372 J. Opt. Soc. Am./Vol. 72, No. 3/March 1982 Alex J.

Dragt

Lie algebraic theory of geometrical optics and optical

aberrations

Alex J. Dragt
Department of Physics and Astronomy, University of Maryland, College Park, Maryland 20742

Received August 14,1981

A new method, employing Lie algebraic tools, is presented for characterizing optical systems and computing aberra-
tions. It represents the action of each separate element of a compound optical system, including all departures
from Gaussian optics, by a certain operator. These operators can then be concatenated, following well-defined
rules, to obtain a resultant operator that characterizes the entire system. New insight into the origin and possible
correction of aberrations is provided. With some effort, it should be possible to produce, by manual calculations,
explicit formulas for the third-, fourth-, and fifth-order aberrations of a general optical system including systems
without axial symmetry. With the aid of symbolic manipulation computer programs, it should be possible to com-
pute routinely explicit formulas for aberrations of seventh, eighth, and ninth order, and probably beyond.

1. INTRODUCTION when the characteristic function for each of its component

Consider the optical system illustrated schemically in Fig. 1.
A ray originates at the general initial point Pi with spatial
coordinates ri and moves in an initial direction specified by
the unit vector Ai. After passing through an optical device,
it arrives at the final point Pf with coordinates rf in a direction
specified by the unit vector Vf. Given the initial quantities
(ri, Ai), the fundamental problem of geometrical optics is to
determine the final quantities (rf, Af) and to design an optical
device in such a way that the relation between the initial and
final ray quantities has various desired properties.
Because a ray from the initial point pi to the final point Pf
must in general satisfy Fermat's principle, the relation be-
tween the initial and final quantities cannot be completely
arbitrary. Hamilton was the first to make a systematic study
of what restrictions are implied by Fermat's principle.' He
showed that no matter what the optical system, there exists
a single function of six variables that completely determines
the relation between the initial and final ray quantities. For
example, in the case in which a point characteristic function
V(ri, rf) is applicable, there are the general relations2
nigi = -B/ari, (1.la)
nfgf = OVldrf. (l.lb)
parts is already known.
It may also be observed that, when characteristic functions
are used, no one kind of characteristic function is applicable
to all kinds of optical systems. For example, a point charac-
teristic function is not applicable to an imaging system, and
an angle characteristic function is not applicable to a tele-
scopic system.
The purpose of this paper is to give a preliminary descrip-
tion of an alternative Lie algebraic approach to the problem
of characterizing an optical system. This approach, like that
of Hamilton, embodies the restrictions imposed by Fermat's
principle. Moreover, it has the feature that the relation be-
tween initial and final quantities is always given in explicit
form. In particular, it is possible to represent the action of
each separate element of a compound optical system, in-
cluding all departures from Gaussian optics, by a certain
operator. These operators can then be concatenated by fol-
lowingwell-defined rules to obtain a resultant operator that
characterizes the entire system. That is, the use of Lie alge-
braic methods provides an operator extension of the matrix
methods of Gaussian optics to the general case.3 Finally, their
use, as is the case with characteristic functions, facilitates the
treatment of symmetries in an optical system and the classi-
fication of aberrations. 4

Here ni and nf are the indices of refraction of the optical

media before and after the obtical device. x
Despite their general theoretical importance and frequent
applicability, there are certain awkward features associated
with the use of characteristic functions. Observe for example, Zf
that relations (1.1) given by the use of a characteristic function
contain an admixture of initial and final coordinates. Thus,
to obtain an explicit set of relations for the final conditions
given the initial conditions, Eq. (1.la) must be solved for rf
to find rf in terms of ri and §i; then this result must be sub-
stituted in Eq. (l.lb) to give Afin terms of ri and i. This Fig. 1. Optical system consisting of an optical device preceded and
same circumstance makes it difficult to find explicitly the followed by simple transit. A ray originates at PT with location r' and
characteristic function for a compound optical system even direction Aiand terminates at P( with location rf and direction Vf.

0030-3941/82/030372-08$01.00 © 1982 Optical Society of America

Alex J. Dragt
2. OPTICAL SYMPLECTIC MAPS
Suppose the z coordinates of the initial and final points Pi and
Pf, as shown in Fig. 1, are held fixed. The planes z = zi and
z = zf can be viewed as object and image planes, respectively.
Further, suppose the general light ray from pi to Pf is par-
ameterized, using z as an independent variable. That is, the
path of a general ray is described by specifying the two func-
tions x (z) and y(z). Then the element ds of path length along
a ray is given by the expression
ds = [(dz)2 + (dx) 2 + (dy)2 ]1 /2
= [1 + (x') 2 + (y') 2 ]1 /2dz.
Here a prime denotes the differentiation d/dz. Consequently,
the optical path length along a ray from pi to Pf is given by
the integral
A= zf n(x, y, z)[1 + (X) 2
+ (y') 2 ]1/2dz.
zi
Here the function n(x, y, z) = n(r) specifies the index of re-
fraction at each point before and after the optical device and
in the device itself.
Fermat's principle requires that A be an extremum for the
path of an actual ray. Therefore the ray path satisfies the
Euler-Lagrange equations5
d/dz(dL/d9x') - L/x = 0,
d/dz(dL/ay') - dL/dy = 0,
with a Lagrangian L given by the expression
L = n(x, y, z)[1+ (X') 2 + (y/) 2 ]1/2 .
To proceed further, it is useful to pass from a Lagrangian
formulation to a Hamiltonian formulation. Introduce two
momenta conjugateto the coordinatesx and y by the standard
relations
Px = aL/ax', py = aLlay',
with the explicit result that
Px = n(r)x'/[l + (x')2 + (yl)2]1/2 ,
py =n(r)y'/[1 + (X') 2 + (y') 2 ]1/2.
Then the Hamiltonian H corresponding to L is found to
be 6
H =-[n 2(r) - pX 2 - py2]1/2.
Let p be a two-component vector with entries Px and py,
and let q be a two-component vector with entries q, = x and
qy = y. Evidently, a ray leaving the initial point Pi is char-
acterized by the initial quantities qi and pi. The quantity qi
specifies the initial point of origin of the ray in the object plane
and, according to Eqs. (2.6), pi describes the initial direction
of the ray. Similarly, qf and pf characterize the ray as it ar-
rives at the final point Pf in the image plane. Finally, the
relation between the initial conditions qi, pi and the final
conditions qf, pf is given by following from zi to zf a trajectory
q(z), p(z) governed by the Hamiltonian H.
At this point it is convenient to introduce a four-component
vector w with entries q, p:
W = (W1 , W2 , W3, W 4) = (qx, qy, px, py).
Also, let wi and wf denote the initial and final values of w.
Then the fact that the initial conditions determine the final
Vol. 72, No. 3/March 1982/J. Opt. Soc. Am. 373
conditions can be expressed in terms of a functional rela-
tionship or mapping A. This relationship can be denoted
formally by writing the expression
wf = wi. (2.9)
As has been seen, Fermat's principle is equivalent to the
statement that the initial conditions wi and the final condi-
tions wf are related by following a trajectory governed by a
Hamiltonian. This statement is equivalent in turn to the
statement that A is a symplectic map. That is, let M be the
Jacobian matrix associated with the mapping At. It is defined
(2.1) by the relation
M,3 = awaf/8wdi. (2.10)
Also, let J be a four-by-four matrix defined by the equation
(2.2)
J = -I 0 . (2.11)
Here each entry in J is a two-by-two matrix, I denotes the
two-by-two identity matrix, and all other entries are zero.
Then it can be shown that M satisfies the matrix equation7
MJM = J. (2.12)
Here M denotes the transpose of M. Equation (2.12) is the
condition that M be a sympletic matrix,8 and in the context
of optics it is sometimes called the lens equation.9 In the
(2.3) same spirit, At may be called an optical symplectic map.
3. LIE ALGEBRAIC TOOLS
(2.4)
The purpose of this section is to define various Lie algebraic
tools that are required in subsequent discussion.1 0
To begin, using the terminology of classical mechanics, the
set of variables w or the pair q, p is referred to as phase space.
Next, let f and g be any two functions defined on phase space.
(2.5) Then the Poisson bracket of these two functions will be de-
noted by the symbol [f, g] and is defined by the equation
[f,g] = E (Of/aqi)(ag/api)
- (af/8pi)
(g/Oqi). (3.1)
(2.6) Now let f be a specified function on phase space and let g
be any function. Associated with each f is a Lie operator that
acts on general functions g. The Lie operator associated with
the function f is denoted by the symbol :f:, and it is defined
(2.7) in terms of Poisson brackets by the rule
:f:g = [V,g]. (3.2)
In an analogous way, powers of :f: are defined by taking
repeated Poisson brackets. For example, :f:2 is defined by the
relation
:f:2g= [f, [f,g]]. (3.3)
Finally, :f: to the zero power is defined to be the identity op-
erator
t °g = g. (3.4)
Since powers of :f: have been defined, it is also possible to
deal with power series in :f:. Of particular importance is the
power series exp(:f:). This particular object is called the Lie
(2.8)
transformation associated with :f: or f. The Lie transfor-
mation is also an operator and is formally defined by the ex-
ponential series
374 J. Opt. Soc. Am./Vol. 72, No. 3/March 1982 Alex J. Dragt

exp(:f:) = E :f:n/n!. (3.5)

followingcorrespondence has been established:
n=0 2
A' = exp{-1/(2n):(pi) :J } Transit by distance 1 through
In particular, the action of exp(:f:) on any function g is given medium of refractive index n in
by the rule the Gaussian approximation.
exp(:f:)g = g + [f,g] + [f, [V,g]]/2! + .... (3.6) Next consider the case in which At is again given by Eq. (4.1)
The stage has now been set for a fundamental result with f2 now having the formula
will be called the factorization theorem.1 0 Suppose th
f2 = (n2 -nl)/(2r)}(qi)2 (4.5)
is any symplectic map that sends the origin of phase spac(
itself. (That is, if wi = 0, then wf = 0.) Then At cc Again work out the required Poisson brackets to find the re-
written as a product of Lie transformations in the form sults
Al = exp(:f 2 :)exp(:f 3:)exp(:f 4 :) .... (3.7) :f2:q'i = J(n2 - nl)/(2r))[(qi) 2 , qai] = 0, (4.6a)

Here each function fn is a homogeneous polynomial of degree
n in the components of w. Moreover, the map is symplectic
for any set of polynomials. Finally, if the product is truncated
at any stage, the result is still a symplectic map.
When applied to optics, the factorization theorem indicates
that the effect of any collection of lenses, prisms, and mirrors
can be characterized by a set of homogeneous polynomials.
It will be shown in Section 4 that the polynomials f2 reproduce
Gaussian optics, and the higher-order polynomials f3, /A,etc.
describe departures from Gaussian optics and are related to
aberrations in the case of an imaging system. Thus, from a
Lie algebraic perspective, the fundamental problem of geo-
metrical optics is to study what polynomials correspond to
various optical elements, to study what polynomials result
from concatenating various optical elements, and to study
what polynomials correspond to various desired optical
properties."1 Finally, it should be noted, at least in passing,
that Eq. (3.7) provides a complete solution to the lens equa-
tion.
4. SIMPLE APPLICATIONS
In this section some simple Lie transformations are studied,
and a correspondence will be made between them and various
idealized optical elements.
To begin such a study, consider the case in which
At = exp(:f2:),
with
f2 = -{1/( 2 n)J(pi)2.
The effect of :f2: and its powers on each component qai and
Pai of wi is easily worked out by using definitions (3.1) and
(3.2). One finds the results:
f2 Pai = -Jl/(2n)1[(pi)2, pai] = 0,
:f2:qai = -Il/(2n)}[(pi)2, qai] = (I/n)pi,
:f2:2qi = (l/n):f 2:pai = 0, etc.
Now substitute these results in Eq. (2.9) with the aid of Eq.
(3.6). The net result is the relations
Paf = itpai = exp(:f2:)Pa, = Pai,
qaf = Atqai = exp(:f2:)qci = qai + (I/n)pai.
Comparison of the far left-hand and right-hand sides of Eqs.
(4.4) shows that the relation described by At in this case is just
that predicted by Gaussian optics for transit by a distance 1
through a medium of refractive index n. Consequently, the
:f2:Pa' = {(n2 - nl)/(2r))[(qi) 2 , pai] = I(n2- nl)/rlqai,
(4.6b)
f2:2pai = t(n2 - n1)/rI:f2:qai= 0, etc. (4.6c)
Proceeding as before, one finds the net result
qaf = Jfqai = exp(:f 2 :)qai = qail
Paf = Jhpia = exp(/f2:)pai = pai + J(n 2 - nl)/rqai.
(4.7)
Comparison of the far left-hand and right-hand sides of Eqs.
(4.7) in this case shows that the relation described by st is that
predicted by Gaussian optics for refraction at a spherical in-
terface of radius r when traversed from a medium having
index of refraction n, to a second medium having index n2*
Consequently, there is also the correspondence
At = expl(n2 - nl)/(2r):(qi) 2 :1 - Refraction in the Gauss-
ian approximation by a
spherical surface of radius
r separating media having
refractive indices n1 and
n2.
At this point it should be evident that all Gaussian optics
can be represented by maps or products of maps of the form
A = exp(:f 2 :). As an exercise, the reader is invited to work
out the effect of si when f2 is given by the expression
(4.1)
f2 =-a(pi qi), (4.8)
where a is some parameter. She or he should find the result
(4.2) that
qf = (ea)qi,
pf = (e--T)pi. (4.9)
These are the equations for a system that is both imagingand
(4.3a) telescopic.
(4.3b) The next question to address is that of departures from
Gaussian optics. Suppose, as is often the case, that the optical
(4.3c) system under consideration is axially symmetric about some
axis and is alsosymmetric with respect to reflections through
some plane containing the axis of symmetry. Then axial
symmetry requires that the various fn be functions only of the
variables p 2 , q 2 , p *q, and p X q; reflection symmetry rules out
the variable p X q. It follows that all fn with odd n must
(4.4)
vanish, since it is impossible to construct an odd-order ho-
mogeneous polynomial by using only the variables p 2 , p * q,
and q2 . Consequently, in any case having the assumed sym-
metries, the optical symplectic map At must be of the general
form
Alex J. Dragt
A = exp(:f 2 :)exp(:f 4 :)exp(:f 6 :)....
Of course in the general case of no particular symmetries, the
odd-degree polynomials f3, /A,etc. can also occur, and all the
polynomials fn can, in principle, depend on the components
of the vectors p and q in an unrestricted fashion.
The burden of the remainder of this section is to show that
the polynomials f4, /6, etc. in the case of an imaging system are
related to third-order and fifth-order aberrations, etc., re-
spectively. In particular, specific attention will be devoted
to third-order aberrations. They are completely described
by f4. That is, attention will be restricted to maps of the
form
A = exp(:f 2 :)exp(:f 4 :).
The higher-order cases can be treated in a similar fashion.
Suppose that the Gaussian portion of a map [Eq. (4.11)],
exp(:f 2 :), has been selected to produce imaging.
denote the location and direction of a ray at the image plane
as predicted by the Gaussian approximation. Then it can
be shown that the actual ray four-vector, which will be denoted
by W, is affected by the term exp(:f 4 :) and is given by the ex-
pression
w = exp(:f 4 :)w = w + [V4,
wI + [f4, [f4,w]]/2!....
Next observe that the operation of Poisson bracketing involves
multiplication and two differentiations. Thus the term [f4,
w] is a polynomial of order 3, and [/4,[V4,
w]] is a polynomial
of order 5, etc. Consequently, since only third-order effects
are of interest at this point, attention will be devoted only to
the third-order term [V4, w].
According to the previous discussion of symmetry, f4, in the
cases of present interest, can depend only on the variables p 2 ,
p *q, and q 2 . Consequently, /4 must be of the general form
A = A(p2 ) 2 + Bp2 (p - q) + C(p *q)2
+ Dp2 q2 + E(p - q)q2 + F(q2 )2 .
Here the quantities A-F are arbitrary coefficients whose
values depend on the particular optical system under con-
sideration.
The significance for an imaging system of the various terms
in /h as given by expansion (4.13) can be evaluated by using
Eq. (4.12). Suppose that an image is to be produced in the
image plane and that the effect of the term A(p2)2 on this
image is to be studied. Then use of Eq. (4.12) through third
order gives the result that
qa = q. + [A(p 2 ) 2 , q].
Explicit evaluation of the Poisson bracket following Eq. (3.1)
gives the result that
q= q - = -Aa(p 2 ) 2 /ap. = -4Ap 2 p.
Evidently, the effect of the term A(p2)2 is that the deviations
in the actual arrival point of a ray at the image plane depend
on its Gaussian arrival direction p in the manner indicated in
Eq. (4.15)and do not depend on its Gaussian arrival point q.
Those familiar with aberration effects will recognize that this
effect is exactly what is usually referred to as spherical aber-
ration.
Similarly, the other terms involving the coefficients B-E
can be shown to describe the other well-known Seidel aber-
Vol. 72, No. 3/March 1982/J. Opt. Soc. Am. 375
(4.10) rations.2 Finally, the last term F(q2 )2 has no effect on the
quality of an image since [F(q 2 )2 , qj] = 0. (It does, however
affect the arrival direction p of a ray at the image plane and
therefore may be important if the optical system under study
is to be used for some other purpose as part of a larger optical
system.) Specifically, one finds in the imaging case the fol-
lowing one-to-one correspondence between the terms in ex-
pansion (4.13) and the classical Seidel third-order mono-
chromatic aberrations:
Table of Aberrations
Term Seidel Aberration
A (p 2 )2 Spherical Aberration
(4.11)
Bp 2 (p *q) Coma
C(p . q) 2 Astigmatism
Dp2 q2 Curvature of Field
Also, let w E(p . q)q2 Distortion
In reflecting on what has been accomplished so far, it is
evident that all that has been assumed is that the optical map
A is symplectic (a consequence of Fermat's principle) and has
certain symmetries. As a consequence of these assumptions,
Gaussian optics was obtained as a first approximation, and
(4.12) it was found that for an imaging system only five well-defined
kinds of monochromatic aberration can occur in third order.
The use of Lie algebraic methods seems to be an optimal way
of arriving at and understanding these basic results.
5. BEGINNING OF A CATALOG
The purpose of this section is to present the beginning of a
catalog of Lie operators corresponding to various simple op-
tical elements. Results will be presented for axially sym-
metric systems through order 4. A more detailed catalog for
axially symmetric systems including terms through order 6
(4.13) is currently in preparation. When the catalog is complete,
as this section will show, it should be possible with sufficient
algebraic effort to compute manually explicit formulas for
both third- and fifth-order aberrations. If the catalog is
further enlarged to include general elements without any
special symmetry, then the resulting even-order aberrations
can also be computed.
The first simple optical element to be considered is transit
through a slab of thickness 1 composed of a homogeneous
medium having constant refractive index n. In this case, the
associated symplectic map A is found to be given by the ex-
pression
(4.14)
it = expll:(n2 - p2) 1 / 2:1 = exp{(-l)/(2n):p2 :j
Xexp{(-l)/(8n3):(p2)2:}
.... (5.1)
(4.15) Next consider a lens. Figure 2 shows a lens with planar
entrance and exit faces. It is composed of two media having
indices of refraction n1 and n2, respectively, separated by a
curved interface. Suppose a Cartesian coordinate system is
located in the exit face (right face) of the lens, with the z axis
along the optical axis and the x and y axes lying in the face of
the lens. Then the shape of the curved interface is taken to
be given by the equation
z = -a(X 2 + y 2 ) + /3(X2 + y2 )2 + y(X 2 + y 2 )3 + .... (5.2)
For the case of a spherical lens with radius of curvature r, the
376 J. Opt. Soc. Am./Vol. 72, No. 3/March 1982
Fig. 2. Lens with planar entrance and exit faces. It is composed of
two media having indices of refraction ni and n2, respectively, that
are separated by a curved interface.
shape of the surface is described by the relation
z = -r + (r2-X 2 - y2 )1/2 .
In this case the quantities a and 3 have the explicit values
a 1/(2r),
= -a 3 = -1/(8r3 ).
Evidently, the most general lens with axial symmetry (in-
cluding the case of a corrector plate) can be obtained by
joining together lenses of the type shown in Fig. 2 and their
reversed counterparts, perhaps with slabs of constant index
material in between the lenses.
Calculations given elsewhere show that the symplectic map
Ait for this lens, when light passes from left to right, is given
through fourth order by the expression
2 2 2
At = exp{(-t)/(2n,):p :}expf(-t)/(8n3):(p ) :1
X expla(n 2
- n 1):q :Jexp(:f 4 :).
2 (5.5)
Each of the terms appearing in Eq. (5.5) has a simple inter-
pretation. Proceeding from left to right, comparison with Eq.
(5.1) showsthat the first two terms in Eq. (5.5) simply corre-
spond to propagation through a slab of thickness t and re-
fractive index n1. Here, as is shown in Fig. 2, t is the thickness
of the lens. The third term, expla(n 2 - n):q 2:1, simply pro-
duces the refraction expected for a thin lens in Gaussian ap-
proximation [seeEq. (4.7)]. Finally, the last term, exp(:f4 :),
describes third-order departures from Gaussian optics pro-
duced at the refracting interface.
In general, f4 has an expansion of the form of Eq. (4.13)
because the lens shown in Fig. 2 and described by Eq. (5.2) has
the required symmetry properties. Moreover, calculation
shows that the coefficients A-F have the explicit values
A = 0, B = 0, C = 0,
D = a(n2 - ni)/(2nin 2 ),
E = 2a 2(n, - n2 )/nl,
F = a 3(n, - n2)Jn1[(13ia 3
) + 2] - 2n2 i/nI.
Alex J. Dragt
Observe that three of the six possible nonzero terms are in
fact zero. This fact may be interpreted as a good omen, in-
dicating that the Lie algebraic description is ideally suited in
some sense to the task of characterizing the optical properties
of a lens. However, Eqs. (5.6) should not be interpreted to
mean that the lens of Fig. 2 has no spherical aberration, coma,
or astigmatism. Strictly speaking, as described earlier, ab-
errations are not properties of a lens by itself but rather are
properties of an optical system that is imaging in the Gaussian
approximation. As will be seen shortly, when the lens in
question is preceded and followed by transit in order to pro-
duce an imaging system, then the complete system generally
does have these and other aberrations.
Observe also that only the quantities p 2 q 2 and (p *q) 2 dif-
ferentiate between a meridional ray (a ray lying in a plane
containing the z axis) and a general skew ray. The fact that
the coefficient C of the term (p *q) 2 vanishes means that it is
not necessary to employ skew rays in any calculation of
third-order aberrations based on ray tracing.4
Finally, observe that only the last coefficient, F, depends
on the asphericity parameter 3 appearing in lens shape ex-
pansion (5.2) and that none of the coefficients A-F depends
on the terms in Eq. (5.2) beyond fourth order. This fact, along
with the observation that the second term in Eq. (5.5) contains
the operator :(p 2 ) 2 :, shows that departures from Gaussian
optics are a fact of life and that relatively little freedom is
(5.3)
available.to adjust them in any given lens.
To see how Lie transformations may be concatenated to
describe a compound optical system, consider the simple case
of an imaging system consisting of transit in air (n = 1) over
(5.4) a distance dl, refraction by the lens of Fig. 2 with n1 = n and
n2 =1, and final transit in air over a distance d 2 . By using the
results already obtained, the symplectic map At for this system
is given by the product of transit, refraction, and transit:
:At = expI(-dl/2):p 2
:}exp{(-di/8):(p 2 )2 :}
X exp{(-t)/(2n):p2:}exp{(-t)/(8n3): (p2)2:}
X expla(1 - n):q 2 :Iexp(:f 4 :)
X exp{(-d2/2) :p2:}expt(-d2/8): (p2)2:}. (5.7)
Because the optical system is assumed to be imaging in the
Gaussian approximation, the quantities dl, d2, t, a, and n are
taken to be related by the familiar imaging condition
1i(d1 + tin) + l/d 2 = l/f. (5.8)
Here f is the focal length of the lens defined by the relation
/f= (n-1)/r =2a(n-1). (5.9)
Suppose that the result [Eq. (5.7)] is re-expressed in the
factored product form [Eq. (4.11)]. To do so requires the
rearrangement of exponents composed of noncommuting
operators. Fortunately, the machinery for such calculations
is readily available from the theory of Lie algebras.10 The re-
sult is an expression of the form
At = JUGexp(:f
4:) . . .. (5.10)
The quantity AtG denotes the Gaussian portion of the map
and is given by the relation
JnG = expJ(-d1/2):p2 }
X exp1(-t)/(2n):p2 :Jexp~a(1- n):q2:}
(5.6) X exp1(-d 2 /2):p2 :J, (5.11)
Alex J. Dragt Vol. 72, No. 3/March 1982/J. Opt. Soc. Am. 377

as would be expected from Gaussian optics. The transfor- tion. The first term in A* arises from transit in air over the
mation matrix corresponding to AtG is given by the distance d1 and transit through the thickness of the lens, the
product second set of terms is produced by the lens itself, and the last
term is caused by the final transit over the distance d 2 . From
(01I) (-1/f I) (01i) (1 d) (5 ) this result it is clear that simple transit, when combined with,
even perfect Gaussian refraction, is itself a source of aberra-
Here use has been made of relations (4.4) and (4.7) and defi- tion.
nition (5.9). When the indicated matrix multiplication is Since all the terms A *-F* depend on F, and F depends on
carried out and use is made of Eq. (5.8), the result is the ma- the asphericity parameter f, it is evident that any one of the
trix terms A*-F* and its corresponding aberration can be made
to vanish by suitably shaping the lens surfate. However,the
(?1/f 1/m) (5.13) Petzval linear combination of astigmatism and curvature of
field given by the relation
where m is the magnification defined by the ratio
2D* -C* = 2D = cx(n2 - nl)/(nin 2) (5.18)
m = -d 2 /(d 1 + t/n). (5.14)
Observe that the matrices appearing in Eq. (5.12) occur in is independent of the asphericity of the lens.
the opposite order of their corresponding Lie transformations The statements of the paragraphs above concerning aber-
in Eq. (5.11). That this should be the case can be seen as rations hold even in the thin-lens limit t = 0. At first reading
follows: Suppose the Lie transformations exp(:f 2 :) and this may seem strange to those familiar with the usual aber-
exp(:g2 :) have the corresponding transformation matrices Mf ration theory since it is usually stated that a thin lens has no
and Mg, respectively. That is, there are the relations distortion and that all its other aberrations except spherical
aberration are independent of the asphericity parameter j.
exp(:f2:)wi = E Mfjwj, etc. (5.15) However, in the usual discussion of aberrations it is customary
to express the deviation Aq of a ray in the image plane as a
Then one finds that power series in the components of the coordinate qi in the
object 'lane and of a second coordinate Q that describes the
exp(:f2:)exp(:g 2 :)wi = exp(:f2 :) E Mg-Wi position of the ray as it passes through some reference aper-
2
ture. With this method, the size of a given aberration coef-
ficient generally depends on the choice of the reference ap-
= E Mzgexp(:f 2:)w1 erture plane, and the aberration coefficients for one choice of
reference aperture plane are related to those for a different
choice by stop-shift formulas. However, as long as the ref-
Ik
=E Mzgj E Mjf Wk
erence and other apertures are centered on the optical axis,
the aberration coefficients are independent of the actual sizes
= E (MgMf)ikWk- (5.16) of the apertures. The effect of the apertures is simply to limit
k
the range of the variable quantities q and Q by removing rays
The determination of the function f4 requires somewhat that exceed desirable limits. By contrast, the Lie algebraic
more effort. In general, f4 has an expansion of the same form
description makes no reference to apertures since the image
as that in Eq. (4.13). The explicit determination of the quantities qf, pf are expressed directly in terms of the object
coefficients can be carried out using the Campbell-Baker- quantities qi, pi. Apertures still play a role, of course, in
Hausdorff formula. 1 0 By using this formula, which is a limiting the range of the quantities qi, pi, qf, pf by removing
standard calculational tool in the theory of Lie algebras, and the same undesirable rays.
denoting the coefficients occurring in f4 by the symbols Suppose the case of a thin lens is to be treated by using the
A*-F*, one finds the results that usual aberration theory and that the reference aperture is
*=-m4(d1 +tn3)/8 +(d2D
- d2E
+d2F)- d2/8, centered on the optical axis and is placed in the plane of the
lens. Then Lie algebraic methods employing coefficients
B* = -m3 (d1 + tn- 3 )/(2f) + (-2d 2D + 3d E- 4d3F),
(5.17) evaluated for t = 0 can be used to produce an expansion
C* = -m 2 (di + tn- 3 )/(2f2 ) + (-2d 2E + 4d2F), of Aq in terms of qi and Q. One finds that the coefficients
D* = -m 2 (di + tn- 3 )/(4f2 ) + (D-d 2E + 2d2F), appearing in the expansion are linear combinations of the
E* = -m(di + tnr 3)/(2f 3 ) + (E - 4d2F), coefficients A*-E*. In particular, one finds that the coeffi-
F* = -(di.+ tn- 3)/(8f 4) + F. (5.17) cient of (qi2)qi, which describes distortion in the usual
treatment, does indeed vanish. Also, the coefficient of (Q2 )Q,
Here the quantities D, E, and F are those given by Eq. which describes spherical aberration in the usual treatment,
(5.6). is equal to the quantity -4A*/(mdl) 3 . Finally, all other
Evidently all the coefficients A*-F* are nonzero in the coefficients are found to be specific linear combinations of
general case. Thus an imaging system made with a single lens A*-E*, that work out to be independent of F, and therefore
having one flat face generally suffers from all five Seidel ab- they do not depend on the asphericity.
errations. In general, the coefficients used to describe aberrations in
By looking at the terms appearing in the coefficients A*-F*, the Lie algebraic method are linear combinations of those used
it is possible to determine the various sources of aberration. in the conventional method, and vice versa. In the case in
For example, consider A*, which describes spherical aberra- which all the aberrations listed above a given aberration in the
378 J. Opt. Soc. Am./Vol. 72, No. 3/March 1982
Table of Aberrations vanish, then the coefficientused to de-
scribe the given aberration in the Lie algebraic method and
that used in the conventional method are directly proportional
to each other.
The last example to be considered in this section is that of
propagation in a graded-index medium.12 Suppose that the
medium is translationally invariant in the z direction. Then,
taking the z axis to the optical axis, the symplectic map A
describing transit over a distance d in this medium is given
by the expression
...].
2 commuting operators can be stated in explicit terms, it is also
A = expid:(n - p 2 )1 /2: .
Suppose further that the medium is axially symmetric.
More specifically, assume that the square of the index of re-
fraction, n 2 , can be expanded in the form
n2= n[1 - a(x 2 + y2 )
+ /3(x2 + y2 )2 + y(X2 + y2)3 +
Then one finds that expression (5.19) for A can be expanded
and written as a factored product in the form
A = exp(:f2:)exp(:f 4 :)....
Moreover, in this case /2 is given explicitly by the expres-
sion
f2 = -d~p2 /(2no) + noaq2/21.
As might be expected, the expression for f4 is more com-
plicated. With the aid of the Campbell-Baker-Hausdorff
formula, one finds the result that
f4 = -(f 2 )2 /(2nod) + dh4.
The function h4 can be written most compactly as an integral
in the form
h4 = (noB/2) r dXfqcos(XdV4)
2 2
+ [p/(n o/)]sin(Xdv/a)]
0 1.
If desired, the expressions for (f2)2 and h 4 can easily be ex-
panded to give a representation of the form [Eq. (4.13)] for f4
with explicit values for all the coefficients A-F. Observe that
only the h4 term in Eq. (5.23)involves1 and that none of the
terms in Eq. (5.23) depends on terms in Eq. (5.20) beyond
fourth order. Thus departures from Gaussian optics again
occur, and there is again relatively little freedom to adjust
them.
6. CONCLUDING DISCUSSION
A new method has been presented for characterizing optical
systems and computing aberrations. In Section 2 it was
shown that every optical system gives rise to, and is charac-
terized by, an optical symplectic map. Section 3 described
how symplectic maps can be written as products of Lie
transformations, and Section 4 showed how these Lie trans-
formations can be related to Gaussian optics and the de-
scription, of aberrations. A final section presented the be-
ginning of a catalog of Lie transformations through fourth
order for various common optical elements. It also illustrated
briefly how the Lie transformations for these elements can be
concatenated, by using mathematical tools already available
from the theory of Lie algebras, to provide a description of
compound optical systems. Thus the use of Lie algebraic
Alex J. Dragt
methods provides an operator extension of the matrix meth-
ods of Gaussian optics to the general case.
The preparation of a complete catalog of Lie transforma-
tions for common optical elements through order 6 seems to
be feasible by hand calculation. This catalog, along with
standard Lie algebraic procedures for handling noncom-
muting operators, should make it possible to compute man-
ually explicit formulas for both third- and fifth-order aber-
rations for any axially symmetric optical system. Since the
procedures for developing a catalog and manipulating non-
(5.19) possible to program a computer to carry out the required al-
gebraic operations. With the aid of symbolic manipulation
programs such as MACSYMA,it should be possible to compute
routinely explicit formulas for aberrations of seventh and
ninth order, and probably beyond. The catalog could also be
extended to include more general elements without axial
(5.20) symmetries, such as cylindrical lenses, and the resulting
even-order aberrations could then also be computed.
With the existence of high-speed computer ray-tracing
programs, there may be less interest in explicit formulas for
(5.21) aberrations in some cases. Indeed, the commercially available
program ACCOS V was used to make an indirect and partial
check on the algebra employed to derive Eqs. (5.6) and
(5.17).13 The simple imaging system described in Section 5
(5.22) with the values
d- = 19.0, t = 1.5,
n = 1.5, r = 5.0, (6.1)
d2 = 20.0
(5.23)
was considered, and the program ACCOS V was instructed to
search for the asphericity / required to remove spherical ab-
erration. The computer found for the quantity Ad, defined
by the relation
Ad = / + 1/(8r3), (6.2)
(5.24) the value
Ad = 1.1450X 10-3. (6.3)
If Eqs. (5.6) and (5.17) are used to solve for the value of / and
hence of Ad, which results in the condition that A* = 0, one
finds the result that
Ad = 1.1449653X 10-3. (6.4)
The values of Eqs. (6.3) and (6.4) agree to within the accuracy
of the ACCOSV output format.
However, despite their usefulness, computer codes tend to
run rather blindly. One of the major advantages of the Lie
algebraic approach may be in providing additional insight
concerning the sources of various aberrations and to what
extent they may be best corrected by bending lenses, by the
use of special elements, and by the imposition "of various
symmetries.
ACKNOWLEDGMENTS
The author thanks John A. Farrell of the Los Alamos National
Laboratory for many helpful comments. He also is grateful
for correspondence and useful criticism from H. Buchdahl,
R. Hopkins, D. Shealy, 0. Stavroudis, and A. Vander Lugt.
This research was supported in part by U.S. Department
of Energy contract no. DE-AS05-80ER10666.AOOO.
Alex J. Dragt
REFERENCES
1. W. R. Hamilton, Trans. R. Irish Acad. 15,69 (1828); 16, 1(1830);
16, 93 (1831); 17, 1 (1837). Reprinted in The Mathematical
Papers of Sir W. R. Hamilton, Vol. I, Geometrical Optics, A. W.
Conway and J. L. Synge, eds. (Cambridge U. Press, Cambridge,
1931).
2. See, for example, M. Born and E. Wolf, Principles of Optics, 2nd
ed. (Macmillan, New York, 1964), pp. 134, 211, 221.
3. Matrix methods are described, for example, by K. Halbach, Am.
J. Phys., 32,90 (1964); M. Klein, Optics (Wiley, New York, 1970),
p. 84; W. Brouwer, Matrix Methods in Optical Instrument De-
sign (Benjamin, New York, 1964).
4. H. Buchdahl, Optical Aberration Coefficients (Dover, New York,
1968); An Introduction to Hamiltonian Optics (Cambridge U.
Press, Cambridge, 1970), p. 36. See also the following papers of
H. Buchdahl: J. Opt. Soc. Am. 62, 1314 (1972); Optik 37, 571
(1973); 40, 460 (1974); 46, 287 (1976); 46, 393 (1976); 48, 53
(1977).
5. R. Courant and D. Hilbert, Methods of Mathematical Physics
(Interscience, New York, 1953), Vol. 1, pp. 164-190.
Vol. 72, No. 3/March 1982/J. Opt. Soc. Am. 379
6. A. Ghatak and K. Thyagarajan, Contemporary Optics (Plenum,
New York, 1978), p. 15.
7. There does not seem to be any particularly transparent derivation
of this condition in the literature. However, it may be inferred,
for example, from H. Goldstein, Classical Mechanics, 2nd ed.
(Addison-Wesley, Reading, Mass., 1980), pp. 394-396; E. Salatan
and A. Cromer, Theoretical Mechanics (Wiley, New York, 1971),
p. 222.
8. H. Weyl, The Classical Groups (Princeton U. Press, Princeton,
N.J., 1946), p. 165.
9. 0. Stavroudis, The Optics of Rays, Wavefronts, and Caustics
(Academic, New York, 1972), p. 245. This book contains an ex-
tensive discussion of optics from a group theoretical perspective.
The reader is also referred to the paper of M. Herzberger,Trans.
Am. Math. Soc. 53, 218 (1943), for an early discussion of the
consequences of what is essentially the symplectic condition.
10. A. Dragt and J. Finn, J. Math. Phys. 17, 2215 (1976).
11. It is not necessarily the case that every symplectic map corre-
sponds to a physically realizable optical systefi.
12. A. Ghatak and K. Thyagarajan, Contemporary Optics (Plenum,
New York, 1978), p. 52.
13. The program ACCOS V is a product of Scientific Calculations,
Inc.