Planar Slab Waveguide

The Planar Slab Waveguide
Basic Optical ‘Wire’

Revised: 10/26/21 05:41 PM
10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 1

Photonic Integrated Circuits



The Integrated Waveguide
cover or
clad
To understand this …
channel
buried waveguide substrate
or even this … “Real” Waveguides

nguide ( x )
nmax x
channel
nmin
diffused or substrate
x
graded index
waveguide

… we first need to understand this.
cover nc
channel or film nf
substrate ns
The “Slab” Waveguide
We will assume: n f  ns  nc

The Planar Slab Waveguide – Simplest Optical Waveguide
Extends to infinity in the + y and + z directions.
x
z
cover nc
y
n f  n s  nc h channel or film nf
substrate ns
Idealized, but extremely useful on a practical level.

The Infinite Slab Waveguide – Simplest Optical Waveguide
Note the origin of the
n f  ns  nc coordinate system is at
the top surface.
x
Cover nc
z
Guiding Film nf h y
Substrate ns
jt
Sinusoidal steady-state: e Structure extends to ∞ in ±y and ±z directions
Examine propagation in the positive z-direction: e  jk z z  e  j z

Since we have a two-dimensional structure we can consider modes
with no y-variation: ¶ ¶yWhy?
=0

Since we have a 2-D structure we choose the coordinate

system judiciously. Rotate the
nc coordinate
¶ x system in the y-
¹0 z plane so that:
¶ y¢
z ¶
=0
y ¶y
x
y¢ nf Choose this
z¢ coordinate system
ns Extends to ∞ in ±y’ and ±z’ directions
This choice for the coordinate system simplifies analysis

tremendously.
We often speak of
Waveguide
Transverse and Longitudinal Planes: l an
e Axis
P
n al
di
The transverse plane is perpendicular ti u
ong
to the waveguide axis while the L
longitudinal plane runs along the

waveguide axis.
Transverse Plane
Waveguide

Two Possibilities – TE and TM Modes
We’ll do TE modes. TM modes are left as an exercise.

x
Transverse Electric (TE) Transverse Magnetic (TM) nc
   z
H k  E y
H h nf
x 

Side view E k ns
n f  n s  nc
nc y
Front view: TE
TM nf x
z
ns
Solution for the TE Fields
Start with the wave equation in rectangular coordinates.
For a TE field (from previous figure):

Sinusoidal steady-state (monochromatic) time variation
i.e., k z º b
Examine propagation in the positive z-direction
¶2 2 No y-variation
2
=- w
¶t
¶2 ¶z 2 =- b 2

¶2 E y ¶2 E y
¶x 2 ( )
+ w 2 m oei - b 2 E y =0 Þ
¶x 2 (
+ ni 2 ko 2 - b 2 E y =0)
Which index? We have three: n f  n s  nc
x
Transverse Electric (TE) Transverse Magnetic (TM) nc
   z
H k  E
H h nf y
x 

E k ns

Which index? We have three.
2Ey
  nc 2ko 2   2  E y  0, x0
x 2
2Ey
  n f 2ko 2   2  E y  0, h  x  0
x 2
2Ey
  ns 2ko 2   2  E y  0, x  h
x 2

What keeps the light in the waveguide?
How does the wave equation capture this?
¶2 E y d 2
y
¶x 2
+(n 2 2
k
i o
- b 2
E y
=0 Þ)dx 2
+ a 2
y =0

The solution to the wave equation has two and only two
possibilities:
d2 y 2
The wave equation is of the form: 2
+ a y =0
dx
The only possible solutions are:
y ( x ) = Asin ax + Bcos ax ü ï 2
ý
+ jax (sinusoidal)
, a >0
y ( x ) = A¢e + B ¢e - jax
ï
þ
Or
y ( x ) =Ce+ax + De- ax ü
ï 2
ý ,
(exponential) a <0
y ( x ) =C ¢sinh ax + D ¢cosh ax ï
þ
These must describe the desired waveguide behavior.
Two Possible Solutions: Sinusoidal or exponential
Depicted below is the solution corresponding to a guided

mode.
x nc Decaying in x
z nf Oscillatory in x
ns Decaying in x
End View

How do we make this happen?
Consider the wave equation:
Let:
k f = n f 2 ko 2 - b 2
g s = b 2 - ns 2 ko 2 , gc = b 2 - nc 2 ko 2
The solution is oscillatory in x
For n f 2 ko 2 - b 2 =k 2f > 0, (
E yfilm = Acosk f x + Bsink f x e- jb z , - h £x £ 0 )
E ysubstrate =Ce s ( ) e- ,üThe solution x £ - h
+g x+h jb z
For ns 2 ko 2 - b 2 =- g s2 < 0,
- g x - jb z
ý is decaying
in x
For nc 2 ko 2 - b 2 =- gc2 < 0, cover
E y =De e , þ ï
c
x³0

Wavevector inside the waveguide: (for: b < n f ko )
Consider:
Wavevector: We have the simultaneous superposition

of these tow plane waves, i.e., an
interference pattern.
For a waveguide, we want the ray to “zigzag” down the
x
guide via TIR at each boundary Cover nc
Transverse z
Component k Ray Guiding
f
of Wavevector Film
 Longitudinal Component nf
of Wavevector
AKA the Phase Constant
ns Substrate
Nature of the Fields (TE & TM) Three Possibilities:
n2
Condition for TIR: sin q i ³
n f  n s  nc n n1
2
n1 > n2
qi
1) Radiating
x
nc Cover
z
! nf Guiding Film y
k f
ns Substrate
Radiating
Known as radiation modes

n f  n s  nc
TIR condition at See triangle below
upper interface:
2) x
Evanescent nc Cover
TIR TIR
z
q c
i nf Guiding Film y
!
k f ns Substrate
Radiating k x =k f
qi
tanq i =k z k x , kz =n f ko sin qi
k z =b
Known as substrate modes Expanded on next
slide

qi
k z =b
kz
tanq i = Þ k z =k x tan qi =n f ko cosqi
kx

n f  ns  nc k x =k f qi
tanqi =k z k x , k z =n f ko sin qi
3) This is the guided mode k z =b
Evanescent x
nc Cover
TIR
! z
k f qis
nf Guiding Film y
TIR
ns Substrate
Evanescent
TIR condition at
lower interface:
Since ns > nc this condition wins.

Nature of the Fields (TE & TM):
k x =k f k f =n f ko , b =0
NOT TO SCALE!
TIR at cover
k f = n2f - nc2 ko , b =nc ko
e
Mod
TIR at cover & substrate
tion
e
od
k f = n2f - ns2 ko , b =ns ko
M
ia
e
Rad
t
tra
bs
Su
Circle with
k f =0, b =n f ko
radius nf ko Guided Mode Regime
k z =b
0
As we will soon see,
the actual range for a
guided mode is actually
quite small.

Nature of the Fields (TE & TM): n f > ns > nc
Oscillatory Evanescent Evanescent
nc 2 ko 2   2  0 nc 2 ko 2   2  0 nc 2 ko 2   2  0
Oscillatory Oscillatory Oscillatory
n f 2 ko 2   2  0 n f 2 ko 2   2  0 n f 2 ko 2   2  0
Oscillatory Oscillatory Evanescent

n s 2 ko 2   2  0 ns 2 ko 2   2  0 ns 2 ko 2   2  0
g c =0 gs =0

0 nc ko ns ko n f ko
k
k k k k
k max =n f ko
k min =0
b max =n f ko
b b b b
nc ko ns ko
b min =0
Nature of the Fields
n f  n s  nc

nc 2 ko 2   2  0 nc 2ko 2   2  0 nc 2 ko 2   2  0
n f 2 ko 2   2  0 n f 2 ko 2   2  0 n f 2 ko 2   2  0

ns 2 ko 2   2  0 ns 2 ko 2   2  0 ns 2 ko 2   2  0
Guided Mode
ns ko    n f k o

0 nc ko ns k o n f ko

Nature of the Fields n f  ns  nc
Understand this thoroughly!

nc 2 ko 2   2  0 nc 2 ko 2   2  0 nc 2 ko 2   2  0
n f 2 ko 2   2  0 n f 2 ko 2   2  0 n f 2 ko 2   2  0

ns 2 ko 2   2  0 ns 2 ko 2   2  0 ns 2 ko 2   2  0
Radiation Mode Substrate Mode Guided Mode
ns ko    n f k o

0 =b min nc ko ns k o n f ko =b max
Wave Equation for the Slab Waveguide – TE* Modes:
¶2 E y
Cover :
¶x 2
- b 2
(
-
  
n )
2 2
k E y =0,
c o
x³0
g c2 > 0
¶2 E y
Film :
¶x 2
+ n k(
2 2
f o
  
- b)2
E y =0, - h £x £ 0
k 2f > 0
¶2 E y
Substrate :
¶x 2
- b 2
(
-
  
n )
2 2
k E y =0,
s o
x £- h
gs2 > 0
*Had we not chosen the coordinate system so that d/dy = 0 the TE/TM
designation mode designation would not have been possible.

Electric Field for the Slab Waveguide – TE Modes:
Purely for
aesthetics!

Boundary Conditions – TE Modes:
Tangential E and H are continuous at the boundaries.
The magnetic field is obtained from Maxwell’s Equations:

Boundary Conditions – TE Modes:
For TE modes only Ey is present:
¶ Ez ¶E y
- =- jkoh o H x Þ jb E y =- jkoho H x
¶y ¶z
¶ Ex ¶ Ez
- =- jkoho H y Þ 0 =- jkoho H y
¶z ¶x
¶E y ¶Ex ¶E y
- =- jkoho H z Þ =- jkoho H z
¶x ¶y ¶x
The components of the magnetic field are Hx and Hz, but the
only Hz is tangential to the boundary at x = 0, – h.

Magnetic Field for the Slab Waveguide – TE Modes:
ì - g cx
ï Ae , x³0
ï
( ) ( )
E y ( x ) =í Bcos k f x + C sin k f x , - h £x £ 0
ï +gs ( x+h )
ï
î De , x £- h
Tangential H-field:
ì - g cx
ï - g c
Ae , x³0
j ¶E y j ï
Hz ( x) =
koh o ¶x
=
koho ï f
( ( ) ( ))
í k - Bsin k f x + C cos k f x , - h £x £ 0
+g x+h
ï gs De s ( ) , x £- h
î

Boundary Conditions for Electric Field – TE Modes:
ì - g cx
ï Ae , x³0
ï
( )
E y ( x ) =í Bcos k f x + C sin k f x ,( )
- h £x £ 0
ï +gs ( x+h )
ï
î De , x £- h
From ì x =0 : A =B
ï
continuity í
of Ey ï
î
( ) ( )
x =- h : Bcos k f h - C sin k f h =D
Boundary Conditions for Magnetic Field – TE Modes:

ì - g cx
ï - g c
Ae , x³0
j ï
Hz ( x) = ( ( ) ( ))
í k f - Bsin k f x + C cos k f x , - h £x £ 0
koh o ï
+g x+h
ï gs De s ( ) , x £- h
î
From ì x =0 : - gc A =k f C
ï
continuity í
of Hz ï
î
( ) ( )
x =- h : k f Bsin k f h + k f C cos k f h =gs D

Slab Waveguide – TE Modes:
Recall: g c2 =b 2 - nc 2 ko 2 > 0
k 2f =n f 2 ko 2 - b 2 > 0
gs2 =b 2 - ns 2 ko 2 > 0
After a little simplification:
( )f c f û ( )
ék sin k h - g cos k h ù A - g D =0
ë f s
é gc ù
ê
( ) kf ú
( )
êcos k f h + sin k f h ú A - D =0
ë û
How many equations? How many unknowns?

How many equations? How many unknowns?
ék sin k h - g cos k h ùA - g D =0
( ) ( )
ë f f c f û s
é gc ù
ê
( ) kf ú
( )
êcos k f h + sin k f h úA - D =0
ë û
Hint: gc2 =b 2 - nc 2 ko 2 > 0

k 2f =n f 2 ko 2 - b 2 > 0
gs2 =b 2 - ns 2 ko 2 > 0

How many equations? 2
How many unknowns? 3
n f 2 ko 2 - b 2 b 2 - nc 2 ko 2
b - ns ko
2 2 2
Asin ( n f 2 ko 2 - b 2 h - A) b - ns ko
2 2 2
cos ( )
n f 2 ko 2 - b 2 h - D =0
b 2 - nc 2 ko 2
Acos ( )
n f 2 ko 2 - b 2 h + A
n f ko - b
2 2 2
sin ( )
n f 2 ko 2 - b 2 h - D =0

An alternate view: The wave equation is an eigenvalue equation:
The above wave equation can be satisfied only for discrete

values of β. These values of β are called eigenvalues, and
associated solutions for Ey is called the eigenfunctions.
In other words, β2 is (are) the eigenvalue(s) of the operator

¶2 2 2
2
- n k
i o
¶x
Find the value(s) of β that satisfy the equations:
æ k sin k h - g cos k h - gs ö
( ( ) ( ))
A k f sin k f h - g c cos k f h - gs D =0
ç f ( )
f c ( )
f
÷æ A ö æ 0 ö
æ g ö Þ ç g ÷ç ÷=ç 0 ÷
( ) kf
( )
A çcos k f h + c sin k f h ÷- D =0
ç
( ) kf
( )
ç cos k f h + c sin k f h -1 ÷
÷
è D ø è ø
è ø è ø
For this system of homogeneous equations to have a non-trivial

solution (A, D ≠ 0) then the two equations must be dependent,
hence the determinant of their coefficients must be zero:
æ gc ö
( ( ) ( )) ( )
- k f sin k f h - g c cos k f h - çcos k f h + sin k f h ÷( - gs ) =0
è kf ø
( )
Characteristic Equation for the Slab Waveguide – TE Modes:
é gc ù
( )
g s êcos k f h + sin k f h
ê kf
( ) ( )
ú - k f sin k f h + gc cos k f h =0
ú
( )
ë û
Characteristic Equation or Eigenvalue Equation or Dispersion Relation

for the TE modes of the dielectric slab waveguide is:
g s + gc
( )
tan k f h =
g sgc
kf -
kf
k f = n2f ko2 - b 2 , gs = b 2 - ns2 ko2 , gc = b 2 - nc2 ko2
From which we solve for the phase constant β.

Characteristic Equation for the Slab Waveguide:
Characteristic equation or eigenvalue equation for the TM
modes of the dielectric slab waveguide (please verify!).
g s gc
+ 2
kf ns 2
nc
( )
tan k f h =
nf 2 k f 2 gs gc
- 2 2
nf 4 ns nc
k f = n2f ko2 - b 2 , gs = b 2 - ns2 ko2 , gc = b 2 - nc2 ko2

Summary: Characteristic Equations
g + gc
TE Modes ( )
tan k f h = s
gsgc
kf -
kf
g s gc
+ 2
kf ns 2
nc
TM Modes tan ( k f h ) =
nf 2 k f 2 gs gc
-
nf 4 ns 2 nc 2
with: k f = n2f ko2 - b 2 , g s = b 2 - ns2 ko2 , gc = b 2 - nc2 ko2
We solve numerically for the eigenvalue(s) β.

Summary: Characteristic Equation (An Alternate Form)
gs gc
+
g s + gc kf kf
( )
TE Modes: tan k f h =
gg
=
g g
k f - s c 1- s c
kf kf kf
tan A + tan B
Identity: tan ( A + B ) =
1- tan Atan B
gs gc æg ö æg ö
Let: tan ( A) = , tan ( B ) = Þ A =arctan ç ÷, B =arctan ç c ÷
s
kf kf èk f ø èk f ø
g s gc
+
kf kf é æg ö æ g öù
( )
Then: tan k f h =
g g
=tan êarctan ç ÷+ arctan ç c ÷ú
ê
s
èk f ø èk f øú
1- s c ë û
kf kf

TE Modes:
é æg ö æ g öù
( )
tan k f h =tan êarctan ç s ÷+ arctan ç c ÷ú
ê èk f ø èk f øú
ë û
æg ö æg ö
Þ k f h =arctan ç ÷+ arctan ç ÷+ mp , m =0,1, 2,…
s c
èk f ø èk f ø
This form makes explicit

the “modal” behavior.

Similarly for TM Modes:
gs gc n f 2 g s n f 2 gc
+ 2 +
kf ns 2
nc k f ns k f nc 2
2
( )
tan k f h =
nf k f
2 2
gs gc
=
n f 2 gs n f 2 g c
- 2 2 1-
nf 4 ns nc k f ns 2 k f nc 2
æ nf 2 g ö æn f 2 g ö
k f h =arctan ç s
÷+ arctan ç
c
2÷
+ mp
è k f ns ø è k f nc ø
2

How do we solve these?
Numerical Example: Consider a planar dielectric waveguide
with
nf = 1.5, ns = 1.45, nc = 1.4, h = 8 μm, λ = 1.5 μm
Determine the allowed values of β for the TE modes of

the waveguide.
x
Cover nc
z
Guiding Film nf h y
Substrate ns

Use a numerical (graphical) procedure:
g s + gc k f 2 - gsgc
( )
tan k f h =
gsgc
, or k f cot k f h = ( )
gs + gc
,
kf -
kf
Normalize:
h k f - gsgc k f 2 h2 - gs h ×gc h
2
( )
k f hcot k f h =h
h gs + gc
, k f hcot k f h =( ) g s h + gc h
k f = n2f ko2 - b 2 Þ b 2 =n2f ko2 - k 2f
gs = b 2 - k 2f = ( )
n f 2 - ns 2 ko2 - k 2f , gc = b 2 - k 2f = ( )
n f 2 - nc 2 ko2 - k 2f
Now iterate on the only unknown, κf

Use a graphical procedure:
Everything in this equation is known except κf
IMPORTANT – Recall that for a guided mode:
ns ko < b < n f ko , k f = n f 2 ko 2 - b 2 Þ 0 £k f £ n f 2 - ns 2 ko =k max

Use a graphical procedure: λ = 1.5 μm, h = 8.0 μm
k f 2 - g sgc
( )
k f hcot k f h =
g s + gc
h
k f 2 - g sgc
h
gs + gc
( )
k f hcot k f h
k f 1h k f 2h k f 3h k f 4h
Range for a guided mode: 0 £k f £ n f - ns ko

2 2
Solutions: The solutions to the wave equation are discrete.

Number of Solutions
What if we reduce h from 8 to 5 μm?
k f 2 - g sgc
h
g s + gc
( )
k f hcot k f h
Now only 3 (solutions) modes exists

Number of Solutions
Now reduce h to 1 μm:
k f 2 - gsgc
h
g s + gc
( )
k f hcot k f h
Only a single (solution) mode exists

Number of Solutions
What about for h = 0.1 μm?
k f 2 - gsgc
h
g s + gc
( )
k f hcot k f h
No solutions exist in the allowed range

Number of Solutions
Now fix h and reduce ko:
ko
0.75ko
0.5ko
( )
k f hcot k f h
0.25ko
k f 2 h2 - g s hgc h 0.05ko
gs h + gc h
0 £ k f £ n f 2 - ns 2 ko
Number of Solutions – Conclusion:
At a given wavelength, there exists only a finite number of

discrete solutions which satisfy the conditions for a guided
mode.
For a given thickness, above a certain wavelength (or below

a certain frequency) no solutions exist.
Does this make sense?

Acrylic Block in air Demo, n = 1.49, air above and below, h = 2 cm
λ = 633 nm (green)
h = 2 μm
h = 10 μm
h = 100 μm

Guided Modes: An alternate view
It seems that any wave with an angle of incidence greater than the critical
angle at the boundaries will propagate.
This is true for the laser pointer, i.e., a very thin beam compared to the
thickness of the waveguide.
nc Cover
h nf Film
kf !
k f
b
ns Substrate

In an actual waveguide, unlike the case of the laser pointer shown in class,
the entire film region of the waveguide is illuminated.
nc
Constant phase
lf
wavefronts
h nf
!
kf k f
b
ns

These wavefronts must overlap in the film (i.e., be in-phase with each other)
to achieve constructive interference. Otherwise, in the steady-state, they will
interfere destructively and destroy the wave.
nc
lf
h nf
!
kf k f
b
Clearly only certain angles achieve this. ns

Points A and C must be in-phase for a guided mode. The phase difference
between points A and C is:
nc
B
lf 2q
A h nf
!
kf q kf q q
b C
ℓAB =ℓBC cos 2q ℓBC =h cosq
ns

The phase difference between points A and C is:
This can be satisfied only by discrete values of angle θ. This is an alternate

form for the characteristic equation.
k x =k f qi
k z =n f ko sin q i
Also recall the Goos-Hänchen Shift (For TE waves): k z =b
k x =n f ko cosqi
é n2 n12 2 ù
F TE ( q i ) =2arctan ê- sin qi - 1ú
ê n1 cosqi n2 2
ú
ë û
kx kx kz kz
cosqi = = , sin qi = =
k z + k x n1ko
2 2
k z + k x n1ko
2 2
é k z2 - n2 2 ko 2 ù é k 2 - n 2k 2 ù
F TE ( k z ) =2arctan ê- ú =- 2arctan ê z 2 o
ú
ê k x2 ú ê n 2 2
k - k 2
ú
ë û ë 1 o z û

Guided Modes: An alternate view – for TE waves:
2n f ko hcosq + F c + F s =2p m
é b 2 - n 2k 2 ù é b 2 - n 2k 2 ù
k f h - arctan ê c o ú - arctan ê s o ú =p m
ê n 2k 2 - b 2 ú ê n 2k 2 - b 2 ú
ë f o û ë f o û
but:
k f = n f 2 ko 2 - b 2 , g s = b 2 - ns 2 ko 2 , gc = b 2 - nc 2 ko 2
æg ö æg ö
Þ k f h - arctan ç ÷- arctan ç s ÷=p m
c
èk f ø èk f ø
This is the result obtained previously.

When do solutions begin?
When do solutions exist?
Where do solutions begin?
Below a certain frequency (or above a certain wavelength)

no solutions exist.
This is known as the cutoff frequency (wavelength).

Examine Cutoff Conditions (TE Modes):
2 2 2
Recall that the guided mode range begins when g sc =ns koc - b c2 =0
Then b c =ns koc
k fc = n f 2 koc 2 - bc 2 = n f 2 - ns 2 koc
g cc = bc 2 - nc 2 koc 2 = ns 2 - nc 2 koc
The characteristic equation becomes:

gsc + gcc gcc ns2 - nc2
( )
tan k fc h = =
gscgcc k fc
=
n 2
- n 2
k fc - f s
k fc

Examine Cutoff Conditions (TE Modes):
ns 2 - nc 2 æ n2- n2 ö
1 mp
( ) Þ k (fc ) = tan - 1 ç s
m c
tan k fc h = ÷+
n f 2 - ns 2 h ç n
è f
2
- n 2 ÷
s ø
h
k (fc )
m
koc( ) =
m
n f 2 - ns 2 Frequency ko at which the mth mode begins
b c( ) =ns koc( )
m m
g cc( ) = ns 2 - nc 2 koc( )
m m
gsc( ) = ns 2 koc 2 - bc 2 =0
m
We now know everything at cutoff.

Examine Cutoff Conditions (TM Modes):
Please verify
nf 2 nf 2
g sc + gcc
ns 2
nc 2
n f 2 gcc n f 2 ns 2 - nc 2
( )
tan k fc h =k fc
nf 4
= 2 = 2
ns k fc nc n f 2 - ns 2
k fc -
2
2 2
gscgcc
nc ns g cc =0
æn 2 ns 2 - nc 2 ö mp
( m) 1
k fc = tan - 1 ç f 2 ÷+ , m =0, 1,…
h ç nc 2
n f - ns ÷2 h
è ø

Example: Find β versus frequency ko.
What do we do? How do we solve the problem?
nc =1.4
n f =1.5 h =5 microns
ns =1.45

Numerical Solution of Characteristic Equation:
1. Specify the indices nf, ns, and nc, the film thickness h. Also, choose
the operating frequency ko or its range.
2. Compute cutoff values κc(m) and determine koc(m) and βc(m) from
κc(m).
We will make a plot of the

phase constant β vs.
frequency ko starting at
the cutoff value koc and
extending up to komax which
we choose.

1. Specify the indices nf, ns, and nc, the film thickness h.
2. Compute the values κc(m) at cutoff. From κc(m), one can determine koc(m)
and βc(m) from κc(m) as follows:

1. Specify the indices nf, ns, and nc, the film thickness h.
2. Compute cutoff values κc(m) and determine koc(m) and βc(m) from κc(m).
3. Now solve.

3. On a mode-by-mode basis, i.e., for a fixed value of integer m,

( m)
starting with the cutoff frequency koc , (recall everything is known for
( m)
this value), increment koc by some “small” value Dko and calculate
(i.e., numerically iterate and find) the value of κf that satisfies the
characteristic equation. This iteration requires a computer. For the
TE modes, for example, recall that the characteristic equation is:
k f 2 h2 - g s hgc h
( )
k f hcot k f h =
gs h + gc h
2 2 2
4. From the value of κf found in step 3 compute β from: b = n f ko - k f
5. Now repeat the procedure. Again increment the previous value of ko

from step 4 by Δko, iterate, finding the next value of κf.
6. Continue until the desired maximum frequency is reached.

An example will ©clarity
10/26/2021
the procedure.
2021, Henry Zmuda Planar Slab Waveguide 71
Estimate the
number of modes N
Compute the values

for κfc and koc at cutoff
for each mode
For n = 0, 1, … , N
Increment koc by Δk
iterate the characteristic

equation to find the value
of κf that satisfies it
Compute β from κf
Terminate when
ko = komax , n = N

Numerical Solution: A few observations.
Start at the cutoff value koc( ):

0
k f 2 h2 - g s hgc h
gs h + gc h
( )
k f hcot k f h
k fh
Would a smaller kowork? No.
k f 2 h2 - gs hgc h
gs h + gc h
( )
k f hcot k f h
k fh
Progression of the first (TE00 or TE0) mode:

¶ ¶y =0
Mode m = 0
k f 2 h2 - g s hgc h cutoff (m = 0)
Don’t worry about these solutions, not yet anyway.
g s h + gc h
( )
k f hcot k f h
increasing ko
p 2p 3p
k fh
( 0)
ko1 =koc < ko2 < ko3 < ko4 < ko5 < ko6

Once κf is known at a specific ko, so is everything else:
k f = n f 2 ko 2 - b 2
Þ b = n f 2 ko 2 - k f
2
g s = b 2 - ns 2 ko 2
Þ gs = ( )
n f 2 - ns 2 ko 2 - k f
2
g c = b 2 - nc 2 ko 2
Þ gc = ( )
n f 2 - nc 2 ko 2 - k f
2

Mode m = 1
k f 2 h2 - gs hgc h cutoff (m = 1)
gs h + gc h
( )
k f hcot k f h
increasing ko
p 2p 3p
ko1 =koc( ) < ko2 < ko3 < ko4 < ko5 < ko6
1

Mode m = 2
cutoff (m = 2)
k f 2 h2 - gs hgc h
gs h + gc h
( )
k f hcot k f h
increasing ko
p 2p 3p
ko1 =koc( ) < ko2 < ko3 < ko4 < ko5 < ko6
2

β as a function of frequency (TE modes):
Dispersion Diagram
Not much to look at!
bh
ko h
β as a function of frequency (TM modes):
Dispersion Diagram
nf ®
Effective Index
ns ko £b £ n f ko
Þ ns £ b ko £ n f
Þ b =neff ko
Þ b ko =neff Effective
Index
ns ® ↗ ↗ ↗
koc,m=0 koc,m=1 koc,m=3 ko h
TM and TE modes:
TM
Effective Index
______
TE
______
ko h
TM and TE modes:
TM
Effective Index
______
TE
______
ko h
Homework:
1. A Waveguide Calculator: Write a routine where as input you provide

the operating wavelength, the three refractive indices, and the film
thickness. The program will produce as an output all values of the
phase constants β for the TE and TM discrete guided modes.
This is a very important exercise. The results obtained and the

procedures used to obtain them will stay with us for the semester.
2. Do the assigned problems ASAP.

Answer for problem 1, part (c): κf = 9.851×105 m-1, β = 7.183×106 m-1

Further Observations:
It is common in the literature to define a normalized

frequency V or V-number:
V =hko n f 2 - ns 2
Plotting neff vs. V essentially gives a set of universal curves.

TM modes: Universal Curves
neff
V =hko n f 2 - ns 2

TE modes: Universal Curves
neff
V =hko n f 2 - ns 2

• The guiding film need not be very thick – usually just a

few wavelengths
• The index difference required for a guiding structure is

small, Δn = 0.05 for this example. This is quite large,
typically Δn = 0.001
• The thickness h cannot be so thin that the tangent

functions never reaches π/2 in the allowed range for κfh,
otherwise no solutions exist.

• For a given wavelength, four (different) values of β were

found corresponding to different TE/TM modes. This means
that each mode travels down the guide at slightly different
angles.
mode 1 mode 2 mode 3 mode 4
κf
nf
β1 β 2 β 3 β4

How many modes exist? Recall our example for TE modes:

increase the frequency just a bit
k 2f - g sgc
h
gs + gc
(
k f hcot k f h )
Roughly, another mode propagates every time κf h increases

by π. We can estimate this number at cutoff:
The result is approximate because the location of the last

crossing is not© 2021,
known.
Henry Zmuda
For a large number
Planar Slab
of modes this
Waveguide
10/26/2021 89
matters little.
éh 2 2ù
mTE » int ê ko n f - ns ú
ëp û
Note that the mode count increases

• with thickness h,
• with index difference (nf2 – ns2)1/2,
• and with the frequency ko.
Note the relationship to the V-number:

V =hko n f 2 - ns 2

What about the fields? For TE modes:
Once β is known the field amplitude coefficients can be evaluated.
Recall from the boundary conditions:

gc æ gc ö
B = A =Eo , C =-
kf
A, D =A çcos k f h + sin k f h ÷
è kf ø
( ) ( )
Then:
ì e - gc x , x³0
ï
ì - g cx
ï gc
Ae
( TE )
ï
ï TE ï
=Eo( ) í
( )
cos k f x -
kf
( )
sin k f x , - h £x £ 0
( ) ( )
E y ( x ) =í Bcos k f x + C sin k f x
ï ï æ ö +g ( x+h)
ï De
+gs ( x+h )
ï gc
î
ï ç
è
cos( )
k f
h +
k
( )
sin k f h ÷e
ø
s
, x £- h
î f
Remaining fields b 1 ¶E y
H x =- E , Hz = j
readily computed: h o ko y ho ko ¶x

Alternatively, using:
Preserve the signs of b
- 1 æ b ö and a to ensure the
acos x + bsin x =ccos ( x - y ) , c = a + b , y =tan ç ÷angle is in the correct
2 2
è a ø quadrant.
ì e- g c x , x³0
ï
ï g c2
( TE )
ï
( TE ) ï
E y ( x ) =Eo í kf
(
1+ 2 cos k f x - y TE ), - h £x £ 0
ï
ï gc2 +g x+h
ï 1+ 2 cos k f h + y TE e s ( ) ,
( ) x £- h
kf
ï
î
æg ö
y TE -1
=- tan ç c ÷
èk f ø
b
From Maxwell’s Equations: H x =- Ey
h o ko
ì e
- g cx
, x³0
ï
ï g c2
( TE ) ( TE ) b ï
H x ( x ) =- Eo
ï
kf
(
1+ 2 cos k f x - y TE ), - h £x £0
í
h o ko ï
ï gc2 +g x+h
ï 1+ 2 cos k f h + y TE e s ( ) ,
( ) x £- h
kf
ï
î

Or yet another form (see next slide for details):
ì cos ( y TE ) e- g c x , x³0
ï
TE ï
E (y ) ( x ) =Eo( ) í
TE
(
cos k f x - y TE , ) - h £x £ 0
ï +g s ( x+h )
ï
î
cos k f(h + y TE
e) , x £- h
gc
tan ( y TE ) =-
kf

TE modes – details:
ì -g x
Ae c , x³0
( TE ) ï
Let: B =E o
TE ï
(
E (y ) ( x ) =Eo( ) í Bcos k f x - y TE , - h £x £ 0
TE
)
ï +gs ( x+h )
ï
î Ce , x £- h
ì -g x
- g c Ae c , x³0
ï
h TE ï
(
H z ( x ) = j o Eo( ) í - k f Bsin k f x - y TE , - h £x £ 0
ko
)
ï +g x+h
ï g sCe s ( ) , x £- h
î
x =0 :
A =Bcos ( y TE ) ü
ï gc
kf ý Þ tan ( y TE ) =- k
A =- Bsin ( y TE ) ï f
gc þ
x =- h :
(
C =Bcos k f h +y ) ü
TE
ï
ï
kf (
ý Þ tan k f h +y TE ) =kg s
gs
(
C = Bsin k f h +y TE ) ï
ï
þ
f

Electric Field Ey (TE modes) For some intermediate frequency
(above cutoff):
Mode 1 Mode 2
Mode 3 Mode 4

Electric Field Ey (TE modes) At cutoff:
Mode 1 Mode 2
Mode 3 Mode 4

Electric Field Ey (TE modes) At a high frequency (far from cutoff):
Mode 1 Mode 2
Mode 3 Mode 4

TM Modes (verify these results for yourself):

TM Modes – Fields:
ì - g cx
ï Ae , x³0 Cover
ï
( ) ( )
H y ( x ) =í Bcos k f x + C sin k f x , - h £x £ 0 Film
ï +gs ( x+h )
ï
î De , x £- h Substrate
h o ¶H y
Ez =
jko n2 ¶x
ì g
ï - 2c Ae- gc x , x³0 Cover
ï nc
ï
ho ï k f kf
Ez ( x ) =
jko ï n f
( ) nf
( )
í - 2 Bsin k f x + 2 C cos k f x , - h £ x £ 0 Film
ï gs +gs ( x+h)
ï De , x £- h Substrate
ï 2
ns
î

TM Modes – Boundary Conditions: Continuity of Hy and Ez at x = 0, –h:
ì A =B x =0 ü
ï ï A =B
(
H y 0,- h Þ í ) ( ) ( )
D =Bcos k f h - C sin k f h x =- h ï n2f gc
ï
î ï C =- 2 A
ì ï nc fk
g k ï
ï - 2c A = 2f C x =0 ýÞ
ï
ï n c
n f ï ( ) ( )
D =Bcos k f h - C sin k f h
Ez 0,- h Þ í
( ) ï
kf kf gs kf k
ï gs ï D Bsin ( k ) + C cos ( k h )
f
ï n2 D = 2
nf
Bsin k ( )
f
+ 2
nf
( )
C cos k f h x =- h ï ns2
=
n2f f
n2
f
f
ï
î s ï
þ
é n2f gc ù ü
gs gc
( )
D = A êcos k f h + 2
n k
( )
sin k f h ú ï
ï
+ 2
ê ú ï k f ns nc
2
ë c f û
én2 k f
ýÞ 2 2
ùï n f k f gs gc
=tan k f h ( )
ns2 gc
D =Aê 2
ê n
s
g
( )
sin k f h - 2 cos k f h
nc gs
( ) úï
ú n 4
- 2 2
ns nc
ë f s ûï
þ f

TM Modes:
ì
ï
ï e
- gc x
, x³0
ï
ï
TM ï
2
gc n f
y ( )
H TM x =H o í ( )
cos k f x -
k f nc
2
sin k f x ( ) - h £ x £0
ï
ï é ù +g ( x+h)
ï n 2f gc
ï ê
( )
êcos k f h + 2
nc k f
sin k f h ( ) úe s
ú
x £- h
ï
î ë û
ì
ï
ï e - gc x , x³0
ï
ï n 4f gc2 æ 2
ö
f gc
TM ï
n
=H o í 1+ 4 2 cos k f x - y
nc k f
( TM ) - h £ x £ 0 y TM -1
=- tan ç 2
n
è c føk
÷
ï
ï
ï n4f gc2 +g x+h
ï 1+ 4 2 cos k f h +y TM e s ( )
( ) x £- h
nc k f
ï
î

TM Modes: Similarly
ì
ï 1 - g cx
ï 2
e , x³0
nc
ï
ho b TM ï
2
h ob ï 1 1 n f gc
Ex = 2 H y =
n ko
H í
ko o ï n2f
( )
cos k f x - 2 2
n f nc k f
( )
sin k f x - h £x £ 0
ï
ï é ù +g ( x+h)
2
1 1 n f gc
ï ênê 2 ( )
cos k f h + 2 2
ns nc k f
( )
sin k f h úe s
ú
x £- h
ï
î ë s û
ì
ï 1 - gc x
ï e , x³0
nc2
ï
bh ï 4
f gc
ï 1 n 2
TM
( )
Ex x = o TM
H í
ko o ï n2f
1+ 4 2 cos k f x - y TM
nc k f
( ) - h £ x £0
ï
ï 1 n4f gc2 +gs ( x+h )
ï n2 1+
n 4
k 2
cos k (
f
h + y )
TM
e x £- h
ï
î s c f

TM Modes – Yet another useful form:
ì - g cx
ï cos ( y TM ) e , x³0
ï n2f g c
H y ( x ) =BTM í (
cos k f x - y TM , ) - h £x £ 0 , tan ( y TM ) =- 2
nc k f
ï +g x+h
ï cos k f h + y TM e s ( ) ,
( ) x £- h
î

TM Modes – Yet another useful form:
ì -g x
ï Ae c , x³0
ï
( ) (
H y x =í Bcos k f x - y TM , )- h £x £ 0
ï +g x+h
ï
î Ce s ( ) , x £- h
ì g -g x
ï - 2c Ae c , x³0
ï nc
ï
ho ï kf
Ez x =( ) í
jko ï
- B
n2f
(
sin k f x - y TM , ) - h £ x £0
ï g +g x+h
ï C 2s e s ( ) , x £- h
ï ns
î
x =0 :
A =Bcos y TM( ) ü
ï n 2f gc
gc kf ýÞ - 2 =tan y TE
( )
- A =B sin ( y TE ) ï n c
k f
nc2 n 2f ï
þ
x =- h :
(
C =Bcos k f h +y TM ) ü
ï 2
ï n f gs
gs k ýÞ 2
k
(
=tan k f h + y TM )
C 2
ns nf
(
=B 2f sin k f h + y TM ) ï
ï
ns f
þ

Centered Coordinate System:
It is sometimes handy (we’ll use this later on) to place the

origin at the center of the waveguide as seen below:
nc
x =h 2
h nf z
x =- h 2
ns

TE Modes:
ì - g c ( x- h 2 )
ï ATE
e , x³h 2
ï
(
E y ( x ) =í BTE cos k f x - y TE , ) - h 2 £x £ h 2
ï +g x+h 2 )
ï CTE e s ( , x £- h 2
î
ì - gc ( x- h 2 )
ï A TE
e , x³h 2
b b ï
H x ( x ) =-
h o ko
E y =-
ho ko ï TE
(
í B cos k f x - y TE , ) - h 2£x £h 2
+g x+h 2 )
ï CTE e s ( , x £- h 2
î
ì - gc ( x- h 2 )
ï - g A
c TE
e , x³h 2
j ¶E y j ï
Hz ( x) = =
ho ko ¶x ho ko ï
(
í - BTEk f sin k f x - y TE , ) - h 2£x£h 2
+g x+h 2 )
ï gsCTE e s ( , x £- h 2
î

TE Modes – Boundary Conditions:
ì - gc ( x- h 2 ) ì - gc ( x- h 2 )
ï ATE
e , x³h 2 ï - g c
ATE
e , x³h 2
ï j ï
( ) (
E y x =í BTE cos k f x - y TE , ) - h 2 £ x £ h 2 , Hz x = ( ) (
í - BTEk f sin k f x - y TE ,
ho ko ï
) - h 2£x£h 2
ï +g x+h 2 ) +g x+h 2 )
ï CTE e s ( , x £- h 2 ï gsCTE e s ( , x £- h 2
î î
x =h 2 : ü
ï
æk h ö ü ï
ATE =BTE cos ç f - y TE ÷ ï ï
è 2 ø ï æk f h ö gc
ý Þ tan y ï
ç 2 - TE ÷
=
ï
æk f h öï è ø kf ì
- gc ATE =- k f BTE sin ç - y TE ÷ï ï æk h ö
è 2 øþ ï ï A =B cos ç f - y ÷
ï ï
ï
TE TE
è 2
TE
ø
ýÞ í
ï ï æk f h ö
x =- h 2 : C cos y
ï ï TE =BTE ç 2 + TE ÷
æ k h ö ü ï ï è ø
î
CTE =BTE cos ç- f - y TE ÷ ï ï
è 2 ø ï æk f h ö g ï
ý Þ tan ç + y TE ÷= s ï
æ kfh öï è 2 ø kf ï
gsCTE =- BTEk f sin ç- - y TE ÷ï
è 2 øþ ï
þ

TE Modes – Boundary Conditions:
tan ( x ) + tan ( y )
tan ( x + y ) =
1- tan ( x ) tan ( y )
æk h
tan ç f - y
ö gc ü æk h ö tan k f h 2 - tan ( y TE )
tan ç f - y TE ÷
( )
÷=k ï
è 2 ø f ï
ýÞ
TE
gc
=
è 2 ø 1+ tan ( y TE ) tan k f h 2
= =
tan k f h 2 - tan ( y TE ) 1- tan ( y TE ) tan k f h 2 ( ) ( ) ( )
æk h ö g ï gs æk h ö tan k f h 2 + tan ( y TE ) 1+ tan ( y TE ) tan k f h 2 tan k f h 2 + tan ( y TE ) ( ) ( ) ( )
tan ç f + y TE ÷= s ï tan ç f + y TE ÷
è 2 ø kf þ è 2 ø 1- tan ( y TE ) tan k f h 2 ( )
étan k h 2 - tan ( y ) ùé1- tan ( y ) tan k h 2 ù
( ) ( )
TE ûë û Þ g - g tan k h 2 + tan y
=ë ( ( ) )
f TE f
é æk f h ö ù
( c s) f ( TE ) ( gc + gs ) tan 2 k f h 2 +1 + tan2 ( y TE ) ( gc - gs ) tan k f h 2 =0 ( ) ( )
é1+ tan ( y ) tan k h 2 ùêtan ( )
ë TE f ûê ç ÷+ tan ( y TE ) ú
ë è 2 ø ú
û
1+ tan 2 ( x ) =sec 2 ( x ) Þ ( gc - gs ) sec 2 ( y TE ) tan k f h 2 + tan ( y TE ) ( gc + gs ) sec 2 k f h 2 =0 ( ) ( )
(g - gs )
1 sin k f h 2
+
(
sin ( y TE )
( g c + gs )
) 1
=( gc - gs ) sin k f h 2 cos k f h 2 + cos ( y TE ) sin ( y TE ) ( gc + gs ) =0 ( ) ( )
c
cos ( y TE ) cos k f h 2 cos ( y TE )
2
( )
cos k f h 2
2
( )
sin ( 2x ) =2sin ( x ) cos ( x ) Þ sin ( 2y TE ) ( gs + gc ) =( gs - gc ) sin k f h ( )
2 2
g -g ) ( g - g ) sin k h
sin ( 2y TE
2
) =( s
sin ( k h ) ,
c
2
cos ( 2y ) =1-
2
f ( ) 2 s c
2
2
f
( g +g )
s c (g +g ) s c
2 2
( g - g ) sin k h ( g - g ) sin k h
s
g +g )
( c
)
2
2
g +g )
f ( ) ( g - g ) tan ( k h) Þ
s c
2
2
f 2 2
k 2 ( g + gc )
2
( ( Sanity
tan ( 2y TE
2
)= s c
= 2
= s c
2
s
2
c f 2
( )
tan k f h = f s 2
check
( g - g ) sin k h sin k h + cos k h - ( g - g ) sin k h ( g + g ) + 4g g tan ( k h) 2
(
k 2f - gsgc )
1- s
( ) c
( )
2
2
( ) g +g f ( ) 2
f
2
f
s c
2
2
f
s c s c f
( g +g ) s c ( ) s c
2
k ( g +g ) 2
2
(g - g ) s c
f s c
2 2 2
tan ( 2y TE
2
)=
(k - g g ) = k ( g - g ) 2
f
=
k (g - g )
s c
Þ tan ( 2y ) =
k (g - g ) 2
f s c
2
f s c f s c
k ( g +g ) k +g g
2 2 2 TE 2
( g + g ) + 4g g
s c
2 ( k - g g ) + 4g g k ( k + g g )
s c
2
f s c
2
2
f s c s c
2
f
2
f s c
f s c
(k 2
f
- gsgc )

k f ( g s - gc )
Be careful with: tan ( 2y TE ) = 2
k f + gsgc
y =tan ( 2x ) =tan ( 2x ±mp )

p 1 -1
Þ x =∓m + tan ( y )
2 2
ì é1 ù é1 ù
ï tan ê tan - 1 ( y ) ∓mp ú=tan ê tan - 1 ( y ) ú m even
é1 pù ï ë2 û ë2 û
tan ( x ) =tan ê tan - 1 ( y ) ∓m ú =í
ë2 2û ï é1 pù
tan ê tan - 1 ( y ) ∓m ú m odd
ï ë 2 2û
î
ì 1 -1
ï tan ( y ) m even
ï 2
\ x =í
ï 1 tan - 1 ( y ) ∓m p m odd
ï
î 2 2
ì æk g - g c ) ö
ï 1 tan - 1 ç f ( s ÷ m even
k f (gs - gc) ï 2 è k 2
+ g g ø
ï f s c
tan ( 2y )= k Þ y =í
TE 2
f
+ g sgc TE
ï 1 - 1 æk f ( g s - g c ) ö p
ï 2 tan ç k 2 + g g ÷± 2 m odd
ï è f s c ø
î

TE Modes:
ì æk h ö
ï cos ç f - y ÷e- g c ( x- h 2) , x³h 2
ï è 2
TE
ø
ï
ï k ( g - gc )
E y ( x ) =BTE í ( )
cos k f x - y TE , - h 2 £x £ h 2 , tan ( 2y TE ) = f 2 s
k f + gsgc
ï
ï æk f h ö +g ( x+h 2)
ï cos ç 2 + y TE ÷
e s , x £- h 2
ï è ø
î
ì æk h ö
ï cos ç f - y ÷e- gc ( x- h 2) , x³h 2
ï è 2
TE
ø
b ï
ï
H x ( x ) =-
h o ko
BTE í ( )
cos k f x - y TE , - h 2£x £h 2
ï
e s , x £- h 2
ï è ø
î
ì æk h ö
ï - g cos ç f - y ÷e- gc ( x- h 2) , x³h 2
ï c
è 2
TE
ø
j ï
ï
Hz ( x) =
ho ko
BTE í ( )
- k f sin k f x - y TE , - h 2£x £h 2
ï
ï s g cos ç 2 + y TE ÷
e s , x £- h 2
ï è ø
î

TM Modes:
ì - g c ( x- h 2 )
ï ATM
e , x³h 2
ï
(
H y ( x ) =í BTM cos k f x - y TM , ) - h 2 £x £ h 2
ï - g x+h 2 )
ï CTM e s ( , x £- h 2
î
ì - gc - gc ( x- h 2 )
ï 2
ATM
e , x³h 2
ï nc
ï
ho ¶H ho ï k f
Ez = 2
jko ni ¶x
y
=
jk o ï nf
(
í - 2 BTM sin k f x - y TM , ) - h 2£x£h 2
ï gs
ï C e
- gs ( x+h 2 )
, x £- h 2
ï 2
ns TM
î

TM Modes: Algebra …
ì - gc - g x- h 2 )
ï 2
ATM e c ( , x³h 2
ì - g c ( x- h 2 ) ï nc
ï ATM e , x³h 2 ï
ï ho ï k f
(
H y ( x ) =í BTM cos k f x - y TM , ) - h 2 £x £ h 2 , Ez =
jk n
( )
í - 2 BTM sin k f x - y TM , - h 2£x £h 2
ï - g x+h 2 )
o ï f
ï CTM e s ( , x £- h 2 ï gs
î ï - g x+h 2 )
CTM e s ( , x £- h 2
ï 2
ns
î
x =h 2 : ü
ï
æk f h ö ü ï
ATM =BTM cos ç - y TM ÷ ï
è 2 ø ïg c k f æk f h öï
ý 2 = 2 tan ç - y TM ÷ï
gc kf æk f h öï nc n f è 2 øï ì æk f h ö
A = B sin ç - y TM ÷ï
ï ï A =B cos ç 2 - y TM ÷
nc2 TM n2f TM è 2 øþ ï ï
ï ï
TM TM
è ø
ýÞ í
x =- h 2 : ï ï æk f h ö
ï ï C =B cos ç + y ÷
æk f h ö ü TM TM
è 2 TM
ø
CTM =BTM cos ç + y TM ÷ ï ï ï î
è 2 ø ï gs k f æk f h öï
ý 2 = 2
tan ç 2 + y TM ÷ï
gs kf æk f h öï ns n f è øï
C = B sin ç + y TM ÷ï ï
ns2 TM n2f TM è 2 øþ ï
þ

TM Modes: Algebra …
( ) ( )
tan x + tan y
(
tan x + y = ) ( ) ( )
1- tan x tan y
æk h
tan ç f - y TM ÷
ö tan k f h 2 ) - tan ( y ) ( TM
ns2 g c
=
è 2 ø 1+ tan k f h
= =
(
2) tan ( y ) 1- tan ( k h 2 ) tan ( y ) tan ( k h 2 ) - tan ( y ) TM f TM f TM
nc2 gs æk f h ö tan k f h 2 ( ) + tan ( y ) tan ( k h 2) + tan ( y ) 1+ tan ( k h 2) tan ( y )

tan ç + y TM ÷ TM f TM f TM
è 2 ø 1- tan k f h ( 2) tan ( y ) TM
n2g
Þ 0 = s2 c étan k f h ( 2 ) + tan ( y ) ùé1+ tan ( k h 2) tan ( y ) ù- é1- tan ( k h 2 ) tan ( y ) ùétan ( k h 2 ) - tan ( y ) ù
nc gs ë ûë TM û ë ûë f û TM f TM f TM
ng é2
= tan k f h 2 + tan y TM ùé1+ tan k f h 2 tan y TM ù- é1- tan k f h 2 tan y TM ùétan k f h 2 - tan y TM ù
s c
( ) ) ( ) ( ( )) ( ) ( ) ( ) (
ng ë2
c s
ûë û ë ûë û
=( n g - n g ) tan ( k h 2 ) + tan ( y ) ( n g + n g ) ( 1+ tan ( k h 2 ) ) + ( n g - n g ) tan ( k h 2) tan ( y )

2
s c
2
c s f TM
2
s c
2
c s
2
f
2
s c
2
c s f
2
TM
=( n g - n g ) tan ( k h 2 ) ( 1+ tan ( y ) ) + tan ( y ) ( n g + n g ) ( 1+ tan ( k h 2 ) )

2
s c
2
c s f
2
TM
2
s c
2
c s
2
f
1+ tan ( x ) =sec ( x ) Þ ( n g - n g ) sin ( k h 2 ) cos ( k h 2 ) + cos ( y ) sin ( y ) ( n g + n g ) =0

2 2 2
s c
2
c s f f TM TM
2
s c
2
c s
( n g - n g ) sin ( k h) + ( n g + n g ) sin ( 2y ) =0 Þ ( n g + n g ) sin ( 2y ) =( n g - n g ) sin ( k h)

2
s c
2
c s f
2
s c
2
c s TM
2
c s
2
s c TM
2
c s
2
s c f
2 2
sin ( 2y ) =
2 ( n g - n g ) sin ( k h) , cos ( 2y ) =1- ( n g - n g ) sin ( k h)
2
c s
2
s c 2 2
2
c s
2
s c 2
TM 2 f TM 2 f
(n g +n g ) 2
c s
2
s c (n g +n g ) 2
c s
2
s c
2 2
( n g - n g ) sin ( k h)
2
c s ( n g - n g ) sin ( k h)
2
s c 2
2
c s
2
s c 2
2 f 2 f 2
tan ( 2y ) =
2 (n g +n g ) 2
c s
=
(n g +n g )
2
s c
=
( n g - n g ) tan ( k h) 2
c s
2
s c
2
c s
2
s c
2
f
TM 2 2 2
1-
( n g - n g ) sin ( k h) sin ( k h) + cos ( k h) - ( n g - n g ) sin ( k h) ( n g + n g ) + 4n g n g tan ( k h)
2
c s
2
s c 2 2 2
2
c s
2
s c 2
2
c s
2
s c
2
c
2
s s c
2
f
2 f f f 2 f
(n g +n g ) 2
c s
2
s c(n g +n g ) 2
c s
2
s c
n2f n2f
gs + gc 2
( )
tan k f h =k f
ns2 nc2
=
(
n 2f k f nc2gs + ns2gc )Þ tan 2 k f h = ( ) (
n4f k 2f nc2gs + ns2gc ) Sanity
n2f n n k - n gsgc
2 2 2 4 2
k - n
2
f
2
f
gsgc c s f f (n nk2 2
c s
2
f
- n gg ) 4
f s c check
nc2 ns2
2
(n g - n g )
2 ) 2
2 (
n4f k 2f nc2gs + ns2gc
c s s c 2 2 2
tan 2 2y TM ( )=
( n nk - n gg )
=
2 2
c s
2
f
4
f s c (
n4f k 2f nc2gs - ns2gc ) =
(
n4f k 2f nc2gs - ns2gc ) Þ tan 2y TM =
( )
(
n2f k f nc2gs - ns2gc )
2 2 2
nc2 ns2k 2f + n4f gsgc
( n g + n g ) + 4n g n g
2
n k (n g +n g )
2 (n nk
2
2 2
4
f
2
f
2
c s
2
s c
2 2
c s
2
f
- n4f gsg c ) + 4n4f nc2 ns2gsgck 2f (n nk2 2
c s
2
f
+n gg )
4
f s c
c s s c c s s c 2
(n nk - n gg ) 2 2
c s
2
f
4
f s c

TM Modes:
ì æk h ö
ï cos ç f - y ÷e- g c x , x³h 2
ï è 2
TM
ø
ï
ï n 2
k n (
2
g - n 2
gc )
( )
TM
H y ( x ) =BTM í (
cos k f x - y TM , ) f
- h 2 £x £ h 2 , tan ( 2y TM ) = 2 2 2
f c s s
nc ns k f + n4f gsgc
ï
ï æk f h ö +g ( x+h)
ï cos ç 2 +y TM ÷e , x £- h 2
s
ï è ø
î
ì
ï 1 cos æk f h - y öe- gc x , x³h 2
ï n2 ç 2 TM ÷
è ø
ï c
h b ï 1
Ex( ) ( x ) = o BTM í ( )
TM
2
cos k f x - y TM , - h 2£x£h 2
ko ï nf
ï
ï 1 cos æk f h + y öe+gs ( x+h) , x £- h 2
ï n2 ç 2 TM ÷
è ø
î s

Mode Orthogonality

Properties of Modes:
Once the phase constant β has been determined the fields are
known everywhere in space.
In general, the transverse field is
a function of both x and y even
The general expression for the fields is: though for our discussion we
assumed that the fields have no
y-variation.
Transverse fields:
The fields for each distinct eigenvalue β = βi is termed a mode,

and each mode will have a distinct field distribution in space.
The mode amplitude determines how much power is carried

by the mode.
Most modes will not be guided. As we have seen, there are

only a discrete number of guided modes for a finite frequency.
These unguided modes are known as radiation modes (which

includes the substrate modes.)
They are characterized by a continuous range of β known as

the continuous spectrum. There are an infinite number of
them.
Only the guided mode spectrum is discrete.

How much power is carried by a mode?
The average power carried by mode i is determined from the

Poynitng vector::
In anticipation to what’s to come is will be useful or normalize

each mode as follows:
Pi is positive if power travels in the +z direction and

negative when power travels in the –z direction.
The (optional) proof that the modes are orthogonal is given in the Appendix
at the end of this set of notes.
Mode Orthogonality
For:
Orthogonally requires:
ìï 1 i = j
where δij is the Kroenecker delta function: d i, j =í
î 0 i¹ j
ï

Mode Orthogonality
Thus:
means that the discrete guided modes of a waveguide are

orthogonal.
Furthermore, the transverse mode functions are defined with

amplitudes that make them orthonormal.

Properties of Modes (this one is important):
For TE or TM modes a more useful form of the orthogonality

relations are:
TE modes
TM modes
where again, δi,j is the Kroenecker delta function.

Each mode is distinct and cannot be expressed in terms of

other modes.
Some modes a degenerate, namely they share the same

eigenvalue β but have distinguishable field distributions. As an
example, think of the modes of a square waveguide.
n1 n2 n1 n2

The modes of a waveguide are complete. Any electric field

distribution can be expressed as a superposition of
waveguide modes:
The fact that the modes of a waveguide form a complete

orthogonal set is one of the most powerful concepts for
studying integrated photonics.

kx =k f
e
Mo d
Remember this:
tio n
e
od
M
ia
!
e
Ra d
at
k f
tr
bs
Su
Guide d Mo de Re gime
kz =b
0
Radiation Modes
(continuous spectrum)
a few
nanometers
thick
Guided Modes
Plane Wave
(discrete spectrum)
Spectrum
Diode
Laser Substrate Modes
(continuous spectrum)
This further illustrates why a more efficient means of coupling light into the waveguide is
preferred over butt coupling.

b Discrete
Guided
Forbidden Region n f ko Modes
e
p tot
ym te
s pt o
ra s y m
ppe we ra
U Lo
ns ko
Radiation/Substrate Modes
ko

How much power is carried by a mode?
Recall the definition of average power:
In anticipation to what’s to come is will be useful or normalize

each mode as follows:

Normalization – For TE Modes:
Using: ì æk h ö
ï cos ç f - y ÷e- g c ( x- h 2) , x³h 2
ï è 2 TE
ø
ï
ï b
( )
E y x =Eo í (
cos k f x - y TE , ) - h 2 £x £ h 2 ( )
, H x x =-
h o ko
Ey
ï
ï æk f h ö +gs ( x+h 2)
ï cos ç 2 +y TE ÷e , x £- h 2
ï è ø
î
g s + gc 1 - 1 ék f gs - gc ù
( )
( )
tan k f h =
gsgc
, y TE = tan ê 2
2 ê k g g
ú
s c ú
+
kf - ë f û
kf
Compute:

This gives:
1 b * 1 b 2 1 1
P= Eo Eo deff = Eo deff , deff =h + +
4 h o ko 4 h o ko g s gc
Thus, to have:
We choose the field amplitude Eo as:
1 b 2 4ho ko
Eo deff =1 Þ Eo =
4 h o ko b deff

1 1
A comment on: deff =h + +
gs gc
ë+gs x ù
exp é û exp éë- g c x ùû
deff
1 1
gs h gc
Normalization – TE Modes: Details
ì Ae- g c x , x³0
ï
ï
y ( )
E TE ( )
x =EoTE í Bcos k f x - y TE , - h £x £0
ï +g x+h
ï
î Ce s ( ) , x £- h
ì -g x
- g c Ae c , x³0
ï
j ¶E y j ï
Hz = =
h o ko ¶x ho ko
( )
EoTE í - Bk f sin k f x - y TE , - h £x £0
ï +g x+h
ï gsCe s ( ) , x £- h
î
A =Bcos ( y TE ) ü
ï
ï g ü
k tan ( y TE ) =- c ï g
A =- f Bsin ( y TE ) ï kf ( )
tan k f h - c
gc ï ï
ï kf g k ( g + gc )
ý Þ
( ) ýÞ ( )
= s Þ tan k f h = f 2 s
(
C =Bcos k f h +y TE ï) tan k f h + tan ( y TE ) g ï 1+ gc tan k h k f
( ) k f - gsgc
ï (
tan k f h +y TE = ) = s
1- tan k f h tan ( y TE ) k f
( ) ï kf f
kf ï ï
þ
(
C = Bsin k f h +y TE ï
gs
)
þ
ì -g x
cos ( y TE ) e c , x³0
ï
ï
y ( )
E TE x =EoTE í (
cos k f x - y TE , ) - h £x £0
ï +g ( x+h )
î
(
ï cos k f h +y TE e s ) , x £- h

Normalization – TE Modes: Details

Confinement Factor (TE Modes)
The confinement factor is the ration of the power in the film region to
the total power.
It provides a measure of how well the field is confined to the film.

0
òE ( x ) H ( x ) dx
*
-h
y x
Pfilm
G TE = =
¥
PTE
òy ( ) x( )
*
E x H x dx
-¥
ï
ï æg ö
E (y ) ( x ) =EoTE í
TE
(
cos k f x - y TE , ) - h £x £ 0 , y TE -1
=- tan ç c ÷
èk f ø
ï +g ( x+h )
î
(
ï cos k f h + y TE e s ) , x £- h
b
H x( ) ( x ) =- E (y ) ( x )
TE TE
h o ko

Why do we care?
Semiconductor diode laser – the basic physical structure is an optical

waveguide:
DC (pump) current DC (pump) current
nf ns nf
p ns guiding layer p
nf
light light light light
nf
guiding layer
n ns n
ns
Gain Gain
Section (gain G) Section
(usually Field is well-confined
Field not well-confined
very thin) to the gain section.
to the gain section.
Only a small fraction of the A large fraction of the field
field experiences gain. now experiences gain.
The material gain is G, but
the mode gain is ΓG, with Γ < 1.

Power in the film region divided by the total power.
0 0
2
òE ( x ) H ( x ) dx òE ( x )
*
y x y
dx
G TE = -¥h =- h -h
0 ¥
2 2 2
òE ( x ) H ( x ) dx òE ( x ) dx + òE y ( x ) dx + òE y ( x ) dx
*
y x y
-¥ -¥ -h 0
Evaluating (details on next slide) gives:
1 1
h + g s- 1 + gc- 1
1+ k 2f gs2 1+ k 2f gc2
G TE =
h + gs- 1 + gc- 1

ï
ï æg ö
E (y ) ( x ) =EoTE í
TE
(
cos k f x - y TE , ) - h £x £ 0 , y TE =- tan - 1 ç c ÷
èk f ø
ï +g ( x+h )
î
(
ï cos k f h + y TE e s ) , x £- h
b
H x( ) ( x ) =- E( ) ( x )
TE TE
h o ko y
0 0 0
1 1 b 2 1 b 2
Pfilm = ò
2-h
E y ( x ) H x* ( x ) dx =
2 ho k o
EoTE
-h
2
(
òcos k f x - y TE dx = ) 4 ho ko
EoTE òéë1+ cos ( 2k
-h
f )
x - 2y TE ùdx
û
0
1 b 2é 1 ù 1 b 2é 1 1 ù
=
4 ho k o
EoTE êx + (
sin 2k f x - 2y TE ú = ) EoTE êh - sin ( 2y TE ) + sin 2k f h + 2y TE ú ( )
ë 2k f
ê û- h 4 ho ko
ú ë 2k f
ê 2k f ú
û
1 b 2é 1 1 ù
=
4 ho k o
( ) (
EoTE êh + sin k f h +y TE cos k f h + y TE - )
sin ( y TE ) cos ( y TE ) ú
ë kf
ê kf ú
û
1 b 2é 1 1 ù
=
4 ho k o
EoTE êh + ( )
tan k f h + y TE cos 2 k f h +y TE - ( )
tan ( y TE ) cos 2 ( y TE ) ú
ë kf
ê kf ú
û
gs gc 1 1 k 2f 1 k 2f
(
tan k f h + y TE ) = , tan ( y TE ) =-
kf kf
(
, cos k f h +y TE = 2
2
)
tan k f h + y TE +1 gs(
= 2 = 2
) gs + k 2f
, cos ( y TE ) = 2
2
=
tan ( y TE ) +1 gc2 + k 2f
+1
k 2f
1 b é 2 1 gs k f
2
1 gc k f ù 1 b
2
2é gs gc ù
Pfilm = E TE êh + + ú = E TE
êh + + 2 ú
4 ho k o o ë k f k f gs + k f k f k f g c + k f ú
ê
2 2 2 2
û 4 h o ko
o
ë gs + k f g c + k f ú
ê
2 2 2
û
g g 1 1
h + 2 s 2 + 2 c 2 h + gs- 1 + gc- 1
gs + k f g c + k f 1+ k f gs
2 2
1+ k 2f gc2
Þ G TE = =
h + gs- 1 + gc- 1 h + gs- 1 + gc- 1

Confinement Factor (TM Modes)
Similarly:
0
ò x
E ( x ) H y( )
*
x dx
G TM = -¥h
òx ( ) y( )
*
E x H x dx
-¥
ns2 n2f nc2 n2f

h + g s- 1 + gc- 1
=
(
1+ ns4k 2f )( n4f gs2 ) (
1+ nc4k 2f )( n4f gc2 )
1 1
h + gs- 1 + g -1
2
neff ns2 + neff
2
n2f - 1 c neff2
nc2 + neff
2
n2f - 1

Power Carried by a TM Mode:

Power Carried in the Film Region:
2 2
BTM h ob 0 BTM h ob 0 é
n2f ko -ò
Pfilm =
2 n2f ko -òh
(
cos 2 k f x - y TM ) dx = 4 h
ë
1+ cos 2k f x - 2y ( TM ) ùûdx
2
BTM h ob é 1 ù
=
4 2 êh -
n f ko ê 2k
sin ( 2y TM ) + 2k1 (
sin 2k f h + 2y TM ) úú
ë f f û
2
BTM h ob é 1 1 ù
= 2 êh + sin k f h +y ( TM ) (
cos k f h + y TM ) - sin ( y TM ) cos ( y ) ú TM
4 ë kf
n f ko ê kf ú
û
2
BTM h ob é 1 ù
= 2
2
êh + cos k f h + y ( TM ) tan ( k f
h +y TM ) - k1 tan ( y ) cos ( y ) úú
TM
2
TM
4 ë kf
n f ko ê f û
2 2
n gc n gs 1 ns4k 2f 1 nc4k 2f
tan ( y TM ) =-
n kf
f
, tan k f h +y
2 ( TM ) =
n kf
f
2
, cos 2 k f h +y ( TM ) = tan ( k 2
h +y ) +1
=
n 4f g s2 + ns4k 2f
, cos ( y
2
TM ) = 2 =
tan ( y TM ) +1 n4f g c2 + nc4k 2f
c s f TM
n2f nc2g c ù BTM h ob æ ö

2 2
BTM h ob é n2f ns2g s -1
ns2 n2f -1
nc2 n2f
Pfilm = êh + 4 2 + 4 2 ú= çh + g s +gc ÷
4 n2f ko ê 4 2 4 2
ë n f g s + ns k f n f g c + nck f úû 4 n 2f ko ç
è 1+ ns4k 2f n4f g s2 1+ nc4k 2f n4f g c2 ( )( ) ( )( ) ÷
ø
-1
ns2 n2f -1
nc2 n2f
h +g +g
G TM =
s
(
1+ ns4k 2f ) (n g )
4
f
2
s
c
(
1+ nc4k 2f ) (n g )
4
f
2
c
1 1
h + g s- 1 2 2 2 2
+ g c- 1 2 2 2
n eff
n + neff n f - 1
s
neff nc + neff n2f - 1

An Intuitive View of Mode Structure:
Phase
Mode 0 Fronts
Mode 1
Mode 2


Consider: y (
E x, z ) ë
= é Acos k f
x + ( )
Bsin k f
x ù
û
e - jb z
( )
A - jB jk f x - jb z A + jB - jk f x - jb z
= e e + e e
2 2
jk f x- jb z - jk f x- jb z
=Ce + C *e
Interference
x Pattern or
Mode Pattern
z


Mode Patterns from: R.G. Hunsperger, Integrated Optics, 6th Ed. Springer, 2009

The Symmetric Slab Waveguide:
An important and interesting special case

Important Special Case:
The Symmetric Slab Waveguide
n f  n s  nc
Cover ns x
h 2
Guiding Film nf z
h 2
y
Note the new coordinate
Substrate ns system, chosen to preserve
symmetry.
Note the centered coordinate system to maintain symmetry.

Solution for the Symmetric Slab Waveguide TE Modes:
¶ ¶
As before: =0, for jb
=- propagation in the z-direction, and:
¶y ¶z
¶2 E y h
Cover :
¶x
- b - nk
2 (
     
2
E y =0, 2 2
)
c o n =n
c s
x³
2
gs2 > 0
¶2 E y h h
Film :
¶x 2
  
(
+ n k - b E y =0, 2 2
f o
2
) - £x £
2 2
k 2f > 0
¶2 E y h
Substrate :
¶x 2
  
(
- b - n k E y =0, 2 2 2
s o ) x £-
2
gs2 > 0
Important Special Case:
The Symmetric Slab Waveguide

n f  n s  nc
even or
Cover ns symmetric modes
odd or
anti-symmetric modes
Guiding Film nf
Substrate ns
Modes have an even/odd symmetry
Note the centered coordinate system.

TE Modes

TE Modes for the Symmetric Slab Waveguide:
Because of the symmetry of the structure, mode patterns

can be expressed in terms of symmetric (even) and anti-
symmetric (odd) modes. As we will see, this makes a
difference in the mode behavior. For TE modes:
Even TE Modes Odd TE Modes

æ hö æ hö
- g s ç x- ÷
è 2ø
- g s ç x- ÷
è 2ø h
Cover: E y ( x ) =Ae , E y ( x ) =Ae , x³
2
h h
Film: ( )
E y ( x ) =Bcos k f x , ( )
E y ( x ) =Bsin k f x , - £x £
2 2
æ hö æ hö
+g s ç x+ ÷
è 2ø
+g s ç x+ ÷
è 2ø h
Substrate: E y ( x ) =De , E y ( x ) =De , x £-
2

Even TE Modes:
æ hö
- g s ç x- ÷ h
Cover : E y ( x ) = Ae è 2ø
, x³
2
h h
Film : ( )
E y ( x ) =Bcos k f x , - £x £
2 2
æ hö
+g s ç x+ ÷ h
Substrate : E y ( x ) =De è 2ø
, x £-
2

Even TE Modes – Boundary Conditions for Ey:
Because of symmetry and the reduced number of

coefficients only one boundary condition equation is needed
here.
æ hö
- g s ç x- ÷ æ hö
at x = h/2: Ae ( )
=Bcos k f x Þ A =Bcos çk f ÷
è 2ø
è 2ø
æ hö
at x = –h/2: D =Bcos çk f ÷
è 2ø

Even TE Modes:
ì æ hö
æ
ï cos k h ö - g s ç
è
x- ÷
2ø h
ç e , x ³
ï è f 2÷ø 2
ï
ï h h
E y ( x ) =Eo í
ï
( )
cos k f x , - £x£
2 2
ï + g
æ hö
æ h ö s çè x+ 2 ÷ø h
ï cos çk f ÷e , x £-
ï è 2ø 2
î

From Maxwell’s Equations (TE modes):
b
H x =- Ey
koh o
Þ
1 ¶E y
Hz = j
koho ¶x

Even TE Modes:
ì æ hö
æ
ï cos k h ö - g s ç
è
x- ÷
2ø h
ç ÷ e , x³
ï f
è 2ø 2
ï
b b ï h h
H x ( x ) =-
h o ko
E y =- Eo í
h o ko ï ( )
cos k f x , - £x £
2 2
ï æ hö
æ h ö +gs çèx+ 2 ÷ø h
ï cos çk f ÷e , x £-
ï è 2ø 2
î

Even TE Modes:
ì æ hö
æ
ï - g cos k h ö - g s ç
è
x- ÷
2ø h
ç e , x ³
ï s
è f 2÷ ø 2
ï
j ¶E y j ï h h
Hz =
koh o ¶x
= Eo í
koho ï ( )
- k f sin k f x , - £x£
2 2
ï + g
æ hö
æ h ö s çèx+ 2 ÷ø h
ï gs cos çk f ÷e , x £-
ï è 2ø 2
î
This must be continuous at x = ± h/2:
æ hö æ hö æ h ö gs Characteristic
- gs cos çk f ÷=- k f sin çk f ÷Þ tan çk f ÷= Equation
è 2ø è 2ø è 2ø k f Even TE Modes

Odd TE Modes:
æ hö
- g s ç x- ÷ h
Cover : E y ( x ) =Ae è 2ø
, x³
2
h h
Film : ( )
E y ( x ) =Bsin k f x , - £ x £
2 2
æ hö
+g s ç x+ ÷ h
Substrate : E y ( x ) =De è 2ø
, x £-
2

Odd TE Modes – Boundary Conditions for Ey:
æ hö
- gs çx- ÷ æ hö
at x = h/2: Ae
è 2ø
( )
=Bsin k f x Þ A =Bsin çk f ÷
è 2ø
æ hö
at x = –h/2: D =Bsin ç - k f ÷
è 2ø

Odd TE Modes:
ì æ hö
ï sin kæ h ö - g s ç
è
x- ÷
2ø h
ç ÷e , x³
ï è 2øf
2
ï
ï h h
E y ( x ) =Eo í
ï
sin k f x , ( ) - £x£
2 2
ï æ hö
æ h ö +g s çè x+ 2 ÷ø h
ï - sin çk f ÷e , x £-
ï è 2ø 2
î

Odd TE Modes:
ì æ hö
ï sin kæ h ö - g s ç x- ÷
è 2ø h
ç ÷ e , x³
ï è 2øf
2
ï
b b ï h h
H x ( x ) =-
h o ko
E y =- Eo í
h o ko ï ( )
sin k f x , - £x£
2 2
ï æ h ö çè x+ 2 ÷ø
+ g
æ hö
h
ï - sin çk f ÷e
s
, x £-
ï è 2ø 2
î

Odd TE Modes:
ì æ hö
ï - g sin kæ h ö - g s ç
è
x- ÷
2ø h
ç e , x ³
ï s
è f 2÷ø 2
ï
j ¶E y j ï h h
Hz =
koh o ¶x
= Eo í
koho ï ( )
k f cos k f x , - £x £
2 2
ï æ hö
æ h ö +g s çè x+ 2 ÷ø h
ï - gs sin çk f ÷e , x £-
ï è 2ø 2
î
æ hö kf Characteristic
Continuity at x = ± h/2: tan çk f ÷=- Equation
è 2ø gs Odd TE Modes

TM Modes

TM Modes for the Symmetric Slab Waveguide:
From the solution to the wave equation for Hy:
Even TMModes Odd TMModes

æ hö æ hö
- g s ç x- ÷
è 2ø
- gs ç x- ÷
è 2ø h
Cover: H y ( x ) =Ae , H y ( x ) = Ae , x³
2
h h
Film: ( )
H y ( x ) =Bcos k f x , ( )
H y ( x ) =Bsin k f x , - £x £
2 2
æ hö æ hö
+gs ç x+ ÷ +gs ç x+ ÷ h
Substrate: H y ( x ) =De è 2ø
, H y ( x ) =De è 2ø
, x £-
2
Symmetry is still defined from the transverse Electric Field.

Even TM Modes
Modes:
ì æ hö
- gs ç x- ÷
ï Ae è 2 ø , h
x³
ï 2
ï
ï h h
( )
H y ( x ) =í Bcos k f x , - £x £
2 2
ï
ï æ hö
+gs ç x+ ÷
è 2ø h
ï De , x £-
ï 2
î
æ hö
h - gs çx- ÷ æ hö
x = : Ae
2
è 2ø
( )
=Bcos k f x Þ A =Bcos çk f ÷
è 2ø
æ hö
h +gs çx+ ÷ æ hö
x =- : De
2
è 2ø
( )
=Bcos k f x Þ D =Bcos çk f ÷
è 2ø

Even TM Modes:
ì æ hö
æ
ï cos k h ö - g s ç x- ÷
è 2ø h
ç ÷ e x³
ï è 2øf
2
ï
ï h h
H y ( x ) =H o í cos k f x ( ) - £x £
2 2
ï
ï æ h ö çè x+ 2 ÷ø
+ g s
æ hö
h
ï cos çk f ÷e x £-
ï è 2ø 2
î

Even TM Modes
From Maxwell’s Equations:
b
Ex = 2 h o H y
ni ko
Þ
ho ¶H y
Ez =- j 2
ni ko ¶x

Even TM Modes:
ì æ hö
ï 1 æ h ö - gs çèx- 2 ÷ø h
ï cos çk f ÷e x³
2
ns è 2ø 2
ï
b b ï 1 h h
E x ( x ) = 2 h o H y = ho H o í
ni ko ko 2
nf
( )
cos k f x - £x£
2 2
ï
ï æ hö
ï 1 æ h ö +gs çèx+ 2 ÷ø h
cos çk f ÷e x £-
ï 2
ns è 2ø 2
î

Even TM Modes:
ì æ hö
ï g æ h ö - g s ç x-
è 2÷ ø h
s
cos ç k e x ³
ï n2 è f
2 ÷
ø 2
ï s
h o ¶H y ho ï kf h h
Ez ( x ) =- j 2
ni ko ¶x
= j Ho í
ko nf2 ( )
sin k f x - £x £
2 2
ï
ï æ hö
g æ
ï - s cos k h e çèx+ 2 ÷øö + g s h
ç x £ -
n2f æ hö ï n 2
è f
2 ÷
ø 2
g =k f tan çk f ÷ î
2 s
s
ns è 2ø
2
æ hö gs f n Characteristic
Continuity at x = ± h/2: tan çk f ÷= 2 Equation
è 2 ø ns k f Even TM Modes

Odd TM Modes:
ì æ hö
- gs ç x- ÷
ï Ae è 2 ø , h
x³
ï 2
ï
ï h h
( )
H y ( x ) =í Bsin k f x , - £x £
2 2
ï
ï æ hö
+gs ç x+ ÷
è 2ø h
ï De , x £-
ï 2
î
Continuity at x = ± h/2:
æ hö
A =- D =Bsin çk f ÷
è 2ø

Odd TM Modes:
ì æ hö
ï sin æk h ö e s çè 2 ÷ø , h
- g x-
ç ÷ x³
ï è 2øf
2
ï
ï h h
H y ( x ) =H o í ( )
sin k f x , - £x £
2 2
ï
ï æ hö
æ h ö +g s çèx+ 2 ÷ø h
ï - sin çk f ÷e , x £-
ï è 2ø 2
î

Odd TM Modes:
ì æ hö
ï 1 æ h ö - g s ç x-
è 2÷ ø h
ï n2 ç sin k f ÷ e , x ³
è 2 ø 2
ï s
b b ï 1 h h
Ex = 2 h o H y = h o H o í
ni ko ko nf2 ( )
sin k f x , - £x £
2 2
ï
ï æ hö
ï - 1 sin æk h ö e çè x+ 2 ÷ø ,
+ g s
x £ -
h
ï n2 ç è f
2 ÷
ø 2
î s

Odd TM Modes:
ì æ hö
g
ï - s sin kæ h ö - g s çx- ÷
è 2ø h
e , x³
ï n2 ç f
è 2ø ÷ 2
ï s
h o ¶H y ho ï kf h h
Ez =- j 2
ni ko ¶x
=- j H o í
ko nf2 ( )
cos k f x , - £x £
2 2
ï
ï æ hö
g
ï - s sin kæ h ö +g s çx+ ÷
è 2ø h
e , x £-
ï n2 ç è 2ø
f ÷ 2
æ hö 2
ns î s
g s tan çk f ÷=- 2 k f
è 2ø nf
æ hö k f ns2 Characteristic
Continuity at x = ± h/2: tan çk f ÷=- 2 Equation
è 2ø nf g s Odd TM Modes

We could have used the result from Slides 44 – 45:
For TE Modes:
æg ö æg ö
k f h =arctan ç s ÷+ arctan ç ÷+ mp , m =0,1, 2,…
c
èk f ø èk f ø
æg ö
ns =nc Þ gs =gc Þ k f h =2arctan ç s ÷+ mp
èk f ø
æ hö é æg ö pù
Þ tan çk f ÷=tan êarctan ç ÷+ m ú, m =0,1, 2,…
s
è 2ø ê
ë èk f ø 2ú
û

We could have used the result from Slides 44 – 45:
For TM Modes:
æ nf 2 g ö æn f 2 g ö
k f h =arctan ç s
÷+ arctan ç
c
2÷
+ mp , m =0, 1, 2,…
è k f ns ø è k f nc ø
2
h æn f 2 g ö p
ns =nc Þ gs =gc Þ k f =arctan ç s
2÷
+m
2 è k f ns ø 2
æ hö é æn f 2 g ö p ù
Þ tan çk f ÷=tan êarctan ç s
2÷
+ m ú, m =0,1, 2,…
è 2ø ê
ë è k f ns ø 2ú
û
After simplification these give the same results, but the integer m
(even or odd) makes the modal behavior explicit.

Symmetric Slab Waveguide – Summary:
æ h ö gs
Eigenvalue Equation (Even TE Modes): tan çk f ÷=
è 2ø k f
æ hö kf
Eigenvalue Equation (Odd TE Modes): tan çk f ÷=-
è 2ø gs
2
æ h ö gs n f
Eigenvalue Equation (Even TM Modes): tan çk f ÷= 2
(This is the interesting one) è 2 ø ns k f
æ hö k f ns2
Eigenvalue Equation (Odd TM Modes): tan çk f ÷=- 2
è 2ø n f gs

Consider the Eigenvalue Equation for Even TM Modes:
Multiply both sides by h/2:

ns2 æk f h ö æk f h ö ægs h ö
2
æ hö nf
k f tan çk f ÷= 2 g s Þ 2 ç ÷tan ç ÷=ç ÷
è 2 ø ns nf è 2 ø è 2 ø è 2 ø
2 2 2 2
k
What is the relation between κf and γs? f =n f
k o
- b >0
Solve for β and substitute in the expression for γs:
g
This is the equation of a circle: s
2
+ k 2
f
= n f
2
(
- ns
2
k o
2
)
Consider the Eigenvalue Equation for Even TM Modes:
Pursue a graphical solution.
Plot both sides of the characteristic equation on the same set

of axes and find the intersections (solutions):
g sh
2 ns2 æ hk f ö æk f h ö æg s h ö
ç ÷tan ç 2 ÷=ç 2 ÷
n2f è 2 ø è ø è ø
k fh
2
For Even TM Modes: gs h ns2 æk f h ö æk f h ö
2 ç ÷tan ç ÷
2
æ g s h ö æk f h ö
2
2 æ ko h ö
2
2 nf è 2 ø è 2 ø
Circle: ç
è 2 ÷
+ ç
ø è 2 ø
÷ = n(f
2
- ns ç )
è 2 ÷ ø
Solution
Region
k f > 0, g s > 0
Solution
  p 3p kfh
 2 2
Radius: 2 2
2 ko h2
n f - ns
2
As the wavenumber ko (frequency) increases, so does the circle radius.

Eigenvalue Equation for Even TM Modes:
1st TM Mode
ns2 h æ hö
k f tan çk f ÷ h
2
nf 2 è 2ø s 2nd TM Mode
2 Solution
Region


2
h
 3p f
n f 2 - ns 2 ko
h 2 2 2
2
First even TM mode always

propagating: The even TM01 is
the Dominant Mode h
Cutoff condition: k fc =mp
2
The first mode to propagate is termed the Dominant Mode
Eigenvalue Equation for Even TM Modes:
First even TM mode always propagating (dominant mode).

h
Cutoff condition: k fc =mp
2
At cutoff:
gsc2 =0 =b c2 - ns 2 koc2 ³ 0 Þ bc =ns koc

h h
( )
k 2fc =n f 2 koc2 - bc2 = n f 2 - ns 2 koc2 Þ k fc
2
=mp = n f 2 - ns 2 koc
2
2mp h n f 2 - ns 2
koc = , m =0, 1, 2, ... , l c =
2
h n f - ns 2 m

The odd TM modes follow a similar development.
æ hö n2f
gs tan çk f ÷=- 2 k f
è 2ø ns
or
n2f æ hö
k f cot çk f ÷=- gs
2
ns è 2ø
n2f h æ hö h
Normalize: k f cot çk f ÷=- g s
2
ns 2 è 2ø 2

The odd TM modes h n2fh æ hö
- gs = 2 k f cot çk f ÷
2 ns 2 è 2ø
h
s
2
Not a valid solution
 3p
2 p 2 2
h
f
2
Valid solution Solution

Region
 s2   2f   n f 2  nc 2  ko 2

The odd TM modes Cutoff condition:
h æ 1ö
h k f =çm + ÷p
s 2 è 2ø
2
m =0,1, 2, ...
 3p
2 p 2 2
h
f
Solution
2
Region
1st TE Mode 2nd TE Mode

Numerical Example: TM Modes
ko-cutoff-even ko-cutoff-odd

Verification of Cutoff Conditions

Verification of Cutoff Conditions


Note the asymptotic

behavior:



Numerical Aperture (for multi-mode waveguide)
1 n2
 critical  sin
n1
no
n1
    critical Guided d ≫l
inc Mode
This condition is necessary
since we do this via ray-
n2 analysis. If d were “small”,
Energy a field analysis would be
leaks out required since diffraction
effects would be
no
n1 significant.
inc    critical

Numerical Aperture (NA): The Numerical Aperture (NA) is
defined in terms of the maximum angle that an incident ray can have
and still be trapped by the waveguide.
no
n1
   critical d l
 max

  critical n2
2
æp ö
Snell’s Law: no sin q max =n1 sin ç - qcritical ÷=n1 cos ( qcritical )
è2 ø
n2 2
=n1 1- sin 2 ( qcritical ) =n1 1- 2 = n12 - n2 2
n1
n12 - n2 2
Þ sin q max =
no
Numerical Aperture Example
Note that the acceptance angle is 2θmax
no  1 n2  1.4
2q max =64° n1  1.5 d l
n2  1.4
2 2
NA =sin qmax =
2
n -n
1
2
2
=
( 1.5) - ( 1.4) =0.539
no 1.0
qmax =sin - 1 ( 0.539) =32°

Next – Integrated Waveguide
Any real waveguide has transverse confinement as well.

END
APPENDIX
Just-in-Time Electromagnetics
Not covered in class

APPENDIX: Just-in-Time Electromagnetics:
• Poynting’s Theorem
• Time Averaging
• Time Reversal
• Lorentz Reciprocity Theorem
• The Divergence Theorem of Gauss (this is math)
• Mode Orthogonality

Poynting’s Theorem – The Conservation of Power
From Maxwell’s Equations in the time domain:
For lossless dielectric

optical waveguides
assume:
Examine:
Use the identity:
We obtain:

Define the Poynting vector: , which has units of power

flux density (W/m2).
For isotropic media:
The electric and magnetic energy densities are:
Poynting’s Theorem in the time domain is simply:

The power flow, or the divergence of the power density S

equals the decreasing rate of of total electric and magnetic
energy.
In the frequency domain (the factor of one-half accounts

for time-averaging – see the later slide):
Use the identity:

The left-hand-side is the time-averaged power flux density:
The total power is obtained by integrating density over the

volume and applying the divergence theorem (next slide):

Divergence Theorem of Gauss
By the Divergence
Theorem of Gauss
z
unit normal
n̂ to surface
differential
Volume V element of
surface area da
differential volume y
element dv =dxdydz
dz
dy dx
x Surface S

Divergence Theorem of Gauss
3-D version:
2-D version:
For an optical waveguide: n̂

x
z Dielectric Waveguide
R® ¥
C

Time Averaging – for sinusoidal steady-state fields,
averaged over one period:

Time Reversal (in the time domain)
For J = 0, Maxwell’s Equations are:
and remain unchanged if we replace:
This is the Time Reversal Theorem.

Time Reversal (in the frequency domain)
Again for J = 0, consider Maxwell’s Equations are:
and take their complex conjugate:
if e ( w ) =e* ( w ) ,then
m ( w(provided
) =m* ( w ) that ω is real) the form of the
equations remains unchanged with fields with
as the new fields. Note that time-reversed traveling wave
propagates in the opposite direction: - jb z ® jb z
This is the Time Reversal Theorem in the frequency domain.

Lorentz Reciprocity Theorem
Consider two sets of fields, each of which satisfies

Maxwell’s Equations (same frequency):
Perform the following operation:
Again use the identity:

Lorentz Reciprocity Theorem
Substitute and simplify (using the same identity as before):
This is the Lorentz Reciprocity Theorem:

Lorentz Reciprocity Theorem for Conjugate Fields
(with a Polarization Term Present):
In:
Replace
Then:
Or:

Mode Orthogonality
Fields in a waveguide are of the form:
Consider two independent waveguide modes:
We assume that the two modes are nondegenerate*: b 1 ¹ b2
* Degenerate modes are distinct (different) modes but with the same propagation constant β.

Mode Orthogonality
From the Lorentz Reciprocity Theorem:
Note that we can write:
Thus:

Mode Orthogonality
Integrate
over the entire waveguide cross-section:
Using the 2-D form of the Divergence Theorem:
Thus:

Mode Orthogonality
Since: b1 ¹ b2
This is the basic form for the mode orthogonality relation. It

does not apply if the modes are degenerate or if they are
the same mode.
It can (and will be) further simplified.

Mode Orthogonality
From our earlier result:
Applying time reversal theorem on the “2” fields:
Applying time reversal theorem on the “1” fields:

Mode Orthogonality
We obtain:
Thus any two nondegenerate modes are orthogonal.

Mode Orthogonality – Normalization
From Poynting’s Theorem, the power carried by a mode p

traveling in the positive z-direction is:
while for a mode traveling in the negative z-direction:

The power carried by mode p is:
Now since:

Choose the normalization such that: Pp =Ap A*p
Then:
or:

sin ( x + y ) =sin ( x ) cos ( y ) + cos ( x ) sin ( y )
Trig Identities:
sin ( x - y ) =sin ( x ) cos ( y ) - cos ( x ) sin ( y )
cos ( x + y ) =cos ( x ) cos ( y ) - sin ( x ) sin ( y )
cos ( x - y ) =cos ( x ) cos ( y ) + sin ( x ) sin ( y )
æx + yö æx - y ö
sin ( x ) + sin ( y ) =2sin ç ÷ cos ç
è 2 ø è 2 ÷ ø tan ( x ) + tan ( y )
tan ( x + y ) =
æx + y ö æx - y ö 1- tan ( x ) tan ( y )
sin ( x ) - sin ( y ) =2sin ç sin
è 2 ÷ ø ç è 2 ÷
ø
æx + y ö æx - y ö sin ( 2x ) =2sin ( x ) cos ( x )
cos ( x ) + cos ( y ) =2cos ç cos
è 2 ÷ ø ç è 2 ÷
ø
cos ( 2x ) =cos 2 ( x ) - sin 2 ( x )
æx + y ö æx - y ö
cos ( x ) - cos ( y ) =- 2sin ç sin 2cos 2 ( x ) =1+ cos ( 2x )
è 2 ÷ ø ç è 2 ÷
ø
2sin ( x ) cos ( y ) =sin ( x + y ) + sin ( x - y )

æ x ö 1- cos ( x ) sin ( x )
tan ç ÷= =
è2 ø sin ( x ) 1+ cos ( x ) 2cos ( x ) sin ( y ) =sin ( x + y ) - sin ( x - y )
2cos ( x ) cos ( y ) =cos ( x - y ) + cos ( x + y )
sin ( x - y ) =sin ( x ) cos ( y ) - cos ( x ) sin ( y ) 2sin ( x ) sin ( y ) =cos ( x - y ) - cos ( x + y )
cos ( x - y ) =cos ( x ) cos ( y ) + sin ( x ) sin ( y )
cos ( x - y ) + cos ( x + y ) =2cos ( x ) cos ( y )
cos ( x - y ) - cos ( x + y ) =2sin ( x ) sin ( y )
sin ( x - y ) + sin ( x + y ) =2sin ( x ) cos ( y )
sin ( x + y ) - sin ( x - y ) =2cos ( x ) sin ( y )

Orthogonality Example TE Modes:
ì æk h ö
ï cos ç f - y ÷e- gc ( x- h 2) , x³h 2
ï è 2 TE
ø
ï
ï k ( g - gc )
E y ( x ) =BTE í (
cos k f x - y TE , ) - h 2 £ x £ h 2 , tan ( 2y TE ) = f 2 s
k f + gsgc
ï
ï æk f h ö +gs ( x+h 2)
e , x £- h 2
ï è ø
î
ì æk h ö
ï cos ç f - y ÷e- gc ( x- h 2) , x³h 2
ï è 2 TE
ø gs gc
+
b ï
ï gs + gc kf kf
H x ( x ) =- B í
ho ko TE ï
(
cos k f x - y TE , ) ( )
- h 2 £ x £ h 2 , tan k f h =
gsgc
=
g g
kf - 1- s c
ï æk f h ö +g ( x+h 2) kf kf kf
e s , x £- h 2
ï è ø
î
h h
-
¥ 2 2 ¥
òE ( x ) H ( x ) dx = òE ( x ) H ( x ) dx + òE ( x ) H ( x ) dx + òE ( x ) H ( x ) dx
* * * *
y x y x y x y x
-¥ -¥ h h
-
2 2

é -
h
ù
ê 2 f æ k h ö 2
ú
+y TE ÷òe s (
+2g x+h 2 )
êcos ç dx ú
è 2 ø
b * ê ú
¥ - ¥
òy ( ) ( )
*
E x H x dx =- B B ê h ú
-¥
x
ho ko TE TE ê 2 æk f h ö - 2g ( x- h 2) ú
¥
ê ò ( k )
y y TE ÷ò
2 2
+ cos f
x - TE
dx + cos ç 2 - e c dx ú
ê -h è øh ú
ë 2 2 û
é -
h h
ù
b * ê
æk h ö 2 2 æ k h ö
ùdx + cos 2 ç f - y ÷eg c h e- 2g c x dx ú
¥
1 é
y ò ò ( k ) y ò
2 f g sh 2g s x
=- BTE BTE êcos ç + e e dx + 1+ cos 2 x - 2 ú
ho k o è 2 TE ÷
ø 2 hë f TE û è 2 TE
ø
ê - ¥ h ú
ë -
2 2 û
1 b é 1+ cos k h + 2y
( ) ( sin k f h - 2y TE + sin k f h + 2y TE 1+ cos k f h - 2y TE ù
) ( ) ( )
B B êh + ú
* f TE
=- + +
2 ho ko TE TE ê 2gs 2k f 2gc ú
ë û
1 b é 1 1 (
cos k f h + 2y TE ) ( ) ( )
sin k f h - 2y TE + sin k f h + 2y TE ( cos k f h - 2y TE ù
)
* ê ú
=- B B h+ + + + +
2 ho ko TE TE ê 2gs 2gc 2gs 2k f 2gc ú
ë û

é
êh + 1 + 1 +
( ) ( )
cos k f h cos ( 2y TE ) - sin k f h sin ( 2y TE ) ù
ú
¥
1 b ê 2g s 2gc 2gs ú
ò y
E ( x ) H *
x ( x ) dx =- B B *
ê
2 h o ko TE TE ê sin k h cos ( 2y ) cos k h cos ( 2y ) + sin k h sin ( 2y ) ú
ú
-¥ ( ) f TE ( ) f TE ( ) f TE
ê+ + ú
ê
ë kf 2gc ú
û
é 1æ 1 1 ö 1æ 1 1 ö ù
2 è g g ø 2 èg g
( )
êh + ç + ÷+ ç + ÷cos k f h cos ( 2y TE )
ø
ú
1 b * ê s c s c ú
=- BTE BTE ê ú
2 ho k o ( )
ê sin k f h cos ( 2y TE ) 1 æ 1 1 ö ú
ê+
kf
+
2ç
- ÷
ègc gs ø
( )
sin k f
h sin ( 2y TE ) ú
ë û

2 2
k 2f ( gs + gc ) k 2f ( gs - gc )
2
( )
tan k f h = 2
, tan ( 2y TE ) =
2
2
(
k f - gsgc
2
) k 2f + gsgc ( )
é 1 1 1æ 1 1 ö ù
êh+
2g
+
2g
+ ç + ÷cos k f h cos ( 2y TE )
2 èg g ø
ú ( )
1 b * ê ú
¥
s c s c
ò y ( ) ( )
*
E x H x dx =- B B ê ú
x
2 ho ko TE TE ê sin k f h cos ( 2y TE ) 1 æ 1 1 ö ( ) ú
-¥
ê+
kf
+
2ç
- ÷
ègc gs ø
sin k f
h sin ( 2y TE ) ú ( )
ë û
1 1
tan 2 ( x ) +1 = Þ cos 2
( x ) =
cos 2 ( x ) tan 2 ( x ) +1
1 tan 2 ( x )
sin ( x ) =1- cos ( x ) =1-
2 2
=
tan 2 ( x ) +1 tan 2 ( x ) +1
2 2
( )
cos 2 k f h =
( k 2f - gsgc ) ( )
, sin 2 k f h =
k 2f ( gs + gc )
2 2 2 2
k 2f ( gs + gc ) + k 2f - gsgc ( ) (
k 2f ( gs + gc ) + k 2f - gsgc )
2 2
cos 2 ( 2y TE ) =
( k 2f + gsgc ) , sin 2 ( 2y TE ) =
k 2f ( gs - gc )
2 2 2 2
k 2f ( gs - gc ) + k 2f + gsgc ( ) (
k 2f ( gs - gc ) + k 2f + gsgc )

é 1 1 1æ 1 1 ö ù
¥
êh +
2g
+
2 g
+
2 ç g + g ÷cos k f h cos 2y TE
è s cø
( ) ( ) ú
1 b * ê s c ú
ò yE x H *
x ( ) ( )
x dx =- B B
2 h o ko TE TE ê 1 ú
ê+ sin k h cos 2y 1æ 1 1 ö ú
-¥
ê kf f TE
+
2 çg - g ÷sin k f h sin 2y TE
è c sø
( ) ( ) ( ) ( ) ú
ë û
2 2
( )
cos 2 k f h =
(k 2
f
- gsgc ) , sin 2 k f h = ( )
k 2f ( gs + gc )
2 2 2 2
k 2f gs + gc ( ) +(k 2
f
- gsgc ) k 2f gs + gc ( ) +(k - g g ) 2
f s c
2 2
cos 2 2y TE =
( )
( k 2f + gsgc ) , sin 2 2y TE = ( )
k (g - g ) 2
f s c
2 2 2 2
k 2f gs - gc ( ) + (k 2
f
+ gsgc ) k 2f ( g - g ) +(k +g g )
s c
2
f s c
2 2 2 2
( )
cos 2 k f h cos 2 2y TE =
( )
(k 2
f
- gsgc ) (k 2
f
+ gsgc ) (k +g g ) ) =
(k 2
f
- gsgc 2
f s c
2 2 2 2 2
k 2f gs + gc ( ) +(k 2
f
- gsgc ) k 2f ( g - g ) + ( k + g g ) ( k ( g + g ) +k + g g )
s c
2
f s c
2
f
2
s
2
c
4
f
2
s
2
c
2 2 2 2
k 2f ( gs + gc ) k 2f ( gs - gc ) k 4f ( gs - gc ) ( gs + gc )
( ) (
sin 2 k f h sin 2 2y TE = ) 2 2 2 2
= 2
k 2f gs + gc ( ) (
) ( k ( g + g ) +k + g g ) + k - gsgc 2
f ) k ( gs - gc ) + k + gsgc
2
f ( 2
f
2
f
2
s
2
c
4
f
2
s
2
c
2 2 2 2
sin ( k h ) cos ( 2y ) =
2 2
k ( g +g ) (k +g g ) =
k (k +g g ) ( g +g )
2
f s c
2
f s c
2
f
2
f s c s c
f TE 2 2 2 2 2
k ( g +g ) + (k - g g ) k ( g - g ) + (k +g g )
2
f s ( k ( g + g ) +k + g g )
c
2
f s c
2
f s c
2
f s c
2
f
2
s
2
c
4
f
2
s
2
c
ék g + g + k - g g ùék g - g + k + g g ù= k g + g + k + g g
2 2 2 2 2
ê
ë
2
f( s ) (
c ) úûêë ( 2
f ) ( s ) úû ( (
c ) ) 2
f s c
2
f s c
2
f
2
s
2
c
4
f
2
s
2
c

é 1 1 1æ1 1 ö ù
¥
b
êh +
2g
+
2 g
+ ç + ÷cos k f h cos ( 2y TE )
2 èg g ø
( ) ú
1 * ê ú
ò
s c s c
E y ( x ) H x* ( x ) dx =- BTE BTE ê ú
2 ho k o 1 1 æ1 1ö
-¥ ê+ sin k h cos ( 2y ) +
( ) - ÷sin k f h sin ( 2y TE ) ú
( )
ê kf f TE ç
2 ègc gs ø ú
ë û
k 4f - gs2gc2 k (g - g )
2 2 2
( )
cos k f h cos ( 2y TE ) = 2 2
( )
k f gs + g c + k f + gs gc
2 4 2 2 ( )
, sin k f h sin ( 2y TE ) = 2
kf 2
f
2
s
( g + g ) +k + g g
c
4 2 2
s c f s c
k (k +g g ) ( g +g )
2
( )
sin k f h cos ( 2y TE = 2
(
f
)
f
) k g + g +k + g g
2 2
s c
4
s
2
c
2
f s c f s c
é 1 1 1æ1 1 ö k 4f - gs2gc2 ù
êh + + + ç + ÷ 2 2 ú
ê 2g s
2 g c
2 g
è s g 2 4
(
c øk f g s + gc + k f + gs gc ú
2 2
)
ê ú
¥
1 b ê 1 k f k f + gsgc ( gs + gc )
2
( ) ú
ò y( ) x( ) ê ú
* *
E x H x dx =- B B +
-¥
2 h k
o o
TE TE
k 2 2 2 4
(
ê f k f gs + g c + k f + g s gc
2 2
) ú
ê ú
ê 1æ 1 1 ö
ê ç
+ -
k 2f gs2 - gc2 ( ) ú
ú
ê 2 ègc gs ÷ (
øk 2f gs2 + gc2 + k 4f + gs2gc2 ) ú
ë û

é 1 1 1 ( k 4f - gs2gc2 ( gs + gc ) + k 2f gs2 - gc2 ( gs - gc ) ù

) ( )
êh + + + ú
¥
1 b ê 2gs 2gc 2gsgc 2
( 2
)
k f + k f g s + g c + gs g c
4 2 2 2
ú
òE y ( x ) H x ( x ) dx =- ê ú
* *
BTE BTE
-¥
2 ho k o ê ( 2
)
k f + gsgc ( gs + gc ) ú
ê+ ú
ê k
ë f s
2
g (
2
+ g 2
c ) + k 4
f
+ g g
2 2
s c
ú
û
é 2 2 ù
¥
1 b * ê 1 1 g + g k( 2
+ g g ) + k 2
( g - g ) ú
òE y ( x ) H x ( x ) dx =-
* f s c f s c
BTE BTE h+ + + s c
2 ho k o ê 2g 2g 2gsgc ú
-¥
ê
ë
s c ( )(
k f + gs k f + gc
2 2 2
) 2
ú
û
é 1 1ù 1 b
¥
1 b
ò y
E ( x ) H x( )
*
x dx =- *
BTE BTE êh + + ú =- *
BTE BTE deff
-¥
2 h o ko ë g s gc û 2 ho ko

Planar Slab Waveguide

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Planar Slab Waveguide

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The Planar Slab Waveguide

Basic Optical ‘Wire’

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 1

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 2

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 3

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 4

buried waveguide substrate

or even this … “Real” Waveguides

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 5

… we first need to understand this.

The “Slab” Waveguide

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 6

Extends to infinity in the + y and + z directions.

Idealized, but extremely useful on a practical level.

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 7

Examine propagation in the positive z-direction: e  jk z z  e  j z

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 8

Since we have a 2-D structure we choose the coordinate

ns Extends to ∞ in ±y’ and ±z’ directions

This choice for the coordinate system simplifies analysis

longitudinal plane runs along the

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 10

We’ll do TE modes. TM modes are left as an exercise.

Start with the wave equation in rectangular coordinates.

For a TE field (from previous figure):

Examine propagation in the positive z-direction

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 12

Which index? We have three: n f  n s  nc

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 13

Which index? We have three.

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 14

How does the wave equation capture this?

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 15

Depicted below is the solution corresponding to a guided

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 17

Consider the wave equation:

The solution is oscillatory in x

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 19

Wavevector: We have the simultaneous superposition

Known as radiation modes

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 21

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 22

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 23

Since ns > nc this condition wins.

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 25

Oscillatory Oscillatory Evanescent

Oscillatory Evanescent Evanescent

Oscillatory Oscillatory Evanescent

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 27

Understand this thoroughly!

Oscillatory Oscillatory Evanescent

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 29

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 30

Tangential E and H are continuous at the boundaries.

The magnetic field is obtained from Maxwell’s Equations:

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 31

For TE modes only Ey is present:

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 32

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 33

Boundary Conditions for Magnetic Field – TE Modes:

10/26/2021 © 2021, Henry Zmuda Planar Slab Waveguide 34

After a little simplification:

How many equations? How many unknowns?