Introduction to Photonics

Lecture 20/21/22: Guided-Wave Optics

December 1/3/8, 2014

Integrated optics
Waveguide architectures
Photonic materials
Guided-wave theory
Planar-mirror waveguides
Planar dielectric waveguides
2D waveguides

Why Integrated Optics?

Single-Frequency
Tunable Laser

Electroabsorption
Modulator

Phase
Modulator

Semiconductor
Optical Amplifier
Electronic
Integrated Circuits

Optical
Splitter/Combiner

Circuit Components
Optical filter

Arrayed Waveguide
Grating

Optical Waveguides and Integrated Photonics

Cladding

Core
Strip

Optical Fiber
Substrate

Strip Waveguide

Cover
Slab
Substrate

Slab Waveguide

Laser diode

Integrated Photonic
Transmitter/Receiver

Modulator

Coupler

Coupler
Photodiode
Fiber

Waveguides are Fundamental

www.intel.com

Example of an integrated-optic device used as an optical receiver/transmitter

Received light is coupled into a waveguide and directed to a photodiode where it is
detected.
Light from a laser is guided, modulated, and coupled into a fiber for transmission.

Siliconize Photonics
IEEE Spectrum, January 2004

CMOS compatible
- Easy integration with microelectronics

Low cost

Optical interconnect
Neil Savage, IEEE Spectrum, Aug. 2004

Si ?

Light sources

Waveguides

< 0.2 dB/cm

- Fully established process technology

- Scalability
- Inexpensive material

Modulators

B 10 GHz

http://www.intel.com/technology/silicon/sp/index.htm

Photodetectors

R 0.8 A/W
B 30 GHz

Passive
Alignment

CMOS
processing

Potential Monolithic Integration with Electronics

Guiding, splitting, switching, wavelength multiplexing,
and amplification of light on a single chip
D. J. Paul, Advanced Materials, 11, 3, 191, 1999.

Potential disruptive technology

CMOS compatible
Low cost, mass production
Easy to integrate with electronics
Compatible with SOI technology
MISSING INGREDIENT
Si-based light emitters

Low loss (<1dB/cm) SOI waveguides

Si/Ge detectors demonstrated
Si modulators demonstrated

Engineering challenge meets

a fundamental physics problem

Actually makes sense (in most cases) to have separate layers

for electronics and photonics

Integrated Passive Components:

Basic Photonic Interconnects
Curve or bend

S-bend

Flare

Y-branch

Directional coupler

Multimode interference coupler

Taper

Passive components used to interconnect active components

But passive components also have other functionality

Bend can filter higher order modes

MMI coupler splits incoming field and produces a phase shift
Active components are also constructed in waveguide structures

Integrated Photonic Functions

Active

Passive

Variable function that responds to

external actuation or control

Fixed and constant function

Filtering
Coupling

Emission
Detection

Tunable Coupling

Combining
Splitting

Tunable Filtering

Attenuation

Modulation
Variable Attenuation
Amplification

Optical Isolation
Routing

Mode Transformation

Integrated Passive Components

1x8 MMI Coupler
Arrayed Waveguide Grating
(AWG)

Integrated Delay
Line (IDL)
Grating Coupler
Spot Size Converter

Integrated Active Components

Semiconductor laser

Optical modulator

Photodiode

Semiconductor optical amplifier

Photonic integration challenge: traditionally these (and passive

components) are made from different materials

Photonic Materials

Indium Phosphide (InP)

= 5-10%
Small devices (~m-mm)
Lasers, modulators,
SOAs, photodetectors,
passives

Silicon on Insulator
(SOI)
= 40-45%
Small devices (~m)
Modulators,
photodetectors,
passives

Silica on Si (Dielectric)

Lithium Niobate
Ge, B, P:doped SiO2
(LiNbO3)
Si3N4 (n=1.9)/SiO2 (n=1.5) = 0.5-1%
= 0.5-20%
Large devices (~mm Large devices (~mm-cm)
cm)
Passives
Modulators,
passives

Index contrast = = (ncore2 ncladding2)/(2ncore2)

Typical architectures shown; we are not constrained to these architectures
Why is the lower cladding of Silica waveguide so thick?
How can we drastically increase index contrast for InP-based waveguides?

11

Passive Component Figures of Merit

Common figures of merit (which can have different
meaning for each of many passive components
available)
Loss (cm-1 or dB/cm)
Useful conversion
10 cm-1 = 4.34 dB/mm

Coupling loss (dB)

Insertion loss (dB)
Includes all losses: coupling loss, waveguide loss

Wavelength dependence or bandwidth

Wavelength dependent loss, coupling,

Polarization dependence
Polarization dependent loss, coupling,

Passive Components in MZM

MZMs that we studied look like this:

Why use extra bends (source of loss) and not just build like this?

Waveguide Architectures
Planar Slab

Ridge

Rib

Buried Rib

Buried Channel

Deep Ridge

Which of these has the highest optical confinement?

How can we increase the confinement without altering geometry?

Planar-Mirror Waveguides
Concept of waveguide modes

Start with a simple planar-mirror waveguide

Not realistic but a good introduction to dielectric waveguides to introduce the
concept of guided modes

Apply E&M analysis by assigning each ray a TEM plane wave

The total field is then the sum of these plane waves
Conditions:
Wave is polarized in x and lies in y-z plane
Each reflection induces a -phase shift but amplitude and polarization are
maintained (perfect mirror)

Planar-Mirror Waveguides

Self-consistency condition: As wave reflects twice, it reproduces

itself so as to yield only two distinct plane waves
Original wave must interfere with itself constructively (only certain
fields satisfy this condition
eigenfunctions or modes)

Modes are the fields that satisfy self-consistency condition

Modes are the fields that maintain the same transverse distribution and
polarization at all locations along the waveguide axis

Planar-Mirror Waveguides

Phase shift from A to B must equal (or differ by integer multiple of 2) phase shift
from A to C (which undergoes two reflections); recall: = kl

= 2AC/ 2 2AB/ = 2q,

Reflected wave

AC = d / sin

q = 0, 1, 2, . . .

Original wave

AB = (d / sin )(cos 2 )
cos(2 ) = 1 - 2 sin 2 ( )

AC AB = 2d sin

(2/)2d sin = 2m,

where m = q + 1

m = 1, 2, . . .

Planar-Mirror Waveguides

(2/)2d sin = 2m,

m = 1, 2, . . .

Self-consistency therefore satisfied for

certain values of = m (bounce angles)

sinm = m/2d,

m = 1, 2, . . .

- Each m corresponds to a mode

- m = 1
first or fundamental mode
(has smallest angle)

y component of the propagation constant

ky = nkosin
quantized form:

kym = nkosinm = (2/)sinm

kym = m/d,

m = 1, 2, 3, . . .

- Therefore kym are spaced by /d

- Phase shift for one round trip (vertical distance
of 2d) must be multiple of 2
- Note dependence on d (only confined in vertical)

Propagation Constants
The sum (or difference) of the two distinct waves (that traveling at angle + and
that traveling at angle ) has component exp(-jkz z)
The propagation constant of the guided wave is kz = kcos.
Thus is quantized with values

m = kcosm
m2 = k 2 (1 sin 2 m )

sin m = m
2d

Dispersion relation
Higher order modes travel with smaller propagation constants.

Quantization

Note: Fundamental mode (m = 1) has smallest bounce angle and

largest propagation constant

Field Distributions
The phase shift encountered when a wave travels a distance 2d (one round trip) in the y
direction, with propagation constant kym, must be a multiple of 2. ( k ym 2d = m 2 )
Recall: total field in waveguide is sum of upward and downward TEM plane waves
When the self-consistency condition is satisfied, the phases of the upward and
downward plane waves at points on the z axis differ by half the round-trip phase
shift q, q = 0, 1, . . . , or (m 1), m = 1, 2, . . .
So waves add for odd m and subtract for even m
There are therefore symmetric modes, for which the two plane-wave components are
added, and antisymmetric modes, for which they are subtracted.
General principle: the modes of every symmetric structure can be classified as
ODD or EVEN with respect to a symmetry axis
y

exp(-jkyy z)

m
m

z
exp[j(m-1)]exp(jkyy jz)

TE Modes
Consider first TE modes, such that the electric field is in the x direction
Upward wave component:
Downward wave component:

Am e

jk ym y j m z

e j ( m 1) Am e

jk ym y m z

At y = 0 the two waves differ in phase by (m 1).

Total field:
Symmetric modes (m odd)
components add
Asymmetric modes (m even)
components subtract

E x ( y, z ) = 2 Am cos(k ym y )e j m z
E x ( y, z ) = 2 jAm sin( k ym y )e j m z

Complex Field Amplitudes

Transverse electric field, x-polarized
Write in this form:

Transverse distributions

Amplitude of the mode

am = 2d Am

Odd m

am = j 2d Am Even m
Transverse distributions have been normalized

And can be shown to be orthogonal

k my y

Complex Field Amplitudes

Field distributions

cos(my/d)exp(-jmz)

m odd

sin(my/d)exp(-jmz)

m even

y
d
m=1

m=2

m=3

m=4

z
0

m=4

Take Home Messages

Each mode can be viewed as a standing wave in the y direction, traveling in the z
direction.
Modes of large m vary in the transverse plane at a greater rate, ky, and travel with
a smaller propagation constant .
Field vanishes at mirror boundary (y = d/2) for all modes, so the boundary
conditions are always satisfied.

m = 1,2,3,...
sin m = m
k ym = m

2d

d
m = k cos m

TE vs. TM Modes
TE Modes

cos(my/d)exp(-jmz)
sin(my/d)exp(-jmz)

Ex

m odd
m even

y
E .

TM Modes

Ez

.E
H

cos(my/d)exp(-jmz)
sin(my/d)exp(-jmz)

m odd
m even

y
E
z

.
H

. E

Now there are E components in the y and z directions.

The z component behaves exactly as the x component of a TE mode.

Number of Modes
Recall sinm = m/2d, m = 1, 2, . . .
Since sinm < 1, the maximum allowed value of m is the greatest integer
smaller than 1/(/2d)
The actual number of modes
that carry the optical power
depends on the source of
excitation but the maximum
number is M

2d/ is reduced to the nearest integer

Example: when 2d/ = 0.9, 1, and 1.1, we
have M = 0, 0, and 1, respectively.

M increases with increasing ratio of the mirror separation to the wavelength

Under conditions such that 2d/ 1 (corresponding to d /2) M is seen to be 0

Self-consistency condition cannot be met and the waveguide cannot support
any modes.
The wavelength c = 2d is called the cutoff wavelength of the waveguide.

Number of Modes
Cutoff frequency: the lowest frequency of light
that can be guided by the waveguide.
If 1 < 2d/ 2 (i.e., d < 2d or c < 2c), only one mode is allowed.
The structure is then said to be a single-mode waveguide.

Also express number of modes this way:

=
c
c

M=

The number of modes increases

by unity when the angular
frequency is incremented by: c

Dispersion Relation
Dispersion relation is the relation between the propagation constant and
the angular frequency

Linear for large

(approaches
homogeneous
medium case where
= /c)
Below cutoff

c = 2c = c/d

The propagation constant for mode m is:

zero at angular frequency = mc
increases monotonically with angular frequency
approaches the linear relation = /c for sufficiently large values of

Group Velocity
A pulse of light (wavepacket) travels with a velocity v = d/d (group velocity)
Take derivative of - relation (ignoring dispersion in waveguide material, i.e.
assume c independent of )
Group velocity of mode m

For each mode, the group velocity increases

monotonically from 0 to c as the angular frequency
increases (above the mode cutoff frequency).

More oblique modes travel with smaller group velocities since

they are delayed by the longer paths (zigzag process)

Review (Planar-Mirror Waveguide)

Number of guided modes

- relation

Group velocity

TM Modes
TM modes have magnetic field in the x direction; electric field has
components in y and z
Recall that the z-component of the electric field here, behaves exactly as xcomponent for TE mode (both always parallel to mirrors)

z-component of TM mode

y-component of TM mode

This is the sum of the upward and

downward waves (that have equal
amplitude and phase difference (m 1)
The , ky, are identical to those for TE
modes
Boundary conditions still satisfied
because Ez vanishes at mirrors

Multimode Fields
Waveguide may support several modes (more than one mode satisfy boundary conditions)
E1(y, z) = u1(y)exp(-j1z)

E2(y, z) = u2(y)exp(-j1z)
ETOT(y, z) = u1(y)exp(-j1z) +
u2(y)exp(-j1z)
Arbitrary field polarized in the x direction and satisfying the boundary
conditions can be written as a weighted superposition of the TE modes:
Optical power divided among modes
and power distribution is position
dependent

Planar-Mirror Waveguides
Concept of waveguide modes

Start with a simple planar-mirror waveguide

Not realistic but a good introduction to dielectric waveguides to introduce the
concept of guided modes

Apply E&M analysis by assigning each ray a TEM plane wave

The total field is then the sum of these plane waves
Conditions:
Wave is polarized in x and lies in y-z plane
Each reflection induces a -phase shift but amplitude and polarization are
maintained (perfect mirror)

Planar-Mirror Waveguides

Self-consistency condition: As wave reflects twice, it reproduces

itself so as to yield only two distinct plane waves
Original wave must interfere with itself constructively (only certain
fields satisfy this condition
eigenfunctions or modes)

Modes are the fields that satisfy self-consistency condition

Modes are the fields that maintain the same transverse distribution and
polarization at all locations along the waveguide axis

Planar-Mirror Waveguides

(2/)2d sin = 2m,

m = 1, 2, . . .

Self-consistency therefore satisfied for

certain values of = m (bounce angles)

sinm = m/2d,

m = 1, 2, . . .

- Each m corresponds to a mode

- m = 1
first or fundamental mode
(has smallest angle)

y component of the propagation constant

ky = nkosin
quantized form:

kym = nkosinm = (2/)sinm

kym = m/d,

m = 1, 2, 3, . . .

- Therefore kym are spaced by /d

- Phase shift for one round trip (vertical distance
of 2d) must be multiple of 2
- Note dependence on d (only confined in vertical)

Propagation Constants
The sum (or difference) of the two distinct waves (that traveling at angle + and
that traveling at angle ) has component exp(-jkz z)
The propagation constant of the guided wave is kz = kcos.
Thus is quantized with values

m = kcosm
m2 = k 2 (1 sin 2 m )

sin m = m
2d

Dispersion relation
Higher order modes travel with smaller propagation constants.

TE Modes
Consider first TE modes, such that the electric field is in the x direction
Upward wave component:
Downward wave component:

Am e

jk ym y j m z

e j ( m 1) Am e

jk ym y m z

At y = 0 the two waves differ in phase by (m 1).

Total field:
Symmetric modes (m odd)
components add
Asymmetric modes (m even)
components subtract

E x ( y, z ) = 2 Am cos(k ym y )e j m z
E x ( y, z ) = 2 jAm sin( k ym y )e j m z

Complex Field Amplitudes

Transverse electric field, x-polarized
Write in this form:

Transverse distributions

Amplitude of the mode

am = 2d Am

Odd m

am = j 2d Am Even m
Transverse distributions have been normalized

And can be shown to be orthogonal

k my y

Dispersion Relation
Dispersion relation is the relation between the propagation constant and
the angular frequency

Linear for large

(approaches
homogeneous
medium case where
= /c)
Below cutoff

c = 2c = c/d

The propagation constant for mode m is:

zero at angular frequency = mc
increases monotonically with angular frequency
approaches the linear relation = /c for sufficiently large values of

Group Velocity
A pulse of light (wavepacket) travels with a velocity v = d/d (group velocity)
Take derivative of - relation (ignoring dispersion in waveguide material, i.e.
assume c independent of )
Group velocity of mode m

For each mode, the group velocity increases

monotonically from 0 to c as the angular frequency
increases (above the mode cutoff frequency).

More oblique modes travel with smaller group velocities since

they are delayed by the longer paths (zigzag process)

Review (Planar-Mirror Waveguide)

Number of guided modes

- relation

Group velocity

TM Modes
TM modes have magnetic field in the x direction; electric field has
components in y and z
Recall that the z-component of the electric field here, behaves exactly as xcomponent for TE mode (both always parallel to mirrors)

z-component of TM mode

y-component of TM mode

This is the sum of the upward and

downward waves (that have equal
amplitude and phase difference (m 1)
The , ky, are identical to those for TE
modes
Boundary conditions still satisfied
because Ez vanishes at mirrors

Multimode Fields
Waveguide may support several modes (more than one mode satisfy boundary conditions)
E1(y, z) = u1(y)exp(-j1z)

E2(y, z) = u2(y)exp(-j1z)
ETOT(y, z) = u1(y)exp(-j1z) +
u2(y)exp(-j1z)
Arbitrary field polarized in the x direction and satisfying the boundary
conditions can be written as a weighted superposition of the TE modes:
Optical power divided among modes
and power distribution is position
dependent

Planar Dielectric Waveguide

Dielectric slab waveguide
n1 > n2

c = sin-1(n2/n1)

The dielectric waveguide has an inner medium (core or slab) with refractive index n1 larger
than that of the outer medium (cladding or cover/substrate) n2
The electromagnetic wave is trapped in the inner medium by total internal reflection at an
angle greater than the critical angle c = sin-1(n2/n1)
Waves making larger angles refract therefore losing a portion of power at each reflection
(so eventually vanish)
Guiding condition:

> c

or is smaller than the complement

of the critical angle c = /2 sin1(n2/n1) = cos1 (n2/n1)

Review on Total Internal Reflection

Total internal reflection is accompanied by a phase shift x = arg{rx} given by:

TE-reflection
phase shift

TM-reflection
phase shift

The phase shifts depend on incidence angle and on polarization

Dielectric Waveguide Analysis Approach

To determine the waveguide modes, solutions to Maxwells equations can be
reached in the core and cladding regions where appropriate boundary
conditions are imposed (EC770 covers full-vector treatment)
Following the Photonics book, apply similar approach to that for planarmirror waveguide
Write a solution in terms of TEM plane waves bouncing between
surfaces of the slab
Apply self-consistency condition to determine m, , um, vg

Self-consistency: Wave 1 at B has the same phase as wave 3 at C (wave reproduction)

two reflections

r = phase introduced by total internal reflection

(replaces from planar-mirror waveguide)

Determine TE Modes
Guiding (self-consistency) condition:

Phase shift for TE

(from analysis of
reflection at boundary):

Rewrite self-consistency
equation in this form:

2d sin 2 r = 2m

sin 2 c
tan =
1
2
2
sin

1 = / 2
c = / 2 c

d
tan sin m = tan( r / 2)
2

This is a transcendental equation for sin

plot both sides
Solutions yield the bounce angles

Determine TE Modes
Self-consistency condition (TE modes):

sin 2 c
tan sin m =
1
2

2
sin
In this plot:

sin c = 8

LHS

2d

RHS

Crossings yield the bounce angles m of the guided modes

even m (tan)

M=9

odd m (cot)

For planar-mirror:
r =

tan( r / 2) =
sin m = m / 2d

m are between 0 and c

Propagation Constants
z-components of wavevectors are the propagation constants

_
Since cosm lies between 1 and cosc = n2/n1
m lies between n2k0 and n1k0
Guiding condition

n2 k0 < m < n1k0

Number of Modes
_

Modes exist for all sin sinc where there is a mode for each interval of /2d

sin c
M=
2d
.

cos c = n2 / n1

smallest integer
greater than

Rewrite in terms of
numerical aperture

M=
.

2d

sin c = 1 cos 2 c

NA

= 0 / n1
NA = n12 n 22

Number of Modes
_

When /2d > sinc or (2d/0)NA < 1
only one mode allowed
(single-mode waveguide)
Dielectric waveguide has no absolute cutoff frequency, i.e. there is at
least one TE mode since fundamental mode (m = 0) always exists
Cutoff frequency given by:

Single-mode operation when by > c

.

M = /c
No forbidden region as for
planar-mirror waveguide

Field Distributions
Concept of internal and external fields

um ( y )

functions

Forward-looking observation:
Higher order modes leak more into upper and lower cladding layers

TE Internal Fields
The field inside the slab is composed of two TEM plane waves traveling at angles
m and -m with wavevector components (kx, ky, kz) = (0, n1k0sinm, n1k0cosm).
At the center of slab, these fields have same amplitude and phase shift (m, i.e. half
of a round trip)
Arbitrary field is superposition over all the modes:

where

Proportionality constant to be
determined by matching the fields at
the boundaries

Note: field distributions are harmonic but do

not vanish at boundaries

TE External Fields
The external field must match the internal field at all boundary points y = d/2.
Substitute
into

m2 > 0
For guided waves m > n2 ko

therefore exponential solutions

Extinction coefficient/decay rate

Proportionality constants determined by matching

internal and external fields at y = d/2 and using
normalization.

As mode number increases, m decreases and

modes penetrate more into cladding and substrate

General Properties of the Modes

+

Normalization:

2
u
m ( y)dy = 1

Orthogonality:

( y )ul ( y )dy = 0

for l m
Arbitrary TE field in the waveguide:

E x ( y, z ) = amum ( y ) exp( j m z )
m

Optical Confinement Factor

Ratio of power in slab to total power

60

Dispersion Relation
From expressing self-consistency equation
in terms of and
Rewrite in parametric form in terms of c
and n and then plot

Dispersion relations for different modes lie

between the lines = c2 and = c1
Dotted light lines represent propagation in
homogeneous media (with refractive indices
of the surrounding medium and the slab)
As frequency increases above mode cutoff
frequency, the dispersion relation moves from
the light line of the surrounding medium
toward the light line of the slab

Waves of shorter wavelength are

more confined in high-index slab

Group Velocity
Group velocity

d
v=
dk
(slope of the dispersion)
For each mode, as increases above mode
cutoff frequency, v decreases
Maximum value of v is c2, minimum value
is below c1
v asymptotically returns back toward c1

The group velocities of the allowed modes

range from c2 to a value slightly below c1.
Note: modes have different group velocities
modal dispersion
When v varies slightly as a function of , dispersion small so negligible pulse spreading

Rectangular Waveguide
Two-dimensional waveguides confine light in the two transverse directions
(the x and y directions)

For a waveguide with a square cross section,

and if M is large:

2d
M NA2
4
2

The number of modes is a measure of the degrees of

freedom. When we add a second dimension we simply
multiply the number of degrees of freedom.

Rectangular Mirror Waveguides

Start with square mirror waveguide of width d
As for planar case, light guided by multiple
reflections at all angles
For plane wave (with wavevector (kx, ky, kz)) to
satisfy self consistency, must have
(i.e. self-consistency in both dimensions)
Then determine from:

k x2 + k y2 + 2 = n 2 k02
kx, ky, kz () therefore have discrete values
Each mode identified by indices mx, my
As shown in plot, all integer values permitted as
long as kx2 + ky2 n2ko2

Number of modes (per polarization) (M large):

2d
M NA2
4
2

Compared to 1-D waveguide, we see

multiplication of degrees of freedom

Rectangular Dielectric Waveguide

The components of the wavevector must satisfy:

k x2 + k y2 n1 k02 sin 2 c
2

c = cos 1

n2
n1

Now kx and ky lie within reduced area

Can determine values using phase shifts
() as for planar case
Number of modes (each polarization)

Note: Unlike the mirror waveguide, kx and ky

of modes are not uniformly spaced.
However, two consecutive values of kx (or ky)
are separated by an average value of /d (the
same as for the mirror waveguide)

NA = n12 n22

Geometries of Channel Waveguides

Basic waveguide geometries

Basic waveguide functions

The exact analysis of these geometries/devices is far from easy and approximations are needed
See: Fundamentals of Optical waveguides, K. Okamoto, Academic Press, 2000

Waveguide Coupling for Integration

Fiber-to-chip coupling

These are coupling problems

mode matching problems

Butt-coupling from emission source to waveguide

67