2.

Theory of Optical Waveguides

H. Kogelnik

With 32 Figures

Optical waveguides, also known as "dielectric" waveguides, are the struc-

tures that are used to confine and guide the light in the guided-wave de-
vices and circuits of integrated optics. This chapter is devoted to the theory
of these waveguides. Other chapters of this book discuss their fabrication
by such techniques as sputtering, diffusion, ion implantation or epitaxial
growth. A well-known optical waveguide is, of course, the optical fiber which
usually has a circular cross-section. In contrast, the guides of interest to in-
tegrated optics are usually planar structures such as planar films or strips.
Our discussion will focus on these planar guides even though most of the
fundamentals are applicable to all optical waveguide types.

Fig.2.1. Cross-section of a planar slab waveguide

consisting of a thin film of thickness (or height)
h and refractive index nf, sandwiched between
substrate and cover materials

The simplest dielectric guide is the planar slab guide shown in Fig. 2.1,
where a planar film of refractive index nf is sandwiched between a substrate
and a cover material with lower refractive indices ns and nc (nf> ns ~ nc).
Often the cover material is air, in which case nc = 1. As an illustration, we
have listed in Table 2.1 the refractive indices of some dielectric waveguide
materials used in integrated optics. Typical differences between the indices
of the film and the substrate range from 10- 3 to 10-1, and a typical film
thickness is 1 /Lm. The light is confined by total internal reflection at the
film-substrate and film-cover interfaces.
Dielectric waveguides have already been the subject of several text-
books, [2.1-9], and we can refer the reader to these for a history on the
subject as well as for a more complete list of references.

7
T. Tamir (ed.), Guided-Wave Optoelectronics
© Springer-Verlag Berlin Heidelberg 1988
Table 2.L Refractive index n of optical waveguide materials

Dielectric material

Fused silica (Si02) 0.633 1.46

Typical microscope-slide glass 0.633 1.51
Sputtered Corning 7059 glass 0.633 1.62
LiTa03 (no) 0.80 2.15
(n e ) 0.80 2.16
LiNb03 (no) 0.80 2.28
(ne) 0.80 2.19
GaAs 0.90 3.6
InP 1.51 3.17

In this text, we have several aims. We hope to give both an introduc-

tion to the subject as well as a collection of important results sufficiently
detailed to be of use to the experimenter. We also aim to provide a compact
theoretical framework of sufficient rigor and generality to be used as the
basis for future work and to analyse virtually all waveguide types and de-
vices of interest in integrated optics. In Sect. 2.1 we discuss the ray-optical
picture of light propagation in slab waveguides. This is meant to provide
both a first physical understanding as well as an introduction to the con-
cepts and the terminology of dielectric waveguides in general. Some basic
results of interest to the experimenter are also developed here. Section 2.2
is a collection of the general fundamentals of the electromagnetic theory of
dielectric waveguides and their modes of propagation, including the orthog-
onality, symmetry, and variational properties of the modes. Section 2.3 gives
a detailed listing of the formulas for the modes and fields of the planar slab
waveguides, both for the guided TE and TM modes as well as for the ra-
diation modes. Section 2.4 discusses graded index profiles giving the modal
solutions for the parabolic, the "1/cosh 2 " and the exponential profiles. Brief
treatments of graded profiles with an abrupt index step and of the WKB
method are also included. Section 2.5 gives a discussion of channel wave-
guides and the application of the effective index method to these structures.
The final Section 2.6 is devoted to the development of the general coupled-
mode formalism for dielectric waveguides, including its application to the
treatment of waveguide deformations and periodic waveguides.
We shall assume throughout this chapter that the guided light is coher-
ent and monochromatic and that the waveguides consist of dielectric media
that are lossless and isotropic. For a discussion of lossy and metal-clad op-
tical waveguides, we refer the reader to the cited texts and to the papers
by Anderson [2.10]' Reisinger [2.11], Kaminow et al. [2.12] and the liter-
ature cited therein. Anisotropic dielectric waveguides have been treated by
Nelson and McKenna [2.13], Yamamoto et al. [2.14], Ramaswamy [2.15,16]
and others.

8
2.1 Ray Optics of the Slab Waveguide
In this section, we propose to discuss and develop the ray-optical model of
light propagation in a slab waveguide. Ray-optical techniques in connection
with slab waveguides have been explored and used by Tien [2.17], Maurer
and Felsen [2.18]' Lotsch [2.19] and others. We have chosen the slab wave-
guide, sketched in Fig. 2.1, for two reasons: first, because it is relatively
easy to understand and analyze, and second because it is of considerable
practical interest in integrated optics. We shall use the ray-optical picture to
introduce the basic concepts and terminology of dielectric-waveguide theory,
including the nature of the modes of propagation, waveguide cutoff, the
propagation constants and the effective guide thickness. In addition, we
employ this picture to derive and provide a number of results of interest
to the experimenter, such as plots of the propagation constant and of the
effective width of slab waveguides. The ray-optical picture is a very simple
picture with great intuitive appeal, but it is not as complete a description as
that provided by electromagnetic theory, which we discuss later in Sects. 2.2
and 3. However, the results we present here are in perfect agreement with
the latter.
Our picture of light guidance in a slab waveguide is one of light rays
tracing a zig-zag path in the film, with total internal reflection of the light
occurring at the film-substrate and film-cover interfaces. As reflection and
refraction at these dielectric interfaces play an important role in the guiding
process, let us briefly review the relevant laws and their consequences.

2.1.1 Refraction and Reflection

Consider an interface separating two lossless, isotropic, homogeneous di-
electric media of refractive index nl and nz (Fig. 2.2), and a coherent light
wave incident at an angle (h between the wave normal and the normal to
the interface. In general, the wave, having a complex amplitude A at the

Fig.2 .2 . Wave normals of light refracted

and reflected at the planar interface between
two med ia of index nl and n2. Angle of
incidence'is 01

9
interface, is partially reflected and refracted as shown. The exit angle ()2 of
the refracted wave C is given by Snell's law
(2.1.1)
The reflected wave has a complex amplitude B at the interface linearly
related to A by a complex reflection coefficient R
B =R·A (2.1.2)
The reflection coefficient depends on the angle of incidence and the polariza-
tion of the light, and is given by the Fresnel formulas. For TE polarization
(i.e., electric fields perpendicular to the plane of incidence spanned by the
wave normal and the normal to the interface) we have

nl cos ()l - Jn~ - ni sin 2 ()l

nl cos ()l + Jn~ - ni sin 2 ()l

(2.1.3)
The corresponding formula for TM polarization (with the magnetic fields
perpendicular to the plane of incidence) is

n~ cos ()l - nl Jn~ - ni sin 2 ()l

n~ cos ()l + nl n~ - J nr sin 2 ()l

(2.1.4)
The so-called critical angle ()e is given by
sin ()e = n2/n l (2.1.5)
As long as ()l < ()e we have only partial reflection and a real valued R. As
soon as the critical angle is exceeded ((h > (Je), we have IRI = 1 and total
reflection of the light occurs. R is now complex valued and a phase shift is
imposed on the reflected light. We write
R = exp(2j<p) (2.1.6)
and extract from the Fresnel formulas the following expressions for the phase
shifts <PTE and <PTM corresponding to the two polarization states

J
ni sin 2 (Jl - n~
tan<pTE = - ' - - - - - - - (2.1.7)
nl cos (Jl

2 . / n2 sin 2 (Jl - n2
tan <PTM = -nl .V2 -1- - - - - - , - - -2 (2.1.8)
n~ nl cos (Jl

Figure 2.3 shows the dependence of <PTE on the angle of incidence (Jl for a
selection of index ratios n2/nl where the values 0.3, 0.5 and 0.7 correspond

10
 2"-r----------------:a
7r

f
CPTE -1
al radiation mode

OL--L-L2~O-O~-4~O~o~-J60-0~-~~

b I substrate mode
Fig. 2.3. Phase shift <PTE of the TE mode as
a function of the angle of incidence 01

Fig.2.4a-c. Zig-zag-wave pictures for the .....

radiation modes (a), the substrate radiation
modes (b), and the guided modes (c) in a
slab waveguide c I guided mod e

approximately to interfaces between air and GaAs, LiNb03, and Si02, re-
spectively. We note that the phase shift increases from 0 at the critical angle
to 7r /2 at grazing incidence (lh = 90 0 ). It increases with infinite slope at
B1 = Be and a slope of (1- nVnr)-1/2 at B1 = 90 0 • The behaviour of cPTM
is quite similar.
Consider, now, the ("asymmetric") slab waveguide structure shown in
Fig. 2.4 with a film of index nf and substrate and cover materials of index
ns and nco In general, we have nf> ns > nc and two critical angles of in-
terest, Bs for total reflection from the film-substrate interface and Be < Bs
for total reflection from the film-cover interface. When we examine what
happens as the angle of incidence B is increased, we discover that there are
three distinct cases which are sketched in Fig. 2.4. For small angles B < Bs , Be
light incident from the substrate side is refracted according to Snell's law
and escapes from the guide through the cover (a). There is essentially no
confinement of light, and the electromagnetic mode corresponding to this
picture is called a "radiation mode" which is discussed in more detail in
Sect. 2.3. When B is increased somewhat, such that Be < B < Bs , we then find
the situation depicted in (b). The light incident from the substrate is re-
fracted at the film-substrate interface, totally reflected at the film-cover
interface, refracted back into the substrate through which the light escapes
from the structure. Again, there is no confinement and we talk of a "sub-
strate radiation mode" (Sect. 2.3). Finally (c), when B is large enough, we
have Bs , Be < B, i.e., total internal reflection at both interfaces. The light,

11
 Fig. 2.5. Side-view of a slab
x COVER
waveguide showing wave nor-
mals of the zig-zag waves cor-
responding to a guided mode

z
SUBSTRATE

once it is inside, is trapped and confined in the film and propagates in a

zig-zag path. This case corresponds to a guided mode of propagation which
we discuss in more detail in the following.

2.1.2 Guided Modes

In Fig. 2.5 we have sketched a side view of the slab waveguide and our choice
of the coordinate system. We assume that the light in the guide propagates
in the z direction, that confinement occurs transversely in the x direction,
and that both the structure and the light are uniform in the y direction
perpendicular to xz. Our physical picture of guided light propagation is,
then, that of light traveling in zig-zag fashion through the film. More pre-
cisely, it is a picture of two superimposed uniform plane waves with wave
normals which follow the zig-zag path indicated in the figure and which are
totally reflected at the film boundaries. These waves are monochromatic
and coherent with angular frequency w, free-space wavelength >., and they
travel with a wave vector knf in the direction of the wave normal where the
absolute value of k is
k = 27f =~ (2.1.9)
>. c
and c is the velocity of light in vacuum. The fields of these waves vary as
exp[ - jknf(± x cos () + z sin ())] (2.1.10)

For a guided mode of the slab guide, the zig-zag picture predicts a propa-
gation constant (J (and the related phase velocity v p )
(J = w/vp = knfsin () (2.1.11)

which is the z-component of the wave vector knf. However, not all angles
() are allowed; only a discrete set of angles (and sometimes none) lead to a
self-consistent picture that corresponds to what we call the "guided modes" .
To examine this in more detail, let us look at a guide cross-section z = const
and add up the phase shifts that occur as we move up from the lower film
boundary (x = 0) with one wave to the other boundary (x = h) and then

12
back down again with the reflected wave to where we started from. For
self-consistency, the sum of all these phase shifts must be a multiple of 27r.
For a film of thickness h we have, specifically, a phase shift of knfh cos ()
for the first transverse passage through the film, a phase shift of -2rPc
on total reflection from the film-cover interface, another knfh cos () on the
transverse passage down, and a phase shift of - 2rPs on total reflection from
the film-substrate boundary. Thus, we have the self-consistency condition
(also known as the "transverse resonance condition")
2knfh cos () - 2rPs - 2rPc = 2V7r (2.1.12)
where v is an integer (0,1,2 ... ) which identifies the mode number. As dis-
cussed before, the phase shifts rPs and rPc are functions of the angle 8, as
described by (2.1.7 and 8) after the appropriate substitutions for nl and
n2. The above equation is essentially the dispersion equation of the guide
yielding the propagation constant f3 as a function of frequency wand film
thickness h. From (2.1.5 and 11), we find for guided modes that f3 is bounded
by the plane-wave propagation constants of substrate and film
kns < f3 < knf . (2.1.13)

It is often convenient to use an "effective guide index" defined by

N = f3/k = nfsin () (2.1.14)

which is bounded by
ns <N <nf . (2.1.15)
Figure 2.6 sketches a graphical solution of the dispersion equation (2.1.12)
for the fundamental mode (v = 0) which gives us further information of the
propagation characteristics of the guide. We have drawn here, as a function
of the angle 8, both the phase shift on film traversal knfh cos 8 (dotted
8-
O· 20· 4 O' 60' 90'
r -____L-____L -____L-____- - , ~

........ ... ...

Fig.2.6. Sketch of graphical solution

of the dispersion equation. for the
fundamental modes of symmetric and
asymmetric slab waveguides

13
curve) and the sum of the phase shifts (4)s + 4>c) at the film boundaries.
We show the latter for two cases, the symmetric guide where 4>c = 4>s (solid
curve), and the asymmetric guide (dashed curve). Consider the symmetric
guide first, where the intersection between the solid and the dotted curve
yields the zig-zag angle 0 of the fundamental mode. We note that the zig-zags
get steeper (0 smaller) as hi>' gets smaller, but there is always a solution
even when the film thickness gets very small. This implies that there is
no cutoff for the fundamental mode of a symmetric guide. Of course, as the
guide gets thicker, it supports more and more guided modes. Considering the
asymmetric guide, we look for an intersection between the dotted and the
dashed curve. However, only the portion of the (4)s + 4>c) curve emphasized
by shading is above the critical angle Os of the film-substrate interface. For
sufficiently thin films, we do not get an intersection of the curves above
cut-off, which implies that an asymmetric guide cannot always support a
guided mode, i.e., there is a cut-off condition even for the fundamental.

FORBIDDEN
REGION

Fig. 2.7. Typical w-f3 diagram of a dielectric

waveguide
III -+

Figure 2.7 shows a sketch of an w-{3 diagram that restates some of the
above-discussed dispersion characteristics, which are typical for a dielectric
waveguide. The first three guided modes (v = 0,1,2) are shown. At the
cut-off frequency, the propagation constants assume the value of the lower
bound nsk, and as w (or the thickness h) increases, {3 approaches its upper
bound nfk and more and more guided modes exist. In addition to the dis-
crete spectrum of the guided modes, the diagram also shows the continuous
spectrum of the radiation modes.
To obtain a more precise w-{3 diagram fo the asymmetric slab guide, we
have to evaluate (2.1.12) numerically. To make the results of such a numer-
ical evaluation more broadly applicable, we introduce normalizations that
combine several guide parameters. First, we define a normalized frequency
and film thickness V by

(2.1.16)

14
and then a normalized guide index b related to the effective index N (and
fi) by
(2.1.17)

The index b is zero at cut-off and approaches unity far away from it. For
small index differences (nf - ns) we have the simple linear relation
(2.1.18)

Finally, we introduce a measure for the asymmetry of the waveguide struc-

ture defined by
a = (n; - n~)/(n; - n;) (2.1.19)
This measure applies to the TE modes and ranges in value from zero for
perfect symmetry (ns = nc) to infinity for strong asymmetry (ns#nc and
ns ::::J nf). As an illustration, Table 2.2 lists this asymmetry measure under
aE together with the refractive indices of three waveguide structures of
practical interest.

Table 2.2. Asymmetry measures for the TE modes (aE) and the TM modes (aM) of
slab waveguides

Waveguide ns nf nc aE aM

GaAlAs, double 3.55 3.6 3.55 0 0

heterostructure
Sputtered glass 1.515 1.62 1 3.9 27.1
Ti-diffused LiNb0 3 2.214 2.234 1 43.9 1093
Outdiffused LiNb0 3 2.214 2.215 1 881 21206

For the TE modes, we use (2.1.7) together with the above normaliza-
tions to write the dispersion relation (2.1.12) in the form
vVl=b = V'Tr + tan- 1 Jb/(1- b) + tan-1J(b + a)/(l- b) .(2.1.20)

A numerical evaluation of (2.1.20) yields the normalized w-fi diagram shown

in Fig. 2.8 which is taken from K ogelnik and Ramaswamy [2.20] and where
the guide index b is plotted as a function of the normalized frequency V
for four different values of the asymmetry measure and for the mode orders
v = 0,1 and 2.
Setting b = v = 0 in the dispersion relation (2.1.20), we determine the
cutoff frequency Vo of the fundamental mode as
Vo = tan-Iva . (2.1.21)

This can also be written in the form

15
 v=o

.4 r--t-/ffl-+
II I r; jI V/, V
/1--+---+------11+-/,1/-H-/-+--+--II--+----1
/I~---+----'/'+f-!.+tf
I /I
.3 t-----i-t--+t
1/ /11/ IIIX/
/+-+--tf--/HJi/'+-+-+--;/Ih',;;'+,/Y---I-+-+-+---+---I
/1/++'

II II / II I. IIIj-+-+--l------l-+-+--I
/1
.2 t--------I'--t/-t-I/f--+---t---.jf-++j/++---+--/"'/'-1-1-

.1 ~/- 9/1e- - ~j~je f- i//w,,--t-+---+---If--+--+--I

lJJJ JIj);, /j/y
o 2 4 6 8 10 12 14 16
V = k h( n/- ns2)t
Fig. 2.8. Normalized w-{3 diagram of a planar slab waveguide showing the guide index b
as a function of the normalized thickness V for various degrees of asymmetry [2.20]

(hj)..)o = 2~(n; - n;)-1/2 tan -ly'a . (2.l.22)

The cutoff frequency Vv of the lith order mode is
Vv = Vo + lI7r , (2.l.23)
from which we obtain an approximate formula for the number of guided
modes allowed in the waveguide, which is

II = 2: In; - n; (2.l.24)
For the TM mode, we get cut-off conditions of the same form as for
the TE mode and w-{3 diagrams that are very similar. In fact, when the
index differences (nf - ns) are small, we can apply the diagram of Fig. 2.8
to the TM modes. However, these statements are only correct if we define
the asymmetry measure in a somewhat different manner [2.20], namely, by

a--L.
n4 ns2 _ nc2
- n4c nf2 _ ns2 (2.l.25)

Ilustrative values for this are given in Table 2.2 under aM.

16
2.1.3 The Goos-Hanchen Shift

So far, we have described the light in the waveguide in terms of plane waves
and their wave normals and phases. In this subsection and in the next, we
consider also the energy of the light and its flow through the guide. To
prepare for this, we have to be more precise about what we mean by a light
ray. A light ray is defined here as the direction of the Poynting vector or the
energy flow of light. Consistent with this is the view of a ray as the axis of
a narrow beam of light or wave packet. The relation between wave normal
and ray is essentially the spatial analog of the relation between the phase
velocity and the group velocity. For the simple case of a plane wave in a
homogeneous, isotropic medium the directions of the wave normal and the
ray are the same, but in an anisotropic medium the ray generally points in
a direction different from that of the wave normal.
The Goos-Hiinchen shift that occurs on total reflection from a dielectric
interface is another case where the ray behaves differently than the wave
normal. Here the reflected ray (B) is shifted laterally relative to the incident
ray or wave packet (A), as indicated in Fig. 2.9. This lateral ray shift has
turned out to be an important element in the understanding of the flow of
energy in dielectric waveguides in terms of the ray picture.

Fig. 2.9. Ray picture oftotal

reflection at the interface
between two dielectric media
showing a lateral shift of the
reflected ray (Goos-Hiinchen
shift)

To determine the lateral ray shift, shown as 2zs in Fig. 2.9, consider a
simple wave packet consisting of two plane waves incident at two slightly
different angles. If the z-components of the corresponding wave vectors are
(3 ± 11(3, we can write for the complex amplitude A(z) of the incident wave
packet at the interface x = 0
A = [exp(jl1(3z) + exp( -jl1(3z)]exp( -j(3z)
= 2cos(11(3z)exp( -j(3z) (2.1.26)
Before applying the reflection laws (2.1.2 and 6) to each individual plane
wave, we have to remember that the phase shift </> occuring on total reflection
is a function of () (and (3). For smalll1</> and 11(3, we can use an expansion
of the from

17
 <fJ({3 +.1(3) = <fJ({3) + ~;.1{3 . (2.1.27)

With this, we obtain for the amplitude B(z) ofthe reflected wave packet at
x=o
B = {exp[j(.1(3z - 2.1<fJ)] + exp[ - j(.1{3z - 2.1<fJ)]}exp[ - j({3z - 2<fJ)]
= cos [.1{3(z - 2zs)]exp[ - j({3z - 2<fJ)] (2.1.28)
where
d<fJ
Zs = d{3 (2.1.29)

This gives us the lateral shift of the wave packet, i.e., of the ray, in compact
and simple form [2.21,22]. Using (2.1.11,7 and 8), we obtain for the TE
modes
kzs = (N 2 - n;)-1/2 tan B , (2.1.30)
and for the TM modes

kzs = (N 2 - ns)
2 -1/2 tan B j(N2 N2n - 1)
""2 + ""2
ns
(2.1.31)
f
As sketched in Fig. 2.9, this lateral ray shift would indicate that the light
penetrates to a depth Xs into the substrate before it is reflected, where
Zs
xs -- - -
tanB (2.1.32)
If we compare this result with the electromagnetic field solutions to be given
in Sect.2.3, we find that these predict evanescent fields in the substrate
whose decay constants are closely related to this penetration depth Xs of
the ray.

2.1.4 Effective Guide Thickness

To obtain a zig-zag ray model of light propagation in the waveguide that is
consistent with the flow of energy, we have to incorporate the Goos-Hiinchen
shifts at the film-substrate and film-cover interfaces, as first suggested by
Burke [2.23]. Figure 2.10 shows a sketch of this ray model with lateral shifts
2zs and 2zc , and ray penetration depths Xs and xc. As a consequence of the
ray penetration, the guide appears to possess an effective thickness
heff = h + Xs + Xc (2.1.33)
which is larger than h. This is also indicated in the figure. We shall see in
later sections that this effective thickness also turns up as a characteristic
parameter in the electromagnetic theory of slab guides whenever questions
of energy flow or energy exchange arise. The guided light spreads somewhat
into the substrate and cover, and is essentially confined to a thickness heff.

18
 Fig.2.10. Ray picture of
COVER zig-zag light propagation
in a slab waveguide. Goos-
Hanchen shifts are incor-
porated in the model, and
the effective guide thick-
ness heff is indicated

SUBSTRATE

To illustrate the degree of light confinement provided by an asymmetric

slab waveguide, we evaluate (2.1.33) numerically and plot the normalized
effective thickness

(2.1.34)
as a function of the normalized frequency V. For TE modes we have
H = V+1/vb+1/~ (2.1.35)
The corresponding plots are shown in Fig. 2.11 for four values of the asym-

-IN
~Ul 7
c:
(\II
r=
-.,
6

..c:
-""
II 5
:r:

"" ""
,/

4 ""
3

2 3 4 5 6
I
V = kh( nf~ n5 2 )2:
Fig. 2.11. Normalized effective thickness of a slab waveguide as a function of the nor-
malized film thickness V for various degrees of asymmetry (after [2.20])
19
metry measure. Similar plots can be obtained for the TM modes [2.20]. In
Fig. 2.11, we note the occurrence of minimum values of H(V), for which
we obtain maximum confinement of the light. For highly asymmetric guides
(a = 00), for example, we have a minimum of Hmin = 4.4 at V = 2.55. This
implies a minimum effective thickness of
(h eff / /\\).
mm -07(
- . nf2 - ns2)-1/2 (2.1.36)
For a typical thin-film glass waveguide, we have ns 1.5, nf = 1.6 and
(heff/ 'x)min ~ 1.3.

2.2 Fundamentals of the Electromagnetic Theory of

Dielectric Waveguides
In this section we propose to collect the, by now well developed, fundamen-
tals fo the electromagnetic theory of dielectric waveguides, and to discuss
some of the general properties of the waveguide modes. This includes a list-
ing of the relevant forms of Maxwell's equations and of the wave equations,
a deduction of modal field properties following from symmetry considera-
tions, a proof of the orthogonality of the modes, and a discussion of mode
expansion and normalization, of the variation theorem, of power transport
and stored energy, and of variational principles applicable to dielectric wave-
guides. We will keep this discussion as general as possible to allow for the
variety of planar and strip waveguides considered for integrated optics ap-
plications.

2.1.1 Maxwell's Equations

Maxwell's equations for source free, time dependent fields are

\7 X E = -aE/at (2.2.1)

\7 X if = aD/at (2.2.2)

where t is time, \7 = (a/ax, a/ay, a/az) is the del operator, and E(t), if(t) ,
D(t) and E(t) are the time-dependent vectors of the dielectric and magnetic
field, the electric displacement and the magnetic induction, respectively. We
assume fields with a periodic time dependence which we write in the form
E(t) = Eexp(jwt) + E*exp( -jwt) etc. (2.2.3)
where E is a complex amplitude, w the angular frequency, and the asterisk
indicates a complex conjugate. Assuming a lossless medium with a scalar
dielectric constant c:(w) and a scalar magnetic permeability p" we have the
constitutive relations

20
 D=c:E (2.2.4)
B=f..LH (2.2.5)

With this we get. Maxwell's equations for the complex amplitudes of the
form
\7 X E= -jwf..LH (2.2.6)

\7 X H=jwc:E (2.2.7)

These equations are subject to boundary conditions at surfaces where abrupt

changes of the material constants occur. Figure 2.12 shows a sketch of such
a boundary between two media distinguished by the indices 1 and 2, with
the unit vector en chosen perpendicular to the surface. In the absence of
surface charges and surface currents, we have the conditions
e n "(B I -B 2 )=O en" (DI - D2) = 0
en X (EI - E 2) = 0 en X (HI - H2) = 0 (2.2.8)

for the fields EI, E2, etc., at the boundary. In dielectric waveguides we
usually have a constant permeability f. L = f..Lo, which implies equality of the
magnetic field vectors HI = H2 at the boundary.
z

€(X,y)

Fig. 2.13. Sketch of a dielectric waveguide

Fig. 2.12. Boundary between two media of and the choice of the coordinate system.
indices nl and n2. The vector en is the The guide axis is chosen to coincide with
normal to the surface the z-axis

In Fig. 2.13 we have sketched a typical waveguide geometry, and indi-

cated the choice of our coordinate system with the guide axis pointing in
the z-direction. Relative to this geometry, we distinguish between the longi-
tudinal field components E z and Hz, and the transverse field components
E t and H t , .

E= Et +Ez

To separate these components, we write Maxwell's equations in the form

21
 ~t X Et = -jwp,Hz ~t X Ht = jwc:Et (2.2.10)

~t X Ez + e z X oEtioz = -jwp,Ht (2.2.11)

V't X Hz +ez X oHtloz = jwc:Et (2.2.12)

where
V't = (0/ ox, 0/ oy, 0) (2.2.13)

is the transverse del operator and e z is a unit vector pointing in the z-

direction. In dealing with waveguide problems, one usually focuses on the
transverse components. Once these are known, one can determine the z-
components via (2.2.10).

2.2.2 Modes of the Waveguide

As indicated in Fig. 2.13, a dielectric waveguide is characterized by a dielec-

tric constant
(2.2.14)

which is independent of the z coordinate. The function n(x, y) is known as

the refractive-index profile and generally assumes its highest values near the
axis. A mode of the waveguide is defined as a field solution of the form
E(x, y, z) = Ell (x, y)exp( -j,Bllz)
H(x, y, z) = HII(x, y) exp(-j,Bllz) (2.2.15)

where v is a mode label (indicating the mode number, for example), and,Bv
is the propagation constant of the mode. For guides providing confinement
in two dimensions, such as strip guides or fibers, we need, of course, two
labels, but only one is shown here, for simplicity. Inserting the modal fields
of (2.2.15) into Maxwell's equations (2.2.10-12), we obtain
~t X Htll = jwc:Ezv (2.2.16)

(2.2.17)

(2.2.18)
The general nature of the solutions to these equations was discussed
in detail by McKenna [2.24] and in textbooks, [2.1-9]. One encounters a
situation which is analogous to that encountered in quantum mechanics
where one seeks solutions to Schrodinger's equation for various potential
distributions and finds two types of solutions, one corresponding to bound
states and the other to unbound states. For dielectric waveguides, we find

22
guided modes (bound states) where the energy is confined near the axis, and
radiation modes (unbound states) with their energy spread out through the
medium surrounding the guide. The guided modes are associated with a
discrete spectrum of propagation constants fJv, while the radiation modes
belong to a continuum. One also finds evanescent modes with imaginary
propagation constants fJv = -ja v and which decay as exp( -avz). Solutions
for specific waveguide examples are given in Sects. 2.3 and 4.

2.2.3 The Wave Equations for Planar Guides

In planar guides, the light is confined to one dimension only, which we choose
to be in the x-direction. The refractive index n( x) of a planar guide and
the corresponding modal fields are functions of only this coordinate. One
can, then, simplify the modal differential equations (2.2.16-18) by setting
8/8y = O. A planar guide supports transverse electric (TE) modes with zero
longitudinal electric field (E z = 0) and transverse magnetic modes (TM)
with zero longitudinal magnetic field (Hz = 0). In the following, we derive
the wave equations governing the two mode types, omitting the mode label
v to simplify the notation.
For TE modes we set H y = 0 and get Ez 0 from the second of
(2.2.16). Equation (2.2.17) yields Ex = 0 and
fJE y = -wflHx (2.2.19)
Next we obtain
8E y /8x = -jwflHz (2.2.20)
from the first of (2.2.16), and
8Hz /8x + jfJHx = -jwc:Ey (2.2.21)
from (2.2.18). Combining the last three equations, we arrive at a wave equa-
tion for Ey
8 2Ey /8x 2 = (fJ2 - n 2k 2 )Ey where (2.2.22)
k = w/c = wv'C:Oflo (2.2.23)

is the propagation constant of free space.

For TM modes, we start by setting Ey = 0 and obtain in a similar
fashion Hz = 0, Hx = 0,
fJHy = wc:Ex (2.2.24)

(2.2.25)

(2.2.26)

23
and a wave equation for H y of the form

n2~(~2 OH y ) = (f32 _ n 2k 2)H (2.2.27)

ax n ax y

2.2.4 Mode Properties Following from Symmetry

Several phase relationships between the modal field components follow di-
rectly from the symmetry of both the waveguide and Maxwell's equations.
We shall use both time-reversal and z-reversal to construct new solutions
E2(r,t), H2(r,t) from known solutions E1(r,t) H1(r,t).
As is well known, one can reverse the sign of t in Maxwell's equations
to construct a new solution of the form
(2.2.28)

In terms of the complex amplitudes, this can be written as

(2.2.29)

Next, we consider z-reversal and assume that

sex, y, -z) = sex, y, z) (2.2.30)

which is true for all isotropic dielectric waveguides. By reversing the sign of
z in Maxwell's equations (2.2.10-12), we can construct new solutions of the
form
Et2(Z) = Et1( -z) E Z 2(Z) = -Ezl(-Z) (2.2.31)
Ht2(Z) = -Ht1( -z) Hz2(Z) = Hzl( -z) (2.2.32)
where we have omitted to indicate the (x, y) dependence in order to empha-
size the z-reversal operation.
In applying these reversal operations to the modal fields of the form
of (2.2.15) we have to distinguish between the propagating modes with real
valued f3, and the evanescent modes with imaginary f3. In the first case, a
forward traveling mode will vary as exp( -jf3z) and either time reversal or
z-reversal yield a backward traveling mode varying as exp(jf3z). As the new
solution must be unique, the application of (2.2.29), as well as (2.2.31,32)
must yield the same result. This requires that
(2.2.33)

(2.2.34)
We have constructed modal E and H fields with real valued transverse
components and imaginary z-components. The general implications for a

24
propagating mode are that the tangential components of its E and H fields
are in phase, that their z-components are also in phase, and that the tan-
gential and z-components are 90° out of phase.
The fields of a forward evanescent mode vary as exp( -az). Here the
time reversal operation produces again a forward wave. Uniqueness requires
that these two waves be identical; and because of (2.2.29), this requires that
Ev = E~ Hv = -IT;; (2.2.35)
We have constructed an evanescent mode with a real valued electric field
and an imaginary magnetic field. In general, Ev and Hv of an evanescent
mode are 90° out of phase.

2.2.5 Orthogonality of the Modes

All modes of a dielectric waveguide are orthogonal to each other [2.3,25].
This important property holds for both the guided and the radiation modes;
it is the basis for much of the waveguide theory, including the theories of
waveguide excitation, of waveguide discontinuities and waveguide perturba-
tions. We will sketch here a derivation of the orthogonality relations which
makes apparent their connection with power conservation and reciprocity.
We start with the complex Maxwell's equation (2.2.6,7) for a lossless,
scalar medium and consider two different solutions labeled 1 and 2. We form
the dot products of H2 with (2.2.6) and of El with the complex conjugate
of (2.2.7), subtract the results and obtain
(2.2.36)
where we have used the vector identity
"\7 • (a X b) = b· ("\7 X a) - a· ("\7 X b) (2.2.27)
Note that (2.2.36) becomes the complex Poynting theorem if we make the
labels 1 and 2 equal. Now we exchange the labels 1 and 2 in (2.2.36), take
the complex conjugate and add the result to (2.2.36) to obtain
(2.2.38)

This theorem is closely related to the Lorentz reciprocity theorem; in fact, we

obtain a form of the latter if we replace field 2 in (2.2.38) by its corresponding
time reversed field using (2.2.29) with the resulting
(2.2.39)

We proceed by applying the theorem of (2.2.38) to waveguide modes

and identify the fields 1 and 2 with two forward modes
El = Ev(x,y)exp(-j,Bv z ) (2.2.40)

which yields
25
 \7t • (Ev x ~ +~ X Hv)t - j({3v - (3f.l)
X (Etv X Htf.l + Etf.l X Htv)z =0 (2.2.41)

Here we have, again, separated the transverse (t) and the longitudinal (z)
components and used the transverse del operator \7t. The next step is to
integrate (2.2.41) over a cross-section z = const of the waveguide. Applying
the divergence theorem to the first term we get

II .f
+00

dx dy \7 t • 9 = ds 9 • et (2.2.42)
-00 c
where
(2.2.43)

and the line integral extends over an infinitely large curve enclosing the
waveguide, with et being a unit vector perpendicular to that curve. It is
easy to see that this line integral vanishes if at least one of the two modes is
a guided mode with fields decaying exponentially towards infinity. The line
integral also vanishes when both modes are radiation modes; the argument
to show this is somewhat more complicated and involves the oscillatory
nature of the radiation modes [2.3].
The terms remaining after integration are

II
+00

dx dx(Etv X Htf.l + Etf.l X Htv) = 0 , {3vr={3f.l (2.2.44)

-00

where we have dropped the factor ({3f.l - (3v) as we assume that {3vr={3w
The z-reversal symmetry allows a further simplification. In order to achieve
this, we apply (2.2.44) to a backward traveling mode (labeled -v) instead
of the corresponding forward mode (labeled v). According to (2.2.31,32),
the fields of the backward-traveling mode are given by
Et,-v(x, y) = Et,v(x, y) (2.2.45)

Ht,-v(x, y) = -Ht,v(x, y) (2.2.46)

With this (2.2.44) becomes

II
+00

dx dy(Etv X Htf.l - Etf.l X Htv) =0 , {3f.l r={3v (2.2.47)

-00

Adding the two results yields the simple orthogonality relation

II
+00

dx dy Etv X Htf.l =0 (2.2.48)

-00

26
2.2.6 Mode Expansion and Normalization

The orthogonality of the modes allows us to express an arbitrary given field

distribution as a superposition of waveguide modes. Doing this, we shall
only deal with the transverse field components; the z-components follow
from Maxwell's equations, i.e., (2.2.16). To simplify the notation for this
subsection, we shall leave out the label t and designate the transverse fields
of the forward modes as Evp, (x, y) and H vp, (x, y).
Assume, first, that only forward propagating modes are present in a
given field with the transverse components E t (x, y) and Ht (x, y) in a guide
cross-section z = const. This can be represented as a superposition of wave-
guide modes of the form

Et(x,y) = LLavp,EvJ.!(x,y)
v p,

JJdvdp,a(v,p,)E(v,p,;x,y)
0000

+ (2.2.49)
o 0

Ht(x,y) = LLavp,HvJ.!(x,y)
v p,

JJdvdp,a(v,p,)H(v,p,;x,y)
0000

+ (2.2.50)
o 0

The summation here extends over the discrete and finite set of guided
modes and the integration extends over the continuous spectrum of ra-
diation modes. The discrete spectra in the above expressions are similar to
those encountered in hollow metal waveguides and the continuous spectrum
is similar to the angular spectrum of plane waves of a field in free space. It
is thus natural to call the continuous labels v and p, "spatial frequencies"
and to assign to them the dimension [cm -1 ]. In order to preserve the same
dimensionality for the field distributions of both the guided and of the radi-
ation modes, we have to keep the discrete coefficients avp, dimensionless and
assign the dimension [cm 2] to the coefficients a( v, p,) of the continuum. It is
advantageous to use only positive spatial frequencies; their lower limit, writ-
ten as 0 in the above equations, actually depends on the particular choice
of the labels v and p,.
In (2.2.49,50), we have not explicitly indicated the necessary summa-
tion over modes of different polarization (e.g., TE and TM modes) and over
degenerate modes with the same spatial frequency (e.g., the even and odd
radiation modes to be discussed in Sect. 2.3).
It is convenient to normalize the modal fields by means of the cross
power p(v,v,p,,"ji) such that

27
 11
+00

p= 2 dx dy EvJ.t x HT;Ji = 8vv8J.tJi (2.2.51)

-00

for discrete modes, where 8vv is the Kronecker delta, and

11
+00

p= 2 dx dy E(v, /1) X H*(v, II) = 8(v - v)8(/1- II) (2.2.52)

-00

for continuous modes, where 8(v - v) is the delta function. These normal-
izations express, of course, also the orthogonality demanded by (2.2.48).
When the modes are not normalized, the cross-power P of the contin-
uous modes is given by
P(v, v, /1, Ii) = PvJ.t8(v - v)8(/1- II) (2.2.53)

We mention this specifically to make a point about the dimension of the

factor PVj.t' P is measured in W; because v and /1 are measured in cm- 1 ,
the dimension of the delta functions 8(v) and 8(/1) is cm. The factor PvJ.t is,
therefore, measured in W / cm 2 . A normalization as in (2.2.52) means that
we have set PvJ.t equal to 1 W / cm 2 . For simplicity, we have not indicated
this dimension in (2.2.52), but it should always be remembered when this
relation is used below.
The orthonormality relations of (2.2.51 and 52) allow us to determine
the coefficients of the mode expansion in a simple manner. We have

11 11 dxdyE~J.t
+00 +00

avJ.t =2 dxdyEt X ~J.t = 2 X Ht (2.2.54)

-00 -00

11
+00

a(v, /1) =2 dx dy E t X H*(v, /1)

-00

11
+00

=2 dxdyE*(v,/1) X Ht (2.2.55)
-00

The orthonormality relations also permit us to express the power carried by

the total field in terms of the expansion coefficients. We obtain

11
+00

P = dxdy(Et X m + Et X Ht)z
-00

11
00

= L.:L.:avJ.ta~J.t + dvd/1 a (v,/1)a*(v,/1) (2.2.56)

v J.t 0

28
where P is measured in W. We identify aVJ.la~J.l as the power carried by a
discrete mode, and a( v, /-l )a* (v, /-l) as a spectral power density, which implies
that a power a( v, /-l )a* (v, /-l )L1v L1p is carried in the spatial frequency band
L1v L1/-l of th continuous mode spectrum.
In the above discussion, we have noted a formal analogy between the
discrete and the continuous modes. In the following, we shall take advantage
of this to simplify our notation by writing av for aVJ.l and a(v, /-l), Ev for
EvJ.l and E(v, /-l), etc., and by writing

(2.2.57)

Using this notation, we propose to discuss now the mode expansion

of a field which contains forward- and backward-propagating modes (real
(3). Subsequently, we will consider evanescent modes. In (2.2.45,46), we have
indicated that a backward mode has the same transverse E field distribution
as the corresponding forward mode and a transverse H distribution with
reversed sign. Because of this, the mode expansion has the form
(2.2.58)

(2.2.59)

where a v are the coefficients of the forward waves and bv are the coefficients
of the backward waves. With the help of the orthonormality relations we
determine the coefficients as

11
+00

av = dx dy(Et X Ir,; + ~ X H t ) (2.2.60)

-00

= 11
+00

bv dx dy(Et X Ir,; - E~ X H t) (2.2.61)

-00

The power carried by the total field becomes

P = I) ava~ - bvb~) (2.2.62)

as expected.
Let us now consider evanescent modes which have imaginary propa-
gation constants. As none of these modes can carry power by itself, we
obtain cross power products. which are imaginary, and we have to change
the orthonormality relation to

11
+00

P =2 dx dy E(v, /-l) X H*(IJ, Ii) = ±j5(v - IJ)5(/-l-/i) (2.2.63)

-00

29
where the occurence of the + or - sign depends on the particular guide
configuration and its mode solutions. Keeping the mode expansion in the
form of (2.2.58,59), we obtain for the coefficients of the evanescent modes

11
+00

±jav = dx dy(Et X H';, - E:, X Ht) (2.2.64)

-00

11
+00

±jbv = dx dy(Et X H';, + E:, X Ht) (2.2.65)

-00

For the power carried by the field, we get the formula

P = ±j L)a~bv - avb~) (2.2.66)

which reflects the fact that an evanescent wave cannot carry power by itself,
but a combination of forward and backward evanescent waves can lead to
tunneling of power through a short region.

2.2.7 The Variation Theorem for Dielectric Waveguides

The variation theorem [2.26] connects the variations 6E and 6H of the

electromagnetic field solutions to the perturbations 6(w€) and 6(wf-L) of the.
frequency and of the constants of the medium which are the cause of these
variations. The theorem follows directly from the complex Maxwell's equa-
tions (2.2.6, 7) and can be written in the general form
\7 . (E* X 6H + 6E X H*)
= -j[6(w€)E.E* +6(wf-L)H.H*] (2.2.67)

To apply this theorem to dielectric waveguides [2.27], we consider a wave-

guide mode with the fields
H = Hvexp( -jf3vz) (2.2.68)

and express their variations in the form

6E = (6E v - jz6f3v' Ev)exp( -jf3vz) (2.2.69)

an similarly for 6H. If we insert this in the above theorem, we obtain the
relation
\7t· 9 - j6f3v' Sz = -j[6(w€)Ev' E:, + 6(wf-L)Hv' H';,] (2.2.70)
where \7 t is the transverse del operator,
S = Ev X H';, + E:, X Hv (2.2.71)

30
is the time averaged Poynting vector, and
9 = e:, X oHII + oEII X ~ - jo(311 • zS (2.2.72)

We proceed by integrating (2.2.70) over the cross-section of the guide. As in

the derivation of the orthogonality relation in Sect. 2.2.5, we find that the
integral over V't • 9 vanishes and obtain

11 dxdy[o(w.::)EII·E~+o(WJL)HII·~]
+00

O(3I1· P = (2.2.73)
-00
where

(2.2.74)
-00

is the power carried by the mode. This is the variation theorem for dielectric
waveguides. One of the applications of this theorem is the determination of
the change L1(3 of the propagation constant due to a perturbation L1.::(x, y)
of the dielectric constant of the waveguide. Here we have Ow = 0 and 0JL = 0
and the theorem yields

11
+00

L1(3. P =w dx dy L1.::EII • E~ (2.2.75)

2.2.8 Power Flow and Stored Energy in a Dielectric Waveguide

In this subsection we give a brief discussion of the power flow carried and the
energy stored by the fields of a waveguide mode. A more detailed discussion
which also explores connections to the zig-zag wave model has been given
in [2.27].
We have already encountered in earlier sections the time-averaged Poynt-
ing vector associated with a mode, which is defined by
S(x,y) = Ell X ~ + E~ X HII (2.2.76)

and the time-averaged power transported by the mode

11
+00

P = dxdySz (2.2.77)
-00

The time-average density of the energy stored by the modal fields is given
by
d(w.::) * d(wJL)
w(x, y) = --a;;;-EII • Ell + -a;;;-HII • ~ (2.2.78)

31
which is written here in a form that allows for dispersive medium constants
t:( w) and f-L( w) [2.28]. The energy W stored per unit guide length is obtained
by integrating w over the guide cross section

11
+00

W= dxdyw(x,y) (2.2.79)
00

The group velocity Vg of the mode is the velocity at which signals carried
by the mode propagate. It is determined from the dispersion relation w((J)
of the guide by
Vg = dw/d(J (2.2.80)

Applying the variation theorem (2.2.73) to cases where all variations are
caused by perturbations in w alone, we deduce the simple relation
P = (dw/d(J)W = VgW (2.2.81)

which is known to hold for many other waveguide structures.

For the remainder of this subsection, we assume dispersion-free media
and distinguish between the electric and magnetic energy (via superscripts
t: and f-L). We define

11 11
+00 +00

W{ = dxdyt:Et·E; W; = dxdyt:Ez .E; (2.2.82)

-00 -00

wt = 11 dxdYf-LHt·II; 11
+00 +00

Wf = dxdYf-LHz·H; (2.2.83)
-00 -00

Here we have also distinguished between the energy portions stored by the
transverse (t) and longitudinal (z) field components, and have left out the
mode label 1/ to simplify the notation. Forming dot products of the modal
differential equations (2.2.16-18) with the appropriate field components and
combining the results one obtains
~t· E z X II; - j(Je z • Et X II; = jwt:Ez ' E; - jWf-LHt • II; ,(2.2.84)

~t· Et X II; + j(Je z • Et X II; = jwt:Et· E; - jWf-LHz • II; . (2.2.85)

When we integrate this over the guide cross-section, we find, as in Sect. 2.2.5,
that the first terms vanish; This leads to the simple relations
(JP = 2w(Wt - W;) (2.2.86)

(JP = 2w(W{ - Wf) (2.2.87)

32
Subtracting these two relations we find
W~ = W{ + W; = Wi + Wf = WJL (2.2.88)

stating the equality of the stored electric energy W~ and the stored mag-
netic energy WJL. The same relation also follows from the complex Poynting
theorem.
By adding (2.2.86 and 87) we obtain another interesting relation, namely

where (2.2.89)

Wt=w{+wi Wz=W;+Wf (2.2.90)

This expression relates the phase velocity vp of the mode to the power flow P
and the quantity (Wt - W z ), which can be identified as the electromagnetic
momentum flow in the waveguide [2.27]. It should be contrasted to the
relation (2.2.81) for the group velocity Vg. Combining these two relations
we get
vp Wt + Wz (2.2.91)
Vg = Wt - Wz

which ties the difference between vp and Vg to the presence of longitudinal

field components.

2.2.9 Variational Properties of the Propagation Constant

There are many optical waveguide problems for which exact mode solutions
are not available. The variational principle provides a powerful tool for the
numerical solution of these problems. Variational methods have found ex-
tensive use elsewhere in physics and engineering. In quantum mechanics, for
example, one uses a variational expression for the energy of the ground state
which assumes a minimum value when the correct electron wave functions
are inserted [2.29]. Another example is the use of variational techniques in
the analysis of microwave waveguides and resonators [2.30-32], a discipline
closely related to that of optical waveguides.
The basic root of the variational properties of waveguides is the prin-
ciple of least action [2.33]. The essence of the principle is the formulation
of a stationary expression for a key quantity, for example for the propaga-
tion constant 13. The stationary expression takes the form of cross-sectional
integrals involving the waveguide modes 'IjJ(x,y). This expression is distin-
guished by the property that it yields a result for 13 that is insensitive to
inaccuracies in the trial function used for 'IjJ. Mathematically this is expressed
as
33
 (2.2.92)
to first order in o'ljJ, assuming a trial function 'ljJ + o'ljJ is inserted in the
stationary expression.
In addition, it can be proved in many cases, that the value for (3 ob-
tained from the stationary expression assumes its maximum value when the
correct mode function 'ljJ is inserted. An approximation to 'ljJ will, there-
fore, produce a lower bound for (3. Larger (3 values correspond to better
approximations.

The Scalar ID Case

A simple example is the variational expression for the quantity (32 of the
TE mode of a planar slab waveguide, which has the form
+= +=
(32 = J dx 'ljJ(d2 jdx 2 + n 2k 2)'ljJ / J dx'ljJ2 (2.2.93)
= -=
This expression follows from the scalar wave equation (2.2.22) where the
mode function 'ljJ corresponds to the Ey(x) component of the modal field.
For this and the following variational expressions it is assumed that
the mode functions are continuous and that they possess first derivatives.
Surface integrals have to be added when this is not the case [2.30-32].

The Scalar 2D Case

The scalar two-dimensional wave equation
V2'ljJ + (n 2k2 - (32)'ljJ =0 (2.2.94)
is a frequently used approximation in the analysis of channel waveguides.
The scalar mode function 'ljJ( x, y) corresponds to a transverse component of
the electric field. The quantities 'ljJ and n( x, y) are now both functions of the
two transverse dimensions x and y. The associated variational expression
for (32 is given by
+= +=
(32 = J dx dy'ljJ(V2 + n 2k 2)'ljJ / J dx dy'ljJ2 (2.2.95)
-= -=
An early application of this stationary expression to optical waveguides
has been reported by Matsuhara [2.34]' who employed it for the analysis
of rectangular channel waveguides. Applications to diffused channel guides
have been discussed in [2.35 and 36], and an application to strip-loaded
diffused guides has been described in [2.37].

The Vector Case

An exact treatment of most optical waveguide problems requires a formu-
lation in terms of the exact vector fields. Stationary expressions are also
34
available for this more complex case. A mixed field expression for the quan-
tity (3 has the form [2.30,31,38]

J dx dY(WEE*. E + wp,oH*· H + j[E*. V'

+00

(3 = X H - H*. V' X E]
-00

/ J dxdy(E
+00

X H* +E* X H) (2.2.96)
-00

In this expression, the propagation constant (3 is stationary with respect to

independent variations of all six components of the modal fields E and H.
However, there appears to be no proof available at present, that will assure
that (3 is a maximum relative to all these variations.
This expression allows a simple derivation of the variation theorem
(2.2.75) discussed earlier. For this purpose we take E and H as the modal
fields of an unperturbed guide with the profile E( x, y). Then we consider a
perturbation E + .:1E( x, y). We insert this in the stationary expression and
use E and H as trial functions. The result is

J dx dy .:1EE* • Ej P
+00

.:1(3 =w
-00

which is the variation theorem.

In their analysis of rectangular channel guides, Abba and Haus [2.39]
have used a vectorial stationary expression for the quantity w 2 , which has
the form

J dx dy(V' J dx dy p,oEE*. E
+00 +00

w2 = X P). (V' X F) / , (2.2.97)

-00 -00

where F = E( x, y )exp( -j(3z). Here (3 is considered a given quantity and w a

variable. In this expression, the number of independent field variables is re-
duced to the three components of E, a considerable advantage for numerical
computations.
A vectorial variational expression for (32 involving only the two trans-
verse components of H has been given in [2.32 and 40].

2.3 Modes of the Planar Slab Guide

In this section we list formulas for the fields of the modes of a planar
slab waveguide. We consider the structure and coordinate system shown
in Fig. 2.14 where a film of thickness h and uniform refractive index nf is
sandwiched between a substrate of uniform index ns and a cover of uniform

35
 Fig. 2.14. Sketch of an "asymmetric" slab
waveguide and the choice of the coordinate
system. Note that the z-axis lies in the film-
substrate interface
z

index nco This structure has also been called the "asymmetric" slab guide.
The modal fields can be derived from the wave equations of Sect. 2.2.3, and
the corresponding solutions have been discussed by McKenna [2.24]' Tien
[2.17], Marcuse [2.2], and others. We follow essentially Marcuse's treat-
ment, but cast the results in a simple form which employs the peak val-
ues of the fields in substrate, film and cover as well as the phase shifts at
the film-substrate and film-cover boundaries that play an important role
in the zig-zag wave picture. We have to distinguish between modes of TE
(Sect. 2.3.1) and modes of TM polarization (Sect. 2.3.2). Another distinction
is between guided modes and radiation modes, the latter divided into the
categories of substrate radiation modes, substrate-cover (also called "air")
radiation modes, and evanescent modes. Section 2.3.3 deals with multilayer
waveguides.
In accordance with the wave equation we define various transverse de-
cay (,i) and propagation constants (Ki) by
(2.3.1)

2
Kf = nf2k 2 - f32 (2.3.2)

(2.3.3)

where the subscripts s, f, and c refer to substrate, film, and cover respec-
tively.
Table 2.3 shows the ranges of propagation constants f3 corresponding to
the various mode types and categories, and also the associated ranges of the
transverse propagation constant Ks in the substrate. Because of its conve-
nient range, the latter is chosen as the spatial frequency for the continuous
mode spectrum.
As we are dealing with a planar problem, all field solutions can be made
independent of the y-coordinate.

36
Table 2.3

Modes (3 lis

guided knf -> kns imaginary

substrate kns -> knc 0-> kJn s2 - n c2
substrate-cover knc -> 0 kJn~ - n~ -> kns
evanescent imaginary kns -> 00

2.3.1 TE Modes

From Sect. 2.2.3, we have for the TE modes

Hy = Ex = Ez = 0 (2.3.4)

Hx = -(f3/w/-l)Ey (2.3.5)

Hz = (j/w/-l)fJEy/fJx (2.3.6)
with the Ey component obeying the wave equation
fJ2Ey/fJx 2 = (f32 _n 2k 2)Ey . (2.3.7)
The boundary conditions of (2.2.8) demand that Ey (and thereby auto-
matically Hx) and fJEy/fJx (and thereby Hz) be continuous across the film
boundaries at x = 0 and x = h.
For guided modes we have
Ey = Ecexp[ -1'c(x - h)] for h<x (cover)
Ey = EfCOS(KfX - <Ps) for O<x<h (film)
Ey = Esexp( 1'sX ) for x<O (substrate) (2.3.8)
Application of the boundary conditions yields the formulas for the phase
shifts
tan <Ps = 1's/ Kf , tan <Pc = 1'ci Kf , (2.3.9)
and the dispersion relation
Kfh ~ <Ps - <Pc = V7r (2.3.10)
where the mode label v is an integer. This is in agreement with the dispersion
relation obtained from the zig-zag wave picture (Sect. 2.1). We also get a
relation between the peak fields E s , Ef and Ec of the form

f f _ N ) = E2(n
E2(n 2 2
sf _
2 ns2) = E2(n 2 2
c f _ nc ) (2.3.11)
where N = f3 / k is the effective refractive index.
In the above form, the modes are not normalized for power. We calcu-
late the power P carried by a mode per unit guide width as follows
37
 J J
+00 2{3 +00

P = -2 dxEyH:x; = WJ-L dxE;

f!
-00 -00

0 2
= N -Ef • heff = EfHf· heff , (2.3.12)
J-Lo
where
1 1
heff=h+-+- (2.3.13)
'Ys 'Yc
is the effective thickness of the waveguide, as discussed in Sect. 2.1.4.
For the substrate radiation modes, the field distribution is
Ey = Ecexp[ - 'Yc(x - h)] for h< x
Ey = Er cos [lI:rC x - h) + 4>cl for 0<x <h
Ey = Es cos(lI:sX + 4» for x <0 . (2.3.14)

The boundary conditions require that

tan 4>c = 'Yc/lI:f , (2.3.15)

II:s tan 4> = II:ftan (4)c - II:fh) , (2.3.16)

and
El(nl- N 2 ) = E;(nl- n~) (2.3.17)

2 2 f n2 - ns2 2 ]
Es = E f [ 1 + n~ _ N2 sin (4)c -lI:fh) (2.3.18)

Here we have no dispersion relation leading to discrete values for (3, and we
choose II:s as the independent continuous variable.
The above field of a substrate mode is exactly the same as that created
by a plane wave incident from the substrate side, with II:s = kns cos Os used
as a measure for the angle of incidence Os. The incident wave is refracted and
partially reflected at the film-substrate boundary and totally reflected at the
film-cover boundary. The phase shift incurred at that total reflection is 24>c,
and the phase-shift for reflection from the film-cover combination is 24>.
Interference between the incident and reflected waves creates the sinusoidal
standing-wave patterns in film and substrate.
For the cross power P(lI:s, its), needed to normalize the substrate modes,
we calculate

J
+00

P = -2 dx Ey(lI:s)H:x;(its)
-00

(2.3.19)

38
 The substrate-cover radiation modes are degenerate; we obtain two
independent field solutions for each given K,s. Great care must be exercised
to select two solutions which are orthogonal to each other, as required by
the mode-expansion formalism. A convenient choice are modal fields which
become even or odd functions of (x - h/2) in the limit of a "symmetric"
waveguide where ns = nco For simplicity, we also call these modes "even"
and "odd" in the asymmetric case. Their fields are

for odd modes for even modes

Ey = Efsin(K,fX - 4»; Ey = EfCOS(K,fX - 4», for 0 < x < h,

Ey = Es sine K,sX - 4>s); Ey = Es cos( K,sX - 7$s), for x < 0,
(2.3.20)
where the same phase shift 4> is used for both the even and odd modes.
Using the boundary conditions one derives the relations for the phase shifts
for the odd modes
K,s cot 4>s = K,f cot 4> (2.3.21)

(2.3.22)
and for the even modes
K,s tan 4>s = K,f tan 4> , (2.3.23)

K,c tan 7$c = K,f tan( K,fh - 4» (2.3.24)

The connections between the peak fields are

E; = Ef (sin2 4> + :~ cos 2 4» (2.3.25)

E; = Ef [sin 2(K,f h - 4» + :~ COS 2(K,fh - 4»] (2.3.26)

E; = E; (cos2 4> + :~ sin2 4» (2.3.27)

(2.3.28)

For the cross power between even or between odd modes we calculate

(2.3.29)

39
When needed, the second delta function in this expression can be rewritten
as
8( Kc - ~c) = (KC/ Ks)8( Ks - ~s) (2.3.30)

which follows from the fact that ~; = K~ ~~.K; - -

The cross-power between an even and an odd mode is
- 7rf3 - -
P = -[EsEs8(Ks - ~s) + Ec Ec8(Kc - ~c)] (2.3.31)
wf-t
which is not necessarily zero when Ks = ~s. As we postulate orthogonality
between even and odd modes, we have to set
(2.3.32)

to make the cross-power vanish. After some manipulation, this condition

can be rewritten as
cos( <Ps - ¢s) + cos( <Pc - ¢c) = 0 , (2.3.33)

which becomes a condition for the phase shift <p of the form

tan2<p = sin(2Kfh) j[cos 2Kfh + ::(1- K;/K;)/(1- K;/K~)] (2.3.34)

For the symmetric guide we have Ks = Kc , and

(2.3.35)

2.3.2 TM Modes
Section 2.2.3 gives the relations for the TM modes
Ey = Hx = Hz = 0 (2.3.36)

Ex = (f3/wc)Hy (2.3.37)

Ez = -(j/wc)oHy/ox (2.3.38)

with the Hy component obeying the wave equation

0 2 H y/ox 2 = (13 2 - n 2 k 2 )Hy (2.3.39)

The boundary conditions at x = 0 and x = h demand the continuity of Hy
(and thereby of cEx) and of n- 2 0H y/ox (and thereby of E z ).
The field solutions for the guided modes are
Hy=Hcexp[-,c(x-h)] for h<x
Hy = Hf COS(KfX - <Ps) for 0<x <h
for x <0 (2.3.40)
40
Using the boundary conditions, we obtain
tan<ps = (nr/nsf'Ys/K,f , tan <Pc = (nrfn c )2/c/K,f , (2.3.41 )

and also the now familiar dispersion relation

K,fh - <Ps - <Pc = V7f , (2.3.42)

where v is an integer. We also get a relation between the peak fields of the
form

where the reduction factors qs and qc are defined as in Sect. 2.1 by

(2.3.44)

(2.3.45)

For the power per unit guide width carried by a mode we calculate

P =2 J dx
+00

-00
Ex Hy = WED
-
2(3
J dx Hy / n
+00

-00
2 2

(2.3.46)

where the effective thickness for the TM modes is defined as

1 1
heff = h + - + -- (2.3.4 7)
Isqs Icqc
The fields of the TM substrate radiation modes are
Hy = Hcexp[ -/c(x - h)] for h < x
Hy = HfcoS [K,f(X - h) + <Pc] for 0 < x < h ,
Hy=Hscos(K,sx+<p) for x<O (2.3.48)

The boundary conditions require that

tan <Pc = (nr/n c)2 /c /K,f , (2.3.49)

(K,s/n;)tan<p = (K,r/n;)tan(<pc - K,fh) , and (2.3.50)

Hl(n; - N 2 )/n; = H~(n; - n~)qc/n~ (2.3.51)

(2.3.52)

41
Comparing the above expression with the corresponding formulas for the
TE modes, we note the appearance of the reduction factors qs and qe.
As in the TE-mode case, we use "'s as the continuous-mode label. For
the cross power P( "'s, Ks) we calculate

J dx Ex ("'s)Hy(Ks)
+00

P =2
-00

(2.3.53)

As in the TE case, the substrate-cover radiation modes are degenerate

and we distinguish between "even" and "odd" modes. Their fields are

for odd modes for even modes

Hy = He sin ["'e(x-h)+</>e]i Hy = He cos ["'e(x - h) + ~e], for h < x,

Hy = Hfsin("'fx - </»i Hy = HfCOS("'fX - </», for 0 < x < h,

(2.3.54)
where </> is the same for the even and odd modes. The relations between the
phase shifts, as derived from the boundary condit"ions, are
("'s/n;)cot </>s = ("'r/nl)cot </> , (2.3.55)

("'cln~) cos </>e = (",r/nl)cot("'f h - </» (2.3.56)

for the odd modes, and

2 -
("'s/ns)tan</>s = (",r/nf2 )tan</> , (2.3.57)

("'e/n~)tan4>e = ("'r/nl)tan("'f h - </» (2.3.58)

for the even modes. The peak fields are connected by

H; = Hl[sin 2 </> + (n;"'r/nl"'s)2 cos 2 </>] (2.3.59)

(2.3.60)

(2.3.61)

(2.3.62)

The cross power between even or between odd modes of different "'s is

42
 (2.3.63)

As in the TE case, we postulate orthogonality between the even and the

odd TM radiation modes and, again, obtain the condition
(2.3.64)

This translates into a condition for ¢ which has the same form as (2.3.34)
for the TE mode but with Kf replaced by Kr! nl,
Ks by Ksl n;,
and Kc by
Kc/n~.

2.3.3 Multilayer Slab Guides

The preceding subsections are dealing with the simplest slab waveguide
structure which consists of only three layers, the substrate, film and cover
layers. The subject of this subsection are multilayer slab guides consisting
of more than three layers. Multilayer guides are employed for a variety of
purposes. These include the use of buffer layers to separate electrodes from
a guide, and the use of metal layers to serve as guided-wave polarization fil-
ters that separate the TE from the TM mode [2.41,42]. Multilayers are also
employed to taylor the waveguide dispersion, to obtain phase matching for
guided-wave second-harmonic generation [2.43], and to achieve strong selec-
tive filtering of higher-order transverse modes [2.44]. Semiconductor laser
technology uses the 5-layer guide of a separate-confinement heterostructure
(SCH) laser to achieve separate confinement for the charge carriers and
the photons, and the 4-layer guides of large optical cavity (LOC) lasers for
designs allowing higher laser power [2.45,46].
The analysis of multilayer guides [2.6,11,41,45] proceeds along lines
similar to the analysis of three-layer guides discussed earlier in this section.
The key difference is that multilayers require the repeated application of
boundary conditions at the layer interfaces. To give a systematic structure
to this task, we adapt the matrix theory developed for the determiation of
the transmission and reflection properties of multilayer stacks [2.47,48].
Figure 2.15 shows a sketch of the orientation of a multilayer guide, with
the layers chosen perpendicular to the x-axis as before. Our outline of the

1
nc

Fig. 2.15. Sketch of a multilayer stack

nSf \A. a.
waveguide with substrate index ns and cover
index nc. The z-axis indicates the direction
of mode propagation

43
analysis 6f this guide will concentrate on the TE modes. At the end of this
section we will give a simple substitution rule that leads to results for the
TM modes.

Multilayer Stack Theory

The theory of multilayer stacks [2.47,48] starts with (2.19-21) and defines
two field variables U and V by
U=E y V =wpHz (2.3.65)

which describe the transverse variation of the optical field. These definitions
are chosen, because U(x) and Vex) are quantities that are continuous at the
layer boundaries. From (2.19-21) we obtain the relations
U' = -jV (2.3.66)

(2.3.67)

where the prime indicates differentiation with respect to x.

Both U and V obey the transverse wave equation
U" = ((32 - n 2k2)U (2.3.68)

U and V describe the transverse field distribution in a particular layer of

constant refractive index n. The general solution of the wave equation in
this layer is
U = A exp( -jll:x) + B exp(jll:x) (2.3.69)
V = II:[Aexp( -jll:x) - Bexp(jll:x)] (2.3.70)

where
11: 2 = n2k2 - (32 (2.3.71)

as before, see e.g. (2.3.1-3). The constants A and B can be replaced by the
input values Uo = U(O) and Vo yeO) at the input plane x = 0 of the
layer. We have

A = !(Uo + VO/II:) (2.3.72)

B = !(Uo - VO/II:) (2.3.73)

A rearrangement of (2.3.69-73) leads to a simple matrix relation between

the output quantities U, V and the input quantities Uo, Vo

(2.3.74)

44
",here the pairs (Uo, Vo) and (U, V) have been written as vectors, and M is
the characteristic matrix of the layer. It has the form

M = IjKcos( K(X))
sin KX
(j/ K) sein(K) x)
cos KX
I (2.3.75)

Note that det M = 1.

Next, consider a stack of n layers sandwiched between substrate and
cover, as sketched in Fig. 2.15. We label the layers starting from the sub-
strate. The layer thicknesses are hi and the layer indices are ni, where i = 1
to n. The output field variables for each layer are Ui and Vi. The character-
istic matrices at the layers are

Mi = IjKiCOS(K(ihhi))
sin K i
(j/Ki)s(in(hK,).h i )
cos Ki i
I (2.3.76)

where
K?-n?k
• -,
2 _f.l
jJ
2 (2.3.77)

The corresponding field variables are related by

(U~-I)
Vi-I
= Mi (U~)
Vi
. (2.3.78)

Using matrix multiplication, we obtain a simple relation between the input

variables Uo, Vo at the substrate and the output variables Un, Vn at the
cover

(2.3.79)

where M is the characteristic matrix of the stack. It is given by the product

of the individual layer matrices

M == Imll
m21
mI21 = Ml . M2 . M3 ... Mn
m22
(2.3.80)

where mll, mI2 etc. are the matrix elements which we will use below.

Reflection and Transmission Coefficients

Once the characteristic matrix of a multilayer stack (such as an interference
filter) is known, one can easily determine the reflection and transmission
coefficients for iight incident on the stack. We refer, again, to Fig. 2.15 and
assume that the light is incident from the substrate side. This light is de-
scribed by (2.3.69 and 70) with
(2.3.81)

an incident amplitude As, and a reflected amplitude Es.

45
 The input variables are, therefore
Uo = As + Bs , Vo = Ks(As - Bs) (2.3.82)

On the cover side, we have light with a transmitted amplitude A e , and the
corresponding output variables
(2.3.83)

where
K~ = n~ k2 - (32 = -,.;; (2.3.84)

Using the matrix relation (2.3.79), the amplitude transmission coefficient

t = Ac/ As and the amplitude reflection coefficient r = Bs/ As can be ex-
pressed in terms of the elements of the characteristic stack matrix in the
form
t = 2Ks/(Ksmn + Kem22 + KsKem12 + m21) , (2.3.85)
r = (Ksmn - Kem22 + KsKem12 - m21)t/2Ks (2.3.86)

This is a well known result, useful in the analysis of multilayer interference

filters, antireflection coatings, and high-reflectivity mirrors.

Dispersion Relation of Multilayer Slab Waveguide

The transmission problem considered above is closely related to the problem
of determining the dispersion relation for a mode guided by the multilayer
structure. The key difference is that there is no incident light in the case of
a mode where the optical field in the substrate and cover layers consists of
evanescent waves. The corresponding fields are written in the form
U = A exp("Ix) + B exp( -"Ix) , (2.3.87)

V =h[Aexp("Ix) - Bexp(-"Ix)] (2.3.88)

which obey the transverse wave equation (2.3.68). Instead of the transverse
propagation constants Ks and Ke , we must now use transverse decay con-
stants "Is and "Ie, which are already defined in (2.3.81 and 84). We postulate
that the fields should decay away from the multilayer, and obtain for the
input and output field variables
Uo =As (2.3.89)

Inserting this into the matrix relation (2.3.79) yields

As = (mn - hem 12)Be
hsAs = (m21 - he m 22)Be (2.3.90)

46
Dividing these two relations leads to the desired dispersion relation for a
multilayer slab guide
(2.3.91)

It is expressed in terms of the decay constants IS and IC, and the elements
of the characteristic matrix of the stack. The relation establishes the connec-
tion between the frequency w = kc of the light and the propagation constant
(3 of the mode guided by the multilayer. It is valid for an arbitrary number
of layers and can also be used for the approximate analysis of waveguides
with graded index profiles. As a useful illustration we shall discuss below
the examples of the four-layer and the symmetric five-layer waveguides.

Fig. 2.16. Side view of a four-layer

slab guide with equal substrate and
cover index (n s ). The refractive indices
of the two sandwiched films are nI and
n2, and the corresponding film heights
are hI and h2

Four-Layer Waveguides
Our first example is a four-layer slab guide such as that used in an LOC
laser structure. A sketch of this guide is shown in Fig. 2.16 together with
the key guide parameters. For simplicity, we choose a substrate and cover
of equal index (ns = n c ), which implies equal decay constants IS = IC = I.
For this case, the dispersion relation simplifies to
(2.3.92)
This relation implies the modal cut-off condition m21 = 0 which corresponds
to the case of zero decay (, = 0) of the fields in the substrate. The required
elements of the characteristic matrix M = M1M2 of the two-layer stack
are obtained from (2.3.76) by matrix multiplication with the result
ml1 = cos( I'qh1) cOS(1I:2h2) - (11:2/11:1) sin(1I:1h1) sin(1I:2h2)
m22 = cos(1I:1h1) cOS(1I:2h2) - (11:11 11:2) sin(1I:1h1) sin(1I:2h2) (2.3.93)

m12 = (j/1I:1) sin(1I:1h1) cos(1I:2h2) + (j/1I:2)COS(1I:1hI)sin(1I:2h2)

m21 = jll:1 sin(1I:1h1) cos(1I:2h2) + jll:2 cos(1I:1h1) sin(1I:2h2)
After inserting these elements into (2.3.92) we can rearrange the dispersion
relation in the factored form

47
 [COS(Klhl) - (KIll) sin(Klhl)][ COS(K2h2) + (-r/K2) sin(K2h2)]
= -[ COS(KIh l ) + (iIKl) sin(Klhl)]
X [COS(K2h2) - (K211) sin(K2h2)] (2.3.94)

As a final step, we use familiar identities for the trigonometric functions to

rewrite the dispersion relation of the four-layer slab guide in the form
Kltan[Klhl - tan-l (-r/KI)] = -K2tan[K2h2 - tan-l (-r/K2)] .(2.3.95)

This agrees with the dispersion relation obtained by other methods [2.6,41].
As a further check, we set h2 = 0 and find the result to agree with the
dispersion relation of the symmetric 3-layer slab guide as expected.

z
Fig.2.17. Symmetric 5-layer guide. The
heights of the sandwiched films are hI,
2h2, and hI, and their indices are nI, n2,
and nI as shown

Symmetric Five-Layer Waveguides

Our second example is a symmetric 5-layer guide of the kind used in a sepa-
rate confinement (SCH) laser. Its geometry is shown in Fig. 2.17. Substrate
and cover indices are assumed to be equal (ns = nc), which implies equal
decay constants is = ic = i. To exploit the symmetry of the guide, we
pretend that the inner three layers are made up of two pairs of layers with
thickness values hI, h2 and h2, hI, respectively. The dashed line in the figure
indicates where the fictitious two-layer pairs meet. The corresponding layer
matrices are the pairs Ml, M2 and M2, MI. The characteristic matrix of
the 3-layer stack is obtained by matrix multiplication

M = IZ~~ Z~~ I = MIM2M2Ml (2.3.96)

where Mu, M12 etc. are the matrix elements.

The matrices of the layer pairs are

MIM2 = I ml1 mI21 M2MI = I m22 m121

ml1
(2.3.97)
m2I m22 m21

where we use the lower case to distinguish the matrix elements of the pairs

48
(mll,mI2 etc;) from the matrix elements of the 3-layer stack. Expressions
for the elements mll, m12 etc. are given by (2.3.93). Inspecting these ex c
pressions, we find that the matrices of the two-layer pairs are related by a
reversal of the elements mll and m22, as reflected in the equations above.
Performing the matrix multiplication, we find the following relations
Mll = M22 = mll m22 + m12 m 21
M12 = 2mllm12 M21 = 2m21m22 (2.3.98)
This contains the relation Mll = M22 which we expect for a symmetric
stack.
With the latter simplification, the dispersion relation of the 5-layer
guide becomes
2j,Mll = M21 - ..l M12 (2.3.99)

After inserting (2.3.98), the dispersion relation can be rewritten in the

factored form
(2.3.100)
This means that we have the two dispersion relations
and (2.3.101)

(2.3.102)
Because det (MIM2) = 1, the two relations cannot be simultaneously sat-
isfied for the same wand (3 values. They correspond to different sets of
modes. Closer inspection shows that these sets are the even-order and odd-
order modes.
Equation (2.3.101) corresponds to the even-order modes. If we insert
the matrix elements from (2.3.93) and sort the terms with common functions
of (K2h2), we obtain
K2 sine K2h2) . [cos( Kl hI) + (, / Kd sin(Klhl)]
= Kl cos( K2h2)[(')' / Kl) cos( Klhl) - sine Klhl)] (2.3.103)
Note that sorting for common functions of (Klhd yields the dispersion rela-
tion given in [2.45]. However, we proceed with (2.3.103), apply well known
identities for trigonometric functions and arrive at the result
(2.3.104)
This agrees with the dispersion relation for even-order modes obtained by
a different method [2.6].
For the odd-order modes we start with (2.3.102), proceed along similar
lines as before, and obtain the dispersion relation
(2.3.105)

49
TM Modes
The preceding discussion of multilayer guides is valid for the TE modes. We
can modify the TE results to obtain results for the TM modes with the aid
of a simple substitution.
For TM modes we have Ey = Hz = Hx = O. The analysis starts with
(2.2.24-26) and follows a parallel path to the TE analysis. One defines the
field variables
U=H y v = wcoEz (2.3.106)

and obtains the relations

(2.3.107)
Together, these lead to a transverse wave equation with the general
solution
U = Aexp( -jll:x) + Bexp(jll:x)
V = -(II:/n 2 )[Aexp( -jll:x) - Bexp(jll:x)] (2.3.108)

This already gives us the key for the required substitution. A comparison
with equations (2.3.69,70) shows that the general TM solution is the same
as the general TE solution if we substitute
(2.3.109)
and similarly for f'
Note, that this substitution should not be applied to the phase terms
(lI:x), (lI:lhI) etc., as these are identical in the two general solutions.
The substitution can be applied to all results that follow from the gen-
eral solution, i.e. almost all results of interest. This includes the formulas for
the reflection and transmission coefficients, and, particularly, the dispersion
relation. For TM modes, the latter assumes the form
-j(mllfS/n; + m22fcln~) = m21 - ({sfcln;n~)m12 (2.3.110)
as a result of the substitution. If we apply the substitution to the char-
acteristic matrix of a single layer, as given in (2.3.76), we obtain the TM
result
M· _I
1 -
cOS(lI:ihd
.,...j(lI:dn~) sin(lI:ihd
-j(n~/lI:i)sin(lI:ihd 1
cos( lI:ihi) .
(2.3.111)

In similar fashion, we can adapt the other TE results obtained above to the
case of TM waves.

50
2.4 Planar Guides with Graded-Index Profiles

Several fabrication processes, in particular diffusion and ion implantation,

lead to dielectric waveguide layers with graded-index profiles where the re-
fractive index n( x) varies gradually over the cross-section of the guide. We
list in this section the known mode solutions for 3 symmetric index profiles of
different shapes, namely, the parabolic, the "ljcosh2 ", and the exponential
profiles. We also discuss graded profiles with one sharp index discontinuity
which correspond to the practical case of diffused guides with a sharp index
step at the film-air boundary; and, finally, we briefly mention the application
of the WKB method to profiles with a slow index gradation.
The discussion focuses on the TE modes governed by the wave equation
(2.2.22) for the Ey component
d2Eyjdx 2 = ((32 - n 2k 2 )Ey (2.4.1)
The exact solutions available for these modes can be adapted to serve as
approximations for the TM modes if the gradient of n( x) is small enough.
The wave equation (2.4.1) has the same form as the Schrodinger equa-
tion of quantum mechanics, with N 2 = (32 j k 2 essentially corresponding to
energy level and n 2 (x) to the potential energy well; hence, we can draw on
the extensive literature of quantum mechanics both for specific solutions
and for methods of analysis.

2.4.1 The Parabolic Profile (Harmonic Oscillator)

As sketched in Fig. 2.18, one can use the parabolic profile
n 2(x) = n;(1-x2jx~) (2.4.2)
to approximate the actual index variation of a practical waveguide (shown
dashed) near the guide axis (x = 0) where nCO) = nf. For small x, we can
write this as
(2.4.3)

x Fig. 2.18. Parabolic index profile (solid

curve) and the practical guide profile (dashed
curve) which is approximated by it

51
The index profile of (2.4.2) corresponds to the potential well of the harmonic
oscillator (see, e.g., [2.29]), and the solutions of the wave equation are
Ey = H v (v'2x/w)exp(-x 2 /w 2 ) , (2.4.4)
where the Hv are the Hermite polynomials defined by
dV
Hv(x) = (-ltexp(x2) dx vexp( _x 2 ) (2.4.5)
For the lowest orders we have
Ho(x) = 1
Hl(X) = 2x ,
H2(X)=4x 2 -2 ,
H3(X) = 8x 3 -12x (2.4.6)
The Hermite-Gaussian functions of (2.4.4) are also known as the standard
description for the modes of laser beams and laser resonators [2.3,49], where
the parameter w is called the "beam radius". The latter is given by
(2.4.7)

and indicates the degree of confinement of the fundamental mode. For the
propagation constant f3v and the effective index N v of a mode of order v,
one obtains
f3~ = n;k2 - (2v + l)nfk/xo (2.4.8)

(2.4.9)

The parabolic profile corresponds to a closed well and predicts an infinite

set of discrete modes. But as the order v increases, the energy of a mode is
spread out further from the guide axis, and eventually the distances x are
so large that (2.4.2) can no longer be regarded as a good approximation for
the actual guide profile.

2.4.2 The "1/cosh2 " Profile

The "1/cosh2" profile is an open well described by
n 2(x) = n; + 2nsLln/cosh2(2x/h) . (2.4.10)

The corresponding poteritial is also employed in quantum mechanics [2.29]

and is a special case of the Poschl-Teller potential [2.50]. For small peak-
index deviations Lln from the substrate index ns, we have approximately
n(x) ~ ns + Lln/cosh2(2x/h) , (2.4.11)

52
 Fig.2 .19. The "l/coshz " index profile. The
nominal guide thickness h is indicated

I
I
I
I
I
I
I
I
I
I
I
-i------~1----+---~I~--------~X

I-h~
I

indicating a guiding layer of thickness h, as sketched in Fig. 2.19. As in the

case of the uniform slab guide discussed in Sect. 2.1, it is convenient to use
a normalized thickness V, which we define as
V = khV2ns6.n . (2.4.12)

The solution of the wave equation (2.4.1) for the "1/cosh 2" profile of (2.4.10)
yields a very simple expression for the maximum mode number 8 ~ v of
guided (bound) modes supported by the waveguide, which is

(2.4.13)

For the propagation constants f3v and the effective indices Nil we obtain
f3~ = n;k2 + 4(8 - v? /h2 , (2.4.14)

N; = n; + (8 - v)2(>'Irrh)2 (2.4.15)

The modal field distribution is

(2.4.16)

where the U II are hypergeometric functions [2.28]. For even mode number v
we have
UII =1- !V(28 - v)sinh 2(2x/h)/(1 01!)
+ tv(v - 2)(28 - 7/)(28 - V - 2)sinh4(2x/h)/(lo 3 02!) + '" ,
(2.4.17)
and for odd v we get

U II = sinh(2x/h)[1 - !(v - 1)(28 - V - l)sinh2(2x/h)/(3 01!)

+ t(v - 1) (v - 3)(28 - V - 1)(28 - V - 3)
X sinh4(2x/h)/(3 05 02!) + ... ] (2.4.18)

53
For the lower mode orders these functions simplify to
Uo = 1
Ul = sinh(2x/h)
U2 =1- 2(s -1)sinh2(2x/h)
U3 = sinh(2x/h)[1- ~(s - 2)sinh2(2x/h)] (2.4.19)

Nelson and McKenna [2.13] give a discussion of an asymmetric graded-

index profile which is a generalization of the "1/cosh2" profile for cases
where the indices of the substrate and the cover are unequal.
Another profile formally related to the "1/cosh2" potential has the form
n 2 (x) = nf[l - Ll tan 2(x/xo)] (2.4.20)

This is also a special case of the Poschl-Teller potential for which exact
solutions are available, as discussed in detail by Gordon [2.51].

2.4.3 The Exponential Profile

The exponential profile is another case for which exact solutions are available
[2.52]. We adapt these here to the symmetric profile sketched in Fig. 2.20
and described by
n 2 (x) = n; + 2n s.dnexp( -2Ixl/h) (2.4.21)

which, for small .dn, can be approximated by

n(x) ~ ns + .dnexp( -2Ixl/h) (2.4.22)

Again we introduce a normalized layer thickness V by defining

V = kh.j2nsL1n . (2.4.23)

Fig.2.20. The symmetric expo-

-L----+1- - - ' -- - ; - - - - ----. X nential profile and the correspond-
1<4-14-- h -+J ing nominal guide thickness h

54
The solutions for the modal fields of this profile can be expressed in terms
of Bessel functions Jp of the first kind and of non-integral order p,
Ey = Jp(Vexp[ - x/h]) for x >0
= Jp(Vexp[x/hD for x <0 (2.4.24)
The order p// is determined by matching the solutions at the boundary x =0
for given V. For the even modes, we require that
J~(V) =0 (2.4.25)
and for the odd modes we have to demand
Jp(V) =0 (2.4.26)
Each of the two conditions yields approximately V /7r discrete solutions for
p//. In terms of p//, we can write for the propagation constant /3//
/3~ = n;k2 + p~/h2 , (2.4.27)

and for the effective index N //

N~ = n; + p~/(kh)2 (2.4.28)

Figure 2.21 shows a plot of the quantity

0.5

c:
<ItI)
c:
C\J 0.4
..........
N
tI)
c: 0.3
I
N
Z

N " 0.2
>
"-
c...
0.1

v =kh.j2n 56n
Fig. 2.21. Normalized w-f3 diagram for planar guides with an exponential profile. Shown
are the dispersion curves for the modes of odd order which correspond to the modes of
guides with an asymmetric exponential profile of mode number // = //asym, as given by
(2.4.30). (After [2.53])
55
 (2.4.29)

for the odd-order modes, which is taken from Carruthers et al. [2.53] and
represents the results of a numerical solution of (2.4.26).

2.4.4 Index Profiles with Strong Asymmetry

In a class of practical waveguides, a layer of increased index is induced (e.g.,

by diffusion) in the substrate material. While the induced index change is
relatively small, there is often a large step from the substrate index ns to the
cover index nc which is usually that of air. The result is an index profile as
that sketched in Fig. 2.22. We call such a profile "strongly asymmetric" be-
cause the corresponding asymmetry measure, defined in Sect. 2.1, assumes
very large values. We shall discuss here a correspondence between strongly
asymmetric profiles and symmetric profiles such as those discussed above,
which can be used to obtain approximate mode solutions for the asymmetric
profiles from solutions known for symmetric ones. This technique has been
used by Standley and Ramaswamy [2.54] for the asymmetric parabolic pro-
file, and essentially also by Conwell [2.52] and Carruthers et al. [2.53] for
the asymmetric exponential profile. To obtain a first approximation, one
assumes that the field in the cover region (x < 0) vanishes, as shown in the
Fig. 2.22. The corresponding symmetric profile is indicated by the dashed
line. The odd-order mode solutions of symmetric profiles have a zero field
at x = 0 as sketched in the figure. For x > 0 we can therefore use these
solutions for the asymmetric profile if we continue them with E = 0 for
x :::; o. The propagation constants corresponding to these modes can also be
used unaltered for the asymmetric profile as a first approximation. As we
only use the symmetric-profile modes of odd order, we renumber the modes
n

x I
x
, I
, I
, I
\ I

" ...
\ /
_-"" /

Fig. 2.22. Index profile with strong asymmetry (solid curve) and the associated sym-
metric profile (dashed curve). The corresponding approximate field distribution E( x) is
also shown

56
using the simple relation
2vasym +1 = Vsym (2.4.30)
between the mode numbers vasym of the asymmetric profile and the mode
numbers Vsym of the corresponding symmetric profile.
Even though the actual field at the film-air interface is very small, it is
not exactly zero. For some applications, such as the design of guided-wave
filters with a surface corrugation, one needs to know the field values at the
interface. Haus and Schmidt [2.55] have described how one can improve
the above approximation and obtain estimates for these field values. They
assumed evanescent fields in the cover region with the decay constant Ie
given as usual by
,~ = f32 - n~k2 (2.4.31)
Matching the fields at the boundary x = 0 they obtain for the y-component
of the electric field

Ey(O) = -1 (dEy)
- (2.4.32)
Ie dx x=o
which relates the field at the surface x = 0 to the slope dE / dx . The latter
is calculated from the approximate mode solutions discussed above.
Exact solutions for the asymmetric exponential profile were discussed
by Conwell [2 .52].

2.4.5 The WKB Method

The WKB method can be used to obtain approximate solutions of the wave
equation (2.4.1) for the modes of profiles with slowly varying index n(x) .
The method is thoroughly treated in the quantum mechanics literature (see,
e.g., [2.29,56]' and its application to dielectric waveguides has been dis-
cussed by Gordon [2.51], Felsen and Marcuvitz [2.57]' and others). The
method involves selection of a trial value for the propagation constant f3
(or the effective index N) of the waveguide and subsequent determination
of the "turning points" Xl and X2 as indicated in Fig. 2.23 and described

Fig. 2.23. Thrning points Xl and X2 as determined

by intersecting the line n 2 = N 2 with the index
profile n 2 (x)

57
mathematically by
n(xd = N = {3/k i = 1,2 (2.4.33)
The values of {3 which obey the condition

J
X2

dxVn 2 k 2 - (32 = lI"(v +!) (2.4.34)

Xl

with integer v, are the propagation constants (3v predicted by the WKB
method. In terms of the effective index, this condition can be written as
A
J
X2
dxVn 2 - N2 = 2(v +!) (2.4.35)

For the modal fields, the WKB method predicts oscillatory field distribu-
tions in the region where n(x) > N (i.e., Xl < X < X2) and exponentially de-
caying fields where n(x) < N (i.e., x> X2 and X < xI) .
For the special case of the parabolic profile, the WKB predictions are
known to agree exactly with the closed form solutions (2.4.8) available for
this profile.

2.5 Channel Waveguides

The planar optical guides discussed in the preceding two sections provide
no confinement of the light within the film plane, i.e. the y-z plane. There,
confinement takes place in the x-dimension only. Optical channel guides can
provide this additional confinement in the y dimension. Channel guides are
used in many active and passive devices of integrated optics, including lasers,
modulators, switches and directional couplers. The additional confinement
can help to bring about desirable device characteristics such as savings in
drive power and drive voltage. In addition, it is required for the design of
single-mode structures that are compatible with single-mode fiber guides.
The following subsections will give an overview of channel guide ge-
ometries, discuss the vector wave equation suitable for the exact analysis
of channel gcides, and discuss methods of approximation including the sep-
aration of variables, the method of field shadows, and the effective index
method.

2.5.1 Channel Guide Geometries

Figure 2.24 shows sketches of the x-y cross sections of six different types of
channel guides. For simplicity, the figure shows abrupt transitions of the re-

58
 Fig.2.24a-f. Cross sections of six
channel guide structures

aJ general bJ buried channe I

channel guide

c.) raised strip d.) rib guide

e.) embedded strip t.) ridge guide

fractive index. However, it should be clear that fabrication techniques such

as diffusion may produce guide cross sections with graded-index profiles. In
all six examples the light is essentially confined to the film material with
index nf. We use the same notation as for slab waveguides, denoting the
substrate index by n s , and the cover or cap index by nco This is illustrated
for a general guide geometry in Fig.2.24a. The index of the lateral layer
is nl which is different from the substrate and cap indices in many cases.
Example (b) shows a buried guide with a uniform cladding. Example (c)
illustrates the cross section of a raised strip guide. This can be fabricated
by starting with a planar slab guide, masking the strip, and removing the
surrounding film by sputtering or etching techniques. The rib guide (d) can
be made with a similar technique but with incomplete removal of the sur-
rounding film. Embedded strip guides (e) can be made by masked diffusion
or ion implantation. A ridge guide (f) is fabricated by depositing (or etch-
ing) a strip of index nf onto a planar waveguide. It has been suggested that
both the rib guide and the ridge guide can be designed for relaxed resolution
and edge roughness requirements. These two guides use a "propagating sur-
round", i.e., lateral guide layers that allow at least one guided mode when
they are operated as a planar slab waveguide.

2.5.2 The Vector Wave Equation

In a channel guide the refractive index n = n( x, y) is a function of both

transverse coordinates. As a result, the analysis of the waveguide modes
becomes a more complex task than that for slab guides. A starting point

59
for this analysis are the Maxwell's equations (2.2.6,7) for the complex am-
plitudes, which we repeat here, for convenience,
\7 X E= -jw{loH , \7 X H=jwe:E . (2.5.1)

In the following we present a derivation which will yield the vector wave
equation for the transverse fields of a channel guide [2.4,6, 7]. As a first
step, we take the curl of Maxwell's equations, which gives
\7 X \7 X E = -jW{lO \7 X H = w2 e:{loE , (2.5.2)

\7 X \7 X H = jw\7 X (e:E) = w2 e:{loH + \7 In e: X (\7 X H) (2.5.3)

Here we have used the vector identity

\7 X (ab) = a \7 X b + (\7 a) X b , (2.5.4)

as well as the relation

\7 In e: = \7e:je: (2.5.5)

for the gradient of e:(x,y). The divergence of (2.5.1) gives

\7·H=O \7. (iE) =0 (2.5.6)

The second of these divergence relations can be written in the more conve-
nient form
\7. E = -E· \7 In e: (2.5.7)

We can use these relations, together with the vector identitiy

\7 X \7 X a = - \7 2 a + \7(\7 • a) (2.5.8)
to obtain wave equations for the fields of the guide which are of the form
\7 2 E + \7( E· \7 In e:) + w2 e:{loE = 0 (2.5.9)
\72 H + (\7 lne:) X (\7 X H) + w2 e:{loH = 0 (2.5.10)

We note that the transverse index gradients described by \71ne: adds terms
to the usual wave equation which tend to couple the components of the
vector fields E and H. Closer inspection shows that the longitudinal field
components are decoupled from the transverse components. This becomes
clear when we separate the fields into transverse (Et, Ht) and longitudinal
(Ez, Hz) components as in Sect. 2.2, and write the modal fields in the form
E = (Et + Ez)exp( -j{3z) H = (Ht + Hz)exp( -j{3z) , (2.5.11)
omitting the modal subscript v for reasons of simplicity. With this we obtain
the vector wave equations for the transverse fields

60
 \l2 Et + \l(Et· \lIne:) + (w 2e:f-lO - f32)Et =° (2.5.12)

\l2 H t + (\lIne:) X (\l x Ht) + (w 2e:f-lO - f32)Ht = ° (2.5.13)

We note here that the quantities e:, Et and Ht are independent of z. There-
fore, we have \It lne: == \lIne:, \ltEt == \lEt, and \It X H t == \l X H t , etc.,
where \lt is the transverse grad operator used earlier. We notice that the
gradient term in the vector wave equations will generally couple the x- and
y-components of the fields. However, no longitudinal field components ap-
pear in these equations.
In principle, we need to solve only one of the two vector wave equations
for Et or Ht. The corresponding z-components follow from the divergence
relations (2.5.6 or 7), which can be expressed as
jf3Ez = \l. Et + E t • \lIne: (2.5.14)
jf3Hz = \l. H t (2.5.15)

Once all components of E are determined, the H field follows from

Maxwell's equations, and vice versa if H is found first.

2.5.3 Numerical Analysis

A variety of methods have been reported which are suitable for the numer-
ical analysis of channel waveguides based directly Maxwell's equation for
the guide [2.6,5]. For the case of buried rectangular guides, Goell [2.58] has
employed cylindrical space harmonics to analyze guides with aspect (width
to height) ratios between 1 and 2. Schlosser and Unger [2.59] have de-
scribed a numerical method which is suited to rectangular guides with large
aspect ratios. Additional numerical results for rectangular guides have been
reported in [2.60,61], and the use of variational techniques for the analysis
of these guides has been presented in [2.34,39]. For a recent detailed review
of numerical methods the reader is referred to [2.81].
Figure 2.25 shows dispersion curves obtained by Goell for buried guides
of index nf surrounded by a cladding of index ns. For small index differences
(nr - n s ), the results can be plotted in broadly applicable normalized form
as shown.
Here, we have used the same normalizations as those used for planar
slab waveguides in Sect. 2.1, where
(2.5.16)
is the normalized guide index related to the effective index N, and
(2.5.17)
is the normalized guide thickness (or height). The curves are labeled with
the aspect ratio, i.e., the ratio between the guide width wand the guide

61
 1.0
fJrnf

n.
~
h

N.
c
0.8
...
I
N
c
.... 0.6
.....
N.
c 0.4
I
N
z 0.2
II
..0

2 4 6 8 10 12
V=kh(nl-nl>1/2
Fig.2.25. Dispersion curves of a buried channel guide of height h and width w. The
normalized guide index b is shown as a function of the normalized frequency (or guide
thickness) V for the w/h ratios of 1,2, and 00, (After [2.58])

height h. The curve with the label w / h = 00 corresponds to a planar slab

waveguide, which is given for purposes of comparison. Note that, for given
V, a reduction in the guide width corresponds to a decrease in {3, i.e., an
increase in the phase velocity w / {3 of the guide. This is just as expected
when one considers that for smaller widths one gets a larger portion of the
modal field in the faster (lower index) cladding region.

2.5.4 Separation of Variables

In attempts to simplify the analysis one often attempts to separate the

transverse variables x and y. In the case of the exact vector wave equations
(2.5.12,13) this attempt turns out to be a difficult if not impossible task.
The scalar wave equation
(2.5.18)
is often used for channel guides as a good approximation to the vector wave
equation. In this case the separation
Et(x,y) = X(x)Y(y) (2.5.19)
succeeds if the refractive index squares, i.e., the permittivities, can be writ-
ten in the additive form
(2.5.20)

62
Here it is required that X and nx are functions of x only, and Y and ny are
functions of y only.
Under these conditions, the two-dimensional wave equations can be
separated into two one-dimensional parts
J2x + (k 2 nx2 - /3x)X
-2
2
=0 (2.5.21)
dx

(2.5.22)

These equations are now in a form which allow us to make use of known
planar slab guide solutions, such as those given in Sect. 2.4. Once the solu-
tions X, /3x, Y and /3y are determined, the propagation constant /3 of the
channel guide is given by
/3 2 = k2n5 + /3; + /3; (2.5.23)

The Parabolic Channel

A good example for the use of the separation of variables is the parabolic
channel guide. This guide is characterized by an index profile of the form

n2 ( x, y) = n; (1 -
x2 y2)
2" - "2 (2.5.24)
Xo Yo
where Xo and Yo indicate the guide height and width, respectively. The
modal properties of this guide follow directly from the properties of the
parabolic slab guide discussed in Sect. 2.4.1. The fundamental mode is a
Gaussian 2 2
Et(x,y) = Eoex p ( - - :~ ~~) (2.5.25)

Its beam radii Wx and Wy are determined by

(2.5.26)

As in (2.4.4), these parameters are also used for the Hermite-Gaussian func-
tions which describe higher-order modes. The propagation constants of the
modes of the guide are obtained from
/3 2 = k 2 n; - (2v + l)nfk/xo - (2p, + l)nfk/yo (2.5.27)

where v and p, are the mode numbers in the x and y dimensions.

2.5.5 The Method of Field Shadows

Even when the scalar-wave approximation is made, very few practical index
profiles are separable in the form (2.5.20). To allow the analysis of a wider
63
 Fig. 2.26. Illustration ofthe method
of field shadows showing the cross
section of a buried channel guide.
The method ignores the fields in the
shaded "shadow" areas

range of channel guides, Marcatili [2.62] has proposed a further approxima-

tion that permits that separation in many cases. The method is illustrated
in Fig.2.26 which shows the cross section of a general channel guide. It
calls on us to ignore the fields and the refractive indices in the shaded field
shadow regions. This step will often result in separable index profiles. The
method works well as long as the fields are well confined in the high index
(nf) region of the waveguide. Near cut-off the method is not applicable,
because in this situation the fields penetrate into the shadow regions.
In the following, we illustrate the method for a rectangular buried chan-
nel guide. Numerical results for this guide are given in Sect.2.5.3. Figure
2.27 shows the cross sections of two planar slab gides, one with boundary
planes perpendicular to the x-axis, the other with boundaries perpendicu-
n
lar to the y-axis. The 2 values for the films and substrates are n;
/2 and
(n; - n;;2) as shown. The composite guide shown is constructed by super-
imposing the permittivities (n 2 values) of the two slab guides. Because of
the clever choice of the slab-guide indices, the superposition according to
(2.5.20) will result in a channel guide of the index nf and a substrate of
index ns as indicated. The index no of the shadow region becomes
n5 = 2n; - n; (2.5.28)

The field-shadow method tells us to ignore the shadow region. There-

fore, the index profile of the composite channel guide represents a good
model for the buried channel guide and it allows the separation of vari-
ables. The modal field of the channel guide E( x, y) is therefore given by the
product
E(x,y) = X(x)Y(y)
64
 y-slob guide

- ---+----.... y

•t
h

x- slob gu ide composite channel guide

Fig. 2.27. Method offield shadows. The sketch shows the x-y cross section of a composite
guide made up by summing the permittivities (n 2 ) of an x-slab guide of height h and a
y-slab guide of height w. The various n 2 values are indicated

of the fields X(x) of the x-slab guide and Y(y) of y-slab guide. The prop-
agation constants j3x , j3y and effective indices N x , Ny of the slab guides
determine the corresponding quantities 13 and N of the channel guide via

13 2 = 13; + 13; (2.5.29)

N 2 = N x2 +Ny2 (2.5.30)

In order to obtain quantitative answers, we refer to the slab guide results

presented in Sect . 2.1.2, and particularly to the normalized dispersion curves
of Fig. 2.8. Our goal is to cast the channel guide results into a similar normal-
ized form to allow for easy scaling and broader applicability. The normalized
guide-thickness values Vx and Vy of the slab guides contain the width wand
height h of the channel guide. We have

(2.5.31)

(2.5.32)

where V is · the normalized height of the channel guide. Fig. 2.8 is used to
determine the normalized guide indices bx(Vx ) and by(Vy) ofthe slab guides.

65
Now we invoke the definition of the normalized indices

b - N x _ n s + n f j2
2 2 2
(2.5.33)
x- nl- n~

(2.5.34)

(2.5.35)

to derive the surprisingly simple relation for the normalized index b of the
channel guide
b = bx + by -1 (2.5.36)

This means that the normalized dispersion chart for slab guides shown in
Fig. 2.8 can be used in a simple manner to determine the normalized guide
index of a buried channel guide.
For the special case of a square channel where bx = by we find
b = 2b x -1 (2.5.37)

We can use this relation to relabel the vertical axis of the slab-guide disper-
sion chart to obtain the dispersion chart for the square channel guide.

Improvements of the Method

The method of field shadows relies on two approximations: (1) the scalar
approximation, and (2) the ignoring of the refractive index in the shadow
regions.
Akiba and H aus [2.39] have obtained improved results by using a vector
variational principle, where the above solutions are used as trial functions
for the buried channel guide. Kumar et al. [2.63] have suggested that a per-
turbation calculation be used to correct for the error due to the permittivity
differences in the shadow regions between the buried channel guide and the
composite guide used above. The error in L1n 2 is
L1n 2 -- n s2 _ n 02 -- n f2 _ n s2 (2.5.38)

The variation theorem (2.2.75) can be used to obtain a correction L1f3 for
the propagation constant due to this error. We get

L1f3=w J dxdy coL1n 2 lEl2jP

shadows

66
2.5.6 The Vector Perturbation Theorem
Channel-guide results obtained via the scalar-wave approximation can be
improved with the vector perturbation theorem. This is quite useful in cases
where small differences between two parameters play an important role. An
example is the determination of the birefringence of a channel guide.
In order to derive this theorem, we assume that the scalar wave results
Eo(x,y) and 130 are known. They obey the scalar wave equation (2.5.18)
V 2 Eo + (n 2k 2 - f35)Eo = 0 (2.5.39)
The exact solutons E( x, y) and 13 must obey the vector wave equation
(2.5.12)
(2.5.40)
If Eo is a good approximation, we can write

E= Eo +El (2.5.41 )
and treat the quantities El, Vln e, and L1f32 as small perturbations, where
(2.5.42)
Subtracting (2.5.39) from (2.5.40) and dropping perturbations of second
order yields
V 2 El + V( Eo . Vln e) + L1f32 Eo + (n 2k 2 - f32)E 1 = 0 (2.5.43)
We form the dot product of this with Eo and the dot product of (2.5.39)
with El and subtract the results. We proceed by integrating over the guide
cross section and employing Green's theorem to obtain
L1f32 = Jdx dy Eo· V(Eo . Vlne)/ Jdx dy E5 (2.5.44)

This is the vector perturbation theorem. It gives us a correction to the

propagation constant obtained from the scalar wave equation.
Channel Guide Birefringence
In the following we will illustrate the use of the above theorem for the deter-
mination of the birefringence of a channel guide. Waveguide birefringence
indicates a difference in the phase velocities or propagation constants of two
modes of different polarization. The scalar-wave approximation does not dis-
tinguish the polarization st;:.!es of the field, and cannot, therefore, predict
waveguide birefringence due to guide geometry. The scalar wave equation
yields a modal field 1jJ(x,y) and a propagation constant 13. We use this to
write down the following approximations for the vector components of the
TE-like and TM-like modes:
TE: Ex =0 Ey = 1jJ
TM: Ex = 1jJ Ey =0 (2.5.45)
67
The associated propagation constants are given by

fJi-E = fJ~ + L1fJi-E

fJi-M = fJ~ + L1fJi-M (2.5.46)
where estimates for the correction terms L1fJTE and L1fJTM are calculated
by means of the vector perturbation theorem. The birefringence of the guide
can be expressed in the form
(2.5.47)
Inserting the components of (2.5.45) and integrating by parts allows us to
simplify the theorem (2.5.44) to

L1fJi-E = 2
1 Jdx dy '1jJ2 8 2
8y2ln c / Jdx dy '1jJ2
(2.5.48)

This leads to the following formula for the geometrical birefringence of the
channel guide
2 - fJTM
fJTE 2 = 21 Jdx dy'1jJ 2(
2
8 2 - 8y2
8x
2
8 ) In c / Jdx dy '1jJ 2 (2.5.49)

As an illustration for the use of this theorem we consider the parabolic

channel guide discussed in Sect. 2.5.4. The permittivity profile of this guide
is (2.5.24)
c = conf (1 _x5x 2 _ y2)
Y5
From this we find approximations for the required derivatives of In c which
are
(2.5.50)

Inserting this into the theorem (2.5.48) we obtain directly the result
2 1 2 1
L1fJTE = -2" L1fJTM = - 2 (2.5.51)
Yo Xo
which agrees with the ret>ults obtained by other methods [2.4,40,75]. For
the birefringence of the parabolic channel we get the estimate

fJi-E - fJi-M =~_ \ =

Xo Yo
(~)2
7rnr
(-; --;)
Wx Wy
(2.5.52)

68
2.5.7 The Effective-Index Method
Because of its immediate intuitive appeal, the effective index approach has
been used since the beginnings of integrated optics. It has helped in the
understanding' of structures such as guided-wave prisms, lenses and gratings.
It has been proposed for the approximate analysis of channel guides by
Knox and Toulios [2.64], and has produced results which were in close
agreement with more exact computer results as well as experimental results
for a considerable number of practical guide structures. This includes its
application to ridge guides [2.65], buried channel guides [2.66] and diffused
channel guides [2.66].
The effective-index approach starts with a birds-eye view of a planar
film guide, with the film in the y-z plane. The guide is viewed in the x-
direction. For a uniform planar guide, the viewer sees a uniform effective
index N independent of y and z. When small variations are introduced ei-
ther in the guide thickness or the refractive indices, the viewer will see an
effective index pattern N(y, z). When this pattern has the shape of a famil-
iar bulk optical component, analogy arguments are used to understand its
characteristics. For a channel guide the viewer sees the pattern reminiscent
of a planar film guide with the film in the x-z plane. This is used to predict
the modal fields and the propagation constant~ of the channel guide.
In the following, we discuss the application of the effective-index method
to step-index channel guides. For a detailed treatment of diffused channel
guides, the reader is referred to Hocker and Burns [2.66]. Our discussion
aims to provide broad applicability while it uses the rib-guide structure as
an illustrative example (and gives, in parenthesis, numerical results for the
specific case of >.. = 0.8/Lm, nf = 2.234, ns = 2.214, nc = 1, h = 1.8/Lm,
1 = l/Lm, W = 2/Lm, a rib guide made of Ti: LiNb03). The normalized
guide parameters N, V and b, introduced in Sect. 2.1, will be used through-
out to allow for easy scaling of the results. As shown in Fig. 2.28, we use
the subscripts f and 1 to distinguish between the parameters of the channel
and the lateral guides, respectively. The figure shows the cross section (x, y)
of the rib guide example together with the top view (z, y) of the channel
guide. From this view we see a channel of width wand effective index N f ,

Fig.2.28. Illustration of the effective-index

x
method showing the top view and the cross
~~~~~.,LY section of a rib guide
nf
h
69
and a lateral cladding of effective index Nr. The slab guide thickness h is
larger than the lateral guide thickness Z. Therefore Nr> Nr, which leads to
the confinement of light in the channel.
The effective-index method proceeds with the following four steps:

1) Determine the normalized thickness Vr and VI of the channel and

lateral guides

Vr = khJnl- n~ (2.5.53)

VI = kZJnl- n~ (2.5.54)

(For our numerical example we get Vr = 4.2, VI = 2.3).

2) Use available planar slab-guide results to determine the normalized
guide indices br and br of the two guides (Fig. 2.8 gives br = 0.65, br = 0.2 for
TE modes and asymmetry a = 00). Determine the corresponding effective
indices Nr and Nr from (2.1.17)
Nl,r = n; + br,r( nf - n;) (2.5.55)
(for our example: Nf = 2.227, Nr = 2.218).
3) The method tells us to regard the slab guide suggested by the top
view as equivalent to the actual channel guide. Determine the normalized
width Ve q of the equivalent slab guide

Veq = kwJN1- Nr = kwJ(nl- n~)(bf - br) (2.5.56)

Now, use available slab-guide results such as Fig. 2.8 to determine the nor-
malized guide index beq of the equivalent guide (Veq = 3.14, beq = 0.64 for
the example).
4) Determine the effective index Neq of the equivalent guide and pos-
tulate its equality to effective index N of the channel guide:
N == Neq = Nr + beq(Nl- Nr) (2.5.57)
This concludes the procedure, providing a result for the effective index N
and the propagation constant f3 = kN of the channel guide (N = 2.224 in
the example).
For purposes of easy comparisons and easy scaling it is often useful
to cast the results in terms of the normalized channel guide index (2.5.16)
which is given by
N 2 - n; N[ - n; + beq(Nl- Nr)
b= 2 = 2 2 (2.5.58)
n r - n s2 nr - ns
Table 2.4 presents formulas for the key parameters of the six channel
guide structures shown in Fig. 2.24 as derived by use of the effective index

70
 Table 2.4. Effective index parameters for channel guides

Channel Guide height Eff. index Channel guide index

structure Vr,v; Nr,N, Nl-Nl b

a) Vr = khJn; - n; N2r -- n s2 + br(nr2 - n s2)

General br(n; - n~) - b,(n1 - n~) brbeq + b,(1 - beq)ach
V, = khJn~ - n; N2, -- n s2 + b,(n 2, _ n s2)

b) Vr = khJn; - n; N2r -- n s2 + br(nr2 - n s2)

Buried br(n; - n~) brbeq
N,=ns

c) Vr = khJn; - n; N2r -- n s2 + br(nr2 _ n s2)

Raised (n~ - n~) + br(n; - n~) brbeq - (1 - beq)a
N, =nc

d) Vr = khJn; - n; N2r -- n s2 + br(nr2 - n s2)

Rib (br - b,)(n; - n~) brbeq + b,(1 - beq )
V, = klJn; - n; N2, -- n s2 + b,(nr2 _ n s2)

e) Vr = khJ~; - n; Nl = n~ + br(n; - n~)

Embedded b{(n; - n~) brbeq
N, =ns

f) Vr = khJn; - n; N2r -- 2
nsl + br( nr2 _ 2)
n s1
::t Ridge (1 - b,)(n~l - n~2) + br(n; - n~l) beq (1 + br· aridge) + b,(1- beq )
V, = klJn; - n; Nl = n~2 + b,(n~l - TI:~2)
method. Here h always refers to the height of the channel, and I to the
height of the lateral guide. The following comments refer to specifics in the
treatment of the six structures (Table 2.4).

a) General Channel. The asymmetry measure a of (2.1.19)

n2 _ n2
a - s c (2.5.59)
- n2 - n2
f S

is used for most structures to simplify the expressions and to determine the
b parameters from the normalized plots of Fig. 2.8.
A similar simplification results from the introduction of a channel mea-
sure ach defined as

(2.5.60)

Buried Heterostructure Guides. Buried heterostructures are frequently used

for semiconductor junction lasers (Chap. 5). A good model for this channel
guide is obtained by extending the height I of the lateral guide to infinity
(I --T 00). In this limit the formulas for the general channel guide parameters
simplify to
and (2.5.61)

(2.5.62)

b) Buried Channel Guide. In the absence of a guiding structure, the

effective index N[ of the lateral guide is set equal to the index of the bulk
material (N[ = ns).
c) Raised Strip Guide. The field shadow argument is used in the lat-
eral region: The substrate index is ignored and N[ is set equal to the bulk
index adjacent to the channel (N[ = nc).
d) Rib Guide. See main text.
e) Embedded Strip Guide. The field shadow argument is used in the
lateral region: The cover index is ignored and N[ is set equal to the bulk in-
dex adjacent to the channel (N[ = nc). With this approximation, the results
are similar to those obtained for the buried channel. The only exception is
the use of the asymmetry measure a in the determination of bf. This is re-
quired to take account of the effect to the cladding index nco
f) Ridge Guide. The derivation assumes that nf> nsl > n s2. The nor-
malized channel guide index is defined in terms of the refractive indices of
the lateral slab guide

72
 (2.5.63)

and simplicity is achieved by definition of the ridge measure

2 2
nf - nsl
aridge = 2 2 (2.5.64)
nsl - ns2

A second assumption is that the second substrate (ns2) is of negligible in-

fluence on the properties of the slab guide in the channel region. This as-
sumption is not essential: results for four-layer slab guides can be used for
better precision.

Numerical Comparisons for the Buried Channel

For the case of the buried channel, the numerical results of Goell shown
in Fig. 2.25, allow a direct check of the effective index method. Hocker and
Burns [2.66] have made such a comparison. 1 Figure 2.29 shows their results,

1.0

0.8
w/h=1
I
l----
E11~
~

~
-
0.6 V E12
~
l--
C\I
It
0.4
)~ ~
V
C
t,l'1
, 1 ~
~/

[7 ,
C\I 0.2
Z I ~
• o :~ I (a)
..c o 0.4 0.8 1.2 1.6 2.0 2.4 2.8 3.2 3.6 4.0
VI.". = Vf / .". = (2h/A) (nl- n,2)112
C\I
c
.. 1.0
I
w/h=2 L--- l - i.---

-
0.8
C\I
c
E11,
V
~
~
V Ii'"
~
J,...-- I -

17 ? ~E1&
~

...... 0.6 I?"

C\I
.. E2

V
c 0.4 Vol
j I ) . 'I
/II
0.2
!J'/
C\I

14' V
z
L.' I (b)
..c o
o 0.4 0.8 1.2 1.6 2.0 2.4 2.8 3.2 3.6 4.0
VI.". = Vf/.".= (2hlA) (nl- n,2)1/2
Fig.2.29a,b. Normalized dispersion curves for a buried channel guide comparing the
predictions ofthe numerical calculations (dot-dashed lines), of the effective index method
(solid lines), and of the field-shadow method (dashed lines). Comparisons are shown for
the aspect ratios of w/h 1 and w/h =
2. (After [2.66]) =
1 We are grateful to these author's for pointing out a misprint in their figures which
is corrected here.
73
modified for our purposes. The figure shows the normalized dispersion curves
b(V = Vr) for aspect ratios of w/h = 1 and w/h = 2 for the case of small
index differences. The solid curves show the prediction
b=bf·beq (2.5.65)

of the effective index method. The dot-dashed curves show Goell's data. As
a further comparison the figure shows also the prediction (2.5.36)
b = bz + by -1 (2.5.66)

of Marcatili's shadow field method depicted by the dashed curves. Data are
presented for the fundamental Ell mode as well as for the modes E12 and
E21 of the next higher order. The effective index method is seen to give
fairly good predictions even near cut-off. For larger aspect ratios we would
expect even better predictions because effects at the channel edges are then
of lesser importance.

2.6 Coupled-Mode Formalism and Periodic

Waveguides
Many phenomena occurring in physics or engineering can be viewed as
coupled-mode processes. Examples for this include the diffraction of x-rays
in crystals [2.67], the directional couplers of microwave technology [2.68,69],
the energy exchange between electron beams and slow-wave structures in
traveling-wave tubes [2.70,71], and the scattering oflight by acoustic waves
and by hologram gratings [2.72]. The coupled-mode formalism has also
proved a very powerful tool in integrated optics, where it has helped in
the understanding and analysis of a large variety of important phenomena
and devices. These range from the scattering loss due to waveguide irreg-
ularities and the behavior of grating couplers and corrugated waveguide
filters to distributed feedback lasers, electro-optic or magneto-optic TE-to-
TM mode converters and nonlinear optical interactions. Snyder [2.73] and
Marcuse [2.2] have developed a coupled-mode formalism applicable to a
large class of dielectric waveguides including channel guides and fibers, and
they have used·it in their analyses of optical fiber deformations. Yariv [2.74]
has given a summary of coupled-wave phenomena that occur in integrated
optics and presented a perturbation analysis of these for the TE modes in
planar waveguides. In the following subsections, we present the coupled-
mode formalism and its derivation in sufficient generality to provide the
basis for the treatment of the various coupled-wave phenomena of interest
and to permit its application to all practical waveguide structures including
channel guides and fibers. We will first consider the excitation of modes
by arbitrary sources in the guide, and then apply that formalism to wave-

74
guide deformations such as surface irregularities. This is followed by a listing
of the standard coupled-wave solutions both for co-directional and contra-
directional interactions, and finally we shall treat periodic waveguides and
present results for the specific example of a planar waveguide with periodic
surface corrugations.

2.6.1 Excitation of Waveguide Modes

We consider a distribution of sources exciting various waveguide modes and
represent these sources by the complex amplitude ~x,y,z) of the corre-
sponding induced polarization vector. In the presence of these sources, the
complex Maxwell's equations have the form
\7 X E= -jwJ.lH , (2.6.1)

\7 X H=jwE:E+jwP (2.6.2)
The following steps are now quite analogous to those used in the derivation
of the orthogonality relation in Sect. 2.2.5. We consider two different induced
polarizations PI and P 2 and the fields caused by them, and obtain
(2.6.3)
which is essentially the Lorentz reciprocity relation. Now we set P2 = 0
and identify the field 2 with a mode of the waveguide. As in Sect. 2.2.5, we
integrate over the guide cross-section, use the divergence theorem, and find

11
+=

-=
8
dx dy 8z (EI X H2 + E"2 X HI)z = -jw 11
+=
dx dy Pl· E2 . (2.6.4)
-=
The next step is to expand the transverse components of the field 1 in terms
of the modes of the guide according to (2.2.58,59)
EIt = :L) av + bv)Etv Hit = "L( av - bv)Htv (2.6.5)

where we use the L: notation of Sect. 2.2.6. It should be noted that the
coefficients av ( z) and bv ( z) have to be regarded as functions of z in the
present context. If we choose for the field 2 a forward running mode
(2.6.6)

insert these fields and the r.:!0de expansion into (2.6.4) and apply the or-
thogonality relation (2.2.51), we then find that the bv coefficients drop out
and we obtain

a~ + jf3ftaft = -jw 11
+=
dx dy p. EZ (2.6.7)
-=
where the prime indicates differentiation with respect to z. Similarly we get

75
 11
+(X)

b~ - j(3l-' bl-' = jw dx dy p. E~JL (2.6.8)

-(X)

if we identify the field 2 with a backward running mode

(2.6.9)

The above formulas hold only for propagating modes (real (3); for the evanes-
cent modes we have to use the orthogonality relation (2.2.63). It is usually
convenient to define the amplitudes AJL(z) and BI-'(z) of the forward and
backward propagating modes by
(2.6.10)

The change of these amplitudes due to the presence of sources can then be
expressed as

11
+(X)

A~ = -jw dx dy p. e;exp(j(3JLz) (2.6~11)

-(X)

11
+(X)

B~ = jw dx dy p. E~JLexp( -j(3I-'Z) (2.6.12)

-(X)

As expected, there is no change in amplitude when no sources are present.

It should be emphasized that the above relations are exact; no assumption
about the smallness of the perturbation caused by the sources has been
made.
The formalism allows for an arbitrary polarization ~x, y, z) which can
be brought about by a variety of physical effects. A standard example is a
scalar deformation of the waveguide which is represented by the difference
Llc:(x, y, z) of the actual dielectric constant from the nominal distribution
c:( x, y) and which results in an induced polarization
P= Llc:E (2.6.13)
proportional to the field E in the guide. We shall pursue this case in more
detail in the next subsection. To represent loss in the waveguide material,
we can use an imaginary-valued Llc:. Anisotropy in the guide materials can
be represented by a tensor perturbation leading to an induced polarization
with the components
(2.6.14)
where we have employed the standard tensor notation which assumes sum-
mation over repeated indices. The off-diagonal elements of LlC:ij can cause
TE-to-TM mode conversion which has been treated in terms of the coupled-
mode formalism by Yariv [2.74]' and Sosnowski and Boyd [2.76]. Electro-
optic (and other nonlinear optical) effects lead to a LlC:ij of the form

76
 (2.6.15)

where Xijk is the second-order nonlinear susceptibility and Ek a component

of the applied electric field [2.77].

2.6.2 Waveguide Deformations

In this subsection, we discuss in more detail the application of the coupled-
mode formalism to scalar waveguide deformations. These are represented by
the difference ..::1c:(x, y, z) in the dielectric constant and an induced polariza-
tion of the form given in (2.6.13). We stress again that, so far, the formalism
is exact, and we will make no approximations in this subsection. The reader
should pay attention to the particular way in which the z-components are
handled; this is necessary because only the tangential field components are
orthogonal and the mode expansion can be applied only to these compo-
nents. With (2.6.5,13) we have, therefore,
Pt = ..::1c:Et =..::1c: .L:(av + bv)Etv (2.6.16)
For Ez we obtain from (2.6.2)
jw(c: + ..::1c:)Ez = Vt X Ht (2.6.17)

which allows us to rewrite expressions for Pz in the following sequence

Pz = ..::1c:Ez
..::1c: 1
A :-Vt X Ht
c: + L.lC: JW
..::1c: 1
= c:+ ..::1:- C:Jw
.L:(av - bv)Vt X H tv

..::1c:. c:
= c:+ ..::1c: .L:(av - bv)Ezv (2.6.18)

where we have used the mode expansion (2.6.5) and the modal Maxwell
equation (2.2.16). We are now ready to insert the components of Pinto
(2.6.11 and 12) with the result

11
+00

A~ = - jw dx dy .L:[(av + bv )..::1c: E tv· E;Jl

-00

+ (av - bv ) ..::1c: ·AC: Ezv • E;Jl] exp(j,BJlz) (2.6.19)

c: + L.lC:

11
+00

B~ = jw dx dy .L: [( av + bv )..::1c:EtJl • E;Jl

-00

- (a v - bv ) ..::1e; E zv • E;Jl] exp( -j,BJlZ) (2.6.20)

c:+ c:

77
where we have used the symmetry relations (2.2.31) to express the mode
distribution E-J.L(x,y) in terms of the components of the field EJ.L(x,y) of
the corresponding forward running mode. To simplify these expressions,
we introduce tangential and longitudinal coupling coefficients KtJl(z) and
K~Jl(z) defined by

1f dx dy Llc:Etv' EtJl
+00

K~Jl = w (2.6.21)
-00

(2.6.22)

leading to real and positive quantities for positive .dc:. Using these coupling
coefficients and the mode amplitudes of (2.6.10) we can rearrange (2.6.19
and 20) in the final form
A~ = - j L: {Av(K~Jl + K;Jl)exp[ - j(,8v - ,8Jl)z]
+ Bv(K~J.L - K;Jl)expu(,8v + ,8Jl)z]} (2.6.23)

B~ = j L: {Av(K~Jl - K~Jl)exp[ - j(,8v + ,8Jl)z]

+ Bv(I{~Jl + K;Jl)exp[j(,8v - ,8Jl)z]} (2.6.24)

These two expressions form the basis for the solution of a number of coupled-
mode problems. They show the change in the amplitude of each mode (f-l)
as a function of the deformation .dc:, the modal field distribution, and of the
amplitudes of all other modes present in the guide. Depending on the partic-
ular problem at hand, one can usually make some simplifying assumptions
at this stage. A very common and usually good assmuption is that only
two guided modes are important and that all other modes can be neglected.
This leads to coupled-wave interactions with characteristics that are dis-
cussed further in the next subsection. Another common assumption is that
.dc:( x, y, z) is only a small perturbation of the dielectric constant c:( x, y) of
the waveguide. Often, this is also a good assumption, but there are config-
urations of interest where it is not justified. An example is the corrugated
glass waveguide used for filter devices where a corrugation of the glass-air
interface leads to a large .dc:. This is illustrated further in the discussion of
Sect. 2.6.4.
The expressions above point out a general difference between co-direc-
tional coupling (e.g., coupling between two forward modes AJ.L and Av)
and contra-directional coupling (e.g., between AJl and BJl) which occurs
in the presence of Ez components. As Kt and K Z have equal sign, the
factor (Kt + KZ) indicates stronger coupling for co-directional interactions
as compared to contra-directional interactions where we have the factor

78
(Kt - KZ). This happens because forward and backward modes have Ez
components of opposite sign and Et components of the same sign.

2.6.3 Coupled-Wave Solutions

In a large class of coupled-mode interactions of interest, there are only

two guided modes that possess sufficient phase synchronism to allow a sig-
nificant interchange of energy. One can then neglect all other modes and
obtain simple coupled-wave equations that describe the interaction. These
equations follow from (2.6.11 and 12) for the general case addressed by this
subsection, and, from (2.6.23 and 24) for the case of waveguide deformations
which we use as an illustration. The solutions to the coupled-wave equations
are well known and have been derived in several ways in the literature cited
above. We give here only a brief listing of results. We have to distinguish be-
tween two different types, co-directional interactions and contra-directional
interactions. Co-directional interactions occur between two forward (or two
backward) propagating modes, and contra-directional interactions occur be-
tween a forward and a backward running mode. To be more precise, it is the
relative direction of the group velocities of the modes that is considered here.
We deal with co-directional interactions first and, referring to (2.6.23),
call the amplitudes of the two significant waves A(= AI') and B(= Av). We
find that changes in these amplitudes are generally described by differential
equations of the form
A' = -jI\:Bexp(-2j8z) (2.6.25)
B' = -jl\:A exp(2j8z) (2.6.26)

where I\: is the coupling coefficient which, in the simple case considered here,
is real and uniform (i.e., independent of z), and 8 is a normalized frequency
which measures the deviation from synchronism (for which one has 8 = 0).
In the next subsection, these two parameters are derived explicitly for the
example of a corrugated waveguide. By means of the simple substitution
A = Rexp(-j8z) B = Sexp(j8z) (2.6.27)

we can transform the above into coupled-wave equations of the form

R' - j8R = -jl\:S (2.6.28)

S' + j8S = -jl\:R (2.6.29)

For the boundary conditions R(O) = 1, S(O) o the solutions of the

coupled-wave equations are

S(z) = -jl\:sin(z· J 1\:2 + 82 )jJ1\:2 + 82 (2.6.30)

R( z) = cos( z • J 1\:2 + 82 ) + j8 sine z • J 1\:2 + 82 ) j J 1\:2 + 82 (2.6.31)

79
For the case of synchronims (5 = 0), this predicts a sinusoidal interchange
of energy between Rand 8,
8(z) = -j sin(lI:z) R(z) = cos(lI:z) (2.6.32)

A TE-to-TM mode converter or a directional coupler are examples for this

type of interaction.
Next we consider contra-directional interactions with a forward wave
of amplitude A( = AIL) and a backward wave of amplitude B( = B IL ). For
these, one finds differential equations of the form, see (2.6.23 and 24),
A' = -jIl:Bexp(2j5z) (2.6.33)
B' =jIl:Aexp(-2j5z) (2.6.34)
The substitution
A = Rexp(j5z) B = 8exp( -j5z) (2.6.35)
transforms these into the coupled-wave equations
R' + j5R = -j1l:8 , (2.6.36)
8' - j58 = jll:R . (2.6.37)

For this contra-directional interaction, we have to prescribe the boundary

condition for the forward wave R at the beginning z = 0 of the interaction
region and for the backward wave 8 at the end z = L. With R(O) = 1 and
8( L) = 0, we obtain the solutions

8(0) = -jll:/[ v'1I: 2 - 52 coth(L. v'1I: 2 - 52) + j5] (2.6.38)

R( L) = v'1I: 2 - 52/ [v'1I: 2 - 52 cosh( L • v'1I: 2 - 52)

+ j5 sinh(Lv'1I: 2 - 52)] (2.6.39)
For the example of a corrugated waveguide filter, 8(0) represents the am-
plitude of the light reflected as a function of frequency 5, and R(L) is the
amplitude of the transmitted light. For synchronism (which corresponds to
the center frequency of the filter or 5 = 0), the above formulae simplify to
8(0) = -j tanh(II:L) R(L) = l/cosh(II:L) (2.6.40)

An illustrative experimental result is given in Fig. 2.30 which is taken from

[2.78] by Flanders et al. It shows the wavelength dependence of the reflec-
tivity 18(0)1 2 of a corrugated waveguide filter as measured with a tunable
dye laser (solid curve), and predicted by (2.6.38) (dashed curve).
In the distributed feedback structures considered for lasers, we also
have a contra-directional coupled-wave inter.action, but with some differ-
ences compared to the case considered above. First, there is laser gain

80
 80 Fig, 2.30. Wavelength response of a
FILM CORRUGATIO"GRATING
corrugated waveguide filter. (After
70

I
('~
I I
I SUBSTRATE
[2.78])

60 I I
I ,
I ,
I ,
~ 50
II
I ,
,,
~
:>
40
I ,
~ I ,
Id I I
...J
"- I I
1&1 I I
a: 30 I ,
I ,
: I
20 : I
I
I
I
10 I
,'\ I
, \1 I
, \ I
0
4 2 0 • 2 4
WAVELENGTH (A)

present in the waveguide, and second there is no incident wave, which is

represented by the boundary conditions R(O) = 0 and S(L) = O. For a de-
tailed discussion of this interaction, we refer to Kogelnik and Shank [2.79].

2.6.4 Periodic Waveguides

Periodic waveguides are guides with a deformation L1c(x,y,z) that is pe-
riodic in z. These guides are used for a variety of purposes including the
construction of filters, grating couplers, and distributed feedback lases, and
for the purpose of mode matching. The physical process that occurs in such
a guide is the scattering of light by the periodic structure, which is similar to
the light scattering by a diffraction grating. It can be viewed and analyzed
as a coupled-mode process. We have already developed above the tools nec-
essary for this analysis and their application is rather straightforward. First,
we have to identify two modes which are at least approximately synchronous
for a given optical frequency; to these we can apply the coupled-wave solu-
tions given above. What remains to be done is the explicit evaluation of the
parameters K and 6, which we can do with the help of (2.6.21-24).
As an example, we will treat here the case of a corrugated planar slab
waveguide, which has been used in experiments with filters and distributed
feedback lasers. Figure 2.31 shows a sketch of such a corrugated guide with
a periodically varying film thickness
h(z) = ho + Llhcos(Kz) (2.6.41)

where K is a grating constant related to the corrugation period A by

K = 27r/A . (2.6.42)
81
 )(

z
Fig. 2.31. Side view of a corrugated slab waveguide. Here ho is the average film thickness,
Ll.h the amplitude of the corrugation, and A the period

Effective Index Method

Befor using the rigorous coupled-wave formalism, we will first sketch the
derivation of the coupling coefficients of corrugated waveguides by means of
the effective-index method [2.82]' which we have used in Sect. 2.5 to analyse
channel waveguides. If viewed from above (along the x axis), the corrugated
slab guide is seen as having an effective index N(z) which varies as
N(z) = N + i1N COS(KZ) (2.6.43)
in the z-direction. In this view, the corrugated guide looks like the cross
section of a holographic Bragg grating. From the theory of these gratings
[2.72], we know that the coupling coefficient describing the strength of the
Bragg diffraction is given by
'Fr
= -.i1N (2.6.44)
K
.x
By analogy we apply this to the corrugated waveguide, where the effective-
index variation is caused by the variation in film thickness, and get
'FrdN
K= --i1h (2.6.45)
.x dh
The quantity dN / dh can be derived from the dispersion relation of the
guide.
For TE modes we start from the normalized dispersion relation (2.1.20)
and find after differentiating that
dh
2(1 - b) db = heff , (2.6.46)

where heff is the effective guide thickness defined in (2.1.33) and b is the
normalized guide index as explained in Sect. 2.1. We use this result to rewrite
dN / dh as follows
dN dN db (ni- n;)(l - b)
(2.6.47)
dh = db . dh = N heff

82
With this, we can express the coupling coefficient as
7r .dh n; - N2
KTE= - - (2.6.48)
.A heff N
Similar manipulations yield an expression for the coupling coefficient
of the TM modes, i.e.
7r .dh n; - N 2
KTM =- - p (2.6.49)
.A heff N
where p is a reduction factor defined by
(N /nf? -- (N /ne)2 + 1
(2.6.50)
p = (N /nf)2 + (N /ne)2 - 1

Coupled-Mode Formalism
To derive the same coupling coefficients with the more general coupled-mode
formalism, we consider the perturbations caused by the corrugation of the
guide and use the modal fields of the slab guide tabulated in Sect. 2.3.
In terms of the refractive indices nf and ne of film and cover, the cor-
rugation produces a perturbation .de: which can be written as
.de: = e:o(n; - n~) for h(z) > ho
.de: = -Eo(n; - n~) for h(z) < ho (2.6.51)

We insert this into (2.6.21 and 22) to determine the coupling coefficients,
restricting the discussion to "backward" scattering from a forward propa-
gating mode (j-t) to a backward propagating mode of the same mode number
( -j-t).
For TE modes we get K~,_jt = 0, and

11 11
+00 +00

K!,-Jl =W dx .dEE; ~ E; dx.dE

-00 -00

(2.6.52)

where we have assumed that .dh is small enough so that we can replace
Ey( x) by the constant field value Ee assumed by the mode at the film-
cladding interface. The relation of K!,_Il(z) to the coupling coefficient K of
the coupled-wave equations is also indicated. From (2.3.11,12) we can get
the normalized value of E e , and determine Kagain as
.dh n; - N 2
7r
K =- - (2.6.53)
.x heff N
where N is the effective index and heff the effective guide thickness as used

83
 10- 1

If =1
K

10-2

.1 .2 .3 .4 .5 .6 .7 .8 .9 1.0 1.1. 1.2

WAVEGUIDE THICKNESS ',MICRONS)
Fig. 2.32. Normalized coupling coefficient K: =
AK/(21rilh) as a function of waveguide
thickness for a GaAlAs waveguide with nf = 3.59, ns = 3.414 and nc = 1 (solid curves)
and nc = 3.294 (dashed cruves) respectively for the three lowest mode orders. (After
[2.80])

before. This can be shown to agree with the formula given by Marcuse [2.2]
who also gives results for coupling between modes of unequal mode number.
One remarkable thing about this formula is that neither of the subscripts c
or s for cladding or substrate appear. This indicates that we get exactly the
same coupling coefficient K when the corrugation is made on the substrate-
film interface instead of the film-cover interface. The reason for this may be
found in (2.3.11) which indicates that a smaller value of (n; - n;) is exactly
balanced by a larger value of the field strength Es at the film-substrate
interface.
Figure 2.32, taken from Shank et al. [2.80]' shows the dependence of K
on film thickness h for the example of a GaAIAs waveguide with nf = 3.59,
ns = 3.414 and nc = 1 (solid curves) and nc = 3.294 (dashed curves). The
normalized quantity K: = >'K/(27rL1h) is used as the ordinate. We note that
the K of each mode assumes a maximum value fairly close to cut-off.
To determine the normalized frequency 8, we compare the exponentials
in (2.6.23 and 33) and find
28 = 2f3/J - K (2.6.54)
The scattering is largest at the center frequency where 8 = 0, which corre-
sponds to a center wavelength >'0 and a propagation constant 130 = 27r / >'0
given by the Bragg condition
K = 2130 >'0 = 2NA (2.6.55)
84
Referring to these quantities, we can rewrite 8 in the form
df3
8 = f3J.L - f30 = L1f3 ~ dwL1w = L1w/Vg (2.6.56)

where Llw is the radian frequency deviation from the center frequency, and
Vg is the group velocity of (2.2.80).
For the TM modes there are difficulties which arise in the application
of the coupled-mode formalism to our particular example of a corrugated
waveguide2 • The root of the problem is thought to be a violation of the
boundary conditions of the perturbed guide. This problem has been dis-
cussed in greater detail in [2.83-85].
In addition to these references, the literature contains discussions of
several alternate methods for the analysis of corrugated guides. Examples
are the treatment of a variety of grating profiles in [2.86], the treatment
of gratings of rectangular tooth shape [2.87], the application of Rouard's
method [2.88]' and the analysis of corrugated multi-layer guides [2.89-92].

2.6.5 TE-to-TM Mode Conversion

We have mentioned before that the conversion from TE-to-TM mod~s can
be regarded as another case of a coupled-wave interaction [2.74, 76]. In this
final subsection, we sketch briefly, how this mode conversion is treated with
the coupled-mode formalism presented in this section. We consider TE--to-
TM mode conversion due to a tensor perturbation L1eij (x) of the form

(2.6.57)

This can be caused, for example, by application of a dc electric field to a

planar electro-optic waveguide. Only two modes are assumed present in the
guide, a TE mode with a field distribution EE( x) and a TM mode with the
field EM(Z), The corresponding propagation constants are f3E and f3M, and
the complex amplitudes are AE(Z) and AM(Z), We write for the transverse
component Et(x, z) of the total field in the guide
(2.6.58)

Only the TM mode contributes to the longitudinal component E z , which,

in analogy to (2.6.18), is written as

Ez = eLl AMEMzexp( -jf3MZ) ~ AMEMzexp( -jf3MZ) . (2.6.59)

e+ e3

2 The author is indebted to D.G. Hall for illuminating discussions on this issue.

85
With this, we can use (2.6.14) to calculate the induced polarization and ob-
tain, after insertion into (2.6.11), for the changes of the complex amplitudes

J
+00

AE = -jw dx EEi L1€ijEjexp(jf3Ez) (2.6.60)

-00

J
+00

AM = -jw dx E Mi L1€ijEjexp(jf3Mz) (2.6.61)

-00

If we combine this with (2.6.57-59), we can write these equations in

the form
AE = -jL1f3EAE - jll:AMexp[ - j(f3M - f3E)] (2.6.62)

AM = -jL1f3MAM - jIl:AEexPu(f3M - f3E)] (2.6.63)

where we have defined the coupling constant as

J J
-00 +00

II: = w dx 17 E M;z;Ei; = w dx 17 E M;z;EEy (2.6.64)

+00 -00

and the induced changes in the propagation constant as

J
+00

L1f3E =w dx L1€2 E Ey E Ey (2.6.65)

-00

J
+00

L1f3M =w dX(L1€lEM;z;E M;z; + L1€a E Mz E MJ (2.6.66)

-00

It is easy to see that (2.6.62 and 63) can be transformed into the standard
form (2.6.28 and 29) of the coupled-wave equations by using (2.6.27) and a
normalized frequency deviation 8 of the form
(2.6.67)

which, again, indicates the degree of deviation from synchronism. The mode
conversion problem is nGw cast in a form that allows us to apply directly
the coupled-wave solutions of Sect. 2.6.3. The overlap integrals of (2.6.64-
66) have to be evaluated for each specific case; examples have been given
by Yariv [2.74]' and Sosnowski and Boyd [2.76J.

86
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88