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# Numerical Tools for Optics

Emanuel Istrate
University of Toronto
Contents
Solving Maxwells equations numerically:
The Finite Dierences in Time Domain (FDTD) method
The Transfer Matrix Method (TMM)
The Beam Propagation Method (BPM)
The Plane Wave Expansion Method (PWM)
Ray tracing (geometrical optics)
Introduction to Gaussian beams
Computing the evolution of Gaussian beams using ABCD
matrices
E. Istrate, Numerical Tools for Optics 1
Maxwells Equations
Look directly at the EM oscillations
Exact
OK for arbitrarily small features
Slow, especially for large domains

B
t
=

E

D
t
=

H

J

D =

B = 0

D =

B =

J =

E +

J
s
E. Istrate, Numerical Tools for Optics 2
The Wave Equation

E + (ln ) (

E) +(

E ln ) =

E
t
2

H + (ln ) (

H) +(

H ln ) =

H
t
2
Simplications: and constant:

E =

E
t
2

H =

H
t
2
E. Istrate, Numerical Tools for Optics 3
FDTD
Solve Maxwells equations directly:

H
t
=
1

E
t
=
1

H
Replace derivatives with nite dierences:
u
x

x
i
=
u(x
i
+ x/2) u(x
i
x/2)
x
+ O

(x)
2

## Similar for y, z ant t derivatives

E. Istrate, Numerical Tools for Optics 4
6 Equations
H
x
t
=
1

E
y
z

E
z
y

;
H
y
t
=
1

E
z
x

E
x
z

;
H
z
t
=
1

E
x
y

E
y
x

;
E
x
t
=
1

H
z
y

H
y
z

;
E
y
t
=
1

H
x
z

H
z
x

;
E
z
t
=
1

H
y
x

H
x
y

;
E. Istrate, Numerical Tools for Optics 5
Yees FDTD Cube
Evaluate

H at times t = nt and

E at times t = (n +
1
2
)t.
E. Istrate, Numerical Tools for Optics 6
FDTD Discretization
E
x
t
=
1

H
z
y

H
y
z

E
x
|
n+1/2
i,j+1/2,k+1/2
E
x
|
n1/2
i,j+1/2,k+1/2
t
=
=
1

i,j+1/2,k+1/2

H
z
|
n
i,j+1,k+1/2
H
z
|
n
i,j,k+1/2
y

H
y
|
n
i,j+1/2,k+1
H
y
|
n
i,j+1/2,k
z

## Similar equations for E

y
, E
z
, H
x
, H
y
, H
z
E. Istrate, Numerical Tools for Optics 7
Example in 2D
Assume no variation along the z direction:

z
= 0.
Two sets of non-interacting eld components:
E
z
, H
x
, H
y
: TM polarization
H
z
, E
x
, E
y
: TE polarization
H
x
t
=
1

E
z
y
;
H
y
t
=
1

E
z
x
;
E
z
t
=
1

H
y
x

H
x
y

;
E. Istrate, Numerical Tools for Optics 8
2D Discretization
H
x
t
=
1

E
z
y
H
x
|
n+1
i+1/2,j+1
H
x
|
n
i+1/2,j+1
t
=
1

i+1/2,j+1
E
z
|
n+1/2
i+1/2,j+3/2
E
z
|
n+1/2
i+1/2,j+1/2
y
H
x
|
n+1
i+1/2,j+1
= H
x
|
n
i+1/2,j+1

i+1/2,j+1

E
z
|
n+1/2
i+1/2,j+3/2
E
z
|
n+1/2
i+1/2,j+1/2

With = x = y
E. Istrate, Numerical Tools for Optics 9
Final Equations
E
z
|
n+
1
2
i+
1
2
,j+
1
2
= E
z
|
n
1
2
i+
1
2
,j+
1
2
+
t

i+
1
2
,j+
1
2

(H
y
|
n
i+1,j+
1
2
H
y
|
n
i,j+
1
2
) (H
x
|n
i+
1
2
,j+1
H
x
|n
i+
1
2
,j
)

H
x
|
n+1
i+
1
2
,j+1
= H
x
|
n
i+
1
2
,j+1

i+
1
2
,j+1

E
z
|
n+
1
2
i+
1
2
,j+
3
2
E
z
|
n+
1
2
i+
1
2
,j+
1
2

H
y
|
n+1
i+1,j+
1
2
= H
y
|
n
i+1,j+
1
2

i+1,j+
1
2

E
z
|
n+
1
2
i+
3
2
,j+
1
2
E
z
|
n+
1
2
i+
1
2
,j+
1
2

## E. Istrate, Numerical Tools for Optics 10

Units in Optical Modelling
Dene speed of light in vacuum c = 1
Dene a unit length in the system a to have length 1
Real distance = d a
In simulation: distance = d 1 = d
c =
1

0
= 1
0
= 1,
0
= 1 =
r
, =
r
Time:
Real time: t
r
=
da
c
Simulation: t
s
=
d
1
Conversion: t
r
= t
s
a
c
Frequency:
r
=
s
c
a
E. Istrate, Numerical Tools for Optics 11
FDTD Issues
Introducing sources
Bounds and reections
Extractng data using FFT
E. Istrate, Numerical Tools for Optics 12
FFT and Frequency Units
N points in FFT, sampling rate f
s
Dene f
FFT
the frequency returned by FFT
f
s
=
1
t
=
2c

= 2c
20
a
=
40c
a
Real frequency: f =
f
FFT
N
f
s
=
f
FFT
N
40c
a
=
c
f
=
aN
40f
FFT
= 50a
1
f
FFT
E. Istrate, Numerical Tools for Optics 13
Contents
Solving Maxwells equations numerically:
The Finite Dierences in Time Domain (FDTD) method
The Transfer Matrix Method (TMM)
The Beam Propagation Method (BPM)
The Plane Wave Expansion Method (PWM)
Ray tracing (geometrical optics)
Introduction to Gaussian beams
Computing the evolution of Gaussian beams using ABCD
matrices
E. Istrate, Numerical Tools for Optics 14
The TMM
Very fast and useful for materials assembled of uniform
parallel layers
Bragg gratings
Dielectric stacks
Anti-reection coatings
etc.
Also possible for modulations in waveguides, e.g. bre
gratings
E. Istrate, Numerical Tools for Optics 15
TMM Math
In each uniform layer, the wave equation reduces from

E + (ln ) (

E) +(

E ln ) =

E
t
2
to

E =

E
t
2
Assume 2D, propagation perpendicular to layers:
E =

A
1
e
ikx
+ B
1
e
ikx

e
it
Must connect the solutions across the interfaces
E. Istrate, Numerical Tools for Optics 16
TMM Boundary Conditions
Electric eld and its derivative are continuous at each
interface
Assume interface at x = 0
A
1
+ B
1
= A
2
+ B
2
k
1
A
1
+k
1
B1 = k
2
A
2
+k
2
B
2
n
1
(A
1
B
1
) = n
2
(A
2
B
2
)

1 1
n
1
n
1

A
1
B
1

1 1
n
2
n
2

A
2
B
2

A
1
B
1

1 1
n
1
n
1

1 1
n
2
n
2

= M
12

A
2
B
2

## E. Istrate, Numerical Tools for Optics 17

Propagation within a Layer
Propagation from x = 0 to x = d:
A

2
= A
2
e
ikd
B

2
= B
2
e
ikd

A
2
B
2

e
ikd
0
0 e
ikd

2
B

= P
2

2
B

Assembling matrices:

A
1
B
1

= M
12
P
2
M
23
P
3
. . . M
jk

A
k
B
k

= M

A
k
B
k

## Relate waves on two sides of structure

E. Istrate, Numerical Tools for Optics 18
Extracting Data

A
1
B
1

M
11
M
12
M
21
M
22

A
k
B
k

Reection Coecient = r =
B
1
A
1
with B
k
= 0
r =
M
21
A
k
M
11
A
k
=
M
21
M
11
Transmission Coecient = t =
A
k
A
1
with B
k
= 0
r =
A
k
M
11
A
k
=
1
M
11
E. Istrate, Numerical Tools for Optics 19
TMM Applicability
Any time the wave can be decomposed into forward and
backward propagating waves that do not change laterally.
Multilayers and waveguide gratings are best handled by it.
E. Istrate, Numerical Tools for Optics 20
Contents
Solving Maxwells equations numerically:
The Finite Dierences in Time Domain (FDTD) method
The Transfer Matrix Method (TMM)
The Beam Propagation Method (BPM)
The Plane Wave Expansion Method (PWM)
Ray tracing (geometrical optics)
Introduction to Gaussian beams
Computing the evolution of Gaussian beams using ABCD
matrices
E. Istrate, Numerical Tools for Optics 21
The Beam Propagation Method
Assume all waves propagate in the same direction, e.g. x
Assume the wave envelope changes only slowly with position
Calculate the evolution of the envelope, not of the wave
Small divergence away from x allowed.
Best use to nd the propagation along waveguides, bends,
splitters, etc.
Very fast
E. Istrate, Numerical Tools for Optics 22
The Slowly-Varying Envelope
Assume TM polarization: E = E
z
, H
x
, H
y
,

z
= 0
Propagation along x
Time-harmonic elds: E(x, y, t) = E(x, y)e
jt

2
E(x, y) =
E(x, y)
t

2
E(x, y) + k
2
E(x, y) = 0; k = =

c
Let E(x, y) = A(x, y)e
jk
x
x
, A varies slowly along x

2
A
x
2
2ik
x
A
x
k
2
x
A +

2
A
y
2
+ k
2
A = 0

2
A
x
2
k
x
A
x

2
A
y
2
2ik
x
A
x
+ (k
2
k
2
x
)A = 0
A has no x oscillations, large discretization period OK.
E. Istrate, Numerical Tools for Optics 23
BPM Discretization

2
A
y
2
2ik
x
A
x
+ (k
2
k
2
x
)A = 0
A
i,j+1
2A
i,j
+ A
i,j1
y
2
2ik
x
A
i+1,j
A
i1,j
2x
+ (k
2
i,k
k
2
x
)A
i,j
= 0
A
i+1,j
= A
i1,j
+
x
ik
x
y
2
(A
i,j+1
2A
i,j
+A
i,j1
)+

k
2
i,j
x
ik
x

k
x
x
i

A
i,j
Many variants possible, e.g. FFT along y direction, etc.
E. Istrate, Numerical Tools for Optics 24
Contents
Solving Maxwells equations numerically:
The Finite Dierences in Time Domain (FDTD) method
The Transfer Matrix Method (TMM)
The Beam Propagation Method (BPM)
The Plane Wave Expansion Method (PWM)
Ray tracing (geometrical optics)
Introduction to Gaussian beams
Computing the evolution of Gaussian beams using ABCD
matrices
E. Istrate, Numerical Tools for Optics 25
The Plane Wave Expansion Method
Expand dielectric prole in a Fourier series
Ideal for period devices i.e. Photonic Crystals and Bragg
Gratings
Can also be used with other devices, such as waveguides, by
assuming a periodic repetition.
Finds resonant modes of the structure: Self-consistent
solution of Maxwells equations
Derived from semiconductor physics methods
E. Istrate, Numerical Tools for Optics 26
PWEM Math
Assume 2D, TM: Work with E = E
z
only.
Periodicity = a
Expand dielectric constant:
1
(r)
=

G
e
i

Gr
Electric elds obey Bloch condition (periodic compoenent times
travelling wave):
E(r) = U(r)e
i

kr
=

e
i(

k+

)r
Reciprocal lattice vectors:

G,

G

=
2
a
m x +
2
a
n y
E. Istrate, Numerical Tools for Optics 27
Wave Equation
1
(r)

E +

c
0

E = 0

k +

G

|
2
A

G
e
i(

k+

G)r
=

c
0

G
A

G
e
i(

k+

G)r
For each Fourier component:

k +

G

|
2
A

G
=

c
0

G
A

G
In matrix form: M

G
1
B

G
2
.
.
.

c
0

G
1
B

G
2
.
.
.

M
ij
=

G
i

G
j
|

k +

G
i
||

k +

G
j
|; B

G
i
= |

k +

G
i
|A

G
i
Eigenvalue equation for mode frequencies and proles.
E. Istrate, Numerical Tools for Optics 28
Contents
Solving Maxwells equations numerically:
The Finite Dierences in Time Domain (FDTD) method
The Transfer Matrix Method (TMM)
The Beam Propagation Method (BPM)
The Plane Wave Expansion Method (PWM)
Ray tracing (geometrical optics)
Introduction to Gaussian beams
Computing the evolution of Gaussian beams using ABCD
matrices
E. Istrate, Numerical Tools for Optics 29
Ray Tracing
Geometrical (classical) optics
Assume light travels as rays
Ingore wave nature of light
Feature size wavelength
Solve Snells law (n
1
sin
1
= n
2
sin
2
) at many points on
each surface
Mainly for lenses
Evaluate aberrations
E. Istrate, Numerical Tools for Optics 30
Gaussian Optics
Any beam of nite lateral size will diract (i.e. expand)
Far from the source, the beam prole turns into its Fourier
transform
A lens also transforms a beam prole intor its Fourier
transform
The Gaussian is the only prole that will maintain its shape
after F.T.
Most laser beams have Gaussian proles
Guassian beams have the smallest possible product of spot
size and diraction.
E. Istrate, Numerical Tools for Optics 31
Qualitative Gaussian Features
Wide beams will diract (diverge) less than narrow beams
Gaussian beams focus to a disk, not a point
The following will make the focus spot smaller
Shorter wavelength
Stronger lens
Wider beam before the lens
The smaller the focal spot the faster the divergence: Rayleigh
range is shorter, harder to nd the exact focus.
E. Istrate, Numerical Tools for Optics 32
Gaussian Math
E(r, z) = E
0
w
0
w(z)
exp

r
2
w
2
(z)

exp

ikz ik
r
2
2R(z)
+ i(z)

w(z) = w
0

1 +

z
z
R

2
w
0
= beam waist, radius at smallest point
z
R
=
w
2
0

= Rayleigh range
R(z) = z

1 +

z
R
z

## = Radius of curvature of wavefront

(z) = arctan

z
z
R

= Gouy phase
E. Istrate, Numerical Tools for Optics 33
Gaussian Parameters
A Rayleigh range away from waist, radius grows by

2:
w(z
R
) = w
0

2
Depth of focus (confocal parameter):
b = 2z
R
=
2w
2
0

## Beam divergence for z z

R
:

w
0
E. Istrate, Numerical Tools for Optics 34
Gaussian ABCD Transfer Matrices
Complex beam parameter: q(z) = z + iz
R
Alternatively:
1
q(z)
=
1
R(z)
i

w
2
(z)
Dene matrices relating incoming and outgoing parameter:

q
2
1

= p

A B
C D

q
1
1

## Matrix multiplication allows us to combine propagation through

multiple elements. For the entire system:
q
2
= p(Aq
1
+ B)
1 = p(Cq
1
+ D)
q
2
=
Aq
1
+ B
Cq
1
+ D
E. Istrate, Numerical Tools for Optics 35
Example Matrices
Thin lens, focal length f :

1 0

1
f
1

1 d
0 1

1 0
n
1
n
2
Rn
2
n
1
n
2