Chapter 5 The Matrix Method in Paraxial Optics: Optical Systems

Chapter 5 The Matrix method in Paraxial Optics
Optical systems are made up of a large number of refracting surfaces (ex. combination of lenses). The path of a ray
through the system obeys laws of Refraction.
To obtain the position of the final image due to such a system, calculate step by step the position of the image due to
each surface, and each image acting as an object for the next surface. Such a step-by-step analysis is complicated when
the number of elements of an optical system increases.
The matrix method simplifies such situations.
An m x n matrix has m rows and n columns and has m x n elements.
The set of two equations
can be written in the matrix form as

If it can be written in the matrix form as
Then X can be rewritten as
where
and
This matrix method can be used to trace paraxial rays through a cylindrically symmetric optical system.
5.2
Matrix method
Consider a cylindrically symmetric optical system with axis of symmetry as the z axis. Consider only paraxial, meridional
rays.
A point P on the ray has coordinates (x1, α1)

where x1 is its distance from the axis of the system,
α1 the angle made by the ray with the axis;
Instead of specifying the angle made by the ray with

the z axis, specify a quantity
where n = refractive index,

, and
λ is optical direction cosine
Propagation of a ray through an optical system can be through two operations:

Translation: The rays undergo translation when they propagate through a homogeneous medium in a straight line as in the
region PQ .
Refraction: when a ray strikes an interface of two media, it undergoes refraction.
(a) Effect of Translation:
Translation of a ray from P(x1,α1) to M (x2,α2) in a
homogenous medium n1.
α1 = α2 as its a translation.
x2 = x1 + D tan α1
For paraxial rays, x2 = x1 + Dα1 and λ1 = n1 sin α1 ≈ n1 α1

⸫ x2 ≈ x1 + D λ /n1
1
Writing matrix form of the translation from P to M is
Transformation matrix is and

Effect of Refraction
(b)
Consider ray AP intersecting a spherical surface (separating two media
of refractive indices n1 and n2, respectively) at point P and getting
refracted along PB.
x1 = x2
Snell’s law with paraxial approximation is n1 θ1 = n2 θ2
θ1 = ϕ1 + α1 and θ2 = ϕ2 + α2,
α1, α2 and ϕ1 are respectively the angles made by incident ray, refracted
ray and the normal with the axis and ϕ1 = x/R.
⸫ Snell’s law becomes
P is the power of the refracting surface.

At point P the point of refraction, x2 = x1
Therefore the transformation through refraction is
The transformation matrix for refraction is and
An optical system made up of a series of lenses can be characterized by System matrix S such that
where the incident ray into the system is specified by
and emerging ray from the system by
and the system matrix is with
b and c are dimensionless, a has dimension inverse length and d has dimension of length.
System matrix S can be determined for any given optical system and is a product of refraction and translation matrices.
5.2.1 Imaging by a Spherical Refracting Surface - from sign convention
Consider a spherical surface separating two media of refractive
indices n1 and n2.
Therefore,
For a ray emanating from an axial object point (i.e., for x1 = 0) the image plane is determined by the condition x2 = 0.
Thus in the above equation, the coefficient of λ should vanish and therefore
1
Solving for P the above equation gives

which is the Gaussian Formula for a Single Spherical Surface
On the image plane, therefore
Magnification
Recall that for a single refracting surface, magnification m=y'/y
5.2.2 Imaging by a Coaxial Optical System in air
OP' is incident ray and O' lies on object plane. ⸫

QI' is emerging ray and I' lies on image plane.
What are object and image planes?

For a ray emanating from the axial object point (i.e., for x1 = 0) the image plane is determined by the condition x2 = 0.
Thus, for the image plane
For object points not on the axis ie. x1 ≠ 0,
Magnification
Since
If x1 and x2 correspond to points on the object plane and image plane respectively, for a general optical system
Example 5.1
Obtain the system matrix for a thick lens and derive thin lens and thick lens formulae.
5.3 Unit Planes
The unit planes are two planes, one each in the object and the image space, between which the magnification M is unity; i.e.,
any paraxial ray emanating from the unit plane in the object space will emerge at the same height from the unit plane in the
image space.
If x1 and x2 correspond to points on the object plane and image plane respectively, for a general optical system
where
If object plane and image plane are unit planes,

U1 and U2,
D1 = du1 and D2 = du2 and M = 1.
Unit plane locations can therefore be obtained from system matrix.

If u is the distance of the object plane from the first unit plane and v is the distance of the corresponding image plane from
the second unit plane,
For a ray emanating from the axial object point, the condition for axial image point is given by
or or
Substituting for D1 and D2 in the above equation,
(⸪ det S = 1 or bc-ad = 1)
On simplification, gives
Thus 1/a represents the focal length of the system if the distances are measured from the two unit planes.
Since system matrix obtained from Ex 5.1 for a thick lens of thickness t is
because
For a thick double convex lens with |R1| = |R2| = R,
and assuming t << R

From system matrix for thick lens and using gives
Substituting, and
5.4 Nodal Planes

Nodal points are two points on the axis which have a relative
angular magnification of unity; i.e., a ray striking the first point at
an angle α emerges from the second point at the same angle (see
Fig. 5.10). The planes which pass through these points and are
normal to the axis are known as nodal planes.
How to determine positions of Nodal points?

Consider two axial points N1 and N2 at distances dn1 and dn2 from the two refracting surfaces, respectively (Fig. 5.10).
From the definition of nodal points, a ray incident at an angle α1 on the point N1 must emerge from the optical system at the
same angle α1 from the other point N2. The media on either side of the system have the same refractive index, this requires
the equality of λ1 and λ2. For an axial object point x1 = 0, from
we get
Similarly,
Also dn1 = du1 and dn2 = du2
When the media on either side of an optical system have the same refractive index, the nodal planes
coincide with the unit planes.
From a knowledge of System matrix, all properties of the system can be obtained.
Example 5.2
Consider a thick equi-convex lens (made of a material of refractive index 1.5) of the type shown in Fig. 5.9. The magnitudes
of the radii of curvature of the two surfaces are 4 cm. The thickness of the lens is 1 cm, and the lens is placed in air. Obtain
the system matrix, and determine the focal length and the positions of unit planes.
Example 5.3
Consider a sphere of radius 20 cm of refractive index 1.6 (see Fig. 5.11). Find the positions of the paraxial focal point and
the unit planes.
5.5 A system of two lenses
Analysis of a combination of two thin lenses of focal lengths f1 and f2 separated by a distance t. The matrices of the two
individual lenses are
The matrix for translation through a distance t (in air is) is
The System matrix is therefore
The matrix elements are

The element a in the system matrix represents the inverse of the focal length of the system. Thus, the focal length of the
combination is
The positions of the unit planes are given by

Example 5.4
Consider a lens combination consisting of a convex lens (of focal length +15 cm) and a concave lens (of focal length –20
cm) separated by 25 cm (see Fig. 5.12). Determine the system matrix elements and the positions of the unit planes. For an
object (of height 1 cm) placed at a distance of 27.5 cm from the convex lens, determine the size and position of the image.
Example 5.5
Consider a system of two thin lenses as shown in Fig. 4.10. For a 1 cm tall object at a distance of 40 cm from the convex
lens, calculate the position and size of the image.
Example 5.6
In Example 5.5, determine the system matrix and hence the positions of the unit planes. Finally, use Eq. (67) to determine
the position of the image.

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Chapter 5 The Matrix method in Paraxial Optics

The matrix method simplifies such situations.

An m x n matrix has m rows and n columns and has m x n elements.

The set of two equations

can be written in the matrix form as

Then X can be rewritten as

A point P on the ray has coordinates (x1, α1)

Instead of specifying the angle made by the ray with

where n = refractive index,

Propagation of a ray through an optical system can be through two operations:

For paraxial rays, x2 = x1 + Dα1 and λ1 = n1 sin α1 ≈ n1 α1

Writing matrix form of the translation from P to M is

Transformation matrix is and

Snell’s law with paraxial approximation is n1 θ1 = n2 θ2

⸫ Snell’s law becomes

P is the power of the refracting surface.

Therefore the transformation through refraction is

The transformation matrix for refraction is and

where the incident ray into the system is specified by

and emerging ray from the system by

and the system matrix is with

Solving for P the above equation gives

On the image plane, therefore

OP' is incident ray and O' lies on object plane. ⸫

What are object and image planes?

For object points not on the axis ie. x1 ≠ 0,

If object plane and image plane are unit planes,

Unit plane locations can therefore be obtained from system matrix.

Substituting for D1 and D2 in the above equation,

For a thick double convex lens with |R1| = |R2| = R,

and assuming t << R

5.4 Nodal Planes

How to determine positions of Nodal points?

Also dn1 = du1 and dn2 = du2

The matrix for translation through a distance t (in air is) is

The System matrix is therefore

The matrix elements are

The positions of the unit planes are given by

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