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Design and characterisation of high-speed monolithic silicon modulators for

digital coherent communication

Article in Proceedings of SPIE - The International Society for Optical Engineering · February 2015
DOI: 10.1117/12.2078080

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Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

Design and characterisation of high-speed monolithic silicon

modulators for digital coherent communication
Kensuke Ogawa*a, Kazuhiro Goi, Akira Oka a, Yasuhiro Mashiko a, Tsung-Yang Liowb, Xiaoguang
Tub, Guo-Qiang Lob, Dim-Lee Kwongb, Soon Thor Limc, Min Jie Sund, and Ching Eng Pngc
a
Optics and Electronics Laboratory, Fujikura Ltd., 1440 Mutsuzaki, Sakura, Chiba, 285-8550, Japan;
b
Institute of Microelectronics, 11 Science Park Road, Singapore Science Park II, 117685, Singapore;
c
Institute of High-Performance Computing, 1 Fusionopolis Way, #16-16 Connexis, 138632,
Singapore; dOptic2Connect Pte. Ltd., 71 Ayer Rajah Crescent, #03-17, 139951, Singapore

ABSTRACT

Latest computational and experimental studies on high-speed monolithic silicon-based Mach-Zehnder optical modulators
are studied in the light of photonic integrated circuits for digital coherent communication at a bit rate as fast as 128 Gb/s
per wavelength channel. Lateral PN-junction rib-waveguide phase shifters are elaborated with experimental
characteristics of DC phase shifter response in comparison with computational characteristics. High-speed response in
refractive-index dynamics including electron and hole transport in the PN junction is simulated to study speed limit of
the phase shifters. The performance in quadrature phase-shift keying signal generation is characterized in experimental
and computational constellation diagrams. Silicon waveguides for polarization-division multiplexing are designed in
common design rules with the rib-waveguide phase shifters. Long-haul transmission in polarization-multiplexed
quadrature phase-shift keying in 1000-km single-mode fiber link is confirmed with a monolithic silicon Mach-Zehnder
modulator assembled with modulator drivers in a ceramic-based metal package.
Keywords: optical modulator, phase modulation, polarization, silicon waveguide, photonic integrated circuit, Mach-
Zehnder interferometer, silicon photonics

1. INTRODUCTION
With the advent of high-speed photonics and electronics, optical signal transmission at 128 Gb/s per wavelength channel
has been realized in digital coherent communication in optical transport networks.1-4 Dual-polarization quadrature phase-
shift keying (DP-QPSK) has been exploited as the major modulation format in the digital coherent communication.
High-quality optical signal generation in DP-QPSK format requires complex optical modulators consisting of nested
Mach-Zehnder (MZ) waveguides for in-phase (I) and quadrature-phase (Q) modulation and passive optical circuits for
polarization-division multiplexing (PDM). MZ modulators optical are capable of high-contrast optical modulation
without signal deterioration due to spectral broadening and frequency chirping.5 Silicon photonics provides a device
platform for design and fabrication of photonic integrated circuits with the advantage of significant footprint reduction.6
The advantage meets the demand of small-footprint optical transceivers for wide-spread application such as digital
coherent communication in metro-area networks.
This paper encompasses recent experimental and computational studies on high-speed silicon-based MZ modulators in
the light of photonic integrated circuits for digital coherent communication. Lateral PN-junction rib-waveguide phase
shifters are elaborated with experimental characteristics of DC phase shifter response in comparison with computational
characteristics. High-speed response in refractive-index dynamics including electron and hole transport in the PN
junction is simulated to study speed limit of the phase shifters. The performance in quadrature phase-shift keying signal
generation is characterized in experimental and computational constellation diagrams. Silicon waveguides for
polarization-division multiplexing are designed in common design rules with the rib-waveguide phase shifters. Long-
haul transmission in polarization-multiplexed quadrature phase-shift keying in 1000-km single-mode fiber link is
confirmed with a monolithic silicon Mach-Zehnder modulator assembled with modulator drivers in a ceramic-based
metal package.
*[email protected]
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

2. LATERAL PN-JUNCTION SILICON RIB-WAVEGUIDE PHASE SHIFTER

A lateral PN-junction Si MZ modulator consisting of single sub MZ interferometer (MZI) and RF coplanar waveguide
(CPW) on the sub MZI is illustrated with a cross-section photograph of a silicon rib-waveguide phase in Fig. 1. The sub
MZI is a building block to construct a nested MZI for a silicon PDM IQ modulator for DP-QPSK signal generation.
Lateral PN junction was formed in Si rib-waveguide phase shifters with length ℓ = 3 or 4 mm in the both arms of MZI.
The rib waveguide was designed with the dimensions of 500- or 600-nm rib width, 220-nm rib height and 95-nm side
slab height for transverse-electric (TE) polarization. Vertical boundary of PN junction is positioned in the middle of the
rib. The dimensions were determined with respect to high modulation speed and low optical loss.7,8

Figure 1. Single MZ modulator based on single MZ interferometer with lateral PN-junction silicon rib-waveguide RF phase
shifters, and experimental and computational DC optical characteristics of the lateral PN-junction phase shifter.

The slab height has significant influence on high-speed response because of its series resistance in LRC coupling with
PN-junction capacitance and metal-via inductance.9 Higher slab provides lower series resistance and faster phase
modulation, whereas optical loss is higher due to weaker mode confinement in the center rib area with the slab height
higher than 95 nm. A composition image of the rib waveguide in the cross-section photograph was taken by a field-
emission scanning electron microscope as shown in Fig. 1. It is observed that Si rib waveguide with the precise
dimensions was embedded between silica top and bottom clads. The modulators were fabricated on 8-inch SOI wafers of
220-nm SOI thickness and 2-µm buried-oxide (BOX) thickness using 130-nm node CMOS processes. The BOX layer
serves as the bottom clad.
Capacitive coupling of reverse-biased PN junction was included in RF simulation of CPW to obtain a signal electrode of
10-µm width and gaps of 6.4-µm width between signal and ground electrodes for 50-Ω impedance matching. The RF
electrodes were made of Al with 2-µm thickness and deposited on 2-µm thick top clad. In push-pull operation for zero-
chirp modulation, RF signals of opposite polarities with DC reverse bias of the same polarity were applied to the both
arms of the sub MZI through a signal electrode of the CPW with a bias tee, respectively.5,10,11 The signal electrode was
connected to P-doped slab of the rib waveguide, and one of the ground electrodes to N-doped slab of the rib waveguide
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

through Al vertical interconnect access. The CPW was designed using short and straight signal electrodes without
bending. The signal electrodes were deposited only on top of the phase shifters and connected with contact pads disposed
on the both sides. The signal and ground electrodes were wire bonded to external electrodes on package.

3. FUNDAMENTAL OPTICAL CHARACTERISTICS OF PN-JUNCTION PHASE SHIFTER

3.1 Experimental and computational DC optical characteristics
DC voltage dependences of phase shift and carrier-induced optical loss are related to fundamental modulator
performance factors, π-shift voltage V π and residual carrier-induced intensity modulation, respectively. Phase shift and
carrier-induced optical loss were obtained by measuring peak and dip shifts of optical power output from a Si single MZ
modulator as shown in Fig. 1 with DC reverse-bias voltage applied one arm of the sub MZI. Measured phase shift and
carrier-induced optical loss per unit length vs DC reverse-bias voltage are plotted in Fig. 1.
Two-dimensional DC simulation based on a finite-element solver for charge continuity and carrier transport equation
combined with Poisson equation was performed to obtain carrier distribution profile in the lateral PN junction under
reverse-bias conditions. Dopant profile similar to that presented in the literature was adopted.12. Electron and hole
concentrations in N and P regions are 2x1017 cm-3 and 5x1017 cm-3; 1x1020 cm-3 in N+ and P+ regions under Al metal
contacts, respectively. Carrier distribution profile was converted to refractive index profile in the rib waveguide using the
empirical formula on the free-carrier plasma dispersion.12,13 Higher free-carrier concentration leads to lower refractive
index in crystalline Si.
Phase shift and carrier-induced optical loss were derived after light-propagation simulation in the PN-junction rib-
waveguide phase shifter using the simulated refractive index profile by beam propagation method.14 Simulated phase
shift and carrier-induced optical loss as plotted in Fig. 1 coincide well with the experimental results. The phase shifter
was fabricated with the precise specifications as designed. A π-shift voltage-length product defined as Vπℓ is a measure
of phase shifter efficiency, which was obtained as 2.5 V·cm at a reverse bias of -5 V. Residual intensity modulation due
to the carrier-induced optical loss is negligible according to the analysis in the literature.10 Lateral PN-junction carrier-
depletion Si MZ modulators are, therefore, promising as optical modulators driven in PSK formats.
3.2 Computational high-speed response
High-speed response of effective refractive index neff was analyzed numerically by time-dependent simulation of the
carrier-transport and Poisson equations with input of a linear-ramp electric pulse having 1-ps fall and rise times and 7-
Vpp amplitude at -5-V DC reverse bias as shown in Fig. 2.14 The rise and fall times of 1 ps were deliberately chosen to
expose the slower transients of the actual phase shifter, which is 3-6.5 times slower. Rise and fall times τR and τF in neff
were obtained as 3.2 ps and 6.6 ps for 10-90% change in neff, respectively. Transients of neff are governed by dynamics of
electrons and holes in the reverse-biased PN junction in the rib-waveguide core.
Rise in neff is caused by sweeping the charged carriers out of the junction boundary (depletion process), while fall in neff
is caused by pumping up the charged carriers toward the junction boundary (recovery process). In the recovery process,
dense carriers are loaded up into the core. A period of time is elapsed for relaxation of the loaded carriers into
equilibrium distribution under the reverse bias via local diffusion. In case of the depletion process, relaxation of the
dilute carriers via local diffusion is negligible and does not contribute to refractive-index change. On the other hand,
transit times in carrier drift are substantially same in the both processes, which are reverse processes of each other under
constant negative and positive electric fields of the same strength, respectively. Therefore, the fall is slower because of
the local diffusion than the rise, namely τF > τR. The response times in the present simulation results are much shorter
than 10 ps, thereby the lateral PN-junction carrier-depletion phase shifter is capable of phase modulation beyond 100-
Gbaud symbol rate. The eye diagram in Fig. 2 was computed in the time-dependent simulation using random bit stream
of 500 bits as an input electrical signal stream of nonreturn-to-zero on/off modulation under optical interference with
reference continuous-wave light at a wavelength of 1550 nm.14 Amplitude fluctuation of 15-dB signal-to-noise ratio
(SNR) was introduced to the input signal stream. High-contrast intensity modulation is observed with clear eye opening
and extinction ratio higher than 10 dB.
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

Figure 2. (a) Linear-ramp electrical input pulse trace, (b) simulated transient trace of neff and (c) rise and fall edges in (b)
with the inset of a computational eye diagram.

Depletion width in the rib waveguide core is ~200 nm at reverse bias of -5 V, hence electric field in the depletion region
is higher than 105 V/cm. Under such high electric field, carriers are accelerated and transported beyond stationary-state
velocity, which has been known as velocity overshoot off thermodynamic equilibrium.15 Carriers are then relaxed to
thermodynamic equilibrium with a stationary drift velocity of through collision processes with vibration of crystalline
atoms. The stationary velocity is called as saturation velocity, which is ~107 cm/s in Si.16 Mean free path in the
nonequilibrium transport is ~100 nm. Carrier drift with the saturation velocity is, thereby, a good approximation for
carrier transport in the depletion region. Transit time across the depletion region with the saturation velocity is estimated
as ~2 ps, which is consistent with the rise time in the computational transient above.
Ultimate limit of dynamic response of the phase shifter is governed by the carrier relaxation to the equilibrium
distribution with high frequency limit due to plasma oscillation with frequency νP represented as

𝟒𝟒𝒒𝟐 𝑵 𝑷
𝝂𝟐𝒑 = �𝒎 + 𝒎 �
𝝐 𝒆 𝒉
(1)
with electron charge q, dielectric constant ε, electron concentration N, hole concentration P, electron effective mass me
and hole effective mass mh.17 Subpicosecond period is derived for plasma oscillation with N and P ~1x1017 cm-3 and the
density-of-state effective masses for electrons and holes.18 Speed limitation by plasma oscillation is considerable only
beyond 1-Tbaud symbol rate.

4. MONOLITHIC SILICON PDM IQ MODULATOR

4.1 Computational and experimental characteristics of monolithic Si IQ modulator
Digital coherent communication is based on the modulation format of DP-QPSK, in which QPSK signals are
multiplexed in orthogonal polarization states. High quality QPSK signal generation is, therefore, crucial for DP-QPSK
transmission. QPSK modulation at bit rates up to 64-Gb/s has been confirmed using a monolithic Si IQ modulator.11,19
Optical circuit configuration of nested MZI in monolithic Si IQ MZ modulator (MZM) is illustrated in Fig. 3. Sub MZIs
for I and Q components are disposed in each arm of the main MZI. The phase shifters in I and Q sub MZIs consist of the
lateral PN-junction Si rib-waveguides. DATA signals and inverted DATA signals are applied to corresponding phase
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

shifters in the sub MZIs. Stationary π/2 shift between I and Q components is generated by a thermo-optic (TO) phase
shifter disposed on at least one of the arms of the main MZI.

Figure 3. Optical circuit diagram of nested MZM, schematic transients of QPSK signals and constellation diagrams.

Transients of QPSK signals in modulated light are schematically represented in Fig. 3. The transients contain four phase
components, each of which has a phase multiple of π/2. The phase components are represented as four spots aligned on a
circumference centered on the origin of orthogonal IQ plane in the schematic constellation diagram. Computational
constellation diagram at 1550-nm wavelength was obtained for the monolithic Si IQ modulator by using high-speed
optical performance simulation as described in the previous section. The simulated constellation diagram agrees well
with the diagram measured in homodyne coherent detection at the same laser wavelength. The result implies that
fabricated Si IQ modulator yields high-speed performance predicted from electronic and optical simulation of designed
modulator.
4.2 Transmission characteristics of 128-Gb/s monolithic Si PDM IQ modulator
A Si PDM IQ MZM consists of the following four essential blocks as depicted in Fig. 4: (1) an input waveguide split
into two parallel waveguides through a multi-mode interferometer, (2) two Si IQ MZM, each of which consists of a Si
nested MZM shown in Fig. 3 and operates in transverse-electric (TE) polarization state, (3) a polarization rotator (PR),
with which polarization of light after one of the IQ MZMs is converted to transverse-magnetic (TM) polarization and (4)
a polarization beam combiner (PBC) to multiplex modulated lights in TE and TM polarization states. modulator.20 A
monolithic Si PDM IQ MZM as shown in Fig. 5 was fabricated in a footprint as small as 6.5x5 mm2 with Ge PDs for
performance monitoring and Si rib-waveguide TO phase controllers to sustain a phase difference of π/2 between I and Q
components in each polarization.20 Low-loss silicon rib-waveguide phase shifters having low-doped regions on the both
sides of the rib core, as illustrate in Fig. 5, were incorporated to the Si PDM IQ MZM.21
Rib-waveguide-based PR in PDM circuit was designed under common design rule with the rib-waveguide phase shifter,
thereby suitable for high-yield low-cost fabrication. The PR is an essential element in PDM since the IQ MZ modulators
exhibit high-speed low-loss QPSK performance only in TE polarization state. Generation of optical signals in TM
polarization state require a silicon-based polarization rotator, which allows TE-to-TM conversion in the polarization state
of the optical signals launched from one of the IQ MZ modulator. In combination with a silicon-waveguide polarization
beam combiner, DP-QPSK signals are generated for the digital coherent communication. A silicon polarization rotator
suitable for monolithic integration with the IQ MZ modulators. The polarization rotator described here is a partial-rib-
waveguide, which consists of an asymmetric rib waveguide and a tapered channel waveguide with a silicon core and
silica top and bottom clads.22 The asymmetric rib waveguide and the tapered channel waveguide are contiguous in line as
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

illustrated in Fig. 4. Input TE-polarized mode is transformed adiabatically into TM-polarized mode through the
asymmetric rib-waveguide. Intensity profiles of mode fields at four positions along the light propagation direction are
displayed with polarization angle in Fig. 4.

Figure 4. Optical circuit diagram of Si PDM IQ modulator with illustration of partial-rib-waveguide polarization rotator.

Figure 5. Layout of fiber link and measurement setup for transmission measurement, Si PDM IQ modulator assembled in a
package, measured constellation diagrams in two orthogonal linear polarization states.
Silicon Photonics X, edited by Graham T. Reed, Michael R. Watts, Proc. of SPIE Vol. 9367,
93670C · © 2015 SPIE · doi: 10.1117/12.2078080

A Si PDM IQ MZM of 6.5x5-mm2 footprint was mounted in a ceramic-based metal package with four modulator drivers
in dimension of 35×15×4.5 mm3 as shown in Fig. 5. Butt fiber coupling with 2.5-dB coupling loss, 1-dB polarization-
dependent loss and 40-dB return loss was achieved for low-profile packaging by using suspended MFCs.23 Optical
insertion loss was measured as lower than 15 dB in C band. Long-haul transmission measurements were performed using
100-km SMF loop link.24 Two optical switches (SWs) allowed synchronized burst-mode loop transmission in 50 and 100
loop turns to reach 500-km and 1000-km total spans, respectively. Transmitted optical signals were detected with a
coherent receiver and demodulated with an offline digital signal processor (DSP) to obtain constellation diagrams in the
two orthogonal linear polarization states.

5. CONCLUSION
Latest computational and experimental studies on high-speed monolithic silicon-based Mach-Zehnder optical modulators
are studied in the light of photonic integrated circuits for digital coherent communication at a bit rate as fast as 128 Gb/s
per wavelength channel. Fundamental DC optical characteristics of the lateral PN-junction Si rib-waveguide phase
shifter were elaborated on the basis of experimental and computational analyses. Computational high-speed response of
the phase shifter yields refractive-index modulation at a symbol rate of 100 Gbaud or higher, which is governed by
carrier drift with saturation velocity. 64-Gb/s QPSK constellation diagram of the Si IQ MZM was obtained in simulation
and confirmed in good agreement with the measured constellation diagram. The agreement implies that the fabricated Si
IQ modulator yields high-speed performance predicted from electronic and optical simulation of the designed modulator.
128-Gb/s DP-QPSK transmission in the fiber link up to 1000 km was demonstrated using the Si PDM IQ MZ modulator
assembled in a ceramic-based metal package, thereby, the monolithic Si MZM can be used for digital coherent
communication in optical transport networks.

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