1

Lih Y. Lin
EE 539B
1a-
EE 539B
Integrated Optics and Nanophotonics
1 Theory of Optical Waveguides
1.1 Modes in planar waveguides
1.2 Ray-optic approach to optical waveguide
theory
Guided-wave Optoelectronics, T. Tamir, ed., Sec. 2-1, Springer Verlag.
Integrated Optics, by R. G. Hunsperger, Chapter 2, Springer Verlag.
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Lih Y. Lin
EE 539B
1a-
E-M Field in a Planar Waveguide
Warm-up question: What kind of structure can be a waveguide?
Assuming a monochromatic wave propagating in z-direction:
t j z j t j
e e y x e t

= = ) , ( ) ( ) , ( E r E r E
(We will deal with some Maxwells
equations, but dont be afraid of this.)
0 ) ( ) ( ) (
2 2 2
= + r E r r E n k
Region I:
0 ) , ( ) ( ) , (
2 2
2
2
2
2
= +

y x E n k y x E
x
0 ) , ( ) ( ) , (
2 2
1
2
2
2
= +

y x E n k y x E
x
Region II:
0 ) , ( ) ( ) , (
2 2
3
2
2
2
= +

y x E n k y x E
x
Region III:
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Lih Y. Lin
EE 539B
1a-
Modes in a Planar Waveguide
Modal solutions are sinusoidal or exponential, depending on the sign of ) (
2 2 2

i
n k
Boundary conditions:
x
y x E
y x E

) , (
and ) , (
1 3 2
n n > >
must be continuous at the interface between layers.
Assuming n , lets draw possible waveguide modes:
kn
3
kn
2
kn
1
0
x

n
1
n
2
n
3
(The technique you learned from solving optical waveguide modes can be applied
to the design of many photonic components.)
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Lih Y. Lin
EE 539B
1a-
Guided Modes in a Planar Waveguide
Examples of guided modes in a symmetrical waveguide.
m: Mode order
Q: How to define the mode order?
Only discrete values of are allowed in a waveguide.
(This is the center of the optical waveguide theory.)
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Lih Y. Lin
EE 539B
1a-
Experimental Observation of Waveguide Modes
Q1: How to choose the laser wavelength?
Q2: How to create different modes?
Q3: How to measure the modal profile?
Q4: How to tell which side is air, which side is the substrate?
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Lih Y. Lin
EE 539B
1a-
Do things in simple ways first.
Geometrical optics.
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Lih Y. Lin
EE 539B
1a-
Ray Patterns in the
Three-Layer Planar Waveguide
Remember that only discrete values of are allowed. How to solve for allowable ?
Step 1:
Determine the relation between and the angle of the optical ray. Different modes
have different angles.
) sin( + hx E
2
2
2 2 2
n k h = +
For the m-th mode,

=

m
m
h
1
tan
Overall
propagation
constant
Propagation constant in z
Propagation constant in x
In the guided region,
Lower-order mode has smaller
m
and larger
m.
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Lih Y. Lin
EE 539B
1a-
Ray Patterns for Different Modes

2
2
1
1
2
1
2
sin sin
n
n
kn

=
2
3
1
2
sin
n
n

2
3
2
2
1
sin
n
n
n
n

kn
3
kn
2
kn
1
0
Higher-order
Lower-order

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Lih Y. Lin
EE 539B
1a-
Reflection and Refraction
2 2 1 1
2 2 1 1
cos cos
cos cos
+

=
n n
n n
r
TE TE TE
r t + =1
1 2 1 3
, tE E rE E = =
Step 2:
Determine phase changes at the interfaces.
For TE wave:
) exp( | | , ) exp( | |
TM TM TM TE TE TE
j r r j r r = =
2 1 1 2
2 1 1 2
cos cos
cos cos
+

=
n n
n n
r
TM
) 1 (
2
1
TM TM
r
n
n
t + = For TM wave:
Phase change accompanies reflection.
Ref: Saleh and Teich, Fundamental of Photonics, Sec. 6-2.
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Lih Y. Lin
EE 539B
1a-
Total Internal Reflection for TE Wave
1 1
2
2 1
2 2
1
1
2
1
2
cos
sin
cos
sin sin
2
tan

n
n n
c
TE
2
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Lih Y. Lin
EE 539B
1a-
Total Internal Reflection for TM Wave
1 1
2
2 1
2 2
1
2
2
2
1
2
1
2
1
2
cos
sin
sin cos
sin sin
2
tan

=


=

n
n n
n
n
c
c
TM
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Lih Y. Lin
EE 539B
1a-
Dispersion Equation
Transverse resonance condition:
= m h kn
s c f
2 2 2 cos 2
cos h kn
f
) ( 2
,TM TE c
=
) ( 2
,TM TE s
=
m
Dispersion equation ( vs. ):
= m h kn
s c f
cos
Step 3:
Define transverse resonance condition.
: mode number
: phase shift for the transverse passage through the film
: phase shift due to total internal reflection from film/cover interface
: phase shift due to total internal reflection from film/substrate interface
Solve for .
=

sin
f
n
k
N
f s
n N n < < Effective guide index
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Lih Y. Lin
EE 539B
1a-
Graphical Solution of the Dispersion Equation
Symmetrical waveguide,
s
=
c
Asymmetrical waveguide,
s

c
For fundamental mode (m = 0), there is always a solution (no cut-off) for symmetrical waveguide.
Increasing h (and/or decreasing ) will support more modes.
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Lih Y. Lin
EE 539B
1a-
Typical diagram
Cut-off
kn
f
kn
s
Lower-order
Higher-order

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Lih Y. Lin
EE 539B
1a-
Numerical Solution for Dispersion Relation (I)
Define:
Normalized frequency and film thickness
2 2
s f
n n kh V
2 2
2 2
s f
s
n n
n N
b

Normalized guide index

b = 0 at cut-ooff (N = n
s
), and approaches 1 as N n
f
.
Measure for the asymmetry
TM for TE, for
2 2
2 2
4
4
2 2
2 2
s f
c s
c
f
s f
c s
n n
n n
n
n
a
n n
n n
a

a = 0 for perfect symmetry (n

s
= n
c
), and a approaches infinity for strong asymmetry (n
s
n
c
, n
s
~ n
f
).
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Lih Y. Lin
EE 539B
1a-
Numerical Solution for Dispersion Relation (II)
For TE modes, dispersion relation
b
a b
b
b
m b V

+
+

+ =

1
tan
1
tan 1
1 1
= m h kn
s c f
cos
m = : Mode number
(Normalized) cut-off frequency:
+ =
=

m V V
a V
m 0
1
0
tan
# of guided modes allowed:
2 2
2
s f
n n
h
m

=
<Example>
AlGaAs/GaAs/AlGaAs double heterostructure
n = 3.55/3.6/3.55
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Lih Y. Lin
EE 539B
1a-
The Goos-Hnchen Shift

=
d
d
z
s
s
=

tan ) (
2 / 1 2 2
s s
n N kz

+

=

1
tan ) (
2
2
2
2
2 / 1 2 2
f s
s
s
n
N
n
N
n N
kz
For TE modes
For TM modes
The lateral ray shift indicates a penetration depth:

=
tan
s
s
z
x
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Lih Y. Lin
EE 539B
1a-
Effective Waveguide Thickness
Effective thickness:
c s eff
x x h h + + =
Normalized effective thickness:
2 2
s f eff
n n kh H
For TE modes:
a b b
V H
+
+ + =
1 1
Minimum H Maximum confinement
Effective waveguide thickness cannot be zero,
even for symmetrical waveguide (a = 0).
Example:
Sputtered glass, n
s
= 1.515, n
f
= 1.62,
n
c
= 1, a = 3.9