Optical fiber waveguides

 Electromagnetic mode theory for optical propagation

 Cylindrical fiber
 Single-mode fibers
Modes in a planar guide
In a planar optical waveguide, such as a slab of dielectric material with a
refractive index n1 sandwiched between two regions of lower refractive
index n2, light can propagate through the guide due to total internal
reflection at the interface between the core (with refractive index n1) and the
cladding (with refractive index n2).

Wave Propagation in the Guide:

Wave Propagation in the Guide: When light enters the guide, it behaves as
a wave propagating in the z-direction (along the axis of the waveguide). The
light inside the guide has a wavelength of λ/n1 , where λ is the wavelength in
vacuum and n1 is the refractive index of the core.

The wave vector of the light can be broken into two components:

β z : the component of the propagation constant in the z-direction, which

is along the waveguide axis.

β x : the component in the perpendicular direction (the x-direction, across

the waveguide).

These components of the wave vector are given by:

1
 β z =n1 kcos θ

and
β x =n1 ksinθ

where k=2π/λ is the wave number in vacuum, and θ is the angle between the
direction of propagation and the axis of the guide (the z-axis).

Total Internal Reflection and Standing Waves

The light is reflected at the interfaces between the core and the cladding
due to the refractive index contrast. As the light propagates, interference
occurs between the reflected waves at the upper and lower interfaces, which
results in standing waves forming in the x-direction.

For constructive interference to occur, the total phase change after two
successive reflections must be an integer multiple of 2 mπ radians. This
condition ensures that the waves interfere constructively, forming a standing
wave in the x-direction.

Mathematically, the condition for constructive interference is:

2 mπ where m = 0,1,2,…

The lowest-order standing wave (where m=0) is characterized by an

electric field that is maximum at the center of the waveguide and decays
towards zero at the boundary between the core and cladding.

Low order T E or T M modes

2
Mode Formation:

The light within the waveguide can be described as a mode. A mode is a

stable field distribution in the x-direction, with a sinusoidal variation in the
z-direction (along the waveguide axis). The light is confined to the core, but
there is some penetration into the cladding (this is known as evanescent
field). The electric field distribution in the x-direction is periodic, and the
field varies sinusoidally with a propagation constant βz in the z-direction.

These modes are characterized by a distinct propagation constant β, which is

the same as βz (since the propagation is along the z-direction). Each mode
corresponds to a specific value of θ (the angle of the ray inside the guide).

Mathematical Description:

The light propagates as a monochromatic electromagnetic wave (A

monochromatic electromagnetic wave refers to an electromagnetic wave that
has a single frequency or wavelength) with a time dependence given by exp
(jωt), where ω is the angular frequency of the light. The field of the mode
can be written as:

exp (j[ωt−βz])

where βz is the propagation constant for the mode, and the electric field
exhibits a sinusoidal variation in the z-direction (along the guide). This time-
dependent factor combines with the spatial components to describe the
mode.

Figure 2.8 The formation of a mode in a planar dielectric

guide: (a) a plane wave propagating in the guide shown by
its wave vector or equivalent ray – the wave vector is
resolved into components in the z and x directions.

3
Figure 2.8 The formation of a mode in a planar dielectric
guide: (b) the interference of plane waves in the guide
forming the lowest order mode (m 0).

Modes in the Planar Guide:

Plane Waves and Rays:

 Light propagating in the waveguide can be described as a superposition

of plane waves. These plane waves correspond to rays that travel
through the waveguide at various specific angles.
 The key idea is that when light is confined in the waveguide, it undergoes
multiple reflections at the interfaces between the core and cladding.
Each ray represents a plane wave propagating along a path at a particular
angle relative to the axis of the waveguide (the z-axis).

Standing Wave Formation:

 When these plane waves interfere with each other constructively (due to
total internal reflection), they form standing waves in the transverse
direction (across the waveguide).
 The standing wave has nodes (points where the electric field is zero) and
antinodes (points where the electric field reaches its maximum value).
 The transverse electric field distribution of these standing waves follows
either a sine or cosine function, as shown in Figure 2.9.

4
Figure 2.9 Physical model showing the ray propagation and
the corresponding transverse electric (TE) field patterns of
three lower order models (m 1, 2, 3) in the planar
dielectric guide.

Mode Number (m):

 The mode number, denoted by m, refers to the order of the mode. The
mode number corresponds to the number of zeros (nodes) in the
transverse electric field distribution.
 For example, the mode with m=1 will have one zero in the electric field
pattern, m=2 will have two zeros, and so on.
 The mode number is an important concept because it helps define the
spatial distribution of the electric field across the waveguide. The
higher the mode number, the more complex the electric field distribution
becomes in the transverse direction.

5
Transverse Electric (TE) and Transverse Magnetic (TM) Modes:

Transverse Electric (TE) Modes: In these modes, the electric field is

entirely transverse to the direction of propagation (the z-direction), meaning
E z= 0. However, there is a component of the magnetic field in the direction
of propagation ( H z ≠ 0 ).

These modes are denoted as TEm , where m is the mode number.

Transverse Magnetic (TM) Modes: In contrast, for TM modes, the

magnetic field is entirely transverse to the direction of propagation,
meaning H z=0 . However, the electric field has a component in the direction
of propagation ( E z ≠0 ).

These modes are denoted as T M m, where m is the mode number.

Transverse Electromagnetic (TEM) Waves:

TEM waves are a special type of wave where both the electric field and
magnetic field are confined to the transverse plane, i.e., both E z=0 and H z=0
. These waves are not typically found in optical waveguides because they
require both the electric and magnetic fields to be confined in the transverse
plane.

TEM waves are more commonly observed in metallic conductors such as

coaxial cables, where both the electric and magnetic fields are confined to
the region between the inner and outer conductors.

In optical waveguides, such as planar guides, only TE and TM modes are

generally supported because the waveguides are dielectric and cannot
support pure TEM modes.

6
 Phase and group velocity
Phase Velocity ( v P):

The phase velocity refers to the speed at which points of constant phase
(wavefronts) of a monochromatic wave propagate. These wavefronts are the
surfaces or locations where the phase of the wave is constant.

For a monochromatic wave, the phase velocity is given by:

ω
v P=
β

where:

ω is the angular frequency of the wave (related to the frequency by ω=2 πf ),

β is the propagation constant (also called the wave number) in the

propagation direction (the z-direction in a waveguide).

The phase velocity tells us how fast a particular phase point (say, the crest
of the wave) moves in the propagation direction. It is a characteristic of a
single plane wave and assumes the wave is monochromatic, meaning it
consists of a single frequency.

Relationship to the refractive index: In a waveguide with refractive index

n1 , the phase velocity can also be written as:

c
v P=
n1

where:

c is the speed of light in vacuum,

n1 is the refractive index of the core of the waveguide.

The phase velocity gives the speed at which the individual wavefronts
travel through the guide, but it doesn’t necessarily describe how energy or
information propagates.
7
Figure 2.10 The formation of a wave packet from the
combination of two waves with nearly equal frequencies. The
envelope of the wave package or group of waves travels at a
group velocity υg.

Group Velocity ( v g):

Group velocity is the speed at which the envelope of a wave packet

propagates. This is important when considering wave packets
(combinations of waves with slightly different frequencies) because the
energy or information associated with the wave packet moves at this
velocity, rather than the phase of individual waves.

The group velocity is given by:

δω
v g=
δβ

where:

ω is the angular frequency of the wave,

β is the propagation constant.

8
While the phase velocity relates to the propagation of the phase of a single
frequency wave, the group velocity describes the speed of the overall
wave packet (which is typically a combination of many different
frequencies). This is the velocity at which energy or information carried by
the wave propagates.

Significance in Optical Fibers: The group velocity is particularly important

in the context of optical fibers and waveguides because it dictates the speed
at which information or signals propagate through the medium. A group
velocity that is too high or too low can distort signals, especially in cases of
dispersion, where different frequencies travel at different speeds.

Propagation Constant in a Waveguide:

The propagation constant β for a wave traveling in a medium with
refractive index n1 can be written as:

2 π n1 ω
β=n 1 =
λ c

where:

λ is the wavelength of the light in the medium,

ω is the angular frequency, and

c is the speed of light in vacuum.

This equation assumes that the light is propagating in the z

direction (along the waveguide), and cos θ =1 (since the
light is confined to the waveguide).

Phase Velocity in Terms of Refractive Index:

Using the above relationship for β, the phase velocity can be expressed as:
c
v P=
n1

This equation shows that the phase velocity is inversely proportional to the
refractive index n1 of the medium (in this case, the core of the waveguide).

9
As the refractive index increases, the phase velocity decreases, meaning the
wavefronts propagate slower in a higher-index medium.

Group Velocity Calculation:

To calculate the group velocity, we need to look at how the propagation

constant β changes with wavelength λ, and how that affects the group
velocity.

Starting from the relationship for the phase velocity and applying it to the
group velocity:
δω
v g=
δβ

Using the expression for β and ω in terms of λ, we can derive the group
velocity formula:
c
v g=
Ng

The parameter Ng is known as the group index of the guide.

d n1
N g=n1− λ
dλ

Here:
d n1
is the change in the refractive index with respect to wavelength.
dλ

λ is the wavelength of the light.

The group velocity depends not only on the refractive index n1 but also on
how the refractive index changes with wavelength (i.e., dispersion). This
makes the group velocity sensitive to the medium's dispersion
characteristics.

10
Cylindrical fiber

Modes

The exact solution of Maxwell’s equations for a cylindrical

homogeneous core dielectric waveguide involves much
algebra and yields a complex result.
In common with the planar guide, TE (where E z= 0) and TM
(where H z= 0) modes are obtained within the dielectric
cylinder. The cylindrical waveguide, however, is bounded in
two dimensions rather than one. Thus two integers, l and
m, are necessary in order to specify the modes, in contrast
to the single integer (m) required for the planar guide.
For the cylindrical waveguide we therefore refer to TElm and
TM lm modes. These modes correspond to meridional rays
traveling within the fiber. However, hybrid modes where
Ez and Hz are nonzero also occur within the cylindrical
waveguide. These modes, which result from skew ray
propagation within the fiber, are designated HE lm and EH lm
depending upon whether the components of or make
the larger contribution to the transverse (to the fiber axis)
field.
The analysis may be simplified when considering optical
fibers for communication purposes. These fibers satisfy the
weakly guiding approximation where the relative index
difference ∆ ≪ 1. This corresponds to small grazing angles θ
in Eq. (2.34).
In fact ∆ is usually less than 0.03 (3%) for optical
communications fibers. For weakly guiding structures with
dominant forward propagation, mode theory gives dominant
transverse field components. Hence approximate solutions
for the full set of HE, EH, TE and TM modes may be given by
two linearly polarized components.
These linearly polarized (LP) modes are not exact modes of
the fiber except for the fundamental (lowest order) mode.
11
However, as ∆ in weakly guiding fibers is very small, then
HE–EH mode pairs occur which have almost identical
propagation constants. Such modes are said to be
degenerate. The superpositions of these degenerating
modes characterized by a common propagation constant
correspond to particular LP modes regardless of their HE, EH,
TE or TM field configurations.
The relationship between the traditional HE, EH, TE and TM
mode designations and the LPlm mode designations is shown
in Table 2.1. The mode subscripts l and m are related to the
electric field intensity profile for a particular LP mode (see
Figure 2.15(d)). There are in general 2l field maxima around
the circumference of the fiber core and m field maxima along
a radius vector. Furthermore, it may be observed from Table
2.1 that the notation for labeling the HE and EH modes has
changed from that specified for the exact solution in the
cylindrical waveguide mentioned previously. The subscript l
in the LP notation now corresponds to HE and EH modes with
labels l + 1 and l - 1 respectively.

Table 2.1 Correspondence between the lower order in

linearly polarized modes and the traditional exact modes
from which they are formed.

12
Figure 2.15 The electric field configurations for the three
lowest LP modes
illustrated in terms of their constituent exact modes: (a) LP
mode designations; (b) exact mode designations; (c) electric
field distribution of the exact modes; (d) intensity
distribution of Ex for the exact modes indicating the electric
field intensity profile for the corresponding LP modes.

Mode Coupling
In dielectric waveguides, perturbations such as deviations in fiber axis,
variations in core diameter, irregularities at the core–cladding interface,
and refractive index variations can alter the propagation characteristics
of the fiber. These perturbations cause energy to transfer between modes, a
phenomenon known as mode coupling or mode mixing.

Mode coupling is typically analyzed using coupled mode equations derived

from Maxwell’s equations. This phenomenon affects fiber transmission
properties, particularly dispersive properties over long distances.

Step index fibers

Step index fibers consist of a core with a refractive index n1 and a cladding
with a slightly lower refractive index n2, resulting in a step change in the
refractive index at the core–cladding interface.

13
Figure 2.21, which illustrates the two major types of step
index fiber.

Figure 2.21 The refractive index profile and ray transmission

in step index fibers: (a) multimode step index fiber; (b)
single-mode step index fiber.

There are two major types of step index fibers:

The refractive index profile in both cases may be defined as:

n (r )=
{ n1 r <a (core)
n 2 r ≥ a( cladding)

Multimode Step Index Fiber:

o Core diameter is about 50 μm or greater.

o Allows the propagation of many modes, which are illustrated by various
ray paths through the core.
o This fiber type may experience considerable intermodal dispersion due
to different group velocities of the modes, which limits its bandwidth.

Single-Mode Step Index Fiber:

o Core diameter is between 2 and 10 μm, allowing the propagation of only

one mode (typically the HE11 mode).

14
o Has the advantage of low intermodal dispersion because only one mode
propagates, making it ideal for high-bandwidth applications.

Advantages of Multimode Step Index Fiber:

(a) the use of spatially incoherent optical sources (e.g.

most light-emitting diodes) which cannot be efficiently
coupled to single-mode fibers;
(b) larger numerical apertures, as well as core diameters,
facilitating easier coupling to optical sources;
(c)lower tolerance requirements on fiber connectors.

Mode Propagation in Multimode Fibers:

The number of guided modes depends on the fiber’s physical parameters

(core radius, refractive index difference) and the wavelength.

The normalized frequency V determines the number of modes. Below a

certain cutoff value V c , modes cannot exist as guided modes but may
propagate as unguided or leaky modes.
1
2π
V= a n1 (2 ∆) 2
λ

Number of Guided Modes ( M s):

The number of guided modes M s is related to V by the expression:

2
V
M s=
2

In an ideal multimode fiber, optical power is launched into many modes,

each with different spatial field distributions. These modes propagate
independently if there is no mode coupling, and the core primarily carries
the optical power.

Cladding Influence:

The cladding properties (e.g., thickness) do not significantly affect the

propagation of modes in multimode fibers, as the modes are mostly confined
to the core.

15
Graded Index Fibers
Graded index fibers have a core with a refractive index n(r) that decreases
with radial distance from the axis. The index varies from a maximum value
n1 at the core center to a constant value n2 in the cladding. This variation is
described by a profile parameter α, with common profiles:

 Step index (α = ∞),

 Parabolic profile (α = 2),
 Triangular profile (α = 1).

The most common and efficient profile for multimode optical propagation is
a near-parabolic refractive index profile with α ≈ 2.

This index variation may be represented as:

16
where ∆ is the relative refractive index difference and ∝ is the
profile parameter which gives the characteristic refractive
index profile of the fiber core.

Figure 2.22 Possible fiber refractive index profiles for

different values of α (given in Eq. (2.75))

Waveguide Properties:
In multimode graded index fibers, rays travel along curved paths due to
the gradual change in refractive index.

The refractive index variation causes refraction at many interfaces,

resulting in rays bending towards the core axis.

Intermodal dispersion is significantly reduced in graded index fibers

compared to step index fibers, as the refractive index profile compensates
for differences in group velocities of modes.

o Rays closer to the axis travel slower but cover shorter paths.
o Rays at the outer regions travel faster but cover longer paths, equalizing
transit times.

17
Advantages:

Higher bandwidth: Graded index fibers have much greater transmission

bandwidth than step index fibers, though they still can't match the
bandwidth of single-mode fibers.

Large core diameters: Graded index fibers typically have core diameters
greater than 30 μm, making them suitable for long-distance
communication.

Numerical Aperture (NA):

The NA for graded index fibers is more complex than for step index fibers
because it varies with radial distance from the core axis.

Graded index fibers accept less light than step index fibers with the same
relative refractive index difference Δ.

Graded index fibers are widely used due to their improved bandwidth and
performance, especially in long-distance communication, despite not
reaching the capacity of single-mode fibers.

Figure 2.23 The refractive index profile and ray transmission

in a multimode graded index fiber.

18
Figure 2.24 An expanded ray diagram showing refraction at
the various high to low index interfaces within a graded
index fiber, giving an overall curved ray path

Figure 2.25 A helical skew ray path within a graded index

fiber
The parameters defined for step index fibers (i.e. NA, ∆ , V)
may be applied to graded index fibers and give a comparison
between the two fiber types. However, it must be noted that
for graded index fibers the situation is more complicated
since the numerical aperture is a function of the radial
distance from the fiber axis. Graded index fibers, therefore,
accept less light than corresponding step index fibers with
the same relative refractive
index difference.

19