Thomas K. Gaylord

Formulation for stable and efficient implementation of the rigorous coupled-wave analysis of binary gratings

The rigorous coupled-wave analysis technique for describing the diffraction of electromagnetic waves by periodic grating structures is reviewed. Formulations for a stable and efficient numerical implementation of the analysis technique are presented for one-dimensional binary gratings for both TE and TM polarization and for the general case of conical diffraction. It is shown that by exploitation of the symmetry of the diffraction problem a very efficient formulation, with up to an order-of-magnitude improvement in the numerical efficiency, is produced. The rigorous coupled-wave analysis is shown to be inherently stable. The sources of potential numerical problems associated with underflow and overflow, inherent in digital calculations, are presented. A formulation that anticipates and preempts these instability problems is presented. The calculated diffraction efficiencies for dielectric gratings are shown to converge to the correct value with an increasing number of space harmonics over a wide range of parameters, including very deep gratings. The effect of the number of harmonics on the convergence of the diffraction efficiencies is investigated. More field harmonics are shown to be required for the convergence of gratings with larger grating periods, deeper gratings, TM polarization, and conical diffraction.

Rigorous coupled-wave analysis of planar-grating diffraction

A rigorous coupled-wave approach is used to analyze diffraction by general planar gratings bounded by two different media. The grating fringes may have any orientation (slanted or unslanted) with respect to the grating surfaces. The analysis is based on a state-variables representation and results in a unifying, easily computer-implementable matrix formulation of the general planar-grating diffraction problem. Accurate diffraction characteristics are presented for the first time to the authors’ knowledge for general slanted gratings. This present rigorous formulation is compared with rigorous modal theory, approximate two-wave modal theory, approximate multiwave coupled-wave theory, and approximate two-wave coupled-wave theory. Typical errors in the diffraction characteristics introduced by these various approximate theories are evaluated for transmission, slanted, and reflection gratings. Inclusion of higher-order waves in a theory is important for obtaining accurate predictions when forward-diffracted orders are dominant (transmission-grating behavior). Conversely, when backward-diffracted orders dominate (reflection-grating behavior), second derivatives of the field amplitudes and boundary diffraction need to be included to produce accurate results.

Stable implementation of the rigorous coupled-wave analysis for surface-relief gratings: enhanced transmittance matrix approach

An enhanced, numerically stable transmittance matrix approach is developed and is applied to the implementation of the rigorous coupled-wave analysis for surface-relief and multilevel gratings. The enhanced approach is shown to produce numerically stable results for excessively deep multilevel surface-relief dielectric gratings. The nature of the numerical instability for the classic transmission matrix approach in the presence of evanescent fields is determined. The finite precision of the numerical representation on digital computers results in insufficient accuracy in numerically representing the elements produced by inverting an ill-conditioned transmission matrix. These inaccuracies will result in numerical instability in the calculations for successive field matching between the layers. The new technique that we present anticipates and preempts these potential numerical problems. In addition to the full-solution approach whereby all the reflected and the transmitted amplitudes are calculated, a simpler, more efficient formulation is proposed for cases in which only the reflected amplitudes (or the transmitted amplitudes) are required. Incorporating this enhanced approach into the implementation of the rigorous coupled-wave analysis, we obtain numerically stable and convergent results for excessively deep (50 wavelengths), 16-level, asymmetric binary gratings. Calculated results are presented for both TE and TM polarization and for conical diffraction.

Lithium niobate: summary of physical properties and crystal structure

Ferroelectric lithium niobate (LiNbO3) is widely used in integrated and guided-wave optics because of its favorable optical, piezoelectric, electro-optic, elastic, photoelastic, and photorefractive properties. However, detailed summaries of its pertinent physical properties and crystal structure are not readily available. In this tutorial paper, the important tensor physical properties and their mathematical descriptions are compiled and presented. The essential features of the structure of lithium niobate, including its hexagonal and rhombohedral unit cells, are illustrated and the principal (Cartesian) axes used in the description of the anisotropic properties are specified relative to the crystal structure. Errors in property coefficient values and structure information that have been propagated in the literature are corrected.

Diffraction analysis of dielectric surface-relief gratings

Diffraction by a dielectric surface-relief grating is analyzed using rigorous coupled-wave theory. The analysis applies to arbitrary grating profiles, groove depths, angles of incidence, and wavelengths. Example results for a wide range of groove depths are presented for sinusoidal, square-wave, triangular, and sawtooth gratings. Diffraction efficiencies obtained from the present method of analysis are compared with previously published numerical results. To obtain large diffraction efficiencies (greater than 85%) for gratings with typical substrate permittivities, it is shown that the grating profile should possess even symmetry.

Analysis and applications of optical diffraction by gratings

Diffraction characteristics of general dielectric planar (slab) gratings and surface-relief (corrugated) gratings are reviewed. Applications to laser-beam deflection, guidance, modulation, coupling, filtering, wavefront reconstruction, and distributed feedback in the fields of acoustooptics, integrated optics, holography, and spectral analysis are discussed. An exact formulation of the grating diffraction problem without approximations (rigorous coupled-wave theory developed by the authors) is presented. The method of solution is in terms of state variables and this is presented in detail. Then, using a series of fundamental assumptions, this rigorous theory is shown to reduce to the various existing approximate theories in the appropriate limits. The effects of these fundamental assumptions in the approximate theories are quantified and discussed.

Rigorous coupled-wave analysis of metallic surface-relief gratings

A rigorous coupled-wave analysis for metallic surface-relief gratings is presented. This approach allows an arbitrary complex permittivity to be used for the material and thus avoids the infinite conductivity (perfect-conductor) approximation. Both TE and TM polarizations and arbitrary angles of incidence are treated. Diffraction characteristics for rectangular-groove gold gratings with equal groove and ridge widths are presented for free-space wavelengths of 0.5, 1.0 and 10.0 μm for all diffracted orders as a function of period, groove depth, polarization, and angle of incidence. Results include the following: (1) TM-polarization diffraction characteristics vary more rapidly than do those for TE polarization, (2) 95% first-order diffraction efficiency occurs for TM polarization at 10.0 μm, (3) 50% absorption of incident power occurs at 0.5 μm, and (5) the perfect-conductor approximation is not valid for TM polarization at any of the wavelengths and is not valid for TE polarization at 0.5 μm.

THREE-DIMENSIONAL VECTOR COUPLED-WAVE ANALYSIS OF PLANAR-GRATING DIFFRACTION

Diffraction by an arbitrarily oriented planar grating with slanted fringes is analyzed using rigorous three-dimensional vector coupled-wave analysis. The method applies to any sinusoidal or nonsinusoidal amplitude and/or phase grating, any plane-wave angle of incidence, and any linear polarization. In the resulting (conical) diffraction, it is shown that coupling exists between all space-harmonic vector fields inside the grating (corresponding to diffracted orders outside the grating). Therefore the TE and TM components of an incident wave are each coupled to all the TE and TM components of all the forward- and backward-diffracted waves. For a general Bragg angle of incidence, it is shown that the diffraction efficiency can approach 100% for a lossless grating if either the incident electric field or the magnetic field is perpendicular to the grating vector. Maximum coupling between incident and diffracted waves is shown to occur when the incident electric field is perpendicular to the grating vector. In general, the diffracted waves are shown to be elliptically polarized. The three-dimensional vector coupled-wave analysis presented is shown to reduce to ordinary rigorous coupled-wave theory when the grating vector lies in the plane of incidence.

Rigorous coupled-wave analysis of grating diffraction— E-mode polarization and losses

Rigorous coupled-wave theory of diffraction by dielectric gratings is extended to cover E-mode polarization and losses. Unlike in the H-mode-polarization case, it is shown that, in the E-mode case, direct coupling exists between all diffracted orders rather than just between adjacent orders.

Normal-incidence guided-mode resonant grating filters:?design and experimental demonstration

Guided-mode resonant grating filters have numerous applications. However, in weakly modulated gratings designed for use at normal incidence, the filtering resonance of these subwavelength-period devices splits for angles of incidence that are even slightly off normal incidence. Strongly modulated gratings are designed that essentially overcome this practical problem near normal incidence. In addition, these gratings can have, by design, either broad or narrow spectral characteristics. An experimental demonstration (1.5-2.0-mu m wavelength range) of such a normal-incidence guided-mode resonant silicon grating upon a sapphire substrate is presented. The measured reflection resonance had a FWHM of 67-100 nm for angles of incidence of 0-8 degrees and peak efficiency of ~80% .