ELEC6063 Optoelectronics and

Lightwave Technology

Part 1: Waveguide and Fiber - 1

波导和光纤

Instructor: Wallace C.H. CHOY

Rm 721, CYC Building, Phone: 3917-8485, [email protected]

ELEC 6063
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Department of Electrical & Electronic Engineering, HKU
What are waveguide and fiber? 全内反射限制了光线

Single-mode fiber
Total internal
单模光纤 n2 reflection
confines light
缓冲区

覆层
n1 Core
n2
n1 n2 Cladding
n1, n2 are the refractive indices of core and cladding materials
n1, n2是核心和包层材料的折射率。
通过仔细调整（1）设备结构的物理尺寸，如核心和包层，以及（2）结构中使用的材料的折
射率，可以生产出称为波导的设备。正如波导这个名字所暗示的那样，这些装置被设计成使
电磁场和能量被限制在空间的一个狭窄区域内，并沿通道被引导。光纤也是一种波导。
By carefully tailoring (1) the physical dimension of the
device structure, e.g. core and cladding layer, and (2)
refractive indices of materials used in the structure,
devices known as waveguides can be produced. As the
name waveguide implies, these devices are designed so
that the electromagnetic field and energy are confined to a
narrow region in space and is guided along a channel.
Optical fiber is also a waveguide.
 How to study the waveguide?
• Ray Optics (more intuitive and easily calculated)
– Total internal reflection of rays
– Can only tell the range of angle that the particular
light can be guided in the fiber and no information
about each of supporting modes. 射线光学（更直观，更容易计算）。
- 射线的全内反射

critical  arcsin  nclad / ncore 

- 只能说明特定光线在光纤中可以被引导的角度范围，
而没有关于每个支持模式的信息。

• Waveguide model
– More complex and more accurate 波导模型
- 更复杂、更准确
– Derived from electromagnetic theory -- 源于电磁理论
预测横向模式*。
- 需要设计复杂的波导和光纤
– Predicts transverse modes*
– Needed to design sophisticated waveguides &
fibers
* The electric field profiles, waveguide modes, propagation constant and effective index (important waveguiding
parameters) for justifying and design the dimension of sophisticated fibers

Ray Optics: no information about the about waveguiding parameters. 3

电场剖面、波导模式、传播常数和有效指数（重要的波导参数），用于证明和设计复杂光纤的尺寸。
Ray Optics：没有关于波导参数的信息。
Example of Ray Optics (video in lecture)

透镜和光栅 第2个镜头 放大的衍射图像

第二个镜头的后焦平面

光栅的衍射图案 光栅的缩小图像
 Ray Optics
Cladding
Normal
(low-index)
Refracted light
Input light
Reflected ray
Total internal
c reflection

Core (high index)

From total internal reflection (TIR), as long as the angle is greater than the critical
angle, the light will guide in the fiber, but the guided light at various angles is a
combination of guiding modes (not representing individual guiding mode) which must
be found by solving the wave equation derived from Maxwell’s Equations.
从全内反射（TIR）来看，只要角度大于临界角，光就会在光纤中导引，但不同角度的导引光是导引模式的组合
（不代表单个导引模式），必须通过求解麦克斯韦方程得出的wave方程才能找到。
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 Ray Optics: Waveguides
• Snell’s law Asymmetric waveguide.
n0 sin  i  n1 sin  r 不对称波导。

• Critical angle
临界角

sin  c  n2 / n1
• Numerical Aperture (NA), for
symmetric waveguide,
数值孔径（NA），用于对称波导。
n1  n2
NA  n1 cos  c  n12  n22  n1 2 ,  
n1
Larger NA means the fiber can
collect more light. n1-n2 increases,
more guiding modes. n1 and n2 are the
refractive index of core and cladding
layers respectively.
较大的NA意味着光纤可以收集更多的光。n1-n2增加，有更多
的导引模式。n1和n2分别是芯层和包层的折射率

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 Acceptance angle
接受角度

Whole Acceptance angle 2

(Light here is guided in fiber) 封闭角 (conf )
整体接受角度 2
(这里的光是在纤维中引导的)
Confinement angle (conf )

deg-conf
Core

Cladding

Half Acceptance angle  NA=sin=ncore sinconf

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Ray Optics– Planar Waveguide
Ray Optics-平面波导

Let us now consider an asymmetric slab waveguide

as shown in Fig. 6 which is produced by placing a film of
refractive index nrf = nr1 between a substrate of index nrs =
nr3 and a cover or cladding material of index nrc = nr2. Let
us assume that we have the relation
nr1 > nr3 > nr2
As a result of the above relation we see that the
critical angle for the film-substrate interface, is larger than
the critical angle c for the film-cover interface. As the
angle  is changed, we have three distinct possibilities as
shown in Fig. 6:
现在让我们考虑一个非对称板状波导，如图6所示，它是通过将折射率为nrf=nr1的薄膜置于折射率为
nrs=nr3的衬底和折射率为nrc=nr2的覆盖或包层材料之间而产生的。让我们假设我们有这样的关系
nr1 > nr3 > nr2
作为上述关系的结果，我们看到，薄膜-基材界面的临界角，比薄膜-覆盖物界面的临界角c。随着角度 的
改变，我们有三种不同的可能性，如图6所示。

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 Figure 6. A simplified
zig-zag description of light
propagation in an
asymmetric planar
waveguide, (a) The radiation
mode, (b) the substrate
radiation mode, and (c) the
guided mode.
图6. 不对称平面波导中光传播的简化人字形描述，
（a）辐射模式，
（b）衬底辐射模式
（c）引导模式

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Ray Optics: Planar Waveguides
• For small angles of incidence, < s , and c , light can
escape from the waveguide as shown in Fig. 6a. In this
case the wave mode is called the radiation mode.
• For somewhat larger  so that c <  < s , the radiation is
totally reflected from the film-cover interface and escapes
into the structure as shown in Fig. 6b. Such modes are
called substrate radiation modes.
• Finally we have the case where s , c <  , i.e., total
reflection occurs at both interfaces and the radiation is
confined in the guide. Such cases correspond to guided
modes of propagation. One uses waveguides for their
ability to sustain the guided modes.
对于小的入射角，θ<θs，和θc，光可以从波导中逃脱，如图6a所示。在这种情况下，波模式
被称为辐射模式。
对于稍大的θ，使θc<θ<θs，辐射完全从膜-盖界面反射，并逃到结构中，如图6b所示。这种
模式被称为基底辐射模式
最后，我们有一种情况，即θs, θc<θ，即在两个界面都发生全反射，辐射被限制在导引器内
。这种情况对应于导引模式的传播。人们使用波导是为了维持引导模式的能力。
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 Maxwell Equations
The properties of electromagnetic fields in a medium are described
by the four Maxwell equations. These equations represent the
behavior of the electric (E) and magnetic (B) fields in materials which
are represented by the dielectric constant , permeability (we will
assume that the permeability  = 0 in studying light propagation),
electrical conductivity, etc. We start with the four Maxwell equations
麦克斯韦方程
B 介质中电磁场的特性由四个麦克斯韦方程描述。这些方程
Faraday’s law   E  0 代表了电场（E）和磁场（B）在材料中的行为，这些材料
法拉第定律
t 由介电常数、磁导率（在研究光的传播时，我们将假设磁
导率μ=μ0）、电导率等表示。我们从四个麦克斯韦方程
开始
D
Ampere’s law   H  J
安培定律
t
Gauss law for electric field
电场的高斯定律 D  
Gauss law for magnetic field
磁场的高斯定律
B  0
where E and H are the electric and magnetic fields, D = E, B = H, J, and 
are the current and charge densities respectively.
Dielectric constant  is material dependent. For example, fiber can be made
from silica and polymer.  of silica is different from polymer. We will need to
take into account  in studying the waveguide properties.
Note: refractive index and  can be related to each other by equations and used
to describe each other.
其中E和H是电场和磁场，D=εE，B=μH，J和ρ分别是电流和电荷密度。
介电常数ε与材料有关。例如，纤维可以由二氧化硅和聚合物制成。硅石的ε与聚合物不同。在研究波导特性时，我们需要考虑到ε。
注意：折射率和ε可以通过方程相互联系，用来描述对方。
 板状波导的基本波导方程
BASIC WAVEGUIDE EQUATIONS FOR A SLAB WAVEGUIDE
Generally, for a waveguide, J=0 and  =0, B H
(23)  E    
t t z
Maxwell's Equations – D E
(24)  H  
一般来说，对于波导，J=0，ρ=0、
t t k
麦克斯韦方程 -

Assume the guiding structure is along +z direction and the dielectric material

has variation in x, y direction only, thus we can postulate our field solution as
假设导引结构是沿+z方向，而电介质材料只在x，y方向有变化，因此我们可以假设我们的场解为 : propagation constant

Now,

 H z H y   H x H z   H y H x 
   
 y  z  xˆ   z  x  yˆ   x  y  zˆ
   
(27)
E E y E
Thus, the Maxwell Eqns can be written as:   x xˆ   yˆ   z zˆ
t t t
因此，麦克斯韦方程可以被写成

 E z E y   E x E z   E y E x 
   xˆ      
 y    z 


ˆ
y  x  y  zˆ
(28)  z  x  
H x H y H z
  xˆ   yˆ   zˆ
t t t

Applying (25), (26) to individual term in (27) & (28), derivative w.r.t. time t and z are given by
将（25）、（26）应用于（27）和（28）中的各个条款，相对于时间t和z的导数由以下公式给出

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 我们从（27）和（28）得到。
we have obtained from (27) and (28).
H z H z
(29)  jH y  jE x (30)  j H x   jE y
y x
H y H x Ez
(31)   jE z (32)  j  E y   j H x
x y y
E z E y Ex
(33) j  Ex   j H y (34)    j H z
x x y

用Ez & Hz表示Ex, Ey, Hx, Hy

Expressing Ex, Ey, Hx, Hy in terms of Ez & Hz
j  H z E  j  E z H z 
(35) Ex       z  (36) Ey   
2 
  
2  y x    y x  z
j  H z E  j  H z E  k
(37) Hx      z  (38) Hy      z  
2 2
  x y    y x 

为什么只带 将(37)、(38)代入(31)，我们得到了波浪方程、
入31和34？ Substitute (37), (38) into (31), we have the wave equation, : propagation constant
 2 Ez  2 Ez
(39)    2 E z  0  T2 E z   2 E z  0 1  H z  1 E
2 2
x y  Ex    j  H y , H y  ( j E x  z )
将(35)、(36)代入(34)，我们可以得到波浪方程   y  j x
Substitute (35), (36) into (34), we have the wave Equation 1  H z 1 E 
2H z 2H z  Ex    j  ( jE x  z ) 
(40)    2 H z  0  T2 H z   2 H z  0   y j x 
2 2
x y
(k    ,  k   )
2 2 2 2 2

k2   2 j H z E
 E x   2 (  z)
k 2
k y x
j H z E 13
 E x   2 (  z)
 y x
 介质板式波导
板状波导可以通过求解麦克斯韦方程来分析，但要符合边界条件。结果表明
角度必须不低于角度c，导引模式取决于n1、n2、d和λ。对于角度c和90o
DIELECTRIC SLAB WAVEGUIDE 之间的任何角度，光将通过离散模式的组合传播（在模式图中详细讨论）。
The slab waveguide can be analyzed by solving Maxwell's equations subject to the boundary
conditions. Results show that  must be not less than c and the guiding modes depend on n1, n2,
d, and λ. For any angle between c and 90o, the light will propagate through the combination of
the discrete modes (discussed in detail in Mode Chart).
In this part, we
- will solve for the allowable modes using Maxwell's eqn. and the boundary conditions.
- assume no variation along y or /y=0, 在这一部分，我们
- waves travel in z direction - 将使用麦克斯韦方程和边界条件来求解允许的模式。
- 假设没有沿y方向的变化或？/？y=0、
- Solutions divided into even and odd TE and TM modes - 波沿z方向传播
- 解决方案分为偶数和奇数TE和TM模式
TE : Ez=0 Hz ≠ 0 TM:Ez ≠ 0, Hz = 0 TE：Ez=0 Hz≠0
TM：Ez≠0，Hz=0
从（35）-（38），应用？/？y=0条件，我们有
From (35) - (38) , applying the /y=0 condition, we have

For TE modes : Ez = 0 Hz  0  Ey, Hx, Hz exist 14

TM modes : Ez  0 Hz = 0  Ez, Hx, Hy exist
TE MODES
Now, consider the general wave equation
(52) 2 E  k 2 E  0 k2 = 2o = ko2ni2
 2 Ey  2Ey  2 Ey
2  2  2  k Ey  0
2
or
x y z
0
Assuming have propagates in +z direction, or the field has e  jz dependence,
 2Ey
we have (i.e. Ey(x,z) = Ey(x)e-jz ,   2 E y  0)
z 2

 Ey
2

(53)   2Ey  0
x 2

(54) 2 = k2 - 2 = 2o - 2
Once solving for Ey, we can obtain Hx, Hz from (32), (34).

(55) Hx  Ey
o
 j  Ey
(56) Hz 
o  x

General solution of 53. It’s a second-order homogeneous linear differential

equations with constant coefficients. Inside the slab(2>0) is
(57) Ey1 = A cosx + B sinx x d
(58)  = k2 - 2 = 2o1 - 2 = n12ko2 - 2

The field in the cladding(2<0) is an evanescent field

 ( x d )
(59) E y 2  Ce x d
Substitute this into 53., requires 15
(60) 2 = -2 = 2 - k2 = 2 - 2o2 = 2 - n22ko2
Consider even and odd modes separately, and equate the tangential fields
(E & H) at the boundary,

EVEN TE (Eqn 29 - 34)

(61) Ey1 = A cosx x d Even TE

 j
(62) Hx1 = A cos x x d
o
 j
(63) Hz1 = A sin x x d
 o
 ( x  d )
(64) Ey2 = Ce x d
  ( x  d )
(65) Hx2 =  Ce x d
o

j   x   ( x  d )
(66) Hz2 =   x Ce x d
o  
  
n  ( E1  E2 )  0
At x = d, according to the BCs of dielectrics,    we have
n  ( H1  H 2 )  0

Ey1 = Ey2  A cosd = C

 j j   d 
Hz1 = Hz2  A sin d  C  
o o  d 
j   d 
 A cos d  
o  d 

sin d 
(67)  tan d  (Characteristic Equation)
cosd 
(68)  =  - n2 ko
2 2 2 2

(69) 2 = n12ko2 - 2

Similarly, for odd TE modes, we obtain the characteristic equation as


16
(70) tan d 

The values of ,  for different modes can be obtained by numerically
solving (67) - (70), or graphically as follows : (GIVEN d, n1, n2, )

Rewriting (68) and (69) as

(71) 2d2 + 2d2 =(n12 - n22)ko2d2

If we let x = d
y = d
R  n1 2  n2 2 k o d

We have, (71) as

(72) x2 + y2 = R2

and (67) and (70) can be written as

(73) d = d tand OR y = x tanx (even mode)

(74) d = -d cotd OR y = -x cotx (odd mode)

Equations (72) - (74) can plotted on x - y plane to obtain  and 

Intersections of circle (72), and y = x tanx (73) gives even TE modes

Intersections of circle with y = -xcotx (74) gives odd TE modes
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The number of propagating modes is proportional to R
R  n1 2  n2 2 k o d

For R 
2 , only one mode Teo can propagate
i.e. for very thin slab  single mode operation

Cutoff condition
Cutoff occurs when the field in the cladding ceases to be evanescent, or  =
0
From 68., this implies (2 = 2 - n22ko2)
2 = n22ko2

At cutoff,
C = n2ko = n1kosinC
n2
OR sin  C  CRITICAL ANGLE
n1

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 From the wave equation, number of propagation modes (M) is
2 2
4d n1  n2
M  1 (Slab planar waveguide)

By increase the value of d, the number of modes will increases.
i.e. n(=n1-n2), M  and d, M
Each of the mode has a unit propagation constant () but their |k|
are the same. For example, consider a slab waveguide supports
4 modes, then z
n2 n1 n2

z n2 ki i=1…4
k
2d  n1

n2
2d
|k1|= |k2|= |k3|= |k4|
x
|1|> |2|> |3|> |4|

19
Mode Chart
For a wave sin(t - z) propagating in the +z direction of a waveguide, its
velocity is 对于在波导+z方向传播的波sin(t - z)，其速度为



Definition of refractive index is 折射率的定义是
free space velocity c
n= 
velocity in medium v
 can defined effective refractive index as 可以定义有效折射率为
c 
neff =   k ncladding  /ko  ncore
 o

For the symmetric slab waveguide, total internal reflection occurs for 对于对称板状波导，全内反射发生在
n2
sin 1  C    90 o
n1
Now,
 n
neff   1  n1 sin 
ko k
For axial rays,  = 90o  neff = n1
For rays,  = c  neff = n2
Thus n2  neff  n1

For TE mode, Eq. (67-69), we have

N  2  n2 2 ko 2
(80) d   tan 1
2 
n12 sin 2   n2 2    ko n1 sin  
 tan 1
 
n1 cos    ko n1 cos  
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 2
Also, since ko  , we can write

2
d  dn1 cos 

2d d
(81) Or 
  n1 cos 
Numerical example to plot mode chart :
n1 = 3.6 n2 = 3.55 (Al Ga As material)
n
 c  sin 1 2  80.4o
n1
and 3.55  neff  3.6

Consider TEo mode, N = 0 in (80)., :

 neff tand d n1cos 2d


80.4 3.550 0 0 1.879 0
84.0 3.580 1.235 0.89 1.182 0.753
88.0 3.598 4.653 1.359 0.395 3.441
90 3.6   0 
2

neff=n1sin tand=[(neff2-n22)/(n12-neff2)]0.5
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