2B 1D First-Order Optical Systems The Ray-Transfer Matrix

2 1D First-Order Optical Systems: The Ray-Transfer Matrix
2.1
Introduction
We apply the strategy devised in Chapter 1 to construct the optical matrices, describing the propagation of light rays through linear stigmatic and simple astigmatic optical systems. The basic tools of the strategy arc the optical Hamiltonian H(q.~, %,px,py, z) and the associated Hamilton's equations for the evolution of the light ray as propagating through the system a,long the optica,1 z axis. The system is described by the refra, ctive index function n(q,, qy, z), as the ray is described by the canonically conjugate va,riables (qx, %) and (p:~,py), specifying the cartesian coordinates and the direction cosines of the ray at its crossing point with the reference screen transversal to the optical axis. More precisely, the optical momenta, (px, Py) are the direction cosines of the ray scaled by the local va.lue of the refractive index. The Cartesian space spanned by the ray position and m o m e n t u m coordinates is the geometrical optical phase space. The ray is represented by points in the 4D optical phase space a,nd accordingly the ray path in rea,1 space corresponds to a trajectory of the ray representative point in phase space [1]. The optical Hamiltonian has the peculiar form of the square-root flmction H(q, p, z) = -v/n2(q, z) - p2, having some resemblance to that of a relativistic particle. The associated Lie operator k , ( q , p, z), obtained from H by Poisson bracket: L/~ - {-, H}, rules the evolution of the ray variables q(z) and p(z), as functions of the propagation parameter z, according to Hamilton's equations
d (;((z)) _ -~u(q,p,z)(q(z)'~
(2.11)
9
zi denoting the axial position where the ray coordinates are known; q and p here are handy abbreviations of (q,, qy) and (px, py), respectively.
60
Linear Ray and Wave Optics in Phase Space
In particular, if p r o p a g a t i o n in the close proximity of the a,xis is concerned, the optical H a m i l t o n | a n simplifies into the form y-~ - n(q ' z) ' resembling the 2n H a m i l t o n i a n of a non relativistic particle moving under the potential -n(q, z) [2]. T h e opt|ca,1 momenta, p:r and py come to be directly linked to the inclination angles of the ray in x and y directions. In addition, as the refractive index is a sm()ot,}~ flm(:tion of st)a,(:e, it may be des(:ril)e(t by a, qua(Ira|i(: fllnct, i(m of the ray ('()()r(lina.t(;s (q:r,%) ()v(;r t,l~(; t)(;rt, i~(;~lt, sIlm,ll i'(;gi()ii a.(:ross t,l~(; axis. The Hamilt()nian fim(:t,i()n l)c(:()mcs then (t~m,(tra.|,i(: in |)()t,h q a,t~(l p (:()or(tinat, cs, t,h~ls yi('l(li~lg t,lw liIwa,riz('(l f()r~11 ()f Ha,~filI,o~ e(l~mti()~s (2.1.1) as
where 1,11eray-t)a,I-a,lllel,er i~l(let)(;Ii(h;ld, llm,l,rix H ( z ) is ()t)l,a,iIm(1 fl'()111 t,ll(' Ita,nfilt,()nia.n H(q, p, z) I)y I)()iss()ll I)rat:k('l, illg wil,ll tim <:()njllgat(' wtria,1)h,s q a,n(1 p. A(:c()r(lingly l,lm l)r()l)aga,t,i()ll lllallift;sl,s as a, S(;(llW,llCe ()f lilmar trmlsfornmt, i()ns ()f the ray va.riat)h;s t'r()lli tile ilfil,ial wdlms (qi,Pi), as il, is s~tita.|)ly ext)resse(1 t)y 1,11(' (:(nlt:is(' llla,l,rix f()rIll r 1,11<;i11|)111,-()111,1)11|, rt;lati,)~Mlil)
p,,]
\p,i
Tll(' ray wtrial)h,s (hi tll(' assiglle(1 illt)ld, ml(l ()llt,t)llt, t)la.lleS, (l('lilllit, illg the system a,t t)ositi(ms z,i a.ll(l zo ah)llg the ()l)t,i(:a,1 axis, arc r(;lat(;(1 ]~y I,h(; 4 4 raytra,llsfer 11m.t,rix M(zo, zi), wlli(:ll is the llm.t,llellm, t,i('a,1 re(:it)ield, f()r t,lle ot)ti(:al featm'es of the sysl,(;lli an(1 h(;llt:(; fin" its rest)(nlse t,o the ill(:()lllillg illlulfination. Th(' ()t)ti(:al 11m,t,rix is tll(, ('xlmllstiv(; (t('st:rit)t()r ()f ray t)r()t)agati()~l in geolneti'i(:al first-()r(h;r ()t)ti(:s, sill(:(; its st)(;('~ifi(:ati()n t)r()vi(h;s a (:()lilt)l('|(; a.(:count of the ingoi~lg-l,()-()ld, g()iIlg ray l,ra,ilsformat, i()ll ()l)ei'ate(t t)y t,ll(; ()t)I,i(:a,1 system. As discussed in w 1.7.;t, the ret)resentative Ha,re|It, o n | a n m a t r i x H ( z ) and the ray transfer m a t r i x M(z, zi) arc closely linke(t, the flmctiona,1 f()rlllS of the entries of M |)eing (tetermin(,(t |)y the flln('l,i(mal forms of those of H. In the particular case that the Hamiltonia, n flmction does not d e p e n d explicitly on the axia,1 p a r a m e t e r z, the ray-transfer m a t r i x M(zo, Zi) is simply obtained by e x p o n e n t i a t i n g the consta,nt m a t r i x H t h r o u g h the axial dista,nce Zo- zi between the re%rence e n t r a n c e a,nd exit pla,nes as
M(zo, zi)
- e I-I (Zo-Z,:).
(2.1.4)
Additional simplifications are attained when the propagation occurs through stigmatic or simple astigmatic systems. In the first case, the system is circularly symmetric about the optical axis; then, if the input ray lies on one of the infinite symmetry planes through the axis, we may track only two of the four
1D First-Order Optical Systems: The Ray- Transfer Matrix
61
Single-particle description
conveyed by the canonica|ty conjusate variabtes q(c) and p(c) through Ham i[ton's equations
C l a s s i c a l Mechanics
G e o m e t r i c a l Optics
Ensemble statistical description

conveyed by the phase-space density distribution p(q,p;z) through Liouvitte's equation
F I G U R E 2.1. Exemplificative scheme of the single-particle and ensemble descriptions of a classical dynamical system, e.g. a point particle, which are mirrored into the geometrical-optics approach to light propagation in terms of the single-ray variables q(z), p(z) and the ray-bundle density p(q, p; z) in phase space.
ray parameters, following tile ray path in that plane, where the propagating ray keeps on lying. The problem becomes one-dimensional, as the motion of the ray representative point takes place in a 2D subspace of the 4D optical phase space, and accordingly H and M come to be 2 x 2 matrices. Likewise, tile propagation through simple astigmatic systems, which arc symmetric about two orthogonal planes intersecting the optical axis, can be accounted for by 2 x 2 matrices, being the motion in the optical phase space decomposable into two independent motions in tile two 2D subspaces. We will liInit our discussion to first-order stigmatic and simple astigmatic optical systems, which, being describable within the 1D model, will shortly be referred to as 1D systems. The conceptual path, developed in Chapter 1 and briefly synthesized here, pertains to tile single-ray picture of light propagation. Evidently within tile ray-picture of geometrical optics a light distribution may be seen as an ensemble of uncorrelated rays. As noted in w 1.2, account of the propagation of the light distribution by integration of Hamilton's equations for each ray in the ensemblc is, of course, impracticable. An alternative strategy must be envisaged. We may presumably guess that, as the single-ray description of light propagation parallels the Hamiltonian formulation of the single particle dynamics, thus a ray-ensemble description might be elaborated paralleling the statistical formulation of the dynamics of an ensemble of particles [3, 4]. In other words, referring to Fig. 2.1, we may say that, as we have delineated the correspondence between classical mechanics and geometrical optics through the upper path, so we delineate here such a correspondence through the lower path. Indeed, Liouville's equation for the phase-space density distribution p(q, p; z) is
62
derived in Sect. 2.2, where are also examined some basic properties of the Lie transformations. The Lie operator I_, and actor(tingly the ray matrix M confirm as the basic tools to describe the light b e a m t)ropagation within the ray-m()(tel of gcometri(:al optics. Some considerations aimed at relating the geometrical and t)hysical interpretations of p (:lose the section. Th(u~, inst)ired t)y th(: flm(:ti(mal f()nn ()f th(: first-()r(t(:r ()t)ti(:s Hamilt()nian, being (t~a(lratic i~l th(: ray varia])h:s, w(: star(, t() (:()~lstr~l(:t the ~m,(,rix ()t)ti(:s, gen(:ra,t(:(t |)y the l ~ 1 l (pm,(h'a,ti(' n~()n()nfia,ls ~t? }q~ a,n(I ~qp, (,I~(: (:()rr(:sl)(m(ling ()l)ti('a,l systems l)eing th(u~ i(tentifi(:(t a.s a, s(:(:ti()n ()f l~()~()g(:n(:()~s n~(:(ti~m~, a refra.(:ti~g surface an(1 a,1~ i(teal ~a,gj~iii(:r, r(:st)e(:tiv(:ly (Se(:t. 2.4). Fiscally, Se(:t. 2.5 ilh~strates the t)l~as(:-st)a,(:e t)i(:(,~r(: ()f tl~(: tra,i~sf()r~m.t,i()~s (:fi'(:('t(:(t t)y tt~(: a,t)()v(: (t~()te(t syst,(:~s ()~ t)()(,l~ a, sil~gl(: ray a,~(1 s()~(: ex(:I~I)lary I)~(ll(:s ()f rays.
h
2.2
Ray-ensembledescription of light propagation
The (:(>llsi(lera.ti()lls <h;w'hq)e<l ill Clml)ter I lla,veClel)ir tile (:<)llCX;l)tlla,l an(| l)ra(:tic:all)r()(:e(lllre fi)r t, lle sillgle-ray tra<:ing, ill fifllmla,h)gy witll (,lleHamilto11ia,ll (lyIm,Illit:s t)f a sillgl(: l)arl, it:le [1]. A sillgh: ray is (h:s('rit)er ill real st)ace |)y t,]i(: f()lu" (:a,~t)~it:a,lly ('.()Itjllga,t(: Z-(l(:I)(:ll(l(:1,t, (:()()r(Iix,a,t(:s (q(z), p(z))a,~(I visually r(:I)r(:s(:ll(,(:(I a,(, a,lly z ])y a, llm,(,lml~m,ti(:al I)()i~(, i~ tl~(: g(:()~(:tri(:al-ol)ti(:al I)ha.s(: sl)a,(:(:. TI~(: ray I)a,(,l~ i~ I)hysi(:a,l sl)a,(:(: (:()rr(:sl)()~(Is (,() a, (,ra,je('(,()ry of the relativ(: rel)res(:~d,a,(,iv(: l)()i~d, in l)ha,s(: sl)a,(:e. Tim I)()sit,i(m a,~(I (lire(:(,i()i~ coordi~m,t(:s ()f (,I~(: ray l)r()vi(h: a,~ "i~(livi(l~a,l" (:Im,ra,(:(,(:riza,ti()~; (,Imir (:v()h~(,i()~, and a,(:(:or(li~gly th(: I)}m,s(.'-sl)a,(:(: t,ra,je(:t()ry ()f th(: ray, is (:()nq)let(:ly m~(l ~ni(luely define(t t)y Ita,nfiltoI~'S eq~la.tions in (:()rrest)o~(tel~(:(: with the st)e(:ified input data. S~mh a (h:s('ril)tion is no longer viable wh(u~ (h:aling with a,n ensemble ()f rays. We ~(:(:(t ithud, ify a,I)I)rt)I)ria,(,(: I)ara,nm(,t:rs (,() I)r()vi(te a, "glt)l)a,l" chara,cteriza.tion ()f the ray-(:ns(:lnl)le, m~(t then ela,t)()rat(: th(: r(:leva,~t evolution equations to a,(:(:()uI~t for the t)ropaga, tioI~ of the ray-|)un(tle. Evidently, withi~ the ray t)icture ()f geom(:trical ot)tics, a light t)(:a,n~ may be des(:ribed as a, c()lh:(:tion of rays. It covers a certain area on the refer(:l~ce screen and (:(retains rays throughout a certain range of inclination angles. Hence, it may t)e vis~mlly ret)resente(t in the 4D optical phase space by a certain finite volume 12; each point in the volume V is representative of a ray in the bundle. If the bundle propagates through an optical system, the phase-space vohlme, originally occupied by the rays, changes its shape and moves through phase space. Thus, instead of following the motion of every single ray in the bundle, we may observe the motion of the pertinent phase-space volume. Paralleling the methods of statistical mechanics [4], we introduce the phase space flmction p(q, p; z), specifying the density of representative points through phase space. Precisely, p(q, p; z) is defined in such a way that, at any axial
63
1-[ i
I I I
1-I
I I
i
I
............. i, i
qi
'
I
i I
i
I
t
(a)
"4
i F
I
%'%'%w%% *%.%
"~*". ".~.
.
= (q,.,o)
i
i
i i
I
po =(o,- 7)
qi
(b)
l--l o
I
I-I i
I
i i
. . . . . . . . . .
i i
r,.:_.~. -
.40
q
(c)
(d)
F I G U R E 2.2. Naive view of tile phase-plane transformation of tile representative point of a single ray and the representative region of a ray-bundle, effected by an optical system. (a) A ray propagates to tile back focal point of a positive lens and (b) tile corresponding representative point in the phase plane "moves" from Pi to Po. Likewise, (c) a beam of parallel rays is focused to the lens back focus and (d) the corresponding representative segment P1P2, lying on the q-axis, changes to the segment PAP4, lying on the p-axis.
position z, the number of representative points dN'(q, p; z) in the volume element dqdp around the point (q,p) in phase space is given by the product dN'(q, p; z) = p(q, p; z)dqdp. Clearly, p(q, p; z) takes on values throughout the beam volume 12 in phase space, and vanishes outside )2. As an example, we may refer to the simple situations illustrated in Fig. 2.2, inspired by [a.,]. A paraxial ray, incoming parallel to the optical axis of a focusing lens, is deviated to pass through the lens back focus F' (Fig. 2.2.a)). The input-ray representative point Pi, that lies on the q-axis of the phase plane, "moves" to the output-ray representative point Po, that in contrast lies on the p-axis (Fig. 2.2.b)). Correspondingly, a beam of parallel rays hinging on the lens is focussed to a spot in the back focus. The incoming beam is represented in the phase plane by a segment, lying on the q-axis, of extension
64
equal to the spatial width 2w of the beam (Fig. 2.2.c)). Likewise the fan of the focussed rays passing t h r o u g h F' identifies a segment, lying on the p-axis, of extension 2~ (Fig. 2.2.(t)). It is evident that the region in the opti(:al phase plane representing the b e a m inoved and changed its shat)e; actually, in the simple (:as('. ()f the 1D model t)ertaining to Fig. 2.2, only the extensi(m of the zero-area, t)ha,se-t)lane region has been affc(:ted by the lcils f(l(:llsillg effect. Tile (tensity (if rcI)resentative t)(lillts i~l t)ha,se t)lan(' (',haIlgc(t as well. It is thcr(;flir~; na.tllral t() i]l(tuire whether it, is l){issitfle t~l cllvisa,gc, a, law for t,h~; ewllllti~m ~lf tll~', lflm.s~'~-sI)a,(:~; (lensity fl(q, p; z), (hi a.(:('tnnd, (if tha,t the evohlti~m ~f every singl(; ray ~/f t,ll(; CllS(;nfl/lt; is gt~W;nl('~l ]ly Ha,llfilt~nl's ('(tlla,tions. W~'~ will fimt that a.ll "ev(flllt, i~nf' e(tlm,tion fi~r p(q,p; z) (:a.~l t)(' written (t()wll, ml(l zl(ita,llly ill a, [()1"111 strictly simila,r t,() Ilmllilt(nl'S C(llm,ti(/l~s flir the ra,y (:()()r(lilmtes. M(ir(;(iV(;l', we will sec l,l~a.t l,lle t)lm.se sIla,(:e (le~sity p(q, p; z) is ev(/lv(;(l lw tl~e ray l,ral~sf(;r ()t)cra,l,t/r ()r, wl~e~ 1,l~(; li~l(;ar al)t)rt)xi~m.l, itm is concenm(l, 1)y the ray tra, l~sfer ~m.trix a,~ld tln~s we will rega, il~ tl~e sil~gle-ra,y t)i(:t~lre as l)asi(: t,(/l,l~(; ray-e~|s(;~fl)l(: I)i('.t,~r(; a,s well. Tl~e (lis('~ssi(n~ l)r(;se~t,e(t in tt~(; ~(;xt, Imragra,tfl~s lm,si(:ally l)aralMs t,lle (l(;riw~,ti(/l~ (if I,i(l~vilh;'s tlle()l'elll in statisti('al ~e('lm,~i(:s [:~, 41. l)lm,se-Sl)a,(,.e t)a,se(t I~etl~o(ts are (ir(li~a.l'y tools in ~a.g~(;ti(: (lliti(:s. I~(1(;(;(1, as is w(;ll k~()Wl~, tl~(; <:l~art4(;(l-t)(;m~ ,ll)ti(:s ~a,~fifests a, cl()s(; mml(igy witl~ tl~(; (tI)ti('s (if ligl~t rays. S~('I~ m~ mml(igy will fl'(;(l~uu~tly |)e cmt)l~asizc(l l,l~ro~gl~ tl~c 1)(l(ik, (;v(;~l l,llough ~lot Sl)C(:ifica,lly m~alysc(l; i~ this c(mne(:tio1~, wc sl~gg(;st s(n~(; tith;s ill [3]. Bef()r(; g()i~g (Ill, WC IltIl,(; t,t~a.t Figs. 2.t)) a,n(t 2.(t) mlti('.itm.t(; ill a, s(;~ls(; s()ine a,st)c(:l,s of l,h(; f()rl,l~(:(n~fillg (lis(:~ssi(n~. Ill fa(:t, hyI)(itheti('a,1 l,raj(;(:t(iries have |)(;en tra.('.e(l i~l the tigllI'e for l,l~e I'et)resentative t)oinl,s to (:arry t,l~(; i~fitia.1 point or region t(i the final t)oint (it regi(m. Thus, the t)a,ssage thro~@~ the lens is pictur(~'(t a,s a q-(:OllSta,llt tm,th (:(/mle(:ting tile zer(~-moment~ml t)(lints representiIlg tile ilmonfi1~g rays t() the ll()llzero-Ill()Illelltlllll points ret)resc~ting tile exiting rays. In a, like ma,nner, the propagation from tile lens t(i the ])a,(:k focal point is gra,t)tfi(:a,lly (let)i(:te(t a,s a, p-(:onstant t)ath to carry the ret)resentative points of ttl('~ redirected rays to the zero off-axis dist)laceme~lt t)oints on tile p-axis. S~u:h gra,phi(: views of tile quoted transformations (tra,nsfer by a, lens and prot)agation t h r o u g h a homogeneous medium) will be justified by the later considerations (Sects. 2.4 a,nd 2.5). We will see t h a t the prot)agation through a homogeneous m e d i u m can be depicted as a c o n t i n u u m horizontal segment (a q-shear), signifying indeed a continuous t r a n s f o r m a t i o n of the ray coordinate. In contrast, the passage through a lens produces a discontinuity of the ray direction, due to the redaction at the shaping surfaces of the lens at which the refractive index function abruptly changes from one side to the other. A continuous path picture of the redaction is a convenient, even though not strictly correct, visualization of the process, which thus is viewed as a p-shear.
1D First-Order Optical Systems: The Ray-Transfer Matrix
65
2.2.1
Liouville 's equation for the ray-ensemble
We consider the variation of the density function p(q, p; z) with the propagation variable z. It is mathematically given by the total derivative of p(q, p; z) with respect to z, namely
d 0 Op dq Op dp dzp(q, p; z) - -~zp(q, p; z) + Oq dz ~ Op dz'
(2.2.1)
which, of course, displays contributions from both the explicit and implicit dependence on z, manifested respectively through the partial derivative Op/Oz and the derivative-chain terms, involving the ray coordinates q and p (a). For brevity, we use again the abbreviation (q, p) for (qx, qy, px, py). Replacing for dq/dz and dp/dz the respective expressions from Hamilton's equations, the chain-like terms simplify into the Poisson bracket of p and H:
Op dq
Oq
Op dp O;
Op OH
Oq Op
Op OH Op Oq = {p' H},
(2.2.2)
by which the equation for p(q, p; z) follows in the concise form
d p-
p(q, p;
{p, H}.
(2.2.3)
In general the z-evolution of any dynamicM v~riablc pertinent to a system, whose dynamics is governed by Hamilton-like equa, tions of evolution, occurs according to Eq. (2.2.3). On account of the physicM meaning of p(q, p; z), we can further specify its variation with z. In fact, we may observe that the total number of representative points in phase space remains constant, even though the shape of the region containing them may presumably change as a consequence of the individual motions of the enclosed points. In particular, let us consider a fixed volume )2 in phase space and denote by S the closed surface delimiting it. The number of ray-representative points inside ]2 at a certain z is obtained integrating the density p(q, p; z) over the volume itself, namely
.N" v (z) - Iv p(q' p; z)dV.
(2.2.4)
Evidently, N"v (z) depends on 12 and z. Being 12 fixed, N"v (z) changes only with z, due to the motion of the representative points reflecting the propagation of the corresponding rays in the beam. As no rays are created or destroyed,
a The derivative ~ yields the z-derivative of p(q, p; z) in a frame moving with the point (q, p) in phase space. In contrast, o yields the z-derivative of p(q, p; z) in a fixed frame.
66
the net rate at which A/" v (z) varies ~ (~Z must equal the net rate of points crossing the boundary surface S. So we write
Oz
v(z) - -.
p u . nd$.
(2.2.5)
tim sm'fa(:c illtegral I'(~I)r('~s(mting the rat(; at whi(:h I)()ints (:ross tim sllrfa,(:e S ()lltwa,r(1. In fa('.t, in (:()lff()l'mity with the stan(tar(| (:()liventi()ns, n is the (),,twa,r(1-(h'awn unit n()rmal t,()tl,(; s,,rfa,(:e (;h;m(;nt dS, a.,,(1 u = (dq/dz, d p / d z ) T is the vclo(:ity vc(:tor in t)ha.s(; st)a.('(~, st)(x:ifying t,h(; rat(; 1)y whi(:h the ray a,t tl~e t)lm.se st)a.('c t)()i~t (q, p) ~()v(,s t() tt~(; t)()i~t (q + dq, p + dp). Tl~c mimes sigIl a,(:('olmts for tllc fa,('t tlmt, if t)()ints lea,re th(~ v()hl~(~ )2, Afv (l(x'rca,scs. A('(:or(ti~g to Gm~ss' (liv('.I'g(;~l(:c tlm()rc~ [5], tlm s~lrfa.(:c i~tcgra.1 ~lay bc t~lr~lc(t il~t,() t,h(~ v()hn~l(~ ixit,(~gral a,s
.Is t' u . n d S -
jv V . (p U ) d r ,
(2.2.(~)
whcr(, V-( )(l(~n()t(~s tln~ (liv(,rg(,,,(:(, (,l)(,rat, i()~, an(11,(,n(:c V. ( ) = O/Oq+O/Op. Illt(~restingly w(; fill(l
i) dq 0 dp X7. (p U ) -- ,-7- (P-;-) + ,-:7-(P-;-) - {P, II }. oq az op az
(2.2.7)
By ~sc of ('xl)rcssi(),~ (2.2..1), givi,~g N"v as t.l~e v()l,n,~,: i,~t('gx'al ,,f p, a,~,l (2.2.6) in (2.2.5), w(~ cn(t 11t) wittl
{~p+
v.(pu
)} ~tv - ().
(2.2.s)
whi(:h, being the volmnc 12 arl)itra.rily ('h()s(m, yiehts tllc ('ontimfity equation f()r the t)ha.s(;-st)a(:(' (h;ilsity fl(q, p; z) a.s
o p + v. (p.)
- o.
(2.2.9)
Moreover, using the at)()ve relation into Eq. (2.2 9 3) for tile derivative dp on dz ~ a.(:count of (2.2.7), we find that the continuity equation is equivalent to
dzp-
o.
(2.2.1o)
Equation (2.2.10) is tlle desired equation for the z-evolution of the phasespace density p(q, p; z). We rewrite it in the convenient form
Oz p -- - { p , H} - --kHP ,
(2.2.11)
67
with the initial d a t a being conveyed through p(q,p; zi) - pi(q,p). We refer to (2.2.11) as Liouville's equation for the ray-ensemble, as it directly follows by Liouville theorem (2.2.10). It is evident its similarity to Hamilton's equations (2.1.1) for the light ray. Evidently, as the phase-space vector u ( z ) = ( q ( z ) , p ( z ) ) r may be regarded as the descriptor of the single ray, the phase space density p(q,p, z) may be ragarded as the descriptor of the ray-bundle. It is of value that the z-evolution of both u and p is essentially governed by the Lie operator LH, even though with opposite signs due to the invariance of p(q, p, z) along the ray path, on which we will comment later. As a conclusion, we may say that Hamiltonian optics deals with evolution equations of the type
t-.
0 ~0---~v - ?/v,
(2.2.12)
where ~ may denote the phase-space vector (q(z),p(z)) r or the.. phase-space density p(q, p; z) and accordingly tile operator ?-t comes to be ?-t - +L H. The formal similarity of Eq. (2.2.11) to (2.1.1) makes evident that the considerations we developed in w 1.4.1 about the integration of (2.1.1) apply to the integration of (2.2.11) as well. The crucial point of those considerations was concerned with the operator nature of k H and its possible dependence on the a,xial parameter z. We found that the simplest case pertains to a zindependent Hamiltonian, in which case the solution to (2.2.11) takes the form
p(q, p; z) - c -(z-z~) k, p(q, p; zi),
(2.2.13)
where p(q, p; zi) denotes the phase-space density of the beam at the input reference screen. Expression (2.2.13) reflects the same view as Eq. (1.4.4); thus, the phase-space density p(q,p; z) at z originates from the assigned function
p(q, p; zi) at the input zi-plane by way of the Lie transformation c -(z-z~) kH. In Section 1.4 we considered Lie transformations acting directly on the ray variables (q, p), and, as specific examples in w 1.5.2 we described the Lie transforinations generated by quadratic fimctions of q and p. Here, the Lie transformation acts on the phase-space density p(q,p; z), which is a function of q and p. To see what happens we need to use some properties of the Lie transformations, on which we will briefly comment in the next paragraph. Firstly we will elaborate a geometrical and physical interpretation of Eq. (2.2.10). Geometry and Physics related with L iouville's theorem
Equation (2.2.10) shows that the density of phase space points does not change by propagation of the b e a m through the optical medium. As d/dz represents the "mobile" derivative, we can give (2.2.10) a nice pictorial view in phase space. Suppose to individualize a "point" P = (q, p) in phase-space, i.e., a ray,
68
3/,,
F I G U R E 2.3. Tl~c I)lu~sC-Sl)aCc rcgio~ (stuulc(l arc~us) occ~pic(t 1)y tl~c ~ssc,nl)ly of the ray-1)~u~(tlc rcI)rcsc~tativc l)oi~d,s clmx~gcs as t,lie 1)emli I)rocccr alo~lg tlic z axis, lnd, the rclcvm~t v o h ~ c rc~nai~s (:o~stm~t: ]2i = ]2(z) = 12,,.
by some mark. Let p(P; z i) l)e the t)lm,se st)a,(:e (lensity a,t P for a, (:crtain zi. Tlle t)oint P ~les(:ril)es a traje(:t()ry ill I)lla.se sI)a,(:e witli i~l('reasillg z > zi. For ea,(:h z > z,i w(; (:all (',wdlla,t(; 1,11('~(l('~llsity p(P; Z) at P, lll()villg witll it, a h)llt4 its own t)ath. W('~ till(t tlmt it (l()(;s 11()1,(:lla.~lg(;, i.e., p(P; z) = p(I'; z~) V z > zi. T h e nl()ti()ll ()f tll('~ ra,y-('~lls('nfl)l(,~ r('l)l'(;s('~ld,ativ('~ 1)()ild,s ill t)lms(' sl)a(:(; is 1,11(~11lik(; ttm,t ()f a,I1 ill('(nllI)r(;ssit)l('~ tllli(l ill l'cal Slm(:e. Ill ()tiler w()r(ls, p(q, p; z) t)clmves like a "t)r()t)(;rty" ()f th(; t)()illl, in t)llas(; sI)a,(:(;, ml(t a,(:(:()I'(tiligly it, is tra,nst)oI'tt;d t)y the t)()ilit, a,l(nig its ()w~l traje(:t()ry wll(;~l it, is r(;t)r(;se~lta,tiv(; ()f a ligtit ray. Tl~c i~va,riml(:(' of 1,11(;1)llasc-st)a,('.(; (lc~lsity p(q, p; z) inlt)lics 1,11(;i~ma,l'ian(:(; of the t)ha,s(;-st)a(:(; v()l~tnle 12 ()f 1,11(;regi()ll (m(:lt)sillg tim ray-l)~ultlle r(,.t)i'escnta,tiv(; t)()ints. In fi~.(:t, s~t)t)()st; t() s(;l('(:t at a (:(;rtah~ z = zi a ('(;rt, ai~ ~nmfl)(;r ()f ret)rescntative I)oix~ts aroml(t a (:hose~ t)()int,, througtl wlli(:ll tllc (l(;~lsity takes ()I1 t h e COllStallt va,l~lc Pi. Let Ni l)(; the volcanic cn(:l()sing the (:h()s(;n t)oints. T h e tota,1 Inlnfl)(;r ()f t)oi~lts in Ni evi(lt;~ltly is
Ni = piN,:.
(2.2.14)
Following the points as t h e y move t h r o u g h t)ha,sc-spacc, we see tha,t the boundaries of the enclosing volmne change with z > zi, but by definition the total n u m b e r of points contained inside it does not va,ry: N(z) = Ni. Also, the density of points keeps on the value p ( z ) = Pi by virtue of (2.2.10). Thus, for any z > zi we can write
=
which by comparison with (2.2.14) immediately leads to V(z) = V i . (2.2.16)
The volume enclosing a fixed n u m b e r of representative points in phase space remains constant in z, although, due to the motion of the enclosed points,
69
its shape may sensibly change. So, the total phase-space vohlme 12 of tile beam remains constant in z, regardless of the motion of each ray and the corresponding motion of the representative points through phase space: 12o V(z) = lPi (Fig. 2.3). This result is rather intuitive if we think of a flowing "fluid". If tile total quantity of fluid and the density of the fluid do not change through the motion, the volume occupied by the fluid remains constant as well, even though it may deform significantly during the fluid's flow. The invariance of the phase space volume applies obviously also to the volume elements dip 's: d12o = d~)i along any ray path. In w 2.4 we will elaborate a geometrical interpretation of the volume element dV and its invariance along the ray path in connection with the conceptual definition of the intuitive perception of the elementary bundle of rays. Finally, we note that the ray transformation from the phase-space point P~(q~,p~) to the point Po(qo, po) is accompanied by a transformation of the phase-space volume elements from dl)i to dl2o (b). We known that if S denotes the Jacobian matrix associated with the transformation P i --+ P o (see w 1.3.1), the relevant volumes dl)i and dl)o are linked by the determinant of S as dl2o det S dlPi. The invariance of the volume elements under ray propagation implies therefore that det S = 1, thus solving between the two possibilities offered by Eq. (1.3.13) for the determinant of the symplectic matrix associated with the ray transfer. Viceversa, the unimodularity of the symplectic Jacobian matrix associated with the ray transformation implies the invariance of the phase space volume. This offers a clear geometrical interpretatioil of the syInplectic nature of ray propagation, signifying that elementary volumes along the ray path in phase-space remain constant. Evidently, areas play the role as volumes within a 1D picture, we are mainly concerned with (see w 1.7.4). 2.2.2
Basics of Lie transformations
As noted in w 1.3.2, given a dynamical variable f(q, p) we can generate the Lie operator k s by Poisson bracket operation" kf - {-, f}, and the Lie transformation TI by computing the power series" Ts (~) -- ~
tcx~ ~j Aj
_ _
(2.2.17)
-~. Ls
e~f
~ e R,
(2.2.18)
j=O
In the present discussion the concept of volume in phase space has been left on the same intuitive footing as t h a t in physical space. Actually, phase space is a m a t h e m a t i c a l space in which indeed the infinitesimal volume is defined in t e r m s of the linear a n t i s y m m e t r i c nondegenerate 2n-form, and finite volume are accordingly obtained from it by integration over the domain of interest. For an accurate analysis the reader is directed to [3.3].
70

A
where ~ is a real p a r a m e t e r and the j - t h power of Lf is obviously Aj L/ {{{..{-,f}..}, f}, f}. (2.2.19)
j times
As evidenced |)y the cxponc~I~tia,1 nota,tion on tile right-ha,nd side of (2.2.18), the power series is n o t h i n g trot tile cxt)()~lcnl, ia,1 flm('.tion of tile ot)crator ( k f . Evi(h;,~tly, 'Y/(())is t,h('~ i(]cld, il,y ()t)('~ra,t()l': "Y/(()) - I [6]. Lie tra,nsf()rmatio~ls ha,v(; ninny i~lI,(;r(;sting a,n(] ~s(;fl~l t)r()l)crl, i(;s, whi(:h dire(:t, ly follow K()~ t,t~(; t)rot)eI'ties of t,l~c Li(; ()t)cra, t,ors a,~(l t11(; cxt)()~m1~tiation. We shall ll()I, give a. (tct, aih,(t a.t:(:()ll~d, ()f a,ll tim t)r()t)(;rt, i(;s ()f 1,1~(;Li('~ tra,lisforlna,tio~s, for wlfi(:t~ tim r('a(h,r is (lirc(:t(;(l t,() [(;], t)~I, slm.ll ( ' ( ) ~ ( , ~ t , ill Im,rti(:ula,r ()~l I,h()s(; l,hal, arc ~s(;fifl l,() ga.iIl insight int() t,tl(; })(;tmvi()~r ()f l,h('~ l)lms(;-st)a,ce (hqlsity fl(q,p; z) tl~r()~gl~ E(t. (2.2.13). Wc ('l~t)lm,sizc tim, I, I,l~(; ~ml, l~('~m,tica.1 setti~g }1()I'(~ is ~()l, t)r()I)erly (:()~t)h;t(;; (t~mst, i()l~s r(;h;va,~d,, f()r i~sl, m~(:('~, t() tile a lm,lyti(:ity ()r t,lm ra,(Ii~s ()f (:()llV(;l'~(;ll(:O ()f l,ll(; t)()wcr s(;I'io,s (;Xl)m~si()I~S ()r of ()t)era.l,()r i(h;ntiti('s, we will ]~(' (:()l~(x,rll(;(l wit, l~, will n()t 1)(; aI)t)roa.(:tm(t. 77w. trl'od'm~t tnY;.se'l"tTatimt, tn'ope'l'ty We t)r()w; tile pt'od'tt,:t p'l','.sr
tio'u p'rope'l'ty, wllic:ll t,lu'()ltgll l,ll(; r(;la,ti()ll
~:<': h.:/ - (,~<': h.) (,.<'::/),
(2.2.20)
sta,t(;s tha.t tll(; I,i(; tra,llsf()nlm,ti()ll a,(:t,illg ()ll t,ll(; l)r()(hlt:t ()f fiU~(:ti()llS l)rotluccs the sa,nl(; r(;slflt a.s the i)r()(111(:t ()f the Lie tra,nsf()rIlm,ti()IlS a,(:ting s(;i)arately (m tlm sillgl(; fin~('t,i(ms ii~ t,h(~ I)r(~(111(:t. 'Fh(',ii, (:()nsi(h~.r tll(; I)r(~(lll('t of two (lyna.~fi(:al wuiaI~l('~s h(q,p) an(l g(q, p) for which the Poiss(m ])ra,('k(;ts with .f(q,p) a,re lll(;a,lliI~gflfl: v(q, p) -- h,(q, p)g(q, p). (2.2.21)
We wish t,o d(;t,('~i'inin(~ the (;flb~c:t (,f the Lie t,ransforma,tion ~ ( 4 ) ( ) I I v(q,p). ()bvi()llsly, w('~ arc fa,(:c(t with tim ('Na,hm,ti()n of rct)eated Poisson |)ra,ckets of f a,nd v. In fact, iIl accord with tim power s('rics rcprcsenta,tion (2.2.18), one has cCLfv(q'P) -- E
j=0
~. LsV(q'P) -- v + C{v, f} + -~-{{v, f}, f } + ...,
(2.2.22)
We recall from w 1.3.2 t h a t the Lie operator acts on the p r o d u c t of fimctions in the similar way as differentiation. Higher powers of the Lie operator satisfy an identity analogous to the Liebniz rule for derivatives, and hence
"LJ / hg - ~ (J~) L/ h L/ g.
l--O
Al
~j--l
(2.2.23)
71
We invite the reader to prove this relation by iteration. With this expression inserted in (2.2.22), we obtain
v -
E
j=0 l=0
C~
(j_~), ,, L~ h L~ g - [ E ~
"
O0 .~.j
hi[
Lr .
"~"
/=0
~"
~-~ (j-l)! Lr
(2.2.24)
z=0
L/
j=0
j! Lcg] - ( ec
h) ( cc
g)
thus proving the desired property (2.2.20). In the second step of (2.2.24), we have made use of the permutation
co j oc oc
j = 0 l=O
EE
EE j=l
l=O
A A
(2.2.25)
Accordingly, the Lie transformation of powers of q and p is

A
eCLcqmp n -- (eCLf q) m (eCLr
n,
(2.2.26)
as can easily be proved by applying repeatedly the rule (2.2.24). We consider now a dynamical variable g(q, p), and suppose that it can be expanded in a power series with respect to the conjugate variables q and p around a, certain point in phase-space, which for brevity we may asssume to be the origin: (q,p)= (0, 0). We write therefore
(X) (X)
~(q,p)- ~ 52g ..... qmp,.

m=0 n=O
A
(2.2.27)
We apply T/(r to (2.2.27) and use the linearity of the Lie transformation to pass the exponential operator to each term of the series. Explicitly, we have
(X) OO
(2.2.28)
m=O n=O
Then, using the product preserving property (2.2.20) to pass tile exponential operator into each variable, we finally obtain (2.2.29)
m--0 n=0
It is evident that we can recompose the function g according to the series

A A
expansion (2.2.27) at the phase-space point (cr162q, CCLr

A A A
namely
eCLf g(q,p) __ g(e r
q,er
p).
(2.2.30)
72
T h e action of a Lie t r a n s f o r m a t i o n on a t)hase-st)ace flmction is then to perform a, Lie t r a n s f o r m a t i o n on its a r g u m e n t s . In other words, the above result establishes a parMlel between the t r a n s f o r m a t i o n experienced by the phasest)a('e ve(:tor u = (q,p)T a,nd tha, t ext)erienced t)y the phase-spa,ce flmction
.q(q, p) = . q ( ~ ) , i.~.,
phase-space vector . . . . . . u ~ ,,~ ~ u v
-
>
phase-space function ~~/(uV) ~ ,.~'~ ~(uV) .q(vV)

-
(2.2.31)
T h e (:()i~l)()siti()l~ I)r()I)crty (2.2.3()) ()f tt~(; I,i(; tra.~sfi)Hlm.ti()~s is ('ss(;~tia,1 for the la.ter (:~llsi(lcra.ti(n~s rcgar(li~g tt~(; ~;v(~l~lt,i()~ (ff tl~c l)l~asc-st)a(:(; (lc~sity.
The t~oi.~so'n-b'racket p'r~:.scrvatio'n p'~'operty
An()thcr re~mrkal)le I)r(~l)crty (~f the Lie. trm~sf()rnmti(n~s is the l~ois,so'n b'~'ack('.t preser't~ing property, wl~i(:l~ i~ a sc~se ret)ro(l~l(:e.s (2.2.2()) witl~ t,l~('. (w(ti~m,l'y t)ro(h~('t h.q i)eing I'et)la~:c(l ])y t,h(; P()iss()~ia.n I)r()(t~('t { h, g}, i.e.,
T h e Lic l,rallSfi)rllm, l,i()ll a,(:l,illg (m 1,11~',P(~iss(~ll l~ra,('k~'~t (~f fllll(:t,i(nlS gives the sa.llw, reslllt as tile t~(~iss~ll })ra,(:k(;t ()f tll~' IAe i,ra.llsfiwllm.l,i()lls a(:l,illg s~'.l)arately ()111;t1(; sillgl(; fllll(:ti()llS i~v(~lv(;(l in. N(;e,(tl(;ss t,() say, t,lw. P()iss()x~ t)ra~:ket t)r(;s(;rw~,tio~ t)r()I)(;rty lms tt~(; sa.~m l)r()()f as (2.2.20), t)(;i~g |)as(;(t ()11 tl~(; I~('~it)~dz rill(; fi)r 1,11(; ldgher t)()w(;rs (ff Lie (~I)(;rat()rs a,(:ting ( ~ a. P(fiss(m t)ra,(:ket: -.j J
I=0
,-/
~j-/
L,{/,,:~} - Z
(~){ L, t,,
:~},
(2.2.aa)
which, pa,ra,llcliilg (2.2.23), follows fronl the deriva, tion-like bchavi()ur of I_/ with rcst)c(:t to tim' Poissoxl t)ra, cket nnlltit)li(:a, tion. Evi(tclltly tllc t)r()t)erty (2.2.32) esta,t)lishcs that every Lic tra, nsformation is symplc(:ti(:. In fa,(:t, the Lic transforma,tion T / ( ( ) gcncra,tes a, ma,pping which takes the (:onjuga,te variables q and p to the new variables ~ and 7) a,s
A
q ~ 0 - e~L/^ q, p ---+ ~fi -- e C t-f p. T h e Poissoll bracket of h a,nd g as functions of ~ and p is then
A A
(2.2.34)
{h(q,p),9(q,~)}-
{eCkfh(q,p),
er
{h, 9}(~,~) ,
(2.2.35)
thus evidencing the preservation of the Poisson bracket under the m a p p i n g (2.2.34); use has been done of the composition p r o p e r t y (2.2.30) to pass the

A
73
operator e~kf from tile arguments to tile respective functions h and g, and viceversa, after applying (2.2.32), from the flmction {h,.q} to the respective arguments. In particular, (2.2.36) In w 1.3.2 we proved that the preservation of the Poisson bracket of any two dynamicM variables is a necessary and sufficient condition for a transformation be symplectic.
Lie transformations as a Lie group
We now take up the question of the group structure of the set of Lie transformations {c;Lf; ~ E N} generated by the dynamical variable f ( q , p ) . Accordingly we will linger on some properties of Lie algebras and Lie groups to help the reader to gain some familiarity with these concepts (see also Appendix A). Although the discussion below will be concerned with the Lie algebra of the operators (2.2.17) and the corresponding Lie group of the transformations (2.2.18), it has a general validity, being relevant to tile link between the concept of Lic algebra and that of the associated Lie group [7]. As remarked in w 1.3.2, the set of Lie operators {k I}, generated by the dynamical variables { f ( q , p ) } through (2.2.17), do form a Lie algebra with respect to the Lie bracket [, ] of operators
[A, (2.2.37)
which, e~s proved by (1.3.43), defines a binary operation taking two Lie operators to a Lie operator as well: [,]" (Lh,L9) E {LI) {Ls) ~ [Lh,Lg] - L{g,h} C {LI)"
i , . . 1
(2.2.38)
Evidently, if {g, h} = 0, the corresponding Lie operators commute with each other" ]Lh,Lg] - - 0 . The notion of group as that of algebra implies the existence of a binary operation sending pairs of elements of the set into elements of the set. When dealing with operators the binary operation to structure a set as a Lie algebra or a Lie group is just the commutation product (2.2.37) between elements in the algebra and the sequential application, i.e. tile multiplication, of operators in the group. It is a notable property of Lie algebras that by exponentiating the elements of the algebra through a real parameter C we may form the associated group. An element 7" of a Lie group is said to be generated by the element L of a Lie algebra in the sense that for an infinitesimal value d~ of the group
L .1 A "~"
74
A

A A
parameter we have T ( d ~ ) - I + d~L. Thus, the Lie algebra of a group is a description of that group near the identity element. Sequential nmltiplications of infinitesimal-step elements T ( d ~ ) lead by induction to finite-step elements T ( ( ) , for which the exponential represe.ntation in terms of the generator L is consequently obtained. In fa,(:t, it is proved by in(hmtion that
A A A t~ ~
T ( ( + d ( ) - T ( ( ) T ( d ~ ) - T(()(I +
d(L),
(2.2.39)
(2.2.40)
whi(:l~ ~ea,ns
T(() + dTT(() +
d(LT((),
ttn~s yie](li~g tl~e fiI'st-(w(h:r (liff(:l'(:~tia] e(t~m.t,i()~ fi)r 7-(()" d(
'Z,-/-(() _ Cr
(2.2.41)
"l'l~(: (:Xl)()~(:xd,ia,l.r(:l)r(:s(:~d,a,(,i()~ ()f (,l~(' gI'()iiI) (:h:lll(:id, 'T(() i~ (,(:n~s of the alg(:|)ra, (:I(:~(:~(, k i~(:(lia,(,(:ly f()lh)ws:
A
q-(() _ ,.r k,
(2.2.42)
witll 1)eillg T(()) - I fin" (;w;ry L ill (,ll(' a lg(;lwa.. Tlle~l, ew'~ry ()l)(;rat(n" ill tile a.lgel)ra gellera,tes a sllt)gr()lll) ()f exl)(nlelltia.1tyt)e ()I)era,t(ws {('( L; ( E R}, wlli(:ll is (:(nltilnu)lMy l)armll(;triz(;(1 1)y the tea,1 t)araI~eter (. ()n(: t,yI)i(:a.lly speaks ()f a onc-param, cter s~d)gr()~l), t';ach value of the t)a,ra,n~cter ( i~(livi(l~m,lizes ()11( ~. ()t)erat()r i~ the s~fl)gr()~l). ()t)era,tors ('orrest)()~(til~g 1,()(lifli;rel~t val~u;s ()f 1,11e t)ara,~eter t'(n~n~ml,e witl~ (;a(:t~ other; na,n~ely 7 ( ( , )7((:~) - 7-((2)7-((,) , (2.2.43) which (lire(:tly follows fr()~l~ (,l~e t)a,si(: I'ela,tio~ (2.2.39) (:lea,rly i~l)lyil~g in finite terms that
- r
A
+ G) -
+ q) - "-2(G)r
(2.2.44)
The subgroup {c~k; ~ E ]~} is therefore abelian. Also, (2.2.43) allows us to identify the inverse to T ( ( ) a,s the operator individualized by the opposite value - ( of the parameter, namely
~'-1(~) __ r
__ G-~L.
(2.2.45)
In the light of these general considerations, the Lie transformations for a given Lie operator k s are seen to form the one-parameter subgroup { ~ ( ~ )
A
c r ks; ~ E R}, for which
(2.2.46)
7'5
and
_ r
(2.2.47)
Each operator in the subgroup produces a symplectic mapping of the conjugate variables q and p to the new variables ~ and p as given in (2.2.34), i.e.,
{q,P}
{-0 - c~LI q, p A
c~LI p} 9
(2.2.48)
Clearly, successive Lie transformations produce a symplectic transformation as well. Thus, the composite operator e (1 kf e~ 2 Ig generates the two-step symplectic mapping
A A A A
{q,P} ~ {q-- er Lgq, iO-- er L~P} ~ { q -
I~l Lfq-. ~ _ e~1Lf/,l~}

"
(2.2.49)
However it cannot in general be associated with a single Lie transformation, unless, according to (2.2.46), g = f, or more in general, as will be proved below, {.q,h} = O. Notably, near the identity, i.e., for sufficiently small values of the parameters, Lie transformations multiply into Lie transformations. Namely, we have
z~f(~l)Z~g(~2) -- 7"~h(~'), (2.2.50)
for ~1 and ~2 sufficiently small. The explicit expression of the closure relation (2.2.50) for Lie tra.nsformations, i.e., for exponential operators, within a sufficicntly small neighborhood of the identity is known as the Baker-CampbellHausdorff (BCH) formula. It dictates the conditions and the rules to unit two exponential operators into a single exponential operator [8]. The exponents of the factors on one side combine into a single exponent of the product on the other, which is ultimately determined by the underlying algebraic structure, directly involving the Lie products of the exponents of the factors. Here we will prove (2.2.50) in a rather naYve way, exploiting the power series expansion (2.2.18). Firstly we consider the interesting case that {f,g} = 0 and so [L/, Lg] - 0. In that case, in fact, the closure relation (2.2.50) of Lie _l I_ transformations holds for finite values of the parameters ~, and ~2, with the multiplication law turning into the additivity of the exponents as
~f(~l)z~g(~2)
-
"~lf+~2g(1)
'Tg(~2)~f(~l)~
(2.2.51)
which further becomes merely additive with respect to the parameters ~2 if also g = f, i.e.,
~f(~l)'Tf(~2) t-.. -- ~ f ( ~ l -Jl-~2) -- z ~ f ( ~ 2 ) ' T f ( ~ l ) ,
~1 and
(2.2.52)
thus recovering the L/-generated subgroup relation (2.2.46).
7'6
Linear Ray and Wave Optics in Phase 5pace

A
It will be evident t h a t tile hypothesized c o n u n u t a t i v i t y of tile operators Lf a,nd L.q is crucia,1 to extend the additivity of the exponents from exponentiM scalars to exponential ()perators, thus yiehting the s('a,lar-like relation (2.2.51). We consider the exponentia,1 ot)erator on the right of (2.2.51), which explicitly writes a,s
,TC,/~<~:,(1) _ ,,<, L,+(:~ L:, _ Z
.~. ((, kf + (2"L.q .
)j
(2.2.53)
j --()
a,n(t ll(;Xl(:e (h;llmll(ls (;vahlat, illg t)()w(;rs ()f the ()t)erat()r (~ LI + (~ L,/. Tll('~ S(llm,r('~ is, fl)r illsl,ml(:(;,
(~, L~ + ~ L,,)" - (r L~ + C~ L,,)(C, L~ + ~ L,,)

1. 2 . . . . . ')
(2 Ls + (, (2 L~ L:, + (., (, L:, L s + q;. .., L~. "" L;. - (2 "L 2 s + 2(s (2 ^ L.r ^ L:I + (,~
It sll()lll(1 I)(~ ll()t,(',l ill tile lnlfi)l(ler (~xl)r(~ssi~nl a.1)r t,ln' two) 1)rr LI L.q a,u(1 k:/L I, wl~i(:l~ a r~', i~ g(',~nwal ~lifli~r~',~l,. thn~('~', t,l~y (:m~ 1~(~s~n~n~(l I,~ 2 k~ L.q only ~ ( l ( w l,ln~ a,ss~l)ti()~ ()f tl~(~ (:()~nlta,tivil,y ()f k z toni L:t. l~ l,lm.t (:a.s(;, t,l~(: S(l~mr(', ~f t,ln' (~l)(Wat,~w (, LI ~ (~ L:~ (:()~('s t,~ l~aw' t,l~(' stain, ('xl)r(;ssi()n a,s tl~a,t (~f t,l~(, s(l~m,r~' ~f a I~y~n~ia,1 ~f s(:alm's. A(:('~r(li~gly, tin' j-tl~ I)(~wer ((1 LI + (~ L.,~)J (:m~ 1~', (:al(:~lla,t(~! l)y 1,1~(~well k~)w~ fin'~n~la, fi~r tln~ j-tl~ l)()wer ~f a, t)y~r
.. ..
.,
A j_!
9 ~- ~ (C, L / + (~ L:,)
l=()
(1)([ L// (.j-' L:/
(2.2.55)
UI)()n s~fl)stit~ti~g (2.2.55) i~d,(~ tlm t)()w(;r series (2.2.53), w(; ~4)l,ai~
("~1 Lf-[-Q2 L'q----
o~
j--()~ l--0 ~
(J-l)!l'Ql" ks(j-z k.~
l ---I
Aj-I
= Z ~(I
/=0
L/ j /
(j-z)!
L.q
.,
thus t)r()vi~g relation (2.2.51). We (;~t)ha,size again tha,t (2.2.51) grounds ()n the ext)r(;ssi()~ (2.2.55) for powers ()f a, bynomial of ot)era,tor functions, which reproduces tha,t for powers of a, byn()nfial of scaJar fim(:tions only for c o m m u t i n g operators ( P r o b l e m 3). In general, to prove (2.2.50) we exploit the power series ext)ansion (2.2.18). We sut)t)ose now t h a t b o t h the rea,1 n u m b e r s (~ and (~, are sufficiently small to justify the t r u n c a t i o n of the series expansions of b o t h Tf((l ) a,nd T~((~) at the first order of (1 and (~. We write then
A A
~
'Tf(~" 1_
O) -- -Jl-t.. [ ~,..k~'
Lg,
(2.2.57)
% ( q ~ o) - I +

A A
77'
so that the product of TIff1 ) and Tg((2)is

A A A A A
TI(r
- I + r kf + <2 Lg,
<1, ~2
(2.2.58)
where, of course, only the first order terms in the parameters ~1 and .(2 have been retained. Resorting again to the power series expansion, we can recover the exponential representation as
A A A
Tf (~1)~9(<2) c(lkf+~2kg
1 . . t - . _ _
GkClf+~2g ~(1/+~9(1) '

_ _
(2.2.59)
for r and r sufficiently small, and hence near the identity ]'. As previously remarked, the validity of the multiplication law (2.2.51) for Lie transforlnations near the identity grounds on tile BCH theoreln, which provides the rule to combine the exponents of tile factors on the left as
A A A A A
C<1 kf C<~. Lg __
e kh((~l'~2' kf 'kg),
(2.2.60)
giving a complete analytic expression of the exponent on the right as an infinite series of iterated Lie brackets of ~1 kf and ~2 kg. Explicitly, (2.2.61)
[L.,[g]]+
[Lg,[.]]}+
and the series may in general converge only for sufficiently small ~1 and ~2 [8]. Tile BCH formula confirms ill precise terms that, as noted a number of times, the additivity of exponents does not apply in general to the product of exponential operators, being applicable only to commuting operators. In fact, we see from (2.2.61) that, if k I and kg commute with each other, the infinite summation on the right-hand side simply reduces to the sum <1 kf + ~2 kg, thus
exactly yielding
e ~1 kf e< 2 kg _ e~l kf +<2 kg jUSt aS for s c a l a r s . R e l a t i o n

i_ _1
(2.2.51),
using the power series expansions of the operators on both sides, is evidently in accord with the BCH formula. It is needless to emphasize the relevance of the BCH formula within the group theoretical framework, as it establishes a direct relationship between the structure of the Lie algebra of a group (exemplified by the Lie brackets in (2.2.61)) and the local structure of that group (exemplified by the multiplication of operators). Finally we wish to comment on the physical meaning of the parameter entering the algebra-to-group operation of exponentiation, of which (2.2.18) is an example relatively to the algebra of Lie operators (2.2.17). As remarked also in w 1.5, the meaning of r depends on the context we are working in as well as on the meaning of the phase space variable that generates the Lie transformation.
w e proved in the case that [LI, Lg] - 0
78 When
geometrical optics is concerned and the Lie transformation is associated with the Hamiltoifian flow, the exponentiation p a r a m e t e r ~ takes the role as the axial distance Zo- zi by which the light ray propagates and accordingly the Lie tra, nsformation is the optical "prot)aga,tor" of the ray from z,i to Zo. We note that, a,s the ot)ti(:a,1 Hainiltonia.x~ is ~mitless, tile (:orrest)on(ting Lie ~)I)crator tins the (timensi(m ()f lei~gth -1. 2.2.3
Ray-bu'n, dh: trmpagation: th, c ray t'ra'n,sfcr operator and matri:r~
Al)t)lyi~g tl~(; r(;s~lt (2.2.3()) t() E(t. (2.2.13) we ii~ul tlm.l, p(q, p; z) (;v()lv(;s fi'om 1,11(; ilfitia.l (lisl,ril)~l,i()~ p(q,p; zi) a.(:(:()r(til~g 1,()
t,(q, p; z) - t,(, ,-(~-~,) t.,, q,`-(:-:,) ,,, p; z~).
(2.~.~)
We re(:all l,l~a,t i~ .~ 1.4.1 wl~e~ i~lvestiga,ti~g the z-ev~fll~l,i~n~ ~f tln; l)osition a,nd (tire('l,i{)l~ (x)~n'{li~m,tes ~)f tim ray, w~: i~d,Ix)~tlu'(:~l l,lw, ra,y-l.ra.l~sf(;r ~)l)eI'a,tor 9Yl(z, zi) a~{t l)r{)wxt tl~a.t i~ tim case (~f a z-iluh;l)~;~{te~t Ila~ilt~n~ia,~ it takes l,h(; exi)()~n;~d,ia.l,e(t fi)rx~
A
~l(z, zi )
- ,'(~'- :~ ) L,,.
(2.2.63)
A(:(:()r(li~g t(~ (2.2.,17), tin: ()t)(;ra,t()r (:~t(:ri~g tl~(; a r g ~ ( ; ~ t s (~f p i~ (2.2.62) a.t)I)(;a.rs t() I)(: tl~(; i~v(;rs(; ()f tl~(; ra,y-tra,~sfi;r ()l)(;rat()r (2.2.63), ~m~l(;ly
A
, -(~-~.,) t_,, _
.~-~(z, zi).
(2.2.~4)
In fa,(:t, if tl,(; ray w,.ria,l)h;s u(z) - (q(z),p(z)) T (;v()lv(: fix),,, tl,(; i,,I),,t (ta,ta, u(zi) t)y 9Yt(z, zi), (:()l~v(;rs.(;ly, th(; int)~lt (la,ta u(zi)(:a,~ t)(; r(;(:()v(;r(;(t fr()m u(z) 1)y the i~lv(;rs(; ()t)era,tor 9)1 - l (z, zi)" u ( ~ ) - @ -~ (~, ~ ) u ( ~ ) . (2.2.(~5)
Rcla,ti~m (2.2.62) s~ggests therefore the; following t)ict~re. Let (q, p) be the coordinates of a ray at z, tlmn ( c - ( z - ~ ' ) e - q , c -(~-~~) e, p) ma,y t)e interpreted as the starting da, ta for the ('t~osen ray (q, p) consistently with the Hamiltonian dynamics, identified by the relevant Lie operator [ , . Evidently, this is a manifestation of the previously established invariance of the ptmse-space density Mong the phase-space trajectory.
A
Remarkably, according to (2.2.62), the Lie transformation c(z-z~) e - , which is basic to the single-ray tracing, becomes as well basic to the r~y-ensemble picture of light propagation ruling the evolution of the phase-space dm~sity. In w 1.5.3 we mentioned that in genera.1 the ray transfer operator 0Jr(z, zi) can be represented in the factored form as the product of Lie transformations. Then, applying property (2.2.30) to each t e r m in the product or exploiting the
7'9
group closure property (2.2.50) of Lie transformations, we may restate relation (2.2.62) in the general form
fl(q,p; Z) --
p(@ -I(z,
zi)q,
@ -I(z,
zi)p; Zi) --
pi(@-I(z,
zi)q,
@ -I(z,
Zi)p),
(2.2.66) involving the ray-transfer operator, of which the single-exponential form (2.2.63) is a specific determination, suited to a z-independent Hamiltonian. In particular, since in tile linear apt)roxiInation a 4 x 4 or 2 x 2 matrix representation is allowed for the ray transfer operator, property (2.2.62) ca.n be formulated in terms of the ray-transfer matrix M(z, zi) as well. Thus, using the handy vector notation, we can write
p(uT; Z)- p ( v T ; z i ) which in particular shows that
pi(vT),
V - M - l ( z , zi)u,
(2.2.67)
p(0, 0; z) = p~(0, 0),
(2.2.68)
being the phase plane origin mapped into itself by M. Equation (2.2.66) and the corresponding l i n e a r model form (2.2.67) signify the relevance of the ray-transfer operator 92~(z, zi) and the ray-transfer matrix M for both the sinlge-ray and ray-ensemble pictures of light propagation t)ertinently to the geometri(:al-ot)tics view. Equations (2.2.66) and (2.2.67) clearly show, in fact, that any distribution function is propagated along the ray-trajectories in phase space. In particular, the single-ray picture is easily recovered from (2.2.66) by noting that if the phase-space distribution is initially represented by a single ray, and so mathematically modelled by a (5 function,
p(q,p; zi) = (5(q - qi)rS(p - pi),
(2.2.69)
it remains a (5-fimction at any z > zi, evolving into

p(q, p; z) = gi(q - q(z))rS(p - p ( z ) ) .
A
(2.2.70)
Here, q(z) and p(z) are the ray variables at z propagated from the input data (q~, p~) through the transfer operator 9)l (z, z~) or, in the linear model, through the transfer matrix M(z, z~) (see also Problem 4). Accordingly, throughout the remaining of the chapter we will work within the single-ray picture of linear geometrical optics. In due account of the established significance of the ray-transfer matrix, in the next sections we will proceed deriving the ray matrices for assigned z-independent model Hamiltonians. Their correspondence to recognizable optical systems will then be investigated. Before closing this section we wish to illustrate the relation of the phase space density p(q,p; z) to those measurable quantities that the traditional radiometry uses to characterize the light distribution and its propagation in connection with the radiative properties of the source.
80

Phase space density and radiance
2.2.4
As a n n o u n c e d , in this pa, ragra, ph we elucidate tile connecting link between the ba,sic q u a n t i t y of the phase spa,(:(; represent~tion of gcometrica,1 optics, i.e., tile t)hase st)a,('e density p(q,p; z), a,n(t the basic q u a n t i t y of radiometry, i.e., tim radian(:e (~). T h e (tisr is strictly aimc(t a,t giving a, feeling for the t)hysi(:a,1 con(:rcteness of the t)ha,sc spa(:c density. Accordingly we merely derive the f()rnm,1 relati()~l of p t() tim ra,(timlcc fll~l(:t,ir a(l(lressing tim tea(let to [9] for a fllller a(:(:()llld, ()f ])()tllt, tl(; ra(tio~lletri(" lll()(l(;1 a,ll(l tll(; relatively re('.cntly inv(;stiga,te(t lillk wit, tl tilt, statisti(:al wave; I,tl(;(~ry. W(; ('lllI)tlasiz(; tim.t, a,s g(;()Ill(;tri(:al ()t)ti(:s, ra(tit)lllt;tI'y a n(t the r(;la.tc(t theory ()f ra.(lia.tive (ulergy l,ra,llSl)t)rt are |)a,se(l ()ll 1,11(' (:(nlt:el)t ()f t,lm light ray, lm(t(;rst()()(t a,s tll(' gt;(nll('tri(:al |,l'aj(;(ti,()ry a l(nlg wlli(:ll t,ll(' ()l)ti('al t;llt;I'gy, ra(tia,te(t |)y tile s(nlr(:e, I)rt)lm,gates [l()]. Tlnls, ar t() I,lm ra(li()metl'i(: nl()(tel, tlle rar (;lmrgy is l()('alize(I |)()t,l~ i~ sI)a('(; a~(l i~ (lir(;('ti()~. W(; will s('(; tlmt the rar is (h;fil~(;(l as a fim('ti(m ()f |)()t,l~ l)()sil,i()l~ a,l~(l (lire(:ti()~. P()sit, i()n a,i~(t r162 a,r(; tl~(; ln~il(li~g Wtl'ial)lt;s ()f tl~(, g(;()~('tri(:al-()I)tir I)lm,s(' sI)a,(:e, whi(:h tht;n s(;(;~s i,()()f[t;r 1,1~(;lmt~ral fi'an~(; ft)r tim ra.(litn~ml,ri(' th(:()ry a.s well. I{a,r t~as I)(;liev(;(l I,()t)r()t)(;l'ly (h;st'ril)(; l,l~e I)el~avi()r ()f ra,<liatiol~ fiel(ls ge.nerat('~(l 1)y Slml,ially il~(:()l~ere~d, s(n~rt'(;s, s~('.l~ as 1,1~(;('()~ve~d,i()~ml ther~ml stn~r(:es, ll.('lativ(;ly r(;r illVeSl,iga,l,i()llS (:()lltt(;l'llillg l, ll(; sta,tisti(:a.1 a,I~(t wa.ve-()t)tics t:()ld,e~d, ()[ I,l~(', 1)l~e~(n~c~()h)git:a.l laws ()f ra.(li(n~(;try lm,ve revc, a,lcd a,n intima,te, a~(l i~ a s(',~sc ,s~rl)rising , (:()~l~(;t:i,i(n~ l)(;I,w(;(;~ ra,(li()m(;try a,n(t the theory of t)a,I'tial (:()h(,re~(:(;. q'l~(' laws ()f (:la,ssi(:al ra,(ti(ml(;l, ry tla,v(; ])(;(;n g(;ncra,lize(t to t)ertail~ l,() tielr r ril)~ti()l~S ge~mra,t('r |)y l)lm~ar s()~u'(:es <)f m~y sta,te ()f cotmren(:e, h~ tlfis r(;sI)(;(:t, , f()llowi~g tt~(' ()rigi~al s~gg(;sti()~s })y Wa,lther [.~).6, :).7], a wir (:lass ()f ge~eralizer t'a,(tia~(:e flm(:ti<)~s lm,s |)een intr<)d~(:ed t h r o ~ g h a, ce.rtai~ ~nn~l)er ()f (litf'erent ~(m-e(l~fiva,l(;~d, (l(;fi~iti()~s, linearly involving va,rio~s se(:r162162 (:()rr(4ation flm(:t,icms ()f th(, r (tistri|mtion a,cross tl~e so~r('e, hd, eresti~gly, the various ext)ressions ela,l)()rated for the ra,(tiance exhil)it a, renm,rl~d)le sinfila,rity with s()~(, ()f the (tistri|)~d, ion flmctions arising in the t)ha,se sI)a,(:e ret)resei~tation of wa,ve ()t)ti(:s (and qua,ntum m e c h a n i c s as w e l l ) [9.9, 9.~:~1, as for instance the W i g n e r distrilmtion flmction we will e x a m i n e in C h a p t e r 6. As the phase-space density of the geometric-optical p h a s e - s p a c e picture of ray bundles relates to the radiance flmction pertinent to r a d i o m e t r y with incoherent sources, thus the distribution functions of t h e
c ,, Radiometry is the science and the technology of the measurement of electromagnetic radiant energy. Measurements of radiant energy are conducted throughout the electromagnetic spectrum, using methods which are suited to the spectral region of interest." [9.2]. Although we survey the basic concepts of tile radiometric model on an elementary level without entering the details of the system configurations or inherent techniques for radiometric measurements, it is worthwhile to emphasize that we refer to the optical region of the spectrum (A = 100,2t_ 0.1cm).
81
wave-optical phase-space description of light fields relate to the generalized radiance functions pertaining to r a d i o m e t r y with partially coherent sources. Moreover, b o t h the generalized radiance flmctions of r a d i o m e t r y and the spacefrequency distribution flmctions of wave optics do not retain in general all the properties expected for t h e m in traditional r a d i o m e t r y and in the o r d i n a r y probability theory, respectively. This fact indicates t h a t neither the formers neither the latters can in general formulated in a m a n n e r t h a t is strictly similar to the traditional radiometric and geometric-optical description of light fields [9.9]. However, it was shown t h a t all the generalized radiance functions regain the properties p o s t u l a t e d for the radiance in conventional radiometry, in the case of p l a n a r secondary quasi-homogeneous sources (a) and in the limit of short wavelengths. This result unequivocally establishes the place and the role of classical r a d i o m e t r y within the statistical wave t h e o r y of optics [9.11, 9.12].
Radiance: basic definition

The radiance (or brightness) is the area and solid angle density of the radiant power. It depends in general on the point in space at which it is evaluated and on the direction t h r o u g h t h a t point. In order to visualize the definition of radiance we consider a planar radiating surface S in a homogeneous m e d i u m of refractive index n 0. S m a y be the surfa,ce of a real source or of an optical element like a mirror, a lens or a limiting aperture; also, it :nay be a, fictitious surfa,ce situated everywhere in the radiation field. We m a y locate S in the plane z - 0 , and suppose it radiates into the half-space z > 0. Then, for any point Ps on S, specified by the position vector q - (qx, qy) in the source plane, we denote by dS tile element of a,rea around Ps, and by d ~ tile element of solid angle a r o u n d a direction specified by tile unit vector v originating from Ps (Fig. 2.4.a,)). It is assumed in r a d i o m e t r y t h a t tile power dP [W] r a d i a t e d by the source element dS within the solid angle element dr2 is obtainable according to the elementary law dP - / 3 ( % v ) c o s OdSdf~. (2.2.71) Here 0 is tile angle t h a t the v-direction makes with the positive z axis; evidently, 0 < 0 < 7:/2. Thus, the p r o d u c t dA - d S c o s 0 yields the projected eleinent of area perpendicular to v. T h e function B(q, v) is known as tile rad The optical intensity across a planar quasihornogeneous source changes so slowly with position in the source plane that is remains essentially constant through distances comparable with the correlation length of the radiation field across the source plane. Also, it is supposed that the linear dimensions of the source are large compared with both the mean wavelength of the radiated light and the correlation length. Evidently quasihoinogeneous sources may be spatially coherent and incoherent in the "local" sense, but are always spatially rather incoherent in the "global" sense [9.8, 9.4]. Finally we recall that a secondary source radiates after direct or indirect (i.e., through an optical system) illumination by a primary source.
82
qx
qx
s
dr)
dS
q.l'
q)
(a)
(b)
FIGUII,I" 2.4. I~a.sic elei~eld, S ill~strati~g tim (h;li~fi(,ioI~ ,)f rar (a) Tim l)lalmr so~rce S i~ tl~e pirate z = () ra(liati~g il~to tim half-l)lmm z > () m~(l (b) tim g(:o~mtrical q~mi~titics i~fl~crei~(, iI~ Eq. (2.2.71), i.e., tlw area el(~lt'~H, d,S' aro~n~(l tt~e s(n~rce l)()i~l, l's(q ) aim the element d ~ of soli(l m~gh', ar()~n~(l tlw ray-(lirt:ctio~ v.
(limit:(: ()r lwigl, llllCSs ()f l,ll(: s()llrc(:. It, rt:l)rt:st:lll,s 1,11(: ral,(: a l, wlli(:ll ellt:rgy is ra,ttiatcd in(,() 1,11(: lllli(, s()li(l a.llgh; a r()111l(l l,ll(: st)(:(:ifi(:(1 (tir(:t:l,i(nl v t)y (,hi: s()lxr(:(:
(:l(:llleld, ()f 1111i1 l)r()j(:(:(,(:(l a r(:a (t)(;rl)(ql(li('lllar 1,() v ) a l'()llll(l Ill(: Sl)('('iIi(:(l I)Oild, -'> - I (,,) P s ( q ) ; ll('~ll(:e i(, is lll(;a,SlU'(;(l il~ I V . ~ - . . s t A(:(:()r(li~g 1,() its l)lWsi(:a,l sig~lifi('m1(:(:, (,h(: ra(lia,n(:(: is ~m(:(:ssarily ~()mmga,-
(,iv(:, B(q, v) > () (2.2.72)

fin" all l)()ssi])I(: wd~(:s ()f its a rg~m~(:~(,s, m1(l s() fi)r a,ll l)()si(,i()ll v(:(:t()rs q = (q:~, % ) i~i t,h(: s()~rc(: l)la,~1(: m~(l (lir(:c(,io~is v l)()i~ti~g i~(;() t,h(: Im.lf-sl)a,(:(: z > (). Also, it, vanish(:s a.(, l)()ints q i~ (,h(: s()~n'c(: l)la,n(: l y i n g ()~It, si(l(: (,I~(: s()~r(:(: a,r(:a, S, i.e.,
/3(q, v ) -- () if q ~ S, (2.2.73)
f()r a,ll tll(: t)()ssit)l(: (lir(:('ti<nls v , ml(t ll(:ll(:(: f()r "ra,ys" t l m t (t() ll()t (:ross t h e s(>llr(:(: surfa,(:(: S. Evi(t(:n(,ly, (,t1(: tota.1 t)()w(:r ra,(tiate(l |)y t h e s o u r c e is
p-
co.. 0 s
v).S,
74)
e Oil account of the spectral content of the emitted radiation, it is custoinary to consider the contributions to the radiated power for each frequency component separately. The symbol dP~ [W-rim-1] is typically used with the meaning as the limiting vahle of the ratio AP/ACe for freqlxency interval Ace being made infinitesimally small; A P is clearly intended as tile amount of radiant power contained within Aw around the specific frequency co. Needless to say, dP~ obeys the law (2.2.71) in terms of the spectral radiance B ~ ( q , p ) [W. m -2 sr-1 . rim-l]. We will ignore here these frequency-related aspects of the radiometric model; accordingly we will not consider the possible frequency-dependence of the refractive index.
83
the integrations extending over the source area S and over the 27r-solid angle formed by all the directions v pointing into the half-space z > 0.
The radiance as a phase-space f u n c t i o n
Being a function of both position in space and direction from that position, the brightness comes naturally to be a kind of phase space function. Evidently the pair (q, v) identifies a ray emerging from the source point Ps (q) into the v direction (Fig. 2.4.b)), the ray m o m e n t u m p being obtained just scaling the unit vector v by the refractive index value n o of the medium. Thus the radiance can as well be understood as a flmction of the proper ray-variables (q,p): B(q, v) ~ , B ( q , p ) . Resorting to the phase-space picture of light distributions in terms of the density of rays in phase space, it is evident that the radiating surface S corresponds to a phase-space density function, we may denote as Ps (q, P)- Likewise the sample ray through the source point Ps(q) extending in the v direction corresponds to the point (q,n0v) in phase space. Then, the rays emitted by the surface element dS a,t Ps within the solid angle df~ around v individualize the element dl; of volume in phase space, which encloses the sample ray. According to the geometric-optical picture of uncorrelated rays, giving independent energy contributions, we can say that ea,ch ray radiating from the surfa, ce c~I'ries a certa,in amount of power independently of the other emitted rays. Evidently, dP is the power carried by the phase-space volume dI;, and so it is also obtain~tble as dP = (5Pps (q, p)dl2,
(2.2.75)
Here (SP roughly denotes the average power carried by each ra,y radia,ted by the surface S. The product ~PPs(q,P) acquires the meaning as the optical power density in phase space of the light field across the ra,dia,ting surface. It is worth noting that the linear addition of power represented by the integral (2.2.74) for the total power is consistent with the view of incoherent energy contributions emerging from all elements of the source into a.ll directions, thus implying that there are no interference effects present. We consider in some detail the phase-space volume d12 = dqxdqydpxdpy, which we may rewrite as d)2 = d S d p x d p y , (2.2.76) in terms of the area element dS = dqxdqy enclosing the chosen point Ps (q.~, %) in the source plane. Recalling from Eq. (1.3.1) the expressions of the optical momenta pz, py:
Px = no sin ctx, dpy = n o sin C~y = n o cos c~x sin ~)y, (2.2.77)
84
qx
FI(;[JI/E 2.5. (h~(n,~ctry of tl}c miglcs rclcva~t to Eqs. (2.2.77). wher(~ 1,1}(~. g(~.()l~el, ry ()f l,ll(~ i~v()lve(l a.l~gl(~s is (:la,rifi('~(l ill Fig. 2.5, tim (lilli;renrials (tp.,, a,l~(l dp,.q wri(,(~ as
dp.r
Ac(:()r(li~gly,
'It() ('()S
(t.rd(t.,:,
py
--
' I t o (:(),'-; ( l / : r
(:()S
'l)yd't):q.
l)y S~l(:('(:ssiv(: sl,(;l)S w(: (:~-l.ll (:lal)()ral,(: .,, .

')
f()r d F t,11(; (;xl)r(:ssi()]~ .

'2
d F - I~)dS ('()s- (~.,: (:()s,)u
(2.2.79)
a.ft(:r I'(:a,lizi]lg l, lm.t (:()s~.,, (:()s'0 u -- (:()s 0 ml(t t i m (:h:lll(:]d,a.l s()li(l migl(: a,r()lm(t
I,h(: v - ( l i r ( : ( ' l , i ( n l is
(tt~
= (:()s
(~:,:d(~:,,(t'Oy.
a.ll illl,(:r(:sl, i n g l i n k t)(;l,w(;(:n I,ll(; I)|ms(;-st)a,(:(:
E(t]m.ti()ll
v()llllll( ~,
(2.2.79)
(:stal)lish(:s
(t~ i-l,ll(t S ( ) l l l O g(~()lll(q,ri(',a,1 (tlla.lll, il,i(~,s ill t)hysi(:a.1 Sl)a(:e, lik(' ~I,I'(~I-IN ~1,I1(| s()li(t a,ngl(~s. Inscrti~g (2.2.79) i~lt() (2.2.75) a,n(t (:()]~t)a,ring with (2.2.71), w(~ a,r(; (;md)hxl to relat(~ t,tle ra,(tianc(~ B(q, p) t() tile ()I)ti(:al t)()w(~r (t(nlsity i1~ l)lmsc space; t)reciscly, we (:an write
/3(q, p) --
'n~bPps
(q, p).
(2.2.s0)
The dei)en(tent:e, on z of t)oth B~ and Ps above ca,n ta,citly be asslmled beca,use, as noted, the radia, ting s~lrfa('c may be a,rbitrarily located in space. E q u a t i o n (2.2.80) provides the key to turn from the real spa,('e representation to the pha,se space picture. A mca,sura,ble qua,ntity associated with the optical field in real space, i.e., the distribution of radiant energy at a given plane z, relates to the corresponding density of rays in phase space, thus reflecting as well the intuitive view t h a t the ray density in phase space reproduces the spatial and angula,r energy distribution of the optical beam. In this connection, the concept of emittance domain in phase space arises quite naturally as the region t h r o u g h the representative phase-space volume of the ray
8,5
bundle, which encloses most of the beam energy, say 86% or 99% according to tile adopted criterion. By Liouville's theorein, this region, or more specifically its boundary, can loosely be taken as a representative region, and accordingly as a representative contour, to provide through its shape evolution a pictorial view in phase space of the propagation of the ray bundle in real space. Remarkably, by (2.2.80) tile invariance of the phase space density Ps along the ray trajectory implies the invariane of the quantity ~ along the ray path
( /
in a homogeneous lossless and gainless medium (see also Problem 7); this is a well established result of traditional radiometry [9.1]-[9.3]. As already noted, relation (2.2.80) applies to the classical context of geometrical optics and spatially incoherent sources. Under these conditions, in fact, we can loosely define an energy density distribution in phase space, and interpret it in terms of the radiance of the classical theory of radiometry. In the modern theory various expressions for the radiance have been elaborated, which account for coherent and partially coherent sources, being linearly expressed in terms of various second-order correlation functions of the optical distribution across the source. However, they cannot be interpreted the same as the radiance of the classical theory, i.e., as the radiated power distribution in position and direction. Likewise, wave-optical analogs of the phase space density have been defined in order to combine in a single view, comprising both position and direction, tile two wave-optical description of light signals, separately pertaining to the spatial and spatial frequency (i.e., angular) domains. As an example of such phase-space (i.e., space-frequency) distributions, in Chapter 6 we will consider the Wigner distribution function. We will see that it cannot strictly be interpreted as an energy density distribution in phase space, even though a direct relation with a generalized radiance function can be established, thus resembling the classical relation (2.2.80). For completeness' sake, we report as well the definitions of other two measurable quantities, which are obtained separately integrating the brightness 13 over the source area S or over the 27r-solid angle formed by all the possible ray-directions p. Thus, we obtain the radiant intensity J ( p ) [ W - s r -1] in a given direction by the integral J ( p ) -- cos 0 fs B(q, p)dS, (2.2.81)
which specifies the angular distribution of the power radiated by the source. Correspondingly the irradiance g(q) [ W - m - 2 ] , specifying the radiated power by the unit area of the source at any given point q, results from the integral g(q) -- f
J2
71"
B(q, p) cos Odft.
(2.2.82)
As the radiance, the radiant intensity and the irradiance are typically referred to a specific interval of frequency. Also, as the radiance, they were
86
origina,lly defined for r a t h e r incoherent thermal sources and later generalized to sources of any sta,te of coherence. T h e generalization preserves the forreal expressions (2.2.81) and (2.2.82) tn~t in terms of the generalized radiance flm(:tion. Thus, as the ra.diance, the generalized irra,(tia, n(:e does not t)reserve the I)hysi(:a,1 meaning a,s the (:orrest)on(tiI~g (p~a,ntity of tra,ditiona,1 ra(tiometry. In contrast, the generalized radiant intensity retains its t)hysi(:al n~ca,ning a,s r(;t)r(;s(;~t,i~g t,t~(; a.x~glflar (tistri|)~ti()~ r tl~c ra,(tia,tr162 t)()wcr [:).:), :).~0, .~.4].
Ele'me'ntar;q beam of '~'ays

Before; r tllis t)a,ra,gl'a,t)ll wc 1)ricfty r162 ()ll tile ra,(ti(mlctric r of
elcm, e,'ntar!l beam of light. ExI)l(fitiIlg S~Xll~; ge~)xlletri(:a,1 a,rglnllcnts a,ll~l rela,ted
inwl,riml(:(:s, it is l)r t,~ giw~ a,ll "~)I)~ra,tiw~" (lefilfiti~nl ~f tl~e at)stra,(:t ('(m('(;I)t ()f ray, (:(n~r i~g t,lw, ~m,tlw,~m,tical i(lca, ()f t,t~('~ ray as a tl~i~ t)cncil r rar witt~ va.~dshing s~li~t a,ngh; m~l ('r(~ss-sc(:ti~m,1 area., a.nr lm~(:c not (:at)a.1)h; ()f (:a,rryi~g a ti~it,(; a,~(ntl~t ()f c~crgy, a,n(l 1,1~(; l)l~ysi('a.1 ~(;('~(1 f()r an "clarity" t'a,l)a/)h;, ill C()lltI'ast, ()f ca,rryi~g a. fi~fite a,ll(1 n~c.a.s~md)lc,, CVel~ tl~ough i~di~fit(;si~m.lly s~all, a~l~(nl~d, ()f c~mrgy. Rest)rti~g t() t,l~(; t)a.sir g(',()Ill(',l,I'y ()f Fig. 2.4.1)), w(: r(;(:()l~si(h:r t,l~(: (I)r fictit, i(n~s) ('l('l~('l~t,a.l s~rfi~.('t' dS~ ('cl~t,('~r(;(i ar(nn~r l)()i~t, P ~ m~(t tl~('~ light ray ('~liicrgilig fl'()lii l ) iill,() l,ll(; (lil'(;(:t,i()li v (Fig. 2.6) I~ct (iS 2 l)(; |,lit' (I)()ssi|)ly fi(:titi(nls) ch;nl('~ltal sln'fi~,('c, tha,t, r a,I'()lnl(l l)()i~lt P2 at (lista,n(:r d fl'()In I ) al()~lg v, r162 a,ll tllr r a y s ()rigi~m,t,ixig fl'()~li t)()i~lts ()f dS l The cl<',n~c~tal soli(l m @ c d t ~ s~fl)te~th'(l |)y dS~ at I)~ is dt~.~ - dA~/d 2, where dA~ - d S , (:()s0~is the t)r()jr a.rca (;h;~nc~t. (;orr(;st)r the (:lcmcntal soli(t m@(', (tt~ s~l)t(;~(t('~(l |)y dS2 at P~ is dtt I - dA.~/d ~, with dA~ - dS~ (:os 0~. It is ea,sy t,() s('~( ~, tim,l, dA 1dt~ l - dA.,dt~.~, (2.2.83)
l * 9 I ' "
tlnls i1111)lyiIlg tim ixwa,rian(:r along the, ray t)ath of tile t)ro(tuct of the projected a,rea, clc~Imllt dA 1 a,ll(1 tile solid angle ( t ~ sul)tenr at this element 1)y a,nother area, (;l(',lll(',~lt a l(nlg th(; ray, which collects all tile rays (:oming from dA 1. Rcla,ti(m (2.2.83) sllgg(;sts to (tcfinc a,n ele'menta'~'y beam of ~nys as t h a t including all tile rays t)assing through a,ny two elements of area, along a segment of some central ray path, whose length be very large coinpa,red with tile linea, r dimensions of either area, element (Fig. 2.6) [9.5, 9.2, 9.a]. The inva,riant projected-area solid-angle product in (2.2.83) is said the geometrical extent of the beam; in a sense it may be regarded a,s the product of w h a t we m a y consider the spatial and angular extents of the beam. Interestingly, by (2.2.79), the element of volume dY in phase spa,ce enclosing the ray of interest directly relates to the geometrical extent of the corresponding beaxn by the constant refractive index of the m e d i u m through which propagation occurs. It is therefore evident that Eq. (2.2.83) is another form to express

d~
87
dA2 Centrat ray
O~
"'"
dSl
( ~pi,,
'-< " . . . . . . . '. d~2

.~'""
d S2
Ray-path sesment of [ength d
F I G U R E 2.6. Illustrating the definition of the geometrical extent of an elementary beam of rays and its invariance under propagation through a homogeneous isotropic medium.
Liouvillc's invariancc of phase-space volumes along the ray path. Also, by (2.2.71), dP can be interpreted as the power carried by tile elementary beam radiated by the source around the ray emerging from the specified point Ps (q) into the specified direction v. Hence, by virtue of the conservation of power 2 along the we recover the already established invariance of the quantity B / n o ray path, i.e, within the corresponding elementary beam.
2.2.5
An example
As an illustrative example of the application of Liouville equation (2.2.11), we determine the z-evolution under paraxiM propagation through a free medium of a,n initially gaussian phase-space density distribution. We take __~_ __EL p~ (q, p; zi)
1 g 2~q~p 2~ 2~ (2.2.84)
where the positive quantities O-q and ap specify the "extension" of the ray density in phase plane, respectively, along the q and p-~xis at the input plane zi. We note that p~ is normMized to unity. Gaussian distributions like (2.2.84) are of noticeable relevance since, as we will see, the Wigner distribution function of a Gaussian signal for which 1 , k ~ __ 27r O'qO'p -2k ~ ~ being the vacuum wave number, basically takes the same form as (2.2.84), being Gaussian both in the space and spatial frequency domains. Notably, this is the only case where the Wigner distribution function is nonnegative everywhere through the phase space, and so it is interpretable as an energy density distribution. When propagating through a homogeneous medium of refractive index no, the linear approximation gives for the optical Hamiltonian the free-particle
88
like form H -
~I
p2.
Accordingly, Liouville's e q u a t i o n (2.2.11) gives 0 o ~ , ( q , p; ~) p 0 ',,... Oq ~(q' p; ~), (~.~.s~)
wh()se g(~(~z'al s()lutioz~ is :,(u p; ~) - :,(q '~ Tt 0
",
t,; ,~)
(2.2.s~)
Ill l)arti(:lllar, tile i]ll)llt, (le]lsity (listril)llti()]l (2.2.84) I)r()l)a~a,t,(:s iIlt()

_ ('I-v-'/"u )~ _ '_z~_
/, . (q, p., z) - 2,~,,~, ~ ('
~"~
'~
(2.2.87)
Evi~h;litly, it, r~;Ilm,i~ls Gallssia.~l llll(l(;I" fl'(;(; t)r~>t)a.~a.ti()ll, wliose ~;fI'(;(:t in the t)hase l)lml~' is l)i(:t, lu'er as a shorn" ~)f the initial ~list,z'it)ld, i()ll a,l~)llg t,ll(; q-axis, as will sI)e('ifir 1)(: (;vi(h;ll('e(t ill !i 2.5. Ill g(;llcz'a,1, wc will s('~(; t,lla.t, (]allssia,n (listril)llt,i()]ls l'eilla,ill (]allssiaxi lnl(h'~r l)rr t]n'()llgli a,lly [irst-()r(tcr ot)tical syst,(:lli, i.(;., syst,(;~is t,]la.t at(' (h's<:ril)e(l ])y IJe tra,]lsf()i']lm,ti()]~s g(;]leratex| |)y i)()ly~l()]lfia.ls (ttm,(lrat,i( 9 i~l tlic ()l>ti(:al (:(>()I'r q ml(l p. Fi]la,lly, it, is w()rt,]l (;la,l)()l'ati]lg a.~l exa,]llt)le ()f l,]lc gC()liiet,ri(:a.l ]>(;a]li-cxt,t;nt
syliilil('~t, rir a,l'()llll(] tll(: l >r( )l )a,ga,t i( )l i z-axis. As is w('ll klit)Wli, t,]l('~ ])(;a,lll ilitclisity tra liSV('rsally (](;(a'(:as('.s t,lir()ll~h a. ga~lssia~l Ira)tile l,() ,,-2 ~ ().135 ()f it,s (m-axis va,l~(; at t,ll(; l)ca]li z'a,(lil~s, tts~la,lly (h;~lr t)y u~(z). Als(>, the l)ca,ni (tivcrgcs a,s it, l)rr a,h)nt4 t,iie z-a,xis with an ill('r(;asc ()f the |)(~a,ni ra.(li~ts, whi(:h ta,k('s (>~l tl~(; ~l~i~fi~lnnii wd~(; u~o at tl~c waist, m~(l tl~cn fill" fl'()~l tlw~ waist i.e., fi)r r(;h;wud, Fr(;s~l(:l ]nulfl)(;rs 7ru,12/Az << 1 - fi)lh)ws t,l~c sin~I)h'~ la.w witt~ z:
Az ,,,(z) ~_ ~ ,
7T'l l ~o
(2.~.ss)
,~ t)ci~g tlic wa,vch'~xigtli ill the Ille(lilllll [13]. It is ]la,t~md t(> take a,s a,n cxenq)lary a,z'ca, A, tile (:ross se(:ti(>li ()f the b e a m at the waist" A l - 7rw~, and a(x:ordingly a.s soli(t angle t~ ttm t s u b t e n d e d at the waist by the (:ross section of the b e a m at some z far fr()m the waistf~ - 7rw2(z)/z 2 - A2/Trw~o. T h e I)roduct A~ t~ is then the z-indet)cndent value
A1~'~1
-- ,~2.
(2.2.89)
2.3
Quadratic monomials and symplectic matrices
As briefly recalled in the i n t r o d u c t o r y notes, the optical Hamiltonian, suited to the 1D picture of geometrical linear optics, takes the q u a d r a t i c form (w 1.7)
H(q, p) _ 2__~0 2 p1 2 + _~q2,
(2.3.1)
1D First-Order Optical Systems: The Ray- Transfer Matr&
89
Quadratic monomiats:
Matrix representatives:
A N
p2/2, q2/2, qp/2

b.v Poisson b r a c k e t i n g with q and p
K_, K + , K3 ~ ,V~(2, P, )
<1==5
Ray-matrices of feasible optical systems 9 Sp ( 2, P, )
by e x p o n e n t i a t i o n to the group t h r o u g h a real p a r a m e t e r
FIGURE 2.7. Conceptual and formal path to single out the basic optical systems pertaining to the linear approximation. where n o denotes the on-axis value of the refractive index and n2 is linked to the medium refracting power (see w 1.7.5). We have also recalled from Sect. 1.7 the steps to proceed from the optical Hamiltonian H to the corresponding ray-transfer matrix M : H ~ H ~ M, (2.3.2)
with M being locally or globally expressed as the exponential mapping of the matrix representative H of H by the pertinent (i.e., infinitesimal or finite) propagation distance Az: M(zi + A z , z i ) -- c z x z n . (2.3.3)
Tile 2 x 2 traceless matrix H correst)onds to tile optical Hamiltonian (2.3.1) under the Poissonian bracket based rule (1.7.7), and so H-( 0
~71, 2
l/:J~ ) .
(2.3.4)
Evidently, (2.3.2) retraces the path (1.5.1) within the purely matrix formalism appropriate to first-order r~y-optics. Here wc proceed investigating the optical vMcnce of the m~trices generated, through the path (2.3.2), by homogeneous quadratic polynomials in the optical coordinates q and p (Fig. 2.7). Since any quadratic homogeneous function of q and p can be expressed as a linear combination of the quadratic monomials p2, q2 and qp, we will firstly derive the matrix representatives of these monomials, and then we will exponentiate them through proper real parameters to form the corresponding transformation matrices. Finally, we will analyse the effects that such matrices produce on the ray variables in order to verify whether they may be interpreted as the ray-transfer matrices of constructible optical systems. We will be able to identify the p2_ and q2-generated optical systems as a section of homogeneous medium and a refracting surface (or, equivalently, a thin lens). In the next chapter we will prove that every symplectic real matrix as well as every first-order optical system can be synthesized by an
90
appropriately designed sequence of homogeneous medium sections and thin lenses. This will confer concreteness to the qp-generated optical system, which, identifie(t as a pure magnifier, will then t)e use(t as a, basic corot)orient for more (:omt)a(:t (as well as conceptually and t)ractically interesting) syntheses of symt)lectic matrices and accordingly first-order optical systems. The Lie operators associated with the monomia,ls p2/2, q2/2 a,n(t qp/2, we st)(;('ifi(:ally (t(;~l()t(; by K_, K+ ml(t K:~, wI'it('~ as (see als() .~ 1.5.2)
t.. A A
*"
-{',5P2}
pOq,
i) , _ q ~,p
*" K +
1 q2 } _ -- {., _~
(2.3.5)
K:, - { . , S q p }
- -~ q N - P N
1 (i)
, o)
"
Corresl)(m(lillgly, t)y Poiss(nl t)ra,('keting witll q an(t p a~:('()r(ling t() (1.7.7) the rcst)(~,ctiv(~ llmtI'ix r(~tn'(;s(~Ilta,tiv(~s a,l't~,()l)tailm,(t a,s
K)
_(00)
--1 0
'
l(,p
) K:
I (:) ()I) "
It is (~,vi(t(~,ld, tlmt th(; llm,trix r(;I)r(;s(;lml.tiv('~ H ()f th(; IImllill,()lliaxl (2.3.1) (:an lmi(pu;ly I)e (;xi)ress(~,(t a,s a, lin(;a,r (:()ml)ina,ti()n ()f the a,t)()v(; llm,tri(:(;s:
H _ __1 K + 'Jt.2K ~. (2.3.7)
?}'o
Before l)r()(:(;eding fllrttmr, w(; briefly (:(mmmnt on nmtri(:(;s (2.3.6). Again we keep the (tiscllssion ()~l a, rela.tively (;l(;nl(;lltary level; w('~slmll n()t (teta,il, in fact, lit)on sonm g('iminely nmtheInatical pe(:lfliariti(;s of th(; gr(mt) Sp(2, N) (and the relevant algt;bra ,sp(2, IR)), for wt~ich the reader is (tir(;(:t(;(t t()[11]. ()ur main interest is ill evidencing the relation ()f the symplecti(: a,lg(;l)ras a,n(t groups to the context of geometrical linear optics we are dealing with. The algebra may be seen as providing the "seed" for the evolution, being linked to the equation ruling tim ray propagation. Correspondingly, the group may be seen a,s providing the "agent" of tile evolution, being linked to the ingoing-to-outgoing ray relationshit)s. Thus, as the algebra comprises the Hamiltonian-related matrices, the group comprises the propagation describing matrices. We noted before that the structures of the algebra and the associated group may be related by the exponential mapping. Notably, the group Sp(2, R) is not of exponential type; namely, the elements comprised by all the one-parameter subgroups in Sp(2, R), generated by the elements of the relevant algebra sp(2, R), do not exhaust the entire group but leave a good portion out [11.2, 11.5].
91
2.3.1
The symplectic Lie algebra sp(2, IR) and Lie group Sp(2, N)
[K+,K_] - 2K3, [K3, K+] - ~=K+.
Firstly we note that K_, K+ and K 3 obey the commutator brackets
(2.3.8)
The set {K_, K+, Ka} is then closed with respect to the Lie product, and hence, the linear space, it spans under the ordinary addition of matrices and multiplication of a matrix by (real) scalars, configures as a Lie algebra. Precisely, the commutation relations (2.3.8) are constitutive of the symplectic algebra sp(2, R) [7, 11]. Every matrix A in the algebra can uniquely be expressed in terms of the basis set {K_, K+, K a } through arbitrary real coefficients as
A-a
K - +a+K+ +a3K3- ( a3/2 -a a- /2 )
"
(2.3.9)
Then, using the general expression above, it is an easy matter to prove that every element in the algebra obeys the relations Tr(A) - 0, A J + J A r - 0, (2.3.10)
(see also Problem 1.8), where J denotes the antisymmetric matrix
J-(-011)0 '
(2.311)
introduced in w 1.3.1 and further exploited in w 1.7.1. Evidently, tile matrix representative H of the optical Hatmiltonia.n (2.3.1) is an element of sp(2, R). It was earlier remarked that in general an algebra generates the corresponding group by means of the algebra-to-group operation, i.e., by the exponentiation of the aJgebra, elements through arbitrary parameters. On account of the operator nature of matrices, we may reiterate the considerations developed in w 2.2.2 about the algebra of Lie operators and the corresponding group of Lie transformations. Hence we may say that every matrix A in the symplectic algebrasp(2, R) uniquely determines the one-parameter subgroup of reaJ matrices {TA(C) -- etA; ~ E R} in the symplectic group Sp(2, R), the binary operation being the additive composition with respect to the parameter, i.e.,
A A A A A
'~A(~I)'J"A(~2)
-- 'TA(r
-~- ~2) -- '~A(~2)'~r'A(~I) 9
(2.3.12)
Every subgroup comprises both the identity, as TA(0) -- I, and the unique inverse . ~ 1 ( ~ ) _ "YA(--~). The symplectic group Sp(2, N) is therefore formed (even though not exclusively) by real matrices S's obtained by computing the power series expansions
~-'--=.~ ~JA j - c cA
j-o
A E sp(2, R), ~ C R
(2.3 13)
92
with A element in the algebra and ,( real number. Multiplication of grout) elements within a sufficiently small neighborhood of the identity m a t r i x I is ruled by the BCH formula, (see w 2.2.2), and hence
t,~IA(,(2B __ c C ( ( 1 , ( 2 , A , B ) .
(2.3.14)
The nla,trix C writes i~ t(;rn~s of the nmti'ices (~ A a,n(t (2B i~1 tim si~lfilar way as k,, i~x (2.2.61) writes in l,(;rlns ()f 4~ L/ an(1 4~ k.q, a.ntl st) it, is an infinite s~ml ()f l,(,,r~l~s inv()lving (nfly tl~r nmt,ri(:es (~A a,n(t (2B an(t tl~r ~ulltit)le (:onmnmmws:
C(.(l,(2, A, B ) - ( , A + (~B + C,-@'[A, BI + ~ {<2(~[A,[A, B)]] + <,42[B, [B, A]]} + O((:)(~, (2(2, (, (~).
(2.3.15)
151 gelleral tim, series nmy (:(nlverge, (rely fi)r sldti(:iently mlmll (1 ml(l (.,. It is a, xl()tal)h; ast)(;(:t ()f Sp(2, IR) tlm.t it, is ll()t, ()f (;Xl)(nmlitial l,yI)e. Na,in(;ly, Sp(2, IR) llla,t,ri(:(',s exist tlla,l, (h) 11()I, arise (lire(:tly i)y a. lllli(tll(; exl)(nmntia,1 mat)t)ing Kr 1,t1(; a,lgel)ra sp(2, IR), 1)lit, iIl (:()llti'ast 1)y the, (:(nlq)()siti()n of a t)t)r()i)ria.l,(: eXl)()ll(:~ll,ia.l-tYl)(,~ eh:llleld,S ()f l,ll(', grolq). Tlle rea,(h',r ild,eresl,ed in t,lfis rellm,rka,l)h;, ml(l r(;t:(;ld,ly iliv(;sl,igal,(;(t, f(',a.l,lwe ()f l,ll(: Sp(2, IR) lllay (:()Ilslllt the r(;h'vald, refs. [11.2, ll.5], lie, re, we will 11()I, flirt, her (h;ta,il l,his l,()l)i(:. As a, (liI'(;('l, ('()ns(;(pu;~l(:r ()f 1,11(; r nm,I)I)illg (2.3.13) fl'(ml the algcl)ra lira,trices, o|)eyi~lg (2.3.1()), t,() t,ll(; gr()~ll) ~liat,l'i('(:s, t,ll('~ ~l~at,ri('t'.s ill ('very a,lgcl)ra,-g(;~lcra,l,r s~l)gr()~l) r 1)r t)r()vr I,()()l)r l,ll(; rela, l,i()l~
SJS q- - J,
(2.3.16)
whi(:h (~f (:(nn'se extell(ts t,(~ tll(~ ll(m-t;xI)(mential tyI)e (',lenlents as well, t)eing preserve(t lm(ter matrix t)r(~(tlu:t. Rela,ti(m (2.3.16) is tlle i(tentifyillg t)roperty of the synll)le(:ti(" ma, tri(:es (see also ~ 1.a.1). The rea,(le, r is suggeste(1 to prove identity (2.3.16), t)y writing it in the han(ty form J S q- - S - l J, and then using the series ext)a,nsions f()r S T a,n(t S -1 a,n(t the secon(t ()f relati(nls (2.3.10). As a, filrther identifying feature of the symt)lectic ilm, trices, we can say that, as a,lrea,dy e,sta.blished in w 1.3.1, they define linear tra,nsformations of a 2D vector spa,(:e.( u - ( U l , '~t2)T } under which the a,ntisymmetric bilinear form
(u, Jv)
~/~1 V2 - - U 2 V l '
(2.3.17)
(which in the optical context is just the Lagrange invaria,nt A of w 1.7.4), is invariant. In fact, if u --+ u ' - - S u and v --+ v' - Sv, by (2.3.16) we find t h a t
(u', Jv') - (u', S -rJSv') - (u, Jv).
(2.3.18)
93
On the other hand, the skew product (2.3.17) can be obtained as the determinant of the 2 x 2 matrix formed by the components of the involved vectors u and v; namely
/ \
(u, Jv)
--UlV
2 --U2V 1
-- d o t ( U l V l } \ , /2 ~ tV2
(2.3.19)
Under the linear transformation u --~ u ~ = Su and v --~ v ~ = nant in (2.3.19) is multiplied by det S, and hence (u', J v ' ) = det S.(u, J v ) = (u, J v ) ,
Sv, the determi(2.3.20)
thus establishing that the symplectic matrices are unimodular(/) det S - 1. (2.3.21)
Consequently, only three of the four entries of S are linearly independent. The symplectic group Sp(2, R) is, in fact, 3-dimensional. One generally speaks of Sp(2, IR) as a three-parameter Lie group. It is evident that the generating algebra sp(2, R) is 3-dimensional as well, as unequivocally displayed by the general expression (2.3.9) for elements A in terms of the three algebra generating matrices K _ , K+ and K a (see also Problem 5 in ch.1). Thus, the path n~'ively traced in (2.3.2) can formally be interpreted as developing from the Lie algebra of the quadratic homogeneous polynomials in both q and p coordinates, and then proceeding through the Lie algebra of the corresponding traceless matrices, formed by Poisson bracket operation with q and p, up to the symplectic Lie group of the optical ray matrices, formed by exponentiation of that matrix algebra,, as sketched in Fig. 2.7.
2.4
Quadratic monomials and first-order optical systems
We form now the exponential mappings of the matrices (2.3.6) and then inspect the transformations they act on the ray variables, in order to identify the i p2 , 89 q2 and l qp. We will see optical systems associable with the monomials ~ that p2 describes a section of homogeneous medium as q2 an interface between two media. The mixed monomial q p will be seen to produce an overall scaling of the ray variables, whose optical realization will be clarified in the next chapter. To still preserve the link between the matrix exponentiating procedure, which may appear somewhat "abstract", and the Hamilton equations solving
I The proof of the unimodularity of the Sp(2, R) matrices, given here, is based on that presented in [7.1] (already quoted in w 1.3.1), where the general case of n-dimensional symplectic groups and accordingly n-dimensional vector spaces is considered. Evidently, it can as well be interpreted in the light of Liouville's invariance of areas, which transform through det S under the transformation of the relevant vector space by S.
94
procedure, we will resort to both procedures when examining the monomials p2 and q2, that directly relate to the model Hamiltonian (2.3.1). It is worth noting that the matrices K _ , K+ and K a ha,ve b e e n formed by 1 2, -~ lq2 and -~qp, 1 rule (1.7.7) from t h e g e n e r i c monomials -5p that have not b e e n given an explicit interpretation as optical Hamiltonian fllnctions, for which indeed at)prot)riatc normalizing factors, possibly for the t)osition variable q, sho~fld t)e n(~e(te(t. The e~tries of K _ , K+ an(t K:~ ha.ve theref()re (tcfinite ~mits in a,(:(:()r(t witt~ th()se ()f tim ra,y (:()()r(lix~a,tes q [le~gtl~] a,~(t p [~nfitless]. A(:('()r(li~gly, the t)ara,nmt(~r ( ()f the cxt)()~m~tia,1 ~m,t)t)i~g fl'()~ tlm a,lgebI'a ~m, trices { K ,K+,K:~} t() the grolq) ~m.tri(:es (:mn~()t a. t)riori 1)e given the role as a, "lex~gtl~" a,s i~ (2.3.3); its n~ea,~i~g (:()nf()r~s witl~ tl~c nmtrix at hand i~ or(ter t,l~at tlm I'es~lltil~g ext)onentia,te(l f()rIll 1)O. i~t('xI)I'(~ta,|)le as i.l,ll ot)ti('.a,1 ma.trix, fl)r wlfi(:l~, a.s we k~()w, the (tia.g()~m,1 cntri(~s ar(~ (til~(~si()nless, whilst the off(tiag()~ml lmve ullits ()f lcngtl~ a~(t l(u~gtl~-~. Finally wc e~l)l~asize tha.t, ()n (wa,h~a,tix~g tlm. exI)()~m.~tia,1 fin~(:ti()I~S of the ~mti'i(:(~s K , K+ m~(1 K:~, we (:onq)ute, m~(1 tlw,~ s u ~ ~t), tlm t)()weI'S in the series (2.3.13). This ('an easily 1)c (:arrie(l ()l~t, (lue t() tim si~nt)le f()nn ()f the inv()lve(t ~mtri(:es, fi)r wl~i('l~ in fa(:t we ti~(t
K 2 - K 2 - 0, _ + K 2j-1 1 :~ -- 22(J_1 ) K:~,
_
K~
2j _ 1 - 22ji,
j-
1,2,3...
(2.4.1)
Then, wc are elmt)h;{t I,() clisrcgard the (tlu;sl, i()ns r162 with the converg(;n('e ml(t tim (,vallmti()Ii ()f nm,t,rix flnl('t.i()IlS (l(,fiIle(t |)y infi~lil,e series like (2.3.13), f()r whi(:l, w(; ,,,ay a(t(tress th(' r('a(t(;r t()[14]. 2.4.1
Propagation along a section of homogeneous medium
As ('arli('r ll()tc(t, tlm l)araxial t)rot)agati()ll ill a h(mlogelle(nls nle(tilml of refractive in(lex n o is mo(telled by the quadratic monomial
H(q, p) 1 ,
P 9
(2.4.2)
In fact, the equations for the ray variables write as
(2.4.a)
showing that, oil propagating froIIl tile input plane Hi to tile output IIo, w h i c h b o u n d t h e m e d i u m r e s p e c t i v e l y at zi a n d Zo, t h e ray e x p e r i e n c e s t h e transformation
(qo)
(lp
,244,

I-I i no 1-] o
95
I-] i : I - ] 0
'9~
[-.:i')'__"
~
= ~9i
--" Pi
/701
F/O 2
. . . . . .
qo =qi +
!-Zi
Az
(a)
"i
Zo
1p2 a n d 1q2 F I G U R E 2.8. T h e optical systems g e n e r a t e d by the m o n o m i a l s 7 2 are respectively identified as ( a ) a section of homogeneous m e d i u m and ( b ) a refracting surface.
The position coordinate changes by ~ q - -%o ZXzPi, whilst the optical m o m e n t u m remains constant. The ray travels in the medium by the axial distance Az along a straight line in the incoming direction of motion (Fig. 2.8.a)). Likewise the exponentiation of the matrix representative H = K / n 0 of (2.4.2) yields the matrix on the right of eq. (2.4.4). Consequently, K may be regarded as the generator of the free propagation, and the exponentiated form daz
n o
'
(2.4.5)
may be interpreted as the ray matrix of a homogeneous medium of refractive index n o extending over the axial length Az. The ratio d - A _ _ _ ~ of AZ to n 0 is usually reported as the reduced length [12]. Note that tile positions of the reference planes Hi and IIo enter the ray matrix (2.4.5) through the relative separation distance Z o - zi. The system is in fact inva,riant under translations along the z axis, provided tha,t the light ray is equally translated. Clearly this invariance reflects the medium homogeneity. The above results are of course in accord with those of w 1.5.2, concerning the Lie transformation generated by the operator Lp2/2 - K and its effect on the phase-space variables. Equations (2.4.4) and (1.5.12) are in fact identical, both describing a translation in the unperturbed initial direction of motion. 2.4.2
R e f r a c t i o n at the i n t e r f a c e between two m e d i a
n o
Consider the quadratic monomiM

1 q2 H(q, p) -- -~n 2 ,
(2.4.6)
96
which can be
roughly regarded as obtained from the model Hamiltonia,n (2.3.1) in the case that the free-propagation term p 2 / n o remains negligible through the evolution length of interest. Tile releva, nt Hamilton's equations { ~q-0,
r -
(2.4.7)
are easily iIlt('gra,te(t to tl~e tra,nsf()r~lmti(nl
(qo)_ (
Po
Pi -- 7t2 / k z q i
qi
)_ (
1
--n 2Az
O) (qi) Az--zo-zi
1 Pi '
(2.4.8)
which leav(;s llll(:tm, ng(;(t tile t)()sition co()r(tina, te q o - qi, whilst ('ha, xlging the optica,1 m()nl(;ntllnl |)y A p -- --Tt2/kzqi. DII(; t() tilt', lumv()i(ta,|)h; (litfra.ction ()f light thr(nlgll a. fixlit(: (listml(:(;, tll(; a.t)()v(; tra.xlsf()nlm.ti()Ii is a.ctlm,l)l(; ()111y if the input ml(t ()lltI)llt I)lmles are intillit(;ly (:h)s(; t() (:a.(:ll ()tiler: A z ~ d z . Thus, the trallsf()riIm, t,i()Ii (2.4.8) r(;t)r(;s('llts tll(; i'nstantaneo'u,s variati()Ii ()f th(; (tir(;(:tion ()f l)r()l)aga.ti()ll ()f l,ll(; ray, a.s tlm.t ()(:(:lu'rillg ill 1,11(;refra,(:t,i()ll a,t the boun(ta,ry sllrfil,:(; I)(;t,w(;(;ll tw() regions ()f (lifft;r(ud, r(;fra,('tiv(: izl(ti('(:s, with t,ll(; tw() refer(~Ii(:(~ l)lml(',s t)eillg l)la(',e(1 inmle,(liat(',ly t() I,ll(', l(',ft ml(1 illlIIl(',(lia,t(4y t() t,ll(; right ()f tl~(, s~n'fiu.,(, (Fig. 2.8.1))). I~ flu:t, a(:(:()r(li~g t() t,l~(', ixg(;I'I)r(;ta,ti()xl ()f n,~ giv(;~l i~ w 1.7.5, tile 11()11 z(w()()t[-(liag()xm,1 entry i~1 (2.4.8) is nfim~s th(; refl'a,(:tixlg I)()w(;r ()f 1,t1(; s~u'fa,(:c 7) - ix,,,, if An, r(;t)res(;nts 1,11(; (lit[(;ren(:c R ' between the re,fra,('tive in(ti(:es a,t the outl)~it and int)~t t)lmms a,n(t I{ st)(;(:ifi(~s the local (:~wva,ture ra(ti~s ()f the |)()un(ta,ry s~rfa,c(;. We re(:all ttm,t the ~sual (:onvcnti()ns r(;(t~fir(; t() take R t)()sitive ()r xlcga,tiv(; a,(:(:()r(ling t() wh(;ther the (:enter of (:urw~,t~we is to the right or left, ()f the surfa,('c, witll tim ligld, l)cing a,s usual assumc(l to t)rot)a,gate from left to right (scc w 1.8 for 1,11(;sign conventions in the ot)ti(:s ()f i~m,ge-fi)r~li~lg illstrunlellts). By cxp(m(;ntia, ting the x~m,trix representative H - n 2 K + ()f (2.4.6), wc obt,a,in the refra,(:ti(m matrix i~ (2.4.8). The, refore, K+ can |)(; intert)r(;t(;d as the generator ()f the r(;fracti(m a,t the interface between tw() (tifferent media, an(t accordingly tile nmt, rix for the, corresponding ray tra,nsforma,tion is cpK+ = ( 1_7 ) 0)1 ' (2.4.9)
with 7) [(length) -~] being the surface refracting power. The reference pla, nes a,rc taken at the left and right of the surface. On account of the results of w 1.8.3 concerning the lower-left entry C of the ray-matrix of a,n arbitrary optical system (see Eq. 1.8.17), the power 7) can be expressed in terms of the reduced focal length f of the refracting surface as
7)
1
f~
fl
TL0~
f~,
TL0 2
(2.4.10)
1D First-Order Optical S y s t e m s : The Ray- Transfer Matrix
97
1-I i
1-I s
n~
./"~o
f,
~/ ./. ...." .... ~9i
YlO 2
qo
Z
Az
zi zx
F I G U R E 2.9. T h e refraction at the interface between two m e d i a transforms the input ray variables (q~, no1 sin 0~), referred to the chosen z~-plane, to the ray variables (qs, no2 sin 0o), referred to the profile screen at the intersection point Ps on the surface, which are t h e n projected back to the input plane into the final ray variables (qo, no 2 sin 0o). W i t h A z --~ 0 and [q << 1 we recover the i n s t a n t a n e o u s view of Fig. 2.8.b).
where fl and f2 denote the primary and secondary focal lengths of the refracting surface, a s ltOl and n % tile on-axis values of tile refractive indices of tile media on the two sides of the surface. In particular, the refraction matrix for a planar interface (R ~ oc) turns into the identity matrix, with the input-output relations being then
qo qi,
\,-.,..,--,-/
(').zt.ll~
Po -- Pi.
Interestingly the second relation above expresses the conservation law of the optical momentum before and after the refraction at the planar interface. Also, it may be regarded as the paraxial form of the Snell law of refraction, explicitly writing as n o 2 i ) o -- nOlt9 i. (2.4.12) Picture (2.4.8) conforms with the result expressed by Eq. (1.5.15), dcscribA A ing the canonical transformation generated by the Lie operator L q 2 / 2 - K+. Before closing this paragraph, we briefly evidence the conceptual difficulties arising when dealing with refracting surface-transformations within the Hamiltonian formalism. Indeed, since the Hamiltonian formalism would not easily accoInodate light refraction, the symplecticity of the transformation is not directly assured. By its own nature, the Hamiltonian view to optical propagation would imply that each ray have a unique evolution once specified the refractive index function of the medium through which propagation occurs. In fact,
98
once assigned the initial values of the ray coordinates, i.e, position and angle, the first order differential e q u a t i o n s (2.1.1), or their linearized form (2.1.2), lmi(tlmly d e t e r m i n e the " f u t u r e " values of the ray ('oordinates, i.e., position a,nd angle at every s u b s e q u e n t determinatioI1 of the prot)agation variable. In (:ontrast, at the refracting surfa(:e s e p a r a t i n g two different m e d i a the incident ray ordinarily t)rodu('cs botll a refracted and a reflected ray. Moreover, the differential c(tlla, tion f()rIlmlat, i()ii ()f Hanfiltonia,Ii ()t)tit:s rr a mr with a (liffert'~nl,iat)le refl'at't, iv(; in(lex. Evittenl, ly, l,he inl,(;rfa(:('~ int, rt)(lll(:t;s a, (list'ontinuity of the intt(;x flm(:t, ioll, i.(;., "t,l~e t)ot(mtial", entering ttalldlttnl's e(tlla,tions (2.1.1) (()r ('(t~fiwdcnt, ly, t,l~(: ray (;(t~m.ti()n (1.2.8)). I)is(:(mti~nu)~ls-il~(lex sys(,(;his sl~(',h as r(;fl'a,t't, ing s~lrfa,(:(;s have t)(;(m (,r(;a.l,e(t (,l~r(n~gl~ a, (:(m~I)l(;l~cnt, ary (l(;s(:riI)l,i(n~, r('~s()rl,il~g (,() m~il,a})l(; g(;()~l~(;t,ri(:al (:()llt,rll(:l,i()llS a11(| I)l~ysi(:al (:onsitlt:I'ati()~ls a,I)()~t t,ll(; (ty~la.lxiit:s ()f t,li(; I)I'()(:(:ss I'atlit;r t,limi t,() tll(; (tiff(;I'(;ntial ettlla,l,i()li f()rlllalislii; it, lias ])(;ell t)r()ve(t t,lla|, I'efi'at'l,i~lg sllrfat:e l,rallsforniati(ms fa.t:l,()riz(: inl,() l,w() r()t)t, sy~t)l(;(:l,i(: tra.l~sf()r~m.t, iol~s, ea.('l~ (t(:l)e~ltling oi1 1,1~(; t)r()t)t;rties of ()~(; of tim t,w() ~ e ( l i a s(;t)aral,(;(l l)y t,l~(; i~d,erfitt:e (Fig. 2.9, i~sl)ire(l t)y [~.5.2]). 'l'l~e rt;a~ler i~l,(;r(;sl,(;(l i~ t,l~is r(;fi'a,(:ti()l>relal,(~(l asl)(;t:t ()f the tlan~ill,()l>lik(; l,l~(;()ry ()f ligld, l)r()t)a.ga, t,i()~ I~my (:()llslllI, [15]. Wil, l~i~ tim linear aI)t)I'()ximal,i(n~ w(; a.r(; (:(nl(:(:nie(l wil,l~, w(; will ~ts(; (~xI)ressi()l~ (2.4.9) f()r the rt;Kat:l,itn~ ray-~m.l,rix, i~ll)li(:il, ly a s s ~ i ~ g l,]~al, 1,1~(;relt;vmd, r(;fl'at:l,i~g s~rfa,ce lm.s 1)(;(;~ at)I)r()t)ria.l,t;ly t,rt:al,(:(l 1,() rt:(l~u'(: t,lm ligld, r(;flt;t:t,i()~ l,()tim ~i~lil~nln~. 2.4.3
Positive ,scale tran.@)'rm of tit(: ra.!l-coor'diT~atcs
As a Conlt)lctiti()ll of tlle t)r()gl'alll skett:he(l ill Fig. 2.7, w(; ll()W (:()llsi(t(;r tile ()t)t, it:a,1 t,ra,llsf()rllm.l,i(nl gell(;ratc(l 1)y I,he tllir(1 ()f nm.trit:(;s (2.3.6), i.e., K3. A (liter:t, (:alt:lllati(m ()f the (;Xl)()lmld, ial fllllt:|,i()ll r wil, ll ,s 1)(;illg a (limensionless real t)ara~llet, er, yiel(ls the scaling relati()ll t)(,tw(;(;ll the I)()sition and lll()lll(~,llt,lllll c()()r(tinat,(;s of t,]l(; ilmomiIlg anti ollt,g()i~lg rays, t,tm.t, is
, ' m ,
l)o
()
7tl,-1
\Pi
(2.4.13)
in accor(t as well with the results of w 1.5.2 (Eq. (1.5.19)). T h e system represented by the m a t r i x
S(m)-
(m 0
m -1
0 )
(2.4 14)
is t h e n recognized as an ideal magnifier (see tive m a g n i f i c a t i o n factor m > 0. T h e s y s t e m for m > 1, p r o d u c i n g a m a g n i f i c a t i o n of the a d e m a g n i f i c a t i o n by the s a m e a m o u n t of the s p o n d i n g l y as a demagnifier for m < 1.
Eq. (1.8.31)), having a posi(2.4.14) works as a magnifier r a y - c o o r d i n a t e and conversely ray r e d u c e d slope, and corre-
99
Accordingly,
qopo = qipi,
(2.4.15)
and hence the product of the spatial and angular ray-coordinates remains invariant under propagation along the system (2.4.14). The product qp is known as the Smith-Hehnholtz invariant, and (2.4.15) is the paraxial form of the Abbe's sine condition holding in general for perfect imaging systems [9.1, 3.4]. The optical realizations of the scale transforming system (2.4.13) will be illustrated in the next chapter.
2.5
Quadratic monomials in phase space
We recall that, according to the linear approximation, small regions across the optical axis in the reference screens as well as small inclination angles with respect to the axis are implicitly assumed to be involved under the propagation of the ray through the system. Therefore, as already noted, the geometricaloptical phase space, which would properly have the [-no, no] x ]R structure, can safely be viewed as the R 2 phase-plane. As stated earlier, the variables we are dealing with have different units. Therefore, in order that the expressions we shall obtain be dimensionally meaningflfl, the phase plane variables q and p Inust suitably be scaled (or thought of as being suitably scaled), for instance, by some characteristic length for the problem under examination, so that they come to have the same dimensionality. This is implied in the discussion and all the graphs below, even when, for simplicity's sake, the ordina,ry symbols q and p are still displayed. Tr~msform~tions (2.4.4) and (2.4.8) have an immediate pictorial view in the optica,1 pha,se-plane, both describing a, tra,nslation of the ray representativc point along directions parallel to the coordinate axes. In fact, by (2.4.4) the representative point Pi - ( q i , p i ) of the input ra,y is tra,nsla, ted to the representative point P o - (q~ + P ~ A Z / n o , P ~ ) of the output ray along the line p - p~, as shown in Fig. 2.10.a). Likewise, the tra, nsformation (2.4.8) can conveniently be visualized as a translation of the point Pi - (qi, Pi) to the point 1'o - (qi,Pi - 7)qi) along a segment parallel to the p axis (Fig. 2.11.a)). It is interesting to see the effect of the transformations (2.4.4) and (2.4.8) on a collection of rays. We will consider some idealized bundle of rays, whose phase-space representative distributions can easily be depicted. Needless to say, the 1D picture, we are working in, confers further astraction to the descriptions to follow; a propagating spherical wave, for instance, is visualized by a longitudinal section of a cone of rays as a laser spot by a segment line. Firstly, let us consider a fan of rays uniformly emanating from a point source placed at qi in the plane zi, which is physically obtainable, for instance, by focusing a He-Ne laser beam. It is represented by a segment in the phase-
100
plane parallel to the p-axis, whoso e x t e n t A p i is d e t e r m i n e d by the angular w i d t h of the b e a m . As a result of the free p r o p a g a t i o n from zi to Zo, the reprosenta, tive segment is horizonta,lly sheared by the angle/3, w i t h t a n ~ = A z / n o. Accordingly, the st)atia,l (;xtcnt of the [)cain is changed to A q o = / k p i / k z / 1 t o , whilst the a,ngular wi(tth remains inva,ria,nt (Fig. 2.10.b)).
P,
p~ = p , , . . . . . . .+,.. . . . . . . . . . . . . . . . . . .
P,,
-~
I 5q=
'+'~: . p ,
:
;
i
I I
p,
= I)+,
i
q, q,, = q,
i
+
i
A:
I10 . p,
q, (b)
A:
9 I D'q
= tl o " /
(a)
9
~
i I
/] ,'
. . j %
5q
I~
A=
n o
I> T
. p,
~ I
i,<
:'
/)!
--
/)o
P,
I', i
! ,
ill
i
inp~l +
q q, (d)
t~
% q
q~ (c~
FIGURE 2.1(). IAgtlt I)r()t)agati()ll l,llr(ntgtl a tl()tn()gelmolts Ine(littltl n,, ()ver tim (listance Az. Scheinatic of |,]l(~ pluLse plane trmlsfortnations of (a) the representativ(, poild, of a single ray, aim of the represetltative (tistriblttions of (b) a t)lln(tl(~ of rays ('tnmmtitlg fr()tn tim saine point, (c) a btln(lle of parallel rays (listribttte(l over a certain spatial exteilt, an(l (d) a bundle of rays uniforInly (tistributcd over different positions an(t directions. We m a y ()l)s(;rv(; t h a t a t)oint source, gcn(;ra.tcs a st)tlcric:al way(;, which is describe(t in the linear at)tm)ximation t)y a quadrati(:-t)ha,sc wa,v('f()rnl. T h e sheared se,gnmnt of Fig. 2.10.b), representing the fan of rays after t)r()pagating by d from the source, can therefore be i n t e r p r e t e d as tile representative phasespace d i s t r i b u t i o n of a spherical wave w i t h c u r v a t u r e radius j u s t equal to d. Accordingly, we m a y say ttmt a spherical wave with c u r v a t u r e radius R is represented in tile phase plane by tile line p - ~ . W i t h increa,sing d the r e p r e s e n t a t i v e segment is sheared more a n d more within the horizontal strip, d e t e r m i n e d by the initial angular a p e r t u r e of the wave, g e t t i n g parallel to the q axis when d ---+ oe. At infinite distance from tile source, in fact, a spherical wave is fairly like a plane one. A b e a m of parallel rays uniformly d i s t r i b u t e d over a certain spot in the
101
zi-plane, obtainable for instance by collimating a He-Ne laser beam into a given direction, may be represented by a segment parallel to the q-axis, whose length Aqi reproduces the spatial extent of the beam. Effected by (2.4.4), the representative segment is shifted parallel to the q-axis by ~q -- -~oPi , the spatial and angular extents of the beam remaining unchanged (Fig. 2.10.c)). Finally, we consider a bundle of rays uniformly distributed over different positions and angles about a certain phase-plane point. A line source of given spatial extent emitting rays uniformly within an angular width At~i around a fixed direction iilgy be a model source for such a bundle of rays, practically realizable by a thermal source, followed by an appropriate set of long and narrow slits for collimating purposes. The representative distribution in the phase plane covers a rectangular region, whose width and height are determined respectively by the spatial extent and angular divergence of the beam. As sketched in Fig. 2.10.d), the free propagation produces an overall translation and, most importantly, a horizontal shearing of the ray-distribution by the angle/3 - ta,n-1 (ZXz ~-0 )" The angular width of the beam remains constant a,s the rays propagate over the homogeneous section from zi to Zo: A p i = Apo, but the spatial extent is increased from Aqi to A q o - /Nqi-k Api Az.
n o
It is evident that the transformation (2.4.4) preserves the area of the phaseplane representative distributions: Ai = No, in accord with the Liouville's theorem. In fact, we see that the zero-area distributions in Figs. 2.10.b) and 2.10.c) are turned into zero-area distributions by (2.4.4); likewise, the regions of Fig. 2.10.d), representing the ray bundle before and after the propagation over Az, have tile same area: Ai = Ao =/Nqi/NPi. Correspondingly, the effect of the transforma, tion (2.4.8) on the above considered bundles of rays is shown in Fig. 2.11.b)-d). The vertical segment in Fig. 2.11.b), representing a, bundle of rays emanating from one point within an angular width A0i, is translated along the p-axis by @ = - 7 ) qi, the spatial and angular extents of the bundle being unchanged. Likewise, the horizontal segment in Fig. 2.11.c), representative of a beam of parallel rays, is vertically shifted by @ = - 7 ) qi and sheared by fl, being tan fl = - 7 ). The angular extent of the beam increases to Apo = zx qi. In accordance with the previously developed considerations concerning the phase spa,ce representation of a spherical wave, it is evident that Fig. 2.11.c) shows the transformation of a beam of parallel rays into a spherical wave with curvature radius R = - 1 / 7 ) due to the refraction at a non planar surface. Conversely, due to the invertibility of the ray path, we may say that a spherical wave may be transformed into a bundle of parallel rays by matching the curvature radius of the wave to the refracting power, and so the focal length 1 (Eq. (2.4.10)), of the surface such that R ~. Finally, the rectangular region representing a beam of rays uniformly dis-
102
P
..........
-~ P,
i
PI
.....
P'
i t
P,, = P t - 72q,
I I
72 qi
..........
"1' P,,
I
p. q
= p , - 72q,
iii
q, = q,, (b)
q, = q .
(a)
[}l
I
P P,
!!
I
I
]''~P -
y, q ,
bp p. = p, - ~-q,
p,, = p , - 7~q,
q~ = q,,
(c)
N q' = q"
qoutput
(d)
FIGUI{E 2.11. l{eKactioll at all illtc;rface I)r twr162 witll rcfl'actillg power 7) (ill the figllres 7 > > 0). Scllellmt,ic of tim plm.se l)lmm trmlsforIimt,i()lls of (a) tlm reI)rt,'scld,ative point of a sillgle ray, ml(l of tim rr seld, ative (listributio~s of a I)~(lle of rays witl~ (b) angular extent only, (c) Sl)atial ext,o~t o~fly a.~M (d) m~g~flar m~(l Sl)atial cxt,c~ts. tri|)lltcd over r l)<~sit,i<)llS a,llr (]ir(',(:ti{)lls is t,ra,llslatc~t a,ll(t p-slma,rcd by the a,nglc/~t = -t,a,l~-~ 7) (Fig. 2.11.(1)). T h e spatia.1 e x t e n t of the t~ca,m is not (:ha,ngc(t t)y the refra,r t,tlr~llgh the interfa,(:r Aqo = Aqi, wlfilst t,lm, angula,r w i d t h is incrcasc<l fr()nl Api to Apo = A pi + [7)[ A qi. Notice Mso tha, t, as in tim ca,se of tile prot)aga,tion t h r o u g h a homogeneous m e d i u m , tim a,rea A of tim r(;t)resentative (tist, ri|)ut, ions in t)ha,se space is preserved by tim r(;fl'action at the interface betwc(;n two nle(Iia (rcca,ll t h a t we are a s s u m i n g the reflection |)e negligible at the interface). F i g u r e 2.12.a,) illustra, tcs the scale tra,nsformation experienced by a, single ray. T h e coordina,tes of tile incoming and o u t g o i n g rays satisfy the relation (2.4.15), which for fixed initia,1 values can be viewed as tim e q u a t i o n of a,n equilateral h y p e r b o l a qp = qipi, having the c o o r d i n a t e axes as a s y m p t o t e s . A c c o r d i n g to the sign of tile p r o d u c t qiPi, the h y p e r b o l a b r a n c h e s are in the first a n d third quadra, nt (qipi > 0) or in the second a n d forth q u a d r a n t (qipi < 0). In tile case illustrated in tile figure, qiPi > 0. T h e r e p r e s e n t a t i v e point Pi = (qi,Pi) of the incoming ray slips along the relevant h y p e r b o l a b r a n c h to tile r e p r e s e n t a t i v e point Po - (mqi, ~ ) of the o u t g o i n g ray. m
1D First-OrderOptical Systems: The Ray-Transfer Matrix
103
-. !~ "~~
Pi .,"
"\ 9 ~ ". ~"'~",~ I
~"x input
. ~..
~..
.s'po
q q p = q, P,
q
output
(a)
FIGURE 2.12. The scaling matrix in the phase plane. The transformations experienced by (a) a single ray and (b) a spatially and angularly extended bundle of rays. In Fig. 2.12.b) we show the transformation acted by (2.4.13) on the phase plane rectangular region, representing a bundle of rays uniformly distributed over position and direction through the respective ranges Aqi and Api.The spatial and angular extents of the beam are changed to Aqo = m A q i and Apo = A p i / m . So, it is possible to reduce the spatial extent of the bundle but only producing a spread in the directions of the rays in the bundle. The behaviour of the system (2.4.13) gives signs, in geometrical optics, of the "uncertainty" principle. Mutuing the wording from the q u a n t u m mechanical context, we may say that the pure magnifier (2.4.13) produces a squeeze (g) in the phase plane contracting the ray-bundle representative area, in one direction and enlarging it in the orthogonal direction. Finally, we consider the effects of the ray-transformations (2.4.4), (2.4.8) and (2.4.13) on the phase-plane Gaussian distributions of the type (2.2.84). Specifically, we show the deformations experienced by the relative contours of constant density, which are clearly exemplified by the ellipses q2 + p2 = r (2.5.16)
for assigned values of the positive number c. The value of c determines the fraction of the total energy enclosed within the relevant elliptical contour; thus, for instance, the contour corresponding to c = 2 comprises about 86.5% of the optical energy of the beam. Thus, in Figs. 2.13.b) and 2.13.c) we m a y respectively see the q- and p-shears of the phase-plane contours (being circular 9 The term squeeze is largely used in quantum mechanics to indicate that some of the quantum fluctuations are squeezed out of one observable and into the second noncommuting observable.
104
FIGURE 2.13. ~iYmlsforlnatiolls of the plla.sc-l)lalle contollrs of tile (]mlssia, l ray-density

2~,,,~,, (' ' ' ( a , ) ' I ' t ~ e circ~lar cont(),~rs of the initial ~listrib~tio~ are ( b ) q-sl~eared by the propagation thrcJtlgh a ho~nogeIleolls medilml, ( c ) p-sheared by t.lm refraction at a two-metlia iIlterface, an~l (c) sqlleezetl ill ttle p tlirection by a scaling trm~sfi)r~n.
a,t, the int)111, plane) r162 t() t,lu', t)rot)a, ga,ti()n thr<)llgll a ll()lll<)geneous mediunl and the refra,ctioll at an interface. Simila,rly the squeeze along the p-axis due to the t)rot)agatioll through a magnifier with ma, gxlifi(:ation m > 1 is shown ill Fig. 2.13.~t), the initial (:ircles being t,ra,nsformer into the ellipses with the m a j o r axes oI1 the q-axis. We emphasize t h a t circles axl(t ellipses are the pictorial representations a d o p t e d in q u a n t u m optics for coherent and squeezed states. It is evi(tent from the a,bove figures t h a t segments are t u r n e d into segments, romboidal contours a,re t u r n e d into romboidal contours as finally elliptical contours are t u r n e d into elliptical contours [3.10, 3.7, a.g] (see Problem10). Indeed, the above figures make evident the general p r o p e r t y t h a t the functional form of the phase-plane ray distribution is preserved by any linear r a y - t r a n s f o r m a t i o n generated by q u a d r a t i c functions in q and p. This straightforwardly follows from relation (2.2.67) implying t h a t the a r g u m e n t s of the input ray distribu-
10,5
tion are replaced by their linear combination according to the specific optical transformation at hand. As a conclusion, we note that within the framework of charged particle beam dynamics, the area of a closed domain over the phase-plane pertaining to the beam, chosen possibly in conformity with definite criteria, is usually referred to as the beam (transverse) emittance [3.10]-[3.13], apart from multiplicative constant factors differing among the various slightly different definitions existing in the literature. The emittance remains unchanged if the beam propagates through a non dissipative medium and hence it is an intrinsic parameter of the beam. It corresponds in optics to the second-moment-based M 2 beam quality parameter. In full analogy with particle beam optics, a phase-plane domain can as well be associated with optical systems on account of their geometry and optical performance; it represents the largest region in phase plane within which all the incoming rays can propagate through the system reaching then the output plane, and is referred as the systeln acceptance. The investigation of the propagation properties of the beam emittance in relation to the system acceptance is evidently basic to the optimal design of the system in view of the desired optical performance.
2.6
Summary
We have derived Liouville's equation for the phase-space density p(q, p; z) appropriate to a "collective" description of light ray propagation. Then, exploiting the properties of Lie transformations we have showed that the phase-space ray density is propagated through the individual phase space ray-trajectories. We proceeded considering the matrix optics generated by the homogeneous quadratic monolnials lp2, lq2 and 89 the associated Lie matrices being the generators of the symplectic group Sp(2, N). The optical systems, generated by 89 and 89 have been recognized as performing the elementary optical operations as propagation through a homogeneous medium and refraction at 1 the interface between two media, whereas the optical system generated by -~qp acts as a positive scaler, which may enlarge the spatial extent of the beam at the expense of the angular spread. Finally the phase-plane picture have allowed us to recognize the transformations acted by the aforementioned optical systems on light beam as a horizontal shear, a vertical shear and an overall scale (or, "squeezing"). In the next chapter we will prove that every linear optical system can be understood as a sequence of a certain number of translations and refractions. We will establish two interesting decompositions of optical matrices, realizable under specific conditions. One of these decompositions involves the optical systems generated by the algebra basis matrices associated with the monomials
106
89 lq2 and -~qp. Accordingly, optical systems may be described in phase t)lane by a sequence of a horizontal shear, a vertical shear and a, squeezing. The other decomposition involves the optical systems genera,ted by the algebra ba,sis ma,trices associated with the polynomiaJs ~q 1 2 + ~p 1 2, ~q2 1 a.n(t lqp, the f()rmer |)eing t)rove(t t() genera,re r()tati()ns in t)ha,s(~-t)la,ne. Problems
1. Prove that througl~ the sy~nplectic ~nappii~g (2.2.34) geimrate(l by the Lie trm~sforination e ~ r associate(t witt~ t,he (ty~ainical variable f ( q , p ) , f is a~ invarim~t fl~IwtioI~, na~ncly f(-~, :f) - f(q, p) over all rax~ge ()f t,|m evol,~tio~ parmner ( i~ (2.2.34). Verify tlmt tl~e results of w 1.5.2 are in accor(l witt~ tl~is i~wai'im~ce. 2. Co~si(ler a perfi;ct i~mgi~g syst(un. Applyi~g tlm i~warim~ce of tim t)lmse-I)la~m are~s, prove the si~e con(litio~ n,), Aq, si~ Oi - 'n.(,.,_Aq,, siI~ 0,,, where Aqi a~d Aq,, (le1~()te tim tr~.ulsvcrse ext, eimio~s ()f tim ot)ject ;u~(l t|m i~nage, whilst '3; ai~(l '~?, represei~t tim li~nitiI~g m~gles (to tlm optical axis) of tim fm~ ()f rays respectively accepte(l m~(l t r a n s ~ i t t e ( t t)y l,lm s y s t c ~ . 3. Verify t,lmt
( .~" ) ~,~):~ .a':~ ) :~.~"~ ,,"] ) :~.4 ,,"~2 ) ~']:~ :~A'[ A". ~1 :~~";I.~'. i;I ) I .~. I .~. ~'~11 :~I~ I~, .'~1.
A A
which clearly evi(leilce t,lle role of tim ('()lIllmltator [A, B] to estal)lisll tim (liifercllce of the algebra ()f ()perat,()rs t() t,lm.t ()f scalars.
i
4. Write (lowll tim ('(nlll)()siti()ll rllle fi)r tile l)r()(llwt r
~,!~ ()f tw() ('Xl)()lmlltial ()I)erators,

t.,. ~..
whose exl)oImllts (:oIil,,ulte to a scalar: [A,/3] - ,'. Verify tlmt r ,.,~ is 1,or, c(),,llntltative. 5. Prove tlmt illsertizlg tim forzn (2.2.7()) for tlm r~\v (h'.llsity (listril)llt, ioll ill ttm Liollville equation (2.2.11) yiehls Halnilt(nl's eqlmti(nls for the light ray. 6. Exl)loiti~g tim i~variml('e of t,l~e [)lm.'~e-sl)ace vol~une m~(l tim relati(n~ I)etwee~ the volume eleInent dV ag~(t tim ge()~mtrical exteI~t dAdl~ ()f tl~e ele~m~tary l)~(lle ()f rays, (le(l~ce the tra~sfor~mti(n~ law ()f l,h(~' geo~netrical extend, of tim eleI~mId,ary beam under refractio~ at tt~e ii~terface between two ~m(lia. 7. Exploitii~g th(, invaria~ce ()f t.lm ph;m(,-space vol~mm, (le(]~w(' the trm~sfor~mtioi~ law of the radiance ~m(ter refractio~ at the ii~terfacc t)etween two ~m(lia, o~ a c ( ' o ~ t of tim relation between the vol~Hne eh~me.nt d~) m~(! t,|m geoinetrical fa('tor dScosOd~ as well as of the conservation of the ra(tiant energy. 8. Prove that iI~ the case of propagation thro~lgh a ho~nog(umo~s ~ne(ti~un, wlfich is described by the Hamiltonian flu~ction H - - v / n 2 - p 2 , the exact ray evoh~tion obtains
Pt
q ( z ) - q~ + p(z) - p~,
v/,,~_
~ ( z - z~),
where tile term v,,"/~-P~ is tile tangent of tile angle of tile input ray to tile axis. 9. Analyse the effect of tile spherical aberrations, i.e., deviations from tile paraxial propagation, oil the Gaussian density distribution (2.2.84), using the results of Problem 4 in ch. 1. Verify tile accord with the general result of Problem 8. 10. Verify t h a t (a) straight lines are m a p p e d into straight lines under the linear rayoptics transformation (2.1.3); in particular, verify that parallel straight lines are turned into parallel straight lines, the relevant angular coefficients q being related by the hyperbolic MSbius transformation
qo
Dq~ C Aq~ + B '
and that (b) ellipses are m a p p e d into ellipses with the same area.
107
References
[i] [2]
For the Hamiltonian formulation of geometrical optics see [4] in ch. 1. See [7] in ch.1 for a discussion of the analogy between geometrical optics and classical, and relativistic, mechanics of a point-particle. The light-magnetic optics analogy is as well evidenced in [3.10], [3.11], [3.13]. In relation with the Liouville's theorem we quote the original paper by Liouville, and the classical textbooks on mechanics by Arnold [3.3] and Goldstein [3.2], or on statistical mechanics by Tolman [4.1], ch. 3, pp. 48-52, Pathria [4.2], ch. 2, pp. 34-36, Balescu [4.3], ch. 2, pp. 37-44, and Toda [4.4], ch. 1, 17-22. A derivation of Liouville's theorem with an enlightening discussion of its implications in geometrical optics is presented by Marcuse [3.4]. Examples of the applicative implications of Liouville's theorem are in the papers [a.s]-[a.s]. For a discussion of the phase space method, and in particular of Liouville's theorem, within the context of the charged-beam optics, we suggest the books by Lichtenberg [3.10], Wollnik [3.11], and Hawkes and Kasper [3.13]. The latter exhaustively covers the whole of electron optics from both the geometrical and wave optics viewpoints. The paper by Lejeune and Aubert [3.11] provides one of tile first systematic accounts of tile multivariate issues concerned with the concepts of emittance and brightness in magnetic optics. See also the recent title by Dragoman and Dragoman [3.14].
[3]
[3.q
J. Liouville, "Sur la th~orie de la variation des constantes arbitraires", Journ. de Math. Pure et Appl. 3, 342-349 (1838). [3.2] H. Goldstein, Classical Mechanics (Addison Wesley, Reading, 2"d ed., 1980), ch. 9, pp. 426-428. [3.3] V.I. Arnold, Mathematical Methods of Classical Mechanics (Springer-Verlag, New York, 4 th ed., 1984), ch. 3, pp. 68-74. [3.4] D. Marcuse, Light Transmission Optics (Van Nostrand-Reinhold, Princeton, New Jersey, 1972), ch. 3, pp. 112-124. [3.5] D. Marcuse, "Compression of a bundle of light rays", Appl. Opt. 10,494-497 (1971). [3.6] M.C. Hudson, "Calculation of the maximum optical coupling efficiency into multimode optical waveguides", Appl. Opt. 13, 1029-1033 (1974). [3.7] G. Nemes, I.E. Teodorescu and M. Nemes, "Phase space treatment of optical beams", Preprint LOP-43-1984, CIP, Bucharest (1984). [3.8] W.A.E. Goethals, "Laser beam analysis by geometrical optics", in The Physics and Technology of Laser Resonators, D.R. Hall and P.E. Jackson (eds.)(Adam Hilger, Bristol, 1989), pp. 143-153. [3.9] G. Nemes, "A phase space approach to beam-pulse representations and measurements", Preprint LOP-76-1990, IAP, Bucharest (1990). [3.10] A.J. Lichtenberg, Phase-Space Dynamics of Particles (J. Wiley & Sons, New York,
1969).
108
[3.11] C. Lejeune and J. Aubert, "Emittance and Brightness: Definitions and Measurenmnts" in Applied Charged Particle Optics, Adv. Electron. & Electr. Physics, Suppl. 13A, A. Septicr (ed.) (Academic Press, New York, 1980), pp. 159-259. [3.11] H. Wolhfik, Optics of Charged Particles (Academic Press, Orlando, Florida, 1987). [3.13] P.W. Hawkes and E. Kasper, Principles of Electron Optics, 3 vols. (Academic Press, LoIulon, Vol. 1-2, 1989, Vol. 3, 1994). [3.14] D. Dragoinail a11(t M. Dragoman, Quantum-Classical Analogies (Spriilger, Berlin, 20()4), ell. 6, pp. 143-186.
[4] As ]msi{' lextl)~)r ()11 st alisli{'al lller We (llt{)t~'
[4.1] R.C. "l'olnmll, 7'/u: l"J+nciplc.s of Slatisl'ical ltlcHum, ir (()xfor~l tlldv, l'rcss, New Y<~rk, 1938). [4.2] II.K. l)at]lria, Statistical Mechanics (Pr Press, ()xfor{l, 1.972). [4.3] li. l~alesml, Igq'uilibri'wm and Noncquilibriwm, Statistical Mcch,anics (.lr Wiley &: Soils, New York, 1!}75). IIere, Lie operators anr Lie trallsforllmt, iCnls are intror162 toni exl)lr also, bot, i~ l,lle (:lassi('al ~tlltl tile qllalll, lllll pll~mCbSlmCe pit:tllres are l~rese,ld,e~l, l,}le latter lmillg r tl~ro~g]~ l,}~e Wig~n;r ~lisl,ril~tio~ fl~cl, io~.
[4.,1] M. 'I'o<la, R. K~fl)o alnl N. Sail,6, Statistical Physics I. Equilib,'i'um Stalislical Mechanics (Spri~ger-Verlag, l~erli~ 1.983). l,io~ville's tt~eore~n of classical statistical ~m<'lm~d<'s is <lisclasse<l, whose ccwrr to qll~-tlll, lllll sl, al, isl, ical ~mclmxdcs is ~s wall el~wi<la,l,e<l t,lm)~tgl~ tim Wig~mr <lisl,ril)~l, io~ finn:tioga. [5] G.('. ()ales, "Ve{:l<w A~alysis", il~ lhmdbook of Appli~'d Malhr - S~'Iccled '~'~'sulls a'mt 'm~'thod.s. ('. E. i~'ars~n~ (e~l.) (Va~ N~)slra~l-l{ei~l~l{l ('~)~l)a~y, New Y~)rk, 1983), r 3, 1)1). 129-178. S. Slei~l)erg, "l,ie s~,rie, l,ie tra~sfiw~ali~)~s, a~r their at)l)lir162 il~ Lie Moth,otis in ()pile.s, .l. Sfi~r Xl<~,~lrag;5~ a~r K.B. VGflf (e~ls.) (Sl)ri~ger-Verlag, Berli~, 1r ell. :1~, I~1). ,15-1().1. F,,r l lw g, umral tlm,,ry ,,r Lie algcl,ras a~,t gr,,~t)s we a,hlrcss tin: r<;a,h;r to [9] i~ (:t~. 1. SI)ecifically, we (l~U)te I)cl~w tin; lextl){~{)k t)y t t a ~ e r ~ e s ] ~ l)ei~g ~>f concern to tim t)I'{){)f ~)f tim ~ i ~ u ~ ( l ~ l a r i t y ~>f l lw sy~I)lccti(: ~ a l r i c c s aff{w{h:r i~ w 2.3.1. [7.1] M. Hamer~nesh, Group Theory and ils Applications to Ph!lsical Problems (AddisonWesley, Rea~liI~g, MA, 1962), pp. 403-406. We list 1)clow the ,~rigiI~al I)ai)ers 1)y Baker Is.a], a h ~ g with a few relate~l titles f i ' ~ t,he on the B C H fornmla are give~ in [6], wlmre derivation of the B C H fornmla can t)c fimnd Is.2], Ca~i)t)ell [s.~], a~r ttausdorff wide reh;vaI~t, literature. C~mmmnts a list of references is provided. The also in the t e x t b o o k s [8.7] and [8.8].
[6]
[7]
[8]
[8.1] J.E. Campbell, "On a law of combination of operators", Proc. London Math. Soc. 29, 14-32 (1897). [8.2] H.F. Baker, "On the exponential theorem for a simply transitive continuous group, and the calculation of the finite equations from constants of structure," Proc. London Math. Soc. 3, 91-129 (1901). [8.3] F. Hausdorff, "Die symbolische exponentialformel in der gruppentheorie", Ber. Verh. Saechs. Akad. Wiss. Leipzig Math.-Phys. Klasse 58, 19-48 (1906).
[8.4] W. Magnus, "On the exponential solution of differential equations for a linear operator", Comm. Pure Appl. Math. 7, 649-673 (1954).
109
[8.5] R.D. Richtmeyer and S. Greenspan, "Espansions of the Campbell-Baker-Hausdorff formula by computer", Comm. Pure Appl. Math. 18, 107-108 (1965). [8.6] R. M. Wilcox, "Exponential operators and parameter differentiation in quantum physics", J. Math. Phys. 8, 962-982 (1967). [8.7] S. Helgason, Differential Geometry and Symmetric Spaces (Academic Press, New York, 1962), pp. 36-40. [8.8] M. Hausner and J.T. Schwartz, Lie Groups; Lie Algebras (Gordon and Breach, New York, 1968), pp. 65-71. [9] The basic concepts of radiometry and radiative transfer theory, and their connection to partial coherence theory are illustrated in a variety of titles; a few are quoted below. See [3.11] and [3.1a], ch. 47, pp. 971-988, ch. 78-79, pp. 1719-1767, for a discussion of the concept of brightness, and coherence and brightness from the viewpoint of electron optics; the close analogy to light optics is enlightened and effectively supported by numerous references. [9.1] M. Born and E. Wolf, Principles of Optics (Pergamon, Oxford, 1965), pp.181-183. [9.2] F. Grum and R.J. Becherer, Optical Radiation Measurements. L Radiometry (Academic Press, New York, 1979), chs. 1-3, pp. 1-97. [9.3] W.R. McCluney, Introduction to Radiometry and Photometry (Artech House, Boston, 1994). [9.4] L. Mandel and E. Wolf, Optical Coherence and Quantum Optics (Cambridge University Press, Cambridge, 1995), ch. 5, pp. 287-307 and references therein. [9.5] F. Nicodemus, "Radiance", Am. J. Phys. 31, 368-377 (1963). [9.6] A. Walther, "Radiometry and Coherence", J. Opt. Soc. Am. 58, 1256-1259 (1968). [9.7] A. Walther, "Radiometry and Coherence", J. Opt. Soc. Am. 63, 1622-1623 (1973). [9.8] E. Wolf, "Coherence and Radiometry", J. Opt. Soc. Am. 68, 6-17 (1978). [9.9] A . T . Priberg, "On the existence of a radiance fimction for finite planar sources of arbitrary statcs of coherence", J. Opt. Soc. Am. 69, 192-197 (1979). [9.10] A. T. Fribcrg, "Phase-space methods for partially cohcrcnt wavcficlds", in Optics in four dimensions, M.A. Machado and L.M. Narducci (eds.) (Amer. Inst. Phys., New York, 1981), pp. 313-330. [9.11] L.A. Apresyan and Yu.A. Kravtsov, "Photometry and coherence: wave aspects of the theory of radiation transport", Sov. Phys. Usp. 27, 301-313 (1984). [9.12] J.T. Foley and E. Wolf, "Radiometry as a short-wavelength limit of statistical wave theory with globally incoherent sources", Opt. Comm. 55, 236-241 (1985). [9.13] G.S. Agarwal, J.T. Foley and E. Wolf, "The radiance and phase-space representations of the cross-spectral density operator", Opt. Comm. 62, 67-72 (1987). [9.14] R.G. Littlejohn and R. Winston, "Corrections to classical radiometry", J. Opt. Soc. Am. A 10, 2024-2037 (1993).
[10] A reading list about the concept of light ray is provided in [1] of ch. 1. [11] Specific investigations about the symplectic group, in relation as well to geometrical optics, are presented in [11.1] V. Guillemin and S. Sternberg, Symplectic Techniques in Physics (Univ. Press, New York, 1990). [11.2] R. Simon and N. Mukunda, "The two-dimensional symplectic and metaplectic groups and their universal cover", in Symmetries in Science VI, B. Gruber (ed.) (Plenum Press, New York, 1993), pp. 659-689.
110
[11.3] Arvind, B. Dutta, N. Mukunda and R. Simon, "The Real symplectic groups in quantum mechanics and optics", Pramana 45, 471-513 (1995); also in arXiv:quantph/9509002 v3. [11.4] J.F. Carifiena and J. Nasarre, "On the symplectic structures arising in geometric optics", Fortschr. Phys. 44, 181-198 (1996). [11.5] R. Simon and K.B. Wolf, "Structllrc of the set of paraxial optical systems", J. Opt. Soc. Am. 17, 342-355 (2000). [11.6] K.B. Wolf, Geometric Optics on Phase Space (Springer, Berlin, 2004). [12] As t() tl~c ray ~mtI'ix a l)tmmr tr ()I)ti('s we sllgg('st [13.3], [13.5] all(1 [12.1] W. BI'ollwer, Matrix Mchods in Optical ht..st'uumcnt Design (BeIljmlfiIl, New York, [12.2] A. Nussbmml ml(1 R.A. Plfillips, Conte'mpom77! Optics fin" Scientists and Enginee~;s (PrcIlticc-Ilall, Ellglcwoo~l Cliffs, 1976). [,2.3] M.V. Klci~ m~d T. bhu'tak, Optics (Joh~ Wiley & Sons, New York, 2 ''d e~l., 1986). [12.4] K. ttall~acll, "Matrix rcl)resr atioll of Gmlssiml optics", Aiil..]. Pllys. 32, 90-1()8 (1:)(i4). [12.5] H. Kogel~lik, "llnagiilg of optical Inor I/csolmtors witll iiltcrnal lcllses", Bell Systcln 'Fcctl..I. 44, 455-494 (1965). [13] I)~'.taih'd r162162 ~f tim im)l)crtics of Gaussia~ I)ca~s arc l)rcsc~tcr i~ [3.4], [13.1] A. Yariv, Quantum l';lcl~vnic.s (,]ol~ Wiley & So~s, New York, 2 ''d ctl, 1975), oh. 6, pp. 99-129. [13.2] ,I.A. Ar~m.~i, lh'am and l"ibcr Optic.s (Aca~h;~,fic l'rcss, I~,~,lcn~, 1.q76), ('1~. 2, pp. 54-79. [13.3] A.E. Sieg~nm~, Lascns (Univ. Book, Mill Valley, 1.98(i), tits. 16-17, pp. (i2(i-(i97. [13.4] P.W. Milo~fi m~r .].H. Eberly, Lasers (.lol~ Wiley & So~s, New York, 1.q88), pp. 484-5O8. [13.5] B.E.A. Salch m~r M.C. Tcicl~, Fundamentals of l'hotonics (,Iol~ Wiley & Sons, New York, 1991), ell. 3, t)P. 80-107. [13.6] N. Ho(lgso~ m~(l tl. Wt4)cr, Optical Resonators - Fundamentals, Advanced Concepts and Applications (Spri~gcr-Vcrlag, Lon(to~, 1997), cir. 2, pp. 76-104. [14] A. S. Dcif, Ad't,a'm'ed Matrix Theory for Scie'nti.sts and Enginec'rs (Al)a(:us Press, ~mfl)ri(tgc Wells, 1982), oh. 5; in particular, for the methods to compute the exponential fin~ction of matrices see pp. 176-182. [15] For an invcst igati()I~ of t]~(', refractiI~g surface transf()ri:nations we address the reader t,() [11.6] , Ctl. 4, t)t). 47-56 and to [15.1] H. Raszillier and W. Scheinpp, "Fourier optics from the perspective of the Heisenberg group", in Lie Methods in Optics, J. Ss Mondrag6n and K.B. Wolf (eds.) (Springcr-Verlag, Berlin, 1986), oh. 2, pp. 29-43. [15.2] M. Navarro-Saad and K.B. Wolf, "Factorization of the phase-space transformation produced by all arbitrary refracting surface", J. Opt. Soc. Am. A 3, 340-346 (1986). [15.3] T. Sekiguchi aim K.B. Wolf, "The Hamiltonian formulation of optics", Am. J. Phys. 55, 830-835 (1987). [15.4] K.B. Wolf, "Symmetry in Lie optics", Ann. Phys. 172, 1-25 (1986). [15.5] K.B. Wolf and G. Kr6tzsch, "Geometry m~d dynamics in refracting systems", Eur. J. Phys. 16, 14-20 (1995). [15.6] O.N. Stavroudis, The Optics of Rays, Wavefronts and Caustics (Academic Press, New York, 1972).

2B 1D First-Order Optical Systems The Ray-Transfer Matrix

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2 1D First-Order Optical Systems: The Ray-Transfer Matrix

Linear Ray and Wave Optics in Phase Space

1D First-Order Optical Systems: The Ray- Transfer Matrix

Ensemble statistical description

Linear Ray and Wave Optics in Phase Space

Ray-ensembledescription of light propagation

1D First-Order Optical Systems: The Ray- Transfer Matrix

Linear Ray and Wave Optics in Phase Space

1D First-Order Optical Systems: The Ray-Transfer Matrix

Liouville 's equation for the ray-ensemble

d 0 Op dq Op dp dzp(q, p; z) - -~zp(q, p; z) + Oq dz ~ Op dz'

by which the equation for p(q, p; z) follows in the concise form

.N" v (z) - Iv p(q' p; z)dV.

Linear Ray and Wave Optics in Phase Space

i) dq 0 dp X7. (p U ) -- ,-7- (P-;-) + ,-:7-(P-;-) - {P, II }. oq az op az

1D First-Order Optical Systems: The Ray- Transfer Matrix

p(q, p; z) - c -(z-z~) k, p(q, p; zi),

Linear Ray and Wave Optics in Phase Space

which by comparison with (2.2.14) immediately leads to V(z) = V i . (2.2.16)

1D First-Order Optical Systems: The Ray-Transfer Matrix

Basics of Lie transformations

Linear Ray and Wave Optics in Phase Space

tio'u p'rope'l'ty, wllic:ll t,lu'()ltgll l,ll(; r(;la,ti()ll

~:<': h.:/ - (,~<': h.) (,.<'::/),

~. LsV(q'P) -- v + C{v, f} + -~-{{v, f}, f } + ...,

1D First-Order Optical Systems: The Ray-Transfer Matrix

Accordingly, the Lie transformation of powers of q and p is

eCLcqmp n -- (eCLf q) m (eCLr

~(q,p)- ~ 52g ..... qmp,.

It is evident that we can recompose the function g according to the series

expansion (2.2.27) at the phase-space point (cr162q, CCLr

eCLf g(q,p) __ g(e r

Linear Ray and Wave Optics in Phase Space

phase-space function ~~/(uV) ~ ,.~'~ ~(uV) .q(vV)

1D First-Order Optical Systems: The Ray-Transfer Matrix

Linear Ray and Wave Optics in Phase Space

ttn~s yie](li~g tl~e fiI'st-(w(h:r (liff(:l'(:~tia] e(t~m.t,i()~ fi)r 7-(()" d(

c r ks; ~ E R}, for which

1D First-Order Optical Systems: The Ray-Transfer Matrix

{q,P} ~ {q-- er Lgq, iO-- er L~P} ~ { q -

I~l Lfq-. ~ _ e~1Lf/,l~}

thus recovering the L/-generated subgroup relation (2.2.46).

Linear Ray and Wave Optics in Phase 5pace

,TC,/~<~:,(1) _ ,,<, L,+(:~ L:, _ Z

.~. ((, kf + (2"L.q .

(~, L~ + ~ L,,)" - (r L~ + C~ L,,)(C, L~ + ~ L,,)

(1)([ L// (.j-' L:/

("~1 Lf-[-Q2 L'q----

(J-l)!l'Ql" ks(j-z k.~

1D First-Order Optical Systems: The Ray- Transfer Matrix

so that the product of TIff1 ) and Tg((2)is

GkClf+~2g ~(1/+~9(1) '

e ~1 kf e< 2 kg _ e~l kf +<2 kg jUSt aS for s c a l a r s . R e l a t i o n

w e proved in the case that [LI, Lg] - 0

Linear Ray and Wave Optics in Phase 5pace

Ray-bu'n, dh: trmpagation: th, c ray t'ra'n,sfcr operator and matri:r~

t,(q, p; z) - t,(, ,-(~-~,) t.,, q,`-(:-:,) ,,, p; z~).

1D First-Order Optical Systems: The Ray-Transfer Matrix

p(uT; Z)- p ( v T ; z i ) which in particular shows that

p(0, 0; z) = p~(0, 0),

it remains a (5-fimction at any z > zi, evolving into

Linear Ray and Wave Optics in Phase Space

1D First-Order Optical Systems: The Ray-Transfer Matrix