Chapter 1

Dielectric Slab Waveguide

We will start off examining the waveguide properties of a slab of dielectric shown in Fig. 1.1.

x
n1
z
n2

n1
Figure 1.1: Cross-sectional view of a slab waveguide.

n(x) =

1.1

n2 , |x| < d/2

n1 ,
else

(1.1)

Propagating Ray

We will initial look at the light traveling in the slab as a propagating ray. Even though this is not technically
accurate, it provides some intuitive feel for what is going on. Figure 1.2 shows that if the propagation angle
is greater than the critical angle then the ray will bounce off of the surface and will be conned to the core
region. Therefore, the propagation is conned to be

1 > c = sin

n2
n1

(1.2)

In order to maintain that the propagation angle is greater than the critical angle, the entrance angle into the
optical ber must be less than

a .
sin a = n2 sin (90 1 )
= n2 cos (1 )

ECEn 562

(1.3)
(1.4)

January 17, 2007

cladding n1
1>c
1<c

1=c

core

n2

cladding n1
Figure 1.2: Cross-sectional view of a slab waveguide.
Since

1 > c
sin a < n2 cos c
p
< n2 1 sin2 c
s
2
n1
< n2 1
n2
s
n22 n21
< n2
n22
q
sin a <
n22 n21 N A

n=1.0

(1.5)
(1.6)
(1.7)

(1.8)

(1.9)

n1
1=c

90c

n2
n1

Figure 1.3: Numerical aperture of an slab waveguide.

In addition to requiring the propagation angle to be greater than the critical angle, there are also only a
descrete set of propagaton angles that remain in phase as illustrated in Fig. 1.4. These allowable propagation
angles are called the modes of the waveguide.
In this ray optics analysis the The particular modes of a waveguide can be characterized by their propagation
angle. The mode can be thought of as a plane wave that is either traveling upwards or downwards in the
waveguide. The resulting plane waves are given by

E(x, z) = E o ejko n( cos 1 x+sin 1 z) .

The mode is essentially a standing wave pattern in the

(1.10)

x-direction and a traveling wave in the z -direction as

given by

E(x, z) = E m (x) exp (j (t z)) ,

ECEn 562

(1.11)

January 17, 2007

n1

n2 d

n1

Figure 1.4: The rays must remain in phase after multiple reections.
where

is called the propagation constant and is given by

= ko n2 sin 1 .

(1.12)

Since the propagation angle is in the range given by

c < 1 < 90 ,

(1.13)

the propagation angle is in the range given by

ko n2 sin c < < ko n2 sin (90 )

n1
ko n2
< < ko n2
n2
ko n1 < < ko n2

(1.14)
(1.15)
(1.16)

If you divide the propagation angle by the free-space wavevector you get the effective index of the mode as
given by

nef f

.
ko

(1.17)

n1 < nef f < n2

1.2

(1.18)

Wave Equation

Now that we have a qualitative understanding of waveguide modes, we want to calculate the exact values
of the supported mode, which we will characterize by the propagation constant
eld

m and the transverse mode

Em (x).

We start with Maxwell's equations in the sinusoidal steady state.

ECEn 562

E = jB = jH

D = E = v

(1.19)

H = jD + J = jE + J

B = H = 0

(1.20)

January 17, 2007

First, we rewrite Ampere's Law for the case of no sources resulting in

H = jE
Likewise, if we have no free charges

(1.21)

v = 0 and thus D = 0

If we take the curl of Faraday's law:

E = j H

(1.22)

= j(jE) = E
There is a vector identity

so that

(1.23)

E = ( E) 2 E

(1.24)

( E) 2 E = 2 E

(1.25)

From Gauss' law we get D = 0 since v = 0. Since D = E we get E = 0. If is independent

of position then we can pull it outside of the spatial derivatives resulting in E = 0 and thus
E = 0.

(1.26)

Plugging Eq. 1.26 into Eq. 1.25 and rearranging results in the Homogeneous Wave Equation given by

2 E + 2 E = 0

1.3

(1.27)

Dielectric Slab Waveguide

Since the waveguide is homogeneous along the z axis, solutions to the wave equation can be taken as

E(x, t) = E m (x) exp (j (t z))

(1.28)

H(x, t) = H m (x) exp (j (t z)) .

(1.29)

In time harmonic form the eld equations become

E(x, t) = E m (x) exp (jz)

(1.30)

H(x, t) = H m (x) exp (jz) .

(1.31)

Plugging the general eld solutions into the wave equation (Eq. 1.27) results in

2
2
E
+
E + ko2 n2i E = 0
x2
z 2
2
E + (j)2 + ko2 n2i E = 0
x2
2 2

2
2
E
+
k
n

E=0
o
i
x2
where

(1.32)

(1.33)

(1.34)

ni is either n1 or n2 depending on which region we are dening the eld in.

ECEn 562

January 17, 2007

The portion in parenthesis is a constant in terms of

x.

The differential equation is a constant coefcient

equation.
For the elds in the core region (|x|

< d/2) ni = n2 and the solution is given by

Em = Aejhx + Bejhx ,

(1.35)

Em = A sin(hx) + Bcos(hx),

(1.36)

or

where

h=
For the elds in the cladding region (|x|

q
ko2 n22 2

(1.37)

> d/2) ni = n1 and the solution is given by

Em = Aejgx + Bejgx ,

(1.38)

q
g = ko2 n21 2 .

(1.39)

where

However, since

> ko n1 the argument of the square root is actually negative resulting in

Em = Aeqx + Beqx ,

(1.40)

where

q
q=

2 ko2 n21 .

(1.41)

The total electric eld of the mode is given by

d
A sin hx + B cos hx |x| < 2
d
Em (x) =
C exp(qx)
x> 2

D exp(qx)
x < d2
The unknowns are
conditions.

A, B , C , D, q ,

and

h.

(1.42)

The solution of the unknows requires applying the boundary

Since the boundary conditions depend on the vector quantities, we will break up the mode

into two orthogonal polarization cases. The directions of both the electric and magnetic elds need to be
perpendicular to the rays shown in Fig. 1.4.
One possible solution is to have the electric eld in the

y-direction.

In this case the electric eld is per-

pedicular to the direction of power ow (z -direction). This case is called Transverse Electric (TE). For
TE-polarization the magnetic eld has both

x and z components.

The other case is when the magnetic eld is in the

y-direction.

In this case the magnetic eld is per-

pedicular to the direction of power ow (z -direction). This case is called Transverse Magnetic (TM). For
TM-polarization the magnetic eld has both

ECEn 562

x and z

January 17, 2007

1.3.1

TE Modes

The electric eld for TE polarization is in the y-direction as given by

d
(A sin hx + B cos hx) ejz |x| < 2
Ey (x) =
C exp(qx jz)
x > d2 .

D exp(qx jz)
x < d2

(1.43)

The magnetic eld is

H=

E
j

(1.44)

resulting in

Hz (x) =

j Ey
.
x

The boundary conditions are that the tangential components of both

(1.45)

and

are equal across a boundary.

x = d/2 is given by

1
1
1
hd + B cos
hd = C exp qd
2
2
2

The tangential component of the electric eld at

A sin
and at

(1.46)

x = d/2 it is given by

A sin

1
1
1
hd + B cos
hd = D exp qd
2
2
2

(1.47)

The continuity of the tangential components of the magnetic magnetic eld essentially becomes continuity
of the derivative of the electric eld across the boundary resulting in

hA cos
at

1
1
1
hd hB sin
hd = qC exp qd
2
2
2

x = d/2 and

hA cos

at

(1.48)

1
1
1
hd + hB sin
hd = qD exp qd
2
2
2

(1.49)

x = d/2.

These four equations can be combined to produce

1
1
hd = (C D) exp qd
2A sin
2
2

1
1
2hA cos
hd = q (C D) exp qd
2
2

1
1
2B cos
hd = (C + D) exp qd
2
2

1
1
2hB sin
hd = q (C + D) exp qd
2
2

ECEn 562

(1.50)

(1.51)

(1.52)

(1.53)

January 17, 2007

The solutions of the TE modes may be divided into two classes:

(a) Symmetric (A

= 0 and C = D):

h tan

(b) Antisymmetric (B

1
hd = q
2

(1.54)

= 0 and C = D):

h cot

There are now four unknowns (A or

1
hd = q
2

(1.55)

B , C , h, and q ). The rst term (A or B ) can be thought of as the

Eo . The last two terms (h and q ) are both related to so they are

amplitude of the mode. Let call this term

actually only one unknown. Let's combine these two together as given by

h2 + q 2 =
=
and

2 2

ko n2 2 + 2 ko2 n21 2

(1.56)

ko2 n22

(1.57)

ko2 n21

is just the continutity of the electric eld at the boundary. Putting all of this together we get

E1 eqxjz

sin hx

E0
ejz
Ey =
cos
hx

E1 e+qxjz
+
where

x>

d
2

|x| d
x < d2

qd
sin hd
2
E1 exp
= Eo
cos hd
2
2

qd
sin hd
2
E1 = Eo exp
.
cos hd
2
2
.

So now the only unknown is

We determine

(1.58)

(1.59)

(1.60)

by solving these two equations

h2 + q 2 = ko2 n22 n21

hd
hd
h tan
= q OR h cot
=q
2
2

(1.61)
(1.62)

We can solve these nonlinear transcendental equations using a nonlinear solver on a computer or calculator.
However, they can also be solved graphically to calculate the number of modes and estimate the approximate
solutions.
Since the argument of the

hd/2 along the y -axis.

tan and cot is in terms of hd/2 we will plot the term qd/2 along the x-axis and

The rst equations becomes

ECEn 562

hd
2

qd
2

1
(ko n2 d)2 (ko n1 d)2
2
2
2

d
n22 n21 V 2
=

(1.63)

(1.64)

January 17, 2007

This is the equation of a circle with a radius of V as given by

x2 + y 2 = V 2 .

The boundary condition equation for the symmetric modes is

hd
h tan
=q
2

hd
hd
qd
tan
=
2
2
2

(1.65)

(1.66)

which becomes

x tan (x) = y.

(1.67)

and for the antisymmetric modes it is

hd
=q
h cot
2

hd
hd
qd
cot
=
2
2
2

(1.68)

(1.69)

which becomes

x cot (x) = y.

(1.70)

In summary the equations are

h2 + q 2 = ko2 n22 n21

hd
=q
h tan
2

hd
=q
h cot
2
The zero crossing of the

1.3.2

x2 + y 2 = V 2

(1.71)

x tan (x) = y

(1.72)

x cot (x) = y

(1.73)

tan are 0, , ...m and the zeros of the cot are 2 , 2 , 3

2 , ... 2 (1 + 2m).

TM Modes

We can repeat the whole process for TM modes. In this case, we have

Hy (x, z, t) = hm (x) exp (j (t z))

j
Hy
Ex (x, z, t) =
z
j
Ez (x, z, t) =
Hy
x

(1.74)
(1.75)

(1.76)

and

d
A sin hx + B cos hx |x| < 2
Hm (x) =
C exp(qx)
x > d2

D exp(qx)
x < d2
ECEn 562

(1.77)

January 17, 2007

The eigen equations become

1
n2
h tan
hd = 22 q
2
n1

1
n2
h cot
hd = 22 q
2
n1
1.3.3

(1.78)

(1.79)

Parameter Meanings

h, q , and ? If we look back at the ray optics treatment, then is the

the x-component, and q species the rate at which the eld decays with

What are the physical meanings of

z -component

of the wave,

is

distance away from the core.

kz

(1.80)

h kx

(1.81)

(1.82)

Dielectric Waveguide Example

How many modes exist in a dielectric waveguide that has the following parameters? index of refraction of

n1 = 1.6, index of refraction of the cladding n2 = 1.5,

thickness 2d = 10m.
the core

wavelength

= 1.0m,

waveguide core

The equations are

d = ky d tan (ky d)

(1.83)

d = ky d cot (ky d)

(ky d) + (d)2 = (ko d) n21 n22

(1.84)

Using

(1.85)

ky d = x and d = y these equations become

y = x tan x

(1.86)

y = x cot x

x + y = (ko d)2 n21 n22

(1.87)

(1.88)

For this example the radius of the circle is given by

q
2 10
n21 n22
1.0 2
r = 17.5m
r =

The equation

...
2

3 , ...

x cot x is equal to zero when x =

m . And when x = 0 x cot x = 1.

ECEn 562

(1.90)

x tan x is equal to zero when x = 0 , 2 , 3 , ... m and is equal to when x =

+ m .

The equation

(1.89)

3 5
2 , 2 , 2 , ... 2

3 5
2, 2 , 2 ,

+ m and is equal to when x = , 2 ,

January 17, 2007

r = 17.5 = 5.56 .
) and 6 odd modes (0.5 , 1.5 , 2.5 , 3.5 , 4.5 , 5.5 ).
The radius of the circle for this problem is

There are 6 even modes (0,

, 2 , 3 , 4 , 5

What is the waveguide thickness for single mode operation? We need

r < 0.5
2 p 2

d 1.6 1.52 <

1.0
2
d < 0.449

1.4

(1.91)
(1.92)
(1.93)

Asymmtric Slab Waveguides

In practice most slab waveguides are asymmetric. An asymmetric slab waveguide is given by

x<0
n1 ,
n2 , t < x < 0
n(x) =

n3 ,
x < t

(1.94)

n1 , n2 , and n3 these indices are labeled as cover index nc , waveguide index nw ,

and substrate index ns . If we assume that n1 < n3 < n2 then the range for is given by ko n3 < < ko n2 .

Sometimes rather than using

The process used to calculate the mode eld prole is similar to the process describe above except that the
boundary conditions will be different at the top and bottom boundary.
For a TE mode the electric eld is given by

Ey (x, z, t) = Em (x)ej(tz) ,

(1.95)

where the mode prole is given by

x>0
C exp
qx

C cos(hx) hq sin(hx)
t < x < 0 ,
Em (x) =

x < t
C cos(ht) + hq sin(ht) exp[p(x + t)]
where

(1.96)

q
k22 2

(1.97)

q = 2 k12
q
p = 2 k32 .

(1.98)

h=

(1.99)

The mode condition equation is given by

q
h sin(ht) q cos(ht) = p cos(ht) + sin(ht)
h

(1.100)

For a TM mode the elds are given by

Hy (x, z, t) = Hm (x)ej(tz)
i Hy

Ex (x, z, t) =
=
hm (x)ej(tz)
z

j Hy
Ez (x, z, t) =
x
ECEn 562

10

(1.101)
(1.102)

(1.103)

January 17, 2007

where the mode prole is given by

x>0
C h exp(qx)

q
h
C q cos(hx) + sin(hx)
t < x < 0 ,
Hm (x) =

C h cos(ht) + sin(ht) exp[p(x + t)]

x < t
q

(1.104)

where

n22
q
n21
n2
p 22 p
n3
q

(1.105)

(1.106)

The mode condition equation is given by

tan(ht) =

1.5

h(
p + q)
2
h pq

(1.107)

Effective Index Theory

A slab waveguide only connes light in one dimension. In practive it is necessary to conne light in both directions. Exact analytic treatment of rectangular dielectric waveguides is not possible for arbitrary structures.
These type of waveguides can be analyzed using numerical techniques. There are also several approximate
analytical approaches. One of the simplest approaches is the effective index theory.
Figure 1.5 shows a ridge waveguide. The three regions of the ridge waveguide (I, II, I) are treated as slab
waveguides resulting in three different effective indices (nef f,I ,

nef f,I

nef f,II , and nef f,I ).

is calculated by solving for the mode of a slab waveguide with a thickness of

waveguide thickness is

t.

Referring to Fig. 1.5

d and for nef f,II

the

The ridge waveguide effective index is then calculated by treating the effective

indices as the cover, waveguide, and substrate indices with the waveguide thickness being the ridge width

n1

a.

n2

d
a

n3
I

II
y=-a/2

I
y=a/2

Figure 1.5: Rectangular waveguide.

Example: Consider a ridge waveguide made of GaAs (n

substrate. The thicknesses are

ECEn 562

= 3.5) waveguiding layer on an AlGaAs (n = 3.2)

t = 0.4, d = 0.25, and a = 0.5.
11

January 17, 2007