ELECTRONICS,
QUANTUM VOL. QE9, NO. 9, SEPTEMBER
919 1973
Manuscript received March 9, 1973. Thisresearchwassupported in Subject to these conditions the solutionsof (2) become
part by the National Science Foundation and in part by the Advanced
Research Projects Agency through the Army Research Office, Durham,
N.C.
The author is with the Department of Electrical Engineering, Califor
nia Institute of Technology, Pasadena, Calif. 91109.
920 IEEE JOURNAL OF QUANTUM ELECTRONICS, SEPTEMBER 1973
z=O 2.L
cos [9(4~'
B(z) = BoeiA2/'{ + A2)'''zI the
space
betweenz = 0 andz = L. Sincemodeaisgenerated
by the perturbationwe have a(L)= 0. With these boundary
A
 2
(4K +A) sin [4(4,(' +~')"~~z]j (6) conditionsthesolution of (1 1) is given by
2iK,bei(4.2/2)
where K~ = I K = , I 2. Under phasematched condition A = 0, a A ( Z ) = B(O)
SL SL f
sinh [f
(z  L ) ]
completespatially periodic Ijower transfer
between
modesa  A sinh  is cosh 
and b takes place with a period ir/2K. 2 2
i(Az/2)
c
B(z) = B(0) 
SL
 A sinh 
2
+ is cosh 
SL
2
b(=,t ) = cos
[$
~ ~ ~ ~ ( ~ b ~  (KZ).
@ b ~ )
B. Contradirectional Coupling
In this casethe propagationin the unperturbed medium
is
A(z) = B(0) tf) sinh [x(z  L ) ]

cosh ( K L )
described by cosh [K(Z  L
)]
B ( z ) = B(0) (14)
cash ( K L )
n2
n3
 propagation
x=t
thus
E y ( x , z , l )=&y(x)e"wtflz'. (16) I
The field components are
 y) (1 9)
tan (hi) = htP
ha 
+ 4) (25)
where
This equationin conjunction with (18)is used to obtain the
eigenvalues p of the confined TE modes. 2 2
ji G n2
sp, q n 4.
4j
Theconstant Cappearingin (17) isarbitrary. Wechooseit
in such a way that the field &,(x) in (17) corresponds to a n3 nl
power flow of 1 W (per unit width in they direction) in the The normalization constant C is chosen so that the field
mode. A mode whoseEN = A&.(x) will thus correspond to a represented by (23) and (24) carries 1 W per unit widthin the
y direction.
The assumed form of E , in (17) is such that E , and X, = ( i / w p )
a o , / a x are continuous atx = 0 and that E , is continuous atx = I. All
that is left is to require continuity of aE,/ax at x = I. This leads to
( 1 9).
1
2 m
HUEx*dx = .!
2u
/rnx,"o
m E
dx = 1
922 IEEE J O U R N A L OF QUANTUM ELECTRONICS, SEPTEMBER 1973
A . Case I: TEinpUtTEoutpUt
Withoutgoing,atthispoint,intoconsiderations in
volving crystalline orientation, usletassume that an optical
field parallel to the waveguide y direction will generate a
where 1 extends over the discrete set of confined modes and secondharmonic polarization along the same direction
includes both positive and negative traveling waves.The in
tegration over/3 takes in the continuumof radiation modes,
and C.C.denotes complex conjugation. Our chiefinterest lies
in perturbations which couple only discrete modes so that, in
where P and E representcomplexamplitudes,and d
what follows, we willneglect the second termon the right side
corresponds to a linear combinationof dijkwhich depends
of (30). Problems of coupling to the radiation modes in arise
on the crystal orientation.In this special case an input TE
connection with waveguide losses [ 1 11 and grating couplers
mode atw / 2 will generate an outputT E mode atw . Using
P21. (30) in (35) gives
Substituting (30) into (29), assuming "slow" variation so
that d2Am/dz2<< Dm dAm/dz, and recalling that & y c m l (x)
e i ( w t  Omz) obeys the unperturbedwave equation (28), gives
with
where we took d(r) = d ( z ) A x ) , Fig. 4. The orientation of a 43m crystal for converting a TM input at
w/2 to a TE wave at w. x , y , z are thedielectricwaveguide coordinates,
In the interestof concisenesslet us consider thecase where while I , 2, and 3 are the crystalline axes. Top surface is (100):
the inner layer 2 is nonlinear and where both the input and
output modes are well confined. We thus have q m , p m>> h ,
sion results when the phasematching condition
and h,d = T.From (17) and (21) we get
8
Using (45) and assuming a single, say m, mode input at tion of d by taking d(z) as
w/2 results in
d
d(z) = t
P,(r, t ) =  L
yv
,. Bm\,,K"\ 111,  / " I
.e
t("l2Orn*/lZ)
+ C.C.
(47)
corresponding to a squarewave alternation between 0 andd
with a period A . Instead of (37) we now have
period
the
choose
can We
where A such that
somefor value of q
and
This results in a synchronous term (i.e,, onewith azero
expo
nent) on the rightside of (54) so that
A =( 
P n W ) ~ ~~ ( P I ~ " ~ ) T M .
It follows from(58) that an alternativeand equivalent defini Using (22) the E, component ofasingle forward
tion would beto specify thechanges of the dielectric tensorciJ traveling TM mode is given by
as
corresponds to the output TEand [PpertIyis they component X $"'(x) in the guiding layer become
of the polarization (61) induced by the x (and z*) electric
field components of the inputT M mode. Using (61) weget
(62) becomes
lt X!,'"'(x)&,'"'(x)
4w
dx = 
dig mm
dx = 2
where Py(W) is the complex amplitude of the polarization. Havingchosen thecase of auniform E'O' and Y , the
In most cases of practical interest the choice of crystal only z dependence on the right side of (67) is that of the
orientationandthe field is such as to simplify(63) to exp (  i P I T M z )factor. Since DmTM = PmTE( I = rn) we may
a simple form resembling (64); an example is provided at neglect the terminvolving A m  . The coupling thusinvolves
the end of Section VI. In any case, the definition of (63) onlytheforward TE and T M modes.Using (69), (67)
applies to the most general case. becomes
with
or using (7 1)
K(Z) = n: kr(z) C o ' ( z ) .
(73)
As in the case of secondharmonic generation, we can use a
spatial modulationof Y or thefield E',' for phase matching.
where A, = 27r/k. The product 1E is identical to the "half Consider,forexample,thecasewherethe field E"'(z)
wave" voltage of bulk electrooptic modulators [15]. The reversesitsdirectionperiodically as with theelectrode
"halfvoltage'' in thebulk case, we recall,is the field arrangement of Fig. 5 . Approximating theelectricfield in the
length product which causes a 90" rotation in the plane of guiding layer by
polarization of a wave incident on an electrooptic crystal.
Unlikethebulk case, thecoupling between thetwo
guided modes can take place even when the electrooptic (75)
perturbation is limited to an arbitrarily small portion of
the transverse dimensions [6] or when the two modes are corresponding to afieldreversal between E,and  E,every A
of different order (1 # m). meters, we can take K ( Z ) in (74) as
To appreciate the order of magnitude of the coupling,
consider a case wherethe guiding layer is GaAs andX, = 1
pm. In this case [15]
K = 1.85 cm'
Pijklisthephotoelastictensor.Comparing(79)to(58)wecan
apply theresults of Section V directly. Taking the strain
field
in the form of
w guiding layer
Fig. 5. An interdigitalelectrodestructureforapplying
spatially
a
modulated electric field in electrooptic phase matching. x , y , and z are
the waveguide coordinates, while 1, 2, and 3 refer to the cubic [IOO] for the polarizationwave arising from the nonlinearmixing
axes of a $3171 crystal. of an electric field
VII. PHOTOELASTIC
COUPLING
A few comments may be in order here. Each of the two
The possibility Of dielectricwaveguide Optical terms on the righthand side of (84) represents a traveling
modes through the intermediary Of soundhas been polarization wave. Both inputwaves, i.e., S(0)and E x ( @we ),
demonstrated [ 171. In thissectionwewill treat thisclassofin recall, are taken as traveling in the +z direction. Or
teractions using the coupledmode formalism.
dinarily, PTE is close to, but slightly larger than, PTM.In
The photoelastic effect is defined by relating the effect of this the coupling is via the first term on the right side
on theconstants oftheindexellipsoid through[I81 of (84) and the wavelength of the sound wave is adjusted
so that
(79)
PTE= PTM+ K
928 IEEE JOURNAL OF QUANTUM ELECTRONICS, SEPTEMBER 1973
and theresulting TE modeis shifted up in frequency to3 which is similar to K of (71) except that the photoelastic
constant p replaces r, the electrooptic constant, and afac
UTE ='w + R. tor of 2 appears in the denominator. The latter is due to
the fact that the sound strain was taken as a timehar
Since the sign of PTEand PTMis the same, the coupling is monic field while, in the electroopticcase, the modulation
codirectional. This is the case which we consider in detail field E o ' was taken as a dc field. The solution of (89) is
below.Since K/P = (c/v,)(?/w), where us is thesound given by (6) andillustratedbyFig. 1 . Complete power
velocity, it is possible for reasonable values of the sound transfer can take place only when A = 0, i.e., when
frequency Q to have K 2p. In this case the second term
on the right side of (84) represents a polarization wave
traveling in the z direction with a phase velocity  w / ( K
 0) = (  w / P ) . This wave is capable of coupling to the Since K = Q / v s ,this condition can befulfilled by adjusting
backward T E (or TM) mode. In this case we have the sound frequency s2. Under phasematched conditions
we have, according to (6)
Returning to the codirectionalcoupling case represented where M = n6pz/pvs3is the acoustic figure of merit [18].
by (85), we obtain, following the same steps leading to In a GaAs crystal, as an example, using the following
(70), data: M = 1OI3, I = 5 mm, and an optical wavelength X,
= 1 pm, we get
VIII. COUPLING
BY A SURFACE
CORRUGATION
Consider an idealized dielectric waveguide such as that
A qua,ntum mechanical analysis of this phenomenon 1191 shows that in Fig. 3. Let us next perturb the spatial distributionof n2
in the section of the waveguide in which the TE mode grows, phonons
combine with T M photons on a one to onebasis to generateTE photons slightly from that shown in the figure. If the perturbation
so that wTE = uTM+ 0. is small
it is useful to consider
its effect in terms
of COU
Y A R I V : COUPLEDMODE THEORY 929
z=o z=L
\nZ2  n I 2 , a 5 x 5o
I I An2(x) =
10, elsewhere
7 = 2a/A. (99)
"2
Coupling from A , ( + ) to A , (  ) occurs when, for some 1,
x=t
"3
P = [c(r)  e,] E
The next task is to evaluate the integral in (100). Using
we get (99), the integral can be written as
(97)
A n 1 2 ( x ,z ) (98)
1
() iAz

dz
0.900 
KL =
31 n2
(106)
3.15 3.20
Re (BA)
where 1, we recall, is the order of the (corrugation func
( k b versus PA) diagram in the vicinityof
tion)harmonicresponsible for thecoupling,and X, = Fig. 7. A plot of the dispersion
the optical gap.
27r/k.
The behavior of the incident and reflected waves A m ( + )
U
I*
and A m (  ] is given by (14) and is illustrated by Fig. 2 [in
which the reflected wave is A(z) andtheincidentwave B(z)]. ..........................................
The exponential decay behavior occurs only for a narrow
range of frequencies which satisfy, according to (I3), the
condition
DI%lZ
A Q  2p(W) 7 2 K (107)
IWl2
where 7 = 2n/A and we consider the case I = 1 This only. 0 L L
behavior is formally analogous to Braggscatteringof Fig. 8. A theoreticalplot of thetransmissioncharacteristics (12) of a
Blochelectron waves in acrystalfromoneedge of the periodic
waveguidenear
the
Bragg
(opticalgap)
regime.
Brillouin zone to the otherby the crystal periodicity [20].
The latter phenomenon is responsible for the appearance where mu and w Lare the upper and lowergap frequencies,
offorbiddenenergygaps. The behavior of thecorre respectively.
spondingopticalgapcanbeelucidated by consideringthe The behavior of p at w > mu and w < w1 is likewise
total propagation constant of, say, the incident waveB(z) of derivable from (108). It is given for w > wu, as an example,
(12) [ A+(z) in the notationof this section]. From (8) and( 12) by
we can write it as
A S S
p(w> = ~ ( w 
)  i = 9 i 
2 2 2 2
[(un,/c)  7/2]L. Fig. 8 thus describes the transmission as tion (32) results in
a function of frequency (filtering) or, alternatively, as a
function of the indexnz. The latter can be tuned electroop
tically, by temperature, photoelastically, or, in anisotropic
media, by varying the propagation direction, thus offering
some new possibilities for modulation and control. * exp [[(PTE  PTM)Zl (1 15)
3Cy(z)&y(t) 1
dx = 2 6 .
= is E*(w)
2
exp [i(wt  &,@)I + C.C. (114) A = Bo sin KZ
X. THE EIGENMODES
OF A PERTURBED WAVEGUIDE
Up to this point we adopted the point of view of a per
turbation that couples the otherwise uncoupled TE and
TM modes of a waveguide. This coupling, in the codirec
tional
case,
wasshown on a number of occasions
throughout this paper to lead to equations of the form
I 2iK* I
while
An eigenmodeof the waveguide will have a solution of the
form
case we have from( 1 19) K = V H , and the eigenmodes (1 29) Microwarje TheoryTech. (1968 SymposiumIssue), vol.MTT16,pp.
10481054, Dec. 1968.
in the case A = 0 become [4] S. E. Miller, Integrated optics, an introduction, Bell Syst. Tech. J .
vol. 48, p. 2059, 1969.
[5] D. F. Nelson and R. K. Rinehart, Light modulation by the elec
E,(z) = trooptic effect in reversedbiased G a P functions, Appl. Phys. Lett.,
1 vol. 5, p. 148, 1964.
.161. D. Hall, A . Yariv. and E. Garmire. Ootical auidine and electrooo
tic modulation in GaAs epitaxial layers, Opt. Commun., vol. 1, p.
 I