WO2016168093A1

WO2016168093A1 - Partially etched phase-transforming optical element

Info

Publication number: WO2016168093A1
Application number: PCT/US2016/026835
Authority: WO
Inventors: Thomas W. Mossberg; Christoph M. Greiner; Dmitri Iazikov
Original assignee: Finisar Corporation
Priority date: 2015-04-15
Filing date: 2016-04-08
Publication date: 2016-10-20
Also published as: EP3289396A4; US20190377108A1; US20170168202A1; US9618664B2; JP2019197220A; EP3289396A1; JP2018512624A; CN107683426A; US10386553B2; US20160306167A1; US10823889B2

Abstract

A optical element (transmissive or reflective) includes a transmissive layer comprising two different optical media arranged among discrete volumes arranged along the layer. The discrete volumes are arranged to approximate a desired phase function (typically modulo 2π) and are smaller than an operational wavelength in order to provide a range of phase delays needed to adequately approximate the desired phase function.

Description

PARTIALLY ETCHED PHASE-TRANSFORMING

OPTICAL ELEMENT PRIORITY CLAIM

[0001] This application claims priority based on U.S. non-provisional Application No.14/687,882 entitled“Partially etched phase-transforming optical element” filed 15 APRIL 2015 in the names of Thomas W. Mossberg, Christoph M. Greiner, and Dmitri Iazikov, said application being hereby incorporated by reference as if fully set forth herein.

FIELD OF THE INVENTION

[0002] The field of the present invention relates to phase-transforming optical elements. In particular, optical elements, and methods for making and using the same, are disclosed herein that employ position-dependent phase transformation of a transmitted or reflected optical signal.

SUMMARY

[0003] An inventive optical element comprising a transmissive layer comprising first and second optical media. The first and second optical media are substantially transparent over an operational wavelength range including a design vacuum wavelength λ0 and are characterized by differing respective first and second wavelength-dependent bulk refractive indices n1(λ) and n2(λ). The first optical medium comprises a substantially solid material. The first and second optical media are arranged within the layer as a contiguous multitude of discrete volumes, including a subset of volumes of the multitude having a largest transverse dimension less than about λ0, wherein each discrete volume comprises either the first optical medium or the second optical medium, but not both. The contiguous multitude of discrete volumes is arranged so that (i) any given simply connected sample volume of the transmissive layer, said sample volume having transverse dimensions about equal to λ0 and extending from the first surface through the transmissive layer to a second surface of the transmissive layer, includes only the first optical medium, only the second optical medium, or both the first and second optical media of at least portions of two or more of the discrete volumes, and (ii) any straight-line path, extending substantially perpendicularly from a first surface of the transmissive layer to a second surface of the transmissive layer, passes through only the first optical medium, through only the second optical medium, or through only one discrete volume of each of the first and second optical media. The discrete volumes of the multitude are distributed on the transmissive layer so that (2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)), as a function of two-dimensional position coordinates x and y along the first surface of the transmissive layer, averaged over a sampling area having a largest transverse dimension about equal to λ0 along the first surface of the transmissive layer, is substantially equal to a specified position-dependent effective phase

transformation function φ_eff(x,y) for a transmissive optical elements, or substantially equal to ½·φeff(x,y) for a reflective optical element, where (i) d1(x,y) and d2(x,y) are the respective local distances through the first and second optical media along the straight-line path through a given position (x,y), and (ii) φeff(x,y) varies with both x and y. The optical element is structurally arranged to as to receive an optical signal incident on the first surface within the transmission region and to transmit or reflect at least a portion of the incident optical signal transformed substantially according to the effective phase transformation function φ_eff(x,y).

[0004] A method employing the inventive optical element comprises (i) directing an optical signal onto the first surface of the transmissive layer of the optical element and (ii) transmitting through or reflecting from the optical element at least a portion of the optical signal transformed substantially according to the effective phase transformation function φ_eff(x,y). A method for making the inventive optical element comprises spatially selectively processing a layer comprising the first optical medium to replace, in selected volumes of the layer, the first optical medium with the second optical medium, thereby forming the transmissive layer of the optical element.

[0005] Objects and advantages pertaining to phase-transforming optical elements may become apparent upon referring to the example embodiments illustrated in the drawings and disclosed in the following written description or appended claims.

[0006] This Summary is provided to introduce a selection of concepts in a simplified form that are further described below in the Detailed Description. This Summary is not intended to identify key features or essential features of the claimed subject matter, nor is it intended to be used as an aid in determining the scope of the claimed subject matter.

BRIEF DESCRIPTION OF THE DRAWINGS

[0007] Figs.1A and 1B illustrate schematically a transmission layer of example transmissive and reflective optical elements, respectively.

[0008] Fig.2 illustrates schematically a transmission layer of an example

transmissive optical element.

[0009] Figs.3-8 and 11-16 illustrate schematically various examples of a

transmissive optical element.

[0010] Figs.9, 10, 17, and 18 illustrate schematically various examples of a

reflective optical element.

[0011] Figs.19 and 20 illustrate schematically two example unit cell arrangements for the transmissive layer.

[0012] Figs.21 and 22 are plots of two example phase functions and their modulo 2pi equivalents.

[0013] Figs.23 and 24 illustrate schematically a density distribution of discrete volume elements of a transmission layer arranged to act as a lens.

[0014] The embodiments depicted are shown only schematically: all features may not be shown in full detail or in proper proportion, certain features or structures may be exaggerated relative to others for clarity, and the drawings should not be regarded as being to scale. For example, the actual transmissive layers depicted as having a handful or dozens of distinct discrete volumes typically can have regions with thousands or millions of discrete volumes per square millimeter; the number of discrete volumes is reduced in the drawings for clarity. In addition, the height, depth, or width of each areal segment often can be exaggerated relative to, e.g., the thickness of an underlying substrate. The embodiments shown are only examples: they should not be construed as limiting the scope of the present disclosure or appended claims. DETAILED DESCRIPTION OF EMBODIMENTS

[0015] Optical elements of various types can be described generally as imposing some desired phase transformation function φ(x,y) onto an optical signal

propagating through the optical element (where x and y are two-dimensional position coordinates along a surface of the optical element in directions

substantially transverse to the propagation direction of the optical signal). In a transmissive optical element, the phase transformation is imparted in a single-pass transmission; in a reflective optical element, the phase transformation is imparted by double-pass transmission with an intervening reflection. Such a phase

transformation function may also be referred to herein as a phase shift function, phase delay function, or phase function. Note that it is the relative phase delay across an optical signal wavefront that is relevant, not the absolute phase delay. One example of a phase transformation function is a linear phase transformation function of the form φ(x,y) = Ax+By, which results in angular deflection of the optical signal without otherwise altering its spatial properties (somewhat analogous to refraction, with the direction of deflection depending on the values of the constants A and B). A second example is a quadratic phase transformation function of the form φ(x,y) = Ax²+By²; φ(x,y) written in this form assumes the coordinates x and y are centered with respect to φ(x,y) and rotated to coincide with principal axes of φ(x,y). A quadratic phase transformation acts as a positive or negative lens in the corresponding transverse dimension according to the signs of the constants A and B. If either A or B (but not both) is zero, then the phase transformation acts as a cylindrical lens (in the paraxial limit). If A=B, the phase transformation acts as a spherical lens (in the paraxial limit). A third example is an angular phase transformation function of the form φ(x,y) = Mθ for 0≤θ<2pi, where θ is related to x and y by cosθ=x/(x²+y²)^½ and sinθ=y/(x²+y²)^½ and M is an integer. An angular phase transformation acts as a so-called vortex lens that can be used, e.g., to convert an optical beam with a Gaussian transverse profile into a beam with a doughnut-shaped transverse profile. Phase transformation functions are additive, i.e., a phase transformation function φ(x,y) can be a sum of two (or more) distinct, specified, position-dependent phase transformation functions φ1(x,y) and φ2(x,y). In one such example, φ1(x,y) can be a quadratic function and φ2(x,y) can be an angular function; the sum φ(x,y) can result in, e.g., focusing of a Gaussian beam while simultaneously converting it to a doughnut-shaped beam, thereby combining the functions of a spherical lens and a vortex lens in a single optical element.

[0016] A specified phase transformation function φ(x,y) can be imposed by an optical element that imparts a position-dependent phase shift or phase delay onto a transmitted or reflected optical beam. For an optical element comprising a set of one or more optical media, the phase transformation function φ(x,y) for a given vacuum wavelength λ can be generally expressed (for a transmitted optical signal) as φ(x,y) = (2pi/λ)·Σini(λ)·di(x,y), where ni(λ) is the refractive index of each optical medium and d_i(x,y) is the local thickness of each optical medium through which the signal propagates. Assuming back-surface reflection for a reflective optical ^{element, φ(x,y) = (4pi/λ)·}Σiⁿi^(λ)·di^{(x,y) because the optical signal propagates} through the optical media twice. In a singlet refractive lens, a single optical medium is employed and the thickness varies with respect to transverse position. In so-called gradient-index elements (e.g., a GRIN lens), the refractive index varies with transverse position. Certain phase transformation profiles are relatively easy to produce by standard manufacturing techniques. Spherical lenses, for example, provide a quadratic phase transformation (in the paraxial limit) and are easily manufactured; GRIN lenses can be readily manufactured from segments of optical fiber. Other more arbitrary phase transformation functions φ(x,y) are not

necessarily quite so readily produced. It would be desirable to produce an optical element having an arbitrarily specified phase transformation function φ(x,y).

[0017] Because of the periodic nature of optical signals, phase delays separated by integer multiples of 2pi all have the same effect on the optical signal. Because of the periodicity, any given phase transformation function can be replaced with an equivalent modulo 2pi function, i.e., each function value can be replaced by the corresponding value from 0 to 2pi that differs from the original value by an integer multiple of 2pi. The original phase function and its modulo 2pi equivalent effect the same transformation on an optical signal. Illustrative examples are shown in Fig.21 (showing a linear phase shift function φ(x) and its modulo 2pi equivalent) and Fig. 22 (showing a quadratic phase shift function φ(x) and its modulo 2pi equivalent). In addition, phase transformation functions that differ from one another at any given point by an integer multiple of 2pi (and not necessarily the same multiple of 2pi at each point) can be regarded as being equal to one another. [0018] Spatially selective material processing techniques, e.g., photolithography or e-beam lithography, can in principle be employed to produce an optical element that imparts a specified, arbitrary phase transformation function φ(x,y). However, most such techniques are best suited for forming a spatial profile having only two levels, (e.g., a given area can be etched or not, photo-exposed or not, doped or not) and so are not so readily employed to provide an arbitrary phase

transformation function with a continuous (or near continuous) relative phase distribution. Grayscale or multilevel lithography techniques can produce an optical element that imparts a continuous, arbitrary phase function, but such techniques are far more complex and are difficult to implement at production scales. It would be more desirable to enable use of a two-level lithographic technique (i.e., binary lithography) to produce such optical elements. Inventive optical elements disclosed herein are formed using binary lithographic techniques but nevertheless impart a specified, arbitrary phase transformation function, or at least an operationally acceptable approximation thereof. In the context of the instant specification and appended claims, the phrase operationally acceptable indicates a condition or arrangement that deviates from an ideal condition or arrangement by an amount that still enables the optical device to perform adequately in a given operational context. For example, a conventional singlet lens that deviates from an ideal spherical surface by as much as λ/4 might be sufficient for some imaging applications, while other imaging applications might require more stringent surface accuracy, e.g., λ/10 or λ/20.

[0019] An inventive optical element 10 comprises a transmissive layer 100, illustrated schematically in Figs.1A and 1B, that comprises first and second optical media. The first and second optical media are substantially transparent over an operational wavelength range that includes a design vacuum wavelength λ0 and are characterized by differing respective first and second wavelength-dependent bulk refractive indices n1(λ) and n2(λ). The first optical medium comprises a substantially solid material (amorphous, crystalline, or polycrystalline), e.g., a doped or undoped dielectric material, a doped or undoped semiconductor material, or a doped or undoped polymer. In some examples, the second optical medium can comprise vacuum, air, one or more inert gases, or other substantially transparent gaseous or liquid material; in other examples, the second optical medium can comprise a solid material, including those examples given above for the first optical medium. The first and second optical media are arranged within the layer 100 as a multitude of discrete, contiguous volumes 103, wherein each volume comprises either the first optical medium or the second optical medium, but not both. A subset of the volumes 103 of the multitude have transverse dimensions (i.e., dimensions parallel to the transmissive layer 100) that are less than about λ0 (i.e., a subset of the volumes 103 are sub-wavelength features of the transmissive layer 100). The multitude of discrete volumes 103 is arranged so that any given simply connected (topologically) sample volume of a transmission region of the transmissive layer 100, having both transverse dimensions about equal to λ0 along the first surface 101 and extending from the first surface 101 through the

transmissive layer 100 to the second surface 102, includes only the first optical medium, only the second optical medium, or both the first and second optical media of at least portions of two or more of the discrete volumes 103. The multitude of discrete volumes 103 is arranged so that any straight-line path, extending substantially perpendicularly from a first surface 101 of the transmissive layer 100 to a second surface 102 of the transmissive layer 101, passes through only the first optical medium, through only the second optical medium, or through only one discrete volume 103 of each of the first and second optical media. Note that for each of the surfaces 101 and 102, in some examples the surface can be a distinct physical interface or boundary between differing structures or materials (e.g., wherein the transmissive layer 100 comprises an etched layer of one material on a substrate of another material, as in the example of Fig.4), while in other examples the surface can be a virtual boundary between different regions of a single structure or material (e.g., wherein the transmissive layer 100 comprises an etched surface of a substrate, as in the example of Fig.3).

[0020] The discrete volumes 103 are distributed on the transmissive layer 100 so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), as a function of two-dimensional position coordinates x and y along the first surface of the transmissive layer, averaged over an area having transverse dimensions about equal to λ0 on the first surface of the transmissive layer, is substantially equal to a specified position-dependent effective phase transformation function φeff(x,y) for a transmissive optical element (or substantially equal to

for a reflective optical element), where (i) d₁(x,y) and d2(x,y) are the respective local distances through the first and second optical media along the straight-line path through a given position (x,y), and (ii) φeff(x,y) varies with both x and y.

[0021] The transmissive layer 100 therefore imparts a local phase delay (at wavelength λ0) for single-pass transmission of (2pi/λ0)·(n₁(λ0)·

d₂(x,y)) that varies with two-dimensional position (x,y) along the first surface 101 of the transmissive layer 100. In general the thicknesses d1(x,y) and d2(x,y) can vary in any suitable way; however, in many examples those thicknesses will be subject to the constraint that the transmissive layer 100 has a substantially uniform thickness d₁(x,y) + d₂(x,y) = D (i.e., substantially uniform to within limits imposed by constraints of fabrication processes employed; see below). Such an arrangement arises naturally when employing a lithographic process on a substrate surface (where D would typically be equal to the etch depth) or on a uniform surface layer on a substrate (where D would typically equal the surface layer thickness). Another common arrangement is one in which the transmissive layer 100 includes areal regions for which either d1(x,y) or d2(x,y), but not both, equals zero; in other words, the transmissive layer includes regions wherein only one of the optical media spans the transmissive layer 100 by extending from the first surface 101 through the transmissive layer 100 to the second surface 102. In some examples, all such regions comprise only one of the optical media and no volume of the other optical medium spans the transmissive layer 100; in other examples, some such regions comprise the first optical medium while other such regions comprise the second optical medium; in some of those latter examples, every areal region of the transmissive layer 100 comprises only one or the other optical medium extending from the first surface 101 to the second surface 102 (as in Figs.1A/1B and 2 through 10).

[0022] Propagation of an optical signal at wavelength λ0 through the transmissive layer 100 at given position (x,y) would nominally result in a phase delay of

(2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)) for single-pass transmission. However, due to the wave nature of the optical signal having wavelength λ0, the optical signal propagating through one of the subwavelength discrete volumes 103 is affected by (i.e., effectively“samples”) other nearby discrete volumes 103 (i.e., discrete volumes 103, or portions thereof, within a surrounding region having transverse dimensions about equal to λ0), some of which may have index n1(λ0) and some of which may have index n₂(λ0). The optical signal is affected at position (x,y) as if it were transmitted through a medium having an average index, between n1 and n2, that is about equal to a spatial average of the indices of the nearby discrete volumes 103 or nearby portions thereof. The transmissive layer 100 therefore imparts (in a single pass) a spatially varying effective phase transformation function φeff(x,y,λ0) that is about equal to the quantity (2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)) spatially averaged over a sampling area having transverse dimensions about equal to λ0. The discrete volumes 103 can be sized and distributed on the transmissive layer 100 so that φeff(x,y) approximates a specified phase transformation function φ(x,y) that varies with both x and y, including those described above. The optical element is structurally arranged so as to receive an optical signal 11 incident on the first surface 101 and to transmit (Fig.1A; transmitted optical signal 13) or reflect (Fig.1B; optical signal 15 reflected from reflector 104) at least a portion of the incident optical signal 11 transformed substantially according to the effective phase transformation function φeff(x,y).

[0023] Some illustrative examples follow. For n1 of about 1.5 and n2 of unity (e.g., glass or silica and air), the thickness required to effect a 2pi relative phase shift in a single pass is about 1.6 µm for λ0 of about 800 nm. For n1 of about 3 and n2 of unity (e.g., a semiconductor and air), the thickness required to effect a 2pi relative phase shift in a single pass is about 0.75 µm at λ0 of about 1500 nm. The greater the index contrast between the first and second optical media, the smaller the thickness of the transmissive layer 100 can be while still providing a sufficiently large phase shift.

[0024] For conceptualizing and computationally designing the inventive optical element, it can be advantageous for the transmissive layer thickness to result in a phase difference of an integer multiple of 2pi between the first and second optical media. For a transmissive optical element (single pass), the corresponding design constraint is that D is substantially equal to D_N = Nλ0/|n₁(λ0)-n₂(λ0)|, where N is an integer. For a reflective optical element (double pass), the corresponding design constraint is that D is substantially equal to D_N = Nλ0/(2|n₁(λ0)-n₂(λ0)|), where N is an integer. In both cases, the best approximation of the desired phase

transformation φ(x,y) typically results when N = 1 (i.e., when D = D1), which is also the minimum thickness needed to enable any arbitrary phase function to be approximated (i.e., to provide the full range of 2pi phase shift needed to

approximate an arbitrary modulo 2pi phase function). If the minimum thickness D₁ is employed, then the discrete volumes 103 typically must be arranged so that the spatially averaged index of the transmissive layer 100 can achieve the values of n₁ and n2 (to provide the full range of 2pi phase shift). Layers of any needed or desired thickness greater than D₁ can be employed, and must be employed (to provide the full range of 2pi phase shift) in examples wherein fabrication constraints do not permit the discrete volumes 103 to be arranged so that the spatially averaged index of the transmissive layer 100 can reach the values of n₁ and n₂. The minimum additional thickness needed is determined by limits on fractional areas of each of the optical media imposed by the spatially selective fabrication processes employed.

[0025] The transmissive layer 100 can be physically realized in a number of different arrangements. In perhaps the conceptually simplest example

arrangement, the transmissive layer 100 has a substantially uniform thickness D, has a multitude of suitably sized and positioned perforations, and is immersed in an ambient medium that surrounds the layer 100 and fills the perforations (Fig.2). The solid material of the layer 100 has refractive index n₁(λ) and the ambient medium (solid, liquid, or gaseous) has refractive index n2(λ). The perforations and the intervening areas of the layer 100 form the discrete volumes 103, and the perforations can be sized and distributed on the layer 100 to result in the desired effective phase transformation function

The example of Fig.2 is suitable for transmission (in a single-pass geometry); one or more additional layers can be employed to form a reflector to reflect the phase-transformed optical signal (in a double-pass geometry). In some examples the ambient medium comprises a gaseous or liquid ambient medium 20, e.g., vacuum, air, one or more inert gases, or an optical fluid. In other examples the ambient medium can be a solid; such an example could be formed, e.g., by immersing the perforated layer 100 in a liquid polymer precursor and then curing the polymer to solidify it. Given the thinness typically required for the transmissive layer 100 (e.g., <1 µm to a few µm), the example of Fig.2 might be difficult to implement.

[0026] In some examples, the transmissive layer 100 is mechanically stabilized by a substrate or overlayer 30 positioned against the surface 101 (the incident surface). The substrate 30 comprises a suitably rigid and stable, substantially transparent, solid material (crystalline, polycrystalline, or amorphous), e.g., a doped or undoped dielectric material, a doped or undoped semiconductor material, or a doped or undoped polymer. The incident optical signal 11 propagates through the substrate 30; the portion 13 of the incident optical signal 11– transmitted through the transmissive layer 100 and into the ambient medium 20– is transformed substantially according to the effective phase transformation function φ_eff(x,y). In the examples of Figs.3, 4, 11, and 12, the transmissive layer 100 comprises surface relief structure on a surface of the substrate 30, the second surface 102 of the transmissive layer 100 is in contact with the gaseous or liquid ambient medium 20, and the ambient medium 20 fills the recessed regions of the surface relief structure, thereby serving as the second optical medium. The recessed regions of the surface relief structure and the intervening non-recessed regions form the discrete volumes 103, and can be sized and distributed on the layer 100 to result in the desired effective phase transformation function φeff(x,y) in a single-pass transmissive geometry. The surface 101 of the layer 100 substantially coincides with the depth D of the recessed regions, while the surface 102 substantially coincides with the un-recessed regions.

[0027] In the examples of Figs.3 and 11, the substrate 30 comprises the same material as the first optical medium, and the surface relief structure is formed directly on a surface of the substrate 30. In the examples of Figs.4 and 12, the substrate material differs from the first optical medium, and the surface relief structure is formed in a surface layer of the first optical medium that was grown, deposited, or otherwise formed by any suitable process on the substrate 30 of a differing material. Any suitable process can be employed to form the surface relief structure. In some examples, the surface relief structure can be formed by molding, stamping, or embossing the first optical medium. In other examples, the surface relief structure can be replicated in the first optical medium using a master structure. In still other examples, any suitable etch process can be employed, e.g., anisotropic dry etching (Figs.3 and 4) or isotropic wet etching (Figs.11 and 12) of the photolithographically masked surface or layer of the first optical medium. In some examples in which etching is employed, the etch depth (i.e., the thickness D) is controlled by the time duration of the etch process (other process variables being equal). In some examples in which etching is employed and the first optical medium comprises a surface layer on a substrate 30 of a differing material (Figs.4 and 12), it can be advantageous to employ an etch process that etches the first optical medium at a significantly higher rate than the substrate material. In that instance the etch depth D is substantially equal to the thickness of the surface layer, independent of the etch time (if sufficiently long to completely remove unmasked regions of the surface layer, but not so long as to remove photoresist or other patterning or masking layer), and the interface between the first optical medium and the substrate 30 forms the first surface 101 of the transmissive layer 100. If the etch rates do not differ sufficiently, the etch depth can be controlled by the time duration of the etch process (as described above). In some examples (Figs.11 and 12), some recessed regions may be etched to a lesser depth than other areas even though etched for the same duration; such an arrangement can be achieved, e.g., using a wet etch process in which smaller unmasked areas might etch at a slower rate due to slower diffusion of etchant to the etched surface. While the transmissive layer 100 in the preceding examples is considered to have a substantially uniform thickness D, the etch process employed can lead to some variation of the etch depth depending on the transverse extent of the localized area being etched (e.g., wider etched regions may tend to etch deeper than narrower etched regions). Notwithstanding such processing variation, such an etched layer shall nevertheless fall within the scope of“substantially uniform thickness.”

[0028] The examples of Figs.5, 6, 13, and 14 are similar to those of Figs.3, 4, 11, and 12, respectively, with the addition of a substantially transparent solid overlayer 40 positioned against the second surface 102 of the transmissive layer 100. The overlayer 40 can comprise (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer. The substantially solid material comprising the overlayer 40 fills the etched regions of the substrate surface (as in Figs.5 and 13) or the surface layer (as in Figs.6 and 14) and therefore serves as the second optical medium. The overlayer 40 can be formed using any suitable material formed, grown, or deposited in any suitable way, including materials disclosed above. It may be desirable for the opposing surface of the overlayer 40 to be substantially flat.

Examples of suitable processes for forming the overlayer 40 can include, e.g., spin deposition of a polymer, beam or vapor deposition of a dielectric material, or other process that enables the second optical medium to substantially fill the recessed regions of the surface relief structure.

[0029] The examples of Figs.7, 8, 15, and 16 are similar to those of Figs.5, 6, 13, and 14, respectively, except that the overlayer 40 comprises a solid material differing from the second optical medium. The overlayer 40 can also comprise material differing from the first optical medium. In some examples the second optical medium can be vacuum, gaseous, or liquid; in other examples, the second optical medium can comprise a solid material grown, deposited, or otherwise formed in the corresponding regions and discrete volumes 103 of the transmissive layer 100, including materials disclosed above. In some examples the overlayer 40 can comprise a substrate positioned against, and perhaps attached or adhered to, the second surface 102 of the transmissive layer 100; in other examples the overlayer 40 can be grown, deposited, or otherwise formed on the second surface 102 of the transmissive layer 100.

[0030] Additional examples (not shown) can be implemented that resemble Figs. 7, 8, 15, or 16 but lack the substrate 40. In such examples the second optical medium is a substantially solid material that fills the recessed regions of the surface relief structure. Both the first and second optical media are in contact with an ambient medium into which the transmitted signal 13 propagates.

[0031] Any of the examples of Figs.3 through 8, Figs.11 through 16, and the preceding paragraph can be used in reverse, i.e., the first surface 101 of the transmissive layer 100 faces the ambient medium 20 (Figs.3, 4, 11, and 12 and the preceding paragraph) or the overlayer 40 (Figs.5-8 and 13-16); the second surface 102 of the transmissive layer 100 faces the substrate 30; the incident optical signal 11 propagates through the ambient medium 20 (Figs.3, 4, 11, and 12 and the preceding paragraph) or the overlayer 40 (Figs.5-8 and 13-16); and the transformed portion 13 of the signal is transmitted through the transmissive layer 100 and into the substrate 30.

[0032] The examples of Figs.9, 10, 17, and 18 are similar to those of Figs 3, 4, 11, and 12, respectively, except that they include a reflector 104 facing the second surface 102 of the transmissive layer 100. In many examples, the reflector is positioned against the second surface 102 of the transmissive layer 100. The incident optical signal 11 propagates through the substrate 30; the portion 15 of the incident optical signal 11–transmitted through the transmissive layer 100, reflected by the reflector 104, and transmitted back through the transmissive layer 100 and into the substrate 30– is transformed substantially according to the effective phase transformation function φeff(x,y) in a double-pass geometry. The reflector can be of any suitable type, e.g., a metal coating or a dielectric stack. In some examples the second optical medium can be vacuum, gaseous, or liquid; in other examples, the second optical medium can comprise a solid material grown, deposited, or otherwise formed in the corresponding regions and discrete volumes 103 of the transmissive layer 100. In some examples the reflector 104 can be formed on a separate substrate 105 positioned against, and perhaps attached or adhered to, the second surface 102 of the transmissive layer 100 with the reflector between the second surface 102 and the substrate 105; in other examples the reflector 104 can be deposited or otherwise formed on the second surface 102 of the transmissive layer 100, in which case the substrate 105 may not be necessary.

[0033] The examples of Figs.11-18 are analogous to examples of Figs.3-10, respectively, but differ with respect to the cross-sectional shape of the discrete volumes 103. The arrangements of Figs.3-10 typically would arise from a directional etch process (e.g., anisotropic reactive ion etching) yielding boundaries between adjacent volumes of the first and second optical media that are vertical or nearly so. The examples of Figs.11-18 typically would arise from a non-directional etch process (e.g., isotropic wet etching) yielding boundaries between adjacent volumes of the first and second optical media that are curved. Width and depth of an isotropically etched region varies in according to the size of a corresponding opening in the etch mask and can be well characterized and reproducible for a given combination of etched material, etchant, etch time, and etch conditions. Figs. 3-10 also differ from Figs.11-18 with respect to the spatial distribution employed to achieve the desired phase transformation, discussed below.

[0034] An inventive method employing an inventive optical element disclosed herein comprises (i) directing an optical signal 11 onto the first surface of the transmissive layer 100 of the optical element and (ii) transmitting through or reflecting from the optical element at least a portion 13 or 15, respectively, of the optical signal transformed substantially according to the specified position- dependent effective phase transformation function

[0035] An inventive method for making an optical element disclosed herein comprising spatially selectively processing a layer comprising the first optical medium to replace, in selected areas of the layer, the first optical medium with the second optical medium, thereby forming the transmissive layer 100 of the optical element. [0036] The inventive optical elements disclosed herein enable the approximation of an arbitrary phase transformation function φ(x,y) in an optical element made using only binary spatial processing techniques. That result is achieved by exploiting the wave nature of the optical signal and its effective“sampling” of multiple sub-wavelength spatial features of the optical element. However, smaller spatial features are increasingly difficult to fabricate with decreasing transverse size. Perhaps more importantly, the transverse feature size limits the

corresponding thickness of those features, e.g., a 100 nm linewidth can be readily achieved by spatially selective processing of a 100 nm thick layer of material, but cannot be as readily achieved in a 1 µm thick layer of material. The thickness limitation puts a lower limit on the feature size that can be readily employed, at least in those instances wherein at least a 2pi phase shift is needed or desired to approximate many phase transformation functions and sufficient thickness must be employed to achieve that phase shift.

[0037] In some examples (Figs.11-18), the transmissive layer 100 has a substantially uniform thickness d₁(x,y) + d₂(x,y) = D, and the discrete volumes of the multitude are arranged according to a regular two-dimensional grid pattern, characterized by a grid spacing of Λ0, along the first surface of the transmissive layer. The examples of Figs.11-18 include discrete volumes 103 typically arising from, e.g., an isotropic wet etch process, however, the grid-based arrangement can be implemented with discrete volumes resembling those of Figs.3-10, e.g., those typically arising from a directional dry etch process. The grid spacing Λ0 is less than or about equal to λ0 and typically greater than about equal to λ0/20. In some of those examples, the grid spacing Λ0 is greater than about λ0/10 or λ0/4 or even as large as about λ0/2. A smaller grid size can provide a more accurate approximation of the desired phase transformation function, but also requires smaller etched features to implement, which can have a practical lower limit (as discussed above). Any suitable grid pattern can be employed, e.g., triangular, square, rectangular, hexagonal, and so forth. Figs.11-18 show only a one-dimensional projection of the grid pattern. Because the discrete volumes 103 and the grid pattern include subwavelength features, typically there may be little or no unwanted coherent scattering or diffraction from the transmissive layer 100.

[0038] In some examples, the multitude of discrete volumes 103 is arranged so that, within each unit cell of the grid pattern, the discrete volumes 103 or portions thereof encompassed by that unit cell are arranged according to one of a set of K predetermined unit arrangements, so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over each unit cell of the grid pattern, can assume one of K discrete values. An example of a set of unit cell arrangement is illustrated schematically in Fig.19, which shows ten different unit cells with 0 through 9 etched spots yielding K=10 discrete levels of phase delay. The effective refractive index of each unit cell varies from n₁(λ0) (no etched spots) in discrete steps with each additional etched spot toward n2(λ0). If the etched spots do not overlap, the discrete effective index steps are nominally linear and stop short of reaching n₂(λ0) due to the areas of the first optical material remaining between the etched spots. If overlapping spots are employed, the effective index can reach n₂(λ0), but the discrete effective index steps may be nonlinear.

[0039] In other examples, each one of the discrete volumes 103 is arranged so that, within each unit cell, a single simply connected volume of the first optical medium is surrounded by the second optical medium, or vice versa; some example unit cells are shown in Fig.20. Each single simply connected volume may or may not extend the full thickness D of the transmissive layer 100; in some examples all such volumes reach both surface 101 and 102, while in other examples some or all such volumes reach only one of the surfaces 101 or 102. The effective index of each unit cell varies according to the size of the surrounded volume relative to the unit cell size. If a set of K discrete sizes are employed for the surrounded volumes, a corresponding set of K discrete effective refractive index steps can be realized; that discrete set can include n₁(λ0) or n₂(λ0) or both if one or more unit cells lack a surrounded volume or if the surrounded volume occupies the entirety of one or more unit cells. If a continuous size range is employed, an effectively continuous effective index range can be achieved. Such a continuous range typically would not include n₁(λ0) or n₂(λ0), due to limitations on the minimum etched feature size imposed by the particular etch process that is employed. Instead of a single surrounded volume, some or all unit cells can contain multiple surrounded volumes.

[0040] An example procedure for arranging the discrete volumes 103 to

approximate the desired phase function φ(x,y) proceeds as follows (assuming a substantially uniform thickness D for the transmissive layer 100 and assuming n₁>n₂). The transmission region of the optical element is divided into a grid with unit cells Λ0xΛ0 in size. In each unit cell, a local value of the phase shift φ(x,y) is calculated by averaging over that Λ0xΛ0 unit cell. A refractive index needed to achieve that phase shift is calculated based on the thickness D, the wavelength λ0, and the indices n₁(λ0) and n₂(λ0). If a set of predetermined unit arrangements is employed, it is determined for each cell which of the predetermined unit

arrangements yields an effective index that most closely approximates the calculated refractive index for that cell. If a set of discrete or continuous sizes of a surrounded volume within each unit cell is employed, a size is determined that most closely approximates the calculated refractive index for that cell. After that procedure has been done for every Λ0xΛ0 unit cell, the resulting two-dimensional spatial pattern is physically realized in any suitable way, e.g., as a photolithography mask, as a master for replication, as a die or mold, and so forth, to achieve the spatially selective replacement of the first optical medium in those selected discrete volumes with the second optical medium.

[0041] In another example procedure, wherein each discrete volume 103 is limited to transverse dimensions no smaller than about λ0/K, where 2≤ K≤ 20, a given area of the transmissive layer 100 having transverse dimensions about equal to λ0 would include at most about K² distinct discrete volumes 103. The desired phase transformation φ(x,y) can therefore be approximated at each location by one of K²+1 discrete levels, including n₁(λ0), n₂(λ0), and at least K²-1 intermediate values between n1(λ0) and n2(λ0). Higher values of K can yield a more accurate

approximation of φ(x,y), but require higher-resolution spatially selective processing techniques and may limit the layer thickness and the corresponding maximum achievable phase shift. In many examples, 4≤ K≤ 10, i.e., the smallest distinct discrete volumes 103 have transverse dimensions between about λ0/4 and about λ0/10. In one specific example, λ0 is about 1000 nm and K = 4, yielding a minimum feature size of about 250 nm and division of any λ0xλ0 area into at most K²=16 distinct discrete volumes 103. The desired phase transformation φ(x,y) can therefore be approximated at each location by one of K²+1=17 discrete levels, including n1(λ0), n2(λ0), and at least K²-1=15 intermediate values between n1(λ0)

[0042] An example procedure for arranging the discrete volumes 103 to approximate the desired phase function φ(x,y) proceeds as follows (assuming a substantially uniform thickness D for the transmissive layer 100 and assuming n1>n2). The transmissive payer 100 is divided into a grid with cells λ0xλ0 in size. In each cell, a local value of the phase shift φ(x,y) is calculated by averaging over that λ0xλ0 cell. A refractive index needed to achieve that phase shift is calculated based on the thickness D, the wavelength λ0, and the indices n₁(λ0) and n₂(λ0). An integer N with 0≤ N≤ K² is determined for each cell that yields a value of n1+(n2-n1)·N/K² that most closely approximates the calculated refractive index for that cell. For each cell, N discrete volumes, each (λ0/K)x(λ0/K) in size, are chosen for

replacement of the first optical medium by the second optical medium. After that procedure has been done for every λ0xλ0 cell, the resulting two-dimensional spatial pattern is physically realized in any suitable way, e.g., as a photolithography mask, as a master for replication, as a die or mold, and so forth, to achieve the spatially selective replacement of the first optical medium in those selected discrete volumes with the second optical medium.

[0043] One example is illustrated schematically in Figs.23 and 24, in which a higher-index layer (light) is etched in a pattern according to one of the above procedures; the resulting etched regions (dark) have a lower index. The

approximated modulo 2pi quadratic phase function illustrated causes the

transmissive layer to act as a positive lens.

[0044] In the preceding example, it may be desirable for the distinct discrete volumes 103 to be spatially distributed across the transmissive layer 100 in an uncorrelated, irregular, random, or pseudo-random arrangement. Arranging the aerial segments 103 in an uncorrelated, irregular, random, or pseudo-random arrangement can in some instances reduce or substantially eliminate diffraction or coherent scattering of the incident optical signal. For example, a random number generator can be employed to select which N discrete volumes should be processed in each λ0xλ0 cell. Other algorithms can be employed, including manual manipulation of the spatial pattern

[0045] In any of the preceding arrangements wherein one or both indices n1(λ0) or n₂(λ0) are not achieved, a transmissive layer thickness D typically would be employed that is somewhat greater than λ0/|n1(λ0)-n2(λ0)| (in a single-pass transmissive geometry; greater than λ0/(2|n1(λ0)-n2(λ0)|) for a double-pass reflective geometry) so as to provide a sufficient phase variation of at least 2pi for

approximating a desired phase function. [0046] In any of the preceding arrangements, thorough calibration typically is required to characterize the etched feature sizes required to achieve the desired local effective index of the transmissive layer 100. For example, the effective index would be expected to vary roughly according to the relative volumes of the first and second optical media in a given unit cell, but of a given combination of materials, etch process, and geometry might result in deviations from that expectation. Once a calibration is done, the values for the local effective index provided by a given arrangement of discrete volumes can be relied upon for designing and fabricating the inventive etched optical elements.

[0047] In addition to the preceding, the following examples fall within the scope of the present disclosure or appended claims: [0048] Example 1. An optical element comprising a transmissive layer comprising first and second optical media, wherein: (a) the first and second optical media are substantially transparent over an operational wavelength range including a design vacuum wavelength λ0 and are characterized by differing respective first and second wavelength-dependent bulk refractive indices n₁(λ) and n₂(λ), and the first optical medium comprises a substantially solid material; (b) the first and second optical media are arranged within the layer as a contiguous multitude of discrete volumes, including a subset of volumes of the multitude having a largest transverse dimension less than about λ0, wherein each discrete volume comprises either the first optical medium or the second optical medium, but not both; (c) the contiguous multitude of discrete volumes is arranged so that (i) any given simply connected sample volume of the transmissive layer, said sample volume having transverse dimensions about equal to λ0 and extending from the first surface through the transmissive layer to a second surface of the transmissive layer, includes only the first optical medium, only the second optical medium, or both the first and second optical media of at least portions of two or more of the discrete volumes, and (ii) any straight-line path, extending substantially perpendicularly from a first surface of the transmissive layer to a second surface of the transmissive layer, passes through only the first optical medium, through only the second optical medium, or through only one discrete volume of each of the first and second optical media; (d) the discrete volumes of the multitude are distributed on the transmissive layer so that (2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)), as a function of two-dimensional position coordinates x and y along the first surface of the transmissive layer, averaged over a sampling area having a largest transverse dimension about equal to λ0 along the first surface of the transmissive layer, is substantially equal to a specified position-dependent effective phase

transformation function φ_eff(x,y), or substantially equal to ½·φ_eff(x,y), where

(i) d1(x,y) and d2(x,y) are the respective local distances through the first and second optical media along the straight-line path through a given position (x,y), and (ii) φ_eff(x,y) varies with both x and y; and (e) the optical element is structurally arranged to as to receive an optical signal incident on the first surface within the transmission region and to transmit or reflect at least a portion of the incident optical signal transformed substantially according to the effective phase

transformation function φ_eff(x,y).

[0049] Example 2. The optical element of Example 1 wherein the transmissive layer includes areal regions for which either d₁(x,y) or d₂(x,y), but not both, are substantially equal to zero.

[0050] Example 3. The optical element of Example 2 wherein the transmissive layer includes (i) areal regions for which d₁(x,y)≠0 and d₂(x,y)=0, and (ii) areal regions for which d1(x,y)=0 and d2(x,y)≠0.

[0051] Example 4. The optical element of Example 2 wherein, at any given position (x,y), either d1(x,y) or d2(x,y), but not both, are substantially equal to zero.

[0052] Example 5. The optical element of any one of Examples 1 through 4 wherein the transmissive layer has a substantially uniform thickness

d₁(x,y) + d₂(x,y) = D.

[0053] Example 6. The optical element of any one of Examples 1 through 5 wherein the second optical medium comprises a substantially solid material.

[0054] Example 7. The optical element of any one of Examples 1 through 5 wherein the second optical medium comprises vacuum, a gaseous material, or a liquid material.

[0055] Example 8. The optical element of any one of Examples 1 through 7 wherein the first or second optical medium comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer. [0056] Example 9. The optical element of any one of Examples 1 through 8 further comprising a solid substrate or overlayer positioned against the first surface of the transmissive layer, wherein the substrate or overlayer against the first surface is substantially transparent over the operational wavelength range.

[0057] Example 10. The optical element of Example 9 wherein the transmissive layer comprises a surface relief structure on a surface of the substrate against the first surface with the second optical medium substantially filling recessed regions of the surface relief structure.

[0058] Example 11. The optical element of Example 10 wherein the substrate against the first surface comprises the same material as the first optical medium, and the surface relief structure is formed on a surface of the substrate.

[0059] Example 12. The optical element of Example 10 wherein the substrate against the first surface comprises material differing from the first and second optical media, and the surface relief structure is formed in a surface layer of the first optical medium on the substrate.

[0060] Example 13. The optical medium of any one of Examples 1 through 12 wherein the substrate or overlayer against the first surface comprises the same material as the first or second optical medium.

[0061] Example 14. The optical medium of any one of Examples 1 through 12 wherein the substrate or overlayer against the first surface comprises material differing from the first and second optical media.

[0062] Example 15. The optical element of any one of Examples 1 through 14 wherein the substrate or overlayer against the first surface comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer.

[0063] Example 16. The optical element of any one of Examples 1 through 15 wherein the discrete volumes of the multitude are distributed on the transmissive layer so that (2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)), averaged over a sampling area having a largest transverse dimension about equal to λ0 on the first surface of the transmissive layer, is substantially equal to the effective phase transformation function φeff(x,y), and the optical element is structurally arranged to as to receive the optical signal incident on the first surface within the transmission region and to transmit through the second surface at least a portion of the incident optical signal transformed substantially according to the effective phase transformation function φeff(x,y).

[0064] Example 17. The optical element of Example 16 wherein the transmissive layer has a substantially uniform thickness d1(x,y) + d2(x,y) = D that is substantially equal to Nλ0/|n1(λ0)-n2(λ0)|, where N is an integer.

[0065] Example 18. The optical element of Example 17 wherein N=1.

[0066] Example 19. The optical element of any one of Examples 16 through 18 further comprising a solid substrate or overlayer positioned against the second surface of the transmissive layer, wherein the substrate or overlayer against the second surface is substantially transparent over the operational wavelength range.

[0067] Example 20. The optical element of Example 19 wherein the transmissive layer comprises a surface relief structure on a surface of the substrate against the second surface with the second optical medium substantially filling recessed regions of the surface relief structure.

[0068] Example 21. The optical element of Example 20 wherein the substrate against the second surface comprises material differing from the first and second optical media, and the surface relief structure is formed in a surface layer of the first optical medium on the substrate.

[0069] Example 22. The optical element of Examples 20 wherein the substrate against the second surface comprises the same material as the first optical medium, and the surface relief structure is formed on a surface of the substrate.

[0070] Example 23. The optical medium of any one of Examples 19 through 22 wherein the substrate or overlayer against the second surface comprises the same material as the first or second optical medium.

[0071] Example 24. The optical medium of any one of Examples 19 through 22 wherein the substrate or overlayer against the second surface comprises material differing from the first and second optical media.

[0072] Example 25. The optical element of any one of Examples 19 through 24 wherein the substrate or overlayer against the second surface comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer. [0073] Example 26. The optical element of any one of Examples 1 through 15 further comprising a reflector facing the second surface of the transmissive layer, wherein the discrete volumes of the multitude are distributed on the transmissive layer so that (4pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over a sampling area having a largest transverse dimension about equal to λ0 on the first surface of the transmissive layer, is substantially equal to the effective phase transformation function φ_eff(x,y), and the optical element is structurally arranged to as to receive the optical signal incident on the first surface within the transmission region and to reflect at least a portion of the incident optical signal transformed substantially according to the effective phase transformation function φeff(x,y).

[0074] Example 27. The optical element of Example 26 wherein the transmissive layer has a substantially uniform thickness d1(x,y) + d2(x,y) = D that is substantially equal to Nλ0/(2|n₁(λ0)-n₂(λ0)|), where N is an integer.

[0075] Example 28. The optical element of Example 27 wherein N=1.

[0076] Example 29. The optical element of any one of Examples 26 through 28 wherein the reflector is positioned against the second surface of the transmissive layer.

[0077] Example 30. The optical element of any one of Examples 26 through 29 further comprising a substrate positioned against the reflector with the reflector positioned between the substrate and the second surface of the transmissive layer.

[0078] Example 31. The optical element of any one of Examples 1 through 30 wherein the position-dependent effective phase transformation function φ_eff(x,y) is a modulo 2pi function.

[0079] Example 32. The optical element of any one of Examples 1 through 31 wherein the effective phase transformation function φ_eff(x,y) approximates a function of the form φ(x,y) = Ax²+By², or φ(x,y) = Ax²+By² modulo 2pi, where A and B are non-zero, positive or negative real numbers.

[0080] Example 33. The optical element of Example 32 wherein A=B.

[0081] Example 34. The optical element of any one of Examples 1 through 31 wherein the effective phase transformation function φeff(x,y) approximates a function of the form φ(θ) = Mθ, or φ(θ) = Mθ modulo 2pi, for 0≤θ<2pi, where θ is related to x and y by cosθ=x/(x²+y²)^½ and sinθ=y/(x²+y²)^½ and M is a non-zero integer.

[0082] Example 35. The optical element of Example 34 wherein M=±1.

[0083] Example 36. The optical element of any one of Examples 1 through 31 wherein the effective phase transformation function φeff(x,y) approximates a sum, or a modulo 2pi sum, of distinct, specified, position-dependent phase

transformation functions φ1(x,y) and φ2(x,y).

[0084] Example 37. The optical element of Example 36 wherein

(i) φ1(x,y) = Ax²+By², or φ1(x,y) = Ax²+By² modulo 2pi, where A and B are non-zero, positive or negative real numbers, and (ii) φ2(x,y) = Mθ, or φ(θ) = Mθ modulo 2pi, for 0≤θ<2pi, where θ is related to x and y by cosθ=x/(x²+y²)^½ and sinθ=y/(x²+y²)^½ and M is a non-zero integer.

[0085] Example 38. The optical element of any one of Examples 1 through 37 wherein each discrete volume of the multitude has a smallest transverse dimension no smaller than about λ0/K, where 2≤ K≤ 20.

[0086] Example 39. The optical element of Example 38 wherein (i) the

transmissive layer has a substantially uniform thickness D, (ii) at any given position (x,y), either d₁(x,y) = D and d₂(x,y) = 0, or d₁(x,y) = 0 and d₂(x,y) = D, and

(2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)), averaged over a sampling area having a largest transverse dimension about equal to λ0 along the first surface of the transmissive layer, can assume one of at least K²+1 discrete values including 2pi·n₁(λ0)·D/λ0, 2pi·n₂(λ0)·D/λ0, and at least K²-1 intermediate values therebetween.

[0087] Example 40. The optical element of any one of Examples 38 or 39 wherein 4≤ K≤ 10.

[0088] Example 41. The optical element of any one of Examples 1 through 40 wherein the discrete volumes are spatially distributed across the transmission region of the transmissive layer in an uncorrelated, irregular, random, or pseudo- random arrangement.

[0089] Example 42. The optical element of any one of Examples 1 through 37 wherein (i) the transmissive layer has a substantially uniform thickness

d1(x,y) + d2(x,y) = D, and (ii) the discrete volumes of the multitude are arranged according to a regular two-dimensional grid pattern along the first surface of the transmissive layer characterized by a grid spacing of Λ0 between about λ0/20 and about λ0.

[0090] Example 43. The optical element of Example 42 wherein the grid spacing of Λ0 is between about λ0/10 and about λ0/2.

[0091] Example 44. The optical element of any one of Examples 42 or 43 wherein the multitude of discrete volumes is arranged so that, within each unit cell of the grid pattern, the discrete volumes or portions thereof encompassed by that unit cell are arranged according to one of a set of K predetermined unit

arrangements, so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over each unit cell of the grid pattern, can assume one of K discrete values.

[0092] Example 45. The optical element of Example 44 wherein the K discrete values include 2pi·n1(λ0)·D/λ0, 2pi·n2(λ0)·D/λ0, and K-2 intermediate values therebetween.

[0093] Example 46. The optical element of any one of Examples 42 or 43 wherein the multitude of discrete volumes is arranged so that (i) the discrete volumes or portions thereof encompassed by each unit cell of the grid pattern are arranged as a single simply connected volume of the first optical medium

surrounded by the second optical medium and one or both of the first and second surfaces or (ii) the discrete volumes or portions thereof encompassed by each unit cell of the grid pattern are arranged as a single simply connected volume of the second optical medium surrounded by the first optical medium and one or both of the first and second surfaces, so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over each unit cell of the grid pattern, can assume a substantially continuous range of values according to a size of each unit cell occupied by the corresponding simply connected volume.

[0094] Example 47. The optical element of Example 46 wherein the substantially continuous range of values extends from about 2pi·n₁(λ0)·D/λ0 to about

2pi·n2(λ0)·D/λ0.

[0095] Example 48. A method employing the optical element of any one of Examples 1 through 47, the method comprising (i) directing an optical signal onto the first surface of the transmissive layer of the optical element and (ii) transmitting through or reflecting from the optical element at least a portion of the optical signal transformed substantially according to the effective phase transformation function φ_eff(x,y).

[0096] Example 49. A method for making the optical element of any one of Examples 1 through 47, the method comprising spatially selectively processing a layer comprising the first optical medium to replace, in selected volumes of the layer, the first optical medium with the second optical medium, thereby forming the transmissive layer of the optical element.

[0097] It is intended that equivalents of the disclosed example embodiments and methods shall fall within the scope of the present disclosure or appended claims. It is intended that the disclosed example embodiments and methods, and

equivalents thereof, may be modified while remaining within the scope of the present disclosure or appended claims.

[0098] In the foregoing Detailed Description, various features may be grouped together in several example embodiments for the purpose of streamlining the disclosure. This method of disclosure is not to be interpreted as reflecting an intention that any claimed embodiment requires more features than are expressly recited in the corresponding claim. Rather, as the appended claims reflect, inventive subject matter may lie in less than all features of a single disclosed example embodiment. Thus, the appended claims are hereby incorporated into the Detailed Description, with each claim standing on its own as a separate disclosed embodiment. However, the present disclosure shall also be construed as implicitly disclosing any embodiment having any suitable set of one or more disclosed or claimed features (i.e., a set of features that are neither incompatible nor mutually exclusive) that appear in the present disclosure or the appended claims, including those sets that may not be explicitly disclosed herein. In addition, for purposes of disclosure, each of the appended dependent claims shall be construed as if written in multiple dependent form and dependent upon all preceding claims with which it is not inconsistent. It should be further noted that the scope of the appended claims does not necessarily encompass the whole of the subject matter disclosed herein.

[0099] For purposes of the present disclosure and appended claims, the conjunction“or” is to be construed inclusively (e.g.,“a dog or a cat” would be interpreted as“a dog, or a cat, or both”; e.g.,“a dog, a cat, or a mouse” would be interpreted as“a dog, or a cat, or a mouse, or any two, or all three”), unless: (i) it is explicitly stated otherwise, e.g., by use of“either…or,”“only one of,” or similar language; or (ii) two or more of the listed alternatives are mutually exclusive within the particular context, in which case“or” would encompass only those

combinations involving non-mutually-exclusive alternatives. For purposes of the present disclosure and appended claims, the words“comprising,”“including,” “having,” and variants thereof, wherever they appear, shall be construed as open ended terminology, with the same meaning as if the phrase“at least” were appended after each instance thereof, unless explicitly stated otherwise. For purposes of the present disclosure or appended claims, when terms are employed such as“about equal to,”“substantially equal to,”“greater than about,”“less than about,” and so forth, in relation to a numerical quantity, standard conventions pertaining to measurement precision and significant digits shall apply, unless a differing interpretation is explicitly set forth. For null quantities described by phrases such as“substantially prevented,”“substantially absent,”“substantially eliminated,” “about equal to zero,”“negligible,” and so forth, each such phrase shall denote the case wherein the quantity in question has been reduced or diminished to such an extent that, for practical purposes in the context of the intended operation or use of the disclosed or claimed apparatus or method, the overall behavior or performance of the apparatus or method does not differ from that which would have occurred had the null quantity in fact been completely removed, exactly equal to zero, or otherwise exactly nulled.

[0100] In the appended claims, any labelling of elements, steps, limitations, or other portions of a claim (e.g., first, second, etc., (a), (b), (c), etc., or (i), (ii), (iii), etc.) is only for purposes of clarity, and shall not be construed as implying any sort of ordering or precedence of the claim portions so labelled. If any such ordering or precedence is intended, it will be explicitly recited in the claim or, in some instances, it will be implicit or inherent based on the specific content of the claim. In the appended claims, if the provisions of 35 USC § 112(f) are desired to be invoked in an apparatus claim, then the word“means” will appear in that apparatus claim. If those provisions are desired to be invoked in a method claim, the words“a step for” will appear in that method claim. Conversely, if the words“means” or“a step for” do not appear in a claim, then the provisions of 35 USC § 112(f) are not intended to be invoked for that claim. [0101] If any one or more disclosures are incorporated herein by reference and such incorporated disclosures conflict in part or whole with, or differ in scope from, the present disclosure, then to the extent of conflict, broader disclosure, or broader definition of terms, the present disclosure controls. If such incorporated disclosures conflict in part or whole with one another, then to the extent of conflict, the later- dated disclosure controls.

[0102] The Abstract is provided as required as an aid to those searching for specific subject matter within the patent literature. However, the Abstract is not intended to imply that any elements, features, or limitations recited therein are necessarily encompassed by any particular claim. The scope of subject matter encompassed by each claim shall be determined by the recitation of only that claim.

Claims

What is claimed is: 1. An optical element comprising a transmissive layer comprising first and second optical media, wherein:

(a) the first and second optical media are substantially transparent over an operational wavelength range including a design vacuum wavelength λ0 and are characterized by differing respective first and second wavelength- dependent bulk refractive indices n₁(λ) and n₂(λ), and the first optical medium comprises a substantially solid material;

(b) the first and second optical media are arranged within the layer as a contiguous multitude of discrete volumes, including a subset of volumes of the multitude having a largest transverse dimension less than about λ0, wherein each discrete volume comprises either the first optical medium or the second optical medium, but not both;

(c) the contiguous multitude of discrete volumes is arranged so that (i) any given simply connected sample volume of the transmissive layer, said sample volume having transverse dimensions about equal to λ0 and extending from the first surface through the transmissive layer to a second surface of the transmissive layer, includes only the first optical medium, only the second optical medium, or both the first and second optical media of at least portions of two or more of the discrete volumes, and (ii) any straight-line path, extending substantially perpendicularly from a first surface of the transmissive layer to a second surface of the transmissive layer, passes through only the first optical medium, through only the second optical medium, or through only one discrete volume of each of the first and second optical media;

(d) the discrete volumes of the multitude are distributed on the transmissive layer so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), as a function of two-dimensional position coordinates x and y along the first surface of the transmissive layer, averaged over a sampling area having a largest transverse dimension about equal to λ0 along the first surface of the transmissive layer, is substantially equal to a specified position-dependent effective phase transformation function φ_eff(x,y), or substantially equal to ½·φ_eff(x,y), where (i) d₁(x,y) and d₂(x,y) are the respective local distances through the first and second optical media along the straight-line path through a given position (x,y), and (ii) φ_eff(x,y) varies with both x and y; and

(e) the optical element is structurally arranged to as to receive an optical signal incident on the first surface within the transmission region and to transmit or reflect at least a portion of the incident optical signal

transformed substantially according to the effective phase transformation function

2. The optical element of Claim 1 wherein the transmissive layer includes areal regions for which either d₁(x,y) or d₂(x,y), but not both, are substantially equal to zero.

3. The optical element of Claim 2 wherein the transmissive layer includes (i) areal regions for which d1(x,y)≠0 and

and (ii) areal regions for which d1(x,y)=0 and d2(x,y)≠0.

4. The optical element of Claim 2 wherein, at any given position (x,y), either d1(x,y) or d2(x,y), but not both, are substantially equal to zero.

5. The optical element of any one of Claims 1 through 4 wherein the transmissive layer has a substantially uniform thickness d1(x,y) + d2(x,y) = D.

6. The optical element of any one of Claims 1 through 5 wherein the second optical medium comprises a substantially solid material.

7. The optical element of any one of Claims 1 through 5 wherein the second optical medium comprises vacuum, a gaseous material, or a liquid material.

8. The optical element of any one of Claims 1 through 7 wherein the first or second optical medium comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer.

9. The optical element of any one of Claims 1 through 8 further comprising a solid substrate or overlayer positioned against the first surface of the transmissive layer, wherein the substrate or overlayer against the first surface is substantially transparent over the operational wavelength range.

10. The optical element of Claim 9 wherein the transmissive layer comprises a surface relief structure on a surface of the substrate against the first surface with the second optical medium substantially filling recessed regions of the surface relief structure.

11. The optical element of Claim 10 wherein the substrate against the first surface comprises material differing from the first and second optical media, and the surface relief structure is formed in a surface layer of the first optical medium on the substrate.

12. The optical element of Claim 10 wherein the substrate against the first surface comprises the same material as the first optical medium, and the surface relief structure is formed on a surface of the substrate.

13. The optical medium of any one of Claims 1 through 12 wherein the substrate or overlayer against the first surface comprises the same material as the first or second optical medium.

14. The optical medium of any one of Claims 1 through 12 wherein the substrate or overlayer against the first surface comprises material differing from the first and second optical media.

15. The optical element of any one of Claims 1 through 14 wherein the substrate or overlayer against the first surface comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer.

16. The optical element of any one of Claims 1 through 15 wherein the discrete volumes of the multitude are distributed on the transmissive layer so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over a sampling area having a largest transverse dimension about equal to λ0 on the first surface of the

transmissive layer, is substantially equal to the effective phase transformation function φ_eff(x,y), and the optical element is structurally arranged to as to receive the optical signal incident on the first surface within the transmission region and to transmit through the second surface at least a portion of the incident optical signal transformed substantially according to the effective phase transformation function φ_eff(x,y).

17. The optical element of Claim 16 wherein the transmissive layer has a substantially uniform thickness d₁(x,y) + d₂(x,y) = D that is substantially equal to Nλ0/|n₁(λ0)-n₂(λ0)|, where N is a non-zero integer.

18. The optical element of Claim 17 wherein N=1.

19. The optical element of any one of Claims 16 through 18 further comprising a solid substrate or overlayer positioned against the second surface of the transmissive layer, wherein the substrate or overlayer against the second surface is substantially transparent over the operational wavelength range.

20. The optical element of Claim 19 wherein the transmissive layer comprises a surface relief structure on a surface of the substrate against the second surface with the second optical medium substantially filling recessed regions of the surface relief structure.

21. The optical element of Claim 20 wherein the substrate against the second surface comprises material differing from the first and second optical media, and the surface relief structure is formed in a surface layer of the first optical medium on the substrate.

22. The optical element of Claim 20 wherein the substrate against the second surface comprises the same material as the first optical medium, and the surface relief structure is formed on a surface of the substrate.

23. The optical medium of any one of Claims 19 through 22 wherein the substrate or overlayer against the second surface comprises the same material as the first or second optical medium.

24. The optical medium of any one of Claims 19 through 22 wherein the substrate or overlayer against the second surface comprises material differing from the first and second optical media.

25. The optical element of any one of Claims 19 through 24 wherein the substrate or overlayer against the second surface comprises: (i) a solid doped or undoped dielectric material, (ii) a solid doped or undoped semiconductor material, or (iii) a solid doped or undoped polymer.

26. The optical element of any one of Claims 1 through 15 further comprising a reflector facing the second surface of the transmissive layer, wherein the discrete volumes of the multitude are distributed on the transmissive layer so that (4pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over a sampling area having a largest transverse dimension about equal to λ0 on the first surface of the

transmissive layer, is substantially equal to the effective phase transformation function φ_eff(x,y), and the optical element is structurally arranged to as to receive the optical signal incident on the first surface within the transmission region and to reflect at least a portion of the incident optical signal transformed substantially according to the effective phase transformation function

27. The optical element of Claim 26 wherein the transmissive layer has a substantially uniform thickness d1(x,y) + d2(x,y) = D that is substantially equal to Nλ0/(2|n1(λ0)-n2(λ0)|), where N is a non-zero integer.

28. The optical element of Claim 27 wherein N=1.

29. The optical element of any one of Claims 26 through 28 wherein the reflector is positioned against the second surface of the transmissive layer.

30. The optical element of any one of Claims 26 through 29 further comprising a substrate positioned against the reflector with the reflector positioned between the substrate and the second surface of the transmissive layer.

31. The optical element of any one of Claims 1 through 30 wherein the position-dependent effective phase transformation function φ_eff(x,y) is a modulo 2pi function.

32. The optical element of any one of Claims 1 through 31 wherein the effective phase transformation function φ_eff(x,y) approximates a function of the form φ(x,y) = Ax²+By², or φ(x,y) = Ax²+By² modulo 2pi, where A and B are non-zero, positive or negative real numbers.

33. The optical element of Claim 32 wherein A=B.

34. The optical element of any one of Claims 1 through 31 wherein the effective phase transformation function φ_eff(x,y) approximates a function of the form φ(θ) = Mθ, or φ(θ) = Mθ modulo 2pi, for 0≤θ<2pi, where θ is related to x and y by cosθ=x/(x²+y²)^½ and sinθ=y/(x²+y²)^½ and M is a non-zero integer.

35. The optical element of Claim 34 wherein M=±1.

36. The optical element of any one of Claims 1 through 31 wherein the effective phase transformation function φ_eff(x,y) approximates a sum, or a modulo 2pi sum, of distinct, specified, position-dependent phase transformation functions φ1(x,y) and φ2(x,y).

37. The optical element of Claim 36 wherein (i) φ1(x,y) = Ax²+By², or φ1(x,y) = Ax²+By² modulo 2pi, where A and B are non-zero, positive or negative real numbers, and (ii) φ2(x,y) = Mθ, or φ(θ) = Mθ modulo 2pi, for 0≤θ<2pi, where θ is related to x and y by cosθ=x/(x²+y²)^½ and sinθ=y/(x²+y²)^½ and M is a non-zero integer.

38. The optical element of any one of Claims 1 through 37 wherein each discrete volume of the multitude has a smallest transverse dimension no smaller than about λ0/K, where 2≤ K≤ 20.

39. The optical element of Claim 38 wherein (i) the transmissive layer has a substantially uniform thickness D, (ii) at any given position (x,y), either d1(x,y) = D and d2(x,y) = 0, or d1(x,y) = 0 and d2(x,y) = D, and

40. The optical element of any one of Claims 38 or 39 wherein 4≤ K≤ 10.

41. The optical element of any one of Claims 1 through 40 wherein the discrete volumes are spatially distributed across the transmission region of the transmissive layer in an uncorrelated, irregular, random, or pseudo-random arrangement.

42. The optical element of any one of Claims 1 through 37 wherein (i) the transmissive layer has a substantially uniform thickness d₁(x,y) + d₂(x,y) = D, and (ii) the discrete volumes of the multitude are arranged according to a regular two- dimensional grid pattern along the first surface of the transmissive layer

characterized by a grid spacing of Λ0 between about λ0/20 and about λ0.

43. The optical element of Claim 42 wherein the grid spacing of Λ0 is between about λ0/10 and about λ0/2.

44. The optical element of any one of Claims 42 or 43 wherein the multitude of discrete volumes is arranged so that, within each unit cell of the grid pattern, the discrete volumes or portions thereof encompassed by that unit cell are arranged according to one of a set of K predetermined unit arrangements, so that

(2pi/λ0)·(n1(λ0)·d1(x,y)+n2(λ0)·d2(x,y)), averaged over each unit cell of the grid pattern, can assume one of K discrete values.

45. The optical element of Claim 44 wherein the K discrete values include 2pi·n1(λ0)·D/λ0, 2pi·n2(λ0)·D/λ0, and K-2 intermediate values therebetween.

46. The optical element of any one of Claims 42 or 43 wherein the multitude of discrete volumes is arranged so that (i) the discrete volumes or portions thereof encompassed by each unit cell of the grid pattern are arranged as a single simply connected volume of the first optical medium surrounded by the second optical medium and one or both of the first and second surfaces or (ii) the discrete volumes or portions thereof encompassed by each unit cell of the grid pattern are arranged as a single simply connected volume of the second optical medium surrounded by the first optical medium and one or both of the first and second surfaces, so that (2pi/λ0)·(n₁(λ0)·d₁(x,y)+n₂(λ0)·d₂(x,y)), averaged over each unit cell of the grid pattern, can assume a substantially continuous range of values according to a size of each unit cell occupied by the corresponding simply connected volume.

47. The optical element of Claim 46 wherein the substantially continuous range of values extends from about 2pi·n₁(λ0)·D/λ0 to about 2pi·n₂(λ0)·D/λ0.

48. A method employing the optical element of any one of Claims 1 through 47, the method comprising (i) directing an optical signal onto the first surface of the transmissive layer of the optical element and (ii) transmitting through or reflecting from the optical element at least a portion of the optical signal transformed substantially according to the effective phase transformation function φ_eff(x,y).

49. A method for making the optical element of any one of Claims 1 through 47, the method comprising spatially selectively processing a layer comprising the first optical medium to replace, in selected volumes of the layer, the first optical medium with the second optical medium, thereby forming the transmissive layer of the optical element.