Low-Power Active Tunable Microwave Photonic
Filter Using Photonic Crystal Nanocavities
S.AKASH & V.GUHAN
Department of Electronics and Communication Engineering
Sir Issac Newton college of Engineering and Technology
Pappakovil,Nagappattinam - 611 102
Abstract—We propose and experimentally demonstrate an all-
optical microwave filter with tunable central frequency and
bandwidth based on the silicon cascaded photonic crystal (PC)
cavities. As the light-matter interaction is largely enhanced in the
PC nanocavity with small mode volume, its transmission spectrum
could be efficiently adjusted. Hence, with injecting ultra-low pump
powers to control the transmissions of the two cascaded PC
cavities, the central frequency and bandwidth of the microwave
photonic filter (MPF) could be simultaneously tuned. The size of
the cascaded PC nanocavities is only 200µm2. The proposed MPF
with significant features of all-optical control, ultra-high tuning
efficiencies and large rejection ratios is beneficial to build on-chip
energy-efficient all-optical microwave systems.
Index Terms—Microwave photonic filter, photonic crystal
cavity, ultra-high tuning efficiencies.
I. INTRODUCTION
W ITH superior features of electromagnetic immunity,
great tunability and reconfigurability, microwave
photonic filters (MPFs) have various important applications in
radar, wireless communication and satellite [1]. To process
random radio frequency (RF) signals, MPFs with tunable
frequency and bandwidth are highly desired [2]. In order to
pursue better integration and reliability, on-chip MPFs have
attracted widespread attention in recent years. Various tunable
MPFs with high performance have been realized based on the
silicon nitride waveguides [2], [3], on-chip Kerr comb [4], [5]
and micro-cavities [6], [7]. Among the above schemes, many
tunable MPFs require tunable laser diodes or optical filters
because they are tuned by adjusting the operation wavelengths
of the laser or optical filters. Recently, the nonlinear effects in
waveguides [8] or microring resonators (MRRs) [9], [10] are
demonstrated to be effective solutions for all-optical tunable
MPFs, such as the stimulated Brillouin scattering (SBS) effect
in chalcogenide glass waveguides [11] and silicon nanowires
[12]. However, the required waveguide
Manuscript received June 9, 2020; revised July 3, 2020; accepted July 9,
2020. Date of publication July 13, 2020; date of current version July 20, 2020.
This work was supported in part by the National Natural Science Foundation
of China under Grant 61805215 and Grant 61801063, in part by the Wuhan
Municipal Science and Technology Bureau under Grant 2019010701011410,
and in part by the Project funded by the Engineering Research Center of Mobile
Communications, Ministry of Education. (Corresponding author: Li Liu.)
Li Liu is with the School of Automation, China University of Geosciences,
Wuhan 430074, China, and also with the Hubei Key Laboratory of Advanced
Control and Intelligent Automation for Complex Systems, China University of
Geosciences, Wuhan 430074, China (e-mail: liliu@cug.edu.cn).
Shasha Liao is with the Key Laboratory of Mobile Communication
Technology, Chongqing University of Posts and Telecommunication,
Chongqing 400065, China.
Color versions of one or more of the figures in this letter are available online
at http://ieeexplore.ieee.org.
Digital Object Identifier 10.1109/LPT.2020.3008865
lengths and pump powers of the SBS effect are centimeters and
tens of milliwatts, respectively.
Nowadays, the silicon photonic technology has become the
mainstay of on-chip optical processing systems due to its
compatibility with complementary metal-oxide semiconductor
(CMOS) [13]. By employing the nonlinear effects, the silicon
cavities have been widely used to process microwave signals
with superior performance [14]. Nevertheless, low tuning
efficiency is a pressing problem. For example, the frequency
tuning efficiencies of the MPFs based on the silicon MRRs are
as low as 2.4 GHz/mW [9], 23.2 GHz/mW [10] and 18.8
GHz/mW [15], respectively. In our previous work, we have
demonstrated MPFs with high frequency tuning efficiency
based on a photonic crystal (PC) cavity while the MPF
bandwidth cannot be tuned [16]. Namely, it is still difficult to
realize high-efficient all-optical microwave filters with
simultaneously tunable frequency and bandwidth by using the
silicon nonlinear effects. Therefore, in order to break these
limitations, it is urgent to realize silicon-based MPFs with high
tuning efficiencies, simultaneously tunable frequency and
bandwidth. Owing to the advantages of small mode volume and
strong light-matter interactions, silicon PC nanocavities have
been used in optical signal processing. As the nonlinear effects
are highly enhanced in the PC cavities, low optical powers are
competent to manipulate the cavity transmission characteristics
[17]. Recently, some significant schemes have utilized the PC
nanocavities to realize MPFs with tunable central frequency
[16], [18], [19]. However, there are limited efforts to use the
silicon PC cavities to achieve energy-efficient all-optical MPFs
with simultaneously tunable frequency and bandwidth.
 In this paper, we experimentally demonstrate an all-optical
microwave filter based on cascaded PC nanocavities. By
injecting pump powers to separately control the two cavities,
the central frequency and bandwidth of the MPFs could be
simultaneously tuned with ultra-low power consumption, which
are competent to process signals in on-chip microwave photonic
systems.
II. OPERATION PRINCIPLE
The tuning mechanism of the MPF central frequency is
described as follows. The initial transmission spectrum of the
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1000
Fig. 1. Tuning mechanism of the MPF central frequency. The transmission
spectra of the cascaded cavities with injecting a pump power into (a) cavity 1
and (c) cavity 2, respectively. MPF responses with central frequency of (b) f 1
and (d) f 2, respectively.
Fig. 2. (a) Tuning mechanism of the MPF bandwidth. (b) The MPF responses
with tunable bandwidths.
double-sideband (ODSB) signals. Firstly, a pump power is
injected into cavity 1 to induce its nonlinear effects, including
the two-photon absorption, free-carrier absorption, thermooptic
effect, plasma dispersion effect and Kerr effect [17]. Thus the
cascaded PC cavities is shown as the solid line in Fig. 1(a),
which is a notch bimodal distribution. The resonant frequencies
of the two cavities are written as fa (cavity 1, green line) and fb
(cavity 2, blue line). The optical carrier f0 is located at the left
edge of the resonant peak fb. In this case, the frequency intervals
between f0 and fb, f0 and fa are f1 and f2, respectively. An RF
signal is modulated onto the optical carrier f0 by a Mach–
Zehnder modulator (MZM) to generate optical
IEEE PHOTONICS TECHNOLOGY LETTERS, VOL. 32, NO. 16, AUGUST 15, 2020
transfer function of cavity 1 would shift to the green dashed line.
In this case, the frequency intervals between the optical carrier,
the shifted resonance of cavity 1 and the resonance of cavity 2
are both f1. Under the ODSB modulation, Fig. 1(b) shows that a
notch MPF with central frequency f1 could be realized.
Secondly, another pump power is injected into cavity 2 to shift
its resonance with a frequency interval f2 − f1, shown as the blue
dashed line in Fig. 1(c). Namely, the frequency intervals
between the optical carrier f0 and the two cavity resonances are
both f2. Thus an MPF with central frequency f2 could be
obtained, as shown in Fig. 1(d). Therefore, by adjusting the
pump powers to manipulate the two cavities, the central
frequency of the notch all-optical microwave filters could be
continuously tuned from f1 to f2. The MPF 3dB bandwidths
could be tuned at any central frequency ranging from f1 to f2.
The central frequency f2 is chosen to demonstrate the bandwidth
tunability. As discussed above, when the frequency intervals
between f0 and the two cavity resonances are both f2, an MPF
with narrow bandwidth could be achieved. Figure 2(a) shows
the operation principle of the MPF tunable bandwidth at f2 by
inducing a certain frequency offset. With injecting two
appropriate pump powers into the corresponding cavity, the
frequency offsets of the resonances fa and fb are both f3. Namely,
the frequency intervals between λ0 and the two shifted
resonances are changed to f2 − f3 and f2 + f3 respectively. In this
case, the two sidebands would achieve the maximum
suppression at different
Fig. 3. (a) SEM images of the cascaded PC L3 cavities. (b) The grating coupler.

Fig. 4. (a) Measured transmission spectrum of the cascaded cavities. (b) The
resonance red-shifts of the two cavities under different pump powers.
frequency intervals. Consequently, the filter rejection will be
lower in the microwave domain than in the optical domain as
shown on Fig. 2(a). Consequently, an MPF with a larger
bandwidth could be achieved while maintaining the central
frequency f2, shown as the red dashed line in Fig. 2(b).
Therefore, by controlling the frequency offsets, the bandwidth
of the all-optical microwave filters could be continuously tuned.
To analyze the notch MPF response, the alternative current
(AC) term in the square-law photodetector (PD) could be
denoted by [15] iAC ∝ 4π2Pin J0(m)J1(m)H(ω0)[H(ω0 − ωRF)
+H(ω0 + ωRF)]
where Pin is the power of the optical carrier, Jn is the nth-order
Bessel function of the first kind, m is the intensity modulation
index, ω0 and ωRF are the angular frequencies of the optical
carrier and RF signal, and H(ω) is the amplitude transmission
response of the cascaded PC cavities.
Because the optical carrier ω0 is fixed at the flat region
between the notch peaks, H(ω0) is a constant. Hence, the notch
MPF response is mainly determined by the two sidebands H(ω0
− ωRF) and H(ω0 + ωRF). By utilizing the theoretical model [16],
the transmission spectrum of the PC cavities could be achieved
[17]. Consequently, the MPF responses (including the filter
shape) could be analyzed based on the above equation and the
theoretical model.
The proposed all-optical microwave filters are based on the
PC L3 cavity, which consists of a PC membrane with a line of
three holes missing. The scanning electron microscope (SEM)
image of the cavities is shown in Fig. 3(a). The air hole radius r
and lattice constant a are 125 nm and 420 nm, respectively. The
PC nanocavities have a small size of 200 μm2. The optical
signals couple into the device by the vertical grating couplers,
which are shown in Fig. 3(b). The period, duty cycle and etched
depth of the grating couplers are 625 nm, 56% and 70 nm,
respectively. The fiber to fiber loss of the device is 12 dB.
The measured transmission spectrum of the silicon device is
shown in Fig. 4(a). The resonant wavelengths of the two
LIU AND LIAO: LOW-POWER ACTIVE TUNABLE MPF USING PC NANOCAVITIES
Fig. 5. Schematic illustration of the experimental setup.
cavities are 1550.16 nm (λa) and 1550.424 nm (λb), respectively.
Namely, the frequency interval between λa and λb is 33 GHz.
The extinction ratios of the two resonances are about 18 dB (λa)
and 20 dB (λb). The optical carrier λ0 is fixed at 1550.32 nm
which is 13 GHz and 20 GHz away from λb and λa, respectively.
Furthermore, the resonance red-shifts of cavity 1 and cavity 2
have been measured under different pump powers, shown as the
blue solid line and red dashed line in Fig. 4(b). When injecting
powers of 0.05 mW, the resonance red-shifts of the two cavities
are both larger than 0.04 nm (i.e. 5 GHz). Therefore, the PC L3
nanocavities could be efficiently tuned. Considering the
resonance red-shifts in Fig. 4(b) and the coupling loss of 4 dB
from the fiber to the chip, the signal power could be lower than
−19 dBm to avoid the influence on the cavity resonance shift.
Moreover, the optical bistability could be observed in the PC
nanocavities beyond the threshold power. As the quality (Q)
factor of the PC cavity is not high, the threshold power is
hundreds of microwatts while the used power to realize the
tunable MPF is tens of microwatts. Although the optical
bistability is very useful for all-optical signal processing, such
as the optical switching, it might be unfavorable to maintain the
filter shape [17].
(1)
III. EXPERIMENTAL RESULTS
Figure 5 shows the schematic illustration of the experimental
setup. The signal path includes a laser diode (LD), polarization
controller (PC), Mach–Zehnder modulator (MZM), and
erbium-doped fiber amplifier (EDFA). The LD launches the
optical carrier whose wavelength is fixed at 1550.32 nm. The
vector network analyzer (VNA) emits the RF signals which are
amplified by the electrical amplifier (EA). Then, the RF signals
are modulated onto the optical carrier by the MZM so as to
generate the ODSB signal. The modulated signal is sent into the
silicon device and then passes through the optical circulator.
Subsequently, the optical signals are converted to alternative
current by the PD and analyzed in the VNA. On the other hand,
the pump powers in the pump path are injected into the silicon
cavities through the optical circulator, in order to induce the
nonlinear effects in the corresponding cavity. Once the
transmission spectrum of the silicon device is adjusted, the
microwave responses could be accordingly tuned.
Figure 6(a) shows the tunable central frequency of the
measured MPF, which could be tuned from 13 GHz to 20 GHz
by adjusting the two pump powers. The lowest frequency of 13
GHz and the highest frequency of 20 GHz could be achieved in
the case of Pin(pump 1) = 0.053 mW and Pin(pump 2) =0 mW,
Pin(pump 1) = 0 mW and Pin(pump 2) = 0.0635 mW,
respectively. As the highest required pump powers (including
pump 1 and pump 2) are 0.0635 mW, the tuning efficiency of
1001
the MPF central frequency could realize up to 110.2 GHz/mW.
The MPF rejections could be improved by
1002
Fig. 6. (a) Measured MPFs with tunable central frequency. (b) The MPF tunable
bandwidths by inducing different frequency offsets.
the approximately equal peak attenuation and different phase
responses of the two cavities [2], which can be optimized
through utilizing the coupled mode theory [16], [20], [21].
The frequency tuning range of the MPFs could be largely
improved from two aspects. Firstly, the optical carrier could be
located farther away from λa. Consequently, the upper limit
value of the frequency tuning range could be increased.
Secondly, the Q factors of the two cavities could be improved
in the future. In this case, the optical carrier could be located
much nearer from λb. Thus MPFs with lower central frequency
could be realized. The RF link performance, including the RF
gain, the noise figure (NF) and spurious-free dynamic range
(SFDR), is limited by the qualities of light sources, modulators
and photodetector. The value of the link gain is −10 dB.
Moreover, the expected NF and SFDR are around 35 dB and
100 dB·Hz2/3, respectively [2], [22], [23].
As discussed in Fig. 2, the MPF bandwidths could be tuned
by adjusting the frequency offsets. In the experiment, the MPF
central frequency around 15 GHz is chosen to demonstrate the
bandwidth tunability. The maximum values of the MPF
responses in Fig. 6(b) could realize −10 dB. In this case, the 3dB
bandwidth represents the frequency interval between the two
points whose vertical axis values are −13 dB. Firstly, the powers
of pump 1 and pump 2 are set as 0.041 mW and 0.025 mW,
respectively. In this case, the frequency intervals between the
optical carrier and two cavity resonances are both 15 GHz (i.e.
frequency offset = 0 GHz). Consequently, a microwave
response with a 3dB bandwidth of 15.2 GHz could be achieved,
shown as the brown line. Subsequently, the total pump powers
are changed to 0.057 mW, 0.052 mW and 0.043 mW to induce
a frequency offset of 0.75 GHz, 1 GHz and 1.5 GHz,
respectively. In this case, the corresponding MPF responses are
shown as the black line, the green line and the purple line,
respectively. Finally, the frequency offset is adjusted to 2.25
GHz when the pump power is set as 0.024 mW. The MPF
response with a relatively large bandwidth of 21.3 GHz is
shown as the blue line. Therefore, the tunable range of the MPF
bandwidth is 6.1 GHz by finely adjusting the two pump powers
and the total highest pump power is 0.066 mW. Namely, the
tuning efficiency of the MPF bandwidth could realize up to 92.4
GHz/mW. According to Eq. (1), when the two sidebands H(ω0
− ωRF) and H(ω0 + ωRF) achieve the maximum suppression at the
same frequency intervals, the bandwidth of the MPF response
would be narrowest, shown as the brown line. In contrast, if the
two sidebands H(ω0 − ωRF) and H(ω0 + ωRF) obtain the maximum
suppression at different frequency intervals, the MPF
IEEE PHOTONICS TECHNOLOGY LETTERS, VOL. 32, NO. 16, AUGUST 15, 2020
bandwidth would be extended while the RF rejections would be
lower, such as the blue line.
Owing to the ultra-high tuning efficiency, the central
frequency and bandwidth of the MPFs could be simultaneously
tuned by utilizing ultra-low powers, which is beneficial for
building on-chip energy-efficient microwave systems [24]–
[26]. In the meantime, it should be noted that the input powers
should be carefully controlled to achieve stable experimental
results. Moreover, as the MPF responses are influenced by the
cavity resonant wavelength and resonance red-shifts, the
response stability could be improved from the following
aspects. Firstly, to keep the stable cavity resonant wavelengths,
a temperature controller could be utilized to avoid the
environmental fluctuations [27]. Secondly, as the cavity
resonance red-shifts are mainly determined by two factors (i.e.
the wavelengths and powers of the pump lasers), the influence
of the laser frequency drifts could be reduced by adjusting the
pump powers. Consequently, the red-shifts could be
controllable.
Firstly, for the near-term use, narrower bandwidth MPFs with
maintaining the high tuning efficiencies are easy to be realized
by utilizing the PC cavities with higher Q factors [17].
Secondly, the MPFs with wideband could be useful for
microwave frequency measurements with large measurement
ranges [13]. Thirdly, with the development of the microwave
technology and communication systems, higher microwave
frequencies (40 GHz) would be utilized in the future. In this
case, the communication system would need microwave filters
to filter out large band unwanted signals.
To date, different nonlinear effects are utilized to realize
tunable MPFs. However, the power consumption of the SBS
effect in the chalcogenide devices [8], [11] and the silicon
nanowire [12], and the Kerr comb in the silicon nitride MRR
[4] are tens of milliwatts. Moreover, the frequency and
bandwidth tuning efficiencies of most MRR-based MPFs are
lower than 25 GHz/mW [9], [10] and 2.5 GHz/mW
[15], [28], respectively. In contrast, by utilizing the cascaded
PC cavities in this paper, the MPF frequency and bandwidth
tuning efficiencies could realize up to 110.2 GHz/mW and 92.4
GHz/mW respectively which are much higher than previous
performances. Therefore, the proposed device is competent to
build on-chip energy-efficient all-optical systems [29].
IV. CONCLUSIONS
We have experimentally demonstrated a microwave filter
based on the silicon PC L3 cavities. With advantages of all-
optical control and ultra-high tuning efficiencies, the MPFs with
tunable frequency and bandwidth has many significant
applications in on-chip microwave systems.
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