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THE APPLICATIONS IN ALLOPTICAL SWITCHING
By
Yueting Wan
M.Eng. (Telecommunications), Asian Institute of Technology, 1997
M.S. (Physics), University of Memphis, 2000
Submitted to the Department of Electrical Engineering and Computer Science and the
Faculty of the Graduate School of the University of Kansas
In partial fulfillment of the requirements for the degree of
Doctor of Philosophy
________________________
Chairperson
Committee members ________________________
________________________
________________________
________________________
Date defended: _____________________
ii
The Dissertation Committee for Yueting Wan certifies
that this is the approved version of the following dissertation:
OPTICAL PROPERTIES OF IIINITRIDE SEMICONDUCTORS AND
THE APPLICATIONS IN ALLOPTICAL SWITCHING
Committee:
__________________________________
Chairperson
__________________________________
__________________________________
__________________________________
__________________________________
Date approved: _____________________
iii
To
My Parents and Siblings
iv
ACKNOWLEDGEMENTS
I would like to express my gratitude to Dr. Rongqing Hui, my committee chair,
for his guidance throughout this research work and for his precious advice and
support during my graduate studies here at the University of Kansas. His
encouragement and full support led me to the success of this work. I have also been
able to learn a lot from him about being a better researcher. It was an absolute
pleasure working for him the past five years.
I would also like to thank other members of my committee, Dr. Christopher
Allen, Dr. Victor Frost, Dr. Hongxing Jiang and Dr. Karen Nordheden, for serving on
my dissertation committee and giving me invaluable suggestions through out my
research work. Also, I would like to express my thanks to the National Science
Foundation for providing the financial support for my research work.
Finally, I would like to thank my family and friends for their patience and
encouragement throughout the work of my dissertation. The support from them
makes this work successful.
v
ABSTRACT
The goal of this research was to build an N×N alloptical WDM switch, which
is indispensable for the nextgeneration of alloptical packetswitched networks. We
started from the basic concepts of telecommunication network architectures, optical
networks, WDM network elements and basic components in optical networks. We
focused on the principles and applications of optical couplers, MachZehnder
Interferometers (MZI), arrayed waveguide gratings (AWG), and some switch
architectures and techniques that have helped in the design of the optical switch.
Based on the AWG principle, we derived a general design rule for
constructing an Ninterleaved AWG (NIAWG), and proposed a 1×N WDM switch
consisting of two NIAWGs and a phase shifter array. We then simplified the
structure by using only one NIAWG with total reflection implemented at the end of
each phase shifter. The simplified structure significantly reduced the device size and
relaxed the design tolerance. This suggests that it could be used as the fundamental
building block to construct nonblocking N×N alloptical WDM switches with Spanke
architecture.
The feasibility of the proposed optical switch depends on the refractive index
tuning in the phase shifter array, which can be realized through the carrierinduced
index tuning of semiconductors. We proposed to use IIInitride semiconductors due to
vi
their unique characteristics, and presented a theoretical study of carrierinduced
refractive index change in GaN in the infrared wavelength region. Calculations
verified that the magnitude of carrierinduced refractive index change is high enough
for the application to the proposed optical switch.
We then prepared various devices in GaN/AlGaN material and characterized
their optical properties in the 1550 nm wavelength region experimentally. We
measured the refractive indices and the impact of Al concentrations. We also
measured the birefringence of the GaN waveguides, which helped understand the
polarization effect in the devices and would help design polarization independent
optical waveguides. Among the devices we prepared, there was an eightwavelength
AWG, which was the first AWG in GaN/AlGaN material. The performance of the
AWG agreed well with our design expectations and may be a foundation for the
application in optical switches.
vii
TABLE OF CONTENTS
1. Introduction……………………………………………………………………. 1
2. Optical Networking and Switching…………………………………………... 4
2.1. Introduction………………………………………………………….…… 4
2.2. Telecommunications Network Architecture……………………………... 4
2.3. Optical Networks………………………………………………………… 8
2.3.1. Multiplexing Techniques ………………………………….…... 8
2.3.2. SecondGeneration Optical Networks…………………………. 10
2.4. WDM Network Elements………………………………………………... 12
2.5. Basic Components……………………………………………………….. 17
2.5.1. Couplers………………………………………………………… 17
2.5.2. MachZehnder Interferometer………………………………….. 20
2.5.3. Arrayed Waveguide Grating…………………………………… 23
2.6. Optical Switches…………………………………………………………. 26
2.6.1. Large Optical Switch Architectures……………………………. 28
2.6.2. Optical Switch Technologies…………………………………... 31
2.7. WDM Optical Switches…………………………………………………. 36
2.7.1. Design of Passive Waveguide Devices………………………… 36
2.7.2. Design of Carrier Controlled Simple Waveguide Devices…….. 40
2.7.3. Design of Carrier Controlled AWG AllOptical Switch……….. 47
2.8. Design of AllOptical Switch Networks…………………………………. 52
2.9. Conclusion……………………………………………………………….. 53
3. Design of WDM Cross Connect Based on Interleaved AWG (IAWG) and a
Phase Shifter Array……………………………………………………………
54
viii
3.1. Introduction……………………………………………………………… 54
3.2. An Approach of an N × N All Optical Switch………………………….. 56
3.3. The Scheme of the 1 × N AllOptical Switch…………………………... 58
3.4. Design of the NIAWG…………………………………………………. 59
3.4.1. Functionality of NIAWG……………………………………… 59
3.4.2. From AWG to IAWG………………………………………….. 61
3.4.3. AWG MultipleBeam Interference Condition…………………. 63
3.4.4. Vector Illustration of the AWG MultipleBeam Interference
Condition……………………………………………………….
65
3.4.5. Additional Lengths to Arrayed Waveguides for Constructing
4IAWG…………………………………………………………
66
3.4.6. General Design Rule of NIAWG……………………………… 69
3.4.7. Output Port Arrangement………………………………………. 70
3.4.8. Comparison with Previous Results…………………………….. 71
3.4.9. Verification of Equal Vector Magnitudes in BZs of NIAWG… 73
3.4.10. Verification of NIAWG with Numerical Simulation…………. 79
3.4.11. Transfer function of an NIAWG………………………………. 83
3.4.12. Extinction Ratio Versus the Interleaved Number N……………. 85
3.5. Realization of a 1 × N All Optical Switch………………………………. 86
3.5.1. The Transfer Function of a 1 × N AllOptical Switch………… 86
3.5.2. Switching Functionality Verification and Phase Change
Information……………………………………………………..
87
3.5.3. Simulation Verification An Example……………………... 90
3.5.4. The Scheme of Mirror 1 × N AllOptical Switch………………. 94
3.6. Conclusion……………………………………………………………….. 96
ix
4. Carrier Induced Refractive Index Changes in GaN/AlGaN
Semiconductors…………………………………………………………………
98
4.1. Introduction………………………………………………………………. 98
4.2. CarrierInduced Refractive Index Change in Semiconductors…………... 100
4.2.1. Bandfilling……………………………………………………… 100
4.2.2. Bandgap Shrinkage…………………………………………….. 114
4.2.3. FreeCarrier Absorption………………………………………... 116
4.2.4. Combination of Effects………………………………………… 118
5. GaN Material Design and Experiments……………………………………… 123
5.1. Introduction………………………………………………………………. 123
5.2. Optical Waveguide Theory………………………………………………. 124
5.2.1. Symmetric Dielectric Slab Waveguides……………………….. 125
5.2.2. Asymmetric Dielectric Slab Waveguides……………………… 130
5.2.3. Rectangular Dielectric Waveguides……………………………. 131
5.3. Beam Propagation Method………………………………………………. 137
5.3.1. Finite Difference Method Analysis of Planar Optical
Waveguides……………………………………………………..
138
5.3.2. FDMBPM Analysis of Rectangular Waveguides……………… 140
5.3.3. Straight Waveguide Design with BPM Software……………… 141
5.4. Measurement Method and Experimental Setup…………………………. 152
5.4.1. Measurement Method Based On FebryPerot (FP) Interference. 152
5.4.2. Experimental Setup……………………………………………. 154
5.5. Measurement of Refractive Indices in Infrared…………………………. 155
5.6. Measurement Results of the SingleMode GaN/AlGaN Waveguides….. 157
5.6.1. Experimental Results: Power Loss in Waveguide Transmission. 157
x
5.6.2. Birefringence of GaN/AlGaN optical waveguides…………….. 159
5.7. Design of the Optical Couplers and the MachZehnder Interferometer
Device with GaN/AlGaN…………………………………………………
166
5.7.1. Simulation Results of Couplers and MachZehnder
Interferometer Device…………………………………………..
167
5.7.2. A Simple Example: Waveguide Coupler………………………. 169
5.8. The AWG Based on the GaN/AlGaN Heterostructures…………………. 170
5.8.1. Simulation Results of the Arrayed Waveguide Gratings………. 172
5.8.2. A Sample: A Fabricated Arrayed Waveguide Grating………… 174
5.9. The Thermal Stability of the Refractive Index…………………………... 177
6. Conclusions and Future Work………………………………………………... 182
6.1. Conclusions………………………………………………………………. 182
6.2. Future Work……………………………………………………………… 185
7. Bibliography…………………………………………………………………….. 188
xi
LIST OF FIGURES
Figure 2.1. An overview of a public fiber network architecture………………... 5
Figure 2.2. Different types of time division of multiplexing: (a) fixed, (b)
statistical…………………………………………………………….
7
Figure 2.3. Different multiplexing techniques for increasing the transmission
capacity on an optical fiber. (a) Electronic or optical time division
multiplexing and (b) wavelength division
multiplexing…………………………………………………………
9
Figure 2.4. A WDM wavelengthrouting network, showing optical line
terminals (OLTs), optical add/drop multiplexers (OADMs), and
optical crossconnects (OXCs). The network provides lightpaths to
its users, which are typically IP routers or SONET
terminals……………………………………………………………..
11
Figure 2.5. Block diagram of an optical line terminal…………………………... 12
Figure 2.6. Illustrating the role of optical add/drop multiplexers……………….. 13
Figure 2.7. A fully tunable OADM……………………………………………... 14
Figure 2.8. An OXC is applied in the network………………………………….. 15
Figure 2.9. An optical core wavelength plane OXC……………………………. 16
Figure 2.10. A directional coupler………………………………………………... 17
Figure 2.11. A basic 2×2 MachZehnder Interferometer…………………………. 20
Figure 2.12. Transfer functions of the basic 2×2 MachZehnder Interferometer… 22
Figure 2.13. Illustration of an arrayed Waveguide Grating structure…………….. 25
Figure 2.14. Configuration of the star coupler…………………………………… 25
Figure 2.15. A 4 × 4 crossbar switch realized using 16 2 × 2 switches…………... 28
xii
Figure 2.16. A strictsense nonblocking threestage 1024 × 1024 Clos
architecture switch…………………………………………………..
29
Figure 2.17. A strictsense nonblocking Spanke architecture n × n switch………. 30
Figure 2.18. An analog beam steering mirror…………………………………….. 32
Figure 2.19. An n × n switch built using two arrays of analog beam steering
MEMS mirrors………………………………………………………
33
Figure 2.20. MachZehnder Interferometer As ThermoOptical Switch…………. 35
Figure 2.21. Schematic diagram illustrating the operation of a wavelength
router: (a) Interconnectivity scheme (a
i
denotes the signal at input
port a with frequency i) and (b) Frequency response……………….
37
Figure 2.22. Three different ADM configurations: (a) Loopback, (b) foldback,
and (c) cascaded demux/mux………………………………………..
39
Figure 2.23. Schematic diagram of a tunable filter with a laddertype structure… 41
Figure 2.24. (a) AWG Functioning As a Filter. (b) Electrode Controlled AWG
Filter…………………………………………………………………
44
Figure 2.25. Electrode Controlled AWG Filter, with different lengths of
electrodes……………………………………………………………
46
Figure 2.26. Schematic diagram of the interleave cross connect. The inset in the
lower left corner illustrates the Brillouin zones for star coupler 2….
48
Figure 2.27. Carrier Controlled LoopBack AddDrop Switch (a) Schematic
Diagram, (b) Corresponding Black Box…………………………….
51
Figure 2.28. 1 × N Wavelength Switch Network………………………………… 52
Figure 3.1. The scheme of 4×4 alloptical switch………………………………. 57
Figure 3.2. Schematic diagram of 1 × N alloptical switch……………………... 59
Figure 3.3. Schematic diagram of NIAWG…………………………………….. 60
xiii
Figure 3.4. Diagram of output port distribution for an Ninterleaved AWG. (a)
An Ninterleaved AWG, where N = 4; (b) Closeup of the output
star coupler, where Ω
i
(i = 1, 0, 1, 2) denotes the new Brillouzin
zones of this 4IAWG. These new BZs were split from the central
BZ of a conventional AWG before it was interleaved………………
64
Figure 3.5. (a) Diagram of output port distribution for a 5interleaved AWG.
(b) Closeup of the output star coupler, where Ω
i
(i = 2, 1, 0, 1, 2)
denotes the new BZs of this 5IAWG. These new BZs were split
from the central BZ of a conventional AWG before it was
interleaved…………………………………………………………...
74
Figure 3.6. (a) The changes of the signal vectors in BZ Ω
1
when an AWG
changes to a 5IAWG; (b) The changes of the signal vectors in BZ
Ω
2
when an AWG changes to a 5IAWG…………………………...
77
Figure 3.7. Verification of 4IAWG. The output powers at its related four
output ports are exactly the same for each channel. (a) Central
channel with wavelength λ
0
= 1550 nm, (b) Channel of wavelength
1549.2 nm, (c) Channel of wavelength 1549.6 nm, (d) Channel of
wavelength 1550.4 nm………………………………………………
81
Figure 3.8. Schematic diagram of 1×4 switch for single channel with
wavelength λ
0
……………………………………………………….
89
Figure 3.9. Simulation result of 1×4 switch for four wavelength channels with
wavelengths 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm
with a channel spacing of 0.4 nm. The 1550.0nm channel was
switched to output port 1, 1549.6nm channel to output 2, 1550.4nm
channel to output 3 and 1549.2nm channel to output 4……………..
91
xiv
Figure 3.10. Simulation result of 1×4 switch for four wavelength channels with
wavelengths 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm
with a channel spacing of 0.4 nm. The crosstalk between channels
is round –32 dB or less………………………………………………
92
Figure 3.11. Mirror scheme of 1 × N alloptical switch………………………….. 94
Figure 3.12. Simulation result of the mirror scheme of 1 × (N–1) alloptical
switch for N = 4……………………………………………………...
95
Figure 4.1. Energy band structure and Bandfilling effect for directgap
semiconductor. Absorption of a photon can occur only between
occupied valence band states and unoccupied conduction band
states…………………………………………………………………
101
Figure 4.2. The absorption coefficient versus photon energy for GaN layer
grown on sapphire. T = 293 K……………………………………….
107
Figure 4.3. The absorption coefficient versus photon energy for GaN layer
grown on sapphire. T = 10 K (Provided by Dr. Wei Shan)………….
109
Figure 4.4. Change in absorption due to electronhole injection and the
resulting Bandfilling in GaN. Note: the vertical values are in
logarithm…………………………………………………………….
110
Figure 4.5. Change in refractive index due to Bandfilling effect of GaN.
N = P =3.0 ×10
17
, 1.0 ×10
18
,
3.0 ×10
18
, 1.0 ×10
19
cm
3
……………...
111
Figure 4.6. Index change versus signal wavelength due to Bandfilling effect in
GaN. Solid line: N = 7×10
18
cm
3
, dashed line: N =3×10
19
cm
3
,
dotted line: N = 6 ×10
19
cm
3
………………………………………...
112
Figure 4.7. Change of refractive index versus carrier density at 1550 nm for
GaN………………………………………………………………….
113
xv
Figure 4.8. Change of refractive index of GaN due to electronhole injection
and the resulting bandgap shrinkage………………………………..
115
Figure 4.9. Index change versus signal wavelength due to bandgap shrinkage
effect of GaN. Solid line: N = 7×10
18
cm
3
, dashed line: N
=3×10
19
cm
3
, dotted line: N = 6 ×10
19
cm
3
…………………………
116
Figure 4.10. Index change versus signal wavelength due to plasma effect of
GaN. Solid line: N = 7×10
18
cm
3
, dashed line: N =3×10
19
cm
3
,
dotted line: N = 6 ×10
19
cm
3
………………………………………...
118
Figure 4.11. Predicted changes in refractive index of GaN from the combination
of three effects (the dashed line). N = P = 3 × 10
19
/cm
3
……………
119
Figure 4.12. Overall index change versus wavelength calculated at three carrier
density levels: N =7×10
18
cm
3
(solid line), 3×10
19
cm
3
(dashed
line) and 6 ×10
19
, (dotted line)………………………………………
120
Figure 4.13. Index change versus carrier density calculated at 1550nm
wavelength…………………………………………………………..
121
Figure 5.1. A symmetric dielectric slab waveguide, where xy is the
crosssection plane and z is the propagation direction………………
125
Figure 5.2. A graphical solution for determining α and k
x
for the modes in
symmetric dielectric slab waveguide………………………………..
127
Figure 5.3. An asymmetric dielectric slab waveguide…………………………... 129
Figure 5.4. A rectangular dielectric waveguide…………………………………. 131
Figure 5.5. Intensity patterns in a rectangular waveguide where w/d = 2, the
refractive index of the waveguide n
1
= 1.5, and the background
medium has n
0
= 1…………………………………………………..
133
xvi
Figure 5.6. (a) A rectangular dielectric waveguide to be solved using the
effective index method. (b) Solve the slab waveguide at each fixed
y and obtain an effective index profile n
eff
(y). (c) Solve the slab
waveguide problem with the n
eff
(y)……………………………….
135
Figure 5.7. The design of a layered rectangular waveguide with BeamPROP.
(a) Refractive index distribution. (b) The illustration of the cross
section of waveguide design. The refractive index is illustrated in
different colors. (c) Vertical cut of index profile of the rectangular
waveguide…………………………………………………………...
142
Figure 5.8. The mode calculation of a layered rectangular waveguide with
BeamPROP. (a) The basic mode. (b) The illustration of the cross
section of waveguide design. The refractive index is illustrated in
different colors. (c) Vertical cut of index profile of the rectangular
waveguide…………………………………………………………...
145
Figure 5.9. The cross section of the design of GaN singlemode waveguide…... 148
Figure 5.10. Simulation result of the designed GaN singlemode waveguide with
BeamPROP. (a) Single mode simulation verification and the
effective refractive index; (b) Radiation pattern versus exit angle;
(c) Refractive index characteristics along Y direction, at X = 0…….
150
Figure 5.11. Fiberoptical experimental setup……………………………………. 154
Figure 5.12. (a) Refractive indices of Al
x
Ga
1x
N versus wavelength for several
different Al molar fractions. (b) Sellmeier expansion coefficients
versus Al molar fractions……………………………………………
156
Figure 5.13. Measured optical transmission spectrum (solid point) and numerical
fitting using equation (213) (continuous line)……………………...
158
xvii
Figure 5.14. The wurtzite structure of GaN unit cell and the choice of
coordinates…………………………………………………………..
160
Figure 5.15. Waveguide sample. Waveguide differs by the angle θ……………... 160
Figure 5.16. Birefringence measurement experimental setup……………………. 161
Figure 5.17. Measured (solid dots) and calculated (continuous lines) optical
transfer function with the input optical field perpendicular (trace 1),
parallel (trace 3) and 45
0
from (trace 2) the crystal caxis…………..
162
Figure 5.18. Measured birefringence versus waveguide orientation (solid
squares). The continuous line is a sinusoid fitting using, ∆n =
0.042750.00545cos(6θ), where θ is in degree……………………...
164
Figure 5.19. Simulation of a 3dB coupler………………………………………... 166
Figure 5.20. Simulation of MZ Interferometer optical switch
controlled by carrier induced refractive index change………………
167
Figure 5.21. Microscopic images of a 2×2 GaN/AlGaN heterostructure optical
waveguide coupler (a) top view and (b) cross section at the output...
168
Figure 5.22. Measured output optical power vs the probe displacement in the
horizontal direction for a 2×2 GaN/AlGaN heterostructure optical
waveguide coupler. The input optical signal is launched at port 1….
169
Figure 5.23. (a) Arrayed waveguide grating configuration, (b) simulation output
result…………………………………………………………………
173
Figure 5.24. Microscope picture (a) and measured optical transfer function (b) of
an AWGbased WDM coupler with 2nm channel separation……….
176
xviii
Figure 5.25. Calculated temperature sensitivity of AlGaN refractive index, (a) as
a function of operation temperature for different Al concentration x
and, (b) as a function of Al concentration with a fixed operating
temperature at 25
0
C…………………………………………………
180
xix
LIST OF TABLES
Table 3.1. Initial Vector Information for Constructing a 4IAWG…………….. 65
Table 3.2. Vector Information of a Constructed 4IAWG……………………... 67
Table 3.3. Multiple sets of additional waveguide lengths [λ
c
] in the design of
an NIAWG………………………………………………………….
70
Table 3.4. Comparisons between the distributions of additional waveguide
lengths [λ
c
] in the design of IAWG…………………………………
72
Table 3.5. Initial Vector Information of Constructing a 5IAWG……………... 76
Table 3.6. Extinction ratio (ER) versus the interleaved number N…………….. 86
Table 3.7. Phase changes (∆θ) needed in phase shifters for each output port
selection in 1×4 alloptical switch (λ = 1550 nm)…………………..
93
Table 3.8. Refractive index changes (∆n) needed in phase shifters with length
LP = 2 mm for each output port selection in 1×4 alloptical switch
(λ = 1550 nm)……………………………………………………….
93
Table 4.1. Values of Semiconductor Parameters (T = 300 K)…………………. 103
Table 4.2. Values of GaN Semiconductor Parameters (T = 300 K)…………… 108
1
1. Introduction
Internet traffic has been doubling every four to six months, and this trend
appears set to continue for a while [1]. This explosive growing of Internet traffic
requires the development of new technologies to fully utilize the wide bandwidth of
optical fibers (more than 50 THz [2]) and to manage the huge volume of data
information more efficiently. Although fiberoptic telecommunications has been
going through an enormous development since optical fibers have been applied in this
area, finding new optical materials, developing new fundamental optical devices and
designing new optical subsystems are still critical issues in constructing alloptical
telecommunications networks.
Unlike other communication technologies, optical technology offers a new
dimension, the color of light, to perform such network functions as multiplexing,
routing, and switching. Wavelength division multiplexing (WDM) techniques
effectively use the wavelength as an additional degree of freedom by concurrently
operating distinct portions of the 1.3 to 1.6µm wavelength spectrum accessible
within the fiber network [3]. In WDM systems, WDM optical
multiplexers/demultiplexers, wavelength routers and optical amplifiers are the
fundamental devices.
So far, silicabased arrayed waveguide gratings (AWG) have been widely
used as WDM optical multiplexers and demultiplexers. However, due to its passive
nature, the lack of tunability limited its applications in dynamic wavelength routings.
2
The combination with mechanical optical switches partly solved this problem [4][5].
But it was still limited at the circuit switch level instead of the demanded packet
switch level, because of the slow response of the mechanical optical switch. InP is a
semiconductor material and the planar photonics integrated circuit (PIC) based on it
can be made tunable by carrier injection [6][7]. However, because of its high
refractive index and relatively small waveguide size, InP based PIC has its own
disadvantages such as, high scattering loss, high temperature sensitivity and high
coupling loss with optical fibers [8]. It thus became quite natural to find some other
semiconductor materials with lower refractive indices and lower temperature
sensitivity than InP to make the WDM devices.
IIInitride wide band gap semiconductors (GaN, AlGaN and InGaN) have
recently attracted intense attention [9][10] because of their unique characteristics.
Their wide bandgap and the hardness of the material make it possible to operate at
very high temperature and power levels and in harsher environments. The wide
bandgap also makes the materials highly transparent to the wavelength in the near
infrared region, which makes them excellent candidates for passive optical waveguide
devices for long wavelength optical communication. On one hand, the refractive
indices of IIInitride semiconductor materials (i.e. n = 2.34 for GaN) are lower than
those of InP (n = 3.5) [11], which makes IIInitrides better than InP to fit with optical
fibers. Additionally, the refractive index of IIInitrides can be varied and controlled
for example by alloying GaN with different percentages of InN and AlN. This is
essential for the design of integrated optical circuits. Furthermore, carrier injection in
3
heterostructures of InGaN/GaN and GaN/AlGaN can provide highspeed modulation
of refractive indices in waveguides, which can be utilized to make wavelength
selective optical routers based on fast switchable optical phasedarrayed (PHASAR)
devices.
The research will focus on the optical properties of IIInitride materials, the
design of the optical devices based on the materials and their applications in WDM
fiberoptic networks. The goal is to realize alloptical packet switches.
This thesis is divided into six chapters. After this introductory chapter, chapter
two presents a literature review. Chapter three outlines a complete theory about how
to design a 1 × N and N × N all optical switch. Chapter four shows physical properties
and calculated parameters of GaN semiconductor materials. In chapter five, we show
the results of the characterizations of the fabricated IIINitride devices and our
experimental measurements of the samples. Some important discoveries are also
summarized in this chapter. Chapter six shows the conclusion and the future work
needed in this area.
4
2. Optical Networking and Switching
2.1. Introduction
In this chapter, we will review some basic concepts of telecommunication
system architectures, optical networks, WDM system elements and basic components
in optical networks. Then our discussion will be focused on the concepts and
structures of optical switches which are used in WDM technology. We will start by
reviewing the MicroElectroMechanical System (MEMS), which is currently a very
popular technology in terms of its applications in the building of optical switches.
Then we will review optical switches for WDM applications, in which we will
discuss why WDM switches are different from conventional optical circuit switches
and how to build WDM optical switches from simple integrated guidedwave optical
devices. At the end, we will propose several unique designs of waveguide based
WDM switches.
2.2. Telecommunications Network Architecture
Optical fiber provides an excellent medium to transfer huge amounts of data
per second (nearly 50 Tb/s). It has low cost per bit, extremely low bit error rates, low
signal attenuation (0.25 dB/km around 1550nm), low signal distortion, low power
requirement, low material use, small space requirement, and higher level of security.
So far, fiber optic networks have been widely applied in telecommunications.
5
Figure 2.1 shows an overview of a typical public fiber network architecture
[1]. The network consists of a longhaul network and a metropolitan network. The
longhaul network has a number of nodes with a pair of fibers between each other. It
connects between cities and different regions that are usually separated by long
distances. In this example, the connection between nodes for the longhaul network is
in mesh format. However, ring topologies are also often deployed to provide
alternative paths of traffic in case some of the links fail. The metropolitan network
consists of a metropolitan interoffice network and a metropolitan access network. The
interoffice network can have a link topology similar to that of the longhaul network.
It connects groups of central offices within a city or region. The access network,
HEWLETT PACK ARD
Central Office
Home
Business
Metropolitan
Interoffice network
Metropolitan
Access network
Long haul
Interexchange network
Figure 2.1 An overview of a public fiber network architecture (after [1]).
6
which typically covers a range of a few kilometers, extends from a central office out
to individual businesses and homes.
In a network as shown in Fig.2.1, there is always a concern about how to
connect two different nodes to have information transmitted between them while the
qualityofservice is guaranteed. Based on how traffic is multiplexed and switched
inside the network, there are two fundamental types of underlying switch
infrastructures: circuitswitch and packetswitch. A circuitswitched network provides
the capability of switching circuit connections to its customers, in which a guaranteed
amount of bandwidth is allocated to each connection. Once the connection is setup,
the dedicated bandwidth for the customer is always available. The sum of the
bandwidth of all the circuits, or connections, on a link must be less than the link
bandwidth.
The problem with circuit switching is that it is not efficient in handling bursty
data traffic. A bursty stream requires a lot of bandwidth from the network when all
users are active and very little bandwidth when there is no demand. It is usually
characterized by an average bandwidth and a peak bandwidth, which correspond to
the longterm average and the shortterm burst rates, respectively. In a circuit
switched network, one has to reserve sufficient bandwidth to deal with the temporary
peak rate, while this bandwidth may be unused for most of the time.
To deal with the problem of transporting bursty data traffic efficiently, packet
switching was introduced in which the data stream is broken up into small packets of
data and transmitted independently. Packet switching uses a technique called
7
statistical multiplexing when multiplexing multiple bursty data streams together on a
link. Different types of time division multiplexing are shown in figure 2.2.
Since each data stream is bursty, it is probably unlikely that all the streams are
active at any given time. Therefore the bandwidth required on the link can be made
significantly smaller than that required when all streams were active simultaneously.
This is the advantage of a packetswitched scheme. However, there are certainly
disadvantages associated with packetswitched networks especially when a large
number of streams are active simultaneously and the required bandwidth exceeds the
available bandwidth on the link. However, this only requires more effort to be made
from the carriers to provide some guarantees on the quality of service they offer.
Mu
1
2
(a)
1 2 1 2 1 2
Mu
1
2
(b)
Figure 2.2 Different types of time division of multiplexing: (a) fixed, (b) statistical.
(after [1])
8
2.3. Optical Networks
In additional to providing enormous capacities, an optical network also
provides a common infrastructure over which a variety of services can be delivered.
With optical fibers widely deployed and the evolution of telecommunication networks,
optical networks have been evolved from the first generation, where optics was
essentially used for transmission and simply to provide capacity, to the second
generation, where some of the routing, switching, and intelligence is moving from the
electronics domain into the optical layer. Before we describe the secondgeneration
optical networks, let’s look at the multiplexing techniques utilized in current optical
networks.
2.3.1 Multiplexing Techniques
Multiplexing makes it possible to transmit data at higher rates and thus much
more economical. It is more convenient for many reasons to transmit high speed data
over a single fiber than to transmit lower data rates over multiple fibers. There are
fundamentally two ways of traffic multiplexing as shown in figure 2.3, which are
time division multiplexing (TDM) and wavelength division multiplexing (WDM). By
utilizing higherspeed electronics, TDM increases the bit rate by interleaving lower
speed data streams to obtain the higherspeed stream at the transmission bit rate. To
achieve even higher bit rates with TDM technology, researchers are working on
methods to perform the multiplexing and demultiplexing alloptically. This approach
is known as optical time division multiplexing (OTDM). On the other hand, WDM is
essentially the same as frequency division multiplexing (FDM) in wireless systems. It
9
transmits data simultaneously at multiple carrier wavelengths over a fiber. Under first
order approximation, there is no crosstalk between these wavelengths as long as they
do not overlap with each other in the frequency domain. WDM has been widely
deployed in longhaul networks, and now is being deployed in metro and regional
access networks. [12].
1
2
N
.
.
.
B b/s
NB b/s
TDM or OTDM mux
(a)
1
2
N
.
.
.
B b/s
WDM mux
(b)
1
λ
2
λ
N
λ
1
2
N
.
.
.
B b/s
1
λ
2
λ
N
λ
Figure 2.3 Different multiplexing techniques for increasing the transmission
capacity on an optical fiber. (a) Electronic or optical time division multiplexing
and (b) wavelength division multiplexing. (after [1])
10
WDM and TDM both provide ways to increase the transmission capacity and
are complementary to each other. Therefore networks today use a combination of
TDM and WDM.
2.3.2 SecondGeneration Optical Networks
The architecture of a secondgeneration optical network is shown in figure 2.4.
This is a wavelengthrouting network. The signals are transmitted from the source to
the destination through light paths provided by the network. The light paths are
optical connections from a source node to a destination node over a wavelength on
each intermediate link. The wavelength being routed on the light path can be
converted from one to another. The same wavelength can be used among different
light paths in a wavelength routing network as long as the light paths do not share any
common link. This means the wavelength can be reused spatially in different parts of
the network.
Fundamental building blocks of this secondgeneration optical network
include optical line terminals (OLTs), optical add/drop multiplexers (OADMs), and
optical crossconnects (OXCs), as shown in figure 2.4. An OLT multiplexes multiple
wavelengths into a single fiber and demultiplexes a set of wavelengths on a single
fiber into separate fibers. An OADM takes in signals of multiple wavelengths and
selectively drops some of these wavelengths or adds some other wavelengths locally
while letting others pass through. An OXC essentially performs a similar function in
routing that switches wavelengths from one input port to another but at much larger
sizes with the number of ports ranging from a few tens to thousands. Compared with
11
electronic switching, lightpath switching has an advantage in delivering data in a
transparent fashion, which enables the network to interface with customers with a
wide variety of demands. It is obvious that secondgeneration optical networks are
capable of providing more functions than just pointtopoint transmission.
Optical networks based on the above architecture have been deployed and
signaling protocols between IP routers and optical networks have been standardized
OXC
OLT
Lightpath
A
D C
B F E
SONET
terminal
IP
router
SONET
terminal
IP
router
IP
router
IP
router
OADM
1
λ
1
λ
1
λ
1
λ
2
λ
2
λ
2
λ
X
Figure 2.4 A WDM wavelengthrouting network, showing optical line terminals
(OLTs), optical add/drop multiplexers (OADMs), and optical crossconnects
(OXCs). The network provides lightpaths to its users, which are typically IP
routers or SONET terminals. (after [1])
12
[13]. OLTs have been widely deployed for pointtopoint applications. They can be
shared by all the optical network units (ONUs) to reduce the number of expensive
DWDM transceivers [14]. OADMs that support different data rates with same
bandwidth efficiency are developed [15] and are now used in longhaul and metro
networks [1][16][17][18]. OXCs were deployed primarily in longhaul networks
because of their high capacity requirement.
2.4. WDM Network Elements
As we mentioned above, OLT, OADM and OXC are three important elements
in optical networks. The users of the network are connected to these elements. Now
let’s have a brief overview of these three important elements.
Figure 2.5 Block diagram of an optical line terminal. (after [1])
Mux/
demux
O/E/O
O/E/O
IP router
SONET
SONET
Transmitter
Receiver
Transponder
Non ITUλ
Non ITUλ
ITU
1
λ
3
λ ITU
ITU
2
λ
1
λ
2
λ
3
λ
OSC
λ
OSC
λ
Optical line terminal
13
Figure 2.5 shows a block diagram of an OLT [1]. An OLT is used at either
end of a pointtopoint link to multiplex and demultiplex wavelengths. From the
figure, we can see that the signal coming out of a transponder is multiplexed with
other signals of different wavelengths onto a fiber. In the opposite direction, the
demultiplexer extracts the individual wavelengths and sends them either to the
transponder or to the client directly. A transponder adapts the signal from a client into
a signal suitable for use inside the optical network. Likewise, in the reverse direction,
it adapts the signal from the optical network into a signal suitable for the client. From
the figure, we can see that the OLT also terminates an optical supervisory channel
(OSC), which is carried on a separate wavelength λ
OSC
, which is different from the
wavelengths carrying the actual traffic. From the description above, we can see that
the basic components in an OLT structure are the multiplexer and the demultiplexer,
which can be made by arrayed waveguide gratings (AWG), dielectric thinfilm filters
and fiber Bragg gratings.
Optical passthrough
Node A Node C Node B
Add/Drop
OADM
Figure 2.6 Illustrating the role of optical add/drop multiplexers. (after [1])
14
Figure 2.6 illustrates the role of an OADM. In this example, a wavelength
routing network is used. Nodes A and C are each deployed with an OLT and node B
is deployed with an OADM. The OADM drops one of the four wavelengths to a local
terminal and passes through three other remaining wavelengths. This is a cost
effective solution for wavelength add/drop realization. Basic components in node B
are, again, a multiplexer and a demultiplexer.
Figure 2.7 shows an ideal reconfigurable OADM architecture. The
architecture is flexible and fully tunable regarding the channels being added or being
dropped while still maintaining a low fixed loss. The basic components used in this
structure are again a multiplexer and a demultiplexer, but in addition, an optical
switch is required for dynamic wavelength routing.
Demux Mux Optical switch
1
λ
2
λ
N
λ
. . .
R
R T
T R
R T
T
Tunable transponders
...
1
λ
2
λ
N
λ
, , ,
...
1
λ
2
λ
N
λ
, , ,
Figure 2.7 A fully tunable OADM. (after [1])
15
OADMs are useful network elements to handle simple network topologies.
For more complex mesh topologies with large traffic and a large number of
wavelengths, OXCs are required. OXCs also help realize reconfigurable optical
networks in which lightpaths can be set up or terminated as needed without having to
distribute them beforehand. Figure 2.8 shows an OXC applied in the network. It
terminates some fiber links, each usually carrying a large number of wavelengths and
also passes other wavelengths through to other nodes. OXCs enable true mesh
networks to be deployed. There are different versions of OXCs. But ideally, it should
be able to provide lightpaths in a large network in an automated manner; it should be
an intelligent network element that can detect failures in the network and rapidly
reroute lightpaths around the failure; it should be bit rate transparent so that it can
switch signals with arbitrary bit rates and frame formats, etc.
OXC
OLT
IP
SONNET
SDH
ATM
Figure 2.8 An OXC is applied in the network. (after [1])
16
There is always a switch core in an OXC. The switching can be done either
electrically or optically. It is certainly preferred to have it done alloptically since all
optical switches are more scalable in capacity, data rate transparent and it is not
necessary to groom traffic. Figure 2.9 shows an optical core wavelength plane OXC,
consisting of a plane of optical switches. The signals coming in from different fibers
are first demultiplexed and then sent to the optical switches according to their
wavelengths. Each optical switch switches signals with a specific wavelength. After
the signals are switched, they are multiplexed back together by multiplexers. The
configuration in figure 2.9 also shows the add/drop terminals for some channels.
Local add
OLT
Optical
switch
1
λ
Optical
switch
2
λ
Optical
switch
3
λ
Optical
switch
4
λ
OXC
OLT
1
λ
2
λ
3
λ
4
λ 1
λ
2
λ
3
λ
4
λ
Local drop
. . . . . .
Figure 2.9 An optical core wavelength plane OXC. (after [1])
17
2.5. Basic Components
In the above section, we see that multiplexing, demultiplexing and optical
switching are indispensable functions in alloptical networks. Now we will present
some basic components that are used to realize all these functions.
2.5.1 Couplers
A directional coupler is used to combine or split signals in an optical network.
Figure 2.10 shows a 2 × 2 coupler consisting of two input ports and two output ports.
The power from one input port, P
0
or P
3
, can be split into two output ports P
1
, and P
2
.
A quantitative analysis of this coupling phenomenon can be found in [19]. A
general form can be obtained for the relationship between the electric fields at the
output side,
1
E and
2
E , and the electric fields at the input sides,
0
E and
3
E [1].
Figure 2.10 A directional coupler.
Input power
Throughput
power
Coupled
power
(coupling length)
l
Fibers or waveguides
0
P
1
P
2
P
3
P
1
2
0
3
18
0 1
3 2
( ) ( ) cos( ) sin( )
( ) ( ) sin( ) cos( )
j l
E f E f l j l
e
E f E f i l l
β
κ κ
κ κ
−
=
(2.1)
where l is the coupling length as shown in figure 2.10, β is the propagation constant
in each of the two waveguides of the directional coupler, κ is coupling coefficient and
is a function of the width of waveguides, the refractive indices of the waveguide core
and the substrate, and the proximity of the two waveguides.
A directional coupler is often used with only one active input, say input 0 as in
figure 2.10, although it has two input ports and two output ports. In this case, we can
get the power transfer function of the coupler from equation (2.1) by setting E
3
= 0
2
01
2
02
( ) cos ( )
( ) sin ( )
T f l
T f l
κ
κ
=
(2.2)
Here, ( )
ij
T f represents the power transfer function from input i to output j and is
defined by
2
2
( ) ( ) / ( )
ij j i
T f E f E f = . From equation (2.2), we can see that the
directional coupler is a 3dB coupler when the coupling length l satisfies
(2 1) / 4 l k κ π = + , where k is a nonnegative integer.
Below are some of the basic specifications of directional couplers [3].
Splitting ratio or coupling ratio:
0
0
2 1
2
100 ratio Splitting ×
+
=
P P
P
(2.3)
The two basic loss terms in a coupler are excess loss and insertion loss. The
excess loss is defined as the ratio of the input power to the total output power. Thus,
in decibels, the excess loss for a 2 × 2 coupler is
19
+
=
2 1
0
log 10 loss Excess
P P
P
(2.4)
The insertion loss refers to the loss for a particular porttoport path. For example, for
the path from input i to output j, we have, in decibels,
Insertion loss 10log
i
j
P
P
=
(2.5)
Another performance parameter is crosstalk, which measures the degree of isolation
between the input power at one input port and the optical power scattered or reflected
back into the other input port.
A coupler may have many applications in an optical network. It can be either
wavelength selective or wavelength independent. For wavelength independent
couplers, one of the common uses is to split optical power. They can also be used to
tap off a small portion of the power from a system for monitoring purposes. For
wavelength dependent couplers, they are widely used to combine signals with
different wavelengths into a single output port or to separate the two signals coming
in on a common fiber to different output ports, fulfilling the functions of multiplexing
and demultiplexing. One thing should be mentioned when the coupler is used as a 3
dB coupler. Although the electric fields at the two output ports have the same
magnitude, they have a relative phase shift of π/2. This characteristic plays a crucial
role in the design of devices like MachZehnder Interferometer.
20
2.5.2 MachZehnder Interferometer
Combining two 3dB couplers together forms a MachZehnder Interferometer
(MZI) as shown in figure 2.11. The device can be made either by fiber or by planar
waveguides, the latter is more rigid compared to fiber and therefore more stable.
Throughout this dissertation, we will only discuss waveguidebased MZIs.
The transfer function of the MZI shown in figure 2.11 can be obtained based
on the general relationship of a coupler as shown in equation (2.1). Since we are only
interested in the relative phase relationships for the transfer function, we can ignore
the common phase shift e
iβl
at the right hand side of equation (2.1). For a 3dB
coupler, the propagation matrix is
coupler
cos( ) sin( ) 1
1
sin( ) cos( ) 1
2
l j l j
M
j l l j
κ κ
κ κ
= =
(2.6)
Figure 2.11 A basic 2×2 MachZehnder Interferometer.
P
in, 0
P
out, 2
P
out, 1
1
2
λ
0
3
n1
n2
L
Phase
shifter
l l
3dB
Splitter
3dB
Combiner
L+∆L
21
As for the central region in figure 2.11, we can see that the phase difference
caused by the two waveguides in that region can be expressed as
1 2
2 2
( )
n n
L L L
π π
φ
λ λ
∆ = − + ∆ (2.7)
The phase difference can arise either from a different path length (∆L) or from a
difference of refractive indices (n
1
≠ n
2
). When n
1
= n
2
= n
eff
, we have
k L φ ∆ = − ∆ (2.8)
where 2 /
eff
k n π λ = , so the propagation matrix for the phase shifter is
exp( / 2) 0
0 exp( / 2)
jk L
M
jk L
φ ∆
∆
=
− ∆
(2.9)
The relationship between the electric fields at the output side,
out,1
E and
out,2
E , and the
electric fields at the input sides of the MZI,
in,0
E and
in,3
E is
out,1 in,0
out,2 in,3
E E
C M
E E
=
i (2.10)
where C is a phase constant, which has 1 C = , and M is the overall propagation
matrix of the MZI, which is expressed as
coupler coupler
sin( / 2) cos( / 2)
cos( / 2) sin( / 2)
k L k L
M M M M j
k L k L
φ ∆
∆ ∆
= =
∆ − ∆
i i (2.11)
From equations (2.10) and (2.11), we can get the output powers in the case of single
input (at 0 input port) as
* 2
out,1 out,1 out,1 in,1
sin ( / 2) P E E k L P = = ∆ (2.12)
* 2
out,2 out,2 out,2 in,1
cos ( / 2) P E E k L P = = ∆ (2.13)
22
So the transfer function of MZI for single power input at port 0 and two output ports
at port 1 and port 2 can be expressed as
2
01
2
02
( ) sin ( / )
( ) cos ( / )
eff
eff
T n L
T n L
λ π λ
λ π λ
∆
=
∆
(2.14)
where n
eff
is the effective refractive index in the waveguide, λ is the wavelength of the
input signal, ∆L is the difference between the lengths of the two arms in MZI as
shown in figure 2.11. This transfer function of equation (2.14) can be depicted in
figure 2.12. We see that wavelength λ
1
output from port 1 and λ
2
output from port 2.
Different wavelength signals go to different output ports. From equation (2.14), we
can see that switch functionality of the MZI can be realized if we can control or adjust
∆L.
It should be noted that figure 2.12 is based on n
1
= n
2
, which means the two
arms in the central region of the MZI have the same effective refractive index and the
Figure 2.12 Transfer functions of the basic 2×2 MachZehnder Interferometer
T
λ
State 1
State 2
λ
1
λ
2
23
phase difference between the two arms is expressed in equation (2.8). When n
1
is not
equal to n
2
, the result would be different. From equation (2.7), we have
2
2 2 n L
n L
π π
φ
λ λ
∆ = − ∆ − ∆ (2.15)
where
2 1
n n n ∆ = − . The propagation matrix of the central region has the general form
as
exp( / 2) 0
0 exp( / 2)
jk L
M
jk L
φ ∆
∆
=
− ∆
(2.16)
Based on equation (2.16), we get the general propagation matrix of the whole MZI as
coupler coupler
sin( / 2) cos( / 2)
cos( / 2) sin( / 2)
M M M M j
φ
φ φ
φ φ
∆
− ∆ ∆
= =
∆ ∆
i i (2.17)
So the transfer function of MZI for single power input at port 0 and two outputs at
ports 1 and 2 can be expressed as
2
01
2
02
( ) sin ( / 2)
( ) cos ( / 2)
T
T
λ φ
λ φ
∆
=
∆
(2.18)
From equation (2.15), we can see that we can change either ∆n or ∆L or both to have
different phase difference, ∆φ, between the two arms in the central region of the MZI.
From equation (2.18), we see that the output at each output port will be different for
each wavelength. This is the basis for our design of an alloptical switch based on the
interleaved arrayed waveguide gratings, which will be discussed in Chapter 3.
2.5.3 Arrayed Waveguide Grating
An arrayedwaveguidegrating (AWG) is typically used in WDM optical
systems as a frequency domain multiplexer, demultiplexer, or a wavelength router.
24
The wavelength selectivity of an AWG is based on multibeam interference. Unlike a
conventional transmission or reflection grating, an AWG is composed of integrated
waveguides deposited on a planar substrate, which is commonly referred to as planar
lightwave circuit (PLC). As shown in Figure 2.13, the basic design of an AWG
consists of input and output waveguides, two star couplers and an array of
waveguides between the two star couplers. The array is composed in such a way that
any two adjacent waveguides have the same optical path difference, which satisfies
the constructive interference condition for the central wavelength λ
0
of the signal.
The interference condition for the output signal also depends on the design of the star
couplers. For the star coupler, as schematically shown in figure 2.14, the input and the
output waveguides are positioned at the opposite side of a Rowland sphere with a
radius of L
f
/2, where L
f
is the focus length of the sphere. In an AWG operation, the
optical signal is first distributed into all the arrayed waveguides through the input star
coupler. After passing through the arrayed waveguides, the signal is diffracted into
the output star coupler where each wavelength component of the signal is added up
constructively at the appropriate output waveguide. The phase condition of this
constructive interference is determined by the following equation [20]:
λ θ m d n L n
o s c
= + ∆ ⋅ sin (2.19)
where θ
o
=j⋅∆x/L
f
is the diffraction angle in the output star coupler, ∆x is the
separation between adjacent output waveguides, j indicates the particular output
waveguide number, ∆L is the length difference between two adjacent waveguides in
the waveguide array, n
s
and n
c
are the effective refractive indices in the star coupler
25
and waveguides respectively, m is the diffraction order of the grating and an integer,
and λ is the wavelength.
Figure 2.13 Illustration of an Arrayed Waveguide Grating structure.
N
2
1
M
2
1
Input
Star coupler
Output
Star coupler
Waveguide array
Figure 2.14 Configuration of the star coupler.
O
u
t
p
u
t
w
a
v
e
g
u
i
d
e
s W
a
v
e
g
u
i
d
e
a
r
r
a
y
d
∆x
L
f
θ
0
Rowland sphere
L
f
/2
26
Obviously, from equation (2.19), the constructive interference wavelength at
the central output waveguide λ
0
is
m
L n
c
∆ ⋅
=
0
λ (2.20)
On the other hand, also from equation (2.19), we can easily get the angular
dispersion with respect to wavelength λ, in the vicinity of θ
0
= 0, as
c
g
s
n
n
d n
m
d
d
− =
λ
θ
(2.21)
where n
g
is the group index that is defined as
λ
λ
d
dn
n n
c
c g
− = (2.22)
Based on equation (2.21), the wavelength separation between two adjacent output
waveguides can be found as:
g
s
f g
c s
f f
n
n
L
d
L
x
n
n
m
d n
L
x
d
d
L
x
∆
∆
=
∆
=
∆
= ∆
−
0
1
0
λ
λ
θ
λ (2.23)
Since AWG is based on multibeam interference, the spectral resolution of the
output signal is primarily determined by the number of the arrayed waveguides
between the two star couplers. A larger number of waveguides provides better
spectral resolution.
2.6. Optical Switches
From figure 2.7 and figure 2.9, we can see that OADMs and OXCs are
essentially optical switches in a general sense. Optical networks rely heavily on the
27
functionalities of all kinds of optical switches. Different applications in an optical
network require different switch times and numbers of switch ports. The switching
applications in an optical network include provisioning, protection switching, packet
switching and external modulation [1]. The required switch times range from
milliseconds to picoseconds. The number of switch ports may vary from two ports to
several hundreds to thousands of ports.
In addition to the switching time and number of ports, there are other
important parameters to be considered for optical switches. Those parameters include
extinction ratio, insertion loss, crosstalk, and polarizationdependent loss (PDL). The
extinction ratio is the ratio of the output power in the “on” state to the output power in
the “off” state. The insertion loss is the power lost because of the presence of the
switch. The crosstalk is the ratio of the power at the output port from the desired input
to the power at the same output port from all the other inputs. PDL is due to the loss
in some components depending on the polarization state of the input signal.
For large optical switches, the considerations should include the number of
switch elements required, loss uniformity, the number of waveguide crossovers and
blocking characteristics, etc. Large switches consist of multiple switch elements and
the number of the elements is an important factor that determines the cost and the
complexity of the switch. It is also desired to achieve uniform loss for different input
port and output port combinations in an optical switch. For integrated optical switches
using planar lightwave circuits, the connections between components must be made
in a single layer by means of waveguides and this will cause crossovers between
28
waveguides in some architectures, which causes power loss and crosstalk. Less
waveguide crossovers ensure better performance for an optical switch. As for the
definition of blocking or nonblocking of a switch, the switch is said to be
nonblocking if any unused input port can be connected to any unused output port.
Otherwise, the switch is blocking.
2.6.1 Large Optical Switch Architectures
2.6.1.1 Crossbar
Outputs
1
1
2
3
4
2 3 4
I
n
p
u
t
s
Figure 2.15 A 4 × 4 crossbar switch realized using 16 2 × 2 switches. (after [1])
29
There are several large optical switch architectures proposed so far. The basic
one is called Crossbar. The crossbar architecture consists of a group of 2 × 2 switches
and is, in general, nonblocking. An n × n crossbar requires n
2
2 × 2 switches. The
shortest path length is 1 and the longest path length is 2n – 1 in this architecture. This
large path length difference is one of the main drawbacks of this architecture since the
loss distribution will not be uniform. Figure 2.15 shows a 4 × 4 crossbar switch,
which uses 16 2 × 2 switches. The settings of the 2 × 2 switches for the connection
from input port 1 to output port 3 is shown in the figure. As we can see, the switch
can be fabricated without any crossovers between waveguides.
32 x 32
1
32
32 x 32 32 x 32
32 x 64
32 x 64
32 x 64
32 x 64
32 x 64
32 x 64
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
33
64
993
1024
1
32
33
64
993
1024
I
n
p
u
t
s
O
u
t
p
u
t
s
Figure 2.16 A strictsense nonblocking threestage 1024 × 1024 Clos
architecture switch. (after [1])
30
2.6.1.2 Clos
The second optical switch architecture introduced here is called Clos, which
provides a strictsense nonblocking switch and is widely used in practice to build
large port count switches. Figure 2.16 shows a threestage 1024port Clos switch. The
architecture has loss uniformity between different inputoutput combinations and the
number of required switch elements is significantly reduced compared to the crossbar
architecture.
1 x n
n x 1
n x 1
n x 1
1 x n
1 x n
1
2
n
1
2
n
I
n
p
u
t
s
O
u
t
p
u
t
s
Figure 2.17 A strictsense nonblocking Spanke architecture n × n switch. (after [1])
31
2.6.1.3 Spanke
Figure 2.17 shows another switch architecture which is called Spanke. The
Spanke architecture is very popular for building large switches. It can be seen from
the figure that an n × n switch consists of n 1 × n switches at the input side and n n ×
1 switches at the output side. This is also a strictsense nonblocking architecture.
Instead of counting the number of 2 × 2 switches, a 1 × n switch or an n × 1 switch
can be made from a single switch unit, which reduces the cost significantly. Also it is
obvious that all connections only pass through two switch elements, which provides
much lower insertion loss than the multistage designs. Moreover, the optical path
length between any twoswitch combinations can be made exactly the same so that
the loss uniformity can be realized.
Besides the architectures mentioned above, there are other switch
architectures such as Beneš and Spanke Beneš. These architectures both have their
unique advantages and disadvantages. More details can be found from [1].
2.6.2 Optical Switch Technologies
There are many different technologies to realize optical switches, such as Bulk
Mechanical Switches, MicroElectroMechanical System (MEMS) Switches,
ThermoOptic Silica Switches, BubbleBased Waveguide Switches, Liquid Crystal
Switches, ElectroOptic Switches, and Semiconductor Optical Amplifier Switches,
etc [1]. Here we will particularly introduce the MEMS since this type of switch is
very popular and still developing. Also, MEMS are widely used in current optical
communication systems. Then we will briefly introduce the ThermoOptic Switch
32
since it will easily lead us to the switch mechanism and architecture proposed in this
dissertation.
2.6.2.1 MicroElectroMechanical System (MEMS) Switches
MicroElectroMechanical Systems (MEMS) is the integration of mechanical
elements, sensors, actuators, and electronics on a common silicon substrate through
microfabrication technology [21]. In the context of optical switches, MEMS usually
refers to miniature movable mirrors fabricated in silicon, with dimensions ranging
from a few hundred micrometers to a few millimeters [1]. By using standard
semiconductor manufacturing processes, arrays of micro mirrors can be made on a
single silicon wafer. These mirrors can be deflected to face different directions by
using techniques such as electromagnetic, electrostatic, or piezoelectric methods.
Mirror
Flexure
Figure 2.18 An analog beam steering mirror. (after [1])
33
There are many different mirror structures that can be used. The simplest
mirror structure is a 2D mirror, which can deflect between two positions. However
3D mirrors are more flexible, but fabrication is more complicated. Figure 2.18 shows
a 3D mirror structure. By rotating the mirror on two distinct axes (flexures), the
mirror can be turned to face any desired direction. This characteristic can be used to
realize 1 × n switch function.
Figure 2.19 shows a large n × n switch by using two arrays of analog beam
steering mirrors. One can see that this structure corresponds to the Spanke
Figure 2.19 An n × n switch built using two arrays of analog beam steering MEMS
mirrors. (after [1])
Fibers
Port i
Port j
Port k
Mirror k
Mirror j
Mirror i
Light signal
Mirror array
Mirror array
34
architecture as was mentioned above. Each array has n mirrors and each mirror is
associated with one port. At the input side, a signal is coupled to the associated mirror,
which can be deflected to face any of the mirrors in the output array. To make a
connection from port i to port j, one can deflect both mirror i and mirror j so that they
point to each other. The signal is coupled to mirror i from the input port i at input side
and coupled to output port j from mirror j at the output side. If one wants to switch
from the output port j to output port k, one can simply deflect mirrors i and k so that
they face each other. In this process, the beam from mirror i will scan over some other
mirrors in the output array. But this will not cause additional crosstalk since there is
no connection established before the two mirrors point to each other.
MEMS switches are very popular right now. This 3D MEMS analog beam
steering mirror technology provides many advantages for optical switch construction.
The switch can have compact size, low loss, good loss uniformity, negligible
dispersion, no interference between different beams, extremely low power
consumption and has the best potential for building largescale optical switches.
However, mechanical optical switches have intrinsic problems such as limited
lifetime, large size (compared to WDM optical technology) and most importantly
relatively slow switching speed. They have switch times around 10 ms. This switch
time may be enough for optical circuit switch but nor for optical packet switch, which
requires switching time at nanosecond level, and this probably can never be done by
any mechanical means.
35
2.6.2.2 ThermoOptic Switches
Another approach to making an optical switch is to use thermooptic
technology. The simplest thermooptic switch is essentially an integrated optical
MachZehnder Interferometer (MZI). The MZI is composed of optical waveguides
whose refractive index is a function of the temperature. Instead of changing the length
of one arm, the refractive index of the optical waveguide of one arm is changed by
varying the temperature of the waveguide. This change of refractive index has been
discussed in section 2.5.3. In this way, the relative phase difference between the two
arms can be adjusted so that the input signal can be switched from one output port to
the other. Figure 2.20 shows this thermooptic switch, which usually is made by silica
or polymer waveguides. The shortcoming of the thermooptic switch, however, is its
relatively poor crosstalk. Also, the speed of thermal tuning is relatively slow in the
λ
1
State 0
λ
1
, λ
2
λ
2
State 1
λ
1
, λ
2
λ
2
λ
1
Figure 2.20 MachZehnder Interferometer As ThermoOptical Switch.
36
millisecond level, which is obviously not fast enough for optical packet switch
applications.
2.7. WDM Optical Switches
So far, we have introduced optical network architectures, WDM network
elements, basic optical components and some optical switch structures. Now we are
going to discuss the design of optical switches based on WDM optical technologies.
In this section, we would rather discuss this topic in a more general way, including
the designs of wavelength routers, filters, ADMs and alloptical switches.
2.7.1 Design of Passive Waveguide Devices
2.7.1.1 Design of Passive AWG Wavelength Routers
Wavelength routers based on planar lightwave circuits were first reported by
Dragon [22][23]. The concept can also be used to design devices such as adddrop
multiplexers and wavelength switches [8]. Figure 2.21 illustrates the functionality of
an N × N wavelength router. The router has N input and N output ports. Each N input
port carries N different frequencies (or wavelengths). The N frequencies carried by
input port 1 are distributed among output ports 1 to N in such a way that output port 1
carries frequency N and port N frequency 1. The N frequencies carried in port 2 are
distributed in the same way except that they were cyclically rotated by 1 port
compared with the ones distributed from input port 1, as shown in the figure. In this
way each output port receives N different frequencies, one from each input port.
37
The wavelength router is obtained by designing the input and the output side
of AWG symmetrically, i.e., with N input and N output ports. For the condition of
cyclical rotation of the input frequencies along the output ports, it is essential that the
frequency response is periodical as shown in figure 2.21(b), which implies that the
Figure 2.21 Schematic diagram illustrating the operation of a wavelength router:
(a) Interconnectivity scheme (a
i
denotes the signal at input port a with frequency
i); and (b) Frequency response. (FSR= Free Spectral Range) (After Ref. [8])
(a)
a , a , a , a 1 2 3 4
c , c , c , c 1 2 3 4
d , d , d , d 1 2 3 4
a , b , c , d 4 3 2 1
a , b , c , d 3 2 1 4
a , b , c , d 2 1 4 3
a , b , c , d 1 4 3 2
b , b , b , b 1 2 3 4
(b)
FSR
t
r
a
n
s
m
i
s
s
i
o
n
frequency
a b c
d a b c
d
38
FSR should be equal to N times the channel spacing. This can be obtained by
choosing [8]
g ch
c
L
n N f
∆ =
∆
(2.24)
where ∆L is the length difference between adjacent arrayed waveguides,
g
n is the
group index of the waveguide mode, N is the number of frequency channels and ∆f
ch
is the channel spacing.
The advantage of this device is that it routes wavelength signals fast and in
fixed paths. Also the device is compact and passive. The disadvantage is the lack of
the switching capability and it can handle only a limited number of wavelength
channels.
2.7.1.2 Passive WavelengthSelective Switches and AddDrop Multiplexers
(ADM)
AWG can be applied to design adddrop multiplexers that were introduced
earlier in this chapter. Figure 2.22(a) shows a configuration of this application, which
was proposed in [24]. This design is basically a single AWG N × N multiplexer but
with loopback optical paths connecting each output port with its corresponding input
port. One input port and its corresponding output port are reserved as common input
and output ports for the transmission line. After the signals with N equally spaced
wavelengths are applied into the common input port, they are first demultiplexed into
the N output ports and then N1 output signals are looped back to the opposite input
ports and automatically multiplexed again into the common output port. This
39
functionality is guaranteed due to its symmetric design of AWG N × N router with N
input ports and N output ports. Wavelength add/drop is accomplished with a 2 × 2
switch on each loop back path.
An inevitable disadvantage of the loopback configuration is the crosstalk of
the input signals coupled directly into the main output port. This problem can be
solved by a foldback configuration that is shown in figure 2.22(b) [25], where the
Figure 2.22 Three different ADM configurations: (a) loopback, (b) fold
back, and (c) cascaded demux/mux. (After Ref. [6])
RX
TX
demux
demux
RX TX
mux
(a)
(b)
(c)
demux
TX RX
40
crosstalk cannot directly reach the output port since it is on the same side as the input
port.
A third approach of ADM with AWG is shown in figure 2.22(c), where two
separate AWG multiplexers are used. The requirements of this configuration are to
put the two AWG multiplexers close enough and to make sure that they have identical
transfer functions for the interested wavelength range. Compare this configuration
with the two other configurations shown above, we see that those other two
configurations do not have this AWG transfer function match requirement since there
is only one AWG multiplexer used in both cases.
2.7.2 Design of Carrier Controlled Simple Waveguide Devices
In planar lightwave circuits, the optical waveguides can be made with
semiconductor materials. The refractive indices of the waveguides can be tuned
through carrier injection. In this way, electrically controlled optical phase shift can be
introduced and the tuning speed can be faster.
2.7.2.1 Proposed Carrier Controlled MachZehnder Interferometer Optical
Switch
Here we use figure 2.20 again. It shows a MachZehnder interferometer
structure that is used as a simple optical switch or wavelength router. Instead of
changing the phase delay between two optical arms by thermal method as we
discussed above, we can make the MachZehnder interferometer with semiconductor
materials and change the refractive index of one of the arms through carrier injection.
41
The detailed mechanism of carrierinduced index change will be discussed in Chapter
4. Here we only introduce several optical circuit configurations that utilize this effect.
2.7.2.2 LadderType Carrier Controlled Tunable Wavelength Filter
A novel InGaAsPInP based tunable filter with a laddertype structure was
proposed by Matsuo et al [26]. The device consists of multiple multimode
interference (MMI) couplers, a waveguide array (crossing waveguides), and input and
output waveguides. The electrodes with the same length are put on the input and
output waveguides as shown in figure 2.23. Each crossing waveguide is connected to
the input and output waveguides through MMI couplers. The lights from the output
waveguide and from the crossing waveguide interfere in the coupler that combines
them.
Figure 2.23 Schematic diagram of a tunable filter with a laddertype structure.
(Ref. [26])
MMI coupler
Input wa
veguide
Electrode
Output Waveguide
∆S 2∆S
(Ν−1)∆S
L
1
L
1
L
1
L
2 L
2
L
2
42
The crossing waveguides are designed such that the length difference between
two adjacent waveguides is ∆S. Let L
1
= L
2
and all the couplers have the same length.
Then all the couplers in the output waveguide have the same transmission peak
wavelength. The peak wavelength of the filter is
0
eff
n S
m
λ
∆
= (2.25)
where n
eff
is the effective refractive index of the waveguide and m is the diffraction
order. The diffraction order strongly affects the 3dB bandwidth of the filter in the
way that the 3dB bandwidth becomes narrower when it is increased.
When the refractive index in the input waveguide is reduced by carrier
injection, the optical path difference (OPD) between the output waveguide and the
crossing waveguides decreases. According to equation (2.25), this makes the peak
wavelength shorter. Similarly, reducing the refractive index in the output waveguide
increases the OPD, which makes the peak wavelength longer. The peak wavelength
change is given by
1or2
0
eff
n L
m
λ
∆
∆ = (2.26)
where ∆n
eff
is the change of refractive index caused by carrier injection. So the actual
tunable wavelength range is 2(∆λ
0
)= 2(∆n
eff
)L
1or2
/m. Equation (2.26) indicates that
increasing L
1
, L
2
or ∆n
eff
increases the wavelength shift while increasing of diffraction
order decreases the shift. As it was pointed out above that a large diffraction order
means a sharp peak in transfer function, there is a trade off between a narrow 3dB
43
bandwidth and a wide tunable wavelength range. Also, there is a limitation in
increasing L
1
and L
2
when the size of a practical device is considered.
The InGaAsPInP material tunable filter with a laddertype structure proposed
by Matsuo has 15 crossing waveguides and a diffraction order of m = 20. The free
spectral range (FSR) is 74.4 nm and the total tunable range is 58 nm. The switching
time for two particular wavelengths that corresponding to injecting currents 0 and 20
mA is less than 10 ns.
The crucial points for the design of this kind of filter include the proper power
distribution of MMI (or waveguidemade) couplers and the optimum number of
crossing waveguides in the whole device. These are very important since the
interference conditions have to be satisfied.
2.7.2.3 Proposed Carrier Controlled Semiconductor AWG Tunable Filter
Widely tunable optical filters are needed in local area networks or tunable
light source applications [26]. As we have mentioned before, each semiconductor
material can have its refractive index changed with carrier injection. By using this
property of semiconductor material, we can also design carrier controlled AWG
filters.
A. SingleWavelength Filter
Here we consider an AWG with one input and one output waveguide, as
shown in figure 2.24(a), where λ
0
, λ
1
, λ
2
, …, λ
n
are the input wavelengths among
which λ
0
is the central wavelength. To be convenient, both central waveguides in the
44
input side and output side of the previous design are chosen as the input port and
output port. Based on the previous analysis in section 2.5.3, it is quite obvious that the
output wavelength would be the central wavelength λ
0
designed for this device. All
the other wavelengths are filtered out.
B. Same Length Electrode Controlled AWG Tunable Filter
The output wavelength for the filter in figure 2.24(a) is fixed (λ
0
). To realize
an adjustable wavelength filter, we can add electrodes to the arrayed waveguides in
the design as shown in figure 2.24(b). We first consider the case when all the
electrodes have the same length and let this length be z. As we know, the effective
refractive index of arrayed waveguides will be changed after electrical voltages are
Figure 2.24 (a) AWG Functioning As a Filter. (b) Electrode Controlled AWG Filter.
λ
i
λ
0
,λ
1
,λ
2
,…,λ
n
Electrodes
N
2
1
z
Input Output
λ
0
λ
0
,λ
1
,λ
2
,…,λ
n
N
2
1
Output
Planar
Star
Coupler
Input
(a) (b)
45
applied to the electrodes. Let the change of the refractive index of waveguide j among
N arrayed waveguides be dn
cj
, and also control the current injection in such a way that
∆dn
cj
= dn
cj
 dn
c(j1)
= constant (2.27)
for all j, j = 1, 2, …, N, where ∆dn
cj
is the difference between the changes of effective
refractive indices of two adjacent arrayed waveguides. We denote this constant as
∆dn
c
∆dn
c
= ∆dn
cj
(2.28)
Thus based on equation (2.19), we can get the new equation of AWG that satisfies the
phase match condition with current injection for this design
' λ m z dn L n
c c
= ⋅ ∆ + ∆ ⋅ (2.29)
where λ’ is the wavelength that passes the filter. Compare equation (2.29) with
equation (2.20), we can get
) / ' 1 ( / ) ' (
0 0 0
λ λ λ λ λ − ⋅ ∆ ⋅ − = − ⋅ ∆ ⋅ = ⋅ ∆ L n L n z dn
c c c
(2.30)
where
0
λ is the designed central wavelength. We see that the signal with wavelength
λ’ will pass the filter after electrical voltages are applied to the electrodes and
equation (2.30) is satisfied, while all the signals with other wavelengths will be
blocked.
C. Different Length Electrode Controlled AWG Tunable Filter
We can also design electrodes with different lengths z
j
. This is shown in figure
2.25, where the lengths of electrodes are designed as
z
1
– z
2
= z
2
– z
3
= … = z
n1
– z
n
= ∆z (2.31)
46
We can design both ∆z > 0 (figure 2.25(a)) and ∆z < 0 (figure 2.25 (b)). Since we
know that the carrierinduced change of refractive index is negative, which will be
shown in Chapter 4, the first design shown in figure 2.25(a) actually increases the
OPD between two adjacent arrayed waveguides while the second design shown in
figure 2.25(b) decreases the OPD.
In both cases, the optical path length (OPL) of a particular (jth) waveguide in
the waveguide array is
j cj j c j
z n L n OPL ⋅ ∆ + = (2.32)
where n
c
is the effective refractive index in the arrayed waveguides, L
j
is the length of
jth waveguide, ∆n
cj
is the change of the refractive index after carrier injection is
Figure 2.25 Electrode Controlled AWG Filter, with different lengths of electrodes.
λ
0
, λ
1
, λ
2
, …, λ
n
Input Output
λ
i
Electrodes
N
2
1
Z
N
Z
2
Z1
λ
0
, λ
1
, λ
2
, …, λ
n
Input Output
λ
i
Electrodes
N
2
1
Z
N
Z
2
Z1
(a) (b)
47
applied. For simplicity, we can let ∆n
cj
= ∆n
c
= constant. Under this condition, we can
get the new equation of AWG that satisfies the phase match condition with carrier
injection for this design as
' λ m z n L n
c c
= ∆ ⋅ ∆ − ∆ ⋅ (2.33)
where ∆z is defined in equation (2.31). Compare equation (2.33) with (2.20), we have
λ
λ
λ λ ∆ ⋅
∆ ⋅
= − ⋅ = ∆ ⋅ ∆ −
0
0
) ' (
L n
m z n
c
c
(2.34)
where ∆λ = λ’  λ
0
. Thus
0
λ λ ⋅
∆
∆
⋅
∆
− = ∆
L
z
n
n
c
c
(2.35)
Equation (2.35) gives the wavelength range of the filter. As an example, for GaN
material that we will discuss in Chapter 5, we have n
c
= 2.312, ∆n
c
= 0.18 at λ
0
=
1550 nm and carrier density N = 6 × 10
19
cm
3
. For our designed AWG, we have ∆L
equal to 64.79 µm. If we take ∆z = 75 µm, then ∆λ is about 140 nm.
From equation (2.35), we see that the larger is ∆z, the larger will ∆λ be.
Compare the two designs in figure 2.25, it is shown that figure 2.25(b) gives a better
design for wide range adjustable filter since it is easier to realize a large ∆z in this
design.
2.7.3 Design of Carrier Controlled AWG AllOptical Switch
Making devices with functionality of all optical switching is the final goal of
this research. Currently we only focus on the designs based on AWG structures.
48
2.7.3.1 Carrier Controlled Wavelength AllOptical Switch
A device consisting of two interleavechirped AWG routers connected by
waveguides with phase shifters was proposed by Doerr [27]. Figure 2.26 shows an
example with two lines inputs and two lines outputs for this configuration. In the
example, the interleave chirp consists of adding an additional path length of λ
c
/4 on
every other grating arm, where λ
c
(=λ
c
/n) is the wavelength of interest in the
waveguide. In general, an AWG router forms a radiation pattern on the output surface
Figure 2.26 Schematic diagram of the interleave cross connect. The inset in the
lower left corner illustrates the Brillouin zones for star coupler 2. (Ref. [27])
'
0
Ω
'
1 −
Ω
'
0
Ω
0
Ω
1
Ω
1 −
Ω
0
Ω
Line 1 Line 2
Star coupler
Phase shiffters
Waveguide grating
with interleave chirp
Line 2 Line 1
1
2
4
3
49
of the output star coupler by the signals from arrayed waveguides. The radiation
pattern has angular Brillouin zones Ω
i
of order i and width 2γ. The width of the
Brillouin zone is equal to the angular period of the radiation pattern formed by the
point sources put at the star coupler interface replacing the arrayed waveguides.
When every other grating arm has an additional path length λ
c
/4, two images are
formed in each Brillouin zone Ω
i
. The inset in figure 2.26 shows a fourchannel
application, where two images with each having four channels are formed in Brillouin
zone Ω
0
. So the FSR is reduced by a factor 2. New Brillouin zones Ω
i
'
are defined as
shown in the figure.
The images are collected by the nominal equallength waveguides with phase
shifters. As shown in the figure, only Ω
1
'
, Ω
1
'
and Ω
0
'
are connected since they
contain almost all the power. The two input lines on the other side of input star
coupler 1 are separated by γ and so are the two output lines on output star coupler 4.
A channel entering one of the input ports can be switched into either one of the two
output ports by controlling the relative phases in the three connecting waveguides for
this channel. For example, channel 1 is controlled by phase shifters 3, 7 and 11
(counted from bottom to top). The switching is actually based on a generalized Mach
Zehnder interferometer, consisting of the waveguides in the two AWG arrays and the
connecting waveguides.
The switching is actually a swap of the same channel in two input lines. If a
channel from input line 1 is switched into output line 2, then the same channel from
input line 2 has to be switched into output line 1. However, if one does not keep the
50
same channels (wavelengths) in different input lines, one can realize the full scale
switching. For example, if we put channel 1 (λ
1
) and 2 (λ
2
) in input line 1 and
channel 3 (λ
3
) and 4 (λ
4
) in input line 2, we can switch any channel to either output
lines by controlling the relative phase shifters for that channel.
So far, this device has been demonstrated for 2 lines × 2 lines, 6 channel × 200
GHz spacing in InP [28]. We will focus on GaN/AlGaN material applications for 2
lines × 2 lines switching of the signals with same wavelength. Then, we will do
explorations in N × N (N>2) applications for the switching of the signals with
different wavelengths in each line. In a similar way, devices with N (N>2) input ports
and N output ports can be designed by employing an interleave chirp in each AWG
router to produce N images in each Ω
i
with enough waveguides to collect all of them.
If the channels or wavelengths in any input line are different than the channels in any
other lines, one can switch any channel in any line to any other lines by adjusting the
phase shifters properly. By doing this, an alloptical wavelength switch is realized.
A 1 × N Wavelength Switch can be realized with the same method as
mentioned above. A switch with 1 input and 8 outputs will be investigated. The input
part consists of only one input port instead of N input ports. The N channels with N
different wavelengths all are inputted through the common input port. By adjusting
the corresponding phase shifters, any wavelength channel can be switched to any one
of the N output ports. The details of this design will be discussed in Chapter 3.
51
2.7.3.2 Carrier Controlled Wavelength AddDrop Switch
Based on the previous review, we propose a carrier controlled loopback add
drop switch as shown in figure 2.27. The device is based on the ideas of passive
Figure 2.27 Carrier Controlled LoopBack AddDrop Switch. (a) Schematic
Diagram, (b) Corresponding Black Box.
(a)
N
2
1
Z
N
Z
2
Z1
Arrayed
Waveguides
Loop Back
Loop Back
Main Input Main Output Wavelength
selective Output
Wavelength
selective Input
(b)
Main Output Main Input
Wavelength
Selective
Output
Add selective
wavelength
52
wavelengthselective switches and adddrop multiplexers in section 2.7.1 and carrier
controlled semiconductor AWG filter in section 2.7.2. Figure 2.27(a) shows this
design. In the figure, all the outputs except for the main output and the one next to
main output are connected with their corresponding inputs. With the control of
electrodes applied to the arrayed waveguides, one can get the specific selected
wavelength signal at the wavelengthselective output, while all the other signals from
main input will be all transferred into the main output because of the symmetric
design of the AWG device.
2.8. Design of AllOptical Switch Networks
After investigating the single pieces of the devices in section 2.7.3, it is worth
doing further research in the designing of switch networks. For example, we can
design a 1 × N switch network as in figure 2.28, where the switch block is the one
shown in figure 2.27(b). One can compare the functionality of this design with the
one in section 2.7.3.1.
Figure 2.28 1 × N Wavelength Switch Network.
λ
1
, λ
2,
…, λ
N
λ
3
, λ
4,
…, λ
N
λ
1
λ
2
λ
N1
λ
N
λ
2
λ
N1
53
Since we would have 2 × 2 switch for same wavelength channels and N × N
switches for different wavelength channels, it would be reasonable to do further
investigations to realize any wavelength N × N switching.
2.9. Conclusion
In this chapter, we started from the introduction of telecommunications
network architecture. Then we gave a brief introduction of the second generation of
optical networks, discussed the network elements and their applications. To realize
the functionalities of those elements, especially the OXC, we reviewed the basic
components and their applications in an optical network. Then we briefly introduced
some large optical switch architectures and technologies. Based on that, we
particularly reviewed the principles of AWG and its applications. After that, we
proposed some possible architectures that can be realized with AWG principles.
54
3. Design of WDM Cross Connect Based on Interleaved AWG
(IAWG) and a Phase Shifter Array
3.1. Introduction
In the previous chapter, we have discussed that wavelength division
multiplexing (WDM) technique has been widely applied in the fiberoptic networks,
it effectively utilizes wide wavelength windows of the fiber and provides an
additional degree of freedom in optical networking [3]. In WDM systems, it is
critical to develop optical devices that can optically route wavelength channels from
any input port to any output port and thus to fully realize nonblocking N × N optical
switch functionality.
In chapter 2, we have briefly introduced arrayed waveguide gratings (AWG),
which have been used as WDM optical multiplexers (MUX) and demultiplexers
(DEMUX). In practical applications, refractive index tuning of arrayed waveguides
between the two star couplers in an AWG has been introduced to adjust and optimize
the transfer function of the device and it can also be used to perform WDM switching
with proper device structure design [6][7][29]. In silicabased AWGs, this index
tuning can be accomplished by locally heating each individual waveguide branch.
However this thermal coefficientbased tuning is usually too slow for an optical
packet switch. To overcome the speed limit of thermal tuning, AWG devices are also
made by semiconductor materials, such as GaAs and InP. In these devices, refractive
indices of branch waveguides can be changed by carrier injection. In general, the
55
speed of carrierinduced index change can be in the order of subnanosecond, which
is many orders of magnitude faster than thermal tuning and therefore it can
potentially be used to support an alloptical packet switch in the future.
In chapter 2, we have reviewed several different designs and device structures,
which have been proposed to realize AWGbased optical switches [6][7][27], where a
unique waveguideinterleavedAWG (IAWG) structure was used. A 2 × 2 non
blocking wavelength switch was demonstrated by using this approach and it can be
expanded to realize the switch size of N × N. However, this N × N switch illustrated
in [6] is not truly “anytoany”, instead it is in a cyclical fashion [27], therefore, a
truly anytoany nonblocking optical switch cannot be directly realized using the
structure proposed in [27]. In addition, a general design rule of interleaved AWGs is
not available so far, although it is necessary in the designing of different IAWGs.
Also, from a switch architecture point of view, a truly anytoany N × N nonblocking
switch can be constructed by a group of 1 × N switches [30][1] using the Spanke
architecture as introduced in chapter 2. So it is also necessary to fully investigate the
design of 1 × N switch for a single wavelength using IAWGbased planar lightwave
circuit (PLC) and its applications to construct truly anytoany N × N wavelength
switch.
In this chapter, we will utilize the Spanke architecture to realize a fully
functional nonblocking N × N WDM switch. From chapter 2, we have known that
the Spanke architecture is based on the combination of 2n (1 × N) optical switches.
We will show how to realize this 1 × N optical switch by using IAWGs. We will
56
present a detailed description of a selfconsistent design rule of 1 × N all optical
switches. We will present the numerical results to illustrate the device characteristics
such as transfer functions and the extinction ratio of the switch. Then a detailed
design example of a 1 × 4 nonblocking WDM switch will be given and the phase
assignment at each phase shifter will be provided for various routing states. We will
also propose and investigate a simplified structure of a 1 × N WDM alloptical switch
based on a single IAWG with total a reflection at the end of each phase shifter.
Design considerations and device characteristics are discussed. It is also important to
note that the proposed 1 × N switch structure is a planar lightwave circuit (PLC) with
no waveguide crossing, therefore it can be monolithically integrated to create
sophisticated optical devices with more functionalities.
3.2. An Approach of an N × ×× × N All Optical Switch
It is well known that anytoany N × N nonblocking wavelength switches are
indispensable for optical networks. However, the design of a true anytoany N × N
optical switch using PLC technology is not an easy task because of its complexity and
it has not been demonstrated so far. One modular approach to solve this problem is to
combine a group of 1 × N optical switches. This has been shown in the Spanke
architecture in chapter 2. To illustrate this architecture more clearly, figure 3.1 shows
a 4 × 4 nonblocking wavelength switch, which consists of eight 1 × 4 wavelength
switches with four of them at the input side and four of them at the output side. For
57
each 1 × 4 optical switch at the input side, it switches the input signal of any of the
four wavelengths λ
1
, λ
2
, λ
3
and λ
4
into any one of its four output ports. Similarly,
each output 1 × 4 optical switch combines the four received wavelength channels
together and feeds them into the output fiber. Since optical switch functionality is
determined by the four input 1 × 4 switches, the four output switches are performing a
redundant operation and can simply be replaced by four 1 × 4 optical star couplers.
However, with this simplified option, there will be a 10log(N) dB intrinsic combining
loss for the optical signal because the power combiner is not wavelength selective.
Figure 3.1 The scheme of 4×4 alloptical switch.
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
λ , λ , λ , λ
1 2 3 4
1
4
3
2
1
4
3
2
58
Since 1 × N wavelength switches are fundamental building blocks to realize
this anytoany N × N nonblocking wavelength switch, the focus will be on the
development of a general design rule for a 1 × N wavelength switch in the following
sections.
3.3. The Scheme of the 1 × ×× × N AllOptical Switch
The scheme of a 1 × N alloptical switch is presented in figure 3.2. This
optical switch consists of two IAWGs and is very similar to the one Doerr suggested
[27], as we have reviewed in subsection 2.7.3.1. Instead of having two or more input
ports at the input side as suggested by Doerr, figure 3.2 has only one input port while
still having N output ports. In this figure, star coupler 1 and 2 form the input N
interleaved AWG (NIAWG). Star coupler 3 and 4 form the output NIAWG.
Between the two NIAWGs are N subsets of phase shifters. Each subset has N phase
shifters. The input NIAWG is designed in such a way that the input signal with
wavelength λ
i
is directed into all l
ij
phase shifters, where l
ij
is the index of phase
shifters, i = 1, 2, …, N is the index of ports in each Brillouin zone (BZ) and j = 1,
2, …, N is the index of BZs as shown in figure 3.2. Moreover, the NIAWG is
designed such that there is the same amount of signal power of wavelength λ
i
entering each l
ij
phase shifter. In this way, the routing of the input signal of
wavelength λ
i
can be totally controlled by all l
ij
phase shifters so that 1 × N switching
59
functionality can be realized. The switching functionality will be further explained in
the next section.
3.4. Design of the NIAWG
3.4.1. Functionality of NIAWG
In section 3.3, we mentioned that NIAWG is designed in such a way that the
input signal with wavelength λ
i
is directed into all the output waveguides that connect
with l
ij
phase shifters. To be convenient, we also use l
ij
to denote these corresponding
output waveguides. Moreover, for optimum operation, the amount of signal power
entering each such waveguide should be the same.
Figure 3.2 Schematic diagram of 1 × N alloptical switch.
Star coupler
Phase shifters
Waveguide grating
with interleave chirp
1
2
4
3
N
2
1
N
2
1
N
2
1
λ , λ , λ
...
1 2 N
λ λ λ
...
1 2 N
2
1
N
# of BZs
# of ports in each BZ
60
The above condition was mentioned for the NIAWG that has only one input
port as in figure 3.2. It can be extended to a general NIAWG that has N input ports as
shown in figure 3.3. When the separation between the input ports at star coupler 4 are
arranged properly, the NIAWG can direct the signal of wavelength λ
i
into the same
l
ij
output waveguides at star coupler 3, no matter which input port at star coupler 4 is
chosen. Moreover, the amount of the power entering into each of these output
waveguides at star coupler 3 is the same.
Based on the above description, we can see that for a signal at wavelength λ
i
,
no matter which input port at star coupler 4 it enters, the output power always
distributes evenly among the same l
ij
output waveguides of star coupler 3, but the
phase distribution depends on the chosen input port. Because of reciprocity, if we
Figure 3.3 Schematic diagram of NIAWG.
Star coupler
Waveguide grating
with interleave chirp
N 2 N 21N 21
N 2 1
1
2
N
1
4
3
(
)
61
input a signal of wavelength λ
i
into all those l
ij
waveguides at star coupler 3, each
with equal power, we can direct the signal into any one of the output ports at star
coupler 4 by adjusting the phase of each input properly. This explains the switching
functionality of figure 3.2. More details about this switching functionality will be
given later.
3.4.2. From AWG to IAWG
Similar to an AWG, an IAWG has an input star coupler and an output star
coupler. However, the path length difference between adjacent grating waveguides
for an IAWG deviates from that of an AWG to create a wavelengthdependent
focusing effect. To illustrate how to obtain the path length differences in IAWG, we
can start with the central phase matching equation of a conventional AWG as shown
in figure 2.13 [20][31]:
λ θ θ m d n L n d n
s c i s
= + ∆ ⋅ + ) sin( ) sin(
0
(3.1)
Where m is the grating order, n
c
is the effective refractive index of the arrayed
waveguide, n
s
is the effective index of the slab in the output star coupler, ∆L is the
path length difference between two adjacent waveguides in the array, d is the
separation of adjacent waveguides at the star coupler, θ
i
is the angle of ith input port
to the direction of the central input port, θ
0
is the diffraction angle in the output star
coupler and λ is the output wavelength. Compared with equation (2.20), we have
included the term related to the input side into equation (3.1) for general purpose.
62
From equation (3.1), the angular width ∆θ of the Brillouin zone (BZ), which
was defined in section 2.7.3., can be found as [32]:
d n
s
λ
θ = ∆ (3.2)
The angular separation between ∆θ/2 and ∆θ/2 is commonly referred to as the
central Brillouzin zone. Only the output in the central BZ is generally of concern for
an AWG since most of the signal energy is concentrated in this area.
An NIAWG varies the path length difference between the adjacent grating
waveguides so that each original BZ in an AWG is split into N equally spaced new
BZs [27]. Based on equation (3.2), we can find that the angular separation between
two adjacent BZs in an NIAWG is,
N d n
s
I
1
⋅ = ∆
λ
θ (3.3)
The subscript I in equation (3.3) indicates interleave. Ideally the N BZs of an N
IAWG split from the central BZ of an AWG should have the same amount of output
power according to the condition for optimum operation of NIAWG as we
mentioned above. Each should have output power 1/N if the output power in the
central BZ of the AWG is normalized. Because most of the output power is
concentrated in this area [27], these N new BZs play important roles in the devices
consisting of NIAWGs.
63
3.4.3. AWG MultipleBeam Interference Condition
Although the general concept was discussed in the above section, the design
of an NIAWG is not an easy task. Now we start presenting a general rule to design
an NIAWG. To simplify the explanation, we illustrate the design rule through the
process of constructing a 4IAWG as shown in figure 3.4, where figure 3.4(b) shows
that the central BZ of an AWG is split into four new BZs for the 4IAWG. We start
with a conventional AWG, which has M waveguides in the arrayed grating. We then
divide these M waveguides into four subsets with the pth subset composed of
waveguides p, p+4, p+8, p+12, ….., where p = 1, 2, 3, 4. In this arrangement,
removing any three of the four subsets, the remaining subset is still an AWG but with
path length difference 4∆L between adjacent waveguides and with waveguide
separation 4d at the input and output star couplers. With a single wavelength (λ
0
)
signal entering this remaining subset, the central phase match condition of this new
AWG can be obtained from equation (3.1)
0 0
' ) sin( ) 4 ( ) 4 ( ) sin( ) 4 ( λ θ θ m d n L n d n
s c i s
= + ∆ ⋅ + (3.4)
where m’ is the grading order of this new AWG. Therefore the angular separation
between two adjacent BZs at the output of the star coupler of this reduced AWG is,
) 4 (
'
0
d n
s
λ
θ = ∆ (3.5)
Comparing equation (3.5) with equations (3.2) and (3.3), we can see that the BZ of a
subset AWG has the same angular width as a 4IAWG, which is 1/4 that of the
original AWG. For each of the four subset AWGs, the radiation patterns are the same
64
in all the four new BZs denoted as Ω
1
, Ω
0
, Ω
1
and Ω
2
as shown in Figure 3.4(b).
Since these 4 subsets combine only to form the original AWG, when all the 4 subsets
exist, there is only one maximum for the output field pattern in the entire angular
region of Ω
1
, Ω
0
, Ω
1
and Ω
2
, which is the central BZ of the original AWG. This
maximum output value happens in Ω
0
. This leads to the conclusion: when the input is
at wavelength λ
0
, the signals from the four subsets of the arrayed waveguides add
constructively in Ω
0
and destructively in Ω
1
, Ω
1
and Ω
2
.
Figure 3.4 Diagram of output port distribution for an Ninterleaved AWG. (a) An N
interleaved AWG, where N = 4; (b) Closeup of the output star coupler, where Ω
i
(i = 1, 0, 1, 2) denotes the new Brillouzin zones of this 4IAWG. These new BZs
were split from the central BZ of a conventional AWG before it was interleaved.
Zoom in
(b)
λ
0
λ
0
λ
0
λ
0
Ω2
Ω1
Ω0
Ω1
w
a
v
e
g
u
id
e
g
r
a
tin
g
d
(a)
λ
0
λ
0
1
2
3
4
Interleaved waveguide grating
65
3.4.4. Vector Illustration of the AWG MultipleBeam Interference Condition
Table 3.1 Initial Vector Information for Constructing a 4IAWG
BZ Vector Addition
Ω
0
0
0 , 1 A 0 , 2
A
0 , 3
A
0 , 4
A
Ω
1
0
1 , 1 A
1 , 2 A
1 , 3 A
1 , 4 A
Ω
2
0
2 , 1 A
2 , 2
A
2 , 3
A
2 , 4
A
Ω
1
0
1 , 1 −
A
1 , 2 − A
1 , 3 − A
1 , 4 − A
66
To systematically investigate the pattern of optical field distribution at the
output of the second star coupler of a conventional AWG, a vector representation can
be used. Let’s take subset p of the arrayed waveguides and denote its optical field
output in BZ Ω
q
as a vector
q p
A
,
, where p = 1, 2, 3, 4 and q = 1, 0, 1, 2 in our above
example. We have
¦
¹
¦
´
¦
= ⋅
=
=
∑
=
0 4
2 1, 1,  0
0 , 1
4
1
,
q A
q
A
p
q p
(3.6)
More specifically, the above vector additions are illustrated in table 3.1, where the
relative phase angles between the vectors are considered and the vectors q A , 1 are
treated as the references.
From table 3.1, we can see that although each subset of bridge waveguides by
itself would project the same amount of output power in each of these new BZs, Ω
q
,
the combination of the four subsets creates only one maximum which is located in BZ
Ω
0
as the result of the vector addition of four field components in each BZ. If the
optical field magnitude created by each subset is
q p
A A
, 0
= , the maximum output
optical power in Ω
0
will be
2
0
16A .
3.4.5. Additional Lengths to Arrayed Waveguides for Constructing 4IAWG
In subsection 3.4.2, we mentioned that we could vary the path length
difference between the adjacent gratings to obtain an NIAWG. For a conventional
AWG, this path length difference is [31]
67
c
n
m
L
0
λ
= ∆ (3.7)
Table 3.2 Vector Information of a Constructed 4IAWG
BZ Vector Addition
Ω
0
0
0 , 1 A
0 , 2 A 0 , 3 A
0 , 4 A
Ω
1
0
1 , 1 A
1 , 2 A
1 , 3 A
1 , 4 A
Ω
2
0
2 , 1 A
2 , 2 A 2 , 3 A
2 , 4 A
Ω
1
0
1 , 1 − A
1 , 2 − A
1 , 3 − A
1 , 4 − A
68
where m is the order of the array, λ
0
is the center operating wavelength of the device
and n
c
is the effective index of the arrayed waveguide. Now we will show how to find
the additional waveguide lengths in addition to the ∆L in equation (3.7) to construct
an NIAWG. We still use the 4IAWG as an example. By rotating all the q A , 2 vectors
in table 3.1 by 180 degrees, the results of the vector additions turn out to be as in table
3.2. From table 3.2, it is shown that this π phase change makes the output power
equally split among the four BZs and the output power at each BZ be
2
0
4A , which is
1/4 of the maximum power shown in table 3.1.
To rotate all the vectors q A , 2 in table 3.1 by 180 degree means to change the
phase of the output vector from subset 2 waveguides by π. This can be realized by
adding additional length λ
0c
/2 to all the waveguides of subset 2, where λ
0c
= λ
0
/n
c
.
Furthermore, it can be easily seen that a 4IAWG can be realized by adding an
additional length λ
0c
/2 to all the waveguides in any one of the four subsets while
keeping the waveguides in three other remaining subsets unchanged.
The procedure can be further simplified. In the above process, all four BZs
were considered in finding the additional waveguide lengths. Since the initial value of
the sum of all the vectors in each of the BZs Ω
1
, Ω
1
and Ω
2
is zero, the magnitudes of
the vector summations in these three BZs will always be the same as long as each of
vectors q A , 2 turns a same amount of angle in each of these BZs. This fact tells us that
only one of these three BZs needs to be considered together with BZ Ω
0
in the
designing of a 4IAWG. This will be further explained later.
69
3.4.6. General Design Rule of NIAWG
Based on the above example, a general rule in designing an NIAWG can be
deduced. Firstly, one can divide the M arrayed waveguides in the AWG into N
subsets. In each subset, N⋅∆L is the path length difference between adjacent
waveguides and N⋅d is the arrayed waveguide separation at the input and output star
couplers. Secondly, one can find the initial vector information as in table 3.1. As
mentioned above, it is only needed to consider one more BZ, say Ω
1
, besides the
central BZ Ω
0
, where the maximum initial output power
2
0
2
A N exists. Then initially,
the sum of the vectors in BZ Ω
0
and Ω
1
are
0 , 1
1
0 ,
0
A N A V
N
p
p ⋅ = =
∑
=
Ω (3.8a)
0
1
1 ,
1
= =
∑
=
Ω
N
p
p A V (3.8b)
So one can get the similar graphs as shown in table 3.1. Thirdly, one rotates any pair
of vectors 0 , p A and 1 , p A by the same angle δ
p
, where p = 2, … N. We then rotate as
many pairs as necessary until the following condition is met
0 , 1
1
1 ,
1
0 ,
1 0
A N V A A V
N
p
p
N
p
p ⋅ = = = = Ω
= =
Ω
∑ ∑
(3.9)
At this point, one can record all the angular values, δ
p
, and the additional length
needed for the waveguides in Subset p can be calculated as
c
p
L
0 add
2
λ
π
δ
⋅ = ∆ (3.10)
70
where δ
p
is in radians. Since 0 ≤ δ
p
< 2π, ∆L
add
is always less than λ
0c
. Finding ∆L
add
values is essential in the design of an NIAWG.
3.4.7. Output Port Arrangement
From the above description, Ω
0
is always used as the central BZ. This means
the output ports on the second star coupler have to be arranged in accordance with the
locations of BZs as illustrated in figure 3.4(a). Figure 3.4(b) is a detailed description
of the output star coupler, where if N is an odd number, the distribution of
waveguides is symmetrical about the center of the output star coupler, while if N is an
even number there is one extra output port on one side in comparison to the other side.
Table 3.3 Multiple sets of additional waveguide lengths [λ
c
] in the design of an N
IAWG
N Calculated Additional Arrayed Waveguide Lengths [λ
c
]
2 1/4, 0
1/3, 0, 0 3
2/3, 0, 0
1/2, 0, 0, 0
1/4, 1/2, 1/4, 0
4
3/4, 1/2, 3/4, 0
0, 2/5, 1/5, 2/5, 0
0, 3/5, 4/5, 3/5, 0
0, 1/5, 3/5, 1/5, 0
5
0, 4/5, 2/5, 4/5, 0
6 1/12, 1/3, 3/4, 1/3, 1/12, 0
71
11/12, 0, 1/4, 2/3, 1/4, 0
3/4, 2/3, 3/4, 0, 5/12, 0
1/4, 1/3, 1/4, 0, 7/12, 0
1/12, 0, 3/4, 1/3, 3/4, 0
11/12, 2/3, 1/4, 2/3, 11/12, 0
0, 1/7, 3/7, 6/7, 3/7, 1/7, 0
0, 2/7, 6/7, 5/7, 6/7, 2/7, 0
0, 3/7, 2/7, 4/7, 2/7, 3/7, 0
0, 4/7, 5/7, 3/7, 5/7, 4/7, 0
0, 5/7, 1/7, 2/7, 1/7, 5/7, 0
7
0, 6/7, 4/7, 1/7, 4/7, 6/7, 0
0, 3/4, 1/2, 0, 1/2, 3/4, 0, 0
1/8, 1/4, 5/8, 0, 5/8, 1/4, 1/8, 0
0, 0, 1/4, 1/2, 0, 1/2, 1/4, 0
1/8, 0, 3/8, 1/2, 1/8, 1/2, 3/8, 0
0, 1/4, 0, 0, 1/2, 1/4, 1/2, 0
1/8, 1/4, 1/8, 0, 5/8, 1/4, 5/8, 0
8
7/8, 3/4, 3/8, 0, 3/8, 3/4, 7/8, 0
3.4.8. Comparison with Previous Results
The general rule discussed above can be used to calculate the additional
lengths ∆L
add
needed in arrayed waveguides of an AWG to transfer it into an N
IAWG for any N value. Generally, multiple sets of additional lengths can be obtained
with the general design rule for a particular N. Table 3.3 shows the examples of the
additional lengths that were calculated by using this general rule for N = 2, 3, 4, 5, 6,
72
7, 8. All these values have been verified as good for constructing their respective N
IAWGs.
Also shown in table 3.4 is another special set of additional lengths given by
Doerr in [27] where there is not a systematic design rule provided. Comparing
Doerr’s result with our simulation results presented in table 3.3, it can be found that
Doerr’s result is clearly only one of the solutions that can be obtained by using the
general design rule. For example, Doerr’s result of (3/4, 1/3, 3/4, 0, 1/12, 0) for N = 6,
is the same as our simulation result of (1/12, 0, 3/4, 1/3, 3/4, 0) for N = 6.
Table 3.4 Comparisons between the distributions of additional waveguide lengths [λ
c
]
in the design of IAWG
N Additional Waveguide Lengths [λ
c
] From [4]
2 1/4, 0
3 1/3, 0, 0
4 1/2, 0, 0, 0
5 1/5, 3/5, 1/5, 0, 0
6 3/4, 1/3, 3/4, 0, 1/12, 0
7 1/7, 3/7, 6/7, 3/7, 1/7, 0, 0
8 1/4, 1/2, 0, 1/2, 1/4, 0, 0, 0
This further confirms that the general rule gives us a way to find the additional
length distribution in arrayed waveguides needed for constructing an NIAWG. The
fact that there are multiple sets of additional length distributions for each N value
73
benefits the design of an NIAWG in that the optimum set of additional lengths can
be chosen.
3.4.9. Verification of Equal Vector Magnitudes in BZs of NIAWG
In subsection 3.4.5, it was mentioned that the magnitudes of the vector
summations in BZs Ω
1
, Ω
1
and Ω
2
are the same as long as each of vectors q A , 2 turns
a same amount of angle. This is obvious in the structure of 4IAWG that was
discussed above. In this subsection, this consequence of equal vector magnitudes in
BZs will be verified for 5IAWG in a relatively general way so that its method can be
applied to any NIAWG for any values of N.
As in the case of 4IAWG, to construct a 5IAWG, we can divide the M
arrayed waveguides of a conventional AWG into five subsets with the pth subset
composed of waveguides p, p+5, p+10, p+15, p+20, where p = 1, 2, 3, 4, 5. In this
arrangement, removing any four from the five subsets, the remaining subset is still an
AWG but with path length difference 5∆L between adjacent waveguides in the array
and with waveguide separation 5d at the input and output star couplers.
Similarly, let a single wavelength (λ
0
) signal enter this remaining subset, the
central phase match condition of this new AWG would be
0 0
' ) sin( ) 5 ( ) 5 ( ) sin( ) 5 ( λ θ θ m d n L n d n
s c i s
= + ∆ ⋅ + (3.11)
And the angular separation between two adjacent BZs at the output of the star coupler
of this reduced AWG is,
74
) 5 (
'
0
d n
s
λ
θ = ∆ (3.12)
We can see that the BZ of a subset AWG has the same angular width as a 5
IAWG, which is 1/5 that of the original AWG. Similar to the case of 4IAWG, for
each of the five subset AWGs, the radiation patterns are the same in all the five new
BZs denoted as Ω
2
, Ω
1
, Ω
0
, Ω
1
and Ω
2
as in Figure 3.5b. Since these five subsets
combine only to form the original AWG, when all the five subsets exist, there is only
Figure 3.5 (a) Diagram of output port distribution for a 5interleaved AWG. (b)
Closeup of the output star coupler, where Ω
i
(i = 2, 1, 0, 1, 2) denotes the new BZs
of this 5IAWG. These new BZs were split from the central BZ of a conventional
AWG before it was interleaved.
Zoom in
(a)
λ
0
1
2
3
4
Interleaved waveguide grating
λ
0
λ
0
w
a
v
e
g
u
id
e
g
r
a
t
in
g
λ
0
λ
0
λ
0
λ
0
Ω
0
Ω
1
Ω
1
Ω
2
Ω
2
d
(b)
75
one maximum for the output field pattern in the combining angular region of Ω
2
, Ω
1
,
Ω
0
, Ω
1
and Ω
2
, which is the central BZ of the original AWG. This maximum output
value happens in Ω
0
. This leads to the conclusion, the signals from the five subsets of
the arrayed waveguides add constructively in Ω
0
and destructively in Ω
2
, Ω
1
, Ω
1
and
Ω
2
.
Similarly, we can have a vector representation, which is shown in the
following equation
¦
¹
¦
´
¦
= ⋅
=
=
∑
=
0 5
2 1, 1,  2,  0
0 , 1
5
1
,
q A
q
A
p
q p
(3.13)
where p = 1, 2, 3, 4, 5 and q = 2, 1, 0, 1, 2 in this case. These vector additions are
illustrated in table 3.5, where the relative phase angles between the vectors are
considered and the vectors q A , 1 are treated as the references.
From table 3.5, if the optical field magnitude created by each subset is
q p
A A
, 0
= , the maximum output optical power in Ω
0
will be
2
0
25A . The optical
powers in other BZs are all equal to zeros just as in the case of 4IAWG.
Our result in subsection 3.4.8 shows that if we keep the arrayed waveguide
lengths in the first and fifth subsets, add additional lengths of (2λ
0c
)/5 to all the
waveguides in the second and fourth subsets and add additional lengths of λ
0c
/5 to all
the waveguides in the third subset, the output optical powers in the five BZs will be
76
the same, which is equal to
2
0
5A , which is 1/5 of the maximum power shown in table
3.5. Thus a conventional AWG is turned into a 5IAWG.
Table 3.5 Initial Vector Information of Constructing a 5IAWG
BZ Vector Addition
Ω
0
0
0 , 1 A
0 , 2 A 0 , 3 A 0 , 4 A 0 , 5 A
Ω
1
0
1 , 5 A
1 , 1 A
1 , 3 A
1 , 2 A
1 , 4 A
Ω
2
0
2 , 5 A
2 , 1 A
2 , 3 A
2 , 2 A
2 , 4 A
Ω
1
0
1 , 5 − A
1 , 1 − A
1 , 3 − A
1 , 2 − A
1 , 4 − A
Ω
2
0
2 , 5 − A
2 , 1 − A
2 , 3 − A
2 , 2 − A
2 , 4 − A
77
As we know, adding additional lengths of λ
0c
/5 to the waveguides of the third
subset is equivalent to turning all the vectors q A , 3 by α radians, and adding additional
lengths of (2λ
0c
)/5 to the waveguides in the second and fourth subsets is equivalent to
turning all the vectors q A , 2 and q A , 4 by 2α radians, where α = 2π/5.
Figure 3.6 (a) The changes of the signal vectors in BZ Ω
1
when an AWG
changes to a 5IAWG; (b) The changes of the signal vectors in BZ Ω
2
when an
AWG changes to a 5IAWG.
(a)
0
1 , 5 A
1 , 1 A
1 , 3 A
1 , 2 A
1 , 4 A
0
1 , 5 A
1 , 1 A
1 , 3 A
1 , 2 A
1 , 4 A
,
1 , 4 A
2
x
1
x
5
x
4
x
3
x
,
1 , 3 A
,
1 , 2 A
(b)
0
2 , 5 A
2 , 1 A
2 , 3 A
2 , 2 A
2 , 4 A
0
,
2 , 4 A
2
x
1
x
5
x
4
x
3
x
,
2 , 3 A
,
2 , 2 A
2 , 4 A
2 , 2 A
2 , 5 A
2 , 3 A
2 , 1 A
78
Now let’s verify that the optical powers are the same in BZs Ω
1
and Ω
2
after
the vectors are turned the above angles. Figure 3.6 shows the changes of the signal
vectors in BZs of Ω
1
and Ω
2
. Figure 3.6a shows that vectors 1 , 2 A , 1 , 3 A and 1 , 4 A are
changed to
,
1 , 2 A ,
,
1 , 3 A and
,
1 , 4 A . From equation (3.13) we know that
0 1 , 5 1 , 4 1 , 3 1 , 2 1 , 1 = + + + + A A A A A (3.14)
So we have
) ( ) (
1 5 5 4 4 3 4 3 3 2
1 , 5
,
1 , 4
,
31
,
1 , 2 1 , 1 x x x x x x x x x x A A A A A + + + + = + + + + (3.15)
Where
) (
4 3 3 2
1 , 2
,
1 , 2 x x x x A A + = − (3.16a)
4 3
1 , 3
,
1 , 3 x x A A = − (3.16b)
) (
1 5 5 4
1 , 4
,
1 , 4 x x x x A A + = − (3.16c)
Let
0
3 2
V x x = , (3.17)
We have
α α α 3
0
1 5
2
0
5 4
0
4 3
, ,
j j j
e V x x e V x x e V x x = = = , (3.18)
Combine equations (3.18) and (3.15),
) 2 1 (
) ( ) (
3 2
0
3
0
2
0 0 0 0 1 , 5
,
1 , 4
,
31
,
1 , 2 1 , 1
α α α
α α α α
j j j
j j j j
e e e V
e V e V e V e V V A A A A A
+ + + =
+ + + + = + + + +
(3.19)
Similarly, from figure 3.6b, we can get
79
) 2 1 (
) ( ) (
) ( ) (
3 2
0
0 0
3
0
2
0 0
4 3 3 2 1 5 5 4 4 3
2 , 5
,
2 , 4
,
2 , 3
,
2 , 2 2 , 1
α α α
α α α α
j j j
j j j j
e e e V
e V V e V e V e V
x x x x x x x x x x A A A A A
+ + + =
+ + + + =
+ + + + = + + + +
(3.20)
So from (3.19) and (3.20), we can see that
2 , 5
,
2 , 4
,
2 , 3
,
2 , 2 2 , 1 1 , 5
,
1 , 4
,
31
,
1 , 2 1 , 1 A A A A A A A A A A + + + + = + + + + (3.21)
This verifies that the optical powers are the same in BZs Ω
1
and Ω
2
after the vectors
are turned their relative angles. If we look at figure 3.6 clearly, we can see that the
result in equation (3.21) can be obtained directly from the figure.
Furthermore, by using the same vector method, we can get
5 , 4 , 3 , 2 , 1 for 5 ) (
0 , 1
5
1
,
,
, = ⋅ = −
∑
=
q A A A
p
q p q p
(3.22)
This verifies that optical powers are all the same in BZs of the 5IAWG. By using this
same method, we can verify that the optical powers are split evenly among the BZs of
an NIAWG. This guarantees that the functionality of an NIAWG is feasible.
3.4.10. Verification of NIAWG with Numerical Simulation
In the above subsections, the general design rule has been given out, and
multiple sets of additional lengths are calculated and compared with a special set of
additional lengths presented by Doerr. In this subsection, numerical simulations will
be applied to verify that the additional lengths applied to the arrayed waveguides do
change an AWG to an IAWG. Again the 4IAWG as shown in figure 3.4 is taken as
an example. In the simulation, the 4IAWG is designed for four channels with
channel wavelengths 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm. The
80
wavelength λ
0
used to design the 4IAWG was 1550.0 nm, and a signal with constant
spectrum between 1549.21550.8 nm as the input. Since the amplitude distribution of
a star coupler is a Gaussian distribution [33], the intensity distribution at the output
side of the first star coupler in 4IAWG, which is position 2 in figure 3.4, is also a
Gaussian, which can be expressed as
) , , ( ) (
0
m M I m I σ = (3.23a)
where I
0
is a discrete Gaussian distribution, which is expressed as

¹

\

−
− =
2
2
0
2
2
exp
2
1
) , , (
σ π σ
σ
M
m
m M I (3.23b)
In the application, m = 1, 2, ⋯, M, is the index of the waveguides in the array. M is
the total number of the waveguides in the array. σ is the standard variance of the
distribution. In the design example of 4IAWG, the following values are chosen: M =
64, σ = σ
0
= 0.36*(W/2), where W = 63D
0
is the width of the output range of the star
coupler with D
0
as the output waveguide separation.
Matlab programs had been composed, and simulations had been run. The
simulation results are shown in figure 3.7. Figure 3.7a shows the output powers of the
four output ports for wavelength λ
0
= 1550 nm. It is quite clear that these four outputs
have exactly the same powers at the same wavelengths with peak value at λ
0
= 1550
nm. Figure 3.7b, 3.7c and 3.7d show the output powers of three other channels from
12 other output ports as shown in figure 3.4a. Each channel relates to four output
81
ports. It can be seen that all these simulation results have verified the design of 4
IAWG.
Figure 3.7 Verification of 4IAWG. The output powers at its related four output
ports are exactly the same for each channel. (a) Central channel with wavelength
λ
0
= 1550 nm, (b) Channel of wavelength 1549.2 nm, (c) Channel of wavelength
1549.6 nm, (d) Channel of wavelength 1550.4 nm.
(a)
1549.2 1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6 1550.8
70
60
50
40
30
20
10
0
wavelength(nm)
d
B
82
Figure 3.7 (b) and (c)
(b)
1549.2 1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6 1550.8
70
60
50
40
30
20
10
0
wavelength(nm)
d
B
(c)
1549.2 1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6 1550.8
70
60
50
40
30
20
10
0
wavelength(nm)
d
B
83
3.4.11. Transfer function of an NIAWG
Since the design of an NIAWG has been verified, it is time to find its transfer
function. With the intensity Gaussian distribution at the star coupler as shown in
equation (3.23), the output amplitude at one of the output ports of an NIAWG can be
expressed as,
[ ] ( {
[ ] )}
s
c
M
m
N l x m Q m x P
N m ADDL L m L jk m B m A l C l A
⋅ − + − +
⋅ − + ∆ ⋅ − + ⋅ ⋅ =
∑
=
)) ( ), 1 (( )) 1 ( ), 0 ( (
) 1 ( ) 1 ( exp ) ( ) ( ) ( ) , (
2 1
0
1
IAWG
λ
(3.24)
Figure 3.7 (d)
(d)
1549.2 1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6 1550.8
70
60
50
40
30
20
10
0
wavelength(nm)
d
B
84
where l is the position index of the output ports at the second star coupler, λ is the
channel wavelength, L
0
is the length of the shortest waveguide in the waveguide array,
N
c
is the refractive index of waveguide while N
s
is the refractive index of the slab
region of the star coupler. ∆L is the path length difference between adjacent arrayed
waveguides of a traditional AWG. ADDL gives the additional lengths added to the
arrayed waveguides in AWG to obtain IAWG. A(m) is the amplitude distribution at
the input side of the arrayed waveguides, B(m) is the modification factor for the
output of the arrayed waveguides transmitting to the output ports at the second star
coupler. C(l) is the modification factor to the output at the lth output port of the
second star coupler due to Gaussian distribution. P(x
1
, m) is the path length from the
input port at x
1
through the first star coupler to the mth arrayed waveguide. Q(m, l) is
the path length from the mth arrayed waveguide through the second star coupler to
the l–th output port. Here m is 0 for the shortest waveguide in the array. According to
[33], we have
0
1
0 1
2
) 1 2 (
) , (
R
d x m
R m x P
−
− = (3.25)
0
2
0 2
2
) 1 2 (
) , (
R
d x m
R x m Q
−
− = (3.26)
where, x
1
and x
2
denotes the positions of the input port and output port on the relative
star couplers, d is the arrayed waveguide separation, R
0
is the radius of curvature of
the star coupler. The distribution factors in equation (3.24) are expressed as
[ ]
2 / 1
0 0
) , , ( ) ( ) ( m M I m B m A σ = = (3.27)
85
[ ]
2 / 1
0 0 0
) , , 2 / ( ) 2 ( ) ( l M I l C σ π σ ⋅ = (3.28)
where equation (3.27) is due to the principle of reciprocity. The distribution C(l) is
normalized and the half width as in equation (3.28) is due to the Rowland structure of
the star coupler. Equation (3.24) can be written as
[ ] ( {
[ ] )}
s
c
M
m
N l x m Q m x P
N m ADDL L m L jk m I l C l A
⋅ − + − +
⋅ − + ∆ ⋅ − + ⋅ ⋅ =
∑
=
)) ( ), 1 (( )) 1 ( ), 0 ( (
) 1 ( ) 1 ( exp ) ( ) ( ) , (
2 1
0
1
IAWG
λ
(3.29)
Define a function of an IAWG as
[ ] ( {
[ ] )}
s
c
M
m
N l x m Q m l x P
N m ADDL L m L jk m I l C l C l l B
⋅ − + − +
⋅ − + ∆ ⋅ − + ⋅ ⋅ ⋅ =
∑
=
)) ( ), 1 (( )) 1 ( ), ( (
) 1 ( ) 1 ( exp ) ( ) ( ) ( ) , , (
2 2 1 1
0
1
2 1 2 1 IAWG
λ
(3.30)
Then
) , , 0 ( ) , (
IAWG IAWG
λ λ l B l A = (3.31)
3.4.12. Extinction Ratio Versus the Interleaved Number N
In our definition, extinction ratio is the difference between the maximum
value (dB) of the central peak and the maximum value (dB) of the side lobes as
shown in figure 3.7. Extinction ratio versus the interleaved number N for a single
wavelength channel was calculated. The result is shown in table 3.6. From table 3.6,
we see that the extinction ratio does not change very much with the changes of the
number of the interleaves. This can be explained by the multibeam interferences at
86
the output star coupler. It is obvious that the total number of waveguides at the input
side of the output star coupler remains the same although the interleaves are different.
It is still the same number of waveguides that join the interferences at each output
port of the output star coupler. The extinction ratio thus remains the same. This is a
very important result. It means we can design as many numbers of interleaved AWG
as possible.
Table 3.6 Extinction ratio (ER) versus the interleaved number N
N 1 2 4 5 6 7 8
ER (dB) 64.0 61.5 57.0 60.5 58.9 55.9 62.0
3.5. Realization of a 1 × ×× × N All Optical Switch
3.5.1. The Transfer Function of a 1 × ×× × N AllOptical Switch
Since a 1 × N AllOptical Switch consists of two NIAWGs and the transfer
function of a single NIAWG is shown in equation (3.29), we can similarly get the
transfer function of the 1 × N AllOptical Switch. With the result in equation (3.29),
the output signal amplitude at one of output ports of star coupler 2 in figure 3.2 can be
expressed as
) , ( ) , (
IAWG out 2
λ λ l A l A = (3.32)
87
After the signal output from the lth output port of the first NIAWG going through its
connected phase shifter, the complex amplitude of the signal becomes
)] , ( exp[ ) , ( ) , (
out 2 out 3
λ θ λ λ l j l A l A ∆ ⋅ = (3.33)
This is the signal amplitude at the entrance of star coupler 3 as designated in figure
3.2. ∆θ(l, λ) is the phase change caused by the lth phase shifter to the signal of
wavelength λ. This will be discussed further later.
The output signal from the lth phase shifter contributes an output at the nth
output port of star coupler 4, which can be expressed as
) , , ( ) , ( ) , , (
IAWG out 3 out
λ λ λ n l B l A n l B ⋅ = (3.34)
Adding contributions of the signals from all the phase shifters, the total output at the
nth output port of star coupler 4 for the signal of wavelength λ can be expressed as
∑
⋅
=
=
N N
l
n l B n A
1
out 4out
) , , ( ) , ( λ λ (3.35)
Equations (3.32)(3.35) give out the transfer function of a 1 × N AllOptical Switch.
3.5.2. Switching Functionality Verification and Phase Change Information
The functionality of an NIAWG has been explained in subsection 3.4.1. To
realize the 1 × N switching functionality with the structure of figure 3.2, all we need
to do is to verify that it is possible to switch a signal with one specific wavelength λ
i
,
i = 1, 2, …, N, to any one of the output ports from the single input port. This is
because signals with different wavelengths are controlled by different sets of phase
shifters. Switching a signal of specific wavelength with a specific set of phase shifters
88
will not affect the signals of other wavelengths. According to the description in
section 3.4, the realization of the switching functionality is due to the symmetry of the
structure of figure 3.2. For a single wavelength channel, all we need to do is to collect
the phase information at its N related output ports of star coupler 2 and the phase
information we needed at the N related input ports of star coupler 3 to direct the
signal to a specific output port at star coupler 4.
Now if we let the wavelength channel λ
i
input into the nth output port at star
coupler 4 in figure 3.2, we should be able to collect its output signal at the N related
input ports of star coupler 3. We denote the phase at the kth input port of star coupler
3 as θ
n
(k,λ
i
), where k is equal to i, N+i, 2N+i, …, or (N1)N+i. Then we know if the
same single wavelength channel is input from the only central input port of star
coupler 1, the signal will be switched to the nth output port at star coupler 4 as long
as the phase at the kth input port of star coupler 3 is θ
n
*
(k,λ
i
), the conjugate of
θ
n
(k,λ
i
), for all k = i, N+i, 2N+i, …, (N1)N+i. We can write these in the following
equations
)] , ( exp[ ) , ( ) , (
0 out 2 out 2 i i i
k j k A k A λ θ λ λ ⋅ = (3.36)
)] , ( exp[ ) , ( ) , (
*
out 2 out 3 i n i i
k j k A k A λ θ λ λ ⋅ = (3.37)
As long as equation (3.37) is satisfied, the signal will be switched to the nth output
port at star coupler 4. From equation (3.36) and (3.37), we can get the phase change
needed in the kth phase shifter as
) , ( ) , ( ) , (
0
*
i i n i
k k k λ θ λ θ λ θ − = ∆ (3.38)
89
where λ
i
is the wavelength of the single channel and n denotes the destination output
port of the signal. θ
0
(k,λ
i
) in equations (3.36) and (3.38) is the phase information of
channel λ
i
at the kth output port of star coupler 2. The arrangement of the output
ports can be seen in figure 3.8 for the example of a 1×4 switch, where only the four
phase shifters related to wavelength λ
0
are shown.
It can be seen that every single phase shifter needs an independent control
signal to adjust the phase needed. Since there are N
2
phase shifters as shown in figure
3.2, there are N
2
degrees of freedom in our 1×N structure.
Figure 3.8 Schematic diagram of 1×4 switch for single channel with wavelength λ
0
.
1
2
4
3
λ 0
1
2
1
X
1 2 4 3
λ
0
D
D
2D
0
D
D
2D
0
2
D
0

D
D
X
X
90
3.5.3. Simulation Verification An Example
Although the above description of the structure is very reasonable, it is still
important to do simulation verifications to obtain the practical requirements on the
parameters. This will help us to know if the suggested structure works in real
applications. We did a simulation for a 1×4 switch. The switching functionality was
verified. This specific schematic diagram of a 1×4 switch is shown in figure 3.8. In
this scheme, the input port at start coupler 1 is located at the center of the star coupler.
The output ports at star coupler 2 are located at the positions of –D, 0, D and 2D as
shown in the figure. The locations of the input ports and the output ports at star
couplers 3 and 4 are also shown in the figure, where X is the coordinate, D is the
waveguide separation. To simplify the diagram, we have only drawn four phase
shifters here. These phase shifters are connected to the four output ports on the star
coupler 2. These four output ports are the only ones to which the signal of wavelength
λ
0
is directed in the four new central BZs of the 4IAWG. In our real simulation,
however, all 4×4 = 16 phase shifters were involved so that the crosstalk caused by
this design could be evaluated.
Figure 3.9 shows one of our simulation results. The four channel wavelengths
are 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm with a channel spacing of 0.4
nm. Figure 3.9 shows that 1550.0 nm channel was switched to output port 1 (D),
1549.6 nm channel to output 2 (0), 1550.4 nm channel to output 3 (D) and 1549.2 nm
channel to output 4 (2D). For comparison, we put these graphs together in figure 3.10.
91
We can see from figure 3.10 that the crosstalk is about –32 dB or less, which verifies
that the scheme is applicable.
Figure 3.9 Simulation result of 1×4 switch for four wavelength channels with
wavelengths 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm with a channel
spacing of 0.4 nm. The 1550.0nm channel was switched to output port 1,
1549.6nm channel to output 2, 1550.4nm channel to output 3 and 1549.2nm
channel to output 4.
1549 1549.5 1550 1550.5
60
40
20
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
1549 1549.5 1550 1550.5
60
40
20
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
1549 1549.5 1550 1550.5
60
40
20
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
1549 1549.5 1550 1550.5
60
40
20
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
92
The values of phase changes and related refractive index changes required in
the phase shifters in our simulation are presented in tables 5 and 6. Here we have
assumed that the equal length waveguides are connected to the phase shifters. The
relationship between phase changes and the refractive index changes is
θ
π
λ
∆ ⋅ = ∆
) ( 2 LP
n (3.39)
Figure 3.10 Simulation result of 1×4 switch for four wavelength channels with
wavelengths 1549.2 nm, 1549.6 nm, 1550.0 nm and 1550.4 nm with a channel
spacing of 0.4 nm. The crosstalk between channels is round –32 dB or less.
1549 1549.2 1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6
60
50
40
30
20
10
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
93
where LP is the length of the phase shifters. From table 3.8, we can see that the
maximum refractive index change needed in a phase shifter with a length of 2 mm is
6.918 × 10
4
to switch the signal of wavelength 1550 nm. From our previous research
[29][34], we know that the maximum possible refractive index change at wavelength
1550 nm is ~9 × 10
4
. This result clearly verifies that the switching is realizable.
Table 3.7 Phase changes (∆θ) needed in phase shifters for each output port selection
in 1×4 alloptical switch (λ = 1550 nm)
Output
Choice
Phase shifter 1
(radians)
Phase shifter 2
(radians)
Phase shifter 3
(radians)
Phase shifter 4
(radians)
Port 1 1.659 3.128 1.510 3.007
Port 2 0.8362 0.8091 2.454 2.184
Port 3 3.128 1.510 3.007 1.362
Port 4 0.8091 0.6874 2.184 2.602
Table 3.8 Refractive index changes (∆n) needed in phase shifters with length LP = 2
mm for each output port selection in 1×4 alloptical switch (λ = 1550 nm)
Output
Choice
Phase shifter 1 Phase shifter 2 Phase shifter 3 Phase shifter 4
Port 1 2.046e004 3.858e004 1.863e004 3.709e004
Port 2 1.031e004 0.998e004 3.027e004 2.694e004
Port 3 3.858e004 1.863e004 3.709e004 1.680e004
Port 4 0.998e004 0.848e004 2.694e004 3.209e004
94
3.5.4. The Scheme of Mirror 1 × ×× × N AllOptical Switch
The simulation verifies that the scheme shown in figure 3.2 works. It is based
on the symmetry of the structure with two NIAWGs. In a real application, there are
always some mismatches between the two NIAWGs caused in fabrication process.
The mismatches can cause extra signal loss. To avoid this shortage, we made
modifications on the scheme in figure 3.2 to simplify the structure. The new designed
structure is shown in figure 3.11. Instead of using two NIAWGs, we use just one in
this new design by using a mirror as shown in the figure. The waveguides at the input
side of star coupler 1 are all used for the output ports except for the central one. This
central input waveguide is used as the only input port for this new design. Obviously
there are only N1 output ports. So this new design essentially is a 1 × (N1) all
Figure 3.11 Mirror scheme of 1 × N alloptical switch.
1
2
N
2
1
N
2
1
N
2
1
λ , λ , λ
...
1 2 N
2
1
N
Mirror
.
.
.
.
.
.
2 1
λ , λ
’ ’
λ
N
’
95
optical switch. The simplicity of the structure is the tradeoff of one less output
channel. But the advantage of this scheme is quite clear. By using the same NIAWG
for input and output in the scheme shown in figure 3.11, the possible mismatch
between the input and output IAWGs in the previous scheme is successfully avoided.
We can always have the peak value at the output ports as long as the phase change
requirements in the phase shifters are satisfied. Figure 3.12 shows a simulation result
for the mirror structure for N = 4. As we mentioned above, three channels can be
applied to the structure.
Figure 3.12 Simulation result of the mirror scheme of 1 × (N–1) alloptical switch
for N = 4.
1549.4 1549.6 1549.8 1550 1550.2 1550.4 1550.6
50
45
40
35
30
25
20
15
10
5
0
Wavelength (nm)
T
r
a
n
s
m
i
s
s
i
o
n
(
d
B
)
96
3.6. Conclusion
In this chapter, we first proposed a uniquely fully functional nonblocking N ×
N WDM alloptical switch. Then we presented a complete theory or method for
designing a 1 × N all optical switch, which is the key element in the designing of an N
× N WDM alloptical switch. Since the 1 × N all optical switch is an application of N
AWG, the general rule for the design of an NIAWG was thus developed and
presented. It was found that multiple solutions could be obtained by using the general
rule. The comparison between the results obtained by using the general rule and the
results from other papers showed that the general rule is practical and the results
previously published are special cases under this general rule. It allows us to find the
optimum additional lengths added to the arrayed waveguides of an AWG to construct
an NIAWG. By applying the general rule, any number of interleaved IAWGs can be
developed. The 1 × N freely switching functionality for a single wavelength channel
was then discussed. Various simulation results were presented and the feasibility of
this proposed switch configuration was discussed. It is also important to note that the
1 × N switch building block is a planar device with no waveguide crossings so that it
can be monolithically integrated into more complicated devices. Finally a unique
reflective 1 × (N–1) scheme based on an NIAWG was presented, which significantly
simplifies the device configuration. A numerical simulation carried out for this
structure verified its feasibility and the advantages of this structure were also
discussed. The theoretical foundation established in this chapter for the design of an
anytoany N×N optical wavelength switch is generally applicable to many material
97
systems and will be useful in the design of future largescale optical integrated
circuits.
98
4. Carrier Induced Refractive Index Changes in GaN/AlGaN
Semiconductors
4.1 Introduction
In chapter 2, we briefly introduced the design of waveguide devices with
carriercontrolled refractive indices, especially the design of carriercontrolled AWG
alloptical switch. In chapter 3, we presented the scheme of 1 × N alloptical switch,
which requires carriercontrolled phase shifters, which can be made from IIIV
semiconductors. Group IIIV semiconductors are playing an increasingly important
role in integrated optics, because they offer the potential for integration of sources,
detectors, switches, and modulators onto the same chip [35]. Guidedwave switching
and modulation can be achieved by electrooptical effect where the refractive index of
the material can be controlled by the electric field across it. Also, freecarrierinduced
optical switching in InGaAsPInP has been demonstrated [36], where the optical
switch was realized by using complete internal reflection, due to the freecarrier
induced refractive index decrease at some designed area. In [36], the carrierinduced
refractive index of the same material system was also roughly measured, at the order
of 10
3
, with the change of the current density. In [37], optical generation of free
carriers was applied to control the transmission in InGaAsP epilayers upon InP
substrates. Efficient GaAsAlGaAs depletionmode phase modulators were fabricated
in which both electric field and carrier effects were significant [38][39]. Carrier
induced refractive index changes are also important for laser design [40][41]. The
99
refractive index change produced by injection of free carriers in InP, GaAs, and
InGaAsP have been theoretically estimated in [35], in which three basic phenomena
of IIIV semiconductor materials were discussed: bandfilling, bandgap shrinkage,
and freecarrier absorption (plasma effect).
In this dissertation, since our attention is focused on the application of III
nitridebased photonic devices, we will first review the theory of these three
important carrier effects in this chapter, and then we will utilize them to estimate the
carrierinduced refractive index changes in GaN and AlGaN. As we have mentioned
earlier, AlGaN semiconductors are highly transparent in the infrared area, and their
refractive indices can be modified by the control of Al concentration. These materials
are good candidates for planar lightwave circuits. They can be made into a fast
switchable optical PHASAR to realize alloptical switches because their refractive
indices are also dynamically adjustable through carrierinjection [29]. Previous
studies of carrierinduced refractive index change in GaN semiconductors were
mainly focused on the UV and visible wavelength regions near the bandgap; it is
important to extend these studies into the infrared wavelength region for optical
communications. The efficiency of carrierinduced index change is a critical
parameter for switchable PHASAR applications.
100
4.2 CarrierInduced Refractive Index Change in Semiconductors
4.2.1 Bandfilling
Bandfilling effect occurs when semiconductors are doped or injected with free
carriers. It is, essentially, the decrease in the absorption of the photons with energies
slightly above the nominal bandgap of the semiconductor. This phenomenon is also
known as the BursteinMoss effect [42][43]. In the case of ntype semiconductors,
there is a low density of states in the conduction band so that a small number of
electrons can fill the conduction band to an appreciable depth. With the lowest energy
states in the conduction band being filled, the electrons in the valence band would
require more energy than that needed to overcome the nominal bandgap to be
optically excited into the conduction band, as shown in figure 4.1. Therefore, a
decrease is observed in the absorption coefficient at energies slightly above the
bandgap. The situation in a ptype semiconductor is similar, except that a smaller
bandfilling effect happens for a given carrier concentration due to the much larger
effective mass of the hole [35], which means a higher density of states.
When parabolic band structure is assumed, for a directgap semiconductor, as
shown in figure 4.1, the optical absorption near the bandgap is given by the square
root law [35]:
g
E E
E
C
E − = ) (
0
α (E ≥ E
g
)
0 ) (
0
= E α (E < E
g
) (4.1)
101
where E = ħω is the photon energy, E
g
is the bandgap energy, and C is a constant
involving materials parameters, matrix elements between periodic parts of the Bloch
states at the band edges, and fundamental constants [43]. At direct gap for IIIV
semiconductors, the valence bands are degenerated, due to the existence of both light
and heavyhole bands contributing to the absorption process, as shown in figure 4.1.
In this case, the equation of optical absorption near the bandgap, equation (4.1), is
modified as:
Figure 4.1 Energy band structure and bandfilling effect for directgap
semiconductor. Absorption of a photon can occur only between occupied
valence band states and unoccupied conduction band states. (Ref. [35])
E
ah
E
al
Conduction Band
E
g
E
bl
E
FV
E
FC
Heavy Holes
Light Holes
Valence Bands
E
bh
ω ℏ
ω ℏ
102
0
( )
hh lh
g g
C C
E E E E E
E E
α = − + − (E ≥ E
g
)
0 ) (
0
= E α (E < E
g
) (4.2)
where C
hh
and C
lh
refer to heavy and light holes, respectively. The values of C for
different materials can be estimated by fitting equation (4.1) to experimental
absorption data [44].
The constants C
hh
and C
lh
in the above equation can be calculated from the
following equations [35]:
3/ 2
3/ 2 3/ 2
ehh
hh
ehh elh
C C
µ
µ µ
 
=

+
\ ¹
(4.3a)
3/ 2
3/ 2 3/ 2
elh
lh
ehh elh
C C
µ
µ µ
 
=

+
\ ¹
(4.3b)
where µ
ehh
and µ
elh
are the reduced effective masses of the electronhole pairs [43],
which can be obtained from
1
1 1
ehh
e hh
m m
µ
−
 
= +

\ ¹
(4.4a)
1
1 1
elh
e lh
m m
µ
−
 
= +

\ ¹
(4.4b)
where m
e
, m
hh
and m
lh
are the effective masses of electrons, heavy holes, and light
holes, respectively.
The values of C, C
hh
and C
lh
are given in table 4.1 [35]. It can be seen that
about twothirds of the absorption results from heavy holes and onethird from light
holes in all three materials.
103
Table 4.1: Values of Semiconductor Parameters (T = 300 K) [35]:
InP GaAs In
0.82
Ga
0.18
As
0.40
P
0.60
E
g
(eV) 1.34 1.42 1.08
C(cm
1
⋅s
1/2
) 4.4 × 10
12
2.3 × 10
12
3.2 × 10
12
C
hh
(cm
1
⋅s
1/2
) 2.8 × 10
12
1.5 × 10
12
2.1 × 10
12
C
lh
(cm
1
⋅s
1/2
) 1.6 × 10
12
7.8 × 10
11
1.1 × 10
12
ε
s
12.4 13.1 13.0
n 3.4 3.6 3.6
m
e
(m
0
) 0.075 0.066 0.064
m
hh
(m
0
) 0.56 0.45 0.51
m
lh
(m
0
) 0.12 0.084 0.086
m
dh
(m
0
) 0.60 0.47 0.53
µ
ehh
(m
0
) 0.066 0.058 0.057
µ
elh
(m
0
) 0.046 0.037 0.037
N
c
(cm
3
) 5.2 × 10
17
4.3 × 10
17
4.1 × 10
17
N
v
(cm
3
) 1.2 × 10
19
8.3 × 10
18
1.1 × 10
19
χ
cr
(cm
3
) 1.3 × 10
17
7.4 × 10
16
7.0 × 10
16
κ
0.13
104
In the case of bandfilling, a state in the conduction band can be occupied by
an electron, and a state in the valence band can be empty of electrons. If we denote an
energy in the valence band as E
a
and an energy in the conduction band as E
b
, the
absorption coefficient of an injected semiconductor is [35][45]:
0
( , , ) ( )[ ( ) ( )]
v a c b
N P E E f E f E α α = − (4.5)
where N and P are the concentrations of free electrons and holes, respectively; α
0
represents the absorption of pure materials in the absence of injection; ( )
c b
f E is the
probability of a conduction band state with energy E
b
being occupied by an electron;
and ( )
v a
f E is the probability of a valence band state with energy E
a
being occupied
by an electron. The values of E
a
and E
b
are uniquely defined for a given photon
energy. In the case as shown in figure 4.1, there are two values for each because of
the degeneracy of the valence band. From [35], we have:
( )
,
,
e
ah al g g
e hh lh
m
E E E E
m m
 
= − −


+
\ ¹
(4.6a)
( )
,
,
,
hh lh
bh bl g
e hh lh
m
E E E
m m
 
= −


+
\ ¹
(4.6b)
where the subscripts h and l refer to heavy and light holes, respectively.
The probabilities f
c
and f
v
in equation (4.5) are given by the FermiDirac
distribution functions, which were given in [35]:
( )
,
1
( ) /( )
,
1
bh bl F B
c
E E k T
c bh bl
f E e
−
−
= +
(4.7a)
( )
,
1
( ) /( )
,
1
ah al F B
v
E E k T
v ah al
f E e
−
−
= +
(4.7b)
105
where k
B
is Boltzmann’s constant, and T is the absolute temperature.
c
F
E and
v
F
E are
the carrierdependent quasiFermi levels. They can be estimated by the Nilsson
approximation [35]:
(1/ 4)
ln 64 0.05524 64
c
F B
c c c c
N N N N
E k T
N N N N
−
¦ ¹
   
¦ ¦
= + + ⋅ +  ´ ` 

\ ¹ ¦ ¦ \ ¹
¹ )
(4.8a)
g B
v v v v
Fc
E T k
N
P
N
P
N
P
N
P
E −
¦
)
¦
`
¹
¦
¹
¦
´
¦


¹

\

+ + +


¹

\

− =
− ) 4 / 1 (
64 05524 . 0 64 ln (4.8b)
where the zero of energy is defined to be at the conduction band minimum. N
c
is the
effective density of states in the conduction band such that
3/ 2
2
2
2
e B
c
m k T
N
π
 
=

\ ¹
ℏ
(4.9a)
and N
v
is the effective density of states in the valence bands such that
3/ 2
2
2
2
dh B
v
m k T
N
π
 
=

\ ¹
ℏ
(4.9b)
where m
dh
is the densityofstates effective mass for holes such that
( )
3/ 2
3/ 2 3/ 2
dh hh lh
m m m = + (4.10)
We can see that bandfilling influences the optical absorption of the material.
This change can be expressed as
) ( ) , , ( ) , , (
0
E E P N E P N α α α − = ∆ (4.11)
where α(N,P,E) is the absorption coefficient of an injected semiconductor, N and P
are the concentrations of free electrons and holes, respectively, E = ħω, and α
0
106
represents the absorption of pure materials in the absence of injection. Combining
equations (4.2), (4.5) and (4.11) yields:
( , , ) [ ( ) ( ) 1]
+ [ ( ) ( ) 1]
hh
g v ah c bh
lh
g v al c bl
C
N P E E E f E f E
E
C
E E f E f E
E
α ∆ = − − −
− − −
(4.12)
The only materials parameters required for equation (4.12) are the effective
masses of electrons and holes, the energy gap, and the fitting constant C. The values
of these parameters along with other important physical parameters for InP, GaAs and
InGaAsP are presented in table 4.1 [35].
Since the relationship between the refractive index n and the absorption
coefficient α is [35]:
∫
∞
−
+ =
0
2 2 2
'
'
) ' ( 2
1 ) ( dE
E E
E
P
e
c
E n
α ℏ
(4.13)
where c is the speed of light, e is the electron charge, E = ħω is the photon energy,
and P indicates the principle value of the integral. The change of the refractive index
caused by the injected carrier can thus be expressed as [35]:
∫
∞
−
∆
= ∆
0
2 2 2
'
'
) ' , , ( 2
) , , ( dE
E E
E P N
P
e
c
E P N n
α ℏ
(4.14)
Equation (4.14) shows the change of the refractive index due to the
bandfilling effect. Since in all cases, bandfilling decreases the absorption coefficient
at a fixed energy, we thus find that the refractive index of the material also decreases
due to the bandfilling effect.
107
We have applied the above theory of the bandfilling effect to GaN
semiconductor materials. The major material parameters of GaN used in the
calculation were extracted from reference [46]. The data is shown in table 4.2. In
table 4.2, parameter C is obtained by fitting equation (4.1) to the absorption
coefficient versus the photon energy for the GaN layer grown on sapphire as shown
in figure 4.2 [47]. The data that was not present in [46] can be calculated with the
equations given above.
It was noticed that there are two dielectric constants (static and high
frequency). The data for InP are 12.5 (static) and 9.61 (high frequency). The
reference [35] took the first one (static) in the calculation. Similarly, the static
dielectric constant was taken for our calculation. For GaN materials, the static one is
Figure 4.2 The absorption coefficient versus the photon energy for the GaN layer
grown on sapphire. T = 293 K [46][47]
A
b
s
o
r
p
t
i
o
n
c
o
e
f
f
i
c
i
e
n
t
(
×
1
0
3
c
m

1
)
Photon energy (eV)
108
either 8.9 (Wurtzite) or 9.7 (Zinc Blende). So we have taken 8.9 for Wurtzite
structure. The parameter κ = 0.13 is based on [35], which needs to be verified in the
future.
Table 4.2: Values of GaN Semiconductor Parameters (T = 300 K):
E
g
(eV) 3.39
C(cm
1
⋅s
1/2
) 2.8 × 10
13
C
hh
(cm
1
⋅s
1/2
) 1.79 × 10
13
C
lh
(cm
1
⋅s
1/2
) 1.01 × 10
13
ε
s
8.9
n 2.335
m
e
(m
0
) 0.2
m
hh
(m
0
) 1.4
m
lh
(m
0
) 0.3
m
dh
(m
0
) 1.49
µ
ehh
(m
0
) 0.18
µ
elh
(m
0
) 0.12
N
c
(cm
3
) 2.2429 × 10
18
N
v
(cm
3
) 4.5659 × 10
19
χ
cr
(cm
3
) 6.6 × 10
18
κ
0.13
109
The absorption coefficient versus the photon energy for the GaN layer grown
on sapphire is different at different temperatures. Figure 4.3 shows this relationship at
T = 10 K. This data was generously provided by Dr. Wei Shan, one of the authors of
[47].
Using equation (4.12), and assuming that N = P, at room temperature we can
obtain ∆α as plotted in figure 4.4. (It was also assumed that the freecarrier density is
entirely due to injection.) From the figure, we can see that the change in absorption
3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 4
1
0
1
2
3
4
5
6
Photon Energy
A
l
p
h
a
GaN Absorption
Figure 4.3 The absorption coefficient versus the photon energy for the GaN layer
grown on sapphire. T = 10 K (Provided by Dr. Wei Shan)
110
begins at the bandgap and decreases for energies well above the gap. Maximum
values for ∆α range from 79 cm
1
for 10
16
/cm
3
to 4.5 × 10
4
cm
1
for 10
19
/cm
3
.
With ∆α being calculated as above, and under the same conditions, we can
apply equation (4.14) to numerically calculate (integrate) the change of refractive
index (∆n) by using Simpson’s rule. From equation (4.14), we can see that only when
∆α is within a few tenths of an electron volt of E
g
does it make a significant
contribution to ∆n, since the decay in ∆α for energies well above E
g
is amplified by
Figure 4.4 Change in absorption due to electronhole injection and the resulting
bandfilling in GaN. Note: the vertical values are in logarithmic notation.
1 2 3 4 5 6 7
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
N=P=10
19
/cm
3
Photon Energy (eV)
10
16
10
17
10
18
111
the large denominator in the integral. The results of ∆n due to the bandfilling effect in
the GaN materials are shown in figure 4.5.
The sharp peaks in the ∆n near the bandgap predicted by the theory would not
be seen in experiments, because they are the results of the assumption that the
unperturbed absorption follows the squareroot law, abruptly going to zero at E
g
. In
reality, materials exhibit absorption extending to energies below the nominal bandgap.
Figure 4.5 Change in refractive index due to the bandfilling effect of GaN.
N = P =3.0 ×10
17
, 1.0 ×10
18
,
3.0 ×10
18
, 1.0 ×10
19
cm
3
.
112
This absorption tail, known as the Urbach edge, results from phonons, impurities,
excitons, and internal electric fields [35][48]. The presence of this tail does not,
however, have a significant effect on the estimation of the ∆n for energies of long
wavelength that are substantially below the bandgap.
To illustrate the change of refractive index ∆n versus wavelength more
directly, we have used figure 4.6 to show the bandfilling effect at three different
carrierinjection levels:
3 18
10 7
−
× = cm N (solid line),
3 19
10 3
−
× cm (dashed line), and
3 19
10 6
−
× cm (dotted line). From the figure, we can see that because carrierinduced
index changes are largely asymmetrical around the material bandgap, the value is
reduced significantly as the wavelength increases.
Figure 4.6 Index change versus signal wavelength due to the bandfilling effect in
GaN. Solid line: N = 7×10
18
cm
3
, dashed line: N =3×10
19
cm
3
,
dotted line: N = 6 ×10
19
cm
3
. (Ref. [34])
0.2
0.1
0
0.1
400 600 800 1000 1200 1400 1600
Wavelength (nm)
∆
n
113
In figure 4.7, the refractive index change as a function of carrier density of
GaN for fixed photon energy of 0.8 eV, corresponding to the photon wavelength of
1550 nm, has been plotted. From figure 4.7, we see that ∆n is linear in carrier
concentration in the range of 10
16
 10
18
cm
3
. This can be expressed by
χ
22
10 24 . 4 ) 1550nm (
−
× − ≅ ∆n , (4.15)
where χ = N = P.
Figure 4.7 Change of refractive index versus carrier density at 1550 nm for GaN.
0 1 2 3 4 5 6 7 8 9 10
4.5
4
3.5
3
2.5
2
1.5
1
0.5
0
Carrier density change (10
18
/cm
3
)
∆
n
(
1
0

3
)
114
4.2.2 Bandgap Shrinkage
On the other hand, bandgap shrinkage is caused by injected free carriers, but
not by doped carriers. The increase of freecarrier concentration decreases the energy
of the conduction band and increases the energy of the valence band. This is because
the electron wave functions overlap. When they overlap, a gas of interacting electrons
with lower energy level is formed at the bottom of the conduction band, while a gas
of interacting holes with higher level is formed at the top of the valence band. This
causes the shrinkage of the bandgap, which generates a red shift of the absorption
curve. The following model can be adopted for this shrinkage [35]:
3 / 1
1 ) (


¹

\

− = ∆
cr s
g
x
x
x E
ε
κ
x ≥ x
cr
0 ) ( = ∆ x E
g
x < x
cr
(4.16)
where κ is a fitting parameter, ε
s
is the relative static dielectric constant of the
semiconductor, x is the concentration of free electrons or holes, and x
cr
is the critical
concentration of free carriers. The value of x
cr
adopted in [35] is expressed as:
3
24
( ) 1.6 10
1.4
e
cr
s
m
x χ
ε
 
= ×

\ ¹
(4.17)
with x
cr
in cm
3
. By using equation (4.17), a value
16 3
7 10 / cm
cr
χ ≅ × was predicted
for nGaAs. For GaN, the predicted value was
18 3
6.6 10 / cm
cr
χ ≅ × .
Basically, the bandgap shrinkage occurs when the injected free carriers have a
large concentration in which the correlation effects among the free carriers become
significant. The change in absorption due to shrinkage is predicted to be:
115
g g g
E E
E
C
E E E
E
C
E − − ∆ − − = ∆ ) ( ) , ( χ χ α (4.18)
Equation (4.18) predicts that ∆α is always positive and largest near the bandgap since
∆E
g
is negative [from equation (4.16)]. The change in refractive index caused by the
bandgap shrinkage can be calculated by applying equation (4.14) to the ∆α in
equation (4.18). The result for GaN with electronhole carrier concentrations of 7 ×
10
18
, 3 × 10
19
and 6 × 10
19
cm
3
are given in figure 4.8.
0.5 1 1.5 2 2.5 3 3.5 4 4.5
0.01
0
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
GaN Bandgap Shrikage
PHOTON ENERGY(eV)
19 3
6 10 / cm N P = = ×
19
3 10 ×
18
7 10 ×
Figure 4.8 Change of refractive index of GaN due to electronhole injection
and the resulting bandgap shrinkage [calculated from (4.18) and (4.14)].
116
To illustrate the change of refractive index ∆n versus wavelength more
directly in the bandgap shrinkage of GaN materials, we have used figure 4.9 to show
the effect at three different carrierinjection levels:
3 18
10 7
−
× = cm N (solid line),
3 19
10 3
−
× cm (dashed line) and
3 19
10 6
−
× cm (dotted line). From the figure, we can see
that carrierinduced index changes are largely asymmetrical around the material
bandgap, and the value is reduced significantly as the wavelength increases.
4.2.3 FreeCarrier Absorption
Besides the interband absorption due to the effects of bandfilling and bandgap
shrinkage, a free carrier can absorb a photon and move to a higher energy level within
Figure 4.9 Index change versus signal wavelength due to bandgap shrinkage
effect of GaN. Solid line: N = 7×10
18
cm
3
, dashed line: N =3×10
19
cm
3
,
dotted line: N = 6 ×10
19
cm
3
. (Ref. [34])
0.01
0
0.01
0.02
400 600 800 1000 1200 1400 1600
Wavelength (nm)
∆
n
117
a band. This is referred to as freecarrier absorption or the plasma effect. The
corresponding change in refractive index is given by [35][49]:
2 2
2 2
0
8
e h
e N P
n
c n m m
λ
π ε
  
∆ = − +
 
\ ¹\ ¹
(4.19)
where λ is the photon wavelength. Unlike the bandfilling and bandgap shrinkage
calculations, a numerical integration of absorption data is not necessary in this case.
Equation (4.19) can be changed into a more convenient form [35]:
)
`
¹
¹
´
¦


¹

\

+
+
+
× −
= ∆
−
2 / 3 2 / 3
2 / 1 2 / 1
2
22
10 9 . 6
lh hh
lh hh
e
m m
m m
P
m
N
nE
n (4.20)
where n is the refractive index of the material; E = ħω; m
e
, m
hh
, and m
lh
are the
effective masses of electrons, heavy holes, and light holes, respectively; and N and P
are the concentrations of free electrons and holes, respectively. It should be noted that
the energy should be expressed in eV and N and P in cm
3
in order to use equation
(4.20).
From either equation (4.19) or (4.20), we can see that the sign of ∆n from
plasma effect is always negative. This adds to the bandfilling effect for energies
below the bandgap. Because of the λ
2
dependence, as shown in equation (4.19), the
plasma effect increases as the photon energy decreases below the bandgap. Figure
4.10 shows the refractive index change of GaN due to the plasma effect.
118
4.2.4 Combination of Effects
The three carrier effects mentioned above were assumed to be independent. A
simple sum of the effects can be used to estimate the total change in the refractive
index. Figure 4.11 shows an example of the combination of changes in the refractive
index from bandfilling, bandgap shrinkage, and freecarrier absorption for injection
into GaN when N = P = 3 × 10
19
/cm
3
.
Based on the results we obtained in previous subsections, we can see that for
bandfilling and bandgap shrinkage, carrierinduced index changes are large around
the material bandgap, and both values are reduced significantly with the wavelength
Figure 4.10 Index change versus signal wavelength due to the plasma effect of GaN.
Solid line: N = 7×10
18
cm
3
, dashed line: N =3×10
19
cm
3
, dotted line: N = 6 ×10
19
cm
3
.
(Ref. [34])
400 600 800 1000 1200 1400 1600
0.2
0.15
0.1
0.05
0
Wavelength (nm)
∆
n
119
increase. In the infrared wavelength region in which we are interested, freecarrier
absorption is the dominant effect for carrierinduced refractive index change.
In previously published results for InP material [35], for carrier concentrations
less than about 10
17
cm
3
, bandfilling dominates, yielding a negative ∆n. Bandgap
shrinkage effect is important over the range of 10
17
≤ χ ≤ 5×10
17
cm
3
, approximately
canceling the bandfilling and the plasma terms at wavelength 1.3 µm. For higher
Figure 4.11 Predicted changes in refractive index of GaN from the combination
of the three effects (the dashed line). N = P = 3 × 10
19
/cm
3
.
120
carrier concentrations, bandfilling and plasma effects dominate, yielding a large
negative ∆n. Comparing these results with our results, we noticed that the difference
is because InP has a lower bandgap energy (1.34 eV), which makes bandfilling a
dominant effect and bandgap shrinkage a big effect at some carrier concentrations. In
our examples, GaN material has a larger bandgap energy (3.39 eV), which makes
bandfilling and bandgap shrinkage mostly influential in short wavelength regions. For
wavelengths in the infrared region, the photon energy is far below the bandgap energy.
This makes bandfilling and bandgap shrinkage effects less influential in this region.
Our results reveal that the dominant effect is the free carrier absorption in this region.
Figure 4.12 Overall index change versus wavelength calculated at three carrier
density levels: N =7×10
18
cm
3
(solid line), 3×10
19
cm
3
(dashed line) and 6 ×10
19
,
(dotted line).
I
n
d
e
x
c
h
a
n
g
e
(
∆
n
)
Wavelength (nm)
400 600 800 1000 1200 1400 1600
0.2
0.15
0.1
0.05
0
0.05
0.1
Combined effect
121
Figure 4.12 shows the overall refractive index change versus wavelength
combining all three effects. In order to investigate the feasibility of switchable optical
PHASAR operating in the infrared using GaN semiconductor, we studied the carrier
induced refractive index change versus injected carrier density evaluated at
wavelength 1550nm. The result is shown in figure 4.13, where a carrier density of 2 ×
10
18
cm
3
causes approximately a 2% index change.
For optical PHASAR applications, the index change of the waveguide should
be large enough such that the optical length can be changed by half of the signal
Figure 4.13 Index change versus carrier density calculated at wavelength 1550nm.
Carrier density change (10
18
/cm
3
)
I
n
d
e
x
c
h
a
n
g
e
a
t
1
5
5
0
n
m
0 2 4 6 8 10
0.08
0.06
0.04
0.02
0
122
wavelength. Consider a 1 mm electrode on the waveguide and the optical signal at
1550 nm wavelength. The minimum required index change should be approximately
0.0775%. According to Fig.4.13, this can be achieved by a carrier density change of
1×10
18
cm
3
, which is generally feasible.
In this chapter, we estimated theoretically the sensitivity of the carrierinduced
index change in AlGaN semiconductor materials. We extended the investigation into
the infrared wavelength region for application in optical communications. The
numerical values obtained through this study provide us with an important guideline
for optical device design. The comparative study of different contributing effects is
important for future device designs and for optimizations in a variety of applications.
123
5. GaN Material Design and Experiments
5.1 Introduction
The configurations of basic optical devices have been discussed in Chapter 2
and the configurations of alloptical devices have been discussed in Chapter 3, where
the details of optical materials used for constructing the devices were not considered.
In Chapter 4, theoretical calculations and analysis were focused on exploring the
physical characteristics of semiconductor materials. In this chapter, we will use the
results shown in Chapter 4 and design functional photonic devices with GaN
semiconductor materials, which belong to IIInitrides material group. IIInitrides have
low attenuation in the nearinfrared wavelength region due to their wide bandgaps,
while as semiconductors their refractive indices can be modulated by carrier injection.
IIInitrides are also well known for their ability to operate at high temperatures, high
power levels and in harsh environments. These characteristics make IIInitrides the
ideal candidates for tunable optical phasedarray (PHASAR) devices in optical
communications.
We will first summarize optical waveguide theory, in which the basic concept
of a single mode waveguide and the condition required in realizing it will be
presented. We will then discuss the rectangular dielectric waveguide theory in which
two methods, the Marcatili’s method and the effective index method, will be
presented. The mode guidance conditions obtained from these two methods will be
compared. The beam propagation method (BPM) will then be introduced. BPM is a
124
powerful numerical simulation tool to deal with mode calculations, field distributions
and transmissions in waveguides with axial variations. Then a BPM software
BeamPROP with which we can design a specific single mode waveguide and other
photonic devices will be introduced. Using this simulation tool, we have designed
various optical devices including single mode optical waveguides, waveguide
couplers and AWGs. The devices were fabricated by our collaborator at Kansas State
University. We developed an experimental setup to systematically characterize these
devices and compare the measured results with the theoretical predictions. Several
important effects such as waveguide loss and birefringence are carefully studied and
measured. In the last section of this chapter, we will briefly discuss the thermal
stability of the refractive indices of GaN materials.
5.2 Optical Waveguide Theory
Optical waveguide is the basis for optical devices. Rectangular dielectric
optical waveguide with layered structure is one of the most popular waveguide
categories, which is utilized to construct complicated photonic devices in planar
lightwave circuits. It is necessary to briefly review optical waveguide theory before
we start to introduce device design. In this section, we will discuss general theory of
optical waveguide, especially the rectangular dielectric optical waveguide.
125
5.2.1 Symmetric Dielectric Slab Waveguides
The dielectric slab waveguide theory is very important since it provides the
basis for dielectric waveguide design and also guidelines for more complicated
waveguide structure analysis [50]. Figure 5.1 shows a slab waveguide in which the
wave propagates in the zdirection and the width of the waveguide w is much larger
than the thickness d. The field dependence on y is negligible in this case. From the
wave equation
2 2
( ) 0 E ω µε ∇ + = (5.1)
we can find the solutions for the fields everywhere.
We assume that the waveguide in figure 5.1 is symmetric. The permittivity
and the permeability are ε and µ, respectively, for x ≥ d/2, and ε
1
and µ
1
for x < d/2.
y
z
x
1
n
n µε
1 1
ε µ
µε
n
d
w
Figure 5.1 A symmetric dielectric slab waveguide, where xy is the cross
section plane and z is the propagation direction.
126
So we have evenmode and oddmode solutions for this structure. For TE polarization,
where E
y
E yˆ = , we can have the following equations by solving equation (5.1) [50]
1 1
2 2 2
ε µ ω = +
z x
k k (for x < d/2) (5.2)
µε ω α
2 2 2
= + −
z
k (for x ≥ d/2) (5.3)

¹

\


¹

\

=
2
tan
2 2
1
d
k
d
k
d
x x
µ
µ
α TE even modes (5.4a)

¹

\


¹

\

− =
2
cot
2 2
1
d
k
d
k
d
x x
µ
µ
α TE odd modes (5.4b)
where k
x
and k
z
are the x and z components of wave propagation constant k
respectively. k
z
is the propagation constant of the guided mode in the zdirection. Due
to the continuity requirement of k
z
across the waveguide/cladding boundary at (x =
±d/2), equations (5.2) and (5.3) yield,
( )
2
1 1
2
2 2
2 2 2

¹

\

− = 
¹

\

+ 
¹

\
 d d
k
d
x
µε ε µ ω α (5.5)
k
x
and α, can be found by combining equation (5.5) with either (5.4a) or (5.4b) and
using graphical method on the (αd/2) vs (k
x
d/2) plane. Figure 5.2 shows this graphical
solution, where the radius R is obtained from equation (5.5)
2 2
1 0 1 1
2 2
n n
d
k
d
R − 
¹

\

= 
¹

\

− = µε ε µ ω (5.6)
where ) /(
0 0 1 1 1
ε µ ε µ = n is the refractive index inside the guide, ) /(
0 0
ε µ µε = n is
the refractive index in the cladding and c k /
0 0 0
ω ε µ ω = = is the freespace wave
127
number. After k
x
and α are graphically solved, k
z
can be obtained either from equation
(5.2) or from equation (5.3). The electric fields will have the following expressions
¦
¦
¦
¹
¦
¦
¦
´
¦
− ≤
≤
≥
=
+ +
− −
2
e
2
cos
2
e
e
) 2 / (
0
1
) 2 / (
0
d
x C
d
x x k C
d
x C
E
d x
x
d x
z ik
y
z
α
α
(For even modes) (5.7a)
Or
Figure 5.2 A graphical solution for determining α and k
x
for the modes in
symmetric dielectric slab waveguide. (after [50])
TE
0
TE
2 1
TE
( )
2 / 1
2 2
1 0
2
n n
d
k R − =

¹

\

2
d
k
x

¹

\

2
d
α
R
π
2
π
2
3π
128
( / 2)
0
1
( / 2)
0
e
2
e sin
2
e
2
z
x d
ik z
y x
x d
d
C x
d
E C k x x
d
C x
α
α
− −
+ +
¦
≥
¦
¦
¦
= ≤
´
¦
¦
− ≤ −
¦
¹
(For odd modes) (5.7b)
where C
0
and C
1
are integration constants and can be determined with the boundary
conditions of the electric fields.
From figure 5.2, we can see that the cutoff condition occurs at R = mπ/2 for
the TE
m
mode. So the TE
0
mode has no cutoff frequency. When the following
condition is satisfied
2
) 1 (
2 2
2 2
1 0
π π
+ < − = < m n n
d
k R m (5.8)
There are (m + 1) guided TE modes in the dielectric slab.
From equation (5.8), we can see that 2 / ) 2 / (
2 2
1 0
π < − n n d k is the condition
for single mode operation. Under this condition, if the wavelength λ
0
in free space
and the waveguide dimension d are given, we can get the refractive index difference
required for a single mode operation
2
0
1
8
1

¹

\

< ∆
d n
n
λ
(5.9)
Here we have also assumed that n
1
is very close to n to get this equation. With
equation (5.9), if, for example, λ
0
= d and n
1
= 3.6, we can get ∆n < 0.035 for single
mode operation in the waveguide.
129
From figure 5.2, we can also get the lowfrequency limit and the high
frequency limit of k
z
. At the lowfrequency limit, [50]
c
n
k
z
ω
µε ω = = (5.10)
At the highfrequency limit,
c
n
k
z
1
1 1
ω
ε µ ω = = (5.11)
The propagation constant k
z
starts from µε ω at cutoff and increases to
1 1
ε µ ω as
the frequency goes to infinity. The effective index for the guided mode is defined as
0
eff
k
k
n
z
= (5.12)
For TM polarization, we may obtain the results by the duality principle:
replacing the field solutions E and H of the TE modes by H and –E, respectively, µ
by ε and ε by µ.
Z
X
x=0
x=d
0
1
2
µ
1
µ
2
µ
ε
1
ε
2
ε
Figure 5.3 An asymmetric dielectric slab waveguide. (after [50])
130
5.2.2 Asymmetric Dielectric Slab Waveguides
If the dielectric constant in the substrate ε
2
is different from that of ε in the top
medium or µ
2
≠ µ, the structure is asymmetric as is shown in figure 5.3.
In a similar method as in 5.2.1, we can get the electric field for TE
polarization as
¦
¹
¦
´
¦
− ≤ + −
≤ ≤ − +
≥
=
+ +
−
d x d k
x d x k
x
C E
d x
x
x
x
z ik
y
z
e ) cos(
0 ) cos(
0 e cos
e
) (
1
2
α
α
φ
φ
φ
(5.13)
where C
1
is a constant, α and α
2
are two decay constants in region 0 and 2 in figure
5.3, respectively, and
µε ω α
2 2 2
= + −
z
k (x ≥ 0) (5.14a)
1 1
2 2 2
1
ε µ ω = +
z x
k k (d ≤ x ≤ 0) (5.14b)
2 2
2 2 2
2
ε µ ω α = + −
z
k (x ≤ d) (5.14c)
and
...) 2, 1, , 0 ( tan tan
1 2
2 1 1
1
1 1
1
= + + =
− −
m m
k k
d k
x x
x
π
µ
α µ
µ
α µ
(TE
m
mode) (5.15)
For the wave to be guided in the core, ε
1
has to be larger than both ε
2
and ε.
When ε
2
> ε (µ = µ
1
= µ
2
), the cutoff frequency is determined by
tan
2
2
2
1
2 2
2 1 1 2
2
2
1 0
π
µ
µ
m
n n
n n
n n d k +
−
−
= −
−
(5.16)
where c k /
0 0 0
ω ε µ ω = = .
131
For TM polarization, we can again apply the duality principle. Similarly, we
have the guidance condition as
tan tan
1 2
2 1 1
1
1 1
1
π
ε
α ε
ε
α ε
m
k k
d k
x x
x
+ + =
− −
(TM
m
mode) (5.17)
5.2.3 Rectangular Dielectric Waveguides
5.2.3.1 Marcatili’s Method
By first introducing the mode theories, we are now prepared to discuss the
rectangular dielectric waveguide theory. This theory is relevant because most
waveguides have finite dimensions in both x and y directions.
y
x
2
n
1
n
3
n
w
d
5
n
4
n
Figure 5.4 A rectangular dielectric waveguide. (after [50])
132
Figure 5.4 shows a rectangular dielectric waveguide, where it is assumed w ≥
d. Marcatili’s method can be applied to this waveguide [51][52]. In order to obtain
closedform results, a few approximations have to be made. It was found that there
are two possible mode classifications for this waveguide, which are
1. HE
pq
modes: H
x
and E
y
are the dominant components.
2. EH
pq
modes: E
x
and H
y
are the dominant components.
The Maxwell’s equations in the following forms are used to initiate the
analysis.


¹

\

∂
∂
−
∂
∂
+ 
¹

\

∂
∂
− +


¹

\

−
∂
∂
=
× ∇ =
x y z x z y z z
E
y
E
x
z E
x
E ik y E ik E
y
x
i
i
ˆ ˆ ˆ
1
1
E H
ωµ
ωµ
(5.18)


¹

\

∂
∂
−
∂
∂
+ 
¹

\

∂
∂
− +


¹

\

−
∂
∂ −
=
× ∇
−
=
x y z x z y z z
H
y
H
x
z H
x
H ik y H ik H
y
x
i
i
ˆ ˆ ˆ
1
1
H E
ωε
ωε
(5.19)
0 i = +
∂
∂
+
∂
∂
z z y x
E k E
y
E
x
(5.20)
0 i = +
∂
∂
+
∂
∂
z z y x
H k H
y
H
x
(5.21)
Here a constant permittivity in all regions is assumed. By using the above equations
using the following approximate assumptions: 1) ignoring the boundary conditions
for variables with small values, 2) for k
y
<< k
1
, k
3
and k
5
, for HE
pq
modes, the
following two important guidance conditions can be found:
133
or HE
00
EH
00
or HE
01
EH
01
or HE
10
EH
10
or HE
02
EH
02
or HE
11
EH
11
y
x
Figure 5.5 Intensity patterns in a rectangular waveguide where w/d = 2, the
refractive index of the waveguide n
1
= 1.5, and the background medium has n
0
= 1.
(after [50])
134
tan tan
5
5 1 1
3
3 1 1
π
µ
α µ
µ
α µ
p
k k
d k
x x
x
+ + =
− −
(5.22)
tan tan
4
4 1 1
2
2 1 1
π
ε
α ε
ε
α ε
q
k k
w k
y y
y
+ + =
− −
(5.23)
Similarly, the following two important guidance conditions are found for EH
pq
modes:
tan tan
5
5 1 1
3
3 1 1
π
ε
α ε
ε
α ε
p
k k
d k
x x
x
+ + =
− −
(5.24)
tan tan
4
4 1 1
2
2 1 1
π
µ
α µ
µ
α µ
q
k k
w k
y y
y
+ + =
− −
(5.25)
It should be noted that there were some approximations made to get the above
equations [50]. The conditions include assuming H
x
= 0 and k
x
<< k
1
, k
2
and k
4
. So
Marcatili’s method can be used to obtain the approximate field distribution and mode
information. Figure 5.5 shows the intensity patterns in a rectangular waveguide where
w/d = 2, the refractive index of the waveguide n
1
= 1.5, and the background medium
has n
0
= 1. Only one set of intensity patterns is shown since the intensity pattern of
the HE
pq
mode is almost indistinguishable from that of the EH
pq
mode.
5.2.3.2 The Effective Index Method
The Marcatili’s method is essentially an approximation. In this subsection, we
are going to introduce the effective index method, which is another technique to find
the propagation constant of a dielectric waveguide. Now we illustrate this technique
by applying it to the rectangular waveguide. The process of this method is clearly
depicted in figure 5.6. Here only HE
pq
modes are considered for the illustration.
135
y
x
2
n
1
n
3
n
w
d
5
n
4
n
7
n
6
n
8
n
9
n
0
(a) A rectangular dielectric waveguide
(b) Step one: solve for each y the effective index
eff
( ) n y
i)
2
n
1
n
3
n
5
n
4
n
7
n
6
n
8
n
9
n
ii)
iii)
y
(c) Step two: solve the slab waveguide problem using
eff
( ) n y
w
0
eff
( ) n y
eff,1
n
eff,2
n
eff,4
n
eff,1
n
eff,2
n
eff,4
n
w
Figure 5.6 (a) A rectangular dielectric waveguide to be solved using the effective
index method. (b) Solve the slab waveguide at each fixed y and obtain an effective
index profile
eff
( ) n y . (c) Solve the slab waveguide problem with the
eff
( ) n y .
(after [50])
136
Step 1. Take the second column in figure 5.6(b). It is a slab waveguide with
refractive index n
1
inside and n
3
, n
5
outside the waveguide. This is the case of
asymmetric dielectric slab waveguide that we discussed in section 5.2.2. From
equation (5.15), we can have the guidance condition for TE modes as
1 1 1 3 1 5
1
3 1 5 1
tan tan
x
x x
k d p
k k
µ α µ α
π
µ µ
− −
= + + (5.26)
From the solutions of the slab waveguide problem, we can get the propagation
constant and therefore the effective index n
eff,1
.
For the first column (y > w) and third column (y < 0) in figure 5.6(b), we can
get similar solutions as long as n
2
> n
6
, n
7
, and n
4
> n
8
, n
9
. Otherwise we can assume
n
eff,1
≈ n
2
and n
eff,4
≈ n
4
.
Step 2. Solve the slab waveguide problem as shown in figure 5.6(c). Based on
equation (5.17), we can get
eff,1 2 eff,1 4 1 1
1
eff,2 1 eff,4 1
tan tan
y
y y
k d q
k k
ε α ε α
π
ε ε
− −
= + + (5.27)
where
2
eff, eff, 0 i i
n ε ε = . Note this is the guidance condition for TM modes since the E
y
component is perpendicular to the slab boundaries this time.
We can see that the field distribution obtained from step 1 is a function of x
and y. So we can denote this as F(x, y). The field distribution obtained from step 2 is
only a function of y, which can be denoted as G(y). Therefore, the total electric field
E
y
can be expressed as
( , ) ( , ) ( )
y
E x y F x y G y ≃ (5.28)
137
Comparing equations (5.26) and (5.27) with equations (5.22) and (5.23),
which were obtained with Marcatili’s method, we can see that they are similar except
that the effective permittivities are used in equation (5.27). Comparing with the
results of numerical approach from the fullwave analysis, the results from both
Marcatili’s method and the effective index method agree very well. The effective
index method usually has a better agreement with the numerical method, especially
near cutoff [50].
5.3 Beam Propagation Method
The above theory only discussed the straight rectangular waveguide. However,
the curvilinear directional couplers, branching and combining waveguides, Sshaped
bent waveguides, and tapered waveguides are all indispensable components in
constructing integrated optical circuits. So a more powerful method needs to be
developed to deal with all these axial variations in waveguides. Beam propagation
method (BPM) was developed for this purpose. BPM is such a powerful tool that it
can be used to precisely evaluate the propagation characteristics of all those
indispensable components mentioned above [53]. Not to mention that BPM can be
used to design single mode waveguides, to calculate the effective refractive index in
the waveguide and to illustrate the transmission along a straight waveguide. BPM is
also applied to model channeldropping filters [54], electrooptic modulators [55],
multimode waveguide devices [56][57], optical delay line circuits [58][59], novel y
branches [60], optical interconnects [61], polarization splitters [62], and waveguide
138
polarizers [63], etc. BPM can be developed either based on the fast Fourier transform
(FFT) or based on the finite difference method (FDM). Here we will briefly introduce
the FDM analysis on optical waveguides.
5.3.1 Finite Difference Method Analysis of Planar Optical Waveguides
We start from the threedimensional scalar wave equation, which is the basis
of BPM [53]
2 2 2
2 2
2 2 2
( , , ) 0
E E E
k n x y z E
x y z
∂ ∂ ∂
+ + + =
∂ ∂ ∂
(5.29)
The electric field E(x, y, z) can be separated into two parts: the axially slowly varying
envelope term of φ(x, y, z) and the rapidly varying term of exp(jkn
0
z).
0
( , , ) ( , , ) exp( ) E x y z x y z jkn z φ = − (5.30)
where n
0
is the refractive index in the cladding. Substituting equation (5.30) into
equation (5.29), we have
2 2 2 2
0 0
2 ( ) 0 j kn k n n
z
φ
φ φ
∂
∇ − + − =
∂
(5.31)
For the lightwave propagation in slab waveguides, we can have the twodimensional
scalar wave equation from equation (5.31) [53]
2
2 2
0 2
0 0
1
( , ) [ ( , ) ]
2 2
k
j x z j n x z n
z kn x n
φ φ
α φ φ
∂ ∂
= − − − −
∂ ∂
(5.32)
Here,
2 2
/ z φ ∂ ∂ has been neglected by assuming
2 2
0
/ 2 / z kn z φ φ ∂ ∂ ∂ ∂ ≪ . This
assumption is called the paraxial approximation or Fresnel approximation. Generally
a differential equation of the form
139
2
2
( , ) ( , ) A x z B x z
z x
φ φ
φ
∂ ∂
= +
∂ ∂
(5.33)
can be approximated by the finite difference method as
1 m m
i i
z z
φ φ φ
+
− ∂
→
∂ ∆
(5.34)
1 1 1 2
1/ 2 1 1 1 1
2 2 2
2 2 1
( , )
2 ( ) ( )
m m m m m m
m i i i i i i
i
A x z A
x x x
φ φ φ φ φ φ φ
+ + +
+ − + − +
¦ ¹ − + − + ∂
→ +
´ `
∂ ∆ ∆
¹ )
(5.35)
1/ 2 1
1
( , ) ( )
2
m m m
i i i
B x z B φ φ φ
+ +
→ + (5.36)
where ∆x and ∆z are the calculation steps in x and zaxis directions and subscripts i
and m are sampling points along the x and zaxis directions, respectively. The
number of divisions along the x and zaxis directions are N (i = 0N) and M (m = 0
M), respectively. So
m
i
φ represents the electric field amplitude at x = x
i
= i∆x and z =
z
m
= m∆x. Combining equations (5.32)(5.36), we can have the following
simultaneous equations:
1 1 1
1 1 1 1
( 1 1)
m m m m m m m m m
i i i i i i i i i
s q d i n φ φ φ φ φ φ
+ + +
− + − +
− + − = + + ≡ = − − (5.37)
where
2
2 2 1/ 2 2 2 2 1/ 2 0
0 0
4 ( )
2 ( ) [( ) ] 2 ( )
m m m
i i i
kn x
s k x n n j j kn x
z
α
+ +
∆
= − ∆ − + + ∆
∆
(5.38)
2
2 2 1/ 2 2 2 2 1/ 2 0
0 0
4 ( )
2 ( ) [( ) ] 2 ( )
m m m
i i i
kn x
q k x n n j j kn x
z
α
+ +
∆
= − + ∆ − + − ∆
∆
(5.39)
when the initial electric field distribution
0
( 0 )
m
i
i N φ
=
= − at the input position is
given, the electric field profile
m
i
φ at ( 1 )
m
z z m z m M = = ∆ = − is successively
140
calculated by using equation (5.37). However, there are only (N  1) equations in
equation (5.37) for (N + 1) unknown variables. So the transparent boundary
conditions at the input and output ends should be considered. Combing those
boundary conditions into equation (5.37), we can get (N  1) simultaneous equations
for (N  1) unknowns
1 1 1
1 1
( 1 1)
m m m m
i i i i i i i
a b c d i n φ φ φ
+ + +
− +
− + − = = − − (5.40)
where
1 1 left 1
0, exp( ), =1
m
i
a b s j x c κ = = − − ∆ (5.41a)
1, , =1 ( 2 2)
m
i i i i
a b s c i N = = = − − (5.41b)
1 1 1 right 1
1, exp( ), =0
m
N N N N
a b s j x c κ
− − − −
= = − − ∆ (5.41c)
By solving equation (5.40), we can get the field distribution in the waveguide.
5.3.2 FDMBPM Analysis of Rectangular Waveguides
This is in threedimensional case, so from equation (5.31), we can have
2 2 2
0
0 0
1
( , , ) [ ( , , ) ]
2 2
k
j x y z j n x y z n
z kn n
φ
φ α φ φ
∂
= − ∇ − − −
∂
(5.42)
As in the previous section, the electric field at the grid point of x i x = ∆ , y l y = ∆ , and
z m z = ∆ is expressed by
,
( , , )
m
i l
i x l y m z φ φ ∆ ∆ ∆ = (5.43)
By using the above notation, equation (5.42) can be approximated by the finite
difference form as
141
1 1 1
1, , 1, 1, , 1, 1
, , 2
1 1 1
, 1 , , 1 , 1 , , 1
2
1
, ,
2 2
( )
2( )
2 2
+
2( )
+ ( )
m m m m m m
i l i l i l i l i l i l m m
i l i l
m m m m m m
i l i l i l i l i l i l
m m
i l i l
A
x
y
B
φ φ φ φ φ φ
φ φ
φ φ φ φ φ φ
φ φ
+ + +
− + − + +
+ + +
− + − +
+
− + + − +
− =
∆
− + + − +
∆
+
(5.44)
where
0
2 j kn
A
z
=
∆
(5.45)
2
2 2
0 0
1 1
, , , ,
2 2 2
k
B jkn i l m n i l m n α
   
= − + + + −
 
\ ¹ \ ¹
(5.46)
Equation (5.44) can be solved by using alternatingdirection implicit finite difference
method (ADIFDM) [53]. The transparent boundary conditions are also applied.
It should be noted that the paraxial approximation (or the Fresnel
approximation) has been adopted in the above FDMBPM analysis. Therefore this
method is not very good for analyzing light beam propagation in a highly tilted
waveguide from the initial propagation direction of the input signal. In that case, fast
Fourier transform (FFT) BPM is applied since the paraxial approximation has not
been used in this method. The details of FFTBPM can be found in [53].
5.3.3 Straight Waveguide Design with BPM Software
5.3.3.1 Mode Calculation with BPM Software
In the previous subsection, we introduced the basic principles of BPM. BPM
is very powerful as we mentioned earlier. It can be used to do mode calculation and
analyze the field distributions and transmissions in waveguides and devices. In this
142
subsection, we are going to briefly introduce a BPM software, BeamPROP with
which we have designed single mode layerstructured waveguides and other optical
devices. We have also run the simulations with BeamPROP to analyze the field
distributions and the transmission along the waveguides and around the devices.
BeamPROP is a highly integrated CAD and simulation program for the design
of photonic devices and photonic integrated circuits [64]. It incorporates advanced
finitedifference beam propagation techniques for simulation, and a graphical user
interface for circuit layout and analysis.
Figure 5.7 The design of a layered rectangular waveguide with BeamPROP. (a)
Refractive index distribution. (b) The illustration of the cross section of waveguide
design. The refractive index is illustrated in different colors. (c) Vertical cut of
index profile of the rectangular waveguide.
(a)
143
Figure 5.7 shows the design of a layerstructured rectangular waveguide with
BeamPROP. Figure 5.7(a) shows a userfriendly window of layer table editor. From
the table, we can see that the substrate of the waveguide has refractive index 1.65.
This is a typical index value of Sapphire. The first, second and third layer has
refractive index 2.263, 2.355, 2.263, respectively. These are the refractive indices of
Erbium doped AlGaN materials with different Al concentration. The cover index is 1,
which means the media covers the third (top) layer, the sides of the layered
rectangular waveguide, and the Sapphire surface beyond the waveguide is air.
Figure 5.7 (b)
144
Figure 5.7(b) illustrates the cross section at the input side of the layer
structured rectangular waveguide. From the figure, it can be seen that the rectangular
waveguide has a width of 3 µm and a total height of 1.5 µm, with 0.5µm high for
each layer. The figure also illustrates the different refractive indices of different
layers in different colors. This helps to verify the dimensions of the design.
Figure 5.7(c) shows another function of the BeamPROP. It shows the vertical
cut of index profile at x = 0.01, where x is the value of the horizontal direction as in
Figure 5.7 (c)
145
figure 5.7(b). The vertical cut can be made anywhere along the horizontal direction,
so that we can have any vertical refractive index profile in which we are interested.
We have set the length of the layerstructured straight rectangular waveguide
as 1,000 µm and run the simulation with BeamPROP to calculate the mode solution.
In the simulation, we used wavelength 980 nm as signal wavelength. Figure 5.8
shows our simulation results. Figure 5.8(a) shows the fundamental mode of the
waveguide. The power distribution in cross section of the waveguide is illustrated
Figure 5.8 The mode calculation of a layered rectangular waveguide with
BeamPROP. (a) The basic mode. (b) The illustration of the cross section of
waveguide design. The refractive index is illustrated in different colors.
(c) Vertical cut of index profile of the rectangular waveguide.
(a)
146
with different colors. Also it can be seen that the effective refractive index is
calculated for this mode propagation.
Figure 5.8 (b)
147
Figure 5.8(b) and (c) show the other calculated modes of the waveguide with
BeamPROP. It can be seen that the waveguide has multi modes. Also we can see that
the effective refractive index is calculated for each mode.
By simply adjusting the dimensions of the width and the height of the
waveguide, we can have different results of mode calculation. By proper adjusting the
dimensions of all the layers, we can obtain single mode waveguide for the wavelength
we choose. We will show this in the next subsection.
Figure 5.8 (c)
148
5.3.3.2 SingleMode Layered Rectangular Waveguide Design with BeamPROP
As we mentioned above, we can use BeamPROP to design singlemode
layered rectangular waveguide. The previous work we did gives the values of
refractive indices of GaN and its alloys Al
x
Ga
1x
N with Al molar fraction x varying.
These values will be given out later in this chapter (figure 5.12(a)). Based on these
results, we designed layered singlemode optical waveguide and the related optical
devices with BeamPROP.
Figure 5.9 shows schematically the cross section of the designed straight
singlemode waveguide using GaN as the core, Al
x
Ga
1x
N as the cladding and
Sapphire as the substrate. In our simulation, the value of the core refractive index was
Y
X
(a)
0
l
3
µ
m
h <0.2µm
4
µ
m
GaN
Al
x
Ga
1x
N
Sapphire
Cladding
Substrate
Core
Figure 5.9 The cross section of the design of GaN singlemode waveguide.
149
set as 2.335. This is the refractive index of GaN we previously obtained, which will
also be shown later in this chapter. Then we varied the value of the cladding
refractive index and the value of the waveguide width l as shown in figure 5.9. We
found that when the cladding refractive index is 2.312, which corresponds to the Al
molar fraction x ∼ 3% [29], the value of l has to be between 3 µm and 5 µm for the
waveguide to support a singlemode. From figure 5.9, we can see that there is a thin
slab above the 4 µm cladding. In the simulation, it was found that the height h of this
slab has to be less than 0.2 µm to keep the waveguide as singlemode. In our design,
we have taken h equal to 0 for convenience. However, the condition h < 0.2 µm is
meaningful since it is difficult to get exactly h = 0 in the real waveguide fabrication
process. We then measured the effective refractive index through the simulation and
the result we got was around 2.313 as shown in figure 5.10(a). Figure 5.10(a) also
clearly shows the verification of the singlemode transmission on our designed
waveguide. Figure 5.10(b) shows radiation pattern versus exit angle of the waveguide.
Figure 5.10(c) shows the refractive index characteristics in the cross section along Y
direction at X = 0. It was in accordance with our designed values. All the single
waveguides except for the tapered connections in the devices we designed have the
cross section as shown in figure 5.9.
150
Figure 5.10 Simulation result of the designed GaN singlemode waveguide
with BeamPROP. (a) Single mode simulation verification and the effective
refractive index; (b) Radiation pattern versus exit angle; (c) Refractive index
characteristics along Y direction, at X = 0.
(a)
151
0.2
0.4
0.6
0.8
1
10 5 0 5 10
Angle (degree)
R
a
d
i
a
t
i
o
n
p
a
t
t
e
r
n
(b)
(c)
Figure 5.10 (b) and (c)
152
5.3.3.3 Optical waveguide preparation and characterization
Based on the BPM simulation result, several different waveguide
configurations have been designed. These designs include straight waveguides, 2 × 2
waveguide couplers and AWGs, which will be discussed later. To verify the design,
various sample devices were fabricated with the help of the Physics Department at
Kansas State University. In the fabrication process, the optical waveguide structures
were formed by photolithographic patterning and inductivelycoupled plasma (ICP)
dry etching [65]. According to the design, the etching depth is controlled at
approximately 2.8 µm and the Al molar fraction x is about 3%. The sample devices
will be presented and discussed later.
5.4 Measurement Method and Experimental Setup
Based on the configurations of the singlemode waveguide we obtained
through our simulation as shown in the above section, we fabricated waveguides and
some simple devices. Before we introduce them here, we would like to show the
measurement method and illustrate the experimental setup first.
5.4.1 Measurement Method Based On FebryPerot (FP) Interference
In the application of alloptical communications, it is important to measure the
effective refractive index of a waveguide precisely. It is also important to measure the
waveguide’s singlepass power attenuation, excluding the uncertainties caused by
optical coupling at both the input and output of the waveguide. To do the required
153
measures, FebryPerot (FP) interference method was applied in our measurement,
where the two end facets of the straight waveguide forms the FP cavity. In the
measurement, an erbiumdoped fiber amplifier (EDFA) without optical signal input
was used to provide a wideband amplified spontaneous emission (ASE). The ASE
optical spectrum at the output of the optical waveguide was recorded with an optical
spectrum analyzer (OSA).
From the OSA, we can get the measured optical transmission spectrum. Then
apply this measured transmission spectrum to fit the normalized FP transmission
equation [66]
1
0
2 2
)] / 4 cos( 2 1 [ ) (
−
+ − + = ϕ λ π λ
eff
Ln RA A R T (5.47)
where L is the waveguide length, R is the power reflectivity of the waveguide end
facet, ϕ
0
is an initial phase or a fitting constant, n
eff
can be obtained through the
simulation, A is the singlepass power attenuation. With the best fitting, value A can
be obtained. Thus the waveguide loss per unit length can be obtained.
As for the application of this method to get the effective refractive index, n
eff
,
it is also shown in equation (5.47). From the equation, n
eff
can be easily obtained as
long as all the other parameters were measured or calculated. Optical signals with
different polarizations can be applied and the different effective refractive indices
related to different polarizations may be obtained.
154
5.4.2 Experimental Setup
To characterize the waveguide samples we have designed and fabricated, a
fiberoptic setup operating in the 1550 nm wavelength region was constructed.
Optical coupling at the input and the output of the waveguide was accomplished by
using tapered singlemode fibers with 6µmworking distance and 2.5µmspot size
of the focus. Each tapered fiber end was mounted on a fivedimensional precision
positioning stage to optimize the optical coupling efficiency. A tunable laser diode
was used as the light source and an optical power meter was used to measure the
optical power that passes through the waveguide. Figure 5.11 shows this experimental
setup.
EDFA
Fivedimensional
adjustable stages
Fixed stand
Tapered single
mode fibers
Waveguide device
Optical power
meter /optical
spectrum
analyzer
Figure 5.11 Fiberoptical experimental setup.
155
5.5 Measurement of Refractive Indices in Infrared
From section 5.3.3, we could see that, in order to design guidedwave optical
devices, the knowledge of material refractive indices in the operating wavelength
region is essential. We have conducted the refractive index measurements for Al
x
Ga
1
x
N with different Al molar fractions. In order to perform this measurement, a number
of sample Al
x
Ga
1x
N films were grown by metal organic chemical vapor deposition
(MOCVD) on sapphire substrates. The films’ thickness range from 1.1 µm to 1.5 µm
and Al molar fractions range from x = 0.1 to x = 0.7 [67]. To evaluate the refractive
index of each film, optical transmission spectra were measured. Due to the Fabry
Perot (FP) interference caused by the two facets of the film (one facet is between
Al
x
Ga
1x
N and the air and the other facet is formed between Al
x
Ga
1x
N and sapphire),
optical transmission efficiency is wavelengthdependent. With the knowledge of the
film thickness, the film refractive index can be obtained by best fitting the measured
optical transmission spectrum to a wellknown FP transmission equation.
Figure 5.12(a) shows the measured refractive indices of Al
x
Ga
1x
N versus
wavelength for several different Al molar fractions. The continuous curves in the
same figure were numerical fittings obtained by using the first order Sellmeir
dispersion formula:
2
1 0
2
2 2
2 1 0
) (
) (
1 ) (
x C C
x B x B B
n
+ −
+ +
+ =
λ
λ
λ (5.48)
156
The coefficients for best fit are displayed in Figure 5.12(a) and their variations versus
Al molar fraction x are shown in Figure 5.12(b). Since we are mostly interested in the
refractive indices in 1550 nm wavelength window, this information can be collected
from Figure 5.12 and the following polynomial expression is obtained for the Al
molar fraction (x) dependence of the refractive index at 1550nm wavelength,
335 . 2 735 . 0 431 . 0 ) 1550 (
2
+ − = x x nm n . (5.49)
Figure 5.12 (a) Refractive indices of Al
x
Ga
1x
N versus wavelength for several
different Al molar fractions. (b) Sellmeier expansion coefficients versus Al molar
fractions.
2
2.05
2.1
2.15
2.2
2.25
2.3
2.35
0.6 0.8 1 1.2 1.4 1.6
Wavelength (µm)
R
e
f
r
a
c
t
i
v
e
i
n
d
i
c
e
s
x = 0.1
x = 0.3
x = 0.5
x = 0.7
B
0
= 4.25, B
1
= 0.98, B
2
= 4.3, C
0
= 182, C
1
= 122
B
0
= 4.18, B
1
= 0.99, B
2
= 4.2, C
0
= 207, C
1
= 122
B
0
= 4.81, B
1
= 0.97, B
2
= 3.9, C
0
= 200, C
1
= 109
B
0
= 5.49, B
1
= 0.9, B
2
= 3.6, C
0
= 188, C
1
= 102
(a)
157
The monotonic decrease of Al
x
Ga
1x
N refractive index with the increase of Al molar
fraction x makes the design of singlemode optical waveguide devices straightforward.
5.6 Measurement Results of the SingleMode GaN/AlGaN Waveguides
5.6.1 Experimental Results: Power Loss in Waveguide Transmission
Based on the method in section 5.4.1 and the experimental setup in section
5.4.2, we then did an experiment to measure the effective refractive index and the
singlepass power loss of our fabricated waveguide. The measured result is shown in
figure 5.13 where the normalized output optical spectrum we got from the OSA is
10
5
0
5
10
150
100
50
0
50
100
150
200
250
0.1 0.2 0.3 0.4 0.5 0.6 0.7
Al molar fraction x
S
e
l
l
m
e
i
r
c
o
e
f
f
i
c
i
e
n
t
s
B
0
,
B
1
B
2
S
e
l
l
m
e
i
r
c
o
e
f
f
i
c
i
e
n
t
s
C
0
,
C
1
C
0
C
1
B
0
B
1
B
2
Figure 5.12 (b)
158
illustrated. In the figure, the solid points formed measured optical transmission
spectrum. The continuous line was obtained by fitting the normalized FP transmission
equation (5.47). By the best fitting, we got the singlepass power attenuation value A
= 4.8 dB, corresponding to a waveguide length 1.393 mm. The waveguide loss per
unit length is ~34.4 dB/cm. It should be pointed out that the actual attenuation of the
waveguide should be less than this value, since the cleaved waveguide end facets may
not be ideally flat and they are definitely not exactly perpendicular to the waveguide
axis to form an ideal FP cavity.
Figure 5.13 Measured optical transmission spectrum (solid point) and
numerical fitting using equation (213) (continuous line). (Ref.[29])
0.6
0.4
0.2
0
0.2
0.4
0.6
1558.5 1559.5 1560.5 1561.5
Wavelength (nm)
N
o
r
m
a
l
i
z
e
d
s
p
e
c
t
r
a
l
d
e
n
s
i
t
y
(
d
B
)
159
5.6.2 Birefringence of GaN/AlGaN optical waveguides
In planar lightwave circuit applications, an important parameter is the
refractive index of the material, which we have discussed in the above subsection.
Besides this, the knowledge of the birefringence of the material is also critical in
waveguide design and in device performances. So we studied the birefringence
characteristic of the GaN/AlGaN optical waveguides. The birefringence of GaN films
grown on sapphire substrates has been reported [68]. A refractive index change of
approximately 4% was observed at wavelength around 800 nm when the signal
polarization was varied from perpendicular to parallel to the GaN crystal caxis [69].
On the other hand, due to the wurtzite structure, the crystal lattice of GaN has a
hexagonal configuration on the ab plane. It has been reported that the efficiency of
the optical emission changes periodically when the optical propagation direction
changes on the ab plane [70]. Figure 5.14 shows the wurtzite structure of GaN unit
cell and the coordinate choices. It can be seen that the structure has a hexagonal
configuration in ab plane. We believe that the birefringence is not only due to the
polarization direction of the optical signal, but also due to the incident direction of the
input light beam relative to the direction of axis a as shown in figure 5.14.
In order to investigate the birefringence caused by both signal polarization and
different incident direction relative to aaxis direction, different singlemode
waveguides were made by changing the angle between the directions of straight
waveguide and the crystal aaxis. Figure 5.15 shows this design, where angle θ varied
for different waveguide samples. In the figure, axis a, b and c are the same as in
160
Figure 5.14 while G is the direction of the waveguide. The lengths of the waveguide
samples ranged from 1.5 – 3.0 mm.
Again the measurement method based on the FP interference was applied. The
difference in the experimental setup was the use of a fiberoptical polarizer and a
a
c
b
Figure 5.14 The wurtzite structure of GaN unit cell and the choice of coordinates.
G
c
b
a
GaN
Figure 5.15 Waveguide sample. Waveguide differs by the angle θ.
161
polarization controller, which are inserted immediately after the ASE source. The
experimental setup is shown in figure 5.16.
The refractive indices were measured for the signal’s optical field
perpendicular, parallel, or in a specific angle to the crystal caxis for each sample with
a specific θ value. Figure 5.17 shows the measured optical transfer functions on a
particular waveguide sample for
15 = θ . In the measurement, the input signals were
applied in three polarization states, and the relative measured results of transfer
functions are shown with the three traces in the figure. Trace 1 is for the input optical
signal polarized perpendicular to the caxis while trace 3 is for the signal parallel to
the caxis. For a better illustration, we have intentionally shifted the two traces by
8 . 0 ± dB based on the measured values. It can be seen that the transfer functions are
Figure 5.16 The birefringence measurement experimental setup.
Fivedimensional
adjustable stages
Fixed stand
Tapered single
mode fibers
Waveguide device
Optical power
meter /optical
spectrum
analyzer
EDFA
162
typically FPtyped. It can also be seen that there is a small difference in the periods of
the two traces. This means that the effective refractive indices are slightly different
for the signals with different polarizations. Furthermore, these two traces can be
numerically fit by a normalized FP transfer function [34]:
1
0
2
) 2 / ( 4
cos 2 1 ) (
−
¦
)
¦
`
¹
¦
¹
¦
´
¦
+
∆ ±
− + = ϕ
λ
π
λ
n n L
R R T
eff
(5.50)
Where L = 2.31 mm is the length of the waveguide; R = 3.75% is the effective round
trip power loss of the waveguide when it acts as a FP cavity with its end surfaces
1.5
1
0.5
0
0.5
1
1.5
1547 1548 1549 1550 1551 1552 1553 1554
Wavelength (nm)
N
o
r
m
a
l
i
z
e
d
t
r
a
n
s
m
i
s
s
i
o
n
1
2
3
Figure 5.17 Measured (solid dots) and calculated (continuous lines) optical transfer
function with the input optical field perpendicular (trace 1), parallel (trace 3) and
45
0
from (trace 2) the crystal caxis. (After [34])
163
acting as mirrors; and ϕ
0
is the initial phase that can be determined by the best fitting
between the measured and the calculated values. If we denote n
⊥
as the effective
refractive index of the waveguide when the optical field is perpendicular to the
material caxis, and
//
n as the effective refractive index when the optical field is
parallel to caxis in the waveguide, we usually get
//
n n ≠
⊥
when birefringence exists
for the waveguide. From the numerical fitting by using equation (5.50) as shown in
figure 5.17 (the solid lines), we can obtain 357 . 2
//
= n , and 315 . 2 =
⊥
n by the best
fittings, as shown in traces 1 and 3. So the refractive index difference due to the
birefringence is 042 . 0 ) (
//
= − = ∆
⊥
n n n in this particular case. To explore where this
birefringence is from, we did a separate BPM simulation on the waveguide in figure
5.9, and found that the refractive index difference between the “⊥” and the “//”
polarization components induced by the waveguide structure is less than 10
5
. This
clearly indicates that the measured ∆n value of 0.042 is primarily caused by the
material birefringence instead of the waveguide structure, which means that it is not
practical to try to overcome the birefringence by changing the structure, more
specifically, the width and the height of the waveguide.
Another measurement and fitting were also made for the input signal splitting
equally into the “⊥” and the “//” polarization modes. This is shown as trace 2 in
figure 5.17. From the figure, we could see that the ripple amplitude of the FP transfer
function has a null at wavelength 1551.2 nm. This can be explained that there is a π
phase walkoff between the TE and the TM polarization modes of that wavelength. If
164
we compare trace 1 and trace 3 in the figure carefully, we can clearly see this π phase
walkoff. It is obvious that multiple nulls can be found at different wavelengths for
this polarization state of the input signal by simply enlarging the measurement
wavelength coverage. With the information of the wavelengths at which the nulls
appear, we can determine the birefringence by [34]
) 2 /(
2
0
λ λ ∆ = ∆ L n (5.51)
Where λ
0
is the average wavelength used in the measurement, and ∆λ is the
wavelength difference between the adjacent nulls in the transfer function.
Figure 5.18 Measured birefringence versus waveguide orientation (solid squares).
The continuous line is a sinusoid fitting using, ∆n = 0.042750.00545cos(6θ), where
θ is in degree.
0.035
0.04
0.045
0.05
0 20 40 60 80 100
Waveguide orientation θ (degree)
I
n
d
e
x
d
i
f
f
e
r
e
n
c
e
∆
n
=
(
n
x
–
n
y
)
165
Besides that the two values of n
⊥
and n
//
are not the same, more importantly,
we found that there is an approximately 10% change in the index difference
⊥
− = ∆ n n n
//
with varying the θ value, and also a 60
o
periodicity was observed.
Figure 5.18 shows this result, where systematic measurements were made on a
number of waveguide samples with angle θ = 0
0
, 15
0
, 30
0
, 60
0
and 90
0
. The
continuous line in figure 5.18 is the fitting curve, ∆n = 0.042750.00545cos(6θ),
where θ is in degree. Thus we verified that the refractive index not only depends on
the optical signal polarization but also depends on the optical propagation direction
within the ab plane of the waveguide samples. This is attributed to the wurtzite
structure of the GaN crystal.
Although the above periodical variation of ∆n within cplane was obtained in
the infrared wavelengths, we can assume that this 60
o
periodicity in ∆n variation also
exists in the wavelength regions near the band edge based on the fact that the
periodical emissionefficiency variation versus angleθ in cplane has been reported in
[70].
For most applications of planar lightwave circuits, the birefringence of the
waveguide is an important issue that has to be considered. Less birefringence in the
waveguides guarantees better real communication systems. Several techniques have
been proposed to reduce the birefringence in the waveguides made by semiconductor
materials. Those techniques include polarization compensation [71]; special
waveguide crosssection design [72][73]; and the introduction of buildin
compressive, or tensile stresses during the crystal growth [74][75].
166
The measured result given above gives us a foundation for the design of the
polarization insensitive waveguide with the technique of special crosssection design.
Since there are two types of birefringence: the material birefringence and the
waveguide birefringence, it is important to consider both of them in the designing.
Through simulation, we could design some specific waveguide birefringence in the
waveguide design based on the chosen refractive indices. Then, we can carefully
choose the direction of the incident beam to have some specific material
birefringence. If these two types of birefringence compensate for each other, a
polarization insensitive waveguide can be realized.
5.7 Design of Optical Couplers and MachZehnder Interferometer Device
with GaN/AlGaN
In Chapter 2, we discussed the principles of basic devices such as couplers,
MachZehnder Interferometers. In this section, we are going to design functional
devices with GaN materials.
Figure 5.19 Simulation of a 3dB coupler.
167
5.7.1 Simulation Results of Couplers and MachZehnder Interferometer Device
The simulation results for our designing of simple 2 × 2 waveguide couplers
and MachZehnder Interferometers are shown here. Figure 5.19 shows a simulation
result for a 2 × 2 3dB waveguide coupler. The input power from one of the input
ports of the coupler was split equally to the two output ports.
Figure 5.20 shows the simulation result where a MachZehnder Interferometer
acted as a simple optical switch. In the simulation, the length difference ∆L between
the two arms was realized by having different refractive indices in the waveguides of
the two arms. This can be made by having an electrode on one of them. In our
simulation, the refractive index difference between the two arms was set as 0.0238.
The signals with different wavelengths 1.5464 µm and 1.5625 µm were launched into
the same input port. But they exit from different output ports. This simulation was set
2
1
Figure 5.20 Simulation of MZ Interferometer optical switch
controlled by carrier induced refractive index change.
168
for the design of optical switches that could be realized with carrier induced refractive
index change.
Figure 5.21 Microscopic images of a 2×2 GaN/AlGaN heterostructure optical
waveguide coupler (a) top view and (b) cross section at the output. (Ref. [29])
1
2
3
4
(a)
(b)
169
5.7.2 A Simple Example: Waveguide Coupler
The first samples we designed have the waveguide widths all equal to 3µm.
Several different waveguide configurations were designed and fabricated. The
devices included straight waveguides and 2 × 2 waveguide couplers.
Figure 5.21 shows an example of a fabricated device samples based on our
design. It is a typical 2 × 2 optical waveguide coupler [29]. The power splitting ratio
Figure 5.22 Measured output optical power vs the probe displacement in the
horizontal direction for a 2×2 GaN/AlGaN heterostructure optical waveguide coupler.
The input optical signal is launched at port 1 (as illustrated in Fig. 36) (Ref [29]).
40 20 0 20 40
O
u
t
p
u
t
p
o
w
e
r
(
l
i
n
e
a
r
s
c
a
l
e
)
Probe displacement (µm)
Port 3
Port 4
170
of this particular coupler was designed to be 3dB. To characterize the sample, the
experimental setup was the same as shown in figure 5.11, except that a tunable laser
was used to replace the EDFA. The result is shown in figure 5.22, where the output
powers were measured at the two outputs (3 and 4) while the input power was from
input port 1. From figure 5.22, we see that the experiment result is in accordance with
our design. A ∼50% power splitting was realized.
5.8 The AWG Based on the GaN/AlGaN Heterostructures
In chapter 2, we have discussed the basic principles of an AWG. In chapter 3,
the AWG was used as the basic component to construct an IAWG and IAWGbased
WDM cross connects or all optical switches. In this section, we are going to show the
design of an AWG with GaN/AlGaN materials. We will also explain the reason why
we have chosen GaN/AlGaN instead of other materials.
One approach to make the AWG devices is to use the silica PLC, which is the
most popular one, and the AWGs made in this way are commercially available now.
However, AWG devices made of silica are usually not tunable due to the passive
nature of silica. One approach to make the AWG tunable to make wavelength
switches is by using thermal tuning method [76][77]. The thermal tuning method has
been briefly discussed in chapter 2, for thermooptic MachZehnder Interferometer
(MZI) switch, and in the introduction part of chapter 3. In the AWG case, a small
resistor is deposited near each arrayed waveguide. This small resistor can heat the
171
related waveguide individually to change its refractive index, so that a relative optical
delay is introduced in the waveguide. However, as we have pointed out in chapter 2,
this method is very slow since it is in millisecond level. It cannot be applied to the
packet switchbased optical networks. Another approach is to use semiconductor
materials to make planar waveguide PLCs. Since InP is semiconductor, the InPbased
PLC can be potentially made fast tunable with the carrier injection [6][8]. However,
there are also several disadvantages with the InPbased devices. Firstly, it has too
high refractive index ( 5 . 3 ≈ n ) compared with silica. The crosssection of the
waveguide made of InP is very small, which causes extra coupling loss at the
interface with an optical fiber, due to the refractive index mismatch, and due to the
mode spot size mismatch. Secondly, the temperature sensitivity of the refractive
index of InP material is very high, which is
1 4
10 /
− −
≈ K dT dn , which is
approximately 10 times higher than that of silica. So the performance of the InP
based AWG devices is very sensitive to the temperature change, and the stringent
temperature control is required. This has become part of the reason why the InPbased
AWG devices have not become commercially competitive so far.
Compared with InP and Silica, the IIInitrides have distinct advantages for the
application of tunable AWG optical devices. The lower refractive index than InP
makes the waveguide cross section larger than that of InP waveguide, which reduces
the coupling loss with optical fibers significantly. The wide bandgap relative to the
application wavelength 1550 nm makes the intrinsic loss and optical gain small. On
the other hand, its semiconductor characteristic makes it possible to change its
172
refractive index by carrier injection, primarily by free carrier absorption in this case
as we have discussed in chapter 4. This makes it possible to design fast tunable
AWG devices.
5.8.1 Simulation Results of the Arrayed Waveguide Gratings
Based on the previous simulations, another waveguide device, arrayed
waveguide grating (AWG) on GaN and Al
x
Ga
1x
N was then designed and simulated.
Figure 5.23 shows this AWG configuration (a), and the related simulation result (b).
The size of the AWG configuration was about 5.5 × 8.8 µm
2
. It consisted of one input
star coupler with one input port, one output star coupler with eight output ports, and
40 arrayed waveguides between the two star couplers. The waveguide had the same
layered structure as in Figure 5.9. The simulation result was in accordance with what
we had expected. Each of the eight output ports had its specific peak wavelength for
the output signal.
173
Figure 5.23 (a) Arrayed waveguide grating configuration, (b) simulation output result.
(a)
174
5.8.2 A Sample: A Fabricated Arrayed Waveguide Grating
To verify the feasibility, a GaN/AlGaNbased AWG was fabricated for the
first time based on the simulation result as shown above. The fabrication procedure
was identical to that described in section 5.3.3.3, which involved photolithographic
patterning and inductivelycoupled plasma (ICP) dry etching [65]. Figure 5.24 shows
a sample of an AWGbased 1 × 8 WDM demultiplexer. Figure 5.24(a) is a
microscope picture of the device configuration, which consists of one input
Figure 5.23 (b)
175
waveguide, eight output waveguides, two star couplers, and 40 arrayed waveguides
between the two star couplers. By design, the channel spacing of the WDM outputs is
2 nm. Figure 5.24(b) shows the measured optical transfer function versus the signal
wavelength for all the eight output ports. It can be seen that the measured transfer
function of the AWG generally agrees with the simulated one as shown in figure
5.23(b). The results clearly demonstrated an approximately 2 nm wavelength spacing
between transmission peaks of adjacent output waveguides. This indeed verifies the
accuracy of the design. It is noticed that the outofband rejection ratio of the
measured transfer function is only approximately 10 at most of the output ports. This
is mainly due to the nonuniformity of the waveguide array caused by the
imperfections in the fabrication process.
176
Input
Star couplers
Waveguide array
Outputs
(a)
Figure 5.24 Microscope picture (a) and measured optical transfer function (b) of an
AWGbased WDM coupler with 2nm channel separation.
177
5.9 The Thermal Stability of the Refractive Index
The dependence of the refractive index of Al
x
Ga
1x
N on temperature has been
investigated extensively [78]. Although previous research has been focused on the
characteristics of Al
x
Ga
1x
N in UV and visible wavelength region, the theoretical
formulation can be extended into near the infrared region. We adopt the expression of
the refractive index as the function of temperature, wavelength and Al concentration
for Al
x
Ga
1x
N in [78]:
Wavelength (nm)
0
0.2
0.4
0.6
0.8
1
1545 1547 1549 1551 1553 1555 1557 1559
N
o
r
m
a
l
i
z
e
d
T
r
a
n
s
m
i
s
s
i
o
n
(
a
.
u
.
)
Figure 5.24 (b)
178
{ }
2 / 1
2 2
2
1
) , , (
i r r
T x n ε ε ε λ + + = (5.52)
Where ε
r
and ε
i
are the real and the imaginary parts of the dielectric constant ε,
respectively, with,
2 5 . 1
1 1 2
) , (
) , (
) , ( ) , , (
y
y y
T x E
T x A
T x C T x
g
− − + −
⋅ + = λ ε (5.53)
) , (
) , ( /
T x E
T x i hc
y
g
Γ +
=
λ
(5.54)
1 ) / 386 . 0 exp(
224 . 0
99 . 0 35 . 1 502 . 3 ) , (
2
−
− + + =
T
x x T x E
g
(5.55)
3 6 2
3 6 2
( , ) 2.49 2.27 10 1.8 10
(0.74 4.61 10 5.33 10 )
C x T T T
T T x
− −
− −
= + × − ×
− + × − ×
(5.56)
{
}
2 5 2
4 2 1.5
( , ) 79.3 8.37 10 6.73 10
(18.99 0.13 1.76 10 ) [ ]
A x T T T
T T x eV
− −
−
= − × − ×
+ + − ×
(5.57)
{ } ] [ 10 ) 19 . 0 24 . 248 ( 10 13 . 4 69 . 8 ) , (
3 2 2
eV x T T T x
− −
× − + × + − = Γ (5.58)
This approximation is valid for the Al concentration x < 0.64 and the accuracy
was tested against the measured data obtained with a spectroscopic ellipsometor
between 3.5 eV and 1.5 eV (850nm wavelength). Although the accuracy of this
equation in the 1550 nm wavelength region has not been fully verified, at this
wavelength that is far away from the material bandgap, no abrupt variation is
expected for the material characteristics. Equations (5.52)(5.58) will provide a
179
reasonably accurate estimation for the temperature sensitivity of the refractive index
at 1550 nm. Figure 5.25 (a) shows the sensitivity of the refractive index against the
temperature change (dn/dT ) at the wavelength of 1550 nm with various values of Al
concentration x. Within 0 and +50
o
C, the temperature sensitivity is less than
C
/ 10 2
5 −
× . This value is similar to that of silica [54], and approximately one order
of magnitude lower than that of InP, which is about C
/ 10 3
4 −
× [55][56] at this
wavelength. It is interesting to note that for Al
x
Ga
1x
N at room temperature (25
o
C),
the temperature sensitivity of the refractive index is not monotonic versus Al
concentration x, as shown in Figure 5.25(b), which shows a maximum around x = 0.4.
180
Figure 5.25 Calculated temperature sensitivity of AlGaN refractive index, (a) as a
function of operation temperature for different Al concentration x and, (b) as a
function of Al concentration with a fixed operating temperature at 25oC.
I
n
d
e
x
c
h
a
n
g
e
p
e
r
o
C
(
d
n
/
d
T
)
x
1
0

5
Temperature (
o
C)
x = 0
0.4
0.2
0.8
(a)
181
Al concentration x
T = 25
o
C
I
n
d
e
x
c
h
a
n
g
e
p
e
r
o
C
(
d
n
/
d
T
)
x
1
0

5
Figure 5.25 (b)
182
6. Conclusions and Future Work
6.1 Conclusions
In this dissertation, we have reviewed the basic concepts of
telecommunication network architectures, optical networks, WDM network elements,
and basic components in optical networks. Among the basic components, we have
particularly focused on the basic principles and applications of optical couplers,
MachZehnder Interferometers (MZI), and arrayed waveguide gratings (AWG). In
terms of large optical switch architectures, we have emphasized our interest in the
Spanke architecture. Then we reviewed a number of popular switch device
technologies, such as MEMS and thermooptic switches. The MEMS technique has
inspired us to build 1 × N optical switches to realize N × N with the Spanke
architecture. The thermooptic technique has inspired us to explore the possibility of
using carrierinduced semiconductor material to realize the switching of optical
signals with particular wavelengths.
Our main focus has always been on alloptical switching in WDM technology.
We have explored and invented a novel structure for an alloptical switch in Chapter
3. We started with the basic AWG design and expanded it into the Ninterleaved
AWG (NIAWG). Compared to a conventional AWG, an NIAWG requires a unique
differential path length design in the bridge waveguides between the two star couplers.
We derived a general design rule for the required differential lengths of bridge
waveguides in an NIAWG. We discovered that there exist multiple solutions to the
183
differential path lengths in the NIAWG design. Based on this, we designed and
systematically analyzed a 1 × N WDM switch, which consists of two NIAWGs with
a phase shifter array between them. A practical design example of a 1 × 4 non
blocking WDM switch was then presented to illustrate the design steps and the
methods to find the required phase assignment at each phase shifter for various output
status. We also calculated the device transfer functions and discussed the switching
functionalities in detail. Based on the reciprocity principle, we also proposed a
simplified structure of a 1 × N WDM switch that requires only one NIAWG, where
total reflection is implemented at the end of each phase shifter. This simplified
structure significantly reduces the device size and relaxes the design tolerance. It is
also important to note that the proposed 1 × N switch structure is a PLC with no
waveguide crossings, therefore it can be monolithically integrated to create
sophisticated optical devices with various functionalities. We can use this type of 1 ×
N WDM switches as fundamental building blocks to construct nonblocking N × N
WDM alloptical switches, which we have also suggested in this dissertation and
which will be indispensable for future alloptical networks.
The feasibility of incorporating carrierinduced index tuning into switchable
PHASAR devices depends on the characteristics of semiconductors. Therefore, it is
important to find proper materials to realize our unique designs. We proposed to use
IIInitrides because of their unique characteristics. We presented a theoretical study of
carrierinduced refractive index change in GaN semiconductors in the infrared
wavelength region, which was previously not wellknown. The results of this study
184
provide us critical material parameters for switchable phasor device designs for
optical communication applications. In our approach, we have studied three carrier
effects: band filling, bandgap shrinkage, and freecarrier absorption. The results
indicate that in infrared wavelengths, the dominant cause of carrierinduced refractive
change is due to freecarrier absorption. Through our calculation, we verified that the
magnitude of carrierinduced refractive change is high enough for future applications
as PHASAR devices for optical communications. The devices we proposed are
feasible with GaN materials.
We then characterized the optical properties of Al
x
Ga
1x
N epilayers in the
1550 nm wavelength region experimentally, including the refractive indices and the
impact of Al concentrations. We designed various functional optical devices based on
the singlemode ridged optical waveguides using GaN/AlGaN heterostructures. The
devices were then systematically characterized for their operation in the 1550 nm
wavelength window. We observed and studied the birefringence of wurtzite GaN
grown on sapphire substrate. We found that the refractive indices were different for
the signal optical field perpendicular and parallel to the crystal caxis (
//
n n ≠
⊥
).
More importantly, we found an approximately 10% change in the index difference
⊥
− = ∆ n n n
//
when varying the waveguide orientation within the cplane, with a 60
o
periodicity. This is attributed to the hexagonal structure of the nitride materials. This
knowledge will help the understanding of polarization effect in the devices and the
design of polarization independent optical waveguides. An 8wavelength array
waveguide grating was designed and fabricated using IIInitride semiconductor
185
materials for the first time. The performance reasonably agrees with our design
expectation, which indicates that we have good understanding of the material
properties as well as device design rules. We have also investigated the thermal
sensitivity of the refractive index of AlGaN in the 1550 nm wavelength region, which
has been found comparable to that of silica and approximately one order of
magnitude lower than that of InP.
6.2 Future Work
This report has demonstrated our work in three areas of alloptical switching:
high level schematic designs; device structural calculations and simulations; and
experimental testing and verification. Although a foundation has been formed, there
is still plenty of room for future research in these three areas.
• New schematic designs can still be explored. For example, a ring resonator
can be used for demultiplexing or multiplexing filters. It can also be applied to
configure multiplexer by using multiple resonators [41].
• We have measured the birefringence of GaN materials. However, it still
remains a task to practically design polarization insensitive waveguides in
integrated optical circuits. The techniques include a careful choice of an angle
between aaxis and the waveguide direction in the photonic circuit design. A
special crosssection design of waveguide and an introduction of builtin
stresses in the crystal structure are worth further exploring.
• Carrierinduced refractive index changes in the GaN rectangular waveguide
have been theoretically explored and calculated. Devices designed using
186
theoretical calculations and simulations have been recently fabricated. The
remaining work in this area is to experimentally measure the carrierinduced
refractive index change. There are two ways to improve in this part. One way
is to improve the sample preparation process so that we could have an ideal F
P cavity so the experimental method introduced in Chapter 5 can still be
applied to measure the refractive index change. The other way is to develop
novel methods to do the measurement. We have already started to try some
new methods. For example, we started using a fabricated MZI device with
electrodes attached to verify the results experimentally. It can be seen that
either way is challenging.
• Besides the experimental verification of carrierinduced refractive index
change, the design and location of the electrodes on or near optical waveguide
also remains to be explored. We will then have a solid foundation to fabricate
and characterize the active optical devices we proposed in this dissertation.
• After the verification of the carrierinduced refractive index change
experimentally, a series of measurements needs to be taken to measure the
effective refractive index changes with different carrier concentrations in
waveguide samples. Then we can compare the experimental results with the
theory to verify some key parameters we had chosen in the theoretical
calculations.
• A thorough research in the mechanism of optical power loss needs to be
carried out. For example, losses could be due to coupling to radiation modes
187
or due to scattering [41]. Understanding this loss mechanism could help us to
design low loss waveguides. For example, we can reduce the loss due to
scattering by using geometries that can minimize the mode overlap with the
rough sidewalls of the waveguide [41].
• There are some approximations we made when investigating temperature
sensitivity of the refractive index for GaN materials. This temperature
characteristic needs to be verified experimentally.
• Recently, silicon has been widely investigated and applied as a new material
for optical devices due to the recent realization of submicrometersize
photonic structures [41][79]. Besides the channel waveguides and ridge
waveguides, novel waveguide configurations such as photoniccrystal
waveguides and slot waveguides have also been proposed [41]. Because of the
high refractive index of silicon, confined bent waveguides with small radii can
be realized. Although there is a big difference between the materials of Silicon
and IIINitrides, the basic principles in theory, in architecture designs, and in
experimental methods are very similar. Therefore we can extend our research
method presented in this dissertation into silicon applications in optical
telecommunications.
188
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The Dissertation Committee for Yueting Wan certifies that this is the approved version of the following dissertation:
OPTICAL PROPERTIES OF IIINITRIDE SEMICONDUCTORS AND THE APPLICATIONS IN ALLOPTICAL SWITCHING
Committee:
__________________________________ Chairperson __________________________________
__________________________________
__________________________________
__________________________________
Date approved: _____________________
ii
To My Parents and Siblings
iii
ACKNOWLEDGEMENTS
I would like to express my gratitude to Dr. Rongqing Hui, my committee chair, for his guidance throughout this research work and for his precious advice and support during my graduate studies here at the University of Kansas. His encouragement and full support led me to the success of this work. I have also been able to learn a lot from him about being a better researcher. It was an absolute pleasure working for him the past five years. I would also like to thank other members of my committee, Dr. Christopher Allen, Dr. Victor Frost, Dr. Hongxing Jiang and Dr. Karen Nordheden, for serving on my dissertation committee and giving me invaluable suggestions through out my research work. Also, I would like to express my thanks to the National Science Foundation for providing the financial support for my research work. Finally, I would like to thank my family and friends for their patience and encouragement throughout the work of my dissertation. The support from them makes this work successful.
iv
optical networks. and some switch architectures and techniques that have helped in the design of the optical switch. We then simplified the structure by using only one NIAWG with total reflection implemented at the end of each phase shifter. which is indispensable for the nextgeneration of alloptical packetswitched networks. The simplified structure significantly reduced the device size and relaxed the design tolerance. we derived a general design rule for constructing an Ninterleaved AWG (NIAWG). and proposed a 1×N WDM switch consisting of two NIAWGs and a phase shifter array. WDM network elements and basic components in optical networks.ABSTRACT The goal of this research was to build an N×N alloptical WDM switch. which can be realized through the carrierinduced index tuning of semiconductors. MachZehnder Interferometers (MZI). Based on the AWG principle. This suggests that it could be used as the fundamental building block to construct nonblocking N×N alloptical WDM switches with Spanke architecture. arrayed waveguide gratings (AWG). We started from the basic concepts of telecommunication network architectures. We focused on the principles and applications of optical couplers. We proposed to use IIInitride semiconductors due to v . The feasibility of the proposed optical switch depends on the refractive index tuning in the phase shifter array.
The performance of the AWG agreed well with our design expectations and may be a foundation for the application in optical switches. and presented a theoretical study of carrierinduced refractive index change in GaN in the infrared wavelength region. We measured the refractive indices and the impact of Al concentrations. Calculations verified that the magnitude of carrierinduced refractive index change is high enough for the application to the proposed optical switch.their unique characteristics. Among the devices we prepared. We then prepared various devices in GaN/AlGaN material and characterized their optical properties in the 1550 nm wavelength region experimentally. vi . We also measured the birefringence of the GaN waveguides. which was the first AWG in GaN/AlGaN material. there was an eightwavelength AWG. which helped understand the polarization effect in the devices and would help design polarization independent optical waveguides.
2. Optical Switch Technologies………………………………….3. 2.1.7.2.6... Design of AllOptical Switch Networks………………………………….7. Design of Passive Waveguide Devices………………………… Design of Carrier Controlled Simple Waveguide Devices……. 2.5.2. Introduction…………………………………………………………. Couplers………………………………………………………… MachZehnder Interferometer…………………………………. 2. Design of Carrier Controlled AWG AllOptical Switch………..5.6.. Large Optical Switch Architectures……………………………. 2. 1 4 4 4 8 8 10 12 17 17 20 23 26 28 31 36 36 40 47 52 53 WDM Network Elements……………………………………………….1..1.TABLE OF CONTENTS 1.1. Design of WDM Cross Connect Based on Interleaved AWG (IAWG) and a Phase Shifter Array…………………………………………………………… 54 vii ..5.. Optical Networks………………………………………………………… 2. 2.6.3.2.3. Multiplexing Techniques …………………………………. 2.1.…… Telecommunications Network Architecture……………………………. 2.9.2.7. 2. 3.. Arrayed Waveguide Grating…………………………………… 2...4.. Introduction……………………………………………………………………. 2.….7. WDM Optical Switches…………………………………………………. 2.2. Optical Switches………………………………………………………….3. 2.8.5.. 2. 2. Basic Components………………………………………………………. 2. Optical Networking and Switching………………………………………….. 2. 2. 2.3.. Conclusion………………………………………………………………. SecondGeneration Optical Networks…………………………..
Simulation Verification An Example…………………….1.. 3..4.5. 3.4.3. viii . Comparison with Previous Results…………………………….4. 3. 3.5. 3.2.4. General Design Rule of NIAWG……………………………… Output Port Arrangement……………………………………….4.4. 3. Transfer function of an NIAWG………………………………. 3.. Verification of NIAWG with Numerical Simulation………….3.9.12.5.4.1.5.4.4. Realization of a 1 × N All Optical Switch………………………………. 3. 87 90 94 96 Conclusion………………………………………………………………. 3. Functionality of NIAWG……………………………………… From AWG to IAWG…………………………………………. Verification of Equal Vector Magnitudes in BZs of NIAWG… 54 56 58 59 59 61 63 65 66 69 70 71 73 79 83 85 86 86 3.. The Scheme of the 1 × N AllOptical Switch………………………….. 3.6.8.. 3. Extinction Ratio Versus the Interleaved Number N…………….4.4. AWG MultipleBeam Interference Condition…………………. 3. The Transfer Function of a 1 × N AllOptical Switch………… Switching Functionality Verification and Phase Change Information…………………………………………………….7. Introduction……………………………………………………………… An Approach of an N × N All Optical Switch………………………….1.3..4. 3.11.3. Additional Lengths to Arrayed Waveguides for Constructing 4IAWG………………………………………………………… 3. 3. 3.. 3.6.. Vector Illustration of the AWG MultipleBeam Interference Condition……………………………………………………….2. 3. 3. 3.10.2.5. The Scheme of Mirror 1 × N AllOptical Switch……………….4.5.4. Design of the NIAWG………………………………………………….4.
2.1. FreeCarrier Absorption………………………………………. 5. Experimental Setup…………………………………………….. GaN Material Design and Experiments……………………………………… 5..4. Symmetric Dielectric Slab Waveguides……………………….1. 5. 5.2.5..1. 5.2.6.2. 98 98 100 Bandfilling……………………………………………………… 100 Bandgap Shrinkage…………………………………………….2. Carrier Induced Refractive Index Changes in GaN/AlGaN Semiconductors………………………………………………………………… 4.2.2.3.3. 5..6..3. 4..1. Measurement of Refractive Indices in Infrared………………………….3. 4.1. Measurement Method Based On FebryPerot (FP) Interference.4. 124 125 130 131 137 5.2. Measurement Results of the SingleMode GaN/AlGaN Waveguides…. Introduction……………………………………………………………….4. 4. 4. 123 Optical Waveguide Theory………………………………………………. Beam Propagation Method……………………………………………….2. ix . 5.4.1. 5. 5. FDMBPM Analysis of Rectangular Waveguides……………… Straight Waveguide Design with BPM Software……………… 138 140 141 152 152 154 155 157 157 5.3. 4.3.4. 5. Combination of Effects………………………………………… 114 116 118 123 5.3. Finite Difference Method Analysis of Planar Optical Waveguides……………………………………………………. CarrierInduced Refractive Index Change in Semiconductors………….2..2. Asymmetric Dielectric Slab Waveguides……………………… Rectangular Dielectric Waveguides……………………………. Experimental Results: Power Loss in Waveguide Transmission. 5. Introduction……………………………………………………………….2.2. 5. 5.1. Measurement Method and Experimental Setup…………………………..
.1. Conclusions………………………………………………………………..2.1. The Thermal Stability of the Refractive Index………………………….2. 5. 159 Design of the Optical Couplers and the MachZehnder Interferometer Device with GaN/AlGaN………………………………………………… 166 5. 5... A Sample: A Fabricated Arrayed Waveguide Grating………… 5. 6.5.7. Simulation Results of the Arrayed Waveguide Gratings……….7. 188 x ...8. 167 169 170 172 174 177 5.2.9.. 182 Future Work……………………………………………………………… 185 7.6. 5.8.7.8. The AWG Based on the GaN/AlGaN Heterostructures…………………. Birefringence of GaN/AlGaN optical waveguides…………….2. 182 6. 5. Simulation Results of Couplers and MachZehnder Interferometer Device…………………………………………. Bibliography……………………………………………………………………. A Simple Example: Waveguide Coupler……………………….1. Conclusions and Future Work………………………………………………. 6.
4.3. A 4 × 4 crossbar switch realized using 16 2 × 2 switches…………. Configuration of the star coupler…………………………………… Figure 2. A WDM wavelengthrouting network. optical add/drop multiplexers (OADMs). Different types of time division of multiplexing: (a) fixed. Figure 2.. which are typically IP routers or SONET terminals……………………………………………………………. 11 12 13 14 15 16 17 20 22 25 25 28 9 7 5 Figure 2. showing optical line terminals (OLTs). Transfer functions of the basic 2×2 MachZehnder Interferometer… Figure 2. Figure 2. Figure 2... A fully tunable OADM…………………………………………….9. xi . (b) statistical……………………………………………………………..10. Figure 2. An OXC is applied in the network………………………………….12...11..2.6. Figure 2.. Figure 2. Block diagram of an optical line terminal………………………….14. The network provides lightpaths to its users. A basic 2×2 MachZehnder Interferometer………………………….LIST OF FIGURES Figure 2. Figure 2. An overview of a public fiber network architecture………………. Figure 2.. Figure 2. and optical crossconnects (OXCs). Different multiplexing techniques for increasing the transmission capacity on an optical fiber. Illustrating the role of optical add/drop multiplexers……………….8.5. An optical core wavelength plane OXC……………………………...15..7.1..13. A directional coupler………………………………………………. (a) Electronic or optical time division multiplexing and (b) wavelength division multiplexing………………………………………………………… Figure 2.. Illustration of an arrayed Waveguide Grating structure……………. Figure 2.
27.18.28. Schematic diagram of 1 × N alloptical switch…………………….26. The scheme of 4×4 alloptical switch………………………………. Figure 3.. Figure 2. Figure 2.16. The inset in the lower left corner illustrates the Brillouin zones for star coupler 2…. Figure 2. (a) AWG Functioning As a Filter. Figure 2.25. (b) Corresponding Black Box…………………………….17. and (c) cascaded demux/mux……………………………………….1.20.22. Figure 3. Figure 2. (b) Electrode Controlled AWG Filter………………………………………………………………… Figure 2.21.19. Schematic diagram illustrating the operation of a wavelength router: (a) Interconnectivity scheme (ai denotes the signal at input port a with frequency i) and (b) Frequency response………………. Electrode Controlled AWG Filter. MachZehnder Interferometer As ThermoOptical Switch…………. Figure 2. Three different ADM configurations: (a) Loopback.2. Schematic diagram of a tunable filter with a laddertype structure… Figure 2..3. (b) foldback.. Schematic diagram of the interleave cross connect. An n × n switch built using two arrays of analog beam steering MEMS mirrors……………………………………………………… Figure 2. with different lengths of electrodes…………………………………………………………… Figure 2. A strictsense nonblocking Spanke architecture n × n switch……….24. Schematic diagram of NIAWG……………………………………. Figure 2.. 51 52 57 59 60 48 46 44 39 41 37 33 35 29 30 32 xii . An analog beam steering mirror……………………………………... 1 × N Wavelength Switch Network………………………………… Figure 3. A strictsense nonblocking threestage 1024 × 1024 Clos architecture switch………………………………………………….Figure 2. Figure 2.23. Carrier Controlled LoopBack AddDrop Switch (a) Schematic Diagram.
9.6 nm. 1. 1549. 91 xiii . These new BZs were split from the central BZ of a conventional AWG before it was interleaved……………… 64 Figure 3. 74 Figure 3.Figure 3. where N = 4. 1550.. 1550. 2) denotes the new Brillouzin zones of this 4IAWG. Diagram of output port distribution for an Ninterleaved AWG. 77 Figure 3. (b) Closeup of the output star coupler. 1. (d) Channel of wavelength 1550.4nm channel to output 3 and 1549. (b) Closeup of the output star coupler. The output powers at its related four output ports are exactly the same for each channel.2 nm. 0. where Ω i (i = 1. (c) Channel of wavelength 1549. The 1550. Verification of 4IAWG. (a) Central channel with wavelength λ0 = 1550 nm. 2) denotes the new BZs of this 5IAWG. 0. (b) Channel of wavelength 1549. These new BZs were split from the central BZ of a conventional AWG before it was interleaved………………………………………………………….6. Schematic diagram of 1×4 switch for single channel with wavelength λ0……………………………………………………….7. 1.4. 89 Figure 3.6nm channel to output 2.4 nm……………………………………………… 81 Figure 3. (b) The changes of the signal vectors in BZ Ω2 when an AWG changes to a 5IAWG………………………….5.... (a) An Ninterleaved AWG.4 nm with a channel spacing of 0. (a) The changes of the signal vectors in BZ Ω 1 when an AWG changes to a 5IAWG.2 nm.8. Simulation result of 1×4 switch for four wavelength channels with wavelengths 1549.0 nm and 1550.2nm channel to output 4……………. (a) Diagram of output port distribution for a 5interleaved AWG. where Ω i (i = 2.6 nm. 1549.0nm channel was switched to output port 1.4 nm..
1550. 113 110 95 92 94 xiv .10. Energy band structure and Bandfilling effect for directgap semiconductor. Absorption of a photon can occur only between occupied valence band states and unoccupied conduction band states………………………………………………………………… 101 Figure 4...0 ×1018.4 nm..3. T = 293 K………………………………………. Mirror scheme of 1 × N alloptical switch………………………….2 nm.2. Index change versus signal wavelength due to Bandfilling effect in GaN.6. 1549. 107 Figure 4.12. The crosstalk between channels is round –32 dB or less……………………………………………… Figure 3.6 nm.. Figure 4.4. Note: the vertical values are in logarithm……………………………………………………………. dashed line: N =3×1019cm3. Simulation result of 1×4 switch for four wavelength channels with wavelengths 1549. Change in absorption due to electronhole injection and the resulting Bandfilling in GaN.. 112 Figure 4. Figure 3. 1. 109 Figure 4. Change of refractive index versus carrier density at 1550 nm for GaN…………………………………………………………………. Solid line: N = 7×1018cm3.. N = P =3. 3.4 nm with a channel spacing of 0.1. Simulation result of the mirror scheme of 1 × (N–1) alloptical switch for N = 4…………………………………………………….0 nm and 1550.11. The absorption coefficient versus photon energy for GaN layer grown on sapphire.5. Wei Shan)…………. 1.0 ×1017. T = 10 K (Provided by Dr. Change in refractive index due to Bandfilling effect of GaN. 111 Figure 4. dotted line: N = 6 ×1019 cm3……………………………………….7. Figure 4.0 ×1018. The absorption coefficient versus photon energy for GaN layer grown on sapphire.0 ×1019 cm3…………….Figure 3..
. dotted line: N = 6 ×1019 cm3………………………………………..9. 127 121 120 119 An asymmetric dielectric slab waveguide…………………………. Figure 5. (dotted line)……………………………………… Figure 4. Predicted changes in refractive index of GaN from the combination of three effects (the dashed line).. 3×1019cm3 (dashed line) and 6 ×1019.4. Solid line: N = 7×1018cm3. Change of refractive index of GaN due to electronhole injection and the resulting bandgap shrinkage………………………………. Index change versus carrier density calculated at 1550nm wavelength…………………………………………………………...Figure 4.1. N = P = 3 × 1019/cm3…………… Figure 4. 133 xv . Solid line: N = 7×1018cm3.. dotted line: N = 6 ×1019 cm3………………………… 116 Figure 4. dashed line: N =3×1019cm3.3. where xy is the crosssection plane and z is the propagation direction……………… 125 Figure 5.8.10. the refractive index of the waveguide n1 = 1..11. Index change versus signal wavelength due to plasma effect of GaN. Figure 5. Figure 5. Index change versus signal wavelength due to bandgap shrinkage effect of GaN. 131 Intensity patterns in a rectangular waveguide where w/d = 2.13.5.5.. and the background medium has n0 = 1…………………………………………………. 118 Figure 4. A graphical solution for determining α and kx for the modes in symmetric dielectric slab waveguide………………………………. A symmetric dielectric slab waveguide. Overall index change versus wavelength calculated at three carrier density levels: N =7×1018cm3 (solid line).12. 115 Figure 4. 129 A rectangular dielectric waveguide………………………………….2. Figure 5. dashed line: N =3×1019cm3.
13. (a) The basic mode. (a) Refractive indices of AlxGa1xN versus wavelength for several different Al molar fractions. (c) Vertical cut of index profile of the rectangular waveguide…………………………………………………………. 135 Figure 5. (b) The illustration of the cross section of waveguide design. (b) Sellmeier expansion coefficients versus Al molar fractions…………………………………………… Figure 5..7. (c) Vertical cut of index profile of the rectangular waveguide…………………………………………………………. (a) Single mode simulation verification and the effective refractive index.6. Fiberoptical experimental setup……………………………………. Figure 5. The design of a layered rectangular waveguide with BeamPROP.. (c) Solve the slab waveguide problem with the neff(y)………………………………. The refractive index is illustrated in different colors. (a) A rectangular dielectric waveguide to be solved using the effective index method.9.. (b) Radiation pattern versus exit angle.12. (a) Refractive index distribution. 145 148 Figure 5.. 150 Figure 5. at X = 0……. 158 156 xvi ..11. The cross section of the design of GaN singlemode waveguide….. (b) The illustration of the cross section of waveguide design.. 154 Figure 5. Measured optical transmission spectrum (solid point) and numerical fitting using equation (213) (continuous line)…………………….10. (b) Solve the slab waveguide at each fixed y and obtain an effective index profile neff(y).Figure 5. Simulation result of the designed GaN singlemode waveguide with BeamPROP. (c) Refractive index characteristics along Y direction. 142 Figure 5. The refractive index is illustrated in different colors. The mode calculation of a layered rectangular waveguide with BeamPROP.8..
Figure 5. (a) Arrayed waveguide grating configuration. where θ is in degree…………………….. Simulation of MZ Interferometer optical switch controlled by carrier induced refractive index change……………… Figure 5. Figure 5.21.042750. Simulation of a 3dB coupler………………………………………. (b) simulation output result………………………………………………………………… 173 Figure 5... Figure 5. The continuous line is a sinusoid fitting using.23.00545cos(6θ).15. Measured birefringence versus waveguide orientation (solid squares). Measured (solid dots) and calculated (continuous lines) optical transfer function with the input optical field perpendicular (trace 1).14. The wurtzite structure of GaN unit cell and the choice of coordinates…………………………………………………………. Waveguide differs by the angle θ…………….19. Microscopic images of a 2×2 GaN/AlGaN heterostructure optical waveguide coupler (a) top view and (b) cross section at the output..Figure 5. Figure 5...16.20. The input optical signal is launched at port 1…. Figure 5. 176 169 168 167 164 166 162 160 160 161 xvii . Figure 5. Waveguide sample. Birefringence measurement experimental setup…………………….22.. parallel (trace 3) and 450 from (trace 2) the crystal caxis…………..18. Measured output optical power vs the probe displacement in the horizontal direction for a 2×2 GaN/AlGaN heterostructure optical waveguide coupler.. Microscope picture (a) and measured optical transfer function (b) of an AWGbased WDM coupler with 2nm channel separation……….. Figure 5.17. ∆n = 0. Figure 5.24.
25. Calculated temperature sensitivity of AlGaN refractive index. (a) as a function of operation temperature for different Al concentration x and. (b) as a function of Al concentration with a fixed operating temperature at 25 0C………………………………………………… 180 xviii .Figure 5.
1.2.2.6. Vector Information of a Constructed 4IAWG……………………..7. Table 3. Initial Vector Information of Constructing a 5IAWG……………. Refractive index changes (∆n) needed in phase shifters with length LP = 2 mm for each output port selection in 1×4 alloptical switch (λ = 1550 nm)………………………………………………………. Table 3. Initial Vector Information for Constructing a 4IAWG…………….5.LIST OF TABLES Table 3.1.8. Values of GaN Semiconductor Parameters (T = 300 K)…………… 93 103 108 93 72 76 86 70 65 67 xix .3. Comparisons between the distributions of additional waveguide lengths [λc] in the design of IAWG………………………………… Table 3.. Table 3.4.. Table 3. Table 4. Values of Semiconductor Parameters (T = 300 K)…………………. Extinction ratio (ER) versus the interleaved number N……………. Table 3. Table 4.... Phase changes (∆θ) needed in phase shifters for each output port selection in 1×4 alloptical switch (λ = 1550 nm)…………………. Multiple sets of additional waveguide lengths [λc] in the design of an NIAWG…………………………………………………………. Table 3..
the lack of tunability limited its applications in dynamic wavelength routings. wavelength routers and optical amplifiers are the fundamental devices. In WDM systems. and switching. the color of light. Wavelength division multiplexing (WDM) techniques effectively use the wavelength as an additional degree of freedom by concurrently operating distinct portions of the 1. to perform such network functions as multiplexing.1. 1 . This explosive growing of Internet traffic requires the development of new technologies to fully utilize the wide bandwidth of optical fibers (more than 50 THz [2]) and to manage the huge volume of data information more efficiently. However. and this trend appears set to continue for a while [1].6µm wavelength spectrum accessible within the fiber network [3]. finding new optical materials. due to its passive nature. routing. developing new fundamental optical devices and designing new optical subsystems are still critical issues in constructing alloptical telecommunications networks.to 1. Unlike other communication technologies. Introduction Internet traffic has been doubling every four to six months. silicabased arrayed waveguide gratings (AWG) have been widely used as WDM optical multiplexers and demultiplexers. optical technology offers a new dimension. Although fiberoptic telecommunications has been going through an enormous development since optical fibers have been applied in this area.3. So far. WDM optical multiplexers/demultiplexers.
AlGaN and InGaN) have recently attracted intense attention [9][10] because of their unique characteristics. InP based PIC has its own disadvantages such as. The wide bandgap also makes the materials highly transparent to the wavelength in the near infrared region. On one hand. which makes them excellent candidates for passive optical waveguide devices for long wavelength optical communication. which makes IIInitrides better than InP to fit with optical fibers. high temperature sensitivity and high coupling loss with optical fibers [8]. because of the slow response of the mechanical optical switch.5) [11]. But it was still limited at the circuit switch level instead of the demanded packet switch level. This is essential for the design of integrated optical circuits.The combination with mechanical optical switches partly solved this problem [4][5]. carrier injection in 2 . because of its high refractive index and relatively small waveguide size. Furthermore.e. InP is a semiconductor material and the planar photonics integrated circuit (PIC) based on it can be made tunable by carrier injection [6][7]. Additionally. n = 2. the refractive index of IIInitrides can be varied and controlled for example by alloying GaN with different percentages of InN and AlN. high scattering loss. It thus became quite natural to find some other semiconductor materials with lower refractive indices and lower temperature sensitivity than InP to make the WDM devices. However.34 for GaN) are lower than those of InP (n = 3. Their wide bandgap and the hardness of the material make it possible to operate at very high temperature and power levels and in harsher environments. IIInitride wide band gap semiconductors (GaN. the refractive indices of IIInitride semiconductor materials (i.
After this introductory chapter. Chapter three outlines a complete theory about how to design a 1 × N and N × N all optical switch. Some important discoveries are also summarized in this chapter. The research will focus on the optical properties of IIInitride materials. chapter two presents a literature review. Chapter six shows the conclusion and the future work needed in this area. 3 . Chapter four shows physical properties and calculated parameters of GaN semiconductor materials. The goal is to realize alloptical packet switches. This thesis is divided into six chapters. which can be utilized to make wavelength selective optical routers based on fast switchable optical phasedarrayed (PHASAR) devices. In chapter five.heterostructures of InGaN/GaN and GaN/AlGaN can provide highspeed modulation of refractive indices in waveguides. we show the results of the characterizations of the fabricated IIINitride devices and our experimental measurements of the samples. the design of the optical devices based on the materials and their applications in WDM fiberoptic networks.
low material use. Telecommunications Network Architecture Optical fiber provides an excellent medium to transfer huge amounts of data per second (nearly 50 Tb/s). Then we will review optical switches for WDM applications. we will review some basic concepts of telecommunication system architectures. Optical Networking and Switching 2. We will start by reviewing the MicroElectroMechanical System (MEMS). 2. WDM system elements and basic components in optical networks. we will propose several unique designs of waveguide based WDM switches.2. So far. optical networks. and higher level of security. 4 . Introduction In this chapter.2.25 dB/km around 1550nm). low signal distortion. in which we will discuss why WDM switches are different from conventional optical circuit switches and how to build WDM optical switches from simple integrated guidedwave optical devices. At the end. which is currently a very popular technology in terms of its applications in the building of optical switches. low power requirement. fiber optic networks have been widely applied in telecommunications. low signal attenuation (0. It has low cost per bit. extremely low bit error rates. Then our discussion will be focused on the concepts and structures of optical switches which are used in WDM technology.1. small space requirement.
Figure 2. However.1 shows an overview of a typical public fiber network architecture [1]. The longhaul network has a number of nodes with a pair of fibers between each other. 5 .Central Office HEW LETT PACK ARD Home Business Long haul Interexchange network Metropolitan Interoffice network Metropolitan Access network Figure 2. It connects groups of central offices within a city or region. The access network. The network consists of a longhaul network and a metropolitan network. In this example. The metropolitan network consists of a metropolitan interoffice network and a metropolitan access network.1 An overview of a public fiber network architecture (after [1]). It connects between cities and different regions that are usually separated by long distances. The interoffice network can have a link topology similar to that of the longhaul network. the connection between nodes for the longhaul network is in mesh format. ring topologies are also often deployed to provide alternative paths of traffic in case some of the links fail.
there are two fundamental types of underlying switch infrastructures: circuitswitch and packetswitch. there is always a concern about how to connect two different nodes to have information transmitted between them while the qualityofservice is guaranteed.1. Once the connection is setup. on a link must be less than the link bandwidth. or connections. To deal with the problem of transporting bursty data traffic efficiently. respectively.2. It is usually characterized by an average bandwidth and a peak bandwidth. The sum of the bandwidth of all the circuits. packet switching was introduced in which the data stream is broken up into small packets of data and transmitted independently. In a circuitswitched network. which correspond to the longterm average and the shortterm burst rates. A bursty stream requires a lot of bandwidth from the network when all users are active and very little bandwidth when there is no demand. Packet switching uses a technique called 6 . while this bandwidth may be unused for most of the time. A circuitswitched network provides the capability of switching circuit connections to its customers. extends from a central office out to individual businesses and homes. In a network as shown in Fig. the dedicated bandwidth for the customer is always available. in which a guaranteed amount of bandwidth is allocated to each connection. The problem with circuit switching is that it is not efficient in handling bursty data traffic.which typically covers a range of a few kilometers. Based on how traffic is multiplexed and switched inside the network. one has to reserve sufficient bandwidth to deal with the temporary peak rate.
However. Different types of time division multiplexing are shown in figure 2. However. (b) statistical.2 Different types of time division of multiplexing: (a) fixed. (after [1]) 7 . this only requires more effort to be made from the carriers to provide some guarantees on the quality of service they offer. Therefore the bandwidth required on the link can be made significantly smaller than that required when all streams were active simultaneously. 1 2 Mu 1 2 1 2 1 2 (a) 1 2 Mu (b) Figure 2.statistical multiplexing when multiplexing multiple bursty data streams together on a link. there are certainly disadvantages associated with packetswitched networks especially when a large number of streams are active simultaneously and the required bandwidth exceeds the available bandwidth on the link. Since each data stream is bursty.2. it is probably unlikely that all the streams are active at any given time. This is the advantage of a packetswitched scheme.
This approach is known as optical time division multiplexing (OTDM).1 Multiplexing Techniques Multiplexing makes it possible to transmit data at higher rates and thus much more economical.2. 2.3. where some of the routing. an optical network also provides a common infrastructure over which a variety of services can be delivered. to the second generation. and intelligence is moving from the electronics domain into the optical layer. researchers are working on methods to perform the multiplexing and demultiplexing alloptically. WDM is essentially the same as frequency division multiplexing (FDM) in wireless systems. To achieve even higher bit rates with TDM technology. Before we describe the secondgeneration optical networks. Optical Networks In additional to providing enormous capacities.3. It is more convenient for many reasons to transmit high speed data over a single fiber than to transmit lower data rates over multiple fibers. It 8 . By utilizing higherspeed electronics.3. which are time division multiplexing (TDM) and wavelength division multiplexing (WDM). let’s look at the multiplexing techniques utilized in current optical networks. optical networks have been evolved from the first generation. TDM increases the bit rate by interleaving lowerspeed data streams to obtain the higherspeed stream at the transmission bit rate. With optical fibers widely deployed and the evolution of telecommunication networks. switching. There are fundamentally two ways of traffic multiplexing as shown in figure 2. On the other hand. where optics was essentially used for transmission and simply to provide capacity.
B b/s 1 NB b/s 2 . Under first order approximation.. WDM has been widely deployed in longhaul networks.3 Different multiplexing techniques for increasing the transmission capacity on an optical fiber. and now is being deployed in metro and regional access networks.. N TDM or OTDM mux (a) B b/s 1 B b/s 1 2 λ1 λ2 λN λ2 λN .. N λ1 2 9 .. (a) Electronic or optical time division multiplexing and (b) wavelength division multiplexing. N WDM mux (b) Figure 2. (after [1]) . [12]..transmits data simultaneously at multiple carrier wavelengths over a fiber.. there is no crosstalk between these wavelengths as long as they do not overlap with each other in the frequency domain.
2 SecondGeneration Optical Networks The architecture of a secondgeneration optical network is shown in figure 2. An OXC essentially performs a similar function in routing that switches wavelengths from one input port to another but at much larger sizes with the number of ports ranging from a few tens to thousands. The same wavelength can be used among different light paths in a wavelength routing network as long as the light paths do not share any common link. An OADM takes in signals of multiple wavelengths and selectively drops some of these wavelengths or adds some other wavelengths locally while letting others pass through.4. An OLT multiplexes multiple wavelengths into a single fiber and demultiplexes a set of wavelengths on a single fiber into separate fibers. Therefore networks today use a combination of TDM and WDM. as shown in figure 2. The wavelength being routed on the light path can be converted from one to another. and optical crossconnects (OXCs). The light paths are optical connections from a source node to a destination node over a wavelength on each intermediate link. optical add/drop multiplexers (OADMs).3. This is a wavelengthrouting network. 2. Compared with 10 . The signals are transmitted from the source to the destination through light paths provided by the network. Fundamental building blocks of this secondgeneration optical network include optical line terminals (OLTs).WDM and TDM both provide ways to increase the transmission capacity and are complementary to each other.4. This means the wavelength can be reused spatially in different parts of the network.
electronic switching. It is obvious that secondgeneration optical networks are capable of providing more functions than just pointtopoint transmission. (after [1]) Optical networks based on the above architecture have been deployed and signaling protocols between IP routers and optical networks have been standardized 11 . which are typically IP routers or SONET terminals. optical add/drop multiplexers (OADMs). and optical crossconnects (OXCs). showing optical line terminals (OLTs).4 A WDM wavelengthrouting network. A IP router OLT Lightpath OXC λ2 λ1 B OADM SONET terminal C D SONET IP terminal router λ1 λ2 E IP router X λ1 F IP router λ1 λ2 Figure 2. which enables the network to interface with customers with a wide variety of demands. The network provides lightpaths to its users. lightpath switching has an advantage in delivering data in a transparent fashion.
5 Block diagram of an optical line terminal. OLT. OLTs have been widely deployed for pointtopoint applications. OADMs that support different data rates with same bandwidth efficiency are developed [15] and are now used in longhaul and metro networks [1][16][17][18]. They can be shared by all the optical network units (ONUs) to reduce the number of expensive DWDM transceivers [14]. Now let’s have a brief overview of these three important elements. OADM and OXC are three important elements in optical networks. 2. (after [1]) 12 . The users of the network are connected to these elements. OXCs were deployed primarily in longhaul networks because of their high capacity requirement. WDM Network Elements As we mentioned above.4. Non ITU λ IP router Non ITU λ SONET SONET Transponder O/E/O O/E/O ITU λ1 ITU λ2 ITU λ3 Mux/ demux λ1 λ2 λ3 λOSC λOSC Transmitter Receiver Optical line terminal Figure 2.[13].
6 Illustrating the role of optical add/drop multiplexers.5 shows a block diagram of an OLT [1]. (after [1]) 13 . From the figure. From the figure. which is carried on a separate wavelength λOSC. we can see that the OLT also terminates an optical supervisory channel (OSC). which can be made by arrayed waveguide gratings (AWG).Figure 2. we can see that the basic components in an OLT structure are the multiplexer and the demultiplexer. In the opposite direction. Likewise. A transponder adapts the signal from a client into a signal suitable for use inside the optical network. it adapts the signal from the optical network into a signal suitable for the client. which is different from the wavelengths carrying the actual traffic. Node A Node B OADM Optical passthrough Node C Add/Drop Figure 2. we can see that the signal coming out of a transponder is multiplexed with other signals of different wavelengths onto a fiber. From the description above. the demultiplexer extracts the individual wavelengths and sends them either to the transponder or to the client directly. in the reverse direction. dielectric thinfilm filters and fiber Bragg gratings. An OLT is used at either end of a pointtopoint link to multiplex and demultiplex wavelengths.
. Nodes A and C are each deployed with an OLT and node B is deployed with an OADM.. λ2 .Figure 2. The basic components used in this structure are again a multiplexer and a demultiplexer.7 A fully tunable OADM. again. an optical switch is required for dynamic wavelength routing. In this example. This is a costeffective solution for wavelength add/drop realization. . λN λ2 λ1 λ1.6 illustrates the role of an OADM. Demux λN Optical switch Mux λ1.. . a wavelengthrouting network is used. R T T R R T T R Tunable transponders 14 . Basic components in node B are.. λ2 . λN Figure 2. The architecture is flexible and fully tunable regarding the channels being added or being dropped while still maintaining a low fixed loss. ... but in addition.7 shows an ideal reconfigurable OADM architecture. a multiplexer and a demultiplexer. The OADM drops one of the four wavelengths to a local terminal and passes through three other remaining wavelengths. (after [1]) Figure 2. . .
8 shows an OXC applied in the network. For more complex mesh topologies with large traffic and a large number of wavelengths.OADMs are useful network elements to handle simple network topologies. it should be able to provide lightpaths in a large network in an automated manner. It terminates some fiber links. But ideally. There are different versions of OXCs. Figure 2. OXCs are required. OXCs also help realize reconfigurable optical networks in which lightpaths can be set up or terminated as needed without having to distribute them beforehand. OLT OXC IP SONNET SDH ATM Figure 2. it should be bit rate transparent so that it can switch signals with arbitrary bit rates and frame formats.8 An OXC is applied in the network. it should be an intelligent network element that can detect failures in the network and rapidly reroute lightpaths around the failure. OXCs enable true mesh networks to be deployed. each usually carrying a large number of wavelengths and also passes other wavelengths through to other nodes. etc. (after [1]) 15 .
16 . The switching can be done either electrically or optically.There is always a switch core in an OXC. Figure 2. It is certainly preferred to have it done alloptically since alloptical switches are more scalable in capacity.9 also shows the add/drop terminals for some channels.9 shows an optical core wavelength plane OXC. λ1 λ2 λ3 λ4 Optical switch λ1 λ1 λ2 λ3 λ4 Optical switch λ2 λ3 Optical switch Optical switch OLT λ4 OLT OXC Local add Local drop Figure 2.. they are multiplexed back together by multiplexers. data rate transparent and it is not necessary to groom traffic. (after [1]) .9 An optical core wavelength plane OXC.. consisting of a plane of optical switches. The signals coming in from different fibers are first demultiplexed and then sent to the optical switches according to their wavelengths. After the signals are switched.. . Each optical switch switches signals with a specific wavelength.. The configuration in figure 2.
5. A quantitative analysis of this coupling phenomenon can be found in [19].5. we see that multiplexing. The power from one input port. P0 Input power Throughput power P 1 1 0 Fibers or waveguides P3 3 l (coupling length) 2 Coupled power P2 Figure 2. E1 and E2 . P0 or P3.10 shows a 2 × 2 coupler consisting of two input ports and two output ports. Basic Components In the above section.2. 17 . 2. Figure 2.1 Couplers A directional coupler is used to combine or split signals in an optical network. E0 and E3 [1]. can be split into two output ports P1. and P2. Now we will present some basic components that are used to realize all these functions. demultiplexing and optical switching are indispensable functions in alloptical networks. A general form can be obtained for the relationship between the electric fields at the output side.10 A directional coupler. and the electric fields at the input sides.
the refractive indices of the waveguide core and the substrate.2) Here. From equation (2. we can get the power transfer function of the coupler from equation (2. Below are some of the basic specifications of directional couplers [3]. κ is coupling coefficient and is a function of the width of waveguides. β is the propagation constant in each of the two waveguides of the directional coupler. say input 0 as in figure 2. the excess loss for a 2 × 2 coupler is 18 . in decibels. we can see that the 2 2 directional coupler is a 3dB coupler when the coupling length l satisfies κ l = (2k + 1)π / 4 .3) The two basic loss terms in a coupler are excess loss and insertion loss. although it has two input ports and two output ports. The excess loss is defined as the ratio of the input power to the total output power. In this case. where k is a nonnegative integer.10. Tij ( f ) represents the power transfer function from input i to output j and is defined by Tij ( f ) = E j ( f ) / Ei ( f ) . Thus. A directional coupler is often used with only one active input.2). E1 ( f ) − j β l cos(κ l ) =e E2 ( f ) i sin(κ l ) j sin(κ l ) E0 ( f ) cos(κ l ) E3 ( f ) (2. Splitting ratio or coupling ratio: P2 0 Splitting ratio = P + P × 100 0 1 2 (2.10.1) by setting E3 = 0 T01 ( f ) cos 2 (κ l ) = 2 T02 ( f ) sin (κ l ) (2.1) where l is the coupling length as shown in figure 2. and the proximity of the two waveguides.
A coupler may have many applications in an optical network. which measures the degree of isolation between the input power at one input port and the optical power scattered or reflected back into the other input port. P0 Excess loss = 10 log P +P 1 2 (2. For example. For wavelength independent couplers. It can be either wavelength selective or wavelength independent. they have a relative phase shift of π/2. fulfilling the functions of multiplexing and demultiplexing. for the path from input i to output j. One thing should be mentioned when the coupler is used as a 3dB coupler.4) The insertion loss refers to the loss for a particular porttoport path. we have. 19 . This characteristic plays a crucial role in the design of devices like MachZehnder Interferometer. in decibels. P Insertion loss = 10log i Pj (2. They can also be used to tap off a small portion of the power from a system for monitoring purposes. Although the electric fields at the two output ports have the same magnitude. they are widely used to combine signals with different wavelengths into a single output port or to separate the two signals coming in on a common fiber to different output ports. For wavelength dependent couplers.5) Another performance parameter is crosstalk. one of the common uses is to split optical power.
2. Throughout this dissertation. For a 3dB coupler.11 A basic 2×2 MachZehnder Interferometer.1). we can ignore the common phase shift eiβl at the right hand side of equation (2. the propagation matrix is cos(κ l ) M coupler = j sin(κ l ) j sin(κ l ) 1 1 j = cos(κ l ) 2 j 1 (2. The transfer function of the MZI shown in figure 2. The device can be made either by fiber or by planar waveguides. we will only discuss waveguidebased MZIs.2 MachZehnder Interferometer Combining two 3dB couplers together forms a MachZehnder Interferometer (MZI) as shown in figure 2. Since we are only interested in the relative phase relationships for the transfer function.11 can be obtained based on the general relationship of a coupler as shown in equation (2. Pin. the latter is more rigid compared to fiber and therefore more stable.5. 2 Figure 2. 0 λ 0 3dB Splitter l Phase shifter L n1 3dB Combiner l Pout. 1 1 3 L+∆L n 2 2 Pout.6) 20 .1).11.
2 = Eout.7) The phase difference can arise either from a different path length (∆L) or from a difference of refractive indices (n1 ≠ n2).13) 21 .12) (2.2 Ein.11.2 = cos 2 (k ∆L / 2) Pin.3 (2.11) From equations (2.3 is Eout. so the propagation matrix for the phase shifter is exp( jk ∆ L / 2) M ∆φ = 0 exp( − jk ∆L / 2) 0 (2.As for the central region in figure 2.9) The relationship between the electric fields at the output side.1 and Eout.10) and (2.0 and Ein.10) where C is a phase constant. we have ∆φ = − k ∆ L (2.8) where k = 2π neff / λ . we can get the output powers in the case of single input (at 0 input port) as * Pout. and M is the overall propagation matrix of the MZI. Eout. which is expressed as sin( k ∆L / 2) M = M coupler i M ∆φ i M coupler = j cos( k ∆L / 2) cos( k ∆ L / 2) − sin( k ∆ L / 2) (2.1 * Pout.0 = C iM Eout. Ein.2 .1 = Eout.1 Ein.11). which has C = 1 .1Eout. we can see that the phase difference caused by the two waveguides in that region can be expressed as ∆φ = 2π n1 λ L− 2π n2 λ ( L + ∆L ) (2.1 (2. and the electric fields at the input sides of the MZI. When n1 = n2 = neff.2 Eout.1 = sin 2 (k ∆L / 2) Pin.
14) where neff is the effective refractive index in the waveguide. This transfer function of equation (2. λ is the wavelength of the input signal.12 Transfer functions of the basic 2×2 MachZehnder Interferometer It should be noted that figure 2. Different wavelength signals go to different output ports.11. ∆L is the difference between the lengths of the two arms in MZI as shown in figure 2. which means the two arms in the central region of the MZI have the same effective refractive index and the 22 .14). we can see that switch functionality of the MZI can be realized if we can control or adjust ∆L.12 is based on n1 = n2.12. We see that wavelength λ1 output from port 1 and λ2 output from port 2.So the transfer function of MZI for single power input at port 0 and two output ports at port 1 and port 2 can be expressed as 2 T01 (λ ) sin (π neff ∆L / λ ) = 2 T02 (λ ) cos (π neff ∆L / λ ) (2. From equation (2. T State 1 λ1 λ2 State 2 λ Figure 2.14) can be depicted in figure 2.
This is the basis for our design of an alloptical switch based on the interleaved arrayed waveguide gratings. ∆φ. From equation (2. 23 . we see that the output at each output port will be different for each wavelength. From equation (2.15).7).5.phase difference between the two arms is expressed in equation (2. the result would be different. between the two arms in the central region of the MZI.18).16) Based on equation (2.3 Arrayed Waveguide Grating An arrayedwaveguidegrating (AWG) is typically used in WDM optical systems as a frequency domain multiplexer. demultiplexer.15) where ∆n = n2 − n1 .8). we get the general propagation matrix of the whole MZI as − sin( ∆φ / 2) cos( ∆ φ / 2) M = M coupler i M ∆φ i M coupler = j cos( ∆ φ / 2) sin( ∆φ / 2) (2. 2. we have ∆φ = − 2π L λ ∆n − 2π n2 λ ∆L (2. which will be discussed in Chapter 3.18) From equation (2.16). or a wavelength router. When n1 is not equal to n2.17) So the transfer function of MZI for single power input at port 0 and two outputs at ports 1 and 2 can be expressed as T01 (λ ) sin 2 (∆φ / 2) = 2 T02 (λ ) cos (∆φ / 2) (2. we can see that we can change either ∆n or ∆L or both to have different phase difference. The propagation matrix of the central region has the general form as exp( jk ∆ L / 2) M ∆φ = 0 exp( − jk ∆L / 2) 0 (2.
The wavelength selectivity of an AWG is based on multibeam interference. The array is composed in such a way that any two adjacent waveguides have the same optical path difference. ∆L is the length difference between two adjacent waveguides in the waveguide array. In an AWG operation. Unlike a conventional transmission or reflection grating. the basic design of an AWG consists of input and output waveguides. the signal is diffracted into the output star coupler where each wavelength component of the signal is added up constructively at the appropriate output waveguide. The interference condition for the output signal also depends on the design of the star couplers.19) where θo =j⋅∆x/Lf is the diffraction angle in the output star coupler.14. the optical signal is first distributed into all the arrayed waveguides through the input star coupler. After passing through the arrayed waveguides. As shown in Figure 2. ∆x is the separation between adjacent output waveguides. where Lf is the focus length of the sphere. For the star coupler. an AWG is composed of integrated waveguides deposited on a planar substrate. the input and the output waveguides are positioned at the opposite side of a Rowland sphere with a radius of Lf/2. The phase condition of this constructive interference is determined by the following equation [20]: nc ⋅ ∆L + ns d sin θ o = mλ (2.13. two star couplers and an array of waveguides between the two star couplers. which is commonly referred to as planar lightwave circuit (PLC). j indicates the particular output waveguide number. ns and nc are the effective refractive indices in the star coupler 24 . as schematically shown in figure 2. which satisfies the constructive interference condition for the central wavelength λ0 of the signal.
25 . m is the diffraction order of the grating and an integer.13 Illustration of an Arrayed Waveguide Grating structure.and waveguides respectively. Rowland sphere Output waveguides Waveguide array L f /2 θ0 d Lf ∆x Figure 2.14 Configuration of the star coupler. Waveguide array 2 N Star coupler 1 Star coupler Output 1 Input 2 M Figure 2. and λ is the wavelength.
the wavelength separation between two adjacent output waveguides can be found as: ∆x dθ 0 ∆x ns d nc ∆x λ0 d ns ∆λ = = = L f dλ L f m n g L f ∆L n g −1 (2.21) (2. the spectral resolution of the output signal is primarily determined by the number of the arrayed waveguides between the two star couplers. Optical networks rely heavily on the 26 . 2.20) On the other hand.19).23) Since AWG is based on multibeam interference. we can easily get the angular dispersion with respect to wavelength λ. as dθ m ng =− dλ ns d nc where ng is the group index that is defined as n g = nc − λ dnc dλ (2.19). A larger number of waveguides provides better spectral resolution. the constructive interference wavelength at the central output waveguide λ0 is λ0 = nc ⋅ ∆L m (2.22) Based on equation (2.7 and figure 2.9. in the vicinity of θ0 = 0. from equation (2.6.21). Optical Switches From figure 2. we can see that OADMs and OXCs are essentially optical switches in a general sense. also from equation (2.Obviously.
The switching applications in an optical network include provisioning. and polarizationdependent loss (PDL). In addition to the switching time and number of ports. insertion loss. protection switching. The required switch times range from milliseconds to picoseconds. crosstalk. For large optical switches. For integrated optical switches using planar lightwave circuits. Large switches consist of multiple switch elements and the number of the elements is an important factor that determines the cost and the complexity of the switch.functionalities of all kinds of optical switches. the connections between components must be made in a single layer by means of waveguides and this will cause crossovers between 27 . packet switching and external modulation [1]. etc. Those parameters include extinction ratio. The number of switch ports may vary from two ports to several hundreds to thousands of ports. It is also desired to achieve uniform loss for different input port and output port combinations in an optical switch. PDL is due to the loss in some components depending on the polarization state of the input signal. the considerations should include the number of switch elements required. there are other important parameters to be considered for optical switches. The insertion loss is the power lost because of the presence of the switch. loss uniformity. The crosstalk is the ratio of the power at the output port from the desired input to the power at the same output port from all the other inputs. Different applications in an optical network require different switch times and numbers of switch ports. the number of waveguide crossovers and blocking characteristics. The extinction ratio is the ratio of the output power in the “on” state to the output power in the “off” state.
1 Crossbar 1 2 Inputs 3 4 1 2 Outputs 3 4 Figure 2.6. which causes power loss and crosstalk. 2.waveguides in some architectures. Otherwise. As for the definition of blocking or nonblocking of a switch.1.15 A 4 × 4 crossbar switch realized using 16 2 × 2 switches. the switch is said to be nonblocking if any unused input port can be connected to any unused output port.1 Large Optical Switch Architectures 2. Less waveguide crossovers ensure better performance for an optical switch. the switch is blocking.6. (after [1]) 28 .
There are several large optical switch architectures proposed so far. As we can see. The basic one is called Crossbar. The shortest path length is 1 and the longest path length is 2n – 1 in this architecture. An n × n crossbar requires n2 2 × 2 switches. in general.16 A strictsense nonblocking threestage 1024 × 1024 Clos architecture switch. which uses 16 2 × 2 switches. The settings of the 2 × 2 switches for the connection from input port 1 to output port 3 is shown in the figure. nonblocking. . . Figure 2. Figure 2. 1 32 33 29 . This large path length difference is one of the main drawbacks of this architecture since the loss distribution will not be uniform. . .15 shows a 4 × 4 crossbar switch. . The crossbar architecture consists of a group of 2 × 2 switches and is. 32 x 64 32 x 32 32 x 64 32 x 64 32 x 64 32 x 64 . the switch can be fabricated without any crossovers between waveguides. . (after [1]) Outputs 64 . 1 32 33 Inputs 64 993 1024 . 32 x 64 32 x 32 32 x 32 993 . 1024 . .
2 Clos The second optical switch architecture introduced here is called Clos. which provides a strictsense nonblocking switch and is widely used in practice to build large port count switches. (after [1]) Outputs 2 Inputs 1xn nx1 2 30 . 1 1xn nx1 1 n 1xn nx1 n Figure 2. The architecture has loss uniformity between different inputoutput combinations and the number of required switch elements is significantly reduced compared to the crossbar architecture. Figure 2.2.1.17 A strictsense nonblocking Spanke architecture n × n switch.16 shows a threestage 1024port Clos switch.6.
Moreover.6. These architectures both have their unique advantages and disadvantages. ElectroOptic Switches. a 1 × n switch or an n × 1 switch can be made from a single switch unit. there are other switch architectures such as Beneš and Spanke. The Spanke architecture is very popular for building large switches.6. MEMS are widely used in current optical communication systems.17 shows another switch architecture which is called Spanke.2. which provides much lower insertion loss than the multistage designs. which reduces the cost significantly. Instead of counting the number of 2 × 2 switches. This is also a strictsense nonblocking architecture. etc [1]. and Semiconductor Optical Amplifier Switches. Then we will briefly introduce the ThermoOptic Switch 31 . Here we will particularly introduce the MEMS since this type of switch is very popular and still developing. ThermoOptic Silica Switches. BubbleBased Waveguide Switches.2 Optical Switch Technologies There are many different technologies to realize optical switches. such as Bulk Mechanical Switches.Beneš. the optical path length between any twoswitch combinations can be made exactly the same so that the loss uniformity can be realized.1. MicroElectroMechanical System (MEMS) Switches. Also. It can be seen from the figure that an n × n switch consists of n 1 × n switches at the input side and n n × 1 switches at the output side. Besides the architectures mentioned above. More details can be found from [1]. Liquid Crystal Switches. Also it is obvious that all connections only pass through two switch elements. 2.3 Spanke Figure 2.
electrostatic. Mirror Flexure Figure 2.since it will easily lead us to the switch mechanism and architecture proposed in this dissertation. or piezoelectric methods. with dimensions ranging from a few hundred micrometers to a few millimeters [1]. 2. By using standard semiconductor manufacturing processes. MEMS usually refers to miniature movable mirrors fabricated in silicon. These mirrors can be deflected to face different directions by using techniques such as electromagnetic. In the context of optical switches.18 An analog beam steering mirror. actuators. (after [1]) 32 .6. sensors.2. arrays of micro mirrors can be made on a single silicon wafer.1 MicroElectroMechanical System (MEMS) Switches MicroElectroMechanical Systems (MEMS) is the integration of mechanical elements. and electronics on a common silicon substrate through microfabrication technology [21].
However 3D mirrors are more flexible.18 shows a 3D mirror structure.19 An n × n switch built using two arrays of analog beam steering MEMS mirrors.19 shows a large n × n switch by using two arrays of analog beam steering mirrors. By rotating the mirror on two distinct axes (flexures). One can see that this structure corresponds to the Spanke 33 . but fabrication is more complicated. which can deflect between two positions. the mirror can be turned to face any desired direction.There are many different mirror structures that can be used. Figure 2. (after [1]) Figure 2. This characteristic can be used to realize 1 × n switch function. The simplest mirror structure is a 2D mirror. Mirror array Mirror array Mirror i Light signal Mirror j Mirror k Port i Fibers Port j Port k Figure 2.
This switch time may be enough for optical circuit switch but nor for optical packet switch. But this will not cause additional crosstalk since there is no connection established before the two mirrors point to each other. and this probably can never be done by any mechanical means. If one wants to switch from the output port j to output port k. To make a connection from port i to port j. The signal is coupled to mirror i from the input port i at input side and coupled to output port j from mirror j at the output side. one can deflect both mirror i and mirror j so that they point to each other. This 3D MEMS analog beam steering mirror technology provides many advantages for optical switch construction. They have switch times around 10 ms. 34 . extremely low power consumption and has the best potential for building largescale optical switches. In this process.architecture as was mentioned above. the beam from mirror i will scan over some other mirrors in the output array. Each array has n mirrors and each mirror is associated with one port. negligible dispersion. a signal is coupled to the associated mirror. one can simply deflect mirrors i and k so that they face each other. However. low loss. mechanical optical switches have intrinsic problems such as limited lifetime. which can be deflected to face any of the mirrors in the output array. At the input side. which requires switching time at nanosecond level. large size (compared to WDM optical technology) and most importantly relatively slow switching speed. The switch can have compact size. good loss uniformity. MEMS switches are very popular right now. no interference between different beams.
20 MachZehnder Interferometer As ThermoOptical Switch.20 shows this thermooptic switch.5. the speed of thermal tuning is relatively slow in the 35 . however. which usually is made by silica or polymer waveguides. In this way. Figure 2.2 ThermoOptic Switches Another approach to making an optical switch is to use thermooptic technology. The simplest thermooptic switch is essentially an integrated optical MachZehnder Interferometer (MZI). 2. The shortcoming of the thermooptic switch. Also. λ2 State 0 λ2 λ1 Figure 2. the refractive index of the optical waveguide of one arm is changed by varying the temperature of the waveguide.3.6. The MZI is composed of optical waveguides whose refractive index is a function of the temperature. the relative phase difference between the two arms can be adjusted so that the input signal can be switched from one output port to the other. is its relatively poor crosstalk. This change of refractive index has been discussed in section 2.λ1.2. Instead of changing the length of one arm. λ2 State 1 λ1 λ2 λ1.
we would rather discuss this topic in a more general way. WDM network elements. In this section. WDM Optical Switches So far. 2. 2. ADMs and alloptical switches. Figure 2.1. The N frequencies carried by input port 1 are distributed among output ports 1 to N in such a way that output port 1 carries frequency N and port N frequency 1. filters. which is obviously not fast enough for optical packet switch applications.7.1 Design of Passive AWG Wavelength Routers Wavelength routers based on planar lightwave circuits were first reported by Dragon [22][23].millisecond level. Each N input port carries N different frequencies (or wavelengths).1 Design of Passive Waveguide Devices 2.21 illustrates the functionality of an N × N wavelength router. one from each input port. Now we are going to discuss the design of optical switches based on WDM optical technologies. The N frequencies carried in port 2 are distributed in the same way except that they were cyclically rotated by 1 port compared with the ones distributed from input port 1. The concept can also be used to design devices such as adddrop multiplexers and wavelength switches [8].7. The router has N input and N output ports. In this way each output port receives N different frequencies. including the designs of wavelength routers. 36 . as shown in the figure. basic optical components and some optical switch structures.7. we have introduced optical network architectures.
d3 . i. d2 . c4 d1 .. c4 . b3 . b2 . c3. d1 a3 .21 Schematic diagram illustrating the operation of a wavelength router: (a) Interconnectivity scheme (ai denotes the signal at input port a with frequency i). and (b) Frequency response. a2 . with N input and N output ports. d2 a b c d a b c d transmission frequency FSR (b) Figure 2. c2 . a3 . b4 c1 .21(b).a1 . which implies that the 37 . it is essential that the frequency response is periodical as shown in figure 2.e. b1 . For the condition of cyclical rotation of the input frequencies along the output ports. c3 . c1 . c2 . a4 b1 . b2 . d4 (a) a4 . d4 a2 . d3 a1 . b3 . [8]) The wavelength router is obtained by designing the input and the output side of AWG symmetrically. (FSR= Free Spectral Range) (After Ref. b4 .
The advantage of this device is that it routes wavelength signals fast and in fixed paths. they are first demultiplexed into the N output ports and then N1 output signals are looped back to the opposite input ports and automatically multiplexed again into the common output port. The disadvantage is the lack of the switching capability and it can handle only a limited number of wavelength channels. N is the number of frequency channels and ∆fch is the channel spacing. 2. ng is the group index of the waveguide mode. This can be obtained by choosing [8] ∆L = c ng N ∆f ch (2.22(a) shows a configuration of this application. After the signals with N equally spaced wavelengths are applied into the common input port. This 38 . which was proposed in [24]. One input port and its corresponding output port are reserved as common input and output ports for the transmission line.24) where ∆L is the length difference between adjacent arrayed waveguides.FSR should be equal to N times the channel spacing.2 Passive WavelengthSelective Switches and AddDrop Multiplexers (ADM) AWG can be applied to design adddrop multiplexers that were introduced earlier in this chapter. This design is basically a single AWG N × N multiplexer but with loopback optical paths connecting each output port with its corresponding input port. Also the device is compact and passive. Figure 2.1.7.
Wavelength add/drop is accomplished with a 2 × 2 switch on each loop back path.22 Three different ADM configurations: (a) loopback.22(b) [25]. where the 39 . (After Ref. [6]) An inevitable disadvantage of the loopback configuration is the crosstalk of the input signals coupled directly into the main output port. (b) foldback.functionality is guaranteed due to its symmetric design of AWG N × N router with N input ports and N output ports. and (c) cascaded demux/mux. This problem can be solved by a foldback configuration that is shown in figure 2. demux demux RX RX (a) TX (b) mux TX demux TX (c) RX Figure 2.
electrically controlled optical phase shift can be introduced and the tuning speed can be faster.22(c). the optical waveguides can be made with semiconductor materials.20 again.2 Design of Carrier Controlled Simple Waveguide Devices In planar lightwave circuits. The refractive indices of the waveguides can be tuned through carrier injection. 40 . A third approach of ADM with AWG is shown in figure 2. we see that those other two configurations do not have this AWG transfer function match requirement since there is only one AWG multiplexer used in both cases. Compare this configuration with the two other configurations shown above.7. 2. we can make the MachZehnder interferometer with semiconductor materials and change the refractive index of one of the arms through carrier injection. It shows a MachZehnder interferometer structure that is used as a simple optical switch or wavelength router.crosstalk cannot directly reach the output port since it is on the same side as the input port. where two separate AWG multiplexers are used.7. In this way.2. 2. The requirements of this configuration are to put the two AWG multiplexers close enough and to make sure that they have identical transfer functions for the interested wavelength range.1 Proposed Carrier Controlled MachZehnder Interferometer Optical Switch Here we use figure 2. Instead of changing the phase delay between two optical arms by thermal method as we discussed above.
2.2 LadderType Carrier Controlled Tunable Wavelength Filter A novel InGaAsPInP based tunable filter with a laddertype structure was proposed by Matsuo et al [26].The detailed mechanism of carrierinduced index change will be discussed in Chapter 4. Here we only introduce several optical circuit configurations that utilize this effect. Each crossing waveguide is connected to the input and output waveguides through MMI couplers. L2 Electrode L2 guide Output Wave L2 ∆S 2∆S (Ν−1)∆S L1 Input wa veguide L1 L1 MMI coupler Figure 2. The lights from the output waveguide and from the crossing waveguide interfere in the coupler that combines them.2. The electrodes with the same length are put on the input and output waveguides as shown in figure 2. The device consists of multiple multimode interference (MMI) couplers. [26]) 41 . a waveguide array (crossing waveguides).23 Schematic diagram of a tunable filter with a laddertype structure. and input and output waveguides. (Ref.7.23.
25) where neff is the effective refractive index of the waveguide and m is the diffraction order. the optical path difference (OPD) between the output waveguide and the crossing waveguides decreases. The peak wavelength change is given by ∆λ0 = ∆neff L1or2 m (2. reducing the refractive index in the output waveguide increases the OPD. The peak wavelength of the filter is λ0 = neff ∆S m (2. Equation (2. The diffraction order strongly affects the 3dB bandwidth of the filter in the way that the 3dB bandwidth becomes narrower when it is increased.26) where ∆neff is the change of refractive index caused by carrier injection.25). there is a trade off between a narrow 3dB 42 . According to equation (2. L2 or ∆neff increases the wavelength shift while increasing of diffraction order decreases the shift. Then all the couplers in the output waveguide have the same transmission peak wavelength. which makes the peak wavelength longer. Let L1 = L2 and all the couplers have the same length.The crossing waveguides are designed such that the length difference between two adjacent waveguides is ∆S. As it was pointed out above that a large diffraction order means a sharp peak in transfer function. this makes the peak wavelength shorter. Similarly. So the actual tunable wavelength range is 2(∆λ0)= 2(∆neff)L1or2/m. When the refractive index in the input waveguide is reduced by carrier injection.26) indicates that increasing L1.
The crucial points for the design of this kind of filter include the proper power distribution of MMI (or waveguidemade) couplers and the optimum number of crossing waveguides in the whole device. The free spectral range (FSR) is 74.bandwidth and a wide tunable wavelength range.3 Proposed Carrier Controlled Semiconductor AWG Tunable Filter Widely tunable optical filters are needed in local area networks or tunable light source applications [26]. both central waveguides in the 43 . The switching time for two particular wavelengths that corresponding to injecting currents 0 and 20 mA is less than 10 ns. As we have mentioned before.24(a). where λ0. A. 2. Also.4 nm and the total tunable range is 58 nm. To be convenient. …. each semiconductor material can have its refractive index changed with carrier injection. we can also design carrier controlled AWG filters. These are very important since the interference conditions have to be satisfied. SingleWavelength Filter Here we consider an AWG with one input and one output waveguide. λ2. as shown in figure 2. The InGaAsPInP material tunable filter with a laddertype structure proposed by Matsuo has 15 crossing waveguides and a diffraction order of m = 20.2. λn are the input wavelengths among which λ0 is the central wavelength. there is a limitation in increasing L1 and L2 when the size of a practical device is considered.7. λ1. By using this property of semiconductor material.
(b) Electrode Controlled AWG Filter. N Planar Star Coupler 2 1 Electrodes z N 2 1 λ0.λn Input λ0 Output λ0. the effective refractive index of arrayed waveguides will be changed after electrical voltages are 44 . To realize an adjustable wavelength filter.λ2.….λ1.24(a) is fixed (λ0).…. Based on the previous analysis in section 2.λ2. Same Length Electrode Controlled AWG Tunable Filter The output wavelength for the filter in figure 2.3. it is quite obvious that the output wavelength would be the central wavelength λ0 designed for this device. B. As we know.λn Input λi Output (a) (b) Figure 2.input side and output side of the previous design are chosen as the input port and output port.24(b).λ1. we can add electrodes to the arrayed waveguides in the design as shown in figure 2. All the other wavelengths are filtered out.5.24 (a) AWG Functioning As a Filter. We first consider the case when all the electrodes have the same length and let this length be z.
27) for all j. C.19). where ∆dncj is the difference between the changes of effective refractive indices of two adjacent arrayed waveguides.20). Let the change of the refractive index of waveguide j among N arrayed waveguides be dncj.31) 45 .29) where λ’ is the wavelength that passes the filter.25. we can get ∆dnc ⋅ z = nc ⋅ ∆L ⋅ (λ '−λ0 ) / λ0 = − nc ⋅ ∆L ⋅ (1 − λ ' / λ0 ) (2. Compare equation (2.29) with equation (2.dnc(j1) = constant (2. This is shown in figure 2. and also control the current injection in such a way that ∆dncj = dncj .applied to the electrodes.28) Thus based on equation (2. j = 1. 2. while all the signals with other wavelengths will be blocked. where the lengths of electrodes are designed as z1 – z2 = z2 – z3 = … = zn1 – zn = ∆z (2. We see that the signal with wavelength λ’ will pass the filter after electrical voltages are applied to the electrodes and equation (2. we can get the new equation of AWG that satisfies the phase match condition with current injection for this design nc ⋅ ∆L + ∆dnc ⋅ z = mλ ' (2. We denote this constant as ∆dnc ∆dnc = ∆dncj (2.30) where λ0 is the designed central wavelength.30) is satisfied. N. …. Different Length Electrode Controlled AWG Tunable Filter We can also design electrodes with different lengths zj.
We can design both ∆z > 0 (figure 2.25(a)) and ∆z < 0 (figure 2.25 (b)). Since we know that the carrierinduced change of refractive index is negative, which will be shown in Chapter 4, the first design shown in figure 2.25(a) actually increases the OPD between two adjacent arrayed waveguides while the second design shown in figure 2.25(b) decreases the OPD.
Electrodes ZN N
Electrodes ZN N
Z2 2 Z1 1
Z2 2 Z1 1
λ0, λ1, λ2, …, λn
Input (a)
λi
Output
λ0, λ1, λ2, …, λn
Input (b)
λi
Output
Figure 2.25 Electrode Controlled AWG Filter, with different lengths of electrodes.
In both cases, the optical path length (OPL) of a particular (jth) waveguide in the waveguide array is
OPL j = nc L j + ∆ncj ⋅ z j
(2.32)
where nc is the effective refractive index in the arrayed waveguides, Lj is the length of jth waveguide, ∆ncj is the change of the refractive index after carrier injection is
46
applied. For simplicity, we can let ∆ncj = ∆nc = constant. Under this condition, we can get the new equation of AWG that satisfies the phase match condition with carrier injection for this design as nc ⋅ ∆L − ∆nc ⋅ ∆z = mλ ' (2.33)
where ∆z is defined in equation (2.31). Compare equation (2.33) with (2.20), we have
− ∆nc ⋅ ∆z = m ⋅ (λ '−λ0 ) = where ∆λ = λ’  λ0. Thus ∆λ = − ∆nc ∆z ⋅ ⋅ λ0 nc ∆L
nc ⋅ ∆L
λ0
⋅ ∆λ
(2.34)
(2.35)
Equation (2.35) gives the wavelength range of the filter. As an example, for GaN material that we will discuss in Chapter 5, we have nc = 2.312, ∆nc = 0.18 at λ0 = 1550 nm and carrier density N = 6 × 1019 cm3. For our designed AWG, we have ∆L equal to 64.79 µm. If we take ∆z = 75 µm, then ∆λ is about 140 nm. From equation (2.35), we see that the larger is ∆z, the larger will ∆λ be. Compare the two designs in figure 2.25, it is shown that figure 2.25(b) gives a better design for wide range adjustable filter since it is easier to realize a large ∆z in this design.
2.7.3 Design of Carrier Controlled AWG AllOptical Switch
Making devices with functionality of all optical switching is the final goal of this research. Currently we only focus on the designs based on AWG structures.
47
Line 2
Line 1
Line 1
Line 2
1
4
Ω0
Star coupler Waveguide grating with interleave chirp
2
Phase shiffters
3
Ω1
Ω0 Ω −1
Ω '0 Ω '0 Ω'−1
Figure 2.26 Schematic diagram of the interleave cross connect. The inset in the lower left corner illustrates the Brillouin zones for star coupler 2. (Ref. [27])
2.7.3.1 Carrier Controlled Wavelength AllOptical Switch A device consisting of two interleavechirped AWG routers connected by waveguides with phase shifters was proposed by Doerr [27]. Figure 2.26 shows an example with two lines inputs and two lines outputs for this configuration. In the example, the interleave chirp consists of adding an additional path length of λc/4 on every other grating arm, where λc (=λc/n) is the wavelength of interest in the waveguide. In general, an AWG router forms a radiation pattern on the output surface
48
of the output star coupler by the signals from arrayed waveguides. The radiation pattern has angular Brillouin zones Ω i of order i and width 2γ. The width of the Brillouin zone is equal to the angular period of the radiation pattern formed by the point sources put at the star coupler interface replacing the arrayed waveguides. When every other grating arm has an additional path length λc/4, two images are formed in each Brillouin zone Ω i. The inset in figure 2.26 shows a fourchannel application, where two images with each having four channels are formed in Brillouin zone Ω 0. So the FSR is reduced by a factor 2. New Brillouin zones Ω i' are defined as shown in the figure. The images are collected by the nominal equallength waveguides with phase shifters. As shown in the figure, only Ω 1', Ω1' and Ω0' are connected since they contain almost all the power. The two input lines on the other side of input star coupler 1 are separated by γ and so are the two output lines on output star coupler 4. A channel entering one of the input ports can be switched into either one of the two output ports by controlling the relative phases in the three connecting waveguides for this channel. For example, channel 1 is controlled by phase shifters 3, 7 and 11 (counted from bottom to top). The switching is actually based on a generalized MachZehnder interferometer, consisting of the waveguides in the two AWG arrays and the connecting waveguides. The switching is actually a swap of the same channel in two input lines. If a channel from input line 1 is switched into output line 2, then the same channel from input line 2 has to be switched into output line 1. However, if one does not keep the
49
Then. The input part consists of only one input port instead of N input ports. The N channels with N different wavelengths all are inputted through the common input port. A 1 × N Wavelength Switch can be realized with the same method as mentioned above. In a similar way. we will do explorations in N × N (N>2) applications for the switching of the signals with different wavelengths in each line. A switch with 1 input and 8 outputs will be investigated. devices with N (N>2) input ports and N output ports can be designed by employing an interleave chirp in each AWG router to produce N images in each Ω i with enough waveguides to collect all of them. The details of this design will be discussed in Chapter 3. For example. If the channels or wavelengths in any input line are different than the channels in any other lines. So far. 50 . We will focus on GaN/AlGaN material applications for 2 lines × 2 lines switching of the signals with same wavelength. By doing this. one can realize the full scale switching. 6 channel × 200 GHz spacing in InP [28]. any wavelength channel can be switched to any one of the N output ports. an alloptical wavelength switch is realized.same channels (wavelengths) in different input lines. if we put channel 1 (λ1) and 2 (λ2) in input line 1 and channel 3 (λ3) and 4 (λ4) in input line 2. we can switch any channel to either output lines by controlling the relative phase shifters for that channel. one can switch any channel in any line to any other lines by adjusting the phase shifters properly. this device has been demonstrated for 2 lines × 2 lines. By adjusting the corresponding phase shifters.
27.7.Arrayed Waveguides Loop Back ZN N Z2 2 Z1 1 Main Input Wavelengthselective Input Loop Back Wavelengthselective Output Main Output (a) Main Input Main Output Add selectivewavelength WavelengthSelective Output (b) Figure 2. (a) Schematic Diagram. 2. (b) Corresponding Black Box.27 Carrier Controlled LoopBack AddDrop Switch.3.2 Carrier Controlled Wavelength AddDrop Switch Based on the previous review. we propose a carrier controlled loopback adddrop switch as shown in figure 2. The device is based on the ideas of passive 51 .
all the outputs except for the main output and the one next to main output are connected with their corresponding inputs. we can design a 1 × N switch network as in figure 2. One can compare the functionality of this design with the one in section 2. …. λ2. 52 . while all the other signals from main input will be all transferred into the main output because of the symmetric design of the AWG device.7.3. λN λ1 λ 2 λ3. where the switch block is the one shown in figure 2.7.2. it is worth doing further research in the designing of switch networks.7.28. In the figure. Figure 2. λN λ2 λN1 λN1 λN Figure 2.27(a) shows this design.1.7. λ1. λ4. ….8. one can get the specific selected wavelength signal at the wavelengthselective output.wavelengthselective switches and adddrop multiplexers in section 2.3. With the control of electrodes applied to the arrayed waveguides.27(b). For example.28 1 × N Wavelength Switch Network.1 and carrier controlled semiconductor AWG filter in section 2. 2. Design of AllOptical Switch Networks After investigating the single pieces of the devices in section 2.
especially the OXC. After that. Then we briefly introduced some large optical switch architectures and technologies. 2. we reviewed the basic components and their applications in an optical network.9. we particularly reviewed the principles of AWG and its applications. To realize the functionalities of those elements. we started from the introduction of telecommunications network architecture. discussed the network elements and their applications. 53 . Conclusion In this chapter.Since we would have 2 × 2 switch for same wavelength channels and N × N switches for different wavelength channels. Based on that. Then we gave a brief introduction of the second generation of optical networks. it would be reasonable to do further investigations to realize any wavelength N × N switching. we proposed some possible architectures that can be realized with AWG principles.
the 54 . we have briefly introduced arrayed waveguide gratings (AWG). Introduction In the previous chapter. In silicabased AWGs. this index tuning can be accomplished by locally heating each individual waveguide branch. In WDM systems. In these devices. Design of WDM Cross Connect Based on Interleaved AWG (IAWG) and a Phase Shifter Array 3. refractive index tuning of arrayed waveguides between the two star couplers in an AWG has been introduced to adjust and optimize the transfer function of the device and it can also be used to perform WDM switching with proper device structure design [6][7][29]. we have discussed that wavelength division multiplexing (WDM) technique has been widely applied in the fiberoptic networks. To overcome the speed limit of thermal tuning. In practical applications. AWG devices are also made by semiconductor materials. it is critical to develop optical devices that can optically route wavelength channels from any input port to any output port and thus to fully realize nonblocking N × N optical switch functionality.3. refractive indices of branch waveguides can be changed by carrier injection. which have been used as WDM optical multiplexers (MUX) and demultiplexers (DEMUX). it effectively utilizes wide wavelength windows of the fiber and provides an additional degree of freedom in optical networking [3]. However this thermal coefficientbased tuning is usually too slow for an optical packet switch. In general. In chapter 2. such as GaAs and InP.1.
a truly anytoany nonblocking optical switch cannot be directly realized using the structure proposed in [27]. we have known that the Spanke architecture is based on the combination of 2n (1 × N) optical switches. In chapter 2. However. therefore. Also. a general design rule of interleaved AWGs is not available so far. In this chapter. where a unique waveguideinterleavedAWG (IAWG) structure was used. this N × N switch illustrated in [6] is not truly “anytoany”. which is many orders of magnitude faster than thermal tuning and therefore it can potentially be used to support an alloptical packet switch in the future. So it is also necessary to fully investigate the design of 1 × N switch for a single wavelength using IAWGbased planar lightwave circuit (PLC) and its applications to construct truly anytoany N × N wavelength switch. In addition. We will show how to realize this 1 × N optical switch by using IAWGs.speed of carrierinduced index change can be in the order of subnanosecond. which have been proposed to realize AWGbased optical switches [6][7][27]. we will utilize the Spanke architecture to realize a fully functional nonblocking N × N WDM switch. instead it is in a cyclical fashion [27]. we have reviewed several different designs and device structures. A 2 × 2 nonblocking wavelength switch was demonstrated by using this approach and it can be expanded to realize the switch size of N × N. although it is necessary in the designing of different IAWGs. from a switch architecture point of view. From chapter 2. We will 55 . a truly anytoany N × N nonblocking switch can be constructed by a group of 1 × N switches [30][1] using the Spanke architecture as introduced in chapter 2.
present a detailed description of a selfconsistent design rule of 1 × N all optical switches. the design of a true anytoany N × N optical switch using PLC technology is not an easy task because of its complexity and it has not been demonstrated so far. For 56 . This has been shown in the Spanke architecture in chapter 2. 3. To illustrate this architecture more clearly. Then a detailed design example of a 1 × 4 nonblocking WDM switch will be given and the phase assignment at each phase shifter will be provided for various routing states.2. It is also important to note that the proposed 1 × N switch structure is a planar lightwave circuit (PLC) with no waveguide crossing. We will present the numerical results to illustrate the device characteristics such as transfer functions and the extinction ratio of the switch. An Approach of an N × N All Optical Switch It is well known that anytoany N × N nonblocking wavelength switches are indispensable for optical networks. We will also propose and investigate a simplified structure of a 1 × N WDM alloptical switch based on a single IAWG with total a reflection at the end of each phase shifter. However. therefore it can be monolithically integrated to create sophisticated optical devices with more functionalities. which consists of eight 1 × 4 wavelength switches with four of them at the input side and four of them at the output side. figure 3. Design considerations and device characteristics are discussed. One modular approach to solve this problem is to combine a group of 1 × N optical switches.1 shows a 4 × 4 nonblocking wavelength switch.
each output 1 × 4 optical switch combines the four received wavelength channels together and feeds them into the output fiber. λ3. λ4 2 2 λ1. λ4 1 1 λ1.each 1 × 4 optical switch at the input side. λ3. 57 . there will be a 10log(N) dB intrinsic combining loss for the optical signal because the power combiner is not wavelength selective. λ3. However.1 The scheme of 4×4 alloptical switch. λ4 4 4 λ1. λ4 λ1. Similarly. λ2. λ4 λ1. the four output switches are performing a redundant operation and can simply be replaced by four 1 × 4 optical star couplers. Since optical switch functionality is determined by the four input 1 × 4 switches. λ4 3 3 λ1. λ3 and λ4 into any one of its four output ports. λ2. λ3. with this simplified option. λ2. λ3. λ2. λ4 Figure 3. λ1. λ4 λ1. it switches the input signal of any of the four wavelengths λ1. λ2. λ3. λ3. λ2. λ2. λ2. λ2. λ3.
Since 1 × N wavelength switches are fundamental building blocks to realize this anytoany N × N nonblocking wavelength switch. the focus will be on the development of a general design rule for a 1 × N wavelength switch in the following sections. In this way. the NIAWG is designed such that there is the same amount of signal power of wavelength λi entering each lij phase shifter. N is the index of BZs as shown in figure 3.2. The input NIAWG is designed in such a way that the input signal with wavelength λi is directed into all lij phase shifters. Between the two NIAWGs are N subsets of phase shifters.3. Instead of having two or more input ports at the input side as suggested by Doerr.2 has only one input port while still having N output ports. …. Moreover. 3. 2. Star coupler 3 and 4 form the output NIAWG. 2.7.3. figure 3. where lij is the index of phase shifters. as we have reviewed in subsection 2. the routing of the input signal of wavelength λi can be totally controlled by all lij phase shifters so that 1 × N switching 58 . …. Each subset has N phase shifters. N is the index of ports in each Brillouin zone (BZ) and j = 1. star coupler 1 and 2 form the input Ninterleaved AWG (NIAWG). i = 1. The Scheme of the 1 × N AllOptical Switch The scheme of a 1 × N alloptical switch is presented in figure 3. This optical switch consists of two IAWGs and is very similar to the one Doerr suggested [27].1. In this figure.2.
. the amount of signal power entering each such waveguide should be the same. we mentioned that NIAWG is designed in such a way that the input signal with wavelength λi is directed into all the output waveguides that connect with lij phase shifters. Design of the NIAWG 3. To be convenient.2 Schematic diagram of 1 × N alloptical switch. 59 .1. . for optimum operation. λ1.4. Moreover...4. 3.3. λN 1 4 # of ports in each BZ Star coupler Waveguide grating with interleave chirp N 2 1 N 2 2 1 # of BZs N 2 1 Phase shifters N 2 1 3 Figure 3. Functionality of NIAWG In section 3. λ2. λN λ1 λ2 .functionality can be realized. we also use lij to denote these corresponding output waveguides. The switching functionality will be further explained in the next section..
3 Schematic diagram of NIAWG. but the phase distribution depends on the chosen input port.2. The above condition was mentioned for the NIAWG that has only one input port as in figure 3. Based on the above description. the amount of the power entering into each of these output waveguides at star coupler 3 is the same. Because of reciprocity. the output power always distributes evenly among the same lij output waveguides of star coupler 3. we can see that for a signal at wavelength λi. no matter which input port at star coupler 4 is chosen. if we 60 . no matter which input port at star coupler 4 it enters. the NIAWG can direct the signal of wavelength λi into the same lij output waveguides at star coupler 3. Moreover.3. It can be extended to a general NIAWG that has N input ports as shown in figure 3. When the separation between the input ports at star coupler 4 are arranged properly.Waveguide grating with interleave chirp 4 3 ) Star coupler N N 2 1 2 1 ( N 21 N 21N 2 1 Figure 3.
More details about this switching functionality will be given later. ∆L is the path length difference between two adjacent waveguides in the array.13 [20][31]: ns d sin(θ i ) + nc ⋅ ∆L + n s d sin(θ 0 ) = mλ (3.20).2. 61 . we have included the term related to the input side into equation (3. the path length difference between adjacent grating waveguides for an IAWG deviates from that of an AWG to create a wavelengthdependent focusing effect. nc is the effective refractive index of the arrayed waveguide.1) Where m is the grating order. we can direct the signal into any one of the output ports at star coupler 4 by adjusting the phase of each input properly. we can start with the central phase matching equation of a conventional AWG as shown in figure 2. ns is the effective index of the slab in the output star coupler. To illustrate how to obtain the path length differences in IAWG. an IAWG has an input star coupler and an output star coupler. Compared with equation (2.1) for general purpose. 3. θ0 is the diffraction angle in the output star coupler and λ is the output wavelength. However.input a signal of wavelength λi into all those lij waveguides at star coupler 3. From AWG to IAWG Similar to an AWG.4. This explains the switching functionality of figure 3. d is the separation of adjacent waveguides at the star coupler. θi is the angle of ith input port to the direction of the central input port. each with equal power.2.
∆θ I = 1 ns d N ⋅ λ (3.2) The angular separation between ∆θ/2 and ∆θ/2 is commonly referred to as the central Brillouzin zone.2). which was defined in section 2.3) indicates interleave. Each should have output power 1/N if the output power in the central BZ of the AWG is normalized. the angular width ∆θ of the Brillouin zone (BZ).3. Based on equation (3. Because most of the output power is concentrated in this area [27]. can be found as [32]: ∆θ = λ ns d (3. we can find that the angular separation between two adjacent BZs in an NIAWG is.1). Ideally the N BZs of an NIAWG split from the central BZ of an AWG should have the same amount of output power according to the condition for optimum operation of NIAWG as we mentioned above.3) The subscript I in equation (3. 62 . Only the output in the central BZ is generally of concern for an AWG since most of the signal energy is concentrated in this area.7. An NIAWG varies the path length difference between the adjacent grating waveguides so that each original BZ in an AWG is split into N equally spaced new BZs [27].From equation (3. these N new BZs play important roles in the devices consisting of NIAWGs..
With a single wavelength (λ0) signal entering this remaining subset. We then divide these M waveguides into four subsets with the pth subset composed of waveguides p. p+4.1) ns (4d ) sin(θ i ) + nc ⋅ (4∆L) + ns (4d ) sin(θ 0 ) = m' λ0 (3.. …. we illustrate the design rule through the process of constructing a 4IAWG as shown in figure 3. which is 1/4 that of the original AWG.3. where p = 1.4. where figure 3. which has M waveguides in the arrayed grating. 2. In this arrangement. the design of an NIAWG is not an easy task.3). 4. the central phase match condition of this new AWG can be obtained from equation (3. the radiation patterns are the same 63 .5) with equations (3.4. 3. p+8. For each of the four subset AWGs. To simplify the explanation. Now we start presenting a general rule to design an NIAWG.3. ∆θ ' = λ0 ns ( 4d ) (3.. Therefore the angular separation between two adjacent BZs at the output of the star coupler of this reduced AWG is. the remaining subset is still an AWG but with path length difference 4∆L between adjacent waveguides and with waveguide separation 4d at the input and output star couplers. AWG MultipleBeam Interference Condition Although the general concept was discussed in the above section. removing any three of the four subsets. We start with a conventional AWG.5) Comparing equation (3.4(b) shows that the central BZ of an AWG is split into four new BZs for the 4IAWG.4) where m’ is the grading order of this new AWG. p+12.2) and (3. we can see that the BZ of a subset AWG has the same angular width as a 4IAWG.
where N = 4. Interleaved waveguide grating wav ide egu ing grat d 2 3 Zoom in 1 4 λ0 λ0 Ω 1 (a) Ω2 Ω0 Ω1 λ0 λ0 λ0 (b) λ0 Figure 3. (b) Closeup of the output star coupler.4 Diagram of output port distribution for an Ninterleaved AWG.in all the four new BZs denoted as Ω 1. Ω 0. Ω1 and Ω2. This maximum output value happens in Ω 0. 0. which is the central BZ of the original AWG.4(b). Since these 4 subsets combine only to form the original AWG. Ω1 and Ω 2 as shown in Figure 3. 64 . the signals from the four subsets of the arrayed waveguides add constructively in Ω 0 and destructively in Ω 1. Ω 0. 1. (a) An Ninterleaved AWG. where Ω i (i = 1. Ω1 and Ω 2. when all the 4 subsets exist. These new BZs were split from the central BZ of a conventional AWG before it was interleaved. 2) denotes the new Brillouzin zones of this 4IAWG. there is only one maximum for the output field pattern in the entire angular region of Ω 1. This leads to the conclusion: when the input is at wavelength λ0.
1 Ω2 0 A4.2 A2. Vector Illustration of the AWG MultipleBeam Interference Condition Table 3.2 A1.0 A4.2 A3.0 Ω1 A2.1 A3.4. −1 A3.2 Ω 1 A4.1 Initial Vector Information for Constructing a 4IAWG BZ Ω0 Vector Addition 0 A1. −1 65 .3.1 0 A1.4.0 A2. −1 A2. −1 0 A1.1 A4.0 A3.
To systematically investigate the pattern of optical field distribution at the output of the second star coupler of a conventional AWG. the maximum output 2 optical power in Ω0 will be 16 A0 .q are treated as the references. 2.4. 3. 1. we mentioned that we could vary the path length difference between the adjacent gratings to obtain an NIAWG.2. Additional Lengths to Arrayed Waveguides for Constructing 4IAWG In subsection 3. the combination of the four subsets creates only one maximum which is located in BZ Ω0 as the result of the vector addition of four field components in each BZ.1. 2 in our above p example. where the relative phase angles between the vectors are considered and the vectors A1.q 0 = 4⋅ A 1. 4 and q = 1. 2 (3. Let’s take subset p of the arrayed waveguides and denote its optical field output in BZ Ω q as a vector A. the above vector additions are illustrated in table 3.q . where p = 1. this path length difference is [31] 66 .1.1.6) q=0 More specifically. We have 4 ∑A p =1 p .5. For a conventional AWG. From table 3. 0. 1. q . Ω q. a vector representation can be used. 0 q = . If the optical field magnitude created by each subset is A0 = Ap . we can see that although each subset of bridge waveguides by itself would project the same amount of output power in each of these new BZs.4. 3.
1 0 A1.2 Ω 1 A3.2 A2.2 Vector Information of a Constructed 4IAWG BZ Ω0 Vector Addition 0 A2.1 Ω2 0 A4.0 Ω1 A3.2 A1. −1 A4.0 A1.2 A3. −1 0 A1.1 A4. −1 67 .∆L = mλ0 nc (3.1 A2.0 A3.7) Table 3. −1 A2.0 A4.
q in table 3.1 by 180 degree means to change the phase of the output vector from subset 2 waveguides by π. q vectors in table 3. To rotate all the vectors A 2. The procedure can be further simplified.2. λ0 is the center operating wavelength of the device and nc is the effective index of the arrayed waveguide. Now we will show how to find the additional waveguide lengths in addition to the ∆L in equation (3. This will be further explained later. This can be realized by adding additional length λ0c/2 to all the waveguides of subset 2. We still use the 4IAWG as an example.1 by 180 degrees. the magnitudes of the vector summations in these three BZs will always be the same as long as each of vectors A 2. From table 3. it can be easily seen that a 4IAWG can be realized by adding an additional length λ0c/2 to all the waveguides in any one of the four subsets while keeping the waveguides in three other remaining subsets unchanged.7) to construct an NIAWG. 68 . This fact tells us that only one of these three BZs needs to be considered together with BZ Ω0 in the designing of a 4IAWG.2. which is 1/4 of the maximum power shown in table 3. By rotating all the A 2. Since the initial value of the sum of all the vectors in each of the BZs Ω 1. In the above process. the results of the vector additions turn out to be as in table 3. Ω1 and Ω 2 is zero. it is shown that this π phase change makes the output power equally split among the four BZs and the output power at each BZ be 4A02 . q turns a same amount of angle in each of these BZs.where m is the order of the array.1. all four BZs were considered in finding the additional waveguide lengths. where λ0c = λ0/nc. Furthermore.
8b) So one can get the similar graphs as shown in table 3. N⋅∆L is the path length difference between adjacent waveguides and N⋅d is the arrayed waveguide separation at the input and output star couplers.4. it is only needed to consider one more BZ. In each subset. 0 = N ⋅ A1. δp. besides the central BZ Ω 0. 0 p =1 N N (3. a general rule in designing an NIAWG can be deduced.9) At this point.6. one rotates any pair of vectors A p . General Design Rule of NIAWG Based on the above example. where the maximum initial output power N 2 A02 exists. and the additional length needed for the waveguides in Subset p can be calculated as ∆Ladd = δp ⋅ λ0 c 2π (3.1 by the same angle δp. the sum of the vectors in BZ Ω 0 and Ω 1 are V Ω 0 = ∑ A p. As mentioned above.1.1 = V Ω1 = N ⋅ A1. where p = 2.1. one can record all the angular values.10) 69 . Thirdly. 0 and A p . one can find the initial vector information as in table 3. Then initially. Firstly. one can divide the M arrayed waveguides in the AWG into N subsets.1 = 0 p =1 (3.8a) V Ω1 = ∑ A p. say Ω1. We then rotate as many pairs as necessary until the following condition is met V Ω 0 = ∑ A p .3. Secondly. 0 = ∑ A p. … N. 0 p =1 p =1 N N (3.
1/12. 3/5. Output Port Arrangement From the above description. 2/5. the distribution of waveguides is symmetrical about the center of the output star coupler. 3/4. ∆Ladd is always less than λ0c. Since 0 ≤ δp < 2π. 3/4. 3/5. 1/3. Figure 3. 0 4 1/2. 0 1/3. 0. 1/2. 0 6 1/12. 1/5. This means the output ports on the second star coupler have to be arranged in accordance with the locations of BZs as illustrated in figure 3.4(b) is a detailed description of the output star coupler. Ω0 is always used as the central BZ. 0 0. 0 5 0. 0 70 . 0 3/4. 2/5. 4/5.where δp is in radians. Finding ∆Ladd values is essential in the design of an NIAWG. 3.7. 3/5. 4/5. 1/5. while if N is an even number there is one extra output port on one side in comparison to the other side. where if N is an odd number. Table 3. 1/5. 1/2. 0. 0 1/4.3 Multiple sets of additional waveguide lengths [λc] in the design of an NIAWG N 2 3 Calculated Additional Arrayed Waveguide Lengths [λc] 1/4. 0.4(a).4. 1/4. 0. 0 2/3. 2/5. 0 0. 1/3. 4/5. 0 0.
0. 5/8. 2/7. 5/12. 4/7. 3/4. 5. 0 7/8. 0. 1/7. 3/7. 3/7. 0 3. 3/4. 0 0. 2/3. 0 0.4. 2/7. 1/2. 0 1/8. 3/8. 3/4. 2/3. 4/7. 0. 0. 1/4. 0 11/12. 1/8. 0 0. 1/2. 3. 6/7. 0 7 0. 0. 0. 3/7. multiple sets of additional lengths can be obtained with the general design rule for a particular N. 3/8. 1/4. 1/8. 0 1/4. 1/4. 7/12. Comparison with Previous Results The general rule discussed above can be used to calculate the additional lengths ∆Ladd needed in arrayed waveguides of an AWG to transfer it into an NIAWG for any N value. 6/7. 0 0. 1/7. Table 3. 3/4. 1/4. 0 1/12. 0 0.8. 6/7. 5/7. 3/7. 3/4. 1/4. 11/12. 1/2. 0. 2/3. 0. 1/7. 0 1/8. 0. 3/4. 0 1/8. 1/4. 0 8 0. 1/4. 2/7. 1/2. 1/3. 1/2. 6/7. 3/4. 4. 5/8. 4/7. 0 0. 1/4. 1/4. 0. 4/7. 0 3/4. 1/2. Generally. 3/7. 3/8. 4/7. 6/7. 0.3 shows the examples of the additional lengths that were calculated by using this general rule for N = 2. 5/7. 1/7. 6. 2/7. 5/7. 2/7. 0. 2/3. 1/4. 7/8. 0. 71 . 3/8. 5/7. 1/8. 1/7. 5/7. 1/3. 1/2. 1/2. 1/4. 5/8. 0. 0 0.11/12. 1/4. 5/8.
7, 8. All these values have been verified as good for constructing their respective NIAWGs. Also shown in table 3.4 is another special set of additional lengths given by Doerr in [27] where there is not a systematic design rule provided. Comparing Doerr’s result with our simulation results presented in table 3.3, it can be found that Doerr’s result is clearly only one of the solutions that can be obtained by using the general design rule. For example, Doerr’s result of (3/4, 1/3, 3/4, 0, 1/12, 0) for N = 6, is the same as our simulation result of (1/12, 0, 3/4, 1/3, 3/4, 0) for N = 6.
Table 3.4 Comparisons between the distributions of additional waveguide lengths [λc] in the design of IAWG N 2 3 4 5 6 7 8 Additional Waveguide Lengths [λc] From [4] 1/4, 0 1/3, 0, 0 1/2, 0, 0, 0 1/5, 3/5, 1/5, 0, 0 3/4, 1/3, 3/4, 0, 1/12, 0 1/7, 3/7, 6/7, 3/7, 1/7, 0, 0 1/4, 1/2, 0, 1/2, 1/4, 0, 0, 0
This further confirms that the general rule gives us a way to find the additional length distribution in arrayed waveguides needed for constructing an NIAWG. The fact that there are multiple sets of additional length distributions for each N value
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benefits the design of an NIAWG in that the optimum set of additional lengths can be chosen. 3.4.9. Verification of Equal Vector Magnitudes in BZs of NIAWG In subsection 3.4.5, it was mentioned that the magnitudes of the vector summations in BZs Ω 1, Ω1 and Ω 2 are the same as long as each of vectors A 2, q turns a same amount of angle. This is obvious in the structure of 4IAWG that was discussed above. In this subsection, this consequence of equal vector magnitudes in BZs will be verified for 5IAWG in a relatively general way so that its method can be applied to any NIAWG for any values of N. As in the case of 4IAWG, to construct a 5IAWG, we can divide the M arrayed waveguides of a conventional AWG into five subsets with the pth subset composed of waveguides p, p+5, p+10, p+15, p+20, where p = 1, 2, 3, 4, 5. In this arrangement, removing any four from the five subsets, the remaining subset is still an AWG but with path length difference 5∆L between adjacent waveguides in the array and with waveguide separation 5d at the input and output star couplers. Similarly, let a single wavelength (λ0) signal enter this remaining subset, the central phase match condition of this new AWG would be ns (5d ) sin(θ i ) + nc ⋅ (5∆L) + n s (5d ) sin(θ 0 ) = m' λ0 (3.11)
And the angular separation between two adjacent BZs at the output of the star coupler of this reduced AWG is,
73
∆θ ' =
λ0
n s (5d )
(3.12)
Interleaved waveguide grating
ng rati eg uid veg wa
d
2
3
Zoom in
4 1
Ω2
λ0
λ0
Ω1
λ0
Ω2
(a)
Ω1
Ω0
λ0
λ0
λ0 (b)
λ0
Figure 3.5 (a) Diagram of output port distribution for a 5interleaved AWG. (b) Closeup of the output star coupler, where Ω i (i = 2, 1, 0, 1, 2) denotes the new BZs of this 5IAWG. These new BZs were split from the central BZ of a conventional AWG before it was interleaved.
We can see that the BZ of a subset AWG has the same angular width as a 5IAWG, which is 1/5 that of the original AWG. Similar to the case of 4IAWG, for each of the five subset AWGs, the radiation patterns are the same in all the five new BZs denoted as Ω 2, Ω 1, Ω0, Ω1 and Ω 2 as in Figure 3.5b. Since these five subsets combine only to form the original AWG, when all the five subsets exist, there is only
74
one maximum for the output field pattern in the combining angular region of Ω 2, Ω 1, Ω0, Ω1 and Ω 2, which is the central BZ of the original AWG. This maximum output value happens in Ω 0. This leads to the conclusion, the signals from the five subsets of the arrayed waveguides add constructively in Ω 0 and destructively in Ω 2, Ω 1, Ω1 and Ω2. Similarly, we can have a vector representation, which is shown in the following equation
5
∑A
p =1
p,q
0 = 5 ⋅ A1, 0
q =  2,  1, 1, 2 (3.13) q=0
where p = 1, 2, 3, 4, 5 and q = 2, 1, 0, 1, 2 in this case. These vector additions are illustrated in table 3.5, where the relative phase angles between the vectors are considered and the vectors A1,q are treated as the references. From table 3.5, if the optical field magnitude created by each subset is
A0 = Ap , q , the maximum output optical power in Ω 0 will be 25A02 . The optical
powers in other BZs are all equal to zeros just as in the case of 4IAWG. Our result in subsection 3.4.8 shows that if we keep the arrayed waveguide lengths in the first and fifth subsets, add additional lengths of (2λ0c)/5 to all the waveguides in the second and fourth subsets and add additional lengths of λ0c/5 to all the waveguides in the third subset, the output optical powers in the five BZs will be
75
0 Ω1 A3. which is equal to 5A0 . −2 A 2. 0 A2.5. −1 A 2. 2 0 Ω2 A 2.1 A5.1 A 4. Thus a conventional AWG is turned into a 5IAWG.2 the same. −1 0 A1.1 A2 . which is 1/5 of the maximum power shown in table 3.5 Initial Vector Information of Constructing a 5IAWG BZ Ω0 0 Vector Addition A1. 0 A3. Table 3. −2 Ω 2 A 5 . 2 A1. 2 A5. −1 A3.1 0 A1. −1 Ω 1 A 4. −2 A 4 . 2 A5 . 0 A5. −2 0 A1.1 A 4. −2 76 . 2 A 3. 0 A4. −1 A3.
1 0 x1 A1. 2 A1.1 A . 2 A3.1 4 . 2 0 A4 .1 0 x2 A2 . 2 .1 x5 A5.1 . and adding additional lengths of (2λ0c)/5 to the waveguides in the second and fourth subsets is equivalent to turning all the vectors A 2. 2 Figure 3. 4.2 x1 A1. 2.1 x3 A1.1 x A3. 2 (b) A 5 . A3. 2 A5.1 A 4.1 A3. 77 .q by 2α radians. x5 A A2 . (b) The changes of the signal vectors in BZ Ω2 when an AWG changes to a 5IAWG.1 (a) A4 . 2 x4 . where α = 2π/5.1 A3.As we know.q and A 4. 2 3. A4 . A2 .6 (a) The changes of the signal vectors in BZ Ω 1 when an AWG changes to a 5IAWG.q by α radians. 2 A .1 A5. 2 A2 . adding additional lengths of λ0c/5 to the waveguides of the third subset is equivalent to turning all the vectors A 3. 2 0 x2 x3 A 2. A4 .
1 and A 4. (3.1 + A 5. We have x3 x 4 = V 0 e jα .1 − A3. A3.1 and A 4.1 + A 2. Figure 3.1 + A 5. we can get 78 .6 shows the changes of the signal vectors in BZs of Ω 1and Ω2.1 are changed to A 2.15) (3. .1 . .1 + A 2.16c) (3. . x 4 x5 = V 0 e j 2α . from figure 3. (3.19) Similarly. Figure 3. From equation (3.Now let’s verify that the optical powers are the same in BZs Ω 1 and Ω 2 after the vectors are turned the above angles.6a shows that vectors A 2.1 + A 2.15). .17) (3. . A 3.1 = 0 .1 = x3 x 4 A 4.1 + A5. .1 − A 2.14) So we have A1.1 = ( x 2 x3 + x3 x 4 ) + x3 x 4 + ( x 4 x5 + x5 x1 ) Where A 2. .1 − A 4.6b. . x5 x1 = V 0 e j 3α .13) we know that A1.1 = ( x 2 x3 + x3 x 4 ) A 3.1 + A 4. (3.1 + A 31 + A 4.1 = ( x 4 x5 + x 5 x1 ) Let x 2 x3 = V 0 .1 .1 + A 3.1 = (V 0 + V 0 e jα ) + V 0 e jα + (V 0 e j 2α + V 0 e j 3α ) = V 0 (1 + 2e jα + e j 2α + e j 3α ) . .1 .16b) (3. A1.18) and (3.1 + A 31 + A 4.18) Combine equations (3.16a) (3. .
q ) = 5 ⋅ A1. we can see that the result in equation (3.0 nm and 1550. 3. the 4IAWG is designed for four channels with channel wavelengths 1549. . 2 + A 3. 2.21) This verifies that the optical powers are the same in BZs Ω 1 and Ω2 after the vectors are turned their relative angles.1 = A1. Verification of NIAWG with Numerical Simulation In the above subsections. numerical simulations will be applied to verify that the additional lengths applied to the arrayed waveguides do change an AWG to an IAWG. . we can get ∑ (A p =1 5 .4. (3. A1. 0 for q = 1.A1. and multiple sets of additional lengths are calculated and compared with a special set of additional lengths presented by Doerr. . This guarantees that the functionality of an NIAWG is feasible.q − A p. 1550. . 2 + A5. By using this same method. 2 + A 3.20) . 2 . 1549.22) This verifies that optical powers are all the same in BZs of the 5IAWG. . 3. we can verify that the optical powers are split evenly among the BZs of an NIAWG.6 nm. In the simulation. 2 + A 2. 2 + A 4. Furthermore. 2 + A5. 2 + A 4. 5 (3.10.1 + A31 + A 4. we can see that (3. 2 + A 2. . The 79 .6 clearly.2 nm.4 nm. 4. 2 = ( x3 x 4 + x 4 x5 ) + x5 x1 + ( x 2 x3 + x3 x 4 ) = (V 0 e jα + V 0 e j 2α ) + V 0 e j 3α + (V 0 + V 0 e jα ) = V 0 (1 + 2e jα + e j 2α + e j 3α ) So from (3. by using the same vector method. the general design rule has been given out. . Again the 4IAWG as shown in figure 3.1 + A 2.4 is taken as an example. If we look at figure 3.1 + A5.21) can be obtained directly from the figure.20). In this subsection. p .19) and (3.
4a. Since the amplitude distribution of a star coupler is a Gaussian distribution [33].7c and 3. 3. σ = σ0 = 0. m) where I0 is a discrete Gaussian distribution.4. and a signal with constant spectrum between 1549.23b) In the application. σ is the standard variance of the distribution. M .0 nm. Figure 3.23a) (3. 2. is the index of the waveguides in the array. which is expressed as 2 M m − 1 2 I 0 (σ . the intensity distribution at the output side of the first star coupler in 4IAWG.7.7b. M is the total number of the waveguides in the array. m) = exp − 2σ 2 σ 2π (3. is also a Gaussian.21550. which is position 2 in figure 3. It is quite clear that these four outputs have exactly the same powers at the same wavelengths with peak value at λ0 = 1550 nm.7a shows the output powers of the four output ports for wavelength λ0 = 1550 nm. Matlab programs had been composed. m = 1.7d show the output powers of three other channels from 12 other output ports as shown in figure 3. and simulations had been run. Figure 3. The simulation results are shown in figure 3. Each channel relates to four output 80 . the following values are chosen: M = 64.36*(W/2). which can be expressed as I (m) = I 0 (σ . In the design example of 4IAWG. where W = 63D0 is the width of the output range of the star coupler with D0 as the output waveguide separation. M .8 nm as the input.wavelength λ0 used to design the 4IAWG was 1550. ⋯. M.
6 nm. (c) Channel of wavelength 1549.4 nm.2 1549.4 1550. It can be seen that all these simulation results have verified the design of 4IAWG.4 1549.ports. (a) Central channel with wavelength λ0 = 1550 nm. (b) Channel of wavelength 1549.7 Verification of 4IAWG.6 1549.6 1550.8 1550 1550.8 wavelength(nm) Figure 3. 0 10 20 30 (a) dB 40 50 60 70 1549.2 nm.2 1550. 81 . (d) Channel of wavelength 1550. The output powers at its related four output ports are exactly the same for each channel.
4 1549.4 1550.2 1549.8 wavelength(nm) Figure 3.0 10 20 30 (b) dB 40 50 60 70 1549.6 1550.7 (b) and (c) 82 .4 1550.8 1550 1550.6 1550.2 1550.6 1549.8 1550 1550.2 1549.4 1549.2 1550.6 1549.8 wavelength(nm) 0 10 20 30 (c) dB 40 50 60 70 1549.
2 1550. (m − 1)) + Q((m − 1).24) 83 .4. it is time to find its transfer function. With the intensity Gaussian distribution at the star coupler as shown in equation (3.4 1549. the output amplitude at one of the output ports of an NIAWG can be expressed as.6 1549.2 1549.4 1550. Transfer function of an NIAWG Since the design of an NIAWG has been verified. AIAWG (l .8 1550 1550.11.7 (d) 3.0 10 20 30 (d) dB 40 50 60 70 1549. x 2 (l ))]⋅ N s )} m =1 M (3.6 1550. λ ) = C (l ) ⋅ ∑ A(m) B(m) exp{ jk ⋅ ([L0 + (m − 1) ⋅ ∆L + ADDL(m − 1)]⋅ N c + [P( x1 (0).8 wavelength(nm) Figure 3.23).
m) = R0 − (2m − 1) x1 d 2 R0 (2m − 1) x 2 d 2 R0 (3.25) Q (m. Nc is the refractive index of waveguide while Ns is the refractive index of the slab region of the star coupler. Here m is 0 for the shortest waveguide in the array. m) is the path length from the input port at x1 through the first star coupler to the mth arrayed waveguide.27) 84 . B(m) is the modification factor for the output of the arrayed waveguides transmitting to the output ports at the second star coupler. ∆L is the path length difference between adjacent arrayed waveguides of a traditional AWG. d is the arrayed waveguide separation. λ is the channel wavelength. R0 is the radius of curvature of the star coupler. m)] 1/ 2 (3.26) where. x 2 ) = R0 − (3. we have P( x1 . A(m) is the amplitude distribution at the input side of the arrayed waveguides. L0 is the length of the shortest waveguide in the waveguide array. x1 and x2 denotes the positions of the input port and output port on the relative star couplers. ADDL gives the additional lengths added to the arrayed waveguides in AWG to obtain IAWG. According to [33]. P(x1.where l is the position index of the output ports at the second star coupler. Q(m. M . l) is the path length from the mth arrayed waveguide through the second star coupler to the l–th output port. C(l) is the modification factor to the output at the lth output port of the second star coupler due to Gaussian distribution.24) are expressed as A(m) = B (m) = [I 0 (σ 0 . The distribution factors in equation (3.
6.28) where equation (3. l2 . l .28) is due to the Rowland structure of the star coupler.6.27) is due to the principle of reciprocity. The distribution C(l) is normalized and the half width as in equation (3. λ ) = C (l ) ⋅ ∑ I (m) exp{ jk ⋅ ([L0 + (m − 1) ⋅ ∆L + ADDL(m − 1)]⋅ N c + [P( x1 (0). From table 3. λ ) 3. l ) [ ] 1/ 2 (3. M .C (l ) = (σ 0 2π ) ⋅ I 0 (σ 0 / 2. Extinction Ratio Versus the Interleaved Number N m =1 M (3.12. x2 (l 2 ))]⋅ N s )} (3. Equation (3. λ ) = BIAWG (0.7.31) In our definition. This can be explained by the multibeam interferences at 85 . Extinction ratio versus the interleaved number N for a single wavelength channel was calculated. x2 (l ))]⋅ N s )} Define a function of an IAWG as m =1 M (3.29) BIAWG (l1 . extinction ratio is the difference between the maximum value (dB) of the central peak and the maximum value (dB) of the side lobes as shown in figure 3. (m − 1)) + Q((m − 1). The result is shown in table 3.30) Then AIAWG (l . λ ) = C (l1 ) ⋅ C (l2 ) ⋅ ∑ I (m) exp{ jk ⋅ ([L0 + (m − 1) ⋅ ∆L + ADDL(m − 1)]⋅ N c + [P( x1 (l1 ). (m − 1)) + Q ((m − 1).24) can be written as AIAWG (l . we see that the extinction ratio does not change very much with the changes of the number of the interleaves.4.
29). This is a very important result. The extinction ratio thus remains the same. Realization of a 1 × N All Optical Switch 3. λ ) (3.5.29). It is still the same number of waveguides that join the interferences at each output port of the output star coupler.1.0 3.5 4 57. The Transfer Function of a 1 × N AllOptical Switch Since a 1 × N AllOptical Switch consists of two NIAWGs and the transfer function of a single NIAWG is shown in equation (3. we can similarly get the transfer function of the 1 × N AllOptical Switch.9 7 55.9 8 62.5 6 58.2 can be expressed as A2out (l .the output star coupler.0 5 60.0 2 61.32) 86 . Table 3. With the result in equation (3.6 Extinction ratio (ER) versus the interleaved number N N ER (dB) 1 64. λ ) = AIAWG (l . the output signal amplitude at one of output ports of star coupler 2 in figure 3. It is obvious that the total number of waveguides at the input side of the output star coupler remains the same although the interleaves are different.5. It means we can design as many numbers of interleaved AWG as possible.
n. N.32)(3. λ ) l =1 N ⋅N (3. λ ) = A3out (l . all we need to do is to verify that it is possible to switch a signal with one specific wavelength λi. λ) is the phase change caused by the lth phase shifter to the signal of wavelength λ. λ ) = A2out (l . …. 3. λ ) = ∑ Bout (l . This is because signals with different wavelengths are controlled by different sets of phase shifters.5. λ )] (3. 2. the total output at the nth output port of star coupler 4 for the signal of wavelength λ can be expressed as A4out (n. This will be discussed further later.2. n. The output signal from the lth phase shifter contributes an output at the nth output port of star coupler 4. λ ) ⋅ BIAWG (l . λ ) exp[ j ⋅ ∆θ (l . To realize the 1 × N switching functionality with the structure of figure 3.33) This is the signal amplitude at the entrance of star coupler 3 as designated in figure 3. ∆θ(l. which can be expressed as Bout (l .4. i = 1. λ ) (3.2. n. to any one of the output ports from the single input port.2. the complex amplitude of the signal becomes A3out (l .35) give out the transfer function of a 1 × N AllOptical Switch.1. Switching a signal of specific wavelength with a specific set of phase shifters 87 .34) Adding contributions of the signals from all the phase shifters. Switching Functionality Verification and Phase Change Information The functionality of an NIAWG has been explained in subsection 3.After the signal output from the lth output port of the first NIAWG going through its connected phase shifter.35) Equations (3.
will not affect the signals of other wavelengths.37) is satisfied. λi ) = A2out (k . for all k = i. We can write these in the following equations A2out (k . Now if we let the wavelength channel λi input into the nth output port at star coupler 4 in figure 3. we should be able to collect its output signal at the N related input ports of star coupler 3.2. ….2. We denote the phase at the kth input port of star coupler 3 as θn(k. we can get the phase change needed in the kth phase shifter as * ∆θ (k . the realization of the switching functionality is due to the symmetry of the structure of figure 3. According to the description in section 3. For a single wavelength channel. …. λi )] (3.λi). λi ) (3. From equation (3. λi ) = θ n (k . 2N+i. λi ) = A2out (k .38) 88 .37) As long as equation (3.λi). λi ) exp[ j ⋅ θ 0 (k .37). the signal will be switched to the nth output port at star coupler 4. the signal will be switched to the nth output port at star coupler 4 as long as the phase at the kth input port of star coupler 3 is θn*(k.4. the conjugate of θn(k. N+i. N+i.λi). λi ) − θ 0 (k . Then we know if the same single wavelength channel is input from the only central input port of star coupler 1. 2N+i.36) and (3. or (N1)N+i. all we need to do is to collect the phase information at its N related output ports of star coupler 2 and the phase information we needed at the N related input ports of star coupler 3 to direct the signal to a specific output port at star coupler 4. (N1)N+i. where k is equal to i. λi ) exp[ j ⋅ θ n (k . λi )] * A3out (k .36) (3.
36) and (3.8 Schematic diagram of 1×4 switch for single channel with wavelength λ0.where λi is the wavelength of the single channel and n denotes the destination output port of the signal.8 for the example of a 1×4 switch. 89 . there are N2 degrees of freedom in our 1×N structure. where only the four phase shifters related to wavelength λ0 are shown. Since there are N2 phase shifters as shown in figure 3. λ0 λ 0 1 2 3 4 1 X 2D D 0 D 1 4 D 0 D 2D 3 2 1 D 0 D 2D 2 X X Figure 3. θ0(k.λi) in equations (3.38) is the phase information of channel λi at the kth output port of star coupler 2. The arrangement of the output ports can be seen in figure 3.2. It can be seen that every single phase shifter needs an independent control signal to adjust the phase needed.
These phase shifters are connected to the four output ports on the star coupler 2.5. we have only drawn four phase shifters here.6 nm channel to output 2 (0). 1550. 1549. For comparison. We did a simulation for a 1×4 switch. In this scheme.8.0 nm and 1550. To simplify the diagram. The output ports at star coupler 2 are located at the positions of –D. This will help us to know if the suggested structure works in real applications. we put these graphs together in figure 3. where X is the coordinate.10.3.4 nm with a channel spacing of 0.6 nm. Figure 3.2 nm channel to output 4 (2D). The locations of the input ports and the output ports at star couplers 3 and 4 are also shown in the figure. all 4×4 = 16 phase shifters were involved so that the crosstalk caused by this design could be evaluated. Figure 3. 1549. The four channel wavelengths are 1549. These four output ports are the only ones to which the signal of wavelength λ0 is directed in the four new central BZs of the 4IAWG.4 nm.9 shows one of our simulation results. Simulation Verification An Example Although the above description of the structure is very reasonable.0 nm channel was switched to output port 1 (D). the input port at start coupler 1 is located at the center of the star coupler.9 shows that 1550. however. This specific schematic diagram of a 1×4 switch is shown in figure 3. 90 . it is still important to do simulation verifications to obtain the practical requirements on the parameters. D is the waveguide separation. 1550. D and 2D as shown in the figure. The switching functionality was verified.3.4 nm channel to output 3 (D) and 1549. In our real simulation. 0.2 nm.
4 nm with a channel spacing of 0.We can see from figure 3.9 Simulation result of 1×4 switch for four wavelength channels with wavelengths 1549. 0 0 Transmission(dB) 20 Transmission(dB) 1549.0nm channel was switched to output port 1.6 nm.5 Wavelength (nm) Wavelength (nm) Figure 3. 1550. which verifies that the scheme is applicable.5 1550 1550.4 nm.5 1550 1550.5 20 40 40 60 1549 60 1549 1549.6nm channel to output 2.0 nm and 1550. 91 .4nm channel to output 3 and 1549.5 60 1549 1549.2nm channel to output 4.2 nm.10 that the crosstalk is about –32 dB or less.5 1550 1550. 1549. 1550. The 1550. 1549.5 1550 1550.5 Wavelength (nm) 0 0 Wavelength (nm) Transmission(dB) Transmission(dB) 20 20 40 40 60 1549 1549.
The crosstalk between channels is round –32 dB or less.2 1550.6 nm. 1550.2 1549.6 Figure 3.8 1550 Wavelength (nm) 1550.10 Simulation result of 1×4 switch for four wavelength channels with wavelengths 1549. 1549.0 nm and 1550. Here we have assumed that the equal length waveguides are connected to the phase shifters.4 1550.39) 92 . The relationship between phase changes and the refractive index changes is ∆n = λ 2π ( LP ) ⋅ ∆θ (3.2 nm.0 10 Transmission(dB) 20 30 40 50 60 1549 1549.6 1549. The values of phase changes and related refractive index changes required in the phase shifters in our simulation are presented in tables 5 and 6.4 nm.4 nm with a channel spacing of 0.4 1549.
680e004 3.184 1.8091 (radians) 3.184 (radians) 3.7 Phase changes (∆θ) needed in phase shifters for each output port selection in 1×4 alloptical switch (λ = 1550 nm) Output Choice Port 1 Port 2 Port 3 Port 4 Phase shifter 1 Phase shifter 2 Phase shifter 3 Phase shifter 4 (radians) 1.694e004 3.510 0.007 2.8362 3.8.863e004 0.918 × 104 to switch the signal of wavelength 1550 nm.031e004 3.998e004 3.858e004 0.709e004 2.709e004 2. From table 3. This result clearly verifies that the switching is realizable.694e004 1.128 0. Table 3.8091 1. From our previous research [29][34].454 3.510 2. we know that the maximum possible refractive index change at wavelength 1550 nm is ~9 × 104.007 2.998e004 1.848e004 1.6874 (radians) 1.863e004 3.209e004 Phase shifter 1 Phase shifter 2 Phase shifter 3 Phase shifter 4 93 .659 0.362 2.602 Table 3.858e004 0.128 0.where LP is the length of the phase shifters. we can see that the maximum refractive index change needed in a phase shifter with a length of 2 mm is 6.027e004 3.046e004 1.8 Refractive index changes (∆n) needed in phase shifters with length LP = 2 mm for each output port selection in 1×4 alloptical switch (λ = 1550 nm) Output Choice Port 1 Port 2 Port 3 Port 4 2.
. λN 1 . In a real application. λ2. The waveguides at the input side of star coupler 1 are all used for the output ports except for the central one. .11 Mirror scheme of 1 × N alloptical switch. The mismatches can cause extra signal loss. The Scheme of Mirror 1 × N AllOptical Switch The simulation verifies that the scheme shown in figure 3. 3. The new designed structure is shown in figure 3..λ’1. ..2 to simplify the structure. This central input waveguide is used as the only input port for this new design. To avoid this shortage.. So this new design essentially is a 1 × (N1) all 94 .4. Obviously there are only N1 output ports. there are always some mismatches between the two NIAWGs caused in fabrication process... we made modifications on the scheme in figure 3.11. Instead of using two NIAWGs. we use just one in this new design by using a mirror as shown in the figure. It is based on the symmetry of the structure with two NIAWGs. λ’2 λ1.2 works.5. N 2 λ’N Mirror N 2 1 N 2 N 1 2 1 1 2 Figure 3.
6 Figure 3. the possible mismatch between the input and output IAWGs in the previous scheme is successfully avoided.12 shows a simulation result for the mirror structure for N = 4. 0 5 10 15 Transmission(dB) 20 25 30 35 40 45 50 1549.8 1550 1550. 95 .6 1549. We can always have the peak value at the output ports as long as the phase change requirements in the phase shifters are satisfied. But the advantage of this scheme is quite clear.4 1549.12 Simulation result of the mirror scheme of 1 × (N–1) alloptical switch for N = 4.optical switch.11. By using the same NIAWG for input and output in the scheme shown in figure 3.4 1550. Figure 3. As we mentioned above. three channels can be applied to the structure. The simplicity of the structure is the tradeoff of one less output channel.2 Wavelength (nm) 1550.
which significantly simplifies the device configuration. It is also important to note that the 1 × N switch building block is a planar device with no waveguide crossings so that it can be monolithically integrated into more complicated devices. Since the 1 × N all optical switch is an application of NAWG. the general rule for the design of an NIAWG was thus developed and presented. Finally a unique reflective 1 × (N–1) scheme based on an NIAWG was presented.3. It allows us to find the optimum additional lengths added to the arrayed waveguides of an AWG to construct an NIAWG. we first proposed a uniquely fully functional nonblocking N × N WDM alloptical switch. The theoretical foundation established in this chapter for the design of an anytoany N×N optical wavelength switch is generally applicable to many material 96 . It was found that multiple solutions could be obtained by using the general rule. which is the key element in the designing of an N × N WDM alloptical switch. The comparison between the results obtained by using the general rule and the results from other papers showed that the general rule is practical and the results previously published are special cases under this general rule. any number of interleaved IAWGs can be developed. The 1 × N freely switching functionality for a single wavelength channel was then discussed. Conclusion In this chapter. By applying the general rule. Various simulation results were presented and the feasibility of this proposed switch configuration was discussed. Then we presented a complete theory or method for designing a 1 × N all optical switch.6. A numerical simulation carried out for this structure verified its feasibility and the advantages of this structure were also discussed.
systems and will be useful in the design of future largescale optical integrated circuits. 97 .
Also. which can be made from IIIV semiconductors. because they offer the potential for integration of sources. Guidedwave switching and modulation can be achieved by electrooptical effect where the refractive index of the material can be controlled by the electric field across it. In chapter 3. and modulators onto the same chip [35]. at the order of 103. Carrier Induced Refractive Index Changes in GaN/AlGaN Semiconductors 4. Efficient GaAsAlGaAs depletionmode phase modulators were fabricated in which both electric field and carrier effects were significant [38][39]. we presented the scheme of 1 × N alloptical switch. optical generation of free carriers was applied to control the transmission in InGaAsP epilayers upon InP substrates. switches. we briefly introduced the design of waveguide devices with carriercontrolled refractive indices. where the optical switch was realized by using complete internal reflection. Carrierinduced refractive index changes are also important for laser design [40][41]. detectors. In [37]. the carrierinduced refractive index of the same material system was also roughly measured. In [36]. freecarrierinduced optical switching in InGaAsPInP has been demonstrated [36]. with the change of the current density. due to the freecarrierinduced refractive index decrease at some designed area.1 Introduction In chapter 2. Group IIIV semiconductors are playing an increasingly important role in integrated optics. The 98 . which requires carriercontrolled phase shifters. especially the design of carriercontrolled AWG alloptical switch.4.
we will first review the theory of these three important carrier effects in this chapter. and then we will utilize them to estimate the carrierinduced refractive index changes in GaN and AlGaN. As we have mentioned earlier. AlGaN semiconductors are highly transparent in the infrared area. in which three basic phenomena of IIIV semiconductor materials were discussed: bandfilling. and freecarrier absorption (plasma effect). They can be made into a fast switchable optical PHASAR to realize alloptical switches because their refractive indices are also dynamically adjustable through carrierinjection [29]. it is important to extend these studies into the infrared wavelength region for optical communications. GaAs. Previous studies of carrierinduced refractive index change in GaN semiconductors were mainly focused on the UV and visible wavelength regions near the bandgap. and their refractive indices can be modified by the control of Al concentration. These materials are good candidates for planar lightwave circuits. The efficiency of carrierinduced index change is a critical parameter for switchable PHASAR applications. 99 . since our attention is focused on the application of IIInitridebased photonic devices. In this dissertation. bandgap shrinkage.refractive index change produced by injection of free carriers in InP. and InGaAsP have been theoretically estimated in [35].
4. the electrons in the valence band would require more energy than that needed to overcome the nominal bandgap to be optically excited into the conduction band.1.1) α 0 (E) = 0 100 . The situation in a ptype semiconductor is similar. there is a low density of states in the conduction band so that a small number of electrons can fill the conduction band to an appreciable depth. except that a smaller bandfilling effect happens for a given carrier concentration due to the much larger effective mass of the hole [35]. for a directgap semiconductor. Therefore. In the case of ntype semiconductors. When parabolic band structure is assumed.2. With the lowest energy states in the conduction band being filled. which means a higher density of states. as shown in figure 4. essentially.2 CarrierInduced Refractive Index Change in Semiconductors 4. This phenomenon is also known as the BursteinMoss effect [42][43].1 Bandfilling Bandfilling effect occurs when semiconductors are doped or injected with free carriers.1. a decrease is observed in the absorption coefficient at energies slightly above the bandgap. It is. as shown in figure 4. the optical absorption near the bandgap is given by the squareroot law [35]: α 0 (E) = C E − Eg E (E ≥ Eg) (E < Eg) (4. the decrease in the absorption of the photons with energies slightly above the nominal bandgap of the semiconductor.
due to the existence of both lightand heavyhole bands contributing to the absorption process.1 Energy band structure and bandfilling effect for directgap semiconductor. Absorption of a photon can occur only between occupied valence band states and unoccupied conduction band states. (Ref.1. and C is a constant involving materials parameters. as shown in figure 4. matrix elements between periodic parts of the Bloch states at the band edges. [35]) 101 . is modified as: Conduction Band Ebh Ebl EFC ℏω Eah Eg ℏω EFV Heavy Holes Eal Valence Bands Light Holes Figure 4. In this case. and fundamental constants [43]. the valence bands are degenerated. equation (4.where E = ħω is the photon energy. Eg is the bandgap energy. At direct gap for IIIV semiconductors.1). the equation of optical absorption near the bandgap.
Chh and Clh are given in table 4. mhh and mlh are the effective masses of electrons.3a) (4. which can be obtained from µehh 1 1 = + me mhh 1 1 = + me mlh −1 (4.2) α 0 (E) = 0 where Chh and Clh refer to heavy and light holes.1) to experimental absorption data [44]. The values of C. respectively.1 [35].3b) where µehh and µelh are the reduced effective masses of the electronhole pairs [43].4b) where me.α0 ( E) = Chh E E − Eg + Clh E E − Eg (E ≥ Eg) (E < Eg) (4. The constants Chh and Clh in the above equation can be calculated from the following equations [35]: µ 3/ 2 Chh = C 3/ 2 ehh 3/ 2 µehh + µelh µ 3/ 2 Clh = C 3/ 2 elh 3/ 2 µehh + µelh (4.4a) −1 µelh (4. It can be seen that about twothirds of the absorption results from heavy holes and onethird from light holes in all three materials. and light holes. The values of C for different materials can be estimated by fitting equation (4. heavy holes. respectively. 102 .
0 × 1016 εs n me(m0) mhh(m0) mlh(m0) mdh(m0) µehh(m0) µelh(m0) Nc(cm3) Nv(cm3) χcr(cm3) κ 103 .8 × 1012 1.13 In0.066 0.1 × 1019 7.2 × 1019 1.82Ga0.08 3.45 0.4 × 1012 2.066 0.1: Values of Semiconductor Parameters (T = 300 K) [35]: InP Eg(eV) C(cm1⋅s1/2) Chh(cm1 ⋅s1/2) Clh(cm1⋅s1/2) 1.084 0.6 0.4 × 1016 0.037 4.4 0.42 2.3 × 1012 1.47 0.075 0.5 × 1012 7.51 0.037 4.40P0.3 × 1018 7.3 × 1017 8.6 0.2 × 1017 1.1 × 1012 13.34 4.064 0.046 5.4 3.60 1.8 × 1011 13.086 0.1 × 1017 1.56 0.60 0.53 0.1 3.3 × 1017 GaAs 1.18As0.0 3.Table 4.6 × 1012 12.12 0.2 × 1012 2.057 0.058 0.1 × 1012 1.
5) where N and P are the concentrations of free electrons and holes.6b) The probabilities fc and fv in equation (4. From [35]. respectively.lh e where the subscripts h and l refer to heavy and light holes. respectively.bl ) = 1 + e ( Ebh . the absorption coefficient of an injected semiconductor is [35][45]: α ( N . The values of Ea and Eb are uniquely defined for a given photon energy.6a) (4. α0 represents the absorption of pure materials in the absence of injection.lh Ebh .bl = ( E − Eg ) m +m hh . and f v ( Ea ) is the probability of a valence band state with energy Ea being occupied by an electron. P. al ) = 1 + e ( Eah .lh e mhh.7b) 104 . a state in the conduction band can be occupied by an electron. and a state in the valence band can be empty of electrons. If we denote an energy in the valence band as Ea and an energy in the conduction band as Eb. which were given in [35]: f c ( Ebh.7a) f v ( Eah. In the case as shown in figure 4. al = ( Eg − E ) − Eg m +m hh .In the case of bandfilling. we have: me Eah.5) are given by the FermiDirac distribution functions. f c ( Eb ) is the probability of a conduction band state with energy Eb being occupied by an electron.bl − EFc ) /( k B T ) −1 (4.1. (4. there are two values for each because of the degeneracy of the valence band. E ) = α 0 ( E )[ f v ( Ea ) − fc ( Eb )] (4.al − EFv ) /( k B T ) −1 (4.
and α0 105 . E = ħω.E) is the absorption coefficient of an injected semiconductor. P.P. Nc is the effective density of states in the conduction band such that m k T Nc = 2 e B 2 2π ℏ 3/ 2 (4. N and P are the concentrations of free electrons and holes.8b) where the zero of energy is defined to be at the conduction band minimum. respectively. and T is the absolute temperature. E ) − α 0 ( E ) (4. P.10) We can see that bandfilling influences the optical absorption of the material. E ) = α ( N . This change can be expressed as ∆α ( N . They can be estimated by the Nilsson approximation [35]: N N N EFc = ln 64 + 0.05524 + Nc N c Nc P = − ln Nv N ⋅ 64 + Nc 64 + − (1/ 4) k BT k B T − E g (4.8a) E Fc P P + N 64 + 0.11) where α(N.9b) where mdh is the densityofstates effective mass for holes such that 3/ 3/ mdh = mhh 2 + mlh 2 ( ) 3/ 2 (4.05524 N v v P Nv − (1 / 4 ) (4.9a) and Nv is the effective density of states in the valence bands such that m k T N v = 2 dh B2 2π ℏ 3/ 2 (4.where kB is Boltzmann’s constant. EFc and EFv are the carrierdependent quasiFermi levels.
E = ħω is the photon energy.1 [35].5) and (4. e is the electron charge. E ' ) P dE ' e 2 ∫0 E'2 − E 2 (4.2). and the fitting constant C. The change of the refractive index caused by the injected carrier can thus be expressed as [35]: ∆n( N . E ) = 2cℏ ∞ ∆α ( N . GaAs and InGaAsP are presented in table 4. Combining equations (4.14) shows the change of the refractive index due to the bandfilling effect. Since in all cases. bandfilling decreases the absorption coefficient at a fixed energy. 106 .12) The only materials parameters required for equation (4.13) where c is the speed of light. the energy gap.represents the absorption of pure materials in the absence of injection.12) are the effective masses of electrons and holes. Since the relationship between the refractive index n and the absorption coefficient α is [35]: n( E ) = 1 + 2cℏ ∞ α ( E ' ) P dE ' e 2 ∫0 E ' 2 − E 2 (4.11) yields: ∆α ( N . (4. and P indicates the principle value of the integral.14) Equation (4. we thus find that the refractive index of the material also decreases due to the bandfilling effect. P. The values of these parameters along with other important physical parameters for InP. P. E ) = Chh E − Eg [ f v ( Eah ) − f c ( Ebh ) − 1] E C + lh E − Eg [ f v ( Eal ) − f c ( Ebl ) − 1] E (4. P.
The major material parameters of GaN used in the calculation were extracted from reference [46]. The data for InP are 12. the static dielectric constant was taken for our calculation.2 The absorption coefficient versus the photon energy for the GaN layer grown on sapphire.Absorption coefficient (× 103 cm1) Photon energy (eV) Figure 4. parameter C is obtained by fitting equation (4. In table 4.61 (high frequency). Similarly.5 (static) and 9.2. For GaN materials. The reference [35] took the first one (static) in the calculation.2. T = 293 K [46][47] We have applied the above theory of the bandfilling effect to GaN semiconductor materials. It was noticed that there are two dielectric constants (static and high frequency).1) to the absorption coefficient versus the photon energy for the GaN layer grown on sapphire as shown in figure 4.2 [47]. the static one is 107 . The data is shown in table 4. The data that was not present in [46] can be calculated with the equations given above.
9 (Wurtzite) or 9.13 is based on [35].9 2.18 0.4 0.5659 × 1019 6. which needs to be verified in the future.335 0.7 (Zinc Blende).either 8.9 for Wurtzite structure.3 1. Table 4.49 0.2: Values of GaN Semiconductor Parameters (T = 300 K): Eg(eV) C(cm1⋅s1/2) Chh(cm1 ⋅s1/2) Clh(cm1⋅s1/2) 3.2 1. The parameter κ = 0.8 × 1013 1.2429 × 1018 4.79 × 1013 1.39 2.13 εs n me(m0) mhh(m0) mlh(m0) mdh(m0) µehh(m0) µelh(m0) Nc(cm3) Nv(cm3) χcr(cm3) κ 108 .01 × 1013 8. So we have taken 8.6 × 1018 0.12 2.
one of the authors of [47].The absorption coefficient versus the photon energy for the GaN layer grown on sapphire is different at different temperatures.9 4 Figure 4. Wei Shan) Using equation (4.3 The absorption coefficient versus the photon energy for the GaN layer grown on sapphire.7 3.4.) From the figure.1 3. and assuming that N = P.6 Photon Energy 3. (It was also assumed that the freecarrier density is entirely due to injection. at room temperature we can obtain ∆α as plotted in figure 4. Wei Shan.5 3. T = 10 K (Provided by Dr.4 3.3 shows this relationship at T = 10 K.3 3. This data was generously provided by Dr. GaN Absorption 6 5 4 3 Alpha 2 1 0 1 3.12). Figure 4.2 3. we can see that the change in absorption 109 .8 3.
4 Change in absorption due to electronhole injection and the resulting bandfilling in GaN.5 2 1. Maximum values for ∆α range from 79 cm1 for 1016 /cm3 to 4.14) to numerically calculate (integrate) the change of refractive index (∆n) by using Simpson’s rule.14). we can apply equation (4.5 3 2. we can see that only when ∆α is within a few tenths of an electron volt of Eg does it make a significant contribution to ∆n. Note: the vertical values are in logarithmic notation.5 4 3. With ∆α being calculated as above. and under the same conditions. 5 4.begins at the bandgap and decreases for energies well above the gap. since the decay in ∆α for energies well above Eg is amplified by 110 .5 1 0.5 0 N=P=1019/cm3 1018 1017 1016 1 2 3 4 5 6 7 Photon Energy (eV) Figure 4.5 × 104 cm1 for 1019 /cm3. From equation (4.
0 ×1018. 3. 1. The sharp peaks in the ∆n near the bandgap predicted by the theory would not be seen in experiments. In reality. Figure 4.the large denominator in the integral. N = P =3. abruptly going to zero at Eg. 1. 111 .0 ×1018.5.5 Change in refractive index due to the bandfilling effect of GaN. The results of ∆n due to the bandfilling effect in the GaN materials are shown in figure 4. because they are the results of the assumption that the unperturbed absorption follows the squareroot law.0 ×1017.0 ×1019 cm3. materials exhibit absorption extending to energies below the nominal bandgap.
the value is reduced significantly as the wavelength increases. (Ref. results from phonons. From the figure. [34]) 112 . 0.1 0. impurities.6 Index change versus signal wavelength due to the bandfilling effect in GaN. and 6 × 1019 cm −3 (dotted line).2 400 600 800 1000 1200 1400 1600 Wavelength (nm) Figure 4.6 to show the bandfilling effect at three different carrierinjection levels: N = 7 × 1018 cm −3 (solid line).This absorption tail. have a significant effect on the estimation of the ∆n for energies of long wavelength that are substantially below the bandgap. dotted line: N = 6 ×1019 cm3. dashed line: N =3×1019cm3. however. we have used figure 4. and internal electric fields [35][48]. excitons. known as the Urbach edge. Solid line: N = 7×1018cm3.1 ∆n 0 0. To illustrate the change of refractive index ∆n versus wavelength more directly. 3 × 1019 cm −3 (dashed line). we can see that because carrierinduced index changes are largely asymmetrical around the material bandgap. The presence of this tail does not.
5 0 1 2 3 4 5 6 7 8 9 10 Carrier density change (1018/cm3) Figure 4.5 1 1.8 eV.In figure 4.1018 cm3.7. (4. the refractive index change as a function of carrier density of GaN for fixed photon energy of 0. has been plotted.5 ∆n (103) 2 2.24 × 10 −22 χ . This can be expressed by ∆n(1550nm ) ≅ −4.5 4 4.5 3 3.7 Change of refractive index versus carrier density at 1550 nm for GaN. we see that ∆n is linear in carrier concentration in the range of 1016. corresponding to the photon wavelength of 1550 nm.7. where χ = N = P. 113 .15) 0 0. From figure 4.
while a gas of interacting holes with higher level is formed at the top of the valence band. The increase of freecarrier concentration decreases the energy of the conduction band and increases the energy of the valence band. which generates a red shift of the absorption curve. The value of xcr adopted in [35] is expressed as: m χ cr ( x) = 1. a value χ cr ≅ 7 × 1016 / cm3 was predicted for nGaAs. The following model can be adopted for this shrinkage [35]: κ ∆E g ( x) = εs ∆E g ( x) = 0 x 1 − x cr 1/ 3 x ≥ xcr x < xcr (4. the predicted value was χ cr ≅ 6. This causes the shrinkage of the bandgap. and xcr is the critical concentration of free carriers. This is because the electron wave functions overlap. but not by doped carriers.17) with xcr in cm3. When they overlap.16) where κ is a fitting parameter.4ε s 24 3 (4. Basically.17).6 × 1018 / cm3 .4. bandgap shrinkage is caused by injected free carriers.6 ×10 e 1. the bandgap shrinkage occurs when the injected free carriers have a large concentration in which the correlation effects among the free carriers become significant. x is the concentration of free electrons or holes.2. By using equation (4.2 Bandgap Shrinkage On the other hand. εs is the relative static dielectric constant of the semiconductor. For GaN. The change in absorption due to shrinkage is predicted to be: 114 . a gas of interacting electrons with lower energy level is formed at the bottom of the conduction band.
0.5 GaN Bandgap Shrikage N = P = 6 × 1019 / cm3 3 × 1019 7 ×1018 1 1.5 3 3.8 Change of refractive index of GaN due to electronhole injection and the resulting bandgap shrinkage [calculated from (4.09 0.18) and (4.03 0.8.∆α ( χ .08 0.16)].06 0.18). 3 × 1019 and 6 × 1019 cm3 are given in figure 4.18) Equation (4. The result for GaN with electronhole carrier concentrations of 7 × 1018.04 0.02 0.14) to the ∆α in equation (4.5 4 4.18) predicts that ∆α is always positive and largest near the bandgap since ∆Eg is negative [from equation (4.5 PHOTON ENERGY(eV) Figure 4.14)]. E ) = C C E − E g − ∆E g ( χ ) − E − Eg E E (4. The change in refractive index caused by the bandgap shrinkage can be calculated by applying equation (4. 115 .5 2 2.01 0.07 0.05 0.01 0 0.
and the value is reduced significantly as the wavelength increases.01 ∆n 0 0.01 400 600 800 1000 1200 1400 1600 Wavelength (nm) Figure 4. [34]) 4. 3 × 1019 cm −3 (dashed line) and 6 × 1019 cm −3 (dotted line). 0.02 0. we can see that carrierinduced index changes are largely asymmetrical around the material bandgap. From the figure. (Ref. a free carrier can absorb a photon and move to a higher energy level within 116 .2. Solid line: N = 7×1018cm3. dashed line: N =3×1019cm3. we have used figure 4.9 to show the effect at three different carrierinjection levels: N = 7 × 1018 cm −3 (solid line). dotted line: N = 6 ×1019 cm3.9 Index change versus signal wavelength due to bandgap shrinkage effect of GaN.To illustrate the change of refractive index ∆n versus wavelength more directly in the bandgap shrinkage of GaN materials.3 FreeCarrier Absorption Besides the interband absorption due to the effects of bandfilling and bandgap shrinkage.
we can see that the sign of ∆n from plasma effect is always negative. and N and P are the concentrations of free electrons and holes. Equation (4. respectively. and light holes. mhh.19) where λ is the photon wavelength. the plasma effect increases as the photon energy decreases below the bandgap. Unlike the bandfilling and bandgap shrinkage calculations.19) can be changed into a more convenient form [35]: − 6. The corresponding change in refractive index is given by [35][49]: e 2λ 2 N P ∆n = − 2 2 + 8π c ε 0 n me mh (4.20).19). This adds to the bandfilling effect for energies below the bandgap.a band. Figure 4. It should be noted that the energy should be expressed in eV and N and P in cm3 in order to use equation (4.19) or (4. a numerical integration of absorption data is not necessary in this case.20). as shown in equation (4. E = ħω.10 shows the refractive index change of GaN due to the plasma effect. 117 . respectively.20) where n is the refractive index of the material. This is referred to as freecarrier absorption or the plasma effect. heavy holes. and mlh are the effective masses of electrons. me. Because of the λ2 dependence.9 ×10 −22 ∆n = nE 2 1 N m1 / 2 + mlh/ 2 hh 3/ 2 + P 3 me mhh + mlh/ 2 (4. From either equation (4.
dashed line: N =3×1019cm3.0 0. [34]) 4. Based on the results we obtained in previous subsections.2 400 600 800 1000 1200 1400 1600 Wavelength (nm) Figure 4. Figure 4.1 0.10 Index change versus signal wavelength due to the plasma effect of GaN. bandgap shrinkage. and both values are reduced significantly with the wavelength 118 .05 ∆n 0.11 shows an example of the combination of changes in the refractive index from bandfilling.15 0. and freecarrier absorption for injection into GaN when N = P = 3 × 1019 /cm3. carrierinduced index changes are large around the material bandgap.4 Combination of Effects The three carrier effects mentioned above were assumed to be independent. Solid line: N = 7×1018cm3. A simple sum of the effects can be used to estimate the total change in the refractive index. (Ref. dotted line: N = 6 ×1019 cm3.2. we can see that for bandfilling and bandgap shrinkage.
In the infrared wavelength region in which we are interested. for carrier concentrations less than about 1017cm3.3 µm. bandfilling dominates. N = P = 3 × 1019/cm3.11 Predicted changes in refractive index of GaN from the combination of the three effects (the dashed line). For higher 119 . Bandgap shrinkage effect is important over the range of 1017≤ χ ≤ 5×1017 cm3. yielding a negative ∆n. In previously published results for InP material [35]. freecarrier absorption is the dominant effect for carrierinduced refractive index change. Figure 4.increase. approximately canceling the bandfilling and the plasma terms at wavelength 1.
1 0.05 0 0. Our results reveal that the dominant effect is the free carrier absorption in this region. Comparing these results with our results. This makes bandfilling and bandgap shrinkage effects less influential in this region. (dotted line).05 0.12 Overall index change versus wavelength calculated at three carrier density levels: N =7×1018cm3 (solid line). bandfilling and plasma effects dominate.34 eV). 120 .carrier concentrations. GaN material has a larger bandgap energy (3. 0. yielding a large negative ∆n. For wavelengths in the infrared region. which makes bandfilling and bandgap shrinkage mostly influential in short wavelength regions. the photon energy is far below the bandgap energy. we noticed that the difference is because InP has a lower bandgap energy (1.39 eV).15 0. which makes bandfilling a dominant effect and bandgap shrinkage a big effect at some carrier concentrations. In our examples. 3×1019cm3 (dashed line) and 6 ×1019.2 400 600 800 1000 1200 1400 1600 Wavelength (nm) Figure 4.1 Combined effect Index change (∆n) 0.
In order to investigate the feasibility of switchable optical PHASAR operating in the infrared using GaN semiconductor. where a carrier density of 2 × 1018 cm3 causes approximately a 2% index change.12 shows the overall refractive index change versus wavelength combining all three effects. 0 Index change at 1550nm 0. For optical PHASAR applications.Figure 4. we studied the carrierinduced refractive index change versus injected carrier density evaluated at wavelength 1550nm.08 0 2 4 6 8 10 Carrier density change (1018/cm3) Figure 4. the index change of the waveguide should be large enough such that the optical length can be changed by half of the signal 121 .04 0.02 0.13.13 Index change versus carrier density calculated at wavelength 1550nm.06 0. The result is shown in figure 4.
0775%.wavelength.4. The numerical values obtained through this study provide us with an important guideline for optical device design. which is generally feasible. The comparative study of different contributing effects is important for future device designs and for optimizations in a variety of applications. Consider a 1 mm electrode on the waveguide and the optical signal at 1550 nm wavelength. We extended the investigation into the infrared wavelength region for application in optical communications. According to Fig. 122 . we estimated theoretically the sensitivity of the carrierinduced index change in AlGaN semiconductor materials. The minimum required index change should be approximately 0. In this chapter. this can be achieved by a carrier density change of 1×1018 cm3.13.
5. GaN Material Design and Experiments
5.1 Introduction
The configurations of basic optical devices have been discussed in Chapter 2 and the configurations of alloptical devices have been discussed in Chapter 3, where the details of optical materials used for constructing the devices were not considered. In Chapter 4, theoretical calculations and analysis were focused on exploring the physical characteristics of semiconductor materials. In this chapter, we will use the results shown in Chapter 4 and design functional photonic devices with GaN semiconductor materials, which belong to IIInitrides material group. IIInitrides have low attenuation in the nearinfrared wavelength region due to their wide bandgaps, while as semiconductors their refractive indices can be modulated by carrier injection. IIInitrides are also well known for their ability to operate at high temperatures, high power levels and in harsh environments. These characteristics make IIInitrides the ideal candidates for tunable optical phasedarray (PHASAR) devices in optical communications. We will first summarize optical waveguide theory, in which the basic concept of a single mode waveguide and the condition required in realizing it will be presented. We will then discuss the rectangular dielectric waveguide theory in which two methods, the Marcatili’s method and the effective index method, will be presented. The mode guidance conditions obtained from these two methods will be compared. The beam propagation method (BPM) will then be introduced. BPM is a
123
powerful numerical simulation tool to deal with mode calculations, field distributions and transmissions in waveguides with axial variations. Then a BPM softwareBeamPROP with which we can design a specific single mode waveguide and other photonic devices will be introduced. Using this simulation tool, we have designed various optical devices including single mode optical waveguides, waveguide couplers and AWGs. The devices were fabricated by our collaborator at Kansas State University. We developed an experimental setup to systematically characterize these devices and compare the measured results with the theoretical predictions. Several important effects such as waveguide loss and birefringence are carefully studied and measured. In the last section of this chapter, we will briefly discuss the thermal stability of the refractive indices of GaN materials.
5.2 Optical Waveguide Theory
Optical waveguide is the basis for optical devices. Rectangular dielectric optical waveguide with layered structure is one of the most popular waveguide categories, which is utilized to construct complicated photonic devices in planar lightwave circuits. It is necessary to briefly review optical waveguide theory before we start to introduce device design. In this section, we will discuss general theory of optical waveguide, especially the rectangular dielectric optical waveguide.
124
5.2.1 Symmetric Dielectric Slab Waveguides The dielectric slab waveguide theory is very important since it provides the basis for dielectric waveguide design and also guidelines for more complicated waveguide structure analysis [50]. Figure 5.1 shows a slab waveguide in which the wave propagates in the zdirection and the width of the waveguide w is much larger than the thickness d. The field dependence on y is negligible in this case. From the wave equation (∇ 2 + ω 2 µε )E = 0 we can find the solutions for the fields everywhere. (5.1)
x
w
z n n1 n y
µε
µ 1ε 1
d
µε
Figure 5.1 A symmetric dielectric slab waveguide, where xy is the crosssection plane and z is the propagation direction.
We assume that the waveguide in figure 5.1 is symmetric. The permittivity and the permeability are ε and µ, respectively, for x ≥ d/2, and ε1 and µ1 for x < d/2.
125
So we have evenmode and oddmode solutions for this structure. For TE polarization,
ˆ where E = yE y , we can have the following equations by solving equation (5.1) [50] k x2 + k z2 = ω 2 µ1ε 1
(for x < d/2) (for x ≥ d/2)
(5.2) (5.3)
− α 2 + k z2 = ω 2 µε
α
µ d d d = k x tan k x 2 µ1 2 2 µ d d d = − k x cot k x 2 µ1 2 2
TE even modes
(5.4a)
α
TE odd modes
(5.4b)
where kx and kz are the x and z components of wave propagation constant k respectively. kz is the propagation constant of the guided mode in the zdirection. Due to the continuity requirement of kz across the waveguide/cladding boundary at (x = ±d/2), equations (5.2) and (5.3) yield,
d d d 2 α + k x = ω (µ1ε 1 − µε ) 2 2 2
2 2 2
(5.5)
kx and α, can be found by combining equation (5.5) with either (5.4a) or (5.4b) and using graphical method on the (αd/2) vs (kxd/2) plane. Figure 5.2 shows this graphical solution, where the radius R is obtained from equation (5.5)
d d R = ω µ1ε 1 − µε = k 0 n12 − n 2 2 2
(5.6)
where n1 = µ1ε 1 /( µ 0ε 0 ) is the refractive index inside the guide, n = µε /( µ 0ε 0 ) is
the refractive index in the cladding and k 0 = ω µ 0ε 0 = ω / c is the freespace wave
126
2 A graphical solution for determining α and kx for the modes in symmetric dielectric slab waveguide. kz can be obtained either from equation (5.7a) 127 .2) or from equation (5.number. After kx and α are graphically solved. (after [50]) −α ( x − d / 2 ) C0e E y = e ik z z C1 cos k x x C 0 e +α ( x + d / 2) Or d 2 d x≤ 2 d x≤− 2 x≥ (For even modes) (5. The electric fields will have the following expressions d α 2 d R = k0 n12 − n 2 2 ( ) TE 0 TE1 TE 2 1/ 2 π 2 R π 3π 2 d kx 2 Figure 5.3).
6. we can see that (k 0 d / 2) n12 − n 2 < π / 2 is the condition for single mode operation.8) There are (m + 1) guided TE modes in the dielectric slab. −α ( x − d / 2) C0e ik z z E y = e C1 sin k x x + α ( x + d / 2) −C0e d 2 d x≤ 2 d x≤− 2 x≥ (For odd modes) (5. So the TE0 mode has no cutoff frequency.2. From equation (5. 128 . we can get the refractive index difference required for a single mode operation 1 λ0 ∆n < 8n1 d 2 (5. for example.035 for singlemode operation in the waveguide.8).9) Here we have also assumed that n1 is very close to n to get this equation. With equation (5. we can see that the cutoff condition occurs at R = mπ/2 for the TEm mode. Under this condition. When the following condition is satisfied m π 2 < R = k0 d π n12 − n 2 < (m + 1) 2 2 (5.9). λ0 = d and n1 = 3. if. if the wavelength λ0 in free space and the waveguide dimension d are given.7b) where C0 and C1 are integration constants and can be determined with the boundary conditions of the electric fields. we can get ∆n < 0. From figure 5.
(after [50]) 129 . we can also get the lowfrequency limit and the highfrequency limit of kz.3 An asymmetric dielectric slab waveguide.From figure 5. k z = ω µ 1ε 1 = ωn1 c (5. X x=0 0 µ ε ε1 ε2 Z 1 x=d 2 µ1 µ2 Figure 5. respectively. At the lowfrequency limit.10) At the highfrequency limit.2. we may obtain the results by the duality principle: replacing the field solutions E and H of the TE modes by H and –E. µ by ε and ε by µ.12) For TM polarization. The effective index for the guided mode is defined as neff = kz k0 (5.11) The propagation constant kz starts from ω µε at cutoff and increases to ω µ1ε 1 as the frequency goes to infinity. [50] k z = ω µε = ωn c (5.
2. 130 .2. respectively. 1.15) For the wave to be guided in the core. we can get the electric field for TE polarization as cos φe −αx x≥0 ik z z E y = C1e cos(k x x + φ ) −d ≤ x≤0 +α 2 ( x + d ) cos(− k d + φ )e x ≤ −d x (5. and − α 2 + k z2 = ω 2 µε k12x + k z2 = ω 2 µ 1ε 1 2 − α 2 + k z2 = ω 2 µ 2 ε 2 (x ≥ 0) (d ≤ x ≤ 0) ( x ≤ . When ε2 > ε (µ = µ1 = µ2). .) µk1x µ 2 k1x (TEm mode) (5. ε1 has to be larger than both ε2 and ε.13) where C1 is a constant.2 Asymmetric Dielectric Slab Waveguides If the dielectric constant in the substrate ε2 is different from that of ε in the top medium or µ2 ≠ µ.14b) (5.1.2.d) (5. In a similar method as in 5.14a) (5.3.3. the structure is asymmetric as is shown in figure 5..16) where k 0 = ω µ 0ε 0 = ω / c .14c) and k1x d = tan −1 µ1α µα + tan −1 1 2 + mπ (m = 0..5. the cutoff frequency is determined by 2 k 0 d n12 − n 2 = tan −1 2 µ1 n2 − n 2 2 µ n12 − n2 + mπ (5. α and α2 are two decay constants in region 0 and 2 in figure 5.
x n3 n4 d n1 w n5 n2 y Figure 5.1 Marcatili’s Method By first introducing the mode theories.3 Rectangular Dielectric Waveguides 5. (after [50]) 131 .2. we can again apply the duality principle.4 A rectangular dielectric waveguide. we are now prepared to discuss the rectangular dielectric waveguide theory.For TM polarization.17) 5. Similarly. we have the guidance condition as k1x d = tan −1 ε 1α εα + tan −1 1 2 + mπ εk1x ε 2 k 1x (TMm mode) (5.3. This theory is relevant because most waveguides have finite dimensions in both x and y directions.2.
Figure 5.4 shows a rectangular dielectric waveguide, where it is assumed w ≥ d. Marcatili’s method can be applied to this waveguide [51][52]. In order to obtain closedform results, a few approximations have to be made. It was found that there are two possible mode classifications for this waveguide, which are 1. HEpq modes: Hx and Ey are the dominant components. 2. EHpq modes: Ex and Hy are the dominant components. The Maxwell’s equations in the following forms are used to initiate the analysis.
H=
1 iωµ
∇×E
1 ∂ ∂ ∂ ∂ ˆ ˆ = x E z − ik z E y + y ik z E x − E z + z E y − E x ˆ iωµ ∂y ∂x ∂x ∂y
(5.18)
E=
1 ∇×H − iωε −1 ∂ ˆ = x H z − ik z H y + iωε ∂y
∂ ∂ ∂ ˆ ˆ y ik z H x − H z + z H y − H x ∂x ∂y ∂x
(5.19)
∂ ∂ E x + E y + ik z E z = 0 ∂x ∂y ∂ ∂ H x + H y + ik z H z = 0 ∂x ∂y
(5.20)
(5.21)
Here a constant permittivity in all regions is assumed. By using the above equations using the following approximate assumptions: 1) ignoring the boundary conditions for variables with small values, 2) for ky << k1, k3 and k5, for HEpq modes, the following two important guidance conditions can be found:
132
HE00 or EH00
HE01 or EH01
HE10 or EH10
x
HE02 or EH02
HE11 or EH11 y
Figure 5.5 Intensity patterns in a rectangular waveguide where w/d = 2, the refractive index of the waveguide n1 = 1.5, and the background medium has n0 = 1. (after [50])
133
k x d = tan −1
µ1α 3 µα + tan −1 1 5 + pπ µ 3k x µ5k x
ε 1α 2 εα + tan −1 1 4 + qπ ε2k y ε 4k y
(5.22)
k y w = tan −1
(5.23)
Similarly, the following two important guidance conditions are found for EHpq modes:
k x d = tan −1
ε 1α 3 εα + tan −1 1 5 + pπ ε 3k x ε5kx µ1α 2 µα + tan −1 1 4 + qπ µ 2k y µ4k y
(5.24)
k y w = tan −1
(5.25)
It should be noted that there were some approximations made to get the above equations [50]. The conditions include assuming Hx = 0 and kx << k1, k2 and k4. So Marcatili’s method can be used to obtain the approximate field distribution and mode information. Figure 5.5 shows the intensity patterns in a rectangular waveguide where
w/d = 2, the refractive index of the waveguide n1 = 1.5, and the background medium
has n0 = 1. Only one set of intensity patterns is shown since the intensity pattern of the HEpq mode is almost indistinguishable from that of the EHpq mode.
5.2.3.2 The Effective Index Method
The Marcatili’s method is essentially an approximation. In this subsection, we are going to introduce the effective index method, which is another technique to find the propagation constant of a dielectric waveguide. Now we illustrate this technique by applying it to the rectangular waveguide. The process of this method is clearly depicted in figure 5.6. Here only HEpq modes are considered for the illustration.
134
(a) A rectangular dielectric waveguide x n8 n3 n7
n4 0 n9
d
n1 w n5
n2 y
n6
(b) Step one: solve for each y the effective index neff ( y ) i)
n8 n4 n9
ii)
n3 n1 n5
iii)
n7 n2 n6
(c) Step two: solve the slab waveguide problem using neff ( y )
neff ( y ) neff,1 neff,4 neff,2
neff,4
0
neff,1 w
w
neff,2
y
Figure 5.6 (a) A rectangular dielectric waveguide to be solved using the effective index method. (b) Solve the slab waveguide at each fixed y and obtain an effective index profile neff ( y ) . (c) Solve the slab waveguide problem with the neff ( y ) . (after [50])
135
i ε 0 .Step 1. The field distribution obtained from step 2 is only a function of y. For the first column (y > w) and third column (y < 0) in figure 5. This is the case of asymmetric dielectric slab waveguide that we discussed in section 5.26) From the solutions of the slab waveguide problem. Take the second column in figure 5. Based on equation (5.17). y ) ≃ F ( x.i = neff. We can see that the field distribution obtained from step 1 is a function of x and y. we can get the propagation constant and therefore the effective index neff. From equation (5.1 ≈ n2 and neff.28) 136 .15). So we can denote this as F(x. we can get k1 y d = tan −1 ε eff. n7. we can get similar solutions as long as n2 > n6.6(b). the total electric field Ey can be expressed as E y ( x. we can have the guidance condition for TE modes as k1x d = tan −1 µ1α 3 µα + tan −1 1 5 + pπ µ3k1x µ5 k1x (5. y). Otherwise we can assume neff. Note this is the guidance condition for TM modes since the Ey component is perpendicular to the slab boundaries this time.27) 2 where ε eff. Solve the slab waveguide problem as shown in figure 5. It is a slab waveguide with refractive index n1 inside and n3.6(c). Step 2. which can be denoted as G(y).1 4 + qπ ε eff.4 ≈ n4. n5 outside the waveguide.6(b). n9.2 k1 y ε eff.1.4 k1 y (5.2.2. y )G ( y ) (5. and n4 > n8.1α 2 ε α + tan −1 eff. Therefore.
and tapered waveguides are all indispensable components in constructing integrated optical circuits. BPM is such a powerful tool that it can be used to precisely evaluate the propagation characteristics of all those indispensable components mentioned above [53].27). polarization splitters [62]. the curvilinear directional couplers.27) with equations (5. The effective index method usually has a better agreement with the numerical method. which were obtained with Marcatili’s method. multimode waveguide devices [56][57].3 Beam Propagation Method The above theory only discussed the straight rectangular waveguide. we can see that they are similar except that the effective permittivities are used in equation (5. branching and combining waveguides. Sshaped bent waveguides. Beam propagation method (BPM) was developed for this purpose.Comparing equations (5. Comparing with the results of numerical approach from the fullwave analysis. electrooptic modulators [55]. especially near cutoff [50].23). optical interconnects [61]. optical delay line circuits [58][59]. novel ybranches [60]. BPM is also applied to model channeldropping filters [54]. So a more powerful method needs to be developed to deal with all these axial variations in waveguides. the results from both Marcatili’s method and the effective index method agree very well.22) and (5. to calculate the effective refractive index in the waveguide and to illustrate the transmission along a straight waveguide. Not to mention that BPM can be used to design single mode waveguides. However. 5.26) and (5. and waveguide 137 .
z ) E = 0 2 ∂x ∂y ∂z (5.1 Finite Difference Method Analysis of Planar Optical Waveguides We start from the threedimensional scalar wave equation.polarizers [63].29) The electric field E(x.3. Here we will briefly introduce the FDM analysis on optical waveguides. etc. Generally a differential equation of the form 138 . y.32) Here. z) and the rapidly varying term of exp(jkn0z). which is the basis of BPM [53] ∂2E ∂2E ∂2 E + 2 + 2 + k 2 n 2 ( x.29). z ) exp(− jkn0 z ) (5. ∂ 2φ / ∂z 2 has been neglected by assuming ∂ 2φ / ∂z 2 ≪ 2kn0 ∂φ / ∂z .31) [53] ∂φ 1 ∂ 2φ k 2 =−j − α ( x. Substituting equation (5.31) For the lightwave propagation in slab waveguides. y . we have ∇ 2φ − j 2kn0 ∂φ 2 + k 2 (n 2 − n0 )φ = 0 ∂z (5. This assumption is called the paraxial approximation or Fresnel approximation.30) where n0 is the refractive index in the cladding. 5. we can have the twodimensional scalar wave equation from equation (5.30) into equation (5. y . z ) = φ ( x. z ) − n0 ]φ 2 ∂z 2kn0 ∂x 2n0 (5. z) can be separated into two parts: the axially slowly varying envelope term of φ(x. y. BPM can be developed either based on the fast Fourier transform (FFT) or based on the finite difference method (FDM). z )φ − j [n 2 ( x. E ( x. y .
the electric field profile φim at z = zm = m∆z (m = 1 − M ) is successively 139 .and zaxis directions are N (i = 0N) and M (m = 0M). Combining equations (5.36).35) B( x.32)(5. So φim represents the electric field amplitude at x = xi = i∆x and z = zm = m∆x. respectively. z ) + + φ m − 2φim + φim1 φim1 1 − 2φim +1 + φim1 1 1 ∂ 2φ + + → Aim +1/ 2 i −1 + − ∂x 2 2 ( ∆x ) 2 ( ∆x ) 2 (5. z ) 2 + B( x. The number of divisions along the x. z )φ ∂z ∂x can be approximated by the finite difference method as ∂φ φ m +1 − φim → i ∂z ∆z A( x.34) (5. we can have the following simultaneous equations: −φim1+1 + simφim +1 − φim1+1 = φim1 + qimφim + φim1 ≡ dim − + − + (i = 1 − n − 1) (5.and zaxis directions.∂φ ∂ 2φ = A( x.38) 2 qim = −2 + k 2 (∆x) 2 [(nim +1/ 2 )2 − n0 ] + j 4kn0 (∆x) 2 − j 2kn0 (∆x )2 α im +1/ 2 ∆z (5.36) where ∆x and ∆z are the calculation steps in x.37) where s = 2 − k (∆x) [(n m i 2 2 m +1/ 2 2 i 4kn0 (∆x)2 ) − n ]+ j + j 2kn0 (∆x) 2α im +1/ 2 ∆z 2 0 (5.and zaxis directions and subscripts i and m are sampling points along the x.39) when the initial electric field distribution φim =0 (i = 0 − N ) at the input position is given. z )φ → 1 m +1/ 2 m+1 Bi (φi + φim ) 2 (5.33) (5. respectively.
41c) By solving equation (5. bi = sim . l ∆y .42) can be approximated by the finite difference form as 140 . y = l ∆y . we can get (N .41b) cN −1 =0 (i = 2 − N − 2) m bN −1 = s N −1 − exp(− jκ right ∆x). Combing those boundary conditions into equation (5.1) unknowns + + −aiφim1 1 + biφim +1 − ciφim1 1 = d im − + (i = 1 − n − 1) (5.42) As in the previous section. we can have 1 ∂φ k 2 =−j ∇ 2φ − α ( x. z )φ − j [n 2 ( x.3.40) where a1 = 0. (5.40).43) By using the above notation. z ) − n0 ]φ ∂z 2kn0 2n0 (5.31). there are only (N . (5. and z = m∆z is expressed by φ (i∆x. so from equation (5.37) for (N + 1) unknown variables. equation (5. y. ci =1 c1 =1 (5.1) equations in equation (5.37).1) simultaneous equations for (N .calculated by using equation (5. 5. However. b1 = sim − exp(− jκ left ∆x). ai = 1.2 FDMBPM Analysis of Rectangular Waveguides This is in threedimensional case. y . the electric field at the grid point of x = i∆x . m∆z ) = φiml . aN −1 = 1. we can get the field distribution in the waveguide.41a) (5. So the transparent boundary conditions at the input and output ends should be considered.37).
we introduced the basic principles of BPM.l − 2φiml + φim1.44) can be solved by using alternatingdirection implicit finite difference method (ADIFDM) [53]. fast Fourier transform (FFT) BPM is applied since the paraxial approximation has not been used in this method.3. m + 2 − n0 1 k2 B = − jkn0α i. BPM is very powerful as we mentioned earlier.l + φim1.l . + l 2(∆x )2 2(∆y )2 (5.1 − 2φiml +1 + φim1.l where A= j 2kn0 ∆z (5. .3. .45) 2 1 2 n i. 5. . .44) +1 + φiml −1 − 2φiml + φiml +1 + φiml −1 − 2φiml +1 + φiml +1 . l .1 − .3. In this 141 . Therefore this method is not very good for analyzing light beam propagation in a highly tilted waveguide from the initial propagation direction of the input signal. It should be noted that the paraxial approximation (or the Fresnel approximation) has been adopted in the above FDMBPM analysis. The transparent boundary conditions are also applied.l . In that case. . The details of FFTBPM can be found in [53]. It can be used to do mode calculation and analyze the field distributions and transmissions in waveguides and devices.A(φim+1 − φim ) = .l + + + φim1.46) Equation (5. 1 +B (φim +1 + φim ) . l . + − l .3 Straight Waveguide Design with BPM Software 5. m + + 2 2 (5.1 Mode Calculation with BPM Software In the previous subsection.
(b) The illustration of the cross section of waveguide design. (c) Vertical cut of index profile of the rectangular waveguide.7 The design of a layered rectangular waveguide with BeamPROP. BeamPROP is a highly integrated CAD and simulation program for the design of photonic devices and photonic integrated circuits [64]. The refractive index is illustrated in different colors. (a) Figure 5. We have also run the simulations with BeamPROP to analyze the field distributions and the transmission along the waveguides and around the devices. 142 . (a) Refractive index distribution. It incorporates advanced finitedifference beam propagation techniques for simulation. we are going to briefly introduce a BPM software.subsection. and a graphical user interface for circuit layout and analysis. BeamPROP with which we have designed single mode layerstructured waveguides and other optical devices.
the sides of the layered rectangular waveguide.7(a) shows a userfriendly window of layer table editor. From the table. Figure 5. The cover index is 1. second and third layer has refractive index 2. 2. and the Sapphire surface beyond the waveguide is air. This is a typical index value of Sapphire. The first. These are the refractive indices of Erbium doped AlGaN materials with different Al concentration.263.7 shows the design of a layerstructured rectangular waveguide with BeamPROP. 2. which means the media covers the third (top) layer.7 (b) 143 .263. respectively.Figure 5. we can see that the substrate of the waveguide has refractive index 1.355.65. Figure 5.
01. with 0.5 µm. it can be seen that the rectangular waveguide has a width of 3 µm and a total height of 1. where x is the value of the horizontal direction as in 144 .7 (c) Figure 5. From the figure. The figure also illustrates the different refractive indices of different layers in different colors. It shows the vertical cut of index profile at x = 0.7(b) illustrates the cross section at the input side of the layerstructured rectangular waveguide.7(c) shows another function of the BeamPROP. This helps to verify the dimensions of the design.Figure 5.5µm high for each layer. Figure 5.
7(b). (a) Figure 5. The vertical cut can be made anywhere along the horizontal direction. we used wavelength 980 nm as signal wavelength. Figure 5.figure 5.8 shows our simulation results. The power distribution in cross section of the waveguide is illustrated 145 .8 The mode calculation of a layered rectangular waveguide with BeamPROP. so that we can have any vertical refractive index profile in which we are interested. We have set the length of the layerstructured straight rectangular waveguide as 1. The refractive index is illustrated in different colors.000 µm and run the simulation with BeamPROP to calculate the mode solution. (c) Vertical cut of index profile of the rectangular waveguide. (a) The basic mode.8(a) shows the fundamental mode of the waveguide. (b) The illustration of the cross section of waveguide design. In the simulation. Figure 5.
Figure 5.with different colors. Also it can be seen that the effective refractive index is calculated for this mode propagation.8 (b) 146 .
147 . It can be seen that the waveguide has multi modes. we can have different results of mode calculation. we can obtain single mode waveguide for the wavelength we choose. By simply adjusting the dimensions of the width and the height of the waveguide.8 (c) Figure 5. We will show this in the next subsection.Figure 5.8(b) and (c) show the other calculated modes of the waveguide with BeamPROP. Also we can see that the effective refractive index is calculated for each mode. By proper adjusting the dimensions of all the layers.
3. Figure 5. Based on these results. the value of the core refractive index was 148 .5. we designed layered singlemode optical waveguide and the related optical devices with BeamPROP.9 shows schematically the cross section of the designed straight singlemode waveguide using GaN as the core. These values will be given out later in this chapter (figure 5. AlxGa1xN as the cladding and Sapphire as the substrate.9 The cross section of the design of GaN singlemode waveguide.12(a)). In our simulation. The previous work we did gives the values of refractive indices of GaN and its alloys AlxGa1xN with Al molar fraction x varying. Y 3µm l Core h <0.2 SingleMode Layered Rectangular Waveguide Design with BeamPROP As we mentioned above. we can use BeamPROP to design singlemode layered rectangular waveguide.2µm GaN (a) 4 µm AlxGa1xN Cladding Sapphire Substrate X 0 Figure 5.3.
312.9.2 µm is meaningful since it is difficult to get exactly h = 0 in the real waveguide fabrication process.set as 2. Figure 5.10(b) shows radiation pattern versus exit angle of the waveguide. It was in accordance with our designed values. In our design.313 as shown in figure 5. Then we varied the value of the cladding refractive index and the value of the waveguide width l as shown in figure 5. Figure 5. We then measured the effective refractive index through the simulation and the result we got was around 2. However.9. From figure 5.10(a). which corresponds to the Al molar fraction x ∼ 3% [29].10(c) shows the refractive index characteristics in the cross section along Y direction at X = 0. 149 . we can see that there is a thin slab above the 4 µm cladding. We found that when the cladding refractive index is 2. This is the refractive index of GaN we previously obtained.2 µm to keep the waveguide as singlemode. which will also be shown later in this chapter. we have taken h equal to 0 for convenience.10(a) also clearly shows the verification of the singlemode transmission on our designed waveguide. All the single waveguides except for the tapered connections in the devices we designed have the cross section as shown in figure 5. In the simulation. Figure 5. it was found that the height h of this slab has to be less than 0.9. the value of l has to be between 3 µm and 5 µm for the waveguide to support a singlemode.335. the condition h < 0.
(a) Figure 5. 150 . (c) Refractive index characteristics along Y direction. (b) Radiation pattern versus exit angle. (a) Single mode simulation verification and the effective refractive index. at X = 0.10 Simulation result of the designed GaN singlemode waveguide with BeamPROP.
2 10 5 0 Angle (degree) (b) Radiation pattern 5 10 (c) Figure 5.8 0.6 0.1 0.4 0.10 (b) and (c) 151 .
3. The sample devices will be presented and discussed later. we fabricated waveguides and some simple devices.4. To do the required 152 .1 Measurement Method Based On FebryPerot (FP) Interference In the application of alloptical communications. Before we introduce them here. According to the design. 2 × 2 waveguide couplers and AWGs. It is also important to measure the waveguide’s singlepass power attenuation.8 µm and the Al molar fraction x is about 3%.3 Optical waveguide preparation and characterization Based on the BPM simulation result. various sample devices were fabricated with the help of the Physics Department at Kansas State University.3. 5. In the fabrication process. These designs include straight waveguides. we would like to show the measurement method and illustrate the experimental setup first. excluding the uncertainties caused by optical coupling at both the input and output of the waveguide.5. the optical waveguide structures were formed by photolithographic patterning and inductivelycoupled plasma (ICP) dry etching [65]. 5. which will be discussed later. several different waveguide configurations have been designed. it is important to measure the effective refractive index of a waveguide precisely.4 Measurement Method and Experimental Setup Based on the configurations of the singlemode waveguide we obtained through our simulation as shown in the above section. the etching depth is controlled at approximately 2. To verify the design.
measures. ϕ0 is an initial phase or a fitting constant. neff can be obtained through the simulation. A is the singlepass power attenuation.47) where L is the waveguide length. From the equation.47). As for the application of this method to get the effective refractive index. an erbiumdoped fiber amplifier (EDFA) without optical signal input was used to provide a wideband amplified spontaneous emission (ASE). R is the power reflectivity of the waveguide end facet. we can get the measured optical transmission spectrum. Optical signals with different polarizations can be applied and the different effective refractive indices related to different polarizations may be obtained. With the best fitting. FebryPerot (FP) interference method was applied in our measurement. where the two end facets of the straight waveguide forms the FP cavity. Thus the waveguide loss per unit length can be obtained. From the OSA. The ASE optical spectrum at the output of the optical waveguide was recorded with an optical spectrum analyzer (OSA). 153 . Then apply this measured transmission spectrum to fit the normalized FP transmission equation [66] T (λ ) = [1 + R 2 A 2 − 2 RA cos(4πLneff / λ + ϕ 0 )]−1 (5. In the measurement. neff can be easily obtained as long as all the other parameters were measured or calculated. it is also shown in equation (5. neff. value A can be obtained.
Each tapered fiber end was mounted on a fivedimensional precision positioning stage to optimize the optical coupling efficiency.11 shows this experimental setup. 154 .11 Fiberoptical experimental setup. Figure 5.2 Experimental Setup To characterize the waveguide samples we have designed and fabricated.5.5µmspot size of the focus. Tapered singlemode fibers Waveguide device EDFA Optical power meter /optical spectrum analyzer Fivedimensional adjustable stages Fixed stand Figure 5.4. a fiberoptic setup operating in the 1550 nm wavelength region was constructed. Optical coupling at the input and the output of the waveguide was accomplished by using tapered singlemode fibers with 6µmworking distance and 2. A tunable laser diode was used as the light source and an optical power meter was used to measure the optical power that passes through the waveguide.
the knowledge of material refractive indices in the operating wavelength region is essential.1 to x = 0. in order to design guidedwave optical devices. we could see that. To evaluate the refractive index of each film. the film refractive index can be obtained by best fitting the measured optical transmission spectrum to a wellknown FP transmission equation. In order to perform this measurement. Due to the FabryPerot (FP) interference caused by the two facets of the film (one facet is between AlxGa1xN and the air and the other facet is formed between AlxGa1xN and sapphire). optical transmission spectra were measured. With the knowledge of the film thickness. The continuous curves in the same figure were numerical fittings obtained by using the first order Sellmeir dispersion formula: n(λ ) = 1 + ( B0 + B1 x + B2 x 2 )λ2 λ2 − (C0 + C1 x) 2 (5.7 [67].1 µm to 1.3.5 µm and Al molar fractions range from x = 0. optical transmission efficiency is wavelengthdependent. Figure 5.5.5 Measurement of Refractive Indices in Infrared From section 5. We have conducted the refractive index measurements for AlxGa1xN with different Al molar fractions.48) 155 .3.12(a) shows the measured refractive indices of AlxGa1xN versus wavelength for several different Al molar fractions. The films’ thickness range from 1. a number of sample AlxGa1xN films were grown by metal organic chemical vapor deposition (MOCVD) on sapphire substrates.
98.335 .2.2 x = 0.12(b).99. x = 0.1 2.3 Refractive indices B0 = 4. n(1550nm) = 0.18.05 2 0.8 1 (a) Figure 5. B2 = 3.81.1 2.6 0. C1 = 109 2.9.35 x = 0. (b) Sellmeier expansion coefficients versus Al molar fractions.49) 156 . C0 = 207. B1 = 0. B1 = 0.25 2. B2 = 4. Since we are mostly interested in the refractive indices in 1550 nm wavelength window.3. C0 = 200.6.49.12 (a) Refractive indices of AlxGa1xN versus wavelength for several different Al molar fractions.9.97.12(a) and their variations versus Al molar fraction x are shown in Figure 5.15 x = 0.4 1.6 Wavelength (µm) The coefficients for best fit are displayed in Figure 5.25.5 B0 = 4.7 B0 = 5.2.12 and the following polynomial expression is obtained for the Al molar fraction (x) dependence of the refractive index at 1550nm wavelength. C0 = 188. C0 = 182. C1 = 122 2. C1 = 122 B0 = 4.2 1. this information can be collected from Figure 5. (5.431x 2 − 0. B2 = 4.735 x + 2.3 2. B2 = 3. B1 = 0. B1 = 0. C1 = 102 1.
12 (b) 5.1 0.7 Al molar fraction x Figure 5.6 Measurement Results of the SingleMode GaN/AlGaN Waveguides 5.2. The measured result is shown in figure 5.4 0.1 Experimental Results: Power Loss in Waveguide Transmission Based on the method in section 5.13 where the normalized output optical spectrum we got from the OSA is Sellmeir coefficients C0.The monotonic decrease of AlxGa1xN refractive index with the increase of Al molar fraction x makes the design of singlemode optical waveguide devices straightforward.3 0.6.1 and the experimental setup in section 5.5 0. 10 250 C0 Sellmeir coefficients B0.6 0.4. we then did an experiment to measure the effective refractive index and the singlepass power loss of our fabricated waveguide.4. C1 157 . B1 B2 5 200 150 B0 100 0 B1 50 0 5 B2 C1 50 100 150 10 0.2 0.
4 0. since the cleaved waveguide end facets may not be ideally flat and they are definitely not exactly perpendicular to the waveguide axis to form an ideal FP cavity. By the best fitting. In the figure. The continuous line was obtained by fitting the normalized FP transmission equation (5. corresponding to a waveguide length 1. 0. (Ref.5 Figure 5.[29]) 158 .8 dB. The waveguide loss per unit length is ~34.5 1560.5 1559.6 1558.4 dB/cm. we got the singlepass power attenuation value A = 4.6 Normalized spectral density (dB) 0.13 Measured optical transmission spectrum (solid point) and numerical fitting using equation (213) (continuous line).393 mm.2 0.47).2 0 0.4 0.5 Wavelength (nm) 1561.illustrated. It should be pointed out that the actual attenuation of the waveguide should be less than this value. the solid points formed measured optical transmission spectrum.
an important parameter is the refractive index of the material.15 shows this design. It has been reported that the efficiency of the optical emission changes periodically when the optical propagation direction changes on the ab plane [70].5. where angle θ varied for different waveguide samples. but also due to the incident direction of the input light beam relative to the direction of axis a as shown in figure 5. We believe that the birefringence is not only due to the polarization direction of the optical signal. axis a.6. the knowledge of the birefringence of the material is also critical in waveguide design and in device performances.2 Birefringence of GaN/AlGaN optical waveguides In planar lightwave circuit applications. In order to investigate the birefringence caused by both signal polarization and different incident direction relative to aaxis direction. Figure 5. In the figure.14. A refractive index change of approximately 4% was observed at wavelength around 800 nm when the signal polarization was varied from perpendicular to parallel to the GaN crystal caxis [69]. different singlemode waveguides were made by changing the angle between the directions of straight waveguide and the crystal aaxis. So we studied the birefringence characteristic of the GaN/AlGaN optical waveguides. the crystal lattice of GaN has a hexagonal configuration on the ab plane. b and c are the same as in 159 . Figure 5. The birefringence of GaN films grown on sapphire substrates has been reported [68]. It can be seen that the structure has a hexagonal configuration in ab plane.14 shows the wurtzite structure of GaN unit cell and the coordinate choices. due to the wurtzite structure. which we have discussed in the above subsection. On the other hand. Besides this.
c b a Figure 5.Figure 5.14 while G is the direction of the waveguide.14 The wurtzite structure of GaN unit cell and the choice of coordinates. G c b a GaN Figure 5. Again the measurement method based on the FP interference was applied.5 – 3. The lengths of the waveguide samples ranged from 1. The difference in the experimental setup was the use of a fiberoptical polarizer and a 160 . Waveguide differs by the angle θ.0 mm.15 Waveguide sample.
8 dB based on the measured values. The experimental setup is shown in figure 5. It can be seen that the transfer functions are 161 . and the relative measured results of transfer functions are shown with the three traces in the figure. we have intentionally shifted the two traces by ± 0.17 shows the measured optical transfer functions on a particular waveguide sample for θ = 15 . The refractive indices were measured for the signal’s optical field perpendicular.16. the input signals were applied in three polarization states.polarization controller.16 The birefringence measurement experimental setup. Figure 5. Trace 1 is for the input optical signal polarized perpendicular to the caxis while trace 3 is for the signal parallel to the caxis. In the measurement. or in a specific angle to the crystal caxis for each sample with a specific θ value. which are inserted immediately after the ASE source. Tapered singlemode fibers Waveguide device EDFA Optical power meter /optical spectrum analyzer Fivedimensional adjustable stages Fixed stand Figure 5. For a better illustration. parallel.
parallel (trace 3) and 450 from (trace 2) the crystal caxis.5 0 0. R = 3. (After [34]) 4πL(neff ± ∆n / 2) + ϕ 0 T (λ ) = 1 + R 2 − 2 R cos λ −1 (5. It can also be seen that there is a small difference in the periods of the two traces. these two traces can be numerically fit by a normalized FP transfer function [34]: 1.5 1547 1548 1549 1550 1551 1552 1553 1554 Wavelength (nm) Figure 5. Furthermore.75% is the effective roundtrip power loss of the waveguide when it acts as a FP cavity with its end surfaces 162 .50) Where L = 2.5 Normalized transmission 1 2 3 1 1.typically FPtyped.5 1 0. This means that the effective refractive indices are slightly different for the signals with different polarizations.17 Measured (solid dots) and calculated (continuous lines) optical transfer function with the input optical field perpendicular (trace 1).31 mm is the length of the waveguide.
To explore where this birefringence is from. we usually get n⊥ ≠ n // when birefringence exists for the waveguide. we can obtain n// = 2. If we denote n⊥ as the effective refractive index of the waveguide when the optical field is perpendicular to the material caxis. and ϕ0 is the initial phase that can be determined by the best fitting between the measured and the calculated values. From the numerical fitting by using equation (5. If 163 . and n⊥ = 2.042 in this particular case. This clearly indicates that the measured ∆n value of 0. This can be explained that there is a π phase walkoff between the TE and the TM polarization modes of that wavelength. So the refractive index difference due to the birefringence is ∆n = (n // − n⊥ ) = 0. This is shown as trace 2 in figure 5. more specifically. and n// as the effective refractive index when the optical field is parallel to caxis in the waveguide.2 nm.acting as mirrors. as shown in traces 1 and 3.315 by the best fittings. we did a separate BPM simulation on the waveguide in figure 5. the width and the height of the waveguide.50) as shown in figure 5.9. which means that it is not practical to try to overcome the birefringence by changing the structure. Another measurement and fitting were also made for the input signal splitting equally into the “⊥” and the “//” polarization modes. we could see that the ripple amplitude of the FP transfer function has a null at wavelength 1551.17 (the solid lines).357 . From the figure. and found that the refractive index difference between the “⊥” and the “//” polarization components induced by the waveguide structure is less than 105.17.042 is primarily caused by the material birefringence instead of the waveguide structure.
we can clearly see this π phase walkoff.04 0. ∆n = 0.045 0. Index difference ∆n = (nx – ny) 0. 164 . we can determine the birefringence by [34] ∆n = λ 2 /(2 L∆λ ) 0 (5.51) Where λ0 is the average wavelength used in the measurement. With the information of the wavelengths at which the nulls appear.042750. where θ is in degree. and ∆λ is the wavelength difference between the adjacent nulls in the transfer function. The continuous line is a sinusoid fitting using.035 0 20 40 60 80 100 Waveguide orientation θ (degree) Figure 5.05 0.00545cos(6θ).we compare trace 1 and trace 3 in the figure carefully. It is obvious that multiple nulls can be found at different wavelengths for this polarization state of the input signal by simply enlarging the measurement wavelength coverage.18 Measured birefringence versus waveguide orientation (solid squares).
300.042750. Less birefringence in the waveguides guarantees better real communication systems.Besides that the two values of n⊥ and n// are not the same. we found that there is an approximately 10% change in the index difference ∆n = n // − n⊥ with varying the θ value. the birefringence of the waveguide is an important issue that has to be considered.18 is the fitting curve. Although the above periodical variation of ∆n within cplane was obtained in the infrared wavelengths.00545cos(6θ). 600 and 900. ∆n = 0. Several techniques have been proposed to reduce the birefringence in the waveguides made by semiconductor materials.18 shows this result. special waveguide crosssection design [72][73]. or tensile stresses during the crystal growth [74][75]. The continuous line in figure 5. 150. and the introduction of buildin compressive. we can assume that this 60o periodicity in ∆n variation also exists in the wavelength regions near the band edge based on the fact that the periodical emissionefficiency variation versus angleθ in cplane has been reported in [70]. Those techniques include polarization compensation [71]. Thus we verified that the refractive index not only depends on the optical signal polarization but also depends on the optical propagation direction within the ab plane of the waveguide samples. where systematic measurements were made on a number of waveguide samples with angle θ = 00. 165 . and also a 60o periodicity was observed. This is attributed to the wurtzite structure of the GaN crystal. Figure 5. For most applications of planar lightwave circuits. where θ is in degree. more importantly.
5. 166 . Figure 5. we discussed the principles of basic devices such as couplers.7 Design of Optical Couplers and MachZehnder Interferometer Device with GaN/AlGaN In Chapter 2. In this section. Through simulation. MachZehnder Interferometers. we are going to design functional devices with GaN materials.19 Simulation of a 3dB coupler. Then. it is important to consider both of them in the designing. we could design some specific waveguide birefringence in the waveguide design based on the chosen refractive indices.The measured result given above gives us a foundation for the design of the polarization insensitive waveguide with the technique of special crosssection design. we can carefully choose the direction of the incident beam to have some specific material birefringence. Since there are two types of birefringence: the material birefringence and the waveguide birefringence. a polarization insensitive waveguide can be realized. If these two types of birefringence compensate for each other.
1 2 Figure 5. But they exit from different output ports.20 shows the simulation result where a MachZehnder Interferometer acted as a simple optical switch.5625 µm were launched into the same input port.7. In our simulation. This simulation was set 167 . the length difference ∆L between the two arms was realized by having different refractive indices in the waveguides of the two arms.0238. the refractive index difference between the two arms was set as 0.5464 µm and 1.5. Figure 5. Figure 5. In the simulation.20 Simulation of MZ Interferometer optical switch controlled by carrier induced refractive index change. The signals with different wavelengths 1. The input power from one of the input ports of the coupler was split equally to the two output ports.1 Simulation Results of Couplers and MachZehnder Interferometer Device The simulation results for our designing of simple 2 × 2 waveguide couplers and MachZehnder Interferometers are shown here. This can be made by having an electrode on one of them.19 shows a simulation result for a 2 × 2 3dB waveguide coupler.
[29]) 168 .21 Microscopic images of a 2×2 GaN/AlGaN heterostructure optical waveguide coupler (a) top view and (b) cross section at the output. 3 4 1 2 (a) (b) Figure 5.for the design of optical switches that could be realized with carrier induced refractive index change. (Ref.
2 A Simple Example: Waveguide Coupler The first samples we designed have the waveguide widths all equal to 3µm.7.22 Measured output optical power vs the probe displacement in the horizontal direction for a 2×2 GaN/AlGaN heterostructure optical waveguide coupler. Several different waveguide configurations were designed and fabricated. The devices included straight waveguides and 2 × 2 waveguide couplers.5. 36) (Ref [29]). It is a typical 2 × 2 optical waveguide coupler [29].21 shows an example of a fabricated device samples based on our design. Port 4 Port 3 Output power (linear scale) 40 20 0 Probe displacement (µm) 20 40 Figure 5. The power splitting ratio 169 . The input optical signal is launched at port 1 (as illustrated in Fig. Figure 5.
we are going to show the design of an AWG with GaN/AlGaN materials. and in the introduction part of chapter 3. we have discussed the basic principles of an AWG. the AWG was used as the basic component to construct an IAWG and IAWGbased WDM cross connects or all optical switches. for thermooptic MachZehnder Interferometer (MZI) switch. We will also explain the reason why we have chosen GaN/AlGaN instead of other materials. One approach to make the AWG devices is to use the silica PLC. except that a tunable laser was used to replace the EDFA. which is the most popular one. 5.8 The AWG Based on the GaN/AlGaN Heterostructures In chapter 2.11. a small resistor is deposited near each arrayed waveguide. In chapter 3.22.22. In this section. AWG devices made of silica are usually not tunable due to the passive nature of silica. A ∼50% power splitting was realized. However. we see that the experiment result is in accordance with our design. The result is shown in figure 5. From figure 5. and the AWGs made in this way are commercially available now. The thermal tuning method has been briefly discussed in chapter 2. the experimental setup was the same as shown in figure 5. In the AWG case. To characterize the sample.of this particular coupler was designed to be 3dB. This small resistor can heat the 170 . where the output powers were measured at the two outputs (3 and 4) while the input power was from input port 1. One approach to make the AWG tunable to make wavelength switches is by using thermal tuning method [76][77].
Compared with InP and Silica. So the performance of the InPbased AWG devices is very sensitive to the temperature change. the temperature sensitivity of the refractive index of InP material is very high. which is approximately 10 times higher than that of silica. The wide bandgap relative to the application wavelength 1550 nm makes the intrinsic loss and optical gain small. and the stringent temperature control is required. On the other hand. and due to the mode spot size mismatch.5 ) compared with silica. due to the refractive index mismatch. However. so that a relative optical delay is introduced in the waveguide. Since InP is semiconductor. Firstly. The lower refractive index than InP makes the waveguide cross section larger than that of InP waveguide. which causes extra coupling loss at the interface with an optical fiber. This has become part of the reason why the InPbased AWG devices have not become commercially competitive so far. the IIInitrides have distinct advantages for the application of tunable AWG optical devices. it has too high refractive index ( n ≈ 3. It cannot be applied to the packet switchbased optical networks. The crosssection of the waveguide made of InP is very small. However. Another approach is to use semiconductor materials to make planar waveguide PLCs. the InPbased PLC can be potentially made fast tunable with the carrier injection [6][8]. its semiconductor characteristic makes it possible to change its 171 . which is dn / dT ≈ 10 −4 K −1 .related waveguide individually to change its refractive index. which reduces the coupling loss with optical fibers significantly. Secondly. there are also several disadvantages with the InPbased devices. this method is very slow since it is in millisecond level. as we have pointed out in chapter 2.
8. Figure 5.1 Simulation Results of the Arrayed Waveguide Gratings Based on the previous simulations. The waveguide had the same layered structure as in Figure 5.8 µm2.refractive index by carrier injection.5 × 8. primarily by free carrier absorption in this case as we have discussed in chapter 4. The simulation result was in accordance with what we had expected. The size of the AWG configuration was about 5. another waveguide device. and 40 arrayed waveguides between the two star couplers. Each of the eight output ports had its specific peak wavelength for the output signal. 172 . It consisted of one input star coupler with one input port. arrayed waveguide grating (AWG) on GaN and AlxGa1xN was then designed and simulated. and the related simulation result (b).9.23 shows this AWG configuration (a). This makes it possible to design fast tunable AWG devices. 5. one output star coupler with eight output ports.
173 . (b) simulation output result.23 (a) Arrayed waveguide grating configuration.(a) Figure 5.
2 A Sample: A Fabricated Arrayed Waveguide Grating To verify the feasibility. which consists of one input 174 . which involved photolithographic patterning and inductivelycoupled plasma (ICP) dry etching [65]. a GaN/AlGaNbased AWG was fabricated for the first time based on the simulation result as shown above. Figure 5.8.23 (b) 5.24(a) is a microscope picture of the device configuration.3.3.24 shows a sample of an AWGbased 1 × 8 WDM demultiplexer.3. Figure 5. The fabrication procedure was identical to that described in section 5.Figure 5.
By design. It is noticed that the outofband rejection ratio of the measured transfer function is only approximately 10 at most of the output ports. Figure 5.24(b) shows the measured optical transfer function versus the signal wavelength for all the eight output ports. This is mainly due to the nonuniformity of the waveguide array caused by the imperfections in the fabrication process. 175 . eight output waveguides. The results clearly demonstrated an approximately 2 nm wavelength spacing between transmission peaks of adjacent output waveguides. two star couplers. the channel spacing of the WDM outputs is 2 nm.23(b).waveguide. This indeed verifies the accuracy of the design. and 40 arrayed waveguides between the two star couplers. It can be seen that the measured transfer function of the AWG generally agrees with the simulated one as shown in figure 5.
176 .24 Microscope picture (a) and measured optical transfer function (b) of an AWGbased WDM coupler with 2nm channel separation.Input Waveguide array Star couplers Outputs (a) Figure 5.
4 0. the theoretical formulation can be extended into near the infrared region.1 Normalized Transmission (a.6 0. We adopt the expression of the refractive index as the function of temperature.) 0.9 The Thermal Stability of the Refractive Index The dependence of the refractive index of AlxGa1xN on temperature has been investigated extensively [78]. wavelength and Al concentration for AlxGa1xN in [78]: 177 .8 0.24 (b) 5. Although previous research has been focused on the characteristics of AlxGa1xN in UV and visible wavelength region.u.2 0 1545 1547 1549 1551 1553 1555 1557 1559 Wavelength (nm) Figure 5.
5 ] (5.5 eV (850nm wavelength). at this wavelength that is far away from the material bandgap.19T ) x 2 × 10 −3 [eV ] { } (5. T ) + (5.502 + 1. T ) 0. x.56) A( x.27 × 10−3 T − 1. T ) y2 g ε (λ .52)(5.74 + 4.58) This approximation is valid for the Al concentration x < 0.54) E g ( x.58) will provide a 178 .3 − 8.99 x 2 − (5.35 x + 0.69 + 4.61× 10−3 T − 5. with.53) y= hc / λ + iΓ( x. T ) = − 8.13 × 10 −2 T + (248.57) Γ( x.13T − 1. T ) 2 − 1 + y − 1 − y ⋅ E 1.5 ( x. T ) E g ( x.24 − 0.49 + 2.224 exp(0.8 × 10−6 T 2 − (0. T ) = C ( x .5 eV and 1.n(λ .33 ×10 −6 T 2 ) x (5. A( x.73 × 10−5 T 2 +(18. respectively.386 / T ) − 1 (5. x .99 + 0.37 ×10 −2 T − 6. T ) = 2. Although the accuracy of this equation in the 1550 nm wavelength region has not been fully verified.76 ×10 −4 T 2 ) x { } [eV 1.55) C ( x. no abrupt variation is expected for the material characteristics. T ) = 3. Equations (5. T ) = 1 {ε 2 r + ε r2 + ε i2 } 1/ 2 (5.52) Where εr and εi are the real and the imaginary parts of the dielectric constant ε.64 and the accuracy was tested against the measured data obtained with a spectroscopic ellipsometor between 3. T ) = 79.
the temperature sensitivity of the refractive index is not monotonic versus Al concentration x. Figure 5.25(b). which shows a maximum around x = 0.reasonably accurate estimation for the temperature sensitivity of the refractive index at 1550 nm. which is about 3 × 10 −4 / C [55][56] at this wavelength. It is interesting to note that for AlxGa1xN at room temperature (25 oC).4. This value is similar to that of silica [54]. and approximately one order of magnitude lower than that of InP. the temperature sensitivity is less than 2 × 10 −5 / C . Within 0 and +50 oC.25 (a) shows the sensitivity of the refractive index against the temperature change (dn/dT ) at the wavelength of 1550 nm with various values of Al concentration x. as shown in Figure 5. 179 .
180 . (a) as a function of operation temperature for different Al concentration x and.25 Calculated temperature sensitivity of AlGaN refractive index.2 0.Index change per oC (dn/dT) x 105 0.8 x=0 Temperature (oC) (a) Figure 5.4 0. (b) as a function of Al concentration with a fixed operating temperature at 25oC.
Index change per oC (dn/dT) x 105 T = 25oC Al concentration x Figure 5.25 (b) 181 .
6. MachZehnder Interferometers (MZI). The MEMS technique has inspired us to build 1 × N optical switches to realize N × N with the Spanke architecture. We derived a general design rule for the required differential lengths of bridge waveguides in an NIAWG. an NIAWG requires a unique differential path length design in the bridge waveguides between the two star couplers. Then we reviewed a number of popular switch device technologies. Our main focus has always been on alloptical switching in WDM technology. we have emphasized our interest in the Spanke architecture. we have reviewed the basic concepts of telecommunication network architectures. and basic components in optical networks. We have explored and invented a novel structure for an alloptical switch in Chapter 3. optical networks. In terms of large optical switch architectures. such as MEMS and thermooptic switches. The thermooptic technique has inspired us to explore the possibility of using carrierinduced semiconductor material to realize the switching of optical signals with particular wavelengths. We started with the basic AWG design and expanded it into the Ninterleaved AWG (NIAWG). Among the basic components. WDM network elements. Conclusions and Future Work 6. we have particularly focused on the basic principles and applications of optical couplers. and arrayed waveguide gratings (AWG).1 Conclusions In this dissertation. We discovered that there exist multiple solutions to the 182 . Compared to a conventional AWG.
We can use this type of 1 × N WDM switches as fundamental building blocks to construct nonblocking N × N WDM alloptical switches. which was previously not wellknown. therefore it can be monolithically integrated to create sophisticated optical devices with various functionalities. we also proposed a simplified structure of a 1 × N WDM switch that requires only one NIAWG. Therefore. We proposed to use IIInitrides because of their unique characteristics. where total reflection is implemented at the end of each phase shifter. It is also important to note that the proposed 1 × N switch structure is a PLC with no waveguide crossings. The feasibility of incorporating carrierinduced index tuning into switchable PHASAR devices depends on the characteristics of semiconductors. A practical design example of a 1 × 4 nonblocking WDM switch was then presented to illustrate the design steps and the methods to find the required phase assignment at each phase shifter for various output status. We presented a theoretical study of carrierinduced refractive index change in GaN semiconductors in the infrared wavelength region. we designed and systematically analyzed a 1 × N WDM switch. The results of this study 183 . which consists of two NIAWGs with a phase shifter array between them. it is important to find proper materials to realize our unique designs. Based on the reciprocity principle. This simplified structure significantly reduces the device size and relaxes the design tolerance. Based on this.differential path lengths in the NIAWG design. which we have also suggested in this dissertation and which will be indispensable for future alloptical networks. We also calculated the device transfer functions and discussed the switching functionalities in detail.
More importantly. we have studied three carrier effects: band filling. we verified that the magnitude of carrierinduced refractive change is high enough for future applications as PHASAR devices for optical communications. We designed various functional optical devices based on the singlemode ridged optical waveguides using GaN/AlGaN heterostructures. We observed and studied the birefringence of wurtzite GaN grown on sapphire substrate. with a 60o periodicity. The results indicate that in infrared wavelengths. the dominant cause of carrierinduced refractive change is due to freecarrier absorption. We found that the refractive indices were different for the signal optical field perpendicular and parallel to the crystal caxis ( n⊥ ≠ n // ). This is attributed to the hexagonal structure of the nitride materials. bandgap shrinkage. The devices we proposed are feasible with GaN materials. In our approach. including the refractive indices and the impact of Al concentrations. we found an approximately 10% change in the index difference ∆n = n // − n⊥ when varying the waveguide orientation within the cplane.provide us critical material parameters for switchable phasor device designs for optical communication applications. We then characterized the optical properties of AlxGa1xN epilayers in the 1550 nm wavelength region experimentally. This knowledge will help the understanding of polarization effect in the devices and the design of polarization independent optical waveguides. and freecarrier absorption. An 8wavelength arraywaveguide grating was designed and fabricated using IIInitride semiconductor 184 . Through our calculation. The devices were then systematically characterized for their operation in the 1550 nm wavelength window.
2 Future Work This report has demonstrated our work in three areas of alloptical switching: high level schematic designs. 6. Devices designed using 185 . Although a foundation has been formed. For example.materials for the first time. • New schematic designs can still be explored. A special crosssection design of waveguide and an introduction of builtin stresses in the crystal structure are worth further exploring. The performance reasonably agrees with our design expectation. • Carrierinduced refractive index changes in the GaN rectangular waveguide have been theoretically explored and calculated. However. We have also investigated the thermal sensitivity of the refractive index of AlGaN in the 1550 nm wavelength region. device structural calculations and simulations. • We have measured the birefringence of GaN materials. The techniques include a careful choice of an angle between aaxis and the waveguide direction in the photonic circuit design. which indicates that we have good understanding of the material properties as well as device design rules. it still remains a task to practically design polarization insensitive waveguides in integrated optical circuits. and experimental testing and verification. there is still plenty of room for future research in these three areas. which has been found comparable to that of silica and approximately one order of magnitude lower than that of InP. It can also be applied to configure multiplexer by using multiple resonators [41]. a ring resonator can be used for demultiplexing or multiplexing filters.
• Besides the experimental verification of carrierinduced refractive index change. The remaining work in this area is to experimentally measure the carrierinduced refractive index change. • A thorough research in the mechanism of optical power loss needs to be carried out. One way is to improve the sample preparation process so that we could have an ideal FP cavity so the experimental method introduced in Chapter 5 can still be applied to measure the refractive index change. We will then have a solid foundation to fabricate and characterize the active optical devices we proposed in this dissertation. a series of measurements needs to be taken to measure the effective refractive index changes with different carrier concentrations in waveguide samples. There are two ways to improve in this part. we started using a fabricated MZI device with electrodes attached to verify the results experimentally. We have already started to try some new methods. the design and location of the electrodes on or near optical waveguide also remains to be explored. Then we can compare the experimental results with the theory to verify some key parameters we had chosen in the theoretical calculations. • After the verification of the carrierinduced refractive index change experimentally. The other way is to develop novel methods to do the measurement. For example. It can be seen that either way is challenging. For example. losses could be due to coupling to radiation modes 186 .theoretical calculations and simulations have been recently fabricated.
• Recently.or due to scattering [41]. 187 . we can reduce the loss due to scattering by using geometries that can minimize the mode overlap with the rough sidewalls of the waveguide [41]. the basic principles in theory. silicon has been widely investigated and applied as a new material for optical devices due to the recent realization of submicrometersize photonic structures [41][79]. Because of the high refractive index of silicon. Besides the channel waveguides and ridge waveguides. and in experimental methods are very similar. • There are some approximations we made when investigating temperature sensitivity of the refractive index for GaN materials. Therefore we can extend our research method presented in this dissertation into silicon applications in optical telecommunications. confined bent waveguides with small radii can be realized. This temperature characteristic needs to be verified experimentally. novel waveguide configurations such as photoniccrystal waveguides and slot waveguides have also been proposed [41]. For example. in architecture designs. Although there is a big difference between the materials of Silicon and IIINitrides. Understanding this loss mechanism could help us to design low loss waveguides.
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