Glass Processing

Lecture 19 # Introduction to Dielectric Waveguide

Younès Messaddeq
Centre d’optique, Photonique et laser,Québec , Canada
(younes.messaddeq@copl.ulaval.ca)
Spring 2015 JIRU

Lectures available at:

www.lehigh.edu/imi
Sponsored by US National Science Foundation (DMR-0844014)
Introduction to Dielectric Waveguide

OUTLINE

Day One (Introduction to Dielectric Waveguide)

1 – Introduction & Useful references

2 –Dielectric waveguide
JIRU
Representative of Chanel waveguides
Waveguide condition
Single and multimode waveguide
TE and TM modes

3- Waveguides Materials

4-Characterization of Optical Waveguides

5- Waveguide devices
 Introduction to Dielectric Waveguide
USEFUL REFERENCE

Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)

JIRU

ISBN-10: 0133081753
Second Edition Version 1.056
 Introduction to Dielectric Waveguide
USEFUL REFERENCE

Optical Waveguides (OPT568)

Govind P. Agrawal
Institute of Optics
University of Rochester
Rochester, NY 14627
JIRU
http://www.optics.rochester.edu/users/gpa/opt468a.pdf

Photonics devices
Jia-Ming Liu
Electrical Engineering Department
University of California
Los Angeles, CA 90095-1594

http://course.ee.ust.hk/elec509/notes/Lect4-Optical%20waveguides.pdf
 Introduction

The basic element of any optical circuit is the optical waveguide which
permits to connect optically different devices.

To build integrated optical circuits that substitute micro-electronic

circuits, integrated optical waveguides with light confinement in a size
of the order of the wavelength are mandatory.
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Optical waveguides can be classified according to their :

a) Geometry: Planar, Strip, Fiber waveguides

b) Mode Structure: Single mode, multimode
c) Rectractive index distribution: Step, Gradient index
d) Material: Glass, Polymer, Semicomducteur.
Introduction

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 Introduction
Optical integrated waveguides:
-Design: energy flow only along the waveguiding structure but not perpendicular
to it, so radiation losses can be avoided

-Mechanism: usually, optical integrated waveguides rely on the principle of total

internal reflection (TIR)

-Material science: use of materials with good optical properties: low absorption
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loss is fundamental.

-Integration: The waveguide cross-section should be as small as possible to permit

high-density integration (physical limit: diffraction, size λ/2)

-Functionality: linking devices or systems (i.e., optical fiber) or implementation of

complex functionalities: splitters/combiners, couplers, AWGs, modulators, etc.

-Technology: Importance of the employed materials and related-technology:

Silicon/silica, SiN, polymers, III-V compounds, lithium niobate, etc.
 DIELECTRIC JIRU
WAVEGUIDES
Representative of Chanel Waveguides

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Representative of Chanel Waveguides

A buried channel waveguide is formed with a

high-index waveguiding core buried in a low-
index surrounding medium.

A ridge waveguide has a structure that looks

like a strip waveguide, but the strip, or the JIRU
ridge, on top of its planar structure has a high
index and is actually the waveguiding core. A
ridge waveguide has strong optical
confinement because it is surrounded on three
sides by low-index air (or cladding material).

A rib waveguide has a structure similar to that of a

strip or ridge waveguide, but the strip has the same
index as the high index planar layer beneath it and is
part of the waveguiding core.
Representative of Chanel Waveguides

A strip-loaded waveguide is formed by loading a

planar waveguide, which already provides optical
confinement in the x direction, with a dielectric strip of
index n3<n1 or a metal strip to facilitate optical
confinement in the y direction. The waveguiding core
of a strip waveguide is the n1 region under the loading
strip, with its thickness d determined by the thickness JIRU
of the n1 layer and its width w defined by the width of
the loading strip.

A diffused waveguide is formed by creating a high-

index region in a substrate through diffusion of
dopants, such as LiNbO3 waveguide with a core
formed by Ti diffusion.
 Planar Optical Waveguide

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A planar dielectric waveguide has a central rectangular region of higher

refractive index n1 than the surrounding region which has a refractive
index n2. It is assumed that the waveguide is infinitely wide and the
central region is of thickness 2a. It is illuminated at one end by a nearly
monochromatic light source.

Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Waves Inside the Core

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A light ray traveling in the guide must interfere constructively with itself
to propagate successfully. Otherwise destructive interference will destroy
the wave. E is parallel to x. (l1 and k1 are the wavelength and the
propagation constant inside the core medium n1 i.e. l1 = l/n1.)

Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)
Waveguide Condition And Modes

k1 = kn1 = 2pn1/l,
Df(AC) = k1(AB + BC) - 2f = m(2p)
BC = d/cosq and AB = BCcos(2q)
AB + BC = BCcos(2q) + BC = BC[(2cos2q -1) + 1] = 2dcosq JIRU
k1[2dcosq] - 2f = m(2p)

 2pn1 (2a ) 
m = 0, 1, 2, 3 etc

  cos qm - fm  mp Integer
l  “Mode number”
Waveguide condition
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Waves Inside the Core

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Two arbitrary waves 1 and 2 that are initially in phase must remain in
phase after reflections. Otherwise the two will interfere destructively and
cancel each other.
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Waveguide Condition And Modes

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 2pn1 
 m  k1 sin q m    sin q m Propagation constant along
 l  the guide
 2pn1 
 m  k1 cos q m    cos q m Transverse Propagation
 l  constant
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Modes in a Planar Waveguide

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We can identify upward (A) and downward (B) traveling waves in the guide which interfere
to set up a standing wave along y and a wave that is propagating along z. Rays 2 and 2
belong to the same wave front but 2 becomes reflected before 2. The interference of 1 and
2 determines the field at a height y from the guide center. The field E(y, z, t) at P can be
written as:

E(y,z,t) = Em(y)cos(wt - mz)

Traveling wave along z
Field pattern along y
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Mode Field Pattern

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Left: The upward and downward traveling waves have equal but opposite
wavevectors m and interfere to set up a standing electric field pattern across the
guide. Right: The electric field pattern of the lowest mode traveling wave along
the guide. This mode has m = 0 and the lowest q. It is often referred to as the
glazing incidence ray. It has the highest phase velocity along the guide

Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Modes in a Planar Waveguide

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The electric field patterns of the first three modes (m = 0,

1, 2) traveling wave along the guide. Notice different
extents of field penetration into the cladding. Each of
these traveling wave constitutes a mode of propagation.
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Waveguide Condition and Modes

To get a propagating wave along a guide you must have

constructive interference. All these rays interfere with each
other. Only certain angles are allowed . Each allowed angle
represents a mode of propagation.
2 pn1 (2a)
  cosq m - fm  mp
l JIRU

Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 TE and TM Modes

Two of the possibilities for the electric field direction of a wave

Traveling toward the core-cladding boundary.

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Plane of incidence is the paper.

B^ is along - x, so that B^ = -Bx
E^ is along x, so that E^ = Ex
Possible modes can be classified in terms of :
(a) transverse electric field (TE)
(b) transverse magnetic field (TM).
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 V-Number
All waveguides are characterized by a parameter called
the V-number or normalized frequency

2pa
V
l
 2
n1 2 1/ 2
- n2 
V < p/2, m = 0 is the only possibility and only the JIRU
fundamental mode (m = 0) propagates along the
dielectric slab waveguide: a single mode planar
waveguide.
l = lc for V = p/2 is the cut-off wavelength, and
above this wavelength, only one-mode, the
fundamental mode will propagate.
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 Example on Waveguide Modes
Consider a planar dielectric guide with a core thickness 20 mm, n1 =
1.455, n2 = 1.440, light wavelength of 900 nm. Find the modes?

2 1/ 2
 2  n2  
TIR phase sin q m -   
change fm for 
  n1  
tan 12 fm   TE mode JIRU
TE mode cos q m

Waveguide  2pn1 (2a ) 

  cos qm - fm  mp
condition l 

Waveguide fm  2ak1 cos qm - mp

condition
Optoelectronics & Photonics: Principles & Practices (2nd Edition)
Hardcover – October 25, 2012 by Safa O. Kasap (Author)
 1/ 2
 2  n2  
2

sin q m -   
 p    n1  
tan ak1 cos q m - m    f (q m )
 2 cos q m TE
mode

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Optoelectronics & Photonics: Principles & Practices (2nd Edition)

Hardcover – October 25, 2012 by Safa O. Kasap (Author)
WAVEGUIDE MATERIALS
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 WAVEGUIDE MATERIALS

a) Glass Waveguides :(SiO2) or SiON

b) Electro-Optic Waveguides: LiNbO3

c) Silicon-on-Insulator technology JIRU

d) Semiconductor Waveguides

e) Polymer Waveguides
 WAVEGUIDE MATERIALS

Silica on Silicon technology

A number of different technologies are used for the fabrication of silica-
on silicon integrated devices including:

a) Flame hydrolysis; JIRU

b) Low pressure chemical vapour deposition;
c) Sputtering, ion exchange and ion implantation;
d) Sol-gel techniques ;
e) Plasma enhanced chemical vapor deposition.
 Examples of integrated waveguides
Silica (SiO2) waveguides (Flame Hydrolsis)

Core: doped silica; claddings: silica (n=1.45)

Advantages:mature technology, ultra-low propagation losses, low fiber
coupling losses, tuning by thermal effects
Drawbacks:large bending radius (large size devices), weak nonlinearities,no
integration with active devices

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 WAVEGUIDE MATERIALS
Lithium niobate(LiNbO3) waveguides
Core: diffused Titanium in LiNbO3; claddings: LiNbO3, air
Advantages: mature technology, high electro-optic effect (electro-
optical Mach-Zehndermodulators), efficient coupling to fiber.
Drawbacks: low integration density, polarization dependence, no
mass-manufacturing.
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LiNbO3
WAVEGUIDE MATERIALS

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WAVEGUIDE MATERIALS

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 WAVEGUIDE MATERIALS

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Silicon oxynitride grated waveguides

Courtesy: Jeff Viens, MIT
 Examples of integrated waveguides

Silicon wires (strip waveguides)

Core: Silicon (n=3.5); claddings: silica, air
Advantages: Integration of on-chip electronics/photonics, mass
manufacturing, high density of integration, strong confinement
Drawbacks: propagation losses (>1dB/cm), weak nonlinearities, negligible
electro-optic effect, inefficient coupling

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WAVEGUIDE MATERIALS

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WAVEGUIDE MATERIALS

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WAVEGUIDE MATERIALS

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 Examples of integrated waveguides
Silicon Rib waveguides
Core: Silicon (n=3.5); claddings: silica, air
Advantages: efficient coupling (large mode size), low losses, single mode (in spite
of the large core size), monolithic integration with electronics
Drawbacks: weak nonlinearities, large sizes (bends), not suitable for high-density
integration.
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 Examples of integrated waveguides

Photonic crystal waveguides

-The core can be of low or high index
-Materials: the same than in TIR-based optical waveguides
-Light can not escape from the waveguide since it is not permitted in
the cladding due to the existence of a photonic band gap
-Possibility of strong bending with low losses
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 Examples of integrated waveguides

Plasmonic waveguides

-Guidings of plasmons(photons + electrons)

-Metal/dielectric interfaces
-Quite high losses
-Ultra high field confinement in the interface.

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Examples of integrated waveguides

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Refractive indexes of materials employed to build optical waveguides

 Characterization
Methodologies of Optical JIRU
Waveguides
Characterization of Optical Waveguides

1. Geometrical Inspection SEM, DEKTEK,

2. Refractive Index Measurements

2.1 Reflectometry and Ellipsometry

2.2 Surface Plasmon Resonance
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2.3 Prism Coupling

2.4 M-Line Spectroscopy (MLS)

3. Coupling Techniques

4. Optical Losses
 Reflectometry and Ellipsometry

Refractive index (n) is a complex number comprising a real refractive

index and an imaginary part: the absorption (or extinction) coefficient:
n= n’ – n’’

The real part (n’)describes how the speed of light changes as it enters
the material.
The extinction coefficient (n’’) describes how light is absorbed . JIRU
The fundamental equation of ellipsometry can be expressed as :
Medium (0)
E
Medium (1)
rp
rs

where Δ is the phase change between rp and rs upon reflection

Ψ is the angle whose tangent is the ratio of the intensity of the Rp and Rs
components.
 Reflectometry and Ellipsometry

With these parameters, the complex refractive index of the sample

(thin film of optical waveguide) can be calculated as:

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where n0 is the complex reflective index of the ambient.
θ0 is the angle of incidence.

The data from the ellipsometer are values of Ψ and Δ as a function of

wavelength.
 Reflectometry and Ellipsometry

In the reflectometry measurement, the sample surface is

illuminated with s- and p-polarized light.
The reflected intensities Rp and Rs of the p and s polarized components
are measured, and are used to calculate a refractive index using the form
of the Fresnel equations for a transparent substrate:
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For the types of material that reflectometry is aimed at, the simplified
measurement of refractive index generally works very well. However,
if the surface is rough, the reflected light will be scattered over a range
of angles making the analysis extremely difficult.
Surface Plasmon Resonance

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 Surface Plasmon Resonance

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where k0 is wave vector of light in a vacuum, kSPR is wave vector of
the surface plasmon, ns is a refraction index of the dielectric film
above the metal layer, εAu is a real part of the dielectric complex
constant of the active plasmon layer (e.g., Au), nprism is a refraction
index of the prism, and φi is an incident angle of light against the
normal to the prism base.
 Prism Coupling

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(a) Prism coupling assembly;

(b) phase-matching condition at prism–waveguide interface;
(c) rotation spectra against angle of incidence θ of the prism.
 Prism Coupling

where np is the prism index, θp is the prism angle, and θ is the

measured incident angle for mode m ¼ 0, 1, . . ..

The following factors limit the utilization of the prism coupling technique:
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(a) The film must be thick enough to permit the propagation of at least
two modes.
(b) The method is a contact method and it is necessary to press the film
against the base of the prism. Extra care must be taken when
measuring polymers. In general, the technique is non destructive.
(c) Alignment of small samples with the coupling spot requires a certain
degree of skill and experience. Typically, the laser spot is collimated to
approximately 1.0 mm2 and this can be a challenge where the proton
beam written samples are only about 2.0 mm2 in size.
M-Line Spectroscopy (MLS)

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 M-Line Spectroscopy (MLS)
The refractive index (nf) and thickness (T) of the thin film can be
calculated using the step-index model:

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If the agreement between experimental and calculated values of

Nm is in the range of 0.001 or less, the step-index model is
satisfied.
 Coupling Techniques

For an integrated optical waveguide system, It is necessary to find a

technique to effectively confine and couple the laser beam with the
waveguide. Several techniques have been used , including prism
coupling, end coupling, tapered and/or lunch coupling, and grating
coupling.

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Prism Coupling Method

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End-Coupling Method

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Lunch and Tapered-Coupling Method

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Grating Coupling Method

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 Optical Loss

where I0 is the initial power, I(x) is the transmitted power through the
waveguide at a distance x (cm), and α is defined as the attenuation
coefficient of the waveguide, measured in decibels per centimeter (dB/cm).
The loss, L in decibels (dB) is defined as:
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Many factors are considered to disturb the light propagation and increase
the propagation losses:
(a) Radiation losses due to the guided mode converse to the radiation
mode.
(b) Mode conversion losses due to conversion from the excited mode to
other guided modes
(c) Absorption losses due to light absorption in the waveguide materials.
(d) Diffusion losses or scattering losses due to the imperfection of the
waveguide structure.
(e) Tunneling losses that only occurs in barrier optical waveguides produced by
ion modification

Measurement of Propagation Losses

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Cutback Method
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• Can be wavelength selective/nonselective

• Up to N =M = 64, typically N, M < 10
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