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Fundamentals of Optical Waveguides
This page intentionally left blank
Fundamentals of Optical
Waveguides
Third Edition
KATSUNARI OKAMOTO
Okamoto Laboratory Ltd Ibaraki, Japan
Academic Press is an imprint of Elsevier
125 London Wall, London EC2Y 5AS, United Kingdom
525 B Street, Suite 1650, San Diego, CA 92101, United States
50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States
The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, United Kingdom
Copyright © 2022 Elsevier 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 photocopying, recording, or any information storage and retrieval system, without
permission in writing from the publisher. Details on how to seek permission, further information about the
Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance
Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions.
This book and the individual contributions contained in it are protected under copyright by the Publisher
(other than as may be noted herein).
Notices
Knowledge and best practice in this field are constantly changing. As new research and experience
broaden our understanding, changes in research methods, professional practices, or medical treatment
may become necessary.
Practitioners and researchers must always rely on their own experience and knowledge in evaluating
and using any information, methods, compounds, or experiments described herein. In using such
information or methods they should be mindful of their own safety and the safety of others, including
parties for whom they have a professional responsibility.
To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume
any liability for any injury and/or damage to persons or property as a matter of products liability, negligence
or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained
in the material herein.
Library of Congress Cataloging-in-Publication Data
A catalog record for this book is available from the Library of Congress
British Library Cataloguing-in-Publication Data
A catalogue record for this book is available from the British Library
ISBN 978-0-12-815601-8
vii
viii Contents
3 Optical Fibers 67
3.1 Basic Equations 67
3.2 Wave Theory of Step-index Fibers 68
3.2.1 TE Modes 68
3.2.2 TM Modes 72
3.2.3 Hybrid Modes 73
3.3 Optical Power Carried by Each Mode 77
3.3.1 TE Modes 78
3.3.2 TM Modes 79
3.3.3 Hybrid Modes 80
3.4 Linearly Polarized (LP) Modes 81
3.4.1 Unified Dispersion Equation for LP Modes 81
3.4.2 Dispersion Characteristics of LP Modes 85
3.4.3 Propagating Power of LP Modes 88
3.5 Fundamental HE11 Mode 90
3.6 Dispersion Characteristics of Step-index Fibers 93
3.6.1 Signal Distortion Caused by Group Velocity Dispersion 93
3.6.2 Mechanisms Causing Dispersion 98
3.6.3 Derivation of Delay-time Formula 102
3.6.4 Chromatic Dispersion 106
3.6.5 Zero-dispersion Wavelength 112
3.7 Wave Theory of Graded-index Fibers 113
3.7.1 Basic Equations and Mode Concepts in
Graded-index Fibers 113
3.7.2 Analysis of Graded-index Fibers by the WKB Method 118
3.7.3 Dispersion Characteristics of Graded-index Fibers 123
3.8 Relation Between Dispersion and Transmission Capacity 127
3.8.1 Multimode Fiber 129
3.8.2 Single-mode Fiber 129
3.9 Birefringent Optical Fibers 130
3.9.1 Two Orthogonally-polarized Modes in Nominally
Single-mode Fibers 130
3.9.2 Derivation of Basic Equations 133
3.9.3 Elliptical-core Fibers 136
3.9.4 Modal Birefringence 137
3.9.5 Polarization Mode Dispersion 140
3.10 Dispersion Control in Single-Mode Optical Fibers 144
3.10.1 Dispersion Compensating Fibers 144
3.10.2 Dispersion-shifted Fibers 145
3.10.3 Dispersion Flattened Fibers 149
3.10.4 Broadly Dispersion Compensating Fibers 152
3.11 Photonic Crystal Fibers 154
Contents ix
Index 705
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Preface to the First Edition
xv
xvi Preface to the First Edition
The beam propagation method is the most powerful technique for investigating
linear and nonlinear lightwave propagation phenomena in axially varying wave-
guides such as curvilinear directional couplers, branching and combining wave-
guides and tapered waveguides. BPM is also quite important for the analysis of
ultrashort light pulse propagation in optical fibers. Since FEM and BPM are
general-purpose numerical methods they will become indispensable tools for
the research and development of optical fiber communication systems and planar
lightwave circuits. In Chapters 6 to 8, many examples of numerical analyses are
presented for practically important waveguide devices. The staircase concatena-
tion method is a classical technique for the analysis of axially varying wave-
guides. Although FEM and BPM are suitable for the majority of cases and the
staircase concatenation method is not widely used in lightwave problems, the
author believes it is important to understand the basic concepts of these numerical
methods. In Chapter 9, various important planar lightwave circuit (PLC) devices
are described in detail. Arrayed-waveguide grating multiplexers (AWGs) are
quite important wavelength filters for wavelength division multiplexing
(WDM) systems. Therefore the basic operational principles, design procedures
of AWGs, as well as their performances and applications, are extensively
explained. Finally Chapter 10 serves to describe several important theorems
and formulas which are the bases for the derivation of various equations through-
out the book.
A large number of individuals have contributed, either directly or indirectly, to
the completion of this book. Thanks are expressed particularly to the late Profes-
sor Takanori Okoshi of the University of Tokyo for his continuous encouragement
and support. I also owe a great deal of technical support to my colleagues in NTT
Photonics Laboratories. I am thankful to Professor Un-Chul Paek of Kwangju
Institute of Science & Technology, Korea, and Dr. Ivan P. Kaminow of Bell Labs,
Lucent Technologies, who gave me the opportunity to publish this book. I would
like to express my gratitude to Prof. Gambling of City University of Hong Kong
who reviewed most of the theoretical sections and made extensive suggestions. I
am also thankful to Professor Ryouichi Itoh of the University of Tokyo, who
suggested writing the original Japanese edition of this book.
May 1999
Katsunari Okamoto
Preface to the Second Edition
Since the publication of the first edition of this book in 1999, dramatic
advancement has occurred in the field of optical fibers and planar lightwave cir-
cuits (PLCs). Photonic crystal fibers (PCFs) or holey fibers (HFs) are a
completely new class of fibers. Light confinement to the core is achieved by
the Bragg reflection in a hollow-core PCF. To the contrary, light is confined to
the core by the effective refractive-index difference between the solid core and
holey cladding in the solid-core HF. One of the most striking features of PCFs
is that zero-dispersion wavelength can be shifted down to visible wavelength
region. This makes it possible to generate coherent and broadband super-
continuum light from visible wavelength to near infrared wavelength region.
Coherent and ultra broadband light is very important not only to telecommunica-
tions but also to applications such as optical coherence tomography and frequency
metrology.
The research on PLCs has been done for more than 30 years. However, PLC
and arrayed-waveguide grating (AWG) began to be practically used in optical
fiber systems from the middle of 1990s. Therefore, PLCs and AWGs were in their
progress when the first edition of this book was published. Performances and
functionalities of AWGs have advanced dramatically after the first edition. As
an example, 4200-ch AWG with 5-GHz channel spacing has been fabricated in
the laboratory. Narrow-channel and large channel-count AWGs will be important
not only in telecommunications but also in spectroscopy.
Based on these rapid advances in optical waveguide devices over the last six
years, the publisher and I deemed it necessary to bring out this second edition in
order to continue to provide a comprehensive knowledge to the readers.
New subjects have been brought into Chapters 2, 3, 5, 6, 7 and 9. Multimode
interference (MMI) devices, which have been added to Chapter 2, are very impor-
tant integrated optical components which can perform unique splitting and com-
bining functions. In Chapter 3, detailed discussion of the polarization mode
dispersion (PMD) and dispersion control in single-mode fibers are added together
with the comprehensive treatment of the PCFs. Four-wave mixing (FWM) that
has been added to Chapter 5 is an important nonlinear effect especially in wave-
length division multiplexing (WDM) systems.
High-index contrast PLCs such as Silicon-on-Insulator (SOI) waveguides are
becoming increasingly important to construct optoelectronics integrated circuits.
xvii
xviii Preface to the Second Edition
June 2005
Katsunari Okamoto
Preface to the Third Edition
Since the second edition was published in 2005, remarkable progress has been
achieved in the field of silicon photonics both in R&Ds and practical applications.
Silicon photonics is regarded as a key technology to meet the requirements of
making chip size very small and low cost. Extremely high refractive index con-
trast between the silicon core and silica cladding makes the waveguide core to be
a submicron cross section. Such tight mode field confinement allows the minimal
bending radius to be reduced to several micron range, enabling an ultradense pho-
tonic integrated circuits.
Si photonics devices are fabricated in the CMOS (complementary metal-oxide
semiconductor) foundry where huge number of transistor chips are processed on a
silicon wafer with 300 mm (12 in.) diameters with several nanometers process
node. Si photonics aims to take advantages of the semiconductor industry’s
know-how and the vast investments it has made over decades. Advantages
include not just the wafer processing to make the photonic circuits but also cus-
tom circuit testing equipment and device packaging. Copackaging technology,
which realizes high-density integration of photonics and electronics circuits, is
quite attractive to achieve high bandwidth and low power consumption simulta-
neously. Si foundry fabrication technology will bring huge merits such as preci-
sion manufacturing, device yield, and volume manufacturing, which ultimately
promises much cheaper photonics chips.
However, because of the ultracompact core size and extremely high refractive-
index contrast, Si photonics waveguides are quite susceptible to fabrication errors
in the core width and height. Process variabilities in core width and thickness
bring fluctuation of the effective index nc ¼ β/k. Theoretical investigations reveal
that the effective-index fluctuation Δnc in Si photonics waveguide is about 100
times larger than that of silica-based PLCs. Effective-index fluctuation Δnc dete-
riorates (a) center-wavelength accuracy of various interference devices,
(b) crosstalk characteristics of filter devices, etc.
These technological challenges in silicon photonics devices have been thor-
oughly investigated in the new chapters.
WDM technology is critically important in achieving the requirements of rapid
bandwidth growth in the telecom/datacom and sensing applications. There are
mainly four kinds of devices capable of multi/demultiplexing tens of WDM sig-
nals; they are ring resonator (RR), lattice-form filter (LFF), arrayed-waveguide
xix
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