ISBN: 0-8247-7916-9

This book is printed on acid-free paper.

Headquarters
Marcel Dekker, Inc.
270 Madison Avenue, New York, NY 10016

Eastern Hemisphere Distribution

Marcel Dekker AG
Hutgasse 4, Postfach 812, CH-4001 Basel, Switzerland
tel: 41-61-261-8482; fax: 41-61-261-8896

World Wide Web

http:/www.dekker.com

The publisher offers discounts on this book when ordered in bulk quantities. For
more information, write to Special Sales/Professional Marketing at the headquarters
address above.

Copyright # 2000 by Marcel Dekker, Inc. All Rights Reserved.

Neither this book nor any part may be reproduced or transmitted in any form or by
any means, electronic or mechanical, including photocopying, micro®lming, and
recording, or by any information storage and retrieval system, without permission
in writing from the publisher.

Current printing (last digit):

10 9 8 7 6 5 4 3 2

PRINTED IN THE UNITED STATES OF AMERICA

 OPTICAL ENGINEERING

Founding Editor
Brian J. Thompson
University of Rochester
Rochester, New York

Editorial Board

Toshimitsu Asakura Nicholas F. Borrelli

Hokkai-Gakuen University
Sapporo, Hokkaido, Japan
Chris Dainty
Imperial College of Science,
Technology, and Medicine
London, England
Mark Kuzyk
Washington State University
Pullman, Washington
Edmond J. Murphy
JDS/Uniphase
Bloomfield, Connecticut
Joseph Shamir
Technion–Israel Institute
of Technology
Hafai, Israel
Corning, Inc.
Corning, New York
Bahram Javidi
University of Connecticut
Storrs, Connecticut
Hiroshi Murata
The Furukawa Electric Co., Ltd.
Yokohama, Japan
Dennis R. Pape
Photonic Systems Inc.
Melbourne, Florida
David S. Weiss
Heidelberg Digital L.L.C.
Rochester, New York
 1. Electron and Ion Microscopy and Microanalysis: Principles and Ap-
plications, Lawrence E. Murr
2. Acousto-Optic Signal Processing: Theory and Implementation, edited
by Norman J. Berg and John N. Lee
3. Electro-Optic and Acousto-Optic Scanning and Deflection, Milton
Gottlieb, Clive L. M. Ireland, and John Martin Ley
4. Single-Mode Fiber Optics: Principles and Applications, Luc B. Jeun-
homme
5. Pulse Code Formats for Fiber Optical Data Communication: Basic
Principles and Applications, David J. Morris
6. Optical Materials: An Introduction to Selection and Application, Sol-
omon Musikant
7. Infrared Methods for Gaseous Measurements: Theory and Practice,
edited by Joda Wormhoudt
8. Laser Beam Scanning: Opto-Mechanical Devices, Systems, and Data
Storage Optics, edited by Gerald F. Marshall
9. Opto-Mechanical Systems Design, Paul R. Yoder, Jr.
10. Optical Fiber Splices and Connectors: Theory and Methods, Calvin M.
Miller with Stephen C. Mettler and Ian A. White
11. Laser Spectroscopy and Its Applications, edited by Leon J. Rad-
ziemski, Richard W. Solarz, and Jeffrey A. Paisner
12. Infrared Optoelectronics: Devices and Applications, William Nunley and
J. Scott Bechtel
13. Integrated Optical Circuits and Components: Design and Applications,
edited by Lynn D. Hutcheson
14. Handbook of Molecular Lasers, edited by Peter K. Cheo
15. Handbook of Optical Fibers and Cables, Hiroshi Murata
16. Acousto-Optics, Adrian Korpel
17. Procedures in Applied Optics, John Strong
18. Handbook of Solid-State Lasers, edited by Peter K. Cheo
19. Optical Computing: Digital and Symbolic, edited by Raymond Arra-
thoon
20. Laser Applications in Physical Chemistry, edited by D. K. Evans
21. Laser-Induced Plasmas and Applications, edited by Leon J. Rad-
ziemski and David A. Cremers
22. Infrared Technology Fundamentals, Irving J. Spiro and Monroe
Schlessinger
23. Single-Mode Fiber Optics: Principles and Applications, Second Edition,
Revised and Expanded, Luc B. Jeunhomme
24. Image Analysis Applications, edited by Rangachar Kasturi and Mohan
M. Trivedi
25. Photoconductivity: Art, Science, and Technology, N. V. Joshi
26. Principles of Optical Circuit Engineering, Mark A. Mentzer
27. Lens Design, Milton Laikin
28. Optical Components, Systems, and Measurement Techniques, Rajpal
S. Sirohi and M. P. Kothiyal
29. Electron and Ion Microscopy and Microanalysis: Principles and Ap-
plications, Second Edition, Revised and Expanded, Lawrence E. Murr
30. Handbook of Infrared Optical Materials, edited by Paul Klocek
31. Optical Scanning, edited by Gerald F. Marshall
32. Polymers for Lightwave and Integrated Optics: Technology and Ap-
plications, edited by Lawrence A. Hornak
33. Electro-Optical Displays, edited by Mohammad A. Karim
34. Mathematical Morphology in Image Processing, edited by Edward R.
Dougherty
35. Opto-Mechanical Systems Design: Second Edition, Revised and Ex-
panded, Paul R. Yoder, Jr.
36. Polarized Light: Fundamentals and Applications, Edward Collett
37. Rare Earth Doped Fiber Lasers and Amplifiers, edited by Michel J. F.
Digonnet
38. Speckle Metrology, edited by Rajpal S. Sirohi
39. Organic Photoreceptors for Imaging Systems, Paul M. Borsenberger
and David S. Weiss
40. Photonic Switching and Interconnects, edited by Abdellatif Marrakchi
41. Design and Fabrication of Acousto-Optic Devices, edited by Akis P.
Goutzoulis and Dennis R. Pape
42. Digital Image Processing Methods, edited by Edward R. Dougherty
43. Visual Science and Engineering: Models and Applications, edited by D.
H. Kelly
44. Handbook of Lens Design, Daniel Malacara and Zacarias Malacara
45. Photonic Devices and Systems, edited by Robert G. Hunsperger
46. Infrared Technology Fundamentals: Second Edition, Revised and Ex-
panded, edited by Monroe Schlessinger
47. Spatial Light Modulator Technology: Materials, Devices, and Appli-
cations, edited by Uzi Efron
48. Lens Design: Second Edition, Revised and Expanded, Milton Laikin
49. Thin Films for Optical Systems, edited by François R. Flory
50. Tunable Laser Applications, edited by F. J. Duarte
51. Acousto-Optic Signal Processing: Theory and Implementation, Second
Edition, edited by Norman J. Berg and John M. Pellegrino
52. Handbook of Nonlinear Optics, Richard L. Sutherland
53. Handbook of Optical Fibers and Cables: Second Edition, Hiroshi
Murata
54. Optical Storage and Retrieval: Memory, Neural Networks, and Fractals,
edited by Francis T. S. Yu and Suganda Jutamulia
55. Devices for Optoelectronics, Wallace B. Leigh
56. Practical Design and Production of Optical Thin Films, Ronald R.
Willey
57. Acousto-Optics: Second Edition, Adrian Korpel
58. Diffraction Gratings and Applications, Erwin G. Loewen and Evgeny
Popov
59. Organic Photoreceptors for Xerography, Paul M. Borsenberger and
David S. Weiss
60. Characterization Techniques and Tabulations for Organic Nonlinear
Optical Materials, edited by Mark Kuzyk and Carl Dirk
61. Interferogram Analysis for Optical Testing, Daniel Malacara, Manuel
Servín, and Zacarias Malacara
62. Computational Modeling of Vision: The Role of Combination, William
R. Uttal, Ramakrishna Kakarala, Sriram Dayanand, Thomas Shepherd,
Jagadeesh Kalki, Charles F. Lunskis, Jr., and Ning Liu
63. Microoptics Technology: Fabrication and Applications of Lens Arrays
and Devices, Nicholas F. Borrelli
64. Visual Information Representation, Communication, and Image Pro-
cessing, Chang Wen Chen and Ya-Qin Zhang
65. Optical Methods of Measurement: Wholefield Techniques, Rajpal S.
Sirohi and Fook Siong Chau
66. Integrated Optical Circuits and Components: Design and Applications,
edited by Edmond J. Murphy
67. Adaptive Optics Engineering Handbook, edited by Robert K. Tyson
68. Entropy and Information Optics, Francis T. S. Yu
69. Computational Methods for Electromagnetic and Optical Systems,
John M. Jarem and Partha P. Banerjee
70. Laser Beam Shaping: Theory and Techniques, edited by Fred M. Dick-
ey and Scott C. Holswade
71. Rare-Earth-Doped Fiber Lasers and Amplifiers: Second Edition, Re-
vised and Expanded, edited by Michel J. F. Digonnet
72. Lens Design: Third Edition, Revised and Expanded, Milton Laikin
73. Handbook of Optical Engineering, edited by Daniel Malacara and Brian
J. Thompson
74. Handbook of Imaging Materials, edited by Arthur S. Diamond and Da-
vid S. Weiss
75. Handbook of Image Quality: Characterization and Prediction, Brian W.
Keelan
76. Fiber Optic Sensors, edited by Francis T. S. Yu and Shizhuo Yin
77. Optical Switching/Networking and Computing for Multimedia Systems,
edited by Mohsen Guizani and Abdella Battou
78. Image Recognition and Classification: Algorithms, Systems, and Appli-
cations, edited by Bahram Javidi
79. Practical Design and Production of Optical Thin Films: Second Edition,
Revised and Expanded, Ronald R. Willey
80. Ultrafast Lasers: Technology and Applications, edited by Martin E.
Fermann, Almantas Galvanauskas, and Gregg Sucha
81. Light Propagation in Periodic Media: Differential Theory and Design,
Michel Nevière and Evgeny Popov
82. Handbook of Nonlinear Optics, Second Edition, Revised and Ex-
panded, Richard L. Sutherland

Additional Volumes in Preparation

Optical Remote Sensing: Science and Technology, Walter Egan

 John Jarem dedicates this book to his wife,
Elizabeth A. Connell Jarem, and his children,
Amy, Chrissy, and Sean.

Partha Banerjee dedicates this book to his wife,

Noriko Tsuchihashi Banerjee, and his sons,
Hans and Neil.
From the Series Editor

This volume is about neither mathematics for the sake of mathematics nor
electromagnetic theory for the sake of electromagnetic theory. It is about the
important and useful computational methods that need to be applied to the
analysis and hence the design of electromagnetic and optical systems.
Computational Methods for Electromagnetic and Optical Systems presents
the best and most pertinent mathematical tools for the solution of current
and future analysis and synthesis of systems applications without over-
generalization; that means using the best and most appropriate tools for
the problem at hand. Optical design certainly proves that some problems
can be evaluated by ray tracing; others need scalar wave theory; still others
need electromagnetic wave analysis; and, ®nally, some systems require a
quantum optics approach. Thus, rays, waves, and photons have coexisted
in optical science and engineering, each with its own domain of validity and
each with its own computational methods.
Solutions of Maxwell's equations are described that can be applied to the
analysis of diffraction gratings, radiation, and scattering from dielectric
objects and holograms in photorefractive materials. Fundamentally it is
necessary to understand how electromagnetic radiation is transmitted,
re¯ected, and refracted through one- and two-dimensional isotropic and
anistrophic materials. One- and two-dimensional Fourier transform theory
allows for the study of how spectral components are propagated. The alter-
native method of split-step beam propagation can be applied to inhomoge-
neous media.
Other computational methods covered in these pages include: coupled-
wave analysis of inhomogeneous cylindrical and spherical systems, state
variable methods for the propagation of anisotropic waveguide systems,
and rigorous coupled wave analysis for photorefractive devices and systems.

v
vi From the Series Editor

The computational methods described here should be very valuable

whether the reader needs to simulate, analyze, or design electromagnetic
and optical systems.

Brian J. Thompson
Preface

Exact solutions of problems in electromagnetics and optics have become an

increasingly important area of research. The analysis and design of modern
applications in optics and those in traditional electromagnetics demand
increasingly similar numerical computations due to reduction in feature
sizes in optics. In electromagnetics a large amount of research concentrates
on numerical analysis techniques such as the method of moments, ®nite
element analysis, and the ®nite difference analysis technique. In the ®eld
of optics (a part of electromagnetics), much research has been done on
the analysis of thin and thick diffraction gratings for application to spectro-
metry and holography.
From the late 1970s to the present, an extremely important technique for
the analysis of planar diffraction gratings, developed by different research-
ers, has been a state variable technique called rigorous coupled wave analy-
sis. This technique is based on expanding Maxwell's equations in periodic
media in a set of Floquet harmonics and, from this expansion, arranging the
unknown expansion variable in state variable form, from which all
unknowns of the system can be solved. For planar diffraction gratings
this technique has proved to be very effective, providing a fast, accurate
solution and involving only a small matrix and eigenvalue equation for the
solution.
In control theory and applications, the state variable method has been
widely applied and in fact forms a foundation for this area. In the electro-
magnetics area (including optics), the state variable method, although a
powerful analysis tool, has seen much less application. When used, it is
applied in conjunction with other methods (for example, the spectral
domain method, transmission ladder techniques, K-space analysis tech-
niques, and the spectral matrix method) and is rarely listed as a state vari-
able method. The purpose of the present volume is to tie together different
applications in electromagnetics and optics in which the state variable

vii
viii Preface

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

tion gratings using the rigorous coupled wave theory method.
This book introduces students and researchers to a variety of spectral
computational techniques including K-space theory, Floquet theory, and
the beam propagation technique, which are then used to analyze a variety
of electromagnetic and optical systems. Examples include analysis of radia-
tion through isotropic and anisotropic material slabs, planar diffraction
gratings in isotropic and anisotropic media, propagation through nonlinear
and inhomogeneous optical media, radiation and scattering from three-
dimensionally inhomogeneous cylindrical and spherical structures, and dif-
fraction from photorefractive materials. The K-space and Floquet theory
are applied in the form of a recently developed algorithm called rigorous
coupled wave analysis. A full-®eld approach is used to solve Maxwell's
equations in anistropic media in which standard wave equation approach
is intractable. The spectral techniques are also used to analyze wave mixing
and diffraction from dynamically induced nonlinear anisotropic gratings
such as in photorefractive materials. This book should be particularly valu-
able for researchers interested in accurately solving electromagnetic and
optical problems involving anisotropic materials. Ef®cient and current,
rapidly convergent, numerical algorithms are presented.
The organization of the book is as follows. In Chapter 1, mathematical
preliminaries, including the Fourier series, Fourier integrals, Maxwell's
equations, and a brief review of eigenanalysis, are presented. Chapter 2
deals with the K-space state variable formulation, including applications
to anisotropic and bianisotropic planar systems. Chapter 3 covers the
state variable method and the rigorous coupled wave analysis method as
applied to planar diffraction gratings. Many types of gratings are analyzed,
including thin and thick gratings, surface relief gratings, re¯ection gratings,
and anistropic crossed diffraction gratings. In both Chapters 2 and 3, we
apply the complex Poynting theorem to validate numerical solutions.
Chapter 4 reviews the split-step beam propagation method for beam and
pulse propagation. Chapter 5 applies the state variable method and rigorous
coupled wave theory to the solution of cylindrical and spherical scattering
problems. The interesting problem of scattering from a cylindrical diffrac-
tion is considered. Chapter 6 uses state variable and full-®eld analysis to
study modal propagation in anisotropic, inhomogeneous waveguides and in
anisotropic, transversely periodic media. Chapter 7 is concerned with the use
of spectral techniques and rigorous coupled wave theory to study dynamic
waves moving in photorefractive materials with emphasis on induced trans-
mission and re¯ection gratings.
The intended primary audience is seniors and graduate students in elec-
trical and optical engineering and physics. The book should be useful for
Preface ix

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

and photorefractives, as well as researchers in electromagnetics working in
antennas, propagation and scattering theory, or electromagnetic numerical
methods. The book will also be of interest to the military, industry, and
academia, and to all interested in solving various types of electromagnetic
propagation problems. The book should be ideal for either classroom adop-
tion or as an ancillary reference in graduate-level courses such as numerical
methods in electromagnetics, diffractive optics, or electromagnetic scatter-
ing theory.
We would like to acknowledge Dr. Brian J. Thompson for encouraging us
to write this book and for his interest in the subject. We are also indebted to
Linda Grubbs, who typed parts of the manuscript. We acknowledge all
those who allowed us to reproduce part of their work. We also thank the
ECE department at the University of Alabama for their long-term support,
which made the writing possible. Finally, we acknowledge the support and
encouragement of our wives, Elizabeth Jarem and Noriko Banerjee, and our
parents and families, during the writing of the book.

John M. Jarem
Partha P. Banerjee
Contents

From the Series Editor Brian J. Thompson v

Preface vii

1. Mathematical Preliminaries 1

2. Spectral State Variable Formulation for Planar Systems 15

3. Planar Diffraction Gratings 99

4. The Split-Step Beam Propagation Method 245

5. Rigorous Coupled Wave Analysis of Inhomogeneous

Cylindrical and Spherical Systems 285

6. Modal Propagation in an Anisotropic Inhomogeneous

Waveguide and Periodic Media 341

7. Application of Rigorous Coupled Wave Analysis to

Analysis of Induced Photorefractive Gratings 371

Index 429

xi
1
Mathematical Preliminaries

1.1 INTRODUCTION

Popular T-shirts advertising Maxwell's equations do not go beyond merely

stating them. In this book, we enter into a little more depth and solve these
equations for analyzing various electromagnetic (EM) and optical problems,
e.g., diffraction gratings, radiation and scattering from dielectric objects,
and holograms in photorefractive materials. The emphasis on ®nding the
solutions in our text concerns the use of Fourier and state variable analyses.
In this chapter, we brie¯y restate Maxwell's equations and review mathe-
matical techniques pertinent to the analyses presented in later chapters.
Maxwell's equations in differential form are a set of four coupled
!
partial differential equations relating the electric ®eld E , the magnetic
! ! !
®eld H , the electric displacement, D , and the magnetic ¯ux density B :

!
r
D ˆ i …1:1:1†
!
r
B ˆ0 …1:1:2†
!
! @B
r E ˆ …1:1:3†
@t
!
! ! ƒ! @ D
r  H ˆ Jc ‡ J i ‡ …1:1:4†
@t

! !
In Eqs. 1.1.1±4, i denotes the impressed charge density, and J c , and J i are
conduction and impressed current densities, respectively. In time-reduced
! !
form (i.e., assuming variations of the form A ˆ Re… A exp j!t†, Eqs. 1.1.1±4
read

1
2 Chapter 1

!
r
D ˆ i …1:1:5†
!
r
B ˆ0 …1:1:6†
! !
r E ˆ j! B …1:1:7†
! ! ! !
r  H ˆ Jc ‡ Ji ‡ j! D …1:1:8†

In Eqs. 1.1.5±8, the electric and magnetic ®eld variables are related through
the constitutive relations as
! ! ! ! ! !
D ˆ 0  E B ˆ 0 lH J c ˆ rE …1:1:9†

where 0 and 0 are the free-space permittivity and permeability, respec-

tively,  and l are the relative permittivity and permeability tensor, respec-
tively, of the material, and r is the conductivity tensor. More general
constitutive relations that apply to, for instance, chiral media, can be
found later on in the book.

1.2 THE FOURIER SERIES AND ITS PROPERTIES

It is easy to show that a set of exponential functions fexp jnKxg, n ˆ 0, 1,

p
2, etc., where j ˆ 1, is orthogonal over an interval …x0 ; x0 ‡ 2=K† for
any value of x0 . The orthogonality can be demonstrated by considering the
integral
… x0 ‡2=K
2
Iˆ exp…jnKx† exp… jmKx† dx ˆ  …1:2:1†
x0 K m;n

where m;n is the Kronecker delta function:


1 mˆn
m;n ˆ …1:2:2†
0 m 6ˆ n

Using this, a function f …x† can be expanded in a Fourier series over an

interval …x0 ; x0 ‡ 2=K† as

X
1
f …x† ˆ Fn exp…jnKx† …1:2:3†
nˆ 1
Introduction 3

Multiplying Eq. 1.2.3 by exp… jmKx†, integrating over the interval …x0 ,
x0 ‡ 2=K†, interchanging the summation and the integral, and using Eqs.
1.2.1 and 1.2.2, we obtain

… x0 ‡2=K X
1 … x0 ‡2=K
f …x† exp… jnKx† dx ˆ Fn exp…jnKx†
x0 nˆ 1 x0

exp… jmKx† dx
X1  
2 2
ˆ Fn m;n ˆ F
nˆ 1
K K m

Now, replacing m by n,

… x0 ‡2=K
K
Fn ˆ f …x† exp… jnKx† dx …1:2:4†
2 x0

Note that if a function fe …x† is de®ned as fe …x† ˆ f …x† exp… jx†, where  is a
constant, then over the interval …x0 ; x0 ‡ 2=K†, it can be written as

X
1
fe …x† ˆ Fn exp… jkxn x† kxn ˆ  nK …1:2:5†
nˆ 1

Li refers to this expansion in Eq. 1.2.5 as a pseudo-Fourier series of fe …x† [1].

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

X
1 X
1
f …x† ˆ Fn exp…jnKx† g…x† ˆ Gn exp…jnKx† …1:2:6†
nˆ 1 nˆ 1

over the same interval are multiplied, the product function h…x† has a
Fourier series expansion

X
1
h…x† ˆ Hn exp…jnKx† …1:2:7†
nˆ 1

over the same interval. We can ®nd the Fourier coef®cients of h…x† in the
following way:
4 Chapter 1

X
1 X
1
h…x† ˆ f …x†g…x† ˆ Fn exp…jnKx† Gm exp…jmKx†
nˆ 1 mˆ 1

X
1 X
1
ˆ Fn Gm exp…j…n ‡ m†Kx†
nˆ 1 mˆ 1
…1:2:8†
X
1 X
1
ˆ Fl m Gm exp…jlKx†
lˆ 1 mˆ 1

X
1
 Hl exp…jlKx†
lˆ 1

The limits on l are 1 to ‡1 since l ˆ m ‡ n and m and n each have limits

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

X
1
Hl ˆ Fl m Gm …1:2:9†
mˆ 1

Equation 1.2.7 is sometimes referred to as the Laurent rule [1]. To be more

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

X
N
h…x† ˆ lim Hl exp…jlKx†
N!1
lˆ N
! …1:2:10†
X
L X
M
ˆ lim lim Fl m Gm exp…jlKx†
L!1 M!1
lˆ L mˆ M

The above equation, in the way it is written, emphasizes two important

points. First, the two limits L and M are independent of each other, and
the inner limit has to be taken ®rst. Secondly, the upper and lower bounds in
each sum should tend to in®nity simultaneously [1].
In solving a practical problem on a computer, the truncation of the
in®nite series is inevitable. Later, in Chapter 3, we will show that there is a
convergence problem resulting from application of the Laurent rule to ®nd
the Fourier coef®cients of the product of two functions f …x† and g…x†, repre-
sented by ®nite or truncated Fourier series, which are pairwise discontinu-
ous at x ˆ x0 , though their product h…x† is continuous at that point. We will
further show that the convergence problem can be alleviated using the so-
called inverse rule. Situations like this arise in the analysis of surface relief
diffraction gratings in electromagnetics, when the permittivity is a discon-
tinuous function of x. In this important case, the normal electric ®eld and
Introduction 5

the permittivity must be pairwise discontinuous at x ˆ x0 because, from EM

boundary conditions, the normal electric displacement (which is a product
of the two) must be continuous.

1.3 THE FOURIER TRANSFORM

The one-dimensional spatial Fourier transform of a square-integrable func-

tion f …x† is given as [2]
…1
F…kx † ˆ f …x† exp…jkx x† dx …1:3:1†
1

The inverse Fourier transform is

…1
1
f …x† ˆ F…kx † exp… jkx x† dx …1:3:2†
2 1

The de®nitions for the forward and backward transforms are consistent
with the engineering convention for a traveling wave, as explained in [2].
If f …x† denotes a phasor EM ®eld quantity, multiplication by exp j!t gives a
collection or spectrum of forward traveling plane waves.
The two-dimensional extensions of Eqs. 1.3.1 and 1.3.2 are
…1 …1
F…kx ; ky † ˆ f …x; y† exp…jkx x ‡ jky y† dx dy …1:3:3†
1 1
…1 …1
1
f …x; y† ˆ F…kx ; ky † exp… jkx x jky y† dx dy …1:3:4†
…2†2 1 1

In many EM applications, the function f …x; y† represents the trans-

verse pro®le of an EM ®eld at a plane z. Hence in Eqs. 1.3.3 and 1.3.4,
f …x; y† and F…kx ; ky † have z as a parameter. For instance, Eq. 1.3.4
becomes
…1 …1
1
F…x; y; z† ˆ F…kx ; ky ; z† exp… jkx x jky y† dx dy
…2†2 1 1
…1:3:5†

The usefulness of this transform lies in the fact that when substituted into
Maxwell's equations, one can reduce the set of three-dimensional PDEs to a
6 Chapter 1

set of one-dimensional differential equations (ODEs) for the spectral ampli-

tudes F…kx ; ky ; z†.

1.4 THE DISCRETE FOURIER TRANSFORM

Given a discrete function f …n†; n ˆ 0; . . . N 1, a corresponding periodic

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

X
1
fp …n† ˆ f …n ‡ rN† …1:4:1†
rˆ 1

The discrete function f …n† may be formed by the discrete values of a

continuous function f …x† evaluated at the points x ˆ n.
The discrete Fourier Transform (DFT) of fp …n† is de®ned as

X1
N
2
Fp …mK† ˆ fp …n† exp…jmnK† Kˆ …1:4:2†
nˆ0
N

The inverse DFT is de®ned as

1NX1
fp …n† ˆ F …mK† exp… jmnK† …1:4:3†
N nˆ0 p

For properties of the DFT, e.g., linearity, symmetry, periodicity, as well as

relationship to the z-transform, the Fourier transform and the Fourier ser-
ies, the readers are referred to any standard book on digital signal proces-
sing [3].
For the purposes of this book, the DFT is a way of numerically
approximating the continuous Fourier transform of a function. The DFT
is of interest because it can be ef®ciently and rapidly evaluated by using
standard Fast Fourier Transform (FFT) packages. The direct connection
between the continuous Fourier transform and the DFT is given below. For
a function f …x† and its continuous Fourier transform F…kx †,

1 
Fp …mK†  F…mK† jmKj < …1:4:4†
 

In Eq. 1.4.4, Fp …mK† is de®ned, as in Eq. 1.4.2, to be the DFT of fp …n†. The
equality holds for the ®ctitious case when the function is both space and
spatial frequency limited.
Introduction 7

1.5 REVIEW OF EIGENANALYSIS

Many of the computations in this book are based on determining the eigen-
values and eigenvectors of a matrix A. Therefore this section will brie¯y
review the methods and techniques associated with numerically solving this
problem [4,5]. The matrix A, which is a square matrix, in general transforms
a column vector x that transform into themselves and satisfy

Ax ˆ qx …1:5:1†

These column vectors are called the eigenvectors of the system. The values q
which satisfy are known as the eigenvalues, the characteristic values, or the
latent roots of the matrix A. Equation 1.5.1 can be written as a linear set of
equations as

…a11 q†x1 ‡ a12 x2 ‡ a13 x3 ‡


‡ a1n xn ˆ 0

a21 x1 ‡ …a22 q†x2 ‡ a23 x3 ‡


‡ a2n xn ˆ 0


…1:5:2†




an1 x1 ‡ an2 x2 ‡ an3 x3 ‡


‡ …ann q†xn ˆ 0

A nontrivial solution exists for the above equations if and only if

P…q†  det…qI A† ˆ 0 …1:5:3†

where I is the identity matrix. The result of Eq. 1.5.3 is an nth order poly-
nomial called the characteristic equation or eigenvalue equation. The equa-
tion is given by

P…q† ˆ qn ‡ a1 qn 1
‡ a2 qn 2
‡


‡ an 1 q ‡ an …1:5:4†

The roots of this equation are the eigenvalues of the matrix A. When the
roots are all unequal to one another, the roots or eigenvalues are called
distinct. When the eigenvalue occurs m times, the eigenvalue is a repeated
value of order m. When the root has a real and nonzero imaginary part, the
roots occur in complex conjugate pairs. In factored form Eq. 1.5.4 can be
written as
8 Chapter 1

P…q† ˆ …q q1 †…q q2 †


…q qn † …1:5:5†

The coef®cients of the eigenvalue equation can be found directly from the
matrix A. For instance, setting q to zero in Eq. 1.5.5, we ®nd

P…0† ˆ an ˆ det… A† ˆ … 1†n det…A† ˆ … 1†n q1 q2


qn …1:5:6†

and thus from Eq. 1.5.6

det…A† ˆ q1 q2


qn …1:5:7†

The coef®cient a1 can be found by expanding the factor characteristic equa-

tion and comparing the polynomial coef®cients of the resulting equation.
For example, if n ˆ 2,

P…q† ˆ q2 ‡ a1 q ‡ a2 ˆ …q q1 †…q q2 † ˆ q2 …q1 ‡ q2 †q ‡ q1 q2

…1:5:8†

and thus

a1 ˆ …q1 ‡ q2 † …1:5:9†

after equating coef®cients. For general n,

a1 ˆ …q1 ‡ q2 ‡


‡ qn † …1:5:10†

If the determinant is expanded we also ®nd that the determinant is the

negative sum of diagonal coef®cients, that is,

a1 ˆ …a11 ‡ a22 ‡


‡ ann † …1:5:11†

The quantity in parentheses is an important quantity and is called the trace

of A.

Tr…A† ˆ a11 ‡ a22 ‡


‡ ann ˆ q1 ‡ q2 ‡


‡ qn …1:5:12†

Let Tk ˆ Tr…Ak †. Then a useful formula for the coef®cient an of the char-
acteristic equation is
Introduction 9

a1 ˆ T1
1
a2 ˆ …a T ‡ T2 †
2 1 1
1
a3 ˆ …a T ‡ a1 T2 ‡ T3 †
3 2 1
…1:5:13†






1
an ˆ …a T ‡ an 2 T2 ‡


‡ a1 Tn ‡ Tn †
n n 1 1 1

For the case when the roots of P…q† are distinct, a nontrivial vector xi
can be found for each root that satis®es

…qi I A†xi ˆ 0 i ˆ 1; 2; . . . n …1:5:14†

The matrix formed of the columns of xi is called the modal matrix M. The
name modal matrix comes from control theory where a dynamical system
can be decomposed into dynamic modes of operation. For EM diffraction
grating problems and also for EM problems which use k-space (spatial
Fourier transform) techniques, the EM ®eld solutions associated with a
state variable analysis can be decoupled into spatial mode solutions.
These modes are analogous to the dynamical modes of operation encoun-
tered in control systems.
If the eigenvalues are distinct, which is mainly the case under consid-
eration in this text, the modal matrix is nonsingular and therefore its inverse
exists. Letting M be the modal matrix, we may write

MQ ˆ AM …1:5:15†

where Q is a diagonal matrix holding the eigenvalues of qi on the diagonal.

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

Q ˆ M 1A M …1:5:16†

If Q is squared we have

Q2 ˆ …M 1 A M†…M 1 A M† ˆ …M 1 A2 M† …1:5:17†
10 Chapter 1

and if further we pre- and post-multiply by M and M 1 , respectively, we

have

A2 ˆ M Q2 M 1
…1:5:18†

Similarly if A is raised to the pth power we have

Ap ˆ M Qp M 1
…1:5:19†

where Qp is the diagonal matrix formed by raising each eigenvalue qi to the

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

1
N…A† ˆ M N…Q† M …1:5:20†

where linear combinations of powers of A as given by Eq. 1.5.19 have been

used. N…Q† is the diagonal matrix formed by placing in each diagonal matrix
entry the polynomial N…qi †. Thus the modal matrix provides a convenient
way to evaluate quickly and accurately the powers and polynomials of the
matrix A.
In this text we will be greatly concerned with calculating the exponen-
tial function of the matrix A. The exponential function of the matrix A,
namely exp…A†, is de®ned as

1 1
exp…A† ˆ I ‡ A ‡ …A†2 ‡


‡ …A†k ‡


…1:5:21†
2 k!

which is the same in®nite series expansion as is used to de®ne the exponen-
tial function exp…a†.
We now review two important aids that help in the solution and
evaluation of an exponential matrix and in fact any function of the matrix
A. These are called the Cayley±Hamilton theorem and the Cayley±Hamilton
technique. These aids will be presented only for the cases of matrices with
distinct eigenvalues.
The ®rst theorem to be reviewed is the Cayley±Hamilton theorem. If
we have a polynomial N…q† ˆ qn ‡ c1 qn 1 ‡


cn 1 q ‡ cn then using Eq.
1.5.20 we have
2 3
N…q1 † 0 0
6 0 N…q2 † 7
6 7 1
N…A† ˆ M6 0 N…q3 † 7M …1:5:22†
4 5
..
.
Introduction 11

where M is the modal matrix. If the polynomial N…q† is chosen to the

characteristic equation, that is, N…q† ˆ P…q†, then N…qi † ˆ P…qi † ˆ 0,
i ˆ 1; 2;


; n, and thus
2 3
0 0 0
60 0 0 7
P…A† ˆ M6
40
7M
5
1
ˆ0 …1:5:23†
0 0

We thus see that the matrix A satis®es its own characteristic equation.
Another important aid in evaluating a function of a matrix, where the
function is analytic over a given range of interest, is provided by the Cayley±
Hamilton technique. We ®rst consider the case where the analytic function is
a polynomial of higher degree than the characteristic polynomial P…q† of
order n. Let the polynomial be N…q†. We consider the case where the roots
(or eigenvalues) of P…q† are distinct. In this case,

N…q† R…q†
ˆ Q…q† ‡ …1:5:24†
P…q† P…q†

where Q…q† is a polynomial and R…q† is a polynomial of order n 1 or less.

Multiplying by P…q†, we have

N…q† ˆ Q…q†P…q† ‡ R…q† …1:5:25†

If q is an eigenvalue or root of P…q†, then P…q† ˆ 0 and N…q† ˆ R…q†. If we

substitute A for q in Eq. 1.5.25, we have

N…A† ˆ Q…A†P…A† ‡ R…A† …1:5:26†

Since by the Cayley±Hamilton theorem the matrix P…A† ˆ 0 we have

N…A† ˆ R…A† …1:5:27†

Thus a higher order polynomial matrix can be represented and evaluated

using an n 1 polynomial expression.
Consider next the case where the matrix function is a general analytic
function over a region of interest, for example F…A† ˆ exp…A†. In this case
F…q† can be expanded in an in®nite power series over the analytic region of
interest. As in the case when F…q† was a polynomial, F…q† can be written as

F…q† ˆ Q…q†P…q† ‡ R…q† …1:5:28†

12 Chapter 1

where R…q† is a polynomial of order n 1 given by

R…q† ˆ 0 ‡ 1 q ‡ 2 q2 ‡


‡ n 1 qn 1
…1:5:29†

Let q ˆ q1 ; q2 ; . . . ; qn be the distinct roots of P…qi † ˆ 0, i ˆ 1; . . . ; n.

We have, after evaluating Eq. 1.5.28,

F…q1 † ˆ R…q1 †
F…q2 † ˆ R…q2 †


…1:5:30†




F…qn † ˆ R…qn †

This de®nes a set of n  n linear equations from which the coef®cients i ,

i ˆ 1; . . . ; n can be determined. At this point we would like to show that the
function Q…q† is analytic. To do this we write Q…q† as

F…q† R…q†
Q…q† ˆ …1:5:31†
P…q†

In this expression we note that over the region of interest, the numerator
and denominator of Eq. 1.5.31 have the same zeros. Since in Eq. 1.5.31 all
functions F…q†, Q…q†, P…q†, and R…q† are analytic over the range where F…q†
is, we may replace q by the matrix A. We have

F…A† ˆ Q…A†P…A† ‡ R…A† …1:5:32†

Since by the Cayley±Hamilton theorem P…A† ˆ 0 we have

F…A† ˆ R…A† …1:5:33†

Thus we have shown that the analytic matrix function F…A† can be evaluated
by using a polynomial matrix expression of order n 1 as given by R…A† in
Eq. 1.5.29.
Introduction 13

PROBLEMS

1. Derive the wave equation for the electric and magnetic ®elds start-
ing from Maxwell's equations in a homogeneous isotropic source
free region. How does this change if the material is anisotropic?
2. Find from ®rst principles the Fourier series coef®cients for a per-
iodic square wave s…x† of unit amplitude and 50% duty cycle. Now
®nd the Fourier series coef®cients of s2 …x† (a) from ®rst principles
and (b) using the Laurent rule. Plot s2 …x† vs x by employing the
Fourier series coef®cients you found using (b). Use 5, 10 and 100
Fourier coef®cients. Describe the general trend(s).
3. Find the two-dimensional Fourier transform of a rectangle (rect)
function of unit height and width a in each dimension.
4. Show that the two-dimensional Fourier transform of a Gaussian
function of width w is another Gaussian function. Functions like
this are called self-Fourier transformable. Find its width in the
spatial frequency domain. Can you think of any other functions
that are self-Fourier transformable?
5. Find the DFT of a square wave function using a software of your
choice. Comment on the nature of the spectrum numerically com-
puted as the width of the square wave changes.
0 1
1 20 0
6. Find sin A where A is a matrix given by @ 1 7 1 A using
the Cayley Hamilton theorem [5]. 3 0 2

REFERENCES

1. L. Li, Use of Fourier series in the analysis of discontinuous periodic structures,

J. Opt. Soc. Am. A, 15, 1808±1816 (1996).
2. P. P. Banerjee and T.-C. Poon, Principles of Applied Optics, Irwin, New York,
1991.
3. A. Antoniou, Digital Filters: Analysis and Design, McGraw-Hill, New York,
1979.
4. P. M. Deruso, R. J. Roy, and C. M. Close, State Variables for Engineers, John
Wiley, New York, 1967.
5. L. A. Pipes and L. R. Harvill, Advanced Mathematics for Engineers and
Scientists, McGraw-Hill, New York, 1970.
2
Spectral State Variable Formulation for
Planar Systems

2.1 INTRODUCTION

A problem that is extremely important in optics, microwave theory, antenna

theory, and electromagnetics in general [1±34] is the way radiation is trans-
mitted, re¯ected, refracted, and propagates through two-dimensionally in®-
nite homogeneous material layer systems. This problem has been studied for
a wide variety of different material layers, e.g., isotropic dielectric materials,
isotropic permeable materials, anisotropic dielectric and permeable materi-
als, and bi-anisotropic materials. It has also been studied when a wide
variety of different types of electromagnetic (EM) source radiation is inci-
dent on, or is present in, a layer of the planar system, e.g., incident plane
wave, dipole source, line source, Gaussian beam, antenna source, wave-
guide-¯ange system, microstrip line source strip. The synthesis and design
of isotropic planar multilayer optical systems has also received considerable
attention [11-13].
In carrying out EM studies of these types of systems, a very powerful
tool for analysis [1±10] is provided by one- and two-dimensional Fourier
transform theory (also called k-space theory). This theory is a powerful tool
because it allows virtually any time-reduced EM source in any layer to be
represented as a sum of plane waves whose propagation through the layers
of the system can be analyzed in several manageable, tractable ways. Thus
by using two-dimensional Fourier transform theory one can study (a) how
individual plane spectral components propagate through the overall EM
system, (b) the strength of the spectral components that are excited by the
source in the system, and (c) the overall spatial response of the system at any
given point in the system by adding up (using superposition) the different
spectral components.

15
16 Chapter 2

The determination of the EM ®elds and their propagation, re¯ection,

transmission, and scattering from isotropic, anisotropic, and bi-anisotropic
planar layered media has received wide attention for a long time. References
2 and 8 give a complete review and description of re¯ection from planar
isotropic single and multilayers. A topic that has received less attention but
still has been studied by a number of researchers is the problem of determin-
ing the radiation and scattering when sources and external incident ®elds
(plane waves, Gaussian beams, etc.) excite EM ®elds in an anisotropic or bi-
anisotropic planar multilayer system. The anisotropic and bi-anisotropic
EM scattering problem is considerably more dif®cult to analyze than the
isotropic case because the anisotropic or bi-anisotropic constitutive material
parameters couple the ®eld components together, creating from Maxwell's
equations a much more complicated system than arises in the isotropic case.
In most isotropic propagation problems the typical approach, based on
Maxwell's equations, is to decouple one component from one another and
then derive a second-order partial differential wave equation from which the
solution to the EM problem can be obtained. For most anisotropic and bi-
anisotropic scattering problems this procedure is quite intractable.
Attempting this procedure for most anisotropic or bi-anisotropic systems
would lead to fourth-, sixth-, or eighth-order partial differential equations
that would be quite dif®cult to solve. For anisotropic and bi-anisotropic
materials an alternate procedure that has been developed for transversely
homogeneous planar layers is to Fourier transform all EM ®eld quantities
with respect to (w.r.t.) the transverse coordinate(s) and then algebraically
manipulate the reduced Fourier transformed ®eld variable equations into a
standard state variable form. Eigenanalysis of these ®rst-order state variable
equations yields the propagation constants and propagation modes of the
system. In this procedure, the two longitudinal ®eld components are
expressed in terms of the four transverse ®eld components and then sub-
stituted into Maxwell's equations to reduce the system to a 4  4 state
variable form. Expressing the longitudinal ®elds in terms of the transverse
®elds is useful as it allows simple boundary matching of the tangential ®eld
components from one layer interface to another. The eigenanalysis method
is also known as the exponential matrix method [25,26] and was discussed in
Chapter 1.
The approach just mentioned [18±29] will be used in this chapter and
consists of (1) replacing ®rst-order transverse derivative operators with
terms proportional to their wavenumbers …@F=@x / jkx F, @F=@z /
jkz F†, (2) writing out the six ®eld component equations (these equations
will contain ®rst-order longitudinal derivative operator terms @F=@y†, (3)
manipulating these equations so as to eliminate the longitudinal electric
®eld component Ey and the longitudinal magnetic ®eld component Hy
Spectral State Variable Formulation 17

(this reduces the number of curl equations from six to four), and ®nally (4)
putting the four remaining equations into a standard 4  4 ®rst-order state
variable matrix equation form. The four transverse components Ex , Ez , Hx ,
and Hz form the components of the 4  1 state variable column matrix. As
shown in Section 2.4, this procedure provides a straightforward method of
analyzing bi-anisotropic material layers whenever oblique and arbitrarily
polarized plane wave radiation is incident on the material layers.
This 4  4 state variable matrix procedure has been ®rst implemented
by Teitler and Henvis [19], and perhaps others, who have reduced Maxwell's
equations in an anisotropic layer to a set of four ®rst-order linear differential
equations and then, assuming an exponential form of solution, have solved
for the normal or eigen modes that describe propagation in the layer. The
method is further developed by Berreman [20], who, starting from
Maxwell's six component equations, puts the general anisotropic equations
into a 4  4 form (where the 4  1 column vector contains the two tangential
electric ®eld components and two tangential magnetic ®eld components),
and then solves, using matrix techniques, for the four eigenvectors and
eigenvalues of the system. Berreman [20] has studied several anisotropic
material examples, including propagation in an orthorhombic crystal, pro-
pagation in an optically active material (described by the Drude model), and
propagation involving Faraday rotation based on Born's model. Berreman
[20] has also considered the state variable method as applied to determining
propagation in media that are anisotropic and longitudinally periodic. Lin-
Chung and Teitler [21], Krowne [22], and Morgan et al. [23] have used the
4  4 matrix method of Berreman [20] to study propagation of plane waves
in strati®ed or multilayer anisotropic media. Weiss and Gaylord [24] have
used the Berreman method to study strati®ed multilayer resonators and
optical ®lters (Fabry-Perot/Solc ®lter) composed of anisotropic materials.
Two recent papers by Yang [25,26] study the important problem of formu-
lating the EM state variable equations so that ef®cient numerical solution of
the equations arises. This problem has also been studied by Moharam et al.
(see Ref. 23 in Chapter 3 of this book).
Dispersion in anisotropic and birefringent materials, and properties of
the EM ®eld propagation in these materials, have been studied by many
other researchers. Yeh [27] has studied EM propagation in layered birefrin-
gent media. Alexopoulos and Uslenghi [28] study re¯ection and transmis-
sion with arbitrarily graded parameters. Graglia et al. [29] study dispersion
relations for bi-anisotropic materials and their symmetry properties. The
book by Lindell et al. [6] also quotes many papers that have studied propa-
gation in bi-anisotropic materials.
Another area where the k-space state variable analysis is useful is in
the problem of characterizing radiation from antennas, dipoles, and metallic
18 Chapter 2

structures in millimeter and microwave integrated circuits (MMICs). Several

papers [30±34] have studied the problem of determining the radiation from
arbitrarily oriented electric and magnetic dipoles embedded in anisotropic
planar layers. Tsalamengas and Uzunoglu [32] have studied the problem of
determining the EM ®elds of an electric dipole in the presence of a general
anisotropic layer backed by a ground plane. Their method consists of
Fourier transforming all EM ®elds in the transverse coordinates, casting
the Fourier transformed differential equations into the form of a ®rst-
order matrix differential equation, and, after solving this, matching EM
boundary conditions at the half-space±anisotropic layer interface, to deter-
mine all ®elds of the system. An interesting feature of the Tsalamengas and
Uzunoglu [32] method is that they have de®ned auxiliary vector components
(the electric ®eld and magnetic ®eld were resolved into components parallel
and perpendicular to the planar interfaces) that allow them to construct a
matrix solution where the ground plane boundary condition is built into
their matrix solution. This simpli®es the problem to matching of the bound-
ary conditions at the half space±anisotropic layer boundary. Tsalamengas
and Uzunoglu [32] have solved several numerical examples including radia-
tion from a dipole when uniaxial materials, ferrites, or magnetoplasmas
comprise the anisotropic layer. The method differs from other methods in
that the fundamental matrix differential equation is for a 2  2 matrix rather
than the usual column matrices used by almost all other researchers.
Krowne [34] has used Fourier transform theory and the 4  4 matrix
formalism of Berreman [20] to study propagation in layered, completely
general bi-anisotropic media and to study Green's functions in bi-anisotro-
pic media. Krowne's [34] analysis, in addition to determining the modes of
propagation in all bi-anisotropic layers, includes the effect of arbitrary elec-
tric and magnetic surface currents located at the interfaces of the bi-aniso-
tropic layers. The surface current sources are delta source functions in the
spatial domain and therefore planar sources in the Fourier k-space trans-
form domain.
Tang [31] has studied the EM ®elds in anisotropic media due to dipole
sources using Sommerfeld integrals and a transverse electric and transverse
magnetic decomposition of the ®elds of the system. Ali and Mahmoud [30]
have also studied dipole radiation in strati®ed anisotropic materials using a
3  3 state variable matrix technique.
In addition to the state variable analysis, a second theme that will be
developed in this chapter is the use of the complex Poynting theorem as an
information aid to the computation of the EM ®elds of the system. First, the
complex Poynting theorem will be used as a cross-check of the numerical
calculations themselves. The use of this theorem over a given region of
space, regardless of whether the region contains lossy (gain) material or
Spectral State Variable Formulation 19

not, must show equality between the power radiated out of the region and
the power dissipated and energy stored in the region. This is a more strin-
gent and useful test than the more standard test of checking conservation of
power from one layer to another. Checking power conservation from one
layer to another is a conclusive test as long as the materials inside the layers
are nonlossy. It is inconclusive if the layers inside are lossy, since in this case
the power transmitted out of a given region will necessarily be less than the
power transmitted into the given region, since some power must be dissi-
pated as heat in the lossy layer. The complex Poynting theorem on the other
hand accounts for not only all power transmitted into and out of a given
region but also all power dissipated and energy stored in the region. In a
given computation, if the surface and volume integrals of the complex
Poynting theorem do not agree precisely, some degree of numerical error
has been made in the computation. If the agreement is too poor, most likely
a signi®cant computational error has been made somewhere in the calcula-
tions, and it is most likely that the computations cannot be trusted.
A second way that the complex Poynting theorem is an aid to EM ®eld
analysis is that it can give insight into the way that energy is stored and
power is dissipated in a given region of space. Often in making EM ®eld
plots, the plots of the individual ®eld components, either electric or mag-
netic, can be deceptive, since, for example, the ®elds can appear large but in
reality be standing waves, which are actually transmitting very little real
power into a system. Plots of the energy stored and power dissipated then
give great insight into how EM radiation is actually interacting with a
material at a given place in space.
In what follows, both the state variable method (in conjunction with k-
space analysis) and the complex Poynting theorem will be applied to study a
wide variety of different EM planar re¯ection and transmission problems.
Section 2.2 will consider one of the simplest possible cases, namely when a
normally incident plane wave impinges on an isotropic lossy material slab.
Section 2.3 will study the case when an oblique incident plane wave impinges
on an anisotropic layer. Section 2.4 will develop the general 4  4 state
variable equations that apply to re¯ection and transmission through a gen-
eral bi-anisotropic layer. The analysis will apply to the case when the inci-
dent radiation is an oblique arbitrarily polarized plane wave. The complex
Poynting theorem will also be applied to this case.
Section 2.5 will consider cases when EM sources that are not plane
waves impinge on an anisotropic layer. In this section k-space theory is used
to decompose the EM source into a plane wave Fourier spectrum from
which a tractable analysis can be carried out. In particular, the cases of a
waveguide±¯ange system that radiates into an anisotropic lossy layer are
considered. The expression for the wave slot admittance is developed. In this
20 Chapter 2

section radiation of a Gaussian beam through the anisotropic layer is also

considered. The complex Poynting theorem is applied to radiation in this
section. Section 2.6 summarizes the work of Tsalamengas and Uzunoglu [32]
who have considered the case of EM radiation from a dipole in the proxi-
mity of a general anisotropic grounded layer using k-space theory.
Finally, Section 2.7 presents the work of Yang [25,26], which concerns
ef®cient methods of solving the state variable equations when large evanes-
cent plane wave components are present in the analysis. In this case, the
presence of the large evanescent plane waves causes severe numerical singu-
larity of the solutions. Yang presents a method of removing these singula-
rities from the calculations, yielding a useful EM solution.
Overall in this chapter only cases of homogeneous single-layer mate-
rial slabs are considered. Only a single-layer analysis has been carried out in
order to make the analysis as simple and clear as possible. Extension to
multilayer analysis is straightforward. Later chapters use multilayer ana-
lyses extensively. The multilayer analysis is described thoroughly in these
chapters.

2.2 STATE VARIABLE ANALYSIS OF AN ISOTROPIC

LAYER
2.2.1 Introduction
In this section we study one of the simplest EM state variable problems,
namely the problem of determining the EM ®elds that result when a plane
wave propagates with normal incidence in an isotropic lossy dielectric slab
…~2 ˆ ~ 0 j ~ 00 , ~ 2 ˆ ~ 0 j ~ 00 ) (see Fig. 1). Three cases are studied: (1) a
plane wave is normally incident on the slab, (2) a plane wave is normally
incident on the slab backed by a perfect conductor, and (3) the EM ®elds are
excited by an electric or magnetic current source. These cases are solved by
the state variable method. Because all eigenvectors or eigenmodes of the
state variable system can be solved in closed form, these examples show in a
simple manner the principles and properties of the state variable formalism
that apply to much more complicated problems (anisotropic planar slabs,
diffraction gratings, etc.).

2.2.2 Analysis
To begin the analysis in this section we assume that all propagation is at
normal incidence and that the EM ®elds of the system in Regions 1, 2, and 3
~ y;
in an …x; ~ z†
~ coordinate system are given by
Spectral State Variable Formulation 21

Figure 1 Geometry of a planar dielectric layer and a complex Poynting box.

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

!
~ a^ x
E ` ˆ Ex` …y†
…2:2:1†
!
~ a^ z
H ` ˆ Hz` …y† ` ˆ 1; 2; 3

where ` denotes the Region number.

From Maxwell's equations assuming source free regions,

! !
r~  E ` ˆ j!~ ` H `
…2:2:2†
! !
r~  H ` ˆ j!~` E `

we ®nd substituting Eq. 2.2.1 that

@Ex`
ˆ j!~ ` Hz`
@y~
…2:2:3†
@Hz`
ˆ j!~` Ex`
@y~

It is convenient to make the above equations dimensionless. We introduce

p

the state variables Ex` ˆ Sx` , Hz` ˆ Uz` =0 , y ˆ k0 y,~ 0 ˆ 0 =0 ˆ 377
,
p 2
k0 ˆ ! 0 0 ˆ  , where ! ˆ 2f , f is the frequency, and  is the freespace
wavelength, ` ˆ ~ ` =0 ˆ `0 j`00 , ` ˆ ~` =0 ˆ `0 j`00 , and after substi-
tution we ®nd
22 Chapter 2

@Sx`
ˆ j ` Uz`
@y
…2:2:4†
@Uz`
ˆ j ` Sx`
@y

Letting
   
Sx` 0 j`
Vˆ Aˆ …2:2:5†
Uz` j` 0

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

@V…y†
ˆ AV…y† …2:2:6†
@y

Equation 2.2.6 can be solved by determining the eigenvalues and

eigenvectors of the matrix A according to the equation

AV ˆ qV …2:2:7†

From this, the general solution of Eq. 2.2.6 is then given by

X
N
Vˆ Cn Vn eqn y …2:2:8†
nˆ1

where N ˆ 2, Vn and qn , n ˆ 1; 2, are eigenvectors and eigenvalues of the

matrix A, and Cn are general constants. We may demonstrate that Vn eqn y is a
solution of Eq. 2.2.8 by direct substitution. We have for n ˆ 1; 2,
…d=dy†…Vn eqn y † ˆ Vn …d=dy†eqn y ˆ qn Vn eqn y . But qn Vn ˆ AVn , hence

d
…V eqn y † ˆ A…Vn eqn y † …2:2:9†
dy n

which is the original equation. Superposition of the distinct modes of Vn eqn y

then gives the full EM solution.
The eigenvalues of qn , n ˆ 1; 2; of A in Eq. 2.2.7 satisfy

det‰A qIŠ ˆ … q†2 …j 2  † ˆ 0

Spectral State Variable Formulation 23

or

q2 ‡   ˆ 0 …2:2:10†

Let   ‡ j  q1 ,  > 0,  > 0 ( and  are real numbers), be the forward

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

… ‡ j†2 ‡ ‰ 0 j 00 Š ‰ 0 j 00 Š ˆ 0 …2:2:11†

After performing algebra it is found that

 
1 0  1=2
ˆ r ‡ ‰r 02 ‡ r 002 Š1=2
2
  …2:2:12†
1 0 02 002 1=2
 1=2
ˆ r ‡ ‰r ‡ r Š
2

where   ˆ ‰ 0  0  00  00 Š j‰ 00  0 ‡  0  00 Š ˆ r 0 jr 00 . Usually, r 00 > 0.

We note that qn ˆ  ‡ j, n ˆ 1, corresponds to a forward traveling
wave and that qn ˆ … ‡ j†, n ˆ 2, corresponds to a backward traveling
wave in all regions of the system. We also note that these solutions obey
proper boundary conditions in all regions. For example, in Region 3, we
have for the forward traveling wave …n ˆ 1†, that for the exponential part of
the EM wave, Ex / exp… y† ! 0 as y ! 1 when  > 0, and for the oscil-
lary part of the wave Ex …y; t† cos…y ‡ !t†, which indicates a wave traveling
to the right, since the phase velocity v' ˆ != < 0. A similar analysis in
Region 1 shows that the second eigenvalue q2 ˆ … ‡ j† corresponds to a
backward traveling wave.
The eigenvector V1 ˆ ‰Sx1 ; Uz1 Št , V2 ˆ ‰Sx2 ; Uz2 Št can be determined
from Eq. 2.2.7 after substitution of the eigenvalue qn , n ˆ 1; 2, into Eq.
2.2.10. For the forward traveling wave in any of the three regions we
have q1 ˆ  ‡ j ˆ ,
   
q1 j Sx1
0ˆ …2:2:13†
j q1 Uz1

Because q1 is an eigenvalue, the two equations of Eq. 2.2.13 are linearly

dependent. We have q1 Sx1 ‡ jUz1 ˆ 0 or Uz1 ˆ … jq1 =†Sx1 . Letting
Sx1 ˆ 1, the forward traveling eigenvector is V1 ˆ ‰1; … j =†ŠT , where T
denotes the matrix transpose. Substituting the backward traveling wave with
q2 ˆ … ‡ j† ˆ , the backward traveling eigenvector corresponding to
q2 is V2 ˆ ‰1; …j =†ŠT .
24 Chapter 2

The electric ®eld associated with the eigenmodes qn , n ˆ 1; 2, is given

in Regions ` ˆ 1; 2; 3 as

!…`†
E n ˆ Sxn` eqn` y a^ x
…2:2:14a†
!…`† 1
H n ˆ Uzn` eqn` y a^ z
0

where

Sxn` ˆ 1 n ˆ 1; 2
j ` j `
Uz1` ˆ Uz2` ˆ …22:14b†
` `
` ˆ ` ‡ j`

Since the medium is linear, a superposition over the modes in Eq. 2.2.14
gives the total ®eld in any region. The total electric and magnetic ®elds
which can exist in Regions 1, 2, and 3 is given by

!…`† X
2
!…`†
E ˆ Cn` E n …2:2:15a†
nˆ1

!…`† X
2
!…`†
H ˆ Cn` H n …2:2:15b†
nˆ1

where Cn` are general complex coef®cients that need to be determined from
boundary conditions.
As a cross-check of the solution we note that for any region (suppres-
sing the ` subscript and superscript),

 
1 @Ex 1 j @Ex
Hz ˆ ˆ …2:2:16†
j!~ @y~ 0  @y

From Eq. 2.2.15a we note that

Ex ˆ C1 exp… y† ‡ C2 exp… y†
Spectral State Variable Formulation 25

Substituting this in Eq. 2.2.16, we have

 
1 j
Hz ˆ ‰C1 exp… y† C2 exp… y†Š …2:2:17†
0 

which is the same solution as Eq. 2.2.15b when the eigenvectors of Eq.
2.2.14 are used.
In addition to the ®eld amplitudes of the electric and magnetic ®elds,
another important quantity to calculate is the time-averaged power that
passes through any layer parallel to the material interface. This is explained
in detail in the next subsection.

2.2.3 Complex Poynting Theorem

The previous subsection has presented the EM ®eld solution for a normally
incident plane wave on a uniform, isotropic, lossy material layer. An impor-
tant numerical consideration in all computations is the accuracy with which
the numerical computations have been performed. A relatively simple test of
the computation, which applies only when the slab is lossless, is provided by
calculating the power incident on the slab, calculating the sum of the powers
transmitted and re¯ected from the slab, and then calculating the difference
of these two sums to compute the error in the numerical solution. As just
mentioned, this test applies only when the layer is lossless. When the layer is
lossy, the power re¯ected and transmitted does not equal the incident power,
since some of the power is absorbed as heat inside the material layer. In the
case when the layer is lossy, one can test numerical accuracy results by using
the complex Poynting theorem. The purpose of this section will be to present
the complex Poynting theorem (Harrington [3]) as it applies to the lossy
material slab and also to test the numerical accuracy of the EM ®eld solu-
tions that will be studied in Section 2.3.2.
For an isotropic material, the complex Poynting theorem states that
the time-averaged power delivered (meter 3 ) at a point P contained in a
! !
volume
V~ ! 0 by the electric and magnetic sources J i and M i should be
balanced by the sum of (1) the time-averaged power Pf (meter 3 ) radiated
over the surface
S~ enclosing the volumes
V, ~ (2) the electric power PDE
3
and magnetic power PDM (meter ) dissipated over the volume
V, ~ and (3)
2j! times the difference between the time-averaged magnetic energy W M
stored in
V~ and the time-averaged electric energy W E stored in
V, ~ where
! ˆ 2f (radians) is the angular frequency and f is the frequency in Hertz.
Mathematically the complex Poynting theorem for a general isotropic
material is given by [3]
26 Chapter 2
…… ………   
1 ! ! 1 ! !t ! !t
E  H
a^ n d S~ ‡ E
J ‡ H
M d V~ ˆ 0
2 S~ 2 ~
V
…2:2:18†

!t
where J is a general electric displacement, conduction and source current
!t
term and M represents the generalized magnetic current. Mathematically
these currents are given by

!t
! !i
J ˆ j! ~ 0 j ~ 00 E ‡ J …2:2:19†
!t  ! !i
M ˆ j! l~ 0 j l~ 00 H ‡ M …2:2:20†

!i !i
where J and M are impressed source terms, and we have assumed that the
permittivity and permeability are complex anisotropic quantities. After
some algebra, we obtain from Eq. 2.2.18,

Ps ˆ Pf ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM † …2:2:21†

where

………   
! !i ! !i
Ps ˆ 1
2 E
J ‡ H
M d V~
~
V

(source power)
‡‡
! !
Pf ˆ 12 E  H ^
a^ n d S~
S~

(net outward power flow)

 ……… 
! h 0 !i ~
PWE ˆ 2!W E ˆ 2! 41
E
~ E d V
~
V

(proportional to stored electric energy)

 ……… 
! h 0 !i ~
PWM ˆ 2!W M ˆ 2! 14 H
l~ H d V
~
V

(proportional to stored magnetic energy)

Spectral State Variable Formulation 27
………
! h 00 !i ~
PDE ˆ 1
2 E
~ E d V
~
V

(electric power dissipated)

……… …2:2:22†
1 ! h 00 !i ~
PDM ˆ2 H
l~ H d V
V

(magnetic power dissipated)

For present applications we will consider a Poynting box as shown in

Fig. 1. This box is assumed to have end faces that have the cross section
S~
and are parallel to the interfaces of the slab. For this box we ®rst note that in
the power ¯ow integral Pf , the integral over the lateral portion of the box
(the portion between the end faces of the box) is zero. This follows since
there is no variation in the EM ®elds or power ¯ow in the x- and z-direc-
tions. Thus the power ¯ow integral can be written as a sum of the power
¯ows as calculated over the two end faces of the box.

Pf ˆ PIN ‡ POUT …2:2:23†

where
‡‡ 
! ! 
PIN ˆ 1
2 E H  ^
… a^ y † d S~ …2:2:24†

S~ y~ ˆ~y‡

‡‡ 
! ! 
POUT ˆ 1
2 E H  ^
… a^ y † d S~ …2:2:25†

S~ ~ y~
yˆ

The minus sign in Eq. 2.2.25 is a result of the fact that the outward normal
on the y~ ‡ end cap is a^ y . Using Eqs. 2.2.21 and 2.2.23, we ®nd that the
complex Poynting theorem for the present problem can be written as

PIN ˆ Ps ‡ POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM † …2:2:26†

It is convenient to express the above power and energy integrals in dimen-

sionless coordinates x ˆ k0 x, ~ etc., and to normalize the complex Poynting 0
theorem equations p by
an amount of power PFS ~ 2
INC ˆ ‰
S=…20 †Š…E0 =1 †
p
(watts),
0
where 0 ˆ ~ 0 =~0 ˆ 377
, 1 ˆ ~ 1 =~1 =0 (dimensionless), and
…E02 =1 † ˆ 1 …volt2 =m2 †. With this normalization, and also carrying out all
integrals in Eqs. 2.2.22, 24, 25, each term in Eq. 2.2.26 can be written as
28 Chapter 2

PIN ˆ Ps ‡ POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM † …2:2:27†

… …
 ! 0 ! ! 0 !
PWE ˆ 10 2 E
 E dy ˆ E
 E dy (dimensionless)
E0 `y `y
…
! !
PWM ˆ …0 H †
l 0 …0 H † dy (dimensionless)
`y
…
! 00 !
PDE ˆ E
 E dy (dimensionless)
`y
…
! !
PDM ˆ …0 H †
l 00 …0 H † dy (dimensionless)
`y

1 h ! ! i
POUT ˆ 0 2 E  …0 H † 
… a^ y †
E0 
yˆy
h! ! i
ˆ E  …0 H † 
… a^y † (dimensionless)
yˆy
h! ! i
PIN ˆ E  …0 H †
… a^ y † (dimensionless)
yˆy‡
… h
1 1 ! ! ! ! i
Ps ˆ 0 k 0  0 E
J i ‡ H
M i dy
E02 `y
… h
! ! ! ! i
ˆ k0 1 0 E
J i ‡ H
M i dy (dimensionless)
`y

where  ˆ  0 j  00 and l ˆ l 0 jl 00 represent relative permittivity and per-

meability, respectively. Substitution of the ®eld solutions as obtained
through the state variable technique into the above one-dimensional inte-
grals gives the various power terms that make up the complex Poynting
theorem. Because all permittivity and permeability tensor elements are con-
stant, and because all EM ®eld solutions in the equations are exponentials,
we note that all the one-dimensional power integrals can be carried out in
closed form. For checking numerical error, this is important, since estimates
of the error using these formulae do not depend on the accuracy of the
numerical integration.

2.2.4 State Variable Analysis of an Isotropic Layer in Free

Space
In this subsection we consider the case when a plane wave from y ˆ 1 is
normally incident as a dielectric slab. In this case the C11 and C23 coef®cients
Spectral State Variable Formulation 29

are known (see Eq. 2.2.15), with C11 ˆ E0 , where E0 is the incident ampli-
tude (volts/m), and C23 ˆ 0 also, since there is no re¯ected wave from
Region 3. As the coef®cient C21 represents the complex amplitude of the
re¯ected ®eld in Region 1, we let C21 ˆ R, and since the coef®cient C13
represents the complex amplitude of the transmitted ®elds in Region 3, we
let C13 ˆ T. Using these coef®cients, the ®elds in Regions 1, 2, and 3 are
given by (see Fig. 1).
Region 1

Ex…1† ˆ E0 exp… 1 y† ‡ R exp… 1 y†

j 1 …2:2:28†
Hx…1† ˆ ‰ E0 exp… 1 y† ‡ R exp… 1 y†Š
 0 1

Region 2

Ex…2† ˆ C12 exp… 2 y† ‡ C22 exp… 2 y†

1 j 2 …2:2:29†
Hx…2† ˆ ‰ C12 exp… 2 y† ‡ C22 exp… 2 y†Š
 0 2

Region 3

Ex…3† ˆ T exp… 3 …y ‡ L††

1 j 3 …2:2:30†
Hz…3† ˆ ‰ T exp… 3 …y ‡ L††Š
 0 3

The Ex…3† and Hz…3† ®elds have been written with a exp… 3 …y ‡ L†† in order to
refer the phase of the T coef®cient to the y ˆ L boundary.
The boundary conditions require that the tangential electric and mag-
netic ®elds match at y ˆ 0, L. Matching of the tangential electric and
magnetic ®elds at y ˆ 0 and y ˆ L leads to four equations in four
unknowns, from which the EM ®elds in all regions can be determined. It
is convenient to use the electric ®eld equations at the boundaries to eliminate
the unknowns in exterior Regions 1 and 3, thus reducing the number of
equations from four to two. When we do so, we ®nd that

2 1
E ˆ a11 C12 ‡ a12 C22
1 0 …2:2:31†
0 ˆ a21 C12 ‡ a22 C22
30 Chapter 2

where

2 1 2
a11 ˆ ‡ a12 ˆ 1
 2 1  1 2
   
2 3
a21 ˆ ‡ exp… 2 L† a22 ˆ 2 ‡ 3 exp… 2 L†
2  3 2  3
…2:2:32†

Also

Rˆ E0 ‡ C12 ‡ C22
…2:2:33†
T ˆ C12 exp… 2 L† ‡ C22 exp… 2 L†

Inversion of the 2  2 as given by Eqs. 2.2.31 then determines the unknown

coef®cients C12 and C22 of the system.
We now apply the complex Poynting theorem of Eq. 2.2.27 to the
normal incident plane wave case being studied in this section. We assume
that the Poynting box has its left face 0:5 from the Region 1±2 interface,
i.e., y~ ‡ ˆ y~ in ˆ 0:5, and has its right face at y~ ˆ y~ out , y~ out  0. For the
present analysis there are no sources in the layer, so Ps ˆ 0. Substituting we
®nd that the complex Poynting theorem is given by

PIN ˆ POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM †  PBOX …2:2:34†

where

PDE ˆ PDE1 ‡ PDE2 ‡ PDE3

PDE1 ˆ PDE3 ˆ 0
…0
 
PDE2 ˆ 200 c12 exp… 2 y† ‡ c22 exp… 2 y†2 dy
y2

where


yout yout > L
y2 ˆ
L yout < L
Spectral State Variable Formulation 31

PDM ˆ PDM1 ‡ PDM2 ‡ PDM3

PDM1 ˆ PDM3 ˆ 0
 2 … 0
   2
PDM2 ˆ 200  2  c exp… 2 y† c22 exp… 2 y† dy
2 y2 12
PWE ˆ PWE1 ‡ PWE2 ‡ PWE3
… yin
 
PWE1 ˆ 10 E0 exp… 1 y† ‡ R exp… 1 y†2 dy
0
…0
 
PWE2 ˆ 20 c12 exp… 2 y† ‡ c22 exp… 2 y†2 dy
y2
… L 
PWE3 ˆ 30 T exp… 3 …y ‡ L†2 dy
y3

where

(
L yout > L
y3 ˆ
yout yout < L
PWM ˆ PWM1 ‡ PWM2 ‡ PWM3
 2 … yin
   2
PWM1 ˆ 10  1  E0 exp… 1 y† R exp… 1 y† dy
1 0

 2 … 0
   2
PWM2 ˆ 20  2  c12 exp… 2 y† c22 exp… 2 y† dy
2 y2
 2 … L
   
PWM3 ˆ 30  3  T exp… 3 …y ‡ L††2 dy
3 y3
 

PIN ˆ j 1 ‰E0 exp… 1 yin † ‡ R exp… 1 yin †Š‰E0 exp… 1 yin †
1
R exp… 1 yin †Š
 

POUT ˆ j 2 ‰c12 exp… 2 yout † ‡ c22 exp… 2 yout †Š‰c12 exp… 2 yout †
2
c22 exp… 2 yout †Š
32 Chapter 2

when yout > L

 
3  
POUT ˆ j T exp… 2 … yout ‡ L††2
3

when yout < L. In these equations R is the re¯ection coef®cient in Region

1, T is the transmission coef®cient in Region 3, and c12 and c22 are wave
coef®cients in Region 2. The expressions for PWE3 and PWM3 have been
chosen so that when yout > L (that is, yout is in Region 2) the lower
limit y3 equals the upper limit and PWE3 and PWM3 are zero as they should
be.
The conservation theorem as given by Eq. 2.2.34 states (1) that the
sum of Re…POUT † and PD ˆ PDE ‡ PDM …PD is real and nonnegative), which
by de®nition equals Re…PBOX †, should equal Re…PIN † and (2) that the sum of
Im…POUT † and the energy±power difference PWE ‡ PWM , which by de®ni-
tion equals Im…PBOX †, should equal the sum of Im…PIN †.
As a numerical example for the normal incidence case, we assume that
the layer thickness is L~ ˆ 0:6, that free space bounds the layer in Regions 1
and 3, and that the slab has a lossy permittivity given by 2 ˆ 3 j0:4 and
relative permeability 2 ˆ 2:5 j0:2. Figs. 2, 3, and 4 show plots of the EM
®elds and different power terms associated with the present example. Figure
2 shows the Ex electric ®eld (magnitude, real and imaginary parts) plotted
vs. the distance y~ ˆ y~ from the incident side interface. In observing the real
and imaginary plots of Ex , one notices that the standing wave wavelength of
Ex is greatly shortened in Region 2 as opposed to Region 1. This is due to
the greater magnitude of the material constants j2 j ˆ j3 j0:4j and j2 j ˆ
j2:5 j0:2j in Region 2 as opposed to Region 1. In observing the plots of
Fig. 2 one also notices that the continuity of the Ex is numerically obeyed as
expected. In Fig. 2 one also notices that the presence of the lossy layer
causes a standing wave in Region 1 with a standing wave ratio SWR ˆ
jExMAX j=ExMIN j ˆ jE0 ‡ Rj= jE0 Rj  1:2. This means that the lossy layer
represents a fairly matched load to the normally incident plane wave. In
Region 2 of Fig. 2 it is observed that the jEx j is attenuated to about 30%
as the EM wave is multiply re¯ected in the lossy layer.
In Fig. 3, plots of the real and imaginary parts of PIN and PBOX are
made as a function of the distance y~ out , the distance that the Poynting Box
extends to the right of the Region 1±2 interface. As can be seen from Fig. 3,
the complex Poynting theorem is obeyed to a high degree of accuracy as the
real and imaginary parts of PIN (solid line) and PBOX (cross) agree very
closely. One also observes that as the distance y~ OUT increases, the power
dissipated PD increases, the Re…POUT † decreases, and both change so as to
Spectral State Variable Formulation 33

Figure 2 The Ex electric ®eld (magnitude, real and imaginary parts) plotted versus
the distance y~ from the incident side interface is shown.

leave the sum constant and equal to Re…PIN †. Also plotted in Fig. 3 is the
Im…POUT † and the energy difference term PWE ‡ PWM . One observes from
these plots that the Im…POUT † and PWE ‡ PWM vary sinusoidally in Region
2 and that the nonconstant portions of these curves are out of phase with
one another by 180 . Thus the sum of Im…POUT † and PWE ‡ PWM is a
constant equal to Im…PIN †. Thus the imaginary part of the power is
exchanged periodically between Im…POUT † and PWE ‡ PWM so as to
keep the Im…PIN † a constant throughout the system. Figure 4 shows plots
of the electric and magnetic energy and power stored and dissipated in the
Poynting box, again versus the distance y~OUT . As can be seen from Fig. 4,
the electric and magnetic stored energy terms PWE and PWM are nearly
equal to each other.

2.2.5 State Variable Analysis of a Radar Absorbing Layer

(RAM)
As a second example, assume that a material similar to the one in the
previous example is placed against an electric perfect conductor (EPC)
34 Chapter 2

Figure 3 Plots of the real and imaginary parts of PIN and PBOX as a function of the
distance y~ OUT .

located at y ˆ L and that a plane wave from y ˆ 1 is incident on the

layer. A practical application of this is in designing radar evading aircraft,
where such a layer of appropriate thickness is pasted on the metal surface of
the aircraft to minimize radar re¯ectivity. In this case the electric and mag-
netic ®eld equations at y~ ˆ 0 are the same as in the ®rst example. Thus

2 1
E ˆ a11 C12 ‡ a12 C22 …2:2:35†
1 0

where a11 and a12 have been de®ned previously. At y~ ˆ L~ the tangential
component of the electric ®eld must vanish due to the presence of the metal.
This leads to the equation

0 ˆ C12 exp… 2 L† ‡ C22 exp… 2 L† …2:2:36†

From these equations C12 and C22 can be determined as well as all other
coef®cients in the system.
Figure 5 shows the Re…Ex †, Im…Ex †, and jEx j plotted versus the dis-
tance y~ ˆ y~ from the Region 1±2 interface, using the material parameter
Spectral State Variable Formulation 35

Figure 4 Plots of the electric energy term, magnetic energy term, power stored, and
power dissipated in the Poynting box, vs. the distance y~ OUT .

values of Section 2.2.4. As can be seen from Fig. 5, the presence of the EPC
in Region 3 causes a larger standing wave (SWR) than was observed when a
free space occupied Region 3. One also notices that the presence of the EPC
causes more internal re¯ection within the slab layer, Region 2, as can be seen
by the increased ripple or decaying SWR pattern displayed by the jEx j plot.
Figure 6 shows the various normalized power terms associated with the
complex Poynting theorem of Eq. 2.2.34. Figure 6 uses the same geometry
as Fig. 3. The only difference between Fig. 3b and Fig. 6 is that an EPC is in
Region 3 of Fig. 6, whereas free space was in Region 3 of Fig. 3. As can be
seen in Fig. 6, as in Fig. 3, the complex Poynting theorem is obeyed to a high
degree of accuracy since the real and imaginary part of PIN (solid line) and
POUT (cross) agree with each other very closely. We also notice from Fig. 6
that a higher oscillation of PWE ‡ PWM and Im…POUT † occurs than in Fig.
2. This higher internal re¯ection in the slab is caused by the high re¯ectivity
of the EPC at the Region 2±3 interface.
Figure 7 shows the plot of normalized re¯ected power (re¯ected
power/incident power, db) of a uniform slab that results when a plane
wave is normal to the slab. Region 3 is an EPC, and in Region 2, 2 ˆ 7
36 Chapter 2

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

j3:5 and 2 ˆ 2:5 j0:2. In this ®gure, the normalized re¯ected power is
plotted versus the slab length L. ~ As can be seen from Fig. 7, at a slab
~
thickness of L ˆ 0:066 the re¯ectivity of the layer drops sharply (about
21 db down from the re¯ection that would occur from a perfect conductor
alone). At this slab thickness the layer has become what is called a ``radar
absorbing layer'' (RAM), since at this slab thickness virtually all radiation
illuminating a perfect conductor with this material will be absorbed as heat
in the layer and very little will be re¯ected. Thus radar systems trying to
detect a radar return from RAM-covered metal objects will be unable to
detect signi®cant power. It is interesting to note that only a very thin layer of
RAM material is needed for millimeter wave applications. For example, at
millimeter wavelengths (95 GHz), L~ ˆ 0:066 ˆ 0:2088 mm.

2.2.6 State Variable Analysis of a Source in Isotropic

Layered Media
In this subsection we consider the state variable analysis of the EM ®elds
!
that are excited when a planar sheet of electric surface current J S ˆ Jsx a^ x ˆ
J a^ x (Amp/m) is located in the interior of an isotropic two-layered medium.
Spectral State Variable Formulation 37

Figure 6 Plots of the various normalized power terms associated with the complex
Poynting theorem of Eq. 2.2.34. This ®gure uses the same geometry as Fig. 3.

The material slab, like the layer considered in Section 2.2.2, is assumed to be
bounded on both sides by a uniform lossless dielectric material that extends
to in®nity on each side. For this analysis we locate the origin of the coordi-
nate system at the current source and label the different regions of the EM
system as shown in Fig. 8. Following precisely the same state variable EM
analysis as we followed in Section 2.2.2, we ®nd that the general EM ®eld
solutions in each region are given by

Region 1 0

0
Ex…1 † ˆ C11 0 exp… 1 0 …y L‡ †† ‡ C21 0 exp… 1 0 …y L‡ †† C11 0 ˆ 0
…2:2:37a†
0 0 j 1 0
Uz…1 † ˆ 0 Hz…1 † ˆ C 0 exp… 1 0 …y L‡ † …2:2:37b†
1 0 21
38 Chapter 2

Figure 7 Plots of normalized re¯ected power (re¯ected power/incident power, db)

for the case where Region 3 is an EPC and Region 2 has 2 ˆ 7 j3:5 and
2 ˆ 2:5 j0:2.

Region 1

Ex…1† ˆ C11 exp… 1 y† ‡ C21 exp… 1 y† …2:2:38a†

j 1
Uz…1† ˆ 0 Hz…1† ˆ ‰C11 exp… 1 y† C21 exp… 1 y†Š …2:2:38b†
1

Region 2

Ex…2† ˆ C12 exp… 2 y† ‡ C22 exp… 2 y† …2:2:39a†

j 2
Uz…2† ˆ 0 Hz…2† ˆ ‰C12 exp… 2 y† C12 exp… 2 y†Š …2:2:39b†
2

Region 3

Ex…3† ˆ C13 exp… 3 …y ‡ L †† …2:2:40a†

j 3
Uz…3† ˆ 0 Hz…3† ˆ C exp… 3 …y ‡ L †† …2:2:40b†
3 13
Spectral State Variable Formulation 39

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

The total layer thickness is L ˆ L‡ ‡ L , where L‡  0 and L  0.

Matching the tangential electric and magnetic ®elds at the Region 1±1 0
interface and eliminating the C21 0 coef®cient, it is found that

1 0 =1 0 ‡ 1 =1
C11 ˆ C21 ˆ exp… 2 1 L‡ † …2:2:41†
1 0 =1 0 ‡ 1 =1

Matching the tangential electric and magnetic ®elds at the Region 2±3 inter-
face and eliminating the C13 coef®cient it is found that

3 =3 ‡ 2 =2
C12 ˆ C22 ˆ exp…2 2 L † …2:2:42†
3 =3 ‡ 2 =2

To proceed further we match EM boundary conditions at the Region 1±2

boundary y ˆ 0. These boundary conditions are given by

0 Hz…1† 0 Hz…2† ˆ Uz…1† Uz…2† ˆ 0 J …2:2:43a†

Ex…1† Ex…2† ˆ 0 …2:2:43b†
40 Chapter 2

In the present problem, because an electric current source is present at the

Region 1±2 boundary, the tangential magnetic ®eld given by Eq. 2.2.43a is
discontinuous at y ˆ 0. Performing algebra it is found that the following
equations result, from which the unknown coef®cients of the system can be
found.

j 1 j 2
‰ 1ŠC21 ‡ ‰ 1ŠC22 ˆ 0 J …2:2:44a†
1 2
‰ ‡ 1ŠC21 ‰ ‡ 1ŠC22 ˆ 0 …2:2:44b†

To give a numerical example of the EM ®elds and complex Poynting

results, we assume that the material slab (Region 2) has the parameters
1 ˆ 2 j0:3, 1 ˆ 3 j0:5, 2 ˆ 3 j0:4, 2 ˆ 2:5 j0:2, L~ ˆ 0:4, L~ ‡ ˆ
0:5 and that Regions 1 and 3 are free space. In this example we further
assume that the Poynting box is the same one described in Section 2.2 except
that its leftmost face is located y~ OUT‡ ˆ 0:25 to the left of the Region 1±2
interface (the source is located at the Region 1±2 interface at y~ ˆ 0), and its
rightmost face is located at y~ ˆ y~ OUT ; y~OUT  0 from the Region 1±2
interface. (See Fig. 9 inset). For the present source problem, the complex
Poynting theorem is given by

PS ˆ POUT‡ ‡ POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM †  PBOX

…2:2:45†

where

! !  
PS ˆ 0 E
J s  ˆ 0 Ex Js yˆ0
~
…2:2:46†
~
yˆ0

The electric ®eld Ex jyˆ0

~ ˆ …C11 ‡ C21 † is continuous at y~ ˆ 0. From Eq.
2.2.43a,

j 1 j 2
0 J ˆ …C11 C21 † ‡ …C C22 † …2:2:47†
1 2 12

Thus
 
j 1 j
Ps ˆ …C11 ‡ C21 † …C11 C21 † ‡ 2 …C12 C22 † …2:2:48†
1 2
Spectral State Variable Formulation 41

Figure 9 Plots of different power terms that make up the complex Poynting the-
orem of Eq. 2.2.45 plotted versus the distance y~ OUT .

The terms POUT ‡ and POUT are given by

 
 
POUT ‡ ˆ j 1 C11 exp… 1 yOUT ‡ † ‡ C21 exp… 1 yOUT‡ †
1
 
C11 exp… 1 yOUT ‡ † C22 exp… 1 yOUT‡ †
…2:2:44a†

 
2
POUT ˆ j ‰C12 exp… 2 yOUT † ‡ C22 exp… 2 yOUT †Š
2 …2:2:44b†

‰C12 exp… 2 yOUT † C22 exp… 2 yOUT †Š

when yOUT > L

 
3  
POUT ˆ j T exp… 3 … yOUT ‡ L ††2 …2:2:45†
3

when yOUT < L . The other terms in Eqs. 2.2.45 are given in Eq. 2.2.34.
42 Chapter 2

Figure 8 shows the Re…Ex †, Im…Ex †, and jEx j electric ®elds plotted
versus the distance y from the Region 1±2 interface. As can be seen from
Fig. 8, the presence of the electric current source in a lossy medium causes
the electric ®eld to be greatest at the source location and attenuate as dis-
tance increases from the source. Because the regions are different to the left
and right of the source, the ®elds are not symmetric about the source loca-
tion. In observing Fig. 8 one notices that the Re…Ex †, Im…Ex †, and jEx j are all
continuous at the different interfaces as they must be to satisfy EM bound-
ary conditions. Figure 9 shows different power terms that make up the
complex Poynting theorem of Eq. 2.2.45 plotted versus the distance y~ OUT .
As can be seen from Fig. 9 the real and imaginary parts of PS  PSOURCE
(cross) and PBOX (solid line) agree with each other to a high degree of
accuracy, thus showing that the complex Poynting theorem is being obeyed
numerically for the present example. One also observes that as the distance
y~ OUT increases, the power dissipated PD increases, Re…POUT † decreases,
and both change so as to leave the sum constant and equal to Re…PS †.
Also plotted in Fig. 9 is the Im…POUT † and the energy±power difference
PWE ‡ PWM . One observes from these plots that the Im…POUT † and the
energy±power difference PWE ‡ PWM vary sinusoidally in Region 2 and
that the nonconstant portions of these curves are out of phase with one
another. Thus the sum of Im…POUT † and PWE ‡ PWM is a constant equal
to IM…PS †. Thus the imaginary part of the power is exchanged periodically
between Im…POUT † and PWE ‡ PWM so as to keep the Im…PS † a constant
throughout the system. Although the EM ®elds were excited by an electric
current source in Fig. 9 rather than a plane wave as in Fig. 3, the complex
Poynting numerical results in the two ®gures are similar.

2.3 STATE VARIABLE ANALYSIS OF AN ANISOTROPIC

LAYER
2.3.1 Introduction
Thus far we have discussed several examples of EM scattering from isotro-
pic layers. Another interesting problem is EM scattering from anisotropic
media, such as crystals and the ionosphere. This section differs from the
previous sections in two ways: namely, the media are anisotropic and couple
the ®eld components into one another, and also the EM ®elds are obliquely
incident on the dielectric slab at an angle I . The analysis [18±29] is a state
variable analysis similar to that in the previous section and gives a reason-
ably straightforward and direct solution to the problem. We note that a
traditional second-order wave equation analysis would lead to a fairly
intractable equation set, due to the anisotropic coupling of the ®elds.
Spectral State Variable Formulation 43

We assume that the plane wave is polarized with its electric ®eld in the
plane of incidence of the EM wave. The dielectric slab is assumed to be
characterized by a lossy anisotropic relative dielectric permittivity tensor
where xx , xy , yx , yy , and zz are nonzero and the other tensor elements
are zero. The geometry is shown in Fig. 10. The slab's relative permeability
is assumed to be isotropic and lossy and characterized by  ˆ  0 j 00 . The
basic analysis to be carried out is to solve Maxwell's equations on the
incident side (Region 1), in the slab region (Region 2), and on the trans-
mitted side (Region 3), and then from these solutions to match EM bound-
ary conditions at the interfaces of the dielectric slab.

2.3.2 Basic Equations

A state variable analysis will be used to determine the EM ®elds in the
dielectric slab region. We begin by specifying the EM ®elds in Regions 1
and 3 of the system. The EM ®elds in Region 1 are given by

Ex…1† ˆ Sx…1† …y† exp… jkx x†

ky1  
ˆ E exp…jky1 y† R exp… jky1 y† exp… jkx x†
1 0
ˆ ‰Cx11 exp… 11 y† ‡ Cx21 exp… 21 y†Š exp… jkx x† …2:3:1†

Figure 10 Geometry of a planar dielectric layer and a complex Poynting box is

shown. A plane wave parallel polarization is obliquely incident on the layer.
Uz ˆ 0 Hz .
44 Chapter 2

Ey…1† ˆ Sy…1† …y† exp… jkx x†

kx  
ˆ E exp…jky1 y† ‡ R exp… jky1 y† exp… jkx x†
1 0
 
ˆ Cy11 exp… 11 y† ‡ Cy21 exp… 21 y† exp… jkx x† …2:3:2†
0 Hz…1† ˆ Uz…1† …y† exp… jkx x†
 
ˆ E0 exp…jky1 y† ‡ R exp… jky1 y† exp… jkx x†
ˆ ‰Cz11 exp… 11 y† ‡ Cz21 exp… 21 y†Š exp… jkx x† …2:3:3†
p p
~ y ˆ k0 y,
where x ˆ k0 x, ~ k0 ˆ 2=, kx ˆ 1 sin…I †, ky1 ˆ 1 k2x ,
~ z ˆ k0 z,
and 0 ˆ 377
; E0 is the incident plane wave amplitude,  is the free space
wavelength in meters, and 1 is the relative permittivity of Region 1. The EM
®elds in Region 3 consist only of a transmitted wave and are given by

ky3  
Ex…3† ˆ Sx…3† …y† exp… jkx x† ˆ T exp…jky3 …y ‡ L†† exp… jkx x†
3
ˆ ‰Cx13 exp… 13 y† ‡ Cx23 exp… 23 y†Š exp… jkx x† …2:3:4†
kx  
Ey…3† ˆ Sy…3† …y† exp… jkx x† ˆ T exp…jky3 …y ‡ L†† exp… jkx x†
3
 
ˆ Cy13 exp… 13 y† ‡ Cy23 exp… 23 y† exp… jkx x† …2:3:5†
 
0 Hz…3† …3†
ˆ Uz …y† exp… jkx x† ˆ T exp…jky3 …y ‡ L†† exp… jkx x†
ˆ ‰Cz13 exp… 13 y† ‡ Cz23 exp… 23 y†Š exp… jkx x† …2:3:6†
p
where ky3 ˆ 3 k2x , T is the transmitted plane wave amplitude, and 3 is
the relative permittivity of Region 3.
In the anisotropic dielectric slab region, Maxwell's equations are given
by

! !
r E ˆ jl…0 H †
…2:3:7†
! ! !
r  …0 H † ˆ j D ˆ j  … E †

where we assume that l is a diagonal matrix with xx ˆ yy ˆ zz . The x
! !
component of D ˆ  E is given by Dx ˆ xx Ex ‡ xy Ey ‡ xz Ez . The Dy and
Dz are similarly de®ned. In order that the EM ®elds of Region 1 and 3 phase
match with the EM ®elds of Region 2 for all x, it is necessary that the EM
®elds of Region 2 all be proportional to exp… jkx x†. (This factor follows
Spectral State Variable Formulation 45

from application of the separation of variables method to Maxwell's equa-

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

!
E ˆ …Sx …y†a^ x ‡ Sy …y†a^ y ‡ Sz …y†a^z † exp… jkx x†
…2:3:8†
!
0 H ˆ …Ux …y†a^ x ‡ Uy …y†a^y ‡ Uz …y†a^z † exp… jkx x†

Using the fact that the only nonzero EM ®eld components in Region 1 are
Ex , Ey , and Hz , a small amount of analysis shows that in Eqs. 2.3.7 a
complete ®eld solution can be found taking only Sx , Sy , and Uz to be
nonzero with Sz ˆ Ux ˆ Uy ˆ 0. Substituting Eqs. 2.3.8 in Eq. 2.3.7 and
taking appropriate derivatives with respect to x, the following equations
result:

@Sx
jkx Sy ˆ jzz Uz …2:3:9†
@y
@Uz
ˆ jxx Sx ‡ jxy Sy …2:3:10†
@y
jkx Uz ˆ jyx Sx ‡ jyy Sy …2:3:11†

To proceed further it is possible to eliminate the longitudinal electric ®eld

component and express the equations in terms of the Sx and Uz components
alone. Although other components could be eliminated, the Sy is the best,
since the remaining equations involve variables that are transverse or par-
allel to the layer interfaces. These variables then may be used to match
tangential EM boundary conditions directly. The Sy component is given
by (from Eq. 2.3.11)

yx k
Sy ˆ Sx ‡ x Uz …2:3:12†
yy yy

Substituting Eq. 2.3.12 into Eqs. 2.3.9, 2.3.10,

  " #
@Sx yx k2x
ˆ j kx S ‡ j zz U …2:3:13†
@y yy x yy z
   
@Uz xy yx xy
ˆ j xx Sx ‡ j kx U …2:3:14†
@y yy yy z
46 Chapter 2

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

@V
ˆ AV …2:3:15†
@y

where

  " #
yx k2x
a11 ˆ j kx a12 ˆ j zz …2:3:16†
yy yy
   
xy yx xy
a21 ˆ j xx a22 ˆ j kx …2:3:17†
yy yy

where V ˆ ‰Sx ; Uz Št .
The basic solution method is to ®nd the eigenvalues and eigenvectors
of the state variable matrix A, form a full ®eld solution from these eigen-
solutions, and then match boundary conditions to ®nd the ®nal solution.
The general eigenvector solution is given by

V ˆ Vn exp…qn y† …2:3:18†

where qn and Vn ˆ ‰Sxn ; Uzn Št are eigenvalues and eigenvectors of A and

satisfy

AVn ˆ qn Vn n ˆ 1; 2 …2:3:19†

Because A is only a 2  2 matrix, it is possible to ®nd the eigenvalues and

eigenvectors of the system in closed form. The quantities qn and Vn are given
by
" #" #
a11 qn a12 Sxn
ˆ0 …2:3:20†
a21 a22 qn Uzn

For this to have nontrivial solutions,

 
a11 qn a12
det ˆ …a11 qn †…a22 qn † a12 a21 ˆ 0
a21 a22 qn
…2:3:21†
Spectral State Variable Formulation 47

Using the quadratic equation to solve for qn we ®nd

 1=2
qn ˆ 0:5…a11 ‡ a22 †  0:5 a211 2a11 a22 ‡ 4a12 a21 ‡ a222 n ˆ 1; 2
…2:3:22†

Letting Sxn ˆ 1, n ˆ 1; 2, it is found that the eigenvectors are given by

 t
q a11
Vn ˆ 1; n …2:3:23†
a12

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

yx k
Syn ˆ Sxn ‡ x Uzn n ˆ 1; 2 …2:3:24†
yy yy

Using these eigenvalues and eigenvectors it is found that the EM ®elds in

Region 2 are given by

Ex…2† ˆ Sx…2† …y† exp… jkx x†

ˆ ‰C1 Sx1 exp…q1 y† ‡ C2 Sx2 exp…q2 y†Š exp… jkx x†
 ‰Cx12 exp… 12 y† ‡ Cx22 exp… 22 y†Š exp… jkx x† …2:3:25†
Ey…2† ˆ Sy…2† …y† exp… jkx x†
 
ˆ C1 Sy1 exp…q1 y† ‡ C2 Sy2 exp…q2 y† exp… jkx x†
 
 Cy12 exp… 12 y† ‡ Cy22 exp… 22 y† exp… jkx x† …2:3:26†
0 Hz…2† ˆ Uz…2† …y† exp… jkx x†
ˆ ‰C1 Uz1 exp…q1 y† ‡ C2 Uz2 exp…q2 y†Š exp… jkx x†
 ‰Cz12 exp… 12 y† ‡ Cz22 exp… 22 y†Š exp… jkx x† …2:3:27†

In these equations C1 and C2 are ®eld coef®cients yet to be determined.

To proceed further it is necessary to determine the unknown coef®-
cients of the ®eld solution in Regions 1±3. In this case the unknown coef®-
cients are R, T, C1 , and C2 . In the present problem the boundary conditions
require that the tangential electric ®eld (the Ex ®eld) and the tangential
magnetic ®eld (Hz ) must be equal at the two slab interfaces. Thus in this
analysis there are four boundary condition equations from which the four
unknown constants of the system can be determined. Matching boundary
conditions at the Region 1±2 interface we ®nd
48 Chapter 2

ky1
‰E RŠ ˆ C1 Sx1 ‡ C2 Sx2 …2:3:28†
1 0
E0 ‡ R ˆ C1 Uz1 ‡ C2 Uz2 …2:3:29†
ky3
T ˆ C1 Sx1 exp… q1 L† ‡ C2 Sx2 exp… q2 L† …2:3:30†
3
T ˆ C1 Uz1 exp… q1 L† ‡ C2 Uz2 exp… q2 L† …2:3:31†

By substituting R and T from Eqs. 2.3.28, 2.3.31 in Eqs. 2.3.29, 2.3.30, the
4  4 system may be reduced to the following 2  2 set of equations
   
2ky1 ky1 ky1
E0 ˆ Uz1 ‡ Sx1 C1 ‡ Uz2 ‡ Sx2 C2 …2:3:32†
1 1 1

 
ky3
0 ˆ exp… q1 L† U ‡ Sx1 C1 ‡ exp… q2 L†
3 z1
  …2:3:33†
ky3
 Uz2 ‡ Sx2 C2
3

The C1 and C2 can be found from the above in closed form. Using Eqs.
2.3.28, 31, the other coef®cients may be found.

2.3.3 Numerical Results

This section will be concerned with presenting a numerical example from an
anisotropic layer when an obliquely incident plane wave impinges on the
layer. In this example Regions 1 and 3 are free space, and Region 2 is a
material slab with a thickness L~ ˆ 0:6 and material parameters
xx ˆ yy ˆ 2:25 j0:3, yx ˆ 0:75 j0:1. We assume the permeability to
be isotropic but lossy with zz ˆ 2 ˆ 2:5 j0:2. The incident plane wave
(incident amplitude E0 ˆ 1 (V/m), electric ®eld polarization in the plane of
incidence) is assume to have an angle of incidence I ˆ 25 . Figure 11
shows plots of the magnitudes of the Ex , Ey , and Uz ˆ 0 Hz EM ®elds
in Regions 1±3 as a function of y ˆ y, which is the location of the ®eld
relative to the incidence side of the Region 1±2 interface (see Fig. 10). As
can be seen from Fig. 11, the material slab represents a mismatched med-
ium to the incident wave and thus the incident and re¯ected waves inter-
fere in Region 1 forming a standing wave pattern. In Region 2, because
the layer is lossy, one also observes that all three EM ®eld magnitudes
Spectral State Variable Formulation 49

Figure 11 Plots of the magnitudes of the Ex , Ey , and Uz ˆ 0 Hz electromagnetic

®elds in Regions 1±3 as a function of y ˆ y, which is the location of the ®eld
relative to the incidence side of the Region 1±2 interface (see Fig. 10), are shown.

attenuate as the distance from the incident side increases. In Region 2, an

SWR pattern is also observed in addition to the attenuation, which has
already been mentioned. The SWR pattern is caused by the multiple inter-
nal re¯ections that occur within the slab. In Region 3, only a forward
traveling transmitted wave is excited; thus the EM ®eld amplitude is con-
stant in this region. One also notices from Fig. 11 that the tangential
electric ®eld (Ex ) and tangential magnetic ®eld …Uz ˆ 0 Hz ) are continu-
ous, and that the normal electric ®eld (Ey ) is discontinuous, as should be
the case.
Figure 12 shows plots of normalized dissipated power that results
when the complex Poynting theorem of Section 2.2 is used to study the
example of this section. In this ®gure the Poynting box has been chosen
to extend a half wavelength into Region 1 (see Fig. 12 inset) and to extend a
variable distance y~ out (units of ) into Region 2 when y~ out  0:6 and into
Regions 2 and 3 when y~ out > 0:6 into Region
„ 3. In this ®gure „Pdexx , Pdexy ,
00  00 
etc. are given by the integrals Pdexx ˆ Sx xx Sx dy, Pdexy ˆ Sx xy Sy dy,
etc. and PDE ˆ Pdexx ‡ Pdexy ‡ Pdeyx ‡ Pdeyy . Also PDM ˆ Pdmzz ˆ
50 Chapter 2

Figure 12 Plots of normalized dissipated power as results when the complex

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

„
Uz zz00 Uz dy. As can be seen from Fig. 12, the dissipated electric and mag-
netic powers PDE and PDM are zero at y~ out ˆ 0 and increase in a monotonic
fashion until y~ out ˆ 0:6 where they become constant for y~ out > 0:6. This is
exactly to be expected since the only loss in the system is in Region 2 where
0  y~ out  0:6. We note also that the integrals Pdexy and Pdeyx are complex
and satisfy Pdexy ˆ P deyx as expected. Thus Pdexy ‡ Pdeyx ˆ 2Re…Pdexy †. The
integrals Pdexx and Pdeyy are purely real, and thus the electric dissipation
integral PDE is purely real. Note as can be seen from Fig. 12 that although
the total electric dissipation integral is positive, the cross-term contribution
given by Pdexy ‡ Pdeyx ˆ 2Re…Pdexy † is negative. This is interesting as one
would usually associate only positive values with typical power dissipation
terms.
Figure 13 shows plots of normalized energy±power terms as result
from Eqs. 2.2.21±27 using the example of this section. In this ®gure as in
the previous one, the Poynting box has been chosen to extend a half wave-
length into Region 1 (see Fig. 13 inset) and to extend a variable distance y~ out
Spectral State Variable Formulation 51

Figure 13 Plots of normalized energy±power terms as results from Eqs. 2.2.21±27

using the example of this section are shown.

into Region 2 when y~ out  0:6 and into Regions 2 and 3 when y~ out > 0:6
into Region„ 3. In this ®gure P„ywe xx , Pywe xy , etc. are given by the integrals
0
Pwexx ˆ Sx xx Sx dy, Pwexy ˆ Sx xy 0
S„y dy, etc. and PWE ˆ Pwexx ‡ Pwexy
‡ Pweyx ‡ Pweyy . Also PWM ˆ Pwmzz ˆ Uz zz0 Uz dy: As can be seen from
Fig. 13, the stored electric and magnetic energy±powers PWE are nonzero at
y~ out ˆ 0 and increase in a monotonic fashion thereafter. As in the case of the
dissipation power integrals, we note that the integrals Pwexy and Pweyx are
complex and satisfy Pwexy ˆ Pweyx . Thus Pwexy ‡ Pweyx ˆ 2Re…Pwexy †. The
integrals Pwexx and Pweyy are purely real, so the electric energy±power inte-
gral PWE is purely real. Note that, as can be seen from Fig. 13, although the
total electric energy±power integral is positive, the cross-term contribution
given by Pwexy ‡ Pweyx ˆ 2Re…Pwexy † is also negative.
Figure 14 shows plots of the real and imaginary parts of the complex
Poynting theorem terms as result from Eqs. 2.2.21±27 given the same
Poynting box as was used in Figs. 12 and 13. In this ®gure, since we are
testing the numerical accuracy of the computation formulae, we let PBOX ˆ
POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM † and compare PIN and PBOX . As can
be seen from Fig. 14, the real and imaginary parts of PIN (cross) and PBOX
52 Chapter 2

Figure 14 Plots of the real and imaginary parts of the complex Poynting theorem
terms as results from Eqs. 2.2.21±27 given the same Poynting box as was used in
Figs. 12 and 13 are shown.

(solid line) are numerically indistinguishable from one another, showing that
the numerical computations have been carried out accurately. Figure 14 also
shows plots of Re…POUT †, which decrease as y~ out increases, and PD ˆ PDE ‡
PDM (PD is purely real), which increase as y~ out increases. As can be seen from
Fig. 14, the sum of these two quantities, namely Re…POUT † ‡ PD adds to
Re…PIN †, which is constant as y~out increases. It makes sense that the
Re…POUT † decreases as y~ out increases, due to increased power loss as y~out
increases. Figure 14 shows plots of Im…POUT † and the energy difference term
PWE ‡ PWM . As can be seen from Fig. 14, within Region 2 the two terms
are oscillatory, with the oscillatory terms out of phase with one another by
180 . The complex Poynting results of this section are similar to those of
Section 2.2.
Spectral State Variable Formulation 53

2.4 STATE VARIABLE ANALYSIS OF A BI-ANISOTROPIC

LAYER
2.4.1 Introduction
In the previous section, we have discussed re¯ection and transmission from
an anisotropic layer when an oblique incident plane wave impinges on the
slab at an angle I . It was assumed that the plane wave was polarized with its
electric ®eld in the plane of incidence of the EM wave, and the dielectric slab
was assumed to be characterized by a lossy anisotropic relative dielectric
permittivity tensor where xx , xy , yx , yy , and zz were nonzero and the
other tensor elements were zero, and the slab was assumed have a perme-
ability which was isotropic and lossy and characterized by  ˆ  0 j 00 . A
generalization of this problem that will be studied in this section is to cal-
culate the EM ®elds that result when a plane wave of arbitrary polarization
is obliquely incident on a uniform bi-anisotropic material layer. This pro-
blem has been studied by many authors. Lindell et al. [6] discuss scattering
from bi-anisotropic layers extensively and include many references on this
subject. The geometry is shown in Fig. 15. Again, the basic analysis to be
carried out is to solve Maxwell's equations on the incident side (Region 1),
in the slab region (Region 2), and in the transmitted side (Region 3) and
then from these solutions to match EM boundary conditions at the inter-
faces of the dielectric slab. This solution method is similar to that of Section

Figure 15 Geometry of a planar bianisotropic layer and a complex Poynting box is

shown. A general plane with arbitrary polarization is obliquely incident on the layer.
54 Chapter 2

2.3, except that the state variable analysis in Region 2 the slab region is more
complicated than in Section 2.3. The analysis will be based on the general
formulations of Refs. 18±29.

2.4.2 General Bi-Anisotropic State Variable Formulation

The following section covers the derivation of the state variable equations
for a single bi-anisotropic layer. Following the analysis of Lindell et al. [Eqs.
!
1.10, 2.3, 2.4], the electric ¯ux density vector D and the magnetic ¯ux
! !
density vector B can be expressed in terms of the electric ®eld E and the
magnetic ®eld H through the relations

! ! !
D ˆ ~
E ‡ m~
H …2:4:1†
! ! !
B ˆ ~
E ‡ l~
H …2:4:2†

~ ~ , and l~ in Eqs.
It is assumed that each component of the four dyadics ~ , m,
2.4.1 and 2.4.2 are in general lossy nonzero complex constants. After sub-
! !
stituting D and B of Eqs. 2.4.1 and 2.4.2 into Maxwell's equations, intro-
ducing the dimensionless dyadics

 ˆ ~ =0 ˆ  0 j  00 ~ 0 ˆ l0
l ˆ l= jl 00
p ~ k0  p ~ k0 ~
a ˆ a0 ja 00 ˆ 0 0  ˆ  b ˆ b0 jb 00 ˆ 0 0 m ˆ m
! !

~ etc., we ®nd that

and introducing normalized coordinates x ˆ k0 x,
Maxwell's curl equations become

! h ! !i
r E ˆ j a E ‡ lH …2:4:3†
! h ! !i
r  H ˆ j  E ‡ bH …2:4:4†

where r ˆ …1=k0 †r~ is the normalized curl operator. To proceed further

we let all EM ®eld components in the material layer be proportional to the
factor exp… j †, where  k~x x~ ‡ k~z z~ ˆ kx x ‡ kz z (since an incident plane
wave possessing this factor is incident on the layer and phase matching must
occur at the interfaces of the slab), and substitute the resulting expressions
into Maxwell's normalized equations. Carrying out the above operation we
®nd that Maxwell's equations become
Spectral State Variable Formulation 55

! ! !
j exp…j †r  … S exp… j †† ˆ l U ‡ a S …2:4:5†
! ! !
j exp…j †r  … U exp… j †† ˆ  S ‡ b U …2:4:6†

where the electric and magnetic ®elds are given by

! !
E ˆ S …y† exp… j † …2:4:7†
! !
0 H ˆ U …y† exp… j † …2:4:8†

p
where 0 ˆ 0 =0 ˆ 377
:
If we carry out the differentiations as indicated by Eqs. 2.4.5 and 2.4.6,
! !
noting that S and U depend only on y, we ®nd after canceling the expo-
nential factors that
   
@S @Sx ! !
a^ x j z kz Sy ‡ a^ y ‰kz Sx kx Sz Š ‡ a^ z kx Sy j ˆ lU ‡ a S
@y @y
…2:4:9†
   
@Uz @Ux
a^ x j ‡ kz Uy ‡ a^ y ‰ kz Ux ‡ kx Uz Š ‡ a^ z kx Uy ‡ j
@y @y
! !
ˆ  S ‡ bU …2:4:10†

Useful relations may be found from Eqs. 2.4.9 and 2.4.10, if out of the
six equations given, the longitudinal components Sy and Uy can be elimi-
nated, and equations for only the tangential components Sx , Sz , Ux and Uz
be used. This is highly useful because the tangential components can be
matched with other tangential EM ®eld components at the parallel bound-
ary interfaces.
The longitudinal Sy and Uy components can be eliminated from Eqs.
2.4.9 and 2.4.10 in the following way. We equate the y components of Eqs.
2.4.9 and 2.4.10 and after transposing terms ®nd that

ayy Sy ‡ yy Uy ˆ …kz ayx †Sx ‡ … kx ayz †Sz yx Ux yz Uz

…2:4:10†
yy Sy ‡ byy Uy ˆ yx Sx yz Sz ‡ … kz byx †Ux ‡ …kx byz †Uz
…2:4:11†
56 Chapter 2

We can recast Eqs. 2.4.10 and 11 in the following matrix form:

2 3
Sx
" # 6 7
Sy 6 Sz 7
6 7
T22 ˆ R24 6 7 …2:4:12†
Uy 6 Ux 7
4 5
Uz

so that after inverting T (we assume det…T† 6ˆ 0† we obtain

2 3 2 3
Sx Sx
" # 6 7 " #6 7
Sy 6 Sz 7 w11 w12 w13 w14 6 7
6 17 6 Sz 7
 T R6 7 6 7 …2:4:13†
Uy 6 Ux 7 w21 w22 w23 w24 6 7
4 5 4 Ux 5
Uz Uz

Our next step is to substitute Sy and Uy as given by Eq. 2.4.13 into the
x and z components of Eqs. 2.4.9 and 2.4.10. Doing so thus eliminates all
longitudinal Sy and Uy terms from the equations. After performing consid-
erable algebra it is found that the Sx , Sz , Ux , and Uz components can be
placed in the following state variable form:

2 3
A11 A12 A13 A14
6 7
@V 6
6 A21 A22 A23 A24 7
7
ˆ6 7V ˆ AV …2:4:14†
@y 6 A31 A32 A33 A34 7
4 5
A41 A42 A43 A44

where


A11 ˆ j zy w21 ‡ azx ‡ …azy kx †w11

A12 ˆ j zy w22 ‡ …azy kx †w12 ‡ azz

A13 ˆ j zx ‡ zy w23 ‡ …azy kx †w13

A14 ˆ j zy w24 ‡ zz ‡ …azy kx †w14
Spectral State Variable Formulation 57

A21 ˆ j xy w21 ‡ axx ‡ …axy ‡ kz †w11

A22 ˆ j xy w22 ‡ …axy ‡ kz †w12 ‡ axz

A23 ˆ j xx ‡ xy w23 ‡ …axy ‡ kz †w13

A24 ˆ j xy w24 ‡ uxz ‡ …axy ‡ kz †w14


A31 ˆ j zx ‡ zy w11 ‡ …bzy ‡ kx †w21

A32 ˆ j zy w12 ‡ zz ‡ …bzy ‡ kx †w22

A33 ˆ j zy w13 ‡ bzx ‡ …bzy ‡ kx †w23

A34 ˆ j zy w14 ‡ …bzy ‡ kx †w24 ‡ bzz


A41 ˆ j xx ‡ xy w11 ‡ …bxy kz †w21

A42 ˆ j xy w12 ‡ xz ‡ …bxy kz †w22
 …2:4:15†
A43 ˆ j xy w13 ‡ bxx ‡ …bxy kz †w23

A44 ˆ j xy w14 ‡ …bxy kz †w24 ‡ bxz

Equation 2.4.14 is in state variable form and its solution can be deter-
mined from the eigenvector and eigenvalues of A as was done in Sections 2.3
and 2.2. The solution is given by

X
4
Vˆ Cn Vn exp…qn y† …2:4:16†
nˆ1

2 3
Sxn
6 Szn 7
Vn ˆ 6 7
4 Uxn 5 …2:4:17†
Uzn

The EM ®elds in Region 2 are given by

58 Chapter 2

! X 4
!
E ˆ Cn E n …2:4:18†
nˆ1

! X 4
!
H ˆ Cn H n …2:4:19†
nˆ1

where

!  
E n ˆ Sxn a^ x ‡ Syn a^ y ‡ Szn a^ z exp…qn y j † …2:4:20†
! 1 
Hn ˆ Uxn a^ x ‡ Uyn a^ y ‡ Uzn a^ z exp…qn y j † n ˆ 1; 2; 3; 4
0
…2:4:21†

and
 
Syn
ˆ w24 Vn …2:4:22†
Uyn

Matching of the boundary conditions at the interfaces determines the

! !
®nal Cn coef®cients and thus E and H .

2.4.3 Incident, Reflected, and Transmitted Plane Wave

Solutions
In Region 1 (see Fig. 15) we assume that an oblique incident plane wave
with arbitrary polarization is incident on the bi-anisotropic material slab.
We assume that the oblique incident plane wave is given mathematically by

! !
E I ˆ S I exp… j I† …2:4:23†
! !!
0 H I ˆ UI HI exp… j I†
!
I ˆ kI
!
r ˆ kx x ky1 y ‡ kz z …2:4:24†

where

! !
k I ˆ kx a^ x ky1 a^ y ‡ kz a^ z r ˆ xa^ x ‡ ya^ y ‡ za^ z …2:4:25†
Spectral State Variable Formulation 59

It is assumed for simplicity in this analysis that

 1=2
ky1 ˆ 1 1 k2x k2z 6ˆ 0 …2:4:26†

It is further assumed that the wave vector values kx , kz are known and given
and that the incident plane wave polarization is speci®ed by known and
given values of SxI and SzI . From Maxwell's equations and the assumed
!
known value of k I , the other ®eld components of the incident wave are
given by

kx k
SyI ˆ S ‡ z S ˆ SxI ‡ SzI …2:4:27†
ky1 xI ky1 zI
1  
UxI ˆ ky1 SzI kz SyI …2:4:28†
1
1
UyI ˆ ‰k S kx SzI Š …2:4:29†
1 z xI
1  
UzI ˆ k S ‡ ky1 SxI …2:4:30†
1 x yI

We note that Eqs. 2.4.27±30 represent an arbitrary oblique plane wave of

arbitrary polarization.
The re¯ected wave in Region 1 as results from Maxwell's equations is
given by

! ! ! !
E R ˆ S R exp… j R †; 0 H R ˆ U R exp… j R† …2:4:31†
!
R ˆ kR
!
r ˆ kx x ‡ ky1 y ‡ kz z …2:4:32†

where

!
k R ˆ kx a^ x ‡ ky1 a^ y ‡ kz a^z …2:4:33†

If the tangential values of the electric ®eld SxR and SzR can be found, it turns
out from Maxwell's equations that the other ®eld components of the
re¯ected wave are given by
60 Chapter 2

kx kz
SyR ˆ S S ˆ SxR SzR …2:4:34†
ky1 xR ky1 zR
1  
UxR ˆ k S kz SyR …2:4:35†
1 y1 zR
1
UyR ˆ ‰k S kx SzR Š …2:4:36†
1 z xR
1  
UzR ˆ k S ky1 SxR …2:4:37†
1 x yR

In Region 3 the EM ®elds are given by

! ! ! !
E T ˆ S T exp… j T† 0 H T ˆ U T exp… j T† …2:4:38†
!
T ˆ k T
…!
r ‡ La^ y † ˆ kx x ky3 …y ‡ L† ‡ kz z …2:4:39†

where

!
k T ˆ kx a^ x ky3 a^y ‡ kz a^ z …2:4:40†
 1=2
ky3 ˆ 3 3 k2x k2z 6ˆ 0 …2:4:41†

If the tangential values of the electric ®eld SxT and SzT can be found, it turns
out from Maxwell's equations that the other ®eld components of the trans-
mitted wave are given by

kx k
SyT ˆ S ‡ z S ˆ  0 SxT ‡  0 SzT …2:4:42†
ky3 xT ky3 zT
1  
UxT ˆ ky3 SzT kz SyT …2:4:43†
3
1
UyT ˆ ‰k S kx SzT Š …2:4:44†
3 z xT
1  
UzT ˆ kx SyT ‡ ky3 SxT …2:4:45†
3

Now that the general EM ®elds have been found in Regions 1±3 of
space (see Fig. 15), as mentioned earlier, the next step is to match EM
boundary conditions at the Region 1±2 and Region 2±3 interfaces. The
boundary conditions for the present problem require that the tangential
Spectral State Variable Formulation 61

electric and magnetic ®elds at all interfaces be continuous. These boundary

conditions follow from Maxwell's equations [3] using a small pillbox ana-
lysis. The boundary conditions for the present problem at the Region 1±2
interface are

 X4 
 
‰ExI ‡ ExR Š yˆ0‡ ˆ Cn Exn 
nˆ1

yˆ0

 X4 

‰EzI ‡ EzR Šyˆ0‡ ˆ Cn Ezn 
nˆ1

yˆ0
 …2:4:46†
 X4 

‰HxI ‡ HxR Šyˆ0‡ ˆ Cn Hxn 
nˆ1

yˆ0

 X4 

‰HzI ‡ HzR Šyˆ0‡ ˆ Cn Hzn 
nˆ1

yˆ0

P P P
We letPSAx ˆ 4nˆ1 Cn Sxn , SAz ˆ 4nˆ1 Cn Szn , UAx ˆ 4nˆ1 Cn Uxn , and
UAz ˆ 4nˆ1 Cn Uzn , evaluate the equations at y ˆ 0‡ and y ˆ 0 , cancel
the exp… j…kx x ‡ kz z†† factor and express the unknowns of Eqs. 2.4.46,
SxR and SzR , in terms of SAx , SAz , UAx , and UAz according to the relations

SxR ˆ SxI ‡ SAx

…2:4:47†
SzR ˆ SzI ‡ SAz

After a small amount of algebra, it follows that

VxI ˆ SAx ‰ kz Š ‡ SAz ‰ ky1 kz Š ‡ 1 UAx

  …2:4:48†
VzI ˆ SAx kx  ‡ ky1 ‡ SAz ‰kx Š ‡ 1 UAz

where
 
VxI ˆ SxI ‰ kz Š ‡ SyI ‰ kz Š ‡ SzI 2ky1 kz 
…2:4:49†
VzI ˆ SxI ‰2ky1 ‡ kx Š ‡ SyI ‰kx Š ‡ SzI ‰kx Š

The terms VxI , VzI represent the known source terms associated with the
incident plane wave. If we further substitute the sums in SAx , SAz , UAx , and
UAz and collect on the unknown coef®cients Cn in the sums, we ®nd
62 Chapter 2

X
4   
VxI ˆ Cn Sxn ‰ kz Š ‡ Szn ky1 kz  ‡ 1 Uxn
nˆ1
…2:4:50†
X
4   
VzI ˆ Cn Sxn kx  ‡ ky1 ‡ Szn ‰kx Š ‡ 1 Uzn
nˆ1

The boundary conditions at the Region 2±3 interface are


 X
4 

‰ExT Š yˆ L‡
ˆ Cn Exn 
nˆ1

yˆ L

 X4 

‰EzT Šyˆ L‡
ˆ Cn Ezn 
nˆ1

yˆ L
 …2:4:51†
 X4 

‰HxT Š yˆ L‡
ˆ Cn Hxn 
nˆ1

yˆ L

 X4 

‰HzT Šyˆ L‡
ˆ Cn Hzn 
nˆ1

yˆ L

Substituting

X
4
SxT ˆ Cn exp… qn L†Sxn
nˆ1
…2:4:52†
X
4
SzT ˆ Cn exp… qn L†Szn
nˆ1

into Eqs. 2.4.51 and following a procedure very similar to the Region 1±2
interface we ®nd that

X
4     
0ˆ Cn exp… qn L† Sxn kz  0 ‡ Szn ky3 kz  0 3 Uxn
nˆ1

X
4     
0ˆ Cn exp… qn L† Sxn kx  0 ‡ ky3 ‡ Szn kx  0 3 Uzn
nˆ1
…2:4:53†
Spectral State Variable Formulation 63

Altogether Eqs. 2.4.50 and 2.4.53 represent a set of 4  4 matrix equations

from which the four unknown Region 2 coef®cients can be found. Once the
Cn coef®cients are found, all coef®cients of the system can be found.

2.4.4 Numerical Example

In this section we present a numerical example of the theory presented in the
previous subsections. In Region 1 we assume that 1 ˆ 1:3, 1 ˆ 1:8, and
the incident plane wave of Eq. 2.4.27 has SxI ˆ 1 (V/m), SzI ˆ 0:9 (V/m),
p p
kx ˆ 1 1 sin…I † cos…I †, and kz ˆ 1 1 sin…I † sin…I †, where I ˆ
 
35 and I ˆ 65 . In Region 3 we assume that the material parameters are
3 ˆ 1:9 and 3 ˆ 2:7. In Region 2 we take the layer thickness L~ ˆ 0:6 and
we consider a complicated numerical example where all material parameters
of  , l, a, and b of Eqs. 2.4.5 are 2.4.6) are taken to be nonzero. The material
parameters of Region 2 are taken to be
2 3
0:3 ‡ 0:2j 0:15 0:2 ‡ 0:2j
6 7
aˆ6
4 0:1 ‡ 0:05j 0:3 0:6 ‡ 0:65j 7
5
0:05 0:1 ‡ 0:1j 0:25
2 3
0:1 0:05 ‡ 0:05j 0:3
6 7
bˆ6
4 0:1 ‡ 0:1j 0:01 0:01 75
0:05 0:04 ‡ 0:08j 0:14
2 3 …2:4:54†
1:3 0:2j 0:3 0:1j 0:33 0:07j
6 7
ˆ6
4 0:1 2 0:01 7
5
0:02 0:01 3
2 3
0:1 :01 1:0 0:4j
6 7
lˆ6
4 0:15j 2:0 0:3j 0:013 7 5
0:011 0:012 1:3 0:2j

Figure 16 shows plots of the magnitude of the Ex , Ey , and Ez electric ®eld

components in Regions 1, 2, and 3 of the EM system under consideration,
and Fig. 17 shows plots of the magnitude of the Hx , Hy and Hz magnetic
®eld components in the same regions as Fig. 16. As can be seen from Figs.
16 and 17, the bi-anisotropic layer for the material values and layer thick-
ness used represents a highly re¯ective layer. This is concluded from the
large standing wave pattern observed in the re¯ected EM ®elds. It is also
64 Chapter 2

Figure 16 Plots of the magnitudes of the Ex , Ey , and Ez electric ®eld components

in Regions 1, 2, and 3 of the EM system of Fig. 15 are shown.

noticed from Figs. 16 and 17 that the tangential components of the EM

®elds, namely Ex , Ez , Hx , and Hz , are continuous at the interfaces, as they
should be if correct EM boundary condition matching is occurring. It is also
observed that the longitudinal or normal components to the interface,
namely Ey and Hy , are discontinuous at the interfaces also as one would
expect for the present problem. In Figs. 16 and 17 it is further observed that
the magnitudes of the EM ®elds are constant in Region 3. This is expected
since only a transmitted wave occurs in this region.
In concluding this section, the authors would like to make the com-
ment that the veri®cation of the complex Poynting theorem is a complicated
but important calculation for the present problem. Using Eqs. 2.2.18±20 and
!t !t
generalizing the electric and magnetic currents J and M , respectively, to
include the additional contributions resulting from the bi-anisotropic mate-
rial parameters of Region 2, one can verify the complex Poynting theorem
by using the Poynting box shown in Fig. 15. We have veri®ed that the
complex Poynting theorem is indeed obeyed to a high degree of accuracy.
Spectral State Variable Formulation 65

Figure 17 Plots of the magnitudes of the Hx , Hy , and Hz magnetic ®eld compo-

nents in the same regions as Fig. 16 are shown.

2.5 ONE-DIMENSIONAL k-SPACE STATE VARIABLE

SOLUTION
2.5.1 Introduction
In this section we apply the state variable method to solve problems where
the EM ®eld pro®les vary in one transverse dimension and are incident on,
in general, a bi-anisotropic slab. The bi-anisotropic slab is assumed to be
bounded by either a homogeneous lossless half space or a perfect electric or
magnetic conductor. Examples of this type of problem are a one-dimen-
sional Gaussian beam incident on a material slab, an electric or magnetic
line source incident on the slab (or located within the slab), and a slot
radiating from a ground plane located adjacent to the material slab. In
this section we assume that the EM ®elds vary in the x- and y-directions
and are constant in the z-direction.
66 Chapter 2

2.5.2 k-Space Formulation

To begin the analysis we expand the EM ®elds in Regions 1±3 in a one-
dimensional Fourier transform [1±8] (also called a k-space expansion) and
substitute these ®elds in Maxwell's equations. As in other sections, all coor-
~ etc. We have
dinates are normalized as x ˆ k0 x, y ˆ k0 y,
…1
! !
E …x; y† ˆ S …kx ; y† exp… j †dkx …2:5:1†
1
…1
! !
0 H …x; y† ˆ U …kx ; y† exp… j †dkx …2:5:2†
1

where ˆ kx x. The subscript x refers to the spatially varying EM ®elds, and

Eqs. 2.5.1 and 2.5.2 apply to Regions 1±3. Our objective is to ®nd the EM
®eld solutions in Regions 1±3 of space and then to match appropriate EM
boundary conditions at the Region 1±2 and Region 2±3 interfaces.
In Region 2, we assume the same bi-anisotropic layer as was studied in
Section 2.4. Substituting the electric and magnetic ®eld of Eqs. 2.5.1 and
2.5.2 into Maxwell's equations and interchanging the curl operators …r ˆ
~
…1=k0 †r† and Fourier integrals we ®nd that
…1 n h! i h ! !i o
0ˆ r  S …kx ; y† exp… j † jl U ja S exp… j † dkx
1
…2:5:3†

…1 n h! i h ! !i o
0ˆ r  U …kx ; y† exp… j † jb U ‡  S exp… j † dkx
1
…2:5:4†

Setting the quantities in the curly brackets of Eqs. 2.5.3 and 2.5.4 to zero
and performing a small amount of algebra it is found that

! ! !
j exp…j †r  … S exp… j †† ˆ l U ‡ a S …2:5:5†
! ! !
j exp…j †r  … U exp… j †† ˆ b U ‡  S …2:5:6†

These equations are of the same form as Eqs. 2.4.5 and 2.4.6 if we take
kz ˆ 0. We thus ®nd in Region 2 that the variable equations given in Section
2.4 represent a general solution of the problem being studied here.
Spectral State Variable Formulation 67

2.5.3 Ground-Plane Slot-Waveguide System

As a speci®c example of the theory of this section we consider the problem
of a slot parallel plate waveguide radiating from an in®nite ground plane
through an anisotropic material slab into a homogeneous half space. Figure
18 shows the geometry of the system. We initially assume that the EM ®elds
inside of the slot waveguide consist only of an incident and re¯ected TEM
waveguide mode whose incident amplitude is E0 (volt/m) and whose
re¯ected amplitude is R0 (volt/m) and to be determined. The material para-
meters in the slot are taken to be lossless, isotropic, and characterized by
relative parameters 3 and 3 . We assume that the material layer (Region 2)
has a ®nite thickness L and that the only nonzero, lossy, relative material
parameters in the slab are xx , xy , yx , yy , and xx ˆ yy ˆ zz ˆ  ˆ
 0 j 00 . All other material parameters in a, b,  , and l tensors are zero.
The in®nite half space is assumed to have lossless material parameters 1 and
1 . Assuming only a TEM wave in Region 3 we ®nd that the EM ®elds in
the waveguide slot referring to Fig. 18 are given by

ExI ˆ E0 exp… jk3 …y ‡ L†† …2:5:7†

E0
0 HzI ˆ exp… jk3 …y ‡ L†† …2:5:8†
3
ExR ˆ R0 exp…jk3 …y ‡ L†† …2:5:9†

Figure 18 The geometry of the ground-plane slot-waveguide system.

68 Chapter 2

R0
0 HzR ˆ exp…‡jk3 …y ‡ L†† …2:5:10†
3
Ex…3† ˆ ExI ‡ ExR …2:5:11†
Hz…3† ˆ HzI ‡ HzR …2:5:12†

for jxj  2B and zero elsewhere in Region 3. In Eqs. 2.5.7±12, 0 ˆ 377

,
p p ~ and B~ (meter) is the waveguide slot half
3 ˆ 3 =3 , k3 ˆ 3 3 , B ˆ k0 B,
width. Since the EM ®elds are independent of the z-direction, it turns out
that the only nonzero ®eld components in all regions of space are the Ex , Ey ,
and Hz components. The general state variable equations given by Eqs. 2.5.5
and 2.5.6 reduce to

 
@V a a12
ˆ AV A ˆ 11 …2:5:13†
@y a21 a22

where

  " #
yx k2x
a11 ˆ j kx a12 ˆ j zz …2:5:14†
yy yy
   
xy yx xy
a21 ˆ j xx a22 ˆ j kx …2:5:15†
yy yy

and where V ˆ ‰Sx ; Uz Št . These are in fact the same exact equations as were
studied in Section 2.3 except that here Sx and Uz represent k-space Fourier
amplitudes rather than spatial EM ®eld components as they did in Section
2.3. The general solution to Eqs. 2.5.13 in Region 2 is

… 1 "X
2
#
Ex…2† ˆ Cn Sxn exp…qn y† exp… jkx x† dkx …2:5:16†
1 nˆ1
… 1 "X
2
#
Ey…2† ˆ Cn Syn exp…qn y† exp… jkx x†dkx …2:5:17†
1 nˆ1
… 1 "X
2
#
0 Hz…2† ˆ Cn Uzn exp…qn y† exp… jkx x†dkx …2:5:18†
1 nˆ1
Spectral State Variable Formulation 69

where

Sxn ˆ 1 …2:5:19†
a qn
Uzn ˆ 11 …2:5:20†
a12
yx k
Syn ˆ S ‡ xU n ˆ 1; 2 …2:5:21†
yy yn yy zn

and where
 1=2
q1 ˆ 0:5‰a11 ‡ a22 Š ‡ 0:5 …a11 a22 †2 ‡ 4a12 a21 …2:5:22†
 1=2
q2 ˆ 0:5‰a11 ‡ a22 Š 0:5 …a11 a22 †2 ‡ 4a12 a21 …2:5:23†

From Maxwell's equations and including the boundary condition that

only an outgoing wave can propagate away the material slab and wave-
guideslot, the EM ®elds in Region 1 are given by
…1  
ky1 …1†
Ex…1† ˆ Uz …kx † exp… jkx x jky1 y†dkx …2:5:24†
1 1
…1  
kx …1†
Ey…1† ˆ Uz …kx † exp… jkx x jky1 y†dkx …2:5:25†
1 1
…1
0 Hz…1† ˆ Uz…1† …kx † exp… jkx x jky1 y†dkx …2:5:26†
1

where

ky1 ˆ ‰1 1 k2x Š1=2 1  1 k2x  0 …2:5:27†
j‰k2x 1 1 Š1=2 1  1 k2x < 0

The minus sign of ky1 (or branch of ky1 ) was chosen on the physical grounds
p
that the integrals converge as y ! 1 when the jkx j > 1 1 .
To proceed it is necessary to match EM boundary conditions at the
Region 1±2 and Region 2±3 interfaces. To facilitate the Region 2±3 EM
boundary matching, it is convenient to represent and replace the waveguide
!
aperture slot with an equivalent magnetic surface current M s backed by an
electrical perfect conductor. The boundary condition equation to determine
!
the equivalent magnetic surface current M s backed by an in®nite ground
plane is
70 Chapter 2

 1
 
!…2†  !…3†  !
a^ y  E  E  Aˆ Ms …2:5:28†
yˆ L‡

yˆ L

where

!…3† 
E  ˆ0 …2:5:29†
yˆ L

since the magnetic surface current is assumed to be backed by an in®nite

ground plane. Also
 x
!…2† 
E  ˆ EA …x† rect a^ …2:5:30†
yˆ L‡ 2B x

where

x 1 jxj < B

rect ˆ …2:5:31†
2B 0 jxj > B

EA …x† represents the x-component of the electric ®eld in the aperture. Using
Eq. 2.5.30 it is found that the equivalent magnetic surface current is given by
x …1
!
M s ˆ a^ z EA …x† rect ˆ a^ z M…kx † exp… jkx x†dkx …2:5:32†
2B 1

!
The last part of Eq. 2.5.32 expresses M s in k-space. For the present problem
the aperture electric ®eld is given by Eq. 2.5.30 evaluated at y ˆ L . Thus
EA is a constant given by EA ˆ E0 ‡ R0 . Using this value of EA it is found
from Fourier inversion that

BEA sin…kx B†
M…kx † ˆ …2:5:33†
 kx B

We will now present the boundary value equations at the Region 1±2
and Region 2±3 interfaces. At the Region 1±2 interface, matching the tan-
gential electric ®eld (Ex -component) and the tangential magnetic ®eld (Hz -
component) on the y ˆ 0‡ (in Region 1) and y ˆ 0 (in Region 2), and at
the Region 2±3 interface, matching the tangential electric ®eld (Ex -compo-
!
nent) at y ˆ L‡ (Region 2) to the magnetic surface current M s , and then
recognizing that the Fourier amplitudes of all the k-space integrals must
equal each other for all values of kx , we ®nd the following equations:
Spectral State Variable Formulation 71

ky1 …1† X2
Uz …kx † ˆ Cn Sxn …2:5:34†
1 nˆ1

X
2
Uz…1† …kx † ˆ Cn Uzn …2:5:35†
nˆ1

X
2
Cn Sxn exp… qn L† ˆ M…kx † …2:5:36†
nˆ1

If we eliminate Uz…1† …kx † from Eqs. 2.5.34±36 we are left with a 2  2 set of
equations from which to determine C1 and C2 in terms of M…kx †. We ®nd
that

T2 M…kx †
C1 ˆ …2:5:37†
T1 exp… q2 L† T2 exp… q1 L†
T1 M…kx †
C2 ˆ …2:5:38†
T1 exp… q2 L† T2 exp… q1 L†

where

ky1
Tn ˆ a12 ‰a qn Š n ˆ 1; 2 …2:5:39†
1 11

The last boundary condition to be imposed is that the tangential mag-

netic ®eld at y ˆ L‡ (Region 2) should match the tangential magnetic ®eld
at y ˆ L (Region 3, inside the waveguide aperture). We have
 
 
0 Hz…2†  ˆ 0 Hz…3†  jxj  2B …2:5:40†
yˆ L‡ yˆ L

In this section we will enforce this boundary condition by averaging Eq.

2.5.40 over the width of the waveguide slot jxj < B. Integrating over jxj  B
and dividing by 2B we have
…B    …  
1  1 B  
0 Hz…2†  dx ˆ 0 Hz…3†  dx …2:5:41†
2B B yˆ L ‡
2B B yˆ L

The right-hand side of Eq. 2.5.41 integrates after using Eq. 2.5.12 to
…B   
1  1
0 Hz…3†  dx ˆ ‰E R0 Š …2:5:42†
2B B yˆ L 3 0
72 Chapter 2

Thus
…B   
1 1 
‰E R0 Š ˆ 0 Hz…2†  dx …2:5:43†
3 0 2B B yˆ L‡

When only TEM waves propagate in a parallel plate waveguide, the

parallel plate waveguide forms a two-conductor transmission line system.
An important quantity associated with the transmission line system is a
quantity called the transmission line admittance, which for the present
case at location y on the line y  L is de®ned as

~ Hz…3† …y†
Y…y† ˆ …2:5:44†
Ex…3† …y†

and for the present case using Eqs. 2.5.42±44 is given by

~ 1 E0 exp… jk3 …y ‡ L†† R0 exp…jk3 …y ‡ L††

Y…y† ˆ …2:5:45†
0 3 E0 exp… jk3 …y ‡ L†† ‡ R0 exp…jk3 …y ‡ L††

This quantity is useful for transmission lines because once a transmission

line admittance load, call it Y~ LOAD , is speci®ed at a given point on the line it
is possible to ®nd a relation between the incident wave amplitude E0
(assumed known) and the re¯ected wave amplitude R0 . With E0 assumed
known and R0 known from Eq. 2.5.45, the ®elds everywhere on the line can
then be determined using Eqs. 2.5.7±12.
In the present problem we de®ne a transmission line load admittance
to be located at the waveguide aperture at y ˆ L. In this case we ®nd,
calling the transmission line load admittance Y~ A` (in units of
1 (or mhos);
the subscript A refers to aperture),
 
   
Hz…3†  Hz…3† 
1 E0 R0
Y~ A` ˆ  yˆ L
ˆ
yˆ L
ˆ …2:5:46†
…3†  EA 0 3 EA
Ex 
yˆ L

„B
If we replace 1=3 ‰E0 R0 Š by …1=2B† B 0 Hz…2† jyˆ L‡ dx using Eq. 2.5.43,
we ®nd that
( …  )
1 1 1 B 
…2† 
Y~ A` ˆ 0 H z  dx …2:5:47†
0 EA 2B B yˆ L‡
Spectral State Variable Formulation 73

De®ning a normalized aperture load admittance we have

„B 
…2† 
…1=2B†  H
B 0 z  dx
yˆ L‡
YA` ˆ 0 Y~ A` ˆ …2:5:48†
EA

If we substitute the EM ®eld solution for the magnetic ®eld in Region

2 into Eq. 2.5.48, interchange the dx and dkx integrals in the numerator of
Eq. 2.5.48, and cancel the common constant EA in the numerator and
denominator of Eq. 2.5.48, we ®nd the following expression for the normal-
ized aperture load admittance:
…1
YA` ˆ Y…kx †dkx …2:5:49†
1

where
  2
B T2 Uz1 exp… q1 L† T1 Uz2 exp… q2 L† sin…kx B†
Y…kx † ˆ
 T1 exp… q2 L† T2 exp… q1 L† kx B
…2:5:50†

We remind readers that in the above equation, the quantity in square brack-
ets is a complicated function of kx , and the Uzn , n ˆ 1; 2, are eigenvector
components associated with the magnetic ®eld in Region 2. Once the inte-
gral in Eq. 2.5.49 is carried out, YA` is known and then a relation between E0
and R0 can be found through the equation
 1 E0 R0
~ 
YA` ˆ 0 Y…y† ˆ …2:5:51†
yˆL 3 E0 ‡ R0

If E0 is assumed known, then the normalized re¯ection coef®cient of the

system is

R0 1=3 YA`
r ˆ …2:5:52†
E0 1=3 ‡ YA`

In computing the integral as given in Eq. 2.5.50, care must be used in

p
carrying out the integral near the points where kx ˆ k1 , k1 ˆ 1 1 when
k1   jkx j  k1 (this interval is in the visible region) and k1 ‡   jkx j 
k1 (this interval is in the invisible region), where  is a small number say on
the order of k1 =4 or possibly less. The reason for this is that the function in
square brackets in the integrand of the YA` integral may be discontinuous
74 Chapter 2

(or even singular) near the points kx ˆ k1 , and thus signi®cant numerical
error can occur if a very ®ne numerical integration grid is not used around
these points. In the present section using the quadrature formulas
kx ˆ k1 cos…u†, 0  u  , in the visible region and kx ˆ k1 cosh…u†,
0  u  1, in the invisible region was employed to integrate the YA` inte-
gral. These formulas provide a very dense grid near kx ˆ k1 and thus
provide an accurate integration of the YA` integral.
Harrington [3, p. 183, Eqs. 4-104, 4-105] de®nes an aperture admit-
tance for the present slot radiator problem through the Parseval power
relation

P~ 
Y~ A ˆ …2:5:53†
jVj2

~ A , EA ˆ 1 (Volt/meter) and where

where V ˆ 2BE
…1      …1
  1 
P~ ˆ Ex…2†  Hz…2†  d x~ ˆ E x …k~x †H z …k~x †d k~x
1 ~
yˆ L~ ‡ yˆ L~ ‡ 2 1
…2:5:54†

where E x …k~x † and H z …k~x † are the Fourier amplitudes (or k-space pattern
space factors) of the Ex…2† electric ®eld and the Hz…2† magnetic ®eld, respec-
tively. P~ has units of (watt/meter)=(volt amp/meter), so Y~ A has units of
(
meter† 1 (or mho/meter). Substituting the EM ®eld solutions derived
earlier in Eq. 2.5.54, it is found that the aperture admittance Y~ A as de®ned
by Eq. 2.5.54 is very closely related to the transmission line load admittance
expression Y~ A` . It is related by the equation

Y~
Y~ A ˆ A` …2:5:55†
2B~

where 2B~ is the width of the slot.

We note that, in calculating the YA` integral using Eq. 2.5.49 in the
limits as L ! 0, the exponential terms in Eq. 2.5.50 approach unity, and it is
found after a small amount of algebra that
…1  
B1 sin kx B 2
YA` ˆ 0 Y~ A` ˆ dkx …2:5:56†
1 ky1 kx B

which is an expression for the aperture load admittance of a slot waveguide

radiating into a homogeneous lossless half space. If one substitutes Y~ A` as
Spectral State Variable Formulation 75

given by Eq. 2.5.56 in the aperture admittance expression as given by Eq.

2.5.55, one derives the same expression as derived by Harrington [3, p. 183,
Eqs. 4-104, 4-105] for a ground plane slot radiating into a lossless half space.
Another quantity of interest is the power that is radiated as one moves
in®nitely far away from the radiating slot. The Poynting vector at a location
x ˆ  cos…c †, y ˆ  sin…c †,  ! 1, is given by
 
! 1 !…1† !…1† 1 1  …1† 2
S ˆ Re E  H ˆ U  a^ r ho …2:5:57†
2 2 0 z

where
…1
Uz…1† ˆ A…kx † exp… jkx x jky1 y†dkx …2:5:58†
1

and where
   
BEA ‰ T2 ‡ T1 Š sin…kx B†
A…kx † ˆ 1
 ky1 ‰T1 exp… q2 L† T2 exp… q1 L†Š kx B
…2:5:59†

We note in passing that Eq. 2.5.58 for Yz…1† is identical to that given by
Ishimaru [4, Chapter 14] when one (1) lets the dielectric layer be isotropic,
(2) lets the slot waveguide width 2B~ approach zero while holding the voltage
potential difference between the parallel plate conductors constant, and (3)
makes the correct geometry association between Ishimaru's analysis and the
present one.
Ishimaru [4] shows, by using the method of steepest descent, that the
integral in Eq. 2.5.58 asymptotically approaches as  ! 1 the value
   
2 1=2 j
Uz…1† ˆ F…k1 sin…'c †† exp jk1  ‡ …2:5:60†
k1  4

where

F…k1 sin…c ††  ‰k1 cos…c †ŠA…k1 sin…c †† ˆ

   
BEA ‰ T2 ‡ T1 Š sin …kx B†
1
 ‰T1 exp… q2 L† T2 exp… q1 L†Š kx B
…2:5:61†
76 Chapter 2

where k1 sin…c † and k1 cos…c † have been substituted for kx and ky1 , respec-
tively, in Eq. 2.5.58. To describe the radiation from the waveguide aperture
and material slab system in the far ®eld … ! 1† we plot the normalized
radiation intensity, which here is de®ned as the radiation intensity,  ! 1,
divided by the total radiation intensity integrated from c ˆ =2 to
c ˆ =2. This quantity is called the directive gain D…c †. Applying this
de®nition and using Eqs. 2.5.60 and 2.5.61 after cancelling common factors
we ®nd

jF…k1 sin…c ††j2

D…c † ˆ  „ =2 …2:5:62†
=2 jF…k1 sin…c ††j2 dc

2.5.4 Ground-Plane Slot-Waveguide System, Numerical

Results
As a numerical example of the radiation through a waveguide slot radiating
through the anisotropic layer under study we consider the layer formed
when 1 ˆ 1 and 1 ˆ 1,
2 3
xx xy 0
2 ˆ  ˆ 1:2 j2:6  2 ˆ 4 yx yy 0 5 …2:5:63†
0 0 zz

where xx ˆ 2, xy ˆ 0:3, yx ˆ 0:9 j0:2, and yy ˆ 2:1. The value of zz is
immaterial to the present analysis and is not speci®ed here. For all calcula-
tions in this section the slot width has been taken to be 2B~ ˆ 0:6.
Figure 19 shows a plot of the Y…kx † aperture admittance integrand
when the layer thickness has been taken to L~ ˆ 0:6. As can be seen from
Fig. 19 for the values used in the present example, the integrand converges
fairly rapidly for values of jkx j  5k1 ˆ 5. An inspection of Eq. 2.5.50 for
Y…kx † shows that for kx large the integrand approaches 1=k3x and thus is
guaranteed to converge. In an inspection of Fig. 19 one sees also that the
integrand Y…kx † is not exactly symmetric with respect to the kx variable.
This is a result of the slot radiating through an anisotropic rather than an
isotropic medium. For the present example, the boundary of the visible and
invisible [1] (i.e., propagating and evanescent) radiation range is at
kx ˆ k1 ˆ 1. One observes from Fig. 19 the effect that the discontinuous
ky1 function of Eq. 2.5.27 has on the Y…kx † integrand in the kx regions near
kx ˆ k1 ˆ 1. Figure 19 also lists values of the two lowest magnitude poles
which were associated with the Y…kx † integrand. The two pole locations in
Spectral State Variable Formulation 77

Figure 19 A plot of the Y…kx † aperture admittance integrand.

the complex kx plane …kxp1 ˆ 1:541 ‡ j0:218 and kxp2 ˆ 1:567 j0:146†
were nonsymmetric because of the anisotropy of the material slab. The
values of the poles were listed as they in¯uence the real kx integration
when the kx integration variable passes close to the poles' location.
Figure 20 shows a plot of the YA` aperture load admittance as a
function of the layer thickness L.~ At a value of L~ ˆ 0 the layer does not
exist, and the waveguide aperture radiates into free space. As L~ increases,
the real and imaginary parts of the aperture admittance are oscillatory up to
a value of about L~ ˆ 1, where it starts to approach a constant value.
Figure 21 shows a plot of the directive gain as a function of the angle
c . One observes from this ®gure that the radiation pattern is concentrated
in a 90 angle around the broadside direction and one also observes that the
radiation pattern is asymmetric in the angle c , with the peak radiation
value occurring at about angle c ˆ 10 . The asymmetry is caused by the
fact that the slot has radiated through an anisotropic material slab.
78 Chapter 2

Figure 20 A plot of the YA` aperture load admittance as a function of the layer
~
thickness L.

Figure 21 A plot of the directive gain as a function of the angle c .

Spectral State Variable Formulation 79

2.6 RADIATION FROM A DIPOLE IN THE PROXIMITY OF A

GENERAL ANISOTROPIC GROUNDED LAYER [32]
2.6.1 Introduction
In the previous sections we have studied general plane-wave incidence on an
anisotropic material slab and have used one-dimensional k-space theory to
study radiation from a waveguide slot aperture into an anisotropic material.
In this section we will study the problem of determining the EM ®elds when
an electric dipole is in the presence of a slab of anisotropic material that is
backed by an electrical ground plane (see Fig. 22). As is well known, the
radiation from a dipole varies in all three dimensions in space. The solution
to this problem is one level of complexity higher than the previous example
and thus requires two-dimensional k-space theory rather than one-dimen-
sional k-space theory. Furthermore, the presence of the anisotropic layer
near the radiating dipole makes this a formidable problem to tackle. This
follows because the anisotropic material couples all of the EM ®eld compo-
nents in a very complicated way. Two-dimensional k-space theory in con-
junction with state variable techniques is probably the only tractable way to
approach this problem.
We will summarize the basic formulation and numerical solution as
presented by Tsalamengas and Uzunoglu [32], who have developed a useful
and interesting formulation to this problem that we will brie¯y summarize in
the following section. The formulation of Ref. 32 is useful because it con-
structs an EM ®eld solution that, despite the complexity of the general
anisotropic layer, builds the ground plane boundary condition (tangential
electric ®eld zero at the surface of the ground plane) into the form of the EM
®eld solution. In the following we follow the coordinate system and notation
of Ref. 32.

Figure 22 General anisotropic grounded layer geometry. (# 1985, IEEE.)

80 Chapter 2

2.6.2 The Field Inside the Anisotropic Layer

Following Ref. 32 we assume that the permittivity and permeability tensor
components of the anisotropic layer are characterized by the general com-
plex values ~ and l.
~ Using the notation in Ref. 32, Maxwell's equations in
the anisotropic region [assuming exp…j!t† time dependence] assume the form

~ !
r
!
H a ˆ j!~ E a …2:6:1†
~ !
r Ea ˆ
!
~ a
j!lH …2:6:2†

where the subscript ``a'' stands for anisotropic. We express the spatial elec-
tric and magnetic ®elds in a two-dimensional k-space Fourier transform as
…1 …1
! ! !
Faˆ ~ exp… j…k~x x~ ‡ k~y y††d
f a … k ; z† ~ k~x d k~y …2:6:3†
1 1

! !
where k ˆ k~x a~ x ‡ k~y a~ y ; F a represents, !
respectively,
! either the electric ®eld
! !
E a or magnetic ®eld H a , and where f a … k ; z† ~ represents,
! respectively,
either the spectral amplitude of ! the electric ®eld !e … k ; ~
z† or the spectral
! a
amplitude of the magnetic ®eld h a … k ; z†. ~ Substituting the Fourier trans-
forms integrals into Maxwell's equations and collecting coef®cients of the
exponential in Eq. 2.6.3 we ®nd that

! ! !
~ ˆ j!~ !
D h a … k ; z† ~
e a … k ; z† …2:6:4†
! ! !
D! ~ ˆ
e a … k ; z† j!l~ h a … k ; z†
~ …2:6:5†

where
2 3
0 @=@z~ j k~y
6 7
D ˆ 4 @=@z~ 0 j k~x 5 …2:6:6†
j k~y j k~x 0

De®ning the auxiliary ®eld column matrices

" ! ! ! # " ! ! ! #
~
k
e a … k ; z† ~
k
h a … k ; z†
~ ˆ
ya …z† ! ! xa …z† ˆ ! ! !
a^z
…! ~  k†
e a … k ; z† a^ z
… h a … k ; z†
~  k†
…2:6:7†
Spectral State Variable Formulation 81

We ®nd that Eqs. 2.6.4 and 2.6.5 can be put into the form
    
d ~
xa …z† R U ~
xa …z†
ˆ …2:6:8†
d z~ ~
ya …z† V W ~
ya …z†

where the 2  2 matrices R, U, V, and W can be found in the Appendix of

Ref. 32.
The boundary conditions require that the tangential electric ®eld at
!
z~ ˆ 0 must be zero. This requires at z~ ˆ 0 that a^ z  E a ˆ 0, which further
!
requires, by the completeness of the Fourier transform, that a^ z  ! e a … k ; 0† ˆ
! !
0 or eax … k ; 0† ˆ eay … k ; 0† ˆ 0. Thus the auxiliary column matrix ya …z† satis-
! ! ! !
®es ya …0† ˆ 0, since ya1 …0†  k
! e a … k ; 0† ˆ kx eax … k ; 0† ‡ ky eay … k ; 0† ˆ 0
! ! ! !
and ya2 …0†  a^z
…!e a … k ; 0†  k † ˆ eax … k ; 0†ky eay … k ; 0†kx ˆ 0.
Consider the matrix differential equation
    
d X R U X
ˆ …2:6:9†
d z~ Y V W Y

where X and Y are 2  2 matrices with entries

   
~
x11 …z† ~
x12 …z† ~
y11 …z† y12 …z†
Xˆ Yˆ
~
x21 …z† ~
x22 …z† ~ y22 …z†
y21 …z†

If X1 and Y1 are solutions of Eq. 2.6.9 that meet the boundary conditions
X1 …0† ˆ I2 and Y1 …0† ˆ 0 (I2 is a 2  2 identity matrix), then the solution of
Eq. 2.6.8 is given by

~ ˆ X1 …z†…X
xa …z† ~
~ 1 1 …d††c …2:6:10†

~ ˆ Y1 …z†…X
ya …z† ~
~ 1 1 …d††c …2:6:11†

where c ˆ ‰cx cy Št is a 2  1 constant column matrix. The matrices X1 and Y1

are given by the solution
   
Y1 0
~
ˆ exp…Az†
X1 I2

and where the matrix A is given by

 
W V
Aˆ …2:6:12†
U R
82 Chapter 2

and the 2  2 submatrices R, U, V, and W may be found in the Appendix of

Ref. 32 as mentioned earlier. The matrix exp…Az† can be evaluated through
the Cayley±Hamilton by the expression

~ ˆ C0 …z†I
exp…Az† ~ 4 ‡ C1 …z†A ~ 2 ‡ C3 …z†A
~ ‡ C2 …z†A ~ 3 …2:6:13†

~ i ˆ 0; 1; 2; 3; satisfy
where Ci …z†,

X
3
~ ˆ
exp…j z† kj Ck …z†
~ j ˆ 1; 2; 3; 4 …2:6:14†
kˆ0

and j , j ˆ 1; 2; 3; 4, are the distinct roots of the characteristic equation

det…I4 A† ˆ 4 ‡ a1 3 ‡ a2 2 ‡ a3 1 ‡ a4 ˆ 0 …2:6:15†

where a1 ˆ tr…A†, a2 ˆ ‰a1 tr…A† ‡ tr…A2 †Š=2, a3 ˆ ‰a2 tr…A† ‡ a1 tr…A2 †

‡tr…A3 †Š=3, and a4 ˆ det…A† and where tr…
† is the trace operator. In this
analysis, only the case of distinct roots is treated. When repeated roots are
present a more general analysis is required. After a lengthy algebraic pro-
cedure one can determine the eight matrix elements x11 …z†; ~ . . . ; and y11 …z† ~
making up the 2  2 matrices X and Y respectively. A full listing these
matrix elements is given in Ref. 32, Eqs. 16a±d and 17a±d.
Using Eqs. 2.6.4±15 one can ®nally ®nd full algebraic expressions
! for
the electric and magnetic Fourier amplitude ®eld components !
e … k ; ~
z† and
! ! a
~ respectively. The algebraic form of these amplitudes is given in
h a … k ; z†,
Ref. 32. We remind the reader that these ®eld components at this stage of
the analysis are speci®ed in terms of the still unknown c ˆ ‰cx cy Št .
Speci®cation of the general EM ®elds in the half space z~ > d~ (which contains
the electric dipole source) and boundary matching of these ®elds to ®elds of
the anisotropic layer must be performed in order to determine all ®elds of
the EM system.

2.6.3 Solution of the Boundary Value Problem

The ®eld in the region z~ > d~ is the superposition of the EM ®elds due to the
dipole source and the ®elds re¯ected from the anisotropic layer. The primary
EM ®eld due to the dipole source is assumed to be excited in free space (in
the !absence of!the!
anisotropic slab) and to the electric
! dipole !current
! source
! 0
~ Letting !
J … r~ † ˆ p…
^ r~ r~ †, where z~ 0 > d. ~ and h 0 … k ; z†
e 0 … k ; z† ~ be the
two-dimensional Fourier amplitude of the electric ®eld and magnetic ®elds
due to the dipole source [using the Fourier representation as given by Eq.
Spectral State Variable Formulation 83

~ and y0 …z†
2.6.3, and using the auxiliary ®eld quantities x0 …z† ~ de®ned ana-
logously to Eqs. 2.6.10 and 2.6.11, the free space dipole can be written as
" #
1 0 jsgn…z~ z~ 0 † 0
~ ˆ 2
x0 …z†
8 jsgn…z~ z~ 0 † 0 j k~2 ~0 1 …2:6:15†
!
Q exp…j k
!
0
 ~0 jz~ z~ 0 j†

" #
1 0 …!0 †
1
0 sgn…z~ z~ 0 †k~2 …!0 † 1
~ ˆ 2
y0 …z†
8 0 !0 ~0 1 0 …2:6:16†
!
Q exp…j k~
!
0
 ~0 jz~ z~ 0 j†

where z 6ˆ z 0 , k~2 ˆ k~2x ‡ k~2y , ~0 ˆ …k~2 k20 †1=2 , k~20 ˆ !2 0 0 ,

2 ! 3
j p^
k 2
! ! ! 3
6 7 ~
k
h 0 … k ; z†
6 7
Q ˆ 6 j a^
…p^  !k †7 x0 …z† ˆ 4 5
4 z 5 ! ! !
z^
… h 0 … k ; z†
~  k†
p^
a^ z
2 ! ! ! 3
~
k
e 0 … k ; z†
y0 …z† ˆ 4 5
! ! !
z^
… e 0 … k ; z†
~  k†
…2:6:17†

and

!0 !0
r~ ˆ ~ ‡ z~ 0 a^ z …2:6:18†

For the ®eld re¯ected from the anisotropic layer (an outgoing wave moving
away from the layer),
" #" #
j ~0 0 F
~ ˆ
xr …z† exp… ~0 jz~ ~
dj† …2:6:19†
0 !0 D
" #" #
0 j ~0 F
~ ˆ
yr …z† exp… ~0 jz~ ~
dj† …2:6:20†
!0 0 D
84 Chapter 2
! ! !
where xr …z† ~ are determined from !
~ and yr …z† ~ and h r … k ; z†
e r … k ; z† ~ in a
manner! similar to
! ! the way x0 … ~
z† and y 0 … ~
z† were! determined
! !from
! ~ and h 0 … k ; z†
e 0 … k ; z† ~ or xa …z†
~ and ya …z†~ from ! ~ and h a … k ; z†.
e a … k ; z† ~
The ®nal step in obtaining the solution is to boundary match the
tangential EM ®elds at z~ ˆ d. ~ The total EM ®elds for z~  d~ is the sum of
the incident and re¯ected ®elds, and the total ®elds for z~  d~ is the aniso-
tropic slab ®eld; thus equating these total ®elds (using the three sets of
auxiliary vectors) we have

~ ˆ c ˆ x0 …d†
xa …d† ~ ‡ xr …d†
~ …2:6:21†
~ ˆ y …d†
ya …d† ~ ‡ y …d†
~ …2:6:22†
0 r

On substituting Eqs. 2.6.15±20 into Eqs. 2.6.21 and 2.6.22, the following set
of 4  4 equations is obtained, from which all unknown constants of the
system can be found. The 4  4 equations are
" #" #
j ~0 0 F
c ~
ˆ x0 …d† …2:6:23†
0 !0 D
" #" #
0 j ~0 F
~
Y1 …d†X ~ 1
…d†c ~
ˆ y0 …d† …2:6:24†
!0 0 D

Once the four constants c ˆ ‰cx cy Št , F, and D are known, the EM

®elds in the anisotropic and isotropic regions can be speci®ed. Reference
32 gives a complete speci®cation of these ®elds both in the anisotropic
region and in the isotropic region. Reference 32, further, by letting
r ! 1, ®nds, from an asymptotic approximation of the Fourier integrals,
expressions for the electric far ®eld. From these far ®eld expressions, Ref. 32
is able to compute the far ®eld radiation patterns of the dipole anisotropic
slab.

2.6.4 Numerical Results and Discussion

Numerical computations [32] have been carried out for the far ®eld structure
related to several anisotropic substrates. The anisotropic cases considered
are uniaxial crystals, ferrites, and plasmas. For the ferrite and plasma layers,
the orientation of the static magnetic ®eld is taken as

N^ ˆ cos 0 a^ z ‡ sin 0 …cos 0 a^ x ‡ sin 0 a^ y † …2:6:25†

Spectral State Variable Formulation 85

The general ferrite tensor l…0 ; 0 † and the plasma tensor  …0 ; 0 † are com-
puted by applying unitary transformations to l…0 ˆ 0; 0 †, and  …0 ˆ
0; 0 †, respectively. The expressions for these tensor are referred to in
[32]. For uniaxial media the N^ vector represents the orientation of the
optical axis. The direction of the radiating dipole is determined by the
unit vector p^ and is parallel to one of the unit vectors a^x , a^y , a^ z .
Figure 23 (kindly supplied to us in corrected form by the authors of
Ref. 32), gives results for E and E relative far ®eld amplitudes for a
ceramic Polytetra¯uoroethylene (PTFE) uniaxial substrate for various opti-
cal axis orientations …0 ˆ 20 , 40 , 60 , and 80 ). The dielectric constants

Figure 23 Radiation patterns jE j, jE j versus  in the  ˆ 0 (180 ) plane for a
uniaxial substrate with xx ˆ 10:70 , zz ˆ 10:40 , l ˆ 0 I3 , d ˆ 1 mm, and
f ˆ 30 GHz. The primary source is an electric dipole located at the substrate surface
…z 0 ˆ d†, and its orientation is de®ned with the unit vector .
^ (# IEEE, 1985.)
86 Chapter 2

along the principal axes are ~xx ˆ ~yy ˆ 10:70 and ~zz ˆ 10:40 . In this case
the  …0 ; 0 † is independent of the 0 angle and l ˆ 0 I 3 . The substrate
thickness is taken to be d ˆ 1 mm. Both vertical ^ ˆ z^ and horizontal ^ ˆ
x^ dipoles are considered assuming the same excitation. The variation of the
radiation diagrams is noticeable only for the horizontal dipoles, while for
the vertical dipoles there is almost no effect of the optical axis orientation.
The radiation diagrams, as in the case of isotropic substrates, retain their
symmetry with respect to the z-axis.
In treating ferrite substrates it is assumed that  …0 ; 0 † ˆ 150 I3 and
that a strong magnetic type of anisotropy is used with ~ 11 ˆ 0:6750 ,
~ 12 ˆ 0:494 0 , !0 =! ˆ 2:35 [32], ! ˆ M, 0 M ˆ 0:3Wb=m2 ( being the
magnetomechanical ratio). Corresponding to various biasing static magnetic
®eld orientations, the computed radiation patterns on various  ˆ constant
^
planes are given in Figs. 24±26 for x-directed dipoles. The radiation fre-
quency is taken f ˆ 30 GHz, and the ferrite layer thickness is d ˆ 1 mm. In
general there is a strong dependence of the far ®eld to 0 orientation. When
the  ˆ constant observation plane coincides with the  ˆ 0 plane (i.e.,
 ˆ 0 ˆ 0) and the dipole axis is also parallel to this plane, the patterns
are axisymmetric. This symmetry is not exhibited for other observation
planes such as in Fig. 25, where patterns are varying from an almost omni-
directional coverage (0 ˆ 20 ) to a rather directional diagram …0 ˆ 80 ).

Figure 24 Radiation patterns jE j, jE j versus  in the  ˆ 90 observation plane
of a ferrite substrate for various 0 angles and 0 ˆ 0 . The material properties of the
ferrite are ~ 11 ˆ 0:6750 , ~ 12 ˆ 0:4940 [32], and ~ …0 ; 0 † ˆ 0 I3 , d~ ˆ 1 mm. and
f ˆ 30 GHz. The dipole axis is along the x-axis …a^ ˆ a^ x † and is located at the
~ (# 1985, IEEE.)
substrate surface …z~ 0 ˆ d†.
Spectral State Variable Formulation 87

Figure 25 Radiation patterns jE j, jE j versus  for the same parameters as Fig. 24
except the observation plane is  ˆ 0 . The magnetostatic ®eld is inside the 0 ˆ 0
plane. (# 1985, IEEE.)

Figure 26 Radiation patterns jE j, jE j versus  for the same parameters as Fig. 25
except the observation plane is  ˆ 0 and 0 ˆ 45 . (# 1985, IEEE.)
88 Chapter 2

There is also high cross-polarization due to the anisotropic layer. Numerical

computations have shown that the nonsymmetry in the lobe structures is
considerably smaller for weaker anisotropies …11 ˆ 0:90 , 12  0:2 0 ).
With this, however, strong depolarization phenomena have been observed
with a strong dependence on the 0 angle.
Finally we consider the excitation of a grounded plasma layer with a
horizontal dipole excitation. Again the radiation frequency is f ˆ 30 GHz
and the plasma layer thickness is d ˆ 1 mm. The parameters characterizing
the plasma are taken as l ˆ 0 I3 , while  …0 ˆ 0; 0 † is computed with !c =
!p ˆ 1:8 and !=!p ˆ 2:4. In Fig. 27 computed radiation patterns are given.
For this particular set of plasma parameters the variation in the radiation
pattern is weak. However when  ˆ 0 ˆ 0, strong variation in the sidelobes
is observed.

2.6.5 Conclusion
In conclusion of this section a general formulation is presented for the
analysis of an EM ®eld originating from an arbitrary oriented dipole source
in the presence of a grounded general anisotropic layer. The Green's func-
tion is determined by using linear algebra techniques without restriction on
the anisotropic permittivity or permeability. Several numerical examples
have been presented.

Figure 27 Radiation patterns jE j, jE j versus  in the  ˆ 0 plane for a grounded
plasma layer with !c =!p ˆ 1:8, !=!p ˆ 2:4, d~ ˆ 1 mm, and f ˆ 30 GHz [32]. The
~ and
^ and it is located on the plasma surface …z~ 0 ˆ d†
dipole is along the x-axis …^ ˆ x†,

0 ˆ 0 . (# 1985, IEEE.)
Spectral State Variable Formulation 89

2.7 A NUMERICAL METHOD OF EVALUATING

ELECTROMAGNETIC FIELDS IN A GENERALIZED
ANISOTROPIC MEDIUM [25, 26]
2.7.1 Introduction
In the previous sections a 4  4 matrix formulation has been presented to
study EM ®elds in an anisotropic or bi-anistropic medium. As mentioned
previously, for anisotropic or bi-anisotropic media, the full ®eld method is
the only tractable method, because of the analytic complexity of dealing
with the complicated coupled tensor equations that result. A critical step
in the state variable or exponential matrix method is to develop the transi-
tion matrices, which relate the EM ®elds at one planar interface to others.
This method, although ef®cient at handling the formulation, has problems
in the actual numerical computation. Problems arise when the wave num-
bers in the direction of the inhomogeneity are complex valued. If the layers
are electrically thick enough, the transition matrices become numerically
singular due to some exponentially large matrix elements. The problem of
singularity of the transition matrix is particularly severe in systems that have
sharp discontinuities such as antennas and circuits, as these systems generate
signi®cant evanescent ®elds; thus generating the correct numerical solution
in the evanescent wave number range is dif®cult.
In this section a scheme utilizing variable transformation is developed.
The idea is to extract the large exponential terms in the formulation and
transform them into variables that are then used to represent the ®elds at
each interface. In the following section only a single layer analysis is per-
formed. A detailed review of this algorithm as applied to multilayer analysis
is given in Ref. 25. In the following we use the coordinate system and
notation of Yang [26] to describe the ®eld problem. Yang refers to this as
the spectral recursive transformation method [25].

2.7.2 Variable Transformation in the Matrix Exponential

Method
We consider the problem of a plane wave scattering from a planar (x-y
~ shown in Fig. 28. All coor-
plane) generalized anisotropic layer …0 < z~ < d†
dinates and ®eld quantities are in unnormalized coordinates. The approach
using ®eld excitation by current sources is similar in principle to plane wave
analysis under consideration. The extension of the method to multilayer
systems is discussed elsewhere [25]. In the spectral exponential matrix
method the x~ and y~ spectral ®eld components in the anisotropic medium
derived from Maxwell's equations with some algebraic manipulation
90 Chapter 2

Figure 28 Re¯ection from an in-plane biased ferrite layer. Biased ®eld …H0 † 1000
Gauss in the a^x direction; magnetization 2500 Gauss. Transverse magnetic incidence
i ˆ 30 and i ˆ 40 , ~f ˆ 12:80 , and d~ ˆ 3 cm. (Copyright 1995, IEEE [26].)

become four coupled ®rst-order differential equations of Berreman [20] or

Tsalamengas and Uzunoglu [32]. In matrix form the equations are

@ ~ ~
w…z† ˆ Aw…z† …2:7:1†
@z~

where
2 3
k~x H~ x ‡ k~y H~ y
6 k~ H~ k~x H~ y 7
~ z† 6 7
w… ~ ˆ6 y x 7 …2:7:2†
4 k~x E~ x ‡ k~y E~ y 5
k~y E~ x k~x E~ y

E~ x , E~ y , H~ x , and H~ y are the Fourier transforms of the tangential components,

and A is a 4  4 matrix where the elements are functions of spectral vari-
ables k~x and k~y and material parameters. If one de®nes the 4  4 matrix r~ as
the eigenvector matrix with the eigenvalues i , i ˆ 1; 2; 3; 4, of A, the solu-
tion of Eq. 2.7.1 is
h i  
~ …d~ † ˆ T…d†
~ ~ …0† …2:7:3†
Spectral State Variable Formulation 91

where
2 3
~
exp…1 d† 0 0 0
6 7
6 0 ~
exp…2 d† 0 0 7
~ ~ 6 7 ~ 1
T…d† ˆ ‰/Š6 7‰/Š
6 0 0 ~
exp…3 d† 0 7
4 5
0 0 0 ~
exp…4 d†
…2:7:4†

The electromagnetic ®elds in the air …z~  d~‡ and z~  0 ) can be derived
from a set of transverse electric and transverse magnetic vector potential
functions. This result can be shown to be
2 q 3
ja 0 k~2 k20
6 7
6 7
6 ! b 0 7
~ ‡ † ˆ 6 q 7
w…d
6 0
7
6 0 ~2 7
6 jb k k 27
4 05

!0 a 0
2 q 3 …2:7:5†
jc 0 k~2 k20
6 7
6 7
6 !0 d 0 7
~ 6 7
w…0 † ˆ 6 q 7
6 7
6
4 jd 0 k~2 k20 7 5
!0 c 0

The unknown a 0 , b 0 , c 0 , and d 0 are quantities to be determined from the

equation

~ ‡†
w…d ~ w…0
T…d† ~ † ˆ Qinc …2:7:6†
q
where k~ ˆ k~2x ‡ k~2y and where Qinc is related to the incident plane wave.
For the problem with a current source the right-hand side should be the
corresponding spectral current component. The state variable exponential
matrix method described above is rigorously correct. However in numerical
implementation this method may break down. Without loss of generality it
is assumed that Re…1 †  Re…2 †  Re…3 †  Re…4 †. In many practical
applications when Re…1 †  1, the transition matrix de®ned in Eq. 2.7.4
92 Chapter 2

becomes numerically singular. As a result the numerical inversion of Eq.

2.7.6 provides erroneous results.
In Eq. 2.7.4 the transition matrix can be written

~
T…d† ˆ exp…1 d†A ~
1 ‡ exp…2 d†A2 …2:7:7†

where the singular matrices A1 and A2 do not contain any terms that grow
exponentially. We have
2 3
1 0 0 0
6 7
60 0 0 07
6 7~
A1 ˆ r~ 6 7r
1
…2:7:8†
60 0 0 07
4 5
0 0 0 0

and
2 3
0 0 0 0
60 1 0 0 7
6 7~
A2 ˆ r~ 6
1
~ 7r …2:7:9†
40 0 exp‰…3 2 †dŠ 0 5
0 0 0 exp‰…4 ~
2 †dŠ

Note that A1 is obtained from Eq. 2.7.4 by replacing the terms of exp…2 d†,
exp…3 d†, and exp…4 d† with 0 and replacing exp…1 d† with 1. Since A1 is a
singular matrix, it can be shown that
2 3
a1
6 7
6 a2 7
~ 06 7 0
A1 w…0 † ˆ …c ‡ d †6 7 …2:7:10†
6 a3 7
4 5
a4

where ,  and ai , i ˆ 1; 2; 3; 4, are associated with the eigenvectors and

found from Eqs. 2.7.6, 2.7.7, and 2.7.8. In order to overcome the over¯ow
problem, the following variable transformations are de®ned:

~ ˆu
…c 0 ‡ d 0 † exp…1 d† …2:7:11†
~ ˆv
…c 0 ‡ d 0 † exp…2 d† …2:7:12†
Spectral State Variable Formulation 93

where u and v are the new variables replacing c 0 and d 0 . With the variable
transformations, we have

2 3 2 q 3
a1 j k~2 k20
6 7 6 7
6 a2 7 6 7
6 7 u 6 !0 7
~ w…0
T…d† ~ † ˆ u6 7 ‡ A exp‰…2 ~
1 †dŠ6 q 7
6 a3 7   2 6 7
4 5 6 j k~2 k20 7
4 5
a4
!0
2 q 3
j k~2 k20
6 7
6 7
v 6 !0 7
‡ A2 6 q 7
  6 6
7
4 j k~2 k2 7 0 5
!0
…2:7:13†

Upon inspecting Eq. 2.7.13, one observes why the transformation provides a
stable invertible matrix equation from which to determine the unknown
coef®cients a 0 , b 0 , u, and v (and therefore c 0 and d 0 ). The right-hand side
of Eq. 2.7.13 is a sum of an exponential and two nonexponential terms.
When 1  2 , the exponential term becomes much smaller than the
nonexponential terms. In this case, when the left-hand side is then numeri-
cally computed, the exponential term will make a negligible contribution to
the matrix elements of Eq. 2.7.6, and the nonexponential terms alone will
provide a ®nite and numerically correct value for the matrix elements of the
system. As mentioned earlier, without using this transformation, a row of
exponentially small matrix elements exists, leading to numerical singularity
of the matrix equation.

2.7.3 An Example: Scattering from a Biased Ferrite Layer

A practical example of the case of scattering from a biased ferrite layer is
shown in Fig. 28. It is known that the (magnetically) biased ferrites may
couple ordinary and extraordinary waves due to the presence of magnetic-
®eld-dependent off-diagonal terms in the permeability tensor. Hence an
incident ordinary wave could excite extraordinary waves inside the material.
The extraordinary wave is evanescent [35]. When the decay factor of this
extraordinary wave is large, the matrix equation that directly results from
boundary matching is no longer numerically invertible, for reasons dis-
94 Chapter 2

cussed above, and therefore the variable transformation technique should be

used. The result for the re¯ection from a biased ferrite layer is shown in Fig.
28 for both methods. It is seen that there exists a frequency band where the
ordinary transition matrix method provides nonphysical results. Outside
this frequency band the two methods provide identical results. Further
examples of the variable transformation technique can be found from [25].

2.7.4 Conclusion
A numerical algorithm was developed for the computation of EM ®elds in a
generalized anisotropic structure. The proposed method using variable
transformation overcomes the dif®culty frequently encountered in the tran-
sition cascade method, without increasing computational time or memory.
The extension of this technique to multilayer structures is given in detail by
Yang [25].

PROBLEMS

1. Using the wave equation for the electric ®eld, write down the EM
®eld solutions in the three regions in Fig. 1. Assume normal
incidence from Region 1. Show that your results are the same
as the state variable solutions of Section 2.2.
2. If the interface between Regions 2 and 3 in Fig. 2 has a perfectly
electrically conducting surface, write down the state variable
solutions in each of the three regions for normal incidence
from Region 1. Using these solutions and the EM boundary
conditions, solve for all the EM ®elds.
3. Extend the state variable solutions developed in Sec. 2.2 to the
case of normal incidence onto 2 layers sandwiched in air. Assume
that the permeabilities of the layers are equal to that of free
space, and that the layer relative permittivities are 2 and 4.
Determine the condition on layer thicknesses to achieve maxi-
mum re¯ection from the sandwich.
4. Verify the complex Poynting theorem for the solutions to the
two-layer sandwich in Problem 3. Assume the Poynting box to
be of unit cross-sectional area and of suf®cient thickness to
enclose both layers.
5. If the electric current source in Fig. 8 is replaced with a magnetic
current source, ®nd the ®eld solutions for the system.
6. Starting from Eq. (2.3.7), develop the state variable solution for
the case where the permeability is anisotropic (xx ; xy ; yx ; yy ,
Spectral State Variable Formulation 95

and zz are nonzero) and the permittivity is isotropic. Assume

that plane wave which is polarized with its electric ®eld perpen-
dicular to the plane of incidence impinges on the layer.
7. Develop the EM ®eld solutions within a bi-isotropic ("; ; a; b
scalar) layer immersed in air and for the case a ˆ b.
8. A propagating transverse magnetic (TM) mode whose longitudi-
hm i
nal electric ®eld is given Ey ˆ A sin …x ‡ B† exp… y† is inci-
2B
dent on the anisotropic layer shown in Fig. 18. Assume only a
single TM mode is re¯ected from the layer.
a) Determine the EM ®elds associated with the incident TM
mode.
b) Determine the EM ®elds associated with the re¯ected TM
mode.
c) Determine the state variable equations and solutions which
electromagnetically couple to the incident and re¯ected ®elds
from the slot waveguide.
d) Determine the EM ®eld solution which exists in Region 1 of
Fig. 18 (Sec. 2.5).
e) Follow the procedure outlined in Sec. 2.5 to determine the
re¯ection coef®cient of the incident TM mode.
f) Find the far ®eld radiation pattern associated with the
system.
9. Repeat Problem 8 assuming a transverse electric (TE) mode is
incident in the waveguide. How does this mode couple to the
anisotropic layer?
10. Solve Problem 8 exactly by including in your solution all propa-
gating and evanescent TEM, TE, and TM modes which may be
re¯ected from the anisotropic layer system. What is the coupling
that occurs between the TEM, TE, and TM modes?
11. a) Considering the slot-waveguide, anaisotopic layer system
displayed in Fig. 18, using the parameters; "xx ˆ 2.,
"xy ˆ "yx ˆ :5, "yy ˆ 4: "zz ˆ 1:, "xz ˆ "zx ˆ "yz ˆ "zy ˆ 0:,
 ˆ 1. (all regions), waveguide width equal to :9; and
using the numerical method described in Sec. 2.5, determine
the EM ®elds of the system if the layer thickness is :2:
b) Using the numerical algorithm and parameters of Part a),
investigate the largest thickness that may be used before
numerical instability of the solution becomes evident.
c) Use the spectral recursive transformation method of Yang
[25, 26] described in Sec. 2.7, to obtain numerically stable
EM solution for layer thickness which were equal to or
greater than those determined in Part b) to lead to numerical
instability.
96 Chapter 2

REFERENCES

1. D. R. Rhodes, Synthesis of Planar Aperture Antenna Sources, Oxford

University Press, 1974.
2. H. A. MacLeod, Thin-Film Optical Filters, Macmillan, New York, 1986.
3. R. F. Harrington, Time-Harmonic Electromagnetic Fields, McGraw-Hill, New
York, 1961.
4. A. Ishimaru, Electromagnetic Wave Propagation, Radiation and Scattering,
Prentice Hall, Englewood Cliffs, New Jersey, 1991.
5. L. B. Felson and N. Marcuvitz, Radiation and Scattering of Waves, Prentice
Hall, Englewood Cliffs, New Jersey, 1973.
6. I. V. Lindell, A. H. Sihvola, S. A. Tretyakov, and A. J. Viitanen,
Electromagnetic Waves in Chiral and Bi-Isotropic Media, Artech House,
Boston, London, 1994.
7. J. Galejs, Antennas in Inhomogeneous Media, Pergamon Press, Oxford, 1969.
8. J. R. Wait, Electromagnetic Waves in Strati®ed Media, Pergamon Press,
Oxford, 1970.
9. S. V. Marshall, R. E. DuBroff, and G. G. Skitek, Electromagnetic Concepts and
Applications, 4th ed., Prentice Hall, Englewood Cliffs, New Jersey, 1996.
10. P. P. Banerjee and T. C. Poon, Principles of Applied Optics, Aksen Associates,
Homewood, IL.
11. P. Baumeister, Utilization of Kard's equations to suppress the high frequency
re¯ectance bands of periodic multilayers, Appl. Opt., 24, 2687±2689 (1985).
12. J. A. Dobrowolski and D. Lowe, Optical thin ®lm synthesis based on the use of
Fourier transforms, Appl. Opt., 17, 3039±3050 (1978).
13. W. H. Southwell, Coating design using very thin high- and low-index layers,
Appl. Opt., 24, 457±460 (1985).
14. J. M. Jarem, The minimum quality factor of a rectangular antenna aperture,
Arab. J. Sci. Eng., 7(1), 27±32 (1982).
15. J. M. Jarem, Method-of-moments solution of a parallel-plate waveguide aper-
ture system, J. Appl. Phys., 59(10), 3566±3570 (1986).
16. J. M. Jarem, The input impedance and antenna characteristics of a cavity-
backed plasma covered ground plane antenna, IEEE Trans. Antennas
Propagation, AP-34, 262±267 (1986).
17. J. M. Jarem and F. To, A K-space methods of moments solution for the
aperture electromagnetic ®elds of a circular cylindrical waveguide radiating
into an anisotropic dielectric half space, IEEE Trans. Antennas Propagation,
AP-37, 187±193 (1989).
18. D. A. Holmes and D. L. Feucht, Electromagnetic wave propagation in bire-
fringent multilayers, J. Opt. Soc. Am., 56, 1763±1769 (1966).
19. S. Teitler and B. W. Henvis, Refraction in strati®ed, anisotropic media, J. Opt.
Soc. Am., 60, 830±834 (1970).
20. D. W. Berreman, Optics in strati®ed and anisotropic media: 4  4-matrix for-
mulation, J. Opt. Soc. Am., 62, 502±510 (1972).
21. P. J. Lin-Chung and S. Teitler, 4  4 matrix formalisms for optics in strati®ed
anisotropic media, J. Opt. Soc. Am. A, 1, 703±705 (1984).
Spectral State Variable Formulation 97

22. C. M. Krowne, Fourier transformed matrix method of ®nding propagation

characteristics of complex anisotropic layer media, IEEE Trans. Microwave
Theory Techniques, MTT-32, 1617±1625 (1984).
23. M. A. Morgan, D. L. Fisher, and E. A. Milne, Electromagnetic scattering by
strati®ed inhomogeneous anisotropic media, IEEE Trans. Antennas
Propagation, AP-35, 191±197 (1987).
24. R. S. Weiss and T. K. Gaylord, Electromagnetic transmission and re¯ection
characteristics of anisotropic multilayered structures, J. Opt. Soc. Am. A, 4,
1720±1740 (1987).
25. H. Y. D. Yang, A spectral recursive transformation method for electromagnetic
waves in generalized anisotropic layered media, IEEE Trans. Antennas
Propagation, AP-45, 520±526 (1997).
26. H. Y. D. Yang, A numerical method of evaluating electromagnetic ®elds in a
generalized anisotropic medium, IEEE Trans. Microwave Theory Techniques,
MTT-43, 1626±1628 (1995).
27. P. Yeh, Electromagnetic propagation in birefringent layered media, J. Opt. Soc.
Am., 69, 742±756 (1979).
28. N. G. Alexopoulos and P. L. E. Uslenghi, Re¯ection and transmission for
materials with arbitrarily graded parameters, J. Opt. Soc. Am., 71, 1508±1512
(1981).
29. R. D. Graglia, P. L. E. Uslenghi, and R. E. Zich, Dispersion relation for
bianisotropic materials and its symmetry properties, IEEE Trans. Antennas
Propagation, AP-39, 83±90 (1991).
30. S. M. Ali and S. F. Mahmoud, Electromagnetic ®elds of buried sources in
strati®ed anisotropic media, IEEE Trans. Antennas Propagation, AP-37, 671±
678 (1979).
31. C. M. Tang, Electromagnetic ®elds due to dipole antennas embedded in stra-
ti®ed anisotropic media, IEEE Trans. Antennas Propagation, AP-27, 665±670
(1979).
32. J. L. Tsalamengas and N. K. Uzunoglu, Radiation from a dipole in the proxi-
mity of a general anisotropic grounded layer, IEEE Trans. Antennas
Propagation, AP-33 (2), 165±172 (1985).
33. J. L. Tsalamengas, Electromagnetic ®elds of elementary dipole antennas
embedded in strati®ed general gyrotropic media, IEEE Trans. Antennas
Propagation, AP-37, 399±403 (1989).
34. C. M. Krowne, Determination of the Green's function in the spectral domain
using a matrix method: application to radiators or resonators immersed in a
complex anisotropic layered medium, IEEE Trans. Antennas Propagation, AP-
34, 247±253 (1986).
35. B. Lax and K. J. Button, Microwave Ferrites and Ferrimagnetics, McGraw-Hill,
New York, 1962.
3
Planar Diffraction Gratings

3.1 INTRODUCTION

In the past thirty years the study and use of periodic structures and diffrac-
tion gratings has become increasingly important. Diffraction gratings have
been constructed for applications in the frequency ranges of microwaves,
millimeter waves, far infrared, infrared, optics, and x-rays. Diffraction grat-
ings occur in such applications as holography, memory storage, spectro-
scopy, phase conjugation, photorefractives, image reconstruction, optical
computing, transducers, integrated optics, microwave phased arrays, acous-
tooptics, interdigitated, voltage controlled, liquid crystal displays, and many
other areas. Petit [1], Gaylord and Moharam [2], Solymar and Cooke [3],
and Maystre [4] give extensive reviews on the applications of diffraction
gratings. Chapter 7 of this book cites many references on diffraction grat-
ings in photorefractive materials.
We will give a brief description and overview of the physical makeup
of diffraction gratings. Diffraction gratings have been manufactured and
constructed in many different forms and types. Two main classi®cations
of diffraction gratings are those that are metallic and those that are dielec-
tric. Metallic gratings have grooves that are etched or cut from a ¯at metal
surface. These grooves may be rectangular or triangular in shape.
Triangular grooves are referred to as blazed gratings. Metallic gratings are
operated in the re¯ection mode, as the diffracted waves are re¯ected from
the metal surface. Metallic gratings are also examples of surface relief grat-
ings, as the rectangular or triangular groove shape of the grating is cut from
the ¯at metal surface.
Dielectric gratings are constructed of dielectric materials that are
transparent to the electromagnetic radiation that impinges on it.
Dielectric gratings can be classi®ed into two major types: dielectric gratings
that are surface relief gratings and dielectric gratings that are volume grat-

99
100 Chapter 3

ings. Surface relief dielectric gratings tend to have a large periodic modula-
tion but small thickness, whereas volume dielectric gratings tend to have a
small periodic modulation but a large thickness. The large modulation of
the surface relief grating occurs because the grating material from which the
grating is constructed has a large difference in index of refraction compared
to the medium adjacent to the grating. Dielectric gratings may be operated
in either the transmission mode or the re¯ection mode. Transmission grat-
ings have periods on the order of a few wavelengths with the grating vector
parallel to the grating surface, whereas re¯ection gratings have periods on
the order of a half wavelength and grating vectors perpendicular to the
grating surface. Gratings that are neither exactly parallel or not exactly
perpendicular to the grating surface are referred to as slanted gratings.
Scattering from dielectric diffraction gratings depends strongly on
three main factors, namely the type and strength of the periodic variation
of the index of refraction that exists in the grating, the type of material
(anisotropic or isotropic, nonlossy or lossy) the grating is made from, and
the type of EM wave that is incident on the grating. We will now brie¯y
discuss these three factors.
The periodic variation of the index of refraction that induces diffrac-
tion when a grating is illuminated may consist of many different forms. The
periodic variation may be one-dimensional; it may be two-dimensional, in
which case it is referred to as a crossed grating; or the grating may consist of
two superimposed one-dimensional gratings. In addition to the index vary-
ing in one or two dimensions, the periodic variation of the index of refrac-
tion may vary longitudinally throughout the grating. A sinusoidal surface
relief grating and a triangular blaze grating that has air as an interface are
examples of this type of variation. A surface relief grating is longitudinally
inhomogeneous because at a plane where the groove is deeper, more material
will be included in the duty cycle of the grating that at a plane closer to the
homogeneous air half space.
The type of material that makes up the grating may be isotropic and
nonlossy, like glass; it may be anisotropic, like calcite or LiNbO3 (lithium
niobate); it may be either weakly lossy (e.g., BaTiO3 ) or strongly lossy.
Lossy gratings attenuate the diffracted waves as they propagate through
the system. In anisotropic materials the anisotropy tends to couple the
polarization states of the incident wave in the medium and induce new
polarization states in the system. In anisotropic systems the diffracted
waves consist of ordinary and extraordinary waves coupled together
through the grating vector.
The type of EM radiation that is incident on the grating strongly
in¯uences the diffraction that will result from the grating. The EM radiation
may consist of either a plane wave or a collection or spectrum of plane
Planar Diffraction Gratings 101

waves (e.g., a Gaussian beam). Further, each of these types of waves may be
incident on the grating at an oblique angle and possess an arbitrary polar-
ization. Later in this chapter we will show examples of H-mode (magnetic
®eld in plane of incidence) and E-mode polarization (electric ®eld in plane of
incidence) states that may be used to illuminate a diffraction grating.
Particularly for anisotropic gratings, the type of incident wave and its polar-
ization determine strongly how the EM wave will couple and diffract from
the grating.
Many mathematical analyses and numerical algorithms have been
developed so that the diffraction that occurs from planar gratings can be
predicted. Some of the main diffraction grating methods and algorithms are
(1) coupled wave analysis [5±9], (2) rigorous coupled wave analysis (RCWA)
[2,10±53], (3) coupled mode theory [54±61] (Refs. 57±59 have been referred to
as the Australian method), (4) the differential method [1,62±65], (5) the inte-
gral method [66], (6) the ®nite difference method [67±69], (8) the boundary
element method [70], (7) the unimoment method [71] and (9) other methods
[72,73], which are either closely related to or variations of the methods listed
above. References 74±76 list papers on energy and power conservation in
electromagnetic and electromagnetic diffraction grating systems.
Concerning the ®rst three methods, within the last ten years, several
researchers have been concerned with the problem of improving the con-
vergence or increasing the stability (that is, allowing analysis of thicker
grating structures that have increased grating strength) of the coupled
mode and coupled wave algorithms, and they also have been concerned
with the problem of understanding in the ®rst place, for certain polariza-
tions and material types, the coupled mode and coupled wave algorithms
that are unstable and why they do not converge well.
Just about all the above-mentioned algorithms solve the EM grating
diffraction problem in three basic steps: one must (1) express the EM ®elds
outside the diffraction grating region as Rayleigh series of propagating and
evanescent planes waves whose amplitudes are unknown and are yet to be
determined (the series is transversely periodic with the period equal to grat-
ing period of the periodic structure), (2) by an appropriate method, ®nd a
general solution of Maxwell's equations in the diffraction grating region,
and (3) match EM boundary conditions at the diffraction grating and
homogeneous grating interfaces to determine all the unknown coef®cients
of the diffraction grating system. Most of the methods differ in the way that
Maxwell's equations are solved in the diffraction grating region. We will
now give a brief description of all of these algorithms. This chapter will
primarily focus on the rigorous coupled wave approach. Chapter 6,
Section 6.2 will brie¯y describe the coupled mode algorithm and show its
connection to anisotropic waveguide propagation theory as developed by
102 Chapter 3

Gardiol [1, Chapter 6]. The reader may refer to the references for further
details on the other methods.
We will now give a brief description of the above-mentioned algo-
rithms. The description here, in order to simplify the discussion and descrip-
tion, is assumed to apply only to longitudinally homogeneous gratings.
When using coupled wave analysis [5±9] and RCWA [10±53], Maxwell's
equations in the diffraction grating region are solved by expanding the
periodic dielectric in the diffraction grating region in a Fourier series,
expanding the EM ®elds in the diffraction grating region in a set of
Floquet harmonics whose amplitudes are functions of the longitudinal coor-
dinate, and after substituting these expansions in Maxwell's equations, orga-
nizing the resulting equations into state variable form where eigensolutions
to the state variable system can be found. Coupled wave analysis [5±9]
differs from RCWA [10±53] in that in coupled wave analysis only a very
few Floquet harmonics are used in the analysis (two or three), whereas in
RCWA the analysis is made nearly exact by including however many
Floquet harmonics are necessary until convergence of the solution is
obtained. Typical state variable matrix sizes in the rigorous coupled wave
analysis method may range from 10  10 to 100  100.
In coupled mode theory algorithms, the transverse periodic region of
the gratings is divided into homogeneous subregions, and wave equation
solutions in the homogeneous subregions [which are linear combinations of
sinusoids proportional to a longitudinal propagation factor exp… z†, where
z is the longitudinal coordinate] are EM boundary matched to the adjacent
homogeneous subregions. After imposing the boundary condition that the
overall EM solution across the grating period repeat itself every grating
period, one derives a nonstandard eigenvalue equation, whose multiple
roots thus determine the propagation constant of the modes that can
propagate in the system. The propagation constant can of course be purely
imaginary (nonevanescent), purely real (evanescent or attenuating), or com-
plex if the medium is lossy, propagating with attenuation. By summing the
forward and backward modes in the diffraction grating region, a complete
solution of Maxwell's equations in the grating region is found. This method
is particularly useful for lamellar gratings or step gratings, where there are
just two or just a few uniform layers within one grating period. This method
is called a coupled mode approach because it is based on determining the
propagating modes of the system. In the special one-dimensional case when
the grating period is bounded by perfect conductors and the overall grating
region is uniform, the method reduces to the well-known problem of deter-
mining the propagating modes in a parallel plate waveguide. We would like
to caution readers that the algorithm names, coupled mode analysis and
Planar Diffraction Gratings 103

coupled wave analysis, have been sometimes used interchangeably in the

literature.
The differential method [1,62±65] is designed primarily for solving for
diffraction from surface relief gratings. This method is based on solving
Maxwell's equations in the diffraction grating region, by (1) de®ning a
function y ˆ f …x† that speci®es the shape of the surface relief grating in
the diffraction grating region (that is, over the range 0 < y < L, where L
is the grating thickness), (2) expanding the dielectric permittivity function 
…x; y† in a Fourier series over the grating period, (3) expanding the EM ®elds
of the system in a Fourier series with the series amplitudes expressed as a
function of the longitudinal coordinate y, (4) substituting this …x; y† and the
expanded EM ®elds in either the wave equation resulting from Maxwell's
equations or into Maxwell's equations directly, (5) organizing the system of
Fourier series amplitudes into a state variable form (with ®rst-order deriva-
tives of the system being taken with respect to the coordinate y), and (6)
solving the state variable system using differential equation shooting meth-
ods. Petit [1] gives a detailed description and survey of this method and its
application to metallic and dielectric surface relief gratings.
The integral method [66], which is particularly useful for metallic sur-
face relief gratings, is based on four basic steps: (1) deriving a periodic
Green's function that describes the way that an electrical surface current
radiates from one point on the metal surface to an arbitrary point in space,
(2) using this Green's function, writing an electric ®eld integral that repre-
sents the way in which the grating current radiates to an arbitrary point in
space, (3) summing the electric ®eld integral of Step (2) and the incident
electric plane wave ®eld together, and (4) setting the total tangential electric
®eld at the grating surface to zero to form an integral equation from which
the surface current of the grating can be determined. This formulation is
similar to that used to solve for surface currents on an antenna or on a
metallic scatterer.
The ®nite difference method [67±69] of determining diffraction from a
grating is based on solving Maxwell's equation in the diffraction grating
region by dividing the diffraction grating region over one period into a large
grid, and then approximating the spatial partial derivatives of Maxwell's
equations by using ®nite differences. In the ®nite element method [70], the
diffraction grating region is divided into cells, and the ®eld variables over a
cell are expanded as boundary element functions. By substituting these as
boundary element expansions in Maxwell's equations, a large system matrix
is formed from which the ®elds of the system are determined. In both the
®nite difference and ®nite element methods, the solutions found in the dif-
fraction grating region are matched to the plane wave Rayleigh expansion
exterior to the diffraction grating system. The unimoment method [71] deter-
104 Chapter 3

mines, by using either ®nite differences or ®nite elements, sets of special

expansion functions in the diffraction grating that satisfy the wave equation
and can be used to expand the unknown ®elds of the overall system.
Other methods and applications of diffraction gratings (including dif-
fraction analysis of interdigitated, voltage controlled, liquid crystal displays
[77±82]) are listed in Refs. 77±95.
In the previous paragraphs, we have given a brief overview of available
methods for solving diffracting grating problems. In what follows, we will
concentrate on analyzing several different diffraction grating structures
using the RCWA method [2,10±53]. The RCWA technique is relatively
simple and straightforward, provides rapid convergence in many cases,
and can apply equally well to thick or surface relief gratings. Hence it has
become a popular method for solving diffraction grating problems. In
Section 3.2 we will study the full ®eld analysis when an H-mode polarized
plane wave is incident on a one-dimensional anisotropic grating. In Section
3.3 we will study two formulations of the RCWA algorithm when an E-
mode polarized wave is incident on the grating. In Sections 3.2 and 3.3 the
complex Poynting theorem will be used to check convergence of the solutions
and to study evanescent power in the grating. Section 3.4 will be devoted to
the study of slanted and re¯ection gratings. The special case of a pure re¯ec-
tion grating will also be studied. Section 3.5 will be concerned with multi-
layer diffraction theory. Section 3.6 will study diffraction from a crossed
diffraction grating when a general conical wave is incident on the grating.
Finally, in Sections 3.7 and 3.8 we will summarize recent work that has been
performed to increase the ef®ciency and stability of the RCWA algorithm.

3.2 H-MODE PLANAR DIFFRACTION GRATING ANALYSIS

In this section we are interested in using the rigorous coupled wave analysis
algorithm (RCWA) to study the diffraction case that occurs when a plane
wave is incident on the planar grating shown in Fig. 1. The diffraction
!
grating is assumed to have its grating vector speci®ed by K ˆ K~ a^ x , where
K~ ˆ 2= ~ and  ~ is the grating period or grating wavelength. In this case the
electric ®eld is assumed to be polarized perpendicular to the plane of inci-
!
dence as E ˆ Ez a^ z . In this section two RCWA formulations will be pre-
sented. In the ®rst formulation (given in Section 3.2.1), the state variable
equations will be derived directly from Maxwell's equations, whereas in the
following section, Maxwell's equations will be reduced to a second-order
wave equation and then placed in state variable form. The complex
Poynting theorem using the solutions found from the full ®eld RCWA
Planar Diffraction Gratings 105

Figure 1 H-mode problem geometry assuming an arbitrary dielectric permittivity

pro®le occupies Region 2. The inset shows one possible pro®le.

algorithm will be used to calculate the real and reactive power of the dif-
fraction grating system and thus validate the overall analysis.

3.2.1 Full Field Formulation

The basic overall RCWA [16±24] approach that will be used to study dif-
fraction in this section will be to solve Maxwell's equations in Regions 1, 2,
and 3 and then using the general solutions to match the electromagnetic
boundary to determine the speci®c EM ®elds in each region. The EM ®eld
solutions in Regions 1 and 3, after we solve Maxwell's equations in homo-
geneous space, consist of an in®nite set of propagating and evasnescent
re¯ected and transmitted plane waves. The EM ®eld solution in Region 2
is determined by expanding the electric and magnetic ®elds in a set of
periodic or Floquet harmonics (the periodicity of the Floquet harmonics
equals that of the diffraction grating), substituting these expansions into
Maxwell's equations, and form the resulting equations, developing a set
of state variable equations from whose solution the general EM ®elds of
Region 2 are found.
We begin the analysis by determining the general EM ®eld solution of
Region 2, the diffractive grating region. Using normalized coordinates,
where x ˆ k0 x,~ y ˆ k0 y,
~ and z ˆ k0 z,~ where k0 ˆ 2= and  (meters) is
106 Chapter 3

the free space wavelength, we ®nd that Maxwell's normalized equations in

Region 2 are given by

! !
r E ˆ j…0 H † …3:2:1†
! !
r  …0 H † ˆ j E …3:2:2†

p
where 0 ˆ 0 =0 ˆ 377
is the intrinsic impedance of free space, 
~ 0 is the relative permeability of Region 2, 0 is the permeability of free
ˆ =
~ 0 is the relative permittivity of Region 2, and 0 is the permit-
space,  ˆ =
tivity of free space. We expand the electric and magnetic ®eld as

! X
1
E ˆ Szi …y† exp… jkxi x†a^ z …3:2:3†
iˆ 1

! ! X
1  
U  0 H ˆ Uxi …y†a^ x ‡ Uyi …y†a^y exp… jkxi x† …3:2:4†
iˆ 1
p ~
kxi ˆ kx0 iKx kx0 ˆ 1 1 sin…† Kx ˆ 2=  ˆ k0 

Substituting we have

X1  
! @Szi !
r E ˆ a^ ‡ jkxi Szi a^y exp… jkxi x† ˆ j…0 H †
iˆ 1
@y x
X
1  
ˆ j Uxi a^ x ‡ Uyi a^ y exp… jkxi x† …3:2:5†
iˆ 1
1 
X 
! @Uxi
r U ˆ jkxi Uyi exp… jkxi x†a^ z ˆ j…x†Ez a^ z
iˆ 1
@y
X
1
ˆ j…x† Szi exp… jkxi x†a^z …3:2:6†
iˆ 1

The term …x†Ez can be written

" #" #
X
1
ji 00 Kx x
X
1
j…kxo i 0 Kx †x
…x†Ez ˆ i 00 e Szi 0 e …3:2:7†
i 00 ˆ 1 i 0ˆ 1
Planar Diffraction Gratings 107

or after combining sums we ®nd that

X
1 X
1
jkxo x j…i 0 ‡i 00 †Kx x
…x†Ez ˆ i 00 Szi 0 e e …3:2:8†
i 00 ˆ 1 i 0 ˆ 1

At this point we will make a substitution and let i ˆ i 0 ‡ i 00 , or i 00 ˆ i i 0 .

We notice in the i 00 summation that when i 00 ˆ 1, i ˆ P1 for a ®xed
1
®nite i 0 . Thus in making 0 00
P1the substitution of i ˆ i ‡ i , the i 0000ˆ 1 may be
replaced by the sum iˆ 1 . Carrying out the substitution i ˆ i i 0 we
®nd that
" #
X
1 X
1
j…kxo iKx †x
…x†Ez ˆ i i 0 Szi 0 e …3:2:9†
iˆ 1 i 0 ˆ 1

Using kxi ˆ kxo iKx we ®nd that

" #
X
1 X
1
jkxi x
…x†Ez ˆ i i 0 Szi 0 e …3:2:10†
iˆ 1 i 0ˆ 1

Substituting (3.2.10) in (3.2.5) and (3.2.6) we ®nd

@Szi
ˆ jUxi jkxi Szi ˆ jUyi
@y
X1 …3:2:11†
@Uxi
jkxi Uyi ˆj i i 0 Szi 0
@y i 0ˆ 1

It is useful to introduce column and square matrices and put the preceding
equations into state variable form. Let Ux ˆ ‰Uxi Š, Uy ˆ ‰Uyi Š, Sz ˆ ‰Szi Š, i ˆ
1; . . . ; 1 and let  ˆ ‰i;i 0 Š ˆ ‰i i 0 Š, Kx ˆ ‰kxi i;i 0 Š, I ˆ ‰i;i 0 Š,
…i; i 0 † ˆ 1; . . . ; 1, be square matrices. i;i 0 is the Kronecker delta and I
is the identity matrix. We ®nd that

@Sz
ˆ jUx jKx Sz ˆ jUy
@y
…3:2:12†
@Ux
jKx Uy ˆ jSz
@y
108 Chapter 3

We eliminate the longitudinal vector component Uy and ®nd that

 
@Ux 1 @Ux
jKx Uy ˆ jKx K S ˆ j Sz …3:2:13†
@y  x z @y

Rearranging we ®nd the state variable form

@Sz
ˆ 0Sz jIUx
@y
  …3:2:14†
@Ux 1
ˆj K K  Sz ‡ 0Ux
@y  x x

These equations may be put into state variable form if we introduce the
super matrices
   
Sz 0 I
Ve ˆ Aˆj …3:2:15†
Ux …Kx Kx = † 0

we then have

@Ve …y†
ˆ A Ve …y† …3:2:16†
@y

These equations can be solved numerically by truncating the matrices

A and Ve and using state variable techniques to solve the resulting equation.
The truncation may be carried out by keeping mode orders whose magni-
tude is not greater than MT , that is, keeping modal terms where
…i; i 0 † ˆ MT ; . . . ; 1; 0; 1; . . . ; MT . Making the truncation we ®nd Ve …y†
is a column matrix of size NT ˆ 2…2MT ‡ 1† and A is a constant matrix of
size NT  NT . Eq. 3.2.16, when truncated to size NT , can be solved by
®nding the eigenvector and eigenvalues of the constant coef®cient matrices
A as was done in Chapter 2. Let qn and Vn be the eigenvalues and eigen-
vector of the matrix A. We have

AVn ˆ qn Vn …3:2:17†

The general solution for the electromagnetic ®eld in the grating region can
be found from the state variable solution. The electric ®eld associated with
the nth eigenvector mode is given by
Planar Diffraction Gratings 109
( )
!e X
MT
En ˆ ‰Szin a^ z Š exp… jkxi x† exp…qn y† …3:2:18†
MT

where Szin , i ˆ MT ; . . . ; MT , correspond to the electric ®eld part of the

eigenvector Vn . The magnetic ®eld associated with the nth eigenvector mode
similarly is given by
( )
!e !e X
MT
 
U n ˆ 0 H n ˆ Uxin a^ x ‡ Uyin a^ y exp… jkxi x† exp…qn y† …3:2:19†
MT

where Uxin , i ˆ MT ; . . . ; MT corresponds to the magnetic ®eld part of the

eigenvector Vn and Uyin is found from Eq. 3.2.11. Summing over the indi-
vidual eigenmodes we ®nd that
( )
!…2† X X X
NT MT NT
!e
E ˆ Cn E n ˆ Cn ‰Szin a^z Š exp…qn y† exp… jkxi x†
nˆ1 mˆ MT nˆ1

…3:2:20†

!…2† X
N
!…2† T
!e
U ˆ 0 H ˆ Cn U n
nˆ1
( )
X
MT X
NT
ˆ Cn ‰Uxin a^ x ‡ Uyin a^y Š exp…qn y† exp… jkxi x†
mˆ MT nˆ1

…3:2:21†

Equations 3.2.20 and 3.2.21 represent NT ˆ 2…2MT ‡ 1† forward and

backward traveling, propagating and nonpropagating eigenmodes, which
when summed together give the general electromagnetic ®eld solution in
Region 2, the grating region.
An important problem that remains is to determine the NT coef®cients
Cn of Eqs. 3.2.20 and 3.2.21. Up to this point we have speci®ed the general
form of the diffracted ®elds in the grating region. The EM ®elds on the
incident side of the diffraction grating (Region 1 of Fig. 1), and on the
transmission side of the diffraction grating (Region 3 of Fig. 1), consist of
an in®nite number of propagating and nonpropagating plane waves whose
tangential wave vectors are given by kxi , i ˆ 1; . . . ; 1; 0; 1; . . . ; 1. The
EM ®elds in Region 1 consist of a single incident H-mode polarized wave
making an angle  with the y-axis and consist of an in®nite number of
110 Chapter 3

re¯ected propagating and evanescent H-mode polarized plane waves. The

tangential incident ®eld in Region 1 is given by

…1† jkxi x‡jky1i y

Ezinc ˆ Eo i0 e E0 i0 …3:2:22†
…1† ky1i jkxi x‡jky1i y
Hxinc ˆ e E0 i0 …3:3:23†
0
p
where n1 ˆ 1 1 is the index of refraction

…1†
X
1
jkxi x jky1i y
Ezref ˆ ri e …3:2:24†
iˆ 1

…1† 1 X 1
jkxi x jky1i y
Hxref ˆ k re …3:2:25†
0 iˆ 1 y1i i

where
(
‰n21 k2xi Š1=2 n1 > kxi
ky1i ˆ …3:2:26†
j‰k2xi n21 Š1=2 kxi > n1

as y ˆ ‡1, we note for kxi > n1 ,

j‰ j‰k2xi n21 Š1=2 Šy ‰k2xi n21 Š1=2 Šy

e ˆe …3:2:27†

! 0 as y ! 1 and thus the evanescent ®elds meet proper boundary con-

ditions as y ! 1. The total tangential ®elds in Region 1 are given by

…1† …1†
Ez…1† ˆ Ezinc ‡ Ezref …3:2:28†
…1† …1†
Ux…1† ˆ 0 Hx…1† ˆ 0 …Hxinc ‡ Hxref † …3:2:29†

In the transmitted region y < L the tangential electric and magnetic

®elds are given by

X
1
Ez…3† ˆ ti e jkxi x‡jky3i …y‡L†
…3:2:30†
iˆ 1

X
1
Ux…3† ˆ 0 Hx…3† ˆ ky3i ti e jkxi x‡jky3i …y‡L†
…3:2:31†
iˆ 1
Planar Diffraction Gratings 111

where


ky3i ˆ ‰n23 k2xi Š1=2 n3 > kxi …3:2:32†
j‰k2xi n23 Š1=2 kxi > n3

as y ! 1, we note for kxi > n3

j‰k2xi n23 Š1=2 Š…y‡L† 2

n23 Š1=2 Š…y‡L†
ej‰ ˆ e‰kxi …3:2:33†

! 0 as y ! 1. We thus see that the evanescent ®elds in Region 3 meet the

proper boundary conditions as y ! 1.
Now that the EM ®elds have been de®ned in Regions 1, 2, and 3, the
next step is to match boundary conditions at the interfaces y ˆ 0 and
y ˆ L. At the y ˆ 0 interface we have

 
 
Ez…1†  ˆ Ez…2†  …3:2:34†
yˆ0‡ yˆ0
 
 
Hx…1†  ˆ Hx…2†  …3:2:35†
yˆ0‡ yˆ0

Substituting Eqs. 3.2.28 and 3.2.29 and keeping orders of jij  MT , we ®nd
that

( )
X
MT X
MT X
NT
jkxi x jkxi x
fE0 i0 ‡ ri ge ˆ Cn Szin e …3:2:36†
iˆ MT iˆ MT nˆ1
( )
X
MT
jkxi x
X
MT X
NT
jkxi x
f ky1i i0 E0 ‡ ky1i ri ge ˆ Cn Uxin e …3:2:37†
iˆ MT iˆ MT nˆ1

At the y ˆ L boundary we have

 
 
Ez…2†  ˆ Ez…3†  …3:2:38†
yˆ L‡ yˆL
 
 
Hx…2†  ˆ Hx…3†  …3:2:39†
yˆ L‡ yˆL
112 Chapter 3
( )
X
MT X
NT
qn L jkxi x
X
MT
jkxi x
Cn Szin e e ˆ fti ge …3:3:40†
iˆ MT nˆ1 iˆ MT
( )
X
MT X
Nt
qn L jkxi x
X
MT
jkxi x
Cn Uxin e e ˆ f ky3i ti ge …3:3:41†
iˆ MT nˆ1 iˆ MT

In Eqs. 3.2.36 and 3.2.37 and Eqs. 3.2.40 and 3.2.41, in order for the left-
and right-hand side of the equations to agree, it is necessary for the Fourier
coef®cients of e jkxi x to agree for each Floquet harmonic e jkxi x . Thus for the
unknown coef®cients ri , Cn , and ti we have the equations

X
NT
E0 i0 ‡ ri ˆ Cn Szin …3:2:42†
nˆ1

X
NT
ky10 i0 E0 ‡ ky1i ri ˆ Cn Uxin …3:2:43†
nˆ1

X
NT
qn L
Cn Szin e ˆ ti …3:2:44†
nˆ1

X
NT
qn L
Cn Uxin e ˆ ky3i ti …3:2:45†
nˆ1

for i ˆ MT ; . . . ; MT . We notice in Eqs. 3.2.42 and 3.2.44 that the ri and ti

variables can be eliminated. These equations can be simpli®ed by substitut-
ing ri and ti of Eqs. 3.2.42 and 3.2.44, respectively, into Eqs. 3.2.43 and
3.2.45. We have

" #
X
NT X
NT
ky10 i0 E0 ‡ ky1i E0 i0 ‡ Cn Szin ˆ Cn Uxin …3:2:46†
nˆ1 nˆ1
" #
X
NT X
NT
qn L qn L
Cn Uxin e ˆ ky3i Cn Szin e
nˆ1 nˆ1

…3:2:47†
Planar Diffraction Gratings 113

or altogether

X
NT
Cn fky1i Szin Uxin g ˆ 2E0 ky10 i0 …3:2:48†
nˆ1

X
NT
 qn L

Cn e ‰Uxin ‡ ky3i Szin Š ˆ 0 …3:2:49†
nˆ1

where i ˆ MT ; . . . ; MT .
The above constitutes a set of NT ˆ 2…2MT ‡ 1† equations for the NT
unknown coef®cients Cn . Power is excited in the diffraction grating system
through the 2E0 ky10 i0 term on the right-hand side of Eq. 3.2.48. Once the
Cn are determined, the ri and ti can be found form Eqs. 3.2.42 and 3.2.44.

3.2.2 RCWA Wave Equation Method

A different way of analyzing the diffraction from a grating in the H-mode
case under consideration is to eliminate the magnetic ®eld from Maxwell's
equations directly and then analyze the second-order partial differential for
the electric ®eld that results. In the analysis to be presented it will be
assumed that the dielectric permittivity is a sinusoidal one. In this section
we will follow the formulation of Moharam and Gaylord's [16] original
paper but use the geometry of Fig. 1. We refer to this formulation as a wave
equation formulation as it is based on placing the wave equation in state
variable form and proceeding with the solution from that point.
!
To start the analysis we assume that E ˆ Ez …x; y†a^ z in all regions and
that all ®elds are independent of z. In Region 2 in normalized coordinates
~ and z ˆ k0 z~ we have
~ y ˆ k0 y,
x ˆ k0 x,

! !
r E ˆ j…0 H † …3:2:50†
! !
r  …0 H † ˆ j…x† E …3:2:51†
! ! !
rr E ˆ jr  …0 H † ˆ …x† E …3:2:52†
! ! !
r  r  E ˆ rr
E r2 E …3:2:53†
! @E
r
E ˆ z ˆ0 …3:2:54†
@z
114 Chapter 3

Therefore we have

r2 Ez ‡ …x†Ez ˆ 0 …3:2:55†

or since @2 Ez =@z2 ˆ 0, we have

@2 @2 Ez
E z ‡ ‡ …x†Ez ˆ 0 …3:2:56†
@x2 @y2

For the present analysis we will let …x† ˆ 2 ‡
 cos Kx and take  ˆ 1. K
is a normalized wave number

K~ 2 2
Kˆ ˆ ˆ …3:2:57†
ko ko ~ 

and  ˆ k0 ~ is the normalized grating period of the system. To start the

analysis we expand the electric ®eld of Region 2, namely Ez , in the Floquet
harmonic series

X
1
Ez ˆ Si …y† exp…j i † …3:2:58†
iˆ 1

k~2 p
2 ˆ cos  0 ˆ 2 cos  0 i ˆ i x ‡ 2 y …3:2:59†
ko
p
i ˆ 1 sin  iK …3:2:60†

where i ˆ . . . ; 1; 0; 1; . . . and  0 is the angle of light refracted into the

dielectric grating. Si …y† are Floquet modal amplitudes that need to be deter-
mined. Differentiating Ez with respect to y and x, we ®nd that

" #
@2 X1
@2 @
2
E z ˆ 2
Si …y† ‡ 2j2 Si …y† 22 Si …y† exp…j i † …3:2:61†
@y iˆ 1
@y @y

@2 X 2 
2
E z ˆ i Si …y† exp…j i † …3:2:62†
@x i
Planar Diffraction Gratings 115

The term
 


…x†Ez ˆ 2 ‡ ‰exp… jKx† ‡ exp…jKx†Š
2
…3:2:63†
X
1
Si …y† exp… ji x ‡ j2 y†
iˆ 1

equals

X
1

 X1
…x†Ez ˆ 2 Si …y† exp…j i † ‡ S …y† exp… j…i ‡ K†x ‡ j2 y†
iˆ 1
2 iˆ 1 i

 X1
‡ S …y† exp… j…i K†x ‡ j2 y†
2 iˆ 1 i
…3:2:64†

The terms in the exponential factors can be manipulated to give

p

i ‡ K ˆ 1 sin  iK ‡ K …3:2:65†
p
i ‡ K ˆ 1 sin  …i 1†K† ˆ i 1 …3:2:66†

Similarly

i K ˆ i‡1 …3:2:67†

The second term of Eq. 3.2.64 can be rewritten

 X1
T2  S …y† exp… j…i ‡ K†x ‡ j2 y†
2 iˆ 1 i
…3:2:68†

 X1
ˆ S …y† exp… ji 1 x ‡ j2 y†
2 iˆ 1 i

In this right-hand side summation we will made the substitution i 0 ˆ i 1.

Doing this we obtain

 X 1
T2 ˆ S 0 …y† exp… ji 0 x ‡ j2 y† …3:2:69†
2 i 0 ˆ 1 i ‡1
116 Chapter 3

Similarly the third term of Eq. 3.2.64 can be written

 X1
T3 ˆ S …y† exp… j…i K†x ‡ j2 y†
2 iˆ 1 i
…3:2:70†

 X 1
ˆ S 0 …z† exp… ji 0 x ‡ j2 y†
2 i 0ˆ 1 i 1

Substituting T2 and T3 into Eq. 3.2.64 and using i instead of i 0 in summation

we ®nd that

X1  



…x†Ez ˆ 2 Si …y† ‡ S …y† ‡ S …y† exp…j i † …3:2:71†
iˆ 1
2 i‡1 2 i 1

Substituting into the original differential equation for Ez we ®nd that

(
X
1
@2 @
0ˆ Si …y† ‡ 2j2 Si …y† 22 Si …y† 2i Si …y†
iˆ 1
@y2 @y
 …3:2:72†



‡2 Si …y† ‡ S …y† ‡ S …y† exp…j i †
2 i‡1 2 i 1

The only way that the above equation can be zero for all values of x and y is
if the curly bracketed expression is zero. Thus Eq. 3.2.72 describes a series of
coupled modal amplitude equations to determine the EM ®elds of the sys-
tem. At this point it is useful to introduce scaled coordinates into analysis.
We let

j
 j
 j


uˆ p y~ ˆ p y ˆ p y ˆ jy …3:2:73†
2 2 2 2 ko 4 2

Substituting the above scaling into Eq. 3.2.72 we ®nd after algebra that

 d 2 Si dS
‡ cos  0 i i‰i BŠSi ‡ Si‡1 ‡ Si 1 ˆ0 …3:2:74†
82 du2 du

where

~ p
2 2 ~ p
2 1
Bˆ sin  0 ˆ sin  …3:2:75†
 
Planar Diffraction Gratings 117

and

22
ˆ …3:2:76†
~ 2



and the last equation of B follows from Snell's law,

p p
2 sin  0 ˆ 1 sin  …3:2:77†

If we further let a ˆ 82 =
, bi ˆ i…i B†a, c ˆ a cos  0 , we can rewrite

the equation as

1 d 2 Si c dSi bi
‡ ‡ Si ‡ Si‡1 ‡ Si 1 ˆ0 …3:2:78†
a du2 a du a

Equation 3.2.78 is a second-order coupled differential equation. It can

be put into the form of a ®rst-order state variable equation, if the following
new variables are de®ned. Let

S1i ˆ Si …u† …3:2:79†

dSi …u†
S2i ˆ …3:2:80†
du

Making these substitutions we ®nd that the second order Eq. 3.2.78 can be
written as

dS1i
ˆ S2i …3:2:81†
du
dS2i
ˆ aS1i‡1 ‡ bi S1i ‡ aS1i 1 ‡ cS2i …3:2:82†
du

If we differentiate Eq. 3.2.81 with respect to u, we ®nd that

d 2 S1i dS2i
ˆ ˆ aS1i‡1 ‡ bi S1i ‡ aS1i 1 ‡ cS2i …3:2:83†
du2 du

Dividing Eq. 3.2.83 by a, transferring the second derivative term to the

right-hand side, and substituting the original de®nitions of S1i and S2i , we
have
118 Chapter 3

1 d2 b c dSi
S ‡ Si‡1 ‡ i Si ‡ Si ‡ ˆ0 …3:2:84†
a du2 i a 1
a du

This is identical to Eq. 3.2.78, thus showing that Eq. 3.2.83 is the correct
®rst-order state variable form of Eq. 3.2.78.
The full matrix form for Eqs. 3.2.80 and 3.2.81 when written out for
MT ˆ 2 is
    
d S1 A11 A12 S1
ˆ …3:2:85†
S
du 2 A21 A22 S2

where
 t
S1 ˆ S1; 2 S1; 1 S1;0 S1;1 S1;2 …3:2:86†
 t
S2 ˆ S2; 2 S2; 1 S2;0 S2;1 S2;2 …3:2:87†
 
A11 ˆ 0 55 …3:2:88†
 
A12 ˆ I ˆ ii 0 55 …3:2:89†
2 3
b 2 a 0 0 0
6 7
6 a b 1 a 0 07
6 7
6 7
6
A21 ˆ 6 0 a bo a 0 7 …3:2:90†
7
6 7
6 0 0 a b a 7
4 1 5
0 0 0 a b2 55

 
A22 ˆ cii 0 55 …3:2:91†
(
1; i ˆ i0
i;i 0 ˆ …3:2:92†
0; i 6ˆ i 0

If we let V ˆ ‰S1 S2 Št and

 
A11 A12
Aˆ ˆ ‰aii 0 Š1010 …3:2:93†
A21 A22 1010

aii 0 …i; i 0 † ˆ …1; . . . ; 10† represent the individual matrix elements of the overall
matrix A. Using the just de®ned matrices, Eq. 3.2.85 can be written in full
state variable form as
Planar Diffraction Gratings 119

d
V ˆ AV …3:2:94†
du

If we let Vn and qn be the eigenvalues and eigenvectors of the matrix A,

then we ®nd that the solution for Si …u† and S1i …u† is given by

X
NT
Si …u† ˆ S1i …u† ˆ Cn win exp…qn u† …3:2:95†
nˆ1

where NT ˆ 2…2MT ‡ 1† and where win represents the ith row of the nth
eigenvector …S1 †n . The electric ®eld Ez is given by Eq. 3.2.58 with Si …u†
substituted. We have
( )
X
MT X
NT
Ez ˆ exp‰ j…i x 2 y†Š Cn win exp‰ jqn yŠ …3:2:96†
iˆ MT nˆ1

p
where, as already de®ned,  ˆ
=…4 2 ). To proceed further it is necessary
to ®nd the magnetic ®eld associated with Ez . Using Maxwell's equations, the
tangential magnetic ®eld Hx is found from

1 @Ez
Hx ˆ …3:2:97†
j0 @y

Altogether the tangential electromagnetic ®elds in Region 2, the dif-

fraction grating region, are given by (including now the Region 2 subscript
label)

MT X
X NT

Ez2 ˆ Cn win exp j‰i x …2 qn †y …3:2:98†
iˆ MT nˆ1

X
MT X
Nt

Ux2 ˆ 0 Hx2 ˆ Cn win ‰…qn  2 †Š exp j‰i x …2 qn †yŠ
iˆ Mt nˆ1

…3:2:99†

The differential equation method provides an alternate state variable repre-

sentation from which to obtain the electromagnetic ®elds of Region 2.
Although the state variable representations of Sections 3.2.2 and 3.2.3 are
exactly equal as MT ! 1, the two representations give different solutions
for ®nite MT . Thus a comparison of the two methods for different values of
MT gives a good measure of how well both representations are converging.
120 Chapter 3

The ®nal matrix equations for Cn of this section can be found by

matching the tangential electromagnetic ®elds as given in Section 3.2 by
Eqs. 3.2.28±32 for Regions 1 and 3 with the EM ®eld solutions of Region
2 that have been just derived. The ®nal matrix equations from which that
result for Cn are

X
NT
2ky10 E0 io ˆ Cn win ‰ky1i ‡ 2 qn Š …3:2:100†
nˆ1

X
NT
0ˆ Cn en win ‰ ky3i ‡ 2 qn Š …3:2:101†
nˆ1

where

en ˆ exp‰j…qn  2 †LŠ …3:2:102†

The re¯ection and transmission coef®cients are given by

X
NT
ri ˆ Cn win E0 i0 …3:2:103†
nˆ1

X
NT
ti ˆ Cn win en …3:2:104†
nˆ1

These equations have been presented in Ref. 16.

3.2.3 Numerical Results

In this section we will present numerical examples of the diffraction
ef®ciency and complex Poynting Theorem power balance as results from
RCWA. The examples to be presented consist of an RCWA study of a
cosine diffraction grating (lossless and lossy bulk dielectric cases) and an
RCWA study of a square or step pro®le diffraction grating. Both gratings,
consistent with the theory of this section, are assumed to be homogeneous in
the longitudinal direction. These two gratings have been chosen because the
cosine grating is relatively smooth, containing low spatial frequencies
i ˆ 1; 0; 1, whereas the square wave or step pro®le contains sharp dielec-
tric discontinuities at dielectric steps and thus possesses a high spectral
content i ˆ 1; . . . ; 1; 0; 1; . . . ; 1. The complex Poynting energy balance
is based on the formulation presented in Section 2.2.3, Eq. 2.2.26 with the
source terms set to zero. The complex Poynting box taken to include a
Planar Diffraction Gratings 121

transverse wave period  ~ (see Fig. 7.) Details of the calculation are given in
Section 3.3.
We begin presenting results for the cosine grating. The solid line plots
in Fig. 2 show the transmitted diffraction ef®ciencies DET …%† for ®ve orders
i ˆ 2; 1; 0; 1; 2 as calculated by the full ®eld method (see Section 3.2.1,
Eqs. 3.2.48 and 3.2.49) using the lossless cosine grating as speci®ed in Fig. 2
inset and heading. These plots show DET …%† versus the layer length L~ (in
units of free space wavelength ). As can be seen from Fig. 2, as the layer
length L~ increases from 0 to 9, because  is at the Bragg angle (implying
Bragg incidence), power is primarily diffracted from the i ˆ 0 order into the
i ˆ 1 order with a small amount of power being diffracted into the other
orders i ˆ 2; 1; 2. For larger values of L, ~ 9 to 18, power is diffracted
from the i ˆ 1 order into the i ˆ 0 order with a small amount of power
being diffracted into the other orders i ˆ 2; 1; 2. This cycle is repeated
over a long range of L~ values. Because the bulk regions had matched per-
mittivities, the re¯ected diffractions were small and have not been plotted.
Also shown in Fig. 2 is the DET …%† as calculated by a differential equation,
the state variable method described in Section 3.2.2 and derived originally in
Ref. 16 (dots, i ˆ 0). In this analysis, Maxwell's equations are reduced to a
second-order differential equation for the electric ®eld, and this differential
equation is put in state variable form. The state variable form that results is

Figure 2 The transmitted diffraction ef®ciencies DET …%† for ®ve orders i ˆ 2;
1; 0; 1; 2 as calculated by Eqs. 3.2.48 and 3.2.49 using a lossless cosine grating.
122 Chapter 3

different from the present one, although as MT ! 1 the two methods are
mathematically equivalent. As can be seen from Fig. 2, a comparison of the
i ˆ 0 order plots (typical of all orders) shows that virtually identical results
occur from the use of the two methods.
Figures 3 and 4 show plots of the real and imaginary parts of the
normalized complex power PIN (line) and PBOX (dot) of the complex
Poynting theorem, ®rst introduced in Chapter 2 (using the Poynting box
shown in Fig. 15). For more detail on the application of the Poynting
theorem to gratings, see the next subsection. As mentioned earlier, this
case represents a lossless diffraction grating, bulk dielectric case. In these
plots the complex power is plotted versus the layer length L. ~ As can be seen
from Figs. 3 and 4, excellent agreement in both plots is obtained from the
calculation. Figure 5 shows a plot of the electric and magnetic energies PWE
and PWM versus layer length L~ that results for the example under considera-
tion. As can be seen from Fig. 5, the electric and magnetic energies are very
nearly equal to one another, and in a L~ ˆ 1 size slab, the electric and
magnetic energies PWE and PWM are much larger than the peak magnitude
energy difference between the two energies.
Figure 6 shows the Im…PBOX † versus layer length L~ when the electro-
magnetic ®elds are computed using MT ˆ 3 and MT ˆ 6. As can be seen

Figure 3 The real part of the normalized complex power PIN and PBOX of the
complex Poynting theorem.
Planar Diffraction Gratings 123

Figure 4 The imaginary part of the normalized complex power PIN and PBOX of
the complex Poynting theorem.

Figure 5 Plots of the electric and magnetic energies PWE and PWM versus layer
length are shown.
124 Chapter 3

Figure 6 The Im…PBOX † versus layer length L~ when the electromagnetic ®elds are
computed using MT ˆ 3 and MT ˆ 6.

from Fig. 6, extremely good convergence is observed using the two different
truncation sizes.
Figures 7 and 8 show plots of the real and imaginary parts of the
complex power PIN and PBOX versus layer length L~ when the diffraction
grating bulk dielectric 2 is lossy rather than lossless and has a value of
2 ˆ 1 j0:02. In this ®gure one again observes extremely good agreement
between the real and imaginary parts of PIN and PBOX , again showing that
the complex Poynting theorem is obeyed to a high degree of accuracy. A
comparison of Figs. 3 and 4 (lossless case) with Figs. 7 and 8 (lossy case)
shows a very clear difference in the shapes of the real and imaginary parts
of PIN and PBOX that is being computed in the four ®gures. In the lossy
case, as L~ increases, the envelope of the oscillations of PIN and PBOX
damps out, whereas in the lossless case the envelope maintains a long-
itudinal periodic shape. The damping of the envelope with increasing L~ in
the lossy case is expected, since as the layer length increases, the EM ®elds
in the system attenuate near the exit side of the diffraction grating due to
the lossiness. When the diffraction grating becomes suf®ciently long, the
EM ®elds at the exit side approach zero; therefore PIN and PBOX become
independent of L, ~ and thus there is no oscillation.
Planar Diffraction Gratings 125

Figure 7 Plots of the real part of the complex power PIN and PBOX versus layer
length L~ of the complex Poynting theorem when the diffraction grating bulk dielec-
tric 2 is lossy rather than lossless and has a value of w ˆ 1 j0:02.

Figure 8 Plots of the imaginary part of the complex power PIN and PBOX , versus
layer length L~ of the complex Poynting theorem when the diffraction grating bulk
dielectric 2 is lossy rather than lossless and has a value of 2 ˆ 1 j0:02.
126 Chapter 3

Figure 9 shows a plot of the power dissipated PD , Re…PIN †, and Re

…POUT † versus layer length L.~ The ripple in the Re…PIN † observed in Fig. 7 is
not observed here because of the scale of the Fig. 9 plot. As can be seen from
Fig. 9, the sum of power radiated out of the Poynting box and the power
dissipated is balanced by the real power radiated into the box as one would
physically expect.
Figure 10 shows the transmitted diffraction ef®ciency (i ˆ 0 and i ˆ 1
orders) versus layer length L~ that arises when a plane wave is incident on a
square wave or step pro®le dielectric grating. In the present ®gure, diffrac-
tion ef®ciency results are presented for two cases, namely when the diffrac-
tion grating region contains lossless dielectric material and the case when the
grating contains lossy dielectric material. The square wave grating in both
cases is taken to have a grating period of  ˆ  and a transverse groove
width of =2 (or duty cycle of 50%). The bulk and groove dielectric values
and their orientation in the diffraction grating and the angle of incidence are
speci®ed in the Fig. 10 title and inset. The lossless case presented is the same
case presented by Moharam and Gaylord [19]. As can be seen from Fig. 10,
the presence of the lossy dielectric material in the diffraction grating for the
lossy case causes a signi®cant drop in the size of the transmitted diffraction

Figure 9 Plot of the power dissipated PD , Re…PIN †, and Re…POUT † versus layer
length L~ is shown. The ripple in the Re…PIN † observed in Fig. 7 is not observed
here because of the scale of the Fig. 9 plot.
Planar Diffraction Gratings 127

Figure 10 The transmitted diffraction ef®ciency (i 0 and i ˆ 1 orders) versus

layer length L~ that arises when a plane wave is incident on a square wave or step
pro®le dielectric grating is shown. The diffraction ef®ciency results are presented for
lossless and lossy cases. The square wave grating in both cases is taken to have a
grating period of  ˆ  and a transverse groove width of =2 (or duty cycle of 50%).

ef®ciency as the layer length L~ increases, which is observed in the system as

compared to the lossless case. Note that ef®cient coupling between 0 and 1
orders is possible in spite of the high spectral content and modulation depth
of the grating, as long as incidence is at the Bragg angle. Higher diffracted
orders in this case are all evanescent. Figure 11 shows the re¯ected diffrac-
tion ef®ciency results (i ˆ 0 and i ˆ 1 orders) versus layer length L~ which
arises for the case under consideration. In these ®gures one observes a
perceptible difference between the lossless and lossy diffraction grating
cases. The reduction in the peak-to-peak envelopes in the lossy re¯ected
diffraction ef®ciencies with increasing L~ is due to the fact that the EM ®elds
near the transmit side of the diffraction grating are attenuating more
strongly as L~ becomes larger, and thus re¯ected EM radiation is less sensi-
tive to the layer length, which is then seen as a reduction in the ripple of the
lossy diffraction ef®ciency results.
Figures 12±13 show the real and imaginary parts of PIN and PBOX
versus L~ for the lossless square wave diffraction case under study.
128 Chapter 3

Figure 11 The re¯ected diffraction ef®ciency results (i ˆ 0 and i ˆ 1 orders) versus

layer length L~ that arises for the case under consideration is shown.

Figure 12 The real part of PIN and PBOX versus L~ for the lossless square wave
diffraction cases that were studied in Figs. 10 and 11.
Planar Diffraction Gratings 129

Figure 13 The imaginary part of PIN and PBOX versus L~ for the lossless square
wave diffraction cases that were studied in Figs. 10 and 11.

3.2.4 Diffraction Grating±Mirror

Another important EM case that can be studied using an RCWA analysis
consists of determining the EM ®elds that are diffracted when an H-mode
polarized plane wave is incident on a diffraction grating backed by a mirror
(also called a short circuit plate). Thus Region 3 is an electrical perfect
conductor rather than a dielectric material (see the inset of Fig. 14). The
analysis for this case is identical to that presented in Section 3.2.1 except
that inside Region 3 (y < L) the EM ®elds are taken to be zero, and at the
Region 2±3 interface …y ˆ L† the EM ®elds are required to meet the well-
known boundary condition that the tangential electric ®elds are zero.
Mathematically for the present H-mode polarization case, this requires



Ez…2† …x; y; z† ˆ0 …3:2:105†
yˆ L‡

If this boundary condition is imposed, it is found that the overall matrix

equations that must be solved to determine the EM ®eld of the grating
mirror system are
130 Chapter 3

Figure 14 The re¯ected diffraction ef®ciency (i ˆ 0 and i ˆ 1 orders) versus layer

length L~ that arises when a plane wave is incident on a square wave or step pro®le
dielectric grating that is backed by a mirror (or short circuit plate). The same lossless
square grating that was studied in Fig. 10 is analyzed here.

X
NT

Cn ky1i Szin Uxin ˆ 2Eo ky1o io …3:2:106†
nˆ1

X
NT

qn L
Cn e Szin ˆ 0 …3:2:107†
nˆ1

where i ˆ MT ; . . . ; MT . Equation 3.2.106 is identical to Eq. 3.2.48 as it

should be since it results from matching EM ®elds at the Region 1±2 inter-
face, and the general form of the unknown EM ®elds in the two regions is
the same whether the mirror is present or not. The second matrix equation,
Eq. 3.2.107, is quite different from the second transmission grating matrix
equation, Eq. 3.2.49. Equation 3.2.107 was determined by imposing the
boundary condition that the tangential electric ®eld at a perfect conductor
boundary is zero, whereas Eq. 3.2.49 was determined by matching the elec-
tric and magnetic ®elds at y ˆ L and then eliminating the electric ®eld
unknown coef®cients. Substitution of the Cn coef®cients of Region 2 into
Eq. 3.2.42 then allows for the determination of the ri re¯ection coef®cients
Planar Diffraction Gratings 131

of the system. Incident and re¯ected power are given by the same formulas
as already given for the transmission grating analysis.
Figure 14 shows the re¯ected diffraction ef®ciency …i ˆ 0 and i ˆ 1
orders) versus layer length L~ that arises when a plane wave is incident on
a square wave or step pro®le dielectric grating backed by a mirror (or short
circuit plate). In Fig. 14 the same lossless square grating that was studied in
Fig. 10 is analyzed. The square wave grating was taken to have a grating
period of  ~ ˆ  and a transverse groove width of =2 (or duty cycle of
50%). The bulk and groove dielectric values and their orientation in the
diffraction grating and the angle of incidence are speci®ed in the Fig. 14
caption and inset. For the present case, for the angle of incidence used, it
turns out that the i ˆ 0; 1 orders are the only orders that are re¯ected,
diffracted propagating plane waves. All the other orders are evanescent.
the value of MT ˆ 6 was used to calculate the data of Fig. 14. As can be
seen, power for a small grating thickness is diffracted from the i ˆ 0 order
into the i ˆ 1 …0  L~  0:6†. As the thickness increases, however, power is
transferred back to the i ˆ 0 order from the i ˆ 1, 1  L~  1:6. This cycle
is repeated for larger values of L.~ In observing the i ˆ 0; 1 plots it is very
interesting to note that the transfer of power between the i ˆ 0; 1 orders is
not periodic with increasing L~ but irregular and unpredictable. The nonper-
iodicity is undoubtedly due to interaction of the evanescent and propagating
waves that resultP from the matrix solution. Conservation of incident and
re¯ected power … i ‰DERi ‡ DETi Š ˆ 1, DETi ˆ 0† was observed to a high
degree of accuracy.

3.3 APPLICATION OF RCWA AND THE COMPLEX

POYNTING THEOREM TO E-MODE PLANAR
DIFFRACTION GRATING ANALYSIS

In the previous section, RCWA was used to study H-mode polarization as it

diffracts from isotropic diffraction gratings. In many real-life applications, it
is necessary to study diffraction from anisotropic gratings, e.g., photorefrac-
tive materials (discussed in detail in Chapter 7). In this section RCWA and
the complex Poynting theorem will be used to study, respectively, the EM
®elds and power ¯ow and energy storage when a plane wave (E-mode
polarization) is scattered from an in general lossy and anisotropic diffrac-
tion grating. Full calculation of the diffraction ef®ciency, the electromag-
netic energy (electric and magnetic), and the real, reactive, dissipative, and
evanescent power of the grating will be made. In this section several numer-
ical examples involving a step pro®le will be studied.
132 Chapter 3

The grating in Fig. 15a is assumed to have its grating vector speci®ed
!
by K ˆ K~ a^ x , where K~ ˆ 2=~ and ~ is the grating period or grating wave-
length. In this case the magnetic ®eld is assumed to be polarized perpendi-
!
cular to the plane of incidence as H ˆ Hz a^ z . In the present study, the
complex Poynting theorem will be applied to a Poynting box whose length
extends over the grating region L,~ whose width extends over a grating period
~ and whose thickness is
z~ (the electromagnetic ®elds do not vary in the z-
,
direction, so the thickness of the Poynting box is immaterial to the Poynting
power calculation). Figure 15b illustrates the Poynting box of this section
and that of Sec. 3.2 as well. In Section 3.3.1, we will brie¯y summarize the E-
mode RCWA equations for anisotropic diffraction gratings. In Section
3.3.2, the pertinent equations for the power budget as results from the
complex Poynting theorem will be presented. In Section 3.3.3, illustrative
examples will be given for anisotropic media where the permittivity tensor is
either Hermitian or arbitrary.
In much of the existing diffraction grating literature [1±53], power
conservation is veri®ed by calculating the time-averaged real power trans-
mitted and re¯ected from a lossless grating and then verifying that the sum
of these powers equals the power incident on the grating. Computing the

Figure 15 (a) The geometry of the E-mode diffraction grating system is shown. (b)
The complex Poynting box used for calculations is shown.
Planar Diffraction Gratings 133

power budget using only the time-averaged real power has two large limita-
tions associated with it. First, it cannot be used to verify power conservation
for the very common case of lossy gratings, since in this case some power is
dissipated as heat, and thus the transmitted and re¯ected powers will not
equal the incident power. A second limitation of computing the power
budget using only the time-averaged real power is that information about
the reactive power, evanescent ®elds, electric energy, magnetic energy, and
power dissipated within the grating is left undetermined and therefore
unknown. All of these quantities contain important information about the
nature and behavior of the grating. In the area of near ®eld optics, consider-
able attention has been paid to evanescent waves, since these carry informa-
tion about the diffracting or scattering object. Speci®cally, evanescent wave
monitoring has applications in the area of submicron microscopy.
Evanescent waves may also be excited from sharp discontinuities in the
grating, e.g., corners, blaze tips [95]. A power budget approach that can
study energy and power, both real and reactive, during diffraction from such
gratings, is incorporated in the framework of the complex Poynting theo-
rem. Botten et al. [58] consider the problem of energy balance in isotropic
lossy gratings when both E-mode and H-mode polarized incidence plane
waves impinge on the grating.
Energy ¯ow distributions, the generation of plasmon surface waves,
and the absorption of EM energy by metallic sinusoidal gratings has been
studied by Popov et al. [98±101] for shallow and deep gratings. The nature
of the Poynting vector in a dielectric sinusoidal grating under total internal
re¯ection has been studied by Shore et al. [102].
Our discussion of the Poynting vector is fundamentally different from
that of Popov et al. [98±101] and Shore et al. [102]. In their work they were
concerned with the problem of studying the spatial variation of the Poynting
vector (and energy density) on a point-to-point basis over a region of space
close to the diffraction grating surface. The point of their work was to relate
local variation of the Poynting vector to the diffraction that occurred from
the grating. They studied the physical mechanisms of blazing and antiblaz-
ing and its relation to Poynting vector. In this section, we focus on the
Poynting vector power that has been averaged transversely over a diffrac-
tion grating period and relate this averaged Poynting power to the power
dissipated, transmitted, and re¯ected from the grating [105]. We apply the
complex Poynting theorem for EM incidence on periodic diffraction grat-
ings of arbitrary pro®le and made of anisotropic lossy materials. We expli-
citly show also that the energy dissipated in the grating can result from both
imaginary and real parts of the permittivity and permeability for the case of
anisotropic nonreciprocal grating media.
134 Chapter 3

3.3.1 E-Mode RCWA Formulation

We begin the analysis by determining the general EM ®eld solution of
Region 2, the diffractive grating region. Using normalized coordinates
where x ˆ k0 x,~ y ˆ k0 y,
~ and z ˆ k0 z,
~ and where k0 ˆ 2= and  (meters)
is the free space wavelength, we ®nd that Maxwell's normalized equations in
Region 2 are given by

! !
r E ˆ j…0 H † …3:3:1†
! !
r  …0 H † ˆ j E …3:3:2†

p
where 0 ˆ 0 =0 ˆ 377
is the intrinsic impedance of free space,  ˆ
~ 0 is the relative permeability of Region 2, 0 is the permeability of free
=
space,  ˆ ~ =0   0 j 00 is the relative tensor permittivity of Region 2, and
0 is the permittivity of free space. In this section we consider the important
case when the relative permittivity tensor is anisotropic and has the speci®c
form
2 3
xx xy 0
 ˆ 4 yx yy 0 5 …3:3:3†
0 0 zz

We expand the electric and magnetic ®eld as

! X
1  
E ˆ Sxi …y†a^ x ‡ Syi …y†a^ y exp… jkxi x† …3:3:4†
iˆ 1

! ! X
1
U  0 H ˆ Uzi …y† exp… jkxi x†a^z …3:3:5†
iˆ 1
p ~
kxi ˆ kx0 iKx kx0 ˆ 1 1 sin…† Kx ˆ 2=  ˆ k0 
…3:3:6†

~ is the grating wavelength. Letting

where  is the angle of incidence and 
…x† represent any of the elements of the tensor  of Eq. 3.3.3, we also
expand those permittivity elements as

X
1
…x† ˆ i exp…jiKx x† …3:3:7†
iˆ 1
Planar Diffraction Gratings 135

where i represent the Fourier coef®cients of …x†. Substituting Eqs. 3.3.4±7
in Maxwell's equations; taking the relative permeability of Region 2 to be
 ˆ 1; introducing column and square matrices, namely, Sx ˆ ‰Sxi Š,
Sy ˆ ‰Syi Š, Uz ˆ ‰Uzi Š, i ˆ 1; . . . ; 1, xx ˆ ‰xxi;i 0 Š ˆ ‰xxi i 0 Š,
xy ˆ ‰xyi;i 0 Š ˆ ‰xyi i 0 Š yx ˆ ‰yxi;i 0 Š ˆ ‰yxi i 0 Š, and yy ˆ ‰yyi;i 0 Š ˆ ‰yyi i 0 Š
(here the underbar denotes a square …i; i 0 † matrix), Kx ˆ ‰kxi i;i 0 Š, I ˆ ‰i;i 0 Š,
…i; i 0 † ˆ 1; . . . ; 1 square matrices; i;i 0 the Kronecker delta and I the
identity matrix; eliminating Sy using the equation

Sy ˆ yy1 …Kx Uz yx Sx † …3:3:8†

and rearranging terms, we ®nd the following state variable form

@Ve …y†
ˆ A Ve …y† …3:3:9†
@y

where
   
Sx a11 a12
Ve ˆ Aˆ …3:3:10
Uz a21 a22

where

a11 ˆ j…Kx yy1 yx † a12 ˆ j… Kx yy1 Kx ‡ I† …3:3:11†

a21 ˆ j…xx xy yy1 yx † a22 ˆ j…xy yy1 Kx † …3:3:12†

where the superscript 1 in these equations denotes the matrix inverse. The
above equations have been found by expressing each of the product terms
xx …x†Ex …x; y†, xy …x†Ey …x; y†, etc. in a convolution form (see 3.2.7±10) when
!
the Fourier series expansions of …x† and E …x; y† are substituted in each
!
of the product terms making up …x† E and collecting coef®cients on com-
mon i orders.
Let qn and Vn be the eigenvalues and eigenvectors of the matrix A after
truncation. Summing over the individual eigenmodes we ®nd that the over-
all electric and magnetic ®elds in Region 2 are given by
( )
!…2† X X X
NT MT NT
!e
E ˆ Cn E n ˆ Cn ‰Sxin a^ x ‡ Syin a^ y Š exp…qn y†
nˆ1 iˆ MT nˆ1

exp… jkxi x† …3:3:13†

136 Chapter 3
( )
!…2† X X X
NT MT NT
!…2† !e
U ˆ 0 H ˆ Cn U n ˆ Cn ‰Uzin a^ z Š exp…qn y†
nˆ1 mˆ MT nˆ1

exp… jkxi x† …3:3:14†

where NT ˆ 2…2MT ‡ 1†. Equations 3.3.13 and 3.3.14 represent the sum of
NT ˆ 2…2MT ‡ 1† forward and backward traveling, propagating and non-
!e !e !e
propagating eigenmodes E n and U n  0 H n , which gives the general elec-
tromagnetic ®eld solution in Region 2, the diffraction grating region.
An important problem that remains is to determine the NT coef®-
cients Cn of Eqs. 3.3.13 and 3.3.14. Up to this point we have speci®ed the
general form of the diffracted ®elds in the grating region. The EM ®elds
on the incident side of the diffraction grating (Region 1 of Fig. 15a), on
the transmission side of the diffraction grating (Region 3 of Fig. 15a),
consist of an in®nite number of propagating and nonpropagating
plane waves whose tangential wave numbers are given by
kxi , i ˆ 1; . . . ; 1; 0; 1; . . . ; 1. The electromagnetic ®elds in Region 1
consist of the sum of a single E-mode polarized incident plane wave and
an in®nite number of re¯ected propagating and evanescent plane waves.
The total electric and magnetic ®elds in Regions 1 and 3 after summing the
incident and re¯ected ®elds is given by
Region 1

X
1  
Uz…1† ˆ 0 Hz…1† ˆ Eo i;o exp…jky1i y† ‡ ri exp… jky1i y† exp… jkxi x†
iˆ 1

…3:3:15†
1 X
1 

Ex…1† ˆ ky1i Eo i;o exp…jky1i y† ri exp… jky1i y† exp… jkxi x†
1 iˆ 1

…3:3:16†
1 X
1 

Ey…1† ˆ kxi Eo i;o exp…jky1i y† ‡ ri exp… jky1i y† exp… jkxi x†
1 iˆ 1

…3:3:17†

Region 3

X
1  
Uz…3† ˆ 0 Hz…3† ˆ ti exp…jky3i …y ‡ L† exp… jkxi x† …3:3:18†
iˆ 1
Planar Diffraction Gratings 137

1 X 1 

Ex…3† ˆ ky3i ti exp jky3i …y ‡ L† exp… jkxi x† …3:3:19†
3 iˆ 1

1 X 1 

Ey…3† ˆ k t exp jky3i …y ‡ L† exp… jkxi x† …3:3:20†
3 iˆ 1 xi i

where
( p
‰r r k2xi Š1=2 r r > kxi
kyri ˆ p r ˆ 1; 3 …3:3:21†
j‰k2xi r r Š1=2 kxi > r r

Now that the electromagnetic ®elds have been de®ned in Regions 1, 2,

and 3, the next step is to match boundary conditions at the interfaces y ˆ 0
and y ˆ L. Matching the tangential components at the grating interfaces
we have the ®nal matrix equation

X
NT  
ky1i 2Eo ky1i
Cn Uzin ‡ Sxin ˆ io …3:3:22†
nˆ1
1 1

X
NT  
ky3i
Cn exp… qn L†‰Sxin Uzin Š ˆ 0 …3:3:23†
nˆ1
3

where i ˆ MT ; . . . ; MT :
The above constitutes a set of NT ˆ 2…2MT ‡ 1† equations for the NT
unknown coef®cients Cn . Power is excited in the diffraction grating system
through the right-hand side (RHS) term of Eq. 3.3.22.

3.3.2 Complex Poynting Theorem

We will use the complex Poynting theorem [94,103] to study the power
transmitted into and from the diffraction grating under consideration. In
the present case we will choose the Poynting box to have a width  (normal-
ized grating period length) in the x-direction, a thickness
z in the z-direc-
tion (the diffraction grating is z-independent, so the Poynting box dimension
can be chosen to have an arbitrary value in this direction), and its back face
located at y ˆ L (in Region 3, just behind the Region 2±3 interface).
Figure 15b shows the Poynting box. We assume that no sources are present
in Region 2. With these assumptions we ®nd the complex Poynting theorem
is given by
138 Chapter 3

PufIN ˆ PufOUT ‡ PuDE ‡ PuDM ‡ j… PuWE ‡ PuWM † …3:3:24†

where

…… 
!…1† !…1† 
PufIN ˆ E U 
… a^ y †dS …3:3:25†

S yˆ0‡
…… 
!…3† !…3† 
PufOUT ˆ E U 
… a^ y †dS …3:3:26†

S yˆ L

………  
!…2† !…2† 
PuDE ˆ E
 00 E dV …3:3:27†

V
………  
!…2† !…2† 
PuDM ˆ U
 00 U dV …3:3:28†

V
………  
!…2† !…2† 
PuWE ˆ E
0 E dV …3:3:29†

V
………  
!…2† …2† 
0!
PuWM ˆ U
 U dV …3:3:30†

V

In Eqs. 3.3.24±30, PufIN represents the complex power radiated into the
diffraction grating power (it is the sum of the incident power, the re¯ected
power, and the interaction power between the incident and re¯ected power),
PuDE and PuDM represent the electric and magnetic dissipated power loss in
the case when the grating material is isotropic, while PuWE and PuWM denote
the reactive powers proportional to the electric and magnetic energies in the
case when the grating material is isotropic. In the general anisotropic case,
however, all four quantities can be complex. Hence, for instance, energy loss
can result from both the imaginary and the real parts of  and l, as in a non-
Hermitian medium, to be discussed later. The superscript u in Eqs. 3.3.24±
30 means unnormalized. These power terms will be later normalized to the
incident plane wave power. We will now be concerned with evaluating these
equations for the E-mode plane wave polarization case under consideration.

Sample Calculation of P uWE

We illustrate the evaluation of the integrals in Eqs. 3.3.24±30 by calculating
the PuWE integral of Eq. 3.3.29. Substituting the electric ®eld of Region 2 we
®nd that the dot product inside the integral is
Planar Diffraction Gratings 139

!…2† 0 !…2†   
E
 E ˆ Ex…2† xx
0
…x†Ex…2† ‡ Ex…2† xy
0
…x†Ey…2† ‡ Ey…2† yx
0
…x†Ex…2†

‡ Ey…2† yy
0
…x†Ey…2†
…3:3:31†

Each of the four terms in Eq. 3.3.31 must be substituted into Eq. 3.3.29 and
the subsequent volume energy integrals must be evaluated. The analysis
consists of substituting the Fourier series expansions of the electric ®eld
quantities and dielectric tensor quantities into the energy volume integral,
interchanging sum and integral expressions, carrying out all exponential
integrals exactly and in closed form, and ®nally simplifying all summations.
Letting
X
V…x; y† ˆ Cn 0 Vi 0 ;n 0 exp…qn 0 y† exp… jkxi 0 x† …3:3:32†
i 0 ;n 0

represent the electric ®eld Ex …x; y† or Ey …x; y†, letting

X 000
…x† ˆ i0000 exp‰ji Kx xŠ …3:3:33†
000
i

0 0 0 0
represent xx …x†, xy …x†, yx …x†, or yy …x†, and letting
X
W…x; y† ˆ Cn 00 Wi 00 ;n 00 exp…qn 00 y† exp… jkxi 00 x† …3:3:34†
i 00 ;n 00

represent the electric ®eld Ex …x; y† or Ey …x; y†, we ®nd that any of the four
terms of the unnormalized energy volume integral PuWE can be expressed in
the general form
………
Pˆ V…x; y†…x†W…x; y† dV

V
……… ( )
X
ˆ Cn 0 Vi 0 n 0 exp‰qn 0 yŠ exp‰ jkxi 0 xŠ

V i 0 ;n 0
8 9( )
<X = X 000

i 000 exp‰ji Kx xŠ C 00 W 00 00 exp‰qn 00 yŠ exp‰ jkxi 00 xŠ
: 000 ; i 00 ;n 00 n i n
i

dx dy dz
…3:3:35†
140 Chapter 3

The integrals are independent of the z-coordinate. We ®nd after some

algebra that

……… X
V…x; y†…x†W…x; y† dxdydz ˆ
z Cn 0 Cn 00 Iyn 0 ;n 00

V n 0 ;n 00
X …3:3:36†
i 00 i 0 V
i 0n 0 Wi00 n 00
i 0 ;i 00

where

… 0‡
Iyn 0 ;n 00 ˆ exp‰…qn 0 ‡ qn 00 †yŠ dy …3:3:37†
L

Substitution of the four terms of Eq. 3.3.31, with each term simpli®ed
according to Eq. 3.3.36, produces a closed form expression (that is, all
integrations have been carried out exactly) from which the normalized
energy volume integral PuWE can be evaluated. The evaluation of the PuDE
is identical to the analysis of the PuWE integral except that the lossy relative
permittivity  00 …x† tensor is used rather than  0 …x†

Other Poynting Theorem Integrals

The evaluation of the magnetic volume integrals PuWM and PuDM is identical
to that of PuWE and PuDE except that the magnetic ®eld is used rather than the
electric ®eld. In the present case under analysis the permeability  ˆ  0
j 00 is uniform in the x-direction and its Fourier representation is

X
1
…x†   ˆ  i ejix …3:3:38†
iˆ 1

where

 i ˆ … 0 j 00 †i;0 …3:3:39†

Following the analysis used to determine PuWE and evaluating the discrete
Kronecker delta found, we ®nd that
Planar Diffraction Gratings 141
X Xh …2† …2†
i
PuWM ˆ
z 0 Cn 0 Cn 00 Iyn 0 ;n 00 Uzin 0 Uzin 00 …3:3:40†
n 0 ;n 00 i
X Xh …2† …2†
i
PuDM ˆ
z 00 Cn 0 Cn 00 Iyn 0 ;n 00 Uzin 0 Uzin 00 …3:3:41†
n 0 ;n 00 i

Simpli®cation of Results and Normalization

Substituting the electromagnetic ®elds of Region 1 into Eq. 3.3.25, integrat-
ing over the cross section
z , and performing algebra we ®nd that the
power radiated into the Poynting box at y ˆ 0‡ is given by

z X   
PufIN ˆ k E  ri E0 i;0 ‡ ri …3:3:42†
1 i yli 0 i;0

It is convenient to normalize the power terms of Eq. 3.3.24 to the

incident power radiated into the Poynting box. Integration of the incident
power Puinc over the cross section
z  at y ˆ 0‡ for the present E mode
polarization case, after noting that the integral is purely real, gives the
incident power as

z
Puinc ˆ jE0 j2 ky10 …3:3:43†
1

If we normalize the power of Eq. 3.3.42 to the incident power, we ®nd that
P
Pu i kyli ‰E0 i;0 ri Š‰E0 i;0 ‡ ri Š
PIN  fIN ˆ …3:3:44†
Puinc ky10 jE0 j2

Of interest are the powers re¯ected and transmitted from the diffract-
ing grating at y ˆ 0‡ and y ˆ L , respectively, and the relation that these
powers have to the power PfIN radiated into the Poynting box y ˆ 0‡ . The
unnormalized re¯ected and transmitted powers are given by the expressions
…… 
!…1† !…1† 
z X
Puref ˆ E ref  U ref 
a^ y dS ˆ k r r

S yˆ0‡ 1 i y1i i i

…3:3:45†
…… 
!…3† !…3† 
z X
PufOUT  Putrans ˆ E U 
… a^ y †dS ˆ k t t

S yˆ L 3 i y3i i i

…3:3:46†
142 Chapter 3

To ®nd a relation between PufIN and Puref , we take E0 ˆ jE0 j exp…j0 † we

note that kyli is purely real for i ˆ 0, and we analyze the summation in the
numerator of the RHS of Eq. 3.3.44, namely,
X
T kyli ‰E0 i;0 ri Š‰E0 i;0 ‡ ri Š …3:3:47†
i

After expanding the product term of Eq. 3.3.47 in square brackets and after
separating the i ˆ 0 term from the i 6ˆ 0 we ®nd that
X  
Tˆ ky1i E02 i;0 ‡ … ri ‡ ri †E0 i;0 † ri ri …3:3:48†
i
  X
T ˆ ky10 E02 ‡ … 2j Im…r0 †E0 r0 r0 ky1i ri ri …3:3:49†
i;i6ˆ0
X
T ˆ ky10 E02 2jky10 Im…r0 †E0 ky1i ri ri …3:3:50†
i

Thus
" #

z X
z X
PufIN ˆ 
ky1i E0 E0 i;0 ‰k r r Š
1 i
1 i y1i i i
…3:3:51†

z  
2jky10 Im…r0 †E0
1

The ®rst and second summation terms of Eq. 3.3.51 represent the unnorma-
lized incident and re¯ected power at y ˆ 0‡ . The third term is an interaction
term between the incident and re¯ected EM wave. We have

z  
PufIN ˆ Puinc Puref 2jky10 Im…r0 †E0 …3:3:52†
1

We now substitute PufIN of Eq. 3.3.52 into the left-hand side (LHS) of Eq.
3.3.24. We ®nd that

z  
Puinc Puref 2jky10 Im…r0 †E0 ˆ PufOUT ‡ PuDE ‡ PuDM
1 …3:3:53†
‡ j… PuWE ‡ PuWM †

Transposing the re¯ected power term and the interaction power term to the
RHS of Eq. 3.3.53, we ®nd that
Planar Diffraction Gratings 143

z  
Puinc ˆ Puref ‡ 2jky10 Im…r0 †E0 ‡ PufOUT ‡ PuDE ‡ PuDM
1 …3:3:54†
‡ j… PuWE ‡ PuWM †

De®ning the normalized power terms (taking E0 ˆ jE0 j exp…j0 †† ˆ 1,

Puinc
Pinc  ˆ1
Puinc
Puref 1 X
Pref ˆ u ˆ k r r
Pinc ky10 i y1i i i
PufOUT 1 1 X
POUT  Ptrans ˆ ˆ k t t …3:3:55†
Puinc 3 ky10 i y3i i i
PuDE PuDM
PDE  PDM 
Puinc Puinc
PuWE PuWM
PWE  PWM 
Puinc Puinc

we now ®nd that the complex Poynting theorem of Eq. 3.3.24 after division
of all terms by Puinc can be written in normalized form as

PIN ˆ POUT ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM †  PBOX …3:3:56a†

or in terms of the re¯ected and transmitted powers as

1 ˆ Pinc ˆ Pref ‡ 2j Im…r0 † ‡ Ptrans ‡ PDE ‡ PDM ‡ j… PWE ‡ PWM †

…3:3:56b†

Equations 3.3.56a, b represent the main complex Poynting theorem conser-

vation relation, which relates the input, incident, re¯ected, and transmitted
powers to the dissipated power and stored energy of the system.
By taking the real and imaginary parts of Eq. 3.3.56b we can derive
useful relations from which the numerical accuracy of the diffraction ana-
lysis can be checked, and we can also derive useful expressions into which
numerical insight of the diffraction process can be gained. Taking the real
part of Eq. 3.3.56b we ®nd that

1 ˆ Pinc ˆ Re…Pref † ‡ Re…Ptrans † ‡ Re…PDE † ‡ Re…PDM †

…3:3:57†
‡ Re‰j… PWE ‡ PWM †Š
144 Chapter 3

Taking the imaginary part of Eq. 3.3.56b we ®nd that

0 ˆ Im…Pref † ‡ Im…Ptrans † ‡ 2Im…r0 † ‡ Im…PDE † ‡ Im…PDM †

…3:3:58†
‡ Im‰j… PWE ‡ PWM †Š

We remind the reader that by de®nition the quantities PDE , PDM , PWE , and
PWM in the general anisotropic case are not purely real, so that taking the
real and imaginary parts as speci®ed in Eqs. 3.3.58 is necessary as shown.
From Eqs. 3.3.57 and 3.3.58 we will now de®ne three useful relations
from which numerical plots can be made and which give insight into the
diffraction process. We will now give the ®rst relation. From Eq. 3.3.57 if we
transpose the Re‰j… PWE ‡ PWM †Š term we have

Re‰j… PWE ‡ PWM †Š ˆ Pinc Re…Pref † Re…Ptrans †

…3:3:59†
Re…PDE † Re…PDM †

Letting the LHS of Eq. 3.3.59 be

PWEM
diffR  Re‰j… PWE ‡ PWM †Š …3:3:60†

and letting the RHS of Eq. 3.3.59 be

PdiffR  Pinc Re…Pref † Re…Ptrans † Re…PDE † Re…PDM † …3:3:61†

we have from inspecting Eq. 3.3.59

PWEM
diffR ˆ PdiffR …3:3:62†

Equations for PWEM diffR and PdiffR are in general useful quantities to calculate.
When the medium is reciprocal, PWE , PWM , PDE , and PDM are all purely real
quantities; therefore from Eq. 3.3.61, PWEM diffR ˆ 0 and PdiffR ˆ 0, and thus
Eq. 3.3.61 represents a conservation relation stating that the incident power
should equal the sum of the transmitted, re¯ected, and dissipated powers.
When the medium is anisotropic, PWE and PWM are in general complex, and
thus PWEM WEM
diffR is not necessarily zero. In this case PdiffR (which should equal
PdiffR ) give a sense of how much the anisotropic nature of the medium is
present in the EM ®eld calculation. The computation of PWEM diffR and PdiffR is
also useful in this case as a cross-check of the numerical calculation. It is
useful since both terms are computed from EM ®eld quantities located in
different regions of space. Numerically if PWEM diffR and PdiffR are not equal or
Planar Diffraction Gratings 145

almost equal to each other, the numerical computation has to be in error. A

second useful relation is given by Eq. 3.3.58. We de®ne

PWEM
diffI  Im‰ j… PWE ‡ PWM †Š …3:3:63†
PdiffI  Im…Pref ‡ Ptrans ‡ PDE ‡ PDM † 2Im…r0 † …3:3:64†

Proper balance of the complex Poynting theorem requires

PWEM
diffI ˆ PdiffI …3:3:65†

We will now de®ne a third useful relation that results from Eqs. 3.3.56.
Transposing the terms Im…Pref † and Im…Ptrans † to the left-hand side of Eq.
3.3.58 and multiplying by 1 we ®nd that

Im…Pref † ‡ Im…Ptrans † ˆ 2Im…r0 † Im…PDE †

…3:3:66†
Im…PDM † Im‰j… PWE ‡ PWM †Š

Letting

Pevan  Im…Pref † ‡ Im…Ptrans † …3:3:67†

and letting

Pdif
evan  2Im…r0 † Im…PDE † Im…PDM † Im‰j… PWE ‡ PWM †Š
…3:3:68†

we have from inspecting Eqs. 3.3.66±68

Pevan ˆ Pdiff
evan …3:3:69†

Equation 3.3.69 is a useful quantity to calculate as it gives a measure of the

evanescent power stored in the diffraction system. That it gives the evanes-
cent power can be seen from the equations for the re¯ected power in Region
1 and the transmitted power in Region 3. For the re¯ected power in Region
1 we have

Puref 1 X
Pref ˆ u ˆ k r r …3:3:70†
Pinc ky10 i y1i i i
146 Chapter 3

where from Eq. 3.3.21

( p
‰1 1 k2xi Š1=2 1 1 > kxi
ky1i ˆ p …3:3:71†
j‰k2xi 1 1 Š1=2 kxi > 1 1

In these equations we note ky10 is real and positive. Because the term ri ri is
purely real, the re¯ected power Pref is purely imaginary only when ky1i is
purely imaginary. Thus we see that Im…Pref † is only nonzero when
p
ky1i ˆ j‰k2xi 1 1 Š1=2 , kxi > 1 1 , which occurs only for those space har-
monics that are evanescent. The transmitted power is evanescent for
Im…Ptrans † 6ˆ 0, just as for the re¯ected power.
Relations 3.3.67±69 like Eqs. 3.3.60±62 are useful for two reasons.
First, they give the evanescent power, thus they give a measure of how
much power and energy is stored in nonpropagating EM waves near the
diffraction grating interfaces. The larger the evanescent power and energy,
the larger and rougher are the diffraction grating interfaces relative to the
bounding regions. A second reason that they are useful is that they provide
an excellent cross-check of the numerical diffraction solution. Pevan and
Pdiff
evan are computed from EM terms that exist in different regions of the
EM system. Thus equality or very close numerical equality of Pevan and
Pdiff
evan helps show that the computations are being made correctly. We also
note that the sum of evanescent powers tends to be small relative to the
other diffraction power terms in the system. Thus the sum of evanescent
powers tends to be a fairly sensitive test of the EM algorithm.
The type of power budget analysis presented here can be applied to
virtually any type of diffraction grating and any kind of polarization for the
incident wave and may be extended to multilayer grating structures in a
straightforward way. For example, results for H-mode incidence on an iso-
tropic grating have already been presented in the previous section.

3.3.3 Numerical Results

In this section we will present numerical examples of the diffraction as
results from RCWA and the complex Poynting theorem, which have been
discussed previously for the E-mode polarization case under consideration.
The examples to be presented consist of an RCWA study of a square or step
pro®le diffraction grating when several different isotropic and anisotropic
materials make up the step pro®le. The step grating is assumed to be homo-
geneous in the longitudinal direction and is assumed to contain sharp dielec-
tric discontinuities at dielectric steps and thus possesses a high spectral
content i ˆ 1; . . . ; 1; 0; 1; . . . ; 1. Thus studying isotropic and anisotro-
Planar Diffraction Gratings 147

pic materials with relatively short grating periods  ~ ˆ  tests the RCWA
and the complex Poynting theorem in a fairly severe way.
We begin presenting results for the isotropic step grating. Figure 16a
shows the transmitted diffraction ef®ciencies DET …%† for the i ˆ 0; 1 orders
when a lossless and lossy grating is present. The parameters of the grating re
given in the Fig. 16a inset. The plots show DET …%† versus the layer length L~
(in units of free space wavelength ). The lossless grating example of Fig.
16a was ®rst studied by Yamakita and Rokushima [54], and the lossless
diffraction ef®ciency results of Fig. 16a are identical to their results [54].
As can be seen from Fig. 16a, as the layer length L~ increases from 0 to 2,
because  is at the Bragg angle, power is diffracted from the i ˆ 0 order into
the i ˆ 1 order. For larger values of L,~ 2 to 4, power is diffracted from the
i ˆ 1. This cycle of blazing and antiblazing (see [98±101] for an insightful
discussion of blazing and antiblazing in grating analysis and its relation to
the Poynting vector) is repeated over a long range of L~ values. One also
observes that if 2b is lossy, the diffraction ef®ciency of both the i ˆ 0 and
i ˆ 1 orders is attenuated as one would expect in a lossy material.

Figure 16 (a) The transmitted diffraction ef®ciency of a lossless and lossy step
diffraction grating are shown. (b±e) Plots of the real and imaginary parts of the
normalized complex power PIN and PBOX as computed by Eq. 56a of the complex
Poynting theorem for the lossless (b and c) and lossy cases (d and e) are shown. (f±g)
Plots of the evanescent power as computed by Eqs. 3.3.67±69 for the lossless (f) and
lossy cases (g) are shown. OSA 1999 [103].
148 Chapter 3

Figure 16 (continued)
Planar Diffraction Gratings 149

Figure 16 (continued)
150 Chapter 3

Figure 16 (continued)
Planar Diffraction Gratings 151

Figures 16b±e show plots of the real and imaginary parts of the normal-
ized complex power PIN and PBOX of the complex Poynting theorem for the
lossless (Figs. 16b and 16c) and lossy (Figs. 16d and 16e) cases as speci®ed by
Eq. 3.3.56a. As can be seen from these four plots, the complex Poynting
theorem is obeyed to a high degree of accuracy as evidenced by the close
®t between the data for PIN (solid line) and the data for PBOX (dots). In
comparing the lossless and lossy cases (using Eq. 3.3.56a), one also notices
a signi®cant difference in the complex Poynting results for these cases. In the
lossy case, as the layer becomes larger, the oscillations of the power results
decrease. This is because in the lossy case, less EM power is re¯ected from the
boundary and interferes with forward traveling waves than when the medium
is lossless. Figures 16f and 16g show plots of the evanescent power as com-
puted by Eqs. 3.3.67±69. As can be seen in these ®gures, excellent agreement
with the complex Poynting theorem is observed in both lossy and nonlossy
cases. As discussed earlier, because the grating width is on the order of a
wavelength, a certain amount of energy is stored in the evanescent ®elds of
Regions 1 and 3. The comparison of the lossy and nonlossy materials shows a
de®nite difference in the evanescent ®eld quantities of the system.
Figures 17a and 17b show plots of the real and imaginary parts,
respectively, of the normalized complex power as computed by Eq.
3.3.56a for the lossless case when a general, nonreciprocal, anisotropic
material occupies Region 2a of the step diffractive region as shown in the
inset of Figs. 17a and 17b. Region 2b of the step was chosen to have
2b ˆ 2:5, and Region 2a of the step was chosen to have 2ayy ˆ 1:52axx ,
2axx ˆ 1 j0:1, 2axy ˆ 0:22axx , and 2ayx ˆ 0. The example being consid-
ered is non-Hermitian since 2axy 6ˆ 2ayx . This situation may be encountered
in, for instance, materials with stimulated Raman scattering, a process
whose governing susceptibility does not exhibit overall permutation symme-
try [96]. As can be seen from these ®gures, the complex Poynting theorem is
obeyed to a high degree of accuracy. Figure 17c shows a plot of the evanes-
cent power as calculated by Eqs. 3.3.67±69 for the nonreciprocal anisotropic
case under consideration.
Figures 17d and 17e show plots of PWEM diffR and PdiffR (calculated in Eqs.
3.3.60±62) and plots of PWEM
diffI and PdiffI (calculated in Eqs. 3.3.63±65) for the
same anisotropic case as was considered in Fig. 17a±c (plots labeled
2ayx ˆ 0†. Also shown in these ®gures are plots made for the case when
all the permittivity elements are the same as in Fig. 17a±c except that instead
of taking 2ayx ˆ 0, 2axy has been taken to be 2axy ˆ 2ayx and thus the
medium is Hermitian. These plots are labeled 2axy ˆ 2ayx in Figs. 17d
and 17e. As can be seen from all the plots shown in Figs. 17d and 17e,
Eqs. 3.3.62 and 3.3.65 (namely, PWEM WEM
diffR ˆ PdiffR and PdiffI ˆ PdiffI ) are
152 Chapter 3

Figure 17 (a,b) Plots of the real and imaginary parts, respectively, of the normal-
ized complex power PIN and PBOX as computed by Eq. 3.3.56a of the complex
Poynting theorem are shown. (c) A plot of the evanescent power as calculated by
Eqs. 3.3.67±69 is shown. (d) Plots of PWEM
diffR and PdiffR (calculated in Eqs. 3.3.60±62)
for Hermitian and non-Hermitian step diffraction gratings are shown. (e) Plots of
PWEM
diffI and PdiffI as calculated in Eqs. 3.3.63±65 for Hermitian and non-Hermitian
step diffraction gratings are shown.
Planar Diffraction Gratings 153

Figure 17 (continued)
154 Chapter 3

Figure 17 (continued)

obeyed to a very high degree of accuracy as can be seen by the close agree-
ment between lines and dots as displayed in the ®gures.
In Fig. 17d it is very interesting to compare the power results for the
Hermitian and non-Hermitian cases. In Fig. 17d, for the plots labeled
2ayx ˆ 0, the material is non-Hermitian, and thus PWE and PWM are not
necessarily purely real, and thus PWEMdiffR of Eqs. 3.3.60±62 is not necessarily
zero. The nonzero nature of PWEMdiffR is clearly seen in the plot of Fig. 17d. On
the other hand, for the plots labeled 2axy ˆ 2ayx (Hermitian case), it is
noticed that

PWEM
diffR ˆ Re‰j… PWE ‡ PWM †Š ˆ PdiffR ˆ 0 …3:3:72†

or

PdiffR  Pinc Re…Pref † Re…Ptrans † Re…PDE † Re…PDM † ˆ 0

…3:3:73†

or

Pinc ˆ Re…Pref † ‡ Re…Ptrans † ‡ Re…PDE † ‡ Re…PDM † …3:3:74†

Planar Diffraction Gratings 155

It is expected in the Hermitian case that the medium should be completely

conservative and should show the basic property that the incident power on
the grating should equal the sum of the power dissipated in the grating and
re¯ected and transmitted from the grating. This is exactly what is observed
in Fig. 17d as can be seen from Eq. 3.3.74.

3.4 COUPLED WAVE ANALYSIS OF SLANTED AND PURE

REFLECTION GRATINGS

In the previous two sections, transmission gratings have been analyzed by

the RCWA method in the cases of E-mode and H-mode polarization. In
both these cases the diffraction grating has been taken to have its grating
vector directed in the x-direction (the dielectric modulation varies in this
direction). Another important type of grating is the slanted or pure re¯ec-
tion grating where the grating vector will have a component along the y-
direction. Coupled wave analysis of re¯ection gratings has been carried out
by numerous researchers, see for instance Kogelnik [5], Raman-Nath, Kong
[6], Marcuse [14], and Moharam and Gaylord [16,18,19]. The basic assump-
tion in all of these is that the EM ®elds can be expanded in terms of a
transverse space harmonic Fourier series, which upon substitution into
Maxwell's equations can be reduced to state variable form for subsequent
analysis. Rigorously speaking, this in turn implies that the analysis is only
valid for ®nite transverse spatial periods of the grating vector. In a pure
re¯ection grating, the transverse grating period is in®nite; the RCWA based
on a transverse space harmonic expansion cannot strictly hold (even though
it has been shown to hold in the limit). This does not mean however that a
state variable analysis of this case cannot be performed. Zylberberg and
Marom [25] have, in fact, employed a novel expansion of the EM ®elds in
terms of harmonics of the phase of the grating to reduce the Maxwell's
equations to state variable form.

3.4.1 Formulation
We consider the case of an EM wave (H-mode polarization) (see Fig. 18)
incident on a sinusoidally modulated relative dielectric constant (relative
permeability equal to unity in all space)

…x; z† ˆ 2 ‡
 cos‰K…x sin  ‡ z cos † ‡ Š …3:4:1†

where 2 is the bulk relative dielectric constant,
 is the modulation ampli-

tude,  is the slant angle, K ˆ 2= and  ˆ k0  ~ is the normalized grating
156 Chapter 3

Figure 18 Geometry for planar-grating diffraction. Used with permission of

Optical Society of America (OSA), Ref. 25.

period.  is the phase angle of the modulation and plays a signi®cant role in
the state variable analysis of the system. The grating is assumed to be
bounded by lossless homogeneous regions on either side of the grating.
The normalized electric ®eld in each region expressed in normalized coordi-
~ etc., is
nates x ˆ k0 x,
Planar Diffraction Gratings 157

Region 1 (z < 0†

X
E1 ˆ exp‰ j…0 x ‡ 10 z†Š ‡ R~ i exp‰ j…i x 1i z†Š …3:4:2†
i

Region 2 (0 < z < d†

X
E2 ˆ S~i exp‰ j…i x ‡ 2i z†Š …3:4:3†
i

Region 3 …z > d†

X
E3 ˆ T~i exp‰ j…i x ‡ 3i …z d††Š …3:4:4†
i

Here

i ˆ k1 sin  iK sin 
2 p
mi ˆ k2m 2i km ˆ m
2i ˆ k2 cos  0 iK cos 
"  #
0 1 1 1=2
 ˆ sin sin 
2

i ˆ k1 sin  iK sin  m ˆ 1; 2; 3
i ˆ 0; 1; 2; . . .

 is the wavelength in vacuum of the waves,  is the angle of incidence in

Region 1, and  0 is the refraction angle inside the grating (Region 2); R~ i and
T~i are the amplitudes of the re¯ected and transmitted diffraction orders,
respectively. S~i is the amplitude of the ith order inside the modulated region.
It will be shown that R~ i , T~i , and S~i depend on the modulation phase angle .
When Eqs. 3.4.1 and 3.4.3 are substituted into the wave equation for
the grating region,

r2 E2 ‡ …x; z†E2 ˆ 0 …3:4:5†

158 Chapter 3

 d 2 Si …u† dS …u†
ˆ …cos  0 i cos † i i…i B†S i …u†
82 d 2 u du
‡ S i‡1 …u† exp… j† ‡ S i 1 …u† exp…j† ˆ 0 …3:4:6†

where

S i …u†  S~i …z†

j
z~
u ˆ jz~ ˆ
2…2 †1=2

ˆ
~ 2 †1=2
…
22 22 2
ˆ ˆ
~ 2



~ 2 † cos…
2… 1=2
 0† 2 cos…  0†
Bˆ ˆ
 

Solutions to Eq. 3.4.6 represent the EM ®elds in the diffracting grating

regions. To ®nd an overall EM solution, the ®elds of Region 2 must be
matched at the boundaries z ˆ 0 and z ˆ d to the EM ®eld solutions in
Regions 1 and 3. Matching the tangential electric and magnetic ®elds,
respectively, at z ˆ 0 we have

R~ i ‡ i;0 ˆ S~i …0† …3:4:7†


d S~i …z†
1i …R~ i i;0 † ˆ j  2i S~i …0† …3:4:8†
dz 
zˆ0

Matching the tangential electric and magnetic ®elds, respectively, at z ˆ d

we have

T~i ˆ S~i …d† exp… j2i d† …3:4:9†

"  #
d ~i …z†
S
3i T~i ˆ j  2i S~i …d† exp… j2i d† …3:4:10†
dz 
zˆd

R~ i , S~i …z†, and T~i , the normalized amplitudes of the ith diffraction
orders in regions 1, 2, and 3, respectively, can be written in a form that
shows explicitly their dependence on the arbitrary phase modulation .
Planar Diffraction Gratings 159

Upon substituting

Si …u† ˆ Si …u† exp…ji† …3:4:11†

into Eq. 3.4.6, one obtains the differential equation

 d 2 Si …u† dSi …u†

ˆ …cos  0 i cos † i…i B†Si …u†
82 d 2 u du …3:4:12†
‡ Si‡1 …u† ‡ Si 1 …u† ˆ 0

Equation 3.4.12 can also be obtained from Eq. 3.4.6 by letting  ˆ 0.

Therefore Si …u† is the ®eld amplitude in the grating region for  ˆ 0.
From Eq. 3.4.11 it follows that

S~i …z† ˆ S^i …z† exp…ji† …3:4:13†

where

S^i …z† ˆ Si …u† …3:4:14†

By substituting Eq. 3.4.13 into Eqs. 3.4.7±10 and de®ning

R~ i ˆ Ri exp…ji† …3:4:15†
T~i ˆ Ti exp…ji† …3:4:16†

one obtains the following four equations:

Ri ‡ i;0 ˆ S^i …0† …3:4:17†


d S^i …z†
1i …Ri i;0 † ˆ j  2i S^i …0† …3:4:18†
dz 
zˆ0

Ti ˆ S^i …d† exp… j2i d† …3:4:19†

"  #
d S^i …z†
3i Ti ˆ j  2i S^i …d† exp… j2i d† …3:4:20†
dz 
zˆd

Equations 3.4.17±20 can also be obtained from Eqs. 3.4.7±10 by letting

 ˆ 0. Therefore Ri and Ti are the amplitudes of the ith re¯ected and trans-
mitted order for a grating with  ˆ 0.
160 Chapter 3

Equation 3.4.12 and Eqs. 3.4.17±20, which correspond to the case of

 ˆ 0, are identical with the coupled wave equations and boundary condi-
tion equations given by Gaylord [16] and can be solved by using the method
described there to obtain the amplitudes S^i …z†, Ri , and Ti . After Ri and Ti
are calculated, the amplitudes R~ i and T~i for an arbitrary modulation phase 
can be determined by using Eqs. 3.4.15 and 16. From Eqs. 3.4.13±16, it is
seen that a phase shift  of the grating's dielectric constant modulation
causes a shift of i in the phases of the ith diffraction orders in the three
regions.
In retrospect, it is not hard to see why this should be true by examining
the diffraction orders from a simple thin sinusoidal grating. The overall
optical ®eld immediately behind a thin matched sinusoidal grating of thick-
ness d in free space illuminated by a plane wave of wavenumber k0 can be
expressed in the form

E… † / exp…j
d cos † …3:4:21†

where, with  ˆ =2,

ˆ Kx ‡  …3:4:22†

Now the RHS of Eq. 3.4.21 can be expanded in a Fourier series by a Bessel
identity of the form

X
1
exp…j
d cos † ˆ Ji …
d† exp…ji † …3:4:23†
iˆ 1

Using Eqs. 3.4.22 and 3.4.23, it readily follows that

X
1 X
1
E/ Ji …k0
d† exp…ji † ˆ ‰Ji …k0
d† exp…ji†Š exp…jiKx†
iˆ 1 iˆ 1
…3:4:24†

The quantity in square brackets is the amplitude Ti of the ith order dif-
fracted ®eld at the exit plane of the grating (transmission type in this simple
example), and it is readily seen that the phase associated with the ith dif-
fraction order is always i.
When the diffraction ef®ciencies are calculated using RCW analysis
two distinct cases must be considered:
1. Slanted gratings … 6ˆ 0†. In this case the re¯ected (transmitted)
orders in Region 1 (3) have different values of 1i …3i ) for different values
Planar Diffraction Gratings 161

of i. Therefore some of them propagate in different directions while others

are evanescent. The diffraction ef®ciencies for the ith re¯ected order and for
the ith transmitted orders, when the grating modulation has an arbitrary
phase , are given, respectively, by
 
1i ~ 2
DERi ˆ Re jRi j …3:4:25†
10
 

DETi ˆ Re 3i jT~i j2 …3:4:26†
10

By substituting Eqs. 3.4.15 and 3.4.16 into Eqs. 3.4.25 and 3.4.26, respec-
tively, we obtain
 
1i
DERi ˆ Re jRi j2 …3:4:25a†
10
 

DETi ˆ Re 3i jTi j2 …3:4:26a†
10

Therefore for slanted gratings the diffraction ef®ciencies are independent of

the modulation phase . This is also in agreement with our heuristic theory
given above.
2. Pure re¯ection gratings ( ˆ 0). The dielectric constant of a pure
re¯ection grating is constant along the boundaries, and on any plane parallel
to the boundaries inside the grating region. It changes along the z-direction
and is given by setting  ˆ 0:

…z† ˆ 2 ‡
 cos…Kz ‡ † …3:4:27†

Two important differences exist between the diffraction characteristics of

purely re¯ection gratings and slanted gratings:
1. Only one re¯ected wave and one transmitted wave exist outside
the pure re¯ection grating.
2. Different values of the modulation phase  correspond generally
to different values of the dielectric constant at the boundaries.
Therefore one would expect the diffraction ef®ciencies of a pure
re¯ection grating to be affected, even if only the value of  is
changed.
A pure re¯ection grating can be viewed as a dielectric slab with plane
boundaries that are perpendicular to the z-axis and with a dielectric constant
that varies as a function of z only. A rigorous solution of the problem of
162 Chapter 3

re¯ection and transmission of an incident TE plane wave by a pure re¯ection

grating therefore has the following form:
Region 1 (z < 0†

E1 ˆ exp‰ j…0 x ‡ 10 z†Š ‡ R~ exp‰ j…0 x 10 z†Š …3:4:28†

Region 2 (0 < z < d†

E2 ˆ U…z† exp‰ j0 xŠ …3:4:29†

Region 3 (z > d)

E3 ˆ T~ exp‰ j…0 x ‡ 30 …z d††Š …3:4:30†

R~ and T~ are the electric ®eld amplitudes of the single re¯ected and trans-
mitted plane waves, respectively, and U…z† is the z-dependent amplitude of
the electric ®eld inside the pure re¯ection grating. In addition to satisfying
the wave equation in the three regions, the expressions 3.4.28±30 must also
satisfy the boundary conditions at z ˆ 0 and z ˆ d. The four boundary
equations are tangential E and z ˆ 0:

R~ ‡ 1 ˆ U…0† …3:4:31†

tangential H at z ˆ 0:

dU 
j10 …R~ 1† ˆ …3:4:32†
dz zˆ0

tangential E at z ˆ d:

T~ ˆ U…d† …3:4:33†

tangential H at z ˆ d:

dU 
j30 T~ ˆ …3:4:34†
dz zˆd

It is now shown that the RCWA equations can also be derived for  ˆ
0 and therefore are also valid for pure re¯ection gratings.
Since changing the modulation phase  by an integral multiple of 2
~ T,
results in the same grating, the amplitudes R, ~ and U…z† in Eqs. 3.4.28±30
Planar Diffraction Gratings 163

should be periodic functions of  with 2 periodicity and thus can be

expanded in Fourier series in the forms
X
R~ ˆ Ri exp…ji† …3:4:35†
i
X
U…z† ˆ Ui …z† exp…ji† …3:4:36†
i
X
T~ ˆ Ti exp…ji† …3:4:37†
i

The Fourier coef®cients Ri , Ui …z†, and Ti are independent of . The

Fourier coef®cients Ui …z† can be written without loss of generality in the
form

Ui …z† ˆ S^i …z† exp…j2i z† …3:4:38†

where

2i ˆ k2 cos  0 iK

By setting  ˆ 0 in Eq. 3.4.1 and substituting Eqs. 3.4.1, 3.4.29, and 3.4.36,
into the wave equation Eq. 3.4.5, the following equation is obtained:
" #
X d 2 S^i d S^

  ^ 
2j2i i 2
2i ‡ 20 k22 S^i ‡ Si 1 ‡ S^i‡1
i
dz2 dz 2

 exp… j2i z† exp…ji† ˆ 0

…3:4:39†

Since  can have any value, it follows that the coef®cient of each exponential
(the term in square brackets in Eq. 3.4.39) must equal zero:

d 2 S^i d S^i

  ^ 
2j2i 2
2i ‡ 20 k22 S^i ‡ Si 1 ‡ S^i‡1 ˆ 0 …3:4:40†
dz2 dz 2

It can easily be shown that 3.4.40 is identical to 3.4.12 with  ˆ 0.

The boundary conditions are derived by substituting Eqs. 3.4.35±38
into Eqs. 3.4.31±34. For instance, after substituting Eqs. 3.4.35, 36, 38 into
3.4.31, one obtains
164 Chapter 3
X X
Ri exp…ji† ‡ 1 ˆ S^i …0† exp…ji† …3:4:41†
i i

P
Noting that 1 ˆ i i0 exp…ji†, it follows that

Ri ‡ i0 ˆ S^i …0† …3:4:42†

which is identical to Eq. 3.4.17. Other boundary condition equations can be

derived in a similar manner.
By multiplying Eq. 3.4.40 and the corresponding boundary conditions
by exp…ji† and de®ning

S~i …z† ˆ S^i …z† exp…ji† …3:4:43†

R~ i ˆ Ri exp…ji† …3:4:44†
T~i ˆ Ti exp…ji† …3:4:45†

a set of equations is obtained that is identical to Eqs. 3.4.6±10 with  ˆ 0.

From Eqs. 3.4.35±38 it follows that the amplitudes of the re¯ected and
transmitted waves are given by the sums of the amplitudes of the re¯ected
and transmitted orders, respectively. The dependence on  is obtained by
multiplying the amplitudes of the ith orders Ri , S^i …z†, Ti , which correspond
to  ˆ 0, by exp…ji†.
We have just shown that a state variable formulation in terms of the
phase  of the grating can lead to a set of coupled wave equations that are
equivalent to the RCWA equations for  6ˆ 0 but in the limit as  ! 0.
When  ˆ 0, all the re¯ected orders have 1i ˆ 10 and propagate in the
same direction in Region 1. The result is a single re¯ected wave whose
amplitude R~ is given by the coherent addition of the amplitudes of the
individual re¯ected orders
X
R~ ˆ R~ i …3:4:46†
i

Similarly, the single transmitted wave whose amplitude T~ is given by the

coherent addition of the amplitudes of the individual transmitted orders
X
T~ ˆ T~i …3:4:47†
i

The re¯ection and transmission ef®ciencies of a pure re¯ection grating are

given respectively by
Planar Diffraction Gratings 165
 
X 2
~ 2  ~ 
DER ˆ jRj ˆ  Ri  …3:4:48†
 i 

and

   X 2
30 ~ 2   
DET ˆ Re jTj ˆ Re 30  T~  …3:4:49†
10 10  i i 

The conservation of power for a lossless pure re¯ection grating dictates that

DER ‡ DET ˆ 1 …3:4:50†

Note that substituting 3.4.44 into 3.4.48,

X XX
DER ˆ jRi j2 ‡ Ri Rn exp‰j…i n†Š …3:4:51†
i i n;n6ˆi

Averaging DER w.r.t.  over a period of 2 yields

X
hDER i ˆ jRi j2 …3:4:52†
i

A similar operation on DET yields

 X

hDET i ˆ Re 30 jTi j2 …3:4:53†
10 i

Averaging 3.4.50 w.r.t.  over a period of 2 and using 3.4.52, 53 therefore

yields

X  X

hDER i ‡ hDET i ˆ jRi j ‡ Re 30
2
jTi j2 ˆ 1 …3:4:54†
i
10 i

It is interesting to note that Eq. 3.4.54 is identical to the conservation of

power relationship for a slanted grating in the limit  ! 0. We would like to
stress that the true power conservation relation for a pure re¯ection grating
with a ®xed  is given by the relations 3.4.48±50.
166 Chapter 3

3.4.2 Numerical Results

Slanted Gratings ( 6ˆ 0†
In Section 3.2 above, we have given an example of a pure transmission
grating … ˆ =2† [16, Fig. 1]. We now give an example of diffraction
from slanted gratings. Figs. 19 and 20 show the diffraction ef®ciencies as
a function of the grating strength parameter ˆ d= cos  0 (proportional to
grating thickness d) for  ˆ =3 and =6, respectively. Note that as 
increases, the grating behavior changes from a predominantly transmission
type to a predominantly re¯ection type. Also shown in the ®gures is com-
parison with Kogelnik's two-mode theory. The case  ˆ 0 (pure re¯ection
grating) has to be treated separately, and examples as given below.

Figure 19 The diffraction ef®ciencies of the transmitted waves for a  ˆ 60

slanted grating with p ˆ 2. The diffraction ef®ciencies of all re¯ected and transmitted
waves not shown in the ®gure are less than 0.01. Used with permission of OSA, 1981
[16, Fig. 3].
Planar Diffraction Gratings 167

Figure 20 The diffraction ef®ciencies for a  ˆ 30 grating with  ˆ 10. The dif-
fraction ef®ciencies of all re¯ected and transmitted waves not shown in the ®gure are
less than 0.01. Used with permission of OSA, 1981 [16, Fig. 4].

Pure Re¯ection Gratings ( ˆ 0)

Using RCWA we present examples of the re¯ection ef®ciencies of a pure
re¯ection grating at ®rst-Bragg (B ˆ 1) and second-Bragg incidence. The
data used in the calculations were as follows

1 ˆ 2 ˆ 3 ˆ 2:25
 ˆ 0:2;  ˆ 0:5 m

…3:4:55†
…z† ˆ 2 ‡
 cos‰…2z=† ‡ Š

In Figs. 21 and 22, the solid curves

P are the rigorously correct re¯ection
ef®ciencies of the PRG given by j i Ri j2 as a function of grating thickness,
for B ˆ 1 and B ˆ 2, respectively. In both ®gures, the modulation phase  is
168 Chapter 3
P
zero. The dashed curves in Figs. 20 and 21 were obtained by using i jRi j2
as in Ref 16.
P In the case of ®rst-Bragg incidence (Fig. 21), the curve P drawn using
j i Ri j2 (solid line) ripples around the curve drawn using i jRi j2 (dashed
curve). The ripple results from the fact that as the thickness of the grating
changes the interference between the re¯ected, diffracted orders alternates
from partially constructive to partially destructive interference. The effect of
interference between re¯ected orders is even more pronounced in the case of
second-Bragg incidence as shown in Fig. 22.
Figures
P 23 and 24 P show the deviations from the conservation of power
given by j i Ri j2 ‡ j i Ti j2 1 computed using the same data as was used
for Figs. 21 and 22. The deviations result from using a ®nite number of

Figure 21 Re¯ection ef®ciency of a PRG at a ®rst-Bragg incidence (solid line). The

re¯ection ef®ciency
P(dashed line) is calculated by summing the re¯ection diffraction
2
ef®ciency orders i jRi j . Used with permission of Optical Society of America
(OSA), 1983 [25, Fig. 2].
Planar Diffraction Gratings 169

Figure 22 Re¯ection ef®ciency of a PRG at second-Bragg incidence (solid line).

The re¯ection ef®ciency
P(dashed line) is calculated by summing the re¯ection diffrac-
tion ef®ciency orders i jRi j2 . Used with permission of Optical Society of America
(OSA), 1983 [25, Fig. 33].

diffraction orders in the numerical simulations. It is readily seen from Figs.

23 and 24 that the deviation decreases as the number of diffraction orders
retained in the calculations is increased. The reader should note that the
multipliers on the vertical scales decrease from top to bottom.
In Figs. 25±28 we show the effect of  on the re¯ection ef®ciency for
®rst and second Bragg incidence. Figures 25 and 26 show the re¯ection
ef®ciencies for  ˆ 90 and  ˆ 180 , respectively, for B ˆ 1, and Figs.
27 and 28 show the re¯ection ef®ciencies for  ˆ 90 and  ˆ 180 for
B ˆ 2. As can be seen from the ®gures, a perceptible difference exists
between the diffraction ef®ciencies for the case  ˆ 0 (dashed curves) and
nonzero .
170 Chapter 3

P P
Figure 23 Deviations from conservation of power …j i jRi j2 ‡ j i Ti j2 1†
obtained with the data of Fig. 21 when (top to bottom) 11, 17, and 23 diffraction
orders were used in the numerical calculations. Used with permission of Optical
Society of America (OSA), 1983 [25, Fig. 4].
Planar Diffraction Gratings 171

P P
Figure 24 Deviations from conservation of power … i jRi j2 ‡ j i Ti j2 1†
obtained with the data of Fig. 22 when (top to bottom) 11, 17, and 23 diffraction
orders were used in the numerical calculations. Used with permission of Optical
Society of America (OSA), 1983 [25, Fig. 5].
172 Chapter 3

Figure 25 Re¯ection ef®ciency of a PRG with modulation phase  ˆ 908 at a ®rst-

Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when  ˆ 08
(same as solid curve in Fig. 21). Used with permission of Optical Society of America
(OSA), 1983 [25, Fig. 6].

3.5 MULTILAYER ANALYSIS OF E-MODE DIFFRACTION

GRATINGS

Up to this point in this book we have mainly considered the diffraction

problem when the diffracting layer is a uniform, homogeneous layer in
the longitudinal direction. A very important problem that remains is
when the diffracting layer is not constant or homogeneous in the y-direction
but varies (is inhomogeneous) in the y-direction. All surface relief gratings
are examples of gratings that are inhomogeneous in the y-direction. Figure
29a shows an example of a symmetric blaze surface relief grating. As can be
seen from this ®gure, taking 2a ˆ 1 and 2b ˆ 2 , the surface of Region 3 is
cut or grooved with the triangular blazes. Any grating that has a longitu-
dinal variation in the bulk index or possesses a variation in its modulation is
Planar Diffraction Gratings 173

Figure 26 Re¯ection ef®ciency of a PRG with modulation phase  ˆ 1808 at a

®rst-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when  ˆ 08
(same as solid curve in Fig. 21). Used with permission of Optical Society of America
(OSA), 1983 [25, Fig. 7].

an example of a longitudinal inhomogeneous dielectric grating. An inter-

digitated electrode device that induces a nonuniform periodic index of
refraction change is a second example of a nonuniform nonhomogeneous
periodic grating [77±82].
The basic theory that will be used in this section to analyze longitud-
inally inhomogeneous gratings will be to divide the grating into a set of thin
layers (suf®ciently thin that very little longitudinal variation occurs inside
the grating thin layer), in each thin layer to ®nd the Fourier coef®cients that
correspond to each thin layer, to formulate a set of state variable equations
174 Chapter 3

Figure 27 Re¯ection ef®ciency of a PRG with modulation phase  ˆ 908 at

second-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when 
ˆ 08 (same as solid curve in Fig. 22). Used with permission of Optical Society of
America (OSA), 1983 [25, Fig. 8].

within the thin layer as has been done in earlier sections, and to boundary
match the state variable solutions at all thin layer interfaces and at all
regions exterior to the grating to ®nd an EM solution to the inhomogenous
grating problem. This procedure has been used by numerous researchers to
study longitudinally inhomogeneous diffraction gratings [18,19,21±23,
28,31,33,55,65] and other EM systems.
In observing Fig. 29a one also notices why the grating must be con-
sidered inhomogeneous in the y-direction. The dotted lines of Fig. 29a show
examples of the thin layers that can be used to analyze the grating. In
observing these dotted lines, for the example presented, one notices that if
the thin layer is chosen close to the incident side of the grating, little material
of Region 3 is included in the thin layer, and the Fourier series representing
that thin layer will nearly be that of Region 1. On the other hand, if the thin
layer is chosen close to the transmit side of the grating, then in this case most
Planar Diffraction Gratings 175

Figure 28 Re¯ection ef®ciency of a PRG with modulation phase  ˆ 1808 at

second-Bragg incidence (solid line). The re¯ection ef®ciency (dashed line) is when 
ˆ 08 (same as solid curve in Fig. 22). Used with permission of Optical Society of
America (OSA), 1983 [25, Fig. 9].

of the material in the thin layer is that of Region 3, and the Fourier series
representing this thin layer will nearly be that of Region 3. Clearly, from this
discussion and observing the thin layer in Fig. 29a one can see that the
Fourier series in the thin layer near the incident side are signi®cantly differ-
ent from those at the transmit side. Thus from this discussion, the RCWA
method must re¯ect the change in Fourier series coef®cients as one changes
the y position in the grating.
In the following sections we will carry out the multilayer analysis for
the E-mode case studied in Section 3.3. The analysis for the H-mode case is
similar to the E-mode case.
176 Chapter 3

Figure 29 Symmetric blaze grating with multilayers shown.

3.5.1 E-Mode Formulation

To begin the analysis of longitudinal inhomogeneous gratings we divide the
inhomogeneous region into N` regions as shown in Fig. 29b. If the P width of
the lth layer is S` , then the overall layer thickness is given by L ˆ N`ˆ1 S` .
`

Each layer is assigned a local coordinate system y` with its local origin as
shown in Fig. 28. The ®rst layer has the coordinate y1 and the last layer to
the right is yN . Enough layers N` are used so that the grating inhomogeneity
`
Planar Diffraction Gratings 177

is nearly constant in each layer. The periodic dielectric permittivity tensor

element in each layer is labeled ~ss 0 ` and is expanded the same way as in
Sections 3.2 and 3.3, namely as
X
1
~ss 0 ` ˆ 0 ss 0 i` ejiKx x …s; s 0 † ˆ …x; y; z† …3:5:1†
iˆ 1

where x; y and z are normalized space coordinates, Kx ˆ 2= is the nor-

malized magnitude of the grating vector,  is the grating wavelength, ss 0 i` is
the ith Fourier expansion coef®cient of ~ss 0 ` in the `th layer, and 0 is the
permittivity of free space. Using a local coordinate system is an important
feature of the analysis.
The ®rst step is to determine the full EM ®elds in the `th layer of the
grating. This analysis has been seen already in Section 3.2, since the grating
is assumed uniform in each layer. Thus the EM ®elds from Maxwell's equa-
!
tions in Region ` after truncation to order jij  MT are given by E ˆ Ez a^ z
(all regions)
( )
XMT XNT
qn` y
Uz` ˆ 0 Hz` ˆ Cn` Uzin` e ` e jkxi x …3:5:2†
iˆ MT nˆ1
( )
X
MT X
NT
Ex` ˆ Cn` Sxin` eqn` y` e jkxi x
…3:5:3†
iˆ MT nˆ1

In these equations kxi ˆ kx0 iKx , NT ˆ 2…2MT ‡ 1†, qn` and V` ˆ ‰Stx` ; Utz`
Št …Sx` ˆ ‰Sxi` Š, Uz` ˆ ‰Uzi` Š† are the eigenvalues and eigenvectors of the `th
region. The eigenvector Vn` …y† ˆ Vn eqn `y is assumed to satisfy the eigenvalue
equation

@Vn`
ˆ A` Vn` …3:5:4†
@y

where the matrix A` is given by Eq. 3.2.15 with the ss 0 i` of Eq. 3.5.1 used to
de®ne A` .
The EM ®elds in Regions 1 and 3 are the same as in the uniform case
and are given in Section 3.2. The analysis proceeds by matching the tangen-
tial electric ®eld (Ex in this case) and tangential magnetic ®eld (Hz in this
case) at every boundary interface. The Ex and Hz ®elds at Region 1: Layer
` ˆ 1 interface are
   
 
Ex…1†  ‡ ˆ Ex1 y ˆ0 Hz…1†  ‡ ˆ Hz1 y ˆ0 …3:5:5†
yˆ0 1 yˆ0 1
178 Chapter 3

Substituting we have
( ) 
X
MT
ky1i X
MT X
NT 
jkxi x qn1 y jkxi x 
…Eo io Ri †e ˆ Cn1 Sxin1 e 1 e 
iˆ M
1 iˆ MT nˆ1

T y ˆ0
1

…3:5:6a†
( ) 
1 X
MT
1 X
MT X
NT 
jkxi x 
…E  ‡ Ri †e jkxi x
ˆ Cn1 Uzin1 eqn1 y1 e 
0 iˆ M o io 0 iˆ M nˆ1

T T y ˆ0
1

3:5:6b†

At the Layer `: Layer ` ‡ 1 interface we have

   
Ex;` y ˆ S‡
ˆ Ex;`‡1 y ˆ0
Hz;` y ˆ S‡
ˆ Hz;`‡1 y ˆ0
…3:5:7†
` ` `‡1 ` ` `‡1

( ) 
X
MT X
NT 
qn` y jkxi x 
Cn` Sxin` e ` e 
iˆ MT nˆ1

y ˆ S‡
`
`
( ) 
X
MT X
NT 
qn;`‡1 y jkxi x 
ˆ Cn;`‡1 Sxin;`‡1 e `‡1 e  …3:5:8a†
iˆ MT nˆ1

y ˆ0
`‡1
( ) 
1 X
MT X
NT 
jkxi x 
Cn` Uzin` eqn` y` e 
0 iˆ M nˆ1

T y ˆ S`‡
`
( ) 
1 X
MT X
NT 
qn;`‡1 y jkxi x 
ˆ Cn;`‡1 Uzin;`‡1 e `‡1 e  …3:5:8b†
0 iˆ MT nˆ1

y ˆ0
`‡1

At the Layer N` Region 3 interface we ®nd

( ) 
X
MT X
NT 
jkxi x 
CnN` SxinN` exp…qnN` yN † e 
iˆ MT nˆ1
` 
y ˆ SN`
N`

X
MT
ky3i jkxi x
ˆ Te …3:5:9a†
iˆ M
3 i
T
Planar Diffraction Gratings 179
( ) 
1 X
MT X
NT 
jkxi x 
CnN` UzinN` exp…qnN` yN † e 
0 iˆ M nˆ1
` 
T y ˆ SN`
N`

1 X
MT
jkxi x
ˆ Te …3:5:9b†
0 iˆ M i
T

Each of the Fourier coef®cients of each exponential e jkxi x on the left and
right sides of the above equations must be equal in order that the equations
be all satis®ed. Equating Fourier coef®cients after evaluation of the y-depen-
dent terms we ®nd

ky1i X
NT
…Eo io Ri † ˆ Cn1 Sxin1 …3:5:10a†
1 nˆ1

X
NT
…Eo io ‡ Ri † ˆ Cn1 Uzin1 …3:5:10b†
nˆ1

X
NT X
NT
Cn` Sxin` exp… qn` S` † ˆ Cn;`‡1 Sxin;`‡1 ` ˆ 1; . . . ; N` ˆ 1
nˆ1 nˆ1
…3:5:11a†

X
NT X
NT
Cn` Uzin` exp… qn` S` † ˆ Cn;`‡1 Uzin;`‡1 ` ˆ 1; . . . ; N` 1
nˆ1 nˆ1
…3:5:11b†

X
NT
ky3i
Cn;N` SxinN` exp… qn;N` SN` † ˆ T …3:5:12a†
nˆ1
3 i

X
NT
Cn;N` UzinN` exp… qn;N` SN` † ˆ Ti …3:5:12b†
nˆ1

Each equation assumes a range of i values from i ˆ MT ; . . . ; MT .

NT ˆ 2…2MT ‡ 1†. The above equations can be simpli®ed. Equations
3.5.11a and 11b for ` ˆ 1; . . . ; N` 1 can be written, with
i ˆ MT ; . . . ; MT , as
180 Chapter 3
   
‰Sxin` Š qn` S` ‰Sxin;`‡1 Š
K` ˆ e K`‡1 ˆ …3:5:13†
‰Uzin` Š ‰Uzin;`‡1 Š

K1 C1 ˆ K‡
2 C2
K2 C2 ˆ K‡3 C3
..
.
KN` 1 CN` 1 ˆ K‡
N` CN` …3:5:14†

where C` ˆ ‰C‰ 1`; C2` ; . . . CNT ` Št , ` ˆ 1; . . . ; N` .

If we invert K` , ` ˆ 1; . . . ; N` 1 in each of the above equations, we have

C1 ˆ …K1 † 1 …K‡
2 †C2

C2 ˆ …K2 † 1 …K‡
3 †C3
..
. …3:5:15†
CN` 2 ˆ …KN` 2 † 1 …K‡
N` †CN` 1
1
CN` 1 ˆ …KN` 1 † …K‡
N` †CN`

Substituting we ®nd that

  
C1 ˆ …K1 † 1 …K‡
2† …K2 † 1 …K‡ 1 ‡
3 †


…KN` 1 † …KN` † CN` …3:5:16†

Letting the cascaded matrix be MNT NT , we have

C1 ˆ M CN` …3:5:17†
We can simplify Eq. 3.5.10a by solving for Ri in Eq. 3.5.10b and substituting
in Eq. 3.5.10a. We can also substitute Ti from Eq. 3.5.12b into Eq. 3.5.12a.
Doing both operations we ®nd that
!
ky1i X
NT X
NT
Eo io ‡ Eo io Cn1 Uzin1 ˆ Cn1 Sxin1
1 nˆ1 nˆ1
X
NT  
2Eo ky1i ky1i
Vi ˆ io ˆ Cn1 Uzin1 ‡ Sxin1
1 nˆ1
1
XN  
T
ky3i
0ˆ CnN` exp… qn;N` SN` † UzinN` ‡ SxinN`
nˆ1
3
…3:5:18†
Planar Diffraction Gratings 181
p
We also have ky10 ˆ n1 cos 1 so that, n1 ˆ 1 1 ,

ky10 n1 cos 1 cos 1

ˆ ˆ …3:5:19†
1 n21 n1

so that

2Eo cos 1
Vi ˆ i;o …3:5:20†
n1

Letting
 
…1† ky1i
R ˆ Uzin1 ‡ Sxin1
1 …NT =2†NT

I ˆ ‰ii 0 ŠNT NT 0 ˆ ‰0ŠNT =2NT

  
…N` † ky3i
R ˆ exp… qnN` SN` † U ‡ SxinN`
3 zinN` …NT =2†NT

iˆ MT ; . . . ; 0; MT
n ˆ 1; . . . ; NT
V ˆ ‰Vi i;o Š iˆ MT ; . . . ; 0; . . . ; MT
2 3
V
6 7 " #
607 C1
6 7
Vext ˆ 6 7 Cˆ …3:5:21†
607 CN`
4 5 2NT

0 2NT
2 3
R…1† 0
6 7
Aˆ6
4 M I 7
5 …3:5:22†
0 R…N` † 2NT 2NT

We ®nd the ®nal matrix equation from which C1 and CN` can be found. It is
given by

Vext ˆ A C …3:5:23†

where Ct ˆ ‰Ct1 ; CtN` ] and t refers to the matrix transpose. Inversion of this
equation gives C1 and CN` . Power may be analyzed in the same way as in the
182 Chapter 3

single layer E-mode case. The analysis of the H-mode multilayer case is very
similar to that of the E-mode case. The analysis of the H-mode multilayer
case is very similar to that of the E-mode case.

3.5.3 Numerical Results

This section will present some numerical examples of H-mode and E-mode
diffraction ef®ciency as results from the multilayer analysis described in this
section. Figure 30 shows transmitted and re¯ected diffraction ef®ciencies of
a sinusoidal surface relief grating when an H-mode polarized plane wave is
incident on the grating. The layer thickness is taken to be L ˆ k0 L~
and extend from the peak to trough of the grating. In this example
2a ˆ 1 ˆ 1, 2b ˆ 3 ˆ 2:5,  ~ ˆ , N` ˆ 5, and  ˆ 30 . In this example
the full ®eld formulations of Section 3.2 were used to calculate the EM ®elds
of the diffraction grating system. As can be seen from the plots of Fig. 30,
diffraction power is mainly transferred from the zero-order diffracted power
into the ®rst-order with a small amount of diffracted power being re¯ected
and transferred into higher order modes. This example has been analyzed by
Moharam and Gaylord [19, Fig. 4, p. 1388] using the multilayer RCWA
method to determine the EM ®elds of the system. In comparing their ®gure

Figure 30 The transmitted and re¯ected diffraction ef®ciencies of a sinusoidal

surface relief grating when an H-mode polarized plane wave is incident on the grat-
ing.
Planar Diffraction Gratings 183

to the one we present here, almost identical results cam from the two for-
mulations. In Fig. 30 we mention that conservation of the real power was
observed to a high degree of accuracy.
Figure 31 shows transmitted (i ˆ 1; 0; 1; 2† and re¯ected (i ˆ 0; 1)
diffraction ef®ciencies of a sinusoidal surface relief grating when an E-
mode polarized plane wave is incident on the grating rather an H-mode
polarization. The layer thickness is taken to be L ˆ k0 L~ and extend from
peak to trough of the grating as in the previous ®gure. In this example
2a ˆ 1 ˆ 1, 2b ˆ 3 ˆ 4,  ~ ˆ , N` ˆ 5, and  ˆ 30 . In this example
the full ®eld formulation of Section 3.3 was used to calculate the EM ®elds
of the diffraction grating system in each thin layer. As can be seen from the
plots of Fig. 31, diffraction power is mainly transferred from the zero-order
diffracted power to the ®rst-order with a small amount of diffracted power
being re¯ected and transferred into higher order modes. This example has
been analyzed by Yamakita et al. [55, Fig. 6, p. 156] who used a multilayer
coupled mode method to determine the EM ®eld of the system. In compar-
ing their ®gure to the present one, almost identical results came from the two
formulations. In this paper [55] the numerical value of the diffraction orders
was opposite of that used in Ref. 19 and that used in this section. (That is,

Figure 31 The transmitted …i ˆ 1; 0; 1; 2† and re¯ected …i ˆ 0; 1† diffraction ef®-

ciencies of a sinusoidal surface relief grating when an E-mode polarized plane wave is
incident on the grating rather than an H-mode polarization is shown.
184 Chapter 3

Yamakita's i ˆ 1 order is the same as the i ˆ 1 order in this section.) In

Fig. 31 we mention that conservation of the real power was observed to a
high degree of accuracy.
Figure 32 shows transmitted and re¯ected diffraction ef®ciencies of a
symmetric blaze surface relief grating when an H-mode polarized plane
wave is incident on the grating. The layer thickness is taken to be
L ˆ k0 L~ and extend from peak to trough of the grating. In this example
2a ˆ 1 ˆ 1, 2b ˆ 3 ˆ 2:5, ~ ˆ , N` ˆ 5, and  ˆ 30 . In this example the
full ®eld formulation of Sections 3.2 and 3.5.2 was used to calculate the EM
®elds of the diffraction grating system. As can be seen from the plots of Fig.
32, diffraction power is mainly transferred from the zero-order diffracted
power into the ®rst-order with a small amount of diffracted power being
re¯ected and transferred into higher order modes. This example has been
analyzed by Moharam and Gaylord [19, Fig. 6, p. 1389], who used the same
multilayer wave equation RCWA method as was used for Fig. 30 to deter-
mine the EM ®elds of the system. In comparing their ®gure to the present
one, almost identical results came from the two formulations. In Fig. 32 we
mention that conservation of the real power was observed to a high degree

Figure 32 The transmitted and re¯ected diffraction ef®ciencies of a symmetric

blaze surface relief grating when an H-mode polarized plane wave is incident on
the grating.
Planar Diffraction Gratings 185

of accuracy. We mention that the blaze represents a dif®cult scattering case

because of the presence of the sharp discontinuities caused by the blaze.

3.6 CROSSED DIFFRACTION GRATINGS

3.6.1 Crossed-Diffraction Grating Formulation
In this section we are interested in studying diffraction from a crossed two-
dimensional grating using RCWA based on Floquet theory and state vari-
able analysis. Figure 33 shows, as an example, the geometry of a two-dimen-
sional crossed pyramidal grating (front and side view). We are interested in
the case when a plane wave of oblique incidence and general polarization is
incident on a crossed diffraction grating or a grating that is periodic in two

Figure 33 The geometry of a two-dimensional crossed pyramidal grating: (a) front

view; (b) side view.
186 Chapter 3

independent directions. We assume that the permittivity of the grating is

described by an anisotropic dielectric permittivity tensor and that the per-
meability of the grating is that of homogeneous space, and that the permit-
tivity tensor elements pq , …p; q† ˆ …x; y; z† can be expressed as a sum of
Floquet harmonics as

X
1 X
1
~pq ˆ 0 pq;ii exp…j…iKx x ‡ iKz z†† …3:6:1†
iˆ1 iˆ 1

where Kx ˆ 2=x , Kz ˆ 2=z , x and z are normalized, and x and z are

normalized grating periods given by x ˆ ko  ~ x , z ˆ k o 
~ z.
To start the analysis we expand the electric ®elds in Region 2 in a set of
Floquet and space harmonics as

!…2† X !
E ˆ S i;i …y† exp… jkxi x jkzi z† …3:6:2†
i;i

where

kxi ˆ kx0 iKx iˆ MT ; . . . ; 0; . . . ; MT

…3:6:3†
kzi ˆ kz0 iKz iˆ MT ; . . . ; 0; . . . ; MT

where

kx0 ˆ n1 sin  sin 

…3:6:4†
kz0 ˆ n1 sin  cos 

p
where k~xo ˆ ko kxo , k~zo ˆ ko kzo , n1 ˆ 1 1 , and ,  are the incident angles
of the incoming plane wave. The quantity n1 is the index of refraction of
!…2†
Region 1. The magnetic ®eld H in Region 2 can also be expanded in
Floquet harmonics, and it is given by

!
!…2† U 1 X!
H ˆ ˆ U i;i …y† exp… jkxi x jkzi z† …3:6:5†
o o i;i

p !…2† !…2†

where 0 ˆ ~ 0 =~0 . If E and H are substituted in Maxwell's equations
we ®nd that
Planar Diffraction Gratings 187

! !
r S ˆ jU …3:6:5a†
! !
r  U ˆ j
S …3:6:5b†

where the curl r is expressed in normalized coordinates and

! !
r  F ˆ ko r~  F , where r is the curl in unnormalized coordinates. If
! ! !
we let F i;i represent either S i;i e j i;i or U i;i e j i;i , where i;i ˆ kxi x ‡ kzi z,
we ®nd that

  
! @Fzii
r  F ii ˆ a^ x ‡ jkzi Fyii
@y
h i
‡a^ y jkzi Fxii ‡ jkxi Fzii …3:6:6†
 
@Fxii j
‡a^ z jkxi Fyii e i;i
@y

Further, if we let f represent any of the dyadic components xx , xy ; . . ., with
fi;i representing the Fourier amplitudes, and let F represent Sx , Sy , Sz , Ux ,
Uy , Uz , we ®nd that

2 3
X
1 X
1 X
1 X
1
fFˆ 4 …fi i 0 ;i i 0 Fi 0 ;i 0 †
5 exp… jkxi x jkzi z† …3:6:7†
iˆ1 iˆ 1 i 0 ˆ1 i 0 ˆ 1

The two-dimensional discrete convolution form of Eq. 3.6.7 is derived by

the same manipulations as were used for the one-dimensional diffraction
! !
grating studied in Section 3.2. When the Floquet expansions of S , U , and 
are substituted in Maxwell's equations and common modal amplitudes of
exp… jkxi x jkzi z† are equated, the following set of coupled equations is
found:

@Szii
‡ jkzi Syii ˆ jUxi;i …3:6:8a†
@y
jkzi Sxii ‡ jkxi Szii ˆ jUyii …3:6:8b†
@Sxii
jkxi Syii ˆ jUzii …3:6:8c†
@y
188 Chapter 3

@Uzii X
‡ jkzi Uyii ˆ j
@y i;i 0
h i
xx;i i 0 ;i i0 Sxi 0 i 0 ‡ xx;i i 0 ;i i0 Syi 0 i 0 ‡ xz;i i 0 ;i i0 Szi 0 i 0
…3:6:8d†

X
jkzi Uxii ‡ jkxi Uzii ˆ j
i 0 ;i 0
h i
yx;i i 0 ;i i 0 Sxi 0 i 0 ‡ yy;i i 0 ;i i 0 Syi 0 i 0 ‡ yz;i i 0 ;i i 0 Szi 0 i 0

…3:6:8e†

@Uzii X
jkxi Uyii ˆj
@y i 0 ;i 0
h i
zx;i i 0 ;i i0 Sxi 0 i 0 ‡ zy;i i 0 ;i i0 Syi 0 i 0 ‡ zz;i i 0 ;i i0 Szi 0 i 0
…3:6:8f†

To make further progress we eliminate the longitudinal electric and

magnetic ®eld Floquet harmonic amplitudes Syii and Uyii , which occur in
Eqs. 3.6.8a±f, by expressing these amplitudes in terms of the tangential ®eld
components Sxii , Szii , Uxii , and Uzii . To do this it is necessary to express Eqs.
3.6.8a±f in matrix form. We now de®ne the column matrices Sq , Uq …q ˆ
x; y; z† de®ned by Sq ˆ ‰Sqii Š and Uq ˆ ‰Uqii Š. Each of ordered pair …i; i†
de®nes a position in the column matrix. We also de®ne the square diagonal
matrices Kx and Kz , where these matrices represent the multipliers kxi and
kzi , respectively. These square matrices are de®ned by

Kx ˆ ‰kxi ii;i 0 i 0 Š …3:6:9†

and

Kz ˆ ‰kzi ii;i 0 i 0 Š ……ii†; …i 0 i 0 †† ˆ …… MT ; MT †; . . . ; …0; 0†; . . . …MT ; MT ††

…3:6:10†

We also de®ne the square matrices pq ,…p; q† ˆ …x; y; z†:

pq ˆ ‰pq…i;i†;…i 0 ;i 0 † Š ˆ ‰pqi i 0 ;i i 0 Š …3:6:11†

Planar Diffraction Gratings 189

where pqii;i 0 i 0 is the …ii†; …i 0 i 0 † matrix element of matrix pq and pqi i 0 ;i i 0 is
the Floquet harmonic, which de®nes pqii;i 0 i 0 .
With these matrix de®nitions it is possible to express Eqs. 3.6.8a±f in
matrix form. Doing so we ®nd that Eqs. 3.6.8a±f satisfy

@Sz
‡ jKz Sy ˆ jUx …3:6:12a†
@y

Kz Sx ‡ Kx Sz ˆ Uy …3:6:12b†

@Sz
jKx Sy ˆ jUz …3:6:12c†
@y

@Uz  
‡ jKz Uy ˆ j xx Sx ‡ xy Sy ‡ xz Sz …3:6:12d†
@y
 
jKz Ux ‡ jKx Uz ˆ j yx Sx ‡ yy Sy ‡ yz Sz …3:6:12e†

@Ux  
jKx Uy ˆ j zx Sx ‡ zy Sy ‡ zz Sz …3:6:12f†
@y

We may express Sy in terms of the tangential mode amplitudes Sx , Sz ,

Ux , and Uz if we express yy Sy in terms of Sx , Sz , Ux , and Uz and then
multiply the resulting equation by yy1 . Doing so we ®nd that the longitu-
dinal modal amplitude Sy and Uy are given by

Sy ˆ yy1 Kz Ux ‡ yy1 Kx Uz yy1 yx Sx yy1 yz Sz …3:6:13a†

Uy ˆ Kz Sx Kx Sz …3:6:13b†

If we substitute Sy and Uy into Eqs. 3.6.13a and perform algebra we ®nd

that

2 3 2 32 3
Sx A11 A12 A13 A14 Sx
6 7 6 7 6 7
@ 6 7 6
6 Sz 7 6 A21 A22 A23 A24 7
7
6 Sz 7
6 7
6 7ˆ6 7 6 7 …3:6:14†
@y 6 Ux 7 6 A31 A32 A33 A34 7 6 Ux 7
4 5 4 5 4 5
Uz A41 A42 A43 A44 Uz
190 Chapter 3

where

A11 ˆ jKx yy1 yx

A12 ˆ jKx yy1 yz
A13 ˆ jKx yy1 Kz
A14 ˆ j‰I Kx yy1 Kx Š

A21 ˆ j‰Kz yy1 yx Š

A22 ˆ j‰Kz yy1 yz Š

A23 ˆ j‰Kz yy1 Kz IŠ

A24 ˆ j‰ Kz yy1 Kx Š

A31 ˆ j‰ Kx Kz zx ‡ zy yy1 yx Š

A32 ˆ j‰K2x ‡ zy yy1 yz zz Š

A33 ˆ j‰zy yy1 Kz Š

A34 ˆ j‰ zy yy1 Kx Š

A41 ˆ j‰ K2z ‡ xx xy yy1 yx Š

A42 ˆ j‰Kx Kz xy yy1 yz ‡ xz Š

…3:6:15†
A43 ˆ j‰ xy yy1 Kz Š

A44 ˆ j‰xy yy1 Kx Š

where I is the identity matrix. If we introduce the column matrix (t is the

matrix transpose)

V ˆ ‰Stx ; Stz ; Utx ; Utz Št …3:6:16†

and the square matrix

A ˆ ‰Ars Š …r; s† ˆ …1; 2; 3; 4† …3:6:17†

Planar Diffraction Gratings 191

we can express Eq. 3.6.14 as

@V
ˆ AV …3:6:18†
@y

The solution of this equation by the state variable method, as has been
discussed previously, is given by

X
NT
Vn …y† ˆ Vn eqn y …3:6:20†
nˆ1

where

AVn ˆ qn Vn …3:6:21†

The quantities Vn and qn are the eigenvectors and eigenvalues of the matrix
A and have dimension NT ˆ 4…2MT ‡ 1†…2MT ‡ 1†. The electromagnetic
®elds in Region 2 are given by
!
X X
NT
Eq…2† …x; y; z† ˆ Cn Sqiin e qn y
exp‰ j…kxi x ‡ kzi z†Š
ii nˆ1

and
!
1X X
NT
Hq…2† …x; y; z† ˆ C U e qn y
e j…kxi x‡kzi z†
q ˆ …x; y; z†
o i;i nˆ1 n qiin
…3:6:22†

where Sxiin , Ssiin , Uxiin , and Uxiin are eigenvectors obtained from the eigen-
vector Vn . The quantities Syiin and Uyiin are obtained from Eqs. 3.6.13a,b,
using the known eigenvectors Sxiin , Sziin , Uxiin , and Uziin .
Now that the EM ®elds have been determined in Region 2, the next
step is to determine the EM ®elds in Region 1 (incident side) and Region 3
(transmit side) of the grating. The ®elds in Region 1 consist of an obliquely
incident plane wave and consist of an in®nite number of Floquet harmonic
re¯ected waves. Using the coordinates shown in Fig. 32, and assuming that
the incident plane wave has polarization ( and  are the incident angles of
the incoming wave),
192 Chapter 3

!I  I 
E ˆ E a^  ‡ EI a^  exp… jkxi x ‡ jky1ii y jkzi z† iˆiˆ0
…3:6:23†

where
(
‰1 k2xi k2zi Š1=2 k2xi ‡ k2zi  1
ky1ii ˆ …3:6:24†
j‰k2xi ‡ k2zi 1 Š1=2 k2xi ‡ k2zi > 1

and noting that

a^  ˆ sin a^ z ‡ cos a^ x …3:6:25a†

a^  ˆ cos  cos a^z ‡ cos  sin a^ x sin a^y …3:6:25b†

I
and letting ii ˆ kxi x kyii y ‡ kzi z, and substituting a^  and a^  , we ®nd that

!I    
E ˆ cos EI ‡ cos  sin EI a^x ‡ sin EI a^y
 
‡ sin EI ‡ cos  cos EI a^ z exp… j I00 † …3:6:26a†
!I Xh I I I
i
E ˆ Exii a^ x ‡ Eyii a^ y ‡ Ezii a^ z exp… j Iii †ii;00 …3:6:26b†
i;i

where ii;00  i;0 io and ; is the Kronecker delta. The incident magnetic
®eld can be determined from the second Maxwell curl equation. We have

!I 1 !I
H ˆ r E …3:6:27a†
j0
!I 1 nh I I
i h
I I
i
H ˆ kylii Ezi;i kzi Eyii a^ x ‡ kzi Exii kxi Ezii a^ y
0
h i o
I I
‡ kxi Eyii ‡ ky1ii Exi;i a^ z exp… j Iii †ii;00 …3:6:27b†

!I Xh I I I
i
I
H ˆ Hxii a^ x ‡ Hyii a^ y ‡ Hzii a^ z exp… j ii †ii;00 …3:6:27c†
i;i

The re¯ected EM ®eld consists of an in®nite number of propagating

Floquet harmonics, and evanescent backward traveling plane waves. The
re¯ected EM electric ®eld is given by
Planar Diffraction Gratings 193

!R X !R R
E ˆ E i;i exp… j ii † …3:6:28a†
i;i

!R X !R R
H ˆ H ii exp… j ii † …3:6:28b†
i;i

where

!R h i
E ii ˆ Rxii a^ x ‡ Ryii a^ y ‡ Rzii a^ z …3:6:28c†
R
ii ˆ kxi x ‡ ky1ii y ‡ kzi z …3:6:28d†

Notice that, in Eq. 3.6.24 for the case that ky1ii is evanescent, e j… jjky1ii jy†ˆ
e jky1ii jy ! 0 as y ! 0. We thus see that for the evanescent plane wave
wavenumber

h i1=2  
ky1ii ˆ j k2xi ‡ k2zi 1 ; k2xi ‡ k2zi > 1 …3:6:29†

the minus is the correct root. This is the one used in Eq. 3.6.24. The re¯ected
magnetic ®eld in Region 1 is given by

!R h R R R
i
H ii ˆ Hxii a^ x ‡ Hyii a^ y ‡ Hzii a^ z

1 nh i
ˆ ky1ii Rzii kzi Ryii a^x
0 …3:6:30†
h i
‡ kzi Rxii kxi Rzii a^ y
h i o
‡ kxi Ryii ky1ii Rxii a^ z

!I !R
In Eq. 3.6.26 for E and Eq. 3.6.28a for E the longitudinal y-electric ®eld
component Ey can be expressed in terms of the tangential electric ®elds Ex
and Ez . Using the electric ¯ux density equation in Region 1,

! ! ! !
r
D ˆ r
1 E ˆ 1 r
E ˆ 0 r
E ˆ0 …3:6:31†

! !I !R
where E represents either E or E . Using this equation we have
194 Chapter 3
" #
!I X !I j I
r
E ˆr
E ii e ii
ii;00 ˆ 0 …3:6:32a†
ii

I I
jkx0 Ex00 ‡ jky100 Ey00 jkz0 Ez00 ˆ 0 …3:6:32b†
kx0 I k
I
Ey00 ˆ Ex00 ‡ z0 Ez00
I
…3:6:32c†
ky100 ky100
!R
and for E
" #
!R X j R
r
E ˆ0ˆr
Rii e ii
…3:6:33a†
ii

jkxi Rxii jky1ii Ryii jkzi Rzii ˆ 0 …3:6:33b†

kxi kzi
Ryii ˆ R R …3:6:33c†
ky1ii xii ky1ii zii
!I !R
We thus see that E and E are known once they can be expressed entirely
I I
in terms of the known coef®cients of Ex00 , Ez00 , Rxii , and Rzii .
!I !R
The incident and re¯ected magnetic ®elds H and H can be
!I !R
expressed in terms of the tangential E and E ®elds. After substitution
I I I
of Ex00 , Ey00 , Ez00 in Eq. 3.6.27b, we ®nd that the tangential incident mag-
I I
netic ®eld amplitudes Hx00 and Hz00 are given by

I 1 I I I I

Hx00 ˆ Yxx00 Ex00 ‡ Yxz00 Ez00 …3:6:34a†
0
I 1 I I I I

Hz00 ˆ Yzx00 Ex00 ‡ Yzz00 Ez00 …3:6:34b†
0

where

I kz0 kx0
Yxx00 ˆ
ky100
I k2z0
Yxz00 ˆ ky100
ky100
…3:6:35†
k2
I
Yzx00 ˆ ky100 ‡ x0
ky100
k k
I
Yzz00 ˆ x0 z0
ky100
Planar Diffraction Gratings 195

I
The quantities Ypq00 , …p; q† ˆ …x; z† may be considered the normalized
surface admittances of the system. They are analogous to the surface aper-
ture admittances used in k-space theory to analyze radiation from inhomo-
geneously cover surface aperture antennas [Chapter 2, this book, [1], Rhodes
and Galejs[7]]. The tangential magnetic ®eld re¯ected modal amplitudes can
also be expressed in terms of the tangential re¯ected electric ®eld modal
amplitudes Rxii and Rzii using Eq. 3.6.30. We have

R 1h R R
i
Hxii ˆ Yxxii Rxii ‡ Yxzii Rzii …3:6:36a†
0
R 1h R R
i
Hzii ˆ Yzxii Rxii ‡ Yzzii Rzii …3:6:36b†
0
R kzi kxi
Yxxii ˆ
kylii

R k2zi
Yxzii ˆ kylii ‡
ky1ii
R k2xi
Yzxii ˆ ky1ii
ky1ii
R kxi kzi
Yzzii ˆ …3:6:37†
ky1ii

Overall the EM ®elds in Region 1 are given by

 
!…1† X !I j Iii !R j R
E ˆ E ii e ii;00 ‡ E ii e ii …3:6:38a†
i;i
 
!…1† X !I j I !R j R
H ˆ H ii e ii
i;i;00 ‡ H ii e ii
…3:6:38b†
i;i

The analysis for the EM ®elds in Region 3 on the transmit side is very
similar to the analysis made in Region 1. In Region 3 the electric and
magnetic ®elds consist of an in®nite number of Floquet harmonic diffracted
plane waves. The electric ®eld in Region 3 is given by

!…3† !T Xh i
j T
E  E ˆ Txii a^ x ‡ Tyii a^ y ‡ Tzii a^ z e ii
…3:6:39†
ii

where
T
ii ˆ kxi x ky3ii …y ‡ L† ‡ kzi z …3:6:40†
196 Chapter 3

where
8h i1=2
>
< 3 k2xi k2zi k2xi ‡ k2zi  3
ky3ii ˆ h i1=2 …3:6:41†
>
: j k2 ‡ k2 
xi zi 3 k2xi ‡ k2zi > 3

Note that when the plane wave is evanescent …k2xi ‡ k2zi > 3 †, the exponent in
3.6.39 tends to zero as y ! 1. Note that in 3.6.40, Tii has been chosen so
that Tiijyˆ L ˆ kxi x ‡ kzi z, which simpli®es boundary matching. Using the fact
that
"  #
!T !T X !T j T
0 ˆ r
D ˆ 3 r
E ˆ 3 r
E ii e ii
…3:6:42†
ii

and differentiating Eq. 3.6.42, we ®nd that

0ˆ jkxi Txii ‡ jky3ii Tyii jkzi Tzii …3:6:43†

kxi kzi
Tyii ˆ T ‡ T …3:6:44†
ky3ii xii ky3ii zii

The magnetic ®eld in Region 3 can be found from Maxwell's ®rst curl
equation. We have
"
!…3† !…T† Xh i
j T
T T T
H H ˆ Hxii a^ x ‡ Hyii a^ y ‡ Hzii a^ z e ii
…3:6:45†
ii

!…3† 1 Xnh i
H ˆ ky3ii Tzii kzi Tyii a^ x
0 ii
h i
‡ kzi Txii kxi Tzii a^y
h i o
j T
‡ kxi Tyii ‡ ky3ii Txii a^ z e ii …3:6:46†

Using Eq. 3.6.44, Tyii can be expressed in terms of Txii and Tzii . Thus it is
possible to express all the magnetic ®eld components in terms of Txii and
T T
Tzii . The tangential magnetic ®eld modal amplitudes Hxii and Hzii are given
by
Planar Diffraction Gratings 197

T 1h T T
i
Hxii ˆ Yxxii Txii ‡ Yxzii Tzii
0
…3:6:47†
T 1h T T
i
Hzii ˆ Yzxii Txii ‡ Yzzii Tzii
0

where

T kzi kxi
Yxxii ˆ
ky3ii

T k2zi
Yxzii ˆ ky3ii
ky3ii
…3:6:48†
T k2xi
Yzxii ˆ ‡ ky3ii
ky3ii
T kxi kzi
Yzzii ˆ
ky3ii

The next step in the analysis is to match the EM ®eld solutions at the y ˆ 0
and y ˆ L interfaces and determine all the unknown constants of the
system.
Now that the EM ®elds have been de®ned in Regions 1, 2, and 3, the
next step in the analysis is to match the tangential electric and magnetic
®elds at boundary plane y ˆ 0 and y ˆ L. At y ˆ 0 we have

 
…1†  …2† 
Ex;z  ˆ Ex;z 
yˆ0‡ yˆ0
  …3:6:49†
…1†  …2† 
Hx;z  ˆ Hx;z 
yˆ0‡ yˆ0

Substituting the previous equations for the EM ®elds and evaluating at

y ˆ 0, we have

" #
Xh I
i
jkxi x jkzi z
X XNT
jkxi x jkzi z
Exii ii;00 ‡ Rxii e ˆ Cn Sxiin e
i;i i;i nˆ1
" #
Xh I i
jkxi x jkzi z
X XNT
jkxi x jkzi z
Ezii ii;00 ‡ Rzii e ˆ Cn Sziin e
i;i ii nˆ1
198 Chapter 3

1 Xh I I I I

Yxxii Exii ‡ Yxzii Ezii ii;oo
o ii
" #
 i 1X X
NT
R R jkxi x jkzi z jkxi x jkzi z
‡ Yxxii Rxii ‡ Yxzii Rzii e ˆ C U e
o ii nˆ1 n xiin
1 Xh I I I I

Yzxii Exii ‡ Yzzii Ezii ii;oo
o ii
" #
 i 1X X
NT
R R jkxi x jkzi z jkxi x jkzi z
‡ Yzxii Rxii ‡ Yxzii Rzii e ˆ C U e
o ii nˆ1 n ziin
…3:6:50†

At the y ˆ L interface we have

 
…3†  …2† 
Ex;z  ˆ Ex;z 
yˆ L yˆ L‡
 
…3†  …2† 
Hx;z  ˆ Hx;z 
yˆ L yˆ L‡

" #
X X XNT
jkxi x jkzi z qn L jkxi x jkzi z
Txii e ˆ Cn Sxiin e e
ii ii nˆ1
" #
X X XNT
jkxi x jkzi z qn L jkxi x kzi z
Tzii e ˆ Cn Sziin e e
ii ii nˆ1
" #
1 Xh T i 1X X
NT
T jkxi x jkzi z qn L
Yxxii Txii ‡ Yxzii Tzii e ˆ C U e e jkxi x jkzi z
o ii o ii nˆ1 n xiin
" #
1 Xh T i 1X X
NT
T jkxi x jkzi z
Yzxii Txii ‡ Yzzii Tzii e ˆ C U e jkxi x jkzi z
o ii o ii nˆ1 n ziin
…3:6:51†

Equating modal coef®cients we obtain the following set of equations:

X
NT
I
Exii ii;oo ‡ Rxii ˆ Cn Sxiin …3:6:52†
nˆ1
Planar Diffraction Gratings 199

I
X
NT
Ezii ii;oo ‡ Rzii ˆ Cn Sziin …3:6:53†
nˆ1

    XNT
I I I I R R
Yxxii Exii ‡ Yxzii Ezii ii;oo ‡ Yxxii Rxii ‡ Yxzii Rzii ˆ Cn Uxiin …3:6:54†
nˆ1

    XNT
I I I I R R
Yzxii Exii ‡ Yzzii Ezii ii;oo ‡ Yzxii Rxii ‡ Yzzii Rzii ˆ Cn Uziin …3:6:55†
nˆ1

We can eliminate Rxii and Rzii and determine equations for Cn alone. We
have
" #
  X
NT
I I I I R I
Yxxii Exii ‡Yxzii Ezii ii;oo ‡ Yxxii Exii ii;oo ‡ Cn Sxiin
nˆ1
" # …3:6:56†
R I
X
NT X
NT
‡ Yxzii Ezii ii;oo ‡ Cn Sziin ˆ Cn Uxiin
nˆ1 nˆ1

Collecting common terms, we have

h i
I R I I R I
…Yxxii Yxxii †Exii ‡ …Yxzii Yxzii †Ezii ii;oo ˆ

X
NT h i …3:6:57†
R R
Cn Yxxii Sxiin Yxzii Sziin ‡ Uxiin
nˆ1

A similar analysis for the Hz , y ˆ 0 equation shows that

h i
I R I I R I
…Yzxii Yzxii †Exii ‡ …Yxzii Yxzii †Ezii ii;oo ˆ

X
NT h i …3:6:58†
R R
Cn Yzxii Sxiin Yzzii Sziin ‡ Uziin
nˆ1

If the modal coef®cients of the Hx and Hz , y ˆ L, equations are computed,

we ®nd that
200 Chapter 3

X
NT
qn L
Txii ˆ Cn Sxiin e
nˆ1

X
NT
qn L
Tzii ˆ Cn Sziin e
nˆ1

X
NT
T T qn L
Yxxii Txii ‡ Yxzii Tzii ˆ Cn Uxiin e …3:6:59a†
nˆ1

T T
X
NT
qn L
Yzxii Txii ‡ Yzzii Tzii ˆ Cn Uziin e …3:6:59b†
nˆ1

If we substitute Txiin and Tziin into Eqs. 3.3.59a,b, we ®nd that

X
NT n o
qn L T T
0ˆ Cn e Yxxii Sxiin Yxzii Sziin ‡ Uxiin …3:6:60a†
nˆ1

X
NT n o
qn L T T
0ˆ Cn e Yzxii Sxiin Yzzii Sziin ‡ Uziin …3:6:60b†
nˆ1

Equations 3.6.60a,b form a set of NT  NT equations from which all the

modal coef®cients can be determined.
Another important quantity that needs to be studied is the power
incident on the cross-grating and the power re¯ected, diffracted, and trans-
mitted from the grating. The power incident on the grating over one grating
cell in the … a^y † direction is given by

PIR ˆ 12 Re…PIc † …3:6:61†

where PIc is given by

… ~ x … ~ z =2 
2 !I !I
PIc ˆ ~x
E  H
… a^ y d xd
~ z†
~ …3:3:62†
 ~ z =2

2

or after being put in normalized form and carrying out the a^ y dot product,
… z =2 … x =2 h i
1 I
PIc ˆ I
Ez00 I
Hx00 I
‡ Ex00 Hz00 dx dy …3:6:63†
k2o z =2 x =2
Planar Diffraction Gratings 201

The quantity in square brackets is a constant. After integrating Eq. 3.6.63

I
and substituting the incident modal admittances Yxx00 ; . . ., it is found that
I
Pc is given by

x z n I h I I I I
i h 
I I I
io
PIc ˆ Ez00 Yxx00 Ex00 ‡ Y xz00 Ez00
I
Ex00 I
Yzx00 Ex00 ‡ Yzz00 Ez00
k20 0
…3:6:64†
I I
The quantities Ex00 and Ez00 are given in terms of the incident angles and
polarizations by Eq. 3.6.26a.
The re¯ected power from the crossed grating is given by

PR ˆ 12 Re…PR
c † …3:6:65†

where

… ~ z =2 … ~ x =2 
1 !R !R
PR
c ˆ 2 E  H
…a^ y dx dz† …3:6:66†
ko z =2 x =2
… z =2 … x =2 h i
1  
PR
c ˆ 2 EzR HxR ExR HzR dx dz …3:6:67†
ko z =2 x =2

1 R

PR
c ˆ Izx R
Ixz …3:6:68†
k2o
R R
where Izx and Ixz refer to the ®rst and second terms in Eq. 3.6.67. If we
substitute Ex and EzR into Izx , we ®nd after interchanging summation and
R

integration that
XX h  i
R  R 
Izx ˆ Rzii Yxxi 0 i 0 Rxi 0 i 0 ‡ Yxzi 0 i 0 Rzi 0 i 0

ii i 0i 0
… x =2  … z =2  …3:6:69†
j…kxi kxi 0 †x j…kzi kzi 0 †z

e dx e dz
x =2 z =2

The ®rst integral (x-integral) equals x ii 0 and the second integral equals
z ii 0 , where ii 0 is the Kronecker delta. Substituting these values in Eq.
3.6.69 we ®nd that
X h  i
R R
Izx ˆ x z Rzii Yxxii Rxii ‡ Yxzi 
0 i 0 Rzii …3:6:70†
ii
202 Chapter 3

R
Carrying out a similar analysis for Ixz and substituting the expressions into
Eq. 3.6.68, we ®nd that
X
PR
c ˆ PR
cii
ii

x z Xnh  R  R 
i
ˆ R zii Y R
xxii xii ‡ Y R
xzii zii …3:6:71†
k2o o ii
h   io
R R 
Rxii Yzxii Rxii ‡ Yzzii Rzii

The power transmitted in the a^ y direction at y ˆ L over one

crossed x z grating cell is given by

PT ˆ 12 Re…PTc † …3:6:72†

where
… z =2 … x =2
!T !T



PTc ˆ E H
a^y d x~ d z~ …3:6:73†
z =2 x =2
… z =2 … x =2 h i
1  
PTc ˆ EzT HzT ‡ ExT HzT dx dz …3:6:74†
k2o z =2 x =2

Substituting the transmitted electric and magnetic ®elds into Eq. 3.6.74
for PTc , and carrying out an analysis similar to that used to determine PR
c , we
®nd that
X x z Xn h  T  T 
i
PTc ˆ PTcii ˆ T zii Y xxii Txii ‡ Y xzii Tzii
ii
k2o o ii
…3:6:75†
h   io
T  T 
‡ Txii Yzxii Txii ‡ Yzzii Tzii

An important quantity associated with the transmitted and re¯ected

differential power is the diffraction ef®ciency of the iith order. The diffrac-
tion ef®ciency of the re¯ected iith is given by and de®ned by

Re …PR †
2 cii
DR
ii ˆ …3:6:76†
Re …PI †
2 c

The diffraction ef®ciency of iith order is given by and de®ned by

Planar Diffraction Gratings 203

Re …PT †
cii
DTii ˆ 2 …3:6:77†
Re …PI †
2 c

For a lossless crossed grating, the re¯ected and transmitted diffraction ef®-
ciencies obey the conservation of power relation
X
…DR T
ii ‡ Dii † ˆ 1 …3:6:78†
ii

3.6.2 Numerical Results

This section will present some numerical examples of the diffraction ef®-
ciency that results when an oblique plane wave is scattered or diffracted
from a crossed or two-dimensional diffraction grating.
The example to be presented involves scattering from a one-dimen-
sional square wave grating where 1 ˆ 3 ˆ 1, 2 ˆ 2:5,  ˆ 30 ,  ~ x ˆ ,
and  ~ z ˆ 1. This example has been previously studied for the H-mode case
in Section 3.2 and the E-mode case in Section 3.3. In the literature it has
been ®rst presented by Yamakita and Rokushima [54]. The purpose of using
the more general crossed grating algorithm to study a one-dimensional case
is to validate that in the limiting case the operation of the RCWA crossed
grating algorithm presented in this section can produce the same results as
the one-dimensional RCWA algorithm. The H-mode square wave case was
numerically studied by taking  ~ z to have a large but not in®nite value.  ~ z in
the algorithm was set to  ~ z ˆ 15, MT ˆ 6, MT ˆ 0,  ˆ 270 ,  ˆ 30 ,
and EI ˆ E0 , EI ˆ 0. The nonzero relativePdielectric permittivities were
taken to be xx …x; z† ˆ yy …x; z† ˆ zz …x; z† ˆ M iˆ MT i exp…jiKx x†, where i
T

are the Fourier coef®cients of the square pro®le used in the square wave
example of Section 3.2. The E-mode square wave case was studied using the
same parameters as the H-mode square wave case except that the polariza-
tion was taken to be EI ˆ 0, EI ˆ E0 . Figure 34 shows the diffraction
ef®ciency results using the one-dimensional theory of Sections 3.2 and 3.3
and using the crossed diffraction grating theory of this section. As can be
seen from Fig. 34, nearly identical diffraction ef®ciency results from the two
algorithms.
The crossed diffraction grating theory has been also used to calculate
the scattering from the H-mode cosine grating (Figure 2) (Gaylord [16])
described in Section 3.2. After setting the parameters of the crossed grating
algorithm to match those of the H-mode cosine grating, identical diffraction
204 Chapter 3

Figure 34 The diffraction ef®ciency results using the one-dimensional theory of

Sections 3.2 and 3.3 are used to validate the two-dimensional crossed diffraction
grating theory of this section. Results here are identical to those of Yamakita and
Rokushima [54, Fig. 5, p. 242], who ®rst calculated this example by coupled mode
theory.

ef®ciency results were obtained for the one- and two-dimensional RCWA
algorithms for the case also.
Figure 35 shows the diffraction ef®ciency data that results when the
crossed grating theory of this section is applied to study scattering from a
two-dimensional crossed cosine wave grating where 1 ˆ 2 ˆ 3 ˆ 1,
 ˆ 10 ,  ~ x ˆ 2:8747, and  ~ z ˆ 1:5~ x , L~ ˆ 9, MT ˆ 3, MT ˆ 3,
 ˆ 270 , EI ˆ 1, and EI ˆ 0. The nonzero relative dielectric permittiv-
ities were taken to be

MT
X X
MT
xx …x; z† ˆ yy …x; z† ˆ zz …x; z† ˆ ii exp‰j…iKx x ‡ iKz z†Š
iˆ MT iˆ MT

rs …x; z† ˆ 0 r 6ˆ s …r; s† ˆ …x; y; z†

…3:6:79†
Planar Diffraction Gratings 205

Figure 35 The diffraction ef®ciency data that results when crossed grating theory
is applied to study scattering from a two-dimensional crossed cosine wave grating is
shown.

In Eq. 3.6.79, 0;0 ˆ 1 ; 1;1 ˆ  1;1 ˆ 1; 1 ˆ  1; 1 ˆ 1=4, and all other
Fourier coef®cients i;i in Eq. 3.6.79 are zero. In Fig. 35 transmitted diffrac-
tion ef®ciencies (denoted by Ti;i ) of the T00 , T01 , T10 , and T11 orders was
plotted versus the azimuthal angle , which was varied over the range
180    270 . As can be seen from the Fig. 35 plot, changing the 
angle of incidence causes a perceptible change in the diffraction ef®ciency
observed from the grating. In making the Fig. 35 plot conservation of real
power, Eq. 3.6.78 was observed to a high degree of accuracy.
Table 1 shows the transmitted diffraction ef®ciency for the crossed
cosine diffraction grating studied in Fig. 35 (taking  ˆ 270 ) that results
for ®fteen orders (taking all pair combinations of i ˆ 2; 1; 0; 1; 2 and
i ˆ 1; 0; 1) when ®ve different matrix truncations MT ˆ MT ˆ 1; 2; 3;
4, 5 are used. (For those truncations where the i; i) pair order exceeds the
truncation order [for example, when the pair …i; i† ˆ … 2; 1† exceeds the
truncation order, MT ˆ MT ˆ 1Š the diffraction ef®ciency is set to zero.)
A striking and reassuring feature of the diffraction ef®ciencies displayed
in Table 1 is how rapidly the diffraction ef®ciency converges to a ®nal
value that does not change with increasing order. After the value of MT ˆ
206 Chapter 3

Table 1 Transmitted diffraction ef®ciency for the crossed cosine diffraction

grating studied in Fig. 35 ( ˆ 270 ) that results for ®fteen orders (Taking All Pair
Combinations of i ˆ 2; 1; 0; 1; 2 and i ˆ 1; 0; 1) When Five Different Matrix
Truncations MT ˆ MT ˆ 1; 2; 3; 4; 5 Are Used
Planar Diffraction Gratings 207

Figure 36 The transmitted diffraction ef®ciencies (solid line) of the Ti;i orders
when i and i rnge from … 1; 0; 1†, when the grating thickness is varied from L~ ˆ
0 to L~ ˆ 4, are shown.

MT ˆ 3 there is virtually no change in diffraction ef®ciency for any of the

®fteen orders displayed.
The second diffraction ef®ciency example to be presented consists of
the diffraction ef®ciency data that results when the crossed grating theory of
this section is applied to study scattering from a two-dimensional rectangu-
lar surface relief grating composed of isotropic dielectric material. The rec-
tangular dielectric (shown in Fig. 36 inset) making up the surface relief
grating in Region 2 was assumed to be centered in each two-dimensional
grating period and to have a width of 2x1 ˆ  ~ x =2, a length of 2z1 ˆ 
~ z =2, a
~
thickness of L, and a relative permittivity value of 3 . The region surround-
ing the rectangular dielectric was assumed to have a dielectric value of 1 . In
Region 2, mathematically the permittivity tensor of the surface relief grating
is given by

xx …x; y; z† ˆ yy …x; y; z† ˆ zz …x; y; z† ˆ …x; y; z†

…3:6:80†
rs …x; y; z† ˆ 0 r 6ˆ s …r; s† ˆ …x; y; z†

where
208 Chapter 3

3 ~  x~ 1 ; jzj
jxj ~  z~1
…x; y; z† ˆ ~ x ; jzj ~z
1 ~ 
elsewhere in the cell jxj ~ 
…3:6:81†

and where x~ 1 ˆ  ~ x =2 and z~1 ˆ  ~ z =2. Fourier inversion of Eq. 3.6.1 using
the speci®ed permittivity value given by Eq. 3.6.81 speci®es the two-dimen-
sional Fourier coef®cients of Eq. 3.6.80. Figure 36 shows the transmitted
diffraction ef®ciencies (solid line) of the Ti;i orders where i and i range from
… 1; 0; 1†; when the grating thickness is varied from L~ ˆ 0 to L~ ˆ 4; when
1 ˆ 1, 3 ˆ 2:5,  ˆ 30 ,  ~ x ˆ ,  ~ z ˆ 1:5
~ x ,  ˆ 270 , EI ˆ 1, and
I
E ˆ 0; and when MT ˆ MT ˆ 3. As can be seen from Fig. 36, EM power
is diffracted out of the T0;0 order (pump wave or incident wave) and
is subsequently diffracted into the higher orders. Because of symmetry,
the diffraction ef®ciencies of the T1;1 and T1; 1 orders were the same
and the diffraction ef®ciencies of the T0;1 and T0; 1 orders were the same.
By the same token, for  ˆ 0 , 90 , and 180 , we should observe similar
symmetry in the diffracted orders. Figure 36 also shows the diffraction
ef®ciency of the T1;0 order (dotted) when the truncation was taken to be MT
ˆ MT ˆ 2 rather than MT ˆ MT ˆ 3 as was done for the curves discussed
earlier. As can be seen from the ®gure, very little diffraction ef®ciency
difference exists between the two truncations.
Table 2 shows the transmitted diffraction ef®ciency for the crossed
rectangular diffraction grating studied in Fig. 36 (taking  ˆ 270 and
L~ ˆ 1:7) that results for ®fteen orders (taking all pair combinations of i ˆ
2; 1; 0; 1; 2 and i ˆ 1; 0; 1) when ®ve different matrix truncations MT ˆ
MT ˆ 1; 2; 3; 4; 5 are used. (For those truncations where the …i; i† pair order
exceeds the truncation order [for example, when the pair …i; i† ˆ … 2; 1†
exceeds the truncation order, MT ˆ MT ˆ 1] the diffraction ef®ciency is
set to zero.) A striking and reassuring feature of the diffraction ef®ciencies
displayed in Table 2, like those of Table 1, is that the diffraction ef®ciency
converges fairly rapidly to a ®nal value that does not change with increasing
order. In comparing Table 2 to Table 1 it is interesting to note that the
convergence to a ®nal value is slightly slower in Table 2 than in Table 1. This
is believable since the grating studied in Table 2 is much smaller in size than
the grating studied in Table 1 and also the grating studied in Table 2 has a
much higher spatial spectral content than the grating studied in Table 1
(cosine grating). Both these factors would cause a slower convergence
with truncation order.
The third diffraction ef®ciency example to be presented consists of the
diffraction ef®ciency data that results when the crossed grating theory of
this section is applied to study scattering from a two-dimensional rectangu-
Planar Diffraction Gratings 209

Table 2 Transmitted Diffraction Ef®ciency for the Crossed Rectangular

Diffraction Grating Studied in Fig. 35 ( ˆ 270 and L~ ˆ 1:7) That Results for
Fifteen Orders (Taking All Pair Combinations of i ˆ 2; 1; 0; 1; 2 and
i ˆ 1; 0; 1) When Five Different Matrix Truncations MT ˆ MT ˆ 1; 2; 3; 4; 5 are
used
210 Chapter 3

lar surface relief grating that contains anisotropic dielectric material. In

Region 2, we ®rst need to express the permittivity tensor of the surface relief
grating cell for this example. Let

b ~  x~ 1 ; jzj
jxj ~  z~1
f …x; z† ˆ ~ x ; jzj ~z …3:6:82†
a ~ 
elsewhere in the cell jxj ~ 

where

n2o ‡ n2e
b ˆ …3:6:83†
2

and also let

n2o ‡ …n2e n2o †Cx2

xxC ˆ
b
n2o ‡ …n2e n2o †Cy2
yyC ˆ
b
n2o ‡ …n2e n2o †Cz2
zzC ˆ
b …3:6:83a†
…n2e n2o †Cx Cy
xyC ˆ yxC ˆ
b
…n2e n2o †Cx Cz
xzC ˆ zxC ˆ
b
yzC ˆ zyC ˆ zxC

Cx ˆ sin…c † sin…c †
Cy ˆ cos…c † sin…c †
Cz ˆ cos…c †

~ x =2, z~1 ˆ 
where C ˆ C ˆ 45 , x~ 1 ˆ  ~ z =2, a ˆ 1, 
~ x ˆ , and
~ ~
z ˆ 1:5x .
Using these parameters and functions we de®ne the relative dielectric
permittivity to be
Planar Diffraction Gratings 211
2 3
xxC xyC xzC
…x; z† ˆ 4 yxC yyC yzC 5f …x; z† …3:6:84†
zxC zyC zzC

Note that the diffraction grating in Region 2 is made up of two different

anisotropic materials, as speci®ed above. Figure 37 shows plots of the dif-
fraction ef®ciency of, say, the T10 order …i ˆ 1; i ˆ 0†; when the grating
thickness is varied from L~ ˆ 0 to L~ ˆ 4; when 3 ˆ 2:5,  ˆ 30 ,
~ x ˆ ,  ~ z ˆ 1:5~ x ,  ˆ 270 , EI ˆ 1, and EI ˆ 0; when
MT ˆ MT ˆ 2; and when the values of the parameters n2o , n2e were taken
to be n2o ˆ 2, n2e ˆ 3 (curve marked T10a ), n2o ˆ 2:4, n2e ˆ 2:6 (curve marked
T10b ), n2o ˆ 2:5, n2e ˆ 2:5 (curve marked T10c ). As can be seen from Fig. 37,
considerable power is diffracted into the T10 order. Figure 37 also shows
that as the grating is made more anisotropic (that is, by increasing the
magnitude of the difference between n2o and n2e ), a more perceptible differ-
ence between the isotropic and anisotropic diffraction ef®ciencies occurs. It
is interesting to note that even with severe anisotropy there is not too much
difference in the behavior of the diffraction ef®ciency as compared to the
isotropic case.
The fourth diffraction ef®ciency example to be presented consists of
the diffraction ef®ciency data that results when the crossed grating theory of

Figure 37 Plots of the diffraction ef®ciency of the T10 order …i ˆ 1; ˆ 0† when the
grating thickness is varied from L~ ˆ 0 to L~ ˆ 4, are shown.
212 Chapter 3

Table 3 Transmitted Diffraction Ef®ciency for the Crossed Rectangular

Anisotropic Diffraction Grating Studied in Fig. 37 (Taking n2o ˆ 2, n2e ˆ 3, L~ ˆ
1:7 and All Other Parameters the Same as Fig. 37) That Results for Fifteen
Orders (Taking All Pair Combinations of i ˆ 2; 1; 0; 1; 2 and i ˆ 1; 0; 1)
When Five Different Matrix Truncations MT ˆ MT ˆ 1; 2; 3; 4; 5 are used
Planar Diffraction Gratings 213

this section is applied to study scattering from a rectangular pyramidal

surface relief grating that contains anisotropic dielectric material. Let the
function f …x; y; z† at any given value of y in the interval L  y  0 be
de®ned as

b jxj  x1 …y†; jzj  z1 …y†
f …x; y; z† ˆ …3:6:85†
a elsewhere in jxj  x=2 ; jzj  z=2

where
p
3jyj
x1 …y† ˆ
4x
p
3jyj
z1 …y† ˆ
4z

then the permittivity in the grating cell in Region 2 is given by

2 3
xxC xyC xzC
…x; y; z† ˆ 4 yxC yyC yzC 5f …x; y; z† …3:6:86†
zxC zyC zzC

where the parameters of Eq. 3.6.86 are already given in Eq. 3.6.83. Because
the grating is longitudinally inhomogeneous, a two-dimensional multilayer
analysis based on the theory of Section 3.5 was used to calculate the diffrac-
tion ef®ciency.
Figure 38 shows plots of the diffraction ef®ciency of the T00 , T10 , T01 ,
and T11 orders; when the grating thickness is varied from L~ ˆ 0 to
L~ ˆ 2:5; 3 ˆ 2:5, 
~ x ˆ , and  ~ z ˆ 1:5
~ x ;  ˆ 30 ,  ˆ 270 , EI ˆ 1,
and E ˆ 0; when MT ˆ MT ˆ 2; when the values of the parameters n2o , n2e
I

were taken to be n2o ˆ 2, n2e ˆ 3; and when ten layers …N` ˆ 10) were used to
carry out the two-dimensional multilayer analysis. As can be seen from Fig.
38, for the grating under study, power is diffracted out of the T00 order into
higher orders. Conservation of power as speci®ed by equations was
observed to a high degree of accuracy.
In the ®nal example, a crossed pyramidal diffraction grating is again
studied (same pyramid geometry as Fig. 37), but with a mirror (or a per-
fectly conducting short circuit plate) placed at the Region 2±Region 3 inter-
face at y~ ˆ L~ (see Fig. 39). In this case just the re¯ected diffraction
ef®ciency was studied (the transmitted diffraction ef®ciency in Region 3 is
zero). The overall EM analysis in this case requires that the tangential EM
®elds at y~ ˆ L~ be zero. Imposing this condition (see Section 3.2.4 for an H-
214 Chapter 3

Figure 38 Plots of the diffraction ef®ciency of the T00 , T10 , T01 , and T11 orders,
when the grating thickness is varied from L~ ˆ 0 to L~ ˆ 2:5, are shown.

mode one-dimensional analysis) leads to a set of multilayer matrix equations

from which the EM ®elds in the diffraction grating system can be found.
Fig. 39 shows plots of the diffraction ef®ciency of the R00 , R10 , R01 , and R11
orders of the mirror±grating system; when the grating thickness is varied
from L~ ˆ 0 to L~ ˆ 2:5;  ~ x ˆ , and  ~ z ˆ 1:5
~ x ;  ˆ 30 ,  ˆ 270 ,
I I
E ˆ 1, and E ˆ 0; when MT ˆ MT ˆ 2; when the values of the para-
meters n2o , n2e were taken to be n2o ˆ 2, n2e ˆ 3; and when ten layers …N` ˆ 10†
were used to carry out the two-dimensional multilayer analysis. As can be
seen from Fig. 39, for the grating under study, power is again diffracted out
of the T00 pump order and into higher orders. Conservation of power was
observed to a high degree of accuracy.

3.7 STABLE IMPLEMENTATION OF RCWA FOR

MULTILAYER DIFFRACTION GRATINGS: AN
ENHANCED TRANSMITTANCE APPROACH

In Section 3.4 and later sections a multilayer analysis was used to solve for
the diffraction from both one-dimensional and two-dimensional diffraction
gratings. The method of analysis was to divide the longitudinally inhomo-
Planar Diffraction Gratings 215

Figure 39 Pyramidal, anisotropic surface relief grating re¯ected diffraction ef®-

ciency mirror, multilayer analysis (10 layer).

geneous grating into a series of thin layers, solve Maxwell's equations in

each thin layer region using state variable techniques, and then match EM
boundary conditions from layer to layer to determine all the unknown
coef®cients of the system. The technique is an effective one, and it is able
to solve a wide range of diffraction problems for both isotropic and aniso-
tropic gratings. A major limitation of the method, however, is that when the
grating is too thick, the dielectric modulation is too large, and ill condi-
tioned matrices can result, and thus unstable and very inaccurate EM ®eld
solutions can result. The source of the problem is that the state variable
matrix method gives rise in its solution to large exponential arguments
(eigenvalue times thickness values) due to large grating modulation or
large grating thickness. Thus when these exponential eigensolutions are
evaluated and used to compute the boundary matching matrix of the overall
system, exponentially large and small matrix elements result. These expo-
nentially large and small matrix elements cause the overall system matrices
to be singular or ill conditioned, thus causing either no solution or inaccu-
rate solutions. Exactly this same type of problem was observed in Section
2.8 for performing k-space analysis by Yang, Section 2.7.
216 Chapter 3

Moharam et al. [22,23] have presented an elegant and powerful algo-

rithm that can overcome this problem for the case of propagation in an
isotropic longitudinally inhomogeneous diffraction grating system. This
method is based on formulating Maxwell's equations into a second-order
matrix state variable form and then transforming the unknown transmit-
tance variables into a form where the exponentially large and small terms
are summed together into the same matrix element. In this way when the
matrix terms are exponentially small, the exponentially small terms drop out
(or appear as small numerical noise relative to the large terms), and thus the
exponentially small terms do not affect the stability of the calculation. We
will now summarize the method presented by Moharam et al. [22,23].

3.7.1 Second-Order RCWA

In this section we present the second-order RCWA formulation as given by
Moharam et al. [22,23]. In the following we will use the geometry in Fig. 40
and most of the multilayer notation as given in Refs. 22 and 23. We consider
the RCWA formulation for E-mode polarization (the polarization used in
Section 3.3. of the present text) for the case when Region 2 is isotropic. We
assume that Region 2 is divided into L thin layers each with a thickness d`
and that
P the distance to the right thin layer interface from z ˆ 0 is
Di ˆ i`ˆ1 d` , i ˆ 1; . . . ; L. In the `th layer of the diffraction grating in
Region 2 of Fig. 40, we assume that the magnetic and electric ®elds (using
normalized coordinates x ˆ k0 x; ~ y ˆ k0 y,
~ etc.) are expanded in the space
harmonics

! X
H g` ˆ Hy;g` a^ y ˆ Uyi` …z† exp… jkxi x†
i
! X
E g` ˆ Sx;g` a^ x ‡ Sz;g` a^z ˆ j0 ‰Szi` …z†a^ x ‡ Szi` …z†a^ z Š exp… jkxi x†
i
X
2` …x† ˆ i` exp…i j  x†
i
…3:7:1†

~ 
where kxi ˆ kx0 i, i ˆ . . . 2; 1; 0; 1; 2; . . . ;  ˆ 2=, and  ˆ k0 , ~
is the period of the diffraction grating. If these space harmonic expansions
are substituted in Maxwell's equations, appropriate derivatives are taken,
and the coef®cients of the exponential terms are equated, it is found that the
following coupled equations result:
Planar Diffraction Gratings 217

Figure 40 Geometry and coordinate system for the diffraction grating problem
under consideration. The column matrices C` and C‡ ` represent the coef®cients of
the forward and backward traveling waves in each thin layer, and 2` …x; z† repre-
sents the periodic dielectric function in each thin layer. Used with permission of
OSA, 1995 [23].

@Uyi` X
ˆ `;i i 0 Sxi 0 `
@z i0
X
jkxi Uyi` ˆ `;i i 0 Szi 0 ` …3:7:2†
i0

@Sxi`
ˆ jkxi Szi` Uyi`
^
@z

where i ˆ . . . ; 2; 1; 0; 1; 2; . . .. It is convenient to introduce row and col-

umn matrices in the analysis. Letting Sx` ˆ ‰Sx` Š, Sz` ˆ ‰Szi` Š, and
Uy` ˆ bUyi` c be column matrices and letting Kx ˆ kxi i;i 0 and
 ˆ i;i 0 ˆ i i 0 be square matrices, Eqs. 3.7.2 can be put in matrix form as

@Uy`
ˆ ` Sx` …3:7:3a†
@z
218 Chapter 3

jKx Uy` ˆ ` Sz` …3:7:3b†

@Sx`
ˆ jKx Sz` Uy` …3:7:3c†
@z

If we invert ` in Eq. 3.7.3b and thus express Sz` ˆ j…` 1 †Kx Uy` and further
substitute Sz` in Eq. 3.7.3c we ®nd that

@Sx`
ˆ jKx …j` 1 Kx Uy` † Uy` …3:7:4†
@z

Taking the derivative of Eq. 3.7.3a and substituting Eq. 3.7.4 we ®nd that

@2 Uy` h i
ˆ ` Kx ` 1 Kx I Uy` …3:7:5†
@z2

where I ˆ ‰i;i 0 Š is the identity matrix. Further letting B`  Kx ` 1 Kx I

and E`  ` we ®nd Eq. 3.7.5 becomes

@2 Uy`
ˆ E` B` Uy` ˆ A` Uy` …3:7:6†
@z2

where A` ˆ E` B` . We further note that the tangential electric ®eld space

harmonic amplitude is given by

@Uy`
Sx` ˆ E` 1 …3:7:7†
@z

Equation 3.7.5, unlike those in Chapter 2 and the earlier sections of

Chapter 3, is a second-order matrix differential equation rather than a ®rst-
order matrix equation. Its solution for the eigenmodes of the system, how-
ever, is similar to the ®rst-order matrix differential equation analysis. We
will now proceed with the solution. Let q2n` represent the eigenvalues of the
matrix A` ˆ E` B` and also let the sign of the square root of q2n` be chosen
so that Re…qn` †  0. Further let Wn` represent the nth eigenvector of the
matrix A` . The eigenvalues q2n` and eigenvectors Wn` satisfy the eigen matrix
equation

A` Wn` ˆ q2n` Wn` …3:7:8†

One can show that the exponential solution

Planar Diffraction Gratings 219

U‡
yn` …z† ˆ W`n exp… qn` z† …3:7:9†

is an eigensolution of the second-order matrix differential equation Eq.

3.7.6. Differentiating Eq. 3.7.9 twice with respect to z we ®nd that

@2 @2
2
Uy`n …z† ˆ W`n 2 exp… qn` z† ˆ q2n` W`n exp… qn` z†
@z @z …3:7:10†
ˆ A` Wn` exp… qn` z† ˆ A` Uyn` …z†

thus showing that Uyn` …z† is a solution as stated.

Using the matrix eigensolutions of Eq. 3.7.9, we can now form a
general expression for the tangential magnetic and electric ®elds in the `th
layer of the diffraction grating region. The tangential magnetic ®elds asso-
ciated with the nth mode in the `th layer associated with the eigensolution
U‡yn` …z† ˆ Wn` exp… qn` z† is given by

‡EV
X
Uyn` …x; z† ˆ Win` exp‰ qn` …z D` ‡ d` †Š exp… jkxi x† …3:7:11†
i

where the superscript EV stands for eigenvector solution. From Maxwell's

equation, it is found that

@ ‡EV ‡EV
U …x; z† ˆ 2` …x†Sxn` …x; z† …3:7:12†
@z yn`
‡EV
After expressing 2` …x† and Sxn` …x; z† in an exponential Fourier series sum,
‡EV
combining the Fourier sums in the product term ` …x†Sxn` …x; z† into a
convolution summation term, differentiating Eq. 3.7.11, and equating coef-
®cients of exp… jkxi x†, it is found that
X
‡
… qn` †Win` ˆ i i 0 ;` Sxi 0 n` …3:7:13†
i0

‡ 0
Using matrix inversion one ®nds the amplitude Sxi 0 n` . It is given by the i th

row component of the column vector

S‡ 1
xn` ˆ … qn` †E` Wn` ˆ Vn` …3:7:14†

where we have let

Vn` ˆ qn` E` 1 Wn` …3:7:15†

220 Chapter 3

Using this value it is found that

X
‡EV
Sxn` …x; z† ˆ … Vin` † exp‰ qn` …z D` ‡ d` †Š exp… jkxi x† …3:7:16†
i

The tangential magnetic ®eld associated with the nth mode in the `th
layer associated with the eigensolution Uyn` …z† ˆ Wn` exp…qn` z† is given by
X
Uyn`EV …x; z† ˆ Win` exp‰qn` …z D` †Š exp… jkxi x† …3:7:17†
i

From Maxwell's equation, it is found that

@
U EV …x; z† ˆ 2` …x†Sxn`EV …x; z† …3:7:18†
@z yn`

After carrying out the differentiation in Eq. 3.7.18 and equating coef®cients
of exp… jkxi x†, it is found that
X
…qn` †Win` ˆ i i 0 ;` Sxi 0 n` …3:7:19†
i0

Using matrix inversion one ®nds the amplitude Sxi 0 n` . It is given by the i0 th
component of the column vector Sxn` ˆ Vn` , where Vn` has been de®ned
previously. Using this value it is found that
X
Sxn`EV …x; z† ˆ Vin` exp‰qn` …z D` †Š exp… jkxi x† …3:7:20†
i

If we sum the forward and backward tangential magnetic and electric ®elds
as given in Eqs. 3.7.11, 3.7.16, 3.7.17, and 3.7.20 we ®nd that a total expan-
sion of these ®elds is given by
X
Tot ‡ ‡EV
Uyn` …x; z† ˆ Cn` Uy`n …x; z† ‡ Cn` Uy`nEV …x; z†
n
X …3:7:21†
Tot ‡ ‡EV
Sxn` …x; z† ˆ Cn` Sx`n …x; z† ‡ Cn` Sx`nEV …x; z†
n

or
Planar Diffraction Gratings 221

Tot
XX  ‡
Uy` …x; z† ˆ Win` Cn` exp‰ qn` …z D` ‡ d` †Š
i n

‡Cn` exp‰qn` …z D` †Š exp… jkxi x†
XX  …3:7:22†
Tot ‡
Sx` …x; z† ˆ Vin` Cn` exp‰ qn` …z D` ‡ d` †Š
i n

‡Cn` exp‰qn` …z D` †Š exp… jkxi x†

i and n range over the space harmonics of the system.

3.7.2 Electromagnetic Fields in Regions 1 and 3

Up to now we have speci®ed the EM ®elds in the `th thin layer region of
Region 2. We will now specify the EM ®elds in Regions 1 and 3. After
solving Maxwell's equations in Region 1 we ®nd the magnetic ®eld is
given by
X
Hy…1† ˆ ‰exp… jkzi1 z†i0 ‡ Ri exp…jkzi1 z†Š exp… jkxi x† …3:7:23†
i

where kxi has been previously de®ned and


kzi1 ˆ ‰1 1 k2xi Š1=2 1 1 k2xi  0 …3:7:24†
j‰k2xi 1 1 Š1=2 k2xi 1 1  0

It is assumed that the incident plane wave amplitude is 1 (V/m). The coef®-
cients Ri represent the amplitudes of the re¯ected, diffracted ®elds in Region
1. The tangential electric ®eld in Region 1 is given by

j0 X
Ex…1† ˆ ‰ jkzi1 exp… jkzi1 z†i0 ‡ jkzi1 Ri exp…jkzi1 z†Š exp… jkxi x†
1 i
…3:7:25†

After solving Maxwell's equations in Region 3 we ®nd that the magnetic

®eld is given by
X
Hy…3† ˆ Ti exp‰ jkzi3 …z DL †Š exp… jkxi x† …3:7:26†
i

where kxi has been previously de®ned and

222 Chapter 3

kzi3 ˆ ‰3 3 k2xi Š1=2 3 3 k2xi  0 …3:7:27†
j‰k2xi 3 3 Š1=2 k2xi 3 3  0

The tangential electric ®eld in Region 3 is given by

j0 X
Ex…3† ˆ ‰ jkzi3 Ti exp‰ jkzi3 …z DL †ŠŠ exp… jkxi x† …3:7:28†
3 i

The coef®cients Ti represent the amplitudes of the transmitted, diffracted

®elds in Region 3.
Now that the general form of the EM ®elds has been speci®ed in all
regions of space, an important problem that remains is to match EM bound-
ary conditions at the different interfaces of the system. Matching the tan-
gential magnetic ®eld at the Region 1: Region 2, ` ˆ 1, thin layer interface
located at z ˆ 0 we ®nd that
X  ‡ 
i0 ‡ Ri ˆ Win1 Cn1 ‡ Cn1 exp… qn1 d1 † …3:7:29†
n

Matching the tangential electric ®eld at z ˆ 0 we ®nd similarly, after cancel-

ing the j0 factor common to both terms,

1 X  ‡ 
‰ jk  jkzi1 Ri Š ˆ Vin1 Cn1 Cn1 exp… qn1 d1 † …3:7:30†
1 zi1 i0 n

These two equations can be written in matrix form as

      
i0 I W1 W1 X1 C‡
1
jkzi1 ‡ Rˆ …3:7:31†
1 i0 jZ1 V1 V1 X1 C1

where Z1 ˆ ‰…kzi1 =1 †i;i 0 Š, W1 ˆ ‰Win1 Š, V1 ˆ ‰Vin1 Š, and X1 ˆ ‰i;n exp… qn1
d1 †Š where i and n range over the number of space harmonics in the system.
Matching the tangential magnetic ®eld at the Region 2, …` 1†th thin
layer interface to the Region 2, `th thin layer located at z ˆ D` 1 , where
` ˆ 2; . . . ; L, we ®nd that
X  ‡

Win;` 1 Cn;` 1 exp… qn;` 1 d` 1 † ‡ Cn;` 1
n
X  ‡  …3:7:32†
ˆ Win;` Cn;` ‡ Cn;` 1 exp… qn;` d` †
n
Planar Diffraction Gratings 223

Matching the tangential electric ®eld at z ˆ D` 1 ` ˆ 2; . . . ; L we ®nd

similarly, after canceling the j0 factor common to both terms, that
X  ‡

Vin;` 1 Cn;` 1 exp… qn;` 1 d` 1 † ‡ Cn;` 1
n
X   …3:7:33†
‡
ˆ Vin;` Cn;` ‡ Cn;` 1 exp… qn;` d` †
n

As before, these two equations can be written in matrix form as

     
W` 1 X` 1 W` 1 C‡
` 1
W` W` X ` C‡
`
ˆ …3:7:34†
V` 1 X` 1 V` 1 C` 1 V` V` X` C`

where X` is a diagonal matrix with center diagonal matrix elements given by

exp… qn` d` †.
Matching the tangential magnetic ®eld at the Region 2, ` ˆ L thin
layer interface located at z ˆ DL to the Region 3 interface we ®nd that
X  ‡ 
WinL CnL exp… qnL dL † ‡ CnL ˆ Ti …3:7:35†
n

Matching the tangential electric ®eld at z ˆ 0 we ®nd similarly, after cancel-

ing the j0 factor common to both terms, that

X  ‡
 jkzi3
VinL CnL exp… qnL dL † ‡ CnL ˆ Ti …3:7:36†
n
3

These two equations can be written in matrix form as

    
W L XL WL C‡
L
I
ˆ T …3:7:37†
VL XL VL CL jZ3

where Z3 ˆ ‰…kzi3 =3 †i;i 0 Š.

3.7.3 Enhanced Transmittance Matrix Analysis

We will now be concerned with reducing the cascaded set of matrix equa-
tions that have been presented in the previous subsection. The matrix cas-
cade will be done so that matrix singularities do not occur as a result of
exponentially small matrix elements.
224 Chapter 3

We start by writing out the matrix equations and presenting a cascade

analysis of the system. Writing out the equations for ` ˆ 1; 2; . . . ; L we ®nd
that

2 3
i0     
4 jkzi1 5 ‡ I W1 W1 X1 C‡
1
Rˆ …3:7:38†
 jZ1 V1 V1 X1 C1
1 i0

From Eq. 3.7.34, setting ` ˆ 2, we have

    1  
C‡
1
W1 X1 W1 W2 W2 X 2 C‡
2
ˆ …3:7:39†
C1 V1 X1 V1 V2 V2 X2 C2

so that

2 3
i0 " # " #" # 1
6 7 I W1 W1 X1 W1 X 1 W1
4 jkzi1 5 ‡ Rˆ
i0 jZ1 V1 V1 X1 V1 X1 V1
1
" #" #
W2 W2 X2 C‡
2

V2 V2 X2 C2
…3:7:40†

If we repeat this process L 1 times we have

2 3
i0 " # (" #
6 7 I Y1
L W` W` X `
4 jkzi1 5 ‡ Rˆ
i0 jZ1 `ˆ1 V` V` X`
1
" # 1 91
W` X ` W` =
A …3:7:41†
V` X` V` ;
" #" #
WL WL XL C‡
L

VL VL XL CL

Inverting Eq. 3.7.37 and substituting in the above equation we ®nd that
Planar Diffraction Gratings 225
2 3
i0 " # (" #
6 7 I Y
L W` W` X `
4 jkzi1 5 ‡ Rˆ
i0 jZ1 `ˆ1 V` V` X`
1
" # 1 91" #
W` X ` W` = f L‡1
A T
V` X` V` ; gL‡1
…3:7:42†

where fL‡1 ˆ I and gL‡1 ˆ jZ3 .

At this point we will rearrange the matrix products in the preceding
equation and proceed with the enhanced matrix method. We ®rst note by
direct multiplication that

" # " #" #

W` X` W` W` W` X` 0
ˆ …3:7:43†
V` X` V` V` V` 0 I

1
Using the matrix property …A B† ˆ B 1A 1
we ®nd that

" # 1 " # 1" # 1

W` X` W` X` 0 W` W`
ˆ …3:7:44†
V` X` V` 0 I V` V`

The last factor of Eq. 3.7.42 can now be written as

" #" # 1" # " #

WL WL XL WL X L WL f L‡1 WL WL X L
Tˆ
VL VL XL VL XL VL gL‡1 VL VL XL
" # 1" # 1" #
XL 0 WL WL f L‡1
T
0 I VL VL gL‡1
…3:7:45†

To impose an enhanced transmittance approach, we let

    1 
aL WL WL f L‡1
ˆ gL‡1 …3:7:46†
bL VL VL
226 Chapter 3

and also let T ˆ aL 1 XL TL . Thus

" #" # 1" #
WL WL X L XL 0 aL
aL 1 X L T L
VL VL XL 0 I bL
" #" #" #
WL WL X L XL 1
0 XL
ˆ TL
VL VL XL 0 I bL aL 1 XL
" #" #
WL WL X L I
ˆ TL
VL b L aL 1 X L
VL XL
2 3
WL …I ‡ XL bL aL 1 XL †
ˆ4 5TL
VL …I XL bL aL 1 XL †
…3:7:47†

De®ning

  " #
fL WL …I ‡ XL bL aL 1 XL †
ˆ TL …3:7:48†
gL VL …I XL bL aL 1 XL †

we ®nd that Eq. 3.5.42 can be written as

2 3
i0 " # (" #
6 7 I Y1
L W` W` X `
4 jkzi1 5 ‡ Rˆ
i0 jZ1 `ˆ1 V` V` X`
1
…3:7:49†
" # 1 91" #
W` X ` W` = fL
A TL
V` X` V` ; gL

We next let

TL ˆ aL 1 1 XL 1 TL 1 …3:7:50†

and let
    1 
aL 1 WL 1 WL 1 fL
ˆ …3:7:51†
bL 1 VL 1 VL 1 gL
Planar Diffraction Gratings 227

From this we now ®nd that

2 3
i0 " # (" #
6 7 I Y2
L W` W` X `
4 jkzi1 5 ‡ Rˆ
i0 jZ1 `ˆ1 V` V` X`
1
" # 1 91" #
W` X ` W` = fL 1
A TL 1
V` X` V` ; gL 1

…3:7:52†

where
  " #
fL 1 WL 1 …I ‡ XL 1 bL 1 aL 1 1 XL 1 †
ˆ TL 1 …3:7:53†
gL 1 VL 1 …I XL 1 bL 1 aL 1 1 XL 1 †

Repeating this cycle and process until the last layer we ®nd that
2 3
i0    
4 jkzi1 5 ‡ I f
R ˆ 1 T1 …3:7:54†
 jZ1 g1
1 i0

where f 1 and g1 are found from repeated calculations of Eqs. 3.7.46±53. T1 is

found from the matrix solution of Eq. 3.7.54 and back substitution shows
that the T matrix is given by

T ˆ …aL 1 XL †…aL 1 1 XL 1 † . . . …a1 1 X1 †T1 : …3:7:55†

In inspecting Eqs. 3.7.53 and Eqs. 3.7.54 one observes why the present
algorithm is extremely ef®cient and stable. In Eq. 3.7.53, the X` matrix is
diagonal and contains the exponential term exp… qn` d` ). When qn` d` is
large, the exponential term exp… qn` d` † is very small, and thus the matrix
X` in this case is near zero. The matrix terms f ` ˆ W` …I ‡ X` b` a` 1 X` † and
g` ˆ V` …I X` b` a` 1 X` †, which form an important part of the algorithm,
are the only terms that contain exponential terms. Further, the terms in the
matrices making up f ` and g` appear as the sum of matrix element terms
near unity (coming form the identity matrix I) and the exponential terms
(coming from matrix X` b` a` 1 X` ). Thus when the matrix elements of the
matrices X` b` a` 1 X` are exponentially small, the matrix elements making
up f ` and g` are not all near zero (because of the presence of the identity
matrix I). Thus when this procedure is repeated for each layer starting at ` ˆ
228 Chapter 3

L with the computation of f L and gL and repeated until ` ˆ 1 and the last f 1
and g1 is produced, one sees that the ®nal matrix equation for R and T1 ,
which uses the matrices f 1 and g1 , will thus not have ill-conditioned or near-
singular matrices, since f 1 and g1 , which make up this equation, do not
possess all exponentially small terms. It is interesting to note that the prin-
ciple used here is similar to the method used by Yang, Section 2.7, discussed
in the previous chapter. It would be useful to extend this technique to the
case of diffraction from gratings in anisotropic materials.
In this section the enhanced transmittance method has been applied to
the case when the electric ®eld polarization was in the plane of incidence. In
a companion paper [23] written with the paper the present analysis was
based on, the authors present an enhanced transmittance method for H-
mode incidence which deals with the conical plane wave diffraction case.

3.7.4 Numerical Stability and Convergence [23]

To illustrate the stability of the algorithm, Fig. 41 shows the diffraction
ef®ciency of the ®rst diffracted order plotted versus the normalized grating
depth for a 16-level asymmetric dielectric grating as shown in Fig. 42 …n1a ˆ
n1 ˆ 1 (n2a is the bulk index value in Region 2 outside the step portion of the
grating) and n2b ˆ n3 ˆ 2:04 (n2b is the bulk index value in Region 2 inside
the step portion of the grating)] up to excessive depths of 50 wavelengths for
two grating periods of 1 and 10 wavelengths, respectively. The asymmetric
grating is a sawtooth 15-layer stairstep with a step width of 1/16 of the
grating period and a layer depth of 1/15 of the total depth of the structure.
The diffraction ef®ciency is shown for TE and TM polarizations and for
conical diffraction with  ˆ 30 (azimuth angle) and ˆ 45 (polarization
angle between the incident electric ®eld and the plane of incidence). A
suf®cient number of terms are retained in the space harmonic expansions
to ensure accuracy to four places past the decimal. Conservation of energy
has been observed to one part in 1010 . Conservation of energy is a necessary
condition for numerical stability of the algorithm.
Figure 43 illustrates the convergence of the diffraction ef®ciency of the
16-level, asymmetric dielectric grating shown in Fig. 42 as the number of
®eld harmonics is increased. Results are given for two grating depths (1 and
49 wavelengths) and for two grating periods, respectively, for both TE and
TM polarization and for conical mounting. It is clear that, in all cases, the
diffraction ef®ciency converges to the proper values when a suf®cient num-
ber of harmonics are included in the formulation. Note that the TE polar-
ization requires fewer harmonics than are required by the conical diffraction
and by the TM polarization. Also more harmonics are required for deeper
gratings with larger grating periods.
Planar Diffraction Gratings 229

Figure 41 Diffraction ef®ciency dependency on the normalized grating of a 16-

level (15 layer) asymmetric binary dielectric grating (ng ˆ n3 ; n1 ˆ 1†. The angle of
incidence is 108. TE-polarization, TM-polarization, and conical-mount polarization
results are shown for two grating periods of 1 and 10 wavelengths, respectively. Used
with permission of OSA, 1995 [23, Fig. 4].

Figure 42 Geometry for the surface relief grating diffraction problem analyzed
herein. Used with permission of OSA [23, Fig. 2].
230 Chapter 3

Figure 43 Diffraction ef®ciency dependency on the number of space harmonics for

the grating shown in Fig. 40 for two values of the grating depth (1 and 49 wave-
lengths, respectively) and for two grating periods of 1 and 10 wavelengths, respec-
tively. Used with permission of OSA, 1995 [23, Fig. 3].

3.8 HIGHLY IMPROVED CONVERGENCE OF THE

COUPLED WAVE METHOD FOR E-MODE INCIDENCE

In this section, we revisit diffraction of an E-mode polarized ®eld obliquely

incident onto a grating formed from an arbitrary permittivity pro®le …x†
and having a ®nite depth along the longitudinal, y-direction. This case has
previously been studied in Section 3.3. The grating, in this case, is assumed
to be one-dimensional, i.e., there is no variation along y except at the grating
boundaries. We show, following Lalanne and Morris [29], Peng and Morris
[103], and Li [53], that by reformulating the eigenvalue problem of the
coupled wave method, highly improved convergence rates can be obtained.
All variables in this section are normalized as in previous sections.
The analysis starts from the x and y components of the E ®eld and the
z component of the H ®eld for the case of E-mode (or TM) incidence on the
gratings (see Fig. 44).
Planar Diffraction Gratings 231

Figure 44 Geometry for the nonconical grating diffraction problem for E-mode
TM polarization. The parameters of the grating are: grating thickness L~ ˆ :36:36;
grating wavelength  ~ ˆ :4545; relative permittivity of Region 1, "1 ˆ 1:0; relative
permittivity of Region 2a (nonmetallic portion of grating), "2a ˆ 2:25; relative per-
mittivity of Region 2b (metallic portion of grating), "2b ˆ …3:18 j4:41†2 ; relative
permittivity of Region 3, "3 ˆ 2:25; and grating duty cycle, 30%. Used with permis-
sion of OSA, 1996 [29, Fig. 1].

The ®eld expansions for this case are given by Eqs. 3.3.4.5. We assume
an isotropic grating in Reg. 2 and in Eq. 3.4.3 we take "xx …x† ˆ "yy …x† ˆ
"zz …x†; " ˆ 0;  6ˆ . With these assumptions we ®nd that Maxwell's equa-
tions in Reg. 2 are given by

@…0 Hz † …3:8:1†
ˆ j"…x† Ex
@y
@…0 Hz †
ˆ j"…x† Ey …3:8:2†
@x
@Ey @Ex
ˆ j…0 Hz † …3:8:3†
@x @y

If we substitute Ey of Eq. 3.8.2 in Eq. 3.8.3; if we solve for Ex of Eq. 3.8.1,

differentiate with respect to y, and substitute this result in Eq. 3.8.3; and if
we perform a small amount of additional algebra we ®nd after letting Uz ˆ
0 Hz

 
@2 U z @ 1 @Uz
ˆ "…x† "…x†Uz …3:8:4†
@y2 @x "…x† @x
232 Chapter 3

Substitution of Eq. 3.3.5 into Eq. 3.8.4 and after collection of coef®cients for
the Fourier exponential term exp( jkxi x†, for i ˆ MT ; . . . ; 0; . . . ; MT ,
Mt ! 1, the following matrix equation results

@2 U z
ˆ E…Kx A Kx I†U z …3:8:5†
@y2

where E ˆ ‰"i;i0 Š, "i;i0 ˆ "i i0 ; A ˆ ‰ai;i0 Š, ai;i0 ˆ a i i0 and a i are the Fourier
coef®cients of the reciprocal permittivity function

1 X
M
ˆ a i exp…ji x†
"…x† T MT

The other terms are de®ned in Section 3.3. We note in the limit Mt ! 1
that the matrices E and A are inverses of each other and we thus have E ˆ
A 1 and A ˆ E 1 . Using this inverse relation we may also express Eq. 3.8.5
as Mt ! 1

@2 U z
ˆ A 1 …Kx E 1 Kx I†Uz …3:8:6†
@y2

It turns out that the above eigenvalue formulation (Eq. 3.8.6) is super-
ior to the one in Eq. 3.8.5 as far as convergence rates are concerned. As an
example we quote from Lalanne and Morris [29] the case of diffraction from
a chrome (refractive index 3.18-j4.41) lamellar grating deposited on a glass
substrate (see Fig. 44). The diffraction ef®ciency of the zeroth order is shown
in Fig. 45 along with the convergence rates, using Eqs. 3.8.5 (line) and 3.8.6,
(circle) respectively. The results clearly show the superiority of the conver-
gence from the second formulation.
The reason for the improvement in convergence using the second
method above has been shown rigorously by Li [53]. The dif®culty arises
in the convergence because
1. The EM ®elds and the periodic dielectric permittivity are discon-
tinuous at the points in the grating where  changes from 2a to
2b , and vice versa yet their product must be a continuous func-
tion.
2. Expressing products of periodic functions as in a Fourier series
(the Fourier coef®cients of the product function are a convolution
of the Fourier coef®cients of each seriesÐthis is called Laurent's
rule) involves a ®nite truncation of the convolution series.
Planar Diffraction Gratings 233

Figure 45 Diffraction ef®ciency of the transmitted zeroth order of a metallic

grating with E-mode polarized light. The solid curve is obtained by using the con-
ventional eigenproblem formulation. The circles are provided by the new eigenpro-
blem formulation.  ˆ 08 (normal incidence). Used with permission of OSA, 1996
[Fig 2, 29].

To illustrate Statement 1 we will now return to Eq. 3.8.1. In this

equation we ®rst note that on the right-hand side, the Ex ®eld is discontin-
uous at the points where …x† changes discontinuously from 2a to 2b or vice
versa. This follows because the electric ¯ux density Dx ˆ …x†Ex is contin-
uous at all points in x. The fact that Dx is continuous on the right-hand side
also forces dH
dy to be continuous on the left-hand side. Thus we see from
z

boundary conditions that Eq. 3.8.1 is a product of two discontinuous func-

tions that produce a continuous product.
Li [53] explains that the source of the convergence problem has to do
with the fact that the ®nite Fourier sum of a periodic product function
h…x† ˆ f …x†g…x†, formed by convolving the ®nite Fourier sums of each peri-
odic function f …x† and g…x†, converges very slowly when f …x† and g…x† are
piecewise, pairwise discontinuous at a point x yet their product h…x† is con-
tinuous at that point. Li goes on to show that the ®nite Fourier sum of a
periodic product function h…x† ˆ f …x†g…x†, formed by (1) ®nding the ®nite
Fourier sum of the periodic function 1=f …x†, call it f REC …x†, (2) taking the
recriprocal of f REC …x†, and (3) convolving this periodic function with the
periodic function g…x†, converges very rapidly at the point x where the pair-
wise discontinuity of f …x† and g…x† occurred. Li [53] calls the ®rst method the
Laurent rule and the second method the inverse rule. Li [53] illustrates
234 Chapter 3

numerically the convergence problems and different convergence rates that

result by using the two ways of convolving the periodic functions f …x† and
g…x† that have just been described. Although Li [53] shows in great detail and
rigor, both numerically and theoretically, the improved convergence that
occurs by using the inverse rule, we feel that a physical or geometric explana-
tion of why the convergence is better would be bene®cial to the readers.
As Li [53] has shown, periodic functions expressed using the Laurent
rule can have severe convergence problems when represented by a truncated
convolution series. We illustrate the problem with the following example.
Consider two periodic square wave functions f and g de®ned over a period
 as
(
a =2 < x < 0
f …x† ˆ …3:8:7†
b 0 < x < =2
(
b =2 < x < 0
g…x† ˆ …3:8:8†
a 0 < x < =2

The product h…x† ˆ f …x†g…x† ˆ ab is, of course, a continuous function. Note

that the ®nite Fourier series expansion of f …x† and g…x†, call them fT …x† and
gT …x†, have the value …a ‡ b†=2 at x ˆ 0. This follows from a well-known
theorem in Fourier series: If f …x† is a piecewise smooth function and/or
satis®es the Dirichlet conditions, then its Fourier series converges to …1=2†
‰f …x 0† ‡ f …x ‡ 0†Š where x ˆ 0 is the point of discontinuity (Butkov [104,
Chapter 1]). Hence, in general, hT…1† …0† ˆ fT …0†gT …0† ˆ …a ‡ b†2 =4 6ˆ h…0† ˆ ab,
and thus the product of the ®nite Fourier series gives, in general, an erro-
neous value at the discontinuity point even though each of the ®nite Fourier
series give the value (a ‡ b)/2 at the point of discontinuity. Around this point
the error decreases as the number of harmonics retained in the Fourier
expansion is increased.
The inverse method used by Li [53] and Lalanne and Morris [29]
involves taking the ®nite Fourier series expansion of 1=f …x† (call it fTREC ),
inverting it, and multiplying with the ®nite Fourier series expansion of g…x†
to approximate the product function h…x†. Let hT…2† …x† ˆ …1=fTREC † gT …x†.
Using the same Fourier theorem stated above,

1 a‡b
h…2†
T …0† ˆ
ˆ ab ˆ h…0† …3:89†
…1=a ‡ 1=b†=2 2

Thus, this shows that by (a) taking the ®nite Fourier series fTREC …x†; of the
reciprocal function 1=f …x†, (b) then inverting fTREC …x† to obtain the function
Planar Diffraction Gratings 235

1=fTREC …x†, (c) ®nding the ®nite Fourier series expansion of 1=fTREC x, and (d)
multiplying this with the ®nnite Fourier series gT …x†, gives the accurate value
of the product h…x† at the point of discontinuity. Note that since fTREC …x† is a
®nite Fourier series, it is ®nite and continuous at the point of discontinuity
of f …x†, and hence the Fourier series of its reciprocal, namely 1=fTREC …x†, is
continuous at this point and has the value 1/[(1/a+1/b)/2]. Note further that
we could achieve the same result by interchanging f and g.
Summarizing, the Laurent rule gives an, in general, incorrect value at
the point of discontinuity, whereas the inverse method yields the correct
result. When these types of computations are encountered in grating pro-
blems, it is easy to see why numerical dif®culties encountered with the
Laurent method can be alleviated using the inverse rule.
It is instructive to compute the ®rst and second derivatives of the pro-
duct functions h…i†T …x†; i ˆ 1; 2 around the point of discontinuity x ˆ 0. This
gives insight into the way the two approximations vary around the point of
discontinuity (by using these derivatives in a Taylor series). Note that

h…1†
T …x† ˆ fT …x†gT …x† ˆ …c0 ‡ DN …x††…c0 DN …x†† …3:8:10†

where

X
N
DN …x† ˆ cn sin nKx; c0 ˆ …b ‡ a†=2; cn ˆ …2=n†…b a†;
nˆ1
n odd and cn ˆ 0; even; …3:8:11†

and where we have 0

assumed K ˆ 1 for simplicity. Then hT…1† 0 …x† ˆ 2 DN D0N ,
hT …x† ˆ 2…DN ‡ DN D00N †: Hence h…1†
…1† 00 2 0 …1† 00
T …0† ˆ 0, and hT …0† ˆ …8=†2
2 2
…b a† ‰N=2Š , where [y] refers to the highest integer less than y.
Thus we see that when expanding the h…1†
T …x† the Taylor series about
x ˆ 0 has a parabolic shape with narrower and narrower width around the
peak as N increases. This follows since the ®rst derivative is zero and the
second derivative increases as the square of the number of harmonics. Thus
we can clearly see the nature of the error in using the Laurent approxima-
tion. As the number of harmonics increase, the value of the approximation
to the left and right of the discontinuity approaches the correct product
value. Further, as one approaches the discontinuity, the approximation
deviates from the true value ab in the form of a parabolic function whose
value at the discontinuity still remains at …a ‡ b†2 =4. This nature is evident
from Figs. 2-4 of Li [3].
In the inverse method described earlier, recall that h…2† T …x† ˆ
…1=fT †gT …x†. It is crucial to note that 1=f ˆ f REC ˆ …1=ab†g. Hence it
REC
236 Chapter 3

follows that fTREC ˆ …1=ab†gT , provided the same number of harmonics are
used to expand both functions. Therefore

1
h…2† REC
T …x† ˆ …1=fT †gT …x† ˆ g ˆ ab; for all x: …3:8:12†
…1=ab†gT T

Furthermore, this is true irrespective of the number of harmonics used! Thus

using this method, the discontinuity of f and g does not affect the product h
at any point.
The equations above hold exactly for the square wave example con-
sidered. For an arbitrary pairwise discontinuous set of functions f and g
whose product is continuous, we remark that f and g can each be decom-
posed into the sum of a square wave, as in the example above, and a con-
tinuous function whose value at the point of discontinuity is zero. Thus the
product of these f and g's behave exactly as predicted above in a small
neighborhood around the point of discontinuity. This follows since the
continuous parts of the functions are zero at the point of discontinuity.
Any truncation in the Fourier series representation of the functions f and
g is thus not going to be re¯ected at the point of discontinuity.

PROBLEMS

1. A thin sinusoidal phase grating with spatial period  and thick-

ness L is given by
 
2
"…x† ˆ "2 ‡
" cos x


is illuminated by a normally incident linearly polarized optical

®eld. Find the angles between the diffracted orders and the respec-
tive diffraction ef®ciencies of each order.
2. A circularly polarized optical ®eld is incident on the grating
described in Fig. 2. Find the polarized state of each diffracted
order, and the corresponding diffraction ef®ciency.
3. A plane wave (see Fig. 1) is obliquely incident (angle  to the
grating normal) on a lamellar diffraction grating of spatial period
 and thickness L whose permitivity pro®le is given by

"2a ‡
"…1: jxj=d†; jxj  d
"…x† ˆ
"2b ; d < jxj  =2
Planar Diffraction Gratings 237

where  ˆ 108, "1 ˆ 1:; "3 ˆ 2:25; "2a ˆ 2:25; "2b ˆ 1:;
" ˆ :5; ~
ˆ k0  ˆ 5; d ˆ =5:; L~ ˆ :75; k0 ˆ 2= and is the free space
wavelength. Determine the diffraction ef®ciency of the transmitted
and re¯ected orders of the system if the plane wave is
a) H-mode polarized.
b) E-mode polarized.
c) Verify in Parts a) and b) that conservation of real power is
conserved.
d) What is the approximate number of orders MT needed to
ensure convergence of the EM solution in this problem?
4. In Problem 3, verify the complex Poynting theorem as developed
in Sec. 3.3 for the Poynting box shown in Fig. 15.
5. Determine the diffraction ef®ciency of the transmitted and
re¯ected orders of the system in Problem 3 if an in®nitely thin,
perfectly conducting strips are placed at the interfaces between "2a
and "2b .
6. a) Use the method of [25] to determine the EM ®elds of a pure
re¯ection grating when the permitivity is given by Eq. (3.4.5) and
for the data of Fig. 21 except that
" ˆ :4 rather than
" ˆ :2.
b) Find and plot the re¯ection ef®ciencies for data of Problem 5a)
as was done in Fig. 21.
7. Determine the re¯ected and transmitted diffraction ef®ciencies of
an asymmetric diffraction grating when the relative dielectric per-
mitivity is given by

"2a , 0 < x < (=L) y
"…x; y† ˆ
"2b , …=L†y < x < 

where L  y  0, where  ˆ 108, "1 ˆ 1., "3 ˆ 2:25, "2a ˆ 2:25,

~ ˆ k0  ˆ 5, d ˆ =5., L~ ˆ :75, L ˆ :k0 L,
"2b ˆ 1.,  ~ k0 ˆ 2=
 and is the free space wavelength and x; y are in normalized
coordinates. Be sure to include suf®cient diffraction orders and
multilayers to ensure proper convergence of your solution.
8. Use RCWA and the theory of Sec. 3.6 to determine the EM ®elds
in a lamellar, crossed diffraction (see Fig. 33) where the relative
permitivity is given by

"…x; z† ˆ "2 ‡
"…1: …2x=x †2 †…1: …2z=z †2 †

where I ˆ 208, I ˆ 108, "1 ˆ 1., "3 ˆ 2:25, "2 ˆ 2:25,
" ˆ :2,
z ˆ x ˆ k0 ~ x ; x ˆ 5:, L~ ˆ :75, and k0 ˆ 2= and is the
free space wavelength. Assume the incident plane wave is circularly
238 Chapter 3

polarized. Determine the diffraction ef®ciency of the transmitted

and re¯ected orders of the system.
9. a) Considering the diffraction grating described in Problem 3 and
your solution determined therein, determine the maximum grating
thickness before your numerical solution becomes unstable and ill-
conditioned.
b) Apply the enhanced transmittance approach described in Sec.
3.7 [22,23] to provide a numerically stable solution to Part a) for
those layer thickness for which numerically unstable solutions
occurred.

REFERENCES

1. R. Petit, ed., Electromagnetic Theory of Gratings, Springer-Verlag, Berlin,

1980.
2. T. K. Gaylord and M. G. Moharam, Analysis and applications of optical
diffraction by gratings, Proceedings IEEE, 73, 894±937 (1985).
3. L. Solymar and D. J. Cooke, Volume Holography and Volume Gratings,
Academic Press, London, 1981.
4. D. Maystre, ed., Selected Papers on Diffraction Gratings, SPIE Milestone
Series, MS 83 (1993).
5. H. Kogelnik, Coupled wave theory for thick hologram gratings, Bell System
Tech. J., 48, 2909±2947 (1969).
6. J. A. Kong, Second-order coupled-mode equations for spatially periodic
media, J. Opt. Soc. Am., 67, 825±829 (1977).
7. J. Prost and P. S. Pershan, Flexoelectricity in nematic and smectic-A liquid
crystals, J. Appl. Phys., 47(6), 2298±2312 (1976).
8. S. K. Case, Coupled-wave theory for multiply exposed thick holographic
gratings, J. Opt. Soc. Am., 65, 724±729 (1975).
9. P. Yeh, Introduction to Photorefractive Nonlinear Optics, John Wiley, New
York, 1993.
10. C. B. Burckhardt, Diffraction of a plane wave at a sinusoidally strati®ed
dielectric grating, J. Opt. Soc. Am., 56, 1502±1509 (1966).
11. F. G. Kaspar, Diffraction by thick, periodically strati®ed gratings with com-
plex dielectric constant, J. Opt. Soc. Am., 63, 37±45 (1973).
12. K. Knop, Rigorous diffraction theory for transmission phase gratings with
deep rectangular grooves, J. Opt. Soc. Am., 68, 1206±1210 (1978).
13. R. S. Chu and J. A. Kong, Modal theory of spatially periodic media, IEEE
Trans. Microwave Theory Techniques, MTT-25, 18±24 (1977).
14. D. Marcuse, Exact theory of TE-wave scattering from blazed dielectric grat-
ings, Bell System Tech. J. 55, 1295±1317 (1976).
15. K. C. Chang, V. Shah, and T. Tamir, Scattering and guiding of waves by
dielectric gratings with arbitrary pro®les, J. Opt. Soc. Am., 70, 804±812 (1980).
Planar Diffraction Gratings 239

16. M. G. Moharam and T. K. Gaylord, Rigorous coupled-wave analysis of

planar-grating diffraction, J. Opt. Soc. Am., 71, 811±818 (1981).
17. K. Rokushima and J. Yamakita, Analysis of anisotropic dielectric gratings, J.
Opt. Soc. Am., 73(7), 901±908 (1983).
18. M. G. Moharam and T. K. Gaylord, Three-dimensional vector coupled-wave
analysis of planar-grating diffraction, J. Opt. Soc. Am., 73, 1105±1112 (1983).
19. M. G. Moharam and T. K. Gaylord, Diffraction analysis of dielectric surface-
relief gratings, J. Opt. Soc. Am., 72, 1385±1392 (1982).
20. K. Rokushima, J. Yamakita, S. Mori, and K. Tominaga, Uni®ed approach to
wave diffraction by space-time periodic anisotropic media, IEEE Trans.
Microwave Theory Techniques, 35, 937±945 (1987).
21. E. N. Glytsis and T. K. Gaylord, Rigorous three-dimensional coupled-wave
diffraction analysis of single and cascaded anisotropic gratings, J. Opt. Soc.
Am. A, 4, 2061±2080 (1987).
22. M. G. Moharam, E. B. Grann, D. A. Pommet, and T. K. Gaylord,
Formulation for stable and ef®cient implementation of rigorous coupled-
wave analysis of binary gratings, J. Opt. Soc. Am. A, 12(5), 1068±1076 (1995).
23. M. G. Moharam, D. A. Pommet, E. B. Grann, and T. K. Gaylord, Stable
implementation of the rigorous coupled-wave analysis for surface-relief grat-
ings: enhanced transmittance matrix approach, J. Opt. Soc. Am. A, 12(5),
1077±1086 (1995).
24. M. G. Moharam and T. K. Gaylord, Coupled-wave analysis of re¯ection
gratings, Applied Optics, 20(2), 240±244 (1981).
25. Z. Zylberberg and E. Marom, Rigorous coupled-wave analysis of pure re¯ec-
tion gratings, J. Opt. Soc. Am., 73(3), 392±398 (1983).
26. M. G. Moharam and T. K. Gaylord, Comments on analyses of re¯ection
gratings, JOSA Letters, J. Opt. Soc. Am. A, 73 (399±401) (1983).
27. D. McCartney, The analysis of volume re¯ection gratings using optical thin-
®lm techniques, Optical Quantum Electronics, 21, 93±107 (1989).
28. M. G. Moharam and T. K. Gaylord, Chain matrix analysis of arbitrary-
thickness dielectric re¯ection gratings, J. Opt. Soc. Am., 72, 187±190 (1982).
29. P. Lalanne and G. M. Morris, Highly improved convergence of the coupled-
wave method for TM polarization, J. Opt. Soc. Am. A, 13, 779±784
(1996).
30. N. Chateau and J.-P. Hugonin, Algorithm for the rigorous coupled-wave
analysis of grating diffraction, J. Opt. Soc. Am. A, 11, 1321±1331 (1994).
31. E. N. Glytsis and T. K. Gaylord, Three-dimensional (vector) rigorous
coupled-wave analysis of anisotropic grating diffraction, J. Opt. Soc. Am.
A, 7(8), 1399±1420 (1990).
32. M. G. Moharam and T. K. Gaylord, Rigorous coupled-wave analysis of
grating diffractionÐE-mode polarization and losses, J. Opt. Soc. Am., 73
(4), 451±455 (1983).
33. E. N. Glytsis and T. K. Gaylord, Rigorous 3-D coupled wave diffraction
analysis of multiple superposed gratings in anisotropic media, Applied
Optics, 28(12), 2401±2421 (1989).
240 Chapter 3

34. K. E. Golden and G. E. Stewart, Self and mutual admittances of rectangular

slot antennas in the presence of an inhomogeneous plasma layer, IEEE Trans.
on Antennas and Propagation, AP-17, 6, 763±771, Nov. 1969.
35. R. Magnusson and T. K. Gaylord, Equivalence of multiwave coupled wave
theory and modal theory for periodic-media diffraction, JOSA Letters, J. Opt.
Soc. Am., 68, 1777±1779 (1978).
36. R. Magnusson and T. K. Gaylord, Analysis of multiwave diffraction by thick
gratings, J. Opt. Soc. Am., 67, 1165±1170 (1977).
37. E. N. Glytsis and T. K. Gaylord, Antire¯ection surface structure: dielectric
layer(s) over a high spatial-frequency surface-relief grating on a lossy sub-
strate, Appl. Opt., 27(20), 4288±4303 (1988).
38. T. K. Gaylord, W. E. Baird, and M. G. Moharam. Zero-re¯ectivity high
spatial-frequency rectangular-groove dielectric surface-relief gratings, Appl.
Opt., 25(24), 4562±4567 (1986).
39. N. F. Hartman and T. K. Gaylord, Antire¯ection gold surface±relief gratings:
experimental characteristics, Appl. Opt., 27(17), 3738±3743 (1988).
40. M. G. Moharam and T. K. Gaylord, Rigorous coupled-wave analysis of
metallic surface-relief gratings, J. Opt. Soc. Am. A, 3, 1780±1787 (1986).
41. T. K. Gaylord, E. N. Glytsis, and M. G. Moharam, Zero-re¯ectivity homo-
geneous layers and high spatial-frequency surface-relief gratings on lossy
materials, Appl. Opt., 26(15), 3123±3134 (1987).
42. L. Li and C. W. Haggans, Convergence of the coupled-wave method for
metallic lamellar diffraction gratings, J. Opt. Soc. Am. A, 10, 1184±1189
(1993).
43. W. E. Baird, M. G. Moharam, and T. K. Gaylord, Diffraction characteristics
of planar absorption gratings, Appl. Phys. B, 32, 15±20 (1983).
44. T. Schimert and R. Magnusson, Diffraction from metal strip gratings with
high spatial in the infrared spectral region, J. Opt. Soc. Am A, 7, 1719±1722
(1990).
45. M. G. Moharam, Coupled-wave analysis of two-dimensional dielectric grat-
ings, SPIE, 883, Holographic Optics: Design and Applications, 8±11 (1988).
46. S. T. Han, Y.-L. Tsao, R. M. Walser, and M. F. Becker, Electromagnetic
scattering of two-dimensional surface-relief dielectric gratings, Appl. Opt. 31,
2343±2352 (1992).
47. Y. L. Kok, Electromagnetic scattering from a doubly-periodic grating corru-
gated by cubical cavities, Proceedings of the Twenty-First Southeastern
Symposium on System Theory, Tallahassee, FL, 493±499 (1989).
48. C. Wu, T. Makino, J. Glinski, R. Maciejko, and S. I. Naja®, Self-consistent
coupled-wave theory for circular gratings on planar dielectric waveguides, J.
Lightwave Technology, 9(10), 1264±1276 (1991).
49. M. G. Moharam, Diffraction analysis of multiplexed holographic gratings,
Digest of Topical Meeting on Holography, (Opt. Soc. Am.), Washington, DC,
100±103 (1986).
Planar Diffraction Gratings 241

50. A. Vasara, E. Noponen, J. Turunen, J. M. Miller, and M. R. Taghizadeh,

Rigorous diffraction analysis of Dammann gratings, Optical Comm., 81, 337±
342 (1991).
51. G. Granet, and G. Guizal, Ef®cient implementation of the coupled-wave
method for metallic lamellar gratings in TM polarization, J. Opt. Soc. Am.
A, 13, 1019±1023 (1996).
52. M. G. Moharam, T. K. Gaylord, and R. Magnusson, Criteria for Bragg
regime diffraction by phase gratings, Optical Comm., 32, 14Ð18 (1980).
53. L. Li, Use of Fourier series in the analysis of discontinuous periodic struc-
tures, J. Opt. Soc. Am. A., 13, 1870±1876 (1996).
54. J. Yamakita and K. Rokushima, Modal expansion method for dielectric grat-
ings with rectangular grooves, Proc. SPIE, 503, 239±243 (1984).
55. J. Yamakita, K. Rokushima, and S. Mori, Numerical analysis of multistep
dielectric gratings, SPIE, 815, Application and Theory of Periodic Structures,
Diffraction Gratings, and Moire Phenomena III, 153±157 (1987).
56. J. Yamakita and K. Rokushima, Scattering of plane waves from dielectric
gratings with deep grooves, IECE Japan, J66-B, 375 (1983).
57. L. C. Botten, M. S. Craig, R. C. McPhedran, J. L. Adams, and J. R.
Andrewarthar, The dielectric lamellar diffraction grating, Optica Acta, 28
(3), 413±428 (1981).
58. L. C. Botten, M. S. Craig, R. C. McPhedran, J. L. Adams, and J. R.
Andrewarthar, The ®nitely conducting lamellar diffraction grating, Optica
Acta, 28(8) 1087±1102 (1981).
59. L. C. Botten, M. S. Craig, and R. C. McPhedran, Highly conducting lamellar
diffraction grating, Optica Acta, 28(8) 1103±1106 (1981).
60. L. Li, Multilayer modal method for diffraction gratings of arbitrary pro®le,
depth, and permittivity, J. Opt. Soc. Am. A, 10, 2581±2591 (1993).
61. D. M. Pai and K. A. Awada, Analysis of dielectric gratings of arbitrary
pro®les and thickness, J. Opt. Soc. Am. A, 8, 755±762 (1991).
62. M. Nevievre, Diffraction of light by gratings studied with the differential
method, SPIE Periodic Structures, Grating, Moire Patterns and Diffraction
Phenomena, 240, 90±96 (1980).
63. P. Vincent, New improvement of the differential formalism for high-modu-
lated gratings, SPIE Periodic Structures, Grating, Moire Patterns and
Diffraction Phenomena, 240, 147±154 (1980).
64. R. Petit and G. Tayeb, Theoretical and numerical study of gratings consisting
of periodic arrays of thin and lossy strips, J. Opt. Soc. Am. A, 7, 1686±1692
(1990).
65. J. Chandezon, M. T. Dupuis, G. Cornet, and D. Maystre, Multicoated grat-
ings: a differential formalism applicable in the entire optical region, J. Opt.
Soc. Am., 68, 838±846 (1982).
66. D. Maystre, A new general integral theory for dielectric coated gratings, J.
Opt. Soc. Am., 68, 490±495 (1978).
67. M. K. Moaveni, Plane wave diffraction by dielectric gratings, ®nite-difference
formulation, IEEE Trans. Antennas Propagation, 37(8), 1026±1031 (1989).
242 Chapter 3

68. H. A. Kalhor and M. K. Moaveni, Analysis of diffraction gratings by ®nite-

difference coupling technique, J. Opt. Soc. Am., 63, 1584±1588 (1973).
69. M. K. Moaveni, Application of ®nite differences to the analysis of diffraction
gratings embedded in an inhomogeneous and lossy dielectric, Int. J.
Electronics, 61(4), 465±476 (1986).
70. Y. Nakata and M. Koshiba, Boundary-element analysis of plane-wave dif-
fraction from groove-type dielectric and metallic gratings, J. Opt. Soc. Am. A,
7, 1494±1502 (1990).
71. D. E. Tremain and K. K. Mei, Application of the unimoment method to
scattering from periodic dielectric structures, J. Opt. Soc. Am., 68, 775±783
(1978).
72. A. K. Cousins and S. C. Gottschalk, Application of the impedance formalism
to diffraction gratings with multiple coating layers, Appl. Opt., 29, 4268±4271
(1990).
73. R. A. Depine, C. E. Gerber, and V. Brundy, Lossy gratings with a ®nite
number of grooves: a canonical model, J. Opt. Soc. Am. A, 9, 573±577 (1992).
74. P. St. J. Russell, Power conservation and ®eld structures in uniform dielectric
gratings, J. Opt. Soc. Am., A, 1(3), 293±299 (1984).
75. R. Petit and G. Tayeb, On the use of the energy balance criteria as a check of
validity of computations in grating theory, SPIE Application and Theory of
Periodic Structures, Grating, Moire Patterns and Diffraction Phenomena III
815, 2±10 (1987).
76. R. F. Harrington, Time Harmonic Electromagnetic Fields, Section 1±10,
``Complex Power,'' McGraw-Hill, New York, 1961.
77. E. N. Glytsis and T. K. Gaylord, Anisotropic guided-wave diffraction by
interdigitated electrode-induced phase gratings, Appl. Opt., 27, 5035±5050
(1988).
78. P. M. Van Den Berg, W. J. Ghijsen, and A. Venema, The electric-®eld pro-
blem of an interdigital transducer in a multilayer structure, IEEE Trans.
Microwave Theory Techniques, MTT±33(2) (1985).
79. D. Quak and G. Den Boon, Electric input admittance of an interdigital trans-
ducer in a layered, anisotropic, semiconducting structure, IEEE Trans. Sonic
Ultrasonics, SU-25(1) (1978).
80. E. N. Glytsis, T. K. Gaylord, and M. G. Moharam, Electric ®eld, permittivity,
and strain distributions induced by interdigitated electrodes on electrooptic
waveguides, IEEE J. Lightwave Technology, LT-5, 668±683 (1987).
81. K. Rokushima and J. Yamakita, Analysis of diffraction in periodic liquid
crystals: the optics of the chiral smetic C phase, J. Opt. Soc. Am. A, 4(1),
27±33 (1987).
82. D. Y. K. Ko and J. R. Sambles, Scattering matrix method for propagation of
radiation in strati®ed media: attenuated total re¯ection studies of liquid crys-
tals, J. Opt. Soc. Am. A, 5, 1863±1866 (1988).
83. C. Schwartz and L. F. DeSandre, New calculational technique for multilayer
stacks, Appl. Opt., 26, 3140±3144 (1987).
Planar Diffraction Gratings 243

84. S. L. Chuang and J. A. Kong, Wave scattering from periodic dielectric surface
for a general angle of incidence, Radio Sci. 17, 545±557 (1982).
85. T. K. Gaylord and M. G. Moharam, Thin and thick gratings: terminology
clari®cation, Symbols, Units, Nomenclature, Applied Optics, 20(19), 3271±3273
(1981).
86. T. Jaaskelainen and M. Kuittinen, Inverse grating diffraction problems, SPIE
International Colloquium on Diffractive Optical Elements, 1574, 272±281
(1991).
87. E. Gluch, H. Haidner, P. Kipfer, J. T. Sheridan, and N. Streibl, Form bire-
fringence of surface-relief gratings and its angular dependence, Optics
Commun., 89, 173±177 (1992).
88. J. M. Elson, L. F. DeSandre, and J. L. Stanford, Analysis of anomalous
resonance effects in multilayer-overcoated, low-ef®ciency gratings, J. Opt.
Soc. Am. A, 5, 74±88 (1988).
89. T. Tamir and H. C. Wang, Scattering of electromagnetic waves by a sinusoid-
ally strati®ed half space: I. Formal solution and analysis approximations, Can.
J. Phys., 44, 2073±2094 (1966).
90. T. Tamir, Scattering of electromagnetic waves by a sinusoidally strati®ed half
space: II. Diffraction aspects at the Rayleigh and Bragg wavelengths, Can. J.
Phys., 44, 2461±2494 (1966).
91. S. T. Peng, T. Tamir, and H. L. Bertoni, Theory of periodic dielectric wave-
guides, IEEE Trans. Microwave Theory Tech., MTT-23, 123±133 (1975).
92. T. Tamir, H. C. Wang, and A. A. Oliner, Wave propagation in sinusoidally
strati®ed dielectric media, IEEE Trans. Microwave Theory Tech., MTT-12,
323±335 (1964).
93. R. V. Johnson and R. Tanguay, Optical beam propagation method for bire-
fringent phase grating diffraction, Opt. Eng., 25, 235±249 (1986).
94. H. Haus, Waves and Fields in Optoelectronics, Prentice-Hall, New York, 1984,
Section 11.1.
95. S. Samson, A. Korpel, and H. S. Snyder, Conversion of evanescent waves into
propagating waves by vibrating knife edge, Internat. J. Imaging Systems
Technology, 7, 48±53 (1996).
96. P. N. Butcher and D. Cotter, The Elements of Nonlinear Optics, Cambridge,
UK, 1990, p. 127.
97. T. L. Zinenko, A. I. Nosich, and Y. Okuno, Plane wave scattering and absorp-
tion by resistive-strip and dielectric strip periodic gratings, IEEE Trans.
Antennas Propagation, 46(10), 1498±1505 (1998).
98. E. Popov, L. Tsonev, and D. Maystre, GratingsÐgeneral properties of the
Littrow mounting and energy ¯ow distribution, J. Mod. Optics, 37(3), 367±377
(1990).
99. E. Popov, L. Tsonev, and D. Maystre, Losses of plasmon surface waves on
metallic grating, J. Mod. Optics, 37(3), 379±387 (1990).
100. E. Popov, and L. Tsonev. Total absorption of light by metallic gratings and
energy ¯ow distribution, Surface Science, 230, 290±294 (1990).
244 Chapter 3

101. E. Popov, Light diffraction by relief gratings: a macroscopic and microscopic

view, Progress in Optics, XXXI, Elsevier Science publishers B.V., 139±294
(1993).
102. B. W. Shore, L. Li, and M. D. Feit, Poynting vectors and electric ®eld dis-
tributions in simple dielectric gratings. J. Mod. Optics, 44(1), 69±81 (1997).
103. S. Peng and G. M. Morris, Ef®cient implementation of rigorous coupled-wave
analysis for surface-relief gratings, J. Opt. Soc. Am. A, 12, 1087±1096 (1995).
104. E. Butkov, Mathematical Physics, Addison-Wesley, 1968, Chapter 1.
105. J. Jarem and P. P. Banerjee, Application of the complex Poynting theorem to
diffraction gratings, J. Opt. Soc. Amer. A, 16(5), 819±831 (1999).
4
The Split-Step Beam Propagation
Method

In the previous chapter, we have discussed the RCWA in detail and also
shown applications where plane waves are transmitted and re¯ected upon
incidence on a layer of arbitrary permittivity and from ®xed gratings. In this
chapter we discuss an alternative method to determine the propagation of a
beam in a semi-in®nite region that may contain a certain optical inhomo-
geneity, whether ®xed (such as in a grating) or induced (due to the nonlinear
change in refractive index). The extension of this method to analyze pulse
propagation as well has been performed but will not be treated here for the
sake of simplicity.

4.1 TRANSFER FUNCTION FOR PROPAGATION

For simplicity, consider the scalar wave equation

1 @2 E
r2 E ˆ 0 …4:1:1†
v2 @t2

and substitute

E…x; y; z; t† ˆ Re fEe …x; y; z† exp‰j…!0 t k0 z†Šg …4:1:2†

with !0 =k0 ˆ v. The quantity Ee is related to the phasor Ep according to

Ep …x; y; z† ˆ Ee …x; y; z† exp… jk0 z† …4:1:3†

and we will use one or the other notation according to convenience.

Substituting Eq. 4.1.2 into 4.1.1 and assuming that Ee is a slowly varying

245
246 Chapter 4

function of z (the direction of propagation) in the sense that j@2 Ee =@z2 j=

j@Ee =@zj  k0 we obtain the paraxial wave equation [1]

@Ee 2
2jk0 ˆ r? Ee …4:1:4†
@z
2
where r? denotes the transverse Laplacian. Equation 4.1.4 describes the
propagation of the envelope Ee …x; y; z† starting from the initial pro®le
Ee jzˆ0 ˆ Ee0 …x; y†.
Equation 4.1.4 can be solved readily using Fourier transform techni-
ques. Assuming Ee to be Fourier transformable, we can employ the de®ni-
tion of the Fourier transform
…1
E~ e …kx ; ky ; z† ˆ F x;y fEe …x; y; z†g ˆ Ee …x; y; z† exp…jkx x ‡ jky y† dx dy
1
…4:1:5†

and its properties to transform Eq. 4.1.4 into the ODE

d E~ e j

ˆ k2 ‡ k2y E~ e …4:1:6†
dz 2k0 x

We can easily solve Eq. 4.1.6 to give

 

z
E~ e …kx ; ky ; z† ˆ E~ e0 …kx ; ky † exp j k2x ‡ k2y …4:1:7†
2k0

where E~ e0 …kx ; ky † is the Fourier transform of Ee0 …x; y†. We can interpret Eq.
4.1.7 in the following way: Consider a linear system with an input spectrum
of E~ e0 …kx ; ky † at z ˆ 0 where the output spectrum at z is given by
E~ e …kx ; ky ; z†. The spatial frequency response of the system, which we will
call the paraxial transfer function for propagation, is then given by
 
E~ e 2 2

z
 H…kx ; ky ; z† ˆ exp j kx ‡ ky …4:1:8†
E~ e0 2k0

As we will show later, in the split-step beam propagation method we model

propagational diffraction by means of the transfer function or propagation
derived above. For more exact calculations, the nonparaxial transfer func-
tion can be used. This can be derived starting from the nonparaxial wave
equation, but it will not be presented here for the sake of simplicity.
The Split-Step Beam Propagation Method 247

Incidentally, the inverse Fourier transform of the transfer function for

propagation yields the impulse response for propagation. Starting from the
paraxial transfer function for propagation, which resembles a complex
Gaussian, the inverse Fourier transform is a complex Gaussian as well
and has the form
 
jk k
h…x; y; z† ˆ 0 exp j…x ‡ y † 0
2 2
…4:1:9†
2z 2z

This, when convolved with the initial beam pro®le, yields the pro®le of the
diffracted beam in the spatial domain directly. This convolution integral is
in fact the Fresnel diffraction formula.

4.2 SPLIT-STEP BEAM PROPAGATION ALGORITHM

If we wish to consider propagation in a material where the propagation

constant or equivalently the refractive index is a function of position, either
due to pro®ling of the material itself (such as a graded index ®ber or a
grating) or due to induced effects such as third-order nonlinearities, the
paraxial wave equation changes to

@Ee 1 2
ˆ r E j
nk0 Ee …4:2:1†
@z 2jk0 ? e

The quantity
n is the change in the refractive index over the ambient
refractive index n0 ˆ c=v, where c is the velocity of light in vacuum.
Equation 4.2.1 is a modi®cation of Eq. 4.1.4 and can be derived from the
scalar wave equation when the propagation constant, or equivalently the
velocity of the wave, is a function of …x; y; z† explicitly, as in gratings or
®bers, or implicitly, such as through the intensity-dependent refractive
index.
The paraxial propagation equation (4.2.1) is a partial differential
equation that does not always lend itself to analytical solutions, except for
some very special cases involving special spatial variations of
n, or when,
as in nonlinear optics, one looks for a particular soliton solution of the
resulting nonlinear PDE using exact integration or inverse scattering meth-
ods. Numerical approaches are often sought to analyze beam (and pulse)
propagation in a complex system such as optical ®bers, volume diffraction
gratings, Kerr and photorefractive media, etc. A large number of numerical
methods can be used for this purpose. The pseudospectral methods are often
favored over ®nite difference methods due to their speed advantage. The
248 Chapter 4

split-step beam propagation method (BPM) is an example of a pseudospec-

tral method.
To understand the philosophy behind the BPM, it is useful to rewrite
Eq. 4.2.1 in the form [2,3]

@Ee ^ e
ˆ …D^ ‡ S†E …4:2:2†
@z

where D^ and S^ are a linear differential operator and a space-dependent or

nonlinear operator, respectively (see, for instance, the structure of Eq.
4.2.1). Thus, in general, the solution of Eq. 4.2.2 can be symbolically written
as

^
Ee …x; y; z ‡
z† ˆ exp‰…D^ ‡ S†
zŠEe …x; y; z† …4:2:3†

If D^ and S^ are assumed to be z-independent. Now for two noncommuting

operators D^ and S,^

exp…D^
z† exp…S^
z† ˆ exp…D^
z ‡ S^
z ‡ 12 ‰D; ^

^ SŠ…
z† 2
‡



…4:2:4†

^ represents the com-

^ SŠ
according to the Baker-Hausdorff formula, where ‰D;
^ ^
mutation of D; S. Thus up to second order in
z,

^
exp…D
z ^
‡ S
z† ^
 exp…D
z† ^
exp…S
z† …4:2:5†

which implies that in Eq. 4.2.4 the diffraction and the inhomogeneous
operators can be treated independently of each other.
The action of the ®rst operator on the RHS of Eq. 4.2.5 is better
understood in the spectral domain. Note that this is the propagation opera-
tor that takes into account the effect of diffraction between planes z and
z ‡
z. Propagation is readily handled in the spectral or spatial frequency
domain using the transfer function for propagation written in Eq. 4.1.8 with
z replaced by
z. The second operator describes the effect of propagation in
the absence of diffraction and in the presence of medium inhomogeneities,
either intrinsic or induced, and is incorporated in the spatial domain. A
schematic block diagram of the BPM method in its simplest form is
shown in Fig. 1. There are other modi®cations to the simple scheme, viz.,
the symmetrized split-step Fourier method and the leap-frog techniques.
These are discussed in detail elsewhere [2].
The Split-Step Beam Propagation Method 249

Figure 1 Flow diagram for the BPM split-step method.

4.3 BEAM PROPAGATION IN THE LINEAR MEDIA

In this section we will illustrate various cases where the BPM can be used to
analyze propagation in inhomogeneous media. While most of the examples
will be connected with beam propagation, we must point out to readers that
the method can be used to analyze pulse propagation as well, simply by
replacing z in Eq. 4.2.2 with t (time) and making the linear spatial transverse
differential operator a similar differential operator in z. With this modi®ca-
tion, Eq. 4.2.2 can model the propagation of one-dimensional longitudinal
pulse through an optical ®ber with arbitrary group velocity dispersion. For
details, we refer the readers to Agrawal [2].

4.3.1 Linear Free-Space Propagation

In this case, the inhomogeneous operator is zero, and we can solve Fresnel
diffraction of beams using the BPM method. Of course, propagation from a
plane z ˆ 0 to arbitrary z can be performed in one step in this case, but in
the example we provide we use the split-step method to convince readers
that the result is identical to what one would obtain if the propagation were
covered in one step. In Fig. 2, we show the pro®le of a diffracted Gaussian
beam after propagation through free space, and the results agree with the
250 Chapter 4

Figure 2 Diffraction of a Gaussian beam during free space propagation. (a) Pro®le
at z ˆ 0 (plane wave fronts assumed); (b) pro®le at z ˆ zR , where zR is the Rayleigh
length of the original Gaussian beam.

physical intuition of increased width and decreased on-axis amplitude dur-

ing propagation.

4.3.2 Propagation of Gaussian Beam Through a Graded

Index Medium
A graded index medium has a refractive index variation of the form

n ˆ n0 ‡ n…2† …x2 ‡ y2 † …4:3:1†

where n0 denotes the intrinsic refractive index of the medium and n…2† is a
measure of the gradation in the refractive index. In this case, the operator S^
becomes

S^ ˆ jk0 n…2† …x2 ‡ y2 † …4:3:2†

Propagation of a Gaussian beam in a medium with a graded index pro®le is

shown in Fig. 3. The contour plots show the initial (Gaussian) beam pro®le,
the beam pro®le where the initial Gaussian attains its minimum waist during
propagation before returning back to its original shape again, due to peri-
odic focusing by the graded index distribution. Note that there exists a
speci®c eigenmode (a Gaussian of a speci®c width, related to the refractive
index gradient) for which the beam propagates through the material without
a change in shape as a result of a balance between the diffraction of the
beam and the guiding due to the parabolic gradient index pro®le. The con-
tour plot of such a beam is shown in Fig. 4.
The Split-Step Beam Propagation Method 251

Figure 3 Contour plots showing periodic focusing of an initial Gaussian pro®le.

4.3.3 Beam Propagation Through Diffraction Gratings:

Acousto-optic Diffraction
The beam propagation algorithm has been applied to the propagation of a
beam through a grating and can be also used to analyze the case where the
grating is a sound ®eld. In what follows, we give an example of the use of the
beam propagation method to analyze the diffraction of light by an acousto-
optic cell in which a traveling wave of sound causes a change in the refrac-
tive index using a modi®ed split-step technique. The modi®cation is that the
inhomogeneity due to the refractive index grating is accommodated for in
the spatial frequency domain as well.
252 Chapter 4

Figure 4 Fundamental mode in a graded index ®ber.

The perturbation
n in the case of sound-induced gratings is a func-

tion of time and space:

n…x; z; t† ˆ Cs…x; z; t† …4:3:3†

where C is an interaction constant (for details, see Korpel [4]) and s…x; z; t† is
the real sound amplitude given by

s…x; z; t† ˆ 12 ‰Se …x; z† exp… jKx† exp…j

t† ‡ c:cŠ …4:3:4†

where Se is the complex amplitude of the sound ®eld that interacts with the
light beam and is traveling in the x-direction and c:c: denotes the complex
conjugate. The quantities K and
are the propagation constant and the
angular frequency of the sound ®eld. Following Korpel [4,5], a snapshot of
the sound ®eld is used at t ˆ 0, so that using Eqs. 4.3.3 and 4.3.4,

^
exp…S
z† ˆ exp… jk0
n
z†  1 jk0
n
z

ˆ1 1
2 jk0
zC‰Se …x; z† exp… jKx† ‡ Se …x; z† exp…‡jKx†Š

…4:3:5†

In the modi®ed split-step technique, we take the Fourier transform of

the above operator on the optical ®eld Ee …x; z†, taking care to note from the
property of Fourier transforms that
The Split-Step Beam Propagation Method 253

F x ‰f …x† exp…jKx†Š ˆ F…kx  K† …4:3:6†

The main propagation loop of the algorithm is modi®ed from Fig. 1 and is
shown in Fig. 5. The boxes marked ``Shift K'' are used to facilitate the
operation shown in Eq. 4.3.6 in the spatial frequency domain.
Figure 6 shows problem geometry of a Gaussian beam incident nom-
inally at Bragg angle on a sound column of width z ˆ L. The simulated
evolution of the Gaussian beam is shown in Fig. 7 and is taken from Ref. [4].
The peak phase delay  of the light traveling through the acousto-optic cell
is taken equal to , and the Klein±Cook parameter Q ˆ K 2 L=k0 ˆ 13:1. We
would like to point out that the same answers could be derived by using the
transfer function for acousto-optic interaction, as given in Refs. 4 and 6.

Figure 5 Flow diagram for the modi®ed split-step technique to analyze acousto-
optic interaction.
254 Chapter 4

Figure 6 Geometry of acousto-optic interaction with a Gaussian beam at nomin-

ally Bragg incidence.

Figure 7 Simulation plot of the intensity of the angular spectrum of the total ®eld
at different positions along interaction length [Ref. 4].
The Split-Step Beam Propagation Method 255

4.4 BEAM PROPAGATION IN NONLINEAR MEDIA

4.4.1 Nonlinear Self-focusing and Defocusing of Beams
The nonlinear propagation of beams through a cubically nonlinear material
is modeled by the nonlinear PDE, also called the nonlinear SchroÈdinger
(NLS) equation [4]

@Ee 2
2j k0 ˆ r? Ee ‡ 2n2 k20 jEe j2 Ee …4:4:1†
@z

where n2 is the nonlinear refractive index coef®cient de®ned by the func-

tional dependence of the total refractive index n on the intensity [4]:

Figure 8 Gaussian beam propagation in a self-focusing medium showing periodic

focusing. Used with permission OSA, 1986 [7].
256 Chapter 4

Figure 9 Gaussian beam propagation in a self-defocusing medium. Used with

permission OSA, 1986 [7].

n ˆ n0 ‡ n2 jEe j2 …4:4:2†

In writing Eq. 4.4.1, we have taken the linear refractive index n0 equal to
unity for the sake of simplicity. For a medium with n2 > 0, one can observe
self-focusing of a Gaussian beam traveling through a medium, while self-
defocusing is observed fora medium with n2 < 0. The nonlinear operator
^
expfS
zg ˆ exp jk0 n2 jEe j2
z. Typical plots showing self-focusing and
self-defocusing of initial Gaussian pro®les in one transverse dimension are
shown in Figs. 8 and 9, respectively. Note that in Fig. 8, the initial power in
the Gaussian beam is taken to be higher than the so-called critical power
required for self-focusing. For this reason, one observes periodic focusing
during propagation through the medium. The physical reasoning behind
self-focusing is as follows. The Gaussian beam induces a positive lens in
the nonlinear material for n2 > 0 because where the beam intensity is high
The Split-Step Beam Propagation Method 257

(e.g., on-axis), the induced refractive index is higher as well, amounting to

larger slowing down of the wave fronts. The wave fronts are therefore bent
similar to the action of a positive lens, resulting in initial focusing of the
beam. This process continues till the beam width is small enough for the
diffraction effects to take over, leading to an increase in the beam width.
The converse is true for the case of n2 < 0. In this case, the beam spreads
more than in the linear diffraction limited case.
A stable nonspreading solution in one transverse dimension can be
analytically found from the NLS equation for n2 > 0 and has the form

 1=2
8 x
Ee …x† ˆ sec h …4:4:3†
n2 k0 …2k0 †1=2

where  is a free parameter. With such a beam pro®le as an initial condition,

the propagation has been plotted using the split-step method, as shown in
Fig. 10. This pro®le is called a spatial soliton and can be regarded as a
nonlinear eigenmode of the NLS system. Higher order spatial soliton solu-
tions can also be derived. We would like to point out that the above simula-
tions can be easily modi®ed to analyze pulse propagation through a
nonlinear ®ber and in the presence of group velocity dispersion. This is
possible because the interchange z ! t and x ! z in the NLS equation
with a suitable coef®cient in front of the second-order derivative term trans-
forms the equation to one that can model the propagation of pulses in time t
along a ®ber. The split-step method has also been used to analyze propaga-
tion of pulses through ®bers having higher order dispersion, and other kinds
of nonlinearities, such as that stemming from Raman scattering, etc. An
excellent reference on nonlinear propagation through ®bers is Agrawal [4].
The split-step technique has also been applied to analyze propagation of
pro®les in two transverse dimensions [7], and also to analyze propagation of
optical ®elds that are pulsed in time and have a spatial pro®le in the trans-
verse dimension [8].

4.4.2 Beam Fanning and Distortion in Photorefractive

Materials
In this section, a model for beam propagation through a nonlinear photo-
refractive material that takes into account inhomogeneous induced refrac-
tive index changes due to the nonlinearity is ®rst developed. In some cases a
focused Gaussian beam asymmetrically distorts due to passage through the
nonlinear material.
258 Chapter 4

Figure 10 Spatial soliton propagation in a self-focusing medium. Used with per-

mission OSA, 1986 [7].

The photorefractive (PR) effect, discussed in detail in Chapter 7, has

been used in a wide variety of applications, viz., image processing, optical
interconnections, optical data storage, optical limiters, and self-pumped
phase conjugators [9]. When a PR material is illuminated by a light beam
or by a fringe pattern generated by the interference of two light beams,
photoexcited carriers are redistributed in the volume of the crystal [9].
This sets up a space charge ®eld which, through the linear electro-optic
effect, gives rise to a refractive index pro®le and hence a phase hologram.
The phenomenon of PR beam fanning, where the incident light beam
is de¯ected and/or distorted when it passes through a high-gain PR crystal,
has been observed in BaTiO3 , LiNbO3 , and SBN [10±12]. One of the ways
this has been explained is through the fact that a symmetric beam may
create an asymmetric refractive index pro®le, leading to beam distortion,
or what we will call deterministic beam fanning (DBF) in the far ®eld [13].
The Split-Step Beam Propagation Method 259

This analysis has been done for a thin sample, meaning one where diffrac-
tion of the beam is neglected during its travel through the PR material, and
by using a linearized theory to determine the induced refractive index pro-
®le. We have recently extended the linearized approach to the case of a thick
sample, and have included the transient effects, and are in the process of
determining the effects of transient DBF when a reading beam is used to
illuminate a previously stored hologram in the PR material [14].
Another school of thought is that beam ``fanning'' results from light
scattering from the random distribution of space charges in the PR material.
However, a larger contribution to random beam fanning (RBF) is the so-
called ampli®ed noise [15] that may arise from the couplings between the
plane wave components scattered from crystal defects.
In this section, we examine steady state DBF in a diffusion dominated
PR material by deriving a closed form expression for the induced refractive
index change from the nonlinearly coupled Kukhtarev equations. We also
assess the role of propagational diffraction in DBF by determining the
similarities and differences between the thin and thick sample models.
It can be shown that the coupled set of simpli®ed Kukhtarev equations
[9] (see Chapter 7 for details) for a diffusion dominated PR material can be
decoupled in the steady state to yield an ordinary differential equation for
the space charge electric ®eld [13]. In denormalized form, we can express this
electric ®eld Es …x; y; z† as
  
2 eNA e rI
r Es ˆ E …4:4:4†
s r
Es kB T s =s ‡ I

where e is the electronic change, NA is the (ionized) acceptor concentration,

s is the static permittivity, kB is the Boltzmann constant, T is the tempera-
ture, s is the ionization cross section per unit photon energy, and  is the
thermal generation rate. The last coef®cient is important if the beam pro®le
decays to zero for large x; y, which represent directions transverse to pro-
pagation (z) of the beam in the PR material. I…x; y; z† denotes the intensity
distribution along x; y at a position z in the PR material. We have numeri-
cally checked that a good approximation to the solution of Eq. 4.4.4 is

kB T rI
Es  ˆ Esx a^ x ‡ Esy a^ y …4:4:5†
e =s ‡ I

if …kB =T=e†=W2  eNA =s , where W is the characteristic width of the com-
plex envelope Ee …x; y; z† of the optical ®eld. The quantities a^ x and a^ y refer to
unit vectors in the x- and y-directions, respectively. Now this electrostatic
®eld induces a refractive index change
next …x; y; z† for extraordinary polar-
260 Chapter 4

ized (say along x, see Fig. 11) plane waves of light in the PR material,
assumed BaTiO3 from now on, through the linear electro-optic effect,
given by

next …x; y; z; y† ˆ Ex …x; y; z† f …y†
1 3
f …y† ˆ 2 ne …y† cos y  …r13 sin y ‡ r33 cos2 y ‡ 2r42 sin2 y
n2e …y† ˆ …sin2 y=n2o ‡ cos2 y=n2e † 1
…4:4:6†

where no and ne are the linear ordinary and extraordinary refractive indices
and the rij are the linear contracted electro-optic coef®cients [9]. The angle 
in Eq. 4.4.6 is de®ned in Fig. 11. Note that f …y† is a slowly varying function
of  over the spectral content of the optical ®eld. It can be readily shown
that, in general, propagation through the PR material under the slowly
varying envelope approximation can be modeled by means of the PDE [13]

@Ee 2
ˆ jk0
next Ee j‰1=2ne …†k0 r? Ee
@z
  
kx

next …x; † ˆ F x 1 ‰F x ‰Ee …x†Šf ‡0
ne …†k0
kB T @jEe …x†j2 =@x
Esx …x† ˆ …4:4:7†
e =s ‡ jEe …x†j2

where  is the characteristic impedance of the medium. For values of 

around 40 , a symmetric beam could induce an asymmetric refractive
index pro®le, leading to beam bending and DBF in the far ®eld.
However, for some other value of , for instance 90 , our theory predicts
symmetric beam shaping, in agreement with the ®ndings of Segev et al. [15].
In this respect, the nature of the optical nonlinearity in a PR material is
more involved as compared to that in a nonlinear Kerr-type material. We

Figure 11 Geometry used to study DBF. Used with permission of North-Holland,

1993 [13].
The Split-Step Beam Propagation Method 261

point out that in a Kerr-type material for instance, only an asymmetric

beam pro®le can cause beam bending, as reported in [16], while a symmetric
beam undergoes self-focusing or defocusing.
In what follows, we ®rst provide results for the far ®eld beam pro®les
by assuming the PR material to be a thin sample, in the sense that we neglect
the effects of propagational diffraction through the material. A Gaussian
input

…x2 ‡ y2 †
Ee …x; y; 0† ˆ …I0 †1=2 exp …4:4:8†
W2

with I0 ˆ 2P=W 2 , where I0 denotes the on-axis intensity and P is the beam
power, is phase modulated owing to the induced refractive index pro®le. The
resulting output ®eld is Ee …x; y; L† ˆ Ee …x; y; 0† exp… jk0
next …x†L†, where L
is the thickness of the PR material. Such a phase modulation results in a
shift of the far ®eld pattern with respect to the axis …z† of propagation of the
optical beam, and in the appearance of asymmetric side lobes, the so-called
fanning of the beam. Numerical simulations for BaTiO3 with parameters
n0 ˆ 2:488, ne ˆ 2:434, r42 ˆ 1640 pm/V, r13 ˆ 8 pm/V, r33 ˆ 28 pm/V,
NA ˆ 2  1022 m 3 , s ˆ 3:28  10 8 F/m, s ˆ 2:6  10 5 m2 =J, b ˆ 2 s 1 ,
T ˆ 298 K [13], and L ˆ 1 cm and using an incident wavelength of 514.5 nm
show a monotonic increase in the shift of the far ®eld main lobe from the z
axis with increase in I0 (implying either an increase in power P or a decrease
in width W). In Figs. 12a and b, kx is the spatial frequency variable corre-
sponding to x and is related to the far ®eld coordinate xf by kx ˆ k0 xf =d, d
being the distance of propagation from the exit of the crystal to the far ®eld.
However, the amount of DBF (de®ned by the relative amount of power in
the side lobes) varies nonmonotonically with intensity, initially increasing as
the intensity is increased from low levels to attain a maximum, and then
decreasing with further increase in intensity.
Note that our results are different from those of Feinberg [10], in that
the latter, based on a linearized two-beam coupling theory that neglects
coupling of the angular plane wave components of the Gaussian with any
!
background illumination, yields E s / rI=I0 , where I0 is the quiescent inten-
sity (to be compared with our Eq. 4.4.7). For a Gaussian intensity pro®le,
the locations of the extrema of E in Feinberg's formulation are ®xed w.r.t.
to the incident pro®le and hence can be shown to predict a monotonic
increase in DBF with a decrease in W. In our nonlinear formulation, how-
ever, for decreasing W, the extrema of E move out with respect to the
incident pro®le, so that the pro®le essentially sees a linear induced refractive
index for suf®ciently small W, resulting in reduced DBF.
 262

Figure 12 Normalized far ®eld intensity pro®les for the thin sample model. (a) P ˆ 1:5 mW; (b) W ˆ 40 microns. Used with
permission of North-Holland, 1993 [13].
Chapter 4
The Split-Step Beam Propagation Method 263

Before comparing the thin sample results with the ®ndings for the
thick sample case, we will, at this point, provide a simple alternate explana-
tion for the observed behavior of DBF when monitored as a function of the
intensity. Our explanation is based on the examination of the spectrum of
the phase modulation exp… ik0
next …x†L†. The far ®eld pattern is the con-
volution of the above spectrum with that of the input pro®le. Since
next …x†
is an odd function of x (see Eq. 4.4.6), it can be expanded in a power series
of the form ax3 bx, where a and b are given by

4f …y†kB T=eW 2 …2b=W 2 †…=sI0 †

bˆ aˆ …4:4:9†
=sI0 ‡ 1 =sI0 ‡ 1

Note that the coef®cients of this expansion hold for all values of the ratio
=sI0 . The spectrum H…kx † of exp… ik0
next …x†L† is then

2 k bk0 L
H…kx † ˆ 1=3
Ai x …4:4:10†
…3a† …3a†1=3

Once again, kx above has the same implication as in the discussion on Fig.
12. We comment that if d is replaced by f , where f is the focal length of a
lens at the exit plane of the crystal, kx , and hence xf , would be representative
of the spatial coordinate on the back focal plane of the lens. Ai‰
Š is the Airy
function [17]. The ith zero, i , of H…kx † is related to the ith zero, i …< 0†, of
Ai‰
Š by i ˆ bk0 L ‡ …3a†1=3 i . It then follows that the spatial extent of the
Airy pattern for kx < bk0 L, up to say the ith zero, and normalized by the
spectral width 2=W of the incident Gaussian pro®le, varies nonmonotoni-
cally with I0 . Figs. 13a and b show, for instance, the variations of i ˆ bk0
L ‡ …3a†1=3 i =…2=W† for i ˆ 1 with W and P, respectively. The shift in the
Airy pattern, bk0 L, however, increases with an increase in I0 . For large I0 , it
can be shown that the shift is proportional to 1=W 2 , in agreement with the
trend in Fig. 12a. The resulting far ®eld pattern, which is the convolution of
the Gaussian spectrum and the Airy pattern, generally exhibits decreased
DBF when the Airy pattern has a (denormalized) width much smaller than
that of the Gaussian spectrum (which may occur, for instance, for both
small and large W). This is in agreement with our numerical simulations
in Fig. 12. Appreciable DBF occurs in the region where the normalized
bandwidth (see Figs. 13a and b) is greater than unity. As an example, for
P ˆ 1:5 mW, maximum beam fanning, de®ned by the maximum of the ratio
of the peak value of the side lobe and that of the main lobe, occurs when
W ˆ 30 microns.
Figure 13 Normalized bandwidth of the induced PR phase modulation (a) for P ˆ
1:5 mW, plotted as a function of W, and (b) for W ˆ 40 microns, plotted as a
function of P. Used with permission of North-Holland, 1993 [13].
The Split-Step Beam Propagation Method 265

In the remainder of this section, we will present the results for the far
®eld beam pro®les using a thick sample model for the PR material and point
out the similarities and differences with the thin sample approach.
Numerical simulations for the thick sample model were performed on the
basis of Eq. 4.4.7 by employing a split-step beam propagation technique [7].
In this simulation, we track both the phase and the amplitude modulation of
the beam within the crystal due to the combined effects of propagational
diffraction (along x; y) and induced refractive index (along x) arising from
the PR effect. Figs. 14a and b show the normalized far ®eld intensity pat-
terns with W and P as parameters. By W we now mean the beam waist that
would be expected at z ˆ L=2 (i.e., the location of the center of the sample)
in the absence of any electro-optic effect (rij ˆ 0) (see inset in Fig. 14a). The
results are qualitatively similar: DBF is seen to reduce at very low (high) and
very high (low) values of P …W†. Quantitatively, for a ®xed power P (viz.,
1.5 mW), we can predict the absence of DBF for suf®ciently large values for
W (viz., 70 microns) which are independent of the model (thin or thick
sample) used for simulation. Physically, this makes sense, since the thin
and thick sample models must agree if the diffraction effects in the crystal
are suf®ciently small. On the other hand, the reason for the absence of DBF
for a suf®ciently small value of W in the thick sample approach is that
effectively, the beam width, if monitored over most of the sample, is large
(due to a large diffraction angle), implying a reduced PR effect. This in turn
implies that propagation through the crystal is predominantly diffraction
limited. For small W, the thick sample model therefore is more accurate
than the corresponding thin sample model for the same value of W, since
the latter model overestimates the amount of cumulative PR effect. For the
thick sample model, for the same value of P as above, we see negligible DBF
for W less than 25 microns. On the other hand, the thin sample model
predicts a value of W less than 5 microns for negligible beam fanning.
The reason for the disappearance of DBF in the thin sample approach
has been presented above using the Airy function argument and the move-
ment of the extrema of E w.r.t. the incident optical ®eld. Maximum DBF for
P ˆ 1:5 mW occurs for W ˆ 40 microns, in close agreement with the thin
sample computations and the Airy function approach. However, the shift in
the position of the main lobe in the thick sample model is much smaller as
compared to the thin sample case due to the effective decrease in the PR
effect for a small waist size, as explained above. Referring to Fig. 14a, we
note that for W ˆ 40 microns, P ˆ 1:5 mW and f ˆ 10 cm, and the spatial
shift in the back focal plane of a lens of focal length f located at the exit
plane of the PR material is about 0.2 mm. We would like to comment that
for the above parameters, DBF was also numerically observed at the exit
face of the thick PR sample.
Figure 14 Normalized far ®eld pro®les for the thick sample model. (a) P ˆ 1:5
mW; (b) W ˆ 40 microns. Used with permission of North-Holland, 1993 [13].
The Split-Step Beam Propagation Method 267

4.4.3 Two-Beam Coupling in Photorefractive Materials [18]

As seen in the previous section, in diffusion dominated photorefractive (PR)
materials, the induced refractive index can be written as

kB T rI

next / …4:4:11†
e =s ‡ I

The interaction between two focused Gaussian beams incident on the mate-
rial can be effectively studied numerically using the split-step method. In this
case, two-beam coupling results in energy exchange between the two beams
after interaction through the photorefractive material. The problem geome-
try is shown in Fig. 15. The two Gaussian beams are focused in the center of
the photorefractive material, and the angle between them is 2. The
Gaussian beams are expressed in terms of their q-parameters at the entry
face of the material. The split-step algorithm is used to determine the inter-
action and energy exchange between the two beams. The induced refractive
index
n written above is used to construct the operator representing the
induced inhomogeneity in the material. The results on two-wave mixing are
shown in Fig. 16. The dot-dashed lines show the far ®eld intensity pro®les of
the two Gaussian beams in the absence of the photorefractive material. The
dashed lines show the beams after energy transfer due to the induced refrac-
tive index. The initial pump-to-signal power is 3. The peak intensity of the

Figure 15 Geometry for photorefractive two-beam coupling. Used with permis-

sion of North-Holland, 1994 [18].
268 Chapter 4

Figure 16 (a) Dotted and dashed lines are respectively the far ®eld signal and
pump intensities with the absence of any PR material, and chain dots and chain
dashes represent the resulting far ®eld intensities after the beams have propagated
through a 5 mm BaTiO3 sample. Incident beams are focused to the center (z ˆ L=2)
of the Pr crystal, and the waist of each beam at wavelength 0.632 microns is 100
microns. Signal-to-pump ratio is 3, and semi-angle of crossing  is 0.5 degrees. Note
that w1 ˆ w2 ˆ 1:0  10 4 . (b) Interference pattern at center (z ˆ L=2) of the PR
crystal for the beams described in (a). (c) Space charge ®eld (V/m) at the center
(z ˆ L=2) of the crystal for the beams of (a). Used with permission of North-
Holland, 1994 [18].

pump and signal beams are 63 and 21 W/cm2 , respectively, before the inter-
action. The beams are coupled by a 5 mm BaTiO3 photorefractive material.
The output beams do not show any effect of beam fanning at this power, but
with larger beam powers, distortion of the beams due to beam fanning is
observed. The results have been used to ®nd the two-beam coupling strength
The Split-Step Beam Propagation Method 269

and their dependence on the intensities of the two participating beams. The
results, shown in Ref. 18, depict that the coupling strength depends on the
power ratio between the two beams, a fact that is ignored in perturbation
calculations of two-wave mixing in photorefractive materials. Later, in
Chapter 7, we will analyze this effect in more detail with participating
plane waves and using rigorous coupled wave theory.

4.5 q-TRANSFORMATION OF GAUSSIAN BEAMS

THROUGH NONLINEAR MATERIALS: z-SCAN AND P-
SCAN TECHNIQUES

The previous examples illustrated the use of the split-step method in calcu-
lating the beam pro®les during diffraction in space or during propagation
through a guided (externally or internally induced) medium. If a Gaussian
beam is assumed, however, the split-step method can be reformulated in
terms of a differential equation that shows the evolution of the Gaussian
beam's parameters, e.g., width, during propagation. The ensuing equation
can be exactly solved in some cases, e.g., for a Kerr-type material, and is
therefore physically more transparent than the results obtained using the
split-step method. The differential equation for the parameter(s) may not be
simpler to solve than the split-step method, but having an analytical solution
(Gaussian beam) adds a tremendous insight into the actual propagation of
the wave through the material, whereas the split-step method only presents
simulation results. When a Gaussian beam travels a distance
z in an n2
medium, the q-parameter [19] change using the split-step method can be
written as

q2

q ˆ
z ‡ …4:5:1†
find …
z†

where find is the nonlinearly induced focal length of the slice
z [19]. The
above equation shows that the q of a Gaussian beam changes due to pro-
pagational diffraction and due to the induced nonlinearity of the material.
In LiNbO3 the photovoltaic effect is responsible for breaking the circular
symmetry of an incident focused extraordinarily polarized Gaussian beam.
Therefore the propagation model is based on the propagation of an elliptical
Gaussian beam.
As discussed in the last section, beam fanning in photorefractive crys-
tals has received considerable attention for its possible implications in holo-
graphic information recording [10,20±23]. Light-induced scattering resulting
270 Chapter 4

in deterministic beam fanning (DBF) has been observed in PR LiNbO3 and

can be explained on the basis of an induced nonlinear refractive index
primarily due to the photovoltaic and thermal effects [11]. This type of
beam fanning is distinct from random beam fanning (RBF) due to light
scattering from the randomly distributed space charges or crystal defects
[9,15]. In LiNbO3 the photovoltaic effect is responsible for breaking the
circular symmetry of an incident focused extraordinarily polarized
Gaussian beam in the far ®eld, while the thermal effect manifests itself in
circularly symmetric far ®eld patterns [11]. Over a range of input powers the
photovoltaic effect dominates, resulting in an elongated far ®eld pattern
with the spreading dominant along the c-axis of the crystal.
An interesting consequence of monitoring the q-parameter variation of
a Gaussian beam as it propagates through a nonlinear material is that one
can thereby estimate the amount of nonlinearity in the material.
Conventional methods of estimating the sign and magnitude of the optical
nonlinearity in materials include the z-scan technique where the far ®eld on-
axis transmittance is monitored as a function of the scan distance about the
back focal plane of an external lens. The z-scan method, however, may be
rather cumbersome, since it involves scanning the material; so we developed
a simpler technique in which the longitudinal position of the sample is not
changed. Instead the beam ellipticity is monitored as a function of the
incident beam power P while testing materials with induced inhomogeneous
nonlinearities, e.g., photorefractive (PR) LiNbO3 . Another disadvantage of
the z-scan is that monitoring the on-axis intensity may be dif®cult owing to
aberrations, optical misalignments, sample imperfections, refractive index
mismatch, and nonparallelism of the entry and exit faces of the material.
The imperfections can give rise to ®ne interference patterns within the far
®eld intensity pro®le. These problems have been observed during z-scan
measurements of LiNbO3 , which led us to develop the P-scan technique
as an attractive and simple alternative.
In what follows, we present a new technique for determining the non-
linear refractive index of PR LiNbO3 that uses an appropriate model for
beam propagation through a nonlinear material. The model takes into
account inhomogeneous induced refractive index changes due to the optical
nonlinearity. For the case of LiNbO3 , induced refractive index changes are
primarily due to photovoltaic contributions over the range of powers used.
The model is based on the evolution of beam widths of an incident circularly
symmetric Gaussian beam focused by a lens onto the material in order to
reduce RBF. The calculations closely follow the analysis for the z-scan
determination of nonlinearities in a thick sample of a nonlinear material
previously derived by several groups [13,24]. Under certain approximations,
the model reduces to that used by Song et al. to study anisotropic light-
The Split-Step Beam Propagation Method 271

induced scattering and ``position dispersion'' in PR materials [25]. Since we

consider a ``thick'' sample, i.e., a sample whose thickness is much larger than
the Rayleigh range of the focused Gaussian beam, diffraction effects become
important and cannot be neglected. Therefore we determine the beam shape
as it leaves the nonlinear sample and then calculate the beam pro®le after it
has propagated some distance outside the medium. The information about
the effective n2 is contained in the nature of this pro®le. In general, the
magnitude and sign of the nonlinearity can be determine from the beam
pro®le variation as the sample position is varied about the back focal length
of the external lens. The nonlinearity depends on the acceptor-to-donor
concentration ratio NA =ND , which in turn determines the far ®eld diffrac-
tion pattern. Conversely, measurements of the far ®eld pattern can be used
to calculate NA =ND and used as a tool for characterizing different LiNbO3
samples.

4.5.1 Model for Beam Propagation Through a PR LiNbO3

Single Crystal
Assume an incident Gaussian beam in the form
! !
x2 y2
Ee …x; y; z† ˆ a…z† exp exp …4:5:2†
w2x w2y

For an elliptical Gaussian beam the following relationships hold:

q2x q2y

qx ˆ
z ‡
qy ˆ
z ‡ …4:5:3†
findx findy

Since
!
2 2 x2 y2
n ˆ ne ‡ n2 jEe j  ne 2n2 a …z† 2 ‡ 2 …4:5:4†
wx wy

where n2 is the effective nonlinear refractive index coef®cient, ne is the linear

refractive index, and Ee is the optical ®eld, we can compute the phase change
upon nonlinear propagation through a section
z of the sample and thereby
determine the induced focal length. As expected, these focal lengths are
inversely proportional to
z and can be expressed as
272 Chapter 4

ne w2x ne w2y
findx ˆ findy ˆ …4:5:5†
4n2x a2 …z†
z 4n2y a2 …z†
z

Substituting Eq. 4.5.5 into 4.5.3 and taking the limit as
z ! 0 we obtain
the system of equations

dqx 4n2x a…z†q2x

ˆ1‡
dz ne w2x
dqy 4n2y a…z†q2y
ˆ1‡ …4:5:6†
dz ne w2y

Using the well known relationship 1=q ˆ 1=R ‡ j=ne w2 , where R is a
radius of Gaussian beam curvature, 1=R ˆ …1=w†…dw=dz†, and  is the wave-
length in vacuum, we obtain

1 dRx n2e 2 w4x 2 R2x 4n2x a2

ˆ
R2x dz …ne w2x Rx †2 ne w2x
2 2 4
1 dRy ne  wy  Ry
2 2
4n2y a2
ˆ …4:5:7†
R2y dz …ne w2y Ry †2 ne w2y

d 2 wx 2 4n2x a2
ˆ
dz2 n2e 2 w3x ne w x
d 2 wy 2 4n2y a2
ˆ …4:5:8†
dz2 n2e 2 w3y ne wy

Taking into account the relationship for the beam's power,

P ˆ …=2†a2 …z†wx …z†wy …z†, where  is the characteristic impedance of the
material, which is conserved, we ®nally have the system of equations
describing the Gaussian beam propagation in a thick LiNbO3 crystal:

d 2 wx 2 8n2x P
2
ˆ 2 2 3
dz ne  wx ne w2x wy
d 2 wy 2 8n2y P
ˆ …4:5:9†
dz2 n2e 2 w3y ne w2y wx

Assuming n2x  n2y (true for photorefractive lithium niobate), the variation
of the widths wx and wy of an elliptic Gaussian beam propagating through a
The Split-Step Beam Propagation Method 273

thick LiNbO3 sample as shown in Fig. 17 can be modeled by the coupled

differential equations [26]

d 2 wx 2 8n2 P
ˆ
dz2 n2e 2 w3x ne w2x wy

d 2 wy 2
2
ˆ 2 2 3 …4:5:10†
dz ne  wy

The case when n2x ˆ n2y has been studied [13] by employing the q-transfor-
mation approach to ®nd the widths of an elliptic Gaussian beam in a non-
linear medium in the presence of diffraction. Equation 4.5.10 assumes that
the nonlinearity is highly inhomogeneous and only affects the width along
the x-axis (which coincides with the c-axis of our crystals) due to the large
electron mobility along that axis [25]. The effective n2 can be written as [11]

1 3 k R NA
nw  n r …4:5:11†
2 e 33 mebND

where r33 is the electro-optic coef®cient, k is the photovoltaic constant,  is

the absorption coef®cient, R is the recombination constant, m is the mobi-
lity, e is the electron charge, and b is the thermal generation rate. In the

Figure 17 z-scan setup for a thick sample. The thick lines represent the path of the
rays, described as the locus of the 1=e points of the Gaussian beam. The thin lines
show the ray path in the absence of the medium. Circular symmetry of the Gaussian
beam is assumed throughout the sample. Used with permission of OSA, 1998 [26].
274 Chapter 4

above equation, we have made the assumption b  sI, where s is the ioniza-
tion cross section per quantum of light and I is the optical intensity.

4.5.2 z-SCAN: ANALYTICAL RESULTS, SIMULATIONS,

AND COMPARISON WITH SAMPLE EXPERIMENTS
In this section we present analytical and numerical simulation results using
equations (1) and compare them with sample experiments using PR
LiNbO3 . If the Gaussian beam incident on the sample is assumed to have
planar wave fronts and waist w0 (approximately at the back focus of the
lens), then
!
z2 ne w20
w2y …z† ˆ w20 1‡ 2 and zRy ˆ …4:5:12†
zR y 0

For a sample length L assumed to be much larger than the Rayleigh ranges
zRy and zRx along z for the elliptic beam, the evolution of wx can be approxi-
mated as
!  
z2 ne w20 4ne n2 P
w2x …z† ˆ w20 1‡ 2 where zRx ˆ 1‡
zR x 0 20
…4:5:13†

It is clear that in the x-direction, the beam spread is more than that in the
linear diffraction-limited case when n2 < 0 and less when n2 > 0. As seen
from Eq. 4.5.12, the nonlinearity does not affect the beam width along the y
direction, which leads to elliptic beam cross section pro®le at the exit of the
crystal and, in general, in the far ®eld.
For more general geometry, where the incident beam does not have a
planar wave front, we have solved Eqs. 4.5.10 numerically. Figure 18 shows
typical z-scan graphs plotted for four different values of power for the initially
circularly symmetric Gaussian beam. In the calculations we have used the
following parameters: crystal thickness L ˆ 10 mm, lens focal length
f0 ˆ 10 cm, 0 ˆ 514 nm, initial beam width w0 ˆ 1:0 mm, ne ˆ 2:20,
n2 ˆ 1:4  10 12 m2 =V2 , P ˆ 1 mW, crystal exit plane to observation
plane distance D ˆ 1 m. A simple explanation of the behavior in the limiting
case (s much smaller or larger than f0 ) seen in Fig. 18 can be given by referring
to Fig. 17. When the distance s, the lens-to-sample separation, is much smaller
than the lens focal length f0 , the incident beam is weakly focused and therefore
the beam widths lie close to their linear values leading to semilinear diffrac-
The Split-Step Beam Propagation Method 275

Figure 18 Typical z-scan graph drawn by solving Eq. 4.5.10 and propagating the
Gaussian beam a distance D behind the sample. Used with permission of OSA, 1998
[26].

tion-limited propagation. When s is much larger than f0 , the incident beam is

weakly diverging and the overall nonlinear effect is small, which in turn leads
to semilinear diffraction-limited propagation. If s  f0 , the incident beam is
highly focused and therefore the nonlinear effect is large. In this region, as s
decreases, the normalized intensity decreases from its linear value, passes
through a minimum, and then reaches its maximum before approaching its
linear value again. The overall negative slope (between the peak and the valley)
of the z-scan con®rms the net negative nonlinearity of the sample.
Figure 19 depicts ellipticity wx =wy in the far ®eld versus displacement s
drawn for the same set of parameters as that used to draw Fig. 17 but for
P ˆ 0:2 mW. We have done a series of sample experiments and compared
results. It turns out that the on-axis intensity measurement of far ®eld
patterns may lead to signi®cant errors due to ®ne structures in the pattern
as seen on Fig. 20 (obtained using a LiNbO3 crystal doped with Fe). We
have used this crystal for all experimentation to validate our theory, unless
otherwise stated. As stated in the Introduction, possible reasons for this
include
276 Chapter 4

Figure 19 Plot of ellipticity as a function of displacement s for parameters the

same as in Fig. 1 but for P ˆ 0:2 mW. Used with permission of OSA, 1998 [26].

1. Interference patterns stemming from single-beam holography [27]

2. Interference patterns from optical misalignment
3. Light diffraction and scattering on crystal defects
4. Interference patterns from nonparallel crystal edges

Note that the pattern is approximately symmetric (along x and y). This
symmetry arises because the refractive index changes that are due to photo-
voltaic (and thermal) effects are symmetric and because there is little con-
tribution from diffusion. Experimental results based on the measurement of
ellipticity, as shown in Fig. 21, show the same trend as the theoretical pre-
dictions superposed on the same ®gure. The ellipticity was calculated from
experimental observations by ®rst determining the extent wx , wy of the
bright or gray region along x and y, respectively, from pictures such as
Fig. 20 and taking the ratio of the two. Note that Fig. 21 is in fact a
blow-up of Fig. 19 over the interval 9.5±10.5 cm. The theoretical graph in
Fig. 21 was drawn after examining the experimental results shown in the
same ®gure and choosing that value n2 for the analytical graph that mini-
mizes the sum of the differences between the experimental points and the
corresponding theoretical data.
The Split-Step Beam Propagation Method 277

Figure 20 Typical beam pattern at D ˆ 0:5 m for P ˆ 0:05 mW, f0 ˆ 20 cm, and
s ˆ 19:5 cm for Fe doped LiNbO3 crystal. Used with permission of OSA, 1998 [26].

Figure 21 Experimental (points) and theoretical (line) variation of the beam ellip-
ticity on the observation plane as a function of scan distance. here, P ˆ 0:2 mW, D ˆ
0:5 m, f0 ˆ 10 cm. Upon comparison, n2 ˆ 1:4  10 12 m2 =V2 . Used with permis-
sion of OSA, 1998 [26].
278 Chapter 4

As a ®nal note, we would like to point out that each time the crystal
was displaced along the longitudinal direction for a fresh z-scan ellipticity
measurement, we also made a transverse movement of the crystal in order to
make sure that we were starting out from a virgin location in the crystal for
each data point. In other words, we always started out from an initially
unexposed region of the crystal and exposed it to the incident illumination
until the steady state was achieved.

4.5.3 P-SCAN SIMULATIONS AND COMPARISON OF

THEORY WITH EXPERIMENT
In order to make the data acquisition less cumbersome and still get an
accurate value for the effective n2 , we have developed and used a new
technique that we call P-scan, where we simply vary the power of a
Gaussian beam focused at a ®xed longitudinal position within the sample
and monitor the beam ellipticity. Each data point for the ellipticity is how-
ever the steady state value for a different transverse location in the crystal.
Figure 22a shows a typical theoretically obtained P-scan graph. From sam-
ple experiments we have found that the value of the nonlinearity coef®cient
of PR LiNbO3 derived with z-scan compares favorably with that found
using P-scan. To determine the effective n2 we have matched experimental
data (Fig. 22b) with those obtained numerically. In the experiment we de®ne
the extent of DBF by measuring the ellipticity of the distinct bright spot.
The 10  10  10 mm crystals have been illuminated with extraordinary
polarized light at 0 ˆ 514 nm. The 0.8 mm wide beam has been focused
by a lens with a focal length of f0 ˆ 20 cm into the crystal (see Fig. 17). The
observation plane is 0.5 m from the crystal. It took between 10 and 45 min
(depending on the dopant and its concentration) to achieve the steady state
pattern. As the beam power increases, both DBF and RBF increase.
However, above a particular value of power Ps the photovoltaic effect satu-
rates and thermal effects become more appreciable. Taking this into account
we have used low power, i.e., P < Ps . We stress that our model does not take
into account saturation or thermal effects. Experimental data have been
used to build a cubic spline, and its slope has been compared and matched
with slopes of those obtained numerically for a series of different n2 . Once
the slopes are matched, the nonlinearity of the crystal is known. Given n2 ,
the acceptor-to-donor ratio can be readily determined using (2). Using P-
scan we have evaluated effective nonlinearities (resulting from the photo-
voltaic effect) of 12 LiNbO3 samples doped with various materials [28]. Our
results for the nonlinearity for most crystals, as shown in Table 1, are in
general agreement with the trends from hologram peak diffraction ef®ciency
The Split-Step Beam Propagation Method 279

Figure 22 (a) Theoretically and (b) experimentally obtained P-scan graph for D ˆ
0:5 m for f0 ˆ 20 cm and s ˆ 19:5 cm for the Fe doped LiNbO3 crystal. Fig. (a) was
drawn with n2 ˆ 4  10 11 m2 =V2 to provide the best match with the experimental
results in (b) for lower powers. Used with permission of OSA, 1998 [26].

from these crystals when holograms were stored in them with a 90 s expo-
sure time at 514 nm using an incident power of approximately 200 mW.
Given a crystal with unknown nonlinearity, the signal can be deter-
mined as follows. We place the crystal around the back focal plane of the
lens. Upon moving it toward the lens, if the ellipticity reduces to less than
unity, nw < 0. If, upon moving the crystal away from the lens, the ellipticity
280 Chapter 4

Table 1. Experimental results for effective nonlinearities (n2 ) of the 12 crystals.

The last column shows the time needed to achieve the steady state.

Crystal name Dopant Nonlinearity Time

Pat Fe 4:00E-11 10 min @ 0.01 mW
Rob Rh 3:00E-13 25 min @ 1 mW
Bob Cr 2:00E-13 20 min @ 1 mW
Sam Fe:Ce 1:00E-10 5 min @ 0.005 mW
Ned Cu 5:00E-11 10 min @ 0.01 mW
Hal Co 4:00E-11 20 min @ 0.01 mW
Ted Tb 4:00E-13 25 min @ 1 mW
Eve Ce 3:00E-11 15 min @ 0.01 mW
Flo Fe:Cr 7:00E-11 10 min @ 0.01 mW
Liz Fe:Mn 9:00E-10 5 min @ 0.005 mW
Ian Mn 5:00E-13 25 min @ 1 mW
Moe Ni 4:00E-13 20 min @ 1 mW

is less than unity, n2 > 0. The magnitude of n2 can now be evaluated using
the P-scan technique. Details of this can be found in Ref. 26.
In summary, a model for beam propagation through a nonlinear mate-
rial that takes into account inhomogeneous induced refractive index changes
due to the nonlinearity was developed. The theory based on this model can
be used to analyze the propagation of Gaussian beams through PR LiNbO3 .
A focused Gaussian beam of circular cross section incident on the sample
emerges as an elliptic Gaussian after interaction in this material. The P-scan
method can be used to evaluate the effective nonlinearities (resulting from
the photovoltaic effect) of lithium niobate samples doped with different
materials such as Fe, Co, Cr, Rh, Mn, etc. The value of the nonlinear
coef®cient can then be used to determine the acceptor-to-donor ratio of
dopants in the photorefractive samples.
This method can be used to characterize any optically nonlinear mate-
rial that has an induced intensity-dependent refractive index. We would like
to point out that this method is very general and in principle can be applied
to any nonlinear electromagnetic material and at any frequency.

PROBLEMS

1. Analyze the propagation of a Gaussian beam through free space

using the transfer function for propagation de®ned in Section 4.1.
Assume an initial Gaussian of waist W0 and having plane wave-
The Split-Step Beam Propagation Method 281

fronts at z ˆ 0. Find expressions for the width W…z† and the radius
of curvature of the wavefronts R…z† after an arbitrary distance z of
propagation.
2. A Gaussian beam of width W and having wavefront with a radius
of curvature R is normally incident on the interface between air
and glass of refractive index n. Find the width and radius of
curvature:
(a) immediately after transmission through the interface, and
(b) immediately upon re¯ection at the interface.
[Hint: Calculate the off-normal ray re¯ection and transmission
angles.]
3. A one-dimensional Gaussian beam symmetric along the x-direc-
tion of waist W0 is incident on a thin slice of dielectric material of
thickness
z with a graded refractive index n…x† ˆ n0 n…2† x2 for
small x. Find the effective focal length of the induced lens as the
Gaussian beam propagates through the material. Hence ®nd the
approximate location of the focal point beyond the thin sample
where the Gaussian beam would have minimum waist.
4. A one-dimensional Gaussian beam symmetric along the x-direc-
tion of waist W0 is incident on a thin slice of dielectric material of
thickness
z with a graded refractive index n…x† ˆ n0 ‡ n1 cos Kx;
W0  2=K. Calculate the far-®eld diffraction pattern.
5. Use the split step beam propagation technique to analyze propa-
gation along z of a one-dimensional Gaussian beam of W0 ˆ 100
( is the free-space wavelength) incident onto a lamellar grating
bounded by a material with refractive index n0 . The lamellar grat-
ing has a thickness of 100 with a refractive index pro®le
n…x† ˆ n0 ‡ n1 sgn(cosKx), K ˆ 2=; ˆ 5, where sgn(y† ˆ ‡1
if y > 0 and 1 if y < 0. Take n0 ˆ 1:5, n1 ˆ 0:15. Calculate the
pro®le at the exit plane of the grating and in the far ®eld. Repeat
the problem for the case where the thickness of the lamellar
grating is 1000 and characterize the differences between the
two cases.
6. Use the split step method to analyze the propagation of a
Gaussian beam of waist W0 ˆ 100 through a material of thick-
ness 100 having a refractive index pro®le n…x† ˆ n0 ‡ …x=W0 †,
jxj < 5W0 . Let n0 ˆ 1:5,  ˆ 0:015. Assume that the material is
bounded by a material of refractive index n0 . Determine the far-
®eld intensity pro®le.
7. A Gaussian beam of waist W0 ˆ 100 symmetric about x ˆ 0 is
incident from air onto a nonlinear material slab of thickness 100
and of refractive index n…x† ˆ 1 ‡ n2 I…x† where I…x† is the intensity
282 Chapter 4

of the Gaussian beam. Assume that a knife edge is present at

z ˆ 0, x < 0. Use the split step method to determine the far ®eld
pro®le. At z ˆ 0, take n2 I…0† ˆ 10 4 .

REFERENCES

1. P. P. Banerjee and T. C. Poon, Principles of Applied Optics, CRC Press, 1991.

2. G. P. Agrawal, Nonlinear Fiber Optics, Academic Press, London, 1989.
3. R. H. Hardin and F. D. Tappert, Applications of the split-step Fourier method
to the numerical solution of nonlinear and variable coef®cient wave equations,
SIAM, 15, 423 (1973).
4. A. Korpel, Acousto-optics, 2d ed., Marcel Dekker, Amsterdam, 1997.
5. C. Venzke, A. Korpel, and D. Mehrl, Appl. Opt., 31, 656 (1992).
6. P. P. Banerjee and C.-W. Tarn, A Fourier transform approach to acoustooptic
interactions in the presence of propagational diffraction, Acustica, 74, 181±191
(1991).
7. A. Korpel, K. E. Lonngren, P. P. Banerjee, H. K. Sim, and M. R. Chatterjee, J.
Opt. Soc. Am., 3, 885 (1986).
8. H. K. Sim, A. Korpel, K. E. Lonngren, and P. P. Banerjee, Simulation of two-
dimensional nonlinear envelope pulse dynamics by a two-step spatiotemporal
angular spectrum method, J. Opt. Soc. B, 5, 1900±1909 (1988).
9. P. Yeh, Introduction to Photorefractive Nonlinear Optics, John Wiley, New
York, 1993.
10. J. Feinberg, Asymmetric self-defocusing of an optical beam from the photore-
fractive effect, J. Opt. Soc. Am., 72, 46±51 (1982).
11. J. J. Liu, P. P. Banerjee, and Q. W. Song, Role of diffusive, photovoltaic, and
thermal effects in beam fanning in LiNbO3 , J. Opt. Soc. Am. B, 11, 1688±1693
(1994).
12. V. V. Voronov, I. R. Dorosh, Yu. S. Kuz'minov, and N. V. Tkachenko,
Photoinduced light scattering in cerium-doped barium strontium niobate crys-
tals, Sov. J. Quantum Electron, 10, 1346±1349 (1980).
13. P. P. Banerjee and R. M. Misra, Dependence of photorefractive beam fanning
on beam parameters, Opt. Comm., 100, 166±172 (1993).
14. P. P. Banerjee and J.-J. Liu, Perturbational analysis of steady state and tran-
sient beam fanning in thin and thick photorefractive media, J. Opt. Soc. Am. B,
10, 1417±1423 (1993).
15. M. Segev, Y. Ophir, and B. Fischer, Nonlinear multi two-wave mixing. The
fanning process and its bleaching in photorefractive media, Opt. Comm., 77,
265±274 (1990).
16. G. A. Swartzlander and A. E. Kaplan, J. Opt. Soc. Am. B, 5, 765 (1988).
17. M. Abramowitz and I. A. Stegun, Handbook of Mathematical Functions,
Dover, New York, 1970.
18. K. Ratnam and P. P. Banerjee, Nonlinear theory of two-beam coupling in a
photorefractive material, Opt. Comm., 107, 522±530 (1994).
The Split-Step Beam Propagation Method 283

19. P. P. Banerjee, R. M. Misra, and M. Maghraoui, Theoretical and experimental

studies of propagation of beams through a ®nite sample of a cubically nonlinear
material, JOSA B, 8, 1072±1080 (1991).
20. M. Cronin-Golomb and A. Yariv, Optical limiter using photorefractive non-
linearities, J. Appl. Phys., 57, 4906±4910 (1985).
21. S. E. Bialkowski, Application of BaTiO3 beam-fanning optical limiter as an
adaptive spatial ®lter for signal enhancement in pulsed infrared laser-excited
photothermal spectroscopy, Opt. Lett., 14, 1020±1022 (1989).
22. J. Feinberg, Self-pumped, continuous-wave phase conjugator using internal
re¯ection, Opt. Lett., 7, 486±488 (1982).
23. J. O. White, M. Cronin-Golomb, B. Fischer, and A. Yariv, Coherent oscillation
by self-induced gratings in the photorefractive crystal BaTiO3 , Appl. Phys.
Lett., 40, 450±452 (1982).
24. M. Sheik-Bahae, A. A. Said, and E. W. Van Stryland, High-sensitivity, single-
beam n2 measurements, Opt. Lett., 14, 955±957 (1989).
25. Q. W. Song, C.-P. Zhang, and P. J. Talbot, Anisotropic light-induced scattering
and ``position dispersion'' in KNbO3 :Fe crystal, Opt. Commun., 98, 269±273
(1993).
26. P. P. Banerjee, A. Danilieko, T. Hudson, and D. McMillen, P-scan analysis of
induced inhomogeneous optical nonlinearities, J. Opt. Soc. Am., 15, 2446±2456
(1998).
27. N. Kukhtarev, G. Dovgalenko, G. Duree, G. Salamo, E. Sharp, B. Wechler,
and M. Klein, Single beam polarization holographic grating recording, Phys.
Rev. Lett., 71, 4330±4332 (1993).
28. T. Hudson and D. McMillen, personal communication.
5
Rigorous Coupled Wave Analysis of
Inhomogeneous Cylindrical and
Spherical Systems

5.1 INTRODUCTION
5.1.1 Background
In Chapters 2, 3, and 4 the RCWA method and spectral domain techniques
were used extensively to treat the solution of Maxwell's equations for planar
dielectric systems, which were isotropic, anisotropic, or bianisotropic.
Chapter 2 concentrated on the case when the dielectric layers were trans-
versely homogeneous and the source and EM ®elds of the system could be
effectively represented as a Fourier or K-space integral (i.e., waveguide slot,
dipole antenna, etc.). Chapter 3 concentrated on the case when the dielectric
layers were periodic diffraction gratings and the source of the system were
Rayleigh plane waves. In Chapter 4 the split-step beam propagation method
was used to solve the dif®cult problem that occurs when the dielectric layer
is a diffraction grating and the source (i.e., Gaussian beam) is represented by
a Fourier or K-space integral.
In this chapter we will deal with the problem of using the RCWA or
exponential matrix method to solve Maxwell's equations in circular and
spherical systems that may be inhomogenous in the radial and angular
coordinates and which may be isotropic or anisotropic. In cylindrical or
spherical systems the RCWA method is applied by expanding all EM ®eld
and source quantities in Floquet harmonics that are periodic in the angles 
or . The method is similar to that used when applying the RCWA method
to planar diffraction gratings systems where all EM ®eld and source quan-
tities are expanded in Floquet harmonics, which are periodic in the grating
periods x or z .

285
286 Chapter 5

Two major differences exist between the cylindrical and spherical

RCWA formulations presented in this chapter and the RCWA formulation
presented in Chapter 3. The ®rst difference is that, in cylindrical or spherical
systems, when Maxwell's equations are being reduced to state variable form
(a set of ®rst order, partial differential equations), the scale factors asso-
ciated with Maxwell's equations (for example, 1=r, 1=…r sin…††, etc.) vary
with radial coordinate r, whereas in homogeneous planar diffraction grating
systems, this variation does not occur. This difference does not cause sig-
ni®cant trouble, however, and may be overcome by simply dividing the
cylindrical or spherical system into a set of thin layers where the scale factors
are nearly homogeneous, and then using a multilayer analysis as was per-
formed in Chapters 3 and 4 to solve the cascaded system. The second major
difference is that the ®eld solutions that exist in the uniform space regions
that bound the inhomogeneous scatterer have Maxwell equation solutions
that consist of Hankel and Bessel functions for cylindrical systems and
Tesseral harmonics (that is, half-order Bessel and Legendre polynomial
solutions) for spherical systems. When using the RCWA planar diffraaction
grating method, the Maxwell equation solutions consist of Rayleigh plane
waves. Having to use Hankel, and Bessel and Tesseral harmonic functions in
the boundary matching procedure causes the overall solution to be more
complicated than in the planar diffraction grating case. A detailed descrip-
tion of the differences of the RCWA cylindrical and planar diffraction
grating formulations will be given, along with several numerical examples.
An important and well-known problem in electromagnetics is the
problem of determining the scattering that occurs when an electromagnetic
wave is incident on a circular cylindrical object. This problem has been
extensively studied in the cases where (1) the EM incident wave is an
oblique or nonoblique plane wave, (2) the incident EM wave has been
generated by a line source, (3) the circular cylindrical scattering object is
an inhomogeneous dielectric, and (4) the circular cylindrical object is a
dielectric-coated metallic object [1±7]. The problem of determining plane
wave and line source scattering from eccentric circular dielectric systems
(circular dielectric cylinders of varying dielectric value whose axes are not
centered on a single line) has also been studied. Recently Kishk et al. [8]
have obtained a complete solution to this problem and give a complete
literature survey of scattering from eccentric and centered circular cylind-
rical dielectric systems.
A problem concerning circular cylindrical object scattering that has
not, to the authors' knowledge, received a great deal of attention is the
problem of determining the scattering and radiation that occurs when the
circular cylindrical dielectric system contains a region whose permittivity is
inhomogeneous and periodic in the phi (') direction. Figure 1 shows two
Inhomogeneous Cylindrical and Spherical Systems 287

Figure 1 (a) The geometry of a phi-periodic system when Region 2 is a semicy-

lindrical half shell and a plane wave is incident on the cylindrical system. (b) An
eight-section (four grating period) shell system excited by a line source located at
 s ˆ s a^ x , 0  s < a. Used with permission of VSP BV, 1997 [15, Fig. 1].

examples of such a system. In this section we treat the cases (1) where the '-
inhomogeneity and its excitation are only periodic over the '-period of ' ˆ
2 (for example, plane wave scattering off a '-inhomogeneous dielectric
cylinder, see Fig 1a) and (2) where the '-inhomogeneity and its excitation
possesses a higher symmetry than the ®rst case (for example, Fig. 1b with a
centered line source) in which the '-period can be taken to be ' ˆ 2=p,
p  2, where p is an integer. The '-inhomogeneous cylindrical dielectric
system that is being studied in this paper can also be viewed as a circular
diffraction grating that has been placed in a circular region.
The solution of the problem just stated may have applications, for
example, to scattering from circular frequency-selective surfaces and scatter-
ing from circular surfaces covered with periodically spaced radar absorbing
material (RAM). It can also be used as a numerical cross-check of other
numerical algorithms that concern scattering from dielectric systems.
The solution method to be proposed in this chapter to solve the cir-
cular diffraction grating problem will be based on a recently developed
algorithm called rigorous coupled wave theory (RCWA), which has been
288 Chapter 5

used extensively to determine diffraction from a planar dielectric diffraction

grating [9±14]. This algorithm calculates the diffraction from the grating in
four basic steps: (1) expands all electric and magnetic ®eld and dielectric
permittivity tensor components in a set of Floquet harmonics (this is an
exponential Fourier series whose period is the diffraction grating period), (2)
solves Maxwell's equations in the nondiffractive regions on the incident and
transmit sides of the diffraction grating, (3) solves Maxwell's equations in
the diffractive region of space using a state variable approach (the EM ®elds
in the diffraction gratings consist of an in®nite number of forward and
backward propagating and nonpropagating state variable eigenmodes),
and (4) uses the solutions of Steps 2 and 3 to match EM boundary condi-
tions at the front and back boundaries of the diffraction grating. The solu-
tion of Maxwell's equations in the incident and transmit sides of the
diffraction grating consists of an in®nite number of propagating and eva-
~
nescent plane waves whose x-propagation factors are e jkxi x~ (x~ is a coordi-
nate along the grating interface) where k~xi ˆ k~x0 iK~ x , where
p
k~x0 ˆ k0 I sin I , k0 ˆ 2=, where  is the free space wavelength,
i ˆ 1; . . . ; 1; 0; 1 . . . ; 1, K~ x ˆ 2=~ x, 
~ x is the grating period, 1 is
the relative permittivity on the incident side, and I is incident angle of
the plane wave incident on the diffraction grating. Chapter 3 gives a detailed
description of the RCWA method and its application to planar diffraction
gratings.
The solution method described previously for planar diffraction grat-
ings will be used to determine the EM ®elds of the circular cylindrical phi-
periodic problem. In the regions bounding the phi-periodic region (Regions
1 and 3 of Fig. 1), the Maxwell equation solution consist of an in®nite sum
of Bessel and Hankel function solutions Ji eji' , Hi…1† eji' , and Hi…2† eji' , where
i ˆ 1; . . . ; 1; 0; 1; . . . ; 1. The eji' factor that makes up the cylindrical
~
solutions is analogous to the e j kxi x~ Floquet harmonic x-propagation factor
used in the planar diffraction analysis. In the phi-periodic cylindrical region,
all electric ®eld, magnetic ®eld, and dielectric permittivity tensor compo-
nents are expanded in a set of eji' exponential Fourier series harmonics
(Floquet harmonics), and Maxwell's equations are then cast in state variable
form and then solved numerically. Because of the radial inhomogeneous
nature of the state variable equations in cylindrical coordinates, the state
variable equations are solved by dividing the phi-periodic cylindrical region
into a series of thin layers (thin enough so that the radial coordinate is
approximately constant in the layer), solving Maxwell state variable equa-
tions in each layer, and matching EM boundary conditions form one layer
to the next to obtain an overall solution in the phi-periodic cylindrical
region. This ladder approach is identical to the approach used by
Inhomogeneous Cylindrical and Spherical Systems 289

Moharam and Gaylord [12] to solve planar surface relief diffraction grat-
ings.
We next use RCWA to determine the radiation and scattering that
arises from inhomogeneous anisotropic cylindrical dielectric and permeable
systems that have arbitrary radial and azimuthal spatial variation. The
RCWA state matrix equations and the associated boundary matrix equa-
tions (derived from a multilayer ladder analysis) are presented and solved
for the ®rst time for the cases when a plane wave (TM polarization, electric
®eld parallel to the cylinder axis) or electric line source is incident on a
cylinder that possesses an inhomogeneous permittivity pro®le …; '† and
possesses inhomogeneous anisotropic permeability pro®les  …; '†,
' …; '†, ' …; '†, and '' …; '†. In this chapter, radiation and scattering
from three inhomogeneous examples were studied using the cylindrical
RCWA method.
Finally, we present a rigorous coupled wave analysis of the electro-
magnetic radiation that occurs when a centered electric dipole excites power
and energy in a general three-dimensional inhomogeneous spherical system.
The formulation consists of a multilayer state variable (SV) analysis of
Maxwell's equations in spherical coordinates (the SV analysis used trans-
verse-to-r spherical EM ®eld components) as well as a presentation of the
EM ®elds that exist in the interior and exterior regions that bound the
inhomogeneous spherical system. A detail description of the matrix proces-
sing that is involved with ®nding the ®nal EM ®elds of the overall system is
given and three numerical examples of the RCWA method are studied

5.2 RIGOROUS COUPLED WAVE ANALYSIS CYLINDRICAL

FORMULATION [15]
5.2.1 Introduction
This section is concerned with the problem of determining the EM ®elds that
arise when a plane wave (see Fig. 1a) and an off-center interior line source
(see Fig. 1b) excite EM ®elds in a circular cylindrical dielectric system as
shown in Fig. 1. The EM analysis will be carried out by (1) solving
Maxwell's equation in the interior and exterior regions of Fig. 1 in terms
of cylindrical Bessel functions, (2) solving Maxwell's equation in the dielec-
tric shell region by using a multilayer state variable approach, and (3)
matching EM boundary conditions at the interfaces. It is convenient to
introduce normalized coordinates. We let a ˆ k0 a, ~  ˆ k0 ,
~ b ˆ k0 b, ~ etc.,
where unnormalized coordinates are in meters and k0 ˆ 2= is the free
space wave number (1/meter).
290 Chapter 5

5.2.2 Basic Equations

It is assumed that all ®elds and the medium are z-independent and that the
relative dielectric permittivity in Region 2 is given by

X
1
2 …; '† ˆ i …†eji' 0  '  2 ab …5:2:1†
iˆ 1

where i …† represents '-exponential Fourier coef®cients in Region 2. The

permeability is assumed to be that of free space,  ˆ 0 .
To begin the analysis we determine the EM ®elds in the regions inter-
ior and exterior to the Region 2 dielectric shell. In the interior region, the
EM ®elds of an off-center line source and the general electric scattered ®elds
are given by [5,6]

X
1
I …2† p
Ez…1† ˆ c…1†
i Ji …X1 † ‡ c0 H0 … 1 j~ ~s j† …5:2:2a†
iˆ 1
p
j 1 @Ez…1†
H'…1† ˆ …5:2:2b†
0 @X1
p p p
where cI0 ˆ !0 I=4, ~s ˆ s a^ x , 0 ˆ 0 =0 , X1 ˆ 1 k0 ~ ˆ 1 ,
0    a, and I is the electric current line source. The EM ®elds in the
region s <   a can be expressed [5,6] as
1 h
X i
Ez…1† ˆ ci…1† Ji …X1 † ‡ cI0 Ji …X1s †Hi…2† …X1 † eji'
iˆ 1

X
1
ˆ szi…1† …X1 †eji' …5:2:3a†
iˆ 1

j X
1
ph …1† 0 0
i
H'…1† ˆ 1 ci Ji …X1 † ‡ cI0 Ji …X1s †Hi…2† …X1 † eji'
0 iˆ 1

j X
1
ˆ u…1†
'i …X1 †e
ji'
…5:2:3b†
0 iˆ 1

p p
where J 0 …X† ˆ dJ…X†=dX, etc., X1s ˆ 1 k0 ~ s ˆ 1 s , and 1 is the relative
permittivity of Region 1. In the exterior region, the EM ®elds arepa sum of
an incident plane wave (electric ®eld given by E I ˆ E0I e j 3  x a^ z ,
~ and a general EM scattered wave. The exterior EM ®elds in
x ˆ k0 x)
Region 3 are given by
Inhomogeneous Cylindrical and Spherical Systems 291

1 h
X i X
1
Ez…3† ˆ ci…3† Hi…2† …X3 † ‡ EiI Ji …X3 † eji' ˆ szi…3† …X3 †eji' …5:2:4a†
iˆ 1 iˆ 1

j X1
ph …3† …2† 0 i
H'…3† ˆ 3 ci Hi …X3 † ‡ EiI Ji0 …X3 † eji'
0 iˆ 1

j X1
ˆ u…3†
'i …X3 †e
ji'
…5:2:4b†
0 iˆ 1

p p
where EiI ˆ E0I j i , X3 ˆ 3 k0 ~ ˆ 3 , and 3 is the relative permittivity in
Region 3.
In Region 2, the middle cylindrical dielectric region, we divide P the
dielectric region into L thin shell layers of thickness d` , b a ˆ L`ˆ1 d` ,
and solve Maxwell's equations in cylindrical coordinates by a state variable
approach in each thin layer. The layers are assumed to be thin enough so
that the -dependence of 2 …; '† and the  scale factors can be treated as a
constant in each layer. Letting  ˆ k0 ,~ we ®nd that Maxwell's equations in
a cylindrical shell of radius  are given by

@Ez
ˆ j0 H' …5:2:5a†
@
@‰0 H' Š 1 @2 Ez
‡ ˆ j2 Ez …5:2:5b†
@ j @'2

To solve Eq. 5.2.5, we expand Ez , 2 …; '†, and 0 H' in the Floquet har-
monics:

X
1
Ez ˆ szi …†eji' …5:2:6a†
iˆ 1
X1
0 H' ˆ u'i …†eji' …5:2:6b†
iˆ 1
" #
X
1 X
1
2 …; '†Ez ˆ i i 0 szi 0 eji' …5:2:6c†
iˆ 1 i ˆ 1 0

These expansions are substituted into Eqs. 5.2.5a and 5.2.5b and we let
sz …† ˆ ‰szi …†Š and uu …† ˆ ‰u'i …†Š be column matrices and  ˆ ‰i i 0 Š,
K ˆ ‰Ki;j 0 Š, K ˆ 2= 0 (0 is the circular grating period and i;i 0 is the
Kronecker delta) be square matrices. We ®nd then after a small amount
of manipulation that
292 Chapter 5
" #
@V sz
ˆ A V; Vˆ
@ uu
" #
0 …I†=
Aˆj …5:2:7†
…K K†= ‡   0

In the `th cylindrical shell it is convenient to introduce the local coordinates

s1 ˆ  b for b d1    b, s2 ˆ  …b d1 † for b d1 d2    b d1 ;
. . . ; sL ˆ  ‰b d1 d2


dL 1 Š for b d1 d2


dL   
b d1 d2


dL 1 .
The state variable equation Eq. 5.2.7 in each cylindrical shell can be
expressed in the local coordinates. Further, if the thickness of each cylind-
rical shell is chosen to be suf®ciently thin so that the  variation in A is
negligible, the A…† matrix of Eq. 5.2.7 can be approximated by the thin
shell's midpoint value where mid 1 ˆ b d1 =2, mid
2 ˆ b d1 d2 =2; . . . ;
mid
L ˆ b d1


dL 1 dL =2:
Letting A` ˆ Ajmid , we have the approximate state variable equation
`
in each thin shell given by

@V` …s` †
ˆ A` V` …s` † ` ˆ 1; . . . ; L …5:2:8†
@s`

If Eq. 5.2.8 is truncated at order MT (i ˆ MT ; . . . ; 1; 0; 1; . . . ; MT ), it

represents a NT ˆ 2…2MT ‡ 1† state variable equation (with matrix
…A` †NT NT ). The solution of this equation is given by

V`n …s` † ˆ V`n exp…qne` s` † …5:2:9†

where qn` and V`n are the nth eigenvalue and eigenvector of the constant
matrix A` …A` V`n ˆ qn` V`n †. Using the V`n …s` † eigenvector solution, the gen-
eral EM ®elds in the `th thin shell region are given by

MT X
X NT
Ez` ˆ cn` szin` exp…qn` s` † …5:2:10a†
iˆ MT nˆ1

MT X
X NT
0 H'` ˆ cn` u'in` exp…qn` s` † …5:2:10b†
iˆ MT nˆ1
h i
V t`n ˆ stzn` ut'n` …5:2:10c†
Inhomogeneous Cylindrical and Spherical Systems 293

where t represents matrix transpose. For MT ˆ 1 for example, suppressing

the n` subscripts, we have

V t ˆ ‰V1 ; V2 ; V3 ; V4 ; V5 ; V6 Š
stz ˆ ‰sz; 1 ; sz;0 ; sz;1 Š ˆ ‰V1 ; V2 ; V3 Š
ut' ˆ ‰u'; 1 ; u';0 ; u';1 Š ˆ ‰V4 ; V5 ; V6 Š …5:2:11†

To proceed further it is necessary to match EM boundary conditions

at all interfaces to determine all the unknowns of the system. If the series in
Regions 1 and 3 are truncated for jij  MT , then there are 2MT ‡ 1
unknowns in Region 1, 2MT ‡ 1 unknowns in Regions 3, and LNT
unknowns in Regions ` ˆ 1; . . . ; L. There are L ‡ 1 interfaces, and 2…2MT ‡
1† equations to be matched at each interface …2MT ‡ 1 equations for each
eji' coef®cient of Ez and 2MT ‡ 1 equations for each eji' coef®cient of H' ).
Thus for every truncation order MT , there are an equal number of equations
and unknowns from which the EM solution of the overall system can be
obtained.
Although a large matrix equation exists from which the overall solu-
tion of the problem can be obtained, a more ef®cient solution method is to
use a ladder approach [12] (that is, successively relate unknown coef®cients
from one layer to the next) to express the cnL coef®cients of the Lth last layer
in terms of the cn1 coef®cients of the ®rst layer, and then match boundary
conditions at  ˆ a and  ˆ b interfaces to obtain the ®nal unknowns of the
system. At the `th and …` ‡ 1†th interface, matching the Ez` and 0 H'`
®elds to the Ez; `‡1 and 0 H' `‡1 ®elds, we have

X
NT X
NT
cn` szin` exp… qn` d` † ˆ cn;`‡1 szin;`‡1 …5:2:12a†
nˆ1 nˆ1

X
NT X
NT
i ˆ MT ; . . . ; Mt
cn` u'in` exp… qn` d`† ˆ cn;`‡1 u'in;`‡1 …5:2:12b†
nˆ1 nˆ1
` ˆ 1; . . . ; L 1

Letting Ct` ˆ ‰c1` ; . . . ; cN;` Š, these equations can be written

D` C` ˆ E` C`‡1 …5:2:13a†

or

C`‡1 ˆ E` 1 D` C` ˆ F` C` …5:2:13b†
294 Chapter 5

where the 1 superscript denotes matrix inverse. Substituting successively

we have

CL ˆ FL 1 …FL 2


…F1 C1 †† ˆ M C1 …5:2:14†

At the  ˆ a boundary, if we match the Ez…1† solution with the EzL solution
(the ` ˆ L thin layer is assumed adjacent to Region 1, and the ` ˆ 1 thin
layer is assumed adjacent to Region 3) and solve for the Region 1 ci…1†
coef®cient, we ®nd

X
NT
c…1†
i ˆ cI0 Ji …X1s †Hi…2† …X1a † ‡ cnL szinL exp… qnL dL † =Ji …X1a † …5:2:15†
nˆ1

p
where X1a ˆ 1 a:
If the 0 aH'…1† solution is matched with the 0 aH'L solution the ci…1†
coef®cient is substituted, and the well-known Wronskian equation for Bessel
functions is used, it is found that

X
NT   
Ji …X1a † p Ji0 …X1a †
cI0 Ji …X1s † ˆ cnL exp… qnL dL † ja 1 s ‡ u'inL
nˆ1
2 Ji …X1a † zinL

iˆ MT ; . . . ; 0; . . . ; MT …5:2:16†

At the  ˆ b boundary, after matching the tangential electric ®eld Ez…3† from
Region (3) to the electric ®eld Ez1 from the ` ˆ 1 layer and solving for the
Region 3 c…3†
i coef®cient, we have

" #
X
NT
c…3†
i ˆ EiI Ji …X3b † ‡ cn1 szin1 =Hi…2† …X3b †
nˆ1 …5:2:17†
iˆ MT ; . . . ; 0; . . . ; MT

p
where X3b ˆ 3 b. If the 0 bH'…3† is matched with the 0 bH'1 ®eld solution
of the ®rst layer, the ci…3† coef®cient is substituted, and again a Wronskian
Bessel function relation is used, it is found that
" #( )
X
NT …2† 0
Hi…2† …X3b † p Hi …X3b †
EiI ˆ cn1 jb 3 …2† szin1 ‡ u'in1
nˆ1
2 Hi …X3b †
iˆ MT ; . . . ; 0; . . . ; MT …5:2:18†
Inhomogeneous Cylindrical and Spherical Systems 295

Equation 5.2.16 represents a set of 2MT ‡ 1 equations, Eq. 5.2.18

represents a set of 2MT ‡ 1 equations, and the matrix equation Eq. 5.2.14
represents a set of NT ˆ 2…2MT ‡ 1† equations. Thus Eqs. 5.2.14, 5.2.16, and
5.2.18 represent a set of 2NT ˆ 4…2MT ‡ 1† equations to calculate the 2NT
set of unknowns represented by C1 and CL . Once these quantities are known
all other unknown coef®cients in the system can be found.
An important quantity to calculate is the normalized power of each
order. We consider the important cases when either the power is radiated
from the line source in Region 1 …cI0 6ˆ 0, E0I ˆ 0† or the power is scattered by
a plane wave from Regions 3 …cI0 ˆ 0, E0I 6ˆ 0†. In the case when cI0 6ˆ 0 and
E0I ˆ 0, it is useful to calculate the normalized power of each order radiated
at three different places, namely at  ˆ a,  ˆ b, and  ˆ 1. These are
useful points because, according to the laws of conservation of power, the
sum of the powers over all orders at each interface should be equal (or
conserved) if there are no losses in the system. Thus a check of the power
conservation is a check of the numerical consistency of the solution. It is
useful secondly because it gives information on how the different power
levels of the orders change as the EM waves propagate through the system.
After substitution of the electric and magnetic ®elds into the Poynting real
power formula, and carrying out the '-integrals, the normalized power in
each order …PNi ˆ PRAD i =PINC , i is the order) is given at  ˆ a by
p
a 1 n …1† …1†
o
PNi …a† ˆ Re s zi …X 1a †u 'i …X 1a † …5:2:19†
2jcI0 j2

where s…1† …1†

zi …X1a † and u'i …X1a ) are de®ned in Eq. 5.2.3 and the  represents the
complex conjugate. At  ˆ b the normalized power radiated by the ith order
is given by
p
b 3 n …3† 2 …2† …2† 0 
o
PNi …b† ˆ Re jjc i j H i …X 3b †H i …X3b † …5:2:20†
2jcI0 j2

At  ˆ 1 the normalized power radiated by the ith order is given by

jc…3†
i j
2
PNi …1† ˆ …5:2:21†
jcI0 j2

For the plane wave scattering case …cI0 ˆ 0, E0I 6ˆ 0), it is useful to
calculate the normalized scattered power ({(power/meter)/wavelength)}/
{Poynting power intensity (watts/m2 )}) in each order. The normalized scat-
tered power at  ˆ b is given by
296 Chapter 5
( )
PScat …b†= p jc…3† j2
…2† …2† 0

PScat
Ni …b† ˆ i ˆ b 3 Re j i I 2 Hi …X3b †Hi …X3b † …5:2:22†
SINC jE0 j

The normalized scattered power at  ˆ 1 is given by

PScat
i …1†= 2 jc…3†
i j
2
PScat
Ni …1† ˆ ˆ …5:2:23†
SINC  jE0I j2

In Eqs. 5.2.22 and 5.2.23, SINC is the power per unit area (watts/meter2 ) of
the incident plane wave, and PScat
i is the scattered power per unit length
(watts/m) of the ith order.

5.2.3 NUMERICAL RESULTS [15]

In this section two numerical examples of scattering from phi-periodic

cylindrical systems are presented. In the ®rst example we study the scattering
that occurs when a plane wave is incident on the phi-periodic dielectric
system shown in Fig. 1a. In this cylindrical system the inner cylinder has
a relative dielectric value of 1 ˆ 1:5, Region 2 consists of two semicircular
dielectric regions where 20 ˆ 2:8 for the right half dielectric region … 90 
  90 † and 200 ˆ 2:3 for the left half dielectric region, and Region 3 con-
sists of free space 3 ˆ 1. The phi-Fourier coef®cients (square wave Fourier
coef®cients) are given by

1
0 ˆ …20 200 † ‡ 200
2

1 sin i
i ˆ …20 200 † jij  1 …5:2:24†
2 i

where 0 ˆ 2 and 1 ˆ .
Figure 2 shows a comparison of the '-periodic semicylindrical shell
~ normalized
plane wave scattered power in each order (calculated at ~ ˆ b,
according to Eq. 5.2.22, using MT ˆ 20 and L ˆ 30 layers) with that of a
uniform dielectric shell as a function of order i when b ˆ k0 b~ ˆ 10. In
Region 2 the uniform shell dielectric value was taken to be 2 ˆ 2:5 (this
value is the average or bulk dielectric value used for the semicylindrical
shell). The scattering from the uniform dielectric shell (dashed curves in
Fig. 2) was calculated both by the current state variable algorithm (using
MT ˆ 20 and L ˆ 30 layers) and by solving Maxwell's equations in
Regions 1, 2, and 3 in terms of Bessel and Hankel functions and then
Inhomogeneous Cylindrical and Spherical Systems 297

Figure 2 A comparison of the '-periodic semicylindrical shell plane wave scattered

~ normalized according to Eq.
power in each order (see Fig. 1a) (calculated at ~ ˆ b,
5.2.22) with that of a uniform dielectric shell as a function of order i when
b ˆ k0 b~ ˆ 10. In Region 2 the uniform shell dielectric value was taken to be
2 ˆ 2:5. Used with permission of VSP BV, 1997 [15, Fig. 2].

matching electromagnetic boundary conditions at the interfaces. The

numerical results obtained by both methods were so close that the two
dashed curves shown in Fig. 2 (both labelled uniform) cannot be distin-
guished. As can be seen from Fig. 2, the half cylinder shell causes an
increased oscillation of the order power over that of the uniform shell.
We note that the order power is symmetric for positive and negative values
of the order as is expected. We note that the order m ˆ 5 produces the
largest change in diffracted power from the uniform shell case for the
value of b ˆ k0 b~ ˆ 10 which was used.
Figure 3 shows the total plane wave scattered power from the semi-
cylindrical half shell described at the beginning of this section (see Fig. 1a)
~ solid line curve, normalized, see Eq. 5.2.22) when a ˆ
(calculated at ~ ˆ b,
k0 a~ ˆ 5 and where b~ ranges from b~ ˆ 0:8 to b~ ˆ 1:6. The values of MT ˆ
10 and L ˆ 30 layers (for each Region 2 shell of inner radius a and outer
radius b) were used to make this plot. For comparison, Fig. 3 also shows the
total plane wave scattered power (dashed curve) that results when a plane
wave is incident on the same dielectric system that has already been
described, except that Region 2 is taken to be a uniform dielectric shell
whose dielectric value is 2 ˆ 2:5. The scattering from the uniform shell
(dashed curve, Fig. 3) was calculated both by the current algorithm and
by solving Maxwell's equations in Regions 1, 2, and 3 in terms of Bessel
298 Chapter 5

Figure 3 The total plane wave scattered power from the semicylindrical half shell
~ solid line curve, normalized, see Eq. 5.2.23, labeled
(see Fig. 1a) (calculated at ~ ˆ b,
periodic) when a ˆ k0 a~ ˆ 5 and where b~ ranges from b~ ˆ 0:8, to b~ ˆ 1:6. The
value of MT ˆ 10, was used to make this plot. For comparison Fig. 1 also shows
the total plane wave scattered power (dashed curve, labeled Uniform) that results
when a plane wave is incident on the same dielectric system that has already been
described except that Region 2 is taken to be a uniform dielectric shell whose dielec-
tric value is 2 ˆ 2:5. Used with permission of VSP BV, [15, Fig. 3].

and Hankel functions and then matching electromagnetic boundary condi-

tions at the interfaces. Nearly identical numerical results were obtained by
the two methods. The dashed curve shown in Fig. 3 was calculated by using
Bessel and Hankel functions in all three regions and then matching bound-
ary conditions at the interfaces. As can be seen from Fig. 3, the presence of
the semicylindrical shell results in a small but perceptible difference in the
power scattered when compared to the scattered power from the uniform
shell system.
Figure 4 shows a comparison of the uniform and phi-periodic half
shell dielectric systems (same case as described in Figs. 2 and 3, normalized
by Eq. 5.2.22) for the orders of i ˆ 0 and i ˆ 7 when a ˆ k0 a~ ˆ 5 and b ˆ
k0 b~ is varied from values of b ˆ 5 to b ˆ 10 (MT ˆ 20 and L ˆ 30 layers).
As can be seen from Fig. 4 for the i ˆ 0 order, the uniform and half shell
cases show only a small difference in the scattered power, whereas for the
i ˆ 7 order a large difference in the scattered order power occurs.
Figure 5 shows the radiated power (normalized) that results when a
line source located at the origin radiates into the quarter phi-periodic shell
shown in Fig. 1b. The values of the relative dielectric in the Region 2 quarter
Inhomogeneous Cylindrical and Spherical Systems 299

Figure 4 A comparison of the uniform and phi-periodic half shell dielectric sys-
tems (same case as described in Figs. 2 and 3) for the i ˆ 0 and i ˆ 7 orders when
a ˆ k0 a~ ˆ 5 and b ˆ k0 b~ is varied from values of b ˆ 5 to b ˆ 10. Used with permis-
sion of VSP BV, 1997 [15, Fig. 4].

shell centered at ' ˆ 0 …j'j  45 † are 20 ˆ 3:25 for 22:5    22:5 and
200 ˆ 1:75 for 22:5 < j'j  45 . The Region 2 quarter shell regions centered
at ' ˆ 90 , 180 , and 270 repeat the ' ˆ 0 centered pattern. The Regions 1
and 3 dielectric values are the same as those used in the ®rst example. In this
case because of the centered location of the line source, the grating period of
the system can be taken to be 0 ˆ =2. Using this grating period and the
Region 2 dielectric values already given, the Fourier coef®cients are given by
Eq. 5.2.24 with 1 ˆ 45 . Also shown in Fig. 5, for comparison, is the
radiation that results when a line source radiates through a uniform dielec-
tric shell (Regions 1 and 3 have the same values as previous examples) and
Region 2 has a bulk dielectric value of 2 ˆ 2:5. In Fig. 5, a ˆ k0 a~ ˆ 5 and
the radiated power (normalized in Eq. 5.2.20) is plotted versus the outer
radius b ˆ k0 b~ with b ˆ k0 b~ varying from 5 to 10 (MT ˆ 4 and L ˆ 50
layers). The solid lines of Fig. 5 show a comparison of the total power
(normalized) radiated by the uniform and quarter shell periodic dielectric
systems. For the uniform shell, the m ˆ 0 order also represents the total
power radiated by the system, since the line is centered on the cylinder axis.
Figure 5 also shows the i ˆ 0 and i ˆ 4 order powers. The i ˆ 4 order is
based on a 0 ˆ 2 full circle grating period. It is the i ˆ 1 order if based on
a 0 ˆ =2 quarter circle grating period. The uniform shell radiated power
was calculated both by the current algorithm and by solving Maxwell's
equations in Regions 1, 2, and 3 in terms of Bessel and Hankel functions
and matching EM boundary conditions at the interfaces. The methods gave
300 Chapter 5

Figure 5 The radiated power that results when a line source located at the origin
radiates into the quarter phi-periodic shell shown in Fig. 1b. Here a ˆ k0 a~ ˆ 5 and
the radiated power is plotted versus the outer radius b ˆ k0 b~ with b ˆ k0 b~ varying
from 5 to 10. Used with permission of VSP BV, 1997 [15, Fig. 5].

nearly identical results. The Bessel function matching method was used to
make the plot of Fig. 4. As can be seen, the quarter shell dielectric system
causes signi®cantly different radiation than did the uniform shell system,
although both systems had the same bulk dielectric value in Region 2.
The total radiated power shown in Fig. 5 was determined by calculat-
ing the ith order power at ~ ˆ b~ (Eq. 5.2.20) and summing these order
powers to obtain the total scattered power. The power was calculated at ~ ˆ
1 and found to be almost exactly equal to that found at ~ ˆ b. ~ The ith
order power was also calculated at ~ ˆ a~ (Eq. 5.2.19). It was found that the
order power of the higher orders at ~ ˆ a~ was almost exactly zero for jij  1
and that the i ˆ 0 power at ~ ˆ a~ almost exactly equaled the total radiated
power calculated at ~ ˆ b.~ We thus see that conservation of power was
obeyed to a high degree of accuracy. It is interesting that almost no
power was radiated and diffracted into higher orders in the interior region
of the cylindrical system.

5.3 ANISOTROPIC CYLINDRICAL SCATTERING

5.3.1 Introduction
A problem concerning circular cylindrical object scattering that has been
studied is the problem of determining the scattering and radiation that
occurs when a circular cylindrical dielectric system contains a region
whose permittivity is inhomogeneous and periodic in the phi (') azimuthal
Inhomogeneous Cylindrical and Spherical Systems 301

direction [16±18]. Elsherbeni and Hamid [16] studied EM transverse mag-

netic (TM, electric ®eld parallel to the cylinder axis) scattering from the
inhomogeneous radial dielectric shell permittivity pro®le …; † ˆ a
…0 =†2 …  cos‰2'Š†, where a , 0 , , and  are constants de®ned in [16]
and  and ' are cylindrical coordinates. Mathieu functions are used to
solve for the EM ®elds in the inhomogeneous shell region. The choice of
…; '† used in Refs. 16±18 was necessary in order that the Region 2
solution could be expressed in terms of Mathieu functions. A limitation
of the solution in Refs. 16±18 is that their solution does not apply to an
arbitrary …; '† pro®le but only to one to which a Mathieu function
solution can be found.
In the previous section, we generalized the work in Refs. 16±18 and
presented an EM cylindrical solution algorithm to analyze radiation and
scattering from isotropic dielectric cylindrical systems that have an arbitrary
radial and azimuthal …; '† pro®le rather than the …; '† pro®le used in
Refs. 16±18. The solution algorithm above and in Ref. 15 was based on a
recently developed EM planar diffraction grating algorithm called rigorous
coupled wave (RCW) analysis [5,19,20]. The purpose of this section will be
to extend the RCWA cylindrical algorithm of Ref. 15 to handle the analysis
of anistropic inhomogeneous dielectric and permeable material cylinders.
Other research on uniform anistropic cylinder scattering may be found in
Refs. 21 and 22.
Speci®cally the algorithm of this chapter will study the case when (1)
the electric ®eld is polarized parallel to the material cylindrical axis (TM
case), (2) the cylindrical scattering object has an arbitrary isotropic inho-
mogeneous dielectric permittivity pro®le …; '†, and (3) the cylindrical scat-
tering object has arbitrary anisotropic inhomogeneous relative permeability
tensor pro®les xx …x; y†, xy …x; y†, yx …x; y†, and yy …x; y† …xz ; zx ; zy , and
yz are taken to be zero). Equations 5.3.2 and 5.3.3 of this chapter and Refs.
21 and 22 express the tensor elements in cylindrical components. The ana-
lysis of this chapter also applies to the case when (1) the magnetic ®eld is
polarized parallel to the cylindrical axis (TE case), (2) the cylindrical scat-
tering object has an arbitrary isotropic inhomogeneous permeable pro®le
…; '†, and (3) the cylindrical scattering object has arbitrary anisotropic
inhomogeneous relative permittivity tensor pro®les xx …x; y†, xy …x; y†,
yx …x; y† and yy …x; y† …xz ; zx ; zy , and yz are taken to be zero). This follows
since the TE and TM cases just described are dual to one another.
The solution of this problem is of great interest in several areas of EM
research. In the area of cylindrical aperture antenna theory, radial and
azimuthal dielectric loading in front of a cylindrical aperture antenna can
greatly alter, and therefore possibly enhance, the radiation characteristics of
cylindrical aperture antennas [16±18]. Other EM applications include (1)
302 Chapter 5

scattering from circular frequency-selective surfaces, (2) scattering from

cylindrical surfaces covered with periodically spaced inhomogeneous aniso-
tropic radar absorbing material (RAM), (3) scattering from irregularly
shaped inhomogeneous mounting struts in an anechoic chamber, and (4)
use as a cross-check of other numerical algorithms (FD-TD or FE) which
concern scattering from inhomogeneous anisotropic systems.

5.3.2 State Variable Analysis [23]

This section is concerned with the problem of determining the EM ®elds that
arise when a plane wave and an off-center interior line source excite EM
®elds in a circular cylindrical dielectric anistropic permeability system as
shown in Figs. 6±8 by using the RCWA method. The EM analysis will be
carried out by (1) solving Maxwell's equation in the interior and exterior
regions of Figs. 6±8 in terms of cylindrical Bessel functions, (2) solving
Maxwell's equation in the shell region by using a multilayer state variable
approach, and (3) matching EM boundary conditions at the interfaces. It is
convenient to introduce normalized coordinates. We let a ˆ k0 a, ~
~ b ˆ k0 b,
~ etc., where unnormalized coordinates are in meters, k0 ˆ 2= is
 ˆ k0 ,
the free space wave number (1/meter), and  is the free space wavelength.

Figure 6 The geometry of a uniform cylindrical shell system when a plane wave is
incident on the cylindrical system and when an electric line source excites EM ®elds in
the system is shown. The polarization of the electric ®eld of the plane wave is parallel
to the cylinder axis. Used with permission of EMW Publishing 1998, [23, Fig. 1].
Inhomogeneous Cylindrical and Spherical Systems 303

Figure 7 The geometry of an anisotropic permeable cylindrical half shell is shown

along with a plane wave (electric ®eld polarized parallel to the cylinder axis) and an
electric line source excitation. Used with permission of EMW Publishing 1998, [23,
Fig. 1].
It is assumed that all ®elds and the medium are z-independent and that
the relative dielectric permittivity in an inhomogeneous region of the mate-
rial system is given by
X
1
…; '† ˆ i …†eji' 0  '  2 …5:3:1†
iˆ 1


where …† represent '-exponential Fourier coef®cients. The anisotropic
permeability tensor is assumed to be given in rectangular and cylindrical
coordinates by [21,22]

Figure 8 The geometry of an isotropic dielectric square cylinder embedded in an

anisotropic permeable cylindrical half shell is shown along with an electric line
source excitation. Used with permission of EMW Publishing 1998, [23, Fig. 3].
304 Chapter 5
2 3 2 3
xx xy 0  ' 0
6 7 6 7
ˆ6
4 yx yy 0 75 ˆ6
4 ' '' 0 75 …5:3:2†
0 0 zz 0 0 zz

where

 ˆ xx cos2 …'† ‡ …xy ‡ yx † sin…'† cos…'† ‡ yy sin2 …'†
' ˆ xy cos2 …'† ‡ … xx ‡ yy † sin…'† cos…'† yx sin2 …'†
' ˆ yx cos2 …'† ‡ … xx ‡ yy † sin…'† cos…'† xy sin2 …'†
'' ˆ yy cos2 …'† ‡ … xy yx † sin…'† cos…'† ‡ xx sin2 …'† …5:3:3†

The cylindrical permeability tensor components are assumed to be expanded

in the exponential Fourier series

X
1
rs …; '† ˆ  rs …†eji' 0  '  2 …r; s† ˆ …; '† …5:3:4†
iˆ 1

where  rs …† represents '-exponential Fourier coef®cients.

The EM ®elds interior and exterior (Regions 1 and 3 of Figs. 6 and 7)
when a line source (Region 1) and a plane wave (Region 3) excite EM
radiation in a cylindrical system are well known to be an in®nite expansion
of the Fourier±Bessel functions

Hn…2† ejn' ; Jn ejn' ; Yn ejn'

In Region 2, the middle cylindrical dielectric region, we divide the

dielectric region into L thin shell layers of thickness d` , b a ˆ L`ˆ1 d`
(` ˆ 1 is adjacent to  ˆ b and ` ˆ L is adjacent to  ˆ a) and solve
Maxwell's equations in cylindrical coordinates by a state variable approach
in each thin layer. The layers are assumed to be thin enough so that the 
dependence of …; '†,  …; '†, ' …; '†, ' …; '†, and '' …; '† and the 
scale factors can be treated as a constant in each layer. Making the sub-
stitutions Sz ˆ Ez , U ˆ 0 H , and U' ˆ 0 H' , where Ez , H , and H'
represent the electric and magnetic ®elds in the thin shell region and 0 ˆ
377
is the intrinsic impedance of free space, we ®nd that Maxwell's equa-
tion in a cylindrical shell of radius  are given by
Inhomogeneous Cylindrical and Spherical Systems 305

@Sz
ˆ j U j' U' …5:3:5†
@'
@Sz ''
ˆ j' U ‡ j U …5:3:6†
@  '
@U' @U
ˆ jSz …5:3:7†
@ @'

To solve Eqs. 5.3.5±5.3.7, we expand Sz …; '†, U …; '†, U' …; '†,
…; '†, and rs …; '†, …r; s† ˆ …; '†, in the Floquet harmonics:

X
1 X
1
Sz …; '† ˆ szi …†eji' U …; '† ˆ ui …†eji'
iˆ 1 iˆ 1
" #
X
1 X
1 X
1
U' …; '† ˆ u'i …†eji' …; '†Ez ˆ i i 0 Szi 0 eji'
iˆ 1 iˆ 1 i 0 ˆ 1
" #
X
1 X
1
rs …; '† F…; '† ˆ  rs ;i i 0 fi 0 eji' …r; s† ˆ …; '† …5:3:8†
iˆ 1 i 0ˆ 1

where F…; '† represents either U …; '† or U' …; '† in Eq. 5.5.8. If these
expansions are substituted in Eqs. 5.3.5±5.3.7, and after letting
sz …† ˆ ‰szi …†Š, u …† ˆ ‰ui …†Š, and u' …† ˆ ‰u'i …†Š be column matrices
and …† ˆ ‰i i 0 …†Š, lrs …† ˆ ‰ rsi i 0 …†Š, …r; s† ˆ …; '†, K ˆ ‰Ki;i 0 Š, K ˆ 2=
' (' is the circular grating period and i;i 0 is the Kronecker delta) be
square matrices, we ®nd after manipulation that
   
@V s A11 A12
ˆAV Vˆ z Aˆ …5:3:9†
@ uu A21 A22

where

j j 
A11 ˆ luq lqq 1 K A12 ˆ luq lqq 1 lq' ‡ l''
 
 
1 j
A21 ˆj K lqq 1 K ‡  A22 ˆ K lqq 1 lq'
 

In these equations uq was eliminated by ®nding the matrix inverse of lqq ,

namely lqq 1 , and then carrying out appropriate matrix multiplications. If
Eq. 5.5.9 is truncated at order MT (i ˆ MT ; . . . ; 1; 0; 1; . . . ; MT ), Eq.
5.5.9 represents a NT ˆ 2…2MT ‡ 1† state variable equation [with matrix
306 Chapter 5

(A` †NT NT ]. The solution of this equation is given by Vn …† ˆ Vn exp… qn †,
where qn and Vn are the nth eigenvalue and eigenvector of the constant
matrix An . The quantities An , Vn , and qn satisfy An Vn ˆ qn Vn . The general
EM ®elds in the `th thin shell region are given by

MT X
X NT MT X
X NT
Ez ˆ cn szin exp…qn † 0 H' ˆ cn u'in exp qn 
iˆ MT nˆ1 iˆ MT nˆ1

…5:3:10†

where Vtn ˆ ‰stn ; utn Š and where t represents the matrix response.
Although a large matrix equation exists from which the overall solu-
tion of the problem can be obtained, a more ef®cient solution method is to
use a ladder approach [19] (that is, successively relate unknown coef®cients
from one layer to the next) to express the cnL coef®cients of the Lth last layer
in terms of the cn1 coef®cients of the ®rst layer, and then match boundary
conditions at the  ˆ a and  ˆ b interfaces to obtain the ®nal unknowns of
the system. From [19] we obtain the following overall matrix equation

CL ˆ FL 1 …FL


…F1 C1 †† ˆ M C1
2 …5:3:11†
X
NT   
I Ji …X1a † p Ji0 …X1a †
c0 Ji …X1s † ˆ cnL exp… qnL dL † ja 1 s ‡ u'inL
nˆ1
2 Ji …X1a † zinL

…5:3:12†
" #( )
X
NT …2† 0
Hi…2† …X3b † p Hi …X3b †
EiI ˆ cn1 jb 3 …2† szin1 ‡ u'in1 …5:3:13†
nˆ1
2 Hi …X3b †
p
where i ˆ MT ; . . . ; 0; . . . ; MT , J 0 …X† ˆ dJ…X†=dX, etc., X1s ˆ 1 s ,
p p
X1a ˆ 1 a, and X3b ˆ 3 b. Equation 5.3.12 represents a set of 2MT ‡ 1
equations, Eq. 5.3.13 represents a set of 2MT ‡ 1 equations, and the matrix
equation Eq. 5.3.11 represents a set of NT ˆ 2…2MT ‡ 1† equation. Thus
Eqs. 5.3.11±5.3.13 represent a set of 2NT ˆ 4…2MT ‡ 1† equations to calcu-
late the 2NT set of unknowns represented by C 1 and C L . Once these quan-
tities are known, all other unknown coef®cients in the system can be found.
An important quantity to calculate is the normalized power of each
order. We consider the important cases when either the power is radiated
from the line source in Region 1 …cI0 6ˆ 0, E0I ˆ 0) or the power is scattered by
a plane wave from Region 3 (cI0 ˆ 0, E0I 6ˆ 0). In the case when cI0 6ˆ 0 and
E0I ˆ 0, the normalized power in each order is given by PNi ˆ PRAD i =PINC ,
INC RAD
where P is the incident power of the line source and Pi is the radiation
Inhomogeneous Cylindrical and Spherical Systems 307

at a radial distance . For the plane wave scattering case (cI0 ˆ 0, E0I 6ˆ 0), it
is useful to calculate the normalized scattered at p ˆ 1:

PScat
i …1†= 2 jc…3†
i j
2
PScat
Ni …1† ˆ ˆ …5:3:14†
SINC  jE0I j2

In Eq. 5.5.14, SINC is the power per unit area (watts/meter2 ) of the incident
plane wave, and PScat
i is the scattered power per unit length (watts/m) of the
ith order.

5.3.3 Numerical Results [23]

In this section we will study line source radiation and plane wave scattering
using the RCWA method for three different material system examples.
The ®rst example consists of line source radiation and plane wave
scattering from a uniform dielectric shell. In this example all of space was
taken to have a permeability  ˆ 1 and the permittivity in Regions 1, 2, 3
was taken to be respectively 1 ˆ 1:5, 2 ˆ 2:5, and 3 ˆ 1. The inner radius
was taken to be a ˆ k0 a~ ˆ 5…a~ ˆ 0:795†, and the outer shell radius was
taken to range from b ˆ a ˆ 5 to b ˆ 10. Using a centered line source
excitation only (see Fig. 6), Fig. 9 shows a comparison of the normalized
radiated power (all normalized powers in this section are assumed normal-
ized either to the incident dipole or to the incident plane wave amplitude) as
determined by the RCWA method (using L ˆ 10 layers MT ˆ 1) with that
determined by a Bessel function matching solution method (based on
matching Bessel function solutions in Regions 1, 2, 3) when the outer radius
was varied from b ˆ a ˆ 5 to b ˆ 10. As can be seen from Fig. 9, excellent
agreement exists between the Bessel function matching algorithm and the
RCWA method.
Figure 10 shows the total radiated power that results when a centered
line source radiates through an anisotropic permeable half shell (see Fig. 7,
1 ˆ 1:5, 3 ˆ 1, 200 ˆ 1:75, 200 ˆ 1:5, 20 ˆ 3:25, xx ˆ 1:5, xy ˆ 0:3,
yx ˆ 0:3, yy ˆ 1:7, MT ˆ 10, L ˆ 10 layers) when the inner radius is a ˆ
k0 a~ ˆ 5 and when the outer radius is varied from b ˆ a ˆ 5 to b ˆ 10. As
can be seen, almost exact conservation of power at the inner and outer
radius is observed. At  ˆ a (inner radius) no power was calculated to be
diffracted into higher orders. This is why the total power at  ˆ a also
equals the i ˆ 0 power at  ˆ a. Also shown in Fig. 10 are the i ˆ 1,
i ˆ 0, and i ˆ 1 orders radiated at  ˆ b (outer radius) and the higher orders
i ˆ 3; 2; 2; 3. As b~ is increased from b~ ˆ 0:8 to b~ ˆ 1:6 in Fig. 10, one
clearly observes that as the outer radius is increased, power is depleted out
308 Chapter 5

Figure 9 The normalized radiated power that results when a centered line source
excites a uniform dielectric shell (see Fig. 6, 1 ˆ 1:5, 2 ˆ 2:5, 3 ˆ 1,  ˆ 1) is
shown when determined by RCWA and when determined by a Bessel function
matching solution. Used with permission of EMW Publishing, 1998 [23, Fig. 4].

of the i ˆ 0 order and is diffracted into higher orders. One also observes that
unequal order power is radiated into the i ˆ 1 and the i ˆ 1 orders. This is
to be expected and is a result of the anisotropy of the permeable half shell.

Figure 10 The total radiated power that results when a centered line source radi-
ates through an anisotropic permeable half shell (see Fig. 7, 1 ˆ 1:5, 3 ˆ 1,
200 ˆ 1:75, 200 ˆ 1:5, 20 ˆ 3:25, xx ˆ 1:5, xy ˆ 0:3, yx ˆ 0:3, yy ˆ 1:7,
MT ˆ 10, L ˆ 10 layers) when the inner radius is a ˆ k0 a~ ˆ 5 and when the outer
radius is varied from b ˆ a ˆ 5 to b ˆ 10 is shown. Used with permission of EMW
Publishing, 1998 [23, Fig. 5].
Inhomogeneous Cylindrical and Spherical Systems 309

Figures 11±13 display scattering results when a plane wave is incident

on the cylindrical system. Figure 11 (solid line and squares) shows a com-
parison of the total plane wave power scattered by the same uniform dielec-
tric shell example as considered in Fig. 10 (see Fig. 6, centered line source
not present) as determined by the Bessel function matching solution
(squares, MT ˆ 15) and as determined by the RCWA method (solid line,
using L ˆ 15 layers, MT ˆ 15). As can be seen from Fig. 11, excellent agree-
ment was obtained between the two methods. As can be seen from Fig. 11,
the RCWA method was able to reproduce accurately even the small reso-
nance peaks that arise in the scattering solution. Figure 11 (solid line labeled
RCWA [anisotropic, half shell]) shows the total plane wave scattered power
(as a function of the outer radius b) ~ that results when a plane wave is
incident on an anisotropic permeable cylindrical half shell (see Fig. 7,
1 ˆ 1:5, 3 ˆ 1, 200 ˆ 1:75, 200 ˆ 1:5, 20 ˆ 3:25, xx ˆ 1:5, xy ˆ 0:3,
yx ˆ 0:3, yy ˆ 1:7, MT ˆ 15, L ˆ 15 layers). As can be seen from Fig.
11, the presence of the anisotropic half shell causes a signi®cantly different
scattering pro®le from that of the isotropic uniform shell cylinder.
Figure 12 shows a three-dimensional plot of the plane wave scattered
order power versus order i when i is varied from i ˆ 15 to i ˆ 15 and
versus the outer radius b~ when b~ is varied from b~ ˆ 0:8 to b~ ˆ 1:6.

Figure 11 A comparison of the total plane wave power scattered by the same
uniform dielectric shell example as considered in Fig. 9 (see Fig. 1, centered line
source not present) as determined by the Bessel function matching solution
(MT ˆ 15) and as determined by the RCWA method (using L ˆ 15 layers,
MT ˆ 15) is shown. Plane wave scattering from an anisotropic cylinder is also
shown. Used with permission of EMW Publishing, 1998 [23, Fig. 6].
310 Chapter 5

Figure 12 A three-dimensional plot of the plane wave scattered order power versus
order i when i is varied from i ˆ 15 to i ˆ 15 and versus the outer radius b~ when b~ is
varied from b~ ˆ 0:8 to b~ ˆ 1:6 is shown. This is part of the same numerical case as
was studied in Fig. 11. Used with permission of EMW Publishing, 1998 [23, Fig. 7].

Figure 13 The scattered order power that occurs when a plane wave impinges on a
uniform dielectric shell (see Fig. 6,, 1 ˆ 1:5, 2 ˆ 2:5, 3 ˆ 1,  ˆ 1) rather than an
anisotropic half shell is shown. Used with permission of EMW Publishing, 1998 [23,
Fig. 8].
Inhomogeneous Cylindrical and Spherical Systems 311

Figure 12 is part of the same numerical case as was studied in Fig. 11. As can
be see from Fig. 12, one clearly observes asymmetry of the order power as
the size of the outer radius b~ is increased. The sum of the plane wave order
power at any given b~ gives the total scattered power, which is displayed in
Fig. 11. We again note that this total plane wave scattered power obeys
conservation of power as expected. Figure 13 in comparison with Fig. 12
shows the scattered order power that occurs when a plane wave impinges on
a uniform dielectric shell (1 ˆ 1:5, 2 ˆ 2:5, 3 ˆ 1,  ˆ 1) rather than an
anisotropic half shell. The uniform dielectric shell has dielectric permittivity
values roughly the same size as that of the anisotropic half shell. As can be
seen from Fig. 13, the three-dimensional shape of the Fig. 13 plot from the
uniform shell is symmetric in the order parameter i and in general has quite
a different shape from that of the anisotropic half shell in Fig. 13.
Figure 14 shows the total radiated power (normalized to the dipole
power of the centered line source) when a line source radiates from an
isotropic square cylinder embedded in an anisotropic permeable half shell
(see Fig. 8, 1 ˆ 1:5, 3 ˆ 1, 200 ˆ 3:5, 200 ˆ 1, 20 ˆ 3:25, xx ˆ 1:5,
xy ˆ 0:3, yx ˆ 0:3, yy ˆ 1:7, MT ˆ 20, L ˆ 25 layers). The radiated
power was calculated at  ˆ a …a~ ˆ 1† which is a circle inscribed in the
square cylinder of Region 1 and was calculated at  ˆ b (b~ ˆ 2:5†, which
is the outer radius ~
pof
 the anisotropic half cylinder. The outer radius b was
varied from b~ ˆ 2a~ ˆ 1:414 to b~ ˆ 2:5. As can be seen from Fig. 14,
extremely good power conservation was observed at  ˆ a …a~ ˆ 1) and at
~ Despite the square shape of the cylinder, no power was observed to
~ ˆ b.
be diffracted into higher orders at  ˆ a (a~ ˆ 1†. Also show in Fig. 14 are
the i ˆ 1, i ˆ 0, and i ˆ 1 orders radiated at  ˆ b (outer radius). As in
Fig. 12, one observes that power is depleted from the i ˆ 0 order and
radiated into higher orders. Figure 14 shows the increase in the i ˆ 1
and i ˆ 1 orders, for example, that occurs when b~ is increased. One also
observes in Fig. 14 that the order power is radiated asymmetrically into the
i ˆ 1 and i ˆ 1 orders. As in Fig. 14 this is expected and is due to the
anisotropy of the permeable half shell.
Figure 15 shows a plot (dotted line) of the relative dielectric permit-
tivity function …; '† when ~ ˆ 1:241 for the square cylinder anisotropic
half shell case displayed in Fig. 8. The circular dashed line of Fig. 8 repre-
sents the approximate placement of the ~ ˆ 1:241 parameter used to make
the Fig. 15 …; '† plots. Also shown in Fig. 15 (solid line) is the Fourier
series representation of the …; '† pro®le when ~ ˆ 1:241 and MT ˆ 20
(MT ˆ 20 was used to make the RCWA method of Fig. 14). As can be
seen from Fig. 14, enough Fourier terms ( 40 ˆ 2MT  i  2MT ˆ 40)
were used to model correctly the inhomogeneous region as de®ned by the
square cylinder. (Note: The convolution matrix of Eq. 5.5.8 requires 2MT ˆ
312 Chapter 5

Figure 14 The total radiated power (normalized to the dipole power of the cen-
tered line source) when a line source radiates from an isotropic square cylinder
embedded in an anisotropic permeable half shell (see Fig. 8, 1 ˆ 1:5, 3 ˆ 1,
200 ˆ 3:5, 200 ˆ 1, 20 ˆ 3:25, xx ˆ 1:5, xy ˆ 0:3, yx ˆ 0:3, yy ˆ 1:7, MT ˆ 20, L
ˆ 25 layers) is shown. Used with permission of EMW Publishing, 1998 [23, Fig. 9].

Figure 15 A plot (dotted line) of the relative dielectric permittivity function …; '†
when ~ ˆ 1:241 for the square cylinder anisotropic half shell case displayed in Fig. 8
is shown. The circular dashed line of Fig. 8 represents the approximate placement of
~ ˆ 1:241 parameter used to make …; ') plots here. Also shown (solid line) is the
Fourier series representation of the …; '† pro®le when ~ ˆ 1:241 and MT ˆ 20.
Used with permission of EMW Publishing, 1998 [23, Fig. 10].
Inhomogeneous Cylindrical and Spherical Systems 313

40 terms.) Figures 16±18 show the relative permeability tensor pro®les

 …; '†, ' …; '†, ' …; '†, and '' …; '† for the same case and para-
meters as shown in Fig. 15. The numerical example of Fig. 14 was chosen
so that ' …; '† ˆ ' …; '†.

5.4 SPHERICAL INHOMOGENEOUS ANALYSIS

5.4.1 Introduction
Another important and well-known problem in electromagnetic theory is to
determine the scattering that occurs when an electromagnetic wave is inci-
dent on a spherical object. These problems have been extensively studied in
the cases where (1) the EM incident wave is an oblique or nonoblique plane
wave, (2) the incident EM wave has been generated by a line source or
dipole source, and (3) the circular or spherical object is a dielectric coated
metallic object [1±5]. Ren [24] studied scattering from anisotropic homoge-
neous spherical systems and also studied Green's functions associated with
anisotropic homogeneous spherical systems. Ren gives a complete literature
survey of scattering from isotropic and anistropic spherical systems.
Concerning the problem of EM scattering from inhomogeneous mate-
rial spherical systems, the RCWA algorithm can be applied to the analysis

Figure 16 Plots of the relative permeability function  …; '†. Exact (dotted line)
and Fourier series representations (solid line) for the same case as described in Fig.
15 are shown. Used with permission of EMW Publishing, 1998 [23, Fig. 11].
314 Chapter 5

Figure 17 Plots of the relative permeability function ' …; '† ˆ ' …; '†. Exact
(dotted line) and Fourier series representations (solid line) for the same case as
described in Fig. 15 are shown. Used with permission of EMW Publishing, 1998
[23, Fig. 12].

Figure 18 Plots of the relative permeability function '' …; '†. Exact (dotted line)
and Fourier series representations (solid line) for the same case as described in Fig.
15 are shown. Used with permission of EMW Publishing, 1998 [23, Fig. 13].
Inhomogeneous Cylindrical and Spherical Systems 315

of radiation and scattering from a spherical inhomogeneous object. Ref. 25

presents the basic spherical equations necessary to analyze an arbitrary 3-
D inhomogeneous scatterer by the RCWA method and also presents a
simple example of dipole radiation from an inhomogeneous dielectric
object that was azimuthally homogeneous (it varied in the  direction
but had no dependence in the ' direction). The spherical RCWA method
of this section will extend the results of Ref. 25 in the following ways. First
the analysis of this section (following Ref. 26) will consider examples in
which the inhomogeneous scatterer has an inhomogeneous permittivity
and permeability pro®le, which in addition to varying arbitrarily in the
radial direction also varies arbitrarily in the  and ' directions. In Ref. 25
the inhomogeneity variation is only in the  direction. This case is numeri-
cally much more challenging than that in Ref. 25 because matrix equations
for all orders of m and n must be solved rather than a matrix equation for
just m ˆ 0 and all n. The second way that the results of Ref. 25 are
extended in this section is that the basic spherical state variable equations
and the interior exterior Bessel function equation of Ref. 25 will be mod-
i®ed to the general case when the inhomogeneous scatterer and EM source
excitation is periodic in the ' coordinate over a region 2=, where  is an
integer ( ˆ 1; 2; 3; . . .† rather than being periodic over just 2 as was
presented in Ref. 25. This is particularly useful as only a centered line
excitation is considered in this chapter. The third way that the results of
Ref. 25 are extended is that full radiated power results for radiation from
higher order m and n spherical Bessel±Legendre modes are given, whereas
in Ref. 25 power results were given only for m ˆ 0 modes.
This chapter will be concerned with determining the EM ®elds that
result when a centered electric dipole radiates inside a three-dimensionally
inhomogeneous material system (see Fig. 19). This problem can be viewed
as either a material shielded antenna source problem or as a material
microwave cavity problem in which the material cavity is formed from
the inhomogeneous dielectric and permeable material that surrounds the
electric dipole source.

5.4.2 Rigorous Coupled Wave Analysis Formulation [26]

This section will be concerned with putting Maxwell's equations in spherical
coordinates into a form for which the RCWA formulation can be imple-
mented. We consider the spherical system shown in Fig. 19. All coordinates
will be assumed normalized as r ˆ k0 r~, a ˆ k0 a, ~ etc. where r ˆ k0 r~,
k0 ˆ 2=,  being the free space wavelength in meters. In this ®gure,
Region 1 (0  r  a) is assumed to be a uniform material with the relative
316 Chapter 5

Figure 19 Geometry of the three-dimensionally inhomogeneous spherical system.

Used with permission of IEEE, 1997, [26, Fig. 1].

permittivity 1 and relative permeability 1 . Region 3 (b  r) is assumed to

be a uniform material with the relative permittivity 3 and relative perme-
ability 3 . Region 2 with  ˆ cos…† is assumed to have an arbitrary inho-
mogeneous lossy relative permittivity …r; ; '† and an inhomogeneous lossy
relative permeability …r; ; '†. For generality we assume that electromag-
netic radiation may impinge on the 3-D object from Region 3 (a plane wave,
for example) or from Region 1 (a dipole source, for example). We will now
put Maxwell's equations of Region 2 into state variable form. If we sub-
stitute …r; ; '† and …r; ; '† into the Maxwell curl equations of Region 2
and expand the two Maxwell curl equations to their r; , and ' ®eld com-
ponents, we ®nd that the longitudinal radial electric and magnetic ®eld
components can be expressed in terms of the transverse , ' electric and
magnetic ®eld components as

   
1 @U' 1 @U 1 @S' 1 @S
Er ˆ ‡ Hr ˆ ‡
j…r; ; '†r2 @ @' j…r; ; '†r2 @ @'
…5:4:1†

where ˆ …1 2 †1=2 , pS  ˆ rE ,

 S' ˆ r sin E' , U ˆ 0 rH ,
U' ˆ 0 r sin H' , and 0 ˆ 0 =0 ˆ 377
. Substituting these equations
into the remaining Maxwell curl equations, we ®nd that
Inhomogeneous Cylindrical and Spherical Systems 317
   
@S @ 1 @ …r; ; '† @ 1 @
ˆj 2 U ‡ j U'
@r r @ …r; ; '† @' r2 @ …r; ; '† @

…5:4:2†
   
@S' 1 @ 1 @ 1 @ 1 @
ˆ j …r; ; '† ‡ 2 U ‡ j 2 U'
@r r @' …r; ; '† @' r @' …r; ; '† @

…5:4:3†
   
@U @ 1 @ …r; ; '† @ 1 @
ˆj 2 S ‡ j ‡ 2 S'
@r r @ …r; ; '† @' r @ …r; ; '† @

…5:4:4†
 
@U' 1 @ 1 @
ˆj …r; ; '† S
@r r2 @' …r; ; '† @'
 
1 @ 1 @
‡j S' …5:4:5†
r2 @' …r; ; '† @

We will now be concerned with developing a multilayer RCWA

method that can be used to solve Eqs. 5.4.2±5.4.5 in Region 2. To proceed,
we divide Region 2, a  r  b, into L thin layers of width d` where
b a ˆ L`ˆ1 d` . We assume that each layer has been made thin enough so
that all inhomogeneous functions in the radial coordinate r on the right-
hand sides of Eqs. 5.4.2±5.4.5 can be considered constant in the thin shell
region and approximated by the midpoint value of r in the thin layer. In
each thin spherical shell it is convenient to introduce the local coordinates
s1 ˆ r b for b d1  r  b, s2 ˆ r …b d1 † for b d1 d2  r  b d1 ,
and so on. These local coordinates will be used to express the ®nal state
variable equations in each cylindrical shell. In the `th thin shell layer Eqs.
5.4.2±5.4.5 are put into state variable form in the local coordinates s` by
expanding all ®eld variables and inhomogeneous factors …rmid ` ; ; '†, …†;
1=…rmid` , ; '†; . . . ; etc: (these functions are assumed sampled at the `th
radial midpoint rmid ` ) in a two-dimensional exponential Fourier series, col-
lecting terms together that have the same exponential coef®cient factors and
forming a set of ®rst-order differential equations for the mode amplitudes
…`† …`† …`† …`†
Sim , S'im , Uim , and U'im . The mode amplitude expansion for S…`† …s` ; ; '†,
for example, is given by S…`† …s` ; ; '† ˆ i;m Sim …`†
…s` † exp‰j…i ‡ m'†Š, where
' =2  '  ' =2, 1    1,  ˆ 2=' ˆ 1; 2; 3; . . . may be called the
318 Chapter 5

azimuthal grating wave vector and ' the azimuthal grating period. The
matrix for a general inhomogeneous factor, say …rmid ` ; ; '†, for example, is
…`† ˆ ‰…`† …i;m†;…i 0 ;m 0 † Š ˆ ‰i i 0 ;m m 0 Š, where i i 0 ;m m 0 are the two-dimensional
Fourier coef®cients of …rmid …`†
` ; ; '†, and  …i;m†;…i 0 ;m 0 † represents a typical
matrix element of the overall matrix …`† (note that …i; m† is an ordered
pair representing a single integer in the …` matrix [same for …i 0 ; m 0 †]). The
matrices for the differential operators @=@ and @=@' are given by the diag-
onal matrices D ˆ ‰jii;j 0 m;m 0 Š and D' ˆ ‰jmi;i 0 m;m 0 Š, respectively, where
i;i 0 is the Kronecker delta, and the matrices describing the modal ®eld
amplitudes are given by column matrices (for example, S…`† …`† t
 ˆ ‰S …i;m† Š (t
is transpose). Replacing each inhomogeneous factor, derivative operator,
and ®eld amplitude by the appropriate matrix, the overall system state
variable matrix can be found. The ®rst right-hand term of Eq. 5.4.2, for
2
example, is given by …j=rmid ` †…c …D …K…`† …`†
1=c …Du U †††† ˆ A1;3 Uh , where c
and K…`† mid
1=c matrices represent the factors …† and 1=……r` ; ; '† …††, respec-
tively. The matrix A…`† 1;3 , which was just formed, represents a square compo-
nent submatrix of the overall state matrix A…`† . All component submatrices
…`†
Aa;b , …; † ˆ …1; 4† of the overall state matrix A…`† are de®ned in the same
…`†
way as was A1;3 . (Since the component submatrices can be de®ned by inspec-
…`†
tion of Eqs. 5.8.2±5.8.5, it is not necessary to list the Aa;b , …; † ˆ …1; 4†
matrices speci®cally.) The overall state variable equations, determined from
Eqs. 5.8.2±5.8.5 in the `th thin shell layer are given by

@V…`†
ˆ A…`† V…`† ` ˆ 1; 2; 3; . . . ; L …5:4:6†
@s`
where
2 3
0 0 …`†
A1;3 …`†
A1;4 2 3
6 7 S…`†

6 …`† 7 6 7
6 0 0 …`†
A2;3 A2;4 7 6 S…`† 7
6 7 6 ' 7
A…`† ˆ6
6 …`†
7
7 V…`† ˆ6
6 …`† 7
7 …5:4:7†
…`†
6 A3;1 A3;2 0 0 7 6 U 7
6 7 4 5
4 5
…`†
A4;1 …`†
A4;2 0 0 U…`†
'

If the overall state variable equation is truncated with jij  IT and

jmj  MT , then A…`† is a PT  PT square matrix with
PT ˆ 4…2IT ‡ 1†…2MT ‡ 1†. The solution of the overall state variable matrix
solution is given by V…`† …s` †p ˆ V…`† p exp…q…`† …`† …`†
p s` †, where qp and V p …p ˆ 1;
Inhomogeneous Cylindrical and Spherical Systems 319

. . . ; PT † are the eigenvalues and eigenvectors, respectively, of the state vari-

able matrix A…`† . The overall EM ®eld solution in each thin shell region can
be found by adding a linear combination of the PT eigensolutions. For
example, if jij  IT and jmj  MT …p ˆ 1; . . . ; PT †, then the S…2;`† …s` ; ; '†
®eld is given by S…2;`† …s` ; ; '† ˆ i;m;p Cp…`† Simp
…`†
exp‰q…`†
p s` ‡ j…i ‡ m'†Š,
where Simp is the pth eigenvector component of S…`†
…`†
 p in the overall eigen-
vector V…`† p and Cp…`† are unknown EM ®eld expansion coef®cients.
Although a large matrix equation could be formed from matching EM
boundary conditions at r ˆ a, r ˆ b, and at each thin shell layer interface in
the inhomogeneous region, a more ef®cient solution method is to use a
ladder approach [12] (that is, successively relate unknown coef®cients
from one layer to the next) to express the Cp…L† coef®cients of the Lth thin
shell layer (located in the layer adjacent to r ˆ a) in terms of the Cp…1† coef®-
cients (located in the layer adjacent to r ˆ b) and then match boundary
conditions at r ˆ a and r ˆ b interfaces to obtain the ®nal unknowns of
the system. At the `th and …` ‡ 1†th interface, matching the tangential mag-
netic and electric ®elds we have

X
PT
…`†
X
PT
…`‡1†
Cp…`† Simp exp… qp…`† d` † ˆ Cp…`‡1† Simp …5:4:8†
pˆ1 pˆ1

X
PT
…`†
X
PT
…`‡1†
Cp…`† S'imp exp… qp…`† d` † ˆ Cp…`‡1† S'imp …5:4:9†
pˆ1 pˆ1

X
PT
…`†
X
PT
…`‡1†
Cp…`† Uimp exp… q…`†
p d` † ˆ Cp…`‡1† Uimp …5:4:10†
pˆ1 pˆ1

X
PT
…`†
X
PT
…`‡1†
Cp…`† U'imp exp… q…`†
p d` † ˆ Cp…`‡1† U'imp …5:4:11†
pˆ1 pˆ1

Letting C…`† ˆ ‰C1…`† ; . . . ; CP…`†T Št , these equations can be written

…`†
D…`† C…`† ˆ D‡ C…`‡1† …5:4:12†

or
h i 1
…`†
C…`‡1† ˆ D‡ D…`† C…`† ˆ F…`† C…`† ` ˆ 1; . . . ; L 1 …5:4:13†
320 Chapter 5

where the 1 superscript denotes matrix inverse. Substituting successively

we have

C…L† ˆ F…L 1†
…F…L 2†
…


…F…1† C…1† †


† ˆ M C…1† …5:8:14†

Another important problem is to relate the ®elds of Region 1 (interior

region) and Region 3 (exterior region) to the ®elds of Region 2 (inhomoge-
neous region). The ®elds in Regions 1 and 3, as is well known, can be
expressed in terms of an in®nite number of transverse to r electric (TEr )
and transverse to r magnetic (TMr ) Schelkunoff spherical vector potential
modes [3, Chap. 6]. These vector potential modes consist of half-order radial
Bessel and Hankel functions and consist of Tesseral harmonics (products of
Legendre polynomials and ' exponential functions). The scattered ®eld por-
tions of the Regions 1 and 3 Bessel and Hankel function solution are chosen
to satisfy the usual spherical boundary conditions of ®niteness at the origin
and being an outgoing wave at in®nity. In this chapter the incident ®eld in
Region 1 is the EM ®eld of an in®nitesimal dipole. The basic EM boundary
matching procedure to be followed in this chapter is to equate the tangential
electric ®elds at the interfaces r ˆ a and r ˆ b, eliminate unknown ®eld con-
stants in Regions 1 and 3 in favor of the ®eld constants in Region 2 from
these equations, equate the tangential magnetic ®elds at the interfaces r ˆ a
and r ˆ b, and substitute the electric ®eld matching Region 2 constants into
the magnetic ®eld matching equations. This general procedure is precisely the
one followed in Refs. 9±12 in the analysis of diffraction from planar diffrac-
tion gratings. Equating the common terms of exp…jm'† of the Sm …† and
S'm …† ®eld components at r ˆ a from Regions 1 and 2 we have
…1† …1;Scat† …1;INC† …2;a†
Sm …† ˆ Sm …† ‡ Sm …† ˆ Sm …† …5:4:15†
…1† …1;Scat† …1;INC† …2;a†
S'm …† ˆ S'm …† ‡ S'm …† ˆ S'm …† …5:4:16†

where
8 9
XIT <2IT ‡jmj‡
X m;0 h i=
…1;Scat† …1† …1† …1† …1†
Sm …† ˆ EAimn Fmn ‡ EBimn AA exp…ji†
iˆ I
: nˆjmj‡
mn ;
T m;0

…5:4:17†
8 9
XIT <2IT ‡jmj‡
X m;0 h …1† …1† i=
…1;Scat† …1†
S'm …† ˆ ECimn Fmn ‡ EDimn A…1†
mn exp…ji†
iˆ I
: nˆjmj‡ ;
T m;0

…5:4:18†
Inhomogeneous Cylindrical and Spherical Systems 321

where

…1† jm ^ …1† j ^0

EAim ˆ J … a†gA EBim ˆ J … a†gB
1 n 1 imn 1 n 1 imn
…1† 1 ^ …1† m ^ 0
ECim ˆ J … a†gC EDim ˆ J … a†gD
1 n 1 imn 1 n 1 imn

Letting gAmn ˆ …1 2 † 1=2 Pnjmj …†, gBmn ˆ …1 2 †1=2 @=@…Pjmj n …†), gCmn ˆ
…1 2 †@=@…Pjmj jmj jmj
n …†), and gDmn ˆ Pn …†, where Pn …† are associated
Legendre functions of order n and jmj, the coef®cients gA B C
imn , gimn , gimn , and
D
gimn represent the exponential Fourier series expansion coef®cients for the
terms gAmn …†, gBmn …†, gCmn …†, and gDmn …†, respectively, on the interval 1
   1 …gAmn …† ˆ i gA imn exp…ji†). In the present analysis the Fourier coef-
®cients gA imn , g B
imn , g C
imn , and gD
imn have been determined exactly by calculating
higher order derivatives of the Bessel function integral representation given
in Ref. 27, Eq. 9.1.20, p. 360. The exact calculation of these Fourier coef®-
cients is an important step in order to ensure overall accuracy of the entire
…1;INC† …1;INC† …1;INC†
RCWA algorithm. The terms Sm …† ˆ i Sim exp…ji† and S'm
…1;INC†
…† ˆ i S'im exp…ji† represent electric ®eld EM incident waves evaluated
at r ˆ a that emanate from Region 1. In this chapter, it is assumed that a
centered electric dipole excites EM radiation in the overall system, and for
this source it is found that Sm …1;INC†
…† ˆ …j=1 †AI0;1 H^ 10 …1 a†‰1 2 Š1=2 m;0 ,
…1;INC† I
S'm …† ˆ 0, and A0;1 is the strength of the electric dipole source. In
p
Eqs. 5.4.15±5.4.18, 1 ˆ 1 1 and J^n …1 a† are spherical Schelkunoff
Bessel functions [5]; the prime in Eqs. 5.4.15±5.4.18 represent differentiation
w.r.t. the argument. For m 6ˆ 0, the lower n limits start at jmj, since the
…2;a† …2;a†
Legendre polynomials are zero when jmj > n. The terms Sm …† and S'm
…† represent the state variable solution in Region 2 in the Lth thin shell layer
region evaluated at r ˆ a and are given by
( )
…2;a†
X
IT X
PT
…L†
Sm …† ˆ Cp…L† Simp exp… q…L†
p sL † exp…ji†
iˆ IT pˆ1

X
IT
…2;a†
ˆ Sim exp…ji† …5:4:19†
iˆ IT
( )
X
IT X
PT
…L†
…2;a†
S'm …† ˆ Cp…L† S'imp exp… q…L†
p sL † exp…ji†
iˆ It pˆ1

X
IT
…2;a†
ˆ S'im exp…ji† …5:4:20†
iˆ IT
322 Chapter 5

When IT is in®nite, the boundary matching equations given by Eqs. 5.4.15±

5.4.20 are exact. When IT is truncated at a ®nite value, and common coef®-
cients of exp…ji† in Eq. 5.4.15±5.4.20 are collected, Eqs. 5.4.15±5.4.20 give a
‰2…2IT ‡ 1†Š  ‰2…2IT ‡ 1†Š set of equations from which the A…1† …1†
mn and Fmn can
…L† …1†
be expressed in terms of the Region 2 unknown coef®cients Cp . Letting EAm ,
…1† …1† …1†
EBm , ECm , and EDm be matrices representing Eqs. 5.8.17 and 5.8.18 (for
example, E…1† …1†
Am ˆ ‰EAimn Š, where i ˆ IT ; . . . ; IT and n ˆ jmj ‡ m;0 ; . . . ;
…1;INC† …1;INC† …1;INC† …1;INC†
2IT ‡ jmj ‡ m;0 ), letting Sm ˆ ‰Sim Š and S'm ˆ ‰S'im Š for i ˆ
…2;a† …L† …L†
IT ; . . . IT and letting Sm ˆ ‰Simp exp… q…L† …2;a† …L†
p sL †Š, S'm ˆ ‰S'imp exp… qp sL †Š

for i ˆ IT ; . . . ; IT and p ˆ 1; . . . ; PT we ®nd the matrix equation

2 …2;a†
3 2 …1†
3" # " #
Sm EAm E…1†
Bm
…1†
Fm S…1;INC†

S…2;a†
m C …L†
ˆ4 5C ˆ 4 …L† 5 ‡
…2;a† …1† …1† …1†
S'm ECm EDm Am S…1;INC†
'
" …1† #
…1† Fm
ˆ Em ‡ S…1;INC†
m …5:4:21†
…1†
Am
where S…2;a†
m is a ‰2…2IT ‡ 1†Š  PT matrix, E…1†
m is a ‰2…2IT ‡ 1†  ‰2…2IT ‡ 1†Š
square matrix, and S…1;INC†
m is a 2…2IT ‡ 1† column matrix.
To proceed further we match the terms common to exp…jm'† of the
tangential magnetic ®eld at the Region 1, Region 2 interface at r ˆ a and
®nd that
…1† …1;Scat† …1;INC† …2;a†
Um …† ˆ Um …† ‡ Um …† ˆ Um …† …5:4:22†
…1† …1;Scat† …1;INC† …2;a†
U'm …† ˆ U'm …† ‡ U'm …† ˆ U'm …† …5:4:23†

where
8 9
XIT <2IT ‡jmj‡
X m;0 h i=
…1;Scat† …1† …1† …1† …1†
Um …† ˆ HBimn Fmn ‡ HAimn Amn exp…ji†
iˆ I
: nˆjmj‡
;
T m;0

…5:4:24†
8 9
XIT <2IT ‡jmj‡
X m;0 h …1† …1† i=
…1;Scat† …1†
U'm …† ˆ HDimn Fmn ‡ HCimn A…1†
mn exp…ji†
iˆ I
: nˆjmj‡ ;
T m;0

…5:4:25†
Inhomogeneous Cylindrical and Spherical Systems 323

where

…1† jm ^ …1† j ^0

HAim ˆ J … a†gA HBim ˆ J … a†gB
1 n 1 imn 1 n 1 imn
…1† 1 ^ …1† m ^ 0
HCim ˆ J … a†gC HDim ˆ J … a†gD
1 n 1 imn 1 n 1 imn
…1;INC† …1;INC† …1;INC† …1;INC†
The terms Um …† ˆ i Uim exp…ji† and U'm …† ˆ i U'im exp
…ji† represent the magnetic ®eld incident wave that may emanate from
Region 1. In this chapter, U'm …1;INC†
…† ˆ …1=1 †AI0;1 H^ 1 …1 a†‰1 2 Šm;0 and
…1;INC† …2;a†
Um …† ˆ 0 for a centered electric dipole source. The terms Um …†
…2;a†
and U'm …† represent the state variable solution in Region 2 in the Lth
thin shell layer region evaluated at r ˆ a and are given by
( )
…2;a†
X
IT X
PT
…L†
Um …† ˆ Cp…L† Uimp exp… q…L†
p sL † exp…ji†
iˆ IT pˆ1

X
IT
…2;a†
ˆ Uim exp…ji† …5:4:26†
iˆ IT

( )
…2;a†
X
IT X
PT
…L†
U'm …† ˆ Cp…L† U'imp exp… qp…L† sL † exp…ji†
iˆ IT pˆ1

X
IT
…2;a†
ˆ U'im exp…ji† …5:4:27†
iˆ IT

Equating common coef®cients of exp…ji† in Eqs. 5.4.22±5.4.27, a similar

matrix equation as was formed for the tangential electric ®eld components
can be formed for the tangential magnetic ®eld components. We have then
2 3 2 3" # " #
U…2;a†
m H…1†
Bm H…1†
Am F…1†
m U…1;INC†
U…2;a†
m C …L†
ˆ4 5C …L†
ˆ4 5 ‡
U…2;a†
'm H…1†
Dm H…1†
Cm
A…1†
m U'…1;INC†
" …1† #
…1†
Fm …1;INC†
ˆ Hm ‡ Um …5:4:28†
A…1†
m

To proceed further, our objective now is to eliminate the column matrix

‰F…1† …1† t
m ; Am Š from Eq. 5.4.21 and therefore form a single matrix equation for
324 Chapter 5

the C…L† coef®cients alone. By inspecting the matrix equation Eq. 5.4.21 and
their de®nitions, we notice that two distinct cases arise, namely the cases
when m 6ˆ 0 and the case when m ˆ 0. In the case of m 6ˆ 0, it turns
out that the matrices E…1†
m
and H…1†
m are nonsingular; therefore it is straight-

forward to invert E…1† …1† …1† t

m and solve for ‰Fm ; Am Š . For m 6ˆ 0 we ®nd that

 
F…1† …1† 1 1
m ˆ Em …S…2;a† C…L† † E…1†
m
…1;INC†
Sm ˆ Z…1†
m C
…L†
E…1;INC†
m
A…1†
m
…5:4:29†

…1† …1†
The determination of F0:n and A0;n (n ˆ 1; 2; 3; . . .† coef®cients for
the m ˆ 0 case requires special matrix processing. We ®rst note for the m
…1† …1†
ˆ 0 case that EAim ˆ EDim ˆ 0 in Eqs. 5.4.17 and 5.4.18 and thus the
matrix equations for F0;n and A…1† …1†
0;n are decoupled from one another. One
…1†
also observes from Eqs. 5.4.17 and 5.4.18 that when solving for either F0;n
…1† …1† …1† …1† …1† …1† …1†
and A0;n , the coef®cients of F0;1 ; F0;3 ; F0;5 ; . . . and A0;1 ; A0;3 ; A0;5 ; . . . are
multiplied by the ®rst-derivative Legendre polynomials @=@…P01 …††,
…1† …1†
@=@…P03 …††; . . ., which are even in , whereas the coef®cients of F0;2 ; F0;4 ;
…1† …1† …1† …1†
F0;6 ; . . . and A0;2 ; A0;4 ; A0;6 ; . . . are multiplied by ®rst-derivative Legendre
polynomials @=@…P02 …†), @=@…P04 …††; . . . which are odd in . This means
…1† …1†
that when determining the m ˆ 0, Region 1 coef®cients F0;n and A0;n , the
…1;INC†
best numerical processing in Eq. 5.4.21 is to decompose Sm …†,
…1;INC† …2;a† …2;a†
S'm …†, Sm …†, S'm …† for m ˆ 0 into a sum of even and odd func-
…1†
tions, and from the even functions in Eqs. 5.4.17 and 5.4.18 determine F0;1
…1† …1† …1† …1† …1†
; F0;3 ; F0;5 ; . . . and A0;1 ; A0;3 ; A0;5 ; . . ., and from the odd functions in Eqs.
…1† …1† …1† …1†
5.4.17 and 5.4.18 determine F0;2 ; F0;4 ; F0;6 ; . . . and A0;2 ; A…1† …1†
0;4 ; A0;6 ; . . .. The
…1† …1† …1†
speci®c matrix processing that is carried out for say the F0;1 ; F0;3 ; F0;5 ;...
…1;INC† …2a†
coef®cients is as follows. After decomposing S'm …† and S'm …† for m
…1† …1† …1†
ˆ 0 into even and odd functions of , F0;1 ; F0;3 ; F0;5 ; . . . is determined by
…1;INC† …2;a†
(1) expanding the even function part of S'm …† and S'm …† for m ˆ 0
IT IT …2;a†
in a fcos…iv†giˆ0 cosine series (the fcos…i†giˆ0 series expansion of S'm …v†
…L†
for m ˆ 0 depends on the Cp , p ˆ 1; . . . ; PT coef®cients in Region 2, and
IT …1;INC†
the fcos…i†g iˆ0 series expansion of S'm …† for m ˆ 0 depends on the
incident EM source waves that emanate from Region 1); (2) expanding the
®rst-derivative Legendre polynomial @=@…P01 …††, @=@…P03 …††; . . . in a fcos…
IT
i†g iˆ0 series; (3) equating common coef®cients of the cosine series
IT
fcos…i†g iˆ0 ; and (4) from these equations, developing an …IT ‡ 1†  …IT ‡
…1† …1† …1†
1† matrix equation that upon matrix inversion expresses the F0;1 ; F0;3 ; F0;5
…L†
; . . . coef®cients in terms of the Cp , p ˆ 1; . . . ; PT coef®cients of Region 2
and incident EM wave coef®cients of Region 1. The determination of the
Inhomogeneous Cylindrical and Spherical Systems 325

…1† …1† …1†

F0;2 ; F0;4 ; F0;6 ; . . . coef®cients is found by (1) expanding the odd function
…1;INC† …2;a†
part of S'm …† and S'm …† for m ˆ 0 and the odd derivative Legendre
polynomials @=@…P2 …††; @=@…P04 …†† functions in a fsin…i†g iˆ1
0 IT
series; (2)
IT
equating common coef®cients of fsin…i†g iˆ1 ; and (3) then forming an IT
…1† …1†
IT matrix equation which, upon matrix inversion, expresses the F0;2 ; F0;4
…1†
; F0;6 ; . . . coef®cients in terms of the Cp…L† , p ˆ 1; . . . ; PT coef®cients of
Region 2 and incident EM wave coef®cients of Region 1. After following
the above procedure, and combining the even and odd matrix expressions
…1† …1† …1† …1† …1† …1†
for F0;1 ; F0;3 ; F0;5 ; . . . and F0;2 ; F0;4 ; F0;6 ; . . ., a 2IT ‡ 1†x…2IT ‡ 1† matrix
…1† …1† …1† …1†
relation is found between the overall F0;1 ; F0;2 ; F0;2 ; F0;4 ; . . . coef®cients
and the Cp…L† , p ˆ 1; . . . ; PT coef®cients and EM incident wave coef®cients
of Region 1. A similar even and odd analysis allows a …2IT ‡ 1†  …2IT ‡ 1†
matrix relation between the A…1† …L†
0;n coef®cients and the Cp , p ˆ 1; . . . ; PT
coef®cients of Region 2 and EM incident wave coef®cients of Region 1.
…1†
Altogether the F0;n and A…1†0;n coef®cients for m ˆ 0 in matrix form can be
expressed as

" # " #
F…1† Z0…1;F† 0
0 ˆ …1;A† C…L† E…1;INC† ˆ Z…1†
0 C
…L†
E…1;INC†
A…1†
0 0 Z0
0 0

…5:4:30†

where the matrix Z…1†

0 is size ‰2…2IT ‡ 1†Š  ‰2…2IT ‡ 1†Š.
…1† …1† t
Substituting ‰F…1† …1† t
m Am Š from Eq. 5.4.29 …m 6ˆ 0) and ‰F0 A0 Š of Eq.
5.4.30 …m ˆ 0† into Eq. 5.4.28, we ®nd that

h i
2;a†
Um H…1†
m Z…1†
m C
…L† …1;INC†
ˆ Cm H…1†
m Em
…1;INC†
…5:4:31†

where m ˆ MT ; . . . ; 1; 0; 1; . . . ; MT . For each m, Eq. 5.8.31 has 2…2IT ‡

1† rows.
The boundary matching analysis at the r ˆ b interface is identical to
that at r ˆ a, and the boundary matching equations at the r ˆ b interface
are given by Eqs. 5.4.15±5.4.31 if (1) one replaces Region ``(1)'' superscripts
with Region ``(3)'' superscripts; (2) one replaces the spherical Schelkunoff
Bessel function J^n …1 a† with the outgoing spherical Schelkunoff Hankel
function of the second kind, namely, H^ n …3 b†; (3) one replaces Sm …2;a†
…†
…2;a†
and S'm …† in Eqs. 5.4.19 and 5.4.20 with the ` ˆ 1 thin shell state variable
solution evaluated at r ˆ b, namely,
326 Chapter 5
( )
…2;b†
X
IT X
PT
…1†
X
IT
…2;b†
Sm …† ˆ Cp…1† Simp exp…ji† ˆ Sim exp…ji†
iˆ IT pˆ1 iˆ IT

…5:4:32†
( )
X
IT X
PT
…1†
X
IT
…2;b†
…2;b†
S'm …† ˆ Cp…1† S'imp exp…ji† ˆ S'im exp…ji†
iˆ IT pˆ1 iˆ IT

…5:4:33†

and (4) one sets all Region 3 incident source terms to zero, since EM energy
in this chapter is assumed to emanate only from a Region 1±centered dipole
source. After algebraic manipulation it is found that the Region 3 boundary
equations are
h i
2;b†
Um H…3† …3†
m Zm C
…1†
ˆ U…3;INC†
m H…3†
m Em
…3;INC†
…5:4:34†

where m ˆ MT . . . ; 1; 0; 1; . . . ; MT and where the right-hand side of Eq.

5.4.34 for the present chapter is zero. For each m, Eq. 5.4.34 has 2…2IT ‡ 1†
rows. Using C…L† ˆ M C…1† from Eq. 5.4.14, we eliminate the C…L† column
matrix and ®nd that

h i
…2;a†
Um H…1† …1†
m Zm M C
…1† …1;INC†
ˆ Um H…1†
m Em
…1;INC†
…5:4:35†

where m ˆ MT ; . . . ; 1; 0; 1; . . . ; MT . Including all values of m, Eq. 5.4.34

and Eq. 5.4.35 each represent ‰2MT ‡ 1Š  ‰2…wIT ‡ 1†Š ˆ PT =2 equations
for C…1† . Thus Eqs. 5.4.34 and 5.4.35 represent together a PT  PT matrix
equation from which C…1† can be determined. From knowledge of C…1† , all
other unknown constants of the system can be determined.
Once all the EM ®eld coef®cients are determined, one can calculate the
power radiated in Regions 1 and 3 of the system. The radiated power
associated with a given m and n spherical mode is well known, and the
speci®c formulas can be found in Ref. 5, Chap. 6. In this chapter we will
give numerical results in terms of normalized power. The normalized power
of a given m and n spherical mode at radial distance r is de®ned here as the
power radiated by the m and n spherical mode into a sphere located at a
radius r divided by the total power radiated by the centered dipole when the
centered dipole is in an in®nite region whose material parameters are those
of Region 1, namely 1 and 1 .
Inhomogeneous Cylindrical and Spherical Systems 327

5.4.3 Numerical Results [26]

In this section we illustrate the RCWA method of Section 5.4 by solving for
the radiated and scattered EM ®elds that result when the Region 2 inhomo-
geneous material shell is assumed to have, as a speci®c example, the form

…r; ; '† ˆ 2 ‡
 sin…† sgn…cos…††‰1 ‡
' …r† sgn…'†Š

ˆ 2 ‡
 ‰1 2 Š1=2 sgn…†‰1 ‡
' …r† sgn…'†Š
…r; ; '† ˆ 2 …5:4:36†

where sgn…X† ˆ 1 for X > 0 and sgn…X† ˆ 1 for X < 0. For this pro®le
 ˆ 1. This inhomogeneity pro®le is convenient because if it is integrated
over a spherical surface of radius r, its average or bulk value is always 2 ,
regardless of the value of
 or
' used. Using this dielectric inhomo-
geneity pro®le, three cases will be studied, namely, Case 1,
 ˆ 0:001,

' …r† ˆ 0:001; Case 2,
 ˆ 2:8,
' …r† ˆ 0:4; Case 3,
 ˆ 2:8,

' …r† ˆ 1 r ‡ 2 , where
' …r†jrˆ5 ˆ 0:6 and
' …4†jrˆ5:5 ˆ 1:5 for
a  r  b, a ˆ 5, b ˆ 5:5. For all numerical examples of this chapter, the
bulk material parameters will be taken to be 1 ˆ 1:5, 1 ˆ 1, 2 ˆ 7,
2 ˆ 1:3, 3 ˆ 1, and 3 ˆ 1. The ®rst case, which because of the small
values of
 and
' can be called a homogeneous pro®le case, represents
the application of the RCWA method to the solution of the problem of
determining the EM radiation that occurs when a centered dipole radiates
through a uniform dielectric shell. Since this problem of EM radiation
through a homogeneous dielectric shell can be solved exactly by matching
Bessel function solutions in Regions 1, 2, and 3, comparison of the RCWA
method with the exact Bessel function matching solution represents a
numerical validation of the RCWA method if close numerical results from
the two methods occur.
The second case, which may be designated a …; '†-inhomogeneity
pro®le case, represents an inhomogeneous example in which the dielectric
shell is homogeneous in the radial r direction but is inhomogeneous in the 
and ' coordinates. This case will be solved by both a single layer RCWA
algorithm and a multilayer RCWA algorithm. The purpose of solving this
second case is to observe in general how much diffraction occurs in higher
order spherical modes when a reasonably large  and ' inhomogeneity
material pro®le is present in the dielectric shell. The purpose of comparing
single-layer and multilayer RCWA results is to observe the importance that
the scale factors of Eqs. 5.8.2±5.8.5 have on the overall scattering solution.
The purpose is also to study how well the power conservation law is obeyed
numerically. Power conservation at different radial distances is a good indi-
328 Chapter 5

cation of the accuracy of the numerical solution in a lossless system such as

the present one.
The third case, which may be designated a …r; ; '†-inhomogeneity
pro®le case, represents a solution of the RCWA method under the most
general conditions, namely when the inhomogeneity variation occurs in the
r, , and ' coordinates. The radial inhomogeneity variation has been chosen
to vary in such a way that the magnitude of the '-variation in the inhomo-
geneity pro®le changes linearly. Single and multilayer analyses have been
studied in order to gage the effect of the radial inhomogeneity variation of
the …r; ; '†-inhomogeneity pro®le case relative to that of the (; '†-inhomo-
geneity pro®le case. The purpose of studying this case is to see the effect in
general that a fully three-dimensional inhomogeneity variation has on dif-
fraction and scattering into higher orders. The purpose also of Case 3, as in
Case 2, is to study how well the power conservation law is obeyed numeri-
cally.
Figure 20 shows a comparison of the normalized power radiated
through a uniform material shell when calculated by a Bessel function
matching algorithm (exact solution), when calculated by a single layer
RCWA method, and when calculated by a multilayer RCWA method.
Ten layers (L ˆ 10) were used to make all multilayer calculations in this
section. In Fig. 20 the normalized power by all methods has been calculated
at both r ˆ a and r ˆ b (the label r ˆ a; b means calculated at r ˆ a and
calculated at r ˆ b). In Fig. 20, the outer radius is ®xed at b ˆ 5:5 (radians
or rad) and the inner radius a is varied from 5 rad to 5.45 rad. As can be seen

Figure 20 Normalized total power as obtained by the RCWA method compared

to the total normalized power as obtained by matching Bessel function solutions at
the interfaces r ˆ a and r ˆ b. Used with permission of IEEE, 1997 [26, Fig. 2].
Inhomogeneous Cylindrical and Spherical Systems 329

from Fig. 20, there is excellent numerical agreement between the three
methods used. We also notice that the r ˆ a; b power results for each of
the three methods are so close at r ˆ a and r ˆ b that the two power curves
for each method cannot be distinguished from one another. In Fig. 20 the
RCWA algorithm was calculated using MT ˆ 1 and IT ˆ 5. Because the
inhomogeneity factor in this case was very close to that of a perfectly homo-
geneous shell, the RCWA algorithm could have calculated the power of this
case using a value of MT ˆ 0 and IT ˆ 5, which would have meant a sig-
ni®cantly smaller matrix equation than would have resulted from MT ˆ 1. A
larger matrix equation than necessary was solved for this case in order to
test the numerical stability of the algorithm and also to test the sensitivity of
the RCWA solution to error in the Fourier coef®cients. (Error in the
Fourier coef®cients would arise for MT ˆ 1 because numerical integration
is used to calculate the exp…jm'†, m ˆ 1; 0; 1 Fourier coef®cients, and thus
instead of the m ˆ 1 coef®cients being exactly zero, they would have some
small value.) The MT ˆ 1 matrix solution showed no ill-conditioned effects
from using a matrix size larger than needed and showed no sensitivity to
error in the Fourier coef®cients. An RCWA method was also carried out
using MT ˆ 1 and IT ˆ 2. In this case the RCWA algorithm differed per-
ceptibly from the Bessel matching solution. This indicates that for accurate
results, enough Fourier harmonic terms must be included to calculate the
state variable solution of Eqs. 5.4.2±5.4.5. We note ®nally that a case nearly
the same for the purpose of validation, was also studied in Ref. 25 using MT
ˆ 0 and IT ˆ 5. The numerical results between Fig. 20 and Ref. 25 were
almost identical.
Figure 21 shows a comparison of the total normalized powers that
occur when the dielectric shell is taken to be a uniform layer (the power here
is calculated at r ˆ b by Bessel function matching) and when the dielectric
shell is taken to be a (; ')-inhomogeneity pro®le with
 ˆ 2:8,
' …r† ˆ
0:4 (Case 2). The power here is calculated at r ˆ a; b by a single-layer
analysis and a multilayer analysis. As can be seen from Fig. 21, the presence
of the (; ')-inhomogeneity pro®le causes a marked difference in the total
scattered power of the inhomogeneous shell, although the bulk dielectric
inhomogeneity pro®le was exactly the same as that of the uniform homo-
geneous shell. It is also noticed from Fig. 21 that for both the single- and
multilayer analyses the law of power conservation at r ˆ a and r ˆ b is
obeyed to a reasonable degree of accuracy. Also plotted in Fig. 21 is the
m ˆ 0, n ˆ 1 power at r ˆ a. It is noticed that the m ˆ 0, n ˆ 1 (; ')-inho-
mogeneity pro®le power at r ˆ a almost exactly equals that of the total
power at r ˆ a; b. This indicates that at r ˆ a no power has been diffracted
into higher order modes at the r ˆ a interior boundary shell interface of the
system. Figure 21 also shows the m ˆ 0, n ˆ 1 power as calculated at r ˆ b.
330 Chapter 5

Figure 21 A comparison of the total normalized powers that occur when the
dielectric shell is taken to be a uniform layer (the power here is calculated at r ˆ
a; b by Bessel function matching) and when the dielectric shell is taken to be a (; ')-
inhomogeneity pro®le with
 ˆ 2:8,
' …r† ˆ 0:4 (Case 2). The power here is
calculated at r ˆ a; b by a single-layer analysis and a multilayer analysis. The
m ˆ 0, n ˆ 1 order power is also shown. Used with permission of IEEE, 1997 [26,
Fig. 3].

From this plot, one observes that the m ˆ 0, n ˆ 1 power is signi®cantly

lower than the r ˆ a; b total power plots. This clearly indicates that as the
EM waves have radiated through the dielectric shell, power has been dif-
fracted into the m, n higher order modes of the system. The dielectric shell is
acting very much like a planar diffraction grating operating in a transmis-
sion mode.
Figure 22 shows plots of the n ˆ 2, m ˆ 0 and n ˆ 4, m ˆ 0 mode
order power at r ˆ b for the same (; ')-inhomogeneity pro®le as was stu-
died in Fig. 21. The n ˆ 3; 5 …m ˆ 0† orders were very small and not plotted.
As can be seen from Fig. 22, as the inhomogeneous shell thickness b a is
increased, the diffracted power is transferred from the n ˆ 1, m ˆ 0 lowest
order mode (see Fig. 22) to the n ˆ 2; m ˆ 0 mode, to the n ˆ 4, m ˆ 0
mode, and to other higher order modes. One also notices the interesting
behavior that at about a ˆ 5:1 rad, b a ˆ 0:4 rad, the n ˆ 2, m ˆ 0 mode
power has reached a maximum value and decreases with further increase of
the inhomogeneity shell thickness b a. Evidently the n ˆ 2, m ˆ 0 higher
order mode is itself transferring energy to other higher order modes. This
behavior is very common in planar diffraction gratings [28].
Figure 23 shows plots of the m ˆ 1 total power (formed by summing
all m ˆ 1, n ˆ 1; 2; 3; . . . mode powers) as computed by using a multilayer
analysis (dotted line-triangle) and using a single-layer analysis (solid line).
One notices that the single- and multilayer analyses give approximately the
Inhomogeneous Cylindrical and Spherical Systems 331

Figure 22 Plots of the n ˆ 2, m ˆ 0 and n ˆ 4, m ˆ 0 mode order power for the

same (; ')-inhomogeneity pro®le as was studied in Fig. 3 are shown. The n ˆ 3; 5
(m ˆ 0) orders were very small and not plotted. Used with permission of IEEE, 1997
[26, Fig. 4].

same result up to about a shell thickness of b a ˆ 0:4 rad, but after this
value the multilayer analysis is needed for more accurate results. Figure 23
also shows the m ˆ 1, n ˆ 1; 2; 3 order power as calculated by a single-layer
analysis. One observes that as the shell thickness b a increases, the m ˆ 1,
n ˆ 1; 2; 3 order power increases.
Figure 24 shows a plot of the total normalized power that results when
the (r; ; ')-inhomogeneity pro®le of Case 3 was solved using a multilayer

Figure 23 Plots of the m ˆ 1 total power (formed by summing all m ˆ 1, n ˆ 1;

2; 3; . . . mode powers) as computed by using a multilayer analysis (dotted line-trian-
gle) and using a single-layer analysis (solid line) are shown. Used with permission of
IEEE, 1997 [26, Fig. 5].
332 Chapter 5

Figure 24 Plot of the total normalized power that results when the (r; ; '†-inho-
mogeneity pro®le of Case 3 was solved using a multilayer RCWA method and using
MT ˆ 4 and IT ˆ 5 is shown. Also shown for comparison is the total power of a
uniform shell system (Case 1 parameters) and the total power when a (; ')-inhomo-
geneity pro®le was used with
' …r† set to a constant value of
' …r† ˆ 0:375. Used
with permission of IEEE, 1997 [26, Fig. 6].

RCWA method and using MT ˆ 4 and IT ˆ 5. Also shown for comparison

is the total power of a uniform shell system (Case 1 parameters) and the
total power that results when a (; ')-inhomogeneity pro®le was used with

' …r† set to a constant value of
' …r† ˆ 0:375. This value of
' …r† exactly
equaled the average radial value of the
' …r† function of Case 3 over the
interval a  r  b, a ˆ 5 rad and b ˆ 5:5 rad. As can be seen from Fig. 24,
the
' …r† linear taper causes little difference in total power to be seen
between the total power of the (r; ; ')-inhomogeneity pro®le of Case 3
and the total power of the (; ')-inhomogeneity pro®le that used a constant
value of
' …r† ˆ 0:375. We notice from Fig. 24 that power conservation
was observed to hold to a reasonable degree of accuracy. Figure 24 also
shows a plot of the m ˆ 0, n ˆ 1 order power calculated at r ˆ b rad for the
two inhomogeneity pro®les for which the total power was just described. As
can be seen from Fig. 24, there is a difference in the plots due to the different
inhomogeneity pro®les.
Figure 25 shows an m ˆ 1 (and m ˆ 3) total order power comparison
between the two inhomogeneity pro®les. At a ˆ 5 rad (shell thickness b
a ˆ 0:5 rad), the presence of the
' …r† linear taper for the (r; ; ')-inhomo-
geneity pro®le of Case 3 causes an observable difference with the m ˆ 1 total
order power of the (; ')-inhomogeneity pro®le that used a constant value of

' …r† ˆ 0:375. As the same multilayer algorithm was used to calculate the
a ˆ 5 rad, m ˆ 1 total power plots, the only difference being that a linear
and constant
' …r† function was used, we conclude that completely correct
Inhomogeneous Cylindrical and Spherical Systems 333

Figure 25 m ˆ 1 (and m ˆ 3) total order power comparison between the two

inhomogeneity pro®les discussed in Fig. 24. Used with permission of IEEE, 1997
[26, Fig. 7].

results can only be achieved in the general (r; ; ')-inhomogeneity case by

using a multilayer analysis.
It is interesting to compare the unit periodic cell formed by the sphe-
rical dielectric shell of the present section with the unit cell of a planar
crossed dielectric diffraction grating whose grating dimensions are  ~ x and
~ y . For the spherical system using the inner radius value of r~ ˆ a, ~ the area
p
of the spherical unit cell is 4a~ 2 . If we chose ~x ˆ ~ y ˆ 2 a, ~ the grating
cell areas of the planar system and the spherical one are equal. For the
present example, the inner surface of the dielectric shell had a ˆ k0 a~ ˆ …2
=†a~ ˆ 5 rad, which thus leads to  ~x ˆ ~ y ˆ …5=p
† ˆ 2:82. It is inter-
esting to note that this grating cell size is typical of many analyses of planar
diffraction gratings. For example, in holographic applications, if two inter-
fering plane waves make an angle of 10:21 on opposite sides of a normal to
the holographic surface, a one-dimensional diffraction grating of width  ~x
ˆ 2:82 is formed. We thus see that diffraction from the spherical shell
system studied in this section is on the same scale size as diffraction that
occurs in many planar diffraction analyses. It is also interesting to note that
the spherical shell scattering analysis studied in this section would, in the
area of diffraction grating theory, be classi®ed as a thin grating diffraction
analysis. This follows as the spherical shell thickness is less than the grating
period and the percent of modulation for the spherical shell

 =2  2:8=7 ˆ 40%, which for planar diffraction grating analysis is
large. (Holograms have a depth of modulation on the order of  0:03%.)
334 Chapter 5

One of the best areas of research concerning the present chapter would
be to implement the numerical stability algorithms for RCWA [19,20],
which were described in the last section of Chapter 3. This would greatly
increase the size of the spherical or cylindrical scatterer which could be
analyzed by the RCWA algorithm. Problem 3 below suggests a cylindrical
problem for which the RCWA enhanced transmittance matrix method may
be implemented and numerically studied. Problem 10 suggests another
application of this method which applies to an inhomogeneous spherical
scattering system.

PROBLEMS

1. Referring to Fig. 1b assume that an electric line source [strength I

~  ˆ 0; a~ ˆ 1:5; b~ ˆ 2a~ and that
(amps)] is located at ~ ˆ a=2;

"02 ; 0   < 1808
"2 …† ˆ
"200 ; 180   < 3608

where "02 ˆ 1:5; "02 ˆ 3:5:

(a) Use the RCWA method to ®nd the EM ®elds that exist in all
regions of space.
(b) Find the far ®eld radiation pattern of the system.
2. Repeat Problem 1 assuming that a plane wave E~ ˆ E0 exp
~ a^z is incident on the cylinder rather than a line source.
… jk0 x†
3. Referring to Problem 1:
(a) numerically investigate the largest values of a~ that may be used
until numerical instability and ill-conditioned results occur;
(b) use the RCWA enhanced transmittance matrix method dis-
cussed in Chapter 3 (see references [19,20] this chapter) to signi®-
cantly improve convergence for the case found in (a).
4. Assume that a centered electric line source [strength I (amps)]
excites EM ®elds in an anisotropic cylinder shell (homogeneous
in the direction parallel to the cylinder axis) where

"02 ; 0   < 0 ; a    b
e…† ˆ
e2 ; 0   < 3608; a    b


02 ; 0   < 0 ; a    b
l2 …† ˆ
l002 ; 0   < 3608; a    b
Inhomogeneous Cylindrical and Spherical Systems 335

where e2 00 and l2 00 are arbitrary 3  3 anisotropic material

matrices. The shell radii a and b are close together in value and
thus form a thin shell cylinder system. Assume isotrophic material
occupies the interior ("1 ; 1 ) and exterior regions ("3 ; 3 ) of the
shell.
(a) Find from Maxwell's equations in Region 2 the 4  4 state
variable equations that describe the EM ®elds in the system. The
state variable equations should relate the nonradial components
of the electric and magnetic ®elds.
(b) Find the general EM ®elds of the system in Regions 1 and 3.
(c) Match EM boundary conditions at the inner and outer cylind-
rical shell interfaces and determine the EM ®elds of the overall
system.
(d) Provide and solve a numerical example of your choice. The
example should be suf®ciently complicated to require that all ®eld
components are coupled together.
(e) For your numerical example, ®nd the far ®eld radiatiotn pat-
tern of the system.
(f) Repeat (a±d) assuming that a plane wave is incident on the
cylinder rather than an electric line source.
(g) Provide and solve a numerical example of the present problem
for values of a and b which are not close to each other value. In
this case a multilayer analysis is required in order to ®nd a valid
solution.
5. Referring to Fig. 1b, assume that a traveling wave-centered, elec-
tric line source I…z† ˆ I0 exp… jz† excites EM ®elds in a cylindri-
cal shell system. Assume a~ ˆ 1:; b~ ˆ 3a;~  ˆ k0 ~ ˆ 5. Also,


"02 ; 0   < 0 ; a    b
"2 …† ˆ
"002 ; 0   < 3608; a    b

where 0 ˆ 1208; "02 ˆ 1:5; "002 ˆ 3:5. Assume that free space occu-
pies Regions 1 and 3, which are outside the shell.
(a) From Maxwell's equations in Region 2, ®nd the state variable
equations that describe the EM ®elds in the system. The state
variable equations should relate the nonradial components of
the electric and magnetic ®elds. Be sure to include and account
for all z derivatives in your solution. (Hint: Reduce z derivatives
using @z@ / j:†
336 Chapter 5

(b) Find the general EM ®elds of the system in Regions 1 and 3.

The ®elds in these regions will be Bessel and Hankel functions
q
whose arguments have the form 2 k20 z:~ ~
(c) Match EM boundary conditions at the inner and outer cylind-
rical shell interfaces and determine the EM ®elds of the overall
system.
(d) Find the far ®eld radiation pattern of the system.
6. Repeat Problem 5 assuming that a general oblique incident plane
wave impinges on the system. Assume that the incident angle of
the plane with the cylinder axis is 308. For numerical calculations,
use a polarization state of your choice.
7. Referring to Fig. 19, assume that an off-center, vertical, electric
dipole excites EM ®elds in the system rather than the centered-
electric dipole shown.
(a) Derive the incident ®elds in Region 1 from this source.
(b) Using this incident ®eld and the inhomogeneous spherical
shell of Sec. 5.4.3, Eq. 4.3.6, Case 2, and the RCWA method of
Sec. 5.4, determine the EM ®elds of the system. For numerical
example purposes, choose the dipole to have any off-center posi-
tion in Region 1.
(c) Find the far ®eld radiation pattern of the system for your
numerical example.
8. Referring to Fig. 19 and the inhomogeneous spherical shell exam-
ple of Sec. 5.4.3, Eq. 4.3.6, Case 2, assume that a general plane
wave travelling in the a^ x direction and polarized with its electric
®eld in the a^ z is incident on the scattering system.
(a) Derive the incident ®elds in Region 3 for this plane wave
source.
(b) Use the spherical RCWA method to determine the EM ®elds
of the system in all regions.
(c) Determine the bistatic cross section of the system. (See Ref. 6
for a de®nition of the bistatic cross section.)
9. An anisotropic three dimensionally inhomogeneous spherical thin
shell, of inner radius a~ and outer radius b, ~ is characterized by a
general relative dielectric permittivity tensor e and relative perme-
ability tensor l.
(a) Starting from Maxwell's equations in spherical coordinates,
and assuming that the shell is thin enough that the scale factors do
not vary signi®cantly in the radial direction, 1. expand the EM
®elds and material tensors of the system in Floquet harmonics;
and 2. manipulate the resulting equations in such a way that a set
Inhomogeneous Cylindrical and Spherical Systems 337

of state variable equations for the EM ®eld variables arise. The

state variable equations should have the form

@V
ˆ AV
@r
 t
where V ˆ Sh t Sr t Uh t Ur t and Sh t Sr t Uh t Ur t are column
matrices holding Floquet harmonics of the EM ®eld variables.
(b) Assuming a centered dipole, solve a numerical example of
your choice using the RCWA method.
10. Apply the RCWA enhanced transmittance matrix method [19,20]
to Problem 7 for cases where numerical instabilities would other-
wise arise.

REFERENCES

1. M. Le Blanc and G. Y. Delisle, Comments on ``Plane wave excitation of an

in®nite dielectric rod'', IEEE Microwave Guided Wave Lett., 5, 233±234 (1995).
2. R. B. Keam, Plane wave excitation of an in®nite dielectric rod, IEEE
Microwave Guided Wave Lett., 4(10), 326±328 (1994).
3. J. R. Wait, Electromagnetic Radiation from Cylindrical Structures, New York,
Pergamon, 1959.
4. H. Y. Yee, Scattering of electromagnetic waves by circular dielectric coated
conducting cylinders with arbitrary cross sections, IEEE Trans. Antennas
Propagation, AP-13, 822±823 (1965).
5. R. F. Harrington, Time-Harmonic Electromagnetic Fields, New York,
McGraw-Hill, 1961.
6. C. A. Balanis, Advanced Engineering Electromagnetics, New York, John Wiley,
1989.
7. P. Bhartia, L. Shafai, and M. Hamid, Scattering by an imperfectly conducting
conductor with a radially inhomogeneous dielectric coating, Int. J. Electron.,
31, 531±535 (1971).
8. A. A. Kishk, R. P. Parrikar, and A. Z. Elsherbeni, Electromagnetic scattering
from an eccentric multilayered circular cylinder, IEEE Trans. Antennas
Propagation, 40(3), 295±303 (1992).
9. M. G. Moharam and T. K. Gaylord, Rigorous coupled-wave analysis of planar
grating diffraction, J. Opt. Soc. Am., 71, 811±818 (1981).
10. K. Rokushima and J. Yamakita, Analysis of anisotropic dielectric gratings, J.
Opt. Soc. Am., 73, 901±908 (1983).
11. M. G. Moharam and T. K. Gaylord, Three-dimensional vector coupled-wave
analysis of planar-grating diffraction, J. Opt. Soc. Am., 73, 1105±1112 (1983).
12. M. G. Moharam and T. K. Gaylord, Diffraction analysis of dielectric surface-
relief gratings, J. Opt. Soc. Am., 72, 1385±1392 (1982).
338 Chapter 5

13. K. Rokushima, J. Yamakita, S. Mori, and K. Tominaga, Uni®ed approach to

wave diffraction by space-time periodic anisotropic media, IEEE Trans.
Microwave Theory Techniques, 35 937±945 (1987).
14. E. N. Glytsis and T. K. Gaylord, Rigorous three-dimensional coupled-wave
diffraction analysis of single cascaded anisotropic gratings, J. Opt. Soc. Am. A.,
4 2061±2080 (1987).
15. J. M. Jarem, Rigorous coupled wave theory solution of phi-periodic circular
cylindrical dielectric systems, Journal Electromagnetic Waves Appl., 11, 197±213
(1997).
16. A. Z. Elsherbeni and M. Hamid, Scattering by a cylindrical dielectric shell with
inhomogeneous permittivity pro®le, Int. J. Electronics, 58(6), 949±962 (1985).
17. A. Z. Elsherbeni and M. Hamid, Scattering by a cylindrical dielectric shell with
radial and azimuthal permittivity pro®les. Proceedings of the 1985 Symposium
of Microwave Technology in Industrial Development, Brazil, July 22±25, 77±80
(1985), (invited).
18. A. Z. Elsherbeni and M. Tew, Electromagnetic scattering from a circular cylin-
der of homogeneous dielectric coated by a dielectric shell with a permittivity
pro®le in the radial and azimuthal directionsÐeven TM case, IEEE
Proceedings 1990, Southeastcon, Session 11A1, pp. 996±1001.
19. M. G. Moharam, E. B. Grann, D. A. Pommet, and T. K. Gaylord,
Formulation for stable and ef®cient implementation of rigorous coupled-
wave analysis of bindary gratings, J. Opt. Soc. Am. A, 12, 5, 1068±1076 (1995).
20. M. G. Moharam, D. A. Pommet, E. B. Grann, and T. K. Gaylord. Stable
implementation of the rigorous coupled-wave analysis for surface-relief grat-
ings: enhanced transmittance matrix approach, J. Opt. Soc. Am. A, 12, 1077±
1086 (1995).
21. X. B. Wu, Scattering from an anisotropic cylindrical dielectric shell, Internat. J.
Infrared Millimeter Waves, 15(10), 1733±1743 (1994).
22. X. B. Wu, An alternative solution of the scattering from an anisotropic cylind-
rical dielectric shell, Internat. J. Infrared Millimeter Waves, 15(10), 1745±1754
(1994).
23. J. M. Jarem, Rigorous coupled wave theory of anisotropic, azimuthally-inho-
mogeneous cylindrical systems, Progress in Electromagnetics Research, Pier 19,
109±127 (1998).
24. W. Ren, Contributions to the electromagnetic wave theory of bounded homo-
geneous anisotropic media, Physical Review E, 47(1), 664±673 (Jan. 1993).
25. J. M. Jarem, A rigorous coupled wave theory and crossed diffraction grating
analysis of radiation and scattering from three-dimensional inhomogeneous
objects, letter submitted to IEEE Antennas Propagation, 46(5) (1998).
26. J. M. Jarem, Rigorous coupled-wave-theory analysis of dipole scattering from a
three-dimensional, inhomogenous, spherical dielectric and permeable system,
IEEE Trans. Microwave Theory Techniques, 45(8), 1193±1203 (1997).
27. M. Abramowitz and I. Stegum, Handbook of Mathematical Functions, Dover,
New York, 1972, Eq. 9.1.20, p. 360.
Inhomogeneous Cylindrical and Spherical Systems 339

28. J. M. Jarem and P. Banerjee, An exact, dynamical analysis of the Kukhtarev

equations in photorefractive barium titanate using rigorous wave coupled wave
diffraction theory, J. Opt. Soc. Am. A, 13(4), 819±831 (1996).
6
Modal Propagation in an Anisotropic
Inhomogeneous Waveguide and
Periodic Media

6.1 PROPAGATION IN AN ANISOTROPIC

INHOMOGENEOUS WAVEGUIDE
6.1.1 Introduction
Previous chapters of this book have concentrated on determining the EM
®elds of an optical system using state variable theory and systems theory in
domains that were unbounded or in®nite in the transverse directions; for
example, scattering of plane waves or Gaussian beams from an inhomoge-
neous layer, scattering of plane waves from a diffraction grating, scattering
of cylindrical and spherical waves. Another area where state variable theory
and systems theory is an effective technique is in the study of EM propaga-
tion in an anisotropic inhomogeneous waveguide. State variable theory is
effective in the study of these types of problems because all six of the EM
®eld components in an anisotropic waveguide, because of the anisotropy of
the materials (relative permittivity  and permeability l), tend to be coupled
to one another in a very complicated way. Reduction of Maxwell's equa-
tions to a higher order partial differential equation for a single component
leads to an almost intractable separation-of-variables problem. On the other
hand, state variable theory in some situations can provide a tractable
method of dealing with multiple sets of ®eld components. In Section 2 of
this chapter the mathematical formulation developed by Gardiol will be
used to study diffraction from a one-dimensional grating composed of the
cross-tensor materials described in the previous section.
This chapter, using the paper by Gardiol [1], applies the state variable
method to the study of propagation in a fairly general anisotropic wave-
guide system.

341
342 Chapter 6

6.1.2 Waveguide Description

Waveguides containing gyrotropic materials, in particular magnetized fer-
rites, exhibit nonreciprocal properties and permit the realization of isolators,
circulators, and phase shifters [2]. Similar properties exist in semiconductors
and plasmas [3,4].
The problem of propagation in a rectangular waveguide containing E-
plane slabs of gyrotropic materials has been considered by several authors.
Most of the publications deal only with particular modes …TEm0 ) [5,6] and
therefore do not include limitations to higher order modes or consider only
the simple lossless cases [3,4,6]. This section will be concerned with devel-
oping a complete model of the mode propagation in a rectangular wave-
guide containing inhomogeneous anisotropic lossy cross-tensor material
media.
The general problem considered here is depicted in Fig. 1: it consists of
an arbitrary number L of sections that can be ®lled with an anisotropic
medium (ferrite, plasma, semiconductor) or isotropic media (air). All
these regions extend uniformly across the waveguide in the y-direction.
The system is uniform in the y-direction and in the z-direction. In this
chapter we will express all coordinates, distances, and wave numbers in
dimensionless form using x ˆ k0 x, ~ y ˆ k0 y,
~ ˆ k0 ~ (propagation constant),
etc. where k0 ˆ 2= ( (in meters) is the free space wavelength, and x~
(meters), y~ (meters), etc. Each inhomogeneous material slab region interior
to the waveguide is assumed to have a width s` and to be homogeneous in
the vertical y-direction. The waveguide is assumed to have an overall width
N`ˆ1 s` ˆ a and a height b. The waveguide walls are taken to be perfect
`

electrical conductors (see Fig. 1).

Figure 1 The geometry of the anisotropic transversely inhomogeneous is shown.

The local coordinates x1 ; x2 ; . . . ; x` ; . . . ; xN` that represent the EM ®elds inside each
slab are also shown. The waveguide walls at x ˆ 0, a and y ˆ 0, b are assumed to be
perfect electrical conductors. Used with permission of IEEE-MTT, 1970 [1, Fig. 1].
Anisotropic Inhomogeneous Waveguide and Periodic Media 343

6.1.3 Cross-Tensor Media

In a rectangular waveguide coordinate system, Maxwell's equations, in uni-
form anisotropic material slab regions (see Fig. 1), are separable [7]. For a
wave traveling toward values of increasing z, the ®eld components of a
waveguide mode have the general form
1 h
X ny nyi
sjn …x† sin ‡ cjn …x† cos exp… z† …6:1:1†
nˆ0
b b

with j ˆ 1 referring to Ex , j ˆ 2 referring to Ey , and j ˆ 3 referring to Ez .

Equation 6.1.1 could be substituted in Maxwell's equations and a very
complicated set of in®nite series equations could be derived from which a
solution could be obtained. No attempt will be made here to study this most
general case. However, when certain restrictions are imposed on the proper-
ties of the material ®lling the uniform region, an exact derivation of the
dispersion relation can be made. We shall limit from now on the treatment
to a particular case in which each term of Eq. 6.1.1 corresponds to a mode of
the loaded waveguide. The constraints imposed on ` and ` will then be
determined. The ®eld components of a waveguide mode then have the form
h ny nyi
sjn …x† sin ‡ cjn …x† cos exp… z† …6:1:2†
b b

We consider ®rst the case n 6ˆ 0; the case of TEm0 will be considered

separately. The boundary conditions at y ˆ 0 and y ˆ b (see Fig. 1) specify
the Ex and Ez components:

Ex ˆ ‰s1n …x† sin hyŠ exp… z† c1n …x† ˆ 0 …6:1:3a†

Ez ˆ ‰s3n …x† sin hyŠ exp… z† c3n …x† ˆ 0 …6:1:3b†

where h ˆ n=b.
These components correspond to the sum of two waves traveling with
the same velocity in the positive and negative y direction. This can only
occur in media presenting symmetry with respect to the y axis, namely media
in which [8]

1
` ˆ a ` a …6:1:4a†
1
l` ˆ a l` a …6:1:4b†

where a is the tensor expressing the inversion of the y axis.

344 Chapter 6
2 3
1 0 0
a ˆ 40 1 05 …6:1:5†
0 0 1

Equations 6.1.4a,b are satis®ed in media having the material properties

2 3 2 3
xx 0 xz xx 0 xz
` ˆ 4 0 yy 0 5 l` ˆ 4 0 yy 0 5 …6:1:6†
zx 0 zz zx 0 zx

Only in such media, which are called cross-tensor media [1], are the ®eld
components obtained by Eq. 6.1.6. The most interesting examples are the
following.
1. Ferrite slabs magnetized in the a^ y direction (the case of intrinsic
anisotropy in which xx 6ˆ zz is included). In this case we have a tensor l`
and scalar ` .
2. Plasma or semiconductor (tensor i ; scalar i ) magnetized along
the a^ y direction (tensor ` and scalar ` ). In this case we also have xx 6ˆ zz .
3. Uniaxial crystals (tetragonal, hexagonal, trigonal) and certain
types of biaxial crystals (orthorhombic) having one of their principal dielec-
tric axes along a^ y .
4. ``Simple anisotropic'' and isotropic materials: these are degenerate
cases of cross-tensor media (diagonal tensors).
It should be noted that longitudinally magnetized ferrites, plasmas,
and semiconductors do not meet these conditions and are not covered by
the present treatment.
We mention at this point that the media studied in Chapter 2, Section
2.4 and Chapter 3, Sections 3.2 and 3.3 are classi®ed as cross-tensor media
as is shown in Section 6.2.4 of this chapter.

6.1.4 Formulation
To begin the analysis we write Maxwell's equation in the `th slab
(` ˆ 1; . . . ; L; ` index suppressed in the following equations) in the sym-
metric form [9]

r  E~ ‡ …H†
~ ˆ0 …6:1:7a†

E~ ~ ˆ0
r  …H† …6:1:7b†
Anisotropic Inhomogeneous Waveguide and Periodic Media 345
p
where  ˆ j 0 =0 ˆ j0 and  and l are dimensionless relative perme-
ability and permittivity tensors whose nonzero values have been listed ear-
lier. To ®nd a solution to Eqs. 6.1.7a,b we express the electric ®eld E and
magnetic ®eld H as

h i
E~ ˆ E^ x …x† sin hya^ x ‡ E^ y …x† cos hya^ y ‡ E^ z …x† sin hya^ z e z …6:1:8a†
h i
H~ ˆ …H~ x …x†† cos hya^ x ‡ …H~ y …x†† sin hya^ y ‡ …H~ z …x†† cos hya^ z e z

…6:1:8b†

where h ˆ n=b. The quantities E^ r …x† and H^ r …x†, r ˆ 1; 2; 3, may be called

modal amplitudes of the EM ®eld components and as yet are undetermined.
As we mentioned earlier, the electric and magnetic ®elds in the above expres-
sion are all proportional to a single model function, either cos hy or sin hy.
The E~ and …H† ~ ®elds are assumed to be propagating in the z-direction with
an exponential propagation factor (determined from separation of vari-
ables) of e z . We also note that the modal functions cos hy and sin hy are
all chosen to meet the proper boundary conditions for E~ and H~ on the y ˆ
0 and y ˆ b walls. Note that the choice of sin hy causes the Ex , Ez , and Hy
®elds to vanish at y ˆ 0; b, and the choice of cos hy allows Ex , Ez , and Hy to
be nonzero at y ˆ 0; b. These are the proper boundary conditions for E~ and
H~ on the bottom and top walls.
To proceed further we substitute E and H of Eqs. 6.1.8a,b into
Maxwell's eqs. 6.1.7a,b and ®nd that

r  E ˆ a^ x ‰hE^ z cos hye z

… †E^ y cos hye z
Š

‡ a^ y ‰ E^ x sin hye z
rx E^ z sin hye z
Š

‡ a^ z ‰rx E^ y cos hye z

hE^ x cos hye z
Š …6:1:9a†

^ ˆ a^ x ‰ h…H^ z † sin hye

r  …H† z
… †…H^ y † sin hye z
Š

‡ a^ y ‰ H^ x cos hye z
rx …H^ z † cos hye z
Š

‡ a^ z ‰rx H^ y sin hye z

… h†…H^ x † sin hye z
Š …6:1:9b†

where rx ˆ @=@x. Substituting into the lH and E terms of Eqs. 6.1.7a,b,
we ®nd that
346 Chapter 6

0 ˆ ‰xx E^ x ‡ xz E^ z ‡ h…H^ z † …H^ y †Š sin hye z

Š …6:1:10a†

0 ˆ ‰yy E^ y ‡ …H^ x † ‡ rx …H^ z †Š cos hye z

Š …6:1:10b†

0 ˆ ‰zx E^ x ‡ zz E^ z rx …H^ y † h…H^ x †Š sin hye z

Š …6:1:10c†

‰ hE^ z E^ y ‡ xx …H^ x † ‡ xz …H^ z †Š cos hye z

Šˆ0 …6:1:10d†

‰ E^ x ‡ rx E^ z ‡ yy …H^ y †Š sin hye z

Šˆ0 …6:1:10e†

‰ rx E^ y ‡ hE^ x ‡ zx …H^ x † ‡ zz …H^ z †Š cos hye z

Šˆ0 …6:1:10f†
As can be seen, these six equations can only be satis®ed if the quantity in
square brackets multiplying the sin hye z and cos hye z terms are set to
zero. Setting these square-bracketed terms to zero, one ®nds the following
set of six ®rst-order differential equations in x for the modal amplitudes E~^ and
H^~. Equations 6.10a±f can be put into the matrix form

2 32 ^ 3
0 h xx 0 xz Ex
6 6 7
6 0 rx 0 yy 0 776 E^ y 7
6 7 6 7
6 h rx 0 zx 0 zz 76 E^ z 7
6 766
7
7ˆ0 …6:1:11†
6 h 7 ^x 7
6 xx 0 xz 0 766  H 7
6 7
4 0 yy 0 0 rx 5 6 7
4 H^ y 5
zx 0 zz h rx 0 H^ z

The above matrix equation is still in an awkward form for numerical com-
putation. This analysis will now concentrate on eliminating variables and, in
fact, putting it into a standard state variable form for which a solution can
be found. When reducing the number of ®eld variables in Eq. 6.1.11, the
most logical ones to eliminate are the x-directed variables E^ x ad H^ x . These
variables are normal to the interface of the different anisotropic slabs and
thus are in general discontinuous at the boundary interfaces. On the other
hand, Maxwell boundary conditions require that the EM ®elds tangential to
the interface boundaries should be equal at each boundary interface, and
this implies that the modal amplitudes E^ y , E^ z , H^ y , and H^ z should be
continuous at the boundary interfaces, thus greatly facilitating the boundary
matching operation from layer to layer. The objective now is to express E^ x
and H^ x in terms of E^ y , E^ z , H^ y , and H^ z and thus put Eq. 6.1.11 into a
standard state variable form.
Using Eq. 6.1.10e and 6.1.10b, respectively, we may write
Anisotropic Inhomogeneous Waveguide and Periodic Media 347

1 1
E^ x ˆ r E^  …H^ y † …6:1:12a†
x z yy
yy ^ 1
H^ x ˆ E r …H^ z † …6:1:12b†
y x

Substituting in Eqs. 6.1.10a,c,d,f we ®nd that

 
yy 1
hE^ z E^ y ‡ xx E^ r …Hz † ‡ xz …H^ z † ˆ 0 …6:1:13a†
^
y x
 
1 1
rx E^ y ‡ h rx E^ z yy …H^ y †

 
yy 1
‡ zx E^ y rx …H^ z † ‡ zz …H^ z † ˆ 0 …6:1:13b†

 
1 ^ 1
xx r E  …Hy † ‡ xz E^ z ‡ h…H^ z † …H^ y † ˆ 0
^
x z yy
…6:1:13c†
 
1 1
zx r E^  …H^ y † ‡ zz E^ z rx …H^ y †
x z yy
 
yy 1
h ^
E ^
r …Hz † ˆ 0 …6:1:13d†
y x

We notice from Eq. 6.1.13c that the only rx term is rE^ z , and thus we may
solve for it alone. Doing so we ®nd that

1 h ^ i
rx E^ z ˆ 0Ez ‡ xz xx E^ z xx k2y …H^ y † ‡ hxx …H^ z †
xx xx
…6:1:14a†

where k2y ˆ 2 ‡ yy xx . We also notice from Eq. 6.1.13a that rx H^ z is the
only rx term in Eq. 6.1.13a. Solving for it we ®nd that

1 h i
rx H^ z ˆ xx k2x E^ y h xx E^ z ‡ 0…H^ y † ‡ xz xx …H^ z †
xx xx
…6:1:14b†

We notice from Eq. 6.1.13b that it involves the rx E^ y , rx E^ z , and rx H^ z . If

Eqs. 6.1.14a and 6.1.14b are used to eliminate rx E^ z and rx H^ z , it is then
possible to solve for rx E^ y alone in terms of E^ y , E^ z , H^ y , and H^ z . Equation
348 Chapter 6

6.1.13d involves rx …H^ y †, rx E^ z , and rx …H^ z †. Use of Eqs. 6.1.14a,b in Eq.

6.1.13d also allows rx …H^ y † to be expressed in terms of E^ y , E^ z , H^ y , and
H^ z . After making the appropriate substitutions the standard state variable
form is
2 3
E^ y
6 7
6 ^ 7
6 Ez 7
rx 6
6 ^ 7
7
6 H y 7
4 5
^
H z
2 3
xx zx h…xx zx xz xx † hyxx xx …xx e h2 †
6 7
1 6 6 0 xz xx xx k2y hxx 7
7
ˆ 6 7
xx xx 6 hxx xx …e xx h2 † zx xx h…xx xz zx xx † 7
4 5
xx k2x hxx 0 xx xz
2 3
E^ y
6 7
6 ^ 7
6 Ez 7
6 7 …6:1:14c†
6 ^ 7
6 H y 7
4 5
Hz^

where

xz zx
e ˆ zz …6:1:15a†
xx
xz zx
e ˆ zz …6:1:15b†
xx
k2x ˆ yy xx ‡ 2 …6:1:15c†
k2y ˆ xx yy ‡ 2 …6:1:15d†

The state variable form for the EM ®eld components parallel to each
slab interface can be used to determine the ®nal propagation constant of
modes that exist in the waveguide. We ®rst note that the 4  4 set of ®rst-
order differential equations, because the A matrix in the `th slab is a con-
stant matrix, can be solved by ®nding the eigenvalues and eigenvectors of
the constant matrix A. If we let Ve …x† ˆ ‰E^ y …x†; E^ z …x†; H^ y …x†, H^ z …x†Št and
Anisotropic Inhomogeneous Waveguide and Periodic Media 349

qn and Vn ˆ ‰V1n ; V2n ; V3n ; V4n Št …n ˆ 1; 2; 3; 4) be the nth eigenvalue and

eigenvector of the matrix A, respectively, that is, let Vn and qn satisfy

A Vn ˆ qn Vn …6:1:16†

then it is found that

@ e
V …x† ˆ A Ve …x† …6:1:17†
@x

where

Ve n …x† ˆ Vn exp…qn x† …6:1:18†

Linear combinations of theVen …x† represent full EM solutions to Maxwell's

equations in each slab region. The next section will be concerned with
imposing boundary conditions from which a ®nal equation for the propaga-
tion constants of the system can be determined.

6.1.5 Multilayer Analysis

In this section we implement a multilayer analysis from which we can deter-
mine the propagation constants of the system. Using the local coordinate
system shown in Fig. 1, and taking linear combinations of the general state
variable solution given by Eq. 6.1.18, we ®nd that the EM ®elds in the `th
slab are given by

X
4
Ve ` …x` † ˆ Cn 0 exp…qn…`†0 x` †Vn…`†0 …6:1:19†
n 0 ˆ1

where V…`† n 0 are the state variable eigenvectors of the `th slab region (Eq.
6.1.16). The ®eld components of the `th slab region contained in the matrix
Ve ` …x` † are
h it
Ve ` …x` † ˆ E^ y` …x` †; E^ z` …x` †; H^ y` …x` †; H^ z` …x` † …6:1:20†

We now begin ®eld matching at the different interfaces of the system.

We have at x ˆ 0, x1 ˆ 0, E^ y1 …x1 † ˆ 0; E^ z1 …x1 † ˆ 0, thus
350 Chapter 6
2 3
0
6 0 7
Ve 1 …0† ˆ 6 7 …1† …1†
4 H^ y1 …0† 5 ˆ ‰Vnn 0 Š‰Cn 0 Š ˆ V1 C1 …6:1:21†
H^ z1 …0†

where (n 0 ; n† ˆ …1; 2; 3; 4†. Matrix inversion of this equation gives

2 3
0
6 07
C1 ˆ V1 1 6 7 1 e
4 H^ y1 …0† 5 ˆ V1 V 1 …0† …6:1:22†
H^ z1 …0†

At x ˆ s1 ‡


‡ s` 1 ; x` ˆ 0 for ` ˆ 2; . . . ; N`

V e ` 1 …s` 1 † ˆ V e ` …0† …6:1:23†

or
h ih i h ih i
…` 1†
Vnn 0 exp…qn…`0 1† s` 1 † Cn…`0 1† ˆ Vnn …`†
0 Cn…`†0 …6:1:24†
h ih ih i h ih i
…` 1†
Vnn 0 exp…q…`n0
1†
s` 1 †n 0 n Cn…`0 1† ˆ Vnn …`†
0 Cn…`†0 …6:1:25†

Letting D` 1 ˆ ‰exp…q…`
n0
1† …`†
s` 1 †n 0 n Š, V` ˆ ‰Vnn …`† …`†
0 Š, and V` ˆ ‰Vnn 0 Š, C` ˆ ‰Cn 0 Š,

we then have

V` 1 D` 1 C` 1 ˆ V` C` …6:1:26†

or

C` ˆ V` 1 V` 1 D` 1 C` 1 …6:1:27†

At x ˆ a, xN` ˆ sN` , E^ yN` …sN` † ˆ 0, E^ z1 …sN` † ˆ 0;

2 3
0
6 0 7
Ve N` …sN` † ˆ 6 7
4 H^ yN` …sN` † 5 ˆ VN` DN` CN` …n 0 ; n† ˆ …1; 2; 3; 4†
H^ zN …sN †
` `

…6:1:28†

Substituting CN` in terms of CN` 1 , substituting CN` 1 in terms of CN` 2 ; . . .,

substituting C2 in terms of C1 , we ®nd that
Anisotropic Inhomogeneous Waveguide and Periodic Media 351

V e N` …sN` † ˆ VN` DN` CN` CN` ˆ VN1` VN` 1 DN` 1 CN` 1

1
CN` 1 ˆ VN` 1 VN` 2 DN` 2 CN` 2 ...
1
C2 ˆ V2 V1 D1 C1 C1 ˆ V1 V e 1 …0†
1
…6:1:29†

or

Ve N` …sL † ˆ …VN` DN` VN1` †…VN` 1 DN` 1 VN1` 1 †


…V1 D1 V1 1 †Ve 1 …0†
…6:1:30†

If we let T` ˆ V` D` V` 1 for ` ˆ 1; . . . ; N` , then Eq. 6.1.30 may be written as

Ve N` …sL † ˆ TN` TN` 1


T2 T1 Ve 1 …0† …6:1:31†

or letting T  TN` TN` 1


T2 T1 , then

2 2 3 32 3
0 T11 T12 T13 T14 0
6 7 6
6 0 7 6 T21 T22 T23 T24 7
76
6 0 7
7
6 7
6 H^ yN …sN † 7 ˆ 6
4 T31 T32 T33
76 ^
T34 54 Hy1 …0† 5
7 …6:1:32†
4 ` ` 5

^
HzN` …sN` † T41 T42 T43 T44 H^ z1 …0†

For this equation to hold we must have

T13 …H^ y1 …0†† ‡ T14 …H^ z1 …0†† ˆ 0 …6:1:33a†

T23 …H^ y1 …0†† ‡ T24 …H^ z1 …0†† ˆ 0 …6:1:33b†

Since the right-hand side of both these equations is zero, the equations must
be linearly dependent for a nontrivial solution to correspond to them.
Setting the determinant to zero we ®nd that the ®nal propagation equation
for the n 6ˆ 0 mode is

T13 … †T24 … † T23 … †T14 … † ˆ 0 …6:1:34†

Reference 1 describes in detail a root ®nding technique that can be used to

solve for the propagation constants of this equation.
352 Chapter 6

TEn0 Modes
To determine the modes of the n ˆ 0 case, a separate EM ®eld analysis of
Maxwell's equations must be carried out. In this case we take Ex ˆ Ez ˆ 0
and Hy ˆ 0. After a reduction of equations similar to that carried out for the
n 6ˆ 0 case, it is found that the E^ y and H^ z ®eld variables can be put into the
state variable form
" #  " #
@ E^ y 1 zx xx e E^ y
ˆ …6:1:35†
@x H^ z xx k2x xz H^ z

By carrying out a multilayer matrix analysis based on eigenvalues and

eigenvectors identical to that which has already been presented, we ®nd that
" # " # " #
E^ yN` …sN` † E^ y1 …0† E^ y1 …0†
ˆ T N` T N`


T 2T 1 ˆT
H^ zN` …sN` † 1
H^ z1 …0† H^ z1 …0†
…6:1:36†

or
" #    
0 T11 T12 0
ˆ ˆ …6:1:37†
H^ zN` …sN` † T21 T22 H^ z1 …0†

or

T11 … † ˆ 0 …6:1:38†

for a nontrivial solution to this equation to hold. Using the same numerical
techniques described earlier, the roots of this equation can be found.

6.1.6 Comparison with Experimental Data

The case of a transversely magnetized slab of ferrite on the broad wall of a
rectangular waveguide, Fig. 2, was studied by Bernardi [10]. On the basis of
the dispersion relation, calculated by assuming a lossless ferrite, he quite
accurately predicted the frequency at which losses are likely to occur.
However, the determination of the actual shape of the attenuation curve
is beyond the scope of his approach. The algorithm described in this chapter
was applied to this particular problem yielding results presented in Fig. 3
and Fig. 4, which show, respectively, the attenuation of the structure in the
Anisotropic Inhomogeneous Waveguide and Periodic Media 353

Figure 2 Rectangular waveguide with H-plane ferrite slab. Used with permission
of IEEE-MTT, 1970 [1, Fig. 5].

Figure 3 Attenuation of ferrite-loaded waveguide of Fig. 2. Solid lines: theoretical

values. Dots: experimental results published by Bernardi [10]. Used with permission
of IEEE-MTT, 1970 [1, Fig. 6].
354 Chapter 6

Figure 4 Propagation characteristics of ferrite-loaded waveguide of Fig. 2. Plot of

b against frequency, calculated for the material parameters of Fig. 3. Used with
permission of IEEE-MTT, 1970 [1, Fig. 8].

reverse direction (curves 1 and 2 correspond to the two lowest modes) and
the normalized phase coef®cient k (two modes in both directions) as a
function of frequency. Comparison with values of the attenuation measured
by Bernardi [10] and presented in Fig. 3 show good agreement between
calculations and experiment. It is worthwhile noting that the particular
hump on the right-hand side of the attenuation curve, which corresponds
to the resonance of e (Fig. 5), is quite apparent from the oscillograms of
Bernardi [10].
Comparing Figs. 3 and 4 it appears that coupling takes place between
the empty waveguide and curve 1 in the dispersion diagram (Fig. 4) when
the frequency is lower than the resonant; at higher frequencies coupling
occurs to curve 2 of Fig. 4.
It is also worth noting that in ferrite-loaded waveguides, large values
of attenuation can occur with large values of phase shift. This corresponds
Anisotropic Inhomogeneous Waveguide and Periodic Media 355

Figure 5 Effective ferrite permeability e against frequency, calculated for the

material parameters of Fig. 3. Used with permission of IEEE-MTT, 1970 [1, Fig. 7].

to the evanescent modes reported by Tai [11]. Experimental veri®cation for

other ferrite-loaded waveguides were made in Ref. 12.

6.1.7 Conclusion
The study of a rectangular waveguide containing slabs extending across it
has shown that an exact derivation of the dispersion equation can be made
when the material properties meet certain requirements. This is the case for
cross-tensor media, which include in particular transversely magnetized fer-
rites, plasmas and semiconductors, certain crystal orientations of crystals,
and also dielectrics and resistive materials. A state variable analysis of
Maxwell's equations was made, the dispersion equations of the modes of
the loaded structure were derived, and a numerical solution of the dispersion
356 Chapter 6

equations was obtained. A veri®cation with published experimental data

shows good agreement.

6.2 DIFFRACTION GRATING ANALYSIS USING THE

GARDIOL WAVEGUIDE FORMULATION
6.2.1 Introduction
In this section we use the Gardiol state variable waveguide formulation [1]
to study diffraction from a one-dimensional grating composed of the cross-
tensor materials described in the previous section. The diffraction grating
geometry is shown in Fig. 6. Regions 1 and 3 contain uniform lossless
materials characterized by permittivity and permeability (1 ; 1 ) and
(3 ; 3 ), respectively. The diffraction grating region is assumed to contain
inhomogeneous cross-tensor material characterized by relative permittivity 
and permeability , positioned in the uniform slabs as shown in Fig. 6. The
grating is assumed to be uniform in the y- and z-directions. It is assumed
that an H-mode plane wave (see Fig. 6) impinges on the grating.
The diffraction grating analysis presented in this section combines
elements of the diffraction grating analysis in Chapter 3 and the waveguide
analysis of Gardiol in Section 6.1. The basic procedure to be followed will be
(1) to use the Gardiol method to obtain the forward and backward propa-
gating modes in the z-direction of the periodic diffraction grating, (2) to
expand the EM ®elds of Regions 1 and 3 in a set of Floquet harmonics (as is
done in applying RCWA to the study of gratings), and (3) to determine all
unknown coef®cients of the system by matching EM boundary conditions at
the Region 1±2 and Region 2±3 interfaces of the system.
The procedure to be used to obtain the modes of the diffraction grat-
ing system is identical to that of the Gardiol analysis except that periodic
boundary conditions will be imposed at the boundaries of each diffraction
grating cell instead of requiring that the tangential electric ®eld be zero at
waveguide boundaries. This difference will lead to a signi®cantly different
eigenvalue equation from the one used by Gardiol. We mention at this point
that the method to be presented here is identical to that already presented by
Yamakita et al. [13±15] when E-mode and H-mode plane wave scattering
from diffraction gratings composed of isotropic dielectric materials is stu-
died. In the work of Yamakita et al. [13±15] the sets of propagating plane
waves were termed Bloch wave modal functions.
There are at least two reasons why determination of diffraction by the
present method is useful. First, it represents an entirely different formulation
of the diffraction grating problem than that of rigorous coupled wave ana-
lysis. Therefore close agreement of the two methods strongly recommends
Anisotropic Inhomogeneous Waveguide and Periodic Media 357

Figure 6 The geometry of the anisotropic transversely inhomogeneous diffraction

grating system is shown. One unit cell of the diffraction grating over the interval 0 
x   is shown in detail. The other cells are assumed to repeat inde®nitely in the
positive and negative x-directions. The local coordinates x1 ; x2 ; . . . x` ; . . . ; xN` that
represent the EM ®elds inside each slab are also shown. Region 1 (incident side) and
Region 3 (transmit side) are assumed to consist of homogeneous lossless media. The
incident EM wave is assumed to have either E-mode or H-mode polarization.

the validity of both methods. Second, the present method, because it bound-
ary matches the EM ®elds at different boundaries, should be an ideal
method for describing the internal EM ®elds. In comparison, the RCWA
method uses a large number of Fourier terms to represent a step disconti-
nuity, whereas the present modal method builds step continuities into solu-
tion, therefore giving a very accurate representation of the EM ®elds
internal to the grating system.

6.2.2 H-mode Formulation

Section 6.2.1 has given a brief introduction to the problem at hand. Because
an H-mode wave is impinging on the grating, and because the grating is
assumed uniform in the y-direction, it turns out that the Ex , Ez , and Hy EM
®eld components can be taken to be zero, Ex ˆ Ez ˆ Hy ˆ 0. In this sec-
358 Chapter 6

~ y ˆ k0 y,
tion we will use normalized coordinates in which x ˆ k0 x, ~ etc., and
p
k0 ˆ ! 0 0 , x~ in meters. In Gardiol's n ˆ 0 waveguide formulation
(denoted in this section with a prime in order that the waveguide ®eld
solutions will not be confused with the grading solution), the EM ®elds
are expressed in the form

E~ ˆ ‰E^ y0 …x†a^y Še z
…6:2:1a†
 
H~ ˆ …H x0 …x††a^ x ‡ …H z0 …x††a^ z e z
…6:2:1b†

Substituting Eqs. 6.2.1a,b into Maxwell's equations using normalized coor-

dinates led to the matrix equation
" #  " 0 #
@ E^ y0 0
a11 0
a12 E^ y
ˆ 0 0 ˆ A0 V0 …6:2:2†
@x Hz ^ 0 a21 a22 H^ z0

where
 
1 zx xx e
A0 ˆ
xx k2x zx

~ 0 is the normalized propagation constant, ~ in 1/meter,

where ˆ =k
e ˆ zz xz zx =xx , and k2x ˆ yy xx ‡ 2 , and where the other terms
are de®ned as in Section 6.1.
In order to facilitate boundary matching to the EM ®elds in Regions 1
and 3 of the present diffraction grating problem, it is useful to seek a solu-
tion of Maxwell's equations in the form

E ˆ ‰E^ y …x†a^y Š exp… jkx0 x† exp… z† …6:2:3a†

 
H ˆ …H x …x††a^ x ‡ …H z …x††a^z exp… jkx0 x† exp… z† …6:2:3b†

Letting V ˆ ‰E^ y …x† H^ z …x†Št , a comparison with Eqs. 6.2.1a,b shows that
V 0 ˆ V exp… jkx0 x†. If V 0 ˆ V exp… jkx0 x† is substituted into Eq. 6.2.2,
we ®nd after algebra that
" #  " #
@ E^ y a11 a12 E^ y
ˆ ˆAV …6:2:4†
@x H^ z a21 a22 H^ z

where

A ˆ …jkx0 †I ‡ A 0 …6:2:5†
Anisotropic Inhomogeneous Waveguide and Periodic Media 359

The matrix A refers to any slab layer `, and the subscript ` has been sup-
pressed in the above equations. By carrying out a multilayer matrix analysis
based on eigenvalues and eigenvectors identical to that which has already
been presented, we ®nd that
" # " # " #
E^ yL …sL † E^ y1 …0† E^ y1 …0†
ˆ TN` TN` 1


T2 T1 ˆT …6:2:6†
H^ zL …sL † H^ z1 …0† H^ z1 …0†

where
 
q1` 0
T` ˆ Q Q 1
` 0 q2` `

where Q is the eigenvector or modal matrix corresponding to the matrix A`

`
and q1` and q2` are the eigenvalue of the matrix A` .
In the present diffraction grating problem we require that the modal
amplitudes E^ y …x† and H^ z …x† be periodic functions of the grating period .
This requirement leads to the equations

E^ yL …sN` † ˆ E^ y1 …0† …6:2:7a†

H^ zL …sN` † ˆ H^ z1 …0† …6:2:7b†

An inspection of Eq. 6.1.3.6 shows that only nontrivial solutions will result
for this case when

det…T† ˆ T11 … †T22 … † T12 … †T21 … † ˆ 0 …6:2:8†

This equation then forms an equation from which the propagation con-
stants in the grating can be determined.
Once the propagation constant has been determined, it is possible (up
to a normalization constant) to determine the full form of each electromag-
netic mode that can propagate in the grating system. The ®eld coef®cients
E^ y`n …x` † and H^ z`n …x` † of the nth mode in the `th layer are found, after
assuming an appropriate normalization constant, by using a matrix cascade
to relate the ®eld amplitudes at one grating boundary to the `th layer. A
small amount of algebra shows that in the `th layer,

1n o
H^ x`n …x` † ˆ ‰ jkx0 ‡ a22`n ŠH^ z`n …x` † ‡ a21`n E^ y`n …x` † …6:2:9†
n`
360 Chapter 6

We mention at this point that in order to determine the propagation of

waves in the negative z-direction, that is, waves proportional to exp… z†, we
use the analysis as presented in Eqs. 6.2.1±6.2.9 and replace in all equations
by . Because the material is not reciprocal it does not necessarily follow
that the positive and negative traveling propagation constants and the asso-
ciated modal ®elds will be the same.
We represent the EM ®elds in Region 2 by expanding those ®elds in a
set (multiplied by as yet unknown coef®cients) of 2MT ‡ 1 forward traveling
modes … n‡‡ , n‡ ˆ 1; . . . ; 2MT ‡ 1 denotes the propagation constant of the
forward traveling wave) and 2MT ‡ 1 backward traveling modes ( n , n ˆ
1; ; . . . ; 2MT ‡ 1 denotes the propagation constant of the backward travel-
ing modes). The full expansion of the Ey…2† and H^ x…2† EM ®elds in Region 2 is
given by

X
NT
Ey…2† ˆ exp… jkx0 x† Cn E^ yn …x† exp… n z† …6:2:10a†
nˆ1

X
NT
Hx…2† ˆ exp… jkx0 x† Cn H^ xn …x† exp… n z† …6:2:10b†
nˆ1

where
(
n‡‡
n ˆ …6:2:11†
n
8
< E^ yn
‡
‡ …x†
E^ yn …x† ˆ …6:2:12a†
: E^ …x†
yn
( ‡
Hxn‡ …x†
H^ xn …x† ˆ …6:2:12b†
Hxn …x†

where NT ˆ 2…2MT ‡ 1†, where plus and minus denote forward and back-
ward traveling modes, respectively and where n‡ ˆ n; n ˆ 1;


; 2MT ‡ 1
and n ˆ n …2MT ‡ 1†; n ˆ 2MT ‡ 2;


; NT : In writing Eqs. 6.2.10±
6.2.12, it is assumed that EM ®eld solutions, which were found in terms
of the local coordinates x` of each thin slab, have been properly translated
into the overall transverse variable x, which extends over the periodic grat-
ing interval 0  x  .
In Regions 1 and 3 the EM ®elds are given by
Anisotropic Inhomogeneous Waveguide and Periodic Media 361

X
MT
Ey…1† ˆ ‰E0 i0 exp… jkxi x jkz1i z† ‡ ri exp… jkxi x ‡ jkz1i z†Š
iˆ MT

…6:2:13a†

1 X
MT
kz1i
Hx…1† ˆ ‰ E0 i0 exp… jkxi x jkz1i z†
0 iˆ M 1
T

‡ri exp… jkxi x ‡ jkz1i z†Š …6:2:13b†

X
MT
Ey…3† ˆ ‰ti exp… jkxi x jkz3i …z L††Š …6:2:13c†
iˆ MT

1 X
MT
Hx…3† ˆ ‰t exp… jkxi x jkz3i …z L††Š …6:2:13d†
0 iˆ M i
T
8 p
< ‰r r k2xi Š1=2 r r > kxi
kzri ˆ p r ˆ 1; 3 …6:2:13e†
: j‰k2 r r Š1=2 kxi > r r
xi

and

kxi ˆ kx0 iKx …6:2:13f†

where Kx ˆ 2x , x is the normalized grating period, and i ˆ MT ; . . . ; MT .

To impose boundary conditions we equate the tangential electrical and
magnetic ®elds at the Region 1±2 and Region 2±3 interfaces. Equating the y-
component of the electric ®eld at z ˆ 0 we have

Ey…1† jzˆ0 ˆ Ey…2† jzˆ0‡ …6:2:14a†

X
MT
Ey…1† jzˆ0 ˆ exp… jkx0 x† ‰…E0 i0 ‡ ri † exp…jiKx x†Š …6:2:14b†
iˆ MT

X
NT
Ey…2† jzˆ0‡ ˆ exp… jkx0 x† Cn E^ yn …x† …6:2:14c†
nˆ1

or
362 Chapter 6

X
MT X
NT
‰…E0 i0 ‡ ri † exp…jiKx x†Š ˆ Cn E^ yn …x† …6:2:14d†
iˆ MT nˆ1

Using the orthogonality of Floquet harmonics (or Fourier series) (that is,
after multiplying Eq. 6.2.14d by …1=x † exp… ji 0 Kx x†, integrating across a
grating period, and replacing i 0 by i in the notation) we ®nd that

X
NT … x =2 X
NT
1
E0 i0 ‡ ri ˆ Cn E^ yn …x† exp… jiKx x†dx ˆ Cn Eyin
nˆ1
x x =2 nˆ1
…6:2:15†

where
… x =2
1
Eyin ˆ E^ yn …x† exp… jiKx x†dx …6:2:16†
x x =2

Applying the same matching procedure to the tangential magnetic ®eld at

z ˆ 0 and the tangential electric and magnetic ®eld at z ˆ L, we ®nd the
additional equations

X
NT …
kz1i 1 x =2 ^
… E0 i 0 0 ‡ ri † ˆ j Cn H …x† exp… jiKx x†dx
1 nˆ1
x x =2 xn

X
NT
ˆj Cn H^ xin …6:2:17a†
nˆ1

X
NT
ti ˆ Cn Eyin …6:2:17b†
nˆ1

kz3i X
NT
… ti † ˆ j Cn H^ xin …6:2:17c†
1 nˆ1

Elimination of ri and ti from these equations leads to the ®nal matrix equa-
tions for Cn . We have

X N  
2kz1i T
k
…Eo i0 † ˆ Cn j H^ xin ‡ z1i Eyin …6:2:18a†
1 nˆ1
1
Anisotropic Inhomogeneous Waveguide and Periodic Media 363

X
NT  
k
0ˆ Cn exp… n L† j H^ xin ‡ z3i Eyin …6:2:18b†
nˆ1
3

where i ˆ MT ; . . . ; MT in each equation. We notice that Eqs. 6.2.18a and

6.2.18b with NT ˆ 2…2MT ‡ 1† represent an NT  NT matrix equation from
which all the Cn coef®cients of the system can be found.
The E-mode case, which is the case dual to the case considered in
Section 6.2.1, occurs when the EM ®eld components Hx ˆ Hz ˆ Ey ˆ 0
rather than when the ®eld components Ex ˆ Ez ˆ Hy ˆ 0 as was consid-
ered earlier.
In conclusion of this subsection we mention that the present analysis
can be extended to include longitudinally inhomogeneous diffraction grat-
ings (for example a sinusoidal surface diffraction grating or a triangular
blaze grating) by applying a multilayer analysis as described in Section 3.5
or as described in Ref. 15. This analysis consists of dividing the diffraction
grating into electrically thin layers, determining the eigenmodes of each thin
layer, and then boundary matching the EM ®elds of each thin layer and the
bounding regions to determine the EM ®elds of the whole system.

6.2.3 Coordinate Transformations

In Section 6.1 the coordinate system was chosen with the z-coordinate par-
allel to the waveguide axis as is typical of most waveguide descriptions. This
coordinate system corresponds exactly to Gardiol's waveguide analysis. In
order that the Gardiol analysis could be extended to diffraction gratings in a
simple way, the waveguide system of Section 6.1 was also used in Section 6.2
for diffraction gratings.
We mention at this point that by using a simple coordinate transfor-
mation matrix, we can relate the coordinates and the permittivity and per-
meability tensors of the present chapter to the permittivity and permeability
tensors expressed in the coordinate system used in Chapter 3. Letting F~s ˆ
‰Fxs ; Fys ; Fzs Št represent a vector in the coordinate system of Chapter 3 (See
Fig. 3.2.1) we ®nd that a vector F~ in the coordinate system of this chapter is
related to Fs by the relation

2 3 2 32 3
Fx 1 0 0 Fxs
F~ ˆ 4 Fy 5 ˆ 4 0 0 1 54 Fys 5 ˆ MFs …6:2:19†
Fz 0 1 0 Fzs
364 Chapter 6

Also
2 3 2 32 3
Fxs 1 0 0 Fx
F~s ˆ 4 Fys 5 ˆ 4 0 0 1 54 Fy 5 ˆ M 1 F~ …6:2:20†
Fzs 0 1 0 Fz

In Chapter 3 the dielectric permittivity tensor satis®es

2 32 3
xxs xys 0 Exs
D~ s ˆ s E~s ˆ 4 yxs yys 0 54 Eys 5 …6:2:21†
0 0 zzs Ezs

We have

D~ ˆ MD~ s E~ ˆ ME~s D~ ˆ E~ MD~ s ˆ  M E~s …6:2:22†

or

D~ s ˆ …M 1  M†E~s ˆ s E~s …6:2:23†

Thus s ˆ …M 1  M† and also  ˆ …M s M 1 ). Written out we have

2 3 2 3
xxs xys 0 xx xz 0
6 7 6 7
s ˆ 6
4 yxs yys 0 7 1 6
5 ˆ M  M ˆ 4 zx zz 0 75 …6:2:24a†
0 0 zzs 0 0 yy
2 3 2 3
xx 0 xz xxs 0 xys
6 7 6 7
ˆ6 7 1
4 0 yy 0 5 ˆ M s M ˆ 4 0
6 zzs 0 7 5 …6:2:24b†
zx 0 zz yxs 0 yys

The permeability tensors ls and l obey the same relations as the permittivity
tensors above. Thus the formulation presented in this section can be used to
solve the diffraction grating problems considered in Sections 3.2 and 3.3,
which were solved by rigorous coupled wave theory.

6.2.5 Numerical Results

The method presented here is identical to that presented by Yamakita et al.
[13±15] when E-mode and H-mode plane wave scattering from diffraction
gratings composed of isotropic dielectric materials is studied. When applying
the analysis presented here to isotropic materials, the waves in each lateral
Anisotropic Inhomogeneous Waveguide and Periodic Media 365

slab reduce to multiply re¯ected plane waves traveling in the positive and
negative x-directions. Yamakita et al. [13±15] boundary matched expansions
of these plane waves at the slab interfaces, and after imposing periodic bound-
ary conditions at the grating cell boundaries they presented equations that
determined which sets of plane waves can propagate in the diffraction grating
system. The sets of propagating plane waves were termed Bloch wave modal
functions. Once the Bloch wave modal functions were determined, boundary
matching of the incident, re¯ected, and transmitted diffracted waves with
expansions of the Bloch wave modal functions at the Region 1±2 and
Region 2±3 interfaces provided the ®nal matrix equation from which all
EM ®elds in the diffraction grating system could be uniquely determined.
In addition to uniform rectangular groove gratings, Yamakita et al. [15]
have, based on the Bloch wave modal function theory, developed a multilayer
algorithm to study longitudinally inhomogeneous surface relief gratings.
Figure 7 (Yamakita et al. [14], Fig. 5) shows examples of plane wave
E-mode and H-mode diffraction ef®ciency versus groove depth as occurs
from a rectangular groove grating when Bloch wave modal function theory
(and therefore the theory of this section applied to isotropic materials) is
used to determine the EM ®elds of the system. Yamakita et al. [13±15]
number the diffraction ef®ciency orders in the number sequence opposite
to that used in Chapter 3 of the present text. The Yamakita ordering is
shown in the inset of Fig. 7.

PROBLEMS

1. Assume that the waveguide shown in Figure 1 has an isotropic

permittivity given by

"1 ; 0  x  x 1
"…x† ˆ
"2 ; x1 < x  a and permeability given by


1 ; 0  x  x1
…x† ˆ
2 ; x1 < x  a

This type of waveguide is referred to as a loaded waveguide or

partially ®lled waveguide and its modes may be solved exactly by
using vector potential theory. Please see Harrington [16]. The
modal solutions are found using the x component of the electric
or magnetic vector potential and the modal solutions which result
Figure 7 Diffraction ef®ciencies as a function of groove depth for rectangular surface relief grating. Used with
permission of SPIE, 1987 [14, Fig. 5].
Anisotropic Inhomogeneous Waveguide and Periodic Media 367

are termed transverse electric to x (TEx ) or transverse magnetic to

x (TMx ) modal solutions.
(a) Use the method of Gardiol [1] to solve for the EM ®elds and
modes that propagate in the waveguide for the permittivity and
permeability that are given at the start of the problem.
(b) Compare this solution with the loaded waveguide solutions as
found in Harrington [16].
2. A partially loaded waveguide contains an inhomogeneous dielec-
tric whose relative permittivity is given by

"1 I; 0  x  x1 ; L~  z~  L~
e…x† ˆ
"2 ; x1 < x  a; L~  z~  L~

where I is a 3  3 identity matrix, "1 ˆ 1:5.; the relative perme-

ability  ˆ 1; and the nonzero elements of e2 are
"2xx ˆ "2yy ˆ "2zz ˆ 2. and "2xz ˆ "2zx ˆ 3.; and where the region
outside L~  z~  L~ is free space. Let a~ ˆ 2b~ ˆ 2 cm;
~ ~
x~ 1 ˆ b; L ˆ 5a. ~ The guide is operated at a frequency f , which is
25% higher than the cutoff frequency of the lowest order mode
which propagates in the unloaded portion of the guide.
(a) Find the propagation constants and EM ®elds in the wave-
guide of the lowest four modes in the region L~  z~  L. ~
(b) If a TE10 (the lowest order dominant mode) is incident on the
loaded portion of the waveguide from z~ ˆ 1, determine the
amplitude of the TE10 mode which is re¯ected from the loaded
portion of the guide and which is transmitted through the loaded
portion of the guide. Solve this problem by expanding the
unknown ®elds in each region in the propagating and evanescent
modes that exist in eaach region (TEmn and TMmn modes outside
in the region L~  z~  L~ and the modes of Part (a) inside
L~  z~  L)
~ and by matching boundary conditions.
(c) Repeat (b) assuming that the TE10 mode is incident from
z~ ˆ 1. Are the re¯ection and transmission coef®cients the same
as in part (b)?
3. A waveguide contains an inhomogeneous material whose relative
permeability is given by

l…x† ˆ 2:I ‡ : :5l0 exp‰ …x~ ~ 2Š

a=2†

where I is a 3  3 identity matrix; the relative permittivity

" ˆ 1:5.; and the nonzero elements of l0 are 0xx ˆ yy ˆ
368 Chapter 6

0zz ˆ 3., 0xz ˆ 1:5, and 0zx ˆ 2:5: Let a~ ˆ 2b~ ˆ 2 cm. The guide
is operated at a frequency f , which is 15% higher than the cutoff
frequency of the lowest order mode which propagates when free
space occupies the guide.
(a) Find the propagation constants and EM ®elds in the wave-
guide of the lowest four modes. In the numerical analysis be sure
to include a suf®cient number of multilayers to assure proper
convergence of the solution.
(b) Calculate each mode's amplitude coef®cient so that each mode
at z ˆ 0 transmits in magnitude 1. watt of power across cross
section of the guide in the z direction.
4. Referring to the lamellar diffraction grating studied by Yamakita
and Rokushima [14, Fig. 5] (and reproduced in Fig. 7 of Sec. 6.2):
(a) Use the method described in Sec. 6.2 (based on the Gardiol
waveguide formulation [1], described in Sec. 6.1) to determine the
four lowest propagating (or possibly evanescent) transverse elec-
tric modes (Ez ˆ 0), which are excited in the lamellar diffraction
grating. (Transverse electric is also called H-mode.)
(b) Use rigorous coupled wave analysis as described in Chapter 3
to determine the four lowest transverse electric modes for the case
studied in (a).
(c) Plot the modal ®elds from both methods and compare the
results. Which method does the best job in meeting EM boundary
conditions of the system?
(d) Using the modal ®elds from (a), calculate the diffraction ef®-
ciency of the grating diffraction results shown in Fig. 7, Sec. 6.2
[14, Fig. 5]. Compare the results with that found by RCWA.
(e) Repeat (a) through (d) for transverse magnetic modes.
(Transverse magnetic is also called E-mode.)
5. An anisotropic, lambellar diffraction grating is bounded by free
space on the incident side (Region 1) and is bounded by a homo-
geneous, isotropic dielectric on the transmit side (Region 3),
whose relative dielectric permittivity value is "3 ˆ 2:5. The permit-
tivity in the diffraction grating region is given by
(
"2a ; 0  x~  x~ 1 ; 0  z~  L~
"2 …x† ˆ
~ 0  z~  L~
"2b I; x~ 1 < x~  a;

where I is a 3  3 identity matrix,  ˆ 1; the nonzero elements of

"2a "2axx ˆ "2azz ˆ 1: j:1; "2ayy ˆ 1:5"2axx , and "2axz ˆ :2"2axx ; the
relative permeability  ˆ 1; and "2b ˆ 2:5. Let a~ ˆ , x~ 1 ˆ =2.
Anisotropic Inhomogeneous Waveguide and Periodic Media 369

(Note that the permittivity is nonreciprocal since "2axz ˆ :2"2axx

and "2azx ˆ 0.) Use the method described in Sec. 6.2 (based on the
Gardiol waveguide formulation [1], described in Sec. 6.1) to
(a) Determine the four lowest propagating (or possibly evanes-
cent) transverse magnetic modes (Hz ˆ 0), which may be excited
in the anisotropic, lamellar diffraction grating in Region 2.
(Transverse magnetic is also called E-mode. Hz ˆ 0†
(b) If an E-mode polarized plane wave is incident on the grating
at an angle of 308, use rigorous coupled wave analysis as
described in Chapter 3 to determine the four lowest transverse
magnetic modes for the case studied in (a).
(c) Plot the modal ®elds from both methods to compare the
results.
(d) Using the modal ®elds from (a), calculate the diffraction ef®-
ciency of the grating. Be sure to include a suf®cient number of
expansion modes in all regions to ensure proper convergence of
the solution. Compare the results with that found by the RCWA
method.

REFERENCES

1. F. E. Gardiol, Anisotropic slabs in rectangular waveguides, IEEE Trans.

Microwave Theory Techniques, MTT-18(8), 461±467 (1970).
2. B. Lax and K. J. Button, Microwave Ferrimagnetics, McGraw-Hill, New York,
1962, Chap. 12.
3. M. H. Engineer and B. R. Nag, Propagation of electromagnetic waves in
rectangular waveguides ®lled with semiconductor in the presence of a transverse
magnetic ®eld, IEEE Trans. Microwave Theory Techniques, MTT-13, 641±645
(Sept. 1965).
4. W. P. Allis, S. J. Buchsbaum, and A. Bers, Waves in Anisotropic Plasmas.
Cambridge, Mass, MIT Press, 1963, Chap. 9.
5. H. Suhl and R. L. Walker, Topics in guided wave propagation through gyro-
magnetic media py2 transverse magnetization and non-reciprocal helix, Bell
System Tech. J., 33, 939±986 (July 1954).
6. H. Seidel, Ferrite slabs in transverse electric waveguide, J. Appl. Phys., 28, 218±
226 (Feb. 1957).
7. P. Morse and H. Feshbach, Methods of Theoretical Physics, McGraw-Hill, New
York, 1953, Sec. 5.1.
8. A. Angot, CompleÂments matheÂmatiques de l'usage des ingeÂnieurs de l'eÂlectrotech-
nique et des teÂleÂcommunications. Collection Techniques et Scienti®que,
C.N.E.T., Paris, 1961, p. 274.
370 Chapter 6

9. A. D. Bresler, G. H. Joshi, and M. Maecuvitz, Orthogonality properties for

modes in passive and active uniform waveguides, J. Appl. Phys., 29, 794±799
(May 1958).
10. P. Bernardi, A tunable absorbing band-stop ®lter: the ®eld rotation ®lter, IEEE
Microwave Theory Techniques, MTT-17, 62±66 (Feb. 1969).
11. C. T. Tai, Evanescent modes in a partially ®lled gyromagnetic rectangular
waveguide, J. Appl. Phys., 31, 220±221 (1960).
12. F. E. Gardiol, Propagation in rectangular waveguides loaded with slabs of
anisotropic materials, Ph.D. thesis, Faculty of Applied Sciences, Louvain
University, Heverlee, Belgium, June 1969.
13. J. Yamakita and K. Rokushima, Scattering of plane waves from dielectric
gratings with deep grooves, IECE Japan, J66-B, 375 (1983).
14. J. Yamakita and K. Rokushima, Modal expansion method for dielectric grat-
ings with rectangular grooves, Proc. SPIE, 503, 239 (1984).
15. J. Yamakita, K. Rokushima, and S. Mori, Numerical analysis of multistep
dielectric gratings, SPIE, 815. Application and Theory of Periodic Structures,
Diffraction Gratings, and Moire Phenomena III, 153±157 (1987).
16. R. F. Harrington, Time Harmonic Electromagnetic Fields, McGraw-Hill, New
York, (1961).
7
Application of Rigorous Coupled Wave
Analysis to Analysis of Induced
Photorefractive Gratings

7.1 INTRODUCTION TO PHOTOREFRACTIVE MATERIALS

Since its discovery by Ashkin et al. [1] in the mid 1960s, a tremendous
amount of research has been carried out to study the photorefractive (PR)
effect and apply it to real-time image processing [2], beam ampli®cation [3],
self-pumped phase conjugation [4], four-wave mixing [5], and optical com-
puting [6], to name a few applications. A preliminary discussion of beam
propagation through PR materials was presented in Chapter 4. When two
coherent plane waves of light intersect in a PR material, they form an
intensity interference pattern comprising bright and dark regions (see Fig.
1). Assuming that the PR material is predominantly n-doped, the electrons
migrate from bright to dark regions, thus creating an approximately sinu-
soidal charge distribution. This diffusion-controlled PR effect in turn creates
an electrostatic ®eld that is ideally 90 phase shifted from the intensity
pattern and modulates the refractive index of the crystal via the electro-
optic effect (see Fig. 1). The incident plane waves are, in turn, scattered
by the grating so that one wave may have constructive recombination
while the other may encounter a destructive recombination. This effect
leads to energy coupling between the beams through what is commonly
referred to as the two-beam coupling effect [3].
A steady-state nonlinear coupling theory of the two-beam coupling
phenomenon using participating plane waves has been derived and the
results reconciled with numerical simulations of the coupling between two,
in general, focused Gaussian beams [7]. The results indicate that the two-
beam coupling parameter [8] strongly depends on the initial intensity ratio
of the plane waves (or power ratio of the input beams), an effect that has

371
372 Chapter 7

Figure 1 Geometry of the PR diffraction grating.

been experimentally observed before [9,10] but for which only an empirical
theory existed [11]. The empirical theory, however, was an improvement
over linearized time-dependent theories that predict that is independent
of the initial intensity ratio [8]. The dif®culty in providing an analytical
nonlinear time-dependent theory stems from the impossibility of exactly
decoupling the Kukhtarev equations [9] except in the steady state, and
numerical simulations of these coupled equations are also rather formidable.
Simpli®ed beam propagation results, based on the approximate steady state
solutions, was presented in Chapter 4.
Over and above the computational dif®culty with the Kukhtarev equa-
tions is that in a typical experimental setup, the PR crystal is ®nite and often
has a large linear refractive index (typically greater than 2), prompting
re¯ections from boundaries. This introduces the added complication of tak-
ing into account forward and backward traveling waves during the two-
beam coupling process and in fact extends the two-beam problem to a
degenerate four-wave mixing problem in a PR material. Recently, a ``uni-
®ed'' method for solution of four-wave mixing problems in PR crystals in
both transmission and re¯ection geometries has been proposed and applied
to problems of double phase conjugation and two-wave mixing with crossed
polarization in cubic crystals [12]. However, the methodology implies lin-
earized interaction equations between the PR grating and the intensity
grating and furthermore has been developed for the steady state.
A rigorous analysis of wave interactions, particularly between ordin-
ary and extraordinary polarizations, coupled through induced material ani-
sotropy, has been developed by Wilson et al. [13]. The material analyzed is
LiNbO3 : Fe where the PR effect is primarily photovoltaic. Arbitrary-direc-
tion two-wave coupling is studied and extended to multiwave coupling. The
analysis is rigorous from an electromagnetics standpoint since it employs the
Induced Photorefractive Gratings 373

rigorous coupled wave approach [14±16]. Once again, the analysis is

restricted to the steady state.
In our approach, we assume the PR effect to be diffusion dominated,
and we ®rst write down the expression for the electrostatic ®eld (and hence
the induced refractive index pro®le) as a nonlinear function of the optical
intensity in the PR material in the steady state. The time-dependent
Kukhtarev equations are then decoupled, ®rst under a set of approxima-
tions, to yield a differential equation in time for the induced refractive index
pro®le. Rigorous coupled wave analysis (RCWA) is then used to analyze the
diffraction of each of the incident plane waves from the slowly induced
grating, including the effect of multiple re¯ections from the interfaces as
well as from dielectric mismatches along the direction of propagation cre-
ated through the changing intensity pattern due to energy transfer. We have
performed our simulations ®rst for the case of two coherent incident plane
waves to check our results with those in Ref. 7 (derived for the steady state
and unidirectional propagation) and then extended our approach to include
the case(s) when the incident waves are mutually partially incoherent. We
have also investigated the difference in the time responses of two-wave
coupling between taking the time constant as intensity dependent and taking
it to be independent of the intensity. Furthermore, we have repeated our
calculations with different incident polarizations for different materials with
varying photorefractive gains using the exact Kukhtarev model.
The relevance of our generalized approach using a nonlinear time-
dependent theory and rigorous coupled wave analysis can be summarized
in the context of the extensive amount of work on the nature of wave mixing
in PR materials. It has been pointed out that spatiotemporal instabilities,
possibly due to internal re¯ections, may cause self-pulsations, irregular ¯uc-
tuations in time, and optical chaos in self-pumped BaTiO3 phase conjugate
mirrors and during naturally pumped phase conjugation [17±20]. Light
waves at the interface of linear and PR media have also been analyzed
[21], and it has been experimentally shown that optical bistability can be
realized through optical feedback of the signal beam in a two-beam coupling
geometry [22]. In the latter paper, a simple analysis has also been advanced
to explain the hysteresis effect. The effect of a position-dependent time
constant during two-wave coupling in both nominally copropagating and
counterpropagating geometries has also been analyzed [23]. The rationale
for this calculation is that the PR time constant is, in general, dependent on
intensity. Furthermore, PR two-beam coupling with beams of partial spa-
tiotemporal coherence has been theoretically and experimentally investi-
gated [24,25]. The results indicate weaker coupling and beam-pro®le
deformation along with spatial coherence enhancement and deterioration
for the ampli®ed and deampli®ed beams, respectively. Finally, recording
374 Chapter 7

kinetics in PR materials in a two-beam coupling geometry, resulting in

multiple two-wave mixing and fanning, and ``kinky'' beam paths have
been theoretically predicted [26±28]. The results show that at least one
higher order may develop with a high diffraction ef®ciency.
As shown in this chapter, our algorithm can be effectively used to
analyze diffraction from induced nonlinear transient transmission and
re¯ection gratings and in materials with arbitrary complex permittivities
(including absorption) at optical frequencies. The rigorous coupled wave
algorithm is a straightforward, easy-to-understand diffraction analysis
method, which allows in a simple, complete, and elegant way the electro-
magnetic ®elds of the diffraction grating and the surrounding medium to
be accurately determined. RCWA techniques are routinely used in a wide
variety of diffraction grating problems arising in optics and electromag-
netics. The electromagnetic solution includes in its analysis the optical of
the anisotropy medium as well as all multiply re¯ected waves that occur
from the boundary interfaces. The RCWA method is a generalization of
the beam propagation method, and it reduces to the beam propagation
method when only forward traveling waves are allowed in the analysis. To
the best of our knowledge there exist no other optical analysis method that
could even approximately analyze the mismatched boundary case that we
present in this chapter (see Fig. 1). The beam propagation method cannot
be applied in the present case because it does not account for multiply
re¯ected waves form the boundary interfaces. We believe that it is useful
to use a rigorous electromagnetic ®eld theory even if the material model is
simple, because the use of a rigorous ®eld theory at least removes the
uncertainty that an inaccurate electromagnetic solution is the source of
discrepancy between the overall model and experiment. All discrepancies
between theory and experiment can then be ascribed to the materials
model.

7.2 DYNAMIC NONLINEAR MODEL FOR DIFFUSION-

CONTROLLED PR MATERIALS

The time-dependent Kukhtarev equations [8] for a PR material for nominal

propagation of the optical ®eld along y and assuming transverse ®eld com-
ponents …J ˆ Ja^ x ; E s ˆ Es a^ x † and transverse coordinate x are

‡
@…ND n† 1 @J
ˆ …7:2:1†
@t e @x
Induced Photorefractive Gratings 375

‡
@ND ‡ ‡
ˆ …ND ND † …sI ‡ † R N D n …7:2:2†
@t
@n
J ˆ eDs ‡ enEs …7:2:3†
@x
@Es ‡
s ˆ e…ND NA n† …7:2:4†
@x

where

n…x; y; t† = free electron density

‡
ND …x; y; t† = ionized donor concentration
J…x; y; t† = current density
Es …x; y; t† =electrostatic space-charge ®eld
I…x; y; t† = intensity distribution
ND =donor concentration
e =electronic charge
s =ionization cross section
 = thermal excitation rate (proportional to dark current)
R = recombination rate
Ds =diffusion constant
s = effective quasi-static permittivity ˆ K
s
K=K 2
 = effective static mobility ˆ K

K=K 2
NA =acceptor concentration
K =K a^ x ˆ ‰K; 0; 0Š is the grating vector, K ˆ 2=
 = grating period
The effective values of s and  are given by Yeh [8, p. 88, Eqs. 3.1-32, 33].
In what follows we will determine how the dielectric permittivity modulation

…x; y; t† is related to the optical intensity I.

7.3 APPROXIMATE ANALYSIS [29,30]

To start the analysis, we differentiate Eq. 7.2.4 with respect to time, and
after noting that @NA =@t ˆ 0, we ®nd that
‡
@…ND n† s @2 E 1 @J
ˆ ˆ …7:3:1†
@t e @x@t e @x
376 Chapter 7

If the last two equation statements of Eq. 7.3.1 are integrated with respect to
x (the constant of integration can be shown to be zero) and J of Eq. 7.2.3 is
substituted, we ®nd that

s @Es @n
ˆ nEs Ds …7:3:2†
e @t @x

For a particular choice of c-axis of the PR crystal, the index of refraction

modulation may be taken to be
n ˆ rn30 Es , where n0 is the pertinent index
of refraction of the bulk dielectric of the PR material and where r is the
effective electro-optic coef®cient. The dielectric permittivity modulation

is related to
n by
n ˆ
=2n0 . Thus

…x; y; t† ˆ Es rn40 …7:3:3†

Substituting Es from Eq. 7.3.3 into Eq. 7.3.2, we ®nd the following equation
for
:

@
 en De @n
‡
 ˆ s rn40 …7:3:4†
@t s s @x

This equation shows that the dielectric modulation satis®es a ®rst-order

reaction type of differential equation, which is driven by the spatial gradient
of the electron density of n. The equation is nonlinear since the electron
density n depends on
 through the optical diffraction, re¯ection, and
refraction which occur in the PR media.
At this point no approximations of Kukhtarev's equations have been
made. In order to derive an expression that explicitly shows the dependence
of n on I in Eq. 7.3.4, in this chapter we will study the commonly occurring
‡ ‡
case when NA  ND and n  ND  NA . In this case the ND term in the ®rst
term of the right-hand side of Eq. 7.2.2 can be dropped, and we can solve for
R n, so that

‡
…sI ‡ †ND 1 @ND
R n ˆ ‡ ‡ …7:3:5†
ND ND @t

The second term on the right-hand side (RHS) of Eq. 7.3.5 is the derivative
of a logarithmic term

‡  ‡
1 @ND @ N
‡ ˆ ln D
ND @t @t NA
Induced Photorefractive Gratings 377

and can be shown to be small relative to the ®rst term on the RHS of Eq.
‡
7.3.5. It has been ignored for now in this approximate analysis. If ND is
approximated by NA in the denominator of Eq. 7.3.5, we can ®nally relate
the electron density n to the optical intensity I through the linear relations

…sI ‡ †ND @n sND @I

nˆ ˆ …7:3:6†
R N A @x R NA @x

Substituting Eq. 7.3.6 in Eq. 7.3.5 we ®nd that

@
 rn40 Ds @I
…I† ˆ
 …7:3:7†
@t …I ‡ =s† @x

where

R NA s
…I† ˆ …7:3:8†
eND …sI ‡ †

The dielectric perturbation
 can be put in the normalized form

@
 @I=@x~
~
…I† ˆ
 ‡  …7:3:9†
@t~ …I ‡ C†

where

t  rn40 Ds k0 …I†
x~ ˆ k0 x t~ ˆ Cˆ ˆ ~ ˆ
…I†
…I0 † s  …I0 †
…7:3:10†

and where I0 is the peak intensity of the incident optical ®eld. In Eq. 7.3.10,
…I0 † denotes a normalizing constant that makes …I† and t dimensionless. A
typical range for values of  is from  10 5 (e.g., in BSO) to  10 2
(BaTiO3 ). Also, the constant C is of the order of 104 ±106 (W/m2 ) in most
PR materials. We remark also that for small  … 10 5 ), we have found that
the intensity pro®le I is nearly constant in time; thus Eq. 7.3.9 can be
directly integrated w.r.t. t~ to yield an explicit expression for
:

@I=@x~ h ~ …I†
= ~
i

 ˆ  1 e …7:3:11†
C‡I
378 Chapter 7

The dielectric tensor of a BaTiO3 crystal can be shown to be given by

xx ˆ n2CO cos2 c ‡ n2CE sin2 c ‡
…x; y; t†Fxx

xy ˆ …n2CO n2CE † sin c cos c ‡
…x; y; t†Fxy
yx ˆ xy
yy ˆ n2CO sin2 c ‡ n2CE cos2 c ‡
…x; y; t†Fyy …7:3:12†

where
( )
r13 n2CO 2 2 r33 n2CE 3
Fxx ˆ FOE sin  c cos  c ‡ 2 sin  c cos  c ‡ sin c
r42 n2CE r42 n2CO
(
r13 n2CO 2
Fxy ˆ FOE sin c cos c ‡ cos c ‰ cos2 c ‡ sin2 c Š
r42 n2CE
)
r33 n2CE 2
sin c cos c
r42 n2CO
( )
r13 n2CO 3 2 r33 n2CE 2
Fyy ˆ FOE sin c 2 sin c cos c ‡ cos c sin c
r42 n2CE r42 n2CO

n2CO n2CE
FOE ˆ
n2O n2E
n2CO ˆ n2O jO00
n2CE ˆ n2E jE00 …7:3:13†

 in Eq. 7.3.12 is found by solving

@
 @I=@x~ Ds 2 2
~
…I† ˆ
 ‡  ˆ n n k r …7:3:14†
@t~ C‡I  O E 0 42

~
…I† is given in Eq. 7.3.10. The optical power intensity I…x; y; t† in this
problem is assumed proportional to jEx j2 ‡ jEy j2 . The terms n2CO and n2CE
are the relative complex dielectric permittivities of the bulk crystal. The
terms n2O and n2E are real parts of the relative bulk dielectric permittivity
and O00 and E00 are the lossy parts. Note that Exsc , electric space charge ®eld,
is linearly related to the dielectric perturbation or modulation function by
the equation
Induced Photorefractive Gratings 379

…x; y; t† ˆ n2O n2E r42 Exsc …x; y; t† …7:3:15†

The electro-optic constants r13 , r33 , and r42 are speci®ed in Ref. 8, Table 1.2,
pp. 26±29.

7.3.1 Numerical Algorithm

We will now describe an algorithm, based on the RCWA of Chapter 3, that
can be used to determine mode coupling and diffraction from a slowly
varying PR medium. The temporal variation of the PR medium is speci®ed
by Eq. 7.3.14. The algorithm proceeds temporally as follows. At t ˆ 0 (®rst
time step) a signal ( ˆ i † and pump wave ( ˆ i ) are incident on a dark,
uniform PR slab of material. The pump and signal wave interfere, creating a
periodic optical intensity pattern in the PR slab. The periodic optical inten-
sity modi®es the PR slab and produces a small periodic modulation
.
During this time step, no diffraction has occurred, as the dielectric modula-
tion was zero at the beginning of the time step. At the second time step, the

 generated by the optical interference of the ®rst time step will begin to
diffract light. The algorithm calculates the total optical intensity in the
medium (1) by calculating the EM ®elds and diffraction from
 in the
PR slab from the pump wave by itself, (2) by calculating the EM ®elds
and diffraction from the signal wave from
 in the PR slab by itself,
and (3) by adding these two EM ®elds together to ®nd the overall EM
®eld in the PR medium and to ®nd the overall transmitted and re¯ected
EM ®elds in free space.
The algorithm proceeds by substituting the just-described total optical
intensity into Eq. 7.3.14 to ®nd a new
 modulation that can be used for
the third time step. The algorithm repeats the above process for as many
time steps as is required for a solution.
The new value of
 for any time step is calculated approximately
using the ®nite difference formula

@
 @…t ‡
t†
…t†

 ˆ F…t; I† …7:3:16†
@t
t

or

…t ‡
t† ˆ
…t† ‡ F…t; I†
t …7:3:17†

where F…t; I† is the right-hand side of Eq. 7.3.14 and I is the optical intensity
of the light at time t.
380 Chapter 7

The time steps are chosen to be suf®ciently small so that only a very
small change in
 is observed at any given time step.
A numerical simulation of the nonlinear photorefractive dielectric
equations of Section 7.2 was made in order to study the interaction of the
TE and TM optical electric ®elds with the photorefractive material. The
simulation was performed for a photorefractive crystal located in free
space and was illuminated by two incident plane waves whose separation
angles with the normal to the crystal were 5:71 and 5:71 , respectively,
and whose complex amplitudes were respectively E0 ej0 and E1 ej rand . These
two plane waves caused an electric ®eld interference pattern whose nulls
were  ˆ 5 apart.

7.3.2 TE Numerical Simulation Results

This section will describe the TE simulation results that arise from the
theory of the previous section. For the TE case of this section, the photo-
refractive crystal was assumed to have an isotropic bulk dielectric of
0 00
2r ˆ 2r j2r , a thickness of 1.5 cm, and a wavelength  ˆ 0:5 m. For
the TE case, the ratio of the magnitudes of the incident plane wave p ˆ
jE1 j=jE0 j was taken to have a large range of values that extended from 0.1 to
10. The parameters were varied so as to keep the total power from both
waves Iinc transmitted into the photorefractive material constant and equal
to 9:949  104 W/m2 . Concerning the phases of the incident waves, in our
simulation we studied wave coupling when the phase difference rand
between the interfering waves was equal to zero, which corresponds to the
case of coherent illumination; and we studied the case where rand was
uniformly distributed random phase (the limits of the random phase were
taken to be 15 and 30 ), which corresponds to a partially incoherent
illumination. Numerically the random phase was generated by a random
number generator.
Figure 2 shows the transmitted and re¯ected normalized power in the
directions T1 ; T0 ; R1 ; R0 as a function of time that results when equal ampli-
tude plane waves (p ˆ 1:0) are incident on an initially dark photorefractive
material bulk dielectric 2r ˆ 8. The smooth line shows the result in the case
of coherent illumination ( rand ˆ 0), while the nonsmooth line depicts the
response for partially incoherent illumination when the uniform probability
density function, generating the random phase data, is bounded to 30
( 30  rand  30 ). In our case, as is evident from the ®gure, there is
energy transfer between the beams even though the amplitude incident
beams are equal.
For partially incoherent illumination, despite a moderate level of
phase incoherence, steady-state results similar to those of the coherent
Induced Photorefractive Gratings 381

Figure 2 Plots of the normalized power in the directions R0 , R1 , T0 , and T1 (see

inset) that is transmitted and re¯ected from a slab of PR material when the incident
waves are coherent (rand ˆ 0 ) and partially coherent ( 30  rand  30 ). The
angle of incidence of the pump wave is 5:7 , and the angle of incidence of the signal
wave is 5:7 . These values are used for all ®gures.  ˆ 5 Iinc ˆ 9:949  104 (W/
m2 ),  ˆ 0:5 m, coherent rand ˆ 0 , E1 ˆ pE0 exp… jrand †, incoherent
30  rand  30 ,  ˆ 2  10 5 , C ˆ 104 (W/m2 ), p ˆ 1. Used with permission of
Opt. Comm, 1996 [29].

case are achieved. It is interesting to note that a lower level of energy

transfer occurs in the incoherent case as compared to the coherent case,
in agreement with the ®ndings in Ref. 24.
Figure 3 shows the dielectric constant perturbation
 (total dielectric
minus average bulk dielectric) that results from the simulation at time step
100 of Fig. 2. This case corresponds to coherent illumination by two equal-
amplitude interfering plane waves. The x-axis of the ®gure extends over one
grating period  (or interference period) of the photorefractive material.
The y-axis extends over the length of the crystal from the input plane y ˆ 0
to the exit plane at y ˆ 1:5 cm. The y-coordinate used to plot numerical
results is opposite in direction to that used in Section 7.3 and in Fig. 1
(RCW coordinate system). The coordinate system of Section 7.3 was chosen
to coincide with the coordinate system used by Gaylord [16]. As can be seen
from the ®gure, the dielectric permittivity perturbation is largely uniform in
the direction of propagation (y) and blaze like in the transverse grating
vector direction (x). Thirty layers were used to model the possible long-
itudinal inhomogeneity of the grating.
The
 variation seen in Fig. 3 can be understood in the following
way. At time step 100 of Fig. 2,
 of the PR material has reached a steady
state. Thus in Eq. 7.3.14, @
=@t ˆ 0 and
382 Chapter 7

Figure 3 Plots of the relative dielectric perturbation
 when p ˆ 1,  ˆ 2  10 5 ,

0
2r ˆ 8,  ˆ 0:5 m, at time step=100. The
 shown correspond to the random
case of Fig. 4. y ˆ 0 is the incident plane, and y ˆ 1:5 cm is the exit plane. All other
parameters are the same as in Fig. 2.
min ˆ 3:58  10 6 ,
max ˆ 3:51  10 6 .
Used with permission of Opt. Comm., 1996 [29].

@I=@x~

 ˆ  …7:3:18†
C‡I

Because the PR material is weakly modulated, the electric ®eld intensity

inside the PR material is very little different from that of the unmodulated
sample, and thus the intensity I of Eq. 7.3.14 is

I…z† ˆ I0 cos2 x~ …7:3:19†

where I0 ˆ 4:443  104 …W=m2 †, C ˆ 104 …W=m2 †,  ˆ 2  10 5 , and

 ˆ 0:1.
Substitution of Eq. 7.3.19 into Eq. 7.3.18 shows

I0  sin 2x~

 ˆ …7:3:20†
C ‡ I0 cos2 x~

A numerical comparison of Eq. 7.3.20 with the numerical data of Fig. 3

shows almost exact equality between the two sets of data.
Figure 4a shows a plot of the position-dependent [23] nonlinear  1
function, which results from using the more exact space charge dielectric
constant equation, Eq. 7.3.14. The nonlinear  1 function was chosen to be
unity at the center of the grating fringe. Figure 4b shows the normalized
power in, for instance, the R1 direction (see Fig. 1) when  ˆ 1 for coherent
and incoherent illumination ( 30  rand  30 ) and compares with the
case when the nonlinear  function of Fig. 4a is used in the numerical
Induced Photorefractive Gratings 383

Figure 4 (a) Plot of the nonlinear time factor  1 as a function of transverse

distance x and longitudinal distance y when p ˆ 1,  ˆ 2  10 5 , 2r ˆ 8,
 ˆ 0:5 m, and rand ˆ 0 (coherent case). (b) Comparison of the re¯ected normal-
ized power R1 for the case of Fig. 2 when the  factor was taken to be constant
( ˆ 1) and nonlinear (a) in the cases when the incident waves were coherent
(rand ˆ 0 ) and incoherent ( 30  rand  30 ). As can be seen, the nonlinear 
factor increases the time necessary for the system to reach a steady state. Used
with permission of Opt. Comm., 1996 [29].

simulation. As can be predicted from Fig. 4b, the net effect of the nonlinear
 function is, in general, to reduce and slow down the transfer of modal
energy in the R1 direction. Similar results occur for the normalized power in
the R0 , T1 , and T0 directions. It appears that the nonlinear  does not have a
strong effect on the mode coupling as regards the ®nal steady state
(although the position-dependent case yields a slightly lower steady-state
value [23]); for this reason, a constant  has been chosen for all subsequent
calculations in the interest of computation time.
384 Chapter 7

Figures 5 a±c show plots of the dielectric modulation
 as a function

of time t (time step) and transverse dimension (fringing ®eld direction ) x
when sampled at the center of the photorefractive medium y ˆ 0:75 cm.
Because of the longitudinal uniformity of the
 plots (see Fig. 3), the y ˆ
0:75 cm plane is representative of
 at other longitudinal planes. Figure 5a
shows the
 growth when  ˆ 1 and coherent illumination was used; Fig.
5b shows the
 growth when  was nonlinear (see Fig. 4a) and coherent
illumination was used; and Fig. 5c shows the
 growth when  was non-
linear (see Fig. 4a) and incoherent illumination was used. As can be seen
from a comparison of Figs. 5a and 5b, the nonlinear  function reduces the
rate of the
 growth relative to the  ˆ 1 case. A comparison of Figs. 5b
and 5c shows that for the same  function (the nonlinear  was used) inco-
herent illumination produces a lower
 modulation (
max  3:38  10 6 ,

min  3:36  10 6 ) than does coherent illumination (
max ˆ 3:77  10 6 ,

min ˆ 3:77  10 6 ) and hence reduced energy transfer.
Figure 6 shows the plot of the two-wave coupling coef®cient in the
study state that results when a coherent wave … rand ˆ 0 † and when two
incoherent waves … 15  rand  15 , ˆ 30  rand  30 † are incident on
the photorefractive slab. The [7] is de®ned by
8  9 8  9
>
>  E t …L† 2 > >  E r …0† 2 >
> 
< t 1  >
>
=
>
<E r …0† >
>  1 >
=
E1inc …0† 1inc
t ˆ 10 log   r ˆ 10 log   …7:3:21†
> E t …L† 2 >
> > E r …0† 2 >
>
: t 0  >
>
;
>
>
: r 0  >
>
;
E …0†
0inc E0inc …0†

t
In these expressions Ei;inc …0† …i ˆ 0; 1† is the incident electric ®eld in the ith
t
order direction, Ei …L† …i ˆ 0; 1† is the transmitted electric ®eld at the ®nal
r
time step transmitted out of the slab in the ith order direction, Ei;inc …0† …i ˆ
0; 1† is the re¯ected incident electric ®eld in the ith order direction, and Eir …0†
…i ˆ 0; 1† is the re¯ected electric ®eld at the ®nal time step re¯ected out of the
slab in the ith order direction. The gamma mode ratio is a measure that
shows to what degree the photorefractive medium has been able to convert
power from one mode to another.
For the plots of Fig. 6, the bulk dielectric was taken to be 2r ˆ 8,
 ˆ 2  10 5 , and the incident wave's refraction ratio p ˆ jE1 j=jE0 j was
varied from p ˆ 0:1 … 10 db) to p ˆ 10 …10 db†. The values of E0 and E1
were adjusted to keep the incident power Iinc ˆ 9:949  10 4 (W/m2 ) the
same for all values of p used.
The results of Fig. 6 show that the PR medium transfers the most
energy when the incident waves are coherent, and that a gradual decrease
in coupling ef®ciency occurs as the waves become more incoherent as seen
Induced Photorefractive Gratings 385

Figure 5 Plots of
 versus transverse distance x and time step as measured at a

plane midpoint in the PR slab (y ˆ 0:75 cm, slab length=1.5 cm) for the parameters
of Figs. 2±4. (a)
 when coherent illumination was used and  ˆ 1. (b)
 when
coherent illumination was used and the nonlinear  factor of Fig. 4a was used. (c)

when the nonlinear  factor of Fig. 4a was used and when incoherent illumination
was used.  ˆ 2  10 5 . Used with permission of Opt. Comm., 1996 [29].
386 Chapter 7

Figure 6 Plots of the r and t ratio of Eq. 31 for  ˆ 2  10 5 , 2r ˆ 8,

 ˆ 0:5 m, slab length =1.5 cm (Figs. 2±5) in the case when rand ˆ 0 (coherent),
15  rand  15 , and 30  rand  30 . The nonstarred lines refer to the
re¯ected r ratio, and the starred lines refer to the transmitted t ratio. As can be
seen, as the incoherence of the interfering waves increases, and the r and t ratios
decrease. Iinc ˆ 9:949  104 (W/m2 ), C ˆ 104 (W/m2 ),  ˆ 0:5 m, 2r 0
ˆ 8, and
5
 ˆ 2  10 . Used with permission of Opt. Comm., 1996 [29].

by the drop in t and r when 15  rand  15 and 30  rand  30 .
The results of Fig. 6 also show that the maximum mode coupling occurs
when the wave amplitudes are equal, p ˆ 1 ˆ jE1 j=jE0 j. This is to be
expected since the equal amplitude waves cause the greatest interference
pattern in the PR medium and thus cause the largest change in the medium,
which causes the most change in the mode power. The decrease in mode
coupling ef®ciency with increasing incoherence is expected since increasing
incoherence implies less interference of the waves and therefore less change
in the PR medium and thus less mode coupling. Note also that the ¯uctua-
tions in increase with rand indicating possibly reduced coherence of the
signal at the output, in agreement with Ref. 25. A time averaged , which
can be found by numerically repeating the experiment several times, will also
Induced Photorefractive Gratings 387

show a decrease in the coupling coef®cient due to increased incoherence (see

Problem 8). p0 
Figure 7 shows the power ef®ciency that results when the = 2r ratio
is signi®cantly increased over the value used in Figs. 2±6 in the case when the
bulk index nearly matched the free space …2r ˆ 1 j10 6† and in the case
when the PR mediump0  is mismatched to free space …2r ˆ 8 j2:82  10 7 ).
In Fig. 7 the = 2r has been taken to be 3:18  10 , 3:88  10 4 , and
4

Figure 7 (a) Plot of the power transmitted in the T0 and T1 directions as functions
of time step in the nearly matched case when 2r ˆ 1 j1  10 6 and p ˆ 0:01 for the
values of  ˆ 3:18  10 4 , 3:88  10 4 , and 4:59  10 4 when the PR slab
length=1.5 cm. Also C ˆ 2:124  104 (W/m2 ). As  increases, the speed and com-
pleteness of mode conversion increases. (b) Plot of the normalized
p0 power re¯ected
and transmitted in the directions R0 , R1 , T0 , T1 when = 2r ˆ 4:59  10 4 ,
7 4 2
2r ˆ 8 j2:82  10 , C ˆ 2:124  10 (W/m ), and p ˆ 0:01. Because of the dielec-
tric mismatch, aperiodic variation of the normalized power results. Used with per-
mission of Opt. Engr., 1995 [30].
388 Chapter 7

4:59  10 4 , and fractional ratio of the incident beams has been taken to be
p ˆ jE1 j=jE0 j ˆ 0:01.
The waves marked T0a and T1a , T0b and T1b , and p0 T0c and T1c show the
diffraction ef®ciencies for the three values of = 2r as indicated in the
®gure insets. Because of index matching (for the case of Fig. 7a) the re¯ected
waves from the slab were nearly zero and thus are p not 0 shown. The main
effect that is observed in Fig. 7a using the values of = 2r that were given is
that a great deal of energy is transferred from the (order 0) transmitted E0
wave (which is large at t ˆ 0) to the (order 1) transmitted E1 wave (which is
small at t ˆ 0). As can be seen from Fig. 7a,p the conversion of the modal
0
energy depends very strongly on the value = 2r used and affects the value
of power diffracted in the T1 direction and the speed with which the mode
power transfer reaches the steady state. In Fig. 7a the presence of absorption
00
(2r ˆ 1  10 6 ) seemed to have a minimal effect on the diffraction except,
of course, to attenuate the T0 and T1 propagating waves.
Figure 7b shows the diffraction p0  that occurs when the real part ofpthe 0 
0
bulk dielectric is r2 ˆ 8 and = 2r ˆ 4:59  10 4 . The value of = 2r
used in Fig. 7b is the same as in the ``c'' case of Fig. 7a. In the simulation
case of Fig. 7b, because there is a large bulk dielectric mismatch between
free space and the PR medium, the incident and diffracted optical energy is
multiply re¯ected from the dielectric boundaries on the incident and trans-
mitted sides in a complicated way, causing a standing wave pattern to arise
in the PR medium. The intensity of this standing wave pattern changes
slowly in time, modi®es the PR medium according to Eq. 7.3.14 and thus
further diffracts the incident and re¯ected light. The net effect over time is a
highly inhomogeneous PR medium. The simulations, shown in Fig. 7b,
predict that the optical energy may oscillate or self-pulsate quasi-periodi-
cally between the R0 ; T0 ; T1 , and R1 directions, transferring energy back and
forth between the different orders. This is due to the temporal longitudinal
inhomogeneous PR medium formed by the interfering waves. Similar results
have been reported during self-pumped and mutually pumped phase con-
jugation in PR materials [17±20].
Figure 8 shows a plot of the dielectric perturbation
 that occurs at
the line y ˆ 0:75 cm (this line is midway between the PR medium bound-
aries) as a function of time step and transverse distance x (wavelength) in
0
the casep(1) 0  when the bulk dielectric is matched (2r ˆ 1) to free space (Fig.
4
8a, = 2r ˆ 3:88  10 ), (2) when p0 the bulk dielectric is mismatched
0
(2r ˆ 8) to free space (Fig. 8b, = 2r ˆ 4:59  10 4 ) and (3) when the
0
p0 dielectric is 4 mismatched (r2 ˆ 8) to free space (Fig. 8c,
bulk
= 2r ˆ 5:30  10 ). As can be seen from these ®gures, when the bound-
ary is matched, the dielectric modulation
 approaches the steady state
quickly (Fig. 8a), whereas when the bulk dielectric is mismatched, the
Induced Photorefractive Gratings 389

Figure
p0 8 (a) Plots of
 versus time step and transverse distance x when
2 ˆ 3:88  10 4 ,
=p 2r ˆ 1 j1  10 6 , p ˆ 0:01. (b)p
 when
0 4 7 0
= p ˆ
2r  4:59  10 , p ˆ 0:01, and  2r ˆ 8 j2:82  10 . (c) =  2r has increased
to = 2r 0 ˆ 5:30  10 4 . As can be seen, the dielectric mismatch cases have a great

effect on the
 that forms in the PR medium. Used with permission of Opt. Engr.,
1995 [30].
390 Chapter 7

dielectric modulation does not approach a ®nal steady state but oscillates
in the diagonal ripple pattern shown in Fig. 8b. The
 temporal pattern
of Fig. 8b, as mentioned earlier is a result of the optical standing wave
pattern slowly changing the PR medium, thus further causing a time
change in the PR medium.
Figure 8c p shows
0  the same case as in Fig. 8b (this isp a mismatched
0 case)
4
except that = 2r has been
p0  increased to a value =  2r ˆ 5:30  10 .
Because of the higher = 2r ratio (stronger PR medium), the diffracted
waves more strongly in¯uence the standing wave pattern of the PR medium
and thus more severely change the PR medium. As can be seen from Fig. 8c,
the diffracted waves build up to such a point that almost chaotic behavior
occurs as time proceeds [17]. A simulation was run for the same parameters
00
as given in Fig. 8 except that 2r ˆ 0 (no absorption). The resulting
 was
nearly identical to that seen in Fig. 8c. For this case conservation of power
was observed numerically almost exactly.
Figure 9 shows the PR medium as a function of x and y that results
in the matched p0case
 at the time step 200 (last time step
p of Figs. 7 4and 8)
4 0
when (1) = 2r ˆ
p0 3:18  10 (Fig. 9a), (2) =  2r ˆ 3:88  10 (Fig.
p0 
9b), and (3) = 2r ˆ 4:59  10 4 (Fig. 9c). The three values
p0  of = 2r
used in Fig. 9a, b, and c correspond to values of = 2r used in Fig. 7
(cases a, b, and c respectively). As can be seen from these plots, the
dielectric modulation
 is highly inhomogeneous longitudinally, with a
peak maximum and minimum value occurring in the PR medium. The
position
p0  of the peak maximum and minimum values is dependent on the
= 2r value used
p and tends to occur closer to the incident side aspthe 0 
0
value of = 2r increases. This occurs because the larger value of = 2r
causes the weak signal to be ampli®ed over a shorter distance in the PR
medium, thus causing the peaks in a maximum and minimum
p to form
0
more quickly. Notice that the higher values of = 2r caused a much
more complete transfer of optical energy as can be seen in Fig. 7a
(cases a, b, c). Note that the diffraction numerical calculation can only
be made correctly using a longitudinally cascaded diffraction analysis algo-
rithm. The plots shown in Fig. 9 are steady state plots. This was veri®ed
by noting that there was no change in the plots shown with plots recorded
at time step 100.
In all our numerical simulations for the TE case, thirty layers were
used to model the inhomogeneity of the PR medium. Because each indivi-
dual layer consisted of many wavelengths (L ˆ 1:5 cm/30,  ˆ 0:5 m), it
was necessary when calculating the intensity I…x; y† to average this over a
number of y points distributed over a one-wavelength interval in the center
of each layer. If this were not performed, random widely varying samples of
the standing wave pattern would be obtained, leading to samples that would
Induced Photorefractive Gratings 391

Figure 9
 pro®les at ptime ˆ 1 j1  10 6 , slab

0  step=200, 4 p ˆ 0:01, p2r
length=1.5 cm. (a) = 2r ˆ 3:18 p 10 . (b) = 2r 0 ˆ 3:88  10 4 . (c)
p 4 0
= 2r ˆ 4:59  10 . Higher values of = 2r cause mode conversion and interfer-
p

ence in the PR medium to occur closer to the incident side as the = 2r0 value
increases. Used with permission of Opt. Engr., 1995 [30].

not be representative of the average intensity. Three points provided suf®-

cient averaging to produce smooth intensity results.

7.3.3 TM Numerical Simulation Results

As a TM example we consider the photorefractive grating that occurs when
two equal-amplitude in-phase TM plane waves … ˆ 0:633 m† impinge on
BaTiO3 crystal at an angle of incidence i ˆ 5:71 as shown in Fig. 1. The
grating period formed in the crystal at this angle of incidence is  ˆ 5.
392 Chapter 7

The BaTiO3 crystal complex relative dielectric permittivity matrix is

assumed to be described by Eqs. 7.3.12 and 7.3.13. For the present simula-
tion we choose r42 ˆ 1640  10 12 m/V, r13 ˆ 8  10 12 m/V, r33 ˆ
28  10 12 m=V, nO ˆ 2:437, nE ˆ 2:365, and E00 ˆ O00 ˆ 2:42  10 6 (these
values of O00 and E00 correspond to an absorption coef®cient p ˆ 1 cm 1 ),
which are the values given for BaTiO3 in Ref. 8 at  ˆ 0:633 m. The
electro-optic coupling constant  ˆ n2O n2E k0 r42 Ds = for the values given is
 ˆ 0:0139. In the simulation we have assumed that the crystal length L ˆ
1500 ˆ 0:94 mm and that the BaTiO3 c-axis makes a 135 angle with the
y-axis of Fig. 1 (c ˆ 135 in Eqs. 7.3.12 and 7.3.13). Free space was
assumed to occupy the regions outside the crystal.
We further assume [31] R ˆ 5  10 14 m3 /s,  ˆ 0:5  10 4 m2 =V s
NA =ND ˆ 0:01, and [32] s ˆ 1  10 5 m2 =J s and  ˆ 2 1=s. With these
values we ®nd that the dark current C ˆ =s ˆ 2  105 W/m2 . For
BaTiO3 and for the geometry shown in Fig. 1, the effective value of
0
s ˆ s2 cos2 c ‡ s3
0
sin2 c , where s1
0
ˆ s20
ˆ 36000 , s30
ˆ 1350 [8, Table
0 0 0
1.2, p. 28], and where s ˆ ‰si ij 0 Š, …i; i † ˆ 1; 2; 3 is the static dielectric per-
mittivity tensor when the BaTiO3 PR crystal has its c-axis aligned along the
z 0 -axis. For c ˆ 135 , s ˆ 18670 . We assume that the total incident
power in the y direction of the interfering incident waves is PT INC ˆ 1:7
9 107 watts/m2 . With this value, it is found that the maximum power
intensity inside the crystal is IMAX ˆ 1:60  107 watts/m2 . Using this
value, we ®nd the maximum value of =s ‡ IMAX ˆ 1:62  107 watts/m2 .
Using this value, we ®nd that the approximate time constant …I0 † is …I0 † ˆ
6:38 ms. The
t time constant was chosen to be
t ˆ …I0 †=5 ˆ 1:27 ms.
This time step was suf®ciently small to cause a smooth change in the dielec-
tric modulation with time. An additional run at
t ˆ …I0 †=15 ˆ 423 ms was
also made, to check the time step size. It was found that the two time step
sizes gave similar numerical results.
We will now make an approximate numerical estimate of the ratio of
the two terms on the RHS of Eq. 7.3.9 for the present BaTiO3 example. We
‡
assume that the ionized donor density ND varies on a time scale of about
…I0 †, which equals 6.38 ms. We approximate

‡  ‡
1 @ND 1 ND 1
‡  ‡ ˆ ˆ 1:56  102 s 1
ND @t ND …I0 † …I0 †

‡
For the ®rst term of the RHS of Eq. 7.3.5 we have …sI ‡ †ND =ND 
5 7 2 1 4 1
s…I‡C †ND =NA ˆ …10 †…1:62  10 †…10 † s ˆ 1:62  10 s . The ratio of
Induced Photorefractive Gratings 393

the second term to the ®rst term of the RHS of Eq. 7.3.9 is 0:96  10 2 . We
see that the second term is roughly a hundred times smaller than the ®rst,
which justi®es the approximation used.
The numerical simulation for this case was performed by using Eq.
7.3.14 to calculate
 at every time step and using RCWA to calculate the
grating diffraction at every time step. The RCWA calculation was per-
formed using NL ˆ 160 layers, which gave each layer a length of

L ˆ 9:375. The optical power intensity Ipoint …x; y; t† / …Ex Ex ‡ Ey Ey †
(Ex and Ey are the optical electric ®elds) was calculated at 10 equally
spaced points over the layer length
L ˆ L=NL ˆ 9:375 (Ipoint …x; y; t†
was sampled every 0:9375). The values of Ipoint …x; y; t† were then aver-
aged. This value was used as the average optical power intensity in Eq.
7.3.18.
Averaging the intensity over the layer length
L represents an
important part of the interaction of the incident optical light with the
PR medium. Physically averaging the optical intensity over
L repre-
sents the way that partially coherent light or light with a ®nite fre-
quency spectrum (or both) would interact with the PR medium. When
perfectly coherent, monochromatic light enters the PR slab, the energy is
multiply re¯ected at the interfaces, and a strong standing wave pattern
is formed in the PR slab. The distance from peak to peak longitudinally
(y-direction) is a few free space wavelengths . When the frequency of
the light is changed by a small amount, the peaks and nulls change
position by a few wavelength, and thus in the crystal a standing wave
pattern is formed whose peaks are in an entirely different position from
the original monochromatic wave from which the frequency was chan-
ged. When many different frequency waves are added together, the
peaks and nulls will tend to average out, and a longitudinally average
®eld will result. Thus spatial averaging simulates the frequency spread of
real optical energy.
Figure 10a shows the dielectric modulation function
…x; y; t† that
results for the BaTiO3 simulation at time step ˆ 100. At this time (see Figs.
10b and 10c) the photorefractive crystal is nearly in a steady state. The
minimum and maximum dielectric modulations that occur are
min ˆ
0:00605 and
max ˆ 0:00565. Using the relation
 ˆ r42 n2O n2E Excs , this
min
corresponds to a minimum and maximum space charge electric ®eld of Exsc
4 4
ˆ 11:1  10 V/m and 9:26  10 V/m. These ®gures are roughly in line (to
a factor of 2) with typical values given in [8, Fig. 3.3b, p. 91]. The simulation
shown in Fig. 10a predicts an interesting feature of the dielectric modula-
tion: two different dielectric slanted gratings have formed as a result of the
photorefractive±optical interaction. The ®rst grating extends from about
394 Chapter 7

Figure 10 The dielectric modulation and diffracted power that results when TM
optical energy illuminates BaTiO3 are shown. I inc ˆ 1:79  107 W/m2 , …I0 † ˆ 6:38
ms,
t ˆ 0:2…I0 † ˆ 1:27 ms, t ˆ 100
t, and  ˆ 0:633 m. Used with permission of
Opt. Engr., 1995 [30].

zero to 300 and has a grating period of 1 ˆ 120 with grating vector
given by

2
K 1 ˆ ‰sin 1 a^ x ‡ cos 1 a^ y Š 1 ˆ 1:5 …7:3:22†
1

in the geometry of Fig. 1. The second grating extends from about y ˆ 300
to 1500. This grating is more clearly de®ned and has a grating period of
about 2 ˆ 75.

2
K 2 ˆ ‰ sin 2 a^ x ‡ cos 2 a^ y Š 2 ˆ 4:5 …7:3:23†
2
Induced Photorefractive Gratings 395

Figures 10b and 10c show, respectively, the power transmitted and
re¯ected in different diffraction directions as a function of time. As can be
seen from the power transmission curves of Fig. 10b, the BaTiO3 PR
crystal at the ®rst time step is uniform, and power is transmitted equally
in the T0 and T1 directions. Within a few time steps, a modulation grating
forms and power is rapidly depleted from the T1 direction and transferred
to the T0 direction. As can be seen from Fig. 10b, the T0 modal direction
is completely depleted of power. As time progresses over a period of
approximately 30 time steps, diffracted waves in the T 1 direction build
up, and ®nally a strong mode conversion from the T0 to the T 1 order
occurs and the grating goes into a quasi±steady-state form. The T0 mode
drops to about 10% of the total diffracted power, and the T 1 modal
power builds from 0 to 60%. The ®gures are similar to those in Ref. 26,
which also illustrates the growth of a higher order. The re¯ected power in
the R0 , R1 , and R 1 directions follows a similar time history as did the
transmitted except that the R1 order is not depleted to a zero value by
drops from 18% to above 10% as time increases. In contrast to the results
in Refs. 26 and 28, we predict that the ‡1 order in the transmitted case
virtually decays to zero. The reason may be that in the unmatched case (a
true experimental possibility), the re¯ected orders also interact. This exam-
ple can also be viewed as a case of six-wave coupling in PR materials, such
as in KNbO3 , which leads to phase conjugation in a two-beam coupling
geometry [33].
The BaTiO3 simulation was performed for four other PR crystal
lengths, which were LiL ˆ 1500 ‡ iL 18:75, iL ˆ 1; 2; 3; 4. An interesting
result of the analysis was that for the lengths of 1518:75 …iL ˆ 1† and
1556:25 …iL ˆ 3† simulation showed that diffraction in the T 1 and R1
directions did not occur at all where they did occur for the values of iL ˆ
2 and iL ˆ 4. Evidently the growth of the T 1 and R1 mode perturbations
depends on a resonant length of the crystal.

7.3.4 Discussion of Results from Approximate Analysis

By using rigorous coupled wave diffraction theory along with a time-depen-
dent nonlinear formulation, we have analyzed two-wave and multiwave
coupling in a PR material. The two-beam coupling gain has been plotted
as a function of the incident intensity ratio for both transmitted and
re¯ected beams. Coherent and partially incoherent cases have been ana-
lyzed, and the results show that reasonable beam coupling occurs up to a
certain degree of incoherence. Computations performed with both uniform
and intensity-dependent time constants show that although the overall
times needed to achieve a steady state somewhat differ, the ®nal steady-
396 Chapter 7

state values are unaffected. We have also examined wave coupling in PR

media with different gain coef®cients and, for the ®rst time, cases where
there exists signi®cant linear refractive index mismatch between the mate-
rial and the surrounding medium. The analysis has been extended to an
inhomogeneous anisotropic PR material, e.g., BaTiO3 , that includes a
nearly exact solution of the Kukhtarev equations. Our simulations thus
far predict periodic and nonperiodic oscillations during two-beam cou-
pling, as well as generation of higher transmitted and re¯ected orders.
We believe that our analysis is the ®rst on the anisotropy of the diffracting
region, the multiple re¯ections, and the time dependence of beam coupling
simultaneously in a rigorous way.
In our work we have studied the following new phenomena. We have
studied the effect that an intensity-dependent time scale has on beam cou-
pling in a PR medium (Fig. 4b) and the effect of partial coherence on beam
coupling (Figs. 5 and 6). We have also studied in detail six wave coupling
examples in BaTiO3 , which are shown in Figs. 10 a±c. In the BaTiO3 exam-
ple we have shown numerically that when mismatched boundaries occur the
PR coupling seems to be resonant and very sensitive to the overall length L
of the grating. For BaTiO3 we have not carried out experimental veri®cation
because we do not have the resources to do so at the present time. However
we would like to point out that the BaTiO3 case that we have analyzed
numerically is a realistic one and one for which experiments could readily
be performed. We feel that the case we have analyzed numerically would be
interesting to do experimentally. Any discrepancies between theory and
experiment would be due to the PR model and not the optical diffraction
analysis. The mismatched boundaries could serve as partial Fabry±Perot
effects and perhaps make it possible to determine from the optical diffrac-
tion data some of the Kukhtarev PR model parameters (mobility constant,
NA and ND value, etc.) that pertain to the BaTiO3 crystal under considera-
tion. Our developed model can thus be used to study wave mixing in PR
materials with induced transmission and re¯ection gratings.

7.4 EXACT ANALYSIS [34]

In Section 7.3, two signi®cant approximations were made to the Kukhtarev

analysis. Both approximations were made to the electron rate production
equation [29,30]. The ®rst approximation consists of assuming that the
donor density ND was much greater than the acceptor density NA , the
‡
electron density n, and the ion density ND . The effect of the approximation
is that the production of electrons is not limited as the electron donors ND
are depleted. The second approximation consists of assuming that the term
Induced Photorefractive Gratings 397

‡
@ND =@t is small compared to the source term in Eq. 7.2.2, which depends on
the optical intensity. The effect of this approximation is that the full tem-
poral behavior of the system is not included in the analysis. An important
impact that the above approximations have, over and above the one already
mentioned, is that indirectly both approximations lead to the omission of
second-order transverse spatial derivative terms in the analysis. This is
important for a few reasons. First, any analysis for which a higher order
derivative is ignored is limited to cases where changes in the electric ®eld, the
electron density, etc. in the transverse direction are small. Thus, for example,
if higher order diffraction (which varies rapidly in the transverse direction)
should be excited by the PR system, the effect of this cannot be in general
studied for arbitrary hologram wave numbers because the second-order
derivative terms may contribute more to the analysis than the ®rst-order
derivatives. Thus the analysis could at best be valid only over a range of
hologram wave numbers [29,30]. The purpose of this section is to study an
exact nonlinear time-dependent solution of the Kukhtarev equations in
conjunction with RCWA.
To start the analysis, we substitute Eq. 7.2.3 into Eq. 7.2.1 and ®nd
that

‡
@n @ND @nEs @2 n
ˆ ‡ ‡ Ds 2 …7:4:1†
@t @t @x @x

Using Eq. 7.2.4 we ®nd that

‡ s @Es
ND ˆ ‡ NA ‡ n …7:4:2†
e @x

or

‡
@ND  @2 Es @n
ˆ s ‡ …7:4:3†
@t e @x@t @t
‡
where @NA =@t ˆ 0 has been used in Eq. 7.4.3. If the @ND =@t of Eq. 7.4.3 is
substituted into Eq. 7.4.1 and @n=@t is cancelled on the right- and left-hand
sides of the resulting equation, we ®nd that

s @2 Es @…nEs † @2
‡ ‡ Ds n2 ˆ 0 …7:4:4†
e @x@t @x @x

or, after integration with respect to x,

398 Chapter 7

@Es e e @n
‡ nEs ˆ Ds …7:4:5†
@t s s @x

In Eq. 7.4.5 we have set the integration constant to zero, assuming all
dependent variables and their derivatives tend to zero as jxj ! 1. For a
particular choice of c-axis of the PR crystal, the dielectric permittivity mod-
ulation
 is related to the electrostatic electric ®eld by

…x; y; t† ˆ n2O n2E r42 Es …x; y; t† …7:4:6†

Substituting Es from Eq. 7.4.6, we ®nd for
:

@
 e Ds e @n
‡ …n
† ˆ r42 n20 n2e …7:4:7†
@t s s @x

Up to this point no use has been made of Eq. 7.4.2, the electron rate
production equation. If @ND
‡
=@t of Eq. 7.4.3 is substituted into Eq. 7.4.2, we
®nd that

s @2 Es @n ‡ ‡
‡ ˆ …sI ‡ † …ND ND † R nND …7:4:8†
e @x@t @t

If Eq. 7.4.4 is used to eliminate the …s =e† @2 Es =@x@t and Nd‡ of Eq. 7.4.2 is
substituted, we ®nd that
 
nE @2 n @n s @Es
 s Ds 2 ‡ ˆ …sI ‡ † ND NA n
@x @x @t e @x
 
s @Es
R n ‡ NA ‡ n …7:4:9†
e @x

At this point it is useful to introduce normalized coordinates and variables

and also to perform a small amount of algebraic manipulation of Eq. 7.4.9.
Letting C ˆ =s, sI ‡  ˆ sC…1 ‡ I=C†, x~ ˆ k0 x, t~ ˆ t n~ ˆ n=NA , and
using Eq. 7.4.6 to express Es in terms of
, we ®nd that
   
@2 n~ @n~ I @

2 ‡ 1
 ‡ 3 1‡ ‡… 1 4† 3 4 …1 ~ n
‡ n†
@x~ 2 @x~ C @x~
   
@n~ I ND 1 @

ˆ 3 1‡ …7:4:10†
@t~ C NA 3 @x
Induced Photorefractive Gratings 399

where

eNA ek0 Ds NA n20 n2e r42 eNA n20 n2e r42

1 ˆ 2 ˆ 3 ˆ
s s s k0
R N A
4 ˆ …7:4:11†


Also Eq. 7.4.7 in normalized form can be written as

@
 @n~
‡ ~
1 n
 ˆ 2 …7:4:12†
@t~ @x~

Equations 7.4.10 and 7.4.12 are a pair of coupled nonlinear equations

for the electron density n~ and dielectric modulation function
. The form
of both these equations for n~ and
 at any given time and at any given
point in the PR medium depends on the value of the optical intensity I at
that point in space and time. The value of I itself in the PR medium depends
on the incident optical ®eld and on the optical energy transmitted, re¯ected,
and diffracted by the dielectric modulation function
 in the PR medium at
a given time. These transmitted, re¯ected, and diffracted ®elds can be found,
as mentioned in the introduction, through the use of a diffraction algorithm
called rigorous couple wave theory, which is the subject of the next section.

7.4.1 Finite Difference Kukhtarev Analysis

We will now describe an algorithm based on the exact Kukhtarev equations
and on RCWA that can be used to determine mode coupling and diffraction
from a slowly varying PR medium. The temporal variation of the PR med-
ium is speci®ed by Eqs. 7.4.10±7.4.12. The algorithm proceeds temporally as
follows. At t ˆ 0 (®rst time step) a signal ( ˆ i ) and pump wave ( ˆ i )
is incident on a dark uniform PR slab of material. The pump and signal
waves interfere, creating a periodic optical intensity pattern in the PR slab.
The periodic optical intensity modi®es the PR slab and produces a small
periodic dielectric modulation
. During this time step, no diffraction has
occurred, as the dielectric modulation
 was zero at the beginning of the
time step. At the second time step, the
 generated by the optical inter-
ference of the ®rst time step will begin to diffract light. The algorithm
calculates the total optical intensity in the medium (1) by calculating the
EM ®elds and diffraction from
 in the PR slab from the pump wave by
itself, (2) by calculating the EM ®elds and diffraction from the signal wave
400 Chapter 7

from
 in the PR slab by itself, and (3) by adding these two EM ®elds
together to ®nd the overall EM ®eld in the PR medium and thus ®nd the
overall transmitted and re¯ected EM ®elds in free space.
The algorithm proceeds as follows. The time derivative @
=@t~ is
approximated as

~ y; t~ ‡ t~†
@

…x; ~ y; t~†

…x;

~
@t t~

and after substitution in Eq. 7.4.12 and cross multiplication by t~ we ®nd
that
 
@n~

…x; ~ ~
~ y; t ‡
t† ˆ
…x; ~
~ y; t† ‡ ~
1 n
 2 @t~ …7:4:13†
@x~

This equation is used to advance the
 dielectric modulation function in

time.
Equation 7.4.10 is used to ®nd the electron density n~ for Eq. 7.4.13. Its
determination from Eq. 7.4.10 proceeds as follows. Forming an x-grid ~
system of Np divisions, x~ ˆ =N  p,   ˆ k0 , we let x~ p ˆ …p 0:5†x, ~
p ˆ 0; 1; . . . ; Np , Np ‡ 1 be sampled values of x~ over the grating period of
the PR material at a longitudinal distance y. The points p ˆ 0 and Np ‡ 1
extend one point outside the grating period. These need to be included in
order to specify periodic boundary conditions. We also let V…p† ˆ V…x~ p ; y; t~†
be any sampled dependent variable (for example n…p† ~ ˆ n… ~ x~ p ; y; t~†,

…p† ˆ
…x~ p ; y; t~†, etc.) of Eqs. 7.4.10 or 7.4.12 in the grating period of
the PR material at a longitudinal distance y. Using these de®nitions we can
approximate the ®rst and second spatial derivatives of Eqs. 7.4.10 and 7.4.12
by the well-known ®nite difference formulas.
 
 
@2 n~  ~ ‡ 1† 2n…p†
n…p ~ ‡ n…p
~ 1†

@n~  ~ ‡ 1† n…p
n…p ~ 1†
@x~ 2 x~ p  ~
…x† 2 @ ~
x
x~ p 
 2x~
…7:4:14†
Letting

P…p† ˆ 1
…p†
  
I…p† @
 
H…p† ˆ 1 ‡ ‡ … † 3 4 …1 ~
‡ n…p††
3
C 1 4
@x~ xˆ
~ x~ p
   
~
@n…p† I…p† ND
S…p† ˆ 3 1‡ 1 …7:4:15†
@t C NA
Induced Photorefractive Gratings 401

we ®nd for p ˆ 1; . . . ; Np
   
~ ‡ 1†
n…p ~ ‡ n…p
2n…p† ~ 1† ~ ‡ 1† n…p
n…p ~ 1†
2 2
‡ P…p†
~
…x† ~
2x
~ ˆ S…p†
‡ H…p†n…p† …7:4:16†

~ ‡ 1†, n…p†,
If coef®cients of n…p ~ ~
n…p 1† are collected, Eq. 7.4.16 can be put
in the following form

~ ‡ 1† ‡ R…p†n…p†
R‡ …p†n…p ~ ‡ R …p†n…p
~ 1† ˆ S…p† …7:4:17†

where

P…p† 2 2 P…p†
R‡ …p† ˆ ‡ 2 R…p† ˆ H…p† R …p† ˆ ‡ 2
2x~ x~ 2 x~ 2 2x~ x~ 2

and where p ˆ 1; 2; . . . ; Np .
Because the diffraction grating is periodic, we have the important
boundary conditions on the variable that n…0† ~ ˆ n…N~ p † and
n…N ~
~ p ‡ 1† ˆ n…1†. These equations can be used to eliminate the variables
~
n…0† ~ p ‡ 1† in Eq. 7.4.16 and thus give an equation that depends
and n…N
only on the unknowns n…p†, ~ p ˆ 1; . . . ; Np . We thus observe that Eq. 7.4.17
represents a system of Np equations in Np unknowns n…p†, ~ p ˆ 1; . . . ; Np .
The system of ®nite difference equations given by Eq. 7.4.17 can be
conveniently expressed in terms of a matrix equation:
2 3
R…1† R‡ …1† 0 0 0 0 0 0 0 R …1†
6 7
6 R …2† R…2† R‡ …2† 0 0 0 0 0 0 0 7
6 7
6 7
6 0 R …3† R…3† R‡ …3† 0 0 0 0 0 0 7
6 7
6 7
6 0 0


0 0 0 0 0 7
6 7
6 7
6 0 0 0


0 0 0 0 7
6 7
Lˆ6 7
6 0 0 0 0


0 0 0 7
6 7
6 7
6 0 0 0 0 0


0 0 7
6 7
6 7
6 0 0 0 0 0 0 R …Np 2† R…Np 2† R‡ …Np 2† 0 7
6 7
6 7
6 0 0 0 0 0 0 0 R …Np 1† R…Np 1† R‡ …Np 1† 7
4 5
R‡ …Np † 0 0 0 0 0 0 0 R …Np † R…Np †
 T  T
S ˆ S…1† S…2†


S…Np † n ˆ n…1† n…2†


n…Np †

L n~ ˆ S …7:4:18†

Inverting this matrix equation gives

n~ ˆ L 1 S …7:4:19†
402 Chapter 7

which thus determines the electron density pro®le for a given value of y in
the PR medium.
The algorithm proceeds as follows. Once n… ~ y; t~† is determined [n…p†
~ x; ~ is
determined from matrix inversion and n…p† ~ speci®es n… ~ y; t~†] and its deri-
~ x;
~ y; t~†=@x~ is calculated, n…
~ x;
vative @n… ~ y; t~† and @n…
~ x; ~ y; t~†=@x~ are substituted
~ x;
back into Eq. 7.4.13. Once a new value of
…x; ~ y; t~ ‡ t~† is found from Eq.
7.4.13, this new value of
…x; ~ y; t~ ‡ t~† is calculated for all values of y (all
discrete layers of the PR slab). Once this step is completed, RCWA is used
to study diffraction from the new value of
…x; ~ y; t~ ‡ t~†, and thus a new
optical intensity value I…x; ~ y; t~ ‡ t† is found. The new intensity I…xy; ~ t~ ‡ t~†,
along with
…x; ~ y; t~ ‡ t~† and its x derivative, is substituted into Eqs. 7.4.17
and 18 and a new value of n… ~ x;~ y; t~ ‡ t~† is found. By repeating the above
steps for many iterations, the time evolution of the PR material and the
optical diffracted intensity can be found.

7.4.2 TM Numerical Simulation Results

We consider the photorefractive grating that occurs when two in-phase TM
plane waves ( ˆ 0:633 m) of amplitudes E0 and E1 impinge on BaTiO3
crystal at an angle of incidence i as shown in Fig. 11. The BaTiO3 crystal
complex relative dielectric permittivity matrix is assumed to be described by
Eqs. 7.3.12 and 13. For the present simulation, we choose r42 ˆ 1640 10 12
m/V, r13 ˆ 8  10 12 m/V, r33 ˆ 28  10 12 m/V, nO ˆ 2:437, nE ˆ 2:365,
and E00 ˆ O00 ˆ 2:42  10 6 (these values of O00 and E00 correspond to an
absorption coef®cient p ˆ 1 cm 1 ), which are the values given for
BaTiO3 by [8] at  ˆ 0:633 m. In the simulation we have assumed that
the BaTiO3 c-axis makes a 45 angle with the y-axis of Fig. 1. We further
assume [31,32] R ˆ 5  10 14 m3 /s,  ˆ 0:5  10 4 m2 =V s, NA ˆ 3  1022 ,
ND ˆ 200NA , s ˆ 1  10 5 m2 =J s, and  ˆ 2 1=s. With these values
we ®nd that the dark current C ˆ =s ˆ 2  105 W/m2 . For BaTiO3
and for the geometry shown in Fig. 1, the effective value of
0
s ˆ s2 cos2 c ‡ s3 sin2 c , where s1 ˆ s2 0 0
ˆ 36000 ; s3 ˆ 1350 [8, Table
0 0 0
1.2, p. 28], and s ˆ ‰si i;j 0 Š, …i; i † ˆ 1; 2; 3 is the static dielectric permittivity
tensor when the BaTiO3 PR crystal has its c-axis aligned along the z 0 -axis.
For c ˆ 45 , s ˆ 18670 .
Figure 11 shows the intensity pro®le and steady-state dielectric mod-
ulation function
 that results from that pro®le when two equal-amplitude
plane waves impinge on a BaTiO3 grating whose thickness is L ˆ 15. The
grating thickness has been chosen to be so thin that no appreciable diffrac-
tion occurs within the grating. Figure 11a shows the normalized intensity
pro®le for  ˆ 1; 2; 5; and 10 at y ˆ L=2. The power intensity has the
approximate intensity pro®le of a squared sinusoidal wave. The intensity
Induced Photorefractive Gratings 403

Figure 11 (a) The optical power intensity (normalized to the dark current C) in the
grating when the grating period is  ˆ 1, 2, 5, and 10 as a function of the
normalized grating distance xN ˆ x=. The incident power (evaluated at
y ˆ L=2) was adjusted in order that the intensity pro®le for each different size
grating period would have the same peak intensity. (b) The steady-state dielectric
modulation function
 (also evaluated at y ˆ L=2) that results when the intensity
pro®les of (a) were used to determine
. Because the PR grating was so thin, the
intensity pro®les of (a) were not assumed to change with time as the
 pro®les
reached a steady state. All grating parameters used in the simulation not listed on the
®gure are given in Section 7.3. Used with permission of JOSA-A, 1996 [34].
404 Chapter 7

pro®le peak is shifted to the left as the grating period becomes smaller. This
is an effect of the anisotropy of the PR crystal. The incident amplitudes of
the interfering waves have been chosen to keep the peak intensity the same
for the different grating periods shown in Fig. 11a. The dielectric modula-
tion function
 that results from the intensity pro®les of Fig. 12a is shown
in Fig. 11b. In Fig. 11b, the curve marked ``1'' corresponds to a grating
period  ˆ 1, the curve marked ``2'' corresponds to a grating period
 ˆ 2, and so on. The
 of each of the curves has been plotted as a
function of the normalized variable xN ˆ x= as was the power intensity.
As can be seen in Fig. 11b, the size of the grating period  as a large
effect on the value of
 that results. When the grating period is small (on
the order of  ˆ 1) the magnitude of
 is small. As the grating period
increases in size, the maximum magnitude value of the
 pro®le increases
in size until the grating period is about   5. During this range of
1    5, the
 pro®le gradually changes shape with the
 peak
(maximum and minimum) rising more sharply as the grating period
increases. When  is increased to the range 5    10, the maximum
magnitude value of the
 pro®le decreases in size. The
 pro®le further
gradually changes shape. The increase and then decrease of the maximum
magnitude value of the
 pro®le results because the equilibrium equation
for n and
, namely Eq. 7.4.10, contains zero-, ®rst-, and second-order x
derivatives. Thus when  is small …K ˆ 2= is large) the second-order x
derivatives terms are large, and when  is large the zero-order derivative
term tends to be large. Intermediate to this (  4 to 5), the largest
magnitude
 pro®les are reminiscent of the dependence of the linearized
two-beam coupling coef®cient on . We note that for all values of the
grating size  the
 function is shifted to the right of the intensity pro®le,
as can be seen by inspecting Figs. 12a and 12b.
Figures 12a±d display the numerical PR mode diffraction, coupling,
and conversion that occurs (using the Kukhtarev equation and RCWA)
when two interfering plane waves (see Fig. 12a) whose amplitudes are E0
and E1 ˆ 0:1E0 are incident on an index matched PR crystal of length
L ˆ 1530,  ˆ 0:633 m. The angle of incidence is such as to make the
grating period  ˆ 5. Figure 12c shows the normalized power transmitted
in the T0 and T1 directions as a function of time step, and Fig. 12d shows the
normalized power re¯ected in the R0 and R1 directions as a function of time
step (t ˆ 1 ms). As can be seen from Fig. 12d, because of the index match-
ing, almost zero power ( 10 6 ) is re¯ected from the PR grating in the R0
and R1 directions. Figure 12c shows, for the geometry and material para-
meters of the case under consideration, that a large amount of energy is
transferred from the T0 to the T1 in a period of about 35 ms, at which time
the grating dynamics rapidly approaches the steady state. The power in the
Induced Photorefractive Gratings 405

Figure 12 The dielectric perturbation function
 (b) and the power transmitted in
the T1 , T0 , (c) R1 , and (d) R0 directions is shown when the regions (Region 1 and 3)
bounding the PR crystal are indexed matched to the PR crystal. All grating para-
meters used in the simulation not listed on the ®gure are given in Section 7.3. Used
with permission of JOSA-A, 1996 [34].

T0 and T1 directions adds to about 90% of the incident power. Because the
grating is assumed to be lossy, the other 10% of the incident optical power is
absorbed as heat in the grating. Figure 12b shows the dielectric modulation
function
 that results at t ˆ 113 ms when the grating has been in a steady
state for a long time. The pro®le has the form of a slanted sinusoidal grating
that grows steadily from a small value at y ˆ 0 to a peak-to-peak value of

max
min ˆ 0:00642, which occurs at about y  1000. It may be
noticed that the grating pro®le is slightly skewed at y  1000. This may
be a slight nonlinearity effect.
The simulation grid used 34 x divisions to solve Kukhtarev's equa-
tions, Eq. 7.4.10, for each layer (thus the matrix equation that was inverted
in Eq. 7.4.18 was 34  34 size), and the grid used NL ˆ 160 layers to
describe and simulate the optical wave (RCWA was used to determine the
electromagnetic or optical ®elds of the system) as it propagated and dif-
fracted through the diffraction grating. The optical intensity was averaged
406 Chapter 7

over 10 points in each y ˆ L=NL to ensure that a smooth and physically

realistic optical intensity pro®le I…x; y; t† was used in Kukhtarev's equations.
A detailed discussion of the averaging is given in [29,30]. The temporal
analysis was marched forward in time with a time step of t ˆ 1 ms. Very
stable numerical results were obtained for the grid parameters and time step
used.
The RCWA analysis was carried out for MT ˆ 2 (i ˆ 2, 1; 0, 1, 2)
for the simulation in Fig. 12 and for all simulations in this chapter. For the
matched case of Fig. 12, only an extremely small amount of diffracted power
was found in the higher diffraction orders (i ˆ 2, 1, 2) in agreement with
[29]. We would like to mention at this point that because an exact
Kukhtarev analysis (exactly including all higher order spatial x derivatives)
of the PR material grating was performed, a higher order RCWA analysis is
also valid, since rapid spatial variation of the material equations has been
accounted for. In other words, the Kukhtarev analysis is not limited to the
ED limit (D represents Debye) [8, p. 89] (a limit that arises when approx-
imations to Kukhtarev's equations are made that eliminate and drop higher
order derivative terms) because the Kukhtarev analysis is an exact one. The
comments of this paragraph concerning the applicability of the higher order
RCWA analysis apply not only to the results of Fig. 13 but also to all the
computations to be presented in the rest of the ®gures.
Figures 13 and 14 (see Fig. 12a, for the geometry) display the numer-
ical PR mode coupling and conversion that occurs (using a Kukhtarev and
RCWA analysis) when two interfering plane waves (see Fig. 12a) whose
amplitudes are E0 and E1 ˆ 0:1E0 are incident on a PR crystal,
 ˆ 0:633 m. Unlike the numerical case of Fig. 13, the PR crystal is not
now indexed matched to the surrounding medium (free space is assumed to
surround the PR crystal, 1 ˆ 3 ˆ 1). In this case optical energy is multiply
re¯ected and subsequently diffracted from the y ˆ 0 and y ˆ L indexed
mismatched interfaces. The combination of multiple re¯ection, diffraction,
and the anisotropy of the PR crystal leads to the possibility of a quite
complicated dielectric modulation pro®le occurring in the PR grating
region. For this reason, the numerical simulation of the mismatched grating
case was made for several closely spaced crystal lengths L in order that the
effect of crystal length on grating formation could be fully studied. For the
values of Lp ˆ 1482:1875 ‡ p
L,
L ˆ 9:5625, p ˆ 1; 2; 3; 4; 5; 6, Figs.
13a and 13b show the power transmitted in the T0 and T1 directions, respec-
tively, of Fig. 12a, and Figs. 13c and 13d show the power re¯ected in the R0
and R1 directions, respectively, of Fig. 12a. Again, no appreciable higher
order diffraction was observed.
There are several interesting features of the plots for this case. The ®rst
is that a relatively small change in the overall length L of the PR crystal can
Induced Photorefractive Gratings 407

Figure 13 The power transmitted in the T0 , T1 , R0 , and R1 directions is shown

when the regions (Region 1 and 3) bounding the PR crystal are not indexed matched
to the PR crystal (see Fig. 12) (air was assumed 1 ˆ 3 ˆ 1) in (a), (b), (c), and (d),
respectively, for six slightly different PR crystal lengths L. All grating parameters
used in the simulation not listed on the ®gure are given in Section 7.3. The starred
line on the L5 curve of (a) used 320 longitudinal layers, whereas all other simulation
runs used 160 layers. Note that the number of longitudinal divisions made virtually
no difference in the simulation. Used with permission of JOSA-A, 1996 [34].

make a very large change in the power transmitted and re¯ected in the
different directions from the crystal. For example in Fig. 13b, the power
transmitted in the T1 direction for the L4 length is small (about 12% in
steady state), whereas when the length is increased to L6 the transmitted
power jumps to a large value (about 50%). A length change of only about
2
L  19 has occurred. A second interesting feature of the plots is that
depending on the length L, the power transmitted (T0 and T1 directions) or
re¯ected (R0 and R1 directions) may go into an oscillatory steady state or a
nonoscillatory steady state. In Fig. 13b, it is observed that the L1 and L5
lengths form oscillatory steady states, whereas the lengths L2 , L3 , L4 and L6
408 Chapter 7

Figure 14 The dielectric perturbation function
 that results in the index mis-
matched case of Fig. 13 when the PR crystal length is L5 ˆ 1530 and (a) t ˆ 56 ms,
(b) t ˆ 90 ms (oscillatory steady state, see Fig. 13, L5 ˆ 1530). (c) The dielectric
perturbation function
 that results in the index mismatched case of Fig. 14 when
the PR crystal length is L3 ˆ 1510:875 and t ˆ 90 ms (nonoscillatory steady state,
see Fig. 14, L3 ˆ 1510:875). Parts (b±d) are drawn to the same scale. (d) The RMS

 […
rms †2 is also proportional to the electrostatic energy in a stored a grating
period] as a function of time step when the crystal length is L3 ˆ 1510:875 and when
the crystal length is L5 ˆ 1530. Used with permission of JOSA-A, 1996 [34].
form nonoscillatory steady states. It is also interesting to note that the
oscillatory steady state periods depend on the length L. For example the
period of the length L1 is about 50 ms, whereas the length L5 is about 65 ms.
We would like to point out that the results of Fig. 13 did not change
when the number of layers was changed from 160 to 320. The starred line of
length L5 in Fig. 14a was calculated using 320 layers (the power intensity
was averaged over ten points for each of the 320 longitudinal divisions), and
all other plots were made using 160 layers (the power intensity was averaged
over ten points for each of the 160 longitudinal divisions). As can be seen
from Fig. 13a, there was no difference in the numerical results obtained.
Figures 14a and 14b show, respectively, the dielectric modulation
function
 that results when L ˆ L5 ˆ 1530 (the grating system for this
Induced Photorefractive Gratings 409

length is an oscillatory steady state, see Figs. 13a±d) at times t ˆ 56 ms and

t ˆ 90 ms. Figure 14c shows the
 dielectric modulation function that
results when L ˆ L3 ˆ 1510:875 at a time t ˆ 90 ms (the grating system
for this length is in a nonoscillatory steady state, see Figs. 13a±d). From
Figs. 14a and 14b one notices an interesting property of the oscillatory
steady state: the shape of the dielectric modulation function pro®le

does not change with time, but the peak-to-peak amplitude of the
 pro®le
changes periodically in time with the same period as the diffracted powers
T0 , T1 , R0 , R1 . In Fig. 14a at time t ˆ 56 ms (L ˆ L5 ˆ 1530) we notice

max
min ˆ 1:57  10 3 , whereas in Fig. 14b at t ˆ 90 ms (L ˆ L5 ˆ
1530†
max
min ˆ 5:31  10 3 . Figures 14a and 14b (and Fig. 14c
also) are drawn on the same scale. They have almost an identical shape,
but the peak-to-peak amplitude of Fig. 14a is about 25% that of Fig. 14b.
Fig. 14d shows a plot of the root mean square (RMS) amplitude of the
dielectric modulation function pro®le
 (the RMS formula is given in
Fig. 14d) as a function of time step (t ˆ 1 ms) when the PR crystal length
is L ˆ L3 ˆ 1510:875 and when the PR crystal length is L ˆ L5 ˆ 1530.
As can be seen from the plots of Fig. 14d, the L ˆ L5 ˆ 1530 curve shows
that in the nonoscillatory steady state case the RMS value (and therefore
peak-to-peak value) of the dielectric modulation function pro®le
 does go
through maximum and minimum values, whereas the L ˆ L3 ˆ 1510:875
curve in the nonoscillatory steady state reaches a steady state RMS value of

. It is interesting and reasonable that the nonoscillatory RMS value of

is almost exactly the average of the oscillatory RMS
 value. We would
like to note that the square of RMS
 values shown in Fig. 14d is propor-
tional to the electrostatic energy stored over one grating width  and length
L of the PR crystal. Thus another way of viewing the nonoscillatory steady
state is that the electrostatic (or quasi-static) energy of the PR crystal is in a
continuous state of gaining and losing electrostatic energy as time pro-
gresses. We also note from Fig. 14d that the rise and fall of the RMS
value of
 (also electrostatic energy) is not symmetric in time but builds
up from a minimum to a maximum in about 30 ms and falls from a max-
imum to a minimum in about 40 ms.
Figure 15 displays the numerical PR mode coupling and diffraction
that occurs (using the Kukhtarev and RCWA analysis) when two interfering
plane waves whose amplitudes are E0 and E1 ˆ 0:4E0 are incident on a PR
crystal ( ˆ 0:633 m, L ˆ 1530 ˆ L5 ) that is not index matched to the
surrounding medium (free space is assumed to surround the PR crystal,
1 ˆ 3 ˆ 1). The peak-to-peak value of
 is approximately 0.00654 as is
evident from Fig. 15b. The diffraction response in this case is very different
from the Fig. 13 and 14 case, although that case differs from the case of
Figs. 13 and 16 (L ˆ L5 ˆ 1530 curves) only in that the signal amplitude
410 Chapter 7

Figure 15 Numerical PR mode coupling and diffraction that occur (with the use
of the Kukhtarev equations and RCWT) when two interfering plane waves whose
amplitudes are E0 and E1 ˆ 0:4E0 are incident on a PR crystal ( ˆ 0:633 m,
L ˆ 1530 ˆ L5 ) that is not index matched to the surrounding medium (free space
is assumed to surround the PR crystal, 1 ˆ 3 ˆ 1). (a) The dielectric modulation
function
 that results when NL ˆ 160 layers is used. (b) The results when NL ˆ
640 layers is used. (c) The transmitted and re¯ected power diffracted in the zero
and ®rst orders when NL ˆ 640. (d) The power transmitted in the second order
when NL ˆ 160, 320, and 640 layers. The dashed line shown in (d) shows the
transmitted power that is diffracted in the second order when NL ˆ 160 layers
and MT ˆ 3. Used with permission of JOSA-A, 1996 [34].

E1 is E1 ˆ 0:4E0 rather E1 ˆ 0:1E0 . In this case, as can be seen from Figs.

15c and 15d, power is initially diffracted into the ®rst-order diffraction mode
directions T1 and R1 and then later at about t ˆ 100 ms diffracted into the
T2 and R2 directions. In Figs. 13 and 14 diffraction into higher orders was
not observed at all. Thus the diffraction in Figs. 13 and 14 constitutes a case
of four-wave coupling, whereas that of Fig. 15 represents six-wave coupling.
Another large difference with the results of Figs. 13 and 14 is that in the case
of Fig. 15 the pronounced oscillation that occurred in Figs. 13 and 14 did
not occur in Figs. 15c and 15d. The response of Fig. 15c and 15d seems to
indicate that T0 attains a quasi±steady state while there is power exchange
Induced Photorefractive Gratings 411

between T1 and T2 . A third major difference in the PR response of Figs. 13

and 14 and Fig. 15 was in the shape of the dielectric modulation function

that was formed. In Figs. 14a,b,c the
 pro®le was small at the incidence
side and increased in value toward the transmit side. In Fig. 15b the

pro®le is nearly uniform in its peak-to-peak value throughout.
The generation of higher order diffracted waves can be understood in
the following way. In volume holograms, appreciable power transfer is
possible not only for Bragg incidence but also for incidence at multiple
Bragg angles. Alferness [35] has analyzed the diffraction ef®ciency for
thick holograms operating in the second-order Bragg regime and concluded
that 100% diffraction ef®ciency was possible. The second-order diffraction
ef®ciency can be expressed as [36]

 2

I2 ˆ sin2  …7:4:20†
Q

where Q ˆ K 2 L=k0 and  ˆ k0 …
n†pp Leff =4. In the above expression K is the
hologram wave number, Leff is the effective grating thickness, and …
n†pp
denotes the peak-to-peak change in induced refractive index.
In our case, with the hologram spacing  ˆ 5 and
Leff  L=2 ˆ 1530=2,  ˆ 0:633 m and Q ˆ 200. Also from the plots
(Fig. 16b) the peak value of …
n†pp  0:00134 (since (
n†pp 
…
†pp =…2n0 †,
pp 
max
min ˆ 0:00654 (see Fig. 16b), n0 ˆ 2:437)
at t ˆ 200 ms implying   1:6. Note that this approximately corresponds
to the condition for maximum diffracted power in the second order.
Equation 7.4.20 shows that as Q increases, a larger value of  is required
for enhanced power transfer to the second order.
A numerical simulation was also performed for the mismatched case
(see Fig. 12a, 1 ˆ 3 ˆ 1) when the incident amplitudes were E0 and E1 ˆ
E0 for the cases when L ˆ 1500, In these cases very interesting results
occurred. In the case when L ˆ 1500; the power in the T0 order was
diffracted and the mode converted into the T1 order, and no other appreci-
able diffraction occurred. The diffraction in the T0 and T1 directions was
observed to be in a nonoscillatory steady state as time increased. For
L ˆ 1500, the peak-to-peak …
†pp 
max
min ˆ 3:86  10 3 which
made (
n†pp  0:79  10 3 . Further, it was observed that the peak-to-peak
dielectric modulation function (
†pp decreased in value, nearly linearly,
from the incidence side to the transmission side, assuming a very small
value at the transmission side. Thus the effective length of the grating was
about Leff  L=2 ˆ 1500=2. In the case when L ˆ 1530, power was initi-
ally diffracted from the T0 order to the T1 order and then subsequently at
412 Chapter 7

about t ˆ 75mg was diffracted from the T1 order to the T2 second order.
For this case, the peak-to-peak dielectric modulation function
(
†pp 
max
min ˆ 5:33  10 3 , which made …
n†pp  1:09  10 3 .
From this simulation we ®nd the interesting results that the index mis-
matched PR crystal for certain lengths appears to be resonant in the sense
that for certain lengths (in this case L ˆ 1530), the optical energy in the PR
crystal can interact with the crystal in such a way that the dielectric mod-
ulation function
 can build up to relatively large values in the crystal.
Figure 16a shows plots of the normalized electron density n~ ˆ n=NA
that result from the simulation shown in the matched case of Fig. 13
(t ˆ 113 ms, y ˆ L=2, L ˆ 1530,  ˆ 0:633 m,  ˆ 5) and the mis-
matched case of Figs. 14 and 15 (t ˆ 200 ms, y ˆ L2, L ˆ L5 ˆ 1530,
 ˆ 0:633 m,  ˆ 5). As can be seen from these plots, we ®rst notice that
the results of the simulation show that the normalized electron density n~ ˆ
n=NA assumes a very small value of n~  10 5 or less. Secondly we note that
the presence of matched or mismatched boundaries makes a signi®cant
difference as to where the peaks of the electron density occur and the
peak-to-peak size of the electron density. Figure 17b shows a plot of the
dielectric modulation function
 obtained at the same location where the
electron densities of Fig. 17a were obtained. As we can see from these plots,
the presence of matched or mismatched boundaries makes a signi®cant
difference as to position of the peaks and the peak-to-peak amplitude of
the
 pro®les. We ®nally note that a comparison of Figs. 17a and 17b
shows that in both the matched and the mismatched cases the electron
density is always displaced from, and out of phase with, the
 pro®le.
This is a result of Eq. 7.4.12 and the fact that n~ and
 are related by a
®rst space and time derivative equation.

7.5 REFLECTION GRATINGS [37,38]

So far we have examined wave mixing in diffusion-dominated PR materials

assuming transmission gratings. However, as stated in the introduction,
re¯ection gratings can also be ef®ciently induced and stored in PR media
and have practical applications such as in the construction of tunable ®lters
of very low spectral width.

7.5.1 RCWA Optical Field Analysis

This section will be concerned with determining the EM ®elds that exist
inside of a PR re¯ection grating using a RCWA analysis. In this case,
because the PR grating depends on the optical intensity, the magnitude of
Induced Photorefractive Gratings 413

Figure 16 (a) Plot of the normalized electron density n~ ˆ n=NA that results from
the simulation shown in the matched case (t ˆ 113 ms, y ˆ L=2, L ˆ 1530,
 ˆ 0:633 m,  ˆ 5) and the mismatched case (t ˆ 200 ms, y ˆ L=2,
L ˆ L5 ˆ 1530,  ˆ 0:633 m,  ˆ 5). (b) Plot of the dielectric modulation func-
tion
 obtained in the same location as that of the electron densities of (a). Used
with permission of JOSA-A, 1996 [34].
414 Chapter 7

the optical modulation of the grating is longitudinally inhomogeneous. The

RCWA analysis is carried out by (1) dividing the RG into a number of
discrete layers, (2) expanding the EM ®elds in each layer region and expand-
ing the EM ®elds in the incident and transmit sides of the RG in a set of
Floquet harmonics, (3) solving Maxwell's equations in all regions in terms
of the Floquet harmonics, and (4) matching EM ®eld solutions at all bound-
aries to determine the EM ®elds of the overall system. The RCWA optical
analysis of this chapter closely follows the RCWA re¯ection grating ana-
lyses of Refs. 39±41. The RCWA re¯ection analysis of this section differs
from that of Refs. 39±41 in two ways: (1) the re¯ection grating here is
anisotropic rather than isotropic, and (2) the EM incident electric ®eld
here is parallel to the plane of incidence rather than the perpendicular to it.
For the convenience of readers, we will now summarize the RCWA
optical ®eld equations in the RG and space surrounding the grating.
Normalizing all space coordinates according to x ˆ k0 x, ~ y ˆ k0 y,
~ etc.,
where k0 ˆ 2= and  in meters is the free space wavelength, the EM ®elds
E and H in the `th layer (the ` index is suppressed) of the RG are given by

X
S~ ˆ ‰Sxi a^ x ‡ Syi a^ y Š exp… jkxi x ‡ ji y†
i
X
U~ ˆ ‰Uzi a^z Š exp… jkxi x ‡ ji y† …7:5:1†
i

where S ˆ E,   0 ˆ 377
, kxi ˆ p
U ˆ 0 H; ~ sin…'†,
1 sin I i…=†
i ˆ i…=†~ cos…'†, and  ˆ 0 . The angle ' [39±41] is the tilt angle of
the DG with respect to the planar interfaces and can be taken to be zero
for a pure RG analysis [41]. In terms of S and U,
 Maxwell's equations are

2 3
xx yy 0
r  S~ ˆ j U~ r  U~ ˆ jS~ where  ˆ 4 ys yy 0 5
0 0 zz
…7:5:2†

In this chapter the anisotropic permittivity tensor is assumed to have its c-

axis at C ˆ 45 to the crystal interfaces as shown in Fig. 17. The permittivity
tensor elements, including the RG modulation due to the presence of a
nonzero optical intensity inside of photorefractive BaTiO3 , and a nonzero
longitudinal electrostatic ®eld for the c-axis shown in Fig. 1 have been
derived and speci®ed in Ref. 5. After substituting Eq. 7.5.1 in Maxwell's
Eq. 7.5.2 following Refs. 39±41, the state variable equations arise
Induced Photorefractive Gratings 415

Figure 17 Problem geometry.

 
@V a a12
ˆ 11 V …7:5:3†
@y a21 a22

where V ˆ ‰fStx Utz Št , Sx ˆ ‰Sxi Š, Uz ˆ ‰Uzi Š, i ˆ MT ; . . . ; MT , and

h i h i
a11 ˆ j K yy1 yx m a12 ˆ j K yy1 K ‡ I
h i h i
a21 ˆ j xx xy yy1 yx a22ˆ j m ‡ xy yy1 K
  h i
K ˆ kxi i;i 0  ˆ i i 0 …; † ˆ …x; y†
(
  1 for i ˆ i 0
m ˆ i i;i 0 i;i 0 ˆ
0 for i 6ˆ i 0

Solution of the state variable equations gives the propagating and

nonpropagating eigenmode ®elds in each thin layer. Summing over these
eigenmodes and matching boundary conditions at each thin layer and in
Regions 1 and 3, the full EM solution in all regions can be found.

7.5.2 Material Analysis

In this section we will present a material analysis using Kukhtarev's equa-
tions and applicable to the re¯ection grating geometry. For the present case
it is assumed that no variation occurs in the transverse x-direction and that a
PR re¯ection grating is formed in the y-longitudinal direction. Following
the analysis of transmission gratings above, but taking care to use the long-
itudinal spatial variable y (the direction of the re¯ection grating vector), we
416 Chapter 7

®nd that Kukhtarev's material equations can be reduced to differential

equations

   
@2 n @n I…y† @

2 ‡1
 ‡ 3 1‡ ‡‰ 1 4Š 3 4 ‰1 ‡ Š n
@y2 @y C @y
     
@n I…y† ND I…y† @

ˆ 3 1‡ 1 ‡ 1‡ …7:5:4†
@t C NA C @y
@
 @n
ˆ 1 n
 2 …7:5:5†
@t @y

In these equations I…y† is the optical intensity W/m2 and
 ˆ n20 n2e r42 Es …y†
is a normalized dielectric modulation function linearly related to the long-
itudinal electrostatic ®eld Es …y† (V/m). All other parameters have been
de®ned in the previous sections.
Because a re¯ection grating is being studied, it is useful to expand the
optical ®eld I…y† and the material variables n…y† and
…y† in a spatial
Fourier series (the period of the Fourier series is the grating wavelength
~ where the Fourier amplitudes are all spatially varying functions
 ˆ k0 )
of the longitudinal coordinate y. We have

Xc
iˆM
I…y† ˆ Ii …y† exp…jiy† …7:5:6†
iˆ Mc

Xc
iˆM
n…y† ˆ ni …y† exp…jiy† …7:5:7†
iˆ Mc

Xc
iˆM

…y† ˆ
i …y† exp…jiy† …7:5:8†
iˆ Mc

where  ˆ 2= and Mc equals the number of Fourier components. If Eqs.

7.5.6±7.5.8 are substituted into Eq. 7.5.4 and the coef®cients of exp…jiy† are
equated, we ®nally obtain

@2 ni …y† @n …y†  
2
‡ 2ji i 2 ‡ …i†2 ni …y† ˆ Hi …y† iˆ M C ; . . . ; MC
@y @y
…7:5:9†

where
Induced Photorefractive Gratings 417
 1=2
3
ˆ …1 ‡ 4†
2

and
X
Hi ˆ Ti i 0 ni 0 ‡ Fi …7:5:10†
i0

and where
   
1 3 Ii 1 4 @
i 3 4
Ti ˆ ji
i ‡ ‡ ji
i ‡ ni
2 2 C 2 @y 2

…7:5:11†
X    
1 @n 0 @ni I ND
Fi ˆ
i i 0 i ‡ 3 i;0 ‡ i 1
2 i0 @y 2 @t C NA
  
1 X @
i i 0 0 Ii 0
‡ ‡ j…i i †
i i 0 i 0 ;0 ‡ …7:5:12†
2 i0 @y C

Equation 7.5.12 for the interval L  y  0 …L ˆ k0 L, ~ L~ (in meters being

the crystal layer thickness) represents a set of 2MC ‡ 1 spatially varying
equations from whose solution all material variables can be determined.
In this chapter we impose the boundary conditions that the normalized
electron density n…y† vanishes at the crystal interfaces y ˆ 0 and y ˆ L.
This boundary condition further imposes the boundary conditions on Eq.
7.5.12 that

ni …0† ˆ ni … L† ˆ 0 iˆ M C ; . . . ; MC …7:5:13†

To proceed further we now for the moment regard the RHS of Eq. 7.5.12 as
a known function y. Equation 7.5.12 along with its boundary conditions, for
each i, is classi®ed as a linear second-order nonhomogeneous differential
equation. The solution to this type of equation is well known and can be
found by using a Green's function approach: (1) setting the RHS of Eq.
7.5.12 to a Dirac delta function …y y 0 †; (2) solving the resulting differen-
tial equation

@2 gi …yjy 0 † @gi …yjy 0 †  

‡ 2ji 2 ‡ …i†2 gi …yjy 0 † ˆ …y y 0† …7:5:14†
@y2 @y
418 Chapter 7

with the boundary conditions and continuity condition, respectively

 
gi …0jy 0 † ˆ gi … Ljy 0 † ˆ 0 gi …yjy 0 †yˆy 0 ˆ gi …yjy 0 †yˆy 0 ‡ …7:5:15†

0 0
where y and y ‡ represent locations an in®nitesimal to the left and right of
y 0 ; (3) superposing the Green's function solutions times the nonhomoge-
neous RHS Hi to ®nd the overall response of the system. Regarding Hi …y†
as a known function, the solution for ni …y† is given by
…0
ni …y† ˆ gi …yjy 0 †Hi …y 0 † dy 0 …7:5:16†
L

Although Eq. 7.5.16 is an exact integral for the differential equation Eq.
7.5.12, it is an unnecessarily complicated one for the current analysis. For
typical PR parameters used in this chapter, the constant  is on the same
order of magnitude as  ˆ 2=. Investigation of the Green's function
gi …yjy 0 † for the just-described values of  and  shows that this Green's
function has a signi®cant nonzero value only within a few  of the point
y ˆ y 0 in the interval. Investigation has further shown that most of the
exponential terms are exponentially small. After analysis it is found that gi
…yjy 0 † is well approximated by [37]

0 1 exp‰s1 …y y 0 †Š L  y < y0
gi …yjy † ˆ …7:5:17†
s1 s2 exp‰s2 …y y 0 †Š 0
y <y0

where s12 ˆ  ji. gi …yjy 0 † is signi®cantly nonzero only when

jy y 0 j  5. A basic assumption that has been made in this chapter is
that all of the spatially varying amplitudes of Eqs. 7.5.6±7.5.8 vary over a
much greater length than the exp…jiy† functions. Using this assumption one
notices that in the integral of Eq. 7.5.16 the Hi …y 0 † function can be approxi-
mately taken as constant over the range where gi …yjy 0 † of Eq. 7.5.17 is
nonzero. With the approximations that (1) Hi …y 0 † is taken as constant and
evaluated at y ˆ y 0 where the Green's function is maximum, (2) the approx-
imate Green's function of Eq. 7.5.17 is used, and (3) the limits of the integral
of Eq. 7.5.16 are taken to be y 0 ˆ 1 to y 0 ˆ 1, it turns out that the
integral of Eq. 7.5.16 can be evaluated in closed form. The result of the
integration is

ni …y† ˆ Gi Hi …y† …7:5:18†

where
Induced Photorefractive Gratings 419

1
Gi ˆ …7:5:19†
2 ‡ …i†2

Substituting Eq. 7.5.10 into Eq. 7.5.18 and collecting terms on ni …y†, we
derive a matrix equation for the normalized electron density ni …y†:
X  X
i;i 0 ‡ Gi Ti i0 ni 0 …y† ˆ Li;i 0 ni 0 …y† ˆ Gi Fi …7:5:20†
i0 i0

To proceed further we substitute the spatially varying approximations

Eqs. 7.5.6±7.5.8 for n…y† and
…y† into Eq. 7.5.5 and ®nd after equating like
coef®cients of exp…jiy) to each other that

X  
@
i @ni
ˆ 1 ‰ ni i0
i 0 Š 2 ‡ jin i …7:5:21†
@t i0
@y

If Eq. 7.5.20 is substituted for ni …y†, and matrix terms common to
i are
collected in Eq. 7.5.21, it can be placed in the usual state variable form:

@
i X 
‡ Ai;i 0
i 0 ˆ fi …7:5:22†
@t i0

where Ai;i 0 and fi are de®ned in Ref. 37, where the complete temporal
numerical solution is detailed.

7.5.3 Numerical Results

This section will be concerned with presenting a numerical simulation of a
re¯ection grating based on the above model. For the present simulation we
assume a lossless grating and that r42 ˆ 1640  10 12 (m/V),
r13 ˆ 8  10 12 …m=V†, no ˆ 2:437 and ne ˆ 2:365, which are the given crys-
tal values for BaTiO3 by Ref. 8 at  ˆ 0:633 m. For these values the
grating wavelength had the value  ~ ˆ 0:132 m. In the simulation we
have assumed that the BaTiO3 c-axis makes a 45 and with the y-axis of
Fig. 18. We further assume R ˆ 5  10 14 (m3 /s),  ˆ 0:25  10 4 (m2 /V
s), NA ˆ 3  1022 (1/m3 ), ND ˆ 200NA , s ˆ 1  10 5 (m2 /J s) and  ˆ 2 (1/
s). With these values we ®nd that the dark current is C ˆ 2  105 (W/m2 ).
For BaTiO3 and for the geometry shown in Fig. 18, the effective value of
0
s ˆ s2 cos2 …c † ‡ s3
0
sin2 …c †, where s1
0 0
ˆ s2 0
ˆ 36000 s3 ˆ 1350 [8, Table
0 0
1.2, p. 28] and where s ˆ ‰si i;i 0 Š, …i; i † ˆ 1; 2; 3, is the static dielectric
permittivity tensor when BaTiO3 PR crystal has its c-axis aligned along
420 Chapter 7

the z 0 -axis. The optical and material analysis was carried out using values of
MT ˆ 5 and MC ˆ 10. Also L~ ˆ 1000 ~ ˆ 0:132 mm,  ˆ =k ~ 0 ˆ 4:795,

 ˆ 4:858, and I ˆ 6 .
In Ref. 37, we have shown the plots of the dielectric modulation
function
…y; t† [proportional to the electrostatic space charge Es …y; t†] as
calculated over a range of two grating wavelengths  ~
~ in meters,  ˆ k0 ,
~ ~
from a position 123 to 125 from the incident side of the grating at the
times of t~ ˆ 0:059, 0.477, 4.97, 30.1, and 69.0 ms. Also plotted was the
re¯ected diffraction ef®ciency DER …%† as a function of time for the simula-
tion under consideration. We have also shown plots of the terms of the
electron density balance equation Eq. 7.5.20 at a given time t~ ˆ 30:1 ms.
These plots were all done only for a tuned layer and only for a thickness of
1000. Also in Ref. 37, no study was done of the convergence of the
numerical solution with different spatial harmonics MC (number of harmo-
nics in the material equations) and Mt (the number of harmonics used in
RCWA analysis).
We will now present additional numerical simulations for the diffrac-
tion ef®ciency and the various terms of the electron density balance equation
for different lengths of the photorefractive material, and for tuned and
detuned cases, respectively. In Fig. 18, we study the convergence of the
solution (diffraction ef®ciency) for a tuned layer of thickness 3000 by
varying the values of MC and Mt from MC ˆ 1 and Mt ˆ 1 to MC ˆ 14

Figure 18 Transient re¯ected diffraction ef®ciency for different optical and mate-
rial harmonics. Used with permission of JOSA-B, 1998 [37].
Induced Photorefractive Gratings 421

and Mt ˆ 17. As can be seen from Fig. 18, reasonable convergence is

achieved for values of MC ˆ 6 and Mt ˆ 3 or higher. A nominal combina-
tion of MC ˆ 10 and Mt ˆ 5 was chosen for all following calculations.
Figure 19 shows the re¯ected diffraction ef®ciency results for tuned
layers of different thicknesses as a function of time. As expected, the dif-
fraction ef®ciency increases with layer thickness. Note that the time evolu-
tion is nonexponential and that the initial buildup of the diffraction
ef®ciency is more rapid as the thickness increases. Conservation of trans-
mitted and re¯ected power was observed for all computations.
In Fig. 20, we show the time evolution of the diffraction ef®ciencies for
a tuned layer of thickness 3000 and several other layers detuned from this
value by 0.075, 0:25, 0:375, and 0:5. As can be seen, the amount of
detuning has a profound effect on the diffraction ef®ciency. For a slightly
detuned layer, the initial re¯ection is small, but it increases in time rapidly as
does the tuned case. On the other hand, a severely detuned layer has an
initially large re¯ection, due to boundary mismatch, and the rate of increase
of the diffraction ef®ciency is much slower because a smaller percentage of
the incident illumination actually enters into and interacts within the photo-
refractive material to form the re¯ections grating.

Figure 19 Transient re¯ected diffraction ef®ciency for different tuned layer thick-
nesses. Used with permission of JOSA-B, 1998 [37].
422 Chapter 7

Figure 20 Transient re¯ected diffraction ef®ciency for different detuning lengths.

Used with permission of JOSA-B 1998 [37].

Figures 21a and 21b show plots of several terms that make up the
electron density matrix equation as given by Eq. 7.5.20 (the terms making
up Eq. 7.5.20 are speci®ed in Eqs. 7.5.9±7.5.12) when a tuned layer re¯ection
grating is formed (Fig. 21a, L ˆ 0) and when a nontuned layer re¯ection
grating is formed (Fig. 21b, L ˆ 0:5). These ®gures were formed by
Fourier summing the slowly varying amplitudes according to Eqs. 7.5.6±
7.5.8 and then plotting the sums as a function of yloc as shown in Figs. 21a
and 21b. As can be seen when comparing them, a nontuned layer re¯ection
grating causes a signi®cantly different electron density pro®le from when a
tuned layer re¯ection grating is present. Figure 22 shows plots of the dielec-
tric modulation function (proportional to the electrostatic ®eld inside the
re¯ection grating) when a tuned layer re¯ection grating is formed (same case
as Fig. 21a, L ˆ 0) and when a nontuned layer re¯ection grating is
formed (same case as Fig. 21b, L ˆ 0:5). As can be seen from Fig. 21,
detuning of the layer causes a shift in the dielectric modulation function
.

7.5.4 Conclusion
In this section, we have, after appropriate reformulation of the multilayer
RCWA, analyzed the time evolution of re¯ection gratings in a photorefrac-
tive material of an arbitrary thickness. This has been accomplished by let-
ting all but the last layer be an integral number of wavelengths and then
Induced Photorefractive Gratings 423

Figure 21 Spatial distribution of different terms in Eq. 7.5.20 for a tuned layer (a)
and for a detuned layer (b). Used with permission of JOSA-B, 1998 [37].

letting the last layer have an arbitrary length. The re¯ected diffraction ef®-
ciency has been plotted as a function of time for various layer thicknesses,
viz., from 100 to 6000. The evolution of the diffraction ef®ciency has
also been shown for various detunings L ranging from 0 to 0:5.
Numerical convergence was also analyzed. We have found that a minimum
number of spatial harmonics (viz., MC ˆ 6 and Mt ˆ 3) should be used for
reasonable accuracy. Examples of the spatial distribution of various physi-
cal quantities such as the electron density, induced permittivity etc., have
been provided.
424 Chapter 7

Figure 22 Typical induced permittivity distributions for a tuned and detuned layer.
Used with permission JOSA-B, 1998 [37].

PROBLEMS

1. In many photorefractive materials such as lithium niobate, an

important contribution to the photorefractive effect is the photo-
current generated (photovoltaic effect) when light is incident on
the material (see Chapter 4). Using suitable approximations,
decouple the Kukhtarev equations in the steady state when the
current in Eq. 7.2.3 contains an additional term pI on the right-
hand side, where p is the photovoltaic tensor element and I is the
optical intensity.
2. Assume that a thin photorefractive layer has incident on it two
plane waves of amplitude ratio p.
(a) Use a ®nite difference scheme to discretize the original set of
Kukhtarev equations (Eqs 7.2.1±7.2.4).
(b) By marching forward in time, solve these equations using
periodic boundary conditions along x over a spatial period 
formed by the interfering plane waves. Plot the electrostatic ®eld
Es over a spatial period for different times. Assume BaTiO3 as the
photorefractive material. (The procedure is similar to that used in
Sec. 7.4.)
(c) Show that the temporal evolution of Es is well approximated
by means of the intensity dependent time constant …I† de®ned in
Eq. (7.3.8).
(d) Compare your results with the ®ndings of Ref. [42].
Induced Photorefractive Gratings 425

3. (a) Decouple and linearize the Kukhtarev equations (7.2.1±7.2.4)

in the small contrast approximation (small m).
(b) Derive the set of differential equations coupling the two inci-
dent electric ®elds during interaction in the photorefractive mate-
rial.
(c) Exactly solve these equations in the steady state to determine
the longitudinal variation of the two electric ®elds [8].
(e) Solve the differential equations derived in (b) in the transient
case. Take the limit as t ! 1 and compare your answer with part
(c).
4. Repeat Problem 3 but now including a photovoltaic term in the
Kukhtarev equations (see Problem 1).
5. Assume that two optical waves which are incident on a photore-
fractive material are frequency offset from one another by
. This
sets up a running interference pattern proportional to cos (Kx-
t).
Decouple and linearize the Kukhtarev equations (7.2.1±7.2.4) in
the small contrast approximation (small m). Analyze the resulting
equations and ®nd an expression for the space charge ®eld in
terms of the intensity and the frequency offset [8].
6. Assume that two optical waves which are frequency offset from
one another by
, as in Problem 5, are incident on a photorefrac-
tive material at t ˆ 0.
(a) Reformulate the numerical algorithm for the exact Kuktarev
equations to account for the traveling wave nature of the intensity
grating.
(b) Obtain a numerical solution for the photorefractive and opti-
cal response of BaTiO3 . What is the effect of varying
?
7. Investigate the re¯ection grating problem of Section 7.5, and plot
the steady state transmitted and re¯ected intensities as a function
of the incident intensity. Can this effect be used for optical limiting
for the transmitted ®eld?
8. Fig. 5 in this chapter represents one time experiment each for the
case where the phase difference between the two participating
plane waves incident on the photorefractive crystal is j rand j 
158 and 308, respectively. Make several independent computations
for these values of rand , and average these values for each E1 =E0
ratio as shown in Figure 5. Compare your results with the coher-
ent case.
426 Chapter 7

REFERENCES

1. A. Ashkin, G. D. Boyd, J. M. Dziedzic, R. G. Smith, A. A. Ballman, J. J.

Levinstein, and K. Nassau, Optically induced refractive index inhomogeneities
in LiNbO3 and LiTaO3 , Apply. Phys. Lett., 9, 72±74 (1966).
2. P. Gunter and J.-P. Huignard, eds., Photorefractive Materials and Their
Applications, I & II, Springer Verlag: Berlin, 1989.
3. J.-P. Huignard and A. Marrakchi, Coherent signal beam ampli®cation in two-
wave mixing experiments with photorefractive Bi12 SiO20 crystals, Opt.
Commun., 38, 249±259 (1981).
4. J. Feinberg, Self-pumped continuous-wave conjugator using internal re¯ec-
tions, Opt. Lett., 7, 486±488 (1982).
5. J. O. White and A. Yariv, Real-time image processing via four-wave mixing in a
photorefractive medium, Appl. Phys. Lett., 37, 5±7 (1980).
6. P. Yeh and A. E. T. Chiou, Real-time contrast reversal via four-wave mixing in
nonlinear media, Opt. Commun., 64, 160±162 (1987).
7. K. Ratnam and P. P. Banerjee, Nonlinear theory of two-beam coupling in a
photorefractive material, Opt. Commun., 107, 522±530 (1994).
8. P. Yeh, Introduction to Photorefractive Nonlinear Optics, Wiley Series in Pure
and Applied Optics, John Wiley, New York, 1993.
9. N. V. Kukhtarev, M. B. Markov, S. G. Odulov, M. S. Soskin, and V. L.
Vinetsky, Holographic storage in electrooptic crystals, Ferroelectrics, 22, 949±
964 (1979).
10. R. A. Vazquez, F. R. Vachss, R. R. Neurgaonkar, and D. Ewbank, Large
photorefractive coupling coef®cient in a thin cerbium-doped strontium barium
niobate crystal, J. Opt. Soc. Am. B, 9, 1932±1941 (1992).
11. J. E. Millerd, E. M. Garmire, M. B. Klein, B. A. Wechsler, F. P. Strohkendl,
and G. A. Brost, Photorefractive response at high modulation depths in
Bi12 TiO20 , J. Opt. Soc. Am. B, 8, 1449±1453 (1991).
12. M. R. Belic and M. Petrovic, Uni®ed method for solution of wave equations in
photorefractive media, J. Opt. Soc. Am. B, 11, 481±485 (1994).
13. D. W. Wilson, E. N. Glytsis, N. F. Hartman, and T. K. Gaylord, Beam dia-
meter threshold for polarization conversion photoinduced by spatially oscillat-
ing bulk photovoltaic currents in LiNbO3 :Fe, J. Opt. Soc. Am. B, 9, 1714±1725
(1992).
14. M. G. Moharam and T. K. Gaylord, Rigorous coupled-wave analysis of planar
grating diffraction, J. Opt. Soc. Am., 71, 811±818 (1981).
15. K. Rokushima, J. Yamakita, S. Mori, and K. Tominaga, Uni®ed approach to
wave diffraction by space-time periodic anisotropic media, IEEE Trans.
Microwave Theory Techniques, 35, 937±945 (1987).
16. E. N. Glytsis and T. K. Gaylord, Rigorous three-dimensional coupled-wave
diffraction analysis of single cascaded anisotropic gratings, J. Opt. Soc. Am. B,
4, 2061±2080 (1987).
17. P. Gunter, E. Voit, M. Z. Zha, and J. Albers, Self-pulsation and optical chaos
in self-pumped photorefractive BaTiO3 , Opt. Comm., 55, 210±214 (1985).
Induced Photorefractive Gratings 427

18. A. Nowak, T. R. Moore, and R. A. Fisher, Observation of internal beam

production in BaTiO3 phase conjugator, J. Opt. Soc. Am. B, 5, 1864±1878
(1988).
19. P. M. Jeffrey and R. W. Eason, Lyapunov exponent analysis of irregular ¯uc-
tuations in a self-pumped BaTiO3 phase conjugate mirror, J. Opt. Soc. Am. B,
11, 476±480 (1994).
20. D. Wang, Z. Zhang, X. Wu, and P. Yeh, Instabilities in a mutually pumped
phase conjugator of BaTiO3 , J. Opt. Soc. Am. B, 7, 2289±2293 (1990).
21. R. Daisy and B. Fischer, Light waves at the interface of linear and photore-
fractive media, J. Opt. Soc. Am. B, 11, 1059±1063 (1994).
22. E. D. Baraban, H.-Z. Zhang, and R. W. Boyd, Optical bistability by two-wave
mixing in photorefractive crystals, J. Opt. Soc. Am. B, 9, 1689±1692 (1992).
23. L.-K. Dai, C. Gu, and P. Yeh, Effective of position-dependent time-constant on
photorefractive two-wave mixing, J. Opt. Soc. Am. B, 9, 1693±1697 (1992).
24. H. Kong, C. Wu, and M. Cronin-Golomb, Photorefractive two-beam coupling
with reduced spatial coherence, Opt. Lett., 16, 1183±1185 (1991).
25. M. Cronin-Golomb, H. Kong, and W. Krolikowski, Photorefractive two-beam
coupling with light of partial spatio-temporal coherence, J. Opt. Soc. Am. B, 9,
1698±1703 (1992).
26. M. Snowbell, M. Horowitz, and B. Fischer, Dynamics of multiple two-wave
mixing and fanning in photorefractive materials, J. Opt. Soc. Am. B, 9, 1972±
1982 (1994).
27. E. Serrano, V. Lopez, M. Carrascosa, and F. Aguillo-Lopez, Recording and
erasure kinetics in photorefractive materials at large modulation depths, J. Opt.
Soc. Am. B, 11, 670±675 (1994).
28. W. P. Brown and G. C. Valley, Kinky beam paths inside photorefractive crys-
tals, J. Opt. Soc. Am. B, 10, 1901±1906 (1993).
29. J. Jarem and P. P. Banerjee, A nonlinear, transient analysis of two and multi-
wave mixing in a photorefractive material using rigorous coupled-mode diffrac-
tion theory, Opt. Com., 123, 825±842 (1996).
30. P. P. Banerjee and J. Jarem, Transient wave mixing and recording kinetics in
photorefractive barium titanate: a nonlinear coupled mode approach, Opt.
Engr., 34, 2254±2260 (1995).
31. P. P. Banerjee and J. J. Liu, Perturbational analysis of steady-state and tran-
sient-beam fanning in thin and thick photorefractive media, J. Opt. Soc. B.,
10(8), 1417±1423 (1993).
32. P. P. Banerjee and R. M. Misra, Dependence of photorefractive beam fanning
on beam parameters, Opt. Commun., 100, 166±172 (1993).
33. P. P. Banerjee, H. L. Yu, D. A. Gregory, and N. Kukhtarev, Phase conjuga-
tion, edge detection and image broadcasting using two-beam coupling con®g-
urations in photorefractive KNbO3 , Opt. Laser Tech., 28, 89±92 (1996).
34. J. M. Jarem and P. P. Banerjee, An exact dynamical analysis of the Kukhtarev
equations in photorefractive, barium titanate using rigorous coupled wave dif-
fraction theory, J. Opt. Soc. Am. A, 13, 819±831, (1996).
428 Chapter 7

35. R. Alferness, Analysis of propagation at the second-order Bragg angle of a

thick holographic grating, J. Opt. Soc. Am., 66, 353±362 (1976).
36. A. Korpel, Acousto-Optics, Marcel Dekker, New York, 1988.
37. J. M. Jarem and P. P. Banerjee, Rigorous coupled-wave analysis of photore-
fractive re¯ection gratings, in press, J. Opt. Soc. Am. B. (1998).
38. J. M. Jarem and P. P. Banerjee, Time domain state variable analysis of induced
re¯ection gratings in photorefractive materials, Photonics West Proc. SPIE
(1998).
39. M. G. Moharam and T. K. Gaylord, Coupled-wave analysis of re¯ection grat-
ings, Appl. Optics, 20, 240±244 (1981).
40. M. G. Moharam and T. K. Gaylord, Chain-matrix analysis of arbitrary-thick-
ness dielectric re¯ection gratings, J. Opt. Soc. Am., 72, 187±190 (1982).
41. Z. Zylberberg and E. Marom, Rigorous coupled-wave analysis of pure re¯ec-
tion gratings, J. Opt. Soc. Am., 73, 392±401 (1983).
42. N. Singh, S. P. Nader, and P. P. Banerjee, Time-dependent nonlinear photo-
refractive response to sinusoidal intensity gratings, Opt. Comm., 136, 487±495
(1997).
Index
Acceptor concentration, 259, 271,
377, 398
Acoustic grating, 254
Acousto-optics, 251, 253
Airy function, 263, 265
Angular plane wave spectrum, 261
Anisotropic cylindrical
scattering, 300
Anisotropic inhomogeneous
waveguide, 341
Anisotropic layer, 42
1-D k-space theory, 65
2-D k-space theory, 79
dipole excitation, 79
EM solution, 68
ground plane, 79
numerical example, 76
Anisotropic material, 13, 67
Anisotropic media, 16, 89
generalized, 89
Anisotropic waveguide, 346
Aperture, 70
admittance, 74, 76
Australian method, 101
Baker-Hausdorff formula, 248
Barium titanate (BaTiO3 ), 258,
260, 267, 375, 379, 380,
394, 398, 404, 421
Beam bending, 260, 261
Beam fanning,
deterministic (DBF), 258, 260,
261, 263, 265, 268, 270, 278
random (RBF), 259, 270, 278
transient DBF, 259
Beam propagation method
nonlinear media, 255
Beam propagation method
(BPM), 245, 246, 248, 265
Bessel functions, 286, 288, 297,
298, 320, 329
Bessel identity, 160
Bessel-Legendre modes, 315
Bi-anisotopic media, 89
Bi-anisotropic layer, 53
numerical example, 63
Bi-anisotropic media, 16, 65
state variable matrix, 56
Biased ferrite layer, 93
Birefringent media, 17
Bismuth tin oxide (BSO), 379
Bloch wave modal functions, 356,
365
429
430
Boundary element method, 101
Bragg incidence, 121, 147, 413
Cascaded matrix, 180, 293, 306,
319, 320, 350
c-axis, 260, 267, 273, 380, 394,
404, 421
Cayley-Hamilton technique, 10,
82
Cayley-Hamilton theorem, 10, 13
Chaos, 375
Characteristic equation, 7, 82
Characteristic value, 7
Circulators, 342
Complex Poynting theorem, 18,
19, 25, 26, 27, 104, 120,
122, 131, 132, 137, 151
normalized, 28, 30, 40, 42, 49
numerical validation for
anisotropic media, 52
Conduction current density, 1
Conductivity, 2
Conical plane wave diffraction,
228
Constitutive relations, 2
for bi-anisotropic media, 54
Convergence, 101, 104, 228, 425
highly improved, 230, 234
Coordinate transformations, 363
Coupled mode expansion, 106
Coupled mode theory, 101, 102,
166
Coupled wave analysis, 101, 102,
230
Critical power, 256
Cross-polarization, 88
Cross-tensor materials, 341, 342,
343, 364
Cubic crystal, 374
Cubic nonlinearity, 255
Cubic spline, 278
Index
Cylindrical plane wave scattering,
295, 307, 309, 311
Cylindrical systems, 285, 286, 289
Dark current C, 379, 400
Debye screening length, 408
Determinant, 8
Dielectric cylinder, 287
Dielectric permittivity
modulation, 377, 378, 380,
381, 383, 384, 385, 390,
395, 400, 404, 407, 413
Dielectric permittivity tensor, 43,
48
Differential method, 101, 103
Diffraction ef®ciency, 120, 121,
204, 208, 278, 376
circular cylindrical, 295, 306
E-mode, 365
for photorefractive re¯ection
grating, 422, 425
H-mode, 365
re¯ected, 127, 131, 147, 165,
182, 202, 382, 397, 406
second order, 413
spherical, 326, 330
transmitted, 126, 147, 165, 182,
203, 382, 397, 406
Diffraction grating, 9, 99
anisotropic, 131, 132
antiblazing, 133, 147, 161
asymmetric sawtooth, 228
beam propagation, 251
blazed, 99, 100, 172
blazing, 133, 147, 161
circular cylindrical, 287
cosine, 120, 121, 203
crossed, 100, 185, 208
dielectric, 99
E-mode, 131, 133, 134, 176,
203, 230
Index 431

[Diffraction grating] Dispersion equation, 351, 354

H-mode, 104, 133, 176, 203 Dissipated electric power, 27, 42,
waveguide, 357 49, 131, 133
lamellar, chrome, 232 Dissipated magnetic power, 27,
longitudinal inhomogeneous, 42, 49, 131, 133
173 Dissipated time averaged power,
lossy, 126, 127, 147 25, 126, 138
metallic, 99 Donor concentration, 271, 377,
mirror backing, 129, 131 398
multilayer, 214 Double phase conjugation, 374
pure re¯ection, 155, 161, 162, Dynamic modes, 9
167
pyramidal, 213
reciprocal, 133 Eccentric circular dielectric,
re¯ection, 100, 104, 414 286
anisotropic, 416 Ef®cient numerical methods,
sinusoidal surface relief, 100, 20
182 Eigenanalysis, 7
sinusoidal, total internal Eigenvalue, 7
re¯ection, 133 Eigenvector, 7
slanted, 100, 104, 155, 161, 166 Electric current density, 377
step pro®le (lamellar), 120, 147, Electric current source, 25
232, 365 Electric dipole current source,
surface relief, 99, 172, 207 82
symmetric blaze surface relief, Electric displacement, 1, 5
184 Electric ®eld, 1
thin, 333 Electric perfect conductor (EPC),
transmission, 100 33, 35
volume, 99 Electron density, 414
waveguide formulation, 356 matrix equation, 421, 424
Diffraction gratings Electro-optic coef®cient, 380,
absorption, 376 381, 394, 404
re¯ection, 376 Electro-optic effect, 258, 260,
transmission, 376 261, 265, 380
Diffusion constant, 377 EM boundary conditions, 5, 29,
Dipole, 315 39, 47, 49, 60, 69, 81, 110,
anisotropic layer, 18, 20 197, 222, 293, 298, 306,
Directive gain, 76 318, 319, 325, 361
Dirichlet conditions, 234 EM scattering from anisotropic
Discrete Fourier transform, 6, 13 media, 42
Dispersion, 17 Energy ¯ow distribution, 133
higher order, 257 Energy-power difference, 32
432
Enhanced transmittance matrix,
333
E-plane slab, 342
Evanescent modes, 355
Evanescent power, 104
Evanescent waves, 20, 89, 93, 105,
109, 110, 127, 131, 133
Exponential 4  4 matrix
method, 16, 17
Exponential matrix, 10, 81
Exponentially large matrix
elements, 89
Extraordinary wave, 93, 100
Fabry-Perot effect, 398
Fabry-Perot ®lter, 17
Far ®eld, 258, 263, 267, 271
radiation pattern, 75, 84, 86
Fast Fourier transform, 6
Ferrities, 84, 342, 344, 352
Finite difference
formula, 381
Kukhtarev analysis, 401, 402
matrix equation, 403
method, 101, 103, 247
Finite element method, 103
Floquet harmonics, 102, 105, 112,
186, 285, 288, 291, 362,
416
Fourier series, 2, 234, 418
Fourier transform, 5, 15, 66, 246,
260
inverse, 247, 260
spatial Fourier transform, 9
two-dimensional, 13
Four-wave coupling, 412
Four-wave mixing, 373
uni®ed method, 374
Free electron density, 377
Fresnel diffraction, 249
Fresnel diffraction formula, 247
Index
Full ®eld solution, 46
Full-®eld formulation, 105
Gaussian, 13, 247, 249, 250, 253,
261, 263, 267, 269, 270,
274, 278, 280, 373
elliptic, 269, 270, 271, 273, 274,
276
waist, 265
Generalized electric current term,
26
Generalized magnetic current
term, 26
Graded index ®ber, 247
Graded index medium, 250
Grating period, 383
Grating vector, 100, 104, 132,
377, 396
Green's functions, 18, 88, 103
for photorefractive re¯ection
gratings, 419, 420
Ground-plane slot waveguide
system, 67, 76
Gyrotropic materals, 342
Hankel functions, 286, 288, 298,
320
Higher order diffraction, 408,
412
Hologram, 333, 399, 413
Hysteresis, 375
Ill-conditioned matrix, 215
Image processing, 258, 273
Impressed charge density, 1
Impressed current density, 1
Induced refractive index, 259,
261, 265, 267, 270, 280,
378
Index
Input, power, 30
Integral method, 101, 103
Intensity distribution, 377
Interference, 168, 276
pattern, 268
Intrinsic impedance, 106
Inverse rule, 4, 233, 234
Inverse scattering, 247
Invisible region, 73
Ionization cross-section, 259,
377
Ionized donor concentration,
377, 398
Isolators, 342
Isotropic layer in free space, 28
Isotropic lossy dielectric slab,
20
Isotropic media, 16
Kerr media, 247, 260, 269
Kinky beam paths, 375
Klein-Cook parameter, 253
Kronecker delta function, 2
k-space analysis, 19
one-dimensional solution, 65
two-dimensional solution, 79
k-space expansion, 66, 74
current dipole, 82
k-space techniques, 9
k-space theory, 15
Kukhtarev equations, 259, 374,
375, 376, 378, 398, 399,
417
reduced coupled, 401, 418
Latent roots, 7
Laurent's rule, 4, 13, 106, 232,
235
Leap-frog technique, 248
Legendre polynomials, 324
433
Light induced scattering, 269
anisotropic, 271
Line source scattering, 286, 290,
308, 309
Linear free-space propagation,
249
Linear media, 249
Liquid crystal displays, 104
Lithium niobate (LiNbO3 ), 258,
269, 270, 271, 273, 275,
278, 280, 374
Magnetic current source, 25
Magnetic ®eld, 1
Magnetic ¯ux density, 1
Magnetic surface current, 69
Material cavity, 315
Mathieu functions, 301
Matrix polynomial, 10
Maxwell's equations, 1, 105, 106,
113, 187, 305, 316, 317,
344, 416
for anisotropic media, 44
for bianisotropic media, 54
time-reduced form, 1
Method of steepest descent, 75
Mobility, effective quasi-static,
377
Modal matrix, 9, 92
Modal propagation, 341
Multilayer diffraction theory,
104, 172
anisotropic waveguide, 349
circular, 289, 292, 306
photorefractive media, 392,
410
spherical, 319, 328
two-dimensional, 213
Near-®eld optics, 133
434
Net outward power ¯ow, 26, 42,
49
Nonlinear defocusing, 255, 256
Nonlinear partial differential
equation (PDE), 247
Nonlinear refractive index, 255,
271, 274
Nonlinear self-focusing, 255,
256
Nonlinearity, third order, 247
Nonlinearly induced focal length,
269, 271
Normal incidence, 20
Normalized coordinates, 105
Oblique incidence, 203
Oblique plane wave incidence, 48,
53, 58
Operator
linear, space dependent, 248
matrix-spherical, 318
nonlinear, 248
transverse, 248
Optical bistability, 375
Optical computing, 373
Optical data storage, 258
Optical feedback, 375
Optical interconnections, 258
Optical limiters, 258
Ordinary wave, 100
Output power, 32, 40, 41
Pairwise discontinuous functions,
5, 233
Parabolic graded index pro®le,
250
Parallel plate waveguide, 67
Parallel polarization, 43
Paraxial wave equation, 246
Parseval's relation, 74
Index
Partially coherent illumination,
375, 382, 397
Periodic boundary conditions,
359, 365, 403
Periodic focusing, 250, 256
Periodic media, 341
Permeability resonance, 354
Permeability tensor, 2, 289, 301,
304, 313, 314, 344, 364
Permittivity tensor, 2, 134, 211,
213, 344, 364, 416
absorption, 380
cylindrical, 301, 312
effective quasi-static, 377, 417,
421, 422
Fourier series, 186
Hermitian, 154
non-Hermitian, 151, 154
photorefractive, 380
spherical, 327
Phase conjugate mirrors, 375
Phase conjugation, self-pumped,
258, 373
Phase hologram, 258
Phase matching, 44
Phase modulation, 261
Phase shifters, 342
Phase velocity, 23
Phasor, 245
Photorefractive (PR) effect, 258,
265
approximate analysis, 377,
397
diffusion dominated, 267, 373,
375, 414
dynamic model, 376
empirical theory, 373
energy exchange, 267
exact analysis, 398
time constant, 375
TM beam coupling, 393, 404
TM exact analysis, 404
Index
Photorefractive electrostatic
energy, 411
Photorefractive grating
dynamics, 406, 410
Photorefractive material
boundary conditions, 420
Photorefractive media, 247, 257,
373
detuned, 423, 424
tuned, 414, 423, 424
Photorefractive mode conversion,
406, 408, 413
Photorefractive mode coupling,
406, 408, 411, 413
Photorefractive mode diffraction,
406, 411
Photorefractive nonoscillatory
steady state, 410, 411
Photorefractive oscillatory steady
state, 410, 411
Photorefractive time constant,
379, 384
Photovoltaic effect, 270, 276, 278,
280, 374
Plasmas, 84, 342, 344
Plasmon surface waves, 133
Polarization
extraordinary, 260, 270, 374
ordinary, 260, 374
Polytetra¯uoroethylene (PTFE),
85
Position dispersion, 271
Power, 295, 298, 306, 311, 326,
328, 330, 331
balance, 120
budget, 133, 138, 143
conservation, 101, 165, 168,
332, 423
theorem, 32
re¯ected, 200
transmitted, 200
Poynting box, 21, 27, 51, 122, 132
435
Propagating waves, 105, 109, 110
Propagatiaon constant, 23, 102
Propagational diffraction, 246,
259, 261, 265
P-scan technique, 269, 270, 278
Pseudo-Fourier series, 3
Pseudospectral method, 247
Pump, 267, 381
q-parameter, 267
q-transformation, 269, 273
Quadrature formula, 74
Radar absorbing material
(RAM), 33, 34, 36, 287,
302
Radar re¯ectivity, 34, 36
Radman scattering, 257
Random phase, 382
Rayleigh range, 271, 274
Rayleigh series, 101
RCWA full-®eld method, 121
Reactive power, 131, 133
Real power, 131, 133
Reciprocal permittivity, 232
Recombination rate, 377
Recording kinetics, 375
Rectangular waveguide, 342
Re¯ection coef®cient, 30, 32, 73
Refractive index mismatch, 374,
376, 390, 392, 398, 406,
408, 413
Rigorous coupled wave analysis
(RCWA), 101, 102, 155,
269, 285, 286, 289, 301,
302, 315, 327, 373, 374,
376, 381, 395, 408, 414,
416
enhanced transmittance
approach, 214, 223
436
[Rigorous coupled wave analysis
(RCWA)]
multilayer diffraction gratings,
214
second order, 216
stable implementation, 214
wave equation method, 113,
121
SBN, 258
Schelkunoff spherical vector
potential, 320
Second-order Bragg regime, 413
Self-Fourier transformable
function, 13
Self-pulsations, 375
Semiconductors, 344
Semicylindrical shell, 296, 297
Separation of variables, 45
Shielded antenna source, 315
Short circuit plate, 129
Signal, 267, 381
Signal to pump ratio p, 382, 386,
412
Single beam holography, 276
Six-wave coupling, 412
Slot waveguide, 74
free space aperture admittance,
74
in®nitely thin, 75
Slowly varying envelope
approximation (SVEA),
260
Snell's law, 117
Soliton, 247
spatial, 257, 258
higher order, 257
Sommerfeld integrals, 18
Sound ®eld, 252
Source in isotropic layered media,
36
Index
Source power, 26, 42
Space charge ®eld, 258, 259, 377,
380
sinusoidal, 373
Space harmonics, 186
Spatial frequency, 263
Spatio-temporal instabilities, 375
Spectral recursive transformation
method, 89
Spherical systems, 285, 313
Split-step method, 245, 246, 248,
265, 269
¯ow digram, 253
modi®ed, 251
Stability, 101, 104, 228
Standing wave pattern, 48
Standing wave ratio (SWR), 32,
35, 49
State variable analysis, 15, 102
anisotropic layer, 42
anisotropic waveguide, 349
bi-anisotropic layer, 53
formulation for bi-anisotropic
media, 54
isotropic layer, 20
photorefractive re¯ection
grating, 416
radar absorbing layer, 33
reduction of wave equation,
117
source in isotropic layered
media, 36
State variable matrix, 46, 68, 81,
90, 118, 134, 218
anisotropic waveguide, 348
crossed diffraction grating,
189
cylindrical, 289, 292, 305
eigenvalues, 46
eigenvectors, 46
E-mode, 134 177
H-mode, 108
Index 437

[State variable matrix] [Transfer function]

H-mode-waveguide, 358 paraxial, 246
spherical, 318 Transfer function for
Stored electric energy, 26, 42, 49 propagation, 245
Stored magnetic energy, 26, 42, 49 Transition matrix, 92
Submicron microscopy, 133 Transmission coef®cient, 30, 32
Surface admittance, 195 Transmission line, 72
Symmetrized split-step Fourier admittance, 72
method, 248 load, 72
System matrix equation Two-beam coupling, 261, 267,
E-mode multilayer, 181 373, 374
H-mode, 113 Two-beam coupling strength
wave equation, 120 re¯ected r , 386
transmitted t , 386
Two-beam coupling strength ,
TE wave, 301, 382 268, 373
TEM wave, 67 Two-wave mixing, 267
TEn0 modes, 352
Tesseral harmonics, 286, 320
Thermal effect, 276 Uniaxial crystal, 84, 344
Thermal generation rate, 259, Unimoment method, 101, 103
377
Three-dimensional
inhomogeneous scattering, Variable transformation, 92
315 Visible region, 73
Time averaged radiated power,
25, 138
Time-averaged electric energy, Wave equation, 13, 245
25, 138 Waveguide propagation theory,
Time-averaged magnetic energy, 101
25, 138 Wronskian, 294
TM wave, 301, 382
Trace, 8
Transfer function z-scan technique, 269, 270, 274
nonparaxial, 246 z-transform, 6