UDC 535.

2:616-71
ANALYTICAL OVERVIEW OF RAY TRACING FEATURES IN
HOLLOW NON-SPHERICAL MIRRORS
1)
Poluektov S.О
1)
National Technical University of Ukraine "Igor Sikorsky Kyiv Polytechnic Institute",
Kyiv, Ukraine

Due to two focuses, ellipsoidal reflectors are unique reflective optical

elements that allow conjugate imaging in two focal planes within their inner
cavity. Such reflectors are used in various devices, such as lens telescopes, to
achieve high resolution. They have found applications in microscope optical
systems to increase the depth of field. They are used in scientific instruments, such
as laser systems, to ensure the laser beam's high accuracy and stability. Despite
their advantages, the non-spherical shape of ellipsoidal reflectors also introduces
drawbacks in the form of errors arising from raytracing on the side surface. It
complicates aberration analysis and necessitates specialized software for multi-
vector ray tracing. Considering the deviations in the coordinates of the
intersections between rays and the second focal plane allows for optimizing the
reflector design to achieve maximum efficiency. Therefore, this work aims to
enhance the efficiency of the aberration analysis of ellipsoidal reflectors by
developing principles and informational tools for multi-vector ray tracing.
In this review, an analytical overview of ray tracing features in hollow non-
spherical mirrors is conducted. Specifically, issues such as ray tracing in non-
spherical optical systems and non-spherical mirrors are addressed. Software tools
for ray tracing in non-spherical optics are presented, and the outcome of the
analytical review is the formulation of a master's thesis problem.
Keywords: ellipsoidal reflector, raytracing, multi-vector, aberration analysis.

Ray Tracing in Non-Spherical Optical Elements

Non-spherical optical components are optical elements that lack symmetric
shapes, meaning they cannot be described by standard geometric figures such as a
sphere, cylinder, or cone [1-3].
In conventional optical components, such as lenses or mirrors, surfaces are
typically spherical or cylindrical, allowing them to easily focus light [2]. However,
in some cases, such as correcting complex aberrations, improving imaging at wide
angles, or reducing the weight and size of optical systems, more complex surface
forms are required, achievable through non-spherical surfaces [3-4].
Non-spherical surfaces can be complex mathematical curves that provide
more precise light focusing over a wide range of angles, contributing to improved
image quality [1]. However, manufacturing aspherical surfaces may be a more
complex and expensive process than producing standard symmetric optical
elements.
There are various types of aspherical optical components used in different
applications. Here are some of the most common types:
 Aspheric Lenses: These components have an aspherical surface to reduce
aberrations, improve image quality, and increase light transmission [1-3].
Aspheric Mirrors: Used in optical systems to increase the distance between
optical elements, reduce weight, and enhance image quality [5].
The term 'asphere' encompasses any lens with surfaces that are not parts of a
sphere [2]. However, when we use this term, we refer to a subset of aspheres that
are rotationally symmetric optics with a varying radius of curvature radially from
the component center.
As discussed earlier, non-spherical lenses enhance image quality and reduce
the number of required optical elements. From smartphones and laser devices to
high-quality microscope lenses and surgical equipment, non-spherical lenses are
becoming increasingly prevalent in all aspects of optics, image processing, and
photonics due to the clear advantages they offer compared to traditional spherical
optics [1-8]. However, as seen in Figure 1.1, spherical lenses do not focus
incoming rays to a single point [9]. Instead, the intersection point shifts along the
direction of ray propagation, depending on the radial coordinate."

a) b)
Figure 1.1 – Comparison of a Spherical (a) and an Aspherical Lens (b) [6]

Bent rays by a spherical lens do not precisely pass through the focal point F,
leading to spherical aberrations (Figure 1.1 (a)). Bent rays pass through the focal
point F (Figure 1.1 (b)) [6].
Traditionally, aspherical lenses are defined by the surface profile (sag),
specified by Equation 1.1:
2
Cs 4 6 8
Z ( s) = + A 4 s + A6 s + A8 s +… , (1.1)
1+ √ 1−(1+k )C s
2 2

where Z is the surface sag parallel to the optical axis, s is the radial distance from
the optical axis, C is the curvature, the reciprocal of the radius, k is the conic
constant, A4, A6, A8 … are the non-spherical coefficients of the 4th, 6th, 8th …
order.
When the non-spherical coefficients are set to zero, the resulting aspherical
surface is considered conical [6-8]. The table below (Table 1.1) illustrates how the
conical surface is formed based on the magnitude and sign of the conic constant k.
 Table 1.1 – Formation of the Conical Surface
Conic сonstant k Conic surface 3D Surface Visualization

k=0 Sphere

k>0 Ellipse

k=-1 Parabola

k<-1 Hyperbola

In the past decade, technologies for manufacturing aspherical lenses have

significantly advanced [7-8]. Today, they are increasingly used in various optical
applications. A clear trend is the replacement of spherical lenses with aspherical
ones [8]. The main motivation for this lies in the tendency to miniaturize optical
systems in commercial products, as well as to improve the image quality of optical
systems. Thanks to their excellent optical characteristics, several spherical lenses
can be replaced by a single aspherical lens.
Thus, by using aspherical lenses instead of spherical ones, the number of
elements in the optical system can be reduced, which also reduces the size and
weight of the system [8]. This makes them very attractive, especially for digital
cameras, CD-DVD players, and small digital phones that are now used in everyday
life.
Despite the significant advantages of aspherical lenses over spherical ones,
spherical lenses are still more commonly used. This is mainly due to the unique
geometry of aspherical lenses (Figure 1.2); the process of manufacturing them is
much more complicated than in the case of ordinary lenses [7-8]. This requires
more time and skill. Today, high-quality aspherical lenses still cost up to ten times
more than their corresponding spherical counterparts [6]. Therefore, there is a
growing interest in the development of cost-effective and reliable manufacturing
technologies.
 Figure 1.2 – Comparison of Spherical and Aspherical Surface Profiles [6]

The spherical surface is described only by the radius of curvature R, which

remains constant across the entire surface (Figure 1.2). However, on an aspherical
surface, the local curvature varies across the entire surface because the surface
deviates from the ideal spherical form [6,9].
In photonics or optical engineering software, ray tracing is a method used to
represent the propagation of electromagnetic (optical) wavefronts through a system
[10-11]. Rays are lines constructed using discrete points on surfaces that represent
the local position of the wavefront as it propagates through the optical system [12].
Ray tracing can model the behavior of optical wavefronts in different
environments [12-14]. It allows determining the quality of the reproduced image
for imaging systems, light distribution for illumination systems, and much more
[15]. Combined with the optimization of optical system parameters, ray tracing can
automatically improve image quality or lighting performance to achieve desired
goals.
Ray tracing is an important modeling method that has relative accuracy (for
many situations) combined with overall computational efficiency, which can be
integrated with other algorithms for more accurate modeling of physical
phenomena [16-17].
In aspherical optical systems, ray tracing is the process of determining the
path of light rays through complex optical systems with aspherical elements [15].
It is a crucial stage in design and modeling, as it allows determining system
parameters such as focal length, field of view, aberrations, and other optical
properties.
According to Spencer [18], a ray is defined by the coordinates (x0, y0, z0) of
the point P0 and its directional cosines (X0, Y0, Z0) in the coordinate system,
which has its origin at point O (Figure 1.3)."
Figure 1.3 – A Ray is Defined by Coordinates of the Initial Point P0 = (x0, y0, z0)
and Direction Cosines (X0, Y0, Z0) [6]

There are several ray tracing methods available to optical system developers.
Let's consider the general or curvilinear ray tracing method [6]. The complete ray
tracing through an optical system consists of four main steps: emission,
transmission, refraction, and termination.
In the first step, the initial position and directional cosines of the ray relative
to the initial surface are determined. Next, the ray is transmitted to the next surface,
calculating the intersection point of the ray with the next surface [19]. In the third
step, refraction of the ray on the surface is calculated, and the direction cosines of
the emerging rays from the surface are found. The second and third steps are
repeated until the ray is traced through all the surfaces of the optical system.
Finally, ray tracing is terminated by calculating the path and intersection point of
the ray on the last surface.
An aspherical lens typically consists of an aspherical front surface and a
spherical back surface. Figure 1.4 illustrates the process of ray tracing through a
typical aspherical lens. For simplification, a two-dimensional coordinate system y
and z is depicted."

Figure 1.4 – Ray Tracing Through an Aspherical Lens [6]

 The main task is to trace the ray from the coordinates (x0, y0, z0) on the
reference plane Σ0, passing through the surfaces of the aspherical lens Σ1 and the
spherical surface Σ2, to the coordinates (x3, y3, z3) on the observation plane Σ3. It
is assumed that there is no change in the orientation of the local coordinate system
with respect to the initial coordinate system [6].
As mentioned above, the process is divided into four stages. It begins with
the Emission step on the reference plane, where the ray's position is (x0, y0, z0),
and the directional cosines are (X0, Y0, Z0). It is noteworthy that a right-handed
coordinate system is used here, and the direction of ray propagation is positive,
from left to right.

Ray Tracing in Non-Spherical Mirrors

Non-spherical mirrors are mirrors that do not have a spherical shape and are
used for focusing or dispersing light. There are several types of non-spherical
mirrors used in optics: parabolic, ellipsoidal, hyperbolic, and toroidal [20-21].
Parabolic mirrors are mirrors that have a paraboloid shape, allowing them to
focus light to a point (Figure 1.5). These mirrors are widely used in astronomy to
focus light from distant objects [22-23]."

Figure 1.5 – Schematic of focusing collimated rays with a parabolic mirror at the
focal point [24]

Ellipsoidal mirrors are mirrors that have an ellipsoid shape. One notable
feature is the presence of two foci, making them a versatile optical component
(Figure 1.6) [13-14, 25]. They can be used to create point light sources or to
disperse light within a specific angle.

Figure 1.6 – Diagram of focusing rays with an ellipsoidal mirror at F2 from

rays originating at F1 [26]
 Hyperbolic mirrors have a hyperboloid shape and are used for precise light
focusing (Figure 1.7). They are commonly employed in science and technology,
such as in laser systems [27-28].

Figure 1.7 – Diagram of focusing rays with a hyperbolic mirror at F2 from

rays originating at F1 [29]

Toroidal mirrors are non-spherical mirrors where each curvature along two
orthogonal axes (horizontal and vertical) is different [30]. These mirrors have a
toroid shape and are used to focus light to a point or multiple points (Figure 1.8).
They are typically used in optical systems where precise light focusing is required
[31].

а) б)
Figure 1.8 – Comparison of light focusing in the image plane with a toroidal (a)
and spherical (b) mirror [32]

Ray tracing is the process of determining the path along which light rays
entering an optical system will travel and exit after reflecting off a nonspherical
mirror [19]. Nonspherical mirrors differ from regular spherical mirrors in that their
curvature is not constant across the entire surface, allowing them to reduce
aberrations and achieve more accurate imaging.
 Several ray tracing methods exist for nonspherical mirrors, one of which is
the optical trajectory construction method [33]. This method involves solving
differential equations that describe the trajectories of rays reflected by the surface
of a nonspherical mirror. These equations are based on the laws of equivalent
optics, which state that the angle of reflection equals the angle of incidence.
Solving these differential equations yields the trajectories of the rays.
Another method is the use of transformation matrices [37], where each
optical surface of a nonspherical mirror is represented by a matrix that reflects the
spatial transformation of rays passing through that surface. An optical system can
be presented as a sequence of operations, such as refraction on a surface, passage
through a medium, or refraction on a lens. Each of these operations can be
described by a transformation matrix.
When a ray passes through an optical system, each transformation matrix
must be multiplied with other transformation matrices in the sequence of
operations to obtain the overall transformation matrix for the system. This matrix
can be applied to the initial state of the ray to determine its position after passing
through the optical system.
The transformation matrix method has several advantages. Firstly, it allows
for the rapid and accurate calculation of ray trajectories in complex optical
systems. Secondly, it conveniently models the interaction of multiple optical
elements in a system, making it suitable for designing new optical systems.
However, the transformation matrix method has certain limitations. For
instance, it does not model effects arising from inhomogeneities in the medium,
such as dispersion, diffraction, or scattering. Additionally, this method is not
accurate for very narrow beams with large dispersions or excessively large angles
of deviation from the beam axis.
In general, the transformation matrix method serves as a convenient tool for
the analysis and design of complex optical systems, enabling the modeling of
optical elements with various parameters like refractive index, radius of curvature,
or thickness [37].
Another method is the Finite Element Method (FEM), a numerical method
used for modeling and analyzing various physical systems, including optical
systems [38-39].
The FEM is based on dividing a complex system into smaller, simpler
components called finite elements. Each element is described by its physical
properties, such as refractive index, permeability, or light scattering, and interacts
with neighboring elements.
For modeling light rays in an optical system, the FEM can be used to solve
differential equations describing the trajectories of light rays in the system [38].
For example, the Helmholtz equation can be employed to describe light diffraction,
and the transport equation can be used to model light radiation in a medium.
For each finite element in the optical system, a matrix describing its
properties is constructed. Then, the matrices are combined to create a global matrix
describing the entire optical system. By applying numerical methods like the
Galerkin method or the Kramer's method, equations for the trajectories of light
rays can be solved, providing detailed information about their properties in the
system.
The FEM method has several advantages over other optical system modeling
methods [39]. Firstly, it allows for accurate modeling of complex systems with
different optical properties, such as aspherical mirrors and lenses. Secondly, it
enables the calculation of detailed parameters of the optical system, such as focus
position, aberrations, and various distortions. Moreover, the FEM method is
flexible and can be used to analyze optical systems with different geometric shapes
and materials.
However, the FEM method also has its limitations. For instance, it requires
significant computational power to solve complex systems, which can be
problematic for large and intricate optical systems. Additionally, modeling
accuracy may be limited at large distances, where light may interact with other
elements not considered in the model.
In conclusion, the FEM method is a valuable tool for modeling and
analyzing optical systems. It provides detailed information about the behavior of
light rays in the system and can be used for optimization and improvement of
optical systems.
The use of any of these methods allows for determining the trajectories of
rays in an aspherical mirror, aiding in the development of more precise and
efficient optical systems [33-40].

Software Tools for Ray Tracing in Non-Spherical Optics

There are several software tools available for ray tracing in aspherical
hollow mirrors, among which the following stand out:
Zemax: Zemax is a commercial software that allows modeling optical
systems, including aspherical hollow mirrors. For modeling and analyzing optical
systems, it employs ray tracing methods to calculate the path of rays through the
optical system and their characteristics, such as intensity, position, shape, and more
[41].
Ray tracing in Zemax can be performed in 2D or 3D modes. In 2D mode,
ray tracing occurs on a flat surface, while in 3D mode, rays are traced along 3D
objects.
Zemax's ray tracing can be used to investigate various aspects of an optical
system, such as:
 Focusing and astigmatism: finding optimal parameters for the optical system to
ensure proper focusing and avoid image distortions.
 Field of view calculation: determining the angular and linear size of the optical
system's field of view.
 Light propagation: studying the efficiency of light propagation in the optical
system.
Although Zemax is a powerful tool for ray tracing and optical system
analysis, it has some drawbacks that need to be considered:
  Limited capabilities for investigating complex optical systems: Zemax has
limited capabilities for studying complex optical systems, such as systems with
non-uniform media or complex geometric shapes.
 Requires significant computational resources: Increasing the size of the optical
system increases the number of rays to be traced and the computational
calculations needed for their processing. This may lead to increased
computation time and computational resource requirements.
 High cost: Zemax is commercial software with a high cost, which can be a
limitation for some users, especially researchers and students who may have a
limited budget.
CodeV is another commercial software used for modeling optical systems. It
has a similar interface and capabilities to Zemax but comes with its own features
[42]. To trace rays in CodeV, you need to input the geometric model of the optical
system, composing it with optical elements (lenses, mirrors, prisms, etc.). Optical
materials and their properties can then be specified. Various ray tracing algorithms,
such as finite elements, ray tracing, Bouwkamp-MacCullagh method, amplitude
switching, and others, are employed in CodeV to calculate ray trajectories. CodeV
also has the capability to calculate optical characteristics such as modulation
transfer function (MTF), aberrations, chromatic correction, and more. One
drawback of CodeV is its slower computation speed compared to Zemax, making
the modeling of complex systems more time-consuming. However, CodeV offers
powerful features for modeling complex aspherical and hollow optical systems
with high precision.
OSLO (Optics Software for Layout and Optimization) is commercial
software for modeling optical systems that also provides ray tracing capabilities
[43]. To trace rays in OSLO, you need to create a geometric model of the optical
system using a visual interface or manually input its parameters.
After creating the model, you can set the properties of optical elements,
including optical materials, sizes, and surface shapes. OSLO also supports various
ray tracing algorithms, such as finite elements, ray tracing, Bouwkamp-
MacCullagh method, reverse ray tracing, and more. In addition, OSLO has built-in
tools for analyzing optical systems, such as aberration analysis, modulation
transfer function (MTF) calculation, chromatic correction, and others.
Drawbacks of OSLO may include the complexity of the interface and the
inability to calculate optical properties for aspherical and hollow mirrors.
However, if relevant calculations are already performed and saved in tables, they
can be imported into OSLO for use in designing complex optical systems.
FRED is software specialized in modeling light in complex optical systems.
It allows the modeling of various types of optical elements, including aspherical
hollow mirrors, and has a set of tools for analysis and optimization of optical
systems [44]. FRED has built-in diverse ray tracing algorithms, including finite
elements, ray tracing, Bouwkamp-MacCullagh method, and others.
The software also has the ability to use more advanced ray tracing methods,
such as photon tracing and reverse ray tracing. Additionally, FRED has built-in
tools for analyzing and evaluating optical systems, such as aberration analysis,
modulation transfer function (MTF) calculation, interference pattern calculation,
field analysis, and more.
Drawbacks of FRED may include the complexity of the interface and
limited capabilities for calculating complex aspherical surfaces and optical systems
with hollow mirrors. However, if the relevant calculations are already performed
and saved in tables, they can be imported into FRED and used in the design of
complex optical systems.
VirtualLab Fusion is software designed for modeling and investigating
optical systems with aspherical hollow mirrors. It offers extensive capabilities for
studying optical systems with precision up to 0.1 nm and allows various analyses,
such as deviation analysis, phase profile analysis, field analysis, etc. The program
includes numerous built-in tools for optimization and improving the quality of
optical systems [45].
The visual interface of VirtualLab Fusion enables users to conveniently
define the parameters of optical components and their arrangement in the system.
Subsequently, users can perform ray tracing using algorithms of various types,
including:
• Geometric Ray Tracing: This method is based on the laws of geometric
optics and allows determining ray trajectories in complex optical systems.
• Wavefront Ray Tracing: This method is based on modeling the interaction
of light with an optical system using wave optics and allows determining the
amplitudes and phase characteristics of rays.
• Phase Ray Tracing: This method, also based on wave optics, allows
determining the phase characteristics of rays.
VirtualLab Fusion also includes built-in tools for analyzing ray tracing
results, such as spot diagrams, wavefront aberration curves, PSF and MTF
diagrams (point spread function and modulation transfer function), allowing for the
assessment of optical system performance. Additionally, VirtualLab Fusion
supports modeling of nonlinear and polarization optics, enabling users to simulate
more complex optical systems.
One drawback of VirtualLab Fusion is its high cost, making it inaccessible
for most users. Moreover, due to its extensive functionality, the program may be
challenging for beginners to use. Additionally, the program may require a powerful
computer with high-performance graphics for visualizing complex systems.
RTER is software specializing in conducting single-vector tracing in
ellipsoidal reflectors. It allows users to modify ellipsoid parameters and set tracing
parameters such as azimuthal angle and step along the major axis of the ellipsoid
[46]. A distinctive feature of the software is its ability to record the intersection
points of rays with planes along the major axis of the ellipsoid, enabling the
assessment of different sections of the ellipsoid's lateral surface [47]. RTER
provides output data on the calculation of the number of reflection acts and
parameters for assessing RMS aberrations and Centroid.
Drawbacks of RTER include the absence of a multi-vector tracing mode,
making investigations inefficient and time-consuming.
Conclusions
The analytical review of ray tracing features in hollow nonspherical mirrors led to
the following conclusions:
1. The analysis of general principles and characteristics of ray tracing in
nonspherical optical systems revealed that they provide high image quality
and measurement accuracy while allowing for reductions in size and weight,
making them more efficient and ergonomic. However, such systems require
additional aberration analysis.
2. The examination of ray tracing software, including Zemax, CodeV, OSLO,
FRED, and VirtualLab Fusion, for nonspherical optical systems showed that
none of them possesses specific functionalities for conducting tracing in
ellipsoidal reflectors. Therefore, the software RTER was selected, enabling
single-vector tracing in ER.
3. Following the analytical overview of methods and software tools, it was
decided to enhance the functional capabilities of the RTER software.
Specifically, the implementation of a mode for multi-vector tracing in ER
was proposed to improve the efficiency of conducting aberration studies by
reducing the time required to obtain a large array of analytical data.
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