JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 12, NO.

IO, OCTOBER 1994 1771

Silicon-on-Insulator Optical Rib

Waveguide Loss and Mode Characteristics
A. G. Rickman, G. T. Reed, and Fereydoon Namavar

Abstract- Optical rib waveguides with rib heights of 3.17

and 7.67 microns with various widths have been formed in
separation by implantation of oxygen (SIMOX) based silicon-on-
insulator (SOI) structures. The effect of waveguide rib etch depth,
- W

width, and interface roughness on loss and mode characteristics

have been studied at wavelengths of 1.15 and 1.523 microns.
The experimental results support the hypothesis that certain rib r
dimensions can lead to single mode SO1 waveguides even though Si
planar SO1 waveguides of similar multimicron dimension are not
single mode. Mode loss was found to be strongly dependent on
interface roughness and mode confinement.
Si substrate
I. INTRODUCTION Fig. 1. SO1 rib waveguide.

P LANAR and rib optical waveguides formed from silicon-

on-insulator (Sol) materials have demonstrated losses
lower than 1 dB/cm [ 1J, [2] in the wavelength range 1.3 to 1.55
pm. SO1 single-mode rib waveguides with core dimensions
comparable with single-mode optical fibers have previously
been demonstrated [2]. In addition, free carrier plasma dis-
persion [3] has been demonstrated in silicon waveguides as a
method of modulating refractive index [4]. The combination
of these results with the ease of device fabrication using well-
established silicon microelectronics processing has created
interest in using SO1 integrated optical circuits for optical
sensor and communication applications.
Here, we report a study of SO1 rib waveguides (Fig. l ) , fab-
ricated using separation by implantation of oxygen (SIMOX)
technology [ 5 ] and epitaxial growth of surface silicon layers.
The SIMOX process produces a buried silicon dioxide layer
typically 0.2 to 0.5 pm thick with a surface silicon layer 0.2
pm thick, prior to epitaxial growth.
11. OPTICALWAVEGUIDE
FABRICATION
The SIMOX material used to make the rib waveguides was
formed by implanting 2 x 10l8 oxygen ions at 200 KeV into
p type 100 silicon wafer, followed by annealing for 6 h at
1300°C. This formed a 0.478 pm buried oxide layer and
Manuscript received February 7, 1994; revised June 14, 1994. The work
performed at the University of Surrey was supported in part by the Science and
Engineering Council, and by Bookham Technology Ltd.; The work performed
at the Spire Corporation was supported in part by the National Science
Foundation.
A. G. Rickman was with the Departments of Electronic and Electrical
Engineering and Physics, University of Surrey, Guildford, Surrey, U.K.;
he is now with Bookham Technology Ltd, Central Microstructure Facility,
Rutherford Appleton Laboratory, Chilton, Nr Didcot, Oxfordshire, OX 1 1
OQX, U.K.
G. T. Reed is with the Department of Electronic and Electrical Engineering,
University of Surrey, Guildford, Surrey, U.K.
F. Namavar is with Thin Films Division, Spire Corporation, Bedford, MA.
IEEE Log Number 9404875.
0733-8724/94$04.00 0 1994 IEEE
a 0.172 pm crystalline silicon surface layer. Defect density
measurements revealed a density of the order of 6 x lo6
defects ern-'. Following annealing, the surface silicon layer
was epitaxially grown to thicknesses of 3.17 pm and 7.67
pm, on separate wafers, to allow two sets of rib waveguides
to be fabricated. These structures represent planar waveguides
where the buried oxide is the lower cladding (n = 1.5), the
surface silicon layer ( n = 3 . 5 ) is the waveguide core, and the
top cladding is air (n = 1.0).
From the solution of the eigenvector equations for a planar
3 layer waveguide, SO1 planar waveguides are predicted to
be single mode for silicon thickness of less than 0.2 pm in
the wavelength range 1.15 to 1.55 pm. Lowest reported loss
measurement for SIMOX waveguides of these dimensions has
been 4.8 dB/cm at a wavelength of 1.3 pm [6]. This loss is
higher than practical for many applications and the single-
mode planar waveguide size is incompatible with fiber optical
interfacing where waveguide core dimensions are of the order
of 40 times greater. However, when one considers rib SO1
waveguides dimensions, the electric field boundary conditions
become much more restrictive than for the simpler planar
structure. It was proposed [7], and subsequently demonstrated
[2], that if a rib waveguide is single mode in the lateral
direction, due to a small effective refractive index difference
between the slab and the rib fundamental modes, then the
waveguide can be single mode for multi-pm dimensions. This
is because higher order modes have lower effective indexes
than the fundamental mode of the surrounding slab waveguide,
and are therefore lost as radiation modes.
Based on these predictions, a matrix of rib waveguides was
formed from SO1 samples with silicon overlayer thicknesses
of 3.67 and 7.67 pm ( T ) . The variables were rib waveguide
width (w) and etch depth (e). Table I shows the range of
waveguides fabricated and predictions of the number of modes,

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 1772

PREDICTED
TABLE I
MODALPROPERTIES OF
r=3.17pn
so1 RIB WAVEGUIDES
:1
25

wovegulde helgM (mlcrona)

width w @m) elch depth e @m)
Fig. 2. Scattering loss predictions for a symmetric planar waveguide (TEo).
1.65 1.9 2.6 2.9 3.6
r.m.s. roughness (A) 0.02 pm, correlation length (B) 1 pm, A, = 1.523 p m

-
P
* = TE,,, and T Y , only ,U

# = multimode

+= T h o only

I
I5 I -05 0 05 I 15
based on the theory of [7]. The waveguide widths were waveguide helgM (microns)

defined by standard photolithography, and the rib etching was
conducted using reactive ion etching with CH3Br at 200 mtorr,
200 W, and a flow rate of 50 sccm. The reactive ion etch
process produced rib wall roughness with an rms value of
approximately 20 nm. 10 mm long waveguide samples were
end-face polished parallel using diamond paste with a grit size
down to 1 pm. This enabled efficient coupling of light into
and out of the waveguides.
Loss CHARACTERISTICS
111. SO1 WAVEGUIDE
Before discussing experimental procedures and test results
it is useful to provide some additional background to SO1
waveguide characteristics. Equation (1) summarizes the main-
loss mechanisms in SO1 waveguides
Lt = La + L,, + L,, + L ,
where
Lt total loss,
La absorption loss,
L,, interface induced scattering,
L,, volumetric refractive index inhomogeneity scattering,
L, coupling of guided modes to substrate modes.
La for pure silicon at A, = 1.15 pm is 2.87 dB/cm [8]
and at A, = 1.523 pm it is 0.004 dB/cm [9] (0.22 dB/cm
for silicon Nd = 1 x 1016 cm-3 [lo]). Interface induced
scattering is proportional to E’(n; - n:) and A’ where A
is the r.m.s. roughness [ 1 I]. For SO1 waveguides (n; - n!) is
large. Using Marcuse’s perturbation analysis [ 1 13 of symmetric
Fig. 3. Predicted electric field profiles of a planar waveguide. R I = 1.5,
712 = 3.5, U ) = 2 pm, A, = 1.523 pm, TEo -, TMo - - - - .
planar waveguide scattering loss, we have calculated the
scattering loss for a silicon core/silicon dioxide clad planar
waveguide (fundamental mode) with 20 nm r.m.s. interface
roughness, the roughness caused by the rib waveguide etching.
Example results for A, = 1.523 pm are plotted in Fig. 2 for
varying waveguide height. The results are very similar for a
silicon core/air clad planar waveguide. The resonant nature of
the loss with width is due to interference effects. The sharp
falls in loss with increasing width are attributed to resonances
passing beyond the critical angle of the waveguide. The loss
is expected to be higher for the T E o mode due to the lower
electric field confinement as compared to the T M o mode. Since
(1) this scattering loss is proportional to the square of electric
field, Fig. 3 suggests a loss approximately 26 times lower for
the TMo mode, for a waveguide width of 2 pm.
Volumetric refractive index inhomogeneity could be an
important loss mechanism in silicon waveguides. The process
of wafer manufacture, implanting, and expitaxial growth po-
tentially form islands of impurities, including silicon dioxide,
and crystal defects. It has been shown [12] that volumetric
scattering loss will be proportional to l / A for long roughness
correlation lengths and l / A 3 for correlation lengths similar to
or smaller than the wavelength of the light. Our previous scat-
tering loss results for 7.3 pm planar waveguides (lo6 defects
cm-’) of 1.83 and 2.5 dB/cm for TEo A, = 1.15 pm and
A, = 1.523 pm, respectively, [ l ] , illustrate that volumetric

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RICKMAN et al.: SILICON-ON-INSULATOR OPTICAL RIB WAVEGUIDE LOSS AND MODE CHARACTERISTICS
TABLE I1
SUMMARY OF SO1 RIB WAVEGUIDE PROPAGATION LOSS MEASUREMENTS
scattering for large dimension SIMOX planar waveguides is
not a primary loss mechanism (note that lo6 and lo4 defects
cmP2 for a 5 pm square waveguide represents 25000 and
125 defects cm-I length within the waveguide, respectively).
However, defect density is thought to be correlated to buried
oxide interface roughness due to the nature of the implanting
process and, hence, is correlated to loss indirectly.
Coupling of the fundamental mode to the substrate for
SIMOX-based waveguides with a buried oxide layer of 0.4
pm has been shown to be negligible provided the silicon core
is greater than 2 pm in thickness [l]. Higher order modes with
accordingly larger evanescent fields may couple to substrate
modes.
IV. EXPERIMENTAL
PROCEDURE
Waveguide insertion loss measurements for the rib waveg-
uides were made at wavelengths of 1.15 and 1.523 pm for both
orthogonal polarizations. Insertion loss results were then con-
verted to propagation loss of the combined excited waveguide
modes by assuming a 100% overlap between the electric field
profile of the input beam and that of the sum of the propagating
modes of the waveguide. This approximation introduced a
maximum predicted error of 0.2 dB calculated using the rib
waveguide effective index model [ 131. Corrections were also
made for Frensel reflection of the two waveguide endfaces,
which was calculated to be 3.22 dB assuming a normally
incident beam.
The convergence of the focused light used to excite the
waveguides was 12.1O . This convergence ensured that any
higher order modes of the waveguides were excited. However,
it also meant that for some waveguide samples with low
lateral confinement, i.e., relatively small rib height, the lateral
numerical aperture was insufficient to confine all of the excita-
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-
-+-T M l
TE 1 I5 micron6
15rnicron~
I 2 3 4 5 b 7
W0v-W (mkmns)
Fig. 4. Measured propagation loss 1 % wavegulde width ( t o ) . r = 3.17 pm,
P = 0 68 pm.
tion beam. This insertion loss mechanism was predicted using
estimates of the lateral electric field profiles and numerical
aperture from the effective index model. These results were
used to correct the propagation loss measurements. The com-
plete procedure of calculating propagation loss from insertion
loss was checked to within +/-0.5 dB/cm by cutting back and
remeasuring a number of samples. The overall maximum error
in the loss measurement is estimated to be +/ - 0.5 dB/cm.
The l / e width of the vertical and horizontal intensity profiles,
were measured using an infrared camera and calibrated video
analyzer for those waveguides where the fundamental mode
could be solely excited, and used to determine the 1/e width
of the corresponding electric fields. The accuracy of the
measurements were estimated to be + / - 0 . 3 pm. Excitation of
high-order modes was achieved by exciting the waveguides off
center in various positions with variations in the vertical and
lateral directions and presenting the end facet of the waveguide
at an angle of up to 5" to the excitation beam.
v. RESULTS AND DISCUSSION
The loss results for the waveguides are summarized in
Table 11. The losses were consistent with multi-pm SO1 planar
waveguides with a defect density of the order of lo6 cm [l].
The loss, over and above the intrinsic absorption, was higher
on average for A, = 1.523 pm than for A, = 1.15 pm. This
is consistent with interface effects playing a greater part in
waveguide loss than volumetric effects. The lower confinement
of the A, = 1.523 modes leads to greater power available for
scattering at the waveguide interfaces.
The TE losses are consistently lower than the TM losses.
This is thought to be due to the higher surface scattering at the
rough rib side walls for an electric field polarized parallel to the
interface as predicted from the planar waveguide analysis in
Section 111. (See Fig. 2 ) . The planar interface scattering model
also predicts a slight decrease in interface scattering for the
shorter wavelength.
Figs. 4, 5 , and 6 are plots of waveguide loss against rib
width for various rib etch depths. The primary difference in
 I774 JOURNAL OF LIGHTWAVE TECHNOLOGY, VOL. 12, NO. IO, OCTOBER 1994

9
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I 2 3 4 5 6 7 I 2 3 4 5 6 7
wavqulas w i m (macrnnr) Wavqul& (mkraa

Fig. 5. Measured propagation loss (' waveguide width ( t i ' ) . I' = '3.17 pm, Fig. 7. l / r electric field width. Fundamental mode predictions and measure-
P = 2.01 itm. ments for lateral field profiles. r' = 3.17 pm, c = 0.68 pm, A, = 1.523 [tm.

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Fig. 8. 1 / electric
~ field width. Fundamental mode predictions and mea-
surements for lateral field profiles 1' waveguide width ( U , ) . r = 7.67 Itm,
c = 2.6 p m , A, = 1.523 him.

the width of the waveguide increases, the number of modes

the loss between the 3.17 and the 7.67 pm samples is related that the waveguide will support increases. Power traveling
to waveguide width. For single-mode waveguides in the 3.17
in these higher order modes may be more readily scattered
sample, the rib widths must be narrower than for the 7.67 into radiation modes because the higher order modes are less
sample. Therefore, as predicted from the data in Fig. 2 losses confined than the lower order modes.
for the width less than 4 pm have a significant element of Figs. 7 and 8 are plots of measured l / e electric field width
loss for the TM modes arising from the rib wall roughness. against predictions from the effective index model for the
However, this does not take into account the degree of power transverse fundamental mode profile. The results are in good
confinement within the rib region of the waveguide or the agreement with theoretical predictions for the T = 7.67 pm
proximity of radiation modes into which the interface scattered waveguides, but they are slightly higher for the T = 3.17 pm
light will couple. waveguides than expected.
The relatively inconsistent results from one sample to the Figs. 9 and 10 are plots of theoretical predictions of etch
next may be due to two periodic loss systems as functions depth against width for single-mode waveguides formed in
of waveguide width. First, the data in Fig. 2 suggest that 3.17 and 7.67 pm silicon core SO1 material, together with
for waveguides narrower than 4 pm the scattering loss as experimental observations. The solid and dotted lines represent
a function of width will give rise to very large variations the theoretical single-mode boundary, where the region below
over width changes of the order of 0.1 pm. Second, as and left of the lines are the single-mode regions, and the

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RICKMAN et al.: SILICON-ON-INSULATOR OPTICAL RIB WAVEGUIDE LOSS AND MODE CHARACTERISTICS 1715

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1 2 3 4 5 b 3 5 7 9 11 13 15
wavegulde wldm (mlcronr) Waveguide width (mklanr)

(b)
Fig. 9. (a) Theoretical single-mode boundary line (TEoo - - - -) and observed
experimental single-mode waveguides (TE polarization, r = 3.17 pm). (b)
Theoretical single-mode boundary line ( m o o - - - -) and observed experimen-
tal single-mode waveguides (Th4 polarization, T = 3.17 pm).
(b)
Fig. IO. (a) Theoretical single-mode boundary lines (TEoo - - - - )
and observed experimental single-mode waveguides (TE polarization,
r = 7.67 Rm). (b) Theoretical single-mode boundary lines ( W o o - - - - )
and observed experimental single-mode waveguides (TM polarization,
T = 7.67 pm).

experimental points represent those waveguides that were
observed to be single mode. Figs. 9(a) and 10(a) represent the
TE mode data for the 3.17 and 7.67 waveguides, respectively,
and Figs. 9(b) and 10(b) represent the corresponding TM
data. The experimental results were in reasonable agreement
with the theory for the 3.17 waveguide series. Although the
basic waveguide theory predicts little difference in modal
characteristic with wavelength, the experimental results indi-
cated that smaller waveguides are required for single-mode
operation at shorter wavelengths. This may be due to the
closer spacing of radiative modes to the fundamental mode
at shorter wavelengths, and hence, greater loss to these modes
due to waveguide defects. This then increases the total loss
and forms a mode pattern influenced by the radiative modes.
Only a relatively few samples with 7.67 pm ribs were
observed to be single mode. For shallow etches, the lateral
boundary discontinuity caused by the rib will be small, hence,
the second-order vertical mode in both the slab region and rib
will closely match. If the electric field does have a continuous
solution across the interface for the second-order vertical
modes of these regions, then it is found that the effective index
difference between these modes is greater than the effective
index difference between the fundamental modes. Hence, if
the discontinuity formed by the rib is small, then this could
increase the mode variation in both the vertical and horizontal
directions.
For the discontinuity to be greatest between the higher order
vertical modes of the slab and the rib regions, the etch depth

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 1776
should be maximized. For practical reasons there is a limit
to the etch depth. As etch depth increases, the waveguide
width must reduce to maintain only single-mode operation. At
some point this width may be too narrow for the fabrication
technology and/or introduce unacceptable surface scattering
loss and be incompatible with other optical systems, eg.,
optical fibers.
VI. CONCLUSION
The characterization of a range of multi-pm SO1 rib waveg-
uides have provided additional support for the hypothesis that
certain rib dimensions can lead to single-mode waveguides
in the wavelength range 1.15 to 1.55 pm, and limitations to
theoretical predictions have been proposed. In particular, the
validity of the single-mode theory for very shallow ribs and
for waveguide overall heights in excess of a few microns has
been considered. Mode profile measurements were in good
agreement with experimental results.
The loss in the waveguides are dominated by interface
roughness, possibly arising from the SIMOX process and/or
the reactive ion etching of ribs. Inherent absorption loss 2.87
dB/cm at A, = 1.15 pm adds to the other loss mechanisms
for this wavelength. Other planar and rib waveguide tests on
material of defect density 10’ cmP2, which are thought to
have reduced buried oxide interface roughness, have shown
that single-mode rib waveguide losses below 0.5 dB/cm are
achievable [l], [2]. Our results are fully consistent with those
results.
The combination of SO1 rib waveguides loss, modal charac-
teristics, fiber optical compatibility, and the ability to modulate
the refractive index of these waveguides efficiently [ 141 in the
MHz range makes SO1 technology a potential candidate for
high-accuracy interferometric sensor applications.
ACKNOWLEDGMENT
The authors acknowledge, with thanks, John Watson and
Geoff Thomas, Rutherford Appleton Laboratory, U.K., for the
etching and polishing of the waveguide samples.
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[3] R. A. Soref and B. R. Bennett, “Electrooptical effects in silicon,” IEEE
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A. G. Rickman, photograph and biography not available at time of publi-
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G. T. Reed, photograph and biography not available at time of publication.
Fereydoon Namavar received the Ph.D. degree in physics (summa cum
laude) from Katholieke Universiteit, Louvain, Belgium, in 1978.
After a year as a postdoctoral fellow at the University of Louvain, he
joined the Department of Physics at the University of Connecticut where he
became Assistant Professor, and then later Associate Professor. His research
involved ion beam modification and analysis of materials with an emphasis on
silicon. In 1987, he joined Spire Corporation where he directed ion-implanted
semiconductor research programs. In this capacity he worked on silicon-
on-insulator (SOI) materials produced by standard and low-energy SIMOX
processes, buried and surface transition metal silicides, CVD-grown GeSi and
GeSiC, and high resistivity GaAs layers using arsenic implantation. In recent
years, as manager of Spire’s advanced Si-based technology group, his interests
have focused on Si-based optoelectronics and fabrication of components for
integrated systems. In 1992 he led the group that developed one of the first
porous Si-based visible heterojunction LED’s. Presently, he is involved in
the development of room temperature IR LED’s base on rare-earth-doped
materials. He has published over 100 reviewed papers.