W H I T E PA P E R

The Advantages of Indium

Phosphide Photonic
Integration in High-
performance Coherent
Optics
A wide range of cloud and video applications, together with the increased access speeds enabled by
5G, DAA, and next-generation PON, are driving the need for ever more optical bandwidth. To deliver this
bandwidth, optical vendors are developing a broad range of coherent optical transceivers addressing
different segments of the market, each with its own set of design considerations. This white paper
focuses on the high-performance segment, with ever-higher baud rates, higher-order modulation, and
advanced capabilities such as Nyquist subcarriers and probabilistic constellation shaping that deliver
more capacity per wavelength and increased spectral efficiency while maximizing reach.

In order to identify the optimal material choices for the photonic elements of the transceiver, this paper
first examines the inner workings of a high-performance transceiver to identify the optical functions
that are needed and the benefits of integrating these functions into photonic integrated circuits (PICs).
It then looks at the material options for each function, comparing indium phosphide (InP) and silicon
photonics (SiPh) and identifying the functions that can only be delivered with InP, the functions that
can be delivered with InP or silicon photonics but for which InP has an advantage, and the functions
for which neither photonic integration platform has an advantage. Based on this analysis, the case is
made for InP as the superior photonic integration material for the high-performance segment, while
recognizing that silicon photonics can still be an attractive option for applications with more modest data
rate requirements.
 HIGH-PERFORMANCE COHERENT OPTICAL FUNCTIONS
A modern high-performance coherent transceiver consists of digital electronics, analog electronics, and
a large number of photonic functions. Silicon-based digital electronics include the digital signal processor
(DSP), digital-to-analog converter (DAC), and analog-to-digital converter (ADC) on a single ASIC for
transmit and receive. Analog electronics, typically made from silicon germanium, gallium arsenide (GaAs),
or InP, include the driver, which converts lower voltages from the DSP/DAC to the higher voltage required
by the modulator, and transimpedance amplifiers (TIAs), which convert current from the photodetectors
to the voltages required by the ADC/DSP on the receive side.

MZM

Lower-power Higher-power
Unmodulated π/2
X-POL Modulated Modulated
MZM
Light Wavelength Wavelength
Laser PBC Amplifier
MZM
ROT

Y-POL
π/2
Coherent MZM

Modulator

Electrical RF
(Higher Voltage)

Photonics
DAC
Driver Analog Elements
Electrical RF
DSP (Tx) (Low Voltage) Digital Electronics

Figure 1: High-performance coherent transceiver – transmit

Then you have the photonics. As shown in Figure 1, the transmit side for each wavelength includes a
laser and a coherent modulator. The coherent modulator itself comprises four nested Mach-Zehnder
modulators (MZMs), together with splitters, combiners, phase shifters, a polarization rotator, and a
polarization beam combiner.

As shown in Figure 2, on the receive side for each wavelength, you also have a laser, though in many
devices the same laser is used for transmit and receive; polarization beam splitter; two 90º hybrids; and
eight photodetectors.

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 Photonics Analog Elements Digital Electronics

X-POL
PD TIA

PD TIA
PBS 90° Hybrid
PD TIA

PD TIA

ADC
Y-POL DSP (Rx)

PD TIA

PD TIA
Laser 90° Hybrid
PD TIA

PD TIA

Figure 2: High-performance coherent transceiver – receive

THE NEED FOR PHOTONIC INTEGRATION

The photonic complexity of high-performance optical transceivers with large numbers of functions on
both the transmit and receive sides is driving optical vendors to embrace photonic integration.

Photo Detector Demux Reduced Cost

Laser Splitter Reduced Footprint

Demodulator Modulator
Reduced Power Consumption

Improved Reliability
Waveguide Attenuator

Improved Performance
Combiner Amplifier

Laser Photo Detector

Mux Other

Multiple Optical Functions Photonic Integration

Figure 3: The benefits of photonic integration

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 Photonic integration enables multiple optical functions to be delivered on a single chip, a photonic
integrated circuit. As is the case with conventional electronics, manufacturing one high-function chip
is far more cost-effective than manufacturing individual optical components and then integrating
and packaging them. Photonic integration also has a dramatic impact on footprint, enabling the
miniaturization of optical devices, such as the evolution from coherent transponders to digital coherent
pluggables. Power consumption is also reduced, while performance can be improved due to minimized
coupling losses when connecting optical functions with waveguides inside the PIC, as opposed to
coupling optics between discrete components. Equipment failures are also reduced as these coupling
optics are eliminated as a source of failure.

The value of photonic integration increases with the number of functions that are integrated on a
single PIC. More complex transceivers, such as high-performance coherent, benefit to a greater extent
than simpler direct-detect transceivers with just a laser, driver, and modulator on the transmit side and
a photodetector and TIA on the receive side. The value of photonic integration also increases when
transmit and receive functions are integrated on a single PIC and/or when multiple wavelengths are
integrated on a single PIC, as shown in Figure 4.

HIGER-SPEED
WAVELENGTHS
+ TRANSMIT
AND RECEIVE
+ MORE
CHANNELS

Figure 4: Dimensions of increased photonic integration value

MATERIAL OPTIONS FOR OPTICAL FUNCTIONS:

INDIUM PHOSPHIDE OR SILICON PHOTONICS
There are two primary materials that can be used to provide various functions in a photonically
integrated coherent transceiver: indium phosphide and silicon. While indium phosphide has to date
been the primary technology for DWDM photonic integration, after a long incubation period, silicon
photonics has emerged as a potential alternative. As detailed in Table 1 below, while several functions
of a transceiver can be built with either silicon or indium phosphide, there are some for which indium
phosphide has a performance advantage, and several functions that can only be built with indium
phosphide.

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 Indium Phosphide Silicon Photonics
Laser ✓✓✓ (Only Option) x (External InP Laser)
Amplifier ✓✓✓ (Only Option) x (EDFA with III-V Pump Laser)
Modulator ✓✓ (Best Performance) ✓
Photodetector ✓ ✓ (With Germanium)
Passive Functions ✓ ✓

Table 1: Materials for high-performance coherent transceiver optical functions

LASERS AND AMPLIFIERS

Coupling Coupling
Indium Phosphide PIC Optics Silicon Optics
Laser Photonics Amp
Laser Amp PIC

Figure 5: Indium phosphide PICs can integrate lasers and amplifiers, unlike silicon photonics

Due to the physical properties of silicon, it is not capable of providing optical gain for either the laser or
amplification functions. As such, only transceivers designed with indium phosphide can be built as fully
integrated PICs with integrated semiconductor optical amplifiers (SOAs), while silicon-based transceivers
would require a separate, unintegrated InP-based laser and erbium-doped fiber amplifier (EDFA).

In addition to the obvious cost and footprint benefits of a fully integrated InP-based PIC, the use of
waveguides rather than coupling optics provides superior performance and power consumption
relative to SiPh-based transceivers by avoiding coupling losses. Plus, while an EDFA can provide lower
noise than an SOA, an integrated SOA with lower coupling losses delivers overall better performance.
In addition, the cost advantage of integrated lasers and amplifiers with the InP PIC implementation
increases as the number of channels supported per component increases. Finally, integrated lasers also
enable testing of the PICs earlier in the manufacturing process, resulting in a reduced need to discard
failed units late in the manufacturing process, after more cost has been incurred.

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 SILICON PHOTONICS iNP WITH INTEGRATED LAYER iNP PIC WITH EXTERNAL LASER

Silicon Indium Phosphide PIC

Laser Photonics Laser Indium Phosphide PIC
PIC Laser

TEC Thermoelectric Cooler (TEC) TEC

Hermetic Hermetic Hermetic

Gold Box Gold Box Gold Box

Figure 6: Lasers drive the need for TEC/gold box irrespective of the material used

But are there any advantages to not integrating the laser? One potential benefit from external lasers
is that the PIC, whether indium phosphide or silicon photonics, no longer requires tight temperature
control and hermetic packaging. As a result, for some applications, the DSP can be placed closer to
the PIC, thus reducing radio frequency (RF) distortion in the electronic signal path between the two and
improving performance. However, in the high-performance embedded transceiver segment that is the
topic of this white paper, the heat generated by a high-function DSP and the need for analog electronics
between the DSP and PIC prevent the DSP from being much closer than is the case in a fully integrated
PIC with integrated lasers. Moreover, the high modulation voltage required for high-bandwidth SiPh MZM
cannot be supplied directly by a DSP CMOS chip, and there would remain a need for the driver analog
electronics as the RF bandwidth is extended.

Additionally, if the laser is not integrated, then only the separate InP laser requires a thermoelectric
cooler (TEC) and hermetic gold box, which could reduce power requirements. However, in the high-
performance segment, the cost of the TEC and gold box are minimal compared to the overall cost of
the transceiver, and the power consumption of the TEC is minimal compared to overall system power
consumption, hence any such savings from a separate laser are negligible. Also, the TEC requirement is
proportional to the number of lasers, so the main reason InP PICs have a higher TEC requirement is that
they typically have independent lasers for transmit and receive. This provides performance advantages
and the ability to transmit and receive on different frequencies, for example, in single fiber applications,
when compared to SiPh-based transceivers, which typically share a single laser for transmit and receive.
Furthermore, InP laser technology has improved to allow operation at higher temperatures, thus reducing
the need for thermoelectric cooling and the power it consumes.

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 MODULATORS
Phase Change

Control
Interference Amplitude
Electric Field > Change in Refractive Index > Change in Phase

Phase Change
Electric Field

Electric Field > Change in Refractive Index > Change in Phase

Electric Field

Figure 7: Mach-Zehnder modulator

Now let’s take a look at the modulator, which can be built with either InP or SiPh. The modulator provides
a critical function on the transmit side of the transceiver. It takes light of the required frequency from
the laser, and by changing the phase and amplitude, adds the data that is being transmitted. It does
this by using an electric field to change the refractive index of the material the light is passing through.
Coherent modulators use a nested Mach-Zehnder modulator design. Each Mach-Zehnder interferometer
or modulator splits the light into two arms, changes the phase in one arm or more typically both arms,
as shown in Figure 7, and then combines these two arms, letting them interfere to control the amplitude.
A pair of phase-shifted Mach-Zehnder modulators can control amplitude and phase, with four in total
required for the two polarizations used in polarization-multiplexed coherent transmission, as shown
previously in Figure 1.

Indium phosphide and silicon modulators use different physical effects to change the refractive index.
Indium phosphide primarily uses the electro-optic effect, while silicon modulators use the plasma
dispersion effect. The electro-optic effect is fundamentally more efficient, producing a phase change
up to 10 times higher for a given unit length and voltage, resulting in more compact and power-efficient
modulators with lower loss, better linearity, larger modulation voltage for higher transmitter signal to
noise, and therefore better reach. Indium phosphide modulators can also have much higher electrical/
RF bandwidth (>50 GHz) at a given voltage or modulator loss limit, enabling ultra-high baud rates
(>90 Gbaud). Hence, while SiPh-based modulators will perform adequately for lower-performance
transceivers, InP performs significantly better for higher-performance applications.

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 PHOTODETECTORS
Indium phosphide can be used for the photodetectors that detect light and convert it to an electrical
current. While silicon itself cannot detect light at the wavelengths for DWDM (1525-1565 nm and
1570-1610 nm), the recent addition of germanium into silicon photonics platforms has now enabled the
integration of photodetectors. Both InP and SiPh can therefore provide this function, with no widely
accepted advantage on either side.

PASSIVE FUNCTIONS
Passive functions, including splitters, combiners, phase shifters, polarization combiners/splitters/rotators,
90º hybrids, waveguides, and muxes and demuxes can all be implemented with both indium phosphide
and silicon, with no clear overall advantages provided by either platform.

THE CASE FOR INDIUM PHOSPHIDE IN HIGH-PERFORMANCE

COHERENT
Based on this analysis, indium phosphide has a number of compelling advantages over silicon photonics
for high-performance coherent transceivers. It provides better modulator performance for high baud rate
applications. Furthermore, indium phosphide enables far greater photonic integration, with the ability
to integrate lasers and SOAs, enabling all the optical transmit and receive functions in a single PIC. As
an example, Infinera’s sixth-generation Infinite Capacity Engine (ICE6) optical engine integrates all the
transmit and receive photonic functions for two ultra-high-baud-rate wavelengths onto a single PIC.
This reduces cost, footprint, and power consumption while maximizing performance and availability by
eliminating the need for coupling optics.

WHY PEOPLE USE SILICON PHOTONICS FOR HIGH-

PERFORMANCE COHERENT
Despite the cost and performance advantages of a fully integrated InP-based PIC, a number of optical
equipment and component vendors are investing in silicon photonics for high-performance coherent
transceivers. The main reason for this is that it takes time, expertise, and a large up-front investment
to establish an indium phosphide manufacturing facility that can deliver commercial volumes of high-
performance coherent InP-based PICs. For vendors that do not have experience with InP-based PICs and
do not own or have access to an indium phosphide fab, the ability to leverage an ecosystem of CMOS
foundries leveraging legacy (65-130 nm process node) equipment provides the option to bring photonic
integrated circuits to market more quickly and with a lower upfront CapEx investment.

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There has been much discussion about the potential per-unit manufacturing cost advantage for SiPh-
based solutions at extremely high volumes, with studies on both sides of the debate. However, the total
market volume levels of high-performance coherent solutions do not even approach the necessary
volume levels, making the entire argument moot for this segment. One further consideration for high-
performance SiPh PICs is that they require very close interworking between the transceiver manufacturer
and the CMOS foundry engineers, increasing the complexity of the effort.

SUMMARY
Optical vendors are investing in the high-performance segment of the coherent transceiver market
to deliver increased capacity per wavelength, spectral efficiency, and reach for high-end data center
interconnect, metro/regional, long-haul, and subsea applications. In order to benefit from photonic
integration, these vendors have two choices: indium phosphide and silicon photonics. By enabling
greater integration, superior performance, smaller form factors, and lower power consumption, fully
integrated InP provides the optimal photonic platform for high-performance coherent transceivers.
However, silicon photonics can still be an attractive option for vendors that do not have the necessary
expertise to build a fully integrated InP-based PIC and/or are unwilling or unable to make the substantial
investment required to build their own indium phosphide manufacturing facility. However, one critical
factor, irrespective of material chosen, is that designing and then manufacturing ultra-high-performance
coherent PICs requires frequent redesigns in the development process, which is much easier with an
in-house indium phosphide fab that provides faster learning cycles when compared to using a third-party
CMOS foundry.

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