You are on page 1of 37

ECE 4006/5166 Guided Wave Optics

Robert R. McLeod, University of Colorado 28


Waveguide basics
Important normalized quantities
n=1
n
cl
n
co
crit

crit

z
x
a
a k
z
a k
x
cl
n a
0
2

co
n a
0
2

cl co cl co crit co crit
n n n NA = = =
2 2
sin sin
Numerical aperture of guide measured in air
Phase shift of critical wave across guide face
2 2
0 0 0
sin
cl co crit crit x
n n a k a NA k a k a k V = = =


Ray view of guiding in a slab waveguide. The most
extreme ray is trapped via total internal reflection at
the core/cladding boundary.
Modal analysis of planar slab waveguides
Normalized quantities
Phase shift of particular mode across guide face
2 2
0
2 2
0
sin N n a k k k a a k a k U
co z co co x
= = =


Exponential loss of particular mode in cladding across guide face
2 2
0
2 2
cl cl z
n N a k k k a a W = =
Snyder and Love
n
cl
2 2 2
W U V + = Note that:
Cutoff: U=V, W=0
Light line: W=V, U=0
V
U
W
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 29
TE modal analysis of
symmetric slab waveguides
P. Yeh, Optical Waves in Layered Media, Chapter 11
( )
( ) 0 ,
2
2
2
2
2
=
(

z x E
t c
r n
r
r
Substitute a TE x-dependent mode into 3D wave equation:
( ) ( )
z j
e y x E z x E

= ,
r
( ) ( ) 0
2 2 2
0
2
2
=
(

+ x E x n k
dx
d

yielding
n
cl
n
co
z
n
cl
x
If n is constant in each layer l
( )
x n k j x n k j
l
l l
e C e C x E
2 2 2
0
2 2 2
0
2 1
+
+ =
A propagating mode must have
co cl co cl
n N n n k n k < < < > OR ,
0 0

For the symmetric slab waveguide, we may then write
( )

>
|

\
|

<
|

\
|
+
|

\
|
<
|

\
|
=
a x
a
x
W C
a x
a
x
U B
a
x
U A
a x
a
x
W D
x E
exp
cos sin
exp
2a
Modal analysis of planar slab waveguides
TE modes
E
r
H
r
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 30
Apply boundary conditions
TE
( )
( )
( )
( ) W WD U UB U UA
W D U B U A
W WC U UB U UA
W C U B U A
= +
= +
=
= +
exp sin cos
exp cos sin
exp sin cos
exp cos sin
Rearranging slightly by adding and subtracting equations:
( ) ( )
( ) ( )
( ) ( )
( ) ( ) W D C W U UB
W D C U B
W D C W U UA
W D C U A
+ =
+ =
=
=
exp sin 2
exp cos 2
exp cos 2
exp sin 2
Modal analysis of planar slab waveguides
TE modes
x
E
j H
y
z

1
Tangential components of fields (E
y
and H
z
) must be
continuous. Since
This is equivalent to field and its slope are continuous. Yields
four conditions for five unknowns (A,B,C,D,), leaving peak
amplitude as a free parameter. The conditions are:
E
||
continuous at x = +a
dE
||
/dx continuous at x = +a
E
||
continuous at x = -a
dE
||
/dx continuous at x = -a
Then divide equation 2 by 1 and 4 by 3.
D C B W U U
D C A W U U
=
=
, 0 tan
, 0 cot
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 31
1 2 3 4 5 6
u
1
2
3
4
5
6
v
TE Solutions
Two classes (symmetric and anti-symmetric)
W U U D C A = = = tan , , 0
W U U D C B = = = cot , , 0
Can rewrite the anti-sym equation to make it look similar to sym:
U U W tan =
( )
2
tan cot

+ = = U U U U W
( )
2 2 2 2 2
0
2 2
V n n a k W U
cl co
= = +
No cutoff for lowest mode
New mode at V>m /2, m=0,1..
Sym/antisym modes alternate
Observations
U
W
# TE modes = Int(V//2) + 1
Transcendental eigenvalue equations
Modal analysis of planar slab waveguides
TE modes
( ) W U U U U = + =
2
tan cot

Blue lines are TE solutions
Green lines are TM solutions
Always TM mode with TE
V
cutoff, W=0
l
i
g
h
t

l
i
n
e
,

U
=
0
N=n
cl
N=n
co
Graphical solution of slab transcendental eigenvalue equations:
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 32
TM modes
We follow the same approach but now for H
y
( )

> |

\
|

< |

\
|
+ |

\
|
<
|

\
|
=
a x
a
x
W C
a x
a
x
U B
a
x
U A
a x
a
x
W D
x H
exp
cos sin
exp
( ) ( )
z j
e y x H z x H

= ,
r
x
H
j E
y
z

1
with eigenmodes
subject to the continuity of H
y
and E
z
Note that slope of H
y
is discontinuous
Eigenvalue equations now slightly modified
W W
n
n
U U D C A
p
cl
co
=
|
|

\
|
= = =
2
tan , , 0
W W
n
n
U U D C B
p
cl
co
=
|
|

\
|
= = =
2
cot , , 0
and use pretty much the same analysis as for TE.
Modal analysis of planar slab waveguides
TM modes
n
cl
n
co
z
n
cl
x
2a
E
r
H
r
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 33
Power carried by mode
TE
Modal analysis of planar slab waveguides
Power
From Faradays law we can find H
x
from E
y
:
[W/m]
*
2
1


= dx H E P
x y z
y
y y
c
y y x
x y
E
N
E N E
N
E
Nk
E H
H j E j
t
0
0
0
0 0
0
0
0

=
= = = =
=

=
B
E
r
r
From the Poynting vector, we can
calculate the power carried by this mode.
Since the guide is infinite in y, we will
calculate the power per unit length in the y
direction:
Average power per unit y in z
Faradays Law
From known t and z dependence
Impedance of mode
Giving power in the mode as

o
Impedance of free space = sqrt(
0
/
0
)


= [W/m]
2
2
0
dx E P
y
N
z
TE
z
x
E
r
H
r
TE
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 34
Power carried by mode
TM
Modal analysis of planar slab waveguides
Power
From Amperes law we can find E
x
from H
y
:
[W/m]
*
2
1


+ = dx H E P
y x z
( )
( ) ( ) ( ) ( )
( )
y
y y
c
y y x
x y
H
x
N
H
x
N
H
x
N
H
x
Nk
H
x
E
E x j H j
t
0
0
0
0 0
0
0
0

=
= = = =
=

=
D
H
r
r
Amperes Law
From known t and z dependence
Impedance of mode
Giving power in the mode as

o
Impedance of free space = sqrt(
0
/
0
)
( )
( )


= = [W/m]
2
2
1
2
1
2
0
0
dx E x dx H P
x N y x
N
z

TM
From the Poynting vector, we can
calculate the power carried by this mode.
Since the guide is infinite in y, we will
calculate the power per unit length in the y
direction:
Average power per unit y in z
z
x
E
r
H
r
TM
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 35
Power confinement
Modal analysis of planar slab waveguides
Power
What fraction of the power is in the core?
( )
( )

=
= =
dx x H
dx x H
P
P
dx E
dx E
dx E
dx E
P
P
y
a
a
y
Tot
co
y
a
a
y
y
N
a
a
y
N
Tot
co

2
2
2
2
2
2
2
2
0
0
TE
TM
a/
0
=1/1.5, n
co
=3, n
cl
=1.5
The trend is that the
fractional power in the
core always decreases
for increasing mode
number. It approaches
1 for tightly bound
modes with high index
contrast.
a/
0
=1/1.5, n
co
=3, n
cl
=1.5
TE
TM
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado
Approximate expression for N
36
( )
Tot
co
cl co cl
Tot
cl
cl
Tot
co
co
P
P
n n n
P
P
n
P
P
n N
2 2 2 2 2 2
+ = +
It can be shown from variational techniques that the effective index can
be approximately calculated as (first line TE, second TM):
The derivative term is small for the fundamental modes of weakly-
confined modes, leading to a useful conceptual formula:
Modal analysis of planar slab waveguides
Power
( ) ( )
( )
( ) ( )
( ) ( )
( )
Tot
y cl cl co co
y
y y
Tot
y cl cl co co
y
y y
P
dx x n dx dH k P n P n
dx x n x H
dx x n dx dH k x H
P
dx dx dE k P n P n
dx x E
dx dx dE k x E x n
N



+
=

=
+
=

2
2
2
0
2 2
2
2
2
2
2
0
2
2
2
0
2 2
2
2
2
0
2
2
2
In general Step index slab
N thus approaches n
co
for the fundamental
mode and decreases
towards n
cl
with
increasing mode
number. N is less than
n
cl
for radiation
modes, N = n
cl
cos()
a/
0
=1/1.5, n
co
=3, n
cl
=1.5
Snyder and Love section 15-1
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 37
Ray analysis of step-
index guides
Ray analysis of waveguides
Form of waves in step index
z

2
cl cl
n =
2
co co
n =
2
cl cl
n =
k
r
k
z
k

cl
n
0
2

co
n
0
2

crit

0
k NA
Range of allowed k in core

( )

=
|

\
|
+
|

\
|
+
cladding in the
core in the
,
2 2
0
2 2
0
z N x N n jk
z N x N n jk
cl
co
e
e
z x E
( )
[ ] z N x N n k
z k x k n k
z k x k k
z k x k k
z z
z z
z x




2 2
0
2
2
0
2 2
+ =
+ =
+ =
+ =
r
N Effective index = k
z
/ k
0
Notes:
1) Only one free parameter, N
2) n
cl
< N < n
co
are guided rays
2) N < n
cl
are not guided
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 38
Discrete bound modes
Symmetric guide (1/2)
Ray analysis of waveguides
Discrete bound modes
Hunsperger, Section 2.2.2
z
x

2a
2
cl cl
n =
2
co co
n =
2
cl cl
n =
m a k a k
p co x p co x
2 2 2 2 2 = + + +

0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
( )
( ) ( ) z x jk z k x k j
e e z x E
z x
cos sin
,
+ +
= =
Form of field in core
NOTE MEASURED FROM || TO BOUNDARY!
co x
cl x
cl
co
co x
cl z
cl
co
co
cl co
cl
co
TM
co x
cl x
co x
cl z
co
cl co
TE
k n
n
k
k k
n
n
n
n n
n
n
k k
k k
n
n n

=
=

2
2
2 2
2
2
2 2 2
2
2
2 2 2 2 2
sin
cos
tan
sin
cos
tan
First lets translate the Goos-Hanchen shifts into this coordinate
system and write them in terms of convenient quantities:
Then find phase accumulated in round trip of ray from lower to
upper and back to lower boundary at single plane z:
p = TE or TM
Decay in x in cladding
Wave # in x in core
= -
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 39
Discrete bound modes
Symmetric guide (2/2)
( )
cl x p co x co x
co x
cl x
p co x
p co x
m a k k
m
k
a k
m a k

=
=
|
|

\
|

= +

2
1
tan
tan 2 2
2 2
Ray analysis of waveguides
Discrete bound modes
Simplify slightly
Substitute GH phase shift
and rewrite.

|
|

\
|
=
TM
TE 1
2
cl
co
p
n
n
where handles both polarizations.
m Mode number. Quantizes bound spectrum.
0.2 0.4 0.6 0.8 1
H2 p a cL w = HaL k
0
1
2
3
4
5
H
L
z
co
k
r
cl
k
r
x
k
z
k
co
k
r
x
k
z
k
6
1
=
=
co
cl
n
n
Not allowed
Radiation
Bound
a / c = a k
0
Same transcendental equation as modal derivation (good!).
Plot of solutions found numerically
a

k
z
=

a

k
0
N
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 40
Discrete bound modes
Asymmetric guide (1/2)
Ray analysis of waveguides
Discrete bound modes
m a k a k
p s co x p cl co x
2 2 2 2 2
, ,
= + + +

p = TE or TM
z
x

2a
2
cl cl
n =
2
co co
n =
2
s s
n =


m N n a
N n
n N
N n
n N
m ak
k k
m
k k
a k
m a k
co
co
s
p
co
cl
p
co x
co x
s x
p
co x
cl x
p
co x
s x
p
co x
cl x
p co x
p s p cl co x
=
|
|

\
|

+
|
|

\
|

=
|
|

\
|
+
|
|

\
|
=
|
|

\
|

|
|

\
|

= + +

2 2
2 2
2 2
1
2 2
2 2
1
1 1
1 1
, ,
2 tan tan
2 tan tan
tan tan 2
2
Common due to fabrication technology. Typical example is air cladding.
Following previous, track phase from edge to edge of core.
substrate
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 41
Discrete bound modes
Asymmetric guide (2/2)
Ray analysis of waveguides
Discrete bound modes
co
k
r
x
k
z
k
n(x)
x
N
n
s
n
cl
n
co
6
2
1
=
=
=
co
s
cl
n
n
n
Not allowed
Comparison of symmetric (n
s
=n
cl
) and asymmetric fundamental modes.
Substrate & cladding radiation
k
z
= k
cl
or N = n
cl
k
z
= k
s
or N = n
s
m=0 asymmetric
m=0 symmetric
a / c = a k
0
a

k
z
=

a

k
0
N
Note analogy to
particle in potential
well
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 42
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
Ray analysis of waveguides
Form of waves in step index
z

k
z
k

k
z
k

k
z
k

k
z
k

co
k
r
co
k
r
co
k
r
co
k
r
cl

cl

cl

cl

Guided modes
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 43
Radiation modes
Samples of mode continuum
z

k
z
k

Ray analysis of waveguides


Form of waves in step index
co
k
r
cl
k
r
z

k
z
k

co
k
r
cl
k
r
z

k
z
k

co
k
r
cl
k
r
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
0 1 2 3 4 5
z@mmD
-15
-10
-5
0
5
10
15
r
@
m
m
D
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 44
Background
Ray and eikonal equations
( ) ( ) r n
ds
r d
r n
ds
d r
r
r
=
(

Eikonal
( ) ( )
z s
n r n
z z r

=
+ =


r r
r r
Cylindrical coordinates
Waveguide that is invariant along z
Paraxial (small angle) approximation
( ) ( )

r
r
r
n
dz
d
n =
2
2
Paraxial eikonal for waveguide in z
U F
dt
d
m = =
r
r
2
2

Newtons law for particle in


potential well U
Particle in potential well
Analogy with ray optics
Approximations
( )
( ) ( )

r
r
r
=
= =
2
2
2
2
2
dz
d
n n n
Express in terms of , not n
Paraxial eikonal for waveguide
in z, in terms of , not n
Note similarity with F = m A
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 45
Particle in potential well
Application to waveguides
crit

crit

k
z
k

cl
n
0
2

co
n
0
2

crit

cl co cl co
n n

=
0
2 2
0
2 2
max
2 2
2 2
sin sin = = = = =

cl co cl co n
n n
co crit co crit
n n n n NA
co
cl co
Numerical aperture of guide measured in air
Ray view of guiding in a slab waveguide. The most
extreme ray is trapped via total internal reflection at
the core/cladding boundary.
( ) ( ) ( ) [ ] ( ) [ ]
( ) ( )
( )
2 2
2 2
2 2
2
2
2
2
sin
sin
sin
2
1
2
cl co
cl co
cl
n n
n n n
n
dz
d
U mV
dz
d




|

\
|

= + = =


r
r
r
r
r r r
r
r
Kinetic energy < potential to remain bound
2
cl cl
n =
2
co co
n =
1
2
= =
air air
n
Using analogy
Express d/dz as sin
By Snells Law at exit of guide
Ray analysis of waveguides
Numerical aperture
T.I.R.
Can drop uniform
2
cl cl
n =
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 46
Parabolic gradient-index guide
Solution via eikonal (1/2)
( )
(
(

\
|
=
m
co
a
n n

1
( ) ( )
( ) ( )
)
`

+ =
(

=
z
dz
d
n
dz
d
dz
r d
n
dz
d
ds
r d
n
ds
d
n



r
r
( ) ( )
(

dz
d
n
dz
d
n
d
d

Power-law radial index distribution


< a
Plug into eikonal
Paraxial approx.
Simplify with known dependencies
Ray analysis of waveguides
Grin guides
-2 -1 0 1 2
ra
-1
-0.8
-0.6
-0.4
-0.2
0
d
n

D
Index distribution vs radius
( )
( )
( )

)

(
(

\
|
=
m
a
n
d
d
n
n
d
d
n dz
d


1
1 1
0
2
2
Subst. n()
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 47
Ray analysis of waveguides
Grin guides
Parabolic gradient-index guide
Solution via eikonal (2/2)
( )
( )
( )
( )
1 1
2
2
1
1
1 1

|

\
|


(
(

\
|

(
(

\
|
=
m m
co
m
co
a a
m
a a
m
n
n
a
n
d
d
n
n
d
d
n dz
d

2
2
2
2
=


a a dz
d
Take deriv.,
assume n in
denom ~ n
co
Special case m=2
( ) ( ) ( ) z z z sin cos
0
0



+ = Solution for ray trajectory
from prev.
z=0 z=/
z

-a
a
0
Rays escape when radial coordinate goes beyond =a, which gives NA:
( )
( ) + = =
= = = = =
= =

=
(


2 2 1
2 sin sin
2
2
sin max
2 2 2 2 2
0
0
0 0 0
co co co cl co
co co co crit co crit
n n n n n NA
n n
dz
d
n n NA
a
a
z

Ray slope that hits


edge
Defines NA

ECE 4006/5166 Guided Wave Optics


Robert R. McLeod, University of Colorado
Dispersion
Material
Modal
Waveguide
Polarization
48
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 49
Origin of waveguide group delay
from eigenvalue equation
Modal analysis of planar slab waveguides
Group velocity
( ) ( ) [ ]
( )
{ }
z jk
t t
z
e t E z t E

= 0 , ,
1
F F
( ) ( ) ( ) K +

+ =
0
0
0
2
2
2
0 0
2
1


z z
z z
k k
k k
( )
z k j
z
z
e z
k
t E z t E
0
0
0 , ,

|
|

\
|

=
Consider how a temporal pulse that excites a single mode of the guide will
propagate. We found the solution to the scalar wave equation for a
sinusoidal temporal excitation at frequency :
( ) ( )
( ) z k t j
z
e y x E z x t E

=

, ,
r
where E(x) satisfied the DE and k
z
= N k
0
= simultaneously satisfied the
transcendental characteristic equation. For an aribitrary temporal signal,
we must decompose it into its frequency components and apply this
transfer function to every frequency independently:
Let us now expand the propagation constant k
z
as a Taylor series around
some central carrier frequency
0
:
The first term causes a frequency-independent phase shift. The second
term is a linear phase shift which, by the Fourier shift theorem, is
equivalent to a shift in the time domain:
Group delay
[ ]
m
z
g
k
s

0

Pollock and Lipson Ch 6


ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 50
Group index
& velocity vs. delay
Modal analysis of planar slab waveguides
Group velocity
( )
c
N
d
dN
N
c c
N
d
d
d
dk
g
z
g

(

+ =
(

1
0
Write propagation constant in terms of effective index:
It is sometimes convenient to have the derivative vs. wavelength:
( )

d
df
d
df
c
d
df
d
d
d
df
d
df
= = =

2
2
0
dk
dk
d
dN
N
d
dN
N N
z
g
= = + =

thus the effective group index is


I find group velocity to be a) confusing and b) generally useless, so we
will attempt to avoid this concept.
Pollock and Lipson, Section 6.3.2 and 6.3.3
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 51
Group velocity dispersion
second and higher terms
Modal analysis of planar slab waveguides
Group velocity dispersion
Consider a pulse with a finite bandwidth / = /. The latency due to
propagation delay of the pulse will be
( )
[ ] s
0
L
c
N
g

=
The pulse will spread due to the variation of latency across the spectrum:
( ) ( ) [ ]

|
|

\
|
=

\
|
=

=
2
2
2
2
2 1
d
N d
c
L
d
N d
d
dN
d
dN
c
L
d
dN
N
d
d
c
L
d
dN
c
L
N N
c
L
g
g g
It is useful to define the GVD parameter D as
(


=
km nm
ps
or
m
s

2 2
2


d
N d
c
D
L D
Note that exactly the same derivation would hold for propagation in a bulk
material with N replaced by the normal refractive index, n.
Typical value: D = 17 ps/(nm km)
for SMF-28 at = 1.5 m
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 52
Example
Slab waveguide
Modal analysis of planar slab waveguides
Group velocity dispersion
Anomalous dispersion
Radiation
Not allowed
6
1
=
=
co
cl
n
n
Bound
m=0
m=1 m=2
m=3
1 =
cl
n
6 =
co
n
Modes emerge
from radiation
cut-off,
approach light
line.
Zero dispersion
band near
cutoff, then
again when
tightly bound.
N
g
= n
cl
at cutoff
and approaches
n
co
from above.
Normal dispersion
D<0
Dispersion greater for
higher-order modes.
No dispersion D=0
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 53
Material dispersion
How to include
2
0
2 2
0
N a k N n a k U
co co
+ =
( ) + =
cl cl
N a k n N a k W
2
0
2 2
0
Modal analysis of planar slab waveguides
Group velocity dispersion
In many cases, the core and the cladding are made from similar
materials, for example, the core is a doped version of the cladding or a
denser version of the cladding. In this case the dispersion of the two
materials is very nearly the same. Consider how this impacts the
effective index:
( ) W U U U U = + =
2
tan cot

Thus if the effective index is changed like
+
2 2
N N
Then U and W are unchanged, the characteristic equation is still
satisfied:
thus the mode shape does not change.
Thus to a good approximation in most cases, material and waveguide
dispersion can be treated as independent, additive quantities.
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 54
Orthogonality of modes
Modal analysis of planar slab waveguides
Orothogonality
It is possible to show directly from the wave equation that, if the
materials are lossless (no free current and thus no Joule losses),
Where P
m
is the power carried by the mode (this depends on the
particular amplitude). The delta functions must be carefully defined:
( ) ( ) ( )

=
=
=

n m
n m
a f dx a x x f
n m
0
1
,
-

Dirac delta function.


Note (x) has units of 1/x.
Discrete delta function.
Note
m
is unitless.
The modes are not only orthogonal, they are complete, allowing us to write
( ) ( ) ( ) ( )
( )
( ) ( ) ( ) ( )
( )

+ =
+ =
m l
z m l j
z j
m l m l
z m l j
m l
z j
m l m l
dm dl e m l y x H m l a e y x H a z y x H
dm dl e m l y x E m l a e y x E a z y x E
m l
m l
,
,
, ,
,
,
, ,
, ; , , , , ,
, ; , , , , ,
,
,

r r r
r r r
If we could find the coefficients a, we would know how arbitrary fields
propagate. Note a
l,m
and a(l,m)dldmare unitless if E
l,m
are not normalized.
Bound modes,
l,mdiscrete
Radiation modes,
l,mcontinuous, e.g. k
x
, k
y
( )
( )
( ) ( )

modes Bound
modes Radiation
2
2

2
1
,
*
, , ,
1 0
*
, ,
0
*


=
=
=

n m m
n y m y y x
n y m y
n m
P
n m m P
dy dx H H
N
dy dx E E
N
dy dx z H E

r r
General:
TE:
TM:
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 55
Expanding an arbitrary
field as a sum of modes
Modal analysis of planar slab waveguides
Orothogonality
( ) ( ) { }
( ) ( ) ( ) ( )

+
=
dy dx z y x H dm dl m l y x E m l a y x E a
dy dx z y x H y x E
p n
m l
m l m l
p n
, , ; , , ,
2
1
, 0 , ,
2
1
*
,
,
, ,
*
,
r r r
r r
Start with the assumed expansion
Since we only need to perform the expansion at one z plane which will
then determine E in all of z, choose z = 0.
Now cross with the H
*
field from a bound or radiation mode n,p, take the
dot product in z and integrate over x and y:
We can swap the order of the xy integral and the sum/integral over l,m:
( ) ( ) ( ) ( )
( ) ( )

+ =

m l a m l P
a P
dm dl p m n l m l P m l a P a
m l m l
m l
p m n l m l m l
, ,
or
, ,
, ,
,
, , , ,

The xy integrals collapse via the orthogonality relations:
( ) ( ) [ ]
( )
( )
( ) ( ) [ ] dy dx z m l y x H y x E
m l P
m l a
dy dx z y x H y x E
P
a
m l
m l
m l
, ; , 0 , ,
, 2
1
,
, 0 , ,
2
1
*
*
,
,
,
=
=

r r
r r
( ) ( ) [ ]
( ) ( ) ( ) [ ]


+
=
dm dl dy dx z y x H m l y x E m l a
dy dx z y x H y x E a
p n
m l
p n m l m l
, , ; , ,
2
1
, ,
2
1
*
,
,
*
, , ,
r r
r r
( ) ( ) ( ) ( )
( )

+ = dm dl e m l y x E m l a e y x E a z y x E
z m l j
m l
z j
m l m l
m l
,
,
, ,
, ; , , , , ,
,

r r r
( ) ( ) ( ) ( )

+ = dm dl m l y x E m l a y x E a z y x E
m l
m l m l
, ; , , , , ,
,
, ,
r r r
Substitute assumed expansion
a
l,m
unitless
a(l,m) dldmunitless
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 56
Application to TE modes
of a slab waveguide
Modal analysis of planar slab waveguides
Orothogonality
z
x
E
r
H
r
TE
( ) ( )

= dx x H x E
P
a
x n y
n
n
*
,
0 ,
2
1
Start with the mode expansion equation
and plug in TE mode. Collapse to 1D.
( ) ( )

= dx x E x E
P
N
a
y n y
n
n
*
,
0
0 ,
2
1

use the relationship between H and E for a TE mode to get


First lets assume that the mode n is bound.
( ) ( )
( )
( ) ( )
( )

= =
dx x E
dx x E x E
dx x E
N
dx x E x E
N
a
y n
y n y
y n
y n y
n
2
,
,
2
,
0
,
0
0 ,
2
0 ,
2

Now assume n is a radiation mode. Lets write out the orthogonality


condition. Assume that a mode m in the cladding has amplitude C
m
( ) ( ) ( ) n m C
N
dx e C
N
e C dy dx z H E
m
x jk
n
x jk
m n m
x n x m
=
|
|

\
|
=
+



2
0
*
0
*
2 2
1

2
1
, ,
r r
( )
( ) ( )
( )
2
,
,
cladding
0 ,
y n
y n y
E
dx x E x E
n a

=
P(n)
Therefore
( ) ( ) { }

= dy dx z y x H y x E
P
a
n
n
n
, 0 , ,
2
1
*
r r
Can drop cc on flat mode,
but I dont recommend it.
a
n
is still
without
units
a(n) dn unitless =
a(n) has units of x
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 57
Application to TM modes
of a slab waveguide
Modal analysis of planar slab waveguides
Orothogonality
( ) ( )

= dx x E x H
P
b
x n y
n
n ,
*
0 ,
2
1
Start with the mode expansion equation
and plug in TM mode. Collapse to 1D.
( )
( ) ( )

= dx x H x H
x P
N
b
y n y
n
n ,
* 0
0 ,
1
2

use the relationship between H and E for a TM mode to get


First lets assume that the mode n is bound.
( )
( ) ( )
( )
( )
( )
( ) ( )
( )
( )

= =
dx x H
x
dx x H x H
x
dx x H
x
N
dx x H x H
x
N
b
y n
y n y
y n
y n y
n
2
,
,
2
,
0
,
0
*
1
0 ,
1
1
2
0 ,
1
2

Now assume n is a radiation mode. Lets write out the orthogonality


condition. Assume that a mode m in the cladding has amplitude C
m
( ) ( ) ( ) n m C
N
dx e C e C
N
dy dx z H E
m
cl
x jk
m
x jk
n
cl
n m
x n x m
=
|
|

\
|
=

2
0
*
0
*
2 2
1

2
1
, ,
r r
( )
( )
( ) ( )
( )
2
,
1
,
1
*
cladding
0 ,
y n
y n y x
H
dx x H x H
n b
cl

= Therefore
z
E
r
H
r
TM
x
( ) ( ) { }

= dy dx z y x H y x E
P
b
n
n
n
0 , , ,
2
1
*
r r
( )
( ) ( )

= dx x H x H
x P
N
b
y n y
n
n
*
,
0 *
0 ,
1
2

or
b
n
is still
without
units
P(n)
b(n) dn unitless =
b(n) has units of x
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 58
Mode normalization
Modal analysis of planar slab waveguides
Orothogonality
It is convenient to scale the mode such that we can drop all of the
constants in the previous expressions. This is our last free parameter of
the mode shapes as derived from the transcendental equation.
( ) ( )
( ) ( )
( )
( )
( )
( )

=
=

radiation
cladding
bound
2
1

0 ,
2
1
,
,
2
,
,
,
0
,
,
0
y n
y n
y n
y n
y n
n
y n
y n y
n
n
E
x E
dx x E
x E
x E
P
N
x E
dx x E x E
P
N
a

( )
( ) ( )
( ) ( )
( )
( )
( )
( )
( )

=
=

radiation
cladding
bound
1
2

0 ,
1
2
,
1
,
2
,
,
,
0
,
,
0
*
y n n
y n
y n
y n
y n
n
y n
y n y
n
n
H
x H
dx x H
x
x H
x H
P
N
x H
dx x H x H
x P
N
b
cl

The hat symbol will be used for normalized modes and modal amp.
This normalizes the modes so that the transverse integral of the |field|
2
= is
1 or (n=0) (radiation).
In 2D, mode amplitudes a
l.m
and a(l,m)dldmnow carry units of E = V/m
In 2D, mode amplitudes b
l,m
and b(l,m) dldmnow carry units of H = A/m
TE:
TM:
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 59
Summarizing
Mode orthogonality for the slab waveguide
Modal analysis of planar slab waveguides
Orothogonality
( ) ( ) ( ) ( )
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )



+ + + +
(

+ =
m
z m j
z x
m
z j
z m x m m
m
z m j
y
m
z j
y m m
dm e z m x E x m x E m b e z x E x x E b
y dm e m x E m a e x E a z x E
TM TM m
TE TE m


; ;
; ,
,
,
, ,
,
r
We may calculate the field at any point down the
guide. Using modes with arbitrary amplitude:
TE
TM
z
x
Assume we have a field incident on our slab
waveguide, given by its tangential E at z = 0. We
may calculate H from E.
Using normalized modes:
This is the complete solution to the waveguide boundary value
problem, containing all the physics with no approximations!
( ) ( ) ( )

= dx x E dx x E x E a
y m y m y m
2
, ,
0 ,
And amplitudes (e.g. TE bound):
( ) ( ) ( ) ( )
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )



+ + + +
(

+ =
m
z m j
z x
m
z j
z m x m m
m
z m j
y
m
z j
y m m
dm e z m x E x m x E m b e z x E x x E b
y dm e m x E m a e x E a z x E
TM
TM m
TE
TE m


;

,
,
,
, ,
,
r
TE
TM
( ) ( )

= dx x E x E a
y n y n ,

0 ,
And amplitudes (e.g. TE bound):
( ) ( ) ( )

dx x E x E x E
y m y m y m
2
, , ,

with normalized modes:


ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 60
Rewrite TM expansion
in terms of E, not H
( ) ( ) { }
( ) ( )
( ) ( ) ( )

=
=

=
dx x E x E x
P N
dx x H x E
P
P
dy dx z y x H y x E
b
x n x
n
y n x
n
n
n
n
*
,
0
*
,
*
2
1
0 ,
2
1
0 ,
2
1
, 0 , ,

r r
Modal analysis of planar slab waveguides
Orothogonality
( )
y x
H
x
N
E
0

=
TM mode
Modal expansion,
modes not normalized
( ) ( )
( )
( ) ( )
( )
( )

= =

radiation
cladding
bound
2
1

normalized
,
,
2
,
,
,
0
,
x n cl
x n
x n
x n
x n
n
x n
E n
x E
dx x E x
x E
x E
P N
x E

( )


= [W/m]
2
2
1
0
dx E x P
x N z

From previous derivation


( ) ( ) ( )

= dx x E x E x b
x n x n
*
,

0 ,

( ) ( )

= dx x E x E a
y n y n
*
,

0 ,
It is useful and instructive to recast the TM expansion in terms of E fields.
We can normalize as usual
Now the two coefficients a and b clearly refer to the y and x E-field
polarizations (which are the TE and TM modes):
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado
Units and values
61
1D (slab)
2D (everything else)
Not normalized Normalized
B
o
u
n
d
R
a
d
i
a
t
i
o
n
W/m
W/m
2
V/m, A/m
V/m, A/m
V/m
1/2
or A/m
1/2
1/m
1/2
Units are for quantities in bold face (i.e. P but not delta function).
Blank indicates no units. Radiation mode labels (l,m) have units of 1/meters.
Normalized Poynting vector listed is for TE modes. See pg 34 for TM.
l l
b , a

l l
H E

= dx H E
l l

2
1
l
P [ ] 1 2
0
N

dx E
l
2

1
l l
b , a
l l
H E ,

= dx H E
l l 2
1
l
P

dx E
l
2
V
2
/m
Modal analysis of planar slab waveguides
Orothogonality
( ) ( ) dl l b dl, l a
( ) ( ) l H l E ,
( ) ( )

= = dx H E l
2
1
0 l P
( )

dx l E
2
V
2
/m
V/m or A/m ( ) ( )

dl l b dl, l a
( ) ( ) l H l E

( ) ( )

= = dx H E l

0

2
1
l P
( )

dx l E
2

(l=0) [m]
[ ] 1 2
0
N
Not normalized Normalized
B
o
u
n
d
R
a
d
i
a
t
i
o
n
W
W/m
2
V/m, A/m
V/m, A/m
V/m or A/m
1/m
l,m l,m
b , a

l,m l,m
H E

dy dx H E
m l, m l,

=

2
1
l,m
P [ ] 1 2
0
N

dxdy E
m l,
2

1
l,m l,m
b , a
l,m l,m
H E ,
dy dx H E
m l, m l,

=
2
1
l,m
P
dy dx E
m l,

2
V
2
( ) ( ) dldm m l, b dldm, m l, a
( ) ( ) m l, H m l, E ,
( ) ( ) 0 , = m l m l, P
( ) dy dx m l, E

2
V
2
/m
V/m or A/m ( ) ( )

dldm m l, b dldm, m l, a
( ) ( ) m l, H m l, E

( ) ( ) 0 ,

= m l m l, P
( ) dy dx m l, E

(l,m=0) [m
2
]
[ ] 1 2
0
N
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 62
Power carried by a mode
Not normalized
Modal analysis of planar slab waveguides
Orothogonality
( ) ( ) ( ) ( )
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )



+ + + +
(

+ =
m
z m j
z x
m
z j
z m x m m
m
z m j
y
m
z j
y m m
dm e z m x E x m x E m b e z x E x x E b
y dm e m x E m a e x E a z x E
TM
TM m
TE
TE m


; ;
; ,
,
,
, ,
,
r
TE
TM
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )
( ) ( ) ( )
( )



+ +
+ + +
=
m
z m j
y
m
z j
y m m
m
z m j
z x
m
z j
z m x m m
dm e y m x H m b e y x H b
dm e z m x H x m x H m a e z x H x x H a
z x H
TM
TM m
TE
TE m


;
; ;
,
,
,
,
, ,
r
TE
TM
Lets calculate the Poynting vector using the modal field expansion. First we need to write
down both E and H. The H fields of the TE modes and the E fields of the TM modes must
be calculated through the curl equations with proper units so that their Poynting vector is
correct. The b coefficients can be calculated either from E or H fields .
( ) ( ) ( )
( )
( ) ( ) ( )
( )


+ +

+
(

+
=
=
dx dm e m x H m a e x H a
dm e m x E m a e x E a
dx H E P
m
z m j
x
m
z j
x m m
m
z m j
y
m
z j
y m m
x y z
TE TE m
TE TE m


;
;
[W/m]
* * *
,
*
,
2
1
*
2
1
,
,
Note first the the cross product in Poyntings theorem will generate zero
for E
TE
H
TM
and E
TM
H
TE
so we can treat the two polarizations
independently. Then:
TE (TM very similar)
This looks terrible, but note that we can reverse the order of integrations,
giving us our orthogonality relations, so the entire thing becomes
[ ] ( ) ( ) ( ) ( ) [ ]dm m P m b m P m a P b P a P
m
TE TE
m
TM m m TE m m z

+ + + =
2 2
,
2
,
2
Bound and rad
modes orthogonal,
so no cross terms.
So |a|
2
represents the power in the mode, scaled by the power the mode
caries via the arbitrary amplitudes of the modes.
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado 63
Modal analysis of planar slab waveguides
Orothogonality
( ) ( ) ( ) ( )
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )



+ + + +
(

+ =
m
z m j
z x
m
z j
z m x m m
m
z m j
y
m
z j
y m m
dm e z m x E x m x E m b e z x E x x E b
y dm e m x E m a e x E a z x E
TM TM m
TE TE m


;

,
,
,
, ,
,
r
TE
TM
( )
( ) ( ) [ ] ( ) ( ) ( ) [ ]
( )
( ) ( ) ( )
( )



+ +
+ + +
=
m
z m j
y
m
z j
y m m
m
z m j
z x
m
z j
z m x m m
dm e y m x H m b e y x H b
dm e z m x H x m x H m a e z x H x x H a
z x H
TM
TM m
TE
TE m


;

,
,
,
,
, ,
r
TE
TM
In the case of normalized modes, the Poynting vector will equal N/(2
0
) times a delta
function (radiation modes).
( ) ( ) ( )
( )
( ) ( ) ( )
( )


+ +

+
(

+
=
=
dx dm e m x H m a e x H a
dm e m x E m a e x E a
dx H E P
m
z m j
x
m
z j
x m
m
z m j
y
m
z j
y m m
x y z
TE TE m
TE TE m


;

[W/m]
* * * *
,
2
1
*
2
1
,
,
Note first the the cross product in Poyntings theorem will generate zero
for E
TE
H
TM
and E
TM
H
TE
so we can treat the two polarizations
independently. Then:
TE (TM very similar)
Again, this generates the orthogonality relationship, simplifying to:
( ) ( ) dm m b m a b a
N
P
m
m
m m z

(

+ +
(

+ =
0
2
0
2
0
2
0
2

Bound and rad


modes orthogonal,
so no cross terms.
Power carried by a mode
Normalized
The TM terms assumes b has been calculated from the normalized H as per
page 57 and H fields normalized as per page 58.
ECE 4006/5166 Guided Wave Optics
Robert R. McLeod, University of Colorado
Coupling efficiency
64
Modal analysis of planar slab waveguides
Orothogonality
One of the most common questions asked about a waveguide is the
efficiency of coupling from an external source such as a focused beam or
a previous waveguide. We now have the tools to answer this question.
( ) ( )
[ ] ( ) ( ) ( ) ( ) [ ]

+ + +
)
`

+ +
(

+
=

dm m P m b m P m a P b P a
dm m b m a b a
N
P
m
TE TE
m
TM m m TE m m
m
m
m m
z
2 2
,
2
,
2
0
2
0
2
0
2
0
2

Normalized
Not
External fields can be decomposed into E
y
, H
x
which couple into the TE
modes and E
x
, H
y
which couple into the TM and thus the two can be
considered separately. Assuming the incident field is in a uniform
material of index n
inc
, an external TE field will have z-directed power:
( )


= [W/m] 0 ,
2
2 ,
0
dx x E P
y
n
inc z
inc

The expressions after the brace are the normalized mode amplitudes
2
so
in the normalized case:
Assuming appropriate index matching or anti-reflection coating is
employed such that the difference between n
inc
and N can be ignored,
then (for TE), in the non-normalized case, the coupling efficiency is
( )
( ) ( )

dm E m a
dx E a
dx E
m
y m
y m m
y
m 2
,
2
2
,
2
2
cladding
0
1
incident Power
mode in Power

Bound
Radiation
( )
( ) ( )

dm m a
a
dm m a
a
dx E
m m
y
m 2
2
2
2
2

0
1

The last expression holds if incident field normalized to |E|


2
dx = 1 [V
2
/m]