JOURNAL OF LIGHTWAVE TECHNOLOGY,VOL. 11, NO.

10,OCIOBER 1993 1579

Numerical Analysis of Curvature Loss in Optical

Waveguides by the Finite-Element Method
Toshio Yamamoto and Masanori Koshiba, Senior Member,ZEEE

Abstract-A numerical approach based on the h i t d e m e n t As is well known, the finite-element method (FEM),which
method is described for the analysis of curved optical waveguides. is one of the numerical methods, has been successfully applied
Curvature loss is evaluated s i m u l t a n ~ ywith the pmpgation to straight microwave and optical waveguides with arbitrary
constant and the field distribution. Both TE-like and TM-like
modes am systematically formulated. Numerical examples 011 the cross section [13]-[ 151. Especially, an approximate scalar
propagation characteristics of curved rib waveguides are given. FEM (SFEM)has been widely used for the analysis of various
Our results for curvature loss of curved rib waveguides agree optical waveguides [163-[25]. This approach has its main
well with those by exprrmCnts and tbe mecbod of lines. advantages: the smaller matrix dimensions, less computer
times, and no spurious solutions. In our previous papers [26],
I. INTRODUCIION [27], the SFEM is formulated for the analysis of w e d
optical waveguides, and propagation characteristics of curved
0 PTICAL rings and bends are important components in
integrated optics. Actually, a diode laser with an annular
resonator, which is one of the major application, is studied
rib waveguides and whispering gallery modes in dielectric
disks are successfully analyzed by the SFEM.
In this paper, the SFEM is extended, for the first time, to
with keeping the future of integrated optics in mind [1]-[3]
include loss due to the curvature of waveguides. A damping
although the laser is not a new idea [4]-[7].
coefficient corresponding to the curvature loss is expressed as
The increasing importance of optical rings and bends de-
the imaginary part of the angular propagation constant. Both
mands a technique to analyze their performance in detail.
TE-like and 'I'M-like modes are systematically formulated.
Marcatili analyzed a curved rectangular dielectric waveguide
Numerical examples on the propagation characteristics of
by dividing the waveguide cross section into several regions
curved rib waveguides are given. Curvature loss obtained by
[SI. In each region, the field is expressed with Bessel or
the SFEM is compared with those obtained by experiments
Hankel functions in the radial direction and with sinusoidal
[28] and calculated by the method of lines [12].
or exponential functions in the axial direction, and the field
matching is performed only along the sides of the rectangular
core. Marcuse analyzed a curved three-layer slab waveguide 11. FORMUWON
[9]. In each of three layers, the field is expressed with Bessel
or Hankel functions, and the field matching is performed A. Basic Equations
at their boundaries. Heiblum and Harris analyzed the same A curved optical waveguide configuration is shown in Fig.
structure that Marcuse analyzed [lo]. In their paper, the curved 1, with cylindrical coordinates (r,8,z) and the radius of
waveguide is conformally transformed to the corresponding curvature R. In this configuration, we consider the following
straight waveguide. The resulting graded-index waveguide is Maxwell equations:
divided into a Slumber of layers with a constant index. In each
layer, the field is expressed with sinusoidal or exponential V X E =-jwpoH (1)
functions. Recently, Gu et al. [ll],[12] analyzed a curved rib V x H =jwaon2E (2)
waveguide using the method of lines (MOL). The waveguide is V-H=O (3)
discretized in the axial direction, and in each of the discretized
layers, the field is expressed with a set of Bessel and Hankel
V * E = O . (4)
functions. Rewriting ( 1 x 4 ) in the cylindrical coordinates, we have
The methods mentioned above are useful for the analysis
of specific structures, but lack wide adaptability. For example,
the waveguides which have oblique or curved boundaries in
their cross section cannot be analyzed. The main reason is that
these approaches are based on the analytical solutions.

Manuscript received January 14, 1993.

T. Yamamoto is with the Basic Research Department, Olympus Optical
Co., Ltd., Tokyo, 192 Japan.
M. Koshiba is with the Department of Electronic Engineering, Hokkaido
University, Sapporo, 060 Japan.
IEEE Log Number 9210174.

0733-8724/93$03.00 Q 1993 IE!EE

___
ni- TT

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 1580 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 11, NO. 10, OCTOBER 1993

Light
42 Propagation Boundary for
calculation
A
mode 0 P 9

TE - like mode Er 1 nz

TM - like mode Y lh? 1

R
TABLE I1
COMPONENTS OF ELECTRICAL
AND MAGNETIC
FIELDS
Fig. 1. Curved optical waveguide with mean radius of curvature R

field TE - like mode TM - like mode

Er 0

where v is a complex angular propagation constant. The

imaginary part of v, Im (v), is the damping coefficient of the
fields. In our formulation, curvature loss is obtained based on
Im (U).
From (6), He is given by

We obtain from (7) and (12)

Hz - 0

H, = -

substituting (15) and (16) into (5) and ignoring the term of
H,, we obtain the following equation:
From (9), Ee is given by
a24 3a4 ,,2--1
p-dr2 + p -r- dr - p 7 4

From (10) and (ll),we obtain

where 4 , p , and q are given in Table I. The other components
of electric and magnetic fields are given in Table 11.
Substituting 4 = u / r , we obtain

Generally, a waveguide for the optical integrated circuit
will support the propagation of waves having two possible
field configurations, classified as the TE-like and TM-like
modes. The main field components of the TE-like modes are
E, and H,, while those of the TM-like modes are E , and
H, [8]. These TE-like and TM-like modes in curved waveg-
uides correspond to the E" and EY modes [29] in straight
waveguides with Cartesian coordinates (x,y, z ) , respectively,
where cylindrical coordinates r, 0, and z should be replaced
by Cartesian coordinates 2,z , and y, respectively.
In the following, we approximate the TE-like and TM-
likemodes by the TE"(E, = 0, a leading function is E,)
modes and TM"(H, = 0, a leading function is H,) modes.
For the TE-like modes, substituting (13) and (14) into (8)
and ignoring the term of E,, and for the TM-like modes,
ip,( E)
v2
p-- r- -p-u
r2
B. Boundary Conditions
Fig. 2 shows the cross section of a curved waveguide where
the square is the region subjected to the numerical calculation.
At the boundaries, Fa,I'b, and I', , the fields are small enough
to ignore d u / d n (the outward normal derivative of U ) if the
square has enough space. We adopt homogeneous Neumann
condition at these boundaries. On the contrary, at the boundary
r d , field matching with the outgoing field is performed since
we consider the loss due to the outgoing radiation of the fields.
For the constant value of the second differential coefficient of
U with respect to z , the outgoing wave which satisfies (18) is

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 YAMAMOX) AND KOSHIBA: NUMERICAL ANALYSIS OF CURVATURE LDSS 1581

Fig. 2. Boundary of the region for FEM.

Hankel function of second kind, Hi2’(@-), where

2
A

*2

C. Finite-Element Approach
The functional for (18) and the boundary conditions men- ,,3
tioned above is given by
F~= JJ,(pk&*u-p-- au*au - p - au*au
-
ar ar az az
.’
e r

@)
Fig. 3. (a) Quadratic triangle element. @) Quadratic line element.

where ( r k , z k ) are the coordinates of the vertex, k (k =

where fl is the cross section of the waveguide and Hi2”(0r) 1,2,3), of the triangle.
denotes the derivative of Hi2’(Pr) with respect to pr.
Simdtaneously, the region I’d is divided into a number
Dividing the region R into a number of quadratic triangular
of quadratic line elements, as shown in Fig 3@), and U is
expressed in terms of U at the node i(i = 1,2,3),ui:
elements, as shown in Fig. 3(a), U in each element is expressed
+ -
in terms of u at the node i (i = 1,2, . ,6), ui:
= {P)T{u)e (28)
U = {N)*{.), (23) { U ) , =[UI UP %IT (29)
where {P),=[pi p2 (30)
where the shape function vector {P} is expressed with line
{u)e=[u1 u2 ~3 u 4 ‘115 u6iT (24) coordinates, Q1 and Q2:
{ N I =[N N~ N~ N~ N~ ~~1~ (25)
PI=Qi(2Qi - 1) (3W
with T denoting a transpose. The shape function vector {N} P2 = Q2(2Q2 - 1) (3W
is expressed with area coordinates, L1, L2, and L3
p3 =4Q1Q2. (314
The transformation between the line coordinates and the
cylindrical coordinates is

where zk are the coordinates of the edge, k (k = i,2), of the

line element. Substituting (23) and (28)into (20) and summing
The transformation between the area coordinates and the over all W e r e n t elements, we have
cylindrical coordinates is
[Kl{uI - .2w11(4= (0) (33)
with

[KI = [Kll + [K21

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 1582 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 11, NO. 10, OCTOBER 1993

Loss vs w

t = 0.3 pm t = 0.4 pm
-e- R=100 pm-
-e- R=150 Fm-
Fig. 4. Curved rib waveguide.

0 0.2 0.4 0.6 0.8 1 1.2 1.4

W (pm)

Fig. 5. Curvature loss of the r / 2 curved waveguide as a function of

IV(pm).

I ' - T- '
Loss vs. R
" "

- - _t = 0.4pm
" "
-- FEM
" "

t = 0.3 p n FEM
t = 0.4pm MOL
where the components of the {U} vector are the values of U ..... t = 0.3 p n MOL
= 0.4pm
at all nodes, {0} is a null vector, Pe is approximated by P 0 t experiment
0 t = 0.3pm experiment
at the middle point of the line element (1: = 3), P 3 , and the
summation C, extends over all different triangular elements 8
and Eef extends over all different line elements constituting

The form of (33) is an eigenvalue problem whose eigenvalue -5 ', , Id , , '1 , ' ,I , , ' I ' , , I ' fi ' I ' , 1 1

and eigenvector directly correspond to the angular propagation
constant and modal field, respectively. However, the matrix
[K2]depends on the value of eigenvalue and eigenvector. We
solve this nonlinear equation by an iteration scheme, that is,
1. get the initial value V O ,{U}O by solving (33), ignoring
the term [Kz],
as the i t h step;
2. evaluate [K2]iby using vi,{ U } ; ,
3. regarding (33) as a standard eigenvalue problem with
[K2]i and get vi+l,{ ~ ) i + l ,
4. check convergence and conclude calculation.
111. NUMERICALRESULTS
First, we consider the sensitivity of the curvature loss to
the position of the outer boundary, rd. The cross section of
the curved rib waveguide we consider is shown in Fig. 4,
where a parameter W is the distance between the outer side
of the rib and the boundary r d . A GaAs guiding layer is on
a thick A10.15Ga0.85As cladding layer. At the wavelength of
1.15 pm, the refractive indexes of guiding and cladding layers
are 3.44 and 3.35, respectively. It is the same structure with
that analyzed experimentally by Austin [28] and numerically
by Gu et al. using the method of lines (MOL) [12].
The dependence of the curvature loss, L (dB), on W (,urn) is
shown in Fig. 5, where the thickness of the cladding layer t is
0.3 and 0.4 pm and curvature radius, R (pm), is a parameter.
The curvature loss is that for the 7r/2 curved waveguide. It
50 100 150 200 250 300 350 400 450
Curvature radius (p)
Fig. 6 . Curvature loss of the r/2 curved waveguide as a function of
curvature radius R (pm).
is obtained by
L = 2010g,~{exp [ ( 7 ~ / 2Im
) (v)]}. (38)
It is noticed that L is stable when W becomes larger than
0.8 pm.
Second, we compare these stable values of the curvature
loss with those obtained by experiments and the MOL. Figure
6 shows the dependence of the loss on the curvature radius,
where the thickness, t (pm), is the parameter. The solid
and dashed lines correspond to the values obtained by the
SFEM and MOL, respectively, and solid and open circles show
experimental values. The results by the SFEM agree well with
other results, especially with the results by the MOL.
IV. CONCLUSIONS
An approximate scalar finite-element method (SFEM) was
developed for the analysis of curved optical waveguides, espe-
cially for the evaluation of the curvature loss. By comparing
the loss obtained by the SFEM with those obtained by the
experiments and the MOL [12], the validity of the SFEM was
confirmed.

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 YAMAMOTO AND KOSHIBA: NUMERICAL ANALYSIS OF CURVATURE LOSS
ACKNOWLEDGMENT
The authors would like to thank S. Nagai, A. Yusa, Y.
Hirachi, and K. Karaki for their encouragement throughout
study.
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Toshio Yamamoto was born in Tokyo, Japan, in
1959. He received the B.S. degree in physics in
1981 from the University of Tokyo, Tokyo, Japan,
and the M.S. degree in applied physics in 1990 from
Stanford University, Stanford, CA.
In 1981, he joined Olympus Optical Co., Ltd.,
Japan. From 1981 to 1988, he was engaged in the
research on simulation and modeling of semicon-
ductor devices, especially, SIT and CMD. Since
1991, he has been working on simulation of optical
waveguides.
Masanori Koshiba (SM’84) was born in Sapporo,
Japan, on November 23,1948. He received the B.S.,
M.S., and Ph.D. degrees in electronic engineering
from Hokkaido University, Sapporo, Japan, in 1971,
1973, and 1976, respectively.
In 1976, he joined the Department of Electronic
Engineering, Kitami Institute of Technology,
Kitami, Japan. From 1979 to 1987, he was an
Associate Professor of Electronic Engineering at
Hokkaido University, and in 1987, he became a
Professor there. He has been engaged in research
on lightwave technology, surface acoustic waves (SAW), magnetostatic waves
(MSW), microwave field theory, computer-aided design and engineering for
optoelectronic devices, and applications of finite element and boundary
element methods to field problems. He authored Optical Waveguide Theory
by the Finite Element Method (KTWKluwer) and Optical Waveguide Analysis
(McGraw-Hill). He also coauthored Analysis Methods for Electromagnetic
Wave Problems (Artech House).
Dr. Koshiba is a member of the Institute of Electronics, Information and
Communication Engineers (IEICE), the Institute of Television Engineers
of Japan, the Institute of Electrical Engineers of Japan, the Japan Society
for Simulation Technology, the Japan Society for Computional Methods in
Engineering, and the Japan Society of Applied Electromagnetics. In 1987, he
was awarded the 1986 Excellent Paper Award by the IEICE.