2/23/2016

ECE5322
21st CenturyElectromagnetics
Instructor:
Office:
Phone:
EMail:

Dr.Raymond C.Rumpf
A337
(915)7476958
rcrumpf@utep.edu

Lecture #9

Diffraction Gratings
Lecture 9

Lecture Outline

Lecture9

Fourier series
Diffraction from gratings
The plane wave spectrum
Plane wave spectrum for crossed gratings
The grating spectrometer
Littrow gratings
Patterned fanout gratings
Diffractive optical elements
Slide2

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Fourier Series
Born: March21,1768
inYonne,France.
Died: May16,1830
inParis,France.

JeanBaptiste JosephFourier

1D Complex Fourier Series

Ifafunctionf(x)isperiodicwithperiodx,itcanbeexpandedintoa
complexFourierseries.
f x

a m e

2 mx

a m

2 mx
j
1

f
x
e
dx

Typically,weretainonlyafinitenumberoftermsintheexpansion.
f x

a m e

2 mx

m M

Lecture9

Slide4

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2D Complex Fourier Series

For2Dperiodicfunctions,thecomplexFourierseriesgeneralizesto
f x, y

a p, q e

p q

Lecture9

2 px 2 qy
j

x
y

2 px 2 qy

x
y

1
a p, q f x, y e
A A

dA

Slide5

Diffraction from
Gratings

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Fields in Periodic Structures

Wavesinperiodicstructurestakeon
thesameperiodicityastheirhost.

Lecture9

Slide7

Diffraction Orders
Thefieldmustbecontinuoussoonlydiscretedirectionsareallowed.
Thealloweddirectionsarecalledthediffractionorders.
Theallowedanglesarecalculatedusingthefamousgratingequation.
Allowed

Lecture9

NotAllowed

Allowed

Slide8

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Field in a Periodic Structure

Thedielectricfunctionofasinusoidalgratingcanbewrittenas

r r r ,avg cos K r

Awavepropagatingthroughthisgratingtakesonthesamesymmetry.

E r A r e jkinc r


A r ,avg cos K r e jkinc r

A j kinc K r A j kinc K r
A r ,avg e

2
2

jkinc r

wave 1

wave 2

wave 3

Lecture9

Grating Produces New Waves

Theappliedwavesplitsintothreewaves.

e jkinc r e
e

e jkinc r

j kinc K r

j kinc K r

Eachofthosesplitsintothreewavesaswell.

jkinc r

e
e

e jkinc r

j kinc K r

j kinc K r

e
e

j kinc K r

j kinc K r

j kinc 2 K r

jkinc r

Andeachofthesesplit,andsoon.

k m kinc mK
m ,..., 2, 1, 0,1, 2,...,
Lecture9

j kinc K r

j kinc K r

jkinc r

j kinc 2 K r

Thisequationdescribes
thetotalsetofallowed
harmonics.
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Wave Incident on a Grating

Boundaryconditionsrequiredthetangential
componentofthewavevectorbecontinuous.

inc

k x ,trn k x ,inc
Thewaveisenteringagrating,sothephase
matchingconditionis

k x m k x ,inc mK x

Thelongitudinalvectorcomponentis
calculatedfromthedispersionrelation.

k z2 m k0 navg k x2 m
2

Forlargem,kz,m canactuallybecome
imaginary.Thisindicatesthatthehighest
orderspatialharmonicsareevanescent.
Lecture9

11

The Grating Equation

kinc

inc

+1
+2

x
1

+1

Lecture9

sin

Note,thisreallyisjust

k x m k x ,inc mK x
Proof:

k x m k x ,inc mK x
k0 navg sin m k0 ninc sin inc m
2

ntrn

navg sin m ninc sin inc m

+2

navg

TheGratingEquation

ninc

navg sin m

2
x

ninc sin inc m

navg sin m ninc sin inc m

navg sin m ninc sin inc m

2
x

0
x

sin
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Grating Equation in Different

Regions
Theanglesofthediffractedmodesarerelatedtothewavelengthandgrating
throughthegratingequation.

nref ninc

Thegratingequationonlypredictsthe
directionsofthemodes,nothowmuch
powerisinthem.

ReflectionRegion

nref sin m ninc sin inc m

TransmissionRegion

ntrn sin m ninc sin inc m

0
x

ntrn

Lecture9

Slide13

Diffraction in Two Dimensions

We know everything about the direction of
diffracted waves just from the grating period.
Diffraction
tendstooccur
alongthe
latticeplanes.

The grating equation says nothing about how

much power is in the diffracted modes.
We need to solve Maxwells equations for that!
Lecture9

Slide14

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Effect of Grating Periodicity

Subwavelength
Grating

Subwavelength
Grating

LowOrderGrating

HighOrderGrating

ninc

ninc

ninc

ninc

navg

navg

navg

navg

navg

navg

0
ninc

0
ninc

Lecture9

0
ninc

Slide15

Animation of Grating Diffraction

at Normal Incidence

Lecture9

Slide16

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Animation of Grating Diffraction

at an Angle of Incidence

Lecture9

Slide17

Woods Anomalies
RobertW.Woodobservedrapidvariationsinthespectrumoflight
diffractedbygratingswhichhecouldnotexplain.
Type1 RayleighSingularities
Rapidvariationintheamplitudesofthe
diffractedmodesthecorrespondtothe
onsetordisappearanceofother
diffractedmodes.

R. W. Wood, Phil. Mag. 4, 396 (1902)

Lecture9

Type2 ResonanceEffects
Aresonanceconditionarising
fromleakywavessupportedby
thegrating.Today,wecallthis
guidedmoderesonance.

RobertWilliamsWood
1868 1955

A. Hessel, A. A. Oliner, A New Theory of Woods Anomalies

on Optical Gratings, Appl. Opt., Vol. 4, No. 10, 1275 (1965).

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Grating Cutoff Wavelength

Whenm becomesimaginary,themodeisevanescentandcutoff.
Assumingnormalincidence(i.e.inc = 0),thegratingequationreducesto

n sin m m

0
x

Thefirstdiffractedmodestoappeararem = 1.
Thecutoffforthefirstordermodeshappenswhen(1) = 90.

1 90
sin 90 1
x

Topreventthefirstordermodes,weneed

n x

0
n

Toensurewehavefirstordermodes,weneed

0
n

Lecture9

Slide19

Total Number of Diffracted

Modes
Giventhegratingperiodx andthewavelength0,wecandeterminehowmany
diffractedmodesexist.
Again,assumingnormalincidence,

sin m

m0
navg x

sin m

m0
1
navg x

Therefore,amaximumvalueform is

mmax

navg x

ThetotalnumberofpossiblediffractedmodesM isthen2mmax+1

M
Lecture9

2navg x

1
Slide20

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Determining Grating Cutoff

Conditions
Condition
0order mode
No1stordermodes
Ensure 1stordermodes
No2ndordermodes
Ensure2ndordermodes
Nomthorder modes

Requirements
Alwaysexists
Gratingperiodmustbeshorterthanwhatcauses

1)=90

Gratingperiodmustbelargerthanwhatcauses

1)=90

Gratingperiodmustbeshorterthanwhatcauses

2)=90

Gratingperiodmustbelargerthanwhatcauses

2)=90

Gratingperiodmustbeshorterthanwhatcauses
m)=90

Ensuremthordermodes Gratingperiodmustbelargerthanwhatcauses
m)=90
Lecture9

Slide21

Three Modes of Operation for

1D Gratings
BraggGrating

DiffractionGrating

LongPeriodGrating

Couplesenergybetween
counterpropagatingwaves.

Couplesenergybetween
wavesatdifferentangles.

Couplesenergybetweenco
propagatingwaves.

Applications
Thinfilmopticalfilters
Fiberopticgratings
Wavelengthdivision
multiplexing
Dielectricmirrors
Photoniccrystal
waveguides
Lecture9

Applications
Beamsplitters
Patternedfanout gratings
Laserlocking
Spectrometry
Sensing
Antireflection
Frequencyselectivesurfaces
Gratingcouplers

Applications
Sensing
Directionalcoupling

Slide22

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Analysis of Diffraction Gratings

DirectionoftheDiffractedModes

DiffractionEfficiencyandPolarization
oftheDiffractedModes
Wemustobtainarigoroussolutionto
Maxwellsequationstodetermine
amplitudeandpolarizationofthe
diffractedmodes.

E j H

H j E

E 0

H 0

n sin m ninc sin inc m

sin

Lecture9

Slide23

Applications of Gratings
Subwavelength Gratings

Littrow Gratings

PatternedFanout Gratings

Onlythezeroordermodes
mayexist.

Gratingsinthelittrow
configurationareaspectrally
selectiveretroreflector.

Gratingsdiffractlaserlightto
formimages.

Holograms
Hologramsarestoredas
gratings.

Applications
Polarizers
Artificialbirefringence
Formbirefringence
Antireflection
Effectiveindexmedia
Lecture9

Applications
Sensors
Lasers

Spectrometry
Gratingsseparatebroadband
lightintoitscomponentcolors.

Slide24

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The Plane Wave

Spectrum

Periodic Functions Can Be Expanded into a

Fourier Series

x
WavesinperiodicstructuresobeyBlochsequation

E x, y A x e j r

TheenvelopA(x)isperiodicwithperiodx
soitcanbeexpandedintoaFourierseries.

E x, y e

j r

S m; y e

2 mx
x

S m; y A x, y e

2 mx
x

dx

Lecture9

Slide26

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Rearrange the Fourier Series

AperiodicfieldcanbeexpandedintoaFourierseries.

E x, y e

j r

S m; y e

2 mx
x

Letsdefinethetransversewavevectorcomponentofthemth term.

kx m x

2 m
x

Thishastheformofasumof
planewavesallatdifferentangles

Sothefieldcanbewrittenas

E x, y

S m e

jk x ,m x

E x, y

j y y

S m e

jkm r

m
Lecture9

Slide27

The Plane Wave Spectrum

E x, y

S m e

j k x m x k y m y

Werearrangedtermsandsawthataperiodicfieldcanalsobe
thoughtofasaninfinitesumofplanewavesatdifferentangles.
Thisistheplanewavespectrumofafield.

Lecture9

Slide28

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Longitudinal Wave Vector Components of the

Plane Wave Spectrum
Thewaveincidentonagratingcanbewrittenas

Einc x, y E0 e

j k xinc x k inc
y y

k xinc k0 ninc sin inc

k yinc k0 ninc cos inc

Phasematchingintothegratingleadsto

k xgrat m k xinc m

2
x

m , 2, 1, 0,1, 2,

Note:kx isalwaysreal.

Eachwavemustsatisfythedispersionrelation.

k xgrat m k ygrat m k0 ngrat

k ygrat m

k n
0 grat

k xgrat m

Wehavetwopossiblesolutionshere.
1. Purelyrealky
2. Purelyimaginaryky.

Lecture9

Slide29

Visualizing Phase Matching into the Grating

Thewavevectorexpansionforthefirst11modescanbevisualizedas

kinc
k x 5

k x 4

k x 3

k x 2

k x 1

kx 0

k x 1

k x 2

k x 3

k x 4

k x 5

Eachoftheseisphasematchedintomaterial2.Thelongitudinalcomponentofthewave
vectoriscalculatedusingthedispersionrelationinmaterial2.
n1
n2
ky isimaginary.
Thefieldinmaterial2
isevanescent.

ky isreal.
Awavepropagatesintomaterial2.

Note:Theevanescentfieldsinmaterial2arenotcompletely
evanescent.Theyhaveapurelyrealkx sotheydoflowenergy
inthetransversedirection.
Lecture9

ky isimaginary.
Thefieldinmaterial2
isevanescent.

x
y
Slide30

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Conclusions
Fields in periodic media take on the same periodicity
as the media they are in.
Periodic fields can be expanded into a Fourier series.
Each term of the Fourier series represents a spatial
harmonic (plane wave).
Since there are in infinite number of terms in the
Fourier series, there are an infinite number of spatial
harmonics.
Only a few of the spatial harmonics are propagating
waves. Only these can carry energy away from a
device.
Lecture9

Slide31

Plane Wave
Spectrum from
Crossed Gratings

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Grating Terminology
1Dgrating
Ruledgrating

2Dgrating
Crossedgrating

Requiresa2Dsimulation
Requiresa3Dsimulation

Lecture9

Slide33

Diffraction from Crossed

Gratings
Doublyperiodicgratings,alsocalledcrossedgratings,candiffractwavesinto
manydirections.
Theyaredescribedbytwogratingvectors,Kx andKy.
Twoboundaryconditionsarenecessaryhere.

k x m k x ,inc mK x

m ..., 2, 1, 0,1, 2,...

k y n k y ,inc nK y

n ..., 2, 1, 0,1, 2,...

2
Kx
x
x

2
Ky
y
y

Lecture9

kinc

Kx

Ky

Slide34

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Visualizing the Transverse Wave Vector

Expansion

ky n

kx m

k tran m, n k x m x k y n y
Lecture9

Slide35

Longitudinal Wave Vector Expansion

Thelongitudinalcomponentsofthewavevectorsarecomputedas

k zref m, n

k0 nref k x2 m k y2 n

k ztrn m, n

k0 ntrn k x2 m k y2 n

Thecenterfewmodeswillhaverealkzs.Thesecorrespondto
propagatingwaves.Theotherswillhaveimaginarykzs and
correspondtoevanescentwavesthatdonottransportenergy.

k tran m, n
Lecture9

k z m, n
Slide36

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Visualizing the Overall Wave Vector

Expansion

k tran m, n

kref m, n

k zref m, n

k trn m, n

Lecture9

Slide37

The Grating
Spectrometer

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What is a Grating Spectrometer

DiffractionGrating
SeparatedColors

InputLight

Lecture9

39

Spectral Sensitivity
Westartwiththegratingequation.
navg sin m ninc sin inc m

0
x

Wedefinespectralsensitivityashowmuchthediffractedangle
changeswithrespecttowavelength.
m 0
m
m

0
x navg cos m

m
0
x navg cos m

Thisequationtellsushowtomaximizesensitivity.
1.
2.
3.
4.
Lecture9

Diffractintohigherordermodes( m).
Useshortperiodgratings( x).
Diffractintolargeangles( m)).
Diffractintoair( navg).
40

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Ocean Optics HR4000 Grating

Spectrometer
http://www.oceanoptics.com/Products/benchoptions_hr.asp

FiberOpticInput

SMAConnector

CollimatingMirror

CollectionLenses

EntranceSlit

DiffractionGrating

DetectorArray

OptionalFilter

FocusingMirror

OptionalFilter

10

OptionalUVDetector

Lecture9

41

Littrow Gratings

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Littrow Configuration
Inthelittrow configuration,the+1orderreflectedmodeisparalleltotheincident
wavevector.Thisformsaspectrallyselectivemirror.
Incident

+1

Lecture9

43

Conditions for the Littrow

Configuration
Thegratingequationis

n sin m n sin inc m

0
x

Thelittrow configurationoccurswhen

1 inc
Theconditionforthelittrow configurationisfoundbysubstituting
thisintothegratingequation.

2n sin inc

Lecture9

0
x
44

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Spectral Selectivity
Typicallyonlyaconeofangles reflectedfromagratingis
detected.
Wewishtofindd/d bydifferentiatingourlastequation.

d 0
2n x cos
d
Typicallythisisusedtocalculatethereflectedbandwidth.

0 2n x cos
f

2n x f 2 cos

c0

Linewidth (opticsandphotonics)

Bandwidth(RFandmicrowave)

Lecture9

45

Example (1 of 2)
Designametallicgratinginairthatistobeoperatedinthelittrow
configurationat10GHzatanangleof45.
Solution
Rightaway,weknowthat
n 1.0
inc 45

c0 3 108 ms

3.00 cm
f
10 GHz

Thegratingperiodisthenfoundtobe
x

Lecture9

2n sin inc

3.00 cm
2.12 cm
2 1.0 sin 45
46

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Example (2 of 2)
Solutioncontinued
Assuminga5 coneofanglesisdetecteduponreflection,the
bandwidthis

2 1.0 2.12 cm 10 GHz cos 45

f
5 0.87 GHz

8 m
3 10 s
180
2

Lecture9

47

Patterned
Fanout Gratings

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Near-Field to Far-Field
Afterpropagatingalongdistance,thefieldwithinaplanetends
towardtheFouriertransformoftheinitialfield.

FFT

E x, y , 0

E x, y , L

Lecture9

49

What is a Patterned Fanout

Grating?
Diffractiongratingforcesthefieldtotakeontheprofileoftheinverse
Fouriertransformofanimage.Afterpropagatingveryfar,thefield
takesontheprofileoftheimage.

Lecture9

50

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Gerchberg-Saxton Algorithm:
Initialization

NearField
amplitude

FarField
phase

amplitude

phase

FFT
Step3 Replaceamplitude
amplitude

Step4 Calculatefarfield

phase

amplitude

phase

FFT-1
Step2 Calculatenearfield

Step1 Startwithdesired
farfieldimage.

Lecture9

51

Gerchberg-Saxton Algorithm:
Iteration

NearField
amplitude

FarField
phase

amplitude

phase

FFT
Step7 Replaceamplitude
amplitude

Step8 Calculatefarfield

phase

FFT-1
Step6 Calculatenearfield

Lecture9

Step5 Replaceamplitude
withdesiredimage.

52

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Gerchberg-Saxton Algorithm:
End

NearField
amplitude

FarField
phase

amplitude

phase

FFT
Thisisthephasefunctionof
thediffractiveopticalelement.

Thisiswhatthefinal
imagewilllooklike.

Afterseveraldozeniterations
Lecture9

53

The Final Fanout Grating

PhaseFunction(rad)

Asurfacereliefpatternisetched
intoglasstoinducethephase
functionontothebeamoflight.
Wecouldalsoprintanamplitude
maskusingahighresolutionlaser
printer.
Lecture9

54

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Diffractive
Optical Elements

What is a Diffractive Optical

Element

ConventionalLens

DiffractiveOpticalLens(FresnelZonePlate)

Ifthedeviceisonlyrequiredtooperateoveranarrowband,devices
canbeflattened.
Theflatteneddeviceiscalledadiffractiveopticalelement(DOE).
Lukas Chrostowski, Optical gratings: Nano-engineered lenses, Nature Photonics 4, 413-415 (2010).
Lecture9

56

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