Optical

Electronics

Fourth Edition

Amnon Yariv
California Institute of Technology

Saunders College Publishing

A Division of Holt, Rinehart and Winston, Inc.
HRW Philadelphia Chicago Fort Worth San Francisco
SAUNDERS Montreal Toronto London Sydney Tokyo
Copyright © 1991, 1985, 1976, 1971 by Saunders College Publishing, a division of Holt,
Rinehart and Winston. Inc.

All rights reserved. No part of this publication may be reproduced or transmitted in any
form or by any means, electronic or mechanical, including photocopy, recording, or any
information storage and retrieval system, without permission in writing from the publisher.

Requests for permission to make copies of any part of the work should be mailed to:
Permissions Department, Holt, Rinehart and Winston, Inc., 8th floor, Orlando, Florida
32887.

Text Typeface: Times Roman

Compositor: General Graphic Services
Senior Acquisitions Editor: Barbara Gingery
Managing Editor: Carol Field
Project Editor: Martha Brown
Manager of Art and Design: Carol Bleistine
Art Director: Christine Schueler
Art and Design Coordinator: Doris Bruey
Text Designer: Rita Naughton
Cover Designer: Lawrence R. Didona
New Text Artwork: Vantage Art
Director of EDP: Tim Frelick
Production Manager: Bob Butler
Marketing Manager: Denise Watrobsky

Printed in the United States of America

OPTICAL ELECTRONICS, 4e

0-03-047444-2

Library of Congress Catalog Card Number: 90-050825

1234 039 987654321

THIS BOOK IS PRINTED ON ACID-FREE, RECYCLED PAPER

Optical

Electronics
The Holt, Rinehart and Winston
Series in Electrical Engineering
published by Saunders College Publishing

M. E. Van Valkenburg, Senior Consulting Editor

Adel S. Sedra, Series Editor/Electrical Engineering
Michael R. Lightner, Series Editor/Computer Engineering

ALLEN AND HOLBERG LEVENTHAL

CMOS Analog Circuit Design Microcomputer Experimentation with the IBM PC
BELANGER, ADLER AND RUMIN LEVENTHAL
Introduction to Circuits with Electronics: Microcomputer Experimentation with the Intel SDK-86
An Integrated Approach LEVENTHAL
BOBROW Microcomputer Experimentation with the Motorola
Elementary Linear Circuit Analysis, 2/e MC6800 ECB
BOBROW MCGILLEM AND COOPER
Fundamentals of Electrical Engineering Continuous and Discrete Signal and System Analysis, 3/e
CHEN NAVON
Linear System Theory and Design Semiconductor Microdevices and Materials
CHEN PAPOULIS
System and Signal Analysis Circuits and Systems: A Modern Approach
COMER RAMSHAW AND VAN HEESWIJK
Digital Logic and State Machine Design, 2/e Energy Conversion: Electric Motors and Generators
COMER SADIKU
Microprocessor-Based System Design Elements ofElectromagnetics
COOPER AND McGILLEM SCHWARZ
Probabilistic Methods of Signal and System Analysis, 2/e Electromagnetics for Engineers
GHAUSI SCHWARZ AND OLDHAM
Electronic Devices and Circuits: Discrete and Integrated Electrical Engineering: An Introduction
HOSTETTER, SAVANT AND STEFANI SEDRA AND SMITH
Design of Feedback Control Systems, 2/e Microelectronic Circuits, 3/e
HOUTS SINHA
Signal Analysis in Linear Systems Control Systems
JONES VAN VALKENBURG
Introduction to Optical Fiber Communication Systems Analog Filter Design
KARNI AND BYATT VRANESIC AND ZAKY
Mathematical Methods in Continuous and Discrete Systems Microcomputer Structures
KENNEDY WARNER AND GRUNG
Operational Amplifier Circuits: Theory and Application Semiconductor-Device Electronics
KUO WASSER AND FLYNN
Digital Control Systems Introduction to Arithmetic for Digital Systems Designers
LASTMAN AND SINHA WOLOVICH
Microcomputer-Based Numerical Methods for Basic Analysis and Design
Science and Engineering YARIV
LATHI Optical Electronics, 4/e
Modern Digital and Analog Communication Systems, 2/e
 Preface

The five years that have intervened since the appearance of the third edition
of OPTICAL ELECTRONICS witnessed significant technical developments
in the field and the emergence of some major trends. A few of the important
developments are

1. Optical fiber communication has established itself as the key communi­

cation technology.
2. The semiconductor laser and especially the longer wavelength GaInAsP/
InP version has emerged as the main light source for high-data-rate optical
fiber communication systems.
3. Quantum well semiconductor lasers started replacing their conventional
counterparts for high-data-rate long distance communication and most
other sophisticated applications including ultra-low threshold and mode-
locked lasers.
4. Optical fiber amplifiers are causing a minor revolution in fiber commu-
nication due to their impact on very long distance transmission and on
large scale optical distribution systems.

The accumulated weight of the new developments was such that when
I last taught the course at Caltech in 1989 I found myself using a substantial
fraction of course material that was not included in the text. The fourth
edition brings this material into the fold. The main additions to the third
edition, include major revisions and new chapters dealing with

1. Jones calculus and its extension to Faraday effect elements.

2. Radiometry and infrared detection.

V
vi PREFACE

3. Optical fiber amplifiers and their impact on fiber communication links.

4. Laser arrays.
5. Distributed feedback lasers, including multi-element lasers with phase
shift sections.
6. Quantum well and ultra-low threshold semiconductor lasers.
7. Photorefractive crystals and two-beam coupling in dynamic holography
and image processing.
8. Two-beam coupling and phase conjugation in stimulated Brillouin scat­
tering.
9. Intensity fluctuations and coherence in semiconductor lasers and their
impact on fiber communication systems.

The book continues to be aimed at the student interested in learning

how to generate and manipulate optical radiation and how to use it to transmit
information. At Caltech the course is taken, almost in equal proportions, by
electrical engineering, physics, and applied physics students. About half the
students tend to be seniors and the rest graduate students.
The prerequisites for taking the course at Caltech are a sound under-
graduate background in electromagnetic theory—usually a one year course
in this area—and an introduction to atomic physics.
The hands-on and research flavor of the book owes greatly to the exciting
mix of visitors, talented students, and postdocs who bombard me continually
with their newest findings and thoughts.
This edition includes acknowledged and unacknowledged contributions
from Chris Harder, Kerry Vahala, Eli Kapon, Kam Lau, Pamela Derry,
Israel Ury, Nadav Bar-Chaim, Hank Blauvelt, Michael Mittelstein, Lars
Eng, Norman Kwong, Shu Wu Wu, Bin Zhao, and Rudy Hoffmeister. The
Caltech Applied Physics 130 and 131 classes during 1987 and 1989, helped
ferret out inconsistencies and insisted on clearer presentations.
My wife Fran and my administrative assistant Jana Mercado are re­
sponsible for the typing and editing. To them and to all of the above, my
gratitude.

Amnon Yariv
Pasadena, California
January 1991
 Contents

Preface v

Chapter 1 ELECTROMAGNETIC THEORY 1

l.0 Introduction 1
1.1 Complex-Function Formalism 1
1.2 Considerations of Energy and Power in Electromagnetic Fields 3
1.3 Wave Propagation in Isotropic Media 6
1.4 Wave Propagation in Crystals—The Index Ellipsoid 11
1.5 Jones Calculus and its Application to Propagation in Optical
Systems with Birefringent Crystals 16
PROBLEMS 29
REFERENCES 33

Chapter 2 THE PROPAGATION OF RAYS AND BEAMS 35

2.0 Introduction 35
2.1 Lens Waveguide 35
2.2 Propagation of Rays between Mirrors 41
2.3 Rays in Lenslike Media 42
2.4 Wave Equation in Quadratic Index Media 45
2.5 Gaussian Beam in a Homogeneous Medium 46
2.6 Fundamental Gaussian Beam in a Lenslike Medium—the ABCD
Law 49
2.7 A Gaussian Beam in Lens Waveguide 53

vii
viii CONTENTS

2.8 High-Order Gaussian Beam Modes in a Homogeneous

Medium 54
2.9 High-Order Gaussian Beam Modes in Quadratic Index Media 55
2.10 Propagation in Media with a Quadratic Gain Profile 66
2.11 Elliptic Gaussian Beams 67
PROBLEMS 71
REFERENCES 72

Chapter 3 PROPAGATION OF OPTICAL BEAMS IN FIBERS 74

3.0 Introduction 74
3.1 Wave Equations in Cylindrical Coordinates 75
3.2 The Step-Index Circular Waveguide 77
3.3 Linearly Polarized Modes 87
3.4 Graded-Index Fibers 100
3.5 Attenuation in Silica Fibers 104
PROBLEMS 105
REFERENCES 108

Chapter 4 OPTICAL RESONATORS 110

4.0 Introduction 110

4.1 Fabry-Perot Etalon 112
4.2 Fabry-Perot Etalons as Optical Spectrum Analyzers 116
4.3 Optical Resonators with Spherical Mirrors 119
4.4 Mode Stability Criteria 123
4.5 Modes in a Generalized Resonator—The Self-Consistent
Method 125
4.6 Resonance Frequencies of Optical Resonators 128
4.7 Losses in Optical Resonators 130
4.8 Unstable Optical Resonators 133
4.9 Optical Resonators—Diffraction Theory Approach 136
PROBLEMS 145
REFERENCES 147

Chapter 5 INTERACTION OF RADIATION AND ATOMIC SYSTEMS 148

5.0 Introduction 148

5.1 Spontaneous Transitions between Atomic Levels—Homogeneous
and Inhomogeneous Broadening 148
5.2 Induced Transitions 155
5.3 Absorption and Amplification 158
5.4 The Electron Oscillator Model of an Atomic Transition 160
5.5 Atomic Susceptibility 165
5.6 Gain Saturation in Homogeneous Laser Media 166
 contents ix

5.7 Gain Saturation in Inhomogeneous Laser Media 169

PROBLEMS 172
REFERENCES 172

Chapter 6 THEORY OF LASER OSCILLATION 174

6.0 Introduction 174

6.1 Fabry-Perot Laser 174
6.2 Oscillation Frequency 179
6.3 Three- and Four-Level Lasers 181
6.4 Power in Laser Oscillators 183
6.5 Optimum Output Coupling in Laser Oscillators 187
6.6 Multimode Laser Oscillation and Mode Locking 190
6.7 Giant Pulse (Q-switched) Lasers 205
6.8 Hole-Burning and the Lamb Dip in Doppler-Broadened Gas
Lasers 213
6.9 Relaxation Oscillation in Lasers 216
PROBLEMS 221
REFERENCES 223

Chapter 7 SOME SPECIFIC LASER SYSTEMS 226

7.0 Introduction 226

7.1 Pumping and Laser Efficiency 226
7.2 Ruby Laser 227
7.3 Nd3+: YAG Laser 232
7.4 Neodymium-Glass Laser 235
7.5 He-Ne Laser 239
7.6 Carbon Dioxide Laser 241
7.7 Ar+ Laser 244
7.8 Excimer Lasers 244
7.9 Organic-Dye Lasers 247
7.10 High-Pressure Operation of Gas Lasers 252
7.11 The Er-Silica Laser 254
PROBLEMS 255
REFERENCES 255

Chapter 8 SECOND-HARMONIC GENERATION AND PARAMETRIC

OSCILLATION 258

8.0 Introduction 258

8.1 On the Physical Origin of Nonlinear Polarization 258
8.2 Formalism of Wave Propagation in Nonlinear Media 268
8.3 Optical Second-Harmonic Generation 270
8.4 Second-Harmonic Generation Inside the Laser Resonator 280
x CONTENTS

8.5 Photon Model of Second-Harmonic Generation 285

8.6 Parametric Amplification 285
8.7 Phase-Matching in Parametric Amplification 292
8.8 Parametric Oscillation 294
8.9 Frequency Tuning in Parametric Oscillation 297
8.10 Power Output and Pump Saturation in Optical Parametric
Oscillators 300
8.11 Frequency Up-Conversion 302
PROBLEMS 305
REFERENCES 306
SUPPLEMENTARY REFERENCES 308

Chapter 9 ELECTROOPTIC MODULATION OF LASER BEAMS 309

9.0 Introduction 309

9.1 Electrooptic Effect 309
9.2 Electrooptic Retardation 324
9.3 Electrooptic Amplitude Modulation 327
9.4 Phase Modulation of Light 330
9.5 Transverse Electrooptic Modulators 332
9.6 High-Frequency Modulation Considerations 333
9.7 Electrooptic Beam Deflection 336
9.8 Electrooptic Modulation—Coupled Wave Analysis 339
9.9 Phase Modulation 343
PROBLEMS 350
REFERENCES 353

Chapter 10 NOISE IN OPTICAL DETECTION AND GENERATION 355

10.0 Introduction 355

10.1 Limitations Due to Noise Power 356
10.2 Noise—Basic Definitions and Theorems 359
10.3 The Spectral Density Function of a Train of Randomly
Occurring Events 362
10.4 Shot Noise 364
10.5 Johnson Noise 367
10.6 Spontaneous Emission Noise in Laser Oscillators 372
10.7 Phasor Derivation of the Laser Linewidth 377
10.8 Coherence and Interference 385
10.9 Error Probability in a Binary Pulse Code Modulation
System 392
PROBLEMS 395
REFERENCES 396
 CONTENTS xi

Chapter 11 DETECTION OF OPTICAL RADIATION 399

11.0 Introduction 399

11.1 Optically Induced Transition Rates 400
11.2 Photomultiplier 401
11.3 Noise Mechanisms in Photomultipliers 404
11.4 Heterodyne Detection with Photomultipliers 407
11.5 Photoconductive Detectors 411
11.6 The p-n Junction 419
11.7 Semiconductor Photodiodes 422
11.8 The Avalanche Photodiodide 432
11.9 Power Fluctuation Noise in Lasers 436
11.10 Infrared Imaging and Background-Limited Detection 441
11.11 Optical Amplification in Fiber Links 449
PROBLEMS 456
REFERENCES 458
SUPPLEMENTARY REFERENCE 460

Chapter 12 INTERACTION OF LIGHT AND SOUND 461

12.0 Introduction 461

12.1 Scattering of Light by Sound 461
12.2 Particle Picture of Bragg Diffraction of Light by Sound 464
12.3 Bragg Diffraction of Light by Acoustic Waves—Analysis 466
12.4 Deflection of Light by Sound 473
PROBLEMS 476
REFERENCES 477

Chapter 13 PROPAGATION, MODULATION, AND OSCILLATION IN OPTICAL

DIELECTRIC WAVEGUIDES 479

13.0 Introduction 479

13.1 Waveguide Modes—A General Discussion 479
13.2 TE and TM Modes in an Asymmetric Slab Waveguide 487
13.3 A Perturbation Theory of Coupled Modes in Dielectric Optical
Waveguides 490
13.4 Periodic Waveguide 492
13.5 Coupled-Mode Solutions 496
13.6 Distributed Feedback Lasers 500
13.7 Electrooptic Modulation and Mode Coupling in Dielectric
Waveguides 510
13.8 Directional Coupling 519
13.9 The Eigenmodes of a Coupled Waveguide System
(supermodes) 524
xii CONTENTS

13.10 Laser Arrays 529

PROBLEMS 536
REFERENCES 537

Chapter 14 TWO LASER APPLICATIONS 540

14.1 Design Considerations Involving an Optical Communication

System 540
14.2 Holography 545
PROBLEMS 550
REFERENCES 551

Chapter 15 SEMICONDUCTOR LASERS—THEORY AND APPLICATIONS 552

15.0 Introduction 552

15.1 Some Semiconductor Physics Background 553
15.2 Gain and Absorption in Semiconductor (laser) Media 559
15.3 GaAs/Ga1-xAlxAs lasers 565
15.4 Some Real Lasers 572
15.5 GaInAsP Lasers 576
15.6 Direct-Current Modulation of Semiconductor Lasers 576
15.7 Integrated Optoelectronics 585
PROBLEMS 587
REFERENCES 589

Chapter 16 QUANTUM WELL LASERS (ADVANCED TOPIC) 592

16.0 Introduction 592

16.1 Carriers in Quantum Wells 593
16.2 Gain in Quantum Well Lasers 598
16.3 Ultra-Low Threshold Lasers 603
PROBLEMS 606
REFERENCES 606

Chapter 17 PHASE CONJUGATE OPTICS—THEORY AND APPLICATIONS 608

17.0 Introduction and Background 608

17.1 The Distortion Correction Theorem 609
17.2 The Generation of Phase Conjugate Waves 610
17.3 The Coupled-Mode Formulation of Phase Conjugate Optics 612
17.4 Some Experiments Involving Phase Conjugation 618
17.5 Optical Resonators with Phase Conjugate Reflectors 620
17.6 The ABCD Formalism of Phase Conjugate Optical
Resonators 622
17.7 Dynamic Distortion Correction within a Laser Resonator 625
 CONTENTS xiii

17.8 Holographic Analogs of Phase Conjugate Optics 626

17.9 Imaging through a Distorted Medium 629
17.10 Image Processing by Four-Wave Mixing 631
PROBLEMS 634
REFERENCES 635

Chapter 18 TWO-BEAM COUPLING AND PHASE CONJUGATION IN

PHOTOREFRACTIVE MEDIA 637

18.0 Introduction 637

18.1 Two-Wave Coupling in a Fixed Grating 638
18.2 The Photorefractive Effect—Two-Beam Coupling 640
18.3 Photorefractively Pumped Oscillators and Self-Pumped Phase
Conjugation (advanced topic) 654
18.4 Applications of Photorefractive Oscillators 662
PROBLEMS 667
REFERENCES 668

Chapter 19 TWO-BEAM COUPLING, AMPLIFICATION, AND PHASE CONJUGATION

BY STIMULATED BRILLOUIN SCATTERING 670

19.0 Introduction 670

19.1 Two-Beam Coupling via Stimulated Brillouin Scattering 670
19.2 Phase Conjugation by Stimulated Brillouin Scattering 678
REFERENCES 683

Appendix A UNSTABLE RESONATORS—ELECTROMAGNETIC ANALYSIS 685

Appendix B MODE LOCKING IN HOMOGENEOUSLY BROADENED LASER

SYSTEMS 690

Appendix C THE ELECTROOPTIC EFFECT IN CUBIC 43m CRYSTALS 697

Appendix D NOISE IN LASER AMPLIFIERS 701

Appendix E TRANSFORMATION OF A COHERENT ELECTROMAGNETIC FIELD BY A

THIN LENS 705

Index 709