EE 485, Winter 2004, Lih Y.

Lin

Chapter 2 Wave Optics

- Improves on Ray Optics by including phenomena such as interference and

diffraction.
- Limitations: (1) Cannot provide a complete picture of reflection and refraction
at the boundaries between dielectric materials. (2) Cannot explain optical
phenomena that require vector formalism, such as polarization.

2.1 Postulates of Wave Optics

The wave equation
c
Light speed in a medium: c= 0 (2.1-1)
n
* *
Wave function u (r , t ) [position r = ( x, y, z ) , time t] satisfies
2 1 ∂ 2u
Wave equation ∇ u− 2 2 =0 (2.1-2)
c ∂t
Wave equation is linear. Principle of superposition applies:
* * *
u (r , t ) = u1 (r , t ) + u 2 (r , t )
Wave equation approximately applicable to media with position-dependent
refractive indices, provided that the variation is slow within distances of a
* *
wavelength → Locally homogeneous, n = n(r ), c = c(r ) .

Intensity, power, and energy

Optical intensity: optical power per unit area (watts/cm2)
* *
I (r , t ) = 2 u 2 (r , t ) (2.1-3)
: average over a period >> 1/frequency.
Optical power (watts) flowing into an area A normal to the propagation direction:
*
P(t ) = ∫ I (r , t )dA (2.1-4)
A

Optical energy (joules) collected in a given time interval T is ∫ P (t )dt .

T

2.2 Monochromatic Waves

* * *
u (r , t ) = a (r ) cos[2πft + ϕ (r )] (2.2-1)

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A. Complex Representation and the Helmholtz Equation

Complex wavefunction
* * * *
U (r , t ) = a (r ) exp[ jϕ (r )] exp( j 2πft ) = U (r )e jωt (2.2-2,5)
*
U (r ) : complex amplitude
1 ∂ 2U
∇ 2U − =0 (2.2-4)
c 2 ∂t 2

The Helmholtz equation and wavenumber

Substituting (2.2-5) into (2.2-4) obtains:
*
(∇ 2 + k 2 )U (r ) = 0 (2.2-7)
k =ω : wavenumber (2.2-8)
c

Optical intensity
* * 2
I (r ) = U (r ) (2.2-10)
not a function of time.

Wavefronts
*
The wavefronts are the surfaces of equal phase, ϕ (r ) = constant.

B. Elementary Waves
The plane wave
Complex amplitude: * *
*
U (r ) = A exp(− jk ⋅ r ) = A exp[− j (k x x + k y y + k z z ) (2.2-11)
*
k : wavevector → direction of propagation
*
k = k = wavenumber

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2π c
Wavelength λ= = (2.2-12)
k f
c is called the phase velocity of the wave.

In a medium of refractive index n, f is the same,

c λ
c = 0 , λ = 0 , k = nk 0 (2.2-14)
n n

The spherical wave

* A
U (r ) = e − jkr (2.2-15)
r
2
* A
I (r ) = 2
r

The paraboloidal wave

Fresnel approximation of the spherical wave.
* *
Examine a spherical wave originating at r = 0 at points r = ( x, y, z ) sufficiently
close to the z axis but far from the origin, so that ( x 2 + y 2 ) << z . Use paraxial
approximation, Taylor series expansion, and Fresnel approximation:
* A  x2 + y 2 
U (r ) = exp(− jkz ) exp − jk  (2.2-16)
z  2 z 
First phase term: planar wave. Second phase term: paraboloidal wave.

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• Validity of Fresnel approximation

Fresnel approximation valid for points (x, y) lying within a circle of radius a
centered about the z axis at position z, if a satisfies a 4 << 4z 3λ , or
N Fθ m2
<< 1 (2.2-17)
4
where θ m = a / z is the maximum angle, and
a2
NF = Fresnel number (2.2-18)
λz

2.4 Simple Optical Components

A. Reflection and Refraction
Laws of reflection and refraction can be verified by wave optics. Please read the
textbook.

B. Transmission through Optical Components

(Ignore reflection and absorption. Main emphasis on phase shift and associated
wavefront bending.)

Transmission through a transparent plate

• Normal incidence

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Complex amplitude transmittance

t ( x, y ) = exp(− jnk 0 d ) (2.4-3)
d
→ The plate introduces a phase shift nk 0 d = 2π
λ

• Oblique incidence
t ( x, y ) = exp[− jnk 0 (d cos θ1 + x sin θ1 )]

Thin transparent plate of varying thickness

Transmittance = (Transmittance in air) × (Transmittance in plate)
t ( x, y ) = exp[− jk 0 (d 0 − d ( x, y ) )]exp[− jnk0 d ( x, y )]
(2.4-4)
= exp(− jk 0 d 0 ) exp[− j (n − 1)k0 d ( x, y )]

Thin lens
Utilizing Eq. (2.4-4) results in
ª x2 + y2 º
t ( x, y ) = h0 exp « jk 0 (2.4-6)
¬ 2 f »¼
where h0 = exp(− jnk0 d 0 ) : constant phase factor
R
f = : focus length of the lens
n −1

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Diffraction grating
An optical component periodically modulates the phase or the amplitude of the
incident wave. It can be made of a transparent plate with periodically varying
thickness or periodically graded refractive index.

The diffraction grating shown above converts an incident plane wave of

wavelength λ << Λ , traveling at a small angle θ i with respect to the z axis, into
several plane waves at small angles
λ
θ q = θi + q (2.4-9)
Λ
with the z axis.
q = 0, ±1, ±2, … : diffraction order
In general, without paraxial approximation
λ
sin θ q = sin θ i + q (2.4-10)
Λ

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C. Graded-index Optical Components

Instead of varying thickness, varying refractive index.
Varying thickness: t ( x, y ) = exp[− jn0 k 0 d ( x, y )]
Varying refractive index: t ( x, y ) = exp[− jn( x, y )k0 d 0 ] (2.4-11)

2.5 Interference
Linearity of the wave equation → Superposition of the wavefunctions
But not superposition of the optical intensity because of interference.
(Consider waves of the same frequency in this section.)

A. Interference of Two Waves

* * *
U (r ) = U1 (r ) + U 2 (r )
U 1 ≡ I1 e jϕ , U 2 ≡ I 2 e jϕ
1 2

Intensity interference equation:

2
I = U = I1 + I 2 + 2 I1 I 2 cos ϕ
(2.5-4,5)
ϕ ≡ ϕ 2 − ϕ1

Spatial redistribution of optical intensity. Power conservation still holds.

Interferometer
Waves superimpose with delay d → ϕ = 2π (d λ )

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  d 
I = 2 I 0 1 + cos 2π  (2.5-6)
  λ 

Three important examples of intereferometers: Mach-Zehnder interferometer,

Michelson interferometer, Sagnac interferometer.

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d nd nfd
Intensity I is a very sensitive function of ϕ = 2π = 2π = 2π
λ λ0 c0
→ Can measure small variation of d, n, λ0, or f

Interference of two oblique plane waves

U 1 = I 0 exp(− jkz )
U 2 = I 0 exp[− jk ( z cos θ + x sin θ )]
At z = 0, ϕ = kx sin θ ,
→ I = 2 I 0 [1 + cos(kx sin θ )] (2.5-7)
Period of interference pattern Λ = λ
sin θ

B. Multiple-wave Interference
M waves of equal amplitude and equal phase difference
U m = I 0 exp[ j (m − 1)ϕ ], m = 1, 2, ..., M (2.5-9)
M
U = ∑U m
m =1

2 sin 2 (Mϕ 2 )
I = U = I0 (2.5-10)
sin 2 (ϕ 2 )
In the graph of I as a function of ϕ , the number of minor peaks between the main
peaks = (M - 1).

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Infinite number of waves of progressively smaller amplitudes and equal phase

difference
U m = I 0 r ( m−1) e j ( m−1)ϕ , m = 1, 2, 3, ...
r <1
∞ I0
U = ∑U m = (2.5-13)
m =1 1 − re jϕ
2 I max
I=U = (2.5-15)
1 + (2F π ) sin 2 (ϕ / 2 )
2

I0
where I max ≡ (2.5-16)
(1 − r ) 2
π r
F ≡ : Finesse (2.5-17)
1− r

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When r approaches 1, I max can be very large! → Principle of optical resonators,

lasers.
• Physical meaning of F
Consider values of ϕ near the ϕ = 0 resonance peak
I max
I≈ (2.5-18)
1 + (F π ) ϕ 2
2

Full width at half maximum (FWHM)

2π
∆ϕ = (2.5-19)
F
→ Finesse is a measure of the sharpness of the interference function.

2.6 Polychromatic Light

Can be expressed as the sum of monochromatic waves over frequency.

The pulsed plane wave

* 1 ∞
U (r , t ) = ∫ Aω e − jkz e jωt dω
2π 0
(2.6-8,9)
z
= a (t − )
c
∞
1
a (t ) = ∫ Aω e jωt dω (2.6-10)
2π 0
is a function with arbitrary shape

If a (t ) is of finite duration σ t in time →

Pulse width in space = cσ t

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Pulse width in frequency domain (spectral bandwidth) depends on pulse shape, see
Appendix A.
E.g., for Gaussian function in space, its Fourier transform is still Gaussian in
1
frequency domain. σ t = 1 ps, cσ t = 0.3 mm, σ f = = 80 GHz.
4πσ t

Interference (beating) between two monochromatic waves

U (t ) = I1 e j 2πf t + I 2 e j 2πf t
1 2
(2.6-11)

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Utilizing the interference equation (2.5-4),

I = U = I1 + I 2 + 2 I1 I 2 cos[2π ( f1 − f 2 )t ]
2
(2.6-12)
f1 − f 2 ≡ Beat frequency

Interference of M monochromatic waves

Consider an odd number M = 2L + 1 waves, each with intensity I0 and frequencies
f q = f 0 + qf F , q = -L, …, 0, … L
centered about f 0 and spaced by f F << f 0 .
L
U (t ) = I 0 ∑ exp[ j 2π ( f 0 + qf F )t ] (2.6-13)
q =− L

Utilizing Eq. (2.5-10),

2 sin 2 (Mπt TF )
I = U = I0 (2.6-14)
sin 2 (πt TF )
→ A periodic sequence of pulses with period TF ≡ 1 / f F , peak intensity M 2 I 0 .

Application: Mode-locked laser for generating short laser pulses.

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