region 2 has 2 7 j3:5 and

2 2:5 j0:2.

Region 1

j 1

Uz 1 0 Hz 1 C11 exp 1 y C21 exp 1 y 2:2:38b

1

Region 2

j 2

Uz 2 0 Hz 2 C12 exp 2 y C12 exp 2 y 2:2:39b

2

Region 3

j 3

Uz 3 0 Hz 3 C exp 3 y L 2:2:40b

3 13

Spectral State Variable Formulation 39

Figure 8 Plots of the Re Ex , Im Ex , and jEx j plotted versus the distance y~ .

Matching the tangential electric and magnetic ®elds at the Region 1±1 0

interface and eliminating the C21 0 coef®cient, it is found that

1 0 =1 0
1 =1

C11 C21 exp
2
1 L
2:2:41

1 0 =1 0
1 =1

Matching the tangential electric and magnetic ®elds at the Region 2±3 inter-

face and eliminating the C13 coef®cient it is found that

3 =3
2 =2

C12 C22 exp
2
2 L
2:2:42

3 =3
2 =2

boundary y 0. These boundary conditions are given by

Ex 1 Ex 2 0 2:2:43b

40 Chapter 2

Region 1±2 boundary, the tangential magnetic ®eld given by Eq. 2.2.43a is

discontinuous at y 0. Performing algebra it is found that the following

equations result, from which the unknown coef®cients of the system can be

found.

j
1 j
2

1C21 1C22 0 J
2:2:44a

1 2

1C21 1C22 0
2:2:44b

results, we assume that the material slab (Region 2) has the parameters

1 2 j0:3, 1 3 j0:5, 2 3 j0:4, 2 2:5 j0:2, L~ 0:4, L~

0:5 and that Regions 1 and 3 are free space. In this example we further

assume that the Poynting box is the same one described in Section 2.2 except

that its leftmost face is located y~ OUT 0:25 to the left of the Region 1±2

interface (the source is located at the Region 1±2 interface at y~ 0), and its

rightmost face is located at y~ y~ OUT ; y~OUT 0 from the Region 1±2

interface. (See Fig. 9 inset). For the present source problem, the complex

Poynting theorem is given by

2:2:45

where

! !

PS 0 E J s 0 Ex Js y0

~

2:2:46

~

y0

~ C11 C21 is continuous at y~ 0. From Eq.

2.2.43a,

j
1 j
2

0 J
C11 C21
C C22
2:2:47

1 2 12

Thus

j
1 j

Ps
C11 C21
C11 C21 2
C12 C22
2:2:48

1 2

Spectral State Variable Formulation 41

Figure 9 Plots of different power terms that make up the complex Poynting the-

orem of Eq. 2.2.45 plotted versus the distance y~ OUT .

POUT j 1 C11 exp 1 yOUT C21 exp 1 yOUT

1

C11 exp 1 yOUT C22 exp 1 yOUT

2:2:44a

2

POUT j C12 exp
2 yOUT C22 exp
2 yOUT

2
2:2:44b

C12 exp
2 yOUT C22 exp
2 yOUT

3

POUT j T exp 3 yOUT L 2 2:2:45

3

when yOUT < L . The other terms in Eqs. 2.2.45 are given in Eq. 2.2.34.

42 Chapter 2

Figure 8 shows the Re
Ex , Im
Ex , and jEx j electric ®elds plotted

versus the distance y from the Region 1±2 interface. As can be seen from

Fig. 8, the presence of the electric current source in a lossy medium causes

the electric ®eld to be greatest at the source location and attenuate as dis-

tance increases from the source. Because the regions are different to the left

and right of the source, the ®elds are not symmetric about the source loca-

tion. In observing Fig. 8 one notices that the Re
Ex , Im
Ex , and jEx j are all

continuous at the different interfaces as they must be to satisfy EM bound-

ary conditions. Figure 9 shows different power terms that make up the

complex Poynting theorem of Eq. 2.2.45 plotted versus the distance y~ OUT .

As can be seen from Fig. 9 the real and imaginary parts of PS PSOURCE

(cross) and PBOX (solid line) agree with each other to a high degree of

accuracy, thus showing that the complex Poynting theorem is being obeyed

numerically for the present example. One also observes that as the distance

y~ OUT increases, the power dissipated PD increases, Re
POUT decreases,

and both change so as to leave the sum constant and equal to Re
PS .

Also plotted in Fig. 9 is the Im
POUT and the energy±power difference

PWE PWM . One observes from these plots that the Im
POUT and the

energy±power difference PWE PWM vary sinusoidally in Region 2 and

that the nonconstant portions of these curves are out of phase with one

another. Thus the sum of Im
POUT and PWE PWM is a constant equal

to IM
PS . Thus the imaginary part of the power is exchanged periodically

between Im
POUT and PWE PWM so as to keep the Im
PS a constant

throughout the system. Although the EM ®elds were excited by an electric

current source in Fig. 9 rather than a plane wave as in Fig. 3, the complex

Poynting numerical results in the two ®gures are similar.

LAYER

2.3.1 Introduction

Thus far we have discussed several examples of EM scattering from isotro-

pic layers. Another interesting problem is EM scattering from anisotropic

media, such as crystals and the ionosphere. This section differs from the

previous sections in two ways: namely, the media are anisotropic and couple

the ®eld components into one another, and also the EM ®elds are obliquely

incident on the dielectric slab at an angle I . The analysis [18±29] is a state

variable analysis similar to that in the previous section and gives a reason-

ably straightforward and direct solution to the problem. We note that a

traditional second-order wave equation analysis would lead to a fairly

intractable equation set, due to the anisotropic coupling of the ®elds.

Spectral State Variable Formulation 43

We assume that the plane wave is polarized with its electric ®eld in the

plane of incidence of the EM wave. The dielectric slab is assumed to be

characterized by a lossy anisotropic relative dielectric permittivity tensor

where xx , xy , yx , yy , and zz are nonzero and the other tensor elements

are zero. The geometry is shown in Fig. 10. The slab's relative permeability

is assumed to be isotropic and lossy and characterized by 0 j 00 . The

basic analysis to be carried out is to solve Maxwell's equations on the

incident side (Region 1), in the slab region (Region 2), and on the trans-

mitted side (Region 3), and then from these solutions to match EM bound-

ary conditions at the interfaces of the dielectric slab.

A state variable analysis will be used to determine the EM ®elds in the

dielectric slab region. We begin by specifying the EM ®elds in Regions 1

and 3 of the system. The EM ®elds in Region 1 are given by

ky1

E exp jky1 y R exp jky1 y exp jkx x

1 0

Cx11 exp 11 y Cx21 exp 21 y exp jkx x 2:3:1

shown. A plane wave parallel polarization is obliquely incident on the layer.

Uz 0 Hz .

44 Chapter 2

kx

E exp jky1 y R exp jky1 y exp jkx x

1 0

Cy11 exp 11 y Cy21 exp 21 y exp jkx x 2:3:2

0 Hz 1 Uz 1 y exp jkx x

E0 exp jky1 y R exp jky1 y exp jkx x

Cz11 exp 11 y Cz21 exp 21 y exp jkx x 2:3:3

p p

~ y k0 y,

where x k0 x, ~ k0 2=, kx 1 sin I , ky1 1 k2x ,

~ z k0 z,

and 0 377

; E0 is the incident plane wave amplitude, is the free space

wavelength in meters, and 1 is the relative permittivity of Region 1. The EM

®elds in Region 3 consist only of a transmitted wave and are given by

ky3

Ex
3 Sx
3
y exp
jkx x T exp
jky3
y L exp
jkx x

3

Cx13 exp
13 y Cx23 exp
23 y exp
jkx x
2:3:4

kx

Ey
3 Sy
3
y exp
jkx x T exp
jky3
y L exp
jkx x

3

Cy13 exp
13 y Cy23 exp
23 y exp
jkx x
2:3:5

0 Hz
3
3

Uz
y exp
jkx x T exp
jky3
y L exp
jkx x

Cz13 exp
13 y Cz23 exp
23 y exp
jkx x
2:3:6

p

where ky3 3 k2x , T is the transmitted plane wave amplitude, and 3 is

the relative permittivity of Region 3.

In the anisotropic dielectric slab region, Maxwell's equations are given

by

! !

r E jl
0 H

2:3:7

! ! !

r
0 H j D j
E

where we assume that l is a diagonal matrix with xx yy zz . The x

! !

component of D E is given by Dx xx Ex xy Ey xz Ez . The Dy and

Dz are similarly de®ned. In order that the EM ®elds of Region 1 and 3 phase

match with the EM ®elds of Region 2 for all x, it is necessary that the EM

®elds of Region 2 all be proportional to exp
jkx x. (This factor follows

Spectral State Variable Formulation 45

tions.) Using this fact, the electric and magnetic ®elds in Region 2 can be

expressed as

!

E
Sx
ya^ x Sy
ya^ y Sz
ya^z exp
jkx x

2:3:8

!

0 H
Ux
ya^ x Uy
ya^y Uz
ya^z exp
jkx x

Using the fact that the only nonzero EM ®eld components in Region 1 are

Ex , Ey , and Hz , a small amount of analysis shows that in Eqs. 2.3.7 a

complete ®eld solution can be found taking only Sx , Sy , and Uz to be

nonzero with Sz Ux Uy 0. Substituting Eqs. 2.3.8 in Eq. 2.3.7 and

taking appropriate derivatives with respect to x, the following equations

result:

@Sx

jkx Sy jzz Uz
2:3:9

@y

@Uz

jxx Sx jxy Sy
2:3:10

@y

jkx Uz jyx Sx jyy Sy
2:3:11

component and express the equations in terms of the Sx and Uz components

alone. Although other components could be eliminated, the Sy is the best,

since the remaining equations involve variables that are transverse or par-

allel to the layer interfaces. These variables then may be used to match

tangential EM boundary conditions directly. The Sy component is given

by (from Eq. 2.3.11)

yx k

Sy Sx x Uz
2:3:12

yy yy

" #

@Sx yx k2x

j kx S j zz U
2:3:13

@y yy x yy z

@Uz xy yx xy

j xx Sx j kx U
2:3:14

@y yy yy z

46 Chapter 2

The above equations are in state variable form and can be rewritten as

@V

AV
2:3:15

@y

where

" #

yx k2x

a11 j kx a12 j zz
2:3:16

yy yy

xy yx xy

a21 j xx a22 j kx
2:3:17

yy yy

where V Sx ; Uz t .

The basic solution method is to ®nd the eigenvalues and eigenvectors

of the state variable matrix A, form a full ®eld solution from these eigen-

solutions, and then match boundary conditions to ®nd the ®nal solution.

The general eigenvector solution is given by

V Vn exp qn y 2:3:18

satisfy

AVn qn Vn n 1; 2 2:3:19

eigenvectors of the system in closed form. The quantities qn and Vn are given

by

" #" #

a11 qn a12 Sxn

0 2:3:20

a21 a22 qn Uzn

a11 qn a12

det a11 qn a22 qn a12 a21 0

a21 a22 qn

2:3:21

Spectral State Variable Formulation 47

1=2

qn 0:5 a11 a22 0:5 a211 2a11 a22 4a12 a21 a222 n 1; 2

2:3:22

t

q a11

Vn 1; n 2:3:23

a12

The longitudinal eigenvector components Syn are given by, using Eq. 2.3.12,

yx k

Syn Sxn x Uzn n 1; 2
2:3:24

yy yy

Region 2 are given by

C1 Sx1 exp q1 y C2 Sx2 exp q2 y exp jkx x

Cx12 exp 12 y Cx22 exp 22 y exp jkx x 2:3:25

Ey 2 Sy 2 y exp jkx x

C1 Sy1 exp q1 y C2 Sy2 exp q2 y exp jkx x

Cy12 exp 12 y Cy22 exp 22 y exp jkx x 2:3:26

0 Hz 2 Uz 2 y exp jkx x

C1 Uz1 exp q1 y C2 Uz2 exp q2 y exp jkx x

Cz12 exp 12 y Cz22 exp 22 y exp jkx x 2:3:27

To proceed further it is necessary to determine the unknown coef®-

cients of the ®eld solution in Regions 1±3. In this case the unknown coef®-

cients are R, T, C1 , and C2 . In the present problem the boundary conditions

require that the tangential electric ®eld (the Ex ®eld) and the tangential

magnetic ®eld (Hz ) must be equal at the two slab interfaces. Thus in this

analysis there are four boundary condition equations from which the four

unknown constants of the system can be determined. Matching boundary

conditions at the Region 1±2 interface we ®nd

48 Chapter 2

ky1

E R C1 Sx1 C2 Sx2
2:3:28

1 0

E0 R C1 Uz1 C2 Uz2
2:3:29

ky3

T C1 Sx1 exp
q1 L C2 Sx2 exp
q2 L
2:3:30

3

T C1 Uz1 exp
q1 L C2 Uz2 exp
q2 L
2:3:31

By substituting R and T from Eqs. 2.3.28, 2.3.31 in Eqs. 2.3.29, 2.3.30, the

4 4 system may be reduced to the following 2 2 set of equations

2ky1 ky1 ky1

E0 Uz1 Sx1 C1 Uz2 Sx2 C2
2:3:32

1 1 1

ky3

0 exp
q1 L U Sx1 C1 exp
q2 L

3 z1

2:3:33

ky3

Uz2 Sx2 C2

3

The C1 and C2 can be found from the above in closed form. Using Eqs.

2.3.28, 31, the other coef®cients may be found.

This section will be concerned with presenting a numerical example from an

anisotropic layer when an obliquely incident plane wave impinges on the

layer. In this example Regions 1 and 3 are free space, and Region 2 is a

material slab with a thickness L~ 0:6 and material parameters

xx yy 2:25 j0:3, yx 0:75 j0:1. We assume the permeability to

be isotropic but lossy with zz 2 2:5 j0:2. The incident plane wave

(incident amplitude E0 1 (V/m), electric ®eld polarization in the plane of

incidence) is assume to have an angle of incidence I 25 . Figure 11

shows plots of the magnitudes of the Ex , Ey , and Uz 0 Hz EM ®elds

in Regions 1±3 as a function of y y, which is the location of the ®eld

relative to the incidence side of the Region 1±2 interface (see Fig. 10). As

can be seen from Fig. 11, the material slab represents a mismatched med-

ium to the incident wave and thus the incident and re¯ected waves inter-

fere in Region 1 forming a standing wave pattern. In Region 2, because

the layer is lossy, one also observes that all three EM ®eld magnitudes

Spectral State Variable Formulation 49

®elds in Regions 1±3 as a function of y y, which is the location of the ®eld

relative to the incidence side of the Region 1±2 interface (see Fig. 10), are shown.

SWR pattern is also observed in addition to the attenuation, which has

already been mentioned. The SWR pattern is caused by the multiple inter-

nal re¯ections that occur within the slab. In Region 3, only a forward

traveling transmitted wave is excited; thus the EM ®eld amplitude is con-

stant in this region. One also notices from Fig. 11 that the tangential

electric ®eld (Ex ) and tangential magnetic ®eld Uz 0 Hz ) are continu-

ous, and that the normal electric ®eld (Ey ) is discontinuous, as should be

the case.

Figure 12 shows plots of normalized dissipated power that results

when the complex Poynting theorem of Section 2.2 is used to study the

example of this section. In this ®gure the Poynting box has been chosen

to extend a half wavelength into Region 1 (see Fig. 12 inset) and to extend a

variable distance y~ out (units of ) into Region 2 when y~ out 0:6 and into

Regions 2 and 3 when y~ out > 0:6 into Region

3. In this ®gure Pdexx , Pdexy ,

00 00

etc. are given by the integrals Pdexx Sx xx Sx dy, Pdexy Sx xy Sy dy,

etc. and PDE Pdexx Pdexy Pdeyx Pdeyy . Also PDM Pdmzz

50 Chapter 2

Poynting theorem, as given by Eqs. 2.2.21±27 of section 2.2.3, is used to study the

example of this section are shown.

Uz zz00 Uz dy. As can be seen from Fig. 12, the dissipated electric and mag-

netic powers PDE and PDM are zero at y~ out 0 and increase in a monotonic

fashion until y~ out 0:6 where they become constant for y~ out > 0:6. This is

exactly to be expected since the only loss in the system is in Region 2 where

0 y~ out 0:6. We note also that the integrals Pdexy and Pdeyx are complex

and satisfy Pdexy P deyx as expected. Thus Pdexy Pdeyx 2Re
Pdexy . The

integrals Pdexx and Pdeyy are purely real, and thus the electric dissipation

integral PDE is purely real. Note as can be seen from Fig. 12 that although

the total electric dissipation integral is positive, the cross-term contribution

given by Pdexy Pdeyx 2Re
Pdexy is negative. This is interesting as one

would usually associate only positive values with typical power dissipation

terms.

Figure 13 shows plots of normalized energy±power terms as result

from Eqs. 2.2.21±27 using the example of this section. In this ®gure as in

the previous one, the Poynting box has been chosen to extend a half wave-

length into Region 1 (see Fig. 13 inset) and to extend a variable distance y~ out

Spectral State Variable Formulation 51

using the example of this section are shown.

into Region 2 when y~ out 0:6 and into Regions 2 and 3 when y~ out > 0:6

into Region 3. In this ®gure Pywe xx , Pywe xy , etc. are given by the integrals

0

Pwexx Sx xx Sx dy, Pwexy Sx xy 0

Sy dy, etc. and PWE Pwexx Pwexy

Pweyx Pweyy . Also PWM Pwmzz Uz zz0 Uz dy: As can be seen from

Fig. 13, the stored electric and magnetic energy±powers PWE are nonzero at

y~ out 0 and increase in a monotonic fashion thereafter. As in the case of the

dissipation power integrals, we note that the integrals Pwexy and Pweyx are

complex and satisfy Pwexy Pweyx . Thus Pwexy Pweyx 2Re
Pwexy . The

integrals Pwexx and Pweyy are purely real, so the electric energy±power inte-

gral PWE is purely real. Note that, as can be seen from Fig. 13, although the

total electric energy±power integral is positive, the cross-term contribution

given by Pwexy Pweyx 2Re
Pwexy is also negative.

Figure 14 shows plots of the real and imaginary parts of the complex

Poynting theorem terms as result from Eqs. 2.2.21±27 given the same

Poynting box as was used in Figs. 12 and 13. In this ®gure, since we are

testing the numerical accuracy of the computation formulae, we let PBOX

POUT PDE PDM j
PWE PWM and compare PIN and PBOX . As can

be seen from Fig. 14, the real and imaginary parts of PIN (cross) and PBOX

52 Chapter 2

Figure 14 Plots of the real and imaginary parts of the complex Poynting theorem

terms as results from Eqs. 2.2.21±27 given the same Poynting box as was used in

Figs. 12 and 13 are shown.

(solid line) are numerically indistinguishable from one another, showing that

the numerical computations have been carried out accurately. Figure 14 also

shows plots of Re
POUT , which decrease as y~ out increases, and PD PDE

PDM (PD is purely real), which increase as y~ out increases. As can be seen from

Fig. 14, the sum of these two quantities, namely Re
POUT PD adds to

Re
PIN , which is constant as y~out increases. It makes sense that the

Re
POUT decreases as y~ out increases, due to increased power loss as y~out

increases. Figure 14 shows plots of Im
POUT and the energy difference term

PWE PWM . As can be seen from Fig. 14, within Region 2 the two terms

are oscillatory, with the oscillatory terms out of phase with one another by

180 . The complex Poynting results of this section are similar to those of

Section 2.2.

Spectral State Variable Formulation 53

LAYER

2.4.1 Introduction

In the previous section, we have discussed re¯ection and transmission from

an anisotropic layer when an oblique incident plane wave impinges on the

slab at an angle I . It was assumed that the plane wave was polarized with its

electric ®eld in the plane of incidence of the EM wave, and the dielectric slab

was assumed to be characterized by a lossy anisotropic relative dielectric

permittivity tensor where xx , xy , yx , yy , and zz were nonzero and the

other tensor elements were zero, and the slab was assumed have a perme-

ability which was isotropic and lossy and characterized by 0 j 00 . A

generalization of this problem that will be studied in this section is to cal-

culate the EM ®elds that result when a plane wave of arbitrary polarization

is obliquely incident on a uniform bi-anisotropic material layer. This pro-

blem has been studied by many authors. Lindell et al. [6] discuss scattering

from bi-anisotropic layers extensively and include many references on this

subject. The geometry is shown in Fig. 15. Again, the basic analysis to be

carried out is to solve Maxwell's equations on the incident side (Region 1),

in the slab region (Region 2), and in the transmitted side (Region 3) and

then from these solutions to match EM boundary conditions at the inter-

faces of the dielectric slab. This solution method is similar to that of Section

shown. A general plane with arbitrary polarization is obliquely incident on the layer.

54 Chapter 2

2.3, except that the state variable analysis in Region 2 the slab region is more

complicated than in Section 2.3. The analysis will be based on the general

formulations of Refs. 18±29.

The following section covers the derivation of the state variable equations

for a single bi-anisotropic layer. Following the analysis of Lindell et al. [Eqs.

!

1.10, 2.3, 2.4], the electric ¯ux density vector D and the magnetic ¯ux

! !

density vector B can be expressed in terms of the electric ®eld E and the

magnetic ®eld H through the relations

! ! !

D ~ E m~ H
2:4:1

! ! !

B ~ E l~ H
2:4:2

~ ~ , and l~ in Eqs.

It is assumed that each component of the four dyadics ~ , m,

2.4.1 and 2.4.2 are in general lossy nonzero complex constants. After sub-

! !

stituting D and B of Eqs. 2.4.1 and 2.4.2 into Maxwell's equations, intro-

ducing the dimensionless dyadics

~ =0 0 j 00 ~ 0 l0

l l= jl 00

p ~ k0 p ~ k0 ~

a a0 ja 00 0 0 b b0 jb 00 0 0 m m

! !

and introducing normalized coordinates x k0 x,

Maxwell's curl equations become

! h ! !i

r E j a E lH
2:4:3

! h ! !i

r H j E bH
2:4:4

we let all EM ®eld components in the material layer be proportional to the

factor exp j , where k~x x~ k~z z~ kx x kz z (since an incident plane

wave possessing this factor is incident on the layer and phase matching must

occur at the interfaces of the slab), and substitute the resulting expressions

into Maxwell's normalized equations. Carrying out the above operation we

®nd that Maxwell's equations become

Spectral State Variable Formulation 55

! ! !

j exp
j r
S exp
j l U a S
2:4:5

! ! !

j exp
j r
U exp
j S b U
2:4:6

! !

E S
y exp
j
2:4:7

! !

0 H U
y exp
j
2:4:8

p

where 0 0 =0 377

:

If we carry out the differentiations as indicated by Eqs. 2.4.5 and 2.4.6,

! !

noting that S and U depend only on y, we ®nd after canceling the expo-

nential factors that

@S @Sx ! !

a^ x j z kz Sy a^ y kz Sx kx Sz a^ z kx Sy j lU a S

@y @y

2:4:9

@Uz @Ux

a^ x j kz Uy a^ y kz Ux kx Uz a^ z kx Uy j

@y @y

! !

S bU
2:4:10

Useful relations may be found from Eqs. 2.4.9 and 2.4.10, if out of the

six equations given, the longitudinal components Sy and Uy can be elimi-

nated, and equations for only the tangential components Sx , Sz , Ux and Uz

be used. This is highly useful because the tangential components can be

matched with other tangential EM ®eld components at the parallel bound-

ary interfaces.

The longitudinal Sy and Uy components can be eliminated from Eqs.

2.4.9 and 2.4.10 in the following way. We equate the y components of Eqs.

2.4.9 and 2.4.10 and after transposing terms ®nd that

2:4:10

yy Sy byy Uy yx Sx yz Sz kz byx Ux kx byz Uz

2:4:11

56 Chapter 2

2 3

Sx

" # 6 7

Sy 6 Sz 7

6 7

T22 R24 6 7
2:4:12

Uy 6 Ux 7

4 5

Uz

2 3 2 3

Sx Sx

" # 6 7 " #6 7

Sy 6 Sz 7 w11 w12 w13 w14 6 7

6 17 6 Sz 7

T R6 7 6 7
2:4:13

Uy 6 Ux 7 w21 w22 w23 w24 6 7

4 5 4 Ux 5

Uz Uz

Our next step is to substitute Sy and Uy as given by Eq. 2.4.13 into the

x and z components of Eqs. 2.4.9 and 2.4.10. Doing so thus eliminates all

longitudinal Sy and Uy terms from the equations. After performing consid-

erable algebra it is found that the Sx , Sz , Ux , and Uz components can be

placed in the following state variable form:

2 3

A11 A12 A13 A14

6 7

@V 6

6 A21 A22 A23 A24 7

7

6 7V AV
2:4:14

@y 6 A31 A32 A33 A34 7

4 5

A41 A42 A43 A44

where

A11 j zy w21 azx
azy kx w11

A12 j zy w22
azy kx w12 azz

A13 j zx zy w23
azy kx w13

A14 j zy w24 zz
azy kx w14

Spectral State Variable Formulation 57

A21 j xy w21 axx axy kz w11

A22 j xy w22 axy kz w12 axz

A23 j xx xy w23 axy kz w13

A24 j xy w24 uxz axy kz w14

A31 j zx zy w11
bzy kx w21

A32 j zy w12 zz
bzy kx w22

A33 j zy w13 bzx
bzy kx w23

A34 j zy w14
bzy kx w24 bzz

A41 j xx xy w11
bxy kz w21

A42 j xy w12 xz
bxy kz w22

2:4:15

A43 j xy w13 bxx
bxy kz w23

A44 j xy w14
bxy kz w24 bxz

Equation 2.4.14 is in state variable form and its solution can be deter-

mined from the eigenvector and eigenvalues of A as was done in Sections 2.3

and 2.2. The solution is given by

X

4

V Cn Vn exp
qn y
2:4:16

n1

2 3

Sxn

6 Szn 7

Vn 6 7

4 Uxn 5
2:4:17

Uzn

58 Chapter 2

! X 4

!

E Cn E n
2:4:18

n1

! X 4

!

H Cn H n
2:4:19

n1

where

!

E n Sxn a^ x Syn a^ y Szn a^ z exp
qn y j
2:4:20

! 1

Hn Uxn a^ x Uyn a^ y Uzn a^ z exp
qn y j n 1; 2; 3; 4

0

2:4:21

and

Syn

w24 Vn
2:4:22

Uyn

! !

®nal Cn coef®cients and thus E and H .

Solutions

In Region 1 (see Fig. 15) we assume that an oblique incident plane wave

with arbitrary polarization is incident on the bi-anisotropic material slab.

We assume that the oblique incident plane wave is given mathematically by

! !

E I S I exp
j I
2:4:23

! !!

0 H I UI HI exp
j I

!

I kI!

r kx x ky1 y kz z
2:4:24

where

! !

k I kx a^ x ky1 a^ y kz a^ z r xa^ x ya^ y za^ z
2:4:25

Spectral State Variable Formulation 59

1=2

ky1 1 1 k2x k2z 6 0
2:4:26

It is further assumed that the wave vector values kx , kz are known and given

and that the incident plane wave polarization is speci®ed by known and

given values of SxI and SzI . From Maxwell's equations and the assumed

!

known value of k I , the other ®eld components of the incident wave are

given by

kx k

SyI S z S SxI SzI
2:4:27

ky1 xI ky1 zI

1

UxI ky1 SzI kz SyI
2:4:28

1

1

UyI k S kx SzI
2:4:29

1 z xI

1

UzI k S ky1 SxI
2:4:30

1 x yI

arbitrary polarization.

The re¯ected wave in Region 1 as results from Maxwell's equations is

given by

! ! ! !

E R S R exp
j R ; 0 H R U R exp
j R
2:4:31

!

R kR!

r kx x ky1 y kz z
2:4:32

where

!

k R kx a^ x ky1 a^ y kz a^z
2:4:33

If the tangential values of the electric ®eld SxR and SzR can be found, it turns

out from Maxwell's equations that the other ®eld components of the

re¯ected wave are given by

60 Chapter 2

kx kz

SyR S S SxR SzR
2:4:34

ky1 xR ky1 zR

1

UxR k S kz SyR
2:4:35

1 y1 zR

1

UyR k S kx SzR
2:4:36

1 z xR

1

UzR k S ky1 SxR
2:4:37

1 x yR

! ! ! !

E T S T exp
j T 0 H T U T exp
j T
2:4:38

!

T k T
!

r La^ y kx x ky3
y L kz z
2:4:39

where

!

k T kx a^ x ky3 a^y kz a^ z
2:4:40

1=2

ky3 3 3 k2x k2z 6 0
2:4:41

If the tangential values of the electric ®eld SxT and SzT can be found, it turns

out from Maxwell's equations that the other ®eld components of the trans-

mitted wave are given by

kx k

SyT S z S 0 SxT 0 SzT
2:4:42

ky3 xT ky3 zT

1

UxT ky3 SzT kz SyT
2:4:43

3

1

UyT k S kx SzT
2:4:44

3 z xT

1

UzT kx SyT ky3 SxT
2:4:45

3

Now that the general EM ®elds have been found in Regions 1±3 of

space (see Fig. 15), as mentioned earlier, the next step is to match EM

boundary conditions at the Region 1±2 and Region 2±3 interfaces. The

boundary conditions for the present problem require that the tangential

Spectral State Variable Formulation 61

conditions follow from Maxwell's equations [3] using a small pillbox ana-

lysis. The boundary conditions for the present problem at the Region 1±2

interface are

X4

ExI ExR y0 Cn Exn

n1

y0

X4

EzI EzR y0 Cn Ezn

n1

y0

2:4:46

X4

HxI HxR y0 Cn Hxn

n1

y0

X4

HzI HzR y0 Cn Hzn

n1

y0

P P P

We letPSAx 4n1 Cn Sxn , SAz 4n1 Cn Szn , UAx 4n1 Cn Uxn , and

UAz 4n1 Cn Uzn , evaluate the equations at y 0 and y 0 , cancel

the exp
j
kx x kz z factor and express the unknowns of Eqs. 2.4.46,

SxR and SzR , in terms of SAx , SAz , UAx , and UAz according to the relations

2:4:47

SzR SzI SAz

2:4:48

VzI SAx kx ky1 SAz kx 1 UAz

where

VxI SxI kz SyI kz SzI 2ky1 kz

2:4:49

VzI SxI 2ky1 kx SyI kx SzI kx

The terms VxI , VzI represent the known source terms associated with the

incident plane wave. If we further substitute the sums in SAx , SAz , UAx , and

UAz and collect on the unknown coef®cients Cn in the sums, we ®nd

62 Chapter 2

X

4

VxI Cn Sxn kz Szn ky1 kz 1 Uxn

n1

2:4:50

X

4

VzI Cn Sxn kx ky1 Szn kx 1 Uzn

n1

X

4

ExT y L

Cn Exn

n1

y L

X4

EzT y L

Cn Ezn

n1

y L

2:4:51

X4

HxT y L

Cn Hxn

n1

y L

X4

HzT y L

Cn Hzn

n1

y L

Substituting

X

4

SxT Cn exp
qn LSxn

n1

2:4:52

X

4

SzT Cn exp
qn LSzn

n1

into Eqs. 2.4.51 and following a procedure very similar to the Region 1±2

interface we ®nd that

X

4

0 Cn exp
qn L Sxn kz 0 Szn ky3 kz 0 3 Uxn

n1

X

4

0 Cn exp
qn L Sxn kx 0 ky3 Szn kx 0 3 Uzn

n1

2:4:53

Spectral State Variable Formulation 63

from which the four unknown Region 2 coef®cients can be found. Once the

Cn coef®cients are found, all coef®cients of the system can be found.

In this section we present a numerical example of the theory presented in the

previous subsections. In Region 1 we assume that 1 1:3, 1 1:8, and

the incident plane wave of Eq. 2.4.27 has SxI 1 (V/m), SzI 0:9 (V/m),

p p

kx 1 1 sin I cos I , and kz 1 1 sin I sin I , where I

35 and I 65 . In Region 3 we assume that the material parameters are

3 1:9 and 3 2:7. In Region 2 we take the layer thickness L~ 0:6 and

we consider a complicated numerical example where all material parameters

of , l, a, and b of Eqs. 2.4.5 are 2.4.6) are taken to be nonzero. The material

parameters of Region 2 are taken to be

2 3

0:3 0:2j 0:15 0:2 0:2j

6 7

a6

4 0:1 0:05j 0:3 0:6 0:65j 7

5

0:05 0:1 0:1j 0:25

2 3

0:1 0:05 0:05j 0:3

6 7

b6

4 0:1 0:1j 0:01 0:01 75

0:05 0:04 0:08j 0:14

2 3 2:4:54

1:3 0:2j 0:3 0:1j 0:33 0:07j

6 7

6

4 0:1 2 0:01 7

5

0:02 0:01 3

2 3

0:1 :01 1:0 0:4j

6 7

l6

4 0:15j 2:0 0:3j 0:013 7 5

0:011 0:012 1:3 0:2j

components in Regions 1, 2, and 3 of the EM system under consideration,

and Fig. 17 shows plots of the magnitude of the Hx , Hy and Hz magnetic

®eld components in the same regions as Fig. 16. As can be seen from Figs.

16 and 17, the bi-anisotropic layer for the material values and layer thick-

ness used represents a highly re¯ective layer. This is concluded from the

large standing wave pattern observed in the re¯ected EM ®elds. It is also

64 Chapter 2

in Regions 1, 2, and 3 of the EM system of Fig. 15 are shown.

®elds, namely Ex , Ez , Hx , and Hz , are continuous at the interfaces, as they

should be if correct EM boundary condition matching is occurring. It is also

observed that the longitudinal or normal components to the interface,

namely Ey and Hy , are discontinuous at the interfaces also as one would

expect for the present problem. In Figs. 16 and 17 it is further observed that

the magnitudes of the EM ®elds are constant in Region 3. This is expected

since only a transmitted wave occurs in this region.

In concluding this section, the authors would like to make the com-

ment that the veri®cation of the complex Poynting theorem is a complicated

but important calculation for the present problem. Using Eqs. 2.2.18±20 and

!t !t

generalizing the electric and magnetic currents J and M , respectively, to

include the additional contributions resulting from the bi-anisotropic mate-

rial parameters of Region 2, one can verify the complex Poynting theorem

by using the Poynting box shown in Fig. 15. We have veri®ed that the

complex Poynting theorem is indeed obeyed to a high degree of accuracy.

Spectral State Variable Formulation 65

nents in the same regions as Fig. 16 are shown.

SOLUTION

2.5.1 Introduction

In this section we apply the state variable method to solve problems where

the EM ®eld pro®les vary in one transverse dimension and are incident on,

in general, a bi-anisotropic slab. The bi-anisotropic slab is assumed to be

bounded by either a homogeneous lossless half space or a perfect electric or

magnetic conductor. Examples of this type of problem are a one-dimen-

sional Gaussian beam incident on a material slab, an electric or magnetic

line source incident on the slab (or located within the slab), and a slot

radiating from a ground plane located adjacent to the material slab. In

this section we assume that the EM ®elds vary in the x- and y-directions

and are constant in the z-direction.

66 Chapter 2

To begin the analysis we expand the EM ®elds in Regions 1±3 in a one-

dimensional Fourier transform [1±8] (also called a k-space expansion) and

substitute these ®elds in Maxwell's equations. As in other sections, all coor-

~ etc. We have

dinates are normalized as x k0 x, y k0 y,

1

! !

E x; y S kx ; y exp j dkx 2:5:1

1

1

! !

0 H x; y U kx ; y exp j dkx 2:5:2

1

Eqs. 2.5.1 and 2.5.2 apply to Regions 1±3. Our objective is to ®nd the EM

®eld solutions in Regions 1±3 of space and then to match appropriate EM

boundary conditions at the Region 1±2 and Region 2±3 interfaces.

In Region 2, we assume the same bi-anisotropic layer as was studied in

Section 2.4. Substituting the electric and magnetic ®eld of Eqs. 2.5.1 and

2.5.2 into Maxwell's equations and interchanging the curl operators r

~

1=k0 r and Fourier integrals we ®nd that

1 n h! i h ! !i o

0 r S kx ; y exp j jl U ja S exp j dkx

1

2:5:3

1 n h! i h ! !i o

0 r U
kx ; y exp
j jb U S exp
j dkx

1

2:5:4

Setting the quantities in the curly brackets of Eqs. 2.5.3 and 2.5.4 to zero

and performing a small amount of algebra it is found that

! ! !

j exp
j r
S exp
j l U a S
2:5:5

! ! !

j exp
j r
U exp
j b U S
2:5:6

These equations are of the same form as Eqs. 2.4.5 and 2.4.6 if we take

kz 0. We thus ®nd in Region 2 that the variable equations given in Section

2.4 represent a general solution of the problem being studied here.

Spectral State Variable Formulation 67

As a speci®c example of the theory of this section we consider the problem

of a slot parallel plate waveguide radiating from an in®nite ground plane

through an anisotropic material slab into a homogeneous half space. Figure

18 shows the geometry of the system. We initially assume that the EM ®elds

inside of the slot waveguide consist only of an incident and re¯ected TEM

waveguide mode whose incident amplitude is E0 (volt/m) and whose

re¯ected amplitude is R0 (volt/m) and to be determined. The material para-

meters in the slot are taken to be lossless, isotropic, and characterized by

relative parameters 3 and 3 . We assume that the material layer (Region 2)

has a ®nite thickness L and that the only nonzero, lossy, relative material

parameters in the slab are xx , xy , yx , yy , and xx yy zz

0 j 00 . All other material parameters in a, b, , and l tensors are zero.

The in®nite half space is assumed to have lossless material parameters 1 and

1 . Assuming only a TEM wave in Region 3 we ®nd that the EM ®elds in

the waveguide slot referring to Fig. 18 are given by

E0

0 HzI exp jk3 y L 2:5:8

3

ExR R0 exp jk3 y L 2:5:9

68 Chapter 2

R0

0 HzR exp
jk3
y L
2:5:10

3

Ex
3 ExI ExR
2:5:11

Hz
3 HzI HzR
2:5:12

,

p p ~ and B~ (meter) is the waveguide slot half

3 3 =3 , k3 3 3 , B k0 B,

width. Since the EM ®elds are independent of the z-direction, it turns out

that the only nonzero ®eld components in all regions of space are the Ex , Ey ,

and Hz components. The general state variable equations given by Eqs. 2.5.5

and 2.5.6 reduce to

@V a a12

AV A 11
2:5:13

@y a21 a22

where

" #

yx k2x

a11 j kx a12 j zz
2:5:14

yy yy

xy yx xy

a21 j xx a22 j kx
2:5:15

yy yy

and where V Sx ; Uz t . These are in fact the same exact equations as were

studied in Section 2.3 except that here Sx and Uz represent k-space Fourier

amplitudes rather than spatial EM ®eld components as they did in Section

2.3. The general solution to Eqs. 2.5.13 in Region 2 is

1 "X

2

#

Ex
2 Cn Sxn exp
qn y exp
jkx x dkx
2:5:16

1 n1

1 "X

2

#

Ey
2 Cn Syn exp
qn y exp
jkx xdkx
2:5:17

1 n1

1 "X

2

#

0 Hz
2 Cn Uzn exp
qn y exp
jkx xdkx
2:5:18

1 n1

Spectral State Variable Formulation 69

where

Sxn 1
2:5:19

a qn

Uzn 11
2:5:20

a12

yx k

Syn S xU n 1; 2
2:5:21

yy yn yy zn

and where

1=2

q1 0:5a11 a22 0:5
a11 a22 2 4a12 a21
2:5:22

1=2

q2 0:5a11 a22 0:5
a11 a22 2 4a12 a21
2:5:23

only an outgoing wave can propagate away the material slab and wave-

guideslot, the EM ®elds in Region 1 are given by

1

ky1 1

Ex 1 Uz kx exp jkx x jky1 ydkx 2:5:24

1 1

1

kx 1

Ey 1 Uz kx exp jkx x jky1 ydkx 2:5:25

1 1

1

0 Hz 1 Uz 1 kx exp jkx x jky1 ydkx 2:5:26

1

where

ky1 1 1 k2x 1=2 1 1 k2x 0
2:5:27

jk2x 1 1 1=2 1 1 k2x < 0

The minus sign of ky1 (or branch of ky1 ) was chosen on the physical grounds

p

that the integrals converge as y ! 1 when the jkx j > 1 1 .

To proceed it is necessary to match EM boundary conditions at the

Region 1±2 and Region 2±3 interfaces. To facilitate the Region 2±3 EM

boundary matching, it is convenient to represent and replace the waveguide

!

aperture slot with an equivalent magnetic surface current M s backed by an

electrical perfect conductor. The boundary condition equation to determine

!

the equivalent magnetic surface current M s backed by an in®nite ground

plane is

70 Chapter 2

1

!
2 !
3 !

a^ y E E A Ms
2:5:28

y L

y L

where

!
3

E 0
2:5:29

y L

ground plane. Also

x

! 2

E EA x rect a^ 2:5:30

y L 2B x

where

rect 2:5:31

2B 0 jxj > B

EA
x represents the x-component of the electric ®eld in the aperture. Using

Eq. 2.5.30 it is found that the equivalent magnetic surface current is given by

x
1

!

M s a^ z EA
x rect a^ z M
kx exp
jkx xdkx
2:5:32

2B 1

!

The last part of Eq. 2.5.32 expresses M s in k-space. For the present problem

the aperture electric ®eld is given by Eq. 2.5.30 evaluated at y L . Thus

EA is a constant given by EA E0 R0 . Using this value of EA it is found

from Fourier inversion that

BEA sin
kx B

M
kx
2:5:33

kx B

We will now present the boundary value equations at the Region 1±2

and Region 2±3 interfaces. At the Region 1±2 interface, matching the tan-

gential electric ®eld (Ex -component) and the tangential magnetic ®eld (Hz -

component) on the y 0 (in Region 1) and y 0 (in Region 2), and at

the Region 2±3 interface, matching the tangential electric ®eld (Ex -compo-

!

nent) at y L (Region 2) to the magnetic surface current M s , and then

recognizing that the Fourier amplitudes of all the k-space integrals must

equal each other for all values of kx , we ®nd the following equations:

Spectral State Variable Formulation 71

ky1
1 X2

Uz
kx Cn Sxn
2:5:34

1 n1

X

2

Uz
1
kx Cn Uzn
2:5:35

n1

X

2

Cn Sxn exp
qn L M
kx
2:5:36

n1

If we eliminate Uz
1
kx from Eqs. 2.5.34±36 we are left with a 2 2 set of

equations from which to determine C1 and C2 in terms of M
kx . We ®nd

that

T2 M
kx

C1
2:5:37

T1 exp
q2 L T2 exp
q1 L

T1 M
kx

C2
2:5:38

T1 exp
q2 L T2 exp
q1 L

where

ky1

Tn a12 a qn n 1; 2
2:5:39

1 11

netic ®eld at y L (Region 2) should match the tangential magnetic ®eld

at y L (Region 3, inside the waveguide aperture). We have

0 Hz 2 0 Hz 3 jxj 2B 2:5:40

y L y L

2.5.40 over the width of the waveguide slot jxj < B. Integrating over jxj B

and dividing by 2B we have

B

1 1 B

0 Hz 2 dx 0 Hz 3 dx 2:5:41

2B B y L

2B B y L

The right-hand side of Eq. 2.5.41 integrates after using Eq. 2.5.12 to

B

1 1

0 Hz
3 dx E R0
2:5:42

2B B y L 3 0

72 Chapter 2

Thus

B

1 1

E R0 0 Hz
2 dx
2:5:43

3 0 2B B y L

parallel plate waveguide forms a two-conductor transmission line system.

An important quantity associated with the transmission line system is a

quantity called the transmission line admittance, which for the present

case at location y on the line y L is de®ned as

~ Hz
3
y

Y
y
2:5:44

Ex
3
y

Y y 2:5:45

0 3 E0 exp jk3 y L R0 exp jk3 y L

line admittance load, call it Y~ LOAD , is speci®ed at a given point on the line it

is possible to ®nd a relation between the incident wave amplitude E0

(assumed known) and the re¯ected wave amplitude R0 . With E0 assumed

known and R0 known from Eq. 2.5.45, the ®elds everywhere on the line can

then be determined using Eqs. 2.5.7±12.

In the present problem we de®ne a transmission line load admittance

to be located at the waveguide aperture at y L. In this case we ®nd,

calling the transmission line load admittance Y~ A` (in units of

1 (or mhos);

the subscript A refers to aperture),

Hz 3 Hz 3

1 E0 R0

Y~ A` y L

y L

2:5:46

3 EA 0 3 EA

Ex

y L

B

If we replace 1=3 E0 R0 by
1=2B B 0 Hz
2 jy L dx using Eq. 2.5.43,

we ®nd that

(
)

1 1 1 B

2

Y~ A` 0 H z dx
2:5:47

0 EA 2B B y L

Spectral State Variable Formulation 73

B

2

1=2B H

B 0 z dx

y L

YA` 0 Y~ A` 2:5:48

EA

2 into Eq. 2.5.48, interchange the dx and dkx integrals in the numerator of

Eq. 2.5.48, and cancel the common constant EA in the numerator and

denominator of Eq. 2.5.48, we ®nd the following expression for the normal-

ized aperture load admittance:

1

YA` Y kx dkx 2:5:49

1

where

2

B T2 Uz1 exp
q1 L T1 Uz2 exp
q2 L sin
kx B

Y
kx

T1 exp
q2 L T2 exp
q1 L kx B

2:5:50

We remind readers that in the above equation, the quantity in square brack-

ets is a complicated function of kx , and the Uzn , n 1; 2, are eigenvector

components associated with the magnetic ®eld in Region 2. Once the inte-

gral in Eq. 2.5.49 is carried out, YA` is known and then a relation between E0

and R0 can be found through the equation

1 E0 R0

~

YA` 0 Y
y
2:5:51

yL 3 E0 R0

system is

R0 1=3 YA`

r
2:5:52

E0 1=3 YA`

p

carrying out the integral near the points where kx k1 , k1 1 1 when

k1 jkx j k1 (this interval is in the visible region) and k1 jkx j

k1 (this interval is in the invisible region), where is a small number say on

the order of k1 =4 or possibly less. The reason for this is that the function in

square brackets in the integrand of the YA` integral may be discontinuous

74 Chapter 2

(or even singular) near the points kx k1 , and thus signi®cant numerical

error can occur if a very ®ne numerical integration grid is not used around

these points. In the present section using the quadrature formulas

kx k1 cos
u, 0 u , in the visible region and kx k1 cosh
u,

0 u 1, in the invisible region was employed to integrate the YA` inte-

gral. These formulas provide a very dense grid near kx k1 and thus

provide an accurate integration of the YA` integral.

Harrington [3, p. 183, Eqs. 4-104, 4-105] de®nes an aperture admit-

tance for the present slot radiator problem through the Parseval power

relation

P~

Y~ A
2:5:53

jVj2

where V 2BE

1 1

1

P~ Ex 2 Hz 2 d x~ E x k~x H z k~x d k~x

1 ~

y L~ y L~ 2 1

2:5:54

where E x
k~x and H z
k~x are the Fourier amplitudes (or k-space pattern

space factors) of the Ex
2 electric ®eld and the Hz
2 magnetic ®eld, respec-

tively. P~ has units of (watt/meter)=(volt amp/meter), so Y~ A has units of

(

meter 1 (or mho/meter). Substituting the EM ®eld solutions derived

earlier in Eq. 2.5.54, it is found that the aperture admittance Y~ A as de®ned

by Eq. 2.5.54 is very closely related to the transmission line load admittance

expression Y~ A` . It is related by the equation

Y~

Y~ A A`
2:5:55

2B~

We note that, in calculating the YA` integral using Eq. 2.5.49 in the

limits as L ! 0, the exponential terms in Eq. 2.5.50 approach unity, and it is

found after a small amount of algebra that

1

B1 sin kx B 2

YA` 0 Y~ A` dkx 2:5:56

1 ky1 kx B

radiating into a homogeneous lossless half space. If one substitutes Y~ A` as

Spectral State Variable Formulation 75

2.5.55, one derives the same expression as derived by Harrington [3, p. 183,

Eqs. 4-104, 4-105] for a ground plane slot radiating into a lossless half space.

Another quantity of interest is the power that is radiated as one moves

in®nitely far away from the radiating slot. The Poynting vector at a location

x cos c , y sin c , ! 1, is given by

! 1 ! 1 ! 1 1 1 1 2

S Re E H U a^ r ho 2:5:57

2 2 0 z

where

1

Uz
1 A
kx exp
jkx x jky1 ydkx
2:5:58

1

and where

BEA T2 T1 sin
kx B

A
kx 1

ky1 T1 exp
q2 L T2 exp
q1 L kx B

2:5:59

We note in passing that Eq. 2.5.58 for Yz
1 is identical to that given by

Ishimaru [4, Chapter 14] when one (1) lets the dielectric layer be isotropic,

(2) lets the slot waveguide width 2B~ approach zero while holding the voltage

potential difference between the parallel plate conductors constant, and (3)

makes the correct geometry association between Ishimaru's analysis and the

present one.

Ishimaru [4] shows, by using the method of steepest descent, that the

integral in Eq. 2.5.58 asymptotically approaches as ! 1 the value

2 1=2 j

Uz
1 F
k1 sin
'c exp jk1
2:5:60

k1 4

where

BEA T2 T1 sin kx B

1

T1 exp q2 L T2 exp q1 L kx B

2:5:61

76 Chapter 2

where k1 sin
c and k1 cos
c have been substituted for kx and ky1 , respec-

tively, in Eq. 2.5.58. To describe the radiation from the waveguide aperture

and material slab system in the far ®eld
! 1 we plot the normalized

radiation intensity, which here is de®ned as the radiation intensity, ! 1,

divided by the total radiation intensity integrated from c =2 to

c =2. This quantity is called the directive gain D
c . Applying this

de®nition and using Eqs. 2.5.60 and 2.5.61 after cancelling common factors

we ®nd

D c =2 2:5:62

=2 jF k1 sin c j2 dc

Results

As a numerical example of the radiation through a waveguide slot radiating

through the anisotropic layer under study we consider the layer formed

when 1 1 and 1 1,

2 3

xx xy 0

2 1:2 j2:6 2 4 yx yy 0 5 2:5:63

0 0 zz

where xx 2, xy 0:3, yx 0:9 j0:2, and yy 2:1. The value of zz is

immaterial to the present analysis and is not speci®ed here. For all calcula-

tions in this section the slot width has been taken to be 2B~ 0:6.

Figure 19 shows a plot of the Y
kx aperture admittance integrand

when the layer thickness has been taken to L~ 0:6. As can be seen from

Fig. 19 for the values used in the present example, the integrand converges

fairly rapidly for values of jkx j 5k1 5. An inspection of Eq. 2.5.50 for

Y
kx shows that for kx large the integrand approaches 1=k3x and thus is

guaranteed to converge. In an inspection of Fig. 19 one sees also that the

integrand Y
kx is not exactly symmetric with respect to the kx variable.

This is a result of the slot radiating through an anisotropic rather than an

isotropic medium. For the present example, the boundary of the visible and

invisible [1] (i.e., propagating and evanescent) radiation range is at

kx k1 1. One observes from Fig. 19 the effect that the discontinuous

ky1 function of Eq. 2.5.27 has on the Y
kx integrand in the kx regions near

kx k1 1. Figure 19 also lists values of the two lowest magnitude poles

which were associated with the Y
kx integrand. The two pole locations in

Spectral State Variable Formulation 77

the complex kx plane
kxp1 1:541 j0:218 and kxp2 1:567 j0:146

were nonsymmetric because of the anisotropy of the material slab. The

values of the poles were listed as they in¯uence the real kx integration

when the kx integration variable passes close to the poles' location.

Figure 20 shows a plot of the YA` aperture load admittance as a

function of the layer thickness L.~ At a value of L~ 0 the layer does not

exist, and the waveguide aperture radiates into free space. As L~ increases,

the real and imaginary parts of the aperture admittance are oscillatory up to

a value of about L~ 1, where it starts to approach a constant value.

Figure 21 shows a plot of the directive gain as a function of the angle

c . One observes from this ®gure that the radiation pattern is concentrated

in a 90 angle around the broadside direction and one also observes that the

radiation pattern is asymmetric in the angle c , with the peak radiation

value occurring at about angle c 10 . The asymmetry is caused by the

fact that the slot has radiated through an anisotropic material slab.

78 Chapter 2

Figure 20 A plot of the YA` aperture load admittance as a function of the layer

~

thickness L.

Spectral State Variable Formulation 79

GENERAL ANISOTROPIC GROUNDED LAYER [32]

2.6.1 Introduction

In the previous sections we have studied general plane-wave incidence on an

anisotropic material slab and have used one-dimensional k-space theory to

study radiation from a waveguide slot aperture into an anisotropic material.

In this section we will study the problem of determining the EM ®elds when

an electric dipole is in the presence of a slab of anisotropic material that is

backed by an electrical ground plane (see Fig. 22). As is well known, the

radiation from a dipole varies in all three dimensions in space. The solution

to this problem is one level of complexity higher than the previous example

and thus requires two-dimensional k-space theory rather than one-dimen-

sional k-space theory. Furthermore, the presence of the anisotropic layer

near the radiating dipole makes this a formidable problem to tackle. This

follows because the anisotropic material couples all of the EM ®eld compo-

nents in a very complicated way. Two-dimensional k-space theory in con-

junction with state variable techniques is probably the only tractable way to

approach this problem.

We will summarize the basic formulation and numerical solution as

presented by Tsalamengas and Uzunoglu [32], who have developed a useful

and interesting formulation to this problem that we will brie¯y summarize in

the following section. The formulation of Ref. 32 is useful because it con-

structs an EM ®eld solution that, despite the complexity of the general

anisotropic layer, builds the ground plane boundary condition (tangential

electric ®eld zero at the surface of the ground plane) into the form of the EM

®eld solution. In the following we follow the coordinate system and notation

of Ref. 32.

80 Chapter 2

Following Ref. 32 we assume that the permittivity and permeability tensor

components of the anisotropic layer are characterized by the general com-

plex values ~ and l.

~ Using the notation in Ref. 32, Maxwell's equations in

the anisotropic region [assuming exp j!t time dependence] assume the form

~ !

r

!

H a j!~ E a
2:6:1

~ !

r Ea

!

~ a

j!lH
2:6:2

where the subscript ``a'' stands for anisotropic. We express the spatial elec-

tric and magnetic ®elds in a two-dimensional k-space Fourier transform as

1
1

! ! !

Fa ~ exp
j
k~x x~ k~y yd

f a
k ; z ~ k~x d k~y
2:6:3

1 1

! !

where k k~x a~ x k~y a~ y ; F a represents, !

respectively,

! either the electric ®eld

! !

E a or magnetic ®eld H a , and where f a
k ; z ~ represents,

! respectively,

either the spectral amplitude of ! the electric ®eld !e
k ; ~

z or the spectral

! a

amplitude of the magnetic ®eld h a
k ; z. ~ Substituting the Fourier trans-

forms integrals into Maxwell's equations and collecting coef®cients of the

exponential in Eq. 2.6.3 we ®nd that

! ! !

~ j!~ !

D h a
k ; z ~

e a
k ; z
2:6:4

! ! !

D! ~

e a
k ; z j!l~ h a
k ; z

~
2:6:5

where

2 3

0 @=@z~ j k~y

6 7

D 4 @=@z~ 0 j k~x 5
2:6:6

j k~y j k~x 0

" ! ! ! # " ! ! ! #

~

k e a k ; z ~

k h a k ; z

~

ya z ! ! xa z ! ! !

a^z ! ~ k

e a k ; z a^ z h a k ; z

~ k

2:6:7

Spectral State Variable Formulation 81

We ®nd that Eqs. 2.6.4 and 2.6.5 can be put into the form

d ~

xa
z R U ~

xa
z

2:6:8

d z~ ~

ya
z V W ~

ya
z

Ref. 32.

The boundary conditions require that the tangential electric ®eld at

!

z~ 0 must be zero. This requires at z~ 0 that a^ z E a 0, which further

!

requires, by the completeness of the Fourier transform, that a^ z ! e a k ; 0

! !

0 or eax k ; 0 eay k ; 0 0. Thus the auxiliary column matrix ya z satis-

! ! ! !

®es ya 0 0, since ya1 0 k ! e a k ; 0 kx eax k ; 0 ky eay k ; 0 0

! ! ! !

and ya2 0 a^z !e a k ; 0 k eax k ; 0ky eay k ; 0kx 0.

Consider the matrix differential equation

d X R U X

2:6:9

d z~ Y V W Y

~

x11 z ~

x12 z ~

y11 z y12 z

X Y

~

x21 z ~

x22 z ~ y22 z

y21 z

If X1 and Y1 are solutions of Eq. 2.6.9 that meet the boundary conditions

X1
0 I2 and Y1
0 0 (I2 is a 2 2 identity matrix), then the solution of

Eq. 2.6.8 is given by

~ X1
z
X

xa
z ~

~ 1 1
dc
2:6:10

~ Y1
z
X

ya
z ~

~ 1 1
dc
2:6:11

are given by the solution

Y1 0

~

exp Az

X1 I2

W V

A 2:6:12

U R

82 Chapter 2

Ref. 32 as mentioned earlier. The matrix exp Az can be evaluated through

the Cayley±Hamilton by the expression

~ C0
zI

exp
Az ~ 4 C1
zA ~ 2 C3
zA

~ C2
zA ~ 3
2:6:13

~ i 0; 1; 2; 3; satisfy

where Ci
z,

X

3

~

exp
j z kj Ck
z

~ j 1; 2; 3; 4
2:6:14

k0

det I4 A 4 a1 3 a2 2 a3 1 a4 0 2:6:15

tr A3 =3, and a4 det A and where tr is the trace operator. In this

analysis, only the case of distinct roots is treated. When repeated roots are

present a more general analysis is required. After a lengthy algebraic pro-

cedure one can determine the eight matrix elements x11 z; ~ . . . ; and y11 z ~

making up the 2 2 matrices X and Y respectively. A full listing these

matrix elements is given in Ref. 32, Eqs. 16a±d and 17a±d.

Using Eqs. 2.6.4±15 one can ®nally ®nd full algebraic expressions

! for

the electric and magnetic Fourier amplitude ®eld components !

e k ; ~

z and

! ! a

~ respectively. The algebraic form of these amplitudes is given in

h a k ; z,

Ref. 32. We remind the reader that these ®eld components at this stage of

the analysis are speci®ed in terms of the still unknown c cx cy t .

Speci®cation of the general EM ®elds in the half space z~ > d~ (which contains

the electric dipole source) and boundary matching of these ®elds to ®elds of

the anisotropic layer must be performed in order to determine all ®elds of

the EM system.

The ®eld in the region z~ > d~ is the superposition of the EM ®elds due to the

dipole source and the ®elds re¯ected from the anisotropic layer. The primary

EM ®eld due to the dipole source is assumed to be excited in free space (in

the !absence of!the!

anisotropic slab) and to the electric

! dipole !current

! source

! 0

~ Letting !

J r~ p

^ r~ r~ , where z~ 0 > d. ~ and h 0 k ; z

e 0 k ; z ~ be the

two-dimensional Fourier amplitude of the electric ®eld and magnetic ®elds

due to the dipole source [using the Fourier representation as given by Eq.

Spectral State Variable Formulation 83

~ and y0
z

2.6.3, and using the auxiliary ®eld quantities x0
z ~ de®ned ana-

logously to Eqs. 2.6.10 and 2.6.11, the free space dipole can be written as

" #

1 0 jsgn
z~ z~ 0 0

~ 2

x0
z

8 jsgn
z~ z~ 0 0 j k~2
~0 1
2:6:15

!

Q exp
j k !

0

~0 jz~ z~ 0 j

" #

1
0
!0

1

0 sgn
z~ z~ 0 k~2
!0 1

~ 2

y0
z

8 0 !0
~0 1 0
2:6:16

!

Q exp
j k~ !

0

~0 jz~ z~ 0 j

2 ! 3

j p^ k 2

! ! ! 3

6 7 ~

k h 0 k ; z

6 7

Q 6 j a^ p^ !k 7 x0 z 4 5

4 z 5 ! ! !

z^ h 0 k ; z

~ k

p^ a^ z

2 ! ! ! 3

~

k e 0 k ; z

y0 z 4 5

! ! !

z^ e 0 k ; z

~ k

2:6:17

and

!0 !0

r~ ~ z~ 0 a^ z
2:6:18

For the ®eld re¯ected from the anisotropic layer (an outgoing wave moving

away from the layer),

" #" #

j
~0 0 F

~

xr
z exp
~0 jz~ ~

dj
2:6:19

0 !0 D

" #" #

0 j
~0 F

~

yr
z exp
~0 jz~ ~

dj
2:6:20

!0 0 D

84 Chapter 2

! ! !

where xr z ~ are determined from !

~ and yr z ~ and h r k ; z

e r k ; z ~ in a

manner! similar to

! ! the way x0 ~

z and y 0 ~

z were! determined

! !from

! ~ and h 0 k ; z

e 0 k ; z ~ or xa z

~ and ya z~ from ! ~ and h a k ; z.

e a k ; z ~

The ®nal step in obtaining the solution is to boundary match the

tangential EM ®elds at z~ d. ~ The total EM ®elds for z~ d~ is the sum of

the incident and re¯ected ®elds, and the total ®elds for z~ d~ is the aniso-

tropic slab ®eld; thus equating these total ®elds (using the three sets of

auxiliary vectors) we have

~ c x0
d

xa
d ~ xr
d

~
2:6:21

~ y
d

ya
d ~ y
d

~
2:6:22

0 r

On substituting Eqs. 2.6.15±20 into Eqs. 2.6.21 and 2.6.22, the following set

of 4 4 equations is obtained, from which all unknown constants of the

system can be found. The 4 4 equations are

" #" #

j
~0 0 F

c ~

x0
d
2:6:23

0 !0 D

" #" #

0 j
~0 F

~

Y1
dX ~ 1

dc ~

y0
d
2:6:24

!0 0 D

®elds in the anisotropic and isotropic regions can be speci®ed. Reference

32 gives a complete speci®cation of these ®elds both in the anisotropic

region and in the isotropic region. Reference 32, further, by letting

r ! 1, ®nds, from an asymptotic approximation of the Fourier integrals,

expressions for the electric far ®eld. From these far ®eld expressions, Ref. 32

is able to compute the far ®eld radiation patterns of the dipole anisotropic

slab.

Numerical computations [32] have been carried out for the far ®eld structure

related to several anisotropic substrates. The anisotropic cases considered

are uniaxial crystals, ferrites, and plasmas. For the ferrite and plasma layers,

the orientation of the static magnetic ®eld is taken as

Spectral State Variable Formulation 85

The general ferrite tensor l
0 ; 0 and the plasma tensor
0 ; 0 are com-

puted by applying unitary transformations to l
0 0; 0 , and
0

0; 0 , respectively. The expressions for these tensor are referred to in

[32]. For uniaxial media the N^ vector represents the orientation of the

optical axis. The direction of the radiating dipole is determined by the

unit vector p^ and is parallel to one of the unit vectors a^x , a^y , a^ z .

Figure 23 (kindly supplied to us in corrected form by the authors of

Ref. 32), gives results for E and E relative far ®eld amplitudes for a

ceramic Polytetra¯uoroethylene (PTFE) uniaxial substrate for various opti-

cal axis orientations
0 20 , 40 , 60 , and 80 ). The dielectric constants

Figure 23 Radiation patterns jE j, jE j versus in the 0 (180 ) plane for a

uniaxial substrate with xx 10:70 , zz 10:40 , l 0 I3 , d 1 mm, and

f 30 GHz. The primary source is an electric dipole located at the substrate surface

z 0 d, and its orientation is de®ned with the unit vector .

^ (# IEEE, 1985.)

86 Chapter 2

along the principal axes are ~xx ~yy 10:70 and ~zz 10:40 . In this case

the
0 ; 0 is independent of the 0 angle and l 0 I 3 . The substrate

thickness is taken to be d 1 mm. Both vertical ^ z^ and horizontal ^

x^ dipoles are considered assuming the same excitation. The variation of the

radiation diagrams is noticeable only for the horizontal dipoles, while for

the vertical dipoles there is almost no effect of the optical axis orientation.

The radiation diagrams, as in the case of isotropic substrates, retain their

symmetry with respect to the z-axis.

In treating ferrite substrates it is assumed that
0 ; 0 150 I3 and

that a strong magnetic type of anisotropy is used with ~ 11 0:6750 ,

~ 12 0:494 0 , !0 =! 2:35 [32], !
M, 0 M 0:3Wb=m2 (
being the

magnetomechanical ratio). Corresponding to various biasing static magnetic

®eld orientations, the computed radiation patterns on various constant

^

planes are given in Figs. 24±26 for x-directed dipoles. The radiation fre-

quency is taken f 30 GHz, and the ferrite layer thickness is d 1 mm. In

general there is a strong dependence of the far ®eld to 0 orientation. When

the constant observation plane coincides with the 0 plane (i.e.,

0 0) and the dipole axis is also parallel to this plane, the patterns

are axisymmetric. This symmetry is not exhibited for other observation

planes such as in Fig. 25, where patterns are varying from an almost omni-

directional coverage (0 20 ) to a rather directional diagram
0 80 ).

Figure 24 Radiation patterns jE j, jE j versus in the 90 observation plane

of a ferrite substrate for various 0 angles and 0 0 . The material properties of the

ferrite are ~ 11 0:6750 , ~ 12 0:4940 [32], and ~
0 ; 0 0 I3 , d~ 1 mm. and

f 30 GHz. The dipole axis is along the x-axis
a^ a^ x and is located at the

~ (# 1985, IEEE.)

substrate surface
z~ 0 d.

Spectral State Variable Formulation 87

Figure 25 Radiation patterns jE j, jE j versus for the same parameters as Fig. 24

except the observation plane is 0 . The magnetostatic ®eld is inside the 0 0

plane. (# 1985, IEEE.)

Figure 26 Radiation patterns jE j, jE j versus for the same parameters as Fig. 25

except the observation plane is 0 and 0 45 . (# 1985, IEEE.)

88 Chapter 2

computations have shown that the nonsymmetry in the lobe structures is

considerably smaller for weaker anisotropies 11 0:90 , 12 0:2 0 ).

With this, however, strong depolarization phenomena have been observed

with a strong dependence on the 0 angle.

Finally we consider the excitation of a grounded plasma layer with a

horizontal dipole excitation. Again the radiation frequency is f 30 GHz

and the plasma layer thickness is d 1 mm. The parameters characterizing

the plasma are taken as l 0 I3 , while 0 0; 0 is computed with !c =

!p 1:8 and !=!p 2:4. In Fig. 27 computed radiation patterns are given.

For this particular set of plasma parameters the variation in the radiation

pattern is weak. However when 0 0, strong variation in the sidelobes

is observed.

2.6.5 Conclusion

In conclusion of this section a general formulation is presented for the

analysis of an EM ®eld originating from an arbitrary oriented dipole source

in the presence of a grounded general anisotropic layer. The Green's func-

tion is determined by using linear algebra techniques without restriction on

the anisotropic permittivity or permeability. Several numerical examples

have been presented.

Figure 27 Radiation patterns jE j, jE j versus in the 0 plane for a grounded

plasma layer with !c =!p 1:8, !=!p 2:4, d~ 1 mm, and f 30 GHz [32]. The

~ and

^ and it is located on the plasma surface
z~ 0 d

dipole is along the x-axis
^ x,

0 0 . (# 1985, IEEE.)

Spectral State Variable Formulation 89

ELECTROMAGNETIC FIELDS IN A GENERALIZED

ANISOTROPIC MEDIUM [25, 26]

2.7.1 Introduction

In the previous sections a 4 4 matrix formulation has been presented to

study EM ®elds in an anisotropic or bi-anistropic medium. As mentioned

previously, for anisotropic or bi-anisotropic media, the full ®eld method is

the only tractable method, because of the analytic complexity of dealing

with the complicated coupled tensor equations that result. A critical step

in the state variable or exponential matrix method is to develop the transi-

tion matrices, which relate the EM ®elds at one planar interface to others.

This method, although ef®cient at handling the formulation, has problems

in the actual numerical computation. Problems arise when the wave num-

bers in the direction of the inhomogeneity are complex valued. If the layers

are electrically thick enough, the transition matrices become numerically

singular due to some exponentially large matrix elements. The problem of

singularity of the transition matrix is particularly severe in systems that have

sharp discontinuities such as antennas and circuits, as these systems generate

signi®cant evanescent ®elds; thus generating the correct numerical solution

in the evanescent wave number range is dif®cult.

In this section a scheme utilizing variable transformation is developed.

The idea is to extract the large exponential terms in the formulation and

transform them into variables that are then used to represent the ®elds at

each interface. In the following section only a single layer analysis is per-

formed. A detailed review of this algorithm as applied to multilayer analysis

is given in Ref. 25. In the following we use the coordinate system and

notation of Yang [26] to describe the ®eld problem. Yang refers to this as

the spectral recursive transformation method [25].

Method

We consider the problem of a plane wave scattering from a planar (x-y

~ shown in Fig. 28. All coor-

plane) generalized anisotropic layer 0 < z~ < d

dinates and ®eld quantities are in unnormalized coordinates. The approach

using ®eld excitation by current sources is similar in principle to plane wave

analysis under consideration. The extension of the method to multilayer

systems is discussed elsewhere [25]. In the spectral exponential matrix

method the x~ and y~ spectral ®eld components in the anisotropic medium

derived from Maxwell's equations with some algebraic manipulation

90 Chapter 2

Figure 28 Re¯ection from an in-plane biased ferrite layer. Biased ®eld
H0 1000

Gauss in the a^x direction; magnetization 2500 Gauss. Transverse magnetic incidence

i 30 and i 40 , ~f 12:80 , and d~ 3 cm. (Copyright 1995, IEEE [26].)

Tsalamengas and Uzunoglu [32]. In matrix form the equations are

@ ~ ~

w
z Aw
z
2:7:1

@z~

where

2 3

k~x H~ x k~y H~ y

6 k~ H~ k~x H~ y 7

~ z 6 7

w
~ 6 y x 7
2:7:2

4 k~x E~ x k~y E~ y 5

k~y E~ x k~x E~ y

and A is a 4 4 matrix where the elements are functions of spectral vari-

ables k~x and k~y and material parameters. If one de®nes the 4 4 matrix r~ as

the eigenvector matrix with the eigenvalues i , i 1; 2; 3; 4, of A, the solu-

tion of Eq. 2.7.1 is

h i

~ d~ T d

~ ~ 0 2:7:3

Spectral State Variable Formulation 91

where

2 3

~

exp
1 d 0 0 0

6 7

6 0 ~

exp
2 d 0 0 7

~ ~ 6 7 ~ 1

T
d /6 7/

6 0 0 ~

exp
3 d 0 7

4 5

0 0 0 ~

exp
4 d

2:7:4

The electromagnetic ®elds in the air
z~ d~ and z~ 0 ) can be derived

from a set of transverse electric and transverse magnetic vector potential

functions. This result can be shown to be

2 q 3

ja 0 k~2 k20

6 7

6 7

6 ! b 0 7

~ 6 q 7

w
d

6 0

7

6 0 ~2 7

6 jb k k 27

4 05

!0 a 0

2 q 3
2:7:5

jc 0 k~2 k20

6 7

6 7

6 !0 d 0 7

~ 6 7

w
0 6 q 7

6 7

6

4 jd 0 k~2 k20 7 5

!0 c 0

equation

~

w
d ~ w
0

T
d ~ Qinc
2:7:6

q

where k~ k~2x k~2y and where Qinc is related to the incident plane wave.

For the problem with a current source the right-hand side should be the

corresponding spectral current component. The state variable exponential

matrix method described above is rigorously correct. However in numerical

implementation this method may break down. Without loss of generality it

is assumed that Re
1 Re
2 Re
3 Re
4 . In many practical

applications when Re
1 1, the transition matrix de®ned in Eq. 2.7.4

92 Chapter 2

2.7.6 provides erroneous results.

In Eq. 2.7.4 the transition matrix can be written

~

T
d exp
1 dA ~

1 exp
2 dA2
2:7:7

where the singular matrices A1 and A2 do not contain any terms that grow

exponentially. We have

2 3

1 0 0 0

6 7

60 0 0 07

6 7~

A1 r~ 6 7r

1

2:7:8

60 0 0 07

4 5

0 0 0 0

and

2 3

0 0 0 0

60 1 0 0 7

6 7~

A2 r~ 6

1

~ 7r
2:7:9

40 0 exp
3 2 d 0 5

0 0 0 exp
4 ~

2 d

Note that A1 is obtained from Eq. 2.7.4 by replacing the terms of exp
2 d,

exp
3 d, and exp
4 d with 0 and replacing exp
1 d with 1. Since A1 is a

singular matrix, it can be shown that

2 3

a1

6 7

6 a2 7

~ 6 7

0 0

A1 w
0
c d 6 7
2:7:10

6 a3 7

4 5

a4

found from Eqs. 2.7.6, 2.7.7, and 2.7.8. In order to overcome the over¯ow

problem, the following variable transformations are de®ned:

~ u

c 0 d 0 exp
1 d
2:7:11

~ v

c 0 d 0 exp
2 d
2:7:12

Spectral State Variable Formulation 93

where u and v are the new variables replacing c 0 and d 0 . With the variable

transformations, we have

2 3 2 q 3

a1 j k~2 k20

6 7 6 7

6 a2 7 6 7

6 7 u 6 !0 7

~ w
0

T
d ~ u6 7 A exp
2 ~

1 d6 q 7

6 a3 7 2 6 7

4 5 6 j k~2 k20 7

4 5

a4

!0

2 q 3

j k~2 k20

6 7

6 7

v 6 !0 7

A2 6 q 7

6 6

7

4 j k~2 k2 7 0 5

!0

2:7:13

Upon inspecting Eq. 2.7.13, one observes why the transformation provides a

stable invertible matrix equation from which to determine the unknown

coef®cients a 0 , b 0 , u, and v (and therefore c 0 and d 0 ). The right-hand side

of Eq. 2.7.13 is a sum of an exponential and two nonexponential terms.

When 1 2 , the exponential term becomes much smaller than the

nonexponential terms. In this case, when the left-hand side is then numeri-

cally computed, the exponential term will make a negligible contribution to

the matrix elements of Eq. 2.7.6, and the nonexponential terms alone will

provide a ®nite and numerically correct value for the matrix elements of the

system. As mentioned earlier, without using this transformation, a row of

exponentially small matrix elements exists, leading to numerical singularity

of the matrix equation.

A practical example of the case of scattering from a biased ferrite layer is

shown in Fig. 28. It is known that the (magnetically) biased ferrites may

couple ordinary and extraordinary waves due to the presence of magnetic-

®eld-dependent off-diagonal terms in the permeability tensor. Hence an

incident ordinary wave could excite extraordinary waves inside the material.

The extraordinary wave is evanescent [35]. When the decay factor of this

extraordinary wave is large, the matrix equation that directly results from

boundary matching is no longer numerically invertible, for reasons dis-

94 Chapter 2

used. The result for the re¯ection from a biased ferrite layer is shown in Fig.

28 for both methods. It is seen that there exists a frequency band where the

ordinary transition matrix method provides nonphysical results. Outside

this frequency band the two methods provide identical results. Further

examples of the variable transformation technique can be found from [25].

2.7.4 Conclusion

A numerical algorithm was developed for the computation of EM ®elds in a

generalized anisotropic structure. The proposed method using variable

transformation overcomes the dif®culty frequently encountered in the tran-

sition cascade method, without increasing computational time or memory.

The extension of this technique to multilayer structures is given in detail by

Yang [25].

PROBLEMS

1. Using the wave equation for the electric ®eld, write down the EM

®eld solutions in the three regions in Fig. 1. Assume normal

incidence from Region 1. Show that your results are the same

as the state variable solutions of Section 2.2.

2. If the interface between Regions 2 and 3 in Fig. 2 has a perfectly

electrically conducting surface, write down the state variable

solutions in each of the three regions for normal incidence

from Region 1. Using these solutions and the EM boundary

conditions, solve for all the EM ®elds.

3. Extend the state variable solutions developed in Sec. 2.2 to the

case of normal incidence onto 2 layers sandwiched in air. Assume

that the permeabilities of the layers are equal to that of free

space, and that the layer relative permittivities are 2 and 4.

Determine the condition on layer thicknesses to achieve maxi-

mum re¯ection from the sandwich.

4. Verify the complex Poynting theorem for the solutions to the

two-layer sandwich in Problem 3. Assume the Poynting box to

be of unit cross-sectional area and of suf®cient thickness to

enclose both layers.

5. If the electric current source in Fig. 8 is replaced with a magnetic

current source, ®nd the ®eld solutions for the system.

6. Starting from Eq. (2.3.7), develop the state variable solution for

the case where the permeability is anisotropic (xx ; xy ; yx ; yy ,

Spectral State Variable Formulation 95

that plane wave which is polarized with its electric ®eld perpen-

dicular to the plane of incidence impinges on the layer.

7. Develop the EM ®eld solutions within a bi-isotropic ("; ; a; b

scalar) layer immersed in air and for the case a b.

8. A propagating transverse magnetic (TM) mode whose longitudi-

hm i

nal electric ®eld is given Ey A sin x B exp y is inci-

2B

dent on the anisotropic layer shown in Fig. 18. Assume only a

single TM mode is re¯ected from the layer.

a) Determine the EM ®elds associated with the incident TM

mode.

b) Determine the EM ®elds associated with the re¯ected TM

mode.

c) Determine the state variable equations and solutions which

electromagnetically couple to the incident and re¯ected ®elds

from the slot waveguide.

d) Determine the EM ®eld solution which exists in Region 1 of

Fig. 18 (Sec. 2.5).

e) Follow the procedure outlined in Sec. 2.5 to determine the

re¯ection coef®cient of the incident TM mode.

f) Find the far ®eld radiation pattern associated with the

system.

9. Repeat Problem 8 assuming a transverse electric (TE) mode is

incident in the waveguide. How does this mode couple to the

anisotropic layer?

10. Solve Problem 8 exactly by including in your solution all propa-

gating and evanescent TEM, TE, and TM modes which may be

re¯ected from the anisotropic layer system. What is the coupling

that occurs between the TEM, TE, and TM modes?

11. a) Considering the slot-waveguide, anaisotopic layer system

displayed in Fig. 18, using the parameters; "xx 2.,

"xy "yx :5, "yy 4: "zz 1:, "xz "zx "yz "zy 0:,

1. (all regions), waveguide width equal to :9; and

using the numerical method described in Sec. 2.5, determine

the EM ®elds of the system if the layer thickness is :2:

b) Using the numerical algorithm and parameters of Part a),

investigate the largest thickness that may be used before

numerical instability of the solution becomes evident.

c) Use the spectral recursive transformation method of Yang

[25, 26] described in Sec. 2.7, to obtain numerically stable

EM solution for layer thickness which were equal to or

greater than those determined in Part b) to lead to numerical

instability.

96 Chapter 2

REFERENCES

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3. R. F. Harrington, Time-Harmonic Electromagnetic Fields, McGraw-Hill, New

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4. A. Ishimaru, Electromagnetic Wave Propagation, Radiation and Scattering,

Prentice Hall, Englewood Cliffs, New Jersey, 1991.

5. L. B. Felson and N. Marcuvitz, Radiation and Scattering of Waves, Prentice

Hall, Englewood Cliffs, New Jersey, 1973.

6. I. V. Lindell, A. H. Sihvola, S. A. Tretyakov, and A. J. Viitanen,

Electromagnetic Waves in Chiral and Bi-Isotropic Media, Artech House,

Boston, London, 1994.

7. J. Galejs, Antennas in Inhomogeneous Media, Pergamon Press, Oxford, 1969.

8. J. R. Wait, Electromagnetic Waves in Strati®ed Media, Pergamon Press,

Oxford, 1970.

9. S. V. Marshall, R. E. DuBroff, and G. G. Skitek, Electromagnetic Concepts and

Applications, 4th ed., Prentice Hall, Englewood Cliffs, New Jersey, 1996.

10. P. P. Banerjee and T. C. Poon, Principles of Applied Optics, Aksen Associates,

Homewood, IL.

11. P. Baumeister, Utilization of Kard's equations to suppress the high frequency

re¯ectance bands of periodic multilayers, Appl. Opt., 24, 2687±2689 (1985).

12. J. A. Dobrowolski and D. Lowe, Optical thin ®lm synthesis based on the use of

Fourier transforms, Appl. Opt., 17, 3039±3050 (1978).

13. W. H. Southwell, Coating design using very thin high- and low-index layers,

Appl. Opt., 24, 457±460 (1985).

14. J. M. Jarem, The minimum quality factor of a rectangular antenna aperture,

Arab. J. Sci. Eng., 7(1), 27±32 (1982).

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ture system, J. Appl. Phys., 59(10), 3566±3570 (1986).

16. J. M. Jarem, The input impedance and antenna characteristics of a cavity-

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into an anisotropic dielectric half space, IEEE Trans. Antennas Propagation,

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18. D. A. Holmes and D. L. Feucht, Electromagnetic wave propagation in bire-

fringent multilayers, J. Opt. Soc. Am., 56, 1763±1769 (1966).

19. S. Teitler and B. W. Henvis, Refraction in strati®ed, anisotropic media, J. Opt.

Soc. Am., 60, 830±834 (1970).

20. D. W. Berreman, Optics in strati®ed and anisotropic media: 4 4-matrix for-

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21. P. J. Lin-Chung and S. Teitler, 4 4 matrix formalisms for optics in strati®ed

anisotropic media, J. Opt. Soc. Am. A, 1, 703±705 (1984).

Spectral State Variable Formulation 97

characteristics of complex anisotropic layer media, IEEE Trans. Microwave

Theory Techniques, MTT-32, 1617±1625 (1984).

23. M. A. Morgan, D. L. Fisher, and E. A. Milne, Electromagnetic scattering by

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24. R. S. Weiss and T. K. Gaylord, Electromagnetic transmission and re¯ection

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1720±1740 (1987).

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Am., 69, 742±756 (1979).

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New York, 1962.

3

Planar Diffraction Gratings

3.1 INTRODUCTION

In the past thirty years the study and use of periodic structures and diffrac-

tion gratings has become increasingly important. Diffraction gratings have

been constructed for applications in the frequency ranges of microwaves,

millimeter waves, far infrared, infrared, optics, and x-rays. Diffraction grat-

ings occur in such applications as holography, memory storage, spectro-

scopy, phase conjugation, photorefractives, image reconstruction, optical

computing, transducers, integrated optics, microwave phased arrays, acous-

tooptics, interdigitated, voltage controlled, liquid crystal displays, and many

other areas. Petit [1], Gaylord and Moharam [2], Solymar and Cooke [3],

and Maystre [4] give extensive reviews on the applications of diffraction

gratings. Chapter 7 of this book cites many references on diffraction grat-

ings in photorefractive materials.

We will give a brief description and overview of the physical makeup

of diffraction gratings. Diffraction gratings have been manufactured and

constructed in many different forms and types. Two main classi®cations

of diffraction gratings are those that are metallic and those that are dielec-

tric. Metallic gratings have grooves that are etched or cut from a ¯at metal

surface. These grooves may be rectangular or triangular in shape.

Triangular grooves are referred to as blazed gratings. Metallic gratings are

operated in the re¯ection mode, as the diffracted waves are re¯ected from

the metal surface. Metallic gratings are also examples of surface relief grat-

ings, as the rectangular or triangular groove shape of the grating is cut from

the ¯at metal surface.

Dielectric gratings are constructed of dielectric materials that are

transparent to the electromagnetic radiation that impinges on it.

Dielectric gratings can be classi®ed into two major types: dielectric gratings

that are surface relief gratings and dielectric gratings that are volume grat-

100 Chapter 3

ings. Surface relief dielectric gratings tend to have a large periodic modula-

tion but small thickness, whereas volume dielectric gratings tend to have a

small periodic modulation but a large thickness. The large modulation of

the surface relief grating occurs because the grating material from which the

grating is constructed has a large difference in index of refraction compared

to the medium adjacent to the grating. Dielectric gratings may be operated

in either the transmission mode or the re¯ection mode. Transmission grat-

ings have periods on the order of a few wavelengths with the grating vector

parallel to the grating surface, whereas re¯ection gratings have periods on

the order of a half wavelength and grating vectors perpendicular to the

grating surface. Gratings that are neither exactly parallel or not exactly

perpendicular to the grating surface are referred to as slanted gratings.

Scattering from dielectric diffraction gratings depends strongly on

three main factors, namely the type and strength of the periodic variation

of the index of refraction that exists in the grating, the type of material

(anisotropic or isotropic, nonlossy or lossy) the grating is made from, and

the type of EM wave that is incident on the grating. We will now brie¯y

discuss these three factors.

The periodic variation of the index of refraction that induces diffrac-

tion when a grating is illuminated may consist of many different forms. The

periodic variation may be one-dimensional; it may be two-dimensional, in

which case it is referred to as a crossed grating; or the grating may consist of

two superimposed one-dimensional gratings. In addition to the index vary-

ing in one or two dimensions, the periodic variation of the index of refrac-

tion may vary longitudinally throughout the grating. A sinusoidal surface

relief grating and a triangular blaze grating that has air as an interface are

examples of this type of variation. A surface relief grating is longitudinally

inhomogeneous because at a plane where the groove is deeper, more material

will be included in the duty cycle of the grating that at a plane closer to the

homogeneous air half space.

The type of material that makes up the grating may be isotropic and

nonlossy, like glass; it may be anisotropic, like calcite or LiNbO3 (lithium

niobate); it may be either weakly lossy (e.g., BaTiO3 ) or strongly lossy.

Lossy gratings attenuate the diffracted waves as they propagate through

the system. In anisotropic materials the anisotropy tends to couple the

polarization states of the incident wave in the medium and induce new

polarization states in the system. In anisotropic systems the diffracted

waves consist of ordinary and extraordinary waves coupled together

through the grating vector.

The type of EM radiation that is incident on the grating strongly

in¯uences the diffraction that will result from the grating. The EM radiation

may consist of either a plane wave or a collection or spectrum of plane

Planar Diffraction Gratings 101

waves (e.g., a Gaussian beam). Further, each of these types of waves may be

incident on the grating at an oblique angle and possess an arbitrary polar-

ization. Later in this chapter we will show examples of H-mode (magnetic

®eld in plane of incidence) and E-mode polarization (electric ®eld in plane of

incidence) states that may be used to illuminate a diffraction grating.

Particularly for anisotropic gratings, the type of incident wave and its polar-

ization determine strongly how the EM wave will couple and diffract from

the grating.

Many mathematical analyses and numerical algorithms have been

developed so that the diffraction that occurs from planar gratings can be

predicted. Some of the main diffraction grating methods and algorithms are

(1) coupled wave analysis [5±9], (2) rigorous coupled wave analysis (RCWA)

[2,10±53], (3) coupled mode theory [54±61] (Refs. 57±59 have been referred to

as the Australian method), (4) the differential method [1,62±65], (5) the inte-

gral method [66], (6) the ®nite difference method [67±69], (8) the boundary

element method [70], (7) the unimoment method [71] and (9) other methods

[72,73], which are either closely related to or variations of the methods listed

above. References 74±76 list papers on energy and power conservation in

electromagnetic and electromagnetic diffraction grating systems.

Concerning the ®rst three methods, within the last ten years, several

researchers have been concerned with the problem of improving the con-

vergence or increasing the stability (that is, allowing analysis of thicker

grating structures that have increased grating strength) of the coupled

mode and coupled wave algorithms, and they also have been concerned

with the problem of understanding in the ®rst place, for certain polariza-

tions and material types, the coupled mode and coupled wave algorithms

that are unstable and why they do not converge well.

Just about all the above-mentioned algorithms solve the EM grating

diffraction problem in three basic steps: one must (1) express the EM ®elds

outside the diffraction grating region as Rayleigh series of propagating and

evanescent planes waves whose amplitudes are unknown and are yet to be

determined (the series is transversely periodic with the period equal to grat-

ing period of the periodic structure), (2) by an appropriate method, ®nd a

general solution of Maxwell's equations in the diffraction grating region,

and (3) match EM boundary conditions at the diffraction grating and

homogeneous grating interfaces to determine all the unknown coef®cients

of the diffraction grating system. Most of the methods differ in the way that

Maxwell's equations are solved in the diffraction grating region. We will

now give a brief description of all of these algorithms. This chapter will

primarily focus on the rigorous coupled wave approach. Chapter 6,

Section 6.2 will brie¯y describe the coupled mode algorithm and show its

connection to anisotropic waveguide propagation theory as developed by

102 Chapter 3

Gardiol [1, Chapter 6]. The reader may refer to the references for further

details on the other methods.

We will now give a brief description of the above-mentioned algo-

rithms. The description here, in order to simplify the discussion and descrip-

tion, is assumed to apply only to longitudinally homogeneous gratings.

When using coupled wave analysis [5±9] and RCWA [10±53], Maxwell's

equations in the diffraction grating region are solved by expanding the

periodic dielectric in the diffraction grating region in a Fourier series,

expanding the EM ®elds in the diffraction grating region in a set of

Floquet harmonics whose amplitudes are functions of the longitudinal coor-

dinate, and after substituting these expansions in Maxwell's equations, orga-

nizing the resulting equations into state variable form where eigensolutions

to the state variable system can be found. Coupled wave analysis [5±9]

differs from RCWA [10±53] in that in coupled wave analysis only a very

few Floquet harmonics are used in the analysis (two or three), whereas in

RCWA the analysis is made nearly exact by including however many

Floquet harmonics are necessary until convergence of the solution is

obtained. Typical state variable matrix sizes in the rigorous coupled wave

analysis method may range from 10 10 to 100 100.

In coupled mode theory algorithms, the transverse periodic region of

the gratings is divided into homogeneous subregions, and wave equation

solutions in the homogeneous subregions [which are linear combinations of

sinusoids proportional to a longitudinal propagation factor exp
z, where

z is the longitudinal coordinate] are EM boundary matched to the adjacent

homogeneous subregions. After imposing the boundary condition that the

overall EM solution across the grating period repeat itself every grating

period, one derives a nonstandard eigenvalue equation, whose multiple

roots thus determine the propagation constant
of the modes that can

propagate in the system. The propagation constant
can of course be purely

imaginary (nonevanescent), purely real (evanescent or attenuating), or com-

plex if the medium is lossy, propagating with attenuation. By summing the

forward and backward modes in the diffraction grating region, a complete

solution of Maxwell's equations in the grating region is found. This method

is particularly useful for lamellar gratings or step gratings, where there are

just two or just a few uniform layers within one grating period. This method

is called a coupled mode approach because it is based on determining the

propagating modes of the system. In the special one-dimensional case when

the grating period is bounded by perfect conductors and the overall grating

region is uniform, the method reduces to the well-known problem of deter-

mining the propagating modes in a parallel plate waveguide. We would like

to caution readers that the algorithm names, coupled mode analysis and

Planar Diffraction Gratings 103

literature.

The differential method [1,62±65] is designed primarily for solving for

diffraction from surface relief gratings. This method is based on solving

Maxwell's equations in the diffraction grating region, by (1) de®ning a

function y f x that speci®es the shape of the surface relief grating in

the diffraction grating region (that is, over the range 0 < y < L, where L

is the grating thickness), (2) expanding the dielectric permittivity function

x; y in a Fourier series over the grating period, (3) expanding the EM ®elds

of the system in a Fourier series with the series amplitudes expressed as a

function of the longitudinal coordinate y, (4) substituting this x; y and the

expanded EM ®elds in either the wave equation resulting from Maxwell's

equations or into Maxwell's equations directly, (5) organizing the system of

Fourier series amplitudes into a state variable form (with ®rst-order deriva-

tives of the system being taken with respect to the coordinate y), and (6)

solving the state variable system using differential equation shooting meth-

ods. Petit [1] gives a detailed description and survey of this method and its

application to metallic and dielectric surface relief gratings.

The integral method [66], which is particularly useful for metallic sur-

face relief gratings, is based on four basic steps: (1) deriving a periodic

Green's function that describes the way that an electrical surface current

radiates from one point on the metal surface to an arbitrary point in space,

(2) using this Green's function, writing an electric ®eld integral that repre-

sents the way in which the grating current radiates to an arbitrary point in

space, (3) summing the electric ®eld integral of Step (2) and the incident

electric plane wave ®eld together, and (4) setting the total tangential electric

®eld at the grating surface to zero to form an integral equation from which

the surface current of the grating can be determined. This formulation is

similar to that used to solve for surface currents on an antenna or on a

metallic scatterer.

The ®nite difference method [67±69] of determining diffraction from a

grating is based on solving Maxwell's equation in the diffraction grating

region by dividing the diffraction grating region over one period into a large

grid, and then approximating the spatial partial derivatives of Maxwell's

equations by using ®nite differences. In the ®nite element method [70], the

diffraction grating region is divided into cells, and the ®eld variables over a

cell are expanded as boundary element functions. By substituting these as

boundary element expansions in Maxwell's equations, a large system matrix

is formed from which the ®elds of the system are determined. In both the

®nite difference and ®nite element methods, the solutions found in the dif-

fraction grating region are matched to the plane wave Rayleigh expansion

exterior to the diffraction grating system. The unimoment method [71] deter-

104 Chapter 3

expansion functions in the diffraction grating that satisfy the wave equation

and can be used to expand the unknown ®elds of the overall system.

Other methods and applications of diffraction gratings (including dif-

fraction analysis of interdigitated, voltage controlled, liquid crystal displays

[77±82]) are listed in Refs. 77±95.

In the previous paragraphs, we have given a brief overview of available

methods for solving diffracting grating problems. In what follows, we will

concentrate on analyzing several different diffraction grating structures

using the RCWA method [2,10±53]. The RCWA technique is relatively

simple and straightforward, provides rapid convergence in many cases,

and can apply equally well to thick or surface relief gratings. Hence it has

become a popular method for solving diffraction grating problems. In

Section 3.2 we will study the full ®eld analysis when an H-mode polarized

plane wave is incident on a one-dimensional anisotropic grating. In Section

3.3 we will study two formulations of the RCWA algorithm when an E-

mode polarized wave is incident on the grating. In Sections 3.2 and 3.3 the

complex Poynting theorem will be used to check convergence of the solutions

and to study evanescent power in the grating. Section 3.4 will be devoted to

the study of slanted and re¯ection gratings. The special case of a pure re¯ec-

tion grating will also be studied. Section 3.5 will be concerned with multi-

layer diffraction theory. Section 3.6 will study diffraction from a crossed

diffraction grating when a general conical wave is incident on the grating.

Finally, in Sections 3.7 and 3.8 we will summarize recent work that has been

performed to increase the ef®ciency and stability of the RCWA algorithm.

In this section we are interested in using the rigorous coupled wave analysis

algorithm (RCWA) to study the diffraction case that occurs when a plane

wave is incident on the planar grating shown in Fig. 1. The diffraction

!

grating is assumed to have its grating vector speci®ed by K K~ a^ x , where

K~ 2= ~ and ~ is the grating period or grating wavelength. In this case the

electric ®eld is assumed to be polarized perpendicular to the plane of inci-

!

dence as E Ez a^ z . In this section two RCWA formulations will be pre-

sented. In the ®rst formulation (given in Section 3.2.1), the state variable

equations will be derived directly from Maxwell's equations, whereas in the

following section, Maxwell's equations will be reduced to a second-order

wave equation and then placed in state variable form. The complex

Poynting theorem using the solutions found from the full ®eld RCWA

Planar Diffraction Gratings 105

pro®le occupies Region 2. The inset shows one possible pro®le.

algorithm will be used to calculate the real and reactive power of the dif-

fraction grating system and thus validate the overall analysis.

The basic overall RCWA [16±24] approach that will be used to study dif-

fraction in this section will be to solve Maxwell's equations in Regions 1, 2,

and 3 and then using the general solutions to match the electromagnetic

boundary to determine the speci®c EM ®elds in each region. The EM ®eld

solutions in Regions 1 and 3, after we solve Maxwell's equations in homo-

geneous space, consist of an in®nite set of propagating and evasnescent

re¯ected and transmitted plane waves. The EM ®eld solution in Region 2

is determined by expanding the electric and magnetic ®elds in a set of

periodic or Floquet harmonics (the periodicity of the Floquet harmonics

equals that of the diffraction grating), substituting these expansions into

Maxwell's equations, and form the resulting equations, developing a set

of state variable equations from whose solution the general EM ®elds of

Region 2 are found.

We begin the analysis by determining the general EM ®eld solution of

Region 2, the diffractive grating region. Using normalized coordinates,

where x k0 x,~ y k0 y,

~ and z k0 z,~ where k0 2= and (meters) is

106 Chapter 3

Region 2 are given by

! !

r E j
0 H
3:2:1

! !

r
0 H j E
3:2:2

p

where 0 0 =0 377

is the intrinsic impedance of free space,

~ 0 is the relative permeability of Region 2, 0 is the permeability of free

=

~ 0 is the relative permittivity of Region 2, and 0 is the permit-

space, =

tivity of free space. We expand the electric and magnetic ®eld as

! X

1

E Szi
y exp
jkxi xa^ z
3:2:3

i 1

! ! X

1

U 0 H Uxi
ya^ x Uyi
ya^y exp
jkxi x
3:2:4

i 1

p ~

kxi kx0 iKx kx0 1 1 sin
Kx 2= k0

Substituting we have

X1

! @Szi !

r E a^ jkxi Szi a^y exp
jkxi x j
0 H

i 1

@y x

X

1

j Uxi a^ x Uyi a^ y exp
jkxi x
3:2:5

i 1

1

X

! @Uxi

r U jkxi Uyi exp
jkxi xa^ z j
xEz a^ z

i 1

@y

X

1

j
x Szi exp
jkxi xa^z
3:2:6

i 1

" #" #

X

1

ji 00 Kx x

X

1

j
kxo i 0 Kx x

xEz i 00 e Szi 0 e
3:2:7

i 00 1 i 0 1

Planar Diffraction Gratings 107

X

1 X

1

jkxo x j
i 0 i 00 Kx x

xEz i 00 Szi 0 e e
3:2:8

i 00 1 i 0 1

We notice in the i 00 summation that when i 00 1, i P1 for a ®xed

1

®nite i 0 . Thus in making 0 00

P1the substitution of i i i , the i 0000 1 may be

replaced by the sum i 1 . Carrying out the substitution i i i 0 we

®nd that

" #

X

1 X

1

j kxo iKx x

xEz i i 0 Szi 0 e 3:2:9

i 1 i 0 1

" #

X

1 X

1

jkxi x

xEz i i 0 Szi 0 e 3:2:10

i 1 i 0 1

@Szi

jUxi jkxi Szi jUyi

@y

X1
3:2:11

@Uxi

jkxi Uyi j i i 0 Szi 0

@y i 0 1

It is useful to introduce column and square matrices and put the preceding

equations into state variable form. Let Ux Uxi , Uy Uyi , Sz Szi , i

1; . . . ; 1 and let i;i 0 i i 0 , Kx kxi i;i 0 , I i;i 0 ,

i; i 0 1; . . . ; 1, be square matrices. i;i 0 is the Kronecker delta and I

is the identity matrix. We ®nd that

@Sz

jUx jKx Sz jUy

@y

3:2:12

@Ux

jKx Uy jSz

@y

108 Chapter 3

@Ux 1 @Ux

jKx Uy jKx K S j Sz 3:2:13

@y x z @y

@Sz

0Sz jIUx

@y

3:2:14

@Ux 1

j K K Sz 0Ux

@y x x

These equations may be put into state variable form if we introduce the

super matrices

Sz 0 I

Ve Aj
3:2:15

Ux
Kx Kx = 0

we then have

@Ve
y

A Ve
y
3:2:16

@y

A and Ve and using state variable techniques to solve the resulting equation.

The truncation may be carried out by keeping mode orders whose magni-

tude is not greater than MT , that is, keeping modal terms where

i; i 0 MT ; . . . ; 1; 0; 1; . . . ; MT . Making the truncation we ®nd Ve y

is a column matrix of size NT 2 2MT 1 and A is a constant matrix of

size NT NT . Eq. 3.2.16, when truncated to size NT , can be solved by

®nding the eigenvector and eigenvalues of the constant coef®cient matrices

A as was done in Chapter 2. Let qn and Vn be the eigenvalues and eigen-

vector of the matrix A. We have

AVn qn Vn 3:2:17

The general solution for the electromagnetic ®eld in the grating region can

be found from the state variable solution. The electric ®eld associated with

the nth eigenvector mode is given by

Planar Diffraction Gratings 109

( )

!e X

MT

En Szin a^ z exp jkxi x exp qn y 3:2:18

MT

eigenvector Vn . The magnetic ®eld associated with the nth eigenvector mode

similarly is given by

( )

!e !e X

MT

U n 0 H n Uxin a^ x Uyin a^ y exp jkxi x exp qn y 3:2:19

MT

eigenvector Vn and Uyin is found from Eq. 3.2.11. Summing over the indi-

vidual eigenmodes we ®nd that

( )

! 2 X X X

NT MT NT

!e

E Cn E n Cn Szin a^z exp qn y exp jkxi x

n1 m MT n1

3:2:20

!
2 X

N

!
2 T

!e

U 0 H Cn U n

n1

( )

X

MT X

NT

Cn Uxin a^ x Uyin a^y exp
qn y exp
jkxi x

m MT n1

3:2:21

backward traveling, propagating and nonpropagating eigenmodes, which

when summed together give the general electromagnetic ®eld solution in

Region 2, the grating region.

An important problem that remains is to determine the NT coef®cients

Cn of Eqs. 3.2.20 and 3.2.21. Up to this point we have speci®ed the general

form of the diffracted ®elds in the grating region. The EM ®elds on the

incident side of the diffraction grating (Region 1 of Fig. 1), and on the

transmission side of the diffraction grating (Region 3 of Fig. 1), consist of

an in®nite number of propagating and nonpropagating plane waves whose

tangential wave vectors are given by kxi , i 1; . . . ; 1; 0; 1; . . . ; 1. The

EM ®elds in Region 1 consist of a single incident H-mode polarized wave

making an angle with the y-axis and consist of an in®nite number of

110 Chapter 3

tangential incident ®eld in Region 1 is given by

Ezinc Eo i0 e E0 i0 3:2:22

1 ky1i jkxi xjky1i y

Hxinc e E0 i0 3:3:23

0

p

where n1 1 1 is the index of refraction

1

X

1

jkxi x jky1i y

Ezref ri e
3:2:24

i 1

1 1 X 1

jkxi x jky1i y

Hxref k re
3:2:25

0 i 1 y1i i

where

(

n21 k2xi 1=2 n1 > kxi

ky1i
3:2:26

jk2xi n21 1=2 kxi > n1

e e 3:2:27

ditions as y ! 1. The total tangential ®elds in Region 1 are given by

1
1

Ez
1 Ezinc Ezref
3:2:28

1
1

Ux
1 0 Hx
1 0
Hxinc Hxref
3:2:29

®elds are given by

X

1

Ez
3 ti e jkxi xjky3i
yL

3:2:30

i 1

X

1

Ux
3 0 Hx
3 ky3i ti e jkxi xjky3i
yL

3:2:31

i 1

Planar Diffraction Gratings 111

where

ky3i n23 k2xi 1=2 n3 > kxi
3:2:32

jk2xi n23 1=2 kxi > n3

n23 1=2 yL

ej ekxi 3:2:33

proper boundary conditions as y ! 1.

Now that the EM ®elds have been de®ned in Regions 1, 2, and 3, the

next step is to match boundary conditions at the interfaces y 0 and

y L. At the y 0 interface we have

Ez
1 Ez
2
3:2:34

y0 y0

Hx
1 Hx
2
3:2:35

y0 y0

Substituting Eqs. 3.2.28 and 3.2.29 and keeping orders of jij MT , we ®nd

that

( )

X

MT X

MT X

NT

jkxi x jkxi x

fE0 i0 ri ge Cn Szin e
3:2:36

i MT i MT n1

( )

X

MT

jkxi x

X

MT X

NT

jkxi x

f ky1i i0 E0 ky1i ri ge Cn Uxin e
3:2:37

i MT i MT n1

Ez
2 Ez
3
3:2:38

y L yL

Hx
2 Hx
3
3:2:39

y L yL

112 Chapter 3

( )

X

MT X

NT

qn L jkxi x

X

MT

jkxi x

Cn Szin e e fti ge 3:3:40

i MT n1 i MT

( )

X

MT X

Nt

qn L jkxi x

X

MT

jkxi x

Cn Uxin e e f ky3i ti ge 3:3:41

i MT n1 i MT

In Eqs. 3.2.36 and 3.2.37 and Eqs. 3.2.40 and 3.2.41, in order for the left-

and right-hand side of the equations to agree, it is necessary for the Fourier

coef®cients of e jkxi x to agree for each Floquet harmonic e jkxi x . Thus for the

unknown coef®cients ri , Cn , and ti we have the equations

X

NT

E0 i0 ri Cn Szin
3:2:42

n1

X

NT

ky10 i0 E0 ky1i ri Cn Uxin
3:2:43

n1

X

NT

qn L

Cn Szin e ti
3:2:44

n1

X

NT

qn L

Cn Uxin e ky3i ti
3:2:45

n1

variables can be eliminated. These equations can be simpli®ed by substitut-

ing ri and ti of Eqs. 3.2.42 and 3.2.44, respectively, into Eqs. 3.2.43 and

3.2.45. We have

" #

X

NT X

NT

ky10 i0 E0 ky1i E0 i0 Cn Szin Cn Uxin
3:2:46

n1 n1

" #

X

NT X

NT

qn L qn L

Cn Uxin e ky3i Cn Szin e

n1 n1

3:2:47

Planar Diffraction Gratings 113

or altogether

X

NT

Cn fky1i Szin Uxin g 2E0 ky10 i0
3:2:48

n1

X

NT

qn L

Cn e Uxin ky3i Szin 0
3:2:49

n1

where i MT ; . . . ; MT .

The above constitutes a set of NT 2
2MT 1 equations for the NT

unknown coef®cients Cn . Power is excited in the diffraction grating system

through the 2E0 ky10 i0 term on the right-hand side of Eq. 3.2.48. Once the

Cn are determined, the ri and ti can be found form Eqs. 3.2.42 and 3.2.44.

A different way of analyzing the diffraction from a grating in the H-mode

case under consideration is to eliminate the magnetic ®eld from Maxwell's

equations directly and then analyze the second-order partial differential for

the electric ®eld that results. In the analysis to be presented it will be

assumed that the dielectric permittivity is a sinusoidal one. In this section

we will follow the formulation of Moharam and Gaylord's [16] original

paper but use the geometry of Fig. 1. We refer to this formulation as a wave

equation formulation as it is based on placing the wave equation in state

variable form and proceeding with the solution from that point.

!

To start the analysis we assume that E Ez x; ya^ z in all regions and

that all ®elds are independent of z. In Region 2 in normalized coordinates

~ and z k0 z~ we have

~ y k0 y,

x k0 x,

! !

r E j
0 H
3:2:50

! !

r
0 H j
x E
3:2:51

! ! !

rr E jr
0 H
x E
3:2:52

! ! !

r r E rr E r2 E
3:2:53

! @E

r E z 0
3:2:54

@z

114 Chapter 3

Therefore we have

r2 Ez xEz 0 3:2:55

@2 @2 Ez

E z
xEz 0
3:2:56

@x2 @y2

For the present analysis we will let
x 2 cos Kx and take 1. K

is a normalized wave number

K~ 2 2

K
3:2:57

ko ko ~

analysis we expand the electric ®eld of Region 2, namely Ez , in the Floquet

harmonic series

X

1

Ez Si
y exp
j i
3:2:58

i 1

k~2 p

2 cos 0 2 cos 0 i i x 2 y
3:2:59

ko

p

i 1 sin iK
3:2:60

dielectric grating. Si y are Floquet modal amplitudes that need to be deter-

mined. Differentiating Ez with respect to y and x, we ®nd that

" #

@2 X1

@2 @

2

E z 2

Si
y 2j2 Si
y 22 Si
y exp
j i
3:2:61

@y i 1

@y @y

@2 X 2

2

E z i Si
y exp
j i
3:2:62

@x i

Planar Diffraction Gratings 115

The term

xEz 2 exp
jKx exp
jKx

2

3:2:63

X

1

Si
y exp
ji x j2 y

i 1

equals

X

1

X1

xEz 2 Si
y exp
j i S
y exp
j
i Kx j2 y

i 1

2 i 1 i

X1

S
y exp
j
i Kx j2 y

2 i 1 i

3:2:64

p

i K 1 sin iK K 3:2:65

p

i K 1 sin i 1K i 1 3:2:66

Similarly

i K i1 3:2:67

X1

T2 S
y exp
j
i Kx j2 y

2 i 1 i

3:2:68

X1

S
y exp
ji 1 x j2 y

2 i 1 i

Doing this we obtain

X 1

T2 S 0
y exp
ji 0 x j2 y
3:2:69

2 i 0 1 i 1

116 Chapter 3

X1

T3 S
y exp
j
i Kx j2 y

2 i 1 i

3:2:70

X 1

S 0
z exp
ji 0 x j2 y

2 i 0 1 i 1

we ®nd that

X1

xEz 2 Si
y S
y S
y exp
j i
3:2:71

i 1

2 i1 2 i 1

(

X

1

@2 @

0 Si y 2j2 Si y 22 Si y 2i Si y

i 1

@y2 @y

3:2:72

2 Si y S y S y exp j i

2 i1 2 i 1

The only way that the above equation can be zero for all values of x and y is

if the curly bracketed expression is zero. Thus Eq. 3.2.72 describes a series of

coupled modal amplitude equations to determine the EM ®elds of the sys-

tem. At this point it is useful to introduce scaled coordinates into analysis.

We let

u p y~ p y p y jy 3:2:73

2 2 2 2 ko 4 2

Substituting the above scaling into Eq. 3.2.72 we ®nd after algebra that

d 2 Si dS

cos 0 i ii BSi Si1 Si 1 0
3:2:74

82 du2 du

where

~ p

2 2 ~ p

2 1

B sin 0 sin
3:2:75

Planar Diffraction Gratings 117

and

22

3:2:76

~ 2

p p

2 sin 0 1 sin 3:2:77

the equation as

1 d 2 Si c dSi bi

Si Si1 Si 1 0
3:2:78

a du2 a du a

be put into the form of a ®rst-order state variable equation, if the following

new variables are de®ned. Let

dSi u

S2i 3:2:80

du

Making these substitutions we ®nd that the second order Eq. 3.2.78 can be

written as

dS1i

S2i
3:2:81

du

dS2i

aS1i1 bi S1i aS1i 1 cS2i
3:2:82

du

d 2 S1i dS2i

aS1i1 bi S1i aS1i 1 cS2i
3:2:83

du2 du

right-hand side, and substituting the original de®nitions of S1i and S2i , we

have

118 Chapter 3

1 d2 b c dSi

S Si1 i Si Si 0
3:2:84

a du2 i a 1

a du

This is identical to Eq. 3.2.78, thus showing that Eq. 3.2.83 is the correct

®rst-order state variable form of Eq. 3.2.78.

The full matrix form for Eqs. 3.2.80 and 3.2.81 when written out for

MT 2 is

d S1 A11 A12 S1

3:2:85

S

du 2 A21 A22 S2

where

t

S1 S1; 2 S1; 1 S1;0 S1;1 S1;2
3:2:86

t

S2 S2; 2 S2; 1 S2;0 S2;1 S2;2
3:2:87

A11 0 55
3:2:88

A12 I ii 0 55
3:2:89

2 3

b 2 a 0 0 0

6 7

6 a b 1 a 0 07

6 7

6 7

6

A21 6 0 a bo a 0 7
3:2:90

7

6 7

6 0 0 a b a 7

4 1 5

0 0 0 a b2 55

A22 cii 0 55
3:2:91

(

1; i i0

i;i 0
3:2:92

0; i 6 i 0

A11 A12

A aii 0 1010 3:2:93

A21 A22 1010

aii 0
i; i 0
1; . . . ; 10 represent the individual matrix elements of the overall

matrix A. Using the just de®ned matrices, Eq. 3.2.85 can be written in full

state variable form as

Planar Diffraction Gratings 119

d

V AV
3:2:94

du

then we ®nd that the solution for Si u and S1i u is given by

X

NT

Si
u S1i
u Cn win exp
qn u
3:2:95

n1

where NT 2
2MT 1 and where win represents the ith row of the nth

eigenvector
S1 n . The electric ®eld Ez is given by Eq. 3.2.58 with Si
u

substituted. We have

( )

X

MT X

NT

Ez exp j
i x 2 y Cn win exp jqn y
3:2:96

i MT n1

p

where, as already de®ned, =
4 2 ). To proceed further it is necessary

to ®nd the magnetic ®eld associated with Ez . Using Maxwell's equations, the

tangential magnetic ®eld Hx is found from

1 @Ez

Hx
3:2:97

j0 @y

fraction grating region, are given by (including now the Region 2 subscript

label)

MT X

X NT

Ez2 Cn win exp ji x
2 qn y
3:2:98

i MT n1

X

MT X

Nt

Ux2 0 Hx2 Cn win
qn 2 exp ji x
2 qn y

i Mt n1

3:2:99

sentation from which to obtain the electromagnetic ®elds of Region 2.

Although the state variable representations of Sections 3.2.2 and 3.2.3 are

exactly equal as MT ! 1, the two representations give different solutions

for ®nite MT . Thus a comparison of the two methods for different values of

MT gives a good measure of how well both representations are converging.

120 Chapter 3

matching the tangential electromagnetic ®elds as given in Section 3.2 by

Eqs. 3.2.28±32 for Regions 1 and 3 with the EM ®eld solutions of Region

2 that have been just derived. The ®nal matrix equations from which that

result for Cn are

X

NT

2ky10 E0 io Cn win ky1i 2 qn
3:2:100

n1

X

NT

0 Cn en win ky3i 2 qn
3:2:101

n1

where

X

NT

ri Cn win E0 i0
3:2:103

n1

X

NT

ti Cn win en
3:2:104

n1

In this section we will present numerical examples of the diffraction

ef®ciency and complex Poynting Theorem power balance as results from

RCWA. The examples to be presented consist of an RCWA study of a

cosine diffraction grating (lossless and lossy bulk dielectric cases) and an

RCWA study of a square or step pro®le diffraction grating. Both gratings,

consistent with the theory of this section, are assumed to be homogeneous in

the longitudinal direction. These two gratings have been chosen because the

cosine grating is relatively smooth, containing low spatial frequencies

i 1; 0; 1, whereas the square wave or step pro®le contains sharp dielec-

tric discontinuities at dielectric steps and thus possesses a high spectral

content i 1; . . . ; 1; 0; 1; . . . ; 1. The complex Poynting energy balance

is based on the formulation presented in Section 2.2.3, Eq. 2.2.26 with the

source terms set to zero. The complex Poynting box taken to include a

Planar Diffraction Gratings 121

transverse wave period ~ (see Fig. 7.) Details of the calculation are given in

Section 3.3.

We begin presenting results for the cosine grating. The solid line plots

in Fig. 2 show the transmitted diffraction ef®ciencies DET
% for ®ve orders

i 2; 1; 0; 1; 2 as calculated by the full ®eld method (see Section 3.2.1,

Eqs. 3.2.48 and 3.2.49) using the lossless cosine grating as speci®ed in Fig. 2

inset and heading. These plots show DET
% versus the layer length L~ (in

units of free space wavelength ). As can be seen from Fig. 2, as the layer

length L~ increases from 0 to 9, because is at the Bragg angle (implying

Bragg incidence), power is primarily diffracted from the i 0 order into the

i 1 order with a small amount of power being diffracted into the other

orders i 2; 1; 2. For larger values of L, ~ 9 to 18, power is diffracted

from the i 1 order into the i 0 order with a small amount of power

being diffracted into the other orders i 2; 1; 2. This cycle is repeated

over a long range of L~ values. Because the bulk regions had matched per-

mittivities, the re¯ected diffractions were small and have not been plotted.

Also shown in Fig. 2 is the DET
% as calculated by a differential equation,

the state variable method described in Section 3.2.2 and derived originally in

Ref. 16 (dots, i 0). In this analysis, Maxwell's equations are reduced to a

second-order differential equation for the electric ®eld, and this differential

equation is put in state variable form. The state variable form that results is

Figure 2 The transmitted diffraction ef®ciencies DET
% for ®ve orders i 2;

1; 0; 1; 2 as calculated by Eqs. 3.2.48 and 3.2.49 using a lossless cosine grating.

122 Chapter 3

different from the present one, although as MT ! 1 the two methods are

mathematically equivalent. As can be seen from Fig. 2, a comparison of the

i 0 order plots (typical of all orders) shows that virtually identical results

occur from the use of the two methods.

Figures 3 and 4 show plots of the real and imaginary parts of the

normalized complex power PIN (line) and PBOX (dot) of the complex

Poynting theorem, ®rst introduced in Chapter 2 (using the Poynting box

shown in Fig. 15). For more detail on the application of the Poynting

theorem to gratings, see the next subsection. As mentioned earlier, this

case represents a lossless diffraction grating, bulk dielectric case. In these

plots the complex power is plotted versus the layer length L. ~ As can be seen

from Figs. 3 and 4, excellent agreement in both plots is obtained from the

calculation. Figure 5 shows a plot of the electric and magnetic energies PWE

and PWM versus layer length L~ that results for the example under considera-

tion. As can be seen from Fig. 5, the electric and magnetic energies are very

nearly equal to one another, and in a L~ 1 size slab, the electric and

magnetic energies PWE and PWM are much larger than the peak magnitude

energy difference between the two energies.

Figure 6 shows the Im
PBOX versus layer length L~ when the electro-

magnetic ®elds are computed using MT 3 and MT 6. As can be seen

Figure 3 The real part of the normalized complex power PIN and PBOX of the

complex Poynting theorem.

Planar Diffraction Gratings 123

Figure 4 The imaginary part of the normalized complex power PIN and PBOX of

the complex Poynting theorem.

Figure 5 Plots of the electric and magnetic energies PWE and PWM versus layer

length are shown.

124 Chapter 3

Figure 6 The Im
PBOX versus layer length L~ when the electromagnetic ®elds are

computed using MT 3 and MT 6.

from Fig. 6, extremely good convergence is observed using the two different

truncation sizes.

Figures 7 and 8 show plots of the real and imaginary parts of the

complex power PIN and PBOX versus layer length L~ when the diffraction

grating bulk dielectric 2 is lossy rather than lossless and has a value of

2 1 j0:02. In this ®gure one again observes extremely good agreement

between the real and imaginary parts of PIN and PBOX , again showing that

the complex Poynting theorem is obeyed to a high degree of accuracy. A

comparison of Figs. 3 and 4 (lossless case) with Figs. 7 and 8 (lossy case)

shows a very clear difference in the shapes of the real and imaginary parts

of PIN and PBOX that is being computed in the four ®gures. In the lossy

case, as L~ increases, the envelope of the oscillations of PIN and PBOX

damps out, whereas in the lossless case the envelope maintains a long-

itudinal periodic shape. The damping of the envelope with increasing L~ in

the lossy case is expected, since as the layer length increases, the EM ®elds

in the system attenuate near the exit side of the diffraction grating due to

the lossiness. When the diffraction grating becomes suf®ciently long, the

EM ®elds at the exit side approach zero; therefore PIN and PBOX become

independent of L, ~ and thus there is no oscillation.

Planar Diffraction Gratings 125

Figure 7 Plots of the real part of the complex power PIN and PBOX versus layer

length L~ of the complex Poynting theorem when the diffraction grating bulk dielec-

tric 2 is lossy rather than lossless and has a value of w 1 j0:02.

Figure 8 Plots of the imaginary part of the complex power PIN and PBOX , versus

layer length L~ of the complex Poynting theorem when the diffraction grating bulk

dielectric 2 is lossy rather than lossless and has a value of 2 1 j0:02.

126 Chapter 3

POUT versus layer length L.~ The ripple in the Re PIN observed in Fig. 7 is

not observed here because of the scale of the Fig. 9 plot. As can be seen from

Fig. 9, the sum of power radiated out of the Poynting box and the power

dissipated is balanced by the real power radiated into the box as one would

physically expect.

Figure 10 shows the transmitted diffraction ef®ciency (i 0 and i 1

orders) versus layer length L~ that arises when a plane wave is incident on a

square wave or step pro®le dielectric grating. In the present ®gure, diffrac-

tion ef®ciency results are presented for two cases, namely when the diffrac-

tion grating region contains lossless dielectric material and the case when the

grating contains lossy dielectric material. The square wave grating in both

cases is taken to have a grating period of and a transverse groove

width of =2 (or duty cycle of 50%). The bulk and groove dielectric values

and their orientation in the diffraction grating and the angle of incidence are

speci®ed in the Fig. 10 title and inset. The lossless case presented is the same

case presented by Moharam and Gaylord [19]. As can be seen from Fig. 10,

the presence of the lossy dielectric material in the diffraction grating for the

lossy case causes a signi®cant drop in the size of the transmitted diffraction

Figure 9 Plot of the power dissipated PD , Re
PIN , and Re
POUT versus layer

length L~ is shown. The ripple in the Re
PIN observed in Fig. 7 is not observed

here because of the scale of the Fig. 9 plot.

Planar Diffraction Gratings 127

layer length L~ that arises when a plane wave is incident on a square wave or step

pro®le dielectric grating is shown. The diffraction ef®ciency results are presented for

lossless and lossy cases. The square wave grating in both cases is taken to have a

grating period of and a transverse groove width of =2 (or duty cycle of 50%).

compared to the lossless case. Note that ef®cient coupling between 0 and 1

orders is possible in spite of the high spectral content and modulation depth

of the grating, as long as incidence is at the Bragg angle. Higher diffracted

orders in this case are all evanescent. Figure 11 shows the re¯ected diffrac-

tion ef®ciency results (i 0 and i 1 orders) versus layer length L~ which

arises for the case under consideration. In these ®gures one observes a

perceptible difference between the lossless and lossy diffraction grating

cases. The reduction in the peak-to-peak envelopes in the lossy re¯ected

diffraction ef®ciencies with increasing L~ is due to the fact that the EM ®elds

near the transmit side of the diffraction grating are attenuating more

strongly as L~ becomes larger, and thus re¯ected EM radiation is less sensi-

tive to the layer length, which is then seen as a reduction in the ripple of the

lossy diffraction ef®ciency results.

Figures 12±13 show the real and imaginary parts of PIN and PBOX

versus L~ for the lossless square wave diffraction case under study.

128 Chapter 3

layer length L~ that arises for the case under consideration is shown.

Figure 12 The real part of PIN and PBOX versus L~ for the lossless square wave

diffraction cases that were studied in Figs. 10 and 11.

Planar Diffraction Gratings 129

Figure 13 The imaginary part of PIN and PBOX versus L~ for the lossless square

wave diffraction cases that were studied in Figs. 10 and 11.

Another important EM case that can be studied using an RCWA analysis

consists of determining the EM ®elds that are diffracted when an H-mode

polarized plane wave is incident on a diffraction grating backed by a mirror

(also called a short circuit plate). Thus Region 3 is an electrical perfect

conductor rather than a dielectric material (see the inset of Fig. 14). The

analysis for this case is identical to that presented in Section 3.2.1 except

that inside Region 3 (y < L) the EM ®elds are taken to be zero, and at the

Region 2±3 interface y L the EM ®elds are required to meet the well-

known boundary condition that the tangential electric ®elds are zero.

Mathematically for the present H-mode polarization case, this requires

Ez
2
x; y; z 0
3:2:105

y L

equations that must be solved to determine the EM ®eld of the grating

mirror system are

130 Chapter 3

length L~ that arises when a plane wave is incident on a square wave or step pro®le

dielectric grating that is backed by a mirror (or short circuit plate). The same lossless

square grating that was studied in Fig. 10 is analyzed here.

X

NT

Cn ky1i Szin Uxin 2Eo ky1o io
3:2:106

n1

X

NT

qn L

Cn e Szin 0
3:2:107

n1

should be since it results from matching EM ®elds at the Region 1±2 inter-

face, and the general form of the unknown EM ®elds in the two regions is

the same whether the mirror is present or not. The second matrix equation,

Eq. 3.2.107, is quite different from the second transmission grating matrix

equation, Eq. 3.2.49. Equation 3.2.107 was determined by imposing the

boundary condition that the tangential electric ®eld at a perfect conductor

boundary is zero, whereas Eq. 3.2.49 was determined by matching the elec-

tric and magnetic ®elds at y L and then eliminating the electric ®eld

unknown coef®cients. Substitution of the Cn coef®cients of Region 2 into

Eq. 3.2.42 then allows for the determination of the ri re¯ection coef®cients

Planar Diffraction Gratings 131

of the system. Incident and re¯ected power are given by the same formulas

as already given for the transmission grating analysis.

Figure 14 shows the re¯ected diffraction ef®ciency
i 0 and i 1

orders) versus layer length L~ that arises when a plane wave is incident on

a square wave or step pro®le dielectric grating backed by a mirror (or short

circuit plate). In Fig. 14 the same lossless square grating that was studied in

Fig. 10 is analyzed. The square wave grating was taken to have a grating

period of ~ and a transverse groove width of =2 (or duty cycle of

50%). The bulk and groove dielectric values and their orientation in the

diffraction grating and the angle of incidence are speci®ed in the Fig. 14

caption and inset. For the present case, for the angle of incidence used, it

turns out that the i 0; 1 orders are the only orders that are re¯ected,

diffracted propagating plane waves. All the other orders are evanescent.

the value of MT 6 was used to calculate the data of Fig. 14. As can be

seen, power for a small grating thickness is diffracted from the i 0 order

into the i 1
0 L~ 0:6. As the thickness increases, however, power is

transferred back to the i 0 order from the i 1, 1 L~ 1:6. This cycle

is repeated for larger values of L.~ In observing the i 0; 1 plots it is very

interesting to note that the transfer of power between the i 0; 1 orders is

not periodic with increasing L~ but irregular and unpredictable. The nonper-

iodicity is undoubtedly due to interaction of the evanescent and propagating

waves that resultP from the matrix solution. Conservation of incident and

re¯ected power
i DERi DETi 1, DETi 0 was observed to a high

degree of accuracy.

POYNTING THEOREM TO E-MODE PLANAR

DIFFRACTION GRATING ANALYSIS

diffracts from isotropic diffraction gratings. In many real-life applications, it

is necessary to study diffraction from anisotropic gratings, e.g., photorefrac-

tive materials (discussed in detail in Chapter 7). In this section RCWA and

the complex Poynting theorem will be used to study, respectively, the EM

®elds and power ¯ow and energy storage when a plane wave (E-mode

polarization) is scattered from an in general lossy and anisotropic diffrac-

tion grating. Full calculation of the diffraction ef®ciency, the electromag-

netic energy (electric and magnetic), and the real, reactive, dissipative, and

evanescent power of the grating will be made. In this section several numer-

ical examples involving a step pro®le will be studied.

132 Chapter 3

The grating in Fig. 15a is assumed to have its grating vector speci®ed

!

by K K~ a^ x , where K~ 2=~ and ~ is the grating period or grating wave-

length. In this case the magnetic ®eld is assumed to be polarized perpendi-

!

cular to the plane of incidence as H Hz a^ z . In the present study, the

complex Poynting theorem will be applied to a Poynting box whose length

extends over the grating region L,~ whose width extends over a grating period

~ and whose thickness is z~ (the electromagnetic ®elds do not vary in the z-

,

direction, so the thickness of the Poynting box is immaterial to the Poynting

power calculation). Figure 15b illustrates the Poynting box of this section

and that of Sec. 3.2 as well. In Section 3.3.1, we will brie¯y summarize the E-

mode RCWA equations for anisotropic diffraction gratings. In Section

3.3.2, the pertinent equations for the power budget as results from the

complex Poynting theorem will be presented. In Section 3.3.3, illustrative

examples will be given for anisotropic media where the permittivity tensor is

either Hermitian or arbitrary.

In much of the existing diffraction grating literature [1±53], power

conservation is veri®ed by calculating the time-averaged real power trans-

mitted and re¯ected from a lossless grating and then verifying that the sum

of these powers equals the power incident on the grating. Computing the

Figure 15 (a) The geometry of the E-mode diffraction grating system is shown. (b)

The complex Poynting box used for calculations is shown.

Planar Diffraction Gratings 133

power budget using only the time-averaged real power has two large limita-

tions associated with it. First, it cannot be used to verify power conservation

for the very common case of lossy gratings, since in this case some power is

dissipated as heat, and thus the transmitted and re¯ected powers will not

equal the incident power. A second limitation of computing the power

budget using only the time-averaged real power is that information about

the reactive power, evanescent ®elds, electric energy, magnetic energy, and

power dissipated within the grating is left undetermined and therefore

unknown. All of these quantities contain important information about the

nature and behavior of the grating. In the area of near ®eld optics, consider-

able attention has been paid to evanescent waves, since these carry informa-

tion about the diffracting or scattering object. Speci®cally, evanescent wave

monitoring has applications in the area of submicron microscopy.

Evanescent waves may also be excited from sharp discontinuities in the

grating, e.g., corners, blaze tips [95]. A power budget approach that can

study energy and power, both real and reactive, during diffraction from such

gratings, is incorporated in the framework of the complex Poynting theo-

rem. Botten et al. [58] consider the problem of energy balance in isotropic

lossy gratings when both E-mode and H-mode polarized incidence plane

waves impinge on the grating.

Energy ¯ow distributions, the generation of plasmon surface waves,

and the absorption of EM energy by metallic sinusoidal gratings has been

studied by Popov et al. [98±101] for shallow and deep gratings. The nature

of the Poynting vector in a dielectric sinusoidal grating under total internal

re¯ection has been studied by Shore et al. [102].

Our discussion of the Poynting vector is fundamentally different from

that of Popov et al. [98±101] and Shore et al. [102]. In their work they were

concerned with the problem of studying the spatial variation of the Poynting

vector (and energy density) on a point-to-point basis over a region of space

close to the diffraction grating surface. The point of their work was to relate

local variation of the Poynting vector to the diffraction that occurred from

the grating. They studied the physical mechanisms of blazing and antiblaz-

ing and its relation to Poynting vector. In this section, we focus on the

Poynting vector power that has been averaged transversely over a diffrac-

tion grating period and relate this averaged Poynting power to the power

dissipated, transmitted, and re¯ected from the grating [105]. We apply the

complex Poynting theorem for EM incidence on periodic diffraction grat-

ings of arbitrary pro®le and made of anisotropic lossy materials. We expli-

citly show also that the energy dissipated in the grating can result from both

imaginary and real parts of the permittivity and permeability for the case of

anisotropic nonreciprocal grating media.

134 Chapter 3

We begin the analysis by determining the general EM ®eld solution of

Region 2, the diffractive grating region. Using normalized coordinates

where x k0 x,~ y k0 y,

~ and z k0 z,

~ and where k0 2= and (meters)

is the free space wavelength, we ®nd that Maxwell's normalized equations in

Region 2 are given by

! !

r E j
0 H
3:3:1

! !

r
0 H j E
3:3:2

p

where 0 0 =0 377

is the intrinsic impedance of free space,

~ 0 is the relative permeability of Region 2, 0 is the permeability of free

=

space, ~ =0 0 j 00 is the relative tensor permittivity of Region 2, and

0 is the permittivity of free space. In this section we consider the important

case when the relative permittivity tensor is anisotropic and has the speci®c

form

2 3

xx xy 0

4 yx yy 0 5
3:3:3

0 0 zz

! X

1

E Sxi
ya^ x Syi
ya^ y exp
jkxi x
3:3:4

i 1

! ! X

1

U 0 H Uzi
y exp
jkxi xa^z
3:3:5

i 1

p ~

kxi kx0 iKx kx0 1 1 sin
Kx 2= k0

3:3:6

where is the angle of incidence and

x represent any of the elements of the tensor of Eq. 3.3.3, we also

expand those permittivity elements as

X

1

x i exp
jiKx x
3:3:7

i 1

Planar Diffraction Gratings 135

where i represent the Fourier coef®cients of
x. Substituting Eqs. 3.3.4±7

in Maxwell's equations; taking the relative permeability of Region 2 to be

1; introducing column and square matrices, namely, Sx Sxi ,

Sy Syi , Uz Uzi , i 1; . . . ; 1, xx xxi;i 0 xxi i 0 ,

xy xyi;i 0 xyi i 0 yx yxi;i 0 yxi i 0 , and yy yyi;i 0 yyi i 0

(here the underbar denotes a square
i; i 0 matrix), Kx kxi i;i 0 , I i;i 0 ,

i; i 0 1; . . . ; 1 square matrices; i;i 0 the Kronecker delta and I the

identity matrix; eliminating Sy using the equation

@Ve
y

A Ve
y
3:3:9

@y

where

Sx a11 a12

Ve A
3:3:10

Uz a21 a22

where

where the superscript 1 in these equations denotes the matrix inverse. The

above equations have been found by expressing each of the product terms

xx
xEx
x; y, xy
xEy
x; y, etc. in a convolution form (see 3.2.7±10) when

!

the Fourier series expansions of
x and E
x; y are substituted in each

!

of the product terms making up
x E and collecting coef®cients on com-

mon i orders.

Let qn and Vn be the eigenvalues and eigenvectors of the matrix A after

truncation. Summing over the individual eigenmodes we ®nd that the over-

all electric and magnetic ®elds in Region 2 are given by

( )

!
2 X X X

NT MT NT

!e

E Cn E n Cn Sxin a^ x Syin a^ y exp
qn y

n1 i MT n1

136 Chapter 3

( )

! 2 X X X

NT MT NT

! 2 !e

U 0 H Cn U n Cn Uzin a^ z exp qn y

n1 m MT n1

where NT 2
2MT 1. Equations 3.3.13 and 3.3.14 represent the sum of

NT 2
2MT 1 forward and backward traveling, propagating and non-

!e !e !e

propagating eigenmodes E n and U n 0 H n , which gives the general elec-

tromagnetic ®eld solution in Region 2, the diffraction grating region.

An important problem that remains is to determine the NT coef®-

cients Cn of Eqs. 3.3.13 and 3.3.14. Up to this point we have speci®ed the

general form of the diffracted ®elds in the grating region. The EM ®elds

on the incident side of the diffraction grating (Region 1 of Fig. 15a), on

the transmission side of the diffraction grating (Region 3 of Fig. 15a),

consist of an in®nite number of propagating and nonpropagating

plane waves whose tangential wave numbers are given by

kxi , i 1; . . . ; 1; 0; 1; . . . ; 1. The electromagnetic ®elds in Region 1

consist of the sum of a single E-mode polarized incident plane wave and

an in®nite number of re¯ected propagating and evanescent plane waves.

The total electric and magnetic ®elds in Regions 1 and 3 after summing the

incident and re¯ected ®elds is given by

Region 1

X

1

Uz
1 0 Hz
1 Eo i;o exp
jky1i y ri exp
jky1i y exp
jkxi x

i 1

3:3:15

1 X

1

Ex
1 ky1i Eo i;o exp
jky1i y ri exp
jky1i y exp
jkxi x

1 i 1

3:3:16

1 X

1

Ey
1 kxi Eo i;o exp
jky1i y ri exp
jky1i y exp
jkxi x

1 i 1

3:3:17

Region 3

X

1

Uz
3 0 Hz
3 ti exp
jky3i
y L exp
jkxi x
3:3:18

i 1

Planar Diffraction Gratings 137

1 X 1

Ex
3 ky3i ti exp jky3i
y L exp
jkxi x
3:3:19

3 i 1

1 X 1

Ey
3 k t exp jky3i
y L exp
jkxi x
3:3:20

3 i 1 xi i

where

( p

r r k2xi 1=2 r r > kxi

kyri p r 1; 3
3:3:21

jk2xi r r 1=2 kxi > r r

and 3, the next step is to match boundary conditions at the interfaces y 0

and y L. Matching the tangential components at the grating interfaces

we have the ®nal matrix equation

X

NT

ky1i 2Eo ky1i

Cn Uzin Sxin io
3:3:22

n1

1 1

X

NT

ky3i

Cn exp
qn LSxin Uzin 0
3:3:23

n1

3

where i MT ; . . . ; MT :

The above constitutes a set of NT 2
2MT 1 equations for the NT

unknown coef®cients Cn . Power is excited in the diffraction grating system

through the right-hand side (RHS) term of Eq. 3.3.22.

We will use the complex Poynting theorem [94,103] to study the power

transmitted into and from the diffraction grating under consideration. In

the present case we will choose the Poynting box to have a width (normal-

ized grating period length) in the x-direction, a thickness z in the z-direc-

tion (the diffraction grating is z-independent, so the Poynting box dimension

can be chosen to have an arbitrary value in this direction), and its back face

located at y L (in Region 3, just behind the Region 2±3 interface).

Figure 15b shows the Poynting box. We assume that no sources are present

in Region 2. With these assumptions we ®nd the complex Poynting theorem

is given by

138 Chapter 3

where

!
1 !
1

PufIN E U
a^ y dS
3:3:25

S y0

!
3 !
3

PufOUT E U
a^ y dS
3:3:26

S y L

!
2 !
2

PuDE E 00 E dV
3:3:27

V

!
2 !
2

PuDM U 00 U dV
3:3:28

V

!
2 !
2

PuWE E 0 E dV
3:3:29

V

!
2
2

0!

PuWM U U dV
3:3:30

V

In Eqs. 3.3.24±30, PufIN represents the complex power radiated into the

diffraction grating power (it is the sum of the incident power, the re¯ected

power, and the interaction power between the incident and re¯ected power),

PuDE and PuDM represent the electric and magnetic dissipated power loss in

the case when the grating material is isotropic, while PuWE and PuWM denote

the reactive powers proportional to the electric and magnetic energies in the

case when the grating material is isotropic. In the general anisotropic case,

however, all four quantities can be complex. Hence, for instance, energy loss

can result from both the imaginary and the real parts of and l, as in a non-

Hermitian medium, to be discussed later. The superscript u in Eqs. 3.3.24±

30 means unnormalized. These power terms will be later normalized to the

incident plane wave power. We will now be concerned with evaluating these

equations for the E-mode plane wave polarization case under consideration.

We illustrate the evaluation of the integrals in Eqs. 3.3.24±30 by calculating

the PuWE integral of Eq. 3.3.29. Substituting the electric ®eld of Region 2 we

®nd that the dot product inside the integral is

Planar Diffraction Gratings 139

! 2 0 ! 2

E E Ex 2 xx

0

xEx 2 Ex 2 xy

0

xEy 2 Ey 2 yx

0

xEx 2

Ey 2 yy

0

xEy 2

3:3:31

Each of the four terms in Eq. 3.3.31 must be substituted into Eq. 3.3.29 and

the subsequent volume energy integrals must be evaluated. The analysis

consists of substituting the Fourier series expansions of the electric ®eld

quantities and dielectric tensor quantities into the energy volume integral,

interchanging sum and integral expressions, carrying out all exponential

integrals exactly and in closed form, and ®nally simplifying all summations.

Letting

X

V
x; y Cn 0 Vi 0 ;n 0 exp
qn 0 y exp
jkxi 0 x
3:3:32

i 0 ;n 0

X 000

x i0000 expji Kx x 3:3:33

000

i

0 0 0 0

represent xx
x, xy
x, yx
x, or yy
x, and letting

X

W
x; y Cn 00 Wi 00 ;n 00 exp
qn 00 y exp
jkxi 00 x
3:3:34

i 00 ;n 00

represent the electric ®eld Ex
x; y or Ey
x; y, we ®nd that any of the four

terms of the unnormalized energy volume integral PuWE can be expressed in

the general form

P V
x; y
xW
x; y dV

V

( )

X

Cn 0 Vi 0 n 0 expqn 0 y exp jkxi 0 x

V i 0 ;n 0

8 9( )

<X = X 000

i 000 expji Kx x C 00 W 00 00 expqn 00 y exp jkxi 00 x

: 000 ; i 00 ;n 00 n i n

i

dx dy dz

3:3:35

140 Chapter 3

algebra that

X

V
x; y
xW
x; y dxdydz z Cn 0 Cn 00 Iyn 0 ;n 00

V n 0 ;n 00

X
3:3:36

i 00 i 0 V

i 0n 0 Wi00 n 00

i 0 ;i 00

where

0

Iyn 0 ;n 00 exp
qn 0 qn 00 y dy
3:3:37

L

Substitution of the four terms of Eq. 3.3.31, with each term simpli®ed

according to Eq. 3.3.36, produces a closed form expression (that is, all

integrations have been carried out exactly) from which the normalized

energy volume integral PuWE can be evaluated. The evaluation of the PuDE

is identical to the analysis of the PuWE integral except that the lossy relative

permittivity 00
x tensor is used rather than 0
x

The evaluation of the magnetic volume integrals PuWM and PuDM is identical

to that of PuWE and PuDE except that the magnetic ®eld is used rather than the

electric ®eld. In the present case under analysis the permeability 0

j 00 is uniform in the x-direction and its Fourier representation is

X

1

x i ejix
3:3:38

i 1

where

i 0 j 00 i;0 3:3:39

Following the analysis used to determine PuWE and evaluating the discrete

Kronecker delta found, we ®nd that

Planar Diffraction Gratings 141

X Xh 2 2

i

PuWM z 0 Cn 0 Cn 00 Iyn 0 ;n 00 Uzin 0 Uzin 00 3:3:40

n 0 ;n 00 i

X Xh 2 2

i

PuDM z 00 Cn 0 Cn 00 Iyn 0 ;n 00 Uzin 0 Uzin 00 3:3:41

n 0 ;n 00 i

Substituting the electromagnetic ®elds of Region 1 into Eq. 3.3.25, integrat-

ing over the cross section z , and performing algebra we ®nd that the

power radiated into the Poynting box at y 0 is given by

z X

PufIN k E ri E0 i;0 ri
3:3:42

1 i yli 0 i;0

incident power radiated into the Poynting box. Integration of the incident

power Puinc over the cross section z at y 0 for the present E mode

polarization case, after noting that the integral is purely real, gives the

incident power as

z

Puinc jE0 j2 ky10
3:3:43

1

If we normalize the power of Eq. 3.3.42 to the incident power, we ®nd that

P

Pu i kyli E0 i;0 ri E0 i;0 ri

PIN fIN
3:3:44

Puinc ky10 jE0 j2

Of interest are the powers re¯ected and transmitted from the diffract-

ing grating at y 0 and y L , respectively, and the relation that these

powers have to the power PfIN radiated into the Poynting box y 0 . The

unnormalized re¯ected and transmitted powers are given by the expressions

!
1 !
1 z X

Puref E ref U ref a^ y dS k r r

S y0 1 i y1i i i

3:3:45

!
3 !
3 z X

PufOUT Putrans E U
a^ y dS k t t

S y L 3 i y3i i i

3:3:46

142 Chapter 3

note that kyli is purely real for i 0, and we analyze the summation in the

numerator of the RHS of Eq. 3.3.44, namely,

X

T kyli E0 i;0 ri E0 i;0 ri 3:3:47

i

After expanding the product term of Eq. 3.3.47 in square brackets and after

separating the i 0 term from the i 6 0 we ®nd that

X

T ky1i E02 i;0
ri ri E0 i;0 ri ri
3:3:48

i

X

T ky10 E02
2j Im
r0 E0 r0 r0 ky1i ri ri
3:3:49

i;i60

X

T ky10 E02 2jky10 Im
r0 E0 ky1i ri ri
3:3:50

i

Thus

" #

z X z X

PufIN

ky1i E0 E0 i;0 k r r

1 i

1 i y1i i i

3:3:51

z

2jky10 Im
r0 E0

1

The ®rst and second summation terms of Eq. 3.3.51 represent the unnorma-

lized incident and re¯ected power at y 0 . The third term is an interaction

term between the incident and re¯ected EM wave. We have

z

PufIN Puinc Puref 2jky10 Im
r0 E0
3:3:52

1

We now substitute PufIN of Eq. 3.3.52 into the left-hand side (LHS) of Eq.

3.3.24. We ®nd that

z

Puinc Puref 2jky10 Im
r0 E0 PufOUT PuDE PuDM

1
3:3:53

j
PuWE PuWM

Transposing the re¯ected power term and the interaction power term to the

RHS of Eq. 3.3.53, we ®nd that

Planar Diffraction Gratings 143

z

Puinc Puref 2jky10 Im
r0 E0 PufOUT PuDE PuDM

1
3:3:54

j
PuWE PuWM

Puinc

Pinc 1

Puinc

Puref 1 X

Pref u k r r

Pinc ky10 i y1i i i

PufOUT 1 1 X

POUT Ptrans k t t
3:3:55

Puinc 3 ky10 i y3i i i

PuDE PuDM

PDE PDM

Puinc Puinc

PuWE PuWM

PWE PWM

Puinc Puinc

we now ®nd that the complex Poynting theorem of Eq. 3.3.24 after division

of all terms by Puinc can be written in normalized form as

3:3:56b

vation relation, which relates the input, incident, re¯ected, and transmitted

powers to the dissipated power and stored energy of the system.

By taking the real and imaginary parts of Eq. 3.3.56b we can derive

useful relations from which the numerical accuracy of the diffraction ana-

lysis can be checked, and we can also derive useful expressions into which

numerical insight of the diffraction process can be gained. Taking the real

part of Eq. 3.3.56b we ®nd that

3:3:57

Rej PWE PWM

144 Chapter 3

3:3:58

Imj PWE PWM

We remind the reader that by de®nition the quantities PDE , PDM , PWE , and

PWM in the general anisotropic case are not purely real, so that taking the

real and imaginary parts as speci®ed in Eqs. 3.3.58 is necessary as shown.

From Eqs. 3.3.57 and 3.3.58 we will now de®ne three useful relations

from which numerical plots can be made and which give insight into the

diffraction process. We will now give the ®rst relation. From Eq. 3.3.57 if we

transpose the Rej
PWE PWM term we have

3:3:59

Re PDE Re PDM

PWEM

diffR Rej
PWE PWM
3:3:60

PWEM

diffR PdiffR
3:3:62

Equations for PWEM diffR and PdiffR are in general useful quantities to calculate.

When the medium is reciprocal, PWE , PWM , PDE , and PDM are all purely real

quantities; therefore from Eq. 3.3.61, PWEM diffR 0 and PdiffR 0, and thus

Eq. 3.3.61 represents a conservation relation stating that the incident power

should equal the sum of the transmitted, re¯ected, and dissipated powers.

When the medium is anisotropic, PWE and PWM are in general complex, and

thus PWEM WEM

diffR is not necessarily zero. In this case PdiffR (which should equal

PdiffR ) give a sense of how much the anisotropic nature of the medium is

present in the EM ®eld calculation. The computation of PWEM diffR and PdiffR is

also useful in this case as a cross-check of the numerical calculation. It is

useful since both terms are computed from EM ®eld quantities located in

different regions of space. Numerically if PWEM diffR and PdiffR are not equal or

Planar Diffraction Gratings 145

second useful relation is given by Eq. 3.3.58. We de®ne

PWEM

diffI Im j
PWE PWM
3:3:63

PdiffI Im
Pref Ptrans PDE PDM 2Im
r0
3:3:64

PWEM

diffI PdiffI
3:3:65

We will now de®ne a third useful relation that results from Eqs. 3.3.56.

Transposing the terms Im
Pref and Im
Ptrans to the left-hand side of Eq.

3.3.58 and multiplying by 1 we ®nd that

3:3:66

Im PDM Imj PWE PWM

Letting

and letting

Pdif

evan 2Im
r0 Im
PDE Im
PDM Imj
PWE PWM

3:3:68

Pevan Pdiff

evan
3:3:69

evanescent power stored in the diffraction system. That it gives the evanes-

cent power can be seen from the equations for the re¯ected power in Region

1 and the transmitted power in Region 3. For the re¯ected power in Region

1 we have

Puref 1 X

Pref u k r r
3:3:70

Pinc ky10 i y1i i i

146 Chapter 3

( p

1 1 k2xi 1=2 1 1 > kxi

ky1i p 3:3:71

jk2xi 1 1 1=2 kxi > 1 1

In these equations we note ky10 is real and positive. Because the term ri ri is

purely real, the re¯ected power Pref is purely imaginary only when ky1i is

purely imaginary. Thus we see that Im
Pref is only nonzero when

p

ky1i jk2xi 1 1 1=2 , kxi > 1 1 , which occurs only for those space har-

monics that are evanescent. The transmitted power is evanescent for

Im
Ptrans 6 0, just as for the re¯ected power.

Relations 3.3.67±69 like Eqs. 3.3.60±62 are useful for two reasons.

First, they give the evanescent power, thus they give a measure of how

much power and energy is stored in nonpropagating EM waves near the

diffraction grating interfaces. The larger the evanescent power and energy,

the larger and rougher are the diffraction grating interfaces relative to the

bounding regions. A second reason that they are useful is that they provide

an excellent cross-check of the numerical diffraction solution. Pevan and

Pdiff

evan are computed from EM terms that exist in different regions of the

EM system. Thus equality or very close numerical equality of Pevan and

Pdiff

evan helps show that the computations are being made correctly. We also

note that the sum of evanescent powers tends to be small relative to the

other diffraction power terms in the system. Thus the sum of evanescent

powers tends to be a fairly sensitive test of the EM algorithm.

The type of power budget analysis presented here can be applied to

virtually any type of diffraction grating and any kind of polarization for the

incident wave and may be extended to multilayer grating structures in a

straightforward way. For example, results for H-mode incidence on an iso-

tropic grating have already been presented in the previous section.

In this section we will present numerical examples of the diffraction as

results from RCWA and the complex Poynting theorem, which have been

discussed previously for the E-mode polarization case under consideration.

The examples to be presented consist of an RCWA study of a square or step

pro®le diffraction grating when several different isotropic and anisotropic

materials make up the step pro®le. The step grating is assumed to be homo-

geneous in the longitudinal direction and is assumed to contain sharp dielec-

tric discontinuities at dielectric steps and thus possesses a high spectral

content i 1; . . . ; 1; 0; 1; . . . ; 1. Thus studying isotropic and anisotro-

Planar Diffraction Gratings 147

pic materials with relatively short grating periods ~ tests the RCWA

and the complex Poynting theorem in a fairly severe way.

We begin presenting results for the isotropic step grating. Figure 16a

shows the transmitted diffraction ef®ciencies DET
% for the i 0; 1 orders

when a lossless and lossy grating is present. The parameters of the grating re

given in the Fig. 16a inset. The plots show DET
% versus the layer length L~

(in units of free space wavelength ). The lossless grating example of Fig.

16a was ®rst studied by Yamakita and Rokushima [54], and the lossless

diffraction ef®ciency results of Fig. 16a are identical to their results [54].

As can be seen from Fig. 16a, as the layer length L~ increases from 0 to 2,

because is at the Bragg angle, power is diffracted from the i 0 order into

the i 1 order. For larger values of L,~ 2 to 4, power is diffracted from the

i 1. This cycle of blazing and antiblazing (see [98±101] for an insightful

discussion of blazing and antiblazing in grating analysis and its relation to

the Poynting vector) is repeated over a long range of L~ values. One also

observes that if 2b is lossy, the diffraction ef®ciency of both the i 0 and

i 1 orders is attenuated as one would expect in a lossy material.

Figure 16 (a) The transmitted diffraction ef®ciency of a lossless and lossy step

diffraction grating are shown. (b±e) Plots of the real and imaginary parts of the

normalized complex power PIN and PBOX as computed by Eq. 56a of the complex

Poynting theorem for the lossless (b and c) and lossy cases (d and e) are shown. (f±g)

Plots of the evanescent power as computed by Eqs. 3.3.67±69 for the lossless (f) and

lossy cases (g) are shown. OSA 1999 [103].

148 Chapter 3

Figure 16 (continued)

Planar Diffraction Gratings 149

Figure 16 (continued)

150 Chapter 3

Figure 16 (continued)

Planar Diffraction Gratings 151

Figures 16b±e show plots of the real and imaginary parts of the normal-

ized complex power PIN and PBOX of the complex Poynting theorem for the

lossless (Figs. 16b and 16c) and lossy (Figs. 16d and 16e) cases as speci®ed by

Eq. 3.3.56a. As can be seen from these four plots, the complex Poynting

theorem is obeyed to a high degree of accuracy as evidenced by the close

®t between the data for PIN (solid line) and the data for PBOX (dots). In

comparing the lossless and lossy cases (using Eq. 3.3.56a), one also notices

a signi®cant difference in the complex Poynting results for these cases. In the

lossy case, as the layer becomes larger, the oscillations of the power results

decrease. This is because in the lossy case, less EM power is re¯ected from the

boundary and interferes with forward traveling waves than when the medium

is lossless. Figures 16f and 16g show plots of the evanescent power as com-

puted by Eqs. 3.3.67±69. As can be seen in these ®gures, excellent agreement

with the complex Poynting theorem is observed in both lossy and nonlossy

cases. As discussed earlier, because the grating width is on the order of a

wavelength, a certain amount of energy is stored in the evanescent ®elds of

Regions 1 and 3. The comparison of the lossy and nonlossy materials shows a

de®nite difference in the evanescent ®eld quantities of the system.

Figures 17a and 17b show plots of the real and imaginary parts,

respectively, of the normalized complex power as computed by Eq.

3.3.56a for the lossless case when a general, nonreciprocal, anisotropic

material occupies Region 2a of the step diffractive region as shown in the

inset of Figs. 17a and 17b. Region 2b of the step was chosen to have

2b 2:5, and Region 2a of the step was chosen to have 2ayy 1:52axx ,

2axx 1 j0:1, 2axy 0:22axx , and 2ayx 0. The example being consid-

ered is non-Hermitian since 2axy 6 2ayx . This situation may be encountered

in, for instance, materials with stimulated Raman scattering, a process

whose governing susceptibility does not exhibit overall permutation symme-

try [96]. As can be seen from these ®gures, the complex Poynting theorem is

obeyed to a high degree of accuracy. Figure 17c shows a plot of the evanes-

cent power as calculated by Eqs. 3.3.67±69 for the nonreciprocal anisotropic

case under consideration.

Figures 17d and 17e show plots of PWEM diffR and PdiffR (calculated in Eqs.

3.3.60±62) and plots of PWEM

diffI and PdiffI (calculated in Eqs. 3.3.63±65) for the

same anisotropic case as was considered in Fig. 17a±c (plots labeled

2ayx 0. Also shown in these ®gures are plots made for the case when

all the permittivity elements are the same as in Fig. 17a±c except that instead

of taking 2ayx 0, 2axy has been taken to be 2axy 2ayx and thus the

medium is Hermitian. These plots are labeled 2axy 2ayx in Figs. 17d

and 17e. As can be seen from all the plots shown in Figs. 17d and 17e,

Eqs. 3.3.62 and 3.3.65 (namely, PWEM WEM

diffR PdiffR and PdiffI PdiffI ) are

152 Chapter 3

Figure 17 (a,b) Plots of the real and imaginary parts, respectively, of the normal-

ized complex power PIN and PBOX as computed by Eq. 3.3.56a of the complex

Poynting theorem are shown. (c) A plot of the evanescent power as calculated by

Eqs. 3.3.67±69 is shown. (d) Plots of PWEM

diffR and PdiffR (calculated in Eqs. 3.3.60±62)

for Hermitian and non-Hermitian step diffraction gratings are shown. (e) Plots of

PWEM

diffI and PdiffI as calculated in Eqs. 3.3.63±65 for Hermitian and non-Hermitian

step diffraction gratings are shown.

Planar Diffraction Gratings 153

Figure 17 (continued)

154 Chapter 3

Figure 17 (continued)

obeyed to a very high degree of accuracy as can be seen by the close agree-

ment between lines and dots as displayed in the ®gures.

In Fig. 17d it is very interesting to compare the power results for the

Hermitian and non-Hermitian cases. In Fig. 17d, for the plots labeled

2ayx 0, the material is non-Hermitian, and thus PWE and PWM are not

necessarily purely real, and thus PWEMdiffR of Eqs. 3.3.60±62 is not necessarily

zero. The nonzero nature of PWEMdiffR is clearly seen in the plot of Fig. 17d. On

the other hand, for the plots labeled 2axy 2ayx (Hermitian case), it is

noticed that

PWEM

diffR Rej
PWE PWM PdiffR 0
3:3:72

or

3:3:73

or

Planar Diffraction Gratings 155

conservative and should show the basic property that the incident power on

the grating should equal the sum of the power dissipated in the grating and

re¯ected and transmitted from the grating. This is exactly what is observed

in Fig. 17d as can be seen from Eq. 3.3.74.

REFLECTION GRATINGS

the RCWA method in the cases of E-mode and H-mode polarization. In

both these cases the diffraction grating has been taken to have its grating

vector directed in the x-direction (the dielectric modulation varies in this

direction). Another important type of grating is the slanted or pure re¯ec-

tion grating where the grating vector will have a component along the y-

direction. Coupled wave analysis of re¯ection gratings has been carried out

by numerous researchers, see for instance Kogelnik [5], Raman-Nath, Kong

[6], Marcuse [14], and Moharam and Gaylord [16,18,19]. The basic assump-

tion in all of these is that the EM ®elds can be expanded in terms of a

transverse space harmonic Fourier series, which upon substitution into

Maxwell's equations can be reduced to state variable form for subsequent

analysis. Rigorously speaking, this in turn implies that the analysis is only

valid for ®nite transverse spatial periods of the grating vector. In a pure

re¯ection grating, the transverse grating period is in®nite; the RCWA based

on a transverse space harmonic expansion cannot strictly hold (even though

it has been shown to hold in the limit). This does not mean however that a

state variable analysis of this case cannot be performed. Zylberberg and

Marom [25] have, in fact, employed a novel expansion of the EM ®elds in

terms of harmonics of the phase of the grating to reduce the Maxwell's

equations to state variable form.

3.4.1 Formulation

We consider the case of an EM wave (H-mode polarization) (see Fig. 18)

incident on a sinusoidally modulated relative dielectric constant (relative

permeability equal to unity in all space)

tude, is the slant angle, K 2= and k0 ~ is the normalized grating

156 Chapter 3

Optical Society of America (OSA), Ref. 25.

period. is the phase angle of the modulation and plays a signi®cant role in

the state variable analysis of the system. The grating is assumed to be

bounded by lossless homogeneous regions on either side of the grating.

The normalized electric ®eld in each region expressed in normalized coordi-

~ etc., is

nates x k0 x,

Planar Diffraction Gratings 157

Region 1 (z < 0

X

E1 exp j
0 x 10 z R~ i exp j
i x 1i z
3:4:2

i

X

E2 S~i exp j
i x 2i z
3:4:3

i

Region 3 z > d

X

E3 T~i exp j
i x 3i
z d
3:4:4

i

Here

i k1 sin iK sin

2 p

mi k2m 2i km m

2i k2 cos 0 iK cos

" #

0 1 1 1=2

sin sin

2

i k1 sin iK sin m 1; 2; 3

i 0; 1; 2; . . .

Region 1, and 0 is the refraction angle inside the grating (Region 2); R~ i and

T~i are the amplitudes of the re¯ected and transmitted diffraction orders,

respectively. S~i is the amplitude of the ith order inside the modulated region.

It will be shown that R~ i , T~i , and S~i depend on the modulation phase angle .

When Eqs. 3.4.1 and 3.4.3 are substituted into the wave equation for

the grating region,

158 Chapter 3

d 2 Si
u dS
u

cos 0 i cos i i
i BS i
u

82 d 2 u du

S i1
u exp
j S i 1
u exp
j 0
3:4:6

where

jz~

u jz~

2 2 1=2

~ 2 1=2

22 22 2

~ 2

~ 2 cos

2 1=2

0 2 cos 0

B

regions. To ®nd an overall EM solution, the ®elds of Region 2 must be

matched at the boundaries z 0 and z d to the EM ®eld solutions in

Regions 1 and 3. Matching the tangential electric and magnetic ®elds,

respectively, at z 0 we have

d S~i z

1i R~ i i;0 j 2i S~i 0 3:4:8

dz

z0

we have

" #

d ~i z

S

3i T~i j 2i S~i d exp j2i d 3:4:10

dz

zd

R~ i , S~i
z, and T~i , the normalized amplitudes of the ith diffraction

orders in regions 1, 2, and 3, respectively, can be written in a form that

shows explicitly their dependence on the arbitrary phase modulation .

Planar Diffraction Gratings 159

Upon substituting

cos 0 i cos i i BSi u

82 d 2 u du 3:4:12

Si1 u Si 1 u 0

Therefore Si u is the ®eld amplitude in the grating region for 0.

From Eq. 3.4.11 it follows that

where

R~ i Ri exp
ji
3:4:15

T~i Ti exp
ji
3:4:16

d S^i z

1i Ri i;0 j 2i S^i 0 3:4:18

dz

z0

" #

d S^i z

3i Ti j 2i S^i d exp j2i d 3:4:20

dz

zd

0. Therefore Ri and Ti are the amplitudes of the ith re¯ected and trans-

mitted order for a grating with 0.

160 Chapter 3

0, are identical with the coupled wave equations and boundary condi-

tion equations given by Gaylord [16] and can be solved by using the method

described there to obtain the amplitudes S^i z, Ri , and Ti . After Ri and Ti

are calculated, the amplitudes R~ i and T~i for an arbitrary modulation phase

can be determined by using Eqs. 3.4.15 and 16. From Eqs. 3.4.13±16, it is

seen that a phase shift of the grating's dielectric constant modulation

causes a shift of i in the phases of the ith diffraction orders in the three

regions.

In retrospect, it is not hard to see why this should be true by examining

the diffraction orders from a simple thin sinusoidal grating. The overall

optical ®eld immediately behind a thin matched sinusoidal grating of thick-

ness d in free space illuminated by a plane wave of wavenumber k0 can be

expressed in the form

Kx 3:4:22

Now the RHS of Eq. 3.4.21 can be expanded in a Fourier series by a Bessel

identity of the form

X

1

exp
jd cos Ji
d exp
ji
3:4:23

i 1

X

1 X

1

E/ Ji
k0 d exp
ji Ji
k0 d exp
ji exp
jiKx

i 1 i 1

3:4:24

The quantity in square brackets is the amplitude Ti of the ith order dif-

fracted ®eld at the exit plane of the grating (transmission type in this simple

example), and it is readily seen that the phase associated with the ith dif-

fraction order is always i.

When the diffraction ef®ciencies are calculated using RCW analysis

two distinct cases must be considered:

1. Slanted gratings
6 0. In this case the re¯ected (transmitted)

orders in Region 1 (3) have different values of 1i
3i ) for different values

Planar Diffraction Gratings 161

are evanescent. The diffraction ef®ciencies for the ith re¯ected order and for

the ith transmitted orders, when the grating modulation has an arbitrary

phase , are given, respectively, by

1i ~ 2

DERi Re jRi j 3:4:25

10

DETi Re 3i jT~i j2 3:4:26

10

By substituting Eqs. 3.4.15 and 3.4.16 into Eqs. 3.4.25 and 3.4.26, respec-

tively, we obtain

1i

DERi Re jRi j2
3:4:25a

10

DETi Re 3i jTi j2
3:4:26a

10

the modulation phase . This is also in agreement with our heuristic theory

given above.

2. Pure re¯ection gratings ( 0). The dielectric constant of a pure

re¯ection grating is constant along the boundaries, and on any plane parallel

to the boundaries inside the grating region. It changes along the z-direction

and is given by setting 0:

purely re¯ection gratings and slanted gratings:

1. Only one re¯ected wave and one transmitted wave exist outside

the pure re¯ection grating.

2. Different values of the modulation phase correspond generally

to different values of the dielectric constant at the boundaries.

Therefore one would expect the diffraction ef®ciencies of a pure

re¯ection grating to be affected, even if only the value of is

changed.

A pure re¯ection grating can be viewed as a dielectric slab with plane

boundaries that are perpendicular to the z-axis and with a dielectric constant

that varies as a function of z only. A rigorous solution of the problem of

162 Chapter 3

grating therefore has the following form:

Region 1 (z < 0

Region 3 (z > d)

R~ and T~ are the electric ®eld amplitudes of the single re¯ected and trans-

mitted plane waves, respectively, and U
z is the z-dependent amplitude of

the electric ®eld inside the pure re¯ection grating. In addition to satisfying

the wave equation in the three regions, the expressions 3.4.28±30 must also

satisfy the boundary conditions at z 0 and z d. The four boundary

equations are tangential E and z 0:

R~ 1 U 0 3:4:31

tangential H at z 0:

dU

j10
R~ 1
3:4:32

dz z0

tangential E at z d:

T~ U d 3:4:33

tangential H at z d:

dU

j30 T~
3:4:34

dz zd

It is now shown that the RCWA equations can also be derived for

0 and therefore are also valid for pure re¯ection gratings.

Since changing the modulation phase by an integral multiple of 2

~ T,

results in the same grating, the amplitudes R, ~ and U
z in Eqs. 3.4.28±30

Planar Diffraction Gratings 163

expanded in Fourier series in the forms

X

R~ Ri exp ji 3:4:35

i

X

U z Ui z exp ji 3:4:36

i

X

T~ Ti exp ji 3:4:37

i

Fourier coef®cients Ui z can be written without loss of generality in the

form

where

2i k2 cos 0 iK

By setting 0 in Eq. 3.4.1 and substituting Eqs. 3.4.1, 3.4.29, and 3.4.36,

into the wave equation Eq. 3.4.5, the following equation is obtained:

" #

X d 2 S^i d S^ ^

2j2i i 2

2i 20 k22 S^i Si 1 S^i1

i

dz2 dz 2

3:4:39

Since can have any value, it follows that the coef®cient of each exponential

(the term in square brackets in Eq. 3.4.39) must equal zero:

d 2 S^i d S^i ^

2j2i 2

2i 20 k22 S^i Si 1 S^i1 0
3:4:40

dz2 dz 2

The boundary conditions are derived by substituting Eqs. 3.4.35±38

into Eqs. 3.4.31±34. For instance, after substituting Eqs. 3.4.35, 36, 38 into

3.4.31, one obtains

164 Chapter 3

X X

Ri exp ji 1 S^i 0 exp ji 3:4:41

i i

P

Noting that 1 i i0 exp
ji, it follows that

derived in a similar manner.

By multiplying Eq. 3.4.40 and the corresponding boundary conditions

by exp ji and de®ning

R~ i Ri exp ji 3:4:44

T~i Ti exp ji 3:4:45

From Eqs. 3.4.35±38 it follows that the amplitudes of the re¯ected and

transmitted waves are given by the sums of the amplitudes of the re¯ected

and transmitted orders, respectively. The dependence on is obtained by

multiplying the amplitudes of the ith orders Ri , S^i z, Ti , which correspond

to 0, by exp ji.

We have just shown that a state variable formulation in terms of the

phase of the grating can lead to a set of coupled wave equations that are

equivalent to the RCWA equations for 6 0 but in the limit as ! 0.

When 0, all the re¯ected orders have 1i 10 and propagate in the

same direction in Region 1. The result is a single re¯ected wave whose

amplitude R~ is given by the coherent addition of the amplitudes of the

individual re¯ected orders

X

R~ R~ i 3:4:46

i

coherent addition of the amplitudes of the individual transmitted orders

X

T~ T~i 3:4:47

i

given respectively by

Planar Diffraction Gratings 165

X 2

~ 2 ~

DER jRj Ri 3:4:48

i

and

X 2

30 ~ 2

DET Re jTj Re 30 T~
3:4:49

10 10 i i

The conservation of power for a lossless pure re¯ection grating dictates that

X XX

DER jRi j2 Ri Rn expj i n 3:4:51

i i n;n6i

X

hDER i jRi j2 3:4:52

i

X

hDET i Re 30 jTi j2 3:4:53

10 i

yields

X X

hDER i hDET i jRi j Re 30

2

jTi j2 1
3:4:54

i

10 i

power relationship for a slanted grating in the limit ! 0. We would like to

stress that the true power conservation relation for a pure re¯ection grating

with a ®xed is given by the relations 3.4.48±50.

166 Chapter 3

Slanted Gratings ( 6 0

In Section 3.2 above, we have given an example of a pure transmission

grating =2 [16, Fig. 1]. We now give an example of diffraction

from slanted gratings. Figs. 19 and 20 show the diffraction ef®ciencies as

a function of the grating strength parameter d= cos 0 (proportional to

grating thickness d) for =3 and =6, respectively. Note that as

increases, the grating behavior changes from a predominantly transmission

type to a predominantly re¯ection type. Also shown in the ®gures is com-

parison with Kogelnik's two-mode theory. The case 0 (pure re¯ection

grating) has to be treated separately, and examples as given below.

slanted grating with p 2. The diffraction ef®ciencies of all re¯ected and transmitted

waves not shown in the ®gure are less than 0.01. Used with permission of OSA, 1981

[16, Fig. 3].

Planar Diffraction Gratings 167

Figure 20 The diffraction ef®ciencies for a 30 grating with 10. The dif-

fraction ef®ciencies of all re¯ected and transmitted waves not shown in the ®gure are

less than 0.01. Used with permission of OSA, 1981 [16, Fig. 4].

Using RCWA we present examples of the re¯ection ef®ciencies of a pure

re¯ection grating at ®rst-Bragg (B 1) and second-Bragg incidence. The

data used in the calculations were as follows

3:4:55

z 2 cos 2z=

P are the rigorously correct re¯ection

ef®ciencies of the PRG given by j i Ri j2 as a function of grating thickness,

for B 1 and B 2, respectively. In both ®gures, the modulation phase is

168 Chapter 3

P

zero. The dashed curves in Figs. 20 and 21 were obtained by using i jRi j2

as in Ref 16.

P In the case of ®rst-Bragg incidence (Fig. 21), the curve P drawn using

j i Ri j2 (solid line) ripples around the curve drawn using i jRi j2 (dashed

curve). The ripple results from the fact that as the thickness of the grating

changes the interference between the re¯ected, diffracted orders alternates

from partially constructive to partially destructive interference. The effect of

interference between re¯ected orders is even more pronounced in the case of

second-Bragg incidence as shown in Fig. 22.

Figures

P 23 and 24 P show the deviations from the conservation of power

given by j i Ri j2 j i Ti j2 1 computed using the same data as was used

for Figs. 21 and 22. The deviations result from using a ®nite number of

re¯ection ef®ciency

P(dashed line) is calculated by summing the re¯ection diffraction

2

ef®ciency orders i jRi j . Used with permission of Optical Society of America

(OSA), 1983 [25, Fig. 2].

Planar Diffraction Gratings 169

The re¯ection ef®ciency

P(dashed line) is calculated by summing the re¯ection diffrac-

tion ef®ciency orders i jRi j2 . Used with permission of Optical Society of America

(OSA), 1983 [25, Fig. 33].

23 and 24 that the deviation decreases as the number of diffraction orders

retained in the calculations is increased. The reader should note that the

multipliers on the vertical scales decrease from top to bottom.

In Figs. 25±28 we show the effect of on the re¯ection ef®ciency for

®rst and second Bragg incidence. Figures 25 and 26 show the re¯ection

ef®ciencies for 90 and 180 , respectively, for B 1, and Figs.

27 and 28 show the re¯ection ef®ciencies for 90 and 180 for

B 2. As can be seen from the ®gures, a perceptible difference exists

between the diffraction ef®ciencies for the case 0 (dashed curves) and

nonzero .

170 Chapter 3

P P

Figure 23 Deviations from conservation of power
j i jRi j2 j i Ti j2 1

obtained with the data of Fig. 21 when (top to bottom) 11, 17, and 23 diffraction

orders were used in the numerical calculations. Used with permission of Optical

Society of America (OSA), 1983 [25, Fig. 4].

Planar Diffraction Gratings 171

P P

Figure 24 Deviations from conservation of power
i jRi j2 j i Ti j2 1

obtained with the data of Fig. 22 when (top to bottom) 11, 17, and 23 diffraction

orders were used in the numerical calculations. Used with permission of Optical

Society of America (OSA), 1983 [25, Fig. 5].

172 Chapter 3

Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when 08

(same as solid curve in Fig. 21). Used with permission of Optical Society of America

(OSA), 1983 [25, Fig. 6].

GRATINGS

problem when the diffracting layer is a uniform, homogeneous layer in

the longitudinal direction. A very important problem that remains is

when the diffracting layer is not constant or homogeneous in the y-direction

but varies (is inhomogeneous) in the y-direction. All surface relief gratings

are examples of gratings that are inhomogeneous in the y-direction. Figure

29a shows an example of a symmetric blaze surface relief grating. As can be

seen from this ®gure, taking 2a 1 and 2b 2 , the surface of Region 3 is

cut or grooved with the triangular blazes. Any grating that has a longitu-

dinal variation in the bulk index or possesses a variation in its modulation is

Planar Diffraction Gratings 173

®rst-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when 08

(same as solid curve in Fig. 21). Used with permission of Optical Society of America

(OSA), 1983 [25, Fig. 7].

digitated electrode device that induces a nonuniform periodic index of

refraction change is a second example of a nonuniform nonhomogeneous

periodic grating [77±82].

The basic theory that will be used in this section to analyze longitud-

inally inhomogeneous gratings will be to divide the grating into a set of thin

layers (suf®ciently thin that very little longitudinal variation occurs inside

the grating thin layer), in each thin layer to ®nd the Fourier coef®cients that

correspond to each thin layer, to formulate a set of state variable equations

174 Chapter 3

second-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when

08 (same as solid curve in Fig. 22). Used with permission of Optical Society of

America (OSA), 1983 [25, Fig. 8].

within the thin layer as has been done in earlier sections, and to boundary

match the state variable solutions at all thin layer interfaces and at all

regions exterior to the grating to ®nd an EM solution to the inhomogenous

grating problem. This procedure has been used by numerous researchers to

study longitudinally inhomogeneous diffraction gratings [18,19,21±23,

28,31,33,55,65] and other EM systems.

In observing Fig. 29a one also notices why the grating must be con-

sidered inhomogeneous in the y-direction. The dotted lines of Fig. 29a show

examples of the thin layers that can be used to analyze the grating. In

observing these dotted lines, for the example presented, one notices that if

the thin layer is chosen close to the incident side of the grating, little material

of Region 3 is included in the thin layer, and the Fourier series representing

that thin layer will nearly be that of Region 1. On the other hand, if the thin

layer is chosen close to the transmit side of the grating, then in this case most

Planar Diffraction Gratings 175

second-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when

08 (same as solid curve in Fig. 22). Used with permission of Optical Society of

America (OSA), 1983 [25, Fig. 9].

of the material in the thin layer is that of Region 3, and the Fourier series

representing this thin layer will nearly be that of Region 3. Clearly, from this

discussion and observing the thin layer in Fig. 29a one can see that the

Fourier series in the thin layer near the incident side are signi®cantly differ-

ent from those at the transmit side. Thus from this discussion, the RCWA

method must re¯ect the change in Fourier series coef®cients as one changes

the y position in the grating.

In the following sections we will carry out the multilayer analysis for

the E-mode case studied in Section 3.3. The analysis for the H-mode case is

similar to the E-mode case.

176 Chapter 3

To begin the analysis of longitudinal inhomogeneous gratings we divide the

inhomogeneous region into N` regions as shown in Fig. 29b. If the P width of

the lth layer is S` , then the overall layer thickness is given by L N`1 S` .

`

Each layer is assigned a local coordinate system y` with its local origin as

shown in Fig. 28. The ®rst layer has the coordinate y1 and the last layer to

the right is yN . Enough layers N` are used so that the grating inhomogeneity

`

Planar Diffraction Gratings 177

element in each layer is labeled ~ss 0 ` and is expanded the same way as in

Sections 3.2 and 3.3, namely as

X

1

~ss 0 ` 0 ss 0 i` ejiKx x s; s 0 x; y; z 3:5:1

i 1

malized magnitude of the grating vector, is the grating wavelength, ss 0 i` is

the ith Fourier expansion coef®cient of ~ss 0 ` in the `th layer, and 0 is the

permittivity of free space. Using a local coordinate system is an important

feature of the analysis.

The ®rst step is to determine the full EM ®elds in the `th layer of the

grating. This analysis has been seen already in Section 3.2, since the grating

is assumed uniform in each layer. Thus the EM ®elds from Maxwell's equa-

!

tions in Region ` after truncation to order jij MT are given by E Ez a^ z

(all regions)

( )

XMT XNT

qn` y

Uz` 0 Hz` Cn` Uzin` e ` e jkxi x 3:5:2

i MT n1

( )

X

MT X

NT

Ex` Cn` Sxin` eqn` y` e jkxi x

3:5:3

i MT n1

In these equations kxi kx0 iKx , NT 2
2MT 1, qn` and V` Stx` ; Utz`

t
Sx` Sxi` , Uz` Uzi` are the eigenvalues and eigenvectors of the `th

region. The eigenvector Vn`
y Vn eqn `y is assumed to satisfy the eigenvalue

equation

@Vn`

A` Vn`
3:5:4

@y

where the matrix A` is given by Eq. 3.2.15 with the ss 0 i` of Eq. 3.5.1 used to

de®ne A` .

The EM ®elds in Regions 1 and 3 are the same as in the uniform case

and are given in Section 3.2. The analysis proceeds by matching the tangen-

tial electric ®eld (Ex in this case) and tangential magnetic ®eld (Hz in this

case) at every boundary interface. The Ex and Hz ®elds at Region 1: Layer

` 1 interface are

Ex
1 Ex1 y 0 Hz
1 Hz1 y 0
3:5:5

y0 1 y0 1

178 Chapter 3

Substituting we have

( )

X

MT

ky1i X

MT X

NT

jkxi x qn1 y jkxi x

Eo io Ri e Cn1 Sxin1 e 1 e

i M

1 i MT n1

T y 0

1

3:5:6a

( )

1 X

MT

1 X

MT X

NT

jkxi x

E Ri e jkxi x

Cn1 Uzin1 eqn1 y1 e

0 i M o io 0 i M n1

T T y 0

1

3:5:6b

Ex;` y S

Ex;`1 y 0

Hz;` y S

Hz;`1 y 0

3:5:7

` ` `1 ` ` `1

( )

X

MT X

NT

qn` y jkxi x

Cn` Sxin` e ` e

i MT n1

y S

`

`

( )

X

MT X

NT

qn;`1 y jkxi x

Cn;`1 Sxin;`1 e `1 e
3:5:8a

i MT n1

y 0

`1

( )

1 X

MT X

NT

jkxi x

Cn` Uzin` eqn` y` e

0 i M n1

T y S`

`

( )

1 X

MT X

NT

qn;`1 y jkxi x

Cn;`1 Uzin;`1 e `1 e
3:5:8b

0 i MT n1

y 0

`1

( )

X

MT X

NT

jkxi x

CnN` SxinN` exp qnN` yN e

i MT n1

`

y SN`

N`

X

MT

ky3i jkxi x

Te
3:5:9a

i M

3 i

T

Planar Diffraction Gratings 179

( )

1 X

MT X

NT

jkxi x

CnN` UzinN` exp qnN` yN e

0 i M n1

`

T y SN`

N`

1 X

MT

jkxi x

Te
3:5:9b

0 i M i

T

Each of the Fourier coef®cients of each exponential e jkxi x on the left and

right sides of the above equations must be equal in order that the equations

be all satis®ed. Equating Fourier coef®cients after evaluation of the y-depen-

dent terms we ®nd

ky1i X

NT

Eo io Ri Cn1 Sxin1
3:5:10a

1 n1

X

NT

Eo io Ri Cn1 Uzin1
3:5:10b

n1

X

NT X

NT

Cn` Sxin` exp
qn` S` Cn;`1 Sxin;`1 ` 1; . . . ; N` 1

n1 n1

3:5:11a

X

NT X

NT

Cn` Uzin` exp
qn` S` Cn;`1 Uzin;`1 ` 1; . . . ; N` 1

n1 n1

3:5:11b

X

NT

ky3i

Cn;N` SxinN` exp
qn;N` SN` T
3:5:12a

n1

3 i

X

NT

Cn;N` UzinN` exp
qn;N` SN` Ti
3:5:12b

n1

NT 2 2MT 1. The above equations can be simpli®ed. Equations

3.5.11a and 11b for ` 1; . . . ; N` 1 can be written, with

i MT ; . . . ; MT , as

180 Chapter 3

Sxin` qn` S` Sxin;`1

K` e K`1 3:5:13

Uzin` Uzin;`1

K1 C1 K

2 C2

K2 C2 K3 C3

..

.

KN` 1 CN` 1 K

N` CN`
3:5:14

If we invert K` , ` 1; . . . ; N` 1 in each of the above equations, we have

C1
K1 1
K

2 C2

C2
K2 1
K

3 C3

..

.
3:5:15

CN` 2
KN` 2 1
K

N` CN` 1

1

CN` 1
KN` 1
K

N` CN`

C1 K1 1 K

2 K2 1 K 1

3 KN` 1 KN` CN` 3:5:16

C1 M CN` 3:5:17

We can simplify Eq. 3.5.10a by solving for Ri in Eq. 3.5.10b and substituting

in Eq. 3.5.10a. We can also substitute Ti from Eq. 3.5.12b into Eq. 3.5.12a.

Doing both operations we ®nd that

!

ky1i X

NT X

NT

Eo io Eo io Cn1 Uzin1 Cn1 Sxin1

1 n1 n1

X

NT

2Eo ky1i ky1i

Vi io Cn1 Uzin1 Sxin1

1 n1

1

XN

T

ky3i

0 CnN` exp qn;N` SN` UzinN` SxinN`

n1

3

3:5:18

Planar Diffraction Gratings 181

p

We also have ky10 n1 cos 1 so that, n1 1 1 ,

3:5:19

1 n21 n1

so that

2Eo cos 1

Vi i;o
3:5:20

n1

Letting

1 ky1i

R Uzin1 Sxin1

1
NT =2NT

N` ky3i

R exp qnN` SN` U SxinN`

3 zinN` NT =2NT

i MT ; . . . ; 0; MT

n 1; . . . ; NT

V Vi i;o i MT ; . . . ; 0; . . . ; MT

2 3

V

6 7 " #

607 C1

6 7

Vext 6 7 C
3:5:21

607 CN`

4 5 2NT

0 2NT

2 3

R
1 0

6 7

A6

4 M I 7

5
3:5:22

0 R
N` 2NT 2NT

We ®nd the ®nal matrix equation from which C1 and CN` can be found. It is

given by

Vext A C 3:5:23

where Ct Ct1 ; CtN` ] and t refers to the matrix transpose. Inversion of this

equation gives C1 and CN` . Power may be analyzed in the same way as in the

182 Chapter 3

single layer E-mode case. The analysis of the H-mode multilayer case is very

similar to that of the E-mode case. The analysis of the H-mode multilayer

case is very similar to that of the E-mode case.

This section will present some numerical examples of H-mode and E-mode

diffraction ef®ciency as results from the multilayer analysis described in this

section. Figure 30 shows transmitted and re¯ected diffraction ef®ciencies of

a sinusoidal surface relief grating when an H-mode polarized plane wave is

incident on the grating. The layer thickness is taken to be L k0 L~

and extend from the peak to trough of the grating. In this example

2a 1 1, 2b 3 2:5, ~ , N` 5, and 30 . In this example

the full ®eld formulations of Section 3.2 were used to calculate the EM ®elds

of the diffraction grating system. As can be seen from the plots of Fig. 30,

diffraction power is mainly transferred from the zero-order diffracted power

into the ®rst-order with a small amount of diffracted power being re¯ected

and transferred into higher order modes. This example has been analyzed by

Moharam and Gaylord [19, Fig. 4, p. 1388] using the multilayer RCWA

method to determine the EM ®elds of the system. In comparing their ®gure

surface relief grating when an H-mode polarized plane wave is incident on the grat-

ing.

Planar Diffraction Gratings 183

to the one we present here, almost identical results cam from the two for-

mulations. In Fig. 30 we mention that conservation of the real power was

observed to a high degree of accuracy.

Figure 31 shows transmitted (i 1; 0; 1; 2 and re¯ected (i 0; 1)

diffraction ef®ciencies of a sinusoidal surface relief grating when an E-

mode polarized plane wave is incident on the grating rather an H-mode

polarization. The layer thickness is taken to be L k0 L~ and extend from

peak to trough of the grating as in the previous ®gure. In this example

2a 1 1, 2b 3 4, ~ , N` 5, and 30 . In this example

the full ®eld formulation of Section 3.3 was used to calculate the EM ®elds

of the diffraction grating system in each thin layer. As can be seen from the

plots of Fig. 31, diffraction power is mainly transferred from the zero-order

diffracted power to the ®rst-order with a small amount of diffracted power

being re¯ected and transferred into higher order modes. This example has

been analyzed by Yamakita et al. [55, Fig. 6, p. 156] who used a multilayer

coupled mode method to determine the EM ®eld of the system. In compar-

ing their ®gure to the present one, almost identical results came from the two

formulations. In this paper [55] the numerical value of the diffraction orders

was opposite of that used in Ref. 19 and that used in this section. (That is,

ciencies of a sinusoidal surface relief grating when an E-mode polarized plane wave is

incident on the grating rather than an H-mode polarization is shown.

184 Chapter 3

Fig. 31 we mention that conservation of the real power was observed to a

high degree of accuracy.

Figure 32 shows transmitted and re¯ected diffraction ef®ciencies of a

symmetric blaze surface relief grating when an H-mode polarized plane

wave is incident on the grating. The layer thickness is taken to be

L k0 L~ and extend from peak to trough of the grating. In this example

2a 1 1, 2b 3 2:5, ~ , N` 5, and 30 . In this example the

full ®eld formulation of Sections 3.2 and 3.5.2 was used to calculate the EM

®elds of the diffraction grating system. As can be seen from the plots of Fig.

32, diffraction power is mainly transferred from the zero-order diffracted

power into the ®rst-order with a small amount of diffracted power being

re¯ected and transferred into higher order modes. This example has been

analyzed by Moharam and Gaylord [19, Fig. 6, p. 1389], who used the same

multilayer wave equation RCWA method as was used for Fig. 30 to deter-

mine the EM ®elds of the system. In comparing their ®gure to the present

one, almost identical results came from the two formulations. In Fig. 32 we

mention that conservation of the real power was observed to a high degree

blaze surface relief grating when an H-mode polarized plane wave is incident on

the grating.

Planar Diffraction Gratings 185

because of the presence of the sharp discontinuities caused by the blaze.

3.6.1 Crossed-Diffraction Grating Formulation

In this section we are interested in studying diffraction from a crossed two-

dimensional grating using RCWA based on Floquet theory and state vari-

able analysis. Figure 33 shows, as an example, the geometry of a two-dimen-

sional crossed pyramidal grating (front and side view). We are interested in

the case when a plane wave of oblique incidence and general polarization is

incident on a crossed diffraction grating or a grating that is periodic in two

view; (b) side view.

186 Chapter 3

described by an anisotropic dielectric permittivity tensor and that the per-

meability of the grating is that of homogeneous space, and that the permit-

tivity tensor elements pq , p; q x; y; z can be expressed as a sum of

Floquet harmonics as

X

1 X

1

~pq 0 pq;ii exp
j
iKx x iKz z
3:6:1

i1 i 1

normalized grating periods given by x ko ~ x , z k o

~ z.

To start the analysis we expand the electric ®elds in Region 2 in a set of

Floquet and space harmonics as

!
2 X !

E S i;i
y exp
jkxi x jkzi z
3:6:2

i;i

where

3:6:3

kzi kz0 iKz i MT ; . . . ; 0; . . . ; MT

where

3:6:4

kz0 n1 sin cos

p

where k~xo ko kxo , k~zo ko kzo , n1 1 1 , and , are the incident angles

of the incoming plane wave. The quantity n1 is the index of refraction of

!
2

Region 1. The magnetic ®eld H in Region 2 can also be expanded in

Floquet harmonics, and it is given by

!

!
2 U 1 X!

H U i;i
y exp
jkxi x jkzi z
3:6:5

o o i;i

where 0 ~ 0 =~0 . If E and H are substituted in Maxwell's equations

we ®nd that

Planar Diffraction Gratings 187

! !

r S jU
3:6:5a

! !

r U j S
3:6:5b

! !

r F ko r~ F , where r is the curl in unnormalized coordinates. If

! ! !

we let F i;i represent either S i;i e j i;i or U i;i e j i;i , where i;i kxi x kzi z,

we ®nd that

! @Fzii

r F ii a^ x jkzi Fyii

@y

h i

a^ y jkzi Fxii jkxi Fzii
3:6:6

@Fxii j

a^ z jkxi Fyii e i;i

@y

Further, if we let f represent any of the dyadic components xx , xy ; . . ., with

fi;i representing the Fourier amplitudes, and let F represent Sx , Sy , Sz , Ux ,

Uy , Uz , we ®nd that

2 3

X

1 X

1 X

1 X

1

fF 4
fi i 0 ;i i 0 Fi 0 ;i 0

5 exp
jkxi x jkzi z
3:6:7

i1 i 1 i 0 1 i 0 1

the same manipulations as were used for the one-dimensional diffraction

! !

grating studied in Section 3.2. When the Floquet expansions of S , U , and

are substituted in Maxwell's equations and common modal amplitudes of

exp jkxi x jkzi z are equated, the following set of coupled equations is

found:

@Szii

jkzi Syii jUxi;i
3:6:8a

@y

jkzi Sxii jkxi Szii jUyii
3:6:8b

@Sxii

jkxi Syii jUzii
3:6:8c

@y

188 Chapter 3

@Uzii X

jkzi Uyii j

@y i;i 0

h i

xx;i i 0 ;i i0 Sxi 0 i 0 xx;i i 0 ;i i0 Syi 0 i 0 xz;i i 0 ;i i0 Szi 0 i 0

3:6:8d

X

jkzi Uxii jkxi Uzii j

i 0 ;i 0

h i

yx;i i 0 ;i i 0 Sxi 0 i 0 yy;i i 0 ;i i 0 Syi 0 i 0 yz;i i 0 ;i i 0 Szi 0 i 0

3:6:8e

@Uzii X

jkxi Uyii j

@y i 0 ;i 0

h i

zx;i i 0 ;i i0 Sxi 0 i 0 zy;i i 0 ;i i0 Syi 0 i 0 zz;i i 0 ;i i0 Szi 0 i 0

3:6:8f

magnetic ®eld Floquet harmonic amplitudes Syii and Uyii , which occur in

Eqs. 3.6.8a±f, by expressing these amplitudes in terms of the tangential ®eld

components Sxii , Szii , Uxii , and Uzii . To do this it is necessary to express Eqs.

3.6.8a±f in matrix form. We now de®ne the column matrices Sq , Uq q

x; y; z de®ned by Sq Sqii and Uq Uqii . Each of ordered pair i; i

de®nes a position in the column matrix. We also de®ne the square diagonal

matrices Kx and Kz , where these matrices represent the multipliers kxi and

kzi , respectively. These square matrices are de®ned by

and

3:6:10

Planar Diffraction Gratings 189

where pqii;i 0 i 0 is the
ii;
i 0 i 0 matrix element of matrix pq and pqi i 0 ;i i 0 is

the Floquet harmonic, which de®nes pqii;i 0 i 0 .

With these matrix de®nitions it is possible to express Eqs. 3.6.8a±f in

matrix form. Doing so we ®nd that Eqs. 3.6.8a±f satisfy

@Sz

jKz Sy jUx
3:6:12a

@y

Kz Sx Kx Sz Uy 3:6:12b

@Sz

jKx Sy jUz
3:6:12c

@y

@Uz

jKz Uy j xx Sx xy Sy xz Sz
3:6:12d

@y

jKz Ux jKx Uz j yx Sx yy Sy yz Sz
3:6:12e

@Ux

jKx Uy j zx Sx zy Sy zz Sz
3:6:12f

@y

Ux , and Uz if we express yy Sy in terms of Sx , Sz , Ux , and Uz and then

multiply the resulting equation by yy1 . Doing so we ®nd that the longitu-

dinal modal amplitude Sy and Uy are given by

Uy Kz Sx Kx Sz 3:6:13b

that

2 3 2 32 3

Sx A11 A12 A13 A14 Sx

6 7 6 7 6 7

@ 6 7 6

6 Sz 7 6 A21 A22 A23 A24 7

7

6 Sz 7

6 7

6 76 7 6 7
3:6:14

@y 6 Ux 7 6 A31 A32 A33 A34 7 6 Ux 7

4 5 4 5 4 5

Uz A41 A42 A43 A44 Uz

190 Chapter 3

where

A12 jKx yy1 yz

A13 jKx yy1 Kz

A14 jI Kx yy1 Kx

A24 j Kz yy1 Kx

3:6:15

A43 j xy yy1 Kz

matrix transpose)

Planar Diffraction Gratings 191

@V

AV
3:6:18

@y

The solution of this equation by the state variable method, as has been

discussed previously, is given by

X

NT

Vn
y Vn eqn y
3:6:20

n1

where

AVn qn Vn 3:6:21

The quantities Vn and qn are the eigenvectors and eigenvalues of the matrix

A and have dimension NT 4
2MT 1
2MT 1. The electromagnetic

®elds in Region 2 are given by

!

X X

NT

Eq
2
x; y; z Cn Sqiin e qn y

exp j
kxi x kzi z

ii n1

and

!

1X X

NT

Hq
2
x; y; z C U e qn y

e j
kxi xkzi z

q
x; y; z

o i;i n1 n qiin

3:6:22

where Sxiin , Ssiin , Uxiin , and Uxiin are eigenvectors obtained from the eigen-

vector Vn . The quantities Syiin and Uyiin are obtained from Eqs. 3.6.13a,b,

using the known eigenvectors Sxiin , Sziin , Uxiin , and Uziin .

Now that the EM ®elds have been determined in Region 2, the next

step is to determine the EM ®elds in Region 1 (incident side) and Region 3

(transmit side) of the grating. The ®elds in Region 1 consist of an obliquely

incident plane wave and consist of an in®nite number of Floquet harmonic

re¯ected waves. Using the coordinates shown in Fig. 32, and assuming that

the incident plane wave has polarization ( and are the incident angles of

the incoming wave),

192 Chapter 3

!I I

E E a^ EI a^ exp
jkxi x jky1ii y jkzi z ii0

3:6:23

where

(

1 k2xi k2zi 1=2 k2xi k2zi 1

ky1ii
3:6:24

jk2xi k2zi 1 1=2 k2xi k2zi > 1

a^ cos cos a^z cos sin a^ x sin a^y 3:6:25b

I

and letting ii kxi x kyii y kzi z, and substituting a^ and a^ , we ®nd that

!I

E cos EI cos sin EI a^x sin EI a^y

sin EI cos cos EI a^ z exp
j I00
3:6:26a

!I Xh I I I

i

E Exii a^ x Eyii a^ y Ezii a^ z exp
j Iii ii;00
3:6:26b

i;i

where ii;00 i;0 io and ; is the Kronecker delta. The incident magnetic

®eld can be determined from the second Maxwell curl equation. We have

!I 1 !I

H r E
3:6:27a

j0

!I 1 nh I I

i h

I I

i

H kylii Ezi;i kzi Eyii a^ x kzi Exii kxi Ezii a^ y

0

h i o

I I

kxi Eyii ky1ii Exi;i a^ z exp
j Iii ii;00
3:6:27b

!I Xh I I I

i

I

H Hxii a^ x Hyii a^ y Hzii a^ z exp
j ii ii;00
3:6:27c

i;i

Floquet harmonics, and evanescent backward traveling plane waves. The

re¯ected EM electric ®eld is given by

Planar Diffraction Gratings 193

!R X !R R

E E i;i exp
j ii
3:6:28a

i;i

!R X !R R

H H ii exp
j ii
3:6:28b

i;i

where

!R h i

E ii Rxii a^ x Ryii a^ y Rzii a^ z
3:6:28c

R

ii kxi x ky1ii y kzi z
3:6:28d

Notice that, in Eq. 3.6.24 for the case that ky1ii is evanescent, e j
jjky1ii jy

e jky1ii jy ! 0 as y ! 0. We thus see that for the evanescent plane wave

wavenumber

h i1=2

ky1ii j k2xi k2zi 1 ; k2xi k2zi > 1
3:6:29

the minus is the correct root. This is the one used in Eq. 3.6.24. The re¯ected

magnetic ®eld in Region 1 is given by

!R h R R R

i

H ii Hxii a^ x Hyii a^ y Hzii a^ z

1 nh i

ky1ii Rzii kzi Ryii a^x

0
3:6:30

h i

kzi Rxii kxi Rzii a^ y

h i o

kxi Ryii ky1ii Rxii a^ z

!I !R

In Eq. 3.6.26 for E and Eq. 3.6.28a for E the longitudinal y-electric ®eld

component Ey can be expressed in terms of the tangential electric ®elds Ex

and Ez . Using the electric ¯ux density equation in Region 1,

! ! ! !

r D r 1 E 1 r E 0 r E 0
3:6:31

! !I !R

where E represents either E or E . Using this equation we have

194 Chapter 3

" #

!I X !I j I

r E r E ii e ii

ii;00 0 3:6:32a

ii

I I

jkx0 Ex00 jky100 Ey00 jkz0 Ez00 0
3:6:32b

kx0 I k

I

Ey00 Ex00 z0 Ez00

I

3:6:32c

ky100 ky100

!R

and for E

" #

!R X j R

r E 0r Rii e ii

3:6:33a

ii

kxi kzi

Ryii R R 3:6:33c

ky1ii xii ky1ii zii

!I !R

We thus see that E and E are known once they can be expressed entirely

I I

in terms of the known coef®cients of Ex00 , Ez00 , Rxii , and Rzii .

!I !R

The incident and re¯ected magnetic ®elds H and H can be

!I !R

expressed in terms of the tangential E and E ®elds. After substitution

I I I

of Ex00 , Ey00 , Ez00 in Eq. 3.6.27b, we ®nd that the tangential incident mag-

I I

netic ®eld amplitudes Hx00 and Hz00 are given by

I 1 I I I I

Hx00 Yxx00 Ex00 Yxz00 Ez00
3:6:34a

0

I 1 I I I I

Hz00 Yzx00 Ex00 Yzz00 Ez00
3:6:34b

0

where

I kz0 kx0

Yxx00

ky100

I k2z0

Yxz00 ky100

ky100

3:6:35

k2

I

Yzx00 ky100 x0

ky100

k k

I

Yzz00 x0 z0

ky100

Planar Diffraction Gratings 195

I

The quantities Ypq00 ,
p; q
x; z may be considered the normalized

surface admittances of the system. They are analogous to the surface aper-

ture admittances used in k-space theory to analyze radiation from inhomo-

geneously cover surface aperture antennas [Chapter 2, this book, [1], Rhodes

and Galejs[7]]. The tangential magnetic ®eld re¯ected modal amplitudes can

also be expressed in terms of the tangential re¯ected electric ®eld modal

amplitudes Rxii and Rzii using Eq. 3.6.30. We have

R 1h R R

i

Hxii Yxxii Rxii Yxzii Rzii
3:6:36a

0

R 1h R R

i

Hzii Yzxii Rxii Yzzii Rzii
3:6:36b

0

R kzi kxi

Yxxii

kylii

R k2zi

Yxzii kylii

ky1ii

R k2xi

Yzxii ky1ii

ky1ii

R kxi kzi

Yzzii
3:6:37

ky1ii

! 1 X !I j Iii !R j R

E E ii e ii;00 E ii e ii 3:6:38a

i;i

! 1 X !I j I !R j R

H H ii e ii

i;i;00 H ii e ii

3:6:38b

i;i

The analysis for the EM ®elds in Region 3 on the transmit side is very

similar to the analysis made in Region 1. In Region 3 the electric and

magnetic ®elds consist of an in®nite number of Floquet harmonic diffracted

plane waves. The electric ®eld in Region 3 is given by

!
3 !T Xh i

j T

E E Txii a^ x Tyii a^ y Tzii a^ z e ii

3:6:39

ii

where

T

ii kxi x ky3ii
y L kzi z
3:6:40

196 Chapter 3

where

8h i1=2

>

< 3 k2xi k2zi k2xi k2zi 3

ky3ii h i1=2
3:6:41

>

: j k2 k2

xi zi 3 k2xi k2zi > 3

Note that when the plane wave is evanescent
k2xi k2zi > 3 , the exponent in

3.6.39 tends to zero as y ! 1. Note that in 3.6.40, Tii has been chosen so

that Tiijy L kxi x kzi z, which simpli®es boundary matching. Using the fact

that

" #

!T !T X !T j T

0 r D 3 r E 3 r E ii e ii

3:6:42

ii

kxi kzi

Tyii T T 3:6:44

ky3ii xii ky3ii zii

The magnetic ®eld in Region 3 can be found from Maxwell's ®rst curl

equation. We have

"

!
3 !
T Xh i

j T

T T T

H H Hxii a^ x Hyii a^ y Hzii a^ z e ii

3:6:45

ii

!
3 1 Xnh i

H ky3ii Tzii kzi Tyii a^ x

0 ii

h i

kzi Txii kxi Tzii a^y

h i o

j T

kxi Tyii ky3ii Txii a^ z e ii
3:6:46

Using Eq. 3.6.44, Tyii can be expressed in terms of Txii and Tzii . Thus it is

possible to express all the magnetic ®eld components in terms of Txii and

T T

Tzii . The tangential magnetic ®eld modal amplitudes Hxii and Hzii are given

by

Planar Diffraction Gratings 197

T 1h T T

i

Hxii Yxxii Txii Yxzii Tzii

0

3:6:47

T 1h T T

i

Hzii Yzxii Txii Yzzii Tzii

0

where

T kzi kxi

Yxxii

ky3ii

T k2zi

Yxzii ky3ii

ky3ii

3:6:48

T k2xi

Yzxii ky3ii

ky3ii

T kxi kzi

Yzzii

ky3ii

The next step in the analysis is to match the EM ®eld solutions at the y 0

and y L interfaces and determine all the unknown constants of the

system.

Now that the EM ®elds have been de®ned in Regions 1, 2, and 3, the

next step in the analysis is to match the tangential electric and magnetic

®elds at boundary plane y 0 and y L. At y 0 we have

1
2

Ex;z Ex;z

y0 y0

3:6:49

1
2

Hx;z Hx;z

y0 y0

y 0, we have

" #

Xh I

i

jkxi x jkzi z

X XNT

jkxi x jkzi z

Exii ii;00 Rxii e Cn Sxiin e

i;i i;i n1

" #

Xh I i

jkxi x jkzi z

X XNT

jkxi x jkzi z

Ezii ii;00 Rzii e Cn Sziin e

i;i ii n1

198 Chapter 3

1 Xh I I I I

Yxxii Exii Yxzii Ezii ii;oo

o ii

" #

i 1X X

NT

R R jkxi x jkzi z jkxi x jkzi z

Yxxii Rxii Yxzii Rzii e C U e

o ii n1 n xiin

1 Xh I I I I

Yzxii Exii Yzzii Ezii ii;oo

o ii

" #

i 1X X

NT

R R jkxi x jkzi z jkxi x jkzi z

Yzxii Rxii Yxzii Rzii e C U e

o ii n1 n ziin

3:6:50

3
2

Ex;z Ex;z

y L y L

3
2

Hx;z Hx;z

y L y L

" #

X X XNT

jkxi x jkzi z qn L jkxi x jkzi z

Txii e Cn Sxiin e e

ii ii n1

" #

X X XNT

jkxi x jkzi z qn L jkxi x kzi z

Tzii e Cn Sziin e e

ii ii n1

" #

1 Xh T i 1X X

NT

T jkxi x jkzi z qn L

Yxxii Txii Yxzii Tzii e C U e e jkxi x jkzi z

o ii o ii n1 n xiin

" #

1 Xh T i 1X X

NT

T jkxi x jkzi z

Yzxii Txii Yzzii Tzii e C U e jkxi x jkzi z

o ii o ii n1 n ziin

3:6:51

X

NT

I

Exii ii;oo Rxii Cn Sxiin
3:6:52

n1

Planar Diffraction Gratings 199

I

X

NT

Ezii ii;oo Rzii Cn Sziin
3:6:53

n1

XNT

I I I I R R

Yxxii Exii Yxzii Ezii ii;oo Yxxii Rxii Yxzii Rzii Cn Uxiin
3:6:54

n1

XNT

I I I I R R

Yzxii Exii Yzzii Ezii ii;oo Yzxii Rxii Yzzii Rzii Cn Uziin
3:6:55

n1

We can eliminate Rxii and Rzii and determine equations for Cn alone. We

have

" #

X

NT

I I I I R I

Yxxii Exii Yxzii Ezii ii;oo Yxxii Exii ii;oo Cn Sxiin

n1

" #
3:6:56

R I

X

NT X

NT

Yxzii Ezii ii;oo Cn Sziin Cn Uxiin

n1 n1

h i

I R I I R I

Yxxii Yxxii Exii Yxzii Yxzii Ezii ii;oo

X

NT h i
3:6:57

R R

Cn Yxxii Sxiin Yxzii Sziin Uxiin

n1

h i

I R I I R I

Yzxii Yzxii Exii Yxzii Yxzii Ezii ii;oo

X

NT h i
3:6:58

R R

Cn Yzxii Sxiin Yzzii Sziin Uziin

n1

we ®nd that

200 Chapter 3

X

NT

qn L

Txii Cn Sxiin e

n1

X

NT

qn L

Tzii Cn Sziin e

n1

X

NT

T T qn L

Yxxii Txii Yxzii Tzii Cn Uxiin e
3:6:59a

n1

T T

X

NT

qn L

Yzxii Txii Yzzii Tzii Cn Uziin e
3:6:59b

n1

X

NT n o

qn L T T

0 Cn e Yxxii Sxiin Yxzii Sziin Uxiin
3:6:60a

n1

X

NT n o

qn L T T

0 Cn e Yzxii Sxiin Yzzii Sziin Uziin
3:6:60b

n1

modal coef®cients can be determined.

Another important quantity that needs to be studied is the power

incident on the cross-grating and the power re¯ected, diffracted, and trans-

mitted from the grating. The power incident on the grating over one grating

cell in the a^y direction is given by

~ x
~ z =2

2 !I !I

PIc ~x

E H
a^ y d xd

~ z

~
3:3:62

~ z =2

2

or after being put in normalized form and carrying out the a^ y dot product,

z =2
x =2 h i

1 I

PIc I

Ez00 I

Hx00 I

Ex00 Hz00 dx dy
3:6:63

k2o z =2 x =2

Planar Diffraction Gratings 201

I

and substituting the incident modal admittances Yxx00 ; . . ., it is found that

I

Pc is given by

x z n I h I I I I

i h

I I I

io

PIc Ez00 Yxx00 Ex00 Y xz00 Ez00

I

Ex00 I

Yzx00 Ex00 Yzz00 Ez00

k20 0

3:6:64

I I

The quantities Ex00 and Ez00 are given in terms of the incident angles and

polarizations by Eq. 3.6.26a.

The re¯ected power from the crossed grating is given by

PR 12 Re
PR

c
3:6:65

where

~ z =2
~ x =2

1 !R !R

PR

c 2 E H
a^ y dx dz
3:6:66

ko z =2 x =2

z =2
x =2 h i

1

PR

c 2 EzR HxR ExR HzR dx dz
3:6:67

ko z =2 x =2

1 R

PR

c Izx R

Ixz
3:6:68

k2o

R R

where Izx and Ixz refer to the ®rst and second terms in Eq. 3.6.67. If we

substitute Ex and EzR into Izx , we ®nd after interchanging summation and

R

integration that

XX h i

R R

Izx Rzii Yxxi 0 i 0 Rxi 0 i 0 Yxzi 0 i 0 Rzi 0 i 0

ii i 0i 0

x =2
z =2
3:6:69

j
kxi kxi 0 x j
kzi kzi 0 z

e dx e dz

x =2 z =2

The ®rst integral (x-integral) equals x ii 0 and the second integral equals

z ii 0 , where ii 0 is the Kronecker delta. Substituting these values in Eq.

3.6.69 we ®nd that

X h i

R R

Izx x z Rzii Yxxii Rxii Yxzi

0 i 0 Rzii
3:6:70

ii

202 Chapter 3

R

Carrying out a similar analysis for Ixz and substituting the expressions into

Eq. 3.6.68, we ®nd that

X

PR

c PR

cii

ii

x z Xnh R R

i

R zii Y R

xxii xii Y R

xzii zii
3:6:71

k2o o ii

h io

R R

Rxii Yzxii Rxii Yzzii Rzii

crossed x z grating cell is given by

PT 12 Re PTc 3:6:72

where

z =2
x =2

!T !T

PTc E H a^y d x~ d z~
3:6:73

z =2 x =2

z =2
x =2 h i

1

PTc EzT HzT ExT HzT dx dz
3:6:74

k2o z =2 x =2

Substituting the transmitted electric and magnetic ®elds into Eq. 3.6.74

for PTc , and carrying out an analysis similar to that used to determine PR

c , we

®nd that

X x z Xn h T T

i

PTc PTcii T zii Y xxii Txii Y xzii Tzii

ii

k2o o ii

3:6:75

h io

T T

Txii Yzxii Txii Yzzii Tzii

differential power is the diffraction ef®ciency of the iith order. The diffrac-

tion ef®ciency of the re¯ected iith is given by and de®ned by

Re
PR

2 cii

DR

ii
3:6:76

Re
PI

2 c

Planar Diffraction Gratings 203

Re
PT

cii

DTii 2
3:6:77

Re
PI

2 c

For a lossless crossed grating, the re¯ected and transmitted diffraction ef®-

ciencies obey the conservation of power relation

X

DR T

ii Dii 1
3:6:78

ii

This section will present some numerical examples of the diffraction ef®-

ciency that results when an oblique plane wave is scattered or diffracted

from a crossed or two-dimensional diffraction grating.

The example to be presented involves scattering from a one-dimen-

sional square wave grating where 1 3 1, 2 2:5, 30 , ~ x ,

and ~ z 1. This example has been previously studied for the H-mode case

in Section 3.2 and the E-mode case in Section 3.3. In the literature it has

been ®rst presented by Yamakita and Rokushima [54]. The purpose of using

the more general crossed grating algorithm to study a one-dimensional case

is to validate that in the limiting case the operation of the RCWA crossed

grating algorithm presented in this section can produce the same results as

the one-dimensional RCWA algorithm. The H-mode square wave case was

numerically studied by taking ~ z to have a large but not in®nite value. ~ z in

the algorithm was set to ~ z 15, MT 6, MT 0, 270 , 30 ,

and EI E0 , EI 0. The nonzero relativePdielectric permittivities were

taken to be xx x; z yy x; z zz x; z M i MT i exp jiKx x, where i

T

are the Fourier coef®cients of the square pro®le used in the square wave

example of Section 3.2. The E-mode square wave case was studied using the

same parameters as the H-mode square wave case except that the polariza-

tion was taken to be EI 0, EI E0 . Figure 34 shows the diffraction

ef®ciency results using the one-dimensional theory of Sections 3.2 and 3.3

and using the crossed diffraction grating theory of this section. As can be

seen from Fig. 34, nearly identical diffraction ef®ciency results from the two

algorithms.

The crossed diffraction grating theory has been also used to calculate

the scattering from the H-mode cosine grating (Figure 2) (Gaylord [16])

described in Section 3.2. After setting the parameters of the crossed grating

algorithm to match those of the H-mode cosine grating, identical diffraction

204 Chapter 3

Sections 3.2 and 3.3 are used to validate the two-dimensional crossed diffraction

grating theory of this section. Results here are identical to those of Yamakita and

Rokushima [54, Fig. 5, p. 242], who ®rst calculated this example by coupled mode

theory.

ef®ciency results were obtained for the one- and two-dimensional RCWA

algorithms for the case also.

Figure 35 shows the diffraction ef®ciency data that results when the

crossed grating theory of this section is applied to study scattering from a

two-dimensional crossed cosine wave grating where 1 2 3 1,

10 , ~ x 2:8747, and ~ z 1:5~ x , L~ 9, MT 3, MT 3,

270 , EI 1, and EI 0. The nonzero relative dielectric permittiv-

ities were taken to be

MT

X X

MT

xx
x; z yy
x; z zz
x; z ii expj
iKx x iKz z

i MT i MT

3:6:79

Planar Diffraction Gratings 205

Figure 35 The diffraction ef®ciency data that results when crossed grating theory

is applied to study scattering from a two-dimensional crossed cosine wave grating is

shown.

In Eq. 3.6.79, 0;0 1 ; 1;1 1;1 1; 1 1; 1 1=4, and all other

Fourier coef®cients i;i in Eq. 3.6.79 are zero. In Fig. 35 transmitted diffrac-

tion ef®ciencies (denoted by Ti;i ) of the T00 , T01 , T10 , and T11 orders was

plotted versus the azimuthal angle , which was varied over the range

180 270 . As can be seen from the Fig. 35 plot, changing the

angle of incidence causes a perceptible change in the diffraction ef®ciency

observed from the grating. In making the Fig. 35 plot conservation of real

power, Eq. 3.6.78 was observed to a high degree of accuracy.

Table 1 shows the transmitted diffraction ef®ciency for the crossed

cosine diffraction grating studied in Fig. 35 (taking 270 ) that results

for ®fteen orders (taking all pair combinations of i 2; 1; 0; 1; 2 and

i 1; 0; 1) when ®ve different matrix truncations MT MT 1; 2; 3;

4, 5 are used. (For those truncations where the i; i) pair order exceeds the

truncation order [for example, when the pair
i; i
2; 1 exceeds the

truncation order, MT MT 1 the diffraction ef®ciency is set to zero.)

A striking and reassuring feature of the diffraction ef®ciencies displayed

in Table 1 is how rapidly the diffraction ef®ciency converges to a ®nal

value that does not change with increasing order. After the value of MT

206 Chapter 3

grating studied in Fig. 35 ( 270 ) that results for ®fteen orders (Taking All Pair

Combinations of i 2; 1; 0; 1; 2 and i 1; 0; 1) When Five Different Matrix

Truncations MT MT 1; 2; 3; 4; 5 Are Used

Planar Diffraction Gratings 207

Figure 36 The transmitted diffraction ef®ciencies (solid line) of the Ti;i orders

when i and i rnge from
1; 0; 1, when the grating thickness is varied from L~

0 to L~ 4, are shown.

®fteen orders displayed.

The second diffraction ef®ciency example to be presented consists of

the diffraction ef®ciency data that results when the crossed grating theory of

this section is applied to study scattering from a two-dimensional rectangu-

lar surface relief grating composed of isotropic dielectric material. The rec-

tangular dielectric (shown in Fig. 36 inset) making up the surface relief

grating in Region 2 was assumed to be centered in each two-dimensional

grating period and to have a width of 2x1 ~ x =2, a length of 2z1

~ z =2, a

~

thickness of L, and a relative permittivity value of 3 . The region surround-

ing the rectangular dielectric was assumed to have a dielectric value of 1 . In

Region 2, mathematically the permittivity tensor of the surface relief grating

is given by

3:6:80

rs x; y; z 0 r 6 s r; s x; y; z

where

208 Chapter 3

3 ~ x~ 1 ; jzj

jxj ~ z~1

x; y; z ~ x ; jzj ~z

1 ~

elsewhere in the cell jxj ~

3:6:81

and where x~ 1 ~ x =2 and z~1 ~ z =2. Fourier inversion of Eq. 3.6.1 using

the speci®ed permittivity value given by Eq. 3.6.81 speci®es the two-dimen-

sional Fourier coef®cients of Eq. 3.6.80. Figure 36 shows the transmitted

diffraction ef®ciencies (solid line) of the Ti;i orders where i and i range from

1; 0; 1; when the grating thickness is varied from L~ 0 to L~ 4; when

1 1, 3 2:5, 30 , ~ x , ~ z 1:5

~ x , 270 , EI 1, and

I

E 0; and when MT MT 3. As can be seen from Fig. 36, EM power

is diffracted out of the T0;0 order (pump wave or incident wave) and

is subsequently diffracted into the higher orders. Because of symmetry,

the diffraction ef®ciencies of the T1;1 and T1; 1 orders were the same

and the diffraction ef®ciencies of the T0;1 and T0; 1 orders were the same.

By the same token, for 0 , 90 , and 180 , we should observe similar

symmetry in the diffracted orders. Figure 36 also shows the diffraction

ef®ciency of the T1;0 order (dotted) when the truncation was taken to be MT

MT 2 rather than MT MT 3 as was done for the curves discussed

earlier. As can be seen from the ®gure, very little diffraction ef®ciency

difference exists between the two truncations.

Table 2 shows the transmitted diffraction ef®ciency for the crossed

rectangular diffraction grating studied in Fig. 36 (taking 270 and

L~ 1:7) that results for ®fteen orders (taking all pair combinations of i

2; 1; 0; 1; 2 and i 1; 0; 1) when ®ve different matrix truncations MT

MT 1; 2; 3; 4; 5 are used. (For those truncations where the
i; i pair order

exceeds the truncation order [for example, when the pair
i; i
2; 1

exceeds the truncation order, MT MT 1] the diffraction ef®ciency is

set to zero.) A striking and reassuring feature of the diffraction ef®ciencies

displayed in Table 2, like those of Table 1, is that the diffraction ef®ciency

converges fairly rapidly to a ®nal value that does not change with increasing

order. In comparing Table 2 to Table 1 it is interesting to note that the

convergence to a ®nal value is slightly slower in Table 2 than in Table 1. This

is believable since the grating studied in Table 2 is much smaller in size than

the grating studied in Table 1 and also the grating studied in Table 2 has a

much higher spatial spectral content than the grating studied in Table 1

(cosine grating). Both these factors would cause a slower convergence

with truncation order.

The third diffraction ef®ciency example to be presented consists of the

diffraction ef®ciency data that results when the crossed grating theory of

this section is applied to study scattering from a two-dimensional rectangu-

Planar Diffraction Gratings 209

Diffraction Grating Studied in Fig. 35 ( 270 and L~ 1:7) That Results for

Fifteen Orders (Taking All Pair Combinations of i 2; 1; 0; 1; 2 and

i 1; 0; 1) When Five Different Matrix Truncations MT MT 1; 2; 3; 4; 5 are

used

210 Chapter 3

Region 2, we ®rst need to express the permittivity tensor of the surface relief

grating cell for this example. Let

b ~ x~ 1 ; jzj

jxj ~ z~1

f x; z ~ x ; jzj ~z 3:6:82

a ~

elsewhere in the cell jxj ~

where

n2o n2e

b
3:6:83

2

xxC

b

n2o n2e n2o Cy2

yyC

b

n2o n2e n2o Cz2

zzC

b 3:6:83a

n2e n2o Cx Cy

xyC yxC

b

n2e n2o Cx Cz

xzC zxC

b

yzC zyC zxC

Cx sin
c sin
c

Cy cos
c sin
c

Cz cos
c

~ x =2, z~1

where C C 45 , x~ 1 ~ z =2, a 1,

~ x , and

~ ~

z 1:5x .

Using these parameters and functions we de®ne the relative dielectric

permittivity to be

Planar Diffraction Gratings 211

2 3

xxC xyC xzC

x; z 4 yxC yyC yzC 5f x; z 3:6:84

zxC zyC zzC

anisotropic materials, as speci®ed above. Figure 37 shows plots of the dif-

fraction ef®ciency of, say, the T10 order i 1; i 0; when the grating

thickness is varied from L~ 0 to L~ 4; when 3 2:5, 30 ,

~ x , ~ z 1:5~ x , 270 , EI 1, and EI 0; when

MT MT 2; and when the values of the parameters n2o , n2e were taken

to be n2o 2, n2e 3 (curve marked T10a ), n2o 2:4, n2e 2:6 (curve marked

T10b ), n2o 2:5, n2e 2:5 (curve marked T10c ). As can be seen from Fig. 37,

considerable power is diffracted into the T10 order. Figure 37 also shows

that as the grating is made more anisotropic (that is, by increasing the

magnitude of the difference between n2o and n2e ), a more perceptible differ-

ence between the isotropic and anisotropic diffraction ef®ciencies occurs. It

is interesting to note that even with severe anisotropy there is not too much

difference in the behavior of the diffraction ef®ciency as compared to the

isotropic case.

The fourth diffraction ef®ciency example to be presented consists of

the diffraction ef®ciency data that results when the crossed grating theory of

Figure 37 Plots of the diffraction ef®ciency of the T10 order
i 1; 0 when the

grating thickness is varied from L~ 0 to L~ 4, are shown.

212 Chapter 3

Anisotropic Diffraction Grating Studied in Fig. 37 (Taking n2o 2, n2e 3, L~

1:7 and All Other Parameters the Same as Fig. 37) That Results for Fifteen

Orders (Taking All Pair Combinations of i 2; 1; 0; 1; 2 and i 1; 0; 1)

When Five Different Matrix Truncations MT MT 1; 2; 3; 4; 5 are used

Planar Diffraction Gratings 213

surface relief grating that contains anisotropic dielectric material. Let the

function f x; y; z at any given value of y in the interval L y 0 be

de®ned as

b jxj x1 y; jzj z1 y

f x; y; z 3:6:85

a elsewhere in jxj x=2 ; jzj z=2

where

p

3jyj

x1
y

4x

p

3jyj

z1
y

4z

2 3

xxC xyC xzC

x; y; z 4 yxC yyC yzC 5f x; y; z 3:6:86

zxC zyC zzC

where the parameters of Eq. 3.6.86 are already given in Eq. 3.6.83. Because

the grating is longitudinally inhomogeneous, a two-dimensional multilayer

analysis based on the theory of Section 3.5 was used to calculate the diffrac-

tion ef®ciency.

Figure 38 shows plots of the diffraction ef®ciency of the T00 , T10 , T01 ,

and T11 orders; when the grating thickness is varied from L~ 0 to

L~ 2:5; 3 2:5,

~ x , and ~ z 1:5

~ x ; 30 , 270 , EI 1,

and E 0; when MT MT 2; when the values of the parameters n2o , n2e

I

were taken to be n2o 2, n2e 3; and when ten layers
N` 10) were used to

carry out the two-dimensional multilayer analysis. As can be seen from Fig.

38, for the grating under study, power is diffracted out of the T00 order into

higher orders. Conservation of power as speci®ed by equations was

observed to a high degree of accuracy.

In the ®nal example, a crossed pyramidal diffraction grating is again

studied (same pyramid geometry as Fig. 37), but with a mirror (or a per-

fectly conducting short circuit plate) placed at the Region 2±Region 3 inter-

face at y~ L~ (see Fig. 39). In this case just the re¯ected diffraction

ef®ciency was studied (the transmitted diffraction ef®ciency in Region 3 is

zero). The overall EM analysis in this case requires that the tangential EM

®elds at y~ L~ be zero. Imposing this condition (see Section 3.2.4 for an H-

214 Chapter 3

Figure 38 Plots of the diffraction ef®ciency of the T00 , T10 , T01 , and T11 orders,

when the grating thickness is varied from L~ 0 to L~ 2:5, are shown.

from which the EM ®elds in the diffraction grating system can be found.

Fig. 39 shows plots of the diffraction ef®ciency of the R00 , R10 , R01 , and R11

orders of the mirror±grating system; when the grating thickness is varied

from L~ 0 to L~ 2:5; ~ x , and ~ z 1:5

~ x ; 30 , 270 ,

I I

E 1, and E 0; when MT MT 2; when the values of the para-

meters n2o , n2e were taken to be n2o 2, n2e 3; and when ten layers N` 10

were used to carry out the two-dimensional multilayer analysis. As can be

seen from Fig. 39, for the grating under study, power is again diffracted out

of the T00 pump order and into higher orders. Conservation of power was

observed to a high degree of accuracy.

MULTILAYER DIFFRACTION GRATINGS: AN

ENHANCED TRANSMITTANCE APPROACH

In Section 3.4 and later sections a multilayer analysis was used to solve for

the diffraction from both one-dimensional and two-dimensional diffraction

gratings. The method of analysis was to divide the longitudinally inhomo-

Planar Diffraction Gratings 215

ciency mirror, multilayer analysis (10 layer).

each thin layer region using state variable techniques, and then match EM

boundary conditions from layer to layer to determine all the unknown

coef®cients of the system. The technique is an effective one, and it is able

to solve a wide range of diffraction problems for both isotropic and aniso-

tropic gratings. A major limitation of the method, however, is that when the

grating is too thick, the dielectric modulation is too large, and ill condi-

tioned matrices can result, and thus unstable and very inaccurate EM ®eld

solutions can result. The source of the problem is that the state variable

matrix method gives rise in its solution to large exponential arguments

(eigenvalue times thickness values) due to large grating modulation or

large grating thickness. Thus when these exponential eigensolutions are

evaluated and used to compute the boundary matching matrix of the overall

system, exponentially large and small matrix elements result. These expo-

nentially large and small matrix elements cause the overall system matrices

to be singular or ill conditioned, thus causing either no solution or inaccu-

rate solutions. Exactly this same type of problem was observed in Section

2.8 for performing k-space analysis by Yang, Section 2.7.

216 Chapter 3

rithm that can overcome this problem for the case of propagation in an

isotropic longitudinally inhomogeneous diffraction grating system. This

method is based on formulating Maxwell's equations into a second-order

matrix state variable form and then transforming the unknown transmit-

tance variables into a form where the exponentially large and small terms

are summed together into the same matrix element. In this way when the

matrix terms are exponentially small, the exponentially small terms drop out

(or appear as small numerical noise relative to the large terms), and thus the

exponentially small terms do not affect the stability of the calculation. We

will now summarize the method presented by Moharam et al. [22,23].

In this section we present the second-order RCWA formulation as given by

Moharam et al. [22,23]. In the following we will use the geometry in Fig. 40

and most of the multilayer notation as given in Refs. 22 and 23. We consider

the RCWA formulation for E-mode polarization (the polarization used in

Section 3.3. of the present text) for the case when Region 2 is isotropic. We

assume that Region 2 is divided into L thin layers each with a thickness d`

and that

P the distance to the right thin layer interface from z 0 is

Di i`1 d` , i 1; . . . ; L. In the `th layer of the diffraction grating in

Region 2 of Fig. 40, we assume that the magnetic and electric ®elds (using

normalized coordinates x k0 x; ~ y k0 y,

~ etc.) are expanded in the space

harmonics

! X

H g` Hy;g` a^ y Uyi`
z exp
jkxi x

i

! X

E g` Sx;g` a^ x Sz;g` a^z j0 Szi`
za^ x Szi`
za^ z exp
jkxi x

i

X

2`
x i` exp
i j x

i

3:7:1

~

where kxi kx0 i, i . . . 2; 1; 0; 1; 2; . . . ; 2=, and k0 , ~

is the period of the diffraction grating. If these space harmonic expansions

are substituted in Maxwell's equations, appropriate derivatives are taken,

and the coef®cients of the exponential terms are equated, it is found that the

following coupled equations result:

Planar Diffraction Gratings 217

Figure 40 Geometry and coordinate system for the diffraction grating problem

under consideration. The column matrices C` and C ` represent the coef®cients of

the forward and backward traveling waves in each thin layer, and 2`
x; z repre-

sents the periodic dielectric function in each thin layer. Used with permission of

OSA, 1995 [23].

@Uyi` X

`;i i 0 Sxi 0 `

@z i0

X

jkxi Uyi` `;i i 0 Szi 0 `
3:7:2

i0

@Sxi`

jkxi Szi` Uyi`

^

@z

umn matrices in the analysis. Letting Sx` Sx` , Sz` Szi` , and

Uy` bUyi` c be column matrices and letting Kx kxi i;i 0 and

i;i 0 i i 0 be square matrices, Eqs. 3.7.2 can be put in matrix form as

@Uy`

` Sx`
3:7:3a

@z

218 Chapter 3

@Sx`

jKx Sz` Uy` 3:7:3c

@z

If we invert ` in Eq. 3.7.3b and thus express Sz` j
` 1 Kx Uy` and further

substitute Sz` in Eq. 3.7.3c we ®nd that

@Sx`

jKx
j` 1 Kx Uy` Uy`
3:7:4

@z

Taking the derivative of Eq. 3.7.3a and substituting Eq. 3.7.4 we ®nd that

@2 Uy` h i

` Kx ` 1 Kx I Uy`
3:7:5

@z2

and E` ` we ®nd Eq. 3.7.5 becomes

@2 Uy`

E` B` Uy` A` Uy`
3:7:6

@z2

harmonic amplitude is given by

@Uy`

Sx` E` 1
3:7:7

@z

Chapter 3, is a second-order matrix differential equation rather than a ®rst-

order matrix equation. Its solution for the eigenmodes of the system, how-

ever, is similar to the ®rst-order matrix differential equation analysis. We

will now proceed with the solution. Let q2n` represent the eigenvalues of the

matrix A` E` B` and also let the sign of the square root of q2n` be chosen

so that Re qn` 0. Further let Wn` represent the nth eigenvector of the

matrix A` . The eigenvalues q2n` and eigenvectors Wn` satisfy the eigen matrix

equation

Planar Diffraction Gratings 219

U

yn`
z W`n exp
qn` z
3:7:9

3.7.6. Differentiating Eq. 3.7.9 twice with respect to z we ®nd that

@2 @2

2

Uy`n
z W`n 2 exp
qn` z q2n` W`n exp
qn` z

@z @z
3:7:10

A` Wn` exp
qn` z A` Uyn`
z

Using the matrix eigensolutions of Eq. 3.7.9, we can now form a

general expression for the tangential magnetic and electric ®elds in the `th

layer of the diffraction grating region. The tangential magnetic ®elds asso-

ciated with the nth mode in the `th layer associated with the eigensolution

Uyn` z Wn` exp qn` z is given by

EV

X

Uyn`
x; z Win` exp qn`
z D` d` exp
jkxi x
3:7:11

i

equation, it is found that

@ EV EV

U
x; z 2`
xSxn`
x; z
3:7:12

@z yn`

EV

After expressing 2`
x and Sxn`
x; z in an exponential Fourier series sum,

EV

combining the Fourier sums in the product term `
xSxn`
x; z into a

convolution summation term, differentiating Eq. 3.7.11, and equating coef-

®cients of exp
jkxi x, it is found that

X

qn` Win` i i 0 ;` Sxi 0 n`
3:7:13

i0

0

Using matrix inversion one ®nds the amplitude Sxi 0 n` . It is given by the i th

S 1

xn`
qn` E` Wn` Vn`
3:7:14

220 Chapter 3

X

EV

Sxn` x; z Vin` exp qn` z D` d` exp jkxi x 3:7:16

i

The tangential magnetic ®eld associated with the nth mode in the `th

layer associated with the eigensolution Uyn`
z Wn` exp
qn` z is given by

X

Uyn`EV
x; z Win` expqn`
z D` exp
jkxi x
3:7:17

i

@

U EV
x; z 2`
xSxn`EV
x; z
3:7:18

@z yn`

After carrying out the differentiation in Eq. 3.7.18 and equating coef®cients

of exp
jkxi x, it is found that

X

qn` Win` i i 0 ;` Sxi 0 n`
3:7:19

i0

Using matrix inversion one ®nds the amplitude Sxi 0 n` . It is given by the i0 th

component of the column vector Sxn` Vn` , where Vn` has been de®ned

previously. Using this value it is found that

X

Sxn`EV
x; z Vin` expqn`
z D` exp
jkxi x
3:7:20

i

If we sum the forward and backward tangential magnetic and electric ®elds

as given in Eqs. 3.7.11, 3.7.16, 3.7.17, and 3.7.20 we ®nd that a total expan-

sion of these ®elds is given by

X

Tot EV

Uyn`
x; z Cn` Uy`n
x; z Cn` Uy`nEV
x; z

n

X
3:7:21

Tot EV

Sxn`
x; z Cn` Sx`n
x; z Cn` Sx`nEV
x; z

n

or

Planar Diffraction Gratings 221

Tot

XX

Uy`
x; z Win` Cn` exp qn`
z D` d`

i n

Cn` expqn`
z D` exp
jkxi x

XX
3:7:22

Tot

Sx`
x; z Vin` Cn` exp qn`
z D` d`

i n

Cn` expqn`
z D` exp
jkxi x

Up to now we have speci®ed the EM ®elds in the `th thin layer region of

Region 2. We will now specify the EM ®elds in Regions 1 and 3. After

solving Maxwell's equations in Region 1 we ®nd the magnetic ®eld is

given by

X

Hy 1 exp jkzi1 zi0 Ri exp jkzi1 z exp jkxi x 3:7:23

i

kzi1 1 1 k2xi 1=2 1 1 k2xi 0 3:7:24

jk2xi 1 1 1=2 k2xi 1 1 0

It is assumed that the incident plane wave amplitude is 1 (V/m). The coef®-

cients Ri represent the amplitudes of the re¯ected, diffracted ®elds in Region

1. The tangential electric ®eld in Region 1 is given by

j0 X

Ex
1 jkzi1 exp
jkzi1 zi0 jkzi1 Ri exp
jkzi1 z exp
jkxi x

1 i

3:7:25

®eld is given by

X

Hy 3 Ti exp jkzi3 z DL exp jkxi x 3:7:26

i

222 Chapter 3

kzi3 3 3 k2xi 1=2 3 3 k2xi 0 3:7:27

jk2xi 3 3 1=2 k2xi 3 3 0

j0 X

Ex
3 jkzi3 Ti exp jkzi3
z DL exp
jkxi x
3:7:28

3 i

®elds in Region 3.

Now that the general form of the EM ®elds has been speci®ed in all

regions of space, an important problem that remains is to match EM bound-

ary conditions at the different interfaces of the system. Matching the tan-

gential magnetic ®eld at the Region 1: Region 2, ` 1, thin layer interface

located at z 0 we ®nd that

X

i0 Ri Win1 Cn1 Cn1 exp qn1 d1 3:7:29

n

ing the j0 factor common to both terms,

1 X

jk jkzi1 Ri Vin1 Cn1 Cn1 exp
qn1 d1
3:7:30

1 zi1 i0 n

i0 I W1 W1 X1 C

1

jkzi1 R 3:7:31

1 i0 jZ1 V1 V1 X1 C1

where Z1
kzi1 =1 i;i 0 , W1 Win1 , V1 Vin1 , and X1 i;n exp
qn1

d1 where i and n range over the number of space harmonics in the system.

Matching the tangential magnetic ®eld at the Region 2,
` 1th thin

layer interface to the Region 2, `th thin layer located at z D` 1 , where

` 2; . . . ; L, we ®nd that

X

Win;` 1 Cn;` 1 exp
qn;` 1 d` 1 Cn;` 1

n

X
3:7:32

Win;` Cn;` Cn;` 1 exp
qn;` d`

n

Planar Diffraction Gratings 223

similarly, after canceling the j0 factor common to both terms, that

X

Vin;` 1 Cn;` 1 exp qn;` 1 d` 1 Cn;` 1

n

X 3:7:33

Vin;` Cn;` Cn;` 1 exp qn;` d`

n

W` 1 X` 1 W` 1 C

` 1

W` W` X ` C

`

3:7:34

V` 1 X` 1 V` 1 C` 1 V` V` X` C`

exp qn` d` .

Matching the tangential magnetic ®eld at the Region 2, ` L thin

layer interface located at z DL to the Region 3 interface we ®nd that

X

WinL CnL exp qnL dL CnL Ti 3:7:35

n

ing the j0 factor common to both terms, that

X

jkzi3

VinL CnL exp
qnL dL CnL Ti
3:7:36

n

3

W L XL WL C

L

I

T 3:7:37

VL XL VL CL jZ3

We will now be concerned with reducing the cascaded set of matrix equa-

tions that have been presented in the previous subsection. The matrix cas-

cade will be done so that matrix singularities do not occur as a result of

exponentially small matrix elements.

224 Chapter 3

analysis of the system. Writing out the equations for ` 1; 2; . . . ; L we ®nd

that

2 3

i0

4 jkzi1 5 I W1 W1 X1 C

1

R
3:7:38

jZ1 V1 V1 X1 C1

1 i0

1

C

1

W1 X1 W1 W2 W2 X 2 C

2

3:7:39

C1 V1 X1 V1 V2 V2 X2 C2

so that

2 3

i0 " # " #" # 1

6 7 I W1 W1 X1 W1 X 1 W1

4 jkzi1 5 R

i0 jZ1 V1 V1 X1 V1 X1 V1

1

" #" #

W2 W2 X2 C

2

V2 V2 X2 C2

3:7:40

2 3

i0 " # (" #

6 7 I Y1

L W` W` X `

4 jkzi1 5 R

i0 jZ1 `1 V` V` X`

1

" # 1 91

W` X ` W` =

A
3:7:41

V` X` V` ;

" #" #

WL WL XL C

L

VL VL XL CL

Inverting Eq. 3.7.37 and substituting in the above equation we ®nd that

Planar Diffraction Gratings 225

2 3

i0 " # (" #

6 7 I Y

L W` W` X `

4 jkzi1 5 R

i0 jZ1 `1 V` V` X`

1

" # 1 91" #

W` X ` W` = f L1

A T

V` X` V` ; gL1

3:7:42

At this point we will rearrange the matrix products in the preceding

equation and proceed with the enhanced matrix method. We ®rst note by

direct multiplication that

W` X` W` W` W` X` 0

3:7:43

V` X` V` V` V` 0 I

1

Using the matrix property
A B B 1A 1

we ®nd that

W` X` W` X` 0 W` W`

3:7:44

V` X` V` 0 I V` V`

WL WL XL WL X L WL f L1 WL WL X L

T

VL VL XL VL XL VL gL1 VL VL XL

" # 1" # 1" #

XL 0 WL WL f L1

T

0 I VL VL gL1

3:7:45

1

aL WL WL f L1

gL1
3:7:46

bL VL VL

226 Chapter 3

" #" # 1" #

WL WL X L XL 0 aL

aL 1 X L T L

VL VL XL 0 I bL

" #" #" #

WL WL X L XL 1

0 XL

TL

VL VL XL 0 I bL aL 1 XL

" #" #

WL WL X L I

TL

VL b L aL 1 X L

VL XL

2 3

WL I XL bL aL 1 XL

4 5TL

VL I XL bL aL 1 XL

3:7:47

De®ning

" #

fL WL
I XL bL aL 1 XL

TL
3:7:48

gL VL
I XL bL aL 1 XL

2 3

i0 " # (" #

6 7 I Y1

L W` W` X `

4 jkzi1 5 R

i0 jZ1 `1 V` V` X`

1

3:7:49

" # 1 91" #

W` X ` W` = fL

A TL

V` X` V` ; gL

We next let

TL aL 1 1 XL 1 TL 1 3:7:50

and let

1

aL 1 WL 1 WL 1 fL

3:7:51

bL 1 VL 1 VL 1 gL

Planar Diffraction Gratings 227

2 3

i0 " # (" #

6 7 I Y2

L W` W` X `

4 jkzi1 5 R

i0 jZ1 `1 V` V` X`

1

" # 1 91" #

W` X ` W` = fL 1

A TL 1

V` X` V` ; gL 1

3:7:52

where

" #

fL 1 WL 1
I XL 1 bL 1 aL 1 1 XL 1

TL 1
3:7:53

gL 1 VL 1
I XL 1 bL 1 aL 1 1 XL 1

Repeating this cycle and process until the last layer we ®nd that

2 3

i0

4 jkzi1 5 I f

R 1 T1
3:7:54

jZ1 g1

1 i0

found from the matrix solution of Eq. 3.7.54 and back substitution shows

that the T matrix is given by

In inspecting Eqs. 3.7.53 and Eqs. 3.7.54 one observes why the present

algorithm is extremely ef®cient and stable. In Eq. 3.7.53, the X` matrix is

diagonal and contains the exponential term exp
qn` d` ). When qn` d` is

large, the exponential term exp
qn` d` is very small, and thus the matrix

X` in this case is near zero. The matrix terms f ` W`
I X` b` a` 1 X` and

g` V`
I X` b` a` 1 X` , which form an important part of the algorithm,

are the only terms that contain exponential terms. Further, the terms in the

matrices making up f ` and g` appear as the sum of matrix element terms

near unity (coming form the identity matrix I) and the exponential terms

(coming from matrix X` b` a` 1 X` ). Thus when the matrix elements of the

matrices X` b` a` 1 X` are exponentially small, the matrix elements making

up f ` and g` are not all near zero (because of the presence of the identity

matrix I). Thus when this procedure is repeated for each layer starting at `

228 Chapter 3

L with the computation of f L and gL and repeated until ` 1 and the last f 1

and g1 is produced, one sees that the ®nal matrix equation for R and T1 ,

which uses the matrices f 1 and g1 , will thus not have ill-conditioned or near-

singular matrices, since f 1 and g1 , which make up this equation, do not

possess all exponentially small terms. It is interesting to note that the prin-

ciple used here is similar to the method used by Yang, Section 2.7, discussed

in the previous chapter. It would be useful to extend this technique to the

case of diffraction from gratings in anisotropic materials.

In this section the enhanced transmittance method has been applied to

the case when the electric ®eld polarization was in the plane of incidence. In

a companion paper [23] written with the paper the present analysis was

based on, the authors present an enhanced transmittance method for H-

mode incidence which deals with the conical plane wave diffraction case.

To illustrate the stability of the algorithm, Fig. 41 shows the diffraction

ef®ciency of the ®rst diffracted order plotted versus the normalized grating

depth for a 16-level asymmetric dielectric grating as shown in Fig. 42 n1a

n1 1 (n2a is the bulk index value in Region 2 outside the step portion of the

grating) and n2b n3 2:04 (n2b is the bulk index value in Region 2 inside

the step portion of the grating)] up to excessive depths of 50 wavelengths for

two grating periods of 1 and 10 wavelengths, respectively. The asymmetric

grating is a sawtooth 15-layer stairstep with a step width of 1/16 of the

grating period and a layer depth of 1/15 of the total depth of the structure.

The diffraction ef®ciency is shown for TE and TM polarizations and for

conical diffraction with 30 (azimuth angle) and 45 (polarization

angle between the incident electric ®eld and the plane of incidence). A

suf®cient number of terms are retained in the space harmonic expansions

to ensure accuracy to four places past the decimal. Conservation of energy

has been observed to one part in 1010 . Conservation of energy is a necessary

condition for numerical stability of the algorithm.

Figure 43 illustrates the convergence of the diffraction ef®ciency of the

16-level, asymmetric dielectric grating shown in Fig. 42 as the number of

®eld harmonics is increased. Results are given for two grating depths (1 and

49 wavelengths) and for two grating periods, respectively, for both TE and

TM polarization and for conical mounting. It is clear that, in all cases, the

diffraction ef®ciency converges to the proper values when a suf®cient num-

ber of harmonics are included in the formulation. Note that the TE polar-

ization requires fewer harmonics than are required by the conical diffraction

and by the TM polarization. Also more harmonics are required for deeper

gratings with larger grating periods.

Planar Diffraction Gratings 229

level (15 layer) asymmetric binary dielectric grating (ng n3 ; n1 1. The angle of

incidence is 108. TE-polarization, TM-polarization, and conical-mount polarization

results are shown for two grating periods of 1 and 10 wavelengths, respectively. Used

with permission of OSA, 1995 [23, Fig. 4].

Figure 42 Geometry for the surface relief grating diffraction problem analyzed

herein. Used with permission of OSA [23, Fig. 2].

230 Chapter 3

the grating shown in Fig. 40 for two values of the grating depth (1 and 49 wave-

lengths, respectively) and for two grating periods of 1 and 10 wavelengths, respec-

tively. Used with permission of OSA, 1995 [23, Fig. 3].

COUPLED WAVE METHOD FOR E-MODE INCIDENCE

incident onto a grating formed from an arbitrary permittivity pro®le x

and having a ®nite depth along the longitudinal, y-direction. This case has

previously been studied in Section 3.3. The grating, in this case, is assumed

to be one-dimensional, i.e., there is no variation along y except at the grating

boundaries. We show, following Lalanne and Morris [29], Peng and Morris

[103], and Li [53], that by reformulating the eigenvalue problem of the

coupled wave method, highly improved convergence rates can be obtained.

All variables in this section are normalized as in previous sections.

The analysis starts from the x and y components of the E ®eld and the

z component of the H ®eld for the case of E-mode (or TM) incidence on the

gratings (see Fig. 44).

Planar Diffraction Gratings 231

Figure 44 Geometry for the nonconical grating diffraction problem for E-mode

TM polarization. The parameters of the grating are: grating thickness L~ :36:36;

grating wavelength ~ :4545; relative permittivity of Region 1, "1 1:0; relative

permittivity of Region 2a (nonmetallic portion of grating), "2a 2:25; relative per-

mittivity of Region 2b (metallic portion of grating), "2b
3:18 j4:412 ; relative

permittivity of Region 3, "3 2:25; and grating duty cycle, 30%. Used with permis-

sion of OSA, 1996 [29, Fig. 1].

The ®eld expansions for this case are given by Eqs. 3.3.4.5. We assume

an isotropic grating in Reg. 2 and in Eq. 3.4.3 we take "xx
x "yy
x

"zz
x; " 0; 6 . With these assumptions we ®nd that Maxwell's equa-

tions in Reg. 2 are given by

@
0 Hz
3:8:1

j"
x Ex

@y

@
0 Hz

j"
x Ey
3:8:2

@x

@Ey @Ex

j
0 Hz
3:8:3

@x @y

differentiate with respect to y, and substitute this result in Eq. 3.8.3; and if

we perform a small amount of additional algebra we ®nd after letting Uz

0 Hz

@2 U z @ 1 @Uz

"
x "
xUz
3:8:4

@y2 @x "
x @x

232 Chapter 3

Substitution of Eq. 3.3.5 into Eq. 3.8.4 and after collection of coef®cients for

the Fourier exponential term exp( jkxi x, for i MT ; . . . ; 0; . . . ; MT ,

Mt ! 1, the following matrix equation results

@2 U z

E
Kx A Kx IU z
3:8:5

@y2

where E "i;i0 , "i;i0 "i i0 ; A ai;i0 , ai;i0 a i i0 and a i are the Fourier

coef®cients of the reciprocal permittivity function

1 X

M

a i exp
ji x

"
x T MT

The other terms are de®ned in Section 3.3. We note in the limit Mt ! 1

that the matrices E and A are inverses of each other and we thus have E

A 1 and A E 1 . Using this inverse relation we may also express Eq. 3.8.5

as Mt ! 1

@2 U z

A 1
Kx E 1 Kx IUz
3:8:6

@y2

It turns out that the above eigenvalue formulation (Eq. 3.8.6) is super-

ior to the one in Eq. 3.8.5 as far as convergence rates are concerned. As an

example we quote from Lalanne and Morris [29] the case of diffraction from

a chrome (refractive index 3.18-j4.41) lamellar grating deposited on a glass

substrate (see Fig. 44). The diffraction ef®ciency of the zeroth order is shown

in Fig. 45 along with the convergence rates, using Eqs. 3.8.5 (line) and 3.8.6,

(circle) respectively. The results clearly show the superiority of the conver-

gence from the second formulation.

The reason for the improvement in convergence using the second

method above has been shown rigorously by Li [53]. The dif®culty arises

in the convergence because

1. The EM ®elds and the periodic dielectric permittivity are discon-

tinuous at the points in the grating where changes from 2a to

2b , and vice versa yet their product must be a continuous func-

tion.

2. Expressing products of periodic functions as in a Fourier series

(the Fourier coef®cients of the product function are a convolution

of the Fourier coef®cients of each seriesÐthis is called Laurent's

rule) involves a ®nite truncation of the convolution series.

Planar Diffraction Gratings 233

grating with E-mode polarized light. The solid curve is obtained by using the con-

ventional eigenproblem formulation. The circles are provided by the new eigenpro-

blem formulation. 08 (normal incidence). Used with permission of OSA, 1996

[Fig 2, 29].

equation we ®rst note that on the right-hand side, the Ex ®eld is discontin-

uous at the points where x changes discontinuously from 2a to 2b or vice

versa. This follows because the electric ¯ux density Dx xEx is contin-

uous at all points in x. The fact that Dx is continuous on the right-hand side

also forces dH

dy to be continuous on the left-hand side. Thus we see from

z

tions that produce a continuous product.

Li [53] explains that the source of the convergence problem has to do

with the fact that the ®nite Fourier sum of a periodic product function

h x f xg x, formed by convolving the ®nite Fourier sums of each peri-

odic function f x and g x, converges very slowly when f x and g x are

piecewise, pairwise discontinuous at a point x yet their product h x is con-

tinuous at that point. Li goes on to show that the ®nite Fourier sum of a

periodic product function h x f xg x, formed by (1) ®nding the ®nite

Fourier sum of the periodic function 1=f x, call it f REC x, (2) taking the

recriprocal of f REC x, and (3) convolving this periodic function with the

periodic function g x, converges very rapidly at the point x where the pair-

wise discontinuity of f x and g x occurred. Li [53] calls the ®rst method the

Laurent rule and the second method the inverse rule. Li [53] illustrates

234 Chapter 3

result by using the two ways of convolving the periodic functions f x and

g x that have just been described. Although Li [53] shows in great detail and

rigor, both numerically and theoretically, the improved convergence that

occurs by using the inverse rule, we feel that a physical or geometric explana-

tion of why the convergence is better would be bene®cial to the readers.

As Li [53] has shown, periodic functions expressed using the Laurent

rule can have severe convergence problems when represented by a truncated

convolution series. We illustrate the problem with the following example.

Consider two periodic square wave functions f and g de®ned over a period

as

(

a =2 < x < 0

f x 3:8:7

b 0 < x < =2

(

b =2 < x < 0

g x 3:8:8

a 0 < x < =2

that the ®nite Fourier series expansion of f x and g x, call them fT x and

gT x, have the value a b=2 at x 0. This follows from a well-known

theorem in Fourier series: If f x is a piecewise smooth function and/or

satis®es the Dirichlet conditions, then its Fourier series converges to 1=2

f x 0 f x 0 where x 0 is the point of discontinuity (Butkov [104,

Chapter 1]). Hence, in general, hT 1 0 fT 0gT 0 a b2 =4 6 h 0 ab,

and thus the product of the ®nite Fourier series gives, in general, an erro-

neous value at the discontinuity point even though each of the ®nite Fourier

series give the value (a b)/2 at the point of discontinuity. Around this point

the error decreases as the number of harmonics retained in the Fourier

expansion is increased.

The inverse method used by Li [53] and Lalanne and Morris [29]

involves taking the ®nite Fourier series expansion of 1=f x (call it fTREC ),

inverting it, and multiplying with the ®nite Fourier series expansion of g x

to approximate the product function h x. Let hT 2 x 1=fTREC gT x.

Using the same Fourier theorem stated above,

1 ab

h
2

T
0 ab h
0
3:89

1=a 1=b=2 2

Thus, this shows that by (a) taking the ®nite Fourier series fTREC
x; of the

reciprocal function 1=f
x, (b) then inverting fTREC
x to obtain the function

Planar Diffraction Gratings 235

1=fTREC
x, (c) ®nding the ®nite Fourier series expansion of 1=fTREC x, and (d)

multiplying this with the ®nnite Fourier series gT
x, gives the accurate value

of the product h
x at the point of discontinuity. Note that since fTREC
x is a

®nite Fourier series, it is ®nite and continuous at the point of discontinuity

of f
x, and hence the Fourier series of its reciprocal, namely 1=fTREC
x, is

continuous at this point and has the value 1/[(1/a+1/b)/2]. Note further that

we could achieve the same result by interchanging f and g.

Summarizing, the Laurent rule gives an, in general, incorrect value at

the point of discontinuity, whereas the inverse method yields the correct

result. When these types of computations are encountered in grating pro-

blems, it is easy to see why numerical dif®culties encountered with the

Laurent method can be alleviated using the inverse rule.

It is instructive to compute the ®rst and second derivatives of the pro-

duct functions h
iT
x; i 1; 2 around the point of discontinuity x 0. This

gives insight into the way the two approximations vary around the point of

discontinuity (by using these derivatives in a Taylor series). Note that

h
1

T
x fT
xgT
x
c0 DN
x
c0 DN
x
3:8:10

where

X

N

DN
x cn sin nKx; c0
b a=2; cn
2=n
b a;

n1

n odd and cn 0; even;
3:8:11

assumed K 1 for simplicity. Then hT 1 0 x 2 DN D0N ,

hT x 2 DN DN D00N : Hence h 1

1 00 2 0 1 00

T 0 0, and hT 0 8=2

2 2

b a N=2 , where [y] refers to the highest integer less than y.

Thus we see that when expanding the h 1

T x the Taylor series about

x 0 has a parabolic shape with narrower and narrower width around the

peak as N increases. This follows since the ®rst derivative is zero and the

second derivative increases as the square of the number of harmonics. Thus

we can clearly see the nature of the error in using the Laurent approxima-

tion. As the number of harmonics increase, the value of the approximation

to the left and right of the discontinuity approaches the correct product

value. Further, as one approaches the discontinuity, the approximation

deviates from the true value ab in the form of a parabolic function whose

value at the discontinuity still remains at a b2 =4. This nature is evident

from Figs. 2-4 of Li [3].

In the inverse method described earlier, recall that h 2 T x

1=fT gT x. It is crucial to note that 1=f f REC 1=abg. Hence it

REC

236 Chapter 3

follows that fTREC
1=abgT , provided the same number of harmonics are

used to expand both functions. Therefore

1

h
2 REC

T
x
1=fT gT
x g ab; for all x:
3:8:12

1=abgT T

using this method, the discontinuity of f and g does not affect the product h

at any point.

The equations above hold exactly for the square wave example con-

sidered. For an arbitrary pairwise discontinuous set of functions f and g

whose product is continuous, we remark that f and g can each be decom-

posed into the sum of a square wave, as in the example above, and a con-

tinuous function whose value at the point of discontinuity is zero. Thus the

product of these f and g's behave exactly as predicted above in a small

neighborhood around the point of discontinuity. This follows since the

continuous parts of the functions are zero at the point of discontinuity.

Any truncation in the Fourier series representation of the functions f and

g is thus not going to be re¯ected at the point of discontinuity.

PROBLEMS

ness L is given by

2

" x "2 " cos x

®eld. Find the angles between the diffracted orders and the respec-

tive diffraction ef®ciencies of each order.

2. A circularly polarized optical ®eld is incident on the grating

described in Fig. 2. Find the polarized state of each diffracted

order, and the corresponding diffraction ef®ciency.

3. A plane wave (see Fig. 1) is obliquely incident (angle to the

grating normal) on a lamellar diffraction grating of spatial period

and thickness L whose permitivity pro®le is given by

"2a " 1: jxj=d; jxj d

" x

"2b ; d < jxj =2

Planar Diffraction Gratings 237

where 108, "1 1:; "3 2:25; "2a 2:25; "2b 1:; " :5; ~

k0 5; d =5:; L~ :75; k0 2= and is the free space

wavelength. Determine the diffraction ef®ciency of the transmitted

and re¯ected orders of the system if the plane wave is

a) H-mode polarized.

b) E-mode polarized.

c) Verify in Parts a) and b) that conservation of real power is

conserved.

d) What is the approximate number of orders MT needed to

ensure convergence of the EM solution in this problem?

4. In Problem 3, verify the complex Poynting theorem as developed

in Sec. 3.3 for the Poynting box shown in Fig. 15.

5. Determine the diffraction ef®ciency of the transmitted and

re¯ected orders of the system in Problem 3 if an in®nitely thin,

perfectly conducting strips are placed at the interfaces between "2a

and "2b .

6. a) Use the method of [25] to determine the EM ®elds of a pure

re¯ection grating when the permitivity is given by Eq. (3.4.5) and

for the data of Fig. 21 except that " :4 rather than " :2.

b) Find and plot the re¯ection ef®ciencies for data of Problem 5a)

as was done in Fig. 21.

7. Determine the re¯ected and transmitted diffraction ef®ciencies of

an asymmetric diffraction grating when the relative dielectric per-

mitivity is given by

"2a , 0 < x < (=L) y

"
x; y

"2b ,
=Ly < x <

~ k0 5, d =5., L~ :75, L :k0 L,

"2b 1., ~ k0 2=

and is the free space wavelength and x; y are in normalized

coordinates. Be sure to include suf®cient diffraction orders and

multilayers to ensure proper convergence of your solution.

8. Use RCWA and the theory of Sec. 3.6 to determine the EM ®elds

in a lamellar, crossed diffraction (see Fig. 33) where the relative

permitivity is given by

where I 208, I 108, "1 1., "3 2:25, "2 2:25, " :2,

z x k0 ~ x ; x 5:, L~ :75, and k0 2= and is the

free space wavelength. Assume the incident plane wave is circularly

238 Chapter 3

and re¯ected orders of the system.

9. a) Considering the diffraction grating described in Problem 3 and

your solution determined therein, determine the maximum grating

thickness before your numerical solution becomes unstable and ill-

conditioned.

b) Apply the enhanced transmittance approach described in Sec.

3.7 [22,23] to provide a numerically stable solution to Part a) for

those layer thickness for which numerically unstable solutions

occurred.

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4

The Split-Step Beam Propagation

Method

In the previous chapter, we have discussed the RCWA in detail and also

shown applications where plane waves are transmitted and re¯ected upon

incidence on a layer of arbitrary permittivity and from ®xed gratings. In this

chapter we discuss an alternative method to determine the propagation of a

beam in a semi-in®nite region that may contain a certain optical inhomo-

geneity, whether ®xed (such as in a grating) or induced (due to the nonlinear

change in refractive index). The extension of this method to analyze pulse

propagation as well has been performed but will not be treated here for the

sake of simplicity.

1 @2 E

r2 E 0
4:1:1

v2 @t2

and substitute

Substituting Eq. 4.1.2 into 4.1.1 and assuming that Ee is a slowly varying

246 Chapter 4

j@Ee =@zj k0 we obtain the paraxial wave equation [1]

@Ee 2

2jk0 r? Ee
4:1:4

@z

2

where r? denotes the transverse Laplacian. Equation 4.1.4 describes the

propagation of the envelope Ee
x; y; z starting from the initial pro®le

Ee jz0 Ee0
x; y.

Equation 4.1.4 can be solved readily using Fourier transform techni-

ques. Assuming Ee to be Fourier transformable, we can employ the de®ni-

tion of the Fourier transform

1

E~ e
kx ; ky ; z F x;y fEe
x; y; zg Ee
x; y; z exp
jkx x jky y dx dy

1

4:1:5

d E~ e j

k2 k2y E~ e
4:1:6

dz 2k0 x

z

E~ e kx ; ky ; z E~ e0 kx ; ky exp j k2x k2y 4:1:7

2k0

where E~ e0
kx ; ky is the Fourier transform of Ee0
x; y. We can interpret Eq.

4.1.7 in the following way: Consider a linear system with an input spectrum

of E~ e0
kx ; ky at z 0 where the output spectrum at z is given by

E~ e
kx ; ky ; z. The spatial frequency response of the system, which we will

call the paraxial transfer function for propagation, is then given by

E~ e 2 2

z

H
kx ; ky ; z exp j kx ky
4:1:8

E~ e0 2k0

propagational diffraction by means of the transfer function or propagation

derived above. For more exact calculations, the nonparaxial transfer func-

tion can be used. This can be derived starting from the nonparaxial wave

equation, but it will not be presented here for the sake of simplicity.

The Split-Step Beam Propagation Method 247

propagation yields the impulse response for propagation. Starting from the

paraxial transfer function for propagation, which resembles a complex

Gaussian, the inverse Fourier transform is a complex Gaussian as well

and has the form

jk k

h x; y; z 0 exp j x y 0

2 2

4:1:9

2z 2z

This, when convolved with the initial beam pro®le, yields the pro®le of the

diffracted beam in the spatial domain directly. This convolution integral is

in fact the Fresnel diffraction formula.

constant or equivalently the refractive index is a function of position, either

due to pro®ling of the material itself (such as a graded index ®ber or a

grating) or due to induced effects such as third-order nonlinearities, the

paraxial wave equation changes to

@Ee 1 2

r E jnk0 Ee
4:2:1

@z 2jk0 ? e

The quantity n is the change in the refractive index over the ambient

refractive index n0 c=v, where c is the velocity of light in vacuum.

Equation 4.2.1 is a modi®cation of Eq. 4.1.4 and can be derived from the

scalar wave equation when the propagation constant, or equivalently the

velocity of the wave, is a function of
x; y; z explicitly, as in gratings or

®bers, or implicitly, such as through the intensity-dependent refractive

index.

The paraxial propagation equation (4.2.1) is a partial differential

equation that does not always lend itself to analytical solutions, except for

some very special cases involving special spatial variations of n, or when,

as in nonlinear optics, one looks for a particular soliton solution of the

resulting nonlinear PDE using exact integration or inverse scattering meth-

ods. Numerical approaches are often sought to analyze beam (and pulse)

propagation in a complex system such as optical ®bers, volume diffraction

gratings, Kerr and photorefractive media, etc. A large number of numerical

methods can be used for this purpose. The pseudospectral methods are often

favored over ®nite difference methods due to their speed advantage. The

248 Chapter 4

tral method.

To understand the philosophy behind the BPM, it is useful to rewrite

Eq. 4.2.1 in the form [2,3]

@Ee ^ e

D^ SE
4:2:2

@z

nonlinear operator, respectively (see, for instance, the structure of Eq.

4.2.1). Thus, in general, the solution of Eq. 4.2.2 can be symbolically written

as

^

Ee
x; y; z z exp
D^ SzEe
x; y; z
4:2:3

operators D^ and S,^

^ S z 2

4:2:4

^ S

according to the Baker-Hausdorff formula, where D;

^ ^

mutation of D; S. Thus up to second order in z,

^

exp
Dz ^

Sz ^

exp
Dz ^

exp
Sz
4:2:5

which implies that in Eq. 4.2.4 the diffraction and the inhomogeneous

operators can be treated independently of each other.

The action of the ®rst operator on the RHS of Eq. 4.2.5 is better

understood in the spectral domain. Note that this is the propagation opera-

tor that takes into account the effect of diffraction between planes z and

z z. Propagation is readily handled in the spectral or spatial frequency

domain using the transfer function for propagation written in Eq. 4.1.8 with

z replaced by z. The second operator describes the effect of propagation in

the absence of diffraction and in the presence of medium inhomogeneities,

either intrinsic or induced, and is incorporated in the spatial domain. A

schematic block diagram of the BPM method in its simplest form is

shown in Fig. 1. There are other modi®cations to the simple scheme, viz.,

the symmetrized split-step Fourier method and the leap-frog techniques.

These are discussed in detail elsewhere [2].

The Split-Step Beam Propagation Method 249

In this section we will illustrate various cases where the BPM can be used to

analyze propagation in inhomogeneous media. While most of the examples

will be connected with beam propagation, we must point out to readers that

the method can be used to analyze pulse propagation as well, simply by

replacing z in Eq. 4.2.2 with t (time) and making the linear spatial transverse

differential operator a similar differential operator in z. With this modi®ca-

tion, Eq. 4.2.2 can model the propagation of one-dimensional longitudinal

pulse through an optical ®ber with arbitrary group velocity dispersion. For

details, we refer the readers to Agrawal [2].

In this case, the inhomogeneous operator is zero, and we can solve Fresnel

diffraction of beams using the BPM method. Of course, propagation from a

plane z 0 to arbitrary z can be performed in one step in this case, but in

the example we provide we use the split-step method to convince readers

that the result is identical to what one would obtain if the propagation were

covered in one step. In Fig. 2, we show the pro®le of a diffracted Gaussian

beam after propagation through free space, and the results agree with the

250 Chapter 4

Figure 2 Diffraction of a Gaussian beam during free space propagation. (a) Pro®le

at z 0 (plane wave fronts assumed); (b) pro®le at z zR , where zR is the Rayleigh

length of the original Gaussian beam.

ing propagation.

Index Medium

A graded index medium has a refractive index variation of the form

where n0 denotes the intrinsic refractive index of the medium and n
2 is a

measure of the gradation in the refractive index. In this case, the operator S^

becomes

shown in Fig. 3. The contour plots show the initial (Gaussian) beam pro®le,

the beam pro®le where the initial Gaussian attains its minimum waist during

propagation before returning back to its original shape again, due to peri-

odic focusing by the graded index distribution. Note that there exists a

speci®c eigenmode (a Gaussian of a speci®c width, related to the refractive

index gradient) for which the beam propagates through the material without

a change in shape as a result of a balance between the diffraction of the

beam and the guiding due to the parabolic gradient index pro®le. The con-

tour plot of such a beam is shown in Fig. 4.

The Split-Step Beam Propagation Method 251

Acousto-optic Diffraction

The beam propagation algorithm has been applied to the propagation of a

beam through a grating and can be also used to analyze the case where the

grating is a sound ®eld. In what follows, we give an example of the use of the

beam propagation method to analyze the diffraction of light by an acousto-

optic cell in which a traveling wave of sound causes a change in the refrac-

tive index using a modi®ed split-step technique. The modi®cation is that the

inhomogeneity due to the refractive index grating is accommodated for in

the spatial frequency domain as well.

252 Chapter 4

tion of time and space:

where C is an interaction constant (for details, see Korpel [4]) and s
x; z; t is

the real sound amplitude given by

t c:c 4:3:4

where Se is the complex amplitude of the sound ®eld that interacts with the

light beam and is traveling in the x-direction and c:c: denotes the complex

conjugate. The quantities K and

are the propagation constant and the

angular frequency of the sound ®eld. Following Korpel [4,5], a snapshot of

the sound ®eld is used at t 0, so that using Eqs. 4.3.3 and 4.3.4,

^

exp
Sz exp
jk0 nz 1 jk0 nz

1 1

2 jk0 zCSe
x; z exp
jKx Se
x; z exp
jKx

4:3:5

the above operator on the optical ®eld Ee x; z, taking care to note from the

property of Fourier transforms that

The Split-Step Beam Propagation Method 253

The main propagation loop of the algorithm is modi®ed from Fig. 1 and is

shown in Fig. 5. The boxes marked ``Shift K'' are used to facilitate the

operation shown in Eq. 4.3.6 in the spatial frequency domain.

Figure 6 shows problem geometry of a Gaussian beam incident nom-

inally at Bragg angle on a sound column of width z L. The simulated

evolution of the Gaussian beam is shown in Fig. 7 and is taken from Ref. [4].

The peak phase delay of the light traveling through the acousto-optic cell

is taken equal to , and the Klein±Cook parameter Q K 2 L=k0 13:1. We

would like to point out that the same answers could be derived by using the

transfer function for acousto-optic interaction, as given in Refs. 4 and 6.

Figure 5 Flow diagram for the modi®ed split-step technique to analyze acousto-

optic interaction.

254 Chapter 4

ally Bragg incidence.

Figure 7 Simulation plot of the intensity of the angular spectrum of the total ®eld

at different positions along interaction length [Ref. 4].

The Split-Step Beam Propagation Method 255

4.4.1 Nonlinear Self-focusing and Defocusing of Beams

The nonlinear propagation of beams through a cubically nonlinear material

is modeled by the nonlinear PDE, also called the nonlinear SchroÈdinger

(NLS) equation [4]

@Ee 2

2j k0 r? Ee 2n2 k20 jEe j2 Ee
4:4:1

@z

tional dependence of the total refractive index n on the intensity [4]:

focusing. Used with permission OSA, 1986 [7].

256 Chapter 4

permission OSA, 1986 [7].

n n0 n2 jEe j2 4:4:2

In writing Eq. 4.4.1, we have taken the linear refractive index n0 equal to

unity for the sake of simplicity. For a medium with n2 > 0, one can observe

self-focusing of a Gaussian beam traveling through a medium, while self-

defocusing is observed fora medium with n2 < 0. The nonlinear operator

^

expfSzg exp jk0 n2 jEe j2 z. Typical plots showing self-focusing and

self-defocusing of initial Gaussian pro®les in one transverse dimension are

shown in Figs. 8 and 9, respectively. Note that in Fig. 8, the initial power in

the Gaussian beam is taken to be higher than the so-called critical power

required for self-focusing. For this reason, one observes periodic focusing

during propagation through the medium. The physical reasoning behind

self-focusing is as follows. The Gaussian beam induces a positive lens in

the nonlinear material for n2 > 0 because where the beam intensity is high

The Split-Step Beam Propagation Method 257

larger slowing down of the wave fronts. The wave fronts are therefore bent

similar to the action of a positive lens, resulting in initial focusing of the

beam. This process continues till the beam width is small enough for the

diffraction effects to take over, leading to an increase in the beam width.

The converse is true for the case of n2 < 0. In this case, the beam spreads

more than in the linear diffraction limited case.

A stable nonspreading solution in one transverse dimension can be

analytically found from the NLS equation for n2 > 0 and has the form

1=2

8 x

Ee
x sec h
4:4:3

n2 k0
2k0 1=2

the propagation has been plotted using the split-step method, as shown in

Fig. 10. This pro®le is called a spatial soliton and can be regarded as a

nonlinear eigenmode of the NLS system. Higher order spatial soliton solu-

tions can also be derived. We would like to point out that the above simula-

tions can be easily modi®ed to analyze pulse propagation through a

nonlinear ®ber and in the presence of group velocity dispersion. This is

possible because the interchange z ! t and x ! z in the NLS equation

with a suitable coef®cient in front of the second-order derivative term trans-

forms the equation to one that can model the propagation of pulses in time t

along a ®ber. The split-step method has also been used to analyze propaga-

tion of pulses through ®bers having higher order dispersion, and other kinds

of nonlinearities, such as that stemming from Raman scattering, etc. An

excellent reference on nonlinear propagation through ®bers is Agrawal [4].

The split-step technique has also been applied to analyze propagation of

pro®les in two transverse dimensions [7], and also to analyze propagation of

optical ®elds that are pulsed in time and have a spatial pro®le in the trans-

verse dimension [8].

Materials

In this section, a model for beam propagation through a nonlinear photo-

refractive material that takes into account inhomogeneous induced refrac-

tive index changes due to the nonlinearity is ®rst developed. In some cases a

focused Gaussian beam asymmetrically distorts due to passage through the

nonlinear material.

258 Chapter 4

mission OSA, 1986 [7].

been used in a wide variety of applications, viz., image processing, optical

interconnections, optical data storage, optical limiters, and self-pumped

phase conjugators [9]. When a PR material is illuminated by a light beam

or by a fringe pattern generated by the interference of two light beams,

photoexcited carriers are redistributed in the volume of the crystal [9].

This sets up a space charge ®eld which, through the linear electro-optic

effect, gives rise to a refractive index pro®le and hence a phase hologram.

The phenomenon of PR beam fanning, where the incident light beam

is de¯ected and/or distorted when it passes through a high-gain PR crystal,

has been observed in BaTiO3 , LiNbO3 , and SBN [10±12]. One of the ways

this has been explained is through the fact that a symmetric beam may

create an asymmetric refractive index pro®le, leading to beam distortion,

or what we will call deterministic beam fanning (DBF) in the far ®eld [13].

The Split-Step Beam Propagation Method 259

This analysis has been done for a thin sample, meaning one where diffrac-

tion of the beam is neglected during its travel through the PR material, and

by using a linearized theory to determine the induced refractive index pro-

®le. We have recently extended the linearized approach to the case of a thick

sample, and have included the transient effects, and are in the process of

determining the effects of transient DBF when a reading beam is used to

illuminate a previously stored hologram in the PR material [14].

Another school of thought is that beam ``fanning'' results from light

scattering from the random distribution of space charges in the PR material.

However, a larger contribution to random beam fanning (RBF) is the so-

called ampli®ed noise [15] that may arise from the couplings between the

plane wave components scattered from crystal defects.

In this section, we examine steady state DBF in a diffusion dominated

PR material by deriving a closed form expression for the induced refractive

index change from the nonlinearly coupled Kukhtarev equations. We also

assess the role of propagational diffraction in DBF by determining the

similarities and differences between the thin and thick sample models.

It can be shown that the coupled set of simpli®ed Kukhtarev equations

[9] (see Chapter 7 for details) for a diffusion dominated PR material can be

decoupled in the steady state to yield an ordinary differential equation for

the space charge electric ®eld [13]. In denormalized form, we can express this

electric ®eld Es
x; y; z as

2 eNA e rI

r Es E
4:4:4

s r Es kB T s =s I

s is the static permittivity, kB is the Boltzmann constant, T is the tempera-

ture, s is the ionization cross section per unit photon energy, and is the

thermal generation rate. The last coef®cient is important if the beam pro®le

decays to zero for large x; y, which represent directions transverse to pro-

pagation (z) of the beam in the PR material. I x; y; z denotes the intensity

distribution along x; y at a position z in the PR material. We have numeri-

cally checked that a good approximation to the solution of Eq. 4.4.4 is

kB T rI

Es Esx a^ x Esy a^ y
4:4:5

e =s I

if
kB =T=e=W2 eNA =s , where W is the characteristic width of the com-

plex envelope Ee
x; y; z of the optical ®eld. The quantities a^ x and a^ y refer to

unit vectors in the x- and y-directions, respectively. Now this electrostatic

®eld induces a refractive index change next
x; y; z for extraordinary polar-

260 Chapter 4

ized (say along x, see Fig. 11) plane waves of light in the PR material,

assumed BaTiO3 from now on, through the linear electro-optic effect,

given by

next
x; y; z; y Ex
x; y; z f
y

1 3

f
y 2 ne
y cos y
r13 sin y r33 cos2 y 2r42 sin2 y

n2e
y
sin2 y=n2o cos2 y=n2e 1

4:4:6

where no and ne are the linear ordinary and extraordinary refractive indices

and the rij are the linear contracted electro-optic coef®cients [9]. The angle

in Eq. 4.4.6 is de®ned in Fig. 11. Note that f
y is a slowly varying function

of over the spectral content of the optical ®eld. It can be readily shown

that, in general, propagation through the PR material under the slowly

varying envelope approximation can be modeled by means of the PDE [13]

@Ee 2

jk0 next Ee j1=2ne
k0 r? Ee

@z

kx

next
x; F x 1 F x Ee
xf 0

ne
k0

kB T @jEe
xj2 =@x

Esx
x
4:4:7

e =s jEe
xj2

around 40 , a symmetric beam could induce an asymmetric refractive

index pro®le, leading to beam bending and DBF in the far ®eld.

However, for some other value of , for instance 90 , our theory predicts

symmetric beam shaping, in agreement with the ®ndings of Segev et al. [15].

In this respect, the nature of the optical nonlinearity in a PR material is

more involved as compared to that in a nonlinear Kerr-type material. We

1993 [13].

The Split-Step Beam Propagation Method 261

beam pro®le can cause beam bending, as reported in [16], while a symmetric

beam undergoes self-focusing or defocusing.

In what follows, we ®rst provide results for the far ®eld beam pro®les

by assuming the PR material to be a thin sample, in the sense that we neglect

the effects of propagational diffraction through the material. A Gaussian

input

x2 y2

Ee
x; y; 0
I0 1=2 exp
4:4:8

W2

with I0 2P=W 2 , where I0 denotes the on-axis intensity and P is the beam

power, is phase modulated owing to the induced refractive index pro®le. The

resulting output ®eld is Ee
x; y; L Ee
x; y; 0 exp
jk0 next
xL, where L

is the thickness of the PR material. Such a phase modulation results in a

shift of the far ®eld pattern with respect to the axis
z of propagation of the

optical beam, and in the appearance of asymmetric side lobes, the so-called

fanning of the beam. Numerical simulations for BaTiO3 with parameters

n0 2:488, ne 2:434, r42 1640 pm/V, r13 8 pm/V, r33 28 pm/V,

NA 2 1022 m 3 , s 3:28 10 8 F/m, s 2:6 10 5 m2 =J, b 2 s 1 ,

T 298 K [13], and L 1 cm and using an incident wavelength of 514.5 nm

show a monotonic increase in the shift of the far ®eld main lobe from the z

axis with increase in I0 (implying either an increase in power P or a decrease

in width W). In Figs. 12a and b, kx is the spatial frequency variable corre-

sponding to x and is related to the far ®eld coordinate xf by kx k0 xf =d, d

being the distance of propagation from the exit of the crystal to the far ®eld.

However, the amount of DBF (de®ned by the relative amount of power in

the side lobes) varies nonmonotonically with intensity, initially increasing as

the intensity is increased from low levels to attain a maximum, and then

decreasing with further increase in intensity.

Note that our results are different from those of Feinberg [10], in that

the latter, based on a linearized two-beam coupling theory that neglects

coupling of the angular plane wave components of the Gaussian with any

!

background illumination, yields E s / rI=I0 , where I0 is the quiescent inten-

sity (to be compared with our Eq. 4.4.7). For a Gaussian intensity pro®le,

the locations of the extrema of E in Feinberg's formulation are ®xed w.r.t.

to the incident pro®le and hence can be shown to predict a monotonic

increase in DBF with a decrease in W. In our nonlinear formulation, how-

ever, for decreasing W, the extrema of E move out with respect to the

incident pro®le, so that the pro®le essentially sees a linear induced refractive

index for suf®ciently small W, resulting in reduced DBF.

262

Figure 12 Normalized far ®eld intensity pro®les for the thin sample model. (a) P 1:5 mW; (b) W 40 microns. Used with

Chapter 4

permission of North-Holland, 1993 [13].

The Split-Step Beam Propagation Method 263

Before comparing the thin sample results with the ®ndings for the

thick sample case, we will, at this point, provide a simple alternate explana-

tion for the observed behavior of DBF when monitored as a function of the

intensity. Our explanation is based on the examination of the spectrum of

the phase modulation exp
ik0 next
xL. The far ®eld pattern is the con-

volution of the above spectrum with that of the input pro®le. Since next
x

is an odd function of x (see Eq. 4.4.6), it can be expanded in a power series

of the form ax3 bx, where a and b are given by

b a 4:4:9

=sI0 1 =sI0 1

Note that the coef®cients of this expansion hold for all values of the ratio

=sI0 . The spectrum H
kx of exp
ik0 next
xL is then

2 k bk0 L

H
kx 1=3

Ai x
4:4:10

3a
3a1=3

Once again, kx above has the same implication as in the discussion on Fig.

12. We comment that if d is replaced by f , where f is the focal length of a

lens at the exit plane of the crystal, kx , and hence xf , would be representative

of the spatial coordinate on the back focal plane of the lens. Ai is the Airy

function [17]. The ith zero, i , of H
kx is related to the ith zero,
i
< 0, of

Ai by i bk0 L
3a1=3
i . It then follows that the spatial extent of the

Airy pattern for kx < bk0 L, up to say the ith zero, and normalized by the

spectral width 2=W of the incident Gaussian pro®le, varies nonmonotoni-

cally with I0 . Figs. 13a and b show, for instance, the variations of i bk0

L
3a1=3
i =
2=W for i 1 with W and P, respectively. The shift in the

Airy pattern, bk0 L, however, increases with an increase in I0 . For large I0 , it

can be shown that the shift is proportional to 1=W 2 , in agreement with the

trend in Fig. 12a. The resulting far ®eld pattern, which is the convolution of

the Gaussian spectrum and the Airy pattern, generally exhibits decreased

DBF when the Airy pattern has a (denormalized) width much smaller than

that of the Gaussian spectrum (which may occur, for instance, for both

small and large W). This is in agreement with our numerical simulations

in Fig. 12. Appreciable DBF occurs in the region where the normalized

bandwidth (see Figs. 13a and b) is greater than unity. As an example, for

P 1:5 mW, maximum beam fanning, de®ned by the maximum of the ratio

of the peak value of the side lobe and that of the main lobe, occurs when

W 30 microns.

Figure 13 Normalized bandwidth of the induced PR phase modulation (a) for P

1:5 mW, plotted as a function of W, and (b) for W 40 microns, plotted as a

function of P. Used with permission of North-Holland, 1993 [13].

The Split-Step Beam Propagation Method 265

In the remainder of this section, we will present the results for the far

®eld beam pro®les using a thick sample model for the PR material and point

out the similarities and differences with the thin sample approach.

Numerical simulations for the thick sample model were performed on the

basis of Eq. 4.4.7 by employing a split-step beam propagation technique [7].

In this simulation, we track both the phase and the amplitude modulation of

the beam within the crystal due to the combined effects of propagational

diffraction (along x; y) and induced refractive index (along x) arising from

the PR effect. Figs. 14a and b show the normalized far ®eld intensity pat-

terns with W and P as parameters. By W we now mean the beam waist that

would be expected at z L=2 (i.e., the location of the center of the sample)

in the absence of any electro-optic effect (rij 0) (see inset in Fig. 14a). The

results are qualitatively similar: DBF is seen to reduce at very low (high) and

very high (low) values of P
W. Quantitatively, for a ®xed power P (viz.,

1.5 mW), we can predict the absence of DBF for suf®ciently large values for

W (viz., 70 microns) which are independent of the model (thin or thick

sample) used for simulation. Physically, this makes sense, since the thin

and thick sample models must agree if the diffraction effects in the crystal

are suf®ciently small. On the other hand, the reason for the absence of DBF

for a suf®ciently small value of W in the thick sample approach is that

effectively, the beam width, if monitored over most of the sample, is large

(due to a large diffraction angle), implying a reduced PR effect. This in turn

implies that propagation through the crystal is predominantly diffraction

limited. For small W, the thick sample model therefore is more accurate

than the corresponding thin sample model for the same value of W, since

the latter model overestimates the amount of cumulative PR effect. For the

thick sample model, for the same value of P as above, we see negligible DBF

for W less than 25 microns. On the other hand, the thin sample model

predicts a value of W less than 5 microns for negligible beam fanning.

The reason for the disappearance of DBF in the thin sample approach

has been presented above using the Airy function argument and the move-

ment of the extrema of E w.r.t. the incident optical ®eld. Maximum DBF for

P 1:5 mW occurs for W 40 microns, in close agreement with the thin

sample computations and the Airy function approach. However, the shift in

the position of the main lobe in the thick sample model is much smaller as

compared to the thin sample case due to the effective decrease in the PR

effect for a small waist size, as explained above. Referring to Fig. 14a, we

note that for W 40 microns, P 1:5 mW and f 10 cm, and the spatial

shift in the back focal plane of a lens of focal length f located at the exit

plane of the PR material is about 0.2 mm. We would like to comment that

for the above parameters, DBF was also numerically observed at the exit

face of the thick PR sample.

Figure 14 Normalized far ®eld pro®les for the thick sample model. (a) P 1:5

mW; (b) W 40 microns. Used with permission of North-Holland, 1993 [13].

The Split-Step Beam Propagation Method 267

As seen in the previous section, in diffusion dominated photorefractive (PR)

materials, the induced refractive index can be written as

kB T rI

next /
4:4:11

e =s I

The interaction between two focused Gaussian beams incident on the mate-

rial can be effectively studied numerically using the split-step method. In this

case, two-beam coupling results in energy exchange between the two beams

after interaction through the photorefractive material. The problem geome-

try is shown in Fig. 15. The two Gaussian beams are focused in the center of

the photorefractive material, and the angle between them is 2. The

Gaussian beams are expressed in terms of their q-parameters at the entry

face of the material. The split-step algorithm is used to determine the inter-

action and energy exchange between the two beams. The induced refractive

index n written above is used to construct the operator representing the

induced inhomogeneity in the material. The results on two-wave mixing are

shown in Fig. 16. The dot-dashed lines show the far ®eld intensity pro®les of

the two Gaussian beams in the absence of the photorefractive material. The

dashed lines show the beams after energy transfer due to the induced refrac-

tive index. The initial pump-to-signal power is 3. The peak intensity of the

sion of North-Holland, 1994 [18].

268 Chapter 4

Figure 16 (a) Dotted and dashed lines are respectively the far ®eld signal and

pump intensities with the absence of any PR material, and chain dots and chain

dashes represent the resulting far ®eld intensities after the beams have propagated

through a 5 mm BaTiO3 sample. Incident beams are focused to the center (z L=2)

of the Pr crystal, and the waist of each beam at wavelength 0.632 microns is 100

microns. Signal-to-pump ratio is 3, and semi-angle of crossing is 0.5 degrees. Note

that w1 w2 1:0 10 4 . (b) Interference pattern at center (z L=2) of the PR

crystal for the beams described in (a). (c) Space charge ®eld (V/m) at the center

(z L=2) of the crystal for the beams of (a). Used with permission of North-

Holland, 1994 [18].

pump and signal beams are 63 and 21 W/cm2 , respectively, before the inter-

action. The beams are coupled by a 5 mm BaTiO3 photorefractive material.

The output beams do not show any effect of beam fanning at this power, but

with larger beam powers, distortion of the beams due to beam fanning is

observed. The results have been used to ®nd the two-beam coupling strength

The Split-Step Beam Propagation Method 269

and their dependence on the intensities of the two participating beams. The

results, shown in Ref. 18, depict that the coupling strength depends on the

power ratio between the two beams, a fact that is ignored in perturbation

calculations of two-wave mixing in photorefractive materials. Later, in

Chapter 7, we will analyze this effect in more detail with participating

plane waves and using rigorous coupled wave theory.

THROUGH NONLINEAR MATERIALS: z-SCAN AND P-

SCAN TECHNIQUES

The previous examples illustrated the use of the split-step method in calcu-

lating the beam pro®les during diffraction in space or during propagation

through a guided (externally or internally induced) medium. If a Gaussian

beam is assumed, however, the split-step method can be reformulated in

terms of a differential equation that shows the evolution of the Gaussian

beam's parameters, e.g., width, during propagation. The ensuing equation

can be exactly solved in some cases, e.g., for a Kerr-type material, and is

therefore physically more transparent than the results obtained using the

split-step method. The differential equation for the parameter(s) may not be

simpler to solve than the split-step method, but having an analytical solution

(Gaussian beam) adds a tremendous insight into the actual propagation of

the wave through the material, whereas the split-step method only presents

simulation results. When a Gaussian beam travels a distance z in an n2

medium, the q-parameter [19] change using the split-step method can be

written as

q2

q z
4:5:1

find
z

where find is the nonlinearly induced focal length of the slice z [19]. The

above equation shows that the q of a Gaussian beam changes due to pro-

pagational diffraction and due to the induced nonlinearity of the material.

In LiNbO3 the photovoltaic effect is responsible for breaking the circular

symmetry of an incident focused extraordinarily polarized Gaussian beam.

Therefore the propagation model is based on the propagation of an elliptical

Gaussian beam.

As discussed in the last section, beam fanning in photorefractive crys-

tals has received considerable attention for its possible implications in holo-

graphic information recording [10,20±23]. Light-induced scattering resulting

270 Chapter 4

can be explained on the basis of an induced nonlinear refractive index

primarily due to the photovoltaic and thermal effects [11]. This type of

beam fanning is distinct from random beam fanning (RBF) due to light

scattering from the randomly distributed space charges or crystal defects

[9,15]. In LiNbO3 the photovoltaic effect is responsible for breaking the

circular symmetry of an incident focused extraordinarily polarized

Gaussian beam in the far ®eld, while the thermal effect manifests itself in

circularly symmetric far ®eld patterns [11]. Over a range of input powers the

photovoltaic effect dominates, resulting in an elongated far ®eld pattern

with the spreading dominant along the c-axis of the crystal.

An interesting consequence of monitoring the q-parameter variation of

a Gaussian beam as it propagates through a nonlinear material is that one

can thereby estimate the amount of nonlinearity in the material.

Conventional methods of estimating the sign and magnitude of the optical

nonlinearity in materials include the z-scan technique where the far ®eld on-

axis transmittance is monitored as a function of the scan distance about the

back focal plane of an external lens. The z-scan method, however, may be

rather cumbersome, since it involves scanning the material; so we developed

a simpler technique in which the longitudinal position of the sample is not

changed. Instead the beam ellipticity is monitored as a function of the

incident beam power P while testing materials with induced inhomogeneous

nonlinearities, e.g., photorefractive (PR) LiNbO3 . Another disadvantage of

the z-scan is that monitoring the on-axis intensity may be dif®cult owing to

aberrations, optical misalignments, sample imperfections, refractive index

mismatch, and nonparallelism of the entry and exit faces of the material.

The imperfections can give rise to ®ne interference patterns within the far

®eld intensity pro®le. These problems have been observed during z-scan

measurements of LiNbO3 , which led us to develop the P-scan technique

as an attractive and simple alternative.

In what follows, we present a new technique for determining the non-

linear refractive index of PR LiNbO3 that uses an appropriate model for

beam propagation through a nonlinear material. The model takes into

account inhomogeneous induced refractive index changes due to the optical

nonlinearity. For the case of LiNbO3 , induced refractive index changes are

primarily due to photovoltaic contributions over the range of powers used.

The model is based on the evolution of beam widths of an incident circularly

symmetric Gaussian beam focused by a lens onto the material in order to

reduce RBF. The calculations closely follow the analysis for the z-scan

determination of nonlinearities in a thick sample of a nonlinear material

previously derived by several groups [13,24]. Under certain approximations,

the model reduces to that used by Song et al. to study anisotropic light-

The Split-Step Beam Propagation Method 271

consider a ``thick'' sample, i.e., a sample whose thickness is much larger than

the Rayleigh range of the focused Gaussian beam, diffraction effects become

important and cannot be neglected. Therefore we determine the beam shape

as it leaves the nonlinear sample and then calculate the beam pro®le after it

has propagated some distance outside the medium. The information about

the effective n2 is contained in the nature of this pro®le. In general, the

magnitude and sign of the nonlinearity can be determine from the beam

pro®le variation as the sample position is varied about the back focal length

of the external lens. The nonlinearity depends on the acceptor-to-donor

concentration ratio NA =ND , which in turn determines the far ®eld diffrac-

tion pattern. Conversely, measurements of the far ®eld pattern can be used

to calculate NA =ND and used as a tool for characterizing different LiNbO3

samples.

Single Crystal

Assume an incident Gaussian beam in the form

! !

x2 y2

Ee x; y; z a z exp exp 4:5:2

w2x w2y

q2x q2y

qx z qy z
4:5:3

findx findy

Since

!

2 2 x2 y2

n ne n2 jEe j ne 2n2 a
z 2 2
4:5:4

wx wy

refractive index, and Ee is the optical ®eld, we can compute the phase change

upon nonlinear propagation through a section z of the sample and thereby

determine the induced focal length. As expected, these focal lengths are

inversely proportional to z and can be expressed as

272 Chapter 4

ne w2x ne w2y

findx findy
4:5:5

4n2x a2
zz 4n2y a2
zz

Substituting Eq. 4.5.5 into 4.5.3 and taking the limit as z ! 0 we obtain

the system of equations

1

dz ne w2x

dqy 4n2y a zq2y

1 4:5:6

dz ne w2y

Using the well known relationship 1=q 1=R j=ne w2 , where R is a

radius of Gaussian beam curvature, 1=R
1=w
dw=dz, and is the wave-

length in vacuum, we obtain

R2x dz ne w2x Rx 2 ne w2x

2 2 4

1 dRy ne wy Ry

2 2

4n2y a2

4:5:7

R2y dz ne w2y Ry 2 ne w2y

d 2 wx 2 4n2x a2

dz2 n2e 2 w3x ne w x

d 2 wy 2 4n2y a2

4:5:8

dz2 n2e 2 w3y ne wy

P =2a2 zwx zwy z, where is the characteristic impedance of the

material, which is conserved, we ®nally have the system of equations

describing the Gaussian beam propagation in a thick LiNbO3 crystal:

d 2 wx 2 8n2x P

2

2 2 3

dz ne wx ne w2x wy

d 2 wy 2 8n2y P

4:5:9

dz2 n2e 2 w3y ne w2y wx

Assuming n2x n2y (true for photorefractive lithium niobate), the variation

of the widths wx and wy of an elliptic Gaussian beam propagating through a

The Split-Step Beam Propagation Method 273

differential equations [26]

d 2 wx 2 8n2 P

dz2 n2e 2 w3x ne w2x wy

d 2 wy 2

2

2 2 3
4:5:10

dz ne wy

The case when n2x n2y has been studied [13] by employing the q-transfor-

mation approach to ®nd the widths of an elliptic Gaussian beam in a non-

linear medium in the presence of diffraction. Equation 4.5.10 assumes that

the nonlinearity is highly inhomogeneous and only affects the width along

the x-axis (which coincides with the c-axis of our crystals) due to the large

electron mobility along that axis [25]. The effective n2 can be written as [11]

1 3 k
R NA

nw n r
4:5:11

2 e 33 mebND

the absorption coef®cient, R is the recombination constant, m is the mobi-

lity, e is the electron charge, and b is the thermal generation rate. In the

Figure 17 z-scan setup for a thick sample. The thick lines represent the path of the

rays, described as the locus of the 1=e points of the Gaussian beam. The thin lines

show the ray path in the absence of the medium. Circular symmetry of the Gaussian

beam is assumed throughout the sample. Used with permission of OSA, 1998 [26].

274 Chapter 4

above equation, we have made the assumption b sI, where s is the ioniza-

tion cross section per quantum of light and I is the optical intensity.

AND COMPARISON WITH SAMPLE EXPERIMENTS

In this section we present analytical and numerical simulation results using

equations (1) and compare them with sample experiments using PR

LiNbO3 . If the Gaussian beam incident on the sample is assumed to have

planar wave fronts and waist w0 (approximately at the back focus of the

lens), then

!

z2 ne w20

w2y z w20 1 2 and zRy 4:5:12

zR y 0

For a sample length L assumed to be much larger than the Rayleigh ranges

zRy and zRx along z for the elliptic beam, the evolution of wx can be approxi-

mated as

!

z2 ne w20 4ne n2 P

w2x
z w20 1 2 where zRx 1

zR x 0 20

4:5:13