Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete
Solution
Graphical
Solution Lecture 3
Modes in a
Step-Index
Chapters 3 and 4
Fiber
Form of the
Fields

ECE243b Lightwave Communications - Spring 2019 Lecture 3 1

 Waveguide Geometries
Lecture 3

Waveguide
Geometries

Modes in a
Slab The guided modes of several waveguide geometries.
Waveguide
Complete
Solution (a) (c)
Graphical
Solution

Modes in a
Step-Index Slab Waveguide Step-Index Fiber (arbitrary Δ)
Fiber
Form of the
Fields (b) (d)

Step-Index Fiber (small Δ) Graded-Index Fiber

Figure: Waveguide geometries. (a) Slab waveguide. (b) Step-index fiber with an small
index difference ∆. (c) Step-index fiber with an arbitrary index difference ∆.
(d) Graded-index fiber.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 2

 Waveguide Geometries and Modes
Lecture 3

The modes of any dielectric waveguide are determined using the vector
Waveguide Helmholtz equation.
Geometries

Modes in a
Slab Because the cross-sectional region of a waveguide does not change in the z
Waveguide direction, a mode maintains the same transverse spatial structure in a lossless
Complete
Solution medium in which it propagates.
Graphical
Solution
This means that the z dependence of the jth mode has a form e−iβj z where βj
Modes in a
Step-Index is a real propagation constant that depends on the geometry.
Fiber
Form of the
Fields For this kind of propagating solution in a dielectric waveguide, all of the
transverse field components can be expressed in terms of the two axial field
components Ez and Hz .

A propagating mode in a dielectric waveguide must have at least one axial

component, which can be either Ez or Hz or both.

A mode with no Ez component is called a transverse electric mode (TE mode).

A mode with no Hz component is called a transverse magnetic mode (TM

mode).

A mode that has both an Ez component and an Hz component is called a

hybrid mode.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 3

 Waveguide Geometries and Modes
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide For any lossless dielectric waveguide, the linear propagation of a lightwave field over a
Complete distance L can be determined using the following method:
Solution
Graphical 1 The complex monochromatic field E(r) at a frequency ω at the waveguide input
Solution
is decomposed into a superposition of the guided modes of the waveguide
Modes in a
Step-Index 2 The jth expansion coefficient of this decomposition is the complex spatial
Fiber
amplitude sj of the jth mode.
Form of the
Fields 3 For a lossless dielectric waveguide, the amplitude for the jth guided mode at a
distance L is the product of the initial amplitude sj and a phase shift e−iβj (ω )L
1 The dependence of βj (ω ) on ω causes linear dispersion
4 At a given distance L, the complex-valued amplitudes for all modes are summed
to produce the field.
5 An arbitrary temporal waveform is expressed as a superposition using a temporal
Fourier decomposition.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 4

 Slab Waveguide Solutions
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide The cross-sectional geometry of an ideal slab waveguide is shown in Figure 2.
Complete
Solution
n2
Graphical
Solution
a
Modes in a 2a n1 x
Step-Index z
Fiber
−a
Form of the
Fields
n2

Figure: The geometry of a dielectric slab waveguide. The field propagates in the z direction
and there is no variation in the field in the y direction.

The scalar Helmholtz equation for the TE-mode field component Ey (x, z ) is

∇2 Ey (x, z ) + n2 k02 Ey (x, z ) = 0. (1)

ECE243b Lightwave Communications - Spring 2019 Lecture 3 5

 Slab Waveguide Solutions
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
To solve this equation, use the method of separation of variables.
Complete
Solution
Graphical
Express the transverse electric field Ey (x, z ) is the product of two functions,
Solution f (x) depending only on x, and g (z ) depending only on z.
Modes in a
Step-Index
Fiber Substituting Ey (x, z ) = f (x)g (z ) into (1) and dividing through by f (x)g (z )
Form of the yields
Fields

1 d2 f ( x ) 1 d2 g ( z )
+ + n2 k02 = 0. (2)
f (x) dx2 g (z ) dz 2

Each of the first two terms in (2) is a function of a single variable.

Hence, so that the first two terms sum to the constant term −n2 k02 , each term
must itself be a constant, independent of x and z.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 6

 Slab Waveguide Solutions-cont.
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete
Equating the first term containing f (x) to a constant −γ 2 and equating the
Solution second term containing g (z ) to another constant −β 2 , (2) separates into two
Graphical
Solution
ordinary differential equations
Modes in a
Step-Index d2 f ( x )
Fiber + γ 2 f (x) = 0 (3)
Form of the
dx2
Fields
d2 g ( z )
+ β 2 g (z ) = 0, (4)
dz 2
where the separation constants γ and β are related by the constraint equation

γ2 + β2 = n2i k02 , (5)

with ni for i = 1, 2 being the index in the core and the cladding respectively.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 7

 Slab Waveguide Solutions-cont.
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete
The separation constant β is the propagation constant of the mode.
Solution
Graphical
Solution It is the spatial frequency of the field in the direction of propagation.
Modes in a
Step-Index
Fiber
A solution Ey (x, z ) to these equations for positive x is of the form
Form of the
Fields Ey (x, z ) = f (x)g (z )
= Ceiγx e−iβz , (6)

where γ may be real or imaginary, and C is a constant.

This form means that the transverse spatial dependence f (x) does not change as
a function of z, which is a requirement for a solution to be a mode.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 8

 Complete Solution
Lecture 3

Waveguide
Geometries
This complete solution must satisfy four constraints required by the boundary
Modes in a
Slab conditions. These constraints are:
Waveguide
Complete
1 The form of g (z ) must have the functional form e−iβz with the same value of β
Solution both in the core and the cladding. For a lossless waveguide β is real. This means
Graphical
Solution that the field can experience only a z-dependent phase shift with g (z ) = e−iβz .
Modes in a
Step-Index
2
RThe
∞
total power per unit width in the y direction, which is proportional to
2
Fiber |f (x)| dx, must be finite. For a guided mode, this constraint implies that
−∞
Form of the
Fields
f (x) must decay with x in the infinite cladding. Only the functional form
e−q (x−a) for x > a satisfies (6) and this constraint. Unguided modes have a
different form of solution in the cladding, but are not of interest.
3 The functions f (x) in the core and the cladding must be equal at the
core/cladding boundary. This constraint is a consequence of the boundary
condition that the tangential electric field must be continuous at the boundary.
4 The derivatives of the functions for f (x) in the core and the cladding must be
equal at the core/cladding boundary. This constraint is a consequence of the
boundary condition that the tangential magnetic field component must be
continuous at the boundary.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 9

 Complete Solution-cont.
Lecture 3

Waveguide
Geometries

Modes in a
Slab Solutions in the core and the cladding must be matched to satisfy these
Waveguide
Complete
constraints.
Solution
Graphical
Solution In particular, the separation constant γ will be real in the core and imaginary in
Modes in a the cladding.
Step-Index
Fiber
Form of the Accordingly, let γ = p be the value of the separation constant for the core and let
Fields
γ = iq be the value of the separation constant for the cladding with q being real.

Using these values in the core and the cladding, (3) separates into two equations

d2 f ( x )
+ p2 f (x) = 0 |x| ≤ a (7)
dx2
d2 f (x)
− q 2 f (x) = 0 |x| ≥ a. (8)
dx2

ECE243b Lightwave Communications - Spring 2019 Lecture 3 10

 Complete Solution-cont.
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete The solutions to these equations are
Solution
Graphical
B sin(px)
n
Solution
f (x) = |x| ≤ a (9)
Modes in a B cos(px)
Step-Index
Fiber f (x) = Ae−q (|x|−a) |x| ≥ a. (10)
Form of the
Fields

The parameter p is the transverse spatial frequency of the cosinusoidally-varying

mode
a larger value of p corresponding to a mode that undergoes more spatial oscillations.
The parameter q is the cladding decay rate
a larger value of q corresponding to a faster spatial decay rate of that mode in the
cladding.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 11

 Constraint Eq.
Lecture 3

Waveguide To determine the relationship between p and q, apply the last two constraints.
Geometries

Modes in a
Slab
These require that both f (x) and its derivative df (x)/dx be continuous at the
Waveguide boundary x = a between the core and the cladding.
Complete
Solution
Graphical Each cosine solution of (7) that satisfies the constraints is known as an even TE
Solution
mode.
Modes in a
Step-Index
Fiber Each sine solution of (7) that satisfies the constraints is known as an odd TE
Form of the
Fields mode

Equating (9) and (10) for f (x) and df (x)/dx at x = a yields

A = B cos(pa)
−qA = −Bp sin(pa),

for the even TE modes, which have a cosine dependence in the core. Similarly,

A = B sin(pa)
−qA = Bp cos(pa)

for the odd TE modes, which have a sine dependence in the core.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 12

 Constraint Eq.
Lecture 3

Waveguide
Geometries

Modes in a The ratio of the two expressions, multiplied by a, yields

Slab
Waveguide
Complete qa = (pa) tan(pa) (Even TE modes) (11)
Solution
Graphical qa = −(pa) cot(pa) (Odd TE modes). (12)
Solution

Modes in a
Step-Index These equations are the characteristic equations for the TE modes in a slab
Fiber
waveguide.
Form of the
Fields

A second expression relating p and q can be obtained using (5).

Substituting γ = p and ni = n1 for the core yields

β2 = n21 k02 − p2 , (13)

while using γ = −iq and ni = n2 for the cladding yields

β2 = n22 k02 + q 2 . (14)

ECE243b Lightwave Communications - Spring 2019 Lecture 3 13

 Normalized Frequency
Lecture 3

Waveguide
Geometries
Equating (13) and (14) and multiplying both sides by a2 yields
Modes in a
Slab
.
Waveguide (qa)2 + (pa)2 = a2 k02 n21 − n22 = V 2, (15)
Complete
Solution
Graphical which is the equation of a circle of radius V in the pa-qa plane.
Solution

Modes in a The parameter V , called the normalized frequency is defined as

Step-Index
Fiber
a
 p
Form of the .
Fields V = 2π n21 − n22 , (16)
λ0
where λ0 is the wavelength in vacuum and a is the half-width of the waveguide.

The normalized frequency V can be written in several ways as


a
 √
V = 2πNA = n1 2∆k0 a. (17)
λ0
p
where the numerical aperture NA is defined as n21 − n22 and the normalized
index difference∆ is defined as (n1 − n2 )/n1 ≈ (n1 − n2 )/n2

ECE243b Lightwave Communications - Spring 2019 Lecture 3 14

 Graphical Solution
Lecture 3

4
Waveguide
Geometries

Modes in a
Slab

pa tan(pa)
Waveguide
Complete 3

t(pa)
Solution
Graphical
Solution

−pa co
Modes in a
Step-Index
Fiber
qa 2

(pa)
Form of the
Fields

pa tan
1

π
1 2 3 4
2
pa

Figure: Graphical solution to determine the values for pa and qa that define a slab waveguide
mode for V = 4.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 15

 Mode Patterns and Transmitted Power
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Once the values of p, q, and β defining a mode are determined, the spatial dependence
Waveguide of that mode is given by (9) and (10) for the core and the cladding, respectively.
Complete
Solution
Graphical First Even TE Mode First Odd TE Mode Second Even TE Mode
Solution

Modes in a
Step-Index
Fiber 2a
Form of the
Fields

Field Intensity Intensity Field Intensity Intensity Field Intensity Intensity

Density Density Density

Figure: The cross-sectional electrical field strength, the cross-sectional intensity, and the intensity
density for the first three TE modes for a slab waveguide with V = 4 using (9) and (10). The
dashed lines indicate the core/cladding interface.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 16

 Optical Fiber Modes
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide Cladding n2 K(qr)
Complete
Solution
Graphical
Solution Core n1 d=2a J(pr)
Modes in a
Step-Index
Fiber Cladding n2
Form of the
Fields
K(qr)

Figure: The radial dependence of the solution to the wave equation .

For this geometry, the appropriate coordinate system is a cylindrical coordinate

system (r, ψ, z ) with z being the direction of propagation.

As for the case of a slab waveguide, a fiber cannot support a mode that does not
have at least one axial field component.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 17

 Optical Fiber Modes for small ∆
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide For most step-index optical fibers used for communication, n1 ≈ n2 and the
Complete
Solution
normalized index difference ∆ is much smaller than one.
Graphical

This observation suggests that for ∆ much smaller than one, a guided mode
Solution

Modes in a
Step-Index
solution to the vector Helmholtz equation is nearly a TEM mode with the
Fiber electric field vector E nearly transverse to the direction of propagation.
Form of the
Fields
This electric field can be written as

E ≈ Ex (r, ψ, z )b
x + Ey (r, ψ, z )b
y,

cartesian coordinates are the judicious choice to describe the plane-wave-like nature of
each component of the vector field
cylindrical coordinates are the judicious choice to describe the functional dependence of
each cartesian component because of the cylindrical symmetry of the fiber.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 18

 Optical Fiber Modes for small ∆
Lecture 3

The vector Helmholtz equation separates into a set of scalar Helmholtz equations
Waveguide as was the case for the slab waveguide.
Geometries

Modes in a Working with (Ex , Hy ), the Ex component satisfies the scalar Helmholtz
Slab
Waveguide equation
Complete
Solution
∇2 Ex (r, ψ, z ) + n2 k02 Ex (r, ψ, z ) = 0, (18)
Graphical
Solution
where n = n1 in the core and n = n2 in the cladding.
Modes in a
Step-Index
Fiber Following same method as slab wavegude, but using cylindrical coordinates gives
Form of the
Fields the solution in the core region as

f (r ) = A Jν (pr ) r≤a (19)

where Jν (x) is the Bessel function of the first kind of order ν and A is a
constant.

This function plays the same role for a fiber waveguide that the cosinusoidal
functions play for a slab waveguide.

For the cladding region the field has a decaying solution given by

f (r ) = B Kν (qr ) r≥a (20)

where Kν (x) is the modified Bessel function of the second kind of order ν, and
B is a constant.
ECE243b Lightwave Communications - Spring 2019 Lecture 3 19
 Bessel Functions
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete 1 10
Solution (a) J0(x) (b) K0(x)
J1(x) K1(x)
Graphical 8
Solution J2(x) K2(x)
0.5
Modes in a 6
Jν(x)

Kν(x)
Step-Index
Fiber 0. 4
Form of the
Fields 2

0.5
0 5 10 15 20 0
0 0.5 1 1.5 2
x x

Figure: Bessel functions. (a) The first three Jν (x) Bessel functions (b) The first three Kν (x)
Bessel functions.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 20

 Normalized Frequency (again)
Lecture 3

Waveguide
Geometries

Modes in a
Slab For an optical fiber, the values of p and q in are related to the propagation
Waveguide constant β by the same expressions, (13) and (14), that were derived for the slab
Complete
Solution waveguide.
Graphical
Solution
Therefore, the expression relating p and q for a step-index fiber has the same
Modes in a
Step-Index form as (15) with
Fiber
Form of the
Fields (pa)2 + (qa)2 = V 2, (21)

where a is the radius of the fiber core.

The characteristic equation for a linearly-polarized mode is rewritten as

Jν±1 (pa) Kν±1 (qa)

pa = ±qa , (22)
Jν (pa) Kν (qa)

where the choice of the sign must agree throughout.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 21

 Graphical Solution
Lecture 3

The plot of this characteristic equation shown in Figure 7 corresponds to the plot in
Waveguide Figure 3 for the slab waveguide.
Geometries
8
Modes in a
Slab
Waveguide 01
Complete 11
Solution
21
Graphical
Solution
6 02

Modes in a 31
Step-Index 12
Fiber
Form of the V=4 41
qa
Fields 4

22

2 51

03
0
0 2 4 6 8
pa

Figure: Plot of the characteristic equation for a linearly-polarized mode along with (15) for
V = 4 (cf. (21)).

ECE243b Lightwave Communications - Spring 2019 Lecture 3 22

 Number of Modes
Lecture 3

Waveguide
Geometries

Modes in a
Slab
Waveguide
Complete
Solution
Graphical Because a linearly-polarized mode has both a radial and an azimuthal
Solution
dependence, the conventional labeling of a linearly-polarized mode LPν` has two
Modes in a indices.
Step-Index
Fiber
Form of the The first index denotes the order ν of the azimuthal component of the mode.
Fields
This value is related to the number of times the field goes to zero in the azimuthal
direction.
For ν = 0, the mode is azimuthally symmetric.
For ν 6= 0 the mode varies in ψ and has 2ν zeros for ψ = [0, 2π ).
Each of these allowed spatial modes can support two polarizations modes.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 23

 Number of Modes-cont.
Lecture 3

Waveguide
Geometries
Given a fixed value of ν, the second index ` corresponds to the allowed values of
Modes in a
Slab pa.
Waveguide
Complete
Solution The smallest allowed value of pa is labeled with ` = 0.
Graphical
Solution
The mode with ` = 1 corresponds to the next largest value of pa and so on.
Modes in a
Step-Index
Fiber
This index is related to the number of spatial oscillations in the radial direction
Form of the
Fields for a fixed azimuthal dependence.

Each azimuthally symmetric LP0` solution corresponds to a pair of transverse

components—(Ex , Hy ) or (Ey , Hx )— that defines one possible polarization
mode.

Therefore, for ν = 0, each solution corresponds to two orthogonal polarization

modes.

For ν 6= 0, the azimuthal dependence can be either cos(νψ ) or sin(νψ ), thereby

generating two distinct spatial patterns for each polarization.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 24

 Form of the Fields
Lecture 3

Waveguide
Geometries

Modes in a
Slab Using the functional forms for the ψ dependence given by g (ψ ) = eiνψ and the z
Waveguide
dependence given by h(z ) = e−iβz , the complete solution for a single transverse
Complete
Solution electric field component is
Graphical
Solution
Jν (pr )
Modes in a Ex (r, ψ, z ) = Ex (a)e−iβz Aeiνψ + Be−iνψ for r ≤ a (23)
Step-Index Jν (pa)
Fiber
Form of the
Fields
for the core, and

Kν (qr )
Ex (r, ψ, z ) = Ex (a)e−iβz Aeiνψ + Be−iνψ for r ≥ a (24)
Kν (qa)

for the cladding, where the arbitrary amplitude Ex (a) satisfies

.
Ex (a) = Ex (a, 0, 0).

The azimuthal dependence has the form cos(νψ ) for A = B = 1/2, or sin(νψ )
for A = −i/2 and B = i/2.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 25

 Plot of the Modes
Lecture 3

Waveguide
Geometries

Modes in a Field Field Field Field

Slab
Waveguide
Complete
Solution
Graphical
Solution Intensity Intensity Intensity Intensity
Modes in a
Step-Index
Fiber
Form of the
Fields

LP01 LP11(cos ψ) LP02 LP21(cos 2ψ)

LP11(sin ψ) LP21(sin 2ψ)

Figure: The cross-sectional electrical field strength, the cross-sectional intensity, and the intensity
density for the four LP modes supported in a fiber with V = 4.5.

ECE243b Lightwave Communications - Spring 2019 Lecture 3 26