THE OXFORD SERIES IN ELECTRICAL AND COMPUTER ENGINEERING Adel S. 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Library of Congress Cataloging-i-Publication Data Yariv, Amnon, ‘Photonics: optical electronics in modern communications / Amon Yariv, ochi Yeh—6th ed 'p._cm.—(The Oxford series in electrical and computer engineering) Rev. ed of: Optical electronics in modem communications. Sih ed, €197. Includes bibliographical references and index. ISBN-13: 978-0-19-517946-0 ISBN 0-19-517946-3, 1. Photonics. I. Yeh, Pochi, Il. Yariv, Amnon. Optica electronics in modem ‘communications. II, Title. TV. Series, ‘TAIS20.Y37 2006 621,38271—de22 2005087270 Printing number: 987654321 Printed in the United States of America ‘on acid-free paperContents Chapter 1 10 Ld 12 13 14 1S 16 7 18 19 1.10 Chapter 2 20 24 22 23 24 25 26 29 28 29 2.10 2 212 Chapter 3 3.0 31 Preface xi Electromagnetic Fields and Waves 1 Introduction 1 Maxwell's Equations and Boundary Conditions 1 Energy Density and Poynting Vector 4 Monochromatic Fields and Complex-Function Formalism 6 Wave Equations and Monochromatic Plane Waves 8 Chromatic Dispersion and Group Velocity 13 Polarization States and Representations (Stokes Parameters and Poincaré Sphere) 19 Electromagnetic Propagation in Anisotropic Media (Crystals) 30 Plane Waves in Uniaxially Anisotropic Media—Phase Retardation 36 Jones Matrix Method 41 Elementary Theory of Coherence 56 Problems 59 References 65 Rays and Optical Beams 66 Introduction 66 Ray Matrices 66 Skew Rays and Reentrant Rays 72 Rays in Lenslike Media 73 ‘Wave Equation in Quadratic Index Media and Beams 77 Gaussian Beams in Homogeneous Media 79 Fundamental Gaussian Beam in a Lenslike Medium—The ABCD Law 83 Gaussian Beams in Lens Waveguide 87 High-Order Gaussian Beam Modes in a Homogeneous Medium 88 Gaussian Beam Modes in Quadratic Index Media 91 Propagation in Media with a Quadratic Gain Profile 95 Elliptic Gaussian Beams 97 Beam Propagation and Diffraction Integral 99 Problems 106 References 109 Guided Waves in Dielectric Slabs and Fibers 110 Introduction 110 TE and TM Confined Modes in Symmetric Slab Waveguides 110Contents 32 33 34 35 36 Chapter 4 40 4a 42 43 44 45 46 47 48 49 4.10 Chapter 5 5.0 5.1 52 53 54 58 56 37 58 Chapter 6 60 61 62 ‘TE and TM Confined Modes in Asymmetric Slab Waveguides 118 Step-Index Circular Dielectric Waveguides (Linearly Polarized Modes in Optical Fibers) 126 Effective Index Theory 137 Waveguide Dispersion in Optical Fibers 140 Attenuation in Silica Fibers. 145 Problems 149 References 153 Additional Reading 155 Optical Resonators 156 Introduction 156 Fabry-Perot Etalon 160 Fabry-Perot Etalons as Optical Spectrum Analyzers 170 Optical Resonators with Spherical Mirrors 172 Mode Stability Criteria 176 Modes in a Generalized Resonator—Self-Consistent Method 178 Resonance Frequencies of Optical Resonators 180 Losses in Optical Resonators. 183 Ring Resonators 184 Multicavity Etalons 194 ‘Mode Matching and Coupling Loss 204 Problems 206 References 209 Additional Reading 210 Interaction of Radiation and Atomic Systems 211 Introduction 211 Atomic Transitions and Electromagnetic Waves 211 Atomic Polarizability and Dielectric Constant 213 Classical Electron Model 214 Dispersion and Complex Refractive Index 216 Lineshape Function—Homogeneous and Inhomogeneous Broadening, 221 Induced Transitions—Absorption and Amplification 225 Gain Saturation in Homogeneous Laser Media 230 Gain Saturation in Inhomogeneous Laser Media 232 Problems 235 References 236 Theory of Laser Oscillation and Some Spec Introduction 237 Fabry-Perot Laser 237 Oscillation Frequency 242 ific Laser Systems 23763 64 65 66 67 68 69 6.10 641 6.12 Chapter 7 70 1 72 13 TA 15 16 Chapter 8 8.0 81 82 83 84 85 86 87 88 89 Chapter 9 9.0 on 92 Contents vii ‘Three- and Four-Level Lasers 244 Power in Laser Oscillators 246 Optimum Output Coupling in Laser Oscillators 248 Multimode Laser Oscillation and Mode Locking 251 Mode Locking in Homogeneously Broadened Laser Systems 265 Pulse Length Measurement and Narrowing of Chirped Pulses 273 Giant Pulse (Q-Switched) Lasers 281 Hole Burning and the Lamb Dip in Doppler-Broadened Gas Lasers 287 ‘Some Specific Laser Systems 290 Frequency Comb and Optical Frequency Metrology 303, Problems 308 References 309 Additional Reading 312 Chromatic Dispersion and Polarization Mode Dispersion in Fibers 313 Introduction 313 Chromatic Dispersion in Optical Transmission Systems 313 Optical Pulse Spreading in Dispersive Media 317 Polarization Effects in Optical Fibers 322 Principal States of Polarization 325 Vector Analysis of Polarization Mode Dispersion 329 High-Order PMD and Compensators 346 Problems 350 References 353 Nonlinear Optics 354 Introduction 354 (On the Physical Origin of Nonlinear Polarization 354 Second-Order Nonlinear Phenomena—General Methodology 355 Electromagnetic Formulation and Optical Second-Harmonic Generation 358 Other Second-Order Nonlinear Processes 369 Quasi Phase Matching 377 Third-Order Nonlinear Optical Processes 380 Stimulated Brillouin Scattering 387 Four-Wave Mixing and Phase Conjugation 392 Frequency Tuning in Parametric Oscillation 399 Problems 402 References 404 Electro-optic Modulation of Laser Beams 406 Introduction 406 Linear Electro-optic Effect 406 Electro-optic Modulation—Phase, Amplitude 418Contents 93 94 9.5 96 97 98 99 Chapter 10 10.0 10.1 10.2 10.3 10.4 10.5 106 107 108 10.9 Chapter 11 11.0 id 2 13 4 11s 116 na 118 19 Chapter 12 120 124 High-Frequency Modulation Considerations 427 Electroabsorption and Electroabsorption Modulators. 431 Electro-optical Effect in Liquid Crystals 434 Acousto-optic Effect (Photoelastic Effect) 440 Scattering of Light by Sound 446 Bragg Diffraction—Coupled-Wave Analysis 450 Bragg Cells and Beam Deflectors 458 Problems 461 References 463, Noise in Optical Detection and Generation 465 Introduction 465 Limitations Due to Noise Power 466 Noise—Basic Definitions and Theorems 469 Spectral Density Function of a Train of Randomly Occurring Events 471 Shot Noise 473 Johnson Noise 475 Spontaneous Emission Noise in Laser Oscillators 479 Phasor Derivation of Laser Linewidth 484 Coherence and Interference 491 Error Probability in a Binary Pulse Code Modulation System 496 Problems 499 References 500 Detection of Optical Radiation 501 Introduction 501 Optically Induced Transition Rates S01 Photomultiplier 503 Noise Mechanisms in Photomultipliers 505 Heterodyne Detection with Photomultipliers 507 Photoconductive Detectors 511 ‘The p-n Junction S17 Semiconductor Photodiodes 521 Avalanche Photodiode 529 Power Fluctuation Noise in Lasers 532 Problems 536 References 537 Additional Reading 538 Wave Propagatio Introduction 539 Periodic Media 53912.2 123 12.4 12.5 126 12.7 12.8 Chapter 13 13.0 13.1 13.2 13.3 13.4 13S 13.6 Chapter 14 14.0 14d 14.2 143. 14.4 14.5 Chapter 15 15.0 15.1 15.2 153 1584 15.5 156 157 Contents ix Periodic Layered Media—Bloch Waves 545 Bragg Reflectors 555 Coupled-Wave Analysis 560 Periodic Waveguides 573 Spectral Filters and Fiber Bragg Gratings 582 Chirped and Tapered Index Gratings 587 2-D and 3-D Periodic Media (Photonic Crystals) 594 Problems 600 References 601 Waveguide Coupling 602 Introduction 602 General Properties of Modes 602 Dielectric Perturbation Theory and Mode Coupling 607 Coupling of Two Parallel Waveguides—Directional Coupler 611 Coupling of NV Parallel Identical Waveguides—Supermodes 618 Phase Matching and Frequency Selective Coupling—Multiplexing 622 Mode Converters 626 Problems 630 References 632 Nonlinear Optical Effects in Fibers 633 Introduction 633 Kerr Effect and Self-Phase Modulation 633 Cross-Phase Modulation—Polarization 637 Nondegenerate Four-Wave Mixing 641 Partially Degenerate Four-Wave Mixing 653 Optical Solitons 663 Problems 670 References 671 Semiconductor Lasers—Theory and Applications 673 Introduction 673 ‘Some Semiconductor Physics Background 674 Gain and Absorption in Semiconductor (Laser) Media 680 GaAs/Ga,_,Al,As Lasers 686 Some Real Laser Structures 691 Direct-Current Modulation of Semiconductor Lasers 696 Gain Suppression and Frequency Chirp in Current-Modulated Semiconductor Lasers. 700 Integrated Optoelectronics 709 Problems 711 References 12x Contents Chapter 16 16.0 16.1 162 163 164 Chapter 17 170 m4 72 173, 74 175 Chapter 18 180 18.1 18.2 ‘Appendix A Appendix B Appendix C ‘Appendix D Appendix E Appendix F Appendix G ‘Advanced Semiconductor Lasers 714 Introduction 714 Carriers in Quantum Wells (Advanced Topic) 715 Gain in Quantum Well Lasers 720 Distributed Feedback Lasers 724 Vertical Cavity Surface Emitting Semiconductor Lasers 738 Problems 746 References 746 Optical Amplifiers 748 Introduction 748 ‘Semiconductor Optical Amplifiers 749 Erbium-Doped Fiber Amplifiers 752 Amplified Spontaneous Emission 755 Optical Amplification in Fiber Links 761 Raman Optical Amplifiers 767 Problems 774 References 176 Classical Treatment of Quantum Noise and Squeezed States 778 Introduction 778 ‘The Uncertainty Principle and Quantum Noise 778 Squeezing of Optical Fields 787 Problems 795 References 796 Wave Equation in Cylindrical Coordinates and Bessel Functions 797 Exact Solutions of the Step-Index Circular Waveguide 802 Kramers-Kronig Relations 812 Transformation of a Coherent Electromagnetic Field by a Thin Lens 817 Fermi Level and Its Temperature Dependence 820 Electro-optic Effect in Cubic 43m Crystals 823 Conversion for Power Units and Attenuation Units 827 Author Index 828 ‘Subject Index $30Preface ‘The field of photonics, sometimes referred to as optical electronics, has continued 10 evolve vigorously during the last decade, thus justifying a major updating of the last fifth) edition. The present edition has a broader theoretical underpinning and includes new and important subjects. ‘The book continues the tradition of introducing basic principles in a systematic self- contained treatment with minimal reliance on outside sources. It describes the physics and ‘methodology of operation of the basic optoelectronic components of importance to optical communications and optical electronics. The book is intended to serve both as a text for students in electrical engineering and applied physics as well as a reference book for engi- neers and scientists working in those fields. ‘The present edition reflects two major efforts on our part: (1) the addition of new topics related to technology development in optical electronics and communications (and the comission of some less important topics) and (2) the refinement and improvement of materials already in the fifth edition. In the revision process, we decided to tailor the new edition for students, researchers, and engineers in the area of optical communications who are interested. in learning how to generate and manipulate optical radiation and how to put this knowledge to work in analyzing and designing photonic components for the transmission of information. ‘The presentation and inclusion of topics also reflect comments and suggestions from many anonymous reviewers and instructors. Specifically, the main new features of this edition are: 1. The introduction of Stokes parameters and the Poincaré sphere for the representation of polarization states in birefringent optical networks. 2. The use of Fermat's principle for the derivation of rays, beam propagation, and the Fresnel diffraction integral. 3. The use of matrix methods for treating wave propagation in coupled resonator optical waveguides (CROWs). 4, Matrix treatment of multicavity etalons and multilayer structures. Matrix treatment of mode coupling and supermodes in mode-locked lasers Chromatic dispersion, polarization mode dispersion (PMD) in fibers, and their compensation. 7. Nonlinear optical effects in fibers: selfphase modulation, cross-phase modulation, stimulated Brillouin scattering (SBS) and stimulated Raman scattering (SRS) in fibers, optical four-wave mixing, and spectral reversal (phase conjugation) in fibers. 8, Electroabsorption and waveguide electro-optic Mach-Zehnder modulators. 9. Periodic layered media, fiber Bragg gratings and photonic crystals, and Bragg reflection waveguides. 10. Optical amplifiers: semiconductor optical amplifiers, erbium-doped fiber amplifiers, and Raman amplifiers. aePreface As in the earlier editions, we assume a basic background in electromagnetic theory and familiarity with Maxwell's equations and electromagnetic wave propagation in the bulk and in waveguides. An elementary acquaintance with quantum mechanics is recommended ‘but may be acquired en route. A generous use of numerical examples is intended to help bridge the gap between theory and applications. The authors thank their students and colleagues as well as the many reviewers and lecturers whose comments constituted an important factor in the revision. Pasadena, California ‘Amnon Yariv Santa Barbara, California Pochi Yeh1.0 1 CHAPTER ELECTROMAGNETIC FIELDS AND WAVES INTRODUCTION ‘This book deals with many important subjects in optical electronics and their applications in moder optical communications, where optical waves are employed as carriers of infor- mation for local and long distance transmission. In this chapter, we review some of the most important and basic properties of electromagnetic radiation. ‘These background materials are included for completeness and as a ready source of reference, We begin by reviewing Maxwell's equations, which govern the propagation of optical waves in various media, including free space, optical crystals, periodic media, optical fibers, and waveguides. We then describe the boundary conditions on the electric and magnetic field ‘vectors. One of the most important contributions of Maxwell's equations is the prediction of the existence of electromagnetic waves in free space. We discuss the storage as well as the transport of energy that accompany the propagation of electromagnetic waves. These are followed by a derivation of the wave equation and an analysis of the monochromatic plane waves and some of their important properties. We also discuss the polarization states of optical waves and their representation in terms of Jones vectors, Stokes parameters, and the Poincaré sphere. Comprehensive coverage of the propagation of optical waves in anisotropic ‘media is included. This is followed by a detailed discussion of the Jones calculus, which is powerful technique for analyzing the propagation of optical waves in birefringent systems. In the end, we present a brief discussion of an elementary theory of coherence. MAXWELL’S EQUATIONS AND BOUNDARY CONDITIONS In the great work Treatise of Electricity and Magnetism, the Scottish physicist James Clerk ‘Maxwell published in 1873 his original finding of the electromagnetic theory of light. His theory has led to many important discoveries, including the existence of electromagnetic ‘waves. Based on his theory, all electric, magnetic, electromagnetic, and optical phenomena are governed by the same fundamental laws of electromagnetism. ‘These laws are written ‘mathematically in terms of the Maxwell equations (in MKS units):2 Chapter 1 Electromagnetic Fields and Waves aay (42) (4a) (4) In these equations, E and H are the electric field vector (in volts per meter) and magnetic field vector (in amperes per meter), respectively. These two field vectors are often employed to describe an electromagnetic field or an optical wave. The quantities D and B are called the electric displacement vector (in coulombs per square meter) and magnetic induction vector (in webers per square meter), respectively. These two vectors are introduced to include the effect of the electromagnetic field on matter. The quantities p and J are the electric charge density (in coulombs per cubic meter) and electric current density vector (in amperes per square meter), respectively. The electric charge and current may be considered the source of the electromagnetic radiation, represented by the E and H vector fields. ‘These four equations. completely determine the electromagnetic field and are the fundamental equations of the theory of such fields, that is, of electrodynamics. In the field of optical electronics and optical communications, one ofien deals with the transmission and propagation of electromagnetic radiation in regions of space where both charge density and current density are zero. In fact, if we set p = 0 and J =0 in Maxwell's equations, we find that nonzero solutions exist. This means that an electromagnetic field can exist even in the absence of any charges or currents. Electromagnetic fields occurring. in media in the absence of charges are called electromagnetic waves. Maxwell's equations (Equations (1.1-1) to (1.1-4)) consist of 8 scalar equations that relate a total of 12 variables, 3 for each of the 4 field vectors E, H, D, and B. They cannot be solved uniquely unless the relationships between B and Has well as that between E and D are known. To obtain a tunique determination of the field vectors, Maxwell’s equations must be supplemented by the so-called constitutive equations (or material equations), D=cE= ek +P aus) Be pH = sgl + 4M 16) ‘where the constitutive parameters € and tare tensors of rank 2 and are known as the dielee- tric tensor (or permittivity tensor) and the permeability tensor, respectively; P and M are elec- tric and magnetic polarizations, respectively. In vector notation, the dielectric tensor and the permeability tensor are often written in terms of 3 x 3 matrices. When an electromagnetic field is present in matter, the electre field can perturb the motion of electrons and produce a distribution of charge separation. This leads to a dipole polarization per unit volume ‘Analogously, the magnetic field can also produce a magnetization in materials having a per- ‘meability that is different from ji. The constant ¢ is called the permittivity of a vacuum and has a value of 8.854 x 10°'? F/m. The constant ig is known as the permeability of a vacuum, thas, by definition, the exact value of 4.x 10°" H/m. If the material medium is isotropic, both € and jt reduce to scalars. For most applications in optical electronics and optical communications, the quantities € and yt can be assumed t0 be independent of the field strengths. However, if the fields are sufficiently strong, such as obtained, for example, by focusing a laser beam or by applying a strong dc electric field to an1.1 Maxwell's Equations and Boundary Conditions 3 electro-optic crystal, the dependence of these quantities on E and Hi must be considered. ‘These nonlinear optical effects will be discussed later in this book. Boundary Conditions ‘Maxwell’s equations can be solved in regions where both € and yt are continuous. In optical electronics and optical communications, one often deals with situations in which the physical properties (characterized by € and 1) change abruptly across one or more surfaces. This occurs, for example, in dielectric waveguides, which consist of transparent layers of different dielectric constants (or refractive indices). Although the physical properties may change abruptly across the dielectric interfaces, there exist continuity relationships of some of the ‘components of the field vectors atthe dielectric boundary. These continuity conditions can be derived directly from Maxwell's equations We consider a boundary surface separating two media with different dielectric permittivity and permeability (medium 1 and medium 2). To obtain the boundary conditions for B and D, we construct a thin cylinder over a unit area of the surface, as shown in Figure 1.1a, The end faces of the cylinder are parallel to the surface. We now apply the Gauss divergence theorem [fora-ffos an to both sides of Equations (1.1-3) and (1.1-4). The surface integral reduces, in the limit as the height of the cylinder approaches zero, to an integral over the end faces only. This leads to n-(B,-B)=0 (1-8) n-(D;-D)=0 ‘where m is the unit vector normal to the surface directed from medium 1 into medium 2, By and D, are the field vectors in medium 1 in the immediate vicinity of the boundary, B, and D, are the field vectors in medium 2 in the immediate vicinity of the boundary, and 6 is the surface charge density (in coulombs per square meter). These boundary conditions are often written (14-9) where B,,, = By: n, Bs, =B-n, Dy, =D, D, +n. In other words, the normal ‘component of the magnetic induction is always continuous, and the difference between the normal components of the electric displacement vector D is equal in magnitude to the surface charge density 6. <—S © © © ire 1.1 Boundary between medium 1 and medium 2. n is the unit vector normal to the surface directed from medium 1 into medium 2, d¢ isa differential element along the rectangular contour C.4° Chapter 1 Electromagnetic Fields and Waves For the field vectors E and H, we draw a rectangular contour with two long sides parallel to the surface of discontinuity, as shown in Figure 1.16. We now apply the Stokes theorem [[ exe sso| ra on to both sides of Equations (1.1-1) and (1.1-2). The contour integral reduces, in the limit as the width of the rectangle approaches zero, to an integral over the two sides only. This leads to nx(E,-E,) =0 day nx (H;-Hy)=K where K is the surface current density (in amperes per meter), and E,, Hy, E>, and H, are the field vectors in the immediate vicinity of the boundary in media 1 and 2, respectively. Again, the boundary conditions for the electric field and magnetic field vectors (1.1-11) are often written as E,=Ey ery H,-H,,=K \here the subscript ¢ means the tangential component of the field vector. (Note: The tangential components of these field vectors to the boundary surface are still vectors in the tangential plane of the surface.) In other words, the tangential component of the electric field vector E is always continuous at the boundary surface, and the difference between the tangential ‘components of the magnetic field vector H is equal to the surface current density K. In many areas of optical electronics and optical communications, one often deals with situ- ations in which the surface charge density 6 and the surface current density K both vanish. This occurs, for example, at the boundary between core and cladding of dielectric wave- guides. It follows that, in such cases, the tangential components of E and H and the normal components of D and B are continuous across the interface separating media 1 and 2. These boundary conditions are important in solving many wave propagation problems in optical electronics and optical communications, including guided waves in optical fibers and dielec- tric slab waveguides. 1.2 ENERGY DENSITY AND POYNTING VECTOR It has been known for some time that light carries energy with it and is a form of electro- magnetic radiation. The sun delivers an enormous amount of energy (with an intensity of about 1 kW/m: at sea level) to the planet Earth everyday. As we indicated, the first and most conspicuous success of Maxwell’s theory was the prediction of the existence of electro- magnetic waves and the transport of energy. We now consider two of the most important aspects of electrodynamics: the energy stored with an electromagnetic wave and the power flow associated with an electromagnetic wave. To derive the energy density and the power flow, wwe consider the conservation of energy in a small volume element in space. The work done per unit volume by an electromagnetic field is J - E, which may also be considered as the energy dissipation per unit volume. This energy dissipation must be connected with the net decrease of energy density and the power flow out of the volume. According to Equation (1-1-2), the work done by the electromagnetic wave can be written