thesis ...
"Phase-Only Optical Information Processing"
University of Edinburgh, Duncansapien, 1992.
Index Chapter 1 2 3 4 5 6 7 8 9 (Edinburgh Research Archive version)
Chapter 7
Optical Correlation: Groundwork.
Introduction
In the preceding chapters the operation and (improved) assembly of a 16×16 pixel spatial light modulator has been described in detail. This work was directed to obtaining a device of the highest possible optical quality realizable within the timescale of this project, for evaluation as a binary phase-only optical correlation filter.The purpose of this chapter is to lay the essential groundwork for the experimental results of the final chapter. Section one of this chapter reviews the choices one must make in order to accurately represent the optical correlation system1 on a computer and describes the computational background of the problem. Section two details the fabrication of the target objects used in the experiment and section three evaluates the information extraction techniques which were used to characterise both simulated and experimental results. A redefinition of one such parameter, optical efficiency, based upon experimentally measurable quantities is also proposed.
1 Computational Framework
1.1 Optical Requirements
The optical phenomenon to be represented on the computer is first described in this subsection. This shall provide one or two very important observations which will considerably aid discussion of the computational approach. In the frequency plane of an optical processor, if xt denotes physical distance, nx the spatial frequency along the x-axis and FL the focal length of the transform lens used then it has already been noted that
| (1) |
| (2) |
| (3) |
| (4) |
| (5) |
The preceding calculation follows a similar line of argument as the one which
led to the definition of the space-bandwith product in chapter four,
but it is not the intention here to repeat that calculation. Instead,
for numerical simulation, one wishes to know where the
object spatial frequencies are mapped to in the frequency plane.
Where, for instance, is the fundamental frequency of an object of width
Wo as just determined, mapped to ? The fundamental frequency is
defined as
| (6) |
1.2 Numerical Simulation
Numerical simulation is based around the properties of the Discrete Fourier Transform or `DFT'. The maximum spatial frequency which can be represented by a DFT is the Nyquist frequency, nNY=[ 1/(dx)] where dx is the sampling interval (in terms of physical distance) in the object space. The question of exactly where this frequency is located within the output array from the DFT algorithm requires a moment`s clarification. Frequently the output of the algorithm stores the information on the spectrum in what is commonly termed `computer' format which, if displayed, would not resemble the optical transform3. Re-arrangement is a simple matter. Once in `optical format', the zero frequency component lies at J=[ N/2]+1 where J denotes the pixel number in the DFT plane as illustrated in figure 7.1.

Figure 7.1: DFT representation of an Optical Fourier Transform
The target object may be written onto either the whole of the object space or a subsection of that space, the precise choice of which has strong implications for filter computation in the frequency plane. To see this, a fundamental property of the DFT, periodicity, shall now be studied with reference to an N point Fourier Transform, conducted in 1-D for simplicity.
Mapping in the DFT
The DFT, being the Fourier Transform of the sampled function, is therefore a periodic function by virtue of the sampling theorem, and this is true no matter which space - object or frequency - is used as input to the algorithm. If the object is written on all N pixels of the object space then the entire frequency space displays precisely one cycle of the DFT. In this case, the fundamental object spatial frequency is mapped to a position exactly one pixel either side of the zero frequency.
However, consider the action of the DFT algorithm
when used to transform from the frequency plane to the image plane. In
direct analogy to the optical calculation of equations 7.3 to 7.6, it is
straightforward to show that if the mirrors are spaced nm pixel
separations
apart, so that the sampling interval is nm pixels, then the image
plane shows several cycles of the DFT (each of which is an upside down
image of the object function) separated by
an interval of [ N/(nm)].
In order to avoid overlapping of the replications this must also be the
maximum allowable object size no, and the general relationship is
| (7) |
| (8) |

Figure 7.2: Mapping Object Wavelengths to Frequency Space.
An accurate representation of the optical system requires the mirrors to be spaced [ N/(no)] pixels apart if an object subspace of no pixels on a side is used. Table 7.1 lists several possible mirror separations and the resulting maximum object width.
| N | nm | no=[ N/(nm)] | 16×nm |
| 256 | 4 | 64 | 64 |
| 8 | 32 | 128 | |
| 16 | 16 | 256 | |
| 512 | 4 | 128 | 64 |
| 8 | 64 | 128 | |
| 16 | 32 | 256 | |
| 32 | 16 | 512 |
1.3 Resolution Requirements
Equation 7.8 is analogous to the space-bandwidth product equation for the optical situation, and allows variable resolution in object and frequency spaces. The small object size allowable by the small space-bandwidth product of the SLM translates, experimentally, to a low resolution object due to the difficulty involved in fabricating test objects only 1.9mm on a side wide, which is further discussed in section two. One would further wish as many DFT pixels to cover each mirror in the frequency space as possible so that the light field is adequately sampled. Therefore in optical correlation simulations and filter calculation the limited space-bandwidth product of the 16×16 SLM naturally favours low object space and high frequency space resolutions.The question of exactly how many mirror sample points are needed to accurately determine the characteristic phase has been much neglected in the literature. Hossack [] has suggested that the sample interval should be such that the wavefront over the mirror is at least optimally sampled. The problem is then to determine what this sampling interval actually is, which is where the Point Spread Function (PSR) of the lens enters the discussion. The smallest resolvable feature of the wavefront in the frequency plane is determined by the PSR of the Transform lens. If one were to imagine an experiment whereby the amplitude and phase of a number of points over a mirror were actually measured, it would seem reasonable to take measurements at an interval not smaller than the resolution limit of the lens which, for an abberation free lens, is given by 1.22 l F# where F# is the f-number of the transform lens. Measurements made at two points separated by less than this distance will be strongly affected by the PSR of the other point. As this is the smallest feasable interval one might measure and obtain results free from the effects of the PSR, it is suggested that this distance (or slightly greater) be the optimum sampling interval.
In the simulations used in this project a 256×256 array was used for the DFT routine which results in a 9×9 sub-array of the DFT covering each mirror region. The f-number of the transform lens was 12 and illumination with a He-Ne laser gives the smallest resolvable interval as 9.26mm. As each mirror is 100mm on a side, a 9×9 grid of sampling points provides an on-axis sample separation of 12.5mm. Given that the lens is unlikely to have been 100% aberration free, this figure shows that the wavefront in the frequency plane was sampled as finely as possible.
From table 7.2 a 256×256 DFT array size allows the computer representation of the SLM to fill the entire frequency space whilst providing an object resolution of 16×16 pixels. Although the 512×512 array size can provide better resolution in both object and frequency space, it is computationally intensive and requires an extensive amount of data storage space and was rejected in favour of the smaller, but adequate, 256×256 array.
It is desirable to centre the SLM in the Fourier plane so that a mirror lies over the zero frequency component of the spectrum. In order that this be achieved with a device having an even number of mirrors, it is neccessary to offset the device up and to the left in the frequency plane by one mirror. The relative sizes of object and frequency subspaces used are shown in figure 7.3. Therefore the leftmost column and uppermost row of the SLM are of no use in practical filtering operations. From the choice of transform scaling (lens focal length) very little energy should lie over the outer regions of the SLM so that it is considered that any effects on the correlation from a binary phase value chosen from a reduced data set on these mirrors will be further minimised.

Figure 7.3: Object and Frequency Subspace Sizes.
Mirror Boundaries
In the simulation, SLM mirror rows are numbered from zero to fifteen starting from the top row, and columns from zero to fifteen starting from the left. This convention follows the way a FORTRAN binary file is written where the first 2-D array element written to a file happens to be the top left one, proceeding a row at a time until the bottom right element is written. The central mirror thus lies at location (8,8) in this co-ordinate system. The procedure used to isolate the data to be used in calculating the binary phase of each mirror requires the pixel boundaries of each mirror to be determined.

Figure 7.4: Mirror Co-ordinate System.
A FORTRAN program, incorporating many of the equations included thus far in this chapter was written to this end. The single parameter input is the focal length of the transform lens, which defines maximum object width and the frequency-distance relationship of the Fourier plane uniquely. As the physical positions of the mirrors are known precisely, it is a simple matter to increment the pixel number in the discretised distance-frequency relation and thus find out if which pixel numbers lie within which mirror. The program MIRMAKE.FOR is included, together with a list of actual mirror pixel locations, in appendix eight. A 50% fill factor cannot be attained in this simulation for the following reasons:
- In order that the computational representation of the SLM be self consistent each mirror should be identical in size to the central mirror.
- For the central mirror to have a sample point at the origin of frequency and the mirror to be symmetrical about the origin the central mirror must have an odd number of sample points.
- Mirror centres are determined by the object subspace coverage no by equation 7.8 and are 16 pixels apart in this simulation. The closest situation to a 50% fill factor attainable is for the mirror to have either 9 or 7 pixels - one more or less than 8 pixels by requirement 2 above. From the sampling theorem, sinc interpolation between the datapoints would form a continuous reconstruction of the SLM, the mirror boundaries of which would lie midway between the outer mirror pixels and the first circuitry pixels. Comparison of the mirror widths so determined with those of the actual SLM reveals that a 9 pixel mirror has boundaries lying fractionally within those of the physical device. For this reason the 7 pixel mirror simulation was not used.

Figure 7.5: Comparison of a 7 and 9 Pixel Mirror Model.
2 Correlation Target Objects
In chapter four, it was quoted that binarised input targets resulted in the best autocorrelation results for a binary phase-only filter. The limited space-bandwidth product of the device used in this project, coupled with the need for accurate computational modelling of the physical target, suggest that low resolution binary target objects be used. Binary objects are easy to create as a data file with zeros or ones, and are further easy to fabricate, as this section shall describe.It is common for assertions to be made on the merits of particular correlation systems based on the simulation results using but a single target object. Whilst it is quite plausible that the generalisations extrapolated are true to a high degree, this approach would not suit the requirements of this project. Several algorithms will be evaluated both using simulated and experimental results. There is much debate about the suitability of certain filter algorithms as shall be discussed more fully in chapter eight. Here it is noted that the degree of symmetry of a target object may radically affect the resulting auto-correlation, so that one should bear in mind that the particular object used may be biasing the results.
The target objects used were photographic transparencies and it is likely that the fabricated target objects as used in this project suffer from a degree of phase noise. In order to account for this, and to guard against drawing conclusions based on a single object, it is proposed that a range of different target objects be used for each filter algorithm under observation and that the overall properties of the resulting correlation set be compared. With larger SLM arrays, such as the 50×50 device, it will be possible to present a separate target in each quadrant of the object space and obtain both cross and auto-correlations simultaneously. However, due to the very small size of the object allowed, 1.9mm, only one distinct target can be described per object space with the 16×16 SLM. The work of this chapter therefore very much paves the ground for the bigger arrays to come.
2.1 Fabrication
A total of seven letters and symbols, shown in figure 7.6, were used in this experiment. Each symbol was written onto a background of a 16×16 pixel set and in order that each transmit an identical amount of light, comprised of 76 ones against a background of zeros.

Figure 7.6: The Seven Target Objects.
For the required degree of resolution of object and frequency space discussed earlier, the object is represented on a small array of discretised points. Such is the computer representation of a continuous object, but for the experiment the mathematical data point information must be turned into a physical spatial variation in transmission. Laser plotters assign a finite physical dimension to each input data point they receive and are thus an obvious choice for the realisation of the targets. The procedure for object fabrication is to scale up the object to a suitable size for display on a laser plotter, using black to white inversion before plotting so that a black symbol on a white background results. This is required in the next stage - photoreduction - carried out by the Dept. of Physics photographer Peter Tuffy, so that the photographic negative of the reduced symbol has a transmitting symbol on a black background. High contrast `lithographic' film was used to minimise the effects of density non-uniformities in the laser printed output.
Accurate photoreduction, however, has three limitations. Firstly, there is always a loss in resolution involved in such a process so that as large an initial object as possible should be used to compensate for this. Secondly, photoreduction was available by integer steps only so that the initial object used must be as close as possible to an integer multiple, `K', in width of 1.898mm4. Thirdly, there is a maximum size of object that can be conveniently photoreduced. Laser plotting also has a limitation in that the spatial width assigned to a single data pixel is fixed. Therefore, the fabrication problem can be reduced to two stages:
- The integer value `K' of the photoreduction process is varied and
a list of acceptable input dimensions suitable for photoreduction,
DK, obtained. On the plotter used, each data point is represented by
a square of side [ 1/76]". In metric units, mm, the actual width of
the scaled data block 16m pixels on a side is then
As the physical size attributed to each data pixel is so small ( @ 0.33mm) one would wish a relatively large value of m so that each data pixel is mapped to a dimension large enough that the resolution loss upon photoreduction does not significantly degrade the target object appearance. Without resort to calculation it was thought that m ³ 3 would be a wise precaution.
Dm = 16m×0.334 (9) - For each value of K, the data scaling variable `m' which
gives Laser plotter output of dimension Dm closest to Dm is
found.
DK = 1.898×K (10)
Table 7.2 lists several values of DK and best agreeing m value. Many more combinations were tried than those listed here though the data serves to illustrate the nature of the procedure.
| K | DK | Best m | Dm | Final Object Size | % Error |
| 10 | 18.984mm | 3 | 16.042mm | 1.604mm | 15.5% |
| 11 | 20.8824mm | 4 | 21.389mm | 1.944mm | 2.42% |
| 12 | 22.7808mm | 4 | 21.389mm | 1.782mm | 6.12% |
| 14 | 26.577mm | 5 | 26.734mm | 1.910mm | 0.61% |


