Optical Modulators

Direct Vs External Modulation

Optical Modulation is the process by which a light wave is
modulated (modified) according to a high-frequency electrical
signal that contains information. These modified light waves are
then transmitted either by a transparent medium or through an
optical fiber cable.
 Direct Modulation(DM)
▪ In DM, the driving current of the laser diode is changed directly with the
electrical information signal in order to generate a changing optical power
signal.
▪ So, it does not require individual optical modulators for the modulation of
the optical signal.
▪ The major drawback of DM is its association with carrier dynamics , that
is, the carrier lifetimes of spontaneous and stimulated emission along
with photon lifetime of the source.
▪ In DM, the laser diode turns on and off according to the electrical signal or
the driving current. This causes laser linewidth somehow gets widened.
This widening of laser linewidth is known as chirp. The chirp causes
signal dispersion.
▪ Due to this reason, direct modulation technique becomes unsuitable for
data rates above 2.5 Gbps.
▪ Advantage : low-cost compared to external modulator
External Modulation
▪ In external modulation, separate optical modulators are used that
performs the modification of optical signals in order to change the signal
characteristics
▪ It is basically used to modulate the signals having data rates of more than
10 Gbps.
▪ External modulators can work at bandwidth or speed of 100GHz or
more while directly modulated lasers are limited by carrier dynamics to
speeds of less than 30 GHz.
 Two Modulators in Widespread Use
1. Lithium Niobate (LiNob3) Mach Zehnder (MZ) modulator
2. III-V semiconductor electro-absorption modulators (EAM)
▪ Only Lithium Niobate LiNob3 MZ modulator is widely used as stand alone external
modulator
▪ LiNob3 MZ modulator provides a very good control of chirp than EAM; chirp
control is the major choice factor for external modulator.
▪ LiNob3 MZ modulator provide low optical loss ,low drive current, sufficient
electrical bandwidth, wide optical bandwidth, Pigtailed to single mode optical
fibers
▪ EAM doesn’t control chirp, and doesn’t have low loss and high bandwidth. Its key
advantage over LiNob3 MZ modulator is its ability for monolithic integration with
semiconductor laser source.
 Defining Characteristics of Modulator
▪ There are three basic elements that define optical modulator:
▪ the material,
▪ the modulator design (waveguide layout),
▪ the electro-optic effect used.

Material Modulator Design Electro-Optic Effect

Lithium Niobate
Other inorganic crystals
Polymers
Organic crystals
III-V Semiconductors
and Silicon
Mach Zehnder modulator
Resonant (e.g. Ring)
Directional coupler
Compound (e.g. Cascaded MZs)
Electro absorption modulator
(EAM)
Linear electro-optic (Pockels
Quadratic electro-optic effect (kerr)
Electro absorption
Carrier density (plasma effect, band filling, band
shrinkage)
 Electro-optic Devices
• In many applications, it is necessary to control optical waves with externally
applied signals to perform such functions as modulation, switching, deflection,
isolation, frequency shifting, and polarization rotation of optical signals.
• Depending on the nature of the external control signal, these functions can be
accomplished through the interactions of an optical wave with an electric field, a
magnetic field, an acoustic wave, or another optical wave.
• Generally speaking, these interactions are all nonlinear optical phenomena.
• Nevertheless, electro-optic, magneto-optic, and acousto-optic effects each have
very specific characteristics.
• Many useful devices have been developed based specifically on these effects
for many important functions, such as optical modulation and optical switching
1. Electro-optic effects :
▪ The optical property of a dielectric material can be changed through an
electro-optic effect in the presence of a static or low-frequency electric
field E0.
▪ The result is a field-dependent susceptibility and thus a field-
dependent electric permittivity:

▪ The total permittivity of the material in the presence of the applied field is
then
• The dielectric permittivity tensor ϵ(ω) in the absence of an applied electric
field is diagonal in the coordinate system defined by the intrinsic principal
dielectric axes, xˆ, yˆ, and zˆ, of the dielectric material.
• The electro-optically induced changes usually generate off-diagonal elements
in addition to changing the diagonal elements,

in the coordinate system of xˆ, yˆ, and zˆ axes

• For a dielectric material ϵ is a symmetric tensor. This remains true for an
electro-optic material subject to an applied electric field. Therefore , for field-
dependent permittivity tensors ,

• The electro-optically induced nondiagonal permittivity tensor, ϵ (ω, E0 can be

diagonalized.
• Its orthonormalized eigenvectors, Xˆ , Yˆ , and Zˆ , are the new principal dielectric
axes of the material in the presence of an applied electric field E0
• In general, they depend on the direction of E0. If the unit vectors Xˆ , Yˆ , and Zˆ
are expressed in terms of xˆ, yˆ, and zˆ as
• The transformation between the old coordinate system defined by xˆ, yˆ, and zˆ
and the new coordinate system defined by Xˆ , Yˆ , and Zˆ can be carried out using
the following transformation matrix:

• Because both sets of vectors, {xˆ, yˆ, zˆ} and {Xˆ , Yˆ, Zˆ}, that define the
transformation matrix T are orthonormal unit vectors, the transformation
characterized by the matrix T is an orthogonal transformation with the
convenient characteristic that T-1 = T˜ , where T˜ is the transpose of T.
• The relation in between old and new principal axes can be written
• The transformation of the coordinates of any vector r = xxˆ + yyˆ + zzˆ = X Xˆ +
Y Yˆ + Z Zˆ in space is given by

• Accordingly, the field components in the two coordinate systems are related through

• Diagonalization of ϵ(ω, E0) to obtain its eigenvalues can be carried out using
T as
• The propagation characteristics of an optical wave in the presence of an electro-
optic effect are then determined by ϵX, ϵY , and ϵZ with the following new principal
indices of refraction:

• The discussions above describe a formal and systematic approach to treating an

electro-optic effect in terms of changes in the permittivity tensor.
• However, electro-optic effects are traditionally defined in terms of the changes in the
elements of the relative impermeability tensor, η=[η]ij =(ϵ/ϵ0)-1 , as
η(E0) = η + Δη(E0), which is expanded in the following form
• where the first term ηij = ηij(0) is the field-independent component, the
elements of the rijk tensor are the linear electro-optic coefficients
known as the Pockels coefficients, and those of the sijkl tensor are the
quadratic electro-optic coefficients known as the Kerr coefficients.
• The first-order electro-optic effect characterized by the linear
dependence of ηij(E0) on E0 through the coefficients rijk is called the
linear electro-optic effect, also known as the Pockels effect.
• The second-order electro-optic effect characterized by the quadratic
field dependence through the coefficients sijkl is called the quadratic
electro-optic effect, also known as the Kerr effect.
• Both linear and quadratic electro-optic effects are nonlinear optical
effects.
• The Pockels effect does not exist in a centrosymmetric material, which is a material that possesses
inversion symmetry.
• The structure and properties of such a material remain unchanged under the transformation of space
inversion, which changes the signs of all rectangular spatial coordinates from (x, y, z) to (-x, -y, -z), and
those of all polar vectors, or ηij(E0) = ηij(-E0) → Pockels coefficients rijk vanish.

• The Pockels effect exists only in noncentrosymmetric materials, while the Kerr effect exists in all
materials, including centrosymmetric ones .
• Indices i and j are associated with optical fields, while indices k and l are associated with the low-
frequency applied field.
• Because ηij = ηji and Δηij =Δ ηji, indices i and j can be contracted using the index contraction rule. Thus,

where α = 1, 2, . . . , 6
index contraction rule
• From the relation that η = (ϵ/ϵ0)-1 , it can be seen that η in the absence of
E0 is a diagonal tensor in the coordinate system defined by xˆ, yˆ, and
zˆ with the following eigenvalues:

where nx, ny, and nz are the principal indices of refraction of the
material in the absence of an applied electric field.
• In the presence of an applied field, η(E0) is generally not diagonal in
this coordinate system. Using the relation η · ϵ/ϵ0 = 1, the relation
between Δϵ and Δη can be found:
When η and ϵ in the absence of E0 are diagonalized, the relations in can be written
explicitly as

• Changes in the optical property of the material induced by an electro-optic effect

deform the index ellipsoid into a new one described by

• To find the principal axes of this new ellipsoid and their corresponding principal
indices of refraction, we can perform a coordinate rotation in space to eliminate
the cross product terms containing yz, zx, and xy. This procedure is the same as
the coordinate rotation used to diagonalize ϵ and index ellipsoid equation is
transformed into
▪ Transformation of index ellipsoid by an
electro-optic effect
▪ An electro-optic effect transforms an index
ellipsoid originally aligned with the x, y, and z
coordinates that are defined by the original
principal axes xˆ, yˆ, and zˆ into a new one
aligned with the X, Y , and Z coordinates that
are defined by the new principal axes Xˆ , Yˆ ,
and Zˆ .
▪ Meanwhile, the principal indices of refraction
have been changed from nx, ny, and nz to nX,
nY , and nZ.
2. Pockels effect :
• The majority of electro-optic devices are based on the Pockels effect.
• Structurally isotropic materials, including all gases, liquids, and amorphous solids such as glass,
show no Pockels effect because they are centrosymmetric.
• Among the 32 point groups in the 7 crystal systems, 11 are centrosymmetric, and the remaining 21
are noncentrosymmetric .
• Among the cubic crystals, C, Si, and Ge are centrosymmetric materials of diamond structure that
show no Pockels effect, whereas GaAs, InP, and other III–V semiconductors are
noncentrosymmetric materials that have nonvanishing Pockels coefficients.
• For the Pockels effect
Few definitions:
• A unique axis in a crystal along which an optical wave can propagate with an index
of refraction that is independent of its polarization direction is called the optical axis
of the crystal
• For an anisotropic crystal that has only one distinctive principal index among its
three principal indices, there is only one optical axis, which coincides with the axis
of the distinctive principal index of refraction. Such a crystal is called a uniaxial
crystal.
• It is customary to assign zˆ to this unique principal axis. The identical principal
indices of refraction are called the ordinary index, no, and the distinctive index of
refraction is called the extraordinary index, ne. Thus, nx = n y = no and nz = ne.
• The crystal is called positive uniaxial if ne > no and is negative uniaxial if ne < no.
• For a crystal that has three distinct principal indices of refraction, there are two
optical axes, neither of which coincides with any one of the principal axes. Such a
crystal is called a biaxial crystal because of the existence of two optical axes.
Index changes and rotation of principal axes :
▪ Depending on the symmetry of a specific material being used and the direction of
the electric field being applied to the material, the index changes induced by the
Pockels effect may or may not be accompanied by a rotation of principal axes.
This fact is best illustrated through real examples
▪ We first consider LiNbO3, which is a negative uniaxial crystal of 3m symmetry.
▪ The following analysis applies equally to other 3m crystals although some of them,
such as LiTaO3, are positive uniaxial crystals
• The field-dependent dielectric permittivity tensor can be found:
• The new principal axes Yˆ and Zˆ are rotated away from yˆ and zˆ while Xˆ remains the same as xˆ:

• The angle of rotation ϴ and the new principal indices of refraction can be found by eliminating the
yz term in ellipsoid equation, or, equivalently, by diagonalizing ϵ(E0) through a transformation
matrix T.
• For LiNbO3, since no > ne and n2o - n2e >> |n2on2er42E0y| > |n4or22E0y| for any E0y below the
material breakdown field of the order of 100 MVm-1, it can be shown that
Because r33 is the largest electro-optic coefficient of LiNbO3, the largest index change
is obtained in nZ when the electric field is applied along the z axis.
Example : Find the index changes and the birefringence at λ = 1 µm caused by an electric field of
E0 = 1 MV m-1 applied to LiNbO3, in a direction along the z principal axis of the crystal .

Solution: The values of the Pockels coefficients and the refractive indices for LiNbO3 r13=8.6x10-12 ,
r33=30.8x10-12, n0 =2.238, ne=2.159 respectively. For LiNbO3, an electric field applied along its z axis
does not rotate its principal axes but only causes changes in its refractive indices. The crystal remains
uniaxial . We find that the change in the ordinary index
3. Electro-optic modulators

▪ The index changes induced by the Pockels effect can be utilized to

construct a variety of electro-optic modulators, in either bulk or
waveguide structures.
▪ An electro-optically induced rotation of principal axes is not required for
the functioning of an electro-optic modulator though it often accompanies
the index changes.
▪ However, the directions of the principal axes in the presence of an
applied electric field, whether rotated or not, have to be taken into
consideration in the design and operation of an electro-optic modulator.
3.1. Phase modulators
• The phase of an optical wave can be electro-optically modulated.
• For this type of application, the optical wave is linearly polarized in a direction
that is parallel to one of the principal axes, Xˆ , Yˆ , or Zˆ , of the crystal in the
presence of a modulation field.
• The preferred choice is a principal axis that has a large electro-optically
induced index change but remains in a fixed direction as the magnitude of the
modulation electric field varies .
• In LiNbO3, this can be accomplished by applying the electric field along the z axis,
as shown in Figure below. In this case, Xˆ = xˆ, Yˆ = yˆ, and Zˆ = zˆ, as discussed
earlier
• There are two possible arrangements:
• transverse modulation, where the optical wave propagates in a direction
perpendicular to the modulation field, as shown in Fig. (a), and
• longitudinal modulation, where the modulation field is parallel to the
direction of optical wave propagation, as shown in Fig.(b)

Figure : (a) LiNbO3 transverse electro-optic phase modulator. (b) LiNbO3 longitudinal electro-optic phase
modulator. The xˆ, yˆ, and zˆ unit vectors represent the original principal axes of the crystal, and Xˆ , Yˆ , and Zˆ
represent its new principal axes.
A. Transverse phase modulators
• We first consider the situation of the transverse phase modulator ,where the
optical wave propagates in the X direction.
• In this case, the optical wave can be polarized in either the Z or Y direction.
• If it is linearly polarized in the Z direction, its space and time dependence can
be written as kZ or kZ

where V = E0zd is
the voltage applied to the modulator
• For a sinusoidal modulation of a frequency f =Ω/2π, the modulation
voltage can be written as

which has a peak value of Vpk.

• The optical field at the output plane, X = l, of the crystal is
• ϕpk is the peak phase shift known as the phase modulation depth for
the Z-polarized optical field.
• Using the Bessel-function identities

• Thus, a series of side bands at the harmonics of the modulation frequency are
generated on both high-and low-frequency sides of the optical carrier
frequency by the sinusoidal phase modulation
• If the optical field is instead linearly polarized in the Y direction, the phase shift
after propagation through the crystal is

• The phase modulation depth is then

• Since no ≈ ne but r33 ≈ 3.6r13, it can be seen that for a desired modulation depth,
the modulation voltage required for a Y -polarized optical wave is about 3.6
times that for a Z-polarized wave.
B. Longitudinal phase modulators
• For the longitudinal phase modulator an optical wave of any polarization in the
XY plane will experience the same amount of phase shift because nX = nY .
• For a crystal of length l , we have

where V = E0z l for the longitudinal modulator.

• Therefore, with a sinusoidal modulation voltage,
the modulation depth of the longitudinal phase modulator is

which is independent of crystal length l

Important Observations:
• It is seen that the voltage required for a given modulation depth is independent of the
physical dimensions of the modulator in the case of longitudinal modulation, while it is
proportional to d/l in the case of transverse modulation.
• One advantage of transverse modulation is that the required modulation voltage can be
substantially lowered by reducing the d/l dimensional ratio of a transverse modulator.
• Another advantage is that the electrodes of a transverse modulator can be made with
standard techniques and can be patterned if desired, while those of a longitudinal
modulator have to be made of transparent conductors that can be very difficult to
fabricate in the dimensions of a typical optical waveguide.
• However, if a large input and output aperture is desired such that d/l > 1, it becomes
advantageous to use longitudinal modulation rather than transverse modulation.
• The relative advantages and disadvantages of transverse versus longitudinal modulation
discussed above also hold true for the polarization and intensity modulators.
Example: As a practical example, consider the LiNbO3 transverse and longitudinal
phase modulators , where the modulation voltage is applied along the z axis of the
crystal. Find the required voltage Vpk for a phase modulation depth of ϕpk = π at λ =
1 µm for optical waves of different polarizations.
Solution: We first consider the transverse modulator. Using the parameters are r13 =
8.6 pm V-1, r33 = 30.8 pm V-1, ne = 2.159, and no = 2.238 given in previous Table for
LiNbO3, the peak voltage required to have ϕpk = π for a Z-polarized wave is found
to be

we find that the required peak voltage for a Y -polarized wave is

For the longitudinal modulator, the optical wave is polarized in the XY
plane we find that the peak voltage required for ϕpk = π is always

irrespective of the dimensions of the longitudinal modulator or the polarization of

the optical wave !!
C. Polarization modulators

• In the operation of an electro-optic polarization modulator, the

optical wave is not linearly polarized in a direction that is parallel to
any of the principal axes in the presence of the modulation field.
• The optical field can be decomposed into two linearly polarized
normal modes.
• If the two normal modes see different field-induced indices of
refraction, there is a field-dependent phase retardation between the
two modes.
• The polarization of the optical wave at the output of the crystal can
then be controlled by the modulation field
• The LiNbO3 transverse modulator discussed above becomes a polarization
modulator if the input optical field polarized in the Y Z plane is parallel to neither
Yˆ nor Zˆ :

Figure: (a) LiNbO3 transverse electro-

optic polarization modulator. (b) GaAs
longitudinal electro-optic polarization
modulator. The xˆ, yˆ, and zˆ unit vectors
represent the original principal axes of the
crystal, and Xˆ , Yˆ , and Zˆ represent its
new principal axes
• At the output, we have

Δφ is the phase retardation between the Y and Z components . From transverse

modulator section, we have
• The intrinsic birefringence of a uniaxial LiNbO3 crystal causes a voltage-
independent background phase retardation of ϕ0 = 2π(no - ne)l/λ at V = 0 in the
absence of an applied field .
• An applied field causes an additional voltage-dependent phase retardation.
• The output polarization state of a given input optical wave with nonvanishing Y
- and Z-field components can be varied by varying the modulation voltage.
• Thus, the device functions as a voltage-controlled polarization modulator.
• For proper operation of the device as a voltage-controlled polarization modulator,
the background phase retardation can be compensated by a fixed bias voltage.
• To find the compensation bias voltage, we note that any phase retardation that is
an integral multiple of 2π has no net effect on the polarization of the optical
wave at the output of the device .
• Therefore, the net effect of the background phase retardation can
be evaluated by expressing
• The polarization of the output wave is actually only determined by the
following differential phase retardation:

• A fixed bias voltage for compensation of the background phase

retardation can then be chosen as
• The LiNbO3 longitudinal modulator cannot function as a polarization modulator
because nX = nY .
• Instead, we consider the GaAs longitudinal modulator.

for GaAs longitudinal modulator

• In comparison with the LiNbO3 transverse modulator, the advantage of GaAs

modulator is no requirement of bias voltage.
3.2. Guided-wave electro-optic modulators
• Optical waveguides possess many unique characteristics that do not exist in bulk optics.
• An important one is their ability to guide optical waves within a small cross-sectional
area over a long distance.
• This allows for the possibility of using the transverse modulation scheme to realize very
efficient modulators at very low modulation voltages.
• In bulk optics, the ratio of the length to the cross-sectional dimensions is limited by the
diffraction effect, limiting the advantage that can be realized using transverse modulation.
This limitation does not exist in waveguide optics.
• Another unique characteristic is the existence of waveguide modes.
• This results in many phenomena that have no counterpart in bulk optics, such as mode
coupling, mode conversion, and modal dispersion.
• These unique features are the basis of many devices that take advantage of the
waveguide configuration.
• In addition, guided-wave electro-optic devices are important building-block components of
integrated optical and integrated optoelectronic systems.
TE like modes TM like modes

Figure : Configurations for applying a modulation field to a buried

waveguide through surface-loading electrodes. In (a), E0 is applied to the
waveguide. In (b), E0⊥ is applied. The buffer layer in (b) is required to reduce
loss to TM-like modes.
• Figure above shows the two commonly used approaches for buried waveguides,
particularly the Ti-diffused LiNbO3 waveguides, using surface-loading electrodes.
• In a waveguide, the modulation electric field applied to a particular waveguide mode
depends on a number of parameters, including the geometric dimensions of the
waveguide structure and the optical field distribution of the mode
• The effect of electro-optic modulation in a waveguide can be calculated using the
coupled-mode theory
• For modulation on a single mode, the effect is to introduce a change in the propagation
constant of the mode. This change is equal to the self-coupling coefficient of the mode
given by

where Δϵ is the electro-optically induced change in the dielectric permittivity tensor

and ρ is the two-dimensional vector in the cross-sectional plane of the waveguide
Figure : Waveguide phase modulators in (a) an x-cut, y-propagating LiNbO3
crystal and (b) a z-cut, x-propagating LiNbO3 crystal. The xˆ, yˆ, and zˆ unit
vectors represent the principal axes of the crystal.
Example:
We consider phase modulation of a TE-like mode in a waveguide modulator that is
fabricated in a LiNbO3 crystal with the crystal surface perpendicular to the x principal
axis and the longitudinal direction of the waveguide parallel to the y principal axis
(y propagating in an x-cut crystal ). Formulate the propagation constant of the mode!
➢ The modulation field appearing in the waveguide area is E0\\ , which is E0z in this
configuration. Because a TE-like mode of this waveguide is predominantly polarized
in the z direction and

where V is the applied

voltage, se is the separation
between the electrodes, βTE
is approximated by neω/c
• ΓTE is the overlap factor, which accounts for the overlap between the modulation
electric field and the optical mode. The overlap factor has a value between 0 and 1.
• The total electro-optically induced phase shift of this mode over length l of the
modulator is
• The net effect for a waveguide mode ν can be approximated by using a single uniform
effective modulation electric field given by

• where Γν is evaluated using the appropriate modulation field component for the device
configuration under consideration.
• For example, E0\\ is used for the electrode configuration in Fig. (a), while E0⊥ is used for the
configuration in Fig. (b).
• The value of Γν depends on the electrode configuration and is different for different
waveguide modes in the same structure.
• For a given configuration and a given waveguide mode, it increases monotonically as the ratio
of the electrode separation to the horizontal waveguide width increases.
A. Mach–Zehnder waveguide interferometers

▪ Guided-wave electro-optic phase modulators can be used to construct

waveguide interferometers for effective amplitude modulation of guided
optical waves.
▪ A Mach–Zehnder waveguide interferometer consists of two parallel
waveguides connected at the input and output ends, respectively, by
beam-splitting and beam-combining optical couplers.
▪ These couplers can be Y-junction waveguides or directional couplers
 Based on Y-
junction
waveguides

Figure: Mach–Zehnder waveguide interferometric modulator using Y

junctions fabricated on (a) an x-cut, y-propagating LiNbO3 substrate and (b)
a z-cut, x-propagating LiNbO3 substrate. The xˆ, yˆ, and zˆ unit vectors
represent the principal axes of the crystal.
 Based on
directional
couplers

Figure : Balanced-bridge interferometers fabricated on z-cut, x-propagating LiNbO3 substrates using

(a) bent waveguides and (b) straight waveguides. Isolation between the two arms of the interferometer is
accomplished with a large separation in (a) and an etched slot in (b). The xˆ, yˆ, and zˆ unit vectors
represent the principal axes of the crystal
• Modulation electric fields are applied to two parallel waveguides, which form the two
arms of the interferometer and are sufficiently separated to avoid direct coupling between
them.
• Each waveguide by itself functions as an electro-optic phase modulator.
• Constructive or destructive interference occurs at the output coupler if the phase
difference between the two arms is, respectively, an even or odd multiple of π.
• By electro-optically controlling this phase difference through the applied voltage, the
amplitude of the guided optical field at the output can be modulated .
• Consider the Mach–Zehnder waveguide interferometer in Fig.below that uses Y-junction
couplers and fabricated in an x-cut, y-propagating LiNbO3 crystal.
• To use the largest electro-optic coefficient r33 in LiNbO3, both the modulation
electric field and the optical field have to be polarized in the z direction.
• This requirement can be fulfilled by using the electrodes for TE-like modes.
• In this electrode configuration, the modulation voltage is applied to the central
electrode while the outer electrodes are grounded.
• The modulation electric fields appearing in the two arms point in opposite
directions, resulting in a push–pull operation with equal but opposite phase
shifts in the optical waves propagating through the two arms.
• For an interferometer with identical arms, any other background phase shifts are
exactly canceled.
• Thus the total phase difference is twice the electro-optically induced phase shift in
each arm.
• If the two arms are identical single-mode waveguides, the phase difference induced by a
modulation voltage V for a TE-like mode is

• Vπ is the half-wave voltage corresponding to a phase difference of π between the two

arms. For a TM-like mode, we have

• The half-wave voltage for a TM-like mode is more than three times that for a TE like
mode of a similar overlap factor.
• Therefore, this particular interferometer favors operation with a TE-like mode.
Example: A Mach–Zehnder waveguide interferometric modulator for λ = 1.3 µm
using Y junctions consists of two parallel x-cut, y propagating LiNbO3 single-mode
waveguide phase modulators with se = 20 µm in a push–pull configuration. Both
waveguides have ΓTE = ΓTM = 0.57 and l = 12.5 mm. Find the half-wave voltages for
the TE-like and TM-like modes, respectively.

Solution: We find that Vπ for the TE-like mode is

we find that no = 2.222 for LiNbO3 at λ = 1.3 µm. Therefore, we find that Vπ for the
TM-like mode is
• In comparison, consider Mach–Zehnder interferometer fabricated on a z-cut, x-
propagating LiNbO3 substrate.
• In this configuration, the electrodes have to be placed directly over the waveguides in
order to use r33.
• For a push–pull operation with equal but opposite phase shifts in the two arms of
this interferometer, only two electrodes are needed with one receiving the modulation
voltage and the other grounded.
• This interferometer favors a TM-like mode, which has a lower half-wave voltage
of

than the half-wave voltage of

for a TE-like mode of a similar overlap factor

• For a Mach–Zehnder waveguide interferometer using Y junctions, if both input and
output Y junctions are ideal 3-dB couplers, the power transmittance for a specific
guided mode is

• For applications as a small-signal amplitude modulator, the device can be

operated with a fixed bias voltage of Vb = Vπ/2 or -Vπ/2 for linear response.
• For applications as an ON–OFF modulator, no bias is needed.
• The maximum transmittance in the ON state versus the minimum transmittance in
the OFF state is defined as the extinction ratio.
• It is usually measured in decibels:
• One important advantage of the waveguide interferometer is that a
very high extinction ratio can be accomplished with single-mode
structures at a low modulation voltage.
• The major source of incomplete extinction in the OFF state comes
from the imbalance between the two arms due to small fabrication
errors, but a single-mode waveguide interferometer is very tolerant
of this small imbalance.
• In a multimode structure, however, different modes have different
Vπ because Γ is different for different modes.
• Because this variation results in different Δϕ for different modes at a
specific modulation voltage, a high extinction ratio is difficult to
accomplish when more than one mode is excited.