298

JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. LT-4, NO. 3, MARCH 1986

Phase Noise in Semiconductor Lasers

CHARLES H. HENRY

(Invited Paper)

at microwatt power levels. Their measurement confirmed quantitatively the theoretical predictions for linewidth and coherence length, including the power dependence of the AvPo reduction calculated by Hempstead and Lax [4]. The interest in linewidth and phase noise was renewed in the last few years by a burst of activity stimulated by the availability of single-mode semiconductor lasers continuously operating at room temperature and the expectation that these devices would find many applications requiring a high degree of coherence, such as interferometry I. INTRODUCTION FASCINATING ASPECT of any single-mode laser and coherent lightwave communications. The first careful by is the high degree of spectral purity of the laser ra- linewidth studies of AlGaAs lasers were made Fleming and Mooradian [6]. They observed the Lorentzian shape diation. A related property is the long coherence time of the optical field: the time interval during which two com- and the line narrowing inversely with power as expected, but surprisingly, they found that the linewidth was about ponents of the field emitted at differenttimesfromthe greater that than predicted by the modified laser can stably interfere. The behavior the laser is sim- 50 times of Schawlow-Townes formula. This linewidth enhancement ilar to that of other oscillators. Above threshold, the amplitude of the optical field is nearly fixed, but the phase was explained by the author as primarily due to the change may take any value. The wandering of phase can be de- in the cavity resonance frequency with gain [7]. This rescribed as Brownian motion or phase diffusion [ l]. This sults in a correction of 1 a2to the modified Schawlow01 Townes formula, where the linewidth parameter= An '/ relatively slow wandering of phase determines both the An" is the ratio of the changes in the real and imaginary laser linewidth and the coherence time. Rapid phase flucparts of the refractive index with change in carrier numtuations are also of great importance; they introduce er4-7 rors in coherent optical communications and contribute to ber. In AlGaAs and InGaAsP lasers alpha is about [ 7 ] ,[8]-[I21 (one smaller value has been reported [13]). the shape of the wings of the laser line. in Interest in the linewidth was present from the very be- A similar correction is expected to occur gas lasers [3], [ 141, however the correction in this case expected to be is ginning of laser physics. In their first paper proposing the laser, Schawlow and Townes[2] derived a formula for the of order unity or less [14] and zero when the cavity mode is tuned to the center of the transition line. In a semiconlinewidth, predicted that the lineshape would be Lorentductor laser, the laser line occurs at the foot of a steep zian and that the linewidth would narrow inversely with absorption edge and this causes a to be large [8]. An adlaser power, so that the linewidth-power product AvPo is constant. This formula is only valid below threshold. Lax ditional factor of about X 2 in linewidth results because, in semiconductor lasers, the population associated with [3] pointed out that above threshold, the amplitude fluclaser transition is not fully inverted [6], [7]. tuations of the laser are stabilized and is accompanied this by a X 2 reduction in AvPo. We will refer to this correction In addition to the increased linewidth, semiconductor as the modified Schawlow-Townes formula. The detailed lasers depart from the expectations of the classical laser change in the linewidth through the threshold region was theory in another respect. It was found by Daino et al. [15] that the line shape is not a perfect Lorentzian, but calculated by Hempstead and Lax [4]. The extreme narhas satellite peaks far out in the wings that are separated rowness of the linewidth gas lasers, made measurement of of the intrinsic linewidth a formidable problem. However, from the main peak by multiples of the relaxation oscillation frequency of the laser. This structure is a conseGerhardt et al. [5] finally succeededbyusinga500-m quence of the large value of Q! that causes a coupling of folded interferometer and by operating their He-Ne laser phase and amplitude fluctuations[ 161, [ 171. Vahala et al. [I81 showed that opposite satellite peaks differ in height Manuscript received July 1 , 1985; revised October 16, 1985. due to the correlation of amplitude and phase fluctuations. The author is with AT&T Laboratories, Murray Hill, NJ 07974. IEEE Log Number 8406714. The broad linewidth of the semiconductor laser (AvPo

Abstract-The subject of phase noise in semiconductor lasers is reviewed. The description of noise in lasers and those aspects of phase noise that are relevant to optical communications are emphasized. The topics covered include: Langevin forces; laser linewidth above threshold and helow threshold; line structure due to relaxation oscillations; phase fluctuations; line narrowing by a passive cavity section and by external feedback; coherence collapse due to optical feedback; the shot noise limits of several schemes of coherent optical communication, and the linewidth required to approach these ideal limits.

0733-8724/86/0300-0298$01.OO O 1986 IEEE

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HENRY:PHASE

NOISE IN SEMICONDUCTORLASERS

299

2) Using the quantum theory of radiation, Glauber [22] = 50 - 100 MHz * mW) makes conventional semiconshowedthateachmode of the free-radiation field posductor lasers unacceptable for many applications requiringahigh degree of coherence,e.g., high-resolution sesses a continuous setof coherent states. The optical field associated with these states oscillates sinusoidally at the spectroscopy, interferometric sensors, and coherent optimode angular frequency w and approaches the field of a calcommunications.Thebroadlinewidthcanbeoverclassical monochromatic wave when the expectation value come in a number of ways. Perhaps the most successful is many Aw and unway is to add a passive section to the laser cavity by an- for the energy of the coherent state tireflection (AR) coating the laser facet and adding an ex- certainties demanded by Heisenbergs principle are negmechanical ternal reflector several tens of centimeters away from the ligible. A coherentstate is a pure quantum facet. The laser linewidth narrows approximately as the state, not a mixture, but a state that does not have a defa dif- inite energy. When the energy of a coherent state is measquare of the external reflector separation. Using nfiw are destroying state, the discrete energies fraction grating as the external reflector aids single-mode sured, found that have a Poisson distribution. The optical field operation, stability, and allows the laser to betuned over of a single-mode laser can be thought of as a mixture of hundreds of angstroms [19]. Wyatt and Devlin [20] have reported stable single-mode operation with a linewidth of coherent states, that becomes nearly a pure state far above threshold. only 10 kHz with such devices. 3) By using a basis of coherentstates, Lax and Louise11 The aim of this paperis to review phase noise in semi[23], [24] showed that, even in the case of nonfree fields, conductor lasers. No attempt will be made to broadly survey all work in this field, instead we will concentrate in the averages of essentially all measurable laser properties (cmoredetail on what seems be the essentials the subject, can be expressed in terms of averages of a classical to of number) wave field P ( t ) associated in a precise manner especially those aspects that are relevant to optical comfully munications. In Section 11, we will develop the equations with the quantum field amplitudes. Starting with a quantum mechanical model of a laser, they transformed governing intensity and phase fluctuations in semiconducof tor lasers. We will take up the linewidth, lineshape, and the quantum problem into a classical problem calculating the statistical properties of a fluctuating wave field. time dependence of phase fluctuations in Section 111. We They derived the Langevin rate equations and the Fokwill deal with line narrowing by means of a passive secker-Planck equations that P ( t ) and the probability distrition and by optical feedback in Section IV. We will also bution P ( p , t) satisfy. We will discuss the Langevin rate discuss theinstability of coherence collapse brought about by optical feedback in this section. In Section V, we re- equations in the next section. view the detectability limits for several keying schemes B. Langevin Rate Equations used in coherentopticalcommunicationsandthelineWe will describe fhe optical field of the laser, a real A width requirements to reach these limits. brief summary quantity, as is given in Section VI. where /3 ( t )gives the time dependence, +(x) gives the spaA. Classical Description of Quantum Noise tial dependence of the optical mode, and B is a constant. Beforedescribingnoiseinsemiconductorlasers, we Itisconvenient tochoose B so thattheaverageintensity should comment on how to picture the radiationfield of a ( I ) equals the average number of photons in the mode laser.This is confusingbecause of thecomplimentary ( P ) (electromagnetic energy/Awo). The complex ampliparticle and wave descriptions of light. Phase noise, the tude p ( t ) can be expressed in terms of two real quantities: subject of this paper, is a wave phenomenon, while shot intensity Z(t) and phase 4(t) noise, which limits the detectabilityof coherent waves, is P(t) = ~ ( t ) exp ( - iwot - i ( t ) ) . 4 (2) a particle phenomenon. We shall think of laser radiation by The behavior of a semiconductor laser is described the as a classical wave field described by a complex amplitude p ( t ) . The shot noise aspects of laser radiation will be field amplitude /3 and carrier number N that controls the thought of as noise associated with the carriers which re- gain of the mode. The laser can thus be described as a sults from generation and detection of light, because enclassical system having 3 real variables: p , p , and N or ergycanonly be added or removedfromtheradiation I , 4,and N , where p = /3 ip. field in quanta of A w . The laser, like many classical systems having several This viewpoint may not be the only possible one, butit variables fluctuating in time, satisfies a set of first-order is both simple and consistent with a number fundamen- ordinary differential equations that include random Lanof tal studies of radiation and lasers: a = gevin forces [25]. Consider a system with variables (al, a2, * * ). The Langevin rate equations are 1) Hanbury-Brown and Twiss [21] showed that when radiation is divided between two detectors, each detected u i = Ai@, t) F&), i = 1, 2 , * . (3) signal consistsof a correlated part proportional to the fluctuating light intensity Z(t) = I /3 ( t ) plus uncorrelated shot The Ai are chosen so that ( F i ( t ) ) = 0. Without the Lannoise, which can be thought of as occurring in detection. gevin force, ( 3 ) is the set of rate equations governing the
IN S 11. FLUCTUATIONSE M I C O N D U C T O R LASERS

E ( x t ) = B[P(t) @(x>+ P(t)* +(x>*] ,

(1)

--

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average values (with a small correction when products of small fluctuations are included). The role of the Langevin force is to account for how the statistical distribution of the variables a ( t ) changes in time. For example, suppose that at t = 0, the variables are described by ao. After a time t , the fluctuations in the system change a. into a distribution of values a described by probability distribution P ( a ) . This distribution could be found by using a computer to integrate ( 3 ) many times from 0 to t with a suitably chosen random force. ( In choosing Fi t ) , we will make the common assumption that the system is Markoffian [25],i.e., that the random forces have no memory and the correlation of their products function is a delta function:
(Fi(t))F,(u))
=

t
F,grt)dt

REAL 0

2Dg6(t -

U)

(4)

Fig. 1. The change of complex field amplitude p(t) during a short time T. The exp ( - w , t ) time dependence has been removed.

where D, is called the diffusion coefficient or diffusion matrix [25].This name is appropriate because the random forces cause P ( a ) to spread in a way analogous to diffusion. The spread is limited the drift term A i , which tries by 2Dpp* R (7) to restore a to the steady-state value. The Markoffian assumption is justified in the caseof the where R is the spontaneous rate. The physical content of semiconductor laser for which the major source of fluc(6) and (7) can be seen in Fig. 1, which shows that during tuationsisspontaneousemission.Thisprocessisonly a short time T, the Langevin force changes the complex correlated foracarrierscatteringtimethatisoforder value /3 by Fp dt. Equation (6) follows from stationarity s, a negligibly short time. Only the diffusion coef7) F p ( t ) ) is independent of t ) and insures (that ( Fp( t ficients are needed to calculate mean square fluctuations. that the change in 0 in Fig. 1 has a random angle in the However, for calculations of the line shape and of error complex P plane [28, section 1181. Equations ( 6 ) and ( 7 ) rates, additional assumptions about the Langevin forces show that Fp has two independent components and that must be made. These amount to assuming that the Lanthe diffusion coefficient for a product of a component of gevin forces have approximately Gaussian amplitude disF p in any direction with itself is R f 2 . Applying the law of tributions. cosines to the triangle in Fig. 1 , it iseasilyestablished P ( t ) canbederived TheLangevinrateequationfor T , is thattheaveragechange in I , duringashorttime either by using the method of Lax and Louise11 [23], [24] RT [7].Therefore it is reasonable to refer to R as the sponor semiclassically by adding a Langevin force to the wave taneous emission rate. The resulting equation is equation [26], [27]. For a closed cavity, such as an index guided mode with

high reflecting ends, it can be shown [27]that

where fl and F p are complex and wo is the cavity resonance and frequency at threshold when the net gain AG is zero. The linewidth parameter a determines the change in the cavity angularresonancefrequencywithnetgain. The optical field is coupled to the carriers by the dependence of AG on the carrier number N . In the absence of F p and fluc- where el/ is the separation of quasi-Fermi levels of the tuations in N , P increases exponentially with AGt/2 and conduction valence and bands the of semiconductor. has an angular frequency of wo + aAG/2 and I increases Evaluations of n,,, for AlGaAs and InGaAsP lasers give exponentially with AGt. This values of about 2.6 and 1.6, respectively [29]-[31]. Fora Fabry-Perotcavityofuniformsemiconductor parameter n,,, characterizes the incomplete inversion the of material, it is easily established that CY = An /An [ 7 ] . levels associated with the lasing transition and goes to 1 When the carrier number changes, the modes shifts in a when inversion is complete. Equations (8) and (9) are esof the propagation constant k sentially a statement of the fluctuation-dissipation theoway to keep the real part = wn /c constant. This changes the angular frequency by rem [25],[28, sect. 1231. They follow the from reAw = -wugAn l c andchangesthegain G by AG = quirementthatinequilibrium,withnolossesfromthe -2wAn u g / c . The ratio of these two changes is 0112. cavity, the spontaneous emissionrate R due to fluctuaThe diffusion coefficients relating F p and Fp* are given tions F p must be equal to the rate of dissipation - G ( I ) ,
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HENRY:

NOISE IN SEMICONDUCTOR LASERS

30 1

emission rate into nonlasing modes (radiative and nonradiative), and GI is the net rate of stimulated emission. The of gain G is actually the difference between the rates emission and absorption G = R - A. The diffusion coefficients relating N with I and q5 are

SLOPE = 36.7

2DNN = C

+ S + (R + A) I,
2 0 ~ = -2RI, 1
2016 =

0.

(14)

0.5

1 .@

1.5

2.0

2.5

I N V E R S E POWER (mW-')

Fig. 2. Linewidth of an AlGaAs laser versus inverse power at three temperatures. From Welford and Mooradian [30].

where ( I ) istheequilibriumphotonnumbergiven by -nsp [27]. (In this case, G, fiwo - el/, and nSpare negative.) In the caseof open resonators, such as encountered in gain-guided structures or in lasers with low reflection facets, relation (8) no longer holds and R can be much greater than Gn,. This was shown by Petermann [32] for gain-guided structures, and by Ujihara [33] and the author [27] for the case of low reflecting facets. In the case of a conventional semiconductor laser with uncoated cleaved facets,, this enhancement is only about 13 percent [27]. Above laser threshold, the coupling of I and N must be taken into account. In this case, it is more convenient to 6 of express the equations for the fieldin terms, I and phase 4. The transformation of (5)-(7) is easily done using (2) and applying the general procedure for transforming Langevin equations given by Lax [34]. This results in

These diffusion coefficients may be obtained directly by the methods of Lax and Louise11 [23], [24], but are more difficult to obtain by other methods. The diffusion coefficients for carrier number N and photon number P may be simply derived, because quantities both undergo shot noise fluctuations (during emission and absorptionevents, N and P changeoppositely by 1). For various ai, fluctuating purely from shot noise, the diffusion coefficients can be determined by inspection of the rate equations1251. The diffusion coefficient 2Dii is just the sum of rates in and rates out and 2 0 , is the negative of the sum the rates for which i and j both change. For example, 2DNN = C S AP R ( P + 1)and 2 D N p = - ( A P R(P 1)). However, the physically useful quantity is intensity I , not photon number P. While ( I ) = ( P ) , I a n d P have different distributions and different diffusion coefficients. We can think of the instantaneous distribution of P as a I(t). Poissondistributiondeterminedtheaveragevalue This leads to the relation

+ +

(f?

( I 2 >+ ( 1 )

(15)

which can be rigorously derived. This relation was used by McCumber [35], Lax [36], and Shimpe [37] to relate the diffusion coefficients of P and I . It can be used to derive (14). 111. POWER SPECTRA SEMICONDUCTOR OF LASERS A. Below Threshold Operation Laser operation naturally divides into two regimes that are relatively easy to describe: below threshold operation, N in which - AG is large and fluctuations in that alter AG, can be neglected; and above threshold operation, where fluctuations of I and N are stabilized and may be regarded as small deviations from the steady-state values.The transition region near threshold has been calculated for gas lasers, but not for semiconductor lasers [4], [14]. In this section, we will consider operation below threshold. The power spectrum is usually measured by passing the laser radiation through a scanning Fabry-Perot interferometer and measuring the power or by adding a nearly monochromatic oscillator) having (local field, frea quency substantially different from the laser mode, to the laser field and then measuring the power in the beat spectrum. In both methods, the measured spectrum is proportional to Wp( w ) , the spectral density of the Fourier transform of p ( t )
P(w> =

Z = AGI
4
.
= -

+ R +'F,(t) (10)
+ F+(t)
2D,, = 0.
(1 1)

a AG 2

with diffusion coefficients 2011 = 2RI,

R 2D++ = 2I '

(12)

Equations (12) can easily be understood with the aid of Fig. 1. The fluctuations in I are due to F, given by the product of 2.$1 and the component of F p parallel to and the fluctuation in 4 is due to F6 given by the component of Fp perpendicular to /3 divided by $I. The lack of correlation of these two components of F p leads to D,+= 0. The transformation p, p* to I , r$ leading to (10)-(12) is Fp and valid for Markoffian random forces; however, Fp* are not Markoffian on the time scale of optical frequencies. A careful discussion of this transformation, justifying (lo)-( 12) has been given by Lax [ 1, sect. VI. The rate equation for the carrier number is

fi = C

- S - GI

+ FN(t)

03)

where C is the current (carrieds),

S is the spontaneous

&

--

p(t) exp

(o) i t dt.

(16)

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302

JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. LT-4. NO. 3, MARCH 1986

It is easily shown by applying theprinciple of stationarity, asymmetry in the structure occurring in the tails of the that is steady-state operation, there is no correlation be- lineshape. For simplicity, we will neglect this effect. In general (exp( i A 4 ( t ) ) )is difficult to evaluate, but in tween different Fourier components of any of the system the case where A 4 ( t ) is a Gaussian variable (one with a variables or Langevin forces [28, sect. 1181 Gaussian probability distribution), it is easily shown by (P(W')* P ( 0 ) ) = W p ( W ) 6(W - W ' ) (17) integration that [ 11 and that (exp ( i A 4 W ) ) = exp 1-i (A4(t)*)I. (24) m Wp(w) = ( P(t)* P(O)> exp ( i w 0 dt. (18) Thus, if Aq5(t) is a Gaussian variable, evaluation of the field correlation reduces to evaluating the mean square of Below threshold, with AG regarded asconstant,the A 4 (t). Fourier component of the field amplitude (a) can be calThe justification that A 4 (t>is a Gaussian variable rests culated immediately by writing ( 5 ) in terms of its Fourier on the fact that above threshold, deviations of I and N the components from the steady-state values are small. In this case, the equations obeyed by these deviations and 4 (lo), (1 l ) , Fp ( W ) (19) (13) are nearly linear and driven by nearly Gaussian Langevin forces.The solution of a set of linearLangevin i W~+CY--W -P(w) = AG 2 equations driven by Gaussian forces willalso beGaussian where F p ( w ) is the Fourier transform of F p , defined ex- distributed [25]. The force Fo is Gaussian. It arises from actly like ( 0 ) in (16). The autocorrelationfunctions of the additivecontributions of many independent sources of [27] and by the Fourier components have the same diffusion coeffi- spontaneous emission throughout the cavity the central limit theorem [38], this is sufficient to ensure cients as the time components. For example, that each component of Fp will be a Gaussian variable. ( F ~ ( w ' ) *F ~ ( w =) R ~ ( w '- w). ) (20) The forces FI and F+ are formed by products of compoTo the extent that fluctuations in I The calculation of ( P ( w ' ) * P ( w ) ) using this relation re- nents of F p and I' can be neglected, these forces are Gaussian variables. The sults in force FN arises from shot noise and should have a Poisson distribution, but the event rate is so high (about 107/ns), that it is also a Gaussian variable. The understanding of the Lorentzian linewidth of a laser above threshold, does not require a complete solution of showingthat thelaserbelow threshold has a Lorentz (lo), (1I), (13). The line broadening is primarily due to lineshape and a linewidth of low frequency fluctuations.low At frequencies, the suppression of intensity fluctuations is extremely good. -AG R Av=--(22) We can make use of this neglecting Z and solve for AG by 27r 27rI in (10) where AG = - R / Z used in the last equality can be obtained by taking the average of (10). When I is related to optical power,(22) is theSchawlow-Towneslinewidth formula. It is only valid below threshold. One application Substituting this expression into (1I ) , and dropping the of this formula is to give the noise bandwidth of a laser constant RII term, which only causes a small frequency amplifier. shift, we arrive at an equation for 6

-m

"2"

01 B. Lineshape and Phase Noise in a Semiconductor 6 = F,(t) - - FI(t). (26) Laser Operating Above Threshold 21 Abovethreshold, intensityfluctuationsbecomestabiThe phase change during a time t , A 4 = + ( t ) - 4(0) is lized. This stabilization process greatly increases the given by integrating this equation linewidth-power product. Assuming that amplitude fluctuations in P ( t ) are negligible, we can use (2) to express A+ = F,(t) dt - F,(t) dl. (27) the correlation function ( 6 (t)" /3 (0)) as 21 0 a 0

1'

(23) Squaring and averaging this equation with the aid of (4) where I is the average intensity and where A 4 ( t ) = 4 ( t ) and the diffusion coefficients (12) we find - c$ (0). The neglect of fluctuations in the amplitude of P R (A$(t)') = - (1 a2)t. (28) in (23) is not entirely correct. Vahala et al. [ 181 showed 21 that correlations of phase and intensity fluctuations at the Substitution of (28) into (24) and (23) shows that the relaxation frequency couldexplain about a 20-percent

( P@>* P(O>> =

I exp (exp

(i&(t)))

st

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HENRY: PHASE NOISE INSEMICONDUCTORLASERS

303

changes in phase that can lead to errors in optical communications. To compute ( A 4 ( Q 2 ) with no restriction on time, we have to solve the fullequations (lo), (1 l), (13), but linearizedtodescribesmalloscillationsaboutthe steady state, The equations governing the deviations 4, in I , and N are obtained by expanding I and N as
Z(t) =

z + p (t)

N(t)

+ n(t)

(31)

and expanding S, G, and aAG as

s(t)

s f SNfl(t)

(32) (33) (34)

G(t) = G
1
10,000
I

+ G,n(t) - G,p(t)

11,000

12,00014,000 13,000
ENERGY (Cm-)

aAG = aGNn(t)

Fig. 3. Spectrum of the real and imaginary changes in refractive index of the GaAs active layer of a buried heterostructure laser when it is excited from low currents up to threshold; hvI. is the laser energy. From Henry et al. [8].

which results in the linear equations

(37) field autocorrelation function decays exponentially with a2)R. Substitutionof where damping correlationtime T,,,, = 4 1 4 1 = G,Z R/I and r N the coefficients (28) into (23) and using (1 results in a Lorentzlineshape, = GNZ SN. Equations (32)-(34) account for the change 8) with a full width of in spontaneousemissionratewithcarriernumber,the change in gainwithcarriernumberandlightintensity, R Av=---(l + C2 ) Y and the change in mode frequency with carrier number. 4lrz The change in gain with light intensity (gain saturation) which differs from the below threshold case by (1 a)/ is necessary to account for the large damping relaxation of 2. The factor of $ is due to the suppression of intensity oscillations that is observed in index guided lasers and the fluctuations that contribute to the linewidth below thresh- increase in damping with light intensity [ 171, [40]. It is old.Thefactor 1 a2 isduetothe increasedphase very likely that gain saturation results from spectral hole changes brought on by this suppression. burning [41]. Spectral hole burning causes a gain change Tocompare withtheexperiment, it is necessary to thatisnearlysymmetricaboutthe laser line 1411. The reexpress R and I in (29). We can use (8) to write R in dispersive change in refractive index associated with this terms of G and write G = gu, = -In (R,) ug/(qL)where change should be zero at the laser line and for that reason R, is the facet power reflectivity, TJ is the quantum effi- makes no contributionto(34). On theotherhand,the ciency, and L is the cavity length. The facet power and change in gain associated with a change in carrier number V. intensity are related by 2P0 = T J G Z ~With these changes, occurs primarily at higher photon energies where results it the linewidth is given by in a decrease in absorption. This is illustrated in Fig. 3, where the changes in refractive index with carrier density An and An for AlGaAs are plotted versus energy [B]. The fact that the laser line occurs in the tail of a steep absorption edge and in the tail the gain change explains of why a typically has values of 4-7 in index guided lasers Equation (30) was confirmed by Welford and Mooradian operated at room temperature. [30], who measured both the linewidth and the other paThe means square of Aq5(t) is easily found by solving rameters as a function of temperature (Fig. 2). However, (35)-(37) [ 171. This is done by writing these equations in they found an unexpected effect. In addition to the line- terms of their Fourier components, solving for (4 (w)) widthvarying as P;, theyfoundapowerindependent and then converting back to ( A 4 ( t ) 2 )by contour integracomponent that is nearly negligible at room temperature, tion. We will only give the result but is substantial at low temperature. The power indepenR dent component has not been satisfactorily explained as ( A 4 ( t ) 2 ) = - (1 a2A) t 21 yet 1391.

4 = aGNn + F,(t) p = GNZ~Z + F/(t) = -rNn- G p + Fv(t)

(35)

(36)

C. Line Structure

+ a2A [COS (36) - exp r(-rt)6 cos (Qt - 36)] 2 cos

(38)

High-frequencyfluctuations contribute to structure in the wings of the lineshape and to the change in q5 during these short-time duration where Q GyGG,vI)2istherelaxationfrequency, short-time durations. It is just
-1

r =
~.~

. .

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304

JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. LT-4,

NO. 3, MARCH 1986

n
t (nsec)

Po=lmW I-3.lxlo~
$=I

52ghz

cY.5 3

Fig. 4. Mean square phase change ( A + ( t ) ' ) versus time for weak damping, moderate damping, and the linear approximation. From Henry [17].

(I?/

rN)/2 the damping rate, is

A = [(l

-+ r,/Q2+ I':X/(G2RZ)]/(l + rhrI'l/GGNI)2

V - U o (ghz)

is a constant near that is slightly less than unity and 6 = Fig. 5. Power spectrum of the laser line calculated for the three ( A $ ( r ) * ) functions of Fig. 4-weak damping, intermediate damping, and the lintan-' (I'iQ)is a small angle [17]. ear approximation which gives a Lorentz line shape. From Henry [17]. The average ( A + ( t ) 2 )is the sum of a linear term and a damped oscillatory term. This is illustrated in Fig. 4 [17]. The linear term gives rise to the linewidth and the correlation time, while the oscillatory term causes the satellites to occur, separated from the main by multiples of the relaxation oscillation frequency. The spectral shapes arising 2.0 from the values of (Ad, ( t ) 2 )plotted in Fig. 4 are shown 1 I / in Fig. 5 . The three curves correspond to weak damping in which gain saturation is neglected, gain saturation appropriate for spectral hole burning GaAs, and the linear in approximation (28), in which relaxation oscillations are neglected and the lineshape is exactly Lorentzian. They were plotted by evaluating (23j, (24), (38) with the aid of [ a fast Fourier transform program171. The side peaks tend l o l l ! I 1 I to be of order 1 percent of the main peak, because of the 0.0 0.0 0.4 0.8 1.2 1.6 2.0 strong damping of relaxation oscillations in index guided dns) lasers. The average (Ad, ( t ) 2 )has been directly measured Fig. 6 . Direct measurement of (A+(r)') and comparison with a theoretical by Diano 1151, and by EichenandMelman[42],who fit using (38). After Eichen and Melman [42]. found an excellent fit of the data on 1.3-pm InGaAsP lasers using (38) with A = 1. Their data is shown in Fig. 6. ternal cavity lasers together. The lineshape is Lorentzian in shape and corresponds to a AvP, of about 10 kHz * TheyalsofoundgoodagreementbetweentheFourier (Ar$(t)')) and the spectrum rnea- mW for each laser. This is a reduction of about lo4 from transform of exp the laser AvPo = 100 MHz . mW or each isolated laser sured with a scanning Fabry-Perot interferometer. prior to AR coating. IV. LINENARROWING This enormous linewidth reduction a laserwith a long of A . Ideal Fabry-Perot Cavity with a Passive Section passivesection Lp can be readilyunderstood.ThedeThe linewidth power productof conventional semicon- crease of linewidth in proportion to i 2 can be understood L ductor lasers can be dramatically reduced adding a pas- by consideration of (29), which applies to a uniform laser by sive section to the laser cavity. This is done by 4 R coat- cavity. A long passive section will decrease the average ing one end and adding an externalreflector separated by spontaneous emission rate L i ' and increase the average about 10-20 cm from the semiconductor chip. The specLp, for a fixed Po, resulting in a linewidth intensity Z trum of such a laser fabricated by Olsson [43] is shown reduction proportional to L i 2 . in Fig. 7. The data was taken by beating two similar exIn [27], the linewidth of a Fabry-Perot cavity with a

(-4

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HENRY:PHASENOISEINSEMICONDUCTORLASERS
0
2

305

I
II

m n

i
-1

a
v)

LT
W

- 60

ate levels of feedback. It is useful to.think of external feedback as a form of self-locking. The laser field ( t ) is injection-locked to a field that was emitted earlier from the laser and is reinjected after making a round trip in the external cavity. Feedback is described by adding a term KP (t - T ~ to the equation for the laser field (5) that rep) resents the effect of the field coupled back into the laser cavity after a delay T~

3
0

p
-80

t
I I

i
*

-io0

AG + - (1 2

- io!)
70) f

P(t)

KP(t

Fp(t).

(40)

-100

- 50
AV (MHz)

50

Fig. 7. Beat spectrum of two 1 . 5 S y m external cavity lasers having grating reflectors 15 cm from the laser diode. The center of the spectrum is as 1.328 MHz, From the data of Olsson [43].

An equation of this type was first used by Lang and Kobayashi [46]. It is readily shown by considering steadystate field propagation that

passive section was calculated under the ideal assumptions of a perfect AR coating and loss from the passive where Ro is the power reflectivity of the external reflector end being the same as from the cleaved uncoated end. It including coupling losses, R, is the facet power reflectivwas found that the linewidth forinulas (29)-(30) are re- ity, and T , is the round-trip timein the semiconductor cavduced by a simple factor given by the square of the ratio ity. Equation (40) is not valid for strong levels of feedof the time spent in the active section to the time spent back K T , >> 1, since multiple round trips in the external in both sections, where the time in each section equals Lh,. cavity have been neglected. This factor is Equation (40) is more conveniently discussedby changing variables to p ( t ) = p ( t ) exp ( - i w t ) . The steady state (39) is found by keeping6 constant and fluctuations are found by solving the equation for 0under various approximawhere a and p refer to the active and passive sections. The tions. The transformed equation is right-hand expression in (39) applies in the case of a long air-filled passive section, where nRais the group index of -iAw - (1 - ior) 2 the semiconductor. For Lp = 15 cm, L, = 300 pm, and n;, = 4, this reduction is about 1.5104, that a linewidth so P(t),+ P ( t - T~) exp (iCP) F p t ( t ) . (42) of 150 Mhz would be reduced to 10 kHz. Thisisonly slightly larger than the reduction observedby Olsson [43]. where CP = w 0 and Aw = w - wo. The steady-state opLinewidth reduction favors a long external cavity, how- erating point is found by setting and Fp,to zero. Also ever, the longitudinal mode spacing decreases as L- and A G = -2K COS CP (43) therefore single-mode operation becomes more difficult to obtain for large L. For a 15-cm external cavity, the lonAw = -K(Q cos CP sin a). (44) gitudinal mode spacing is about 1 GHz or 0.08 A at 1.55 pm. All but one of these modes can be suppressed add- The different values of CP form an ellipse of solutions AG by versus A w , where CP is the steady-state phase angle beingfrequencyselectivefilterstotheexternalcavity.A see Fig. 8. bandwidth of a few angstroms can be achieved by using tween the cavity field and the feedback field; , [20], The additional relation CP = W T ~ results in a discrete set a diffraction gratingas the external reflecting element [43]. Additional mode selection can be achieved by plac- of values for CP, corresponding to the composite cavity ing an etalon in the external cavity [43], by coupled-cav- modes. The ellipse forms the locking range over which ity effects due to an imperfect AR coating and due to op- self-locking can take place. In practice the locking range tical nonlinearities [41]. Piezoelectric tuning of the length is restricted to negative values of A G , the portion of the of the external cavity can be used to select out one mode range for which gain reduction takes place. If the locking range covers many external cavity modes, the laser will W . I operate on one or several modes having the greatest gain B. Line Narrowing by External Feedback reduction. If a grating is used as an externai reflector, one can tune across the locking range. But in the range of posThe analysis in Section IV-A is restricted to the case of a different an ideal passive section with a perfect AR coating of the itive AG the laser will choose to operate on laser facet. Herewe review an analysis developed by Kik- longitudinal mode, for which feedback from the grating uchi and Okoschi [44] and Agrawal [45] that is applicable is negligible. For strong feedback, the laser can be below for arbitrary laser facet reflectivities and weak or moder- threshold except for part of the range with the most neg-

6
+

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306
L I I l I I I I ' I I I ~ l 1 ' -

JOURNAL OF LIGHTW.4VE TECHNOLOGY, VOL. LT-4, NO. 3, MARCH 1986

low feedback levels, when there is a single mode on the ellipse. Then adjusting the cavitylengthwillmove the mode onto different regions of the ellipsefor negative AG and narrowing and broadening can be observed. higher At llevels of feedback, there will be several modes or more on the ellipse and lasing will occur for the modelowest of Y gain. The factor which controls the line narrowing is K T ~ . C J O 4 For K T ~ >> 1, narrowing is proportional to (ngaLU/Lp)*, the same factor as we found in the analysis Section IVin -I A. The effect of feedback on the linewidth becomes negAw:w-w0 ligible when ~7~ becomes much less than unity. For exa =6 5 ~ ample, with L, = 300 hm and Lp = 30 cm, K T is unity -2 for Ro/R, = lop5. Thisisthereasonwhyforaccurate Au=-aK linewidth measurements, external reflection feedback -5 0 5 must be reduced to about 60 dB. AW(K.] Suris and Tager [48] have managed to solve the nonlinFig. 8. Gain change versus angular frequency change for the steady states of operation of a laser withreflective feedback. The lasermodes are ear differential-difference equation (42), without making actuallypoints along the ellipse that become closely spaced when the expansion (45), but only for the case 01 = 0. They show locking range contains many modes. The angle is thephase angle bethat the above analysis (47), predictinga single laser line tween the injected field p ( f - T(,)and the cavity field @ ( I ) .From Henry and Kazarjnov 1.541. narrowed by feedback, is only valid if the linewidth of the isolated laser Avo is small compared to the external cavity ative AG. Decreased values of AG are observed by inmode spacing. For example, if Avo = 100 MHz, this corcreasedlightintensity[47].Thechange in intensity is responds to Lp < 150 cm. Otherwise, the semiconductor proportional to the feedback parameter K . laser emission associated with external cavity modes conEquation (42) is nonlinear a differential-difference tains a number of narrow lines associated with external equationcontainingfieldsattwodifferenttimes.This cavity modes with an envelope width equal to Avo. complication has prevented exact solution. The injected field suppresses high-frequency phase fluctuations that al- C. Coherence Collapse ter the phaseof the laser field relative to the injected field. According to (46), line narrowing should increasewith Only phase changes taking placein a time large compared increasing feedback. However Lenstraet ai. [49] reported to the round-trip time T~ are unsuppressed. The low-frethat at relatively high-feedback levels, the laser line bequency behavior be can found by expanding P(t - comes enormously broadened. They called this effect co7 ) 1441, 1451 0' herence collapse. This phenomenon was encountered in a /3(t - To)/ = P ( t ) / - T"P'(t)'. (45) different way by Temkin et ai. [50].They studied the behavior of lasers under moderately high levelsof feedback This approximation changes the field equation to from distant reflectors and found that they were unstable. Some of their data on this instability is shown in Fig. 9. Coherent feedback reduces the threshold and increases the 0' = (46) light intensity of the laser. It takes about 10 round trips (1 '+ KT0 exp (i+) in the external cavity for the laser to go from initially on where AG represents the deviation from the steady state tothestateofcoherentfeedback.Thiscorrespondsto and terms set to zero by the steady-state condition have moving from the origin to the bottom the ellipse in Fig. of been dropped. This equationis essentially the same as ( 5 ) 8. Just as the steady state is reached, the laser becomes (with w , removed by transforming to P ' ) except for the unstable.Itsuddenlyreturnstotheinitialoperation at complex constant dividing the right-hand side. This alters higher threshold and lower intensity in whichisit bennot the effective value for 01 and the Langevin force. With efiting from coherent feedback. Then the build-up process these changes, the linewidth can be calculated the same starts all over again. This instability had been observed in manner as in the derivation of (29). The result found by previously, but had not been explained[51]-[53]. The line Agrawal [45] is broadening observed by Lenstra et al. [49] appears to be merely the frequency chirp associated with this cycle. A vo Av = Kazarinov and the author have recently explained this (47) [I K T (cos CP - 01 sin +)12 ~ instability [54]. It corresponds to a large and rapid phase fluctuation in which the laser jumps outof its self-locked where Av, is thelinewidth in theabsenceoffeedback state. This instability is puzzling because prior to its ongiven by (29)and (30). For a = 0, (47) reduces to the result derived by Kikuchi and Okoschi [44]. The denom- set, the operating point of the laser reaches a steady state inator is positive and results in line narrowing all along CP = 0 nearthelong atthebottomoftheellipsewith of cos wavelength end of the locking range. Analyses stability the lower portion of the ellipse for negative d G ( 2 ~ is ( P > 0). Line broadening is possible, but only at very of injection locking show that the short wavelength end C)
@ = 180"

2-

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HENRY: PHASE NOISE IN SEMICONDUCTOR LASERS

L = 30

0.02

0.01

0.1
AWC

10.002 0.2

Fig. 10. Averageinstabilitytime t, versus the fractional decrease in the threshold current AC/C, a parameter proportional to feedback parameter K. The set of curves t, are for different intensities. Parameter I , is shown in the inset. The inset shows the kink in the light versus current relation resulting from the change in t, in going from a to c. From Henry and Kazarinov [54].

spontaneous emission, the laser will jump out of lock. The phenomenon has a threshold and can be described by fluctuations that take the system over a barrier [54]. Aninterestingaspectofthisphenomenon is that for strong enough feedback, self-locking becomes very strong, the barrierbecomes very high, and theprobability of jumping over the barrier becomes negligible; stability Fig. 9. Time dependence of the intensity of a laser exhibiting instability due to reflective feedback. Three levels of feedback are shown ranging is restored. This is illustrated in Fig. 10, wheretheavfrom power field reflectivities of -5 dB in the upper figure to -15 dB erage time for instability to occur is plotted versus the in the lower figure. The arrows indicate zero intensity. The steps in intensity build up during successive to round trips in the external cavity. degree of feedback. For strong feedback, the average inCoherence collapse occurs after the steady state is reached. The jitter is stability time becomes exponentially large. This renewed due to the stochastic nature of the instability. From Temkin et al. [ S O ] . onsetofstability for strong feedback was observed by Temkin et al. [50]using a laser with an AR-coated facet. Our calculation also showed that the stability is greater unstable and exhibits high-frequency self-pulsations, but near threshold, where the light intensity small, than well is the long wavelength end of the locking range, near the above threshold. This change in stability as the light inbottom of the ellipse, is stable and has strongly damped tensity increases give rise to a kinked light versus in[ 5 5 ] , [ 5 6 ] , [12]. However, this relaxation oscillations tensity relation that is illustrated in Fig. 10 and was obconclusion is the result of a conventional linear stability served by Temkin et al. [50]. analysis and coherence collapse results from nonlinear effects that are brought aboutby a rare but large fluctuation v. LINEWIDTH REQUIREMENTS IN COHERENT OPTICAL in spontaneous emission intensity. Our analysis consisted COMMUNICATIONS of approximately solving (42), with P ( t - 7,) regarded A . Shot Noise Limit as constant, without linearizing this equation. Consideralargefluctuationinspontaneousemission Coherent optical communications currently is being which decreases the mode intensity. This reduces stimurapidlydevelopedinmanylaboratories.Thisinterest is lated emission and increases the carrier number. The car- stimulated by several well-known advantages of this rier number change causes a momentary change in mode method: by mixing the weak received field with a local frequency that reduces the alignment of the laser P(t) oscillator field, the detected signal can be sufficiently infield and the injected field j3(t - 7,) from @ = 0 to A+. This creased and filtered so that noise in subsequent amplifiin turn decreases the stimulated emission in the cavity in cation becomes negligible and the physical limit of deproportion to cos (A+). The decrease in stimulated emis- tectability,duetoshotnoise,canbeapproached;the sion increases the carrier number, which causes A+ to in- communication channels can be closeIy spaced, enabling = 0 a single optical amplifier to simultaneously amplifymany crease further, driving the laser out of its locked state. There, other forces acting in the laser which try to channels. restore the steady state. These are just the forces that give The schemes for transmitting digital information are the rise to relaxation oscillations. For small fluctuations, the same in optical communications as earlier developed for restoringforceswin out,butforalarge fluctuation in microwave [57]. However, optical in communications

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308

JOURNAL OF LIGHTWAVE TECHNOLOGY. VOL. LT-4, NO. 3, MARCH 1986

communications, shot noise rather than thermal noise limitsdetectabilityand phase noise, which isnegligible in the microwave case, hinders attainment of the fundamental limits. The physical limit of shot noise is not easily reached. It seems that the closer a modulation method is to the shot noise limit in the absence of phase noise, the more sensitive it is to phase noise. In this section, we will first consider the shot noise limit, which can in principle be reached using homodyne phase shift keying (PSK). In the next section, we will consider the more practical heterodyne schemes of differential phase keying shift (DPSK), frequency shift keying (FSK) and amplitude shift keying (ASK), and the linewidth requirements that lasers used in these methods must satisfy. Incoherentlightwavedetection,the incidentoptical signal field /3.A(t)is mixed with a local oscillator field Pe(t) and then detected by a quantum detector, such as a p-i-n diode. We can model the detector by the simple equation for the number of carriers n generated during detection
h=--+

DPSK

PC

Ps
INT COMP

FSK

ASK
PC +
r

Ps
INT
COMP

Fig. 11. Schematic diagram of the methods of detection for: differential (DPSK). frequencyphase-shift keying (FSK), and phaseshiftkeying amplitudeshiftkeying(ASK). The componentsareopticaldetector (DET), handpass amplifiers w,,~. w,, w 2 , time delay T , integrator (INT) for time T , and decision circuit or comparator (COMP).

n
V d I P A $-

fie(

+ F,!(t)

(48)

7 -

DPSK

Td

where T[, is the inverse detector response time, F, is a Langevin force describing the shot noise fluctuations, and qdI/3,., is the average rate of optical generation of carriers at the detector. For frequencies less than the detector response time, we can neglect h in (48). The detected signals s(t) = n/T, is given by

m
a
I

Ab* = Au,
6 -

4 I 200

9 . ,

100

300

400

500

600

s(t) =

2Td(lAfB)li2

cos

(WAR

dAB)

+ F,~(t)

(49)

Rg
A VA

where w A B = w A - W B and dAB = +A - +B. The Langevin force is due to shot noise of generation of carriers. The diffusion coefficient of this force will be given by the average rate of generation
2Drm

Fig. 12. Averagebitenergy P , (photons)versustheratioof hitrateto laser linewidth, necessary to achieve an error rate of lo-. From J . Salz 1581.

qdrB

(50)
=

where generation due to I,., has been neglected. In principle, the shot noise limit can be reached in homodyne (PSK). In this case, w A = wRand the bits of 1 and 0 are generated by altering d Aby T. It is assumed that aside from this modulation, and +* are kept equal. (A method for doing this is by means of a phase-locked loop [-58].) The signal integrated over one bit time T is given by anaveragevalue ( s ) = 2 q c l ( ~ A ~ Bplus ~ )2a fluctuation part As = F,,(t) dt. The meansquare of As is (As) = 2D,, T = rdI , T. The number ofphotocarriers generated in each bit will be Poisson distributed. Since the average number of detected carriers per bit is large comparedto unity,thisdistribution is closelyapproximated by a Gaussian andF,,(t) can be regarded as a Gaussian variable.The signalassociated with I and 0 will be two Gaussiandistributions centered at the two values of ( s ) . The error probability PE is found by integrating the tails of the distribution that extend beyond zero. This is an error function, but aside from a prefactor of order unity, it is

exp ( -2Ps)

(5 1)

where PB = qZA T the average number of detected signal photons in each bit reaching the detector. Setting P, = IOp9, we find PR = 10. This is the shot noise limit, the minimum detectable power limited by shot noise [-58]. B. Heterodyne Detection Ideally, the homodyne PSK scheme is more sensitive than other methods. However, it requires phase locking the local oscillator to the received field. This is a complex procedureand one that is very sensitive to phase noise [58). The heterodyne methods DPSK, FSK, and ASK are more resistant to phase noise and nearly as sensitive as PSK. The detection methods for the 3 schemes we will discuss are sketched in Fig. 11. The minimumvalue of Ps for these schemes are not easily calculated owing to the nonlinear nature of the detection process that involves squaring or taking a product of the detected signals. However, these limits have been worked out using the same method as for the microwave case 1-57], [ 5 8 ] , butwith

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HENRY:

NOISE IN SEMICONDUCTOR LASERS

309

shotnoisereplacingthermalnoise. Here, we will limit 1 or 0. Passingthesignalthroughtwobandpass filters doubles the mean square noise compared to DPSK, ourselves to a qualitative discussion. PB [57], [58] In the PSK case, we saw that PE depends exponentially introducing an additional 3-dB increase in (PB = 40). on the squaredaveragesignaldivided by theaveraged In ASK, the signal field is modulated on and off. After mean square noise. This is generally true for all the detectionschemes.Allheterodynedetectionschemes mix detection, the signal is passed through a bandpass ampliPA and PB that differ in angular frequency by @ A B . In this fier and then envelope-detected by squaring. In this case, case, the noise is unchanged, but the signal is sinusoidal the noise is the same as in DSPK, but the signal change in going from 1 to 0 is reduced by a factor of 2 . (49) andtheaveragesquaredsignalishalfthatofthe This change increases PB by 6 dB (Ps = 8 0 ) . homodyne case. This increases PB by 3 dB. An approximate analysis of the effect of phase noise on The most sensitive of the three heterodyne schemes is FSK and ASK has been made by Garrett and Jacobsen DSPK.Inthisscheme,phaseismodulatedasinPSK. After detection, the detected signal is divided, one half is [60], [61]. They assume that the effect of phase noise is delayed by the bit time T , and the two channels are mul- to cause average frequency shifts Aj. When averaged over a tiplied together. The resulting signal is proportional to cos bit time [ $ A B ( t ) - $ A B ( t - T ) ] , which changes sign when the two A$A - A6B successive bits differ. Ideally, this detection method sufAf = (53) 23rT fers only a 3-dB loss in sensitivity due to heterodyne detection. Af has a Gaussian distribution for Aj. They calculate the The signal does not depend on absolute phase so that it effect of phase noise on error rates by calculating PE as a will not be affected by slow phase drifts. There will be a function of Afand convoluting this with the Gaussian disPB), however, if the angular tribution. power penalty (increase in argument of the cosine, which is normally 0 or T ,changes Their analysis shows that FSK and ASK are much less due to phase diffusion during the bit time T . If the prob- sensitive to phase noise than DSPK. For example, FSK ability of aphasechange $ A - qiB of greater than n / 2 has a minimum linewidth requirement similar to DPSK. exceeds l o w 9 ,unacceptable errors will occur regardless If the two frequencies in FSK are separated by mRB, where of the signal power. We can readily estimatethe linewidth rn = 1-3, a value of Af exceeding mRB/2 will cause an at which this will occur. The phase change A$,., - A$B is error. This will occur if A$A - A+B = a m . In the case a Gaussian variable. If we assume that both of the lasers of DPSK, an error occurs when the corresponding quangenerating fieldsA and B have strongly damped relaxation tity is ~ 1 2Therefore, for m > 1 / 2 , the linewidth require, oscillations, then the mean square change $ A - (bB dur- ments are greater for DSPK than for FSK. The error rate of ing time T can be related to the linewidths AvA and AvB for this frequency change is derived in the same way as by ( 2 8 ) and ( 2 9 ) : ( A $ : ) ( A $ ; ) = 2nT(AvA AYE). ( 5 2 ) and is given by The error probability is found by integrating a Gaussian distribution with this mean square value to find the area of the tail beyond n/2. The error probability is given by a12, aside from a Comparingthesetwoequations, the Gaussian distribution evaluated at we seethatminimum prefactor of order unity. This results in linewidth for FSK is 4m2 greater than for DSPK.

VI. SUMMARY
Noise in lasers can be rigorously described in terms of where RB = liT is the bit rate [ 5 9 ] . If we set AvA = AvA fluctuations of a complex classical wave field that has P(t) andequate PE to we find RB/A\vA = 210. Thisisthe bothintensity andphasefluctuations.Belowthreshold, minimum allowable bit-rate linewidth ratio for DPSK re- both fluctuations contribute equally to the broadening of gardless of power. Salz [58] finds that to nearly reach the the laser line, which is Lorentzian shape and has a in width ideal limit of P B , occurring in the absence of phase noise given by the Schawlow-Townes formula. Above threshPE = 20) RB/AvA = old, the suppressionoflow-frequencyintensityfluctua(3 dBabovetheshotnoiselimit, 500-600 is needed. His results are shown in Fig. 12. tions by changes in carrier number changes causes an adThe linewidth requirements for FSK and ASK are less ditionalbroadening of ( 1 a 2 ) / 2 , where CY = 4-7 for stringent than for DPSK, but this is purchased at the price AlGaAsandInGaAsPlasers at room temperature. This of reduced sensitivity in the absence of phase noise and resultsin AuP, = 60-120 MHz mW.Thislineshape uA is above increasedbandwidth of theelectronics.InFSK, threshold approximately is Lorentzian, has but modulated and wAB switches between two values, w 1 and small side peaks separated from the line center by the rew2. The detected signal is divided and each half is passed laxation oscillation frequency. Enormous line narrowing can be achieved extending by through a narrow-band amplifier. Each signal is then envelope detected bysquaringandintegrating.Thetwo the laser cavity with a passive section. Linewidths of only signals are then compared to determine whether the bit is 10 kHz have been achieved while still maintaining single-

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10

JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. LT-4, NO. 3, MARCH 1986

modeoperation by AR coatingonefacetandadding a passive section about 15 cm long. Line narrowing by optical feedback is a consequence of self-locking of the optical field by the delayed field returning after external reflection. The instability of coherence collapse can occur in which a large and rapid phase fluctuation causes the laser to jump outof the self-locked state. This instability is suppressed by very strong optical feedback. The detection sensitivity digital in coherent optical communications is limited by shot noise occurring when light is detected and by phase noise. While the linewidth is due to low-frequency phase fluctuations, errors in optical communications are caused by phase changes occurring during one bit time. The minimum number of phoPB dependsthe on method of digital tons bit per modulation. The shot noise limit of PB = 10 for an error probability of lop9can be achieved by homodyne PSK, but this scheme is extremely sensitive to phase noise. Heterodyne DPSK has a P, 3 dB more than the shot noise R B I A v A = 500. The limit, which can be approached for linewidth requirements for heterodyne FSK and ASK are an order of magnitude less restrictive on linewidth than DPSK and have PB that are 6 and 9 dB greater than the shot noise limit, respectively.

ACKNOWLEDGMENT The author wishes to thank N. A. Olsson, J. Salz, M. Lax, R. Schimpe, and G. P. Agrawal for stimulating discussions.
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M.Lax,Classicalnoise V: Noise in self-sustainedoscillators, Pkys. Rev.. VOI. 160, pp. 290-307.1967. A . L. Schawlow and C. H. Townes. .Infrared and optical masers, Phys. Rev., VOI. 112,pp.1940-1949,1958. M. Quantum Lax, noise Phase V: noise in a homogeneously broadened maser, in Physics and Quantum Electronics, P. L. Kelley, B. Lax, and P. E. Tannenwald, Eds. New York: McGraw-Hill, 1966, pp. 735-747. R. D. HempsteadandM.Lax,ClassicalNoiseVI:Noise in selfsustained oscillators near threshold. Phys. Rev., vol. 161, pp. 350366,1967. H. Gerhardt, H . Welling, and A . Guttner, Measurements of the laser line width due to quantum phase and quantum amplitude noise above and below threshold, 2. Physik, vol. 253, pp. 113-126, 1972. M. W. Flemingand A . Mooradian,Fundamentallinebroadening of single-mode (GaA1)As diode lasers, Appl. Phys. Lett., vol. 38, pp. 511, 1981. of semiconductor lasers, C. H. Henry,Theoryofthelinewidth IEEE J . Quantum Electron., vol. QE-18. pp. 259-264, 1982. C. H. Henry, R. A. Logan.and K . A. Bertness,Spectraldependence of the change in the refractive index due to carrier injection in GaAs lasers. J . Appl. Phys., vol. 52, pp. 4457-4461, 1981. C. H. Harder, K. Vahala. and A. Yariv, Measurement of the linewidth enhancement factor CY of semiconductor lasers, Appl. Phys. Left.. vol. 42, pp. 328-330, 1983. 1. D. Henning and J. V. Collins, Measurement of the semiconductor laser linewidth broadening factor, Electron. Lett., vol. 19, pp. 927929,1983. R. Schimpe, B. Stegmuller, and W. Harth, FM noise of index-guided GaAlAs diode lasers, Electron. Letf., vol. 20, pp. 206-208, 1984. C. H. Henry, N . A. Olsson, and N. K. Dutta, Locking rangeand stability of injection locked 1.54-p InGaAsP semiconductor lasers, ZEEE J . Quantum Electron., vol. QE-21, pp. 1152-1 156, 1985. K.Kikuchiand T.Okoshi,Estimation oflinewidthenhancement factor a of AlCaAs lasers by correlation measurement between FM and AM noises, IEEE J . Quantum Electron., vol. QE-21, pp. 669673,1985.

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HENRY:PHASE

NOISE IN SEMICONDUCTOR LASERS

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Charles H. Henry wasbornin Chicago, IL, in 1937. He received the M.S. degree in physics from the University of Chicago, Chicago, IL, in 1959, and the Ph.D. degree in physics from the University of Illinois, Urbana, in 1965. Since 1965, he has been a member of the staff inthe SemiconductorElectronics ResearchDepartment, AT&T Bell Laboratories, Murray Hill, NJ. From 1971 to 1976, he served as head of this department. His research is primarily on the physics associated with light emittine device technology. He is the author of over 80 published papers. Dr.Henry is a Fellow of theAmericanPhysicalSociety and of the Association for Advancement the of Science.
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