Analysis and Design of Grating-Embedded Optical Filters PDF

Analysis and Design of Grating-Embedded
Optical Filters
by
Andy Lock Yen, LOW
A thesis submitted to the
Faculty of Engineering of
The University of Birmingham
for the Degree of
Doctor of Philosophy (Ph.D.)
School of Electronic, Electrical and
Computer Engineering,
The University of Birmingham,
Edgbaston,
Birmingham B 15 2TT,
United Kingdom.
May, 2002
Synopsis
This thesis is devoted to the analysis and design of some novel fonns of optical filtering
components, namely, those of the gratings-embedded tunable type used in the Dense
Wavelength Division Multiplexing (DWDM) lightwave communication systems and other
fibre sensing applications.
DWDM is a technology that depends heavily on optical components, many of which are
state of the art, produced in low volumes, and thus costly. Consequently, research is being
continued to develop low cost optical components in discrete as well as compact integrated
fonn. Among these components, the optical filter holds the key for the future technology.
Optical filters have been extensively used for dynamically demultiplexing optical signals
with varying switching or tuning speeds. The filter requirements for bandpass, gain
equalisation, and dispersion compensating filters become more demanding as the number
of channels, the bandwidth utilisation, and the system wavelength range increase. In this
thesis, the analysis and design of grating-embedded optical filters are investigated.
Generally, there are two main categories of these grating-embedded filters - active and
passive filters, depending on the mode of operation to select the wavelength. Both types of
filter have been covered in this thesis. These filters can be used not only in communication
systems but in other applications too such as fibre sensing schemes.
In the analyses and design of optical filters, insertion loss, bandwidth, sidelobe
suppression, dynamic range, tuning speed, control mechanism, size, mass production
possibility and cost are the important parameters and have been considered in the present
work. Nevertheless, none of the optical devices will be able to best-fit all of the above-
mentioned requirements in the DWDM applications. For high-speed tuning optical filters,
distributed feedback (DFB) laser diodes (LDs) have been studied since amplifications and
filtering operation can be perfonned at the same time provided that they are biased below
the threshold condition. A novel multi section DFB-LDs optical filter has been proposed.
In the grating-embedded design, the optical feedback provided by the distributed gratings
is very important. Two different analytical methods namely (i) coupled-mode theory
(CMT) and (ii) ray optics technique (ROT) have been used in this thesis to detennine the
coupling coefficient. Using the ROT method, the computation of feedback of a laterally
tapered waveguide DFB-LD has been performed in which three different tapering profiles
have been considered. These tapered structures are designed to realise narrow beam
divergence, low threshold current and high longitudinal mode selectivity.
Meanwhile, two types of optical filters can be fabricated if the distributed gratings are
embedded in the optical cables - fibre Bragg gratings (FBGs) and long-period fibre
gratings (LPFGs), depending on the grating period. Both of them have been considered in
the thesis. Some experimental work has also been performed for the characterisation and
tunability of the FBGs. Most of the reported analyses of fibre gratings in the past have
failed to consider the effects of noise on the apodization and chirped grating period of
FBGs. However, these effects have been included in the theoretical analysis presented in
this thesis. Also, the temporal response of the ultrashort pulse from these noisy fibre
gratings has been investigated. In the analysis and design of LPFGs, a closed fonn
analytical solution for cascaded LPFGs has been obtained. Finally, a novel microbend
sensor based on cascaded pair of phase-shifted LPFGs has been proposed.
Acknowledgement
I would like to thank Associate Professor Dr. Hooshang Ghafouri-Shiraz for his guidance
and support throughout my PhD study. More than any other professors, whom I know, Dr
Shiraz has fostered my independence while at the same time remaining approachable and
encouraging. Perhaps one of the most valuable skills I have acquired under Dr Shiraz's
expert mentorship is the ability to write clearly and present my work effectively. Not
forgetting also to express my gratitude to Professor Hean-Teik Chuah from Multimedia
University, Malaysia who has strongly motivated and certainly paved way for my future
endeavours.
I must accord my gratefulness to the University of Birmingham, United Kingdom and
Multimedia University, Malaysia for providing me the facilities and financial support to
conduct my research. Special thanks also go to Dr. Ahmed Almanasreh from Photronix
(M) Pte. Ltd. for the fibre gratings experimental works. Besides, Bryan Tipper from
Optiwave Corporation has been exceptionally helpful with all the fibre gratings simulation
works.
As a closing note, I wish to express my warmest appreciation to my friends and colleagues
from both universities for their endless friendship, invaluable assistance and discussions. I
especially salute my parents and family members, as well as my wife, Michelle Ong, for
their patience, tireless support and endurance throughout my Ph.D. education. To put it
simply, they have indeed enlightened me the path to a rewarding and meaningful life.
To My Family Members
and
Friends
Contents
Chapter 1 Introduction
1.1 Historical Perspective ........................................................................................................... 1
1.1.1 History of transmission technology ............................................................................... 1
1 1 2 H' t fl' l' hn 1 C'.
.. IS ory 0 mu tIp eXIng tec 0 ogy lor communIcatIOns ............................................. 4
1.2 Development of Dense Wavelength Division MUltiplexing (DWDM) Systems ................. 7
1.3 Motivation for the present work - Grating-Embedded Optical Filters in Photonics ........... 8
1.4 Scope of the Thesis .............................................................................................................. 9
Chapter 2 A Review of Basic Principles of Active Grating-Embedded
Optical Filters
2.1 Introduction ........................................................................................................................ 11
2.2 Basic Principles of Semiconductor Lasers ......................................................................... 13
2.2.1 Population inversion in semiconductor junctions ....................................................... 14
2.2.2 Homojunction vs. double heterojunction .................................................................... 16
2.2.3 Single longitudinal mode (SLM) ................................................................................. 17
2.2.4 Grating-embedded laser structures .............................................................................. 19
2.2.5 Distributed feedback lasers & distributed Bragg reflector lasers ................................ 22
2.3 Modal Analysis of Waveguides ......................................................................................... 24
2.3.1 Index and gain guiding ................................................................................................ 26
2.3.2 Effective area and confinement factor ........................................................................ 28
2.4 Coupled-Wave Equations ................................................................................................... 29
2.4.1 Purely index-coupled DFB laser diodes ...................................................................... 36
2.4.2 Mixed-coupled DFB laser diodes ................................................................................ 36
2.4.3 Gain-coupled (loss-coupled) DFB laser diodes .......................................................... 37
2.5 The Coupling Coefficient ................................................................................................... 38
2.6 Summary ............................................................................................................................ 41
Chapter 3 Fibre Gratings: Basic Concepts and Applications
3.1 Introduction ........................................................................................................................ 42
3. 1.1 Fibre Bragg gratings (FBGs) ....................................................................................... 44
3.1.2 Long-period fibre gratings (LPFGs) ........................................................................... -+5
3.2 Photorefractivity and Photosensitivity ............................................................................... 47
3.2.1 Photosensitivity in silicon-based optical fibres ........................................................... 48
3.2.1.1 Type I Bragg gratings ........................................................................................... 48
3.2.1.2 Type IIA Bragg gratings ...................................................................................... 49
3.2.1.3 Type II Bragg gratings ......................................................................................... 49
3.2.2 Hydrogen loading (hydrogenation) ............................................................................. 50
3.2.3 Flame brushing ............................................................................................................ 51
3.2.4 Co-doping .................................................................................................................... 52
3.3 Preservation of the Index Change ...................................................................................... 53
3.4 Properties of Fibre Gratings ............................................................................................... 53
3.4.1 Simple Bragg gratings ................................................................................................. 54
3.4.2 Reflectivity and transmissivity .................................................................................... 55
3.4.3 Strain and temperature sensitivity of Bragg gratings .................................................. 59
3.4.4 Other properties of fibre gratings ................................................................................ 61
3.5 Fibre Gratings Theory ........................................................................................................ 64
3.5.1 Coupled-mode theory .................................................................................................. 65
3.5.1.1 Contra-directional coupled-mode equations (Bragg gratings) ............................. 70
3.5.1.2 Co-directional coupled-mode equations (long-period fibre gratings) .................. 73
3.6 Applications of Fibre Gratings ........................................................................................... 76
3.7 Summary ............................................................................................................................ 78
Chapter 4 Analysis of Coupling Coefficient in Tapered-Structure Grating-
Embedded Devices
4.1 Introduction ........................................................................................................................ 79
4.2 Overview of Taper Stripe DFB Laser Diodes .................................................................... 80
4.3 Coupling Coefficient Analysis (CCA) ............................................................................... 84
4.3.1 CCA using coupled-mode theory ................................................................................ 84
4.3.2 CCA using ray optics technique .................................................................................. 87
4.3.2.1 Derivation of ray optics expression ...................................................................... 87
4.3.2.2 Effective Index Method (ElM) ............................................................................. 91
4.4 Results Comparisons Between CMT & ROT .................................................................... 96
4.5 Coupling Coefficient of A Laterally Tapered Waveguide DFB Laser .............................. 98
..
11
4.6 Summary .......................................................................................................................... 106
Chapter 5 Analysis & Design of Active Grating-Embedded Optical Filters
5.1 Introduction ...................................................................................................................... 108
5 .2 Wavelength Selection ....................................................................................................... 109
5.3 Solutions of The Coupled-Wave Equations ..................................................................... 111
5.3.1 The dispersion relationship and stop bands ................................................................ 113
5.3.2 Formulation of transfer matrix .................................................................................. 114
5.3.3 Solutions of complex transcendental equations using the Newton-Raphson
approximation .......................................................................................................... 116
5.4 Threshold Analysis of the DFB Laser Diodes (LDs) ....................................................... 118
5.4.1 Phase discontinuities in DFB-LDs ............................................................................ 119
5.4.2 Below threshold characteristics ................................................................................. 124
5.5 Active Tunability DFB-LD Amplifier Filters .................................................................. 125
5.6 Structural Impacts on the DFB-LD Amplifier Filters ...................................................... 129
5.6.1 Phase-shift-controlled DFB-LD amplifier filter ........................................................ 130
5.7 Proposed Multisection and Phase-Shift-Controlled DFB-LD Amplifier Filter ............... 133
5.8 DFB-LDs Vs. DBR-LDs .................................................................................................. 140
5.9 Summary .......................................................................................................................... 143
Chapter 6 Analysis and Design of Passive Optical Filters: Fibre Bragg
Gratings
6.1 Introduction ............................................................................ .. .... ........ .. 144
6.2 Analysis of the Phase-Shifted FBGs ................................................................................ 145
6.3 Analysis of Apodized and Chirped FBGs ........................................................................ 151
6.3.1 Apodized fibre Bragg gratings (FBGs) .................................................................... 153
6.3.2 Chirped fibre Bragg gratings (FBGs) ...................................................................... 154
6.4 Experimental studies on the characterisation of FBGs .................................................... 156
6.4.1 Tunable FBGs ........................................................................................................... 160
6.5 Analysis of Noise Effects on the Apodization and Chirped Grating Period ofFBGs ..... 162
6.5.1 Results & discussions ................................................................................................ 164
6.6 Temporal Response of Ultrashort Pulse from Noisy Apodized & Chirped FBGs ........... 178
6.6.1 Results and discussions ............................................................................................. 181
111
6.6.1.1 Conventional unifonn FBGs .............................................................................. 183
6.6.1.2 Gaussian-Apodized FBGs .................................................................................. 187
6.7 Summary .......................................................................................................................... 192
Chapter 7 Analysis and Design of Passive Optical Filters: Long-Period
Fibre Gratings
7.1 Introduction ...................................................................................................................... 194
7.2 Structural Impacts ofLPFGs ............................................................................................ 195
7.2.1 Analysis of the Phase-Shifted LPFGs ....................................................................... 195
7.2.1.1 Results and discussions ...................................................................................... 197
7.2.2 Numerical aperture of the fibre ................................................................................. 203
7.3 Cascaded Long Period Fibre Gratings ............................................................................. 204
7.3.1 Closed fonn solution for cascaded LPFGs ................................................................ 205
7.3.2 Results and discussions ............................................................................................. 209
7.4 Novel Cascaded Phase-Shifted LPFGs Microbend Sensor .............................................. 212
7.5 Summary .......................................................................................................................... 217
Chapter 8 Conclusion and Proposal for Future Work
8.1 Summary of the Thesis ..................................................................................................... 219
8.2 Limitation of the Research Study ..................................................................................... 221
8.3 Suggestions for Future Work ........................................................................................... 222
8.3.1 Extension to gain coupling devices ........................................................................... 222
8.3.2 Extension to dynamic model of filters ...................................................................... 222
8.3.3 Extension to integrated Bragg grating waveguide filter ............................................ 223
8.3.4 Extension to arrayed waveguide gratings (A WG) .................................................... 223
Appendix A Maxwell, Plane Waves & Reflection
A.l Electromagnetic theory of light ....................................................................................... A-I
A.l.l The wave equation .................................................................................................... A-I
A.l.2 Linearly polarised plane waves ................................................................................ A-2
A.2 Snell's law and total internal reflection ........................................................................... A-3
Appendix B Mathematical Models for Step-Index Fibres
IV
B.l Basic Equations & Physical Constraints ......................................................................... B-1
B.l.l Mathematical Model (Step 1) ............................. , ..................................................... B-3
B.l.2 Physical Condition of the Revolution Symmetry (Step 2) ....................................... B--+
B.l.3 Solution to the Radial Equation (Step 3) .................................................................. B-5
B.1A Boundary conditions at the fibre core-cladding interface (Step 4) ........................... B-6
B.l.S Characteristic equation and modal solutions (Step 5) .............................................. B-7
B.2 TE-TM modes .................................................................................................................. B-8
B.3 Cut-off frequencies .......................................................................................................... B-9
BA Linearly polarised modes (LP) ...................................................................................... B-1 0
Appendix C Mathematical Functions
C.l Bessel Functions: Review ................................................................................................ C-l
C.2 Bessel Functions .............................................................................................................. C-l
C.3 Asymptotic Behaviour ..................................................................................................... C-4
C.4 Recurrence Relationship .................................................................................................. C-5
C.S Modified Bessel Functions .............................................................................................. C-5
Publications
References
v
Chapter 1 Introduction
1.1 Historical Perspective
Recently, words such as multimedia, information highway, broadband world and cyberspace
have inundated our eyes and ears. These critical yet stimulating milestones would not be
achieved without the evolution and revolution of communication technology. In fact, the
history of communication technology started with telegraph, which conveys infonnation as
changes in an electric current travelling through copper wires. Since then, researchers and
engineers in communication technology have explored higher frequency bands in order to
accommodate the market demand.
1.1.1 History of transmission technology
Table 1.1-1 summarises the major evolution in communication technology. It should be noted
that rapid progress in electromagnetic theory in the latter half of the 19
th
century resulted a
considerable advancement in the Communication Technology. These include radio (wireless)
communication, following the theoretical prediction of electromagnetic waves by Maxwell,
their experimental observation by Hertz and the invention of radio communication technology
by Marconi [1].
Table 1.1-1 The major evolution in communication technology [1].
Year History of Telecommunication Technology
1820 An experiment on magnetic effects by electric current (Oersted).
1825 Telegraph using electromagnetic detectors (Schilling).
1837 Practical telegraph experiment (Morse).
1844 Practical telegraph system (USA).
1864 Theory of electromagnetic waves (Maxwell).
1866 Transatlantic telegraph system.
1876 Invention of telephone (Bell).
1888 Electromagnetic wave generation (Hertz).
1895 Wireless communications (Marconi).
1905 Heterodyne detection (Fessenden).
1920 Radio broadcasting (USA).
1928 Frequency modulation (Annstrong).
1960 Laser (Townes).
1967 Low-loss optical fibre.
Room temperature operation semiconductor laser diode.
1
Chapter 1
1980-1981
1988
2001
Introduction
Small/medium capacity fibre-optic transmission systems with direct
detection.
Gbit/s (Gigabit-per-second) transmission systems with direct detection.
40Gbit/s WDMlDWDM optical transmission.
After Marconi's first experiment on radio communication, it was only in 1960 that the laser
was invented. Since then, the engineers and scientists have expanded the radio wave
communication technology into the area of lightwaves. The basic concepts of optical
heterodyne/homodyne detection and optical frequency-division multiplexing were established
in the 1960s. Optical heterodyne detection at a 64-kHz Amplitude Modulation (AM) optical
signal was carried out along 64km of lens waveguides [2], and a 30-GHz spaced optical
frequency-division multiplexed (FDM) or better known as wavelength-division multiplexed
(WDM) transmission experiment was carried out [3]. These technologies were investigated as
extensions of sophisticated radio communication technologies. Most of the experiments were
carried out in free space or through lens waveguide tubes that used gas lasers and solid-state
lasers.
However, with the realisation of continuous-wave operation laser diode at room temperatures
and low-loss silica fibres in 1970, the interest of researchers shifted to the simpler intensity
modulation direct detection systems.
The development of point-to-point lightwave transmission systems was enthusiastically
carried out. This brought the very first commercial deployment of fibre optic transmission
systems for telecommunication networks, which offered line rates of 45 and 32-100 Mbps,
respectively [4]-[5]. These systems employed a graded-index multimode fibre, which allows
the propagation of many guided mode waves. Nevertheless, the mode dispersion of
multimode fibre limits the transmission speed, causing short rectangular pulses to change
progressively into smooth pulses with increasing propagation distance. As a result, this causes
inter-symbol interference, which makes the product of bit rate and non-repeater transmission
distance of multi mode fibre transmission systems to be less than several thousand kilometres
per megabit per second. These systems are being used for intracity trunks and medium-haul
intercity trunk lines.
2
Chapter 1
Introduction
Subsequently, the first commercial large-capacity single-mode fibre systems were deployed
after the first low-loss optical fibre was made by Corning Inc. [6]. They operated at 400-
Mbps, using a 1300-nm optimised single-mode fibre with 40-km repeater spacing [7]. The
inherent broad bandwidth characteristics of the single-mode fibre led to gigabit-per-second
transmission systems. The 1.6- to 1.7-Gbps systems were then installed in 1987 [8]. In
transoceanic submarine cable systems, the first system using the optical fibre technologies,
Trans-Atlantic Cable 8 (TAT-8) with a transmission capacity of 7,560 telephonic channels,
was put into service [9]. As usual, the chromatic dispersion, due to the lightwaves of different
frequency travelling in a fibre at different speeds, restricts the transmission capacity in the
single-mode fibre systems. Therefore, the development of these high-speed transmission
systems heavily made use of optical oscillators that offered improved coherence. Coherent
laser diodes have allowed a new generation of lightwave communication technology to be
developed.
As noted before, the modulationldemodulation scheme used for the above-mentioned systems
is intensity modulation direct detection (IM-DD), by which the information is carried only by
the lightwave intensity changes or power changes. Lightwaves with a frequency of
approximately 200-THz have a broad fibre low-loss bandwidth of more than 10-THz. Thus,
coherent light sources can realise sophisticated communication techniques similar to those
used in radio systems. These include the optical heterodyne/homodyne detection (optical
coherent detection) and optical FDM/WDM.
Figure 1.1-1 (a) and (b) show block diagrams of a direct detection receiver and a heterodyne
receiver, respectively. The direct detection receiver has a simple configuration and detects the
intensity change or power change of a lightwave only. A heterodyne receiver combines signal
and local waves in an optical coupler and superimposes them on the photo detecting devices so
that the two electromagnetic fields are added. The intermediate frequency (IF) output is then
converted into a baseband signal. Although coherent detection requires a rather complicated
configuration, it has several advantages over the direct detection. These include the following
[10]-[11]:
1. Electrical signal processing, such as optical channel selection, waveform equalisation
etc. and
! High receiver sensitivity.
3
Chapter 1
IlltroductiOIl
Signal (Esignal)
...
Photon
Baseband signal

...

detector
...
\

is
CJ
v
0..
C/)
""t,l,t""
Frequency
Frequency
B

w
S I (E )
E
Igna
signal
. 1+
...
sIgna

Coupler
r+
Local OSC: Wave (E
L
)
- ........ Frequency

(a)
E
signal
L ..
Photon I If Signal
Ifband I
Baseband
..
detector I

detector
I

Frequency
Bl'/2
Figure 1.1-1 Block diagram of (a) a direct detection receiver and (b) a heterodyne receiver [8].
1.1.2 History ofmultiplexing technology for communications
Multiplexing signals, switching multiplexed signals, and demultiplexing signals are the key
functions required to construct telecommunication networks. These functions were realised in
digital signal-based networks and in analogue networks. Bandwidth voice signals of
approximately 4kHz modulate different subcarrier frequencies, which are then electrically
multiplexed onto a single transmission line. This electrical FDM multiplexing employs a
hierarchical architecture in terms of the number of multiplexed channels so that a number of
voice channels can share a single transmission line. An electrical FDM multiplexed signal
group is modulated by a subcarrier frequency and electrically multiplexed with other
electrical FDM group signals to form a master group of electrical FDM signals. Master group
signals are multiplexed to create a super-group of electrical FDM signals [9].
4
Chapter 1
Introductioll
The hierarchical architecture for multiplexing is also used for current digital networks (time-
division multiplexing, TDM based networks). The current digital communication technology
was introduced to make transport functions independent of the attributes of the information
conveyed through the network so that a single network could provide multiple services. It can
connect a tremendous number of subscribers. Therefore, in order to carry out network
operation and management tasks efficiently, the telecommunication network has a very
complicated architecture when compared to Local Area Network (LAN), cable TV and other
local systems. Presently, the network architecture is based on layering in which it divides a
large system into several functional blocks that are connected by a client/server relationship.
~
ChI
Ch2
Ch3
Ch4
Multiplexed
r------.transmission liner-----,
Framing
Synchronous
multiplexing
\
Asynchronous ~
multiplexing M l . ~ ~ _
'I
Cell
Synchronous
Frame
Figure 1.1-2 Frame structure of synchronous and asynchronous TDM.
The multiplexer for the electrical TDM-based (digital) communications provides a transport
service to the upper layer in digital networks. Signal from an upper layer is then converted
into high-speed signals and sent to a common high-speed transmission line. Generally, there
are two types of TDM formats. One is the synchronous multiplexing format in which the
information is sent periodically, and the information unit in the multiplexed format is
identified from the position of the frame header (time delay from the frame header).
Contrarily, the second type is the asynchronous multiplexing scheme; the unit of the
multiplexed information is called a cell. All information in an asynchronous mUltiplexed
network is conveyed as cells so that the network equipment is almost independent of the
services and transmission speed. This is illustrated in Figure 1.1-2 where the frame structures
of the synchronous and asynchronous ofTDM.
5
Chapter 1
III troductioll
Figure 1.1-3 outlines the history of multiplexing technologies. As can be seen, the
mUltiplexing technology was fIrst changed from electrical FDMlWDM (analogue scheme) to
electrical TDM (digital scheme), and it evolved again to the optical FDMlWDM so that
communication networks will become more independent of the attributes of information or
servIce.
I Analogue communication I
Electric FDM
Q QQ. Frequency
(MHz-GHz)
Digital communication
Electric TDM
-A......A11 .......... 1 ........... 11 .......... 11 ....... Time
)
r----::=:O-pt:-:-i
communication
Optical FDMlWDM
......... Frequency
(THz)
Figure 1.1-3 The trend in multiplexing schemes for communication channels.
Electrical analogue FDM was developed for analogue telephone information transmission,
although some data communications were also carried out by modems. In other words, the
transport functions, such as multiplexing and switching, in electric FDM-based networks were
optimised for the attributes of analogue telephone information. The transport functions of
electrical TDM-based networks were not designed for the specific service, namely the
attributes of specifIc information. In optical FDMlWDM-based networks, the relationship
between the transport functions and the attributes of information (multimedia services) would
be looser.
6
Chapter 1
1.2 Development of Dense
Multiplexing (DWDM) Systems
Wavelength
In troductioll
Division
Intensive efforts have been made in the application of optical fibres to the telecommunication
technologies owing to their low loss and wideband characteristics. In particular, research and
development on medium- and long-haul truck line systems as well as submarine cable
systems have been carried out from the early days of optical fibres. As noted in section 1.1.1,
IM-DD scheme was used in which the intensity of the light emitted from a laser diode (LD) or
light-emitting diode (LED) is modulated by a digital data stream, (e.g. light power is switched
on when a digital bit is 1 and the bit is 0 when it is switched off). Nevertheless, Okoshi et. al.
[11]-[12] proposed the coherent optical fibre communication schemes in which the
characteristics of a lightwave as a pure sinusoidal wave are actively used. Based on this
coherent scheme, an optical lightwave from a transmitter is modulated by a data stream using
the amplitude, or the frequency, or the phase changes of the lightwave, that is, the amplitude-
shift keying (ASK), the frequency-shift keying (FSK) or the phase-shift keying (PSK).
There is another interesting feature if coherent lightwave communication technology is
adopted - the possibility of optical frequency-division multiplexing (FDM). In the present
IM-DD systems, optical carriers should be aligned at a large spacing in the optical wavelength
domain because the feasible bandwidth of an optical bandpass filter (BPF) is as wide as 2 to 3
nm, which requires the spacing of each carrier to be no less than several nanometres. Such a
spacing corresponds to several hundreds to thousands gigahertz in the frequency domain. In
that sense, FDM systems using IM-DD schemes are called the wavelength-division
multiplexing (WDM) systems. Meanwhile, if we use the schemes, we can receive the desired
optical carrier by tuning the optical frequency (wavelength) of the local oscillator in the
vicinity of the signal frequency in a heterodyne scheme.
In 1998, a strong debate raged as to whether 10-Gbit/s systems were needed, given the
simplicity of deploying more 2.5-Gbit/s wavelength-division-multiplexed (WDM) channels.
The debate ended in 1999 after Nortel sold 10-Gbitls equipment. The new debate raging now
concerns the timing of 40Gbit/s systems deployment [13]. Though the potential transmission
bandwidth for single channel transmission has yet to be realised within the installed systems,
it is the case that such systems become progressively more difficult and expensive to
7
Chapter 1
III troduction
implement in the giga bit per second range largely due to the speed limitations within the
terminal electronics. Thus, there is increasing interest in the potential offered by dense
wavelength-division-multiplexing (DWDM).
MUX
DMUX
Figure 1.2-1 Illustration of a simple WDMlDWDM lightwave system.
Figure 1.2-1 illustrates a simple WDMlDWDM lightwave system where n is the number of
wavelength to be transmitted in the system. For n < 16, it is simply known as the WDM
lightwave system or coarse WDM (CWDM) systems, whereas for n ~ 16, DWDM lightwave
system is named. One of the key components and enabling technologies to realise more
advanced 40Gbit/s transmission is the provision of appropriate devices and mechanism for
wavelength multiplexing and demultiplexing [14]-[15]. Therefore, intensive efforts on the
multiplex/demultiplex technologies are now being made.
1.3 Motivation for the present work - Grating-Embedded
Optical Filters in Photonics
As noted in the earlier section, the demand for novel and high performance devices for
wavelength multiplexing/demultiplexing continues to grow at a rapid rate in order to support
the aggregate bandwidth and low latency requirements of the current and future applications
[16]. One of the essential high performance and cost-effective devices needed to enable
widescale implementation of the WDMlDWDM systems and networks is the tunable optical
filter. Channel manipulations particularly in the channel selection require optical wavelength
selection since in the WDMlDWDM systems, each channel is related to different
wavelengths.
8
Chapter 1
Illtroduction
There are three basic mechanisms of wavelength filtering [16]:
Filters that based on the wavelength dependence of interferometric phenomena (e.g.
Fabry-Perot interferometer filters, Mach-Zehnder filters etc.)
Filters that are based on the wavelength dependence of coupling between the optical fields
(modes) induced by external perturbations. (e. g. acousto-optic and electro-optic filters)
Filters that are based on the resonant amplification of the optical signals in semiconductor
laser diode devices.
Of all these technologies, dynamic tuning range, number of channels (bandwidth), crosstalk
isolation, tuning speed, insertion loss, sidelobe suppression, control mechanism, size, mass-
production possibility and low cost are the important filter parameters that best fit in the
WDMIDWDM applications [17]-[18]. One of the most significant ways to control and
observe these filter parameters is to embed gratings in either the active or passive devices. By
doing so, an optical feedback system will then be obtained. Nevertheless, proper care needs to
be taken care during the design and fabrication process since it depends much on the types of
application.
1.4 Scope of the Thesis
The main theme of the work presented in this thesis is to investigate and design grating-
embedded optical tunable filters. In this thesis, we have concentrated on two types of grating-
embedded optical filters, namely active and passive optical filters. For the active optical
filters, attention is focused on distributed feedback (DFB) laser diodes (LDs) because of their
capability to filter a signal and amplify the filtered signal simultaneously. Among the passive
grating-embedded optical filters, fibre Bragg gratings (FBGs) as well as the long-period fibre
gratings (LPFGs) have been studied since they can be easily fabricated in the laboratory. An
experiment on the characterisation of the FBG and its tunability is also reported.
First, the basic principles and the relevant physics of the active grating-embedded
semiconductor laser is given in Chapter 2. On the basis of coupled-wave theory, the working
principles of the DFB-LDs are also introduced. In Chapter 3, the focus is on the basic
concepts and applications of fibre gratings - the passive grating-embedded optical filters.
9
Chapter 1
Illtroductioll
Based on the theoretical aspects dealt with in both Chapters 2 and 3, the detailed analyses and
designs of both active and passive grating-embedded filter are then outlined in the succeeding
chapters. In Chapter 4 the computation of first-order backward coupling coefficient using the
coupled-mode theory (CMT) and ray optics techniques (ROT) is compared. Using the ROT,
the coupling coefficient of a laterally tapered waveguide DFB-LDs is computed. Next,
Chapter 5, a method known as the Transfer Matrix Method (TMM) is introduced. Using the
TMM, threshold analysis of the DFB-LDs is carried out and a novel design of the wide
tunable multi section DFB-LDs amplifier filter proposed. In Chapter 6, both theoretical and
experimental analyses of the FBGs are reported. The effects of noise on the apodization and
chirped grating period of FBGs are looked into. This is followed by the investigations of the
temporal response of ultrashort pulse from the effect of noisy apodized and chirped FBGs. In
Chapter 7, we deal with the analyses of the LPFGs and give a new analytical closed-form
solution for cascaded LPFGs. A novel microbend sensor using the cascaded phase-shifted
LPFGs is also proposed. The concluding chapter contains a resume of the work and concludes
the suggestions for further research work on optical filters.
10
Chapter 2 A Review of Basic Principles of
Active Grating-Embedded Optical Filters
2.1 Introduction
The basic concepts of the distributed feedback (DFB) and distributed Bragg reflector (DBR)
semiconductor lasers are outlined in this chapter. The general absorption and emission of
radiation will also be discussed with the help of a two-level system. Next, the derivation of
eigenvalue equations by matching the boundary conditions inside distributed feedback (DFB)
laser cavities will be presented. Following this, the Transfer Matrix Method (TMM) will be
introduced and explored comprehensively since it has been mentioned that TMM is the
flexible method capable of handling different types of grating based waveguide structures
[19].
The invention of semiconductor diode lasers [20]-[24] along with their ability to be directly
modulated with information [25]-[26] and the invention of optical-fibre communication [27]
in the 1960s - 1970s have together had far-reaching effects on telecommunications leading to
extensive optical-fibre communication networks and systems [28]. The earliest semiconductor
diode lasers were straightforward and evolved slowly from a pulse-operated p-n
homojunctions formed in crystalline blocks of gallium arsenide (GaAs) or GaPxAs
1
-
x
[23]
with typical dimensions of the order of a few hundred microns to continuously operated (300-
K) double heterostructure (DR) in 1970 [29].
In fact, the semiconductor laser diode was chosen to play a key role in optical
communications because of its compact-size, suitable wavelength range, and high reliability.
The direct energy transition of the 111-V semiconductor compounds means that high quantum
efficiency in the conversion of electron-hole pairs to photons can be achieved, thus providing
a clear advantage over indirectly excited laser [30]. Furthermore, the compact laser diode can
be integrated monolithically with other circuit elements in optoelectronic integrated circuits
(OEIC) and photonic integrated circuits (PIC) [32]. In the late 1970s, semiconductor lasers
had advanced to where the double heterostructure had been developed resulting in reduced
11
Chapter 2
Principles of Active Optical Filters
threshold continuous wave (CW) emission. In addition advances in laser design includes the
breakthrough realisation of distributed feedback lasers.
Generally, semiconductor lasers, which operate in the near-infrared region, fall into two main
categories [33]:
(i) Gallium aluminium arsenide (GaAlAs) on gallium arsenide (GaAs) for emission from
780-850nm (short wavelength) and
(ii) Indium gallium arsenide phosphide (InGaAsP) on indium phosphide (InP) for
emission from 1100-1650nm (long wavelength)
The latter category is favoured in long-haul optical communication systems because they
cover the zero dispersion (1300nm) and minimum loss wavelengths (1550nm) of the optical
fibre. Besides, there is also the exclusive 980nm pump sources used in erbium-doped fibre
amplifiers, which has indium gallium arsenide (InGaAs) active layers on gallium arsenide
(GaAs) substrate [34].
Research in semiconductor laser diodes for communications has traditionally focused on
achieving stable single frequency operation, high output power and increasing direct
modulation bandwidth. However, as optical communications evolve into more complex
systems and networks, the additional functionality of laser diodes such as wavelength
conversion, routing, regeneration, multiplexingldemultiplexing, and tunability become just as
important [35]-[36].
fi55i0i?iJ Output
Figure 2.1-1 Function of an active tunable wavelength optical filter.
One of the key functionality of laser diodes, which has attracted many researchers and optical
engineers, is the multiplexingldemultiplexing (filtering) in WDMlDWDM lightwa e
cOlnmunication systems while providing signal gain and tunability. Tunable wavelength
12
Chapter 2
filters with narrow bandwidth are the key devices for these WDMlDWDM and photonic
switching systems. Basically, the tunable wavelength filters select one wavelength signal
from the wavelength-multiplexed signals and we can select whichever multiplexed signals by
tuning the filters can be selected as shown in Figure 2.1-1.
Narrow bandwidth (-O.lnm) and high tuning speed ( ~ l n s ) as well as wide tunability range
(>30nm) are the challenges in the research and development of optical filters. However, until
the present time, compromise is needed to compensate between the above-mentioned criteria.
Semiconductor wavelength tunable filters are suitable for high tuning speed applications
while bandwidth is approximately O.02nm; however, the tunability range is rather low.
2.2 Basic Principles of Semiconductor Lasers
When there is an interaction between light and matter, photons are used to explain discrete
packets of energy that may be released or absorbed by the system. The principle behind the
fundamental processes that occurs during light emission from the laser diode can be illustrated
using a simple two-level atomic system as in Figure 2.2-1 [32].
E-----
2
E----
2
E----
2
photon
electron
E
1
-----
E
1
- - - --
(a)
(b)
(c)
Figure 2.2-1 Fundamental optical process (a) absorption (b) spontaneous emission and (c)
stimulated emission.
As shown in Figure 2.2-1, the energy level, E
1
, corresponds to the ground state and 2
corresponds to the excited state. If a photon is incident on the atomic system, its energy may
be absorbed causing an electron in the ground state, 1, to rise to the excited state, 2. This is
referred to as stimulated absorption. If an electron is initially in the excited state, E2 (known
as inversion), it may suddenly make a transition to the ground state, E1 and its energy is
released in the form of a photon. This is referred to as spontaneous emission. The random
13
Chapter 2
nature of spontaneous emission results in incoherent radiation, i.e., the photons emitted have
no phase relationship between them and propagate in random directions.
The light emitted from the laser is predominantly caused by stimulated emission. This is when
an existing photon interacts with an excited electron causing it to return to the ground state,
and energy is released in the form of a second photon. The second photon has the same phase,
energy, polarisation, and propagation direction with the original photon. This accounts for the
coherent radiation from the laser.
2.2.1 Population inversion in semiconductor junctions
In a semiconductor material, the presence of valence and conduction bands separated by a
forbidden energy bandgap, E
g
, resembles the two distinct energy states of the simplified two-
level atomic system. There are generally three types of semiconductor material - i (intrinsic),
n-type and p-type. In the intrinsic semiconductor containing no impurities, the Fermi level, Ef,
is located at the centre of the bandgap. By doping the semiconductor material with donor and
acceptor impurities, the Fermi level can be raised above and lowered below the centre of the
bandgap to create n-type or p-type semiconductors, respectively. The n-type has more free
electrons and the p-type has more free holes. The most basic structure of a semiconductor
light source is the p-n homo junction formed by joining a p-type and n-type semiconductor
together as shown in Figure 2.2-2. As the majority holes in the p-type material tend to diffuse
towards the n-type material with majority electrons, a thin depletion region is formed in the
middle (i.e., the junction) through carrier recombination. The thin depletion region is free of
mobile carriers, and a built-in potential (V
D
) is created, which is directed from the n-type
toward the p-type to prevent further diffusion of mobile carriers. The probability of an
electronic state at energy E being occupied by an electron is governed by the Fermi-Dirac
distribution function,j{E), such that [38]:
(2.2-1)
where k is the Boltzmann constant, Tis the temperature in degrees K and Efis the Fermi level.
14
Chapter 2
p-type depletion layer
8 +8 ++8 e e
00 00
++++ + + +++
eee
+ + 8 8
0
00 +8 +++-++
-8
0
"Diffusion Dorce" :

on holes I Vo
I
I
I
n-type

- - -@-
-@=--@ - -
I
force"
: on electrons
I
I
Figure 2.2-2 The p-n homojunction.
The concept of the Fermi level is important in characterising the behaviour of
semiconductors. By substituting E = Ef in equation (2.2-1), the Fermi-Dirac distribution
function fCE
f
) becomes Y2. In other words, an energy state at the Fermi level has half the
chance of being occupied. Since there are many solid-state electronics textbooks, which
explain the basic properties of an equilibrium p-n junction [39]-[40], only some of the
important characteristics of the p-n junction shall be discussed.
Population inversion is the phenomenon when the population of electrons in the higher
energy state greatly exceeds that of the electrons found in the lower energy state before any
passing waves can be amplified. Nevertheless, this condition can never be satisfied at thermal
equilibrium. In order to form a population inversion along a semiconductor p-n junction, both
the p- and n-type materials must be heavily doped (degenerative doping) so that the doping
concentration exceeds the density of states of the band. It is where the doping is so heavy that
the Fermi level is forced into the energy band. As a result, the upper part of the valence band
of the p-type material (from the Fermi level Ef to the valence band edge Ev) remains empty.
Similarly, the lower part of the conduction band is also filled with electrons owing to heavy
doping.
Figure 2.2-3(a) shows the energy band diagram for such a heavily doped p-n junction. At
thermal equilibrium, any energy transition between the conduction and valence bands is rare.
However, by using an external energy source (e.g. voltage source), the equilibrium is
disturbed. This external biasing will enable more electrons to be pumped into the higher
energy state; population inversion is then said to be achieved. When a forward bias voltage
close to the bandgap energy is applied across the junction, the depletion layer formed across
the p-n junction collapses. As shown in Figure 2.2-3(b), the quasi-Fermi level in the
15
Chapter 2
conduction band, EFc, and that in the valence band, E
Fv
, are separated from one another under
forward biasing.
n-side
p-side

c
E _ ..... _rtl.
v ... __
(a)
n-side p-side
1 1
1 1
ED
r C 1 1
1
1
-.!
1
1
1
1..--
1
: Active region
(b)
Figure 2.2-3 Schematic illustration of a degenerate homojunction. (a) Typical energy level
diagram at equilibrium with no biasing voltage. (b) The same homojunction under strong
forward bias voltage.
2.2.2 Homojunction vs. double heterojunction
The most basic structure of a semiconductor light source, p-n homojunction has been
considered and discussed in section 2.2.1. The problem with p-n homojunctions is that it is
difficult to realise high carrier densities in the active region, resulting in low efficiency for
light generation. A semiconductor heterojunction is formed when two different semiconductor
materials (different bandgap) are brought into intimate contact and as such better carrier
confinement can be achieved. Heterojunctions can be formed using various combinations of
donor and acceptor doping in the wide- and narrow-bandgap materials. Reterojunctions in
which the types of dopant changes at the junction are called anisotype and if the dopant is the
same on both sides are called isotype. Since different semiconductor materials generally do
not have the same energy bandgap, there will be a discontinuity in the energy bands at the
interface. The discontinuity will then create a potential well at the interface in which an
accumulation layer of electrons or holes may be confined.
By using two such heterojunctions, the double heterojunction (DR) is formed as depicted in
Figure 2.2-4, with a thin active layer sandwiched between p-type and n-type semiconductor
layers with larger bandgaps. The acti ve layer where carrier recombination and light generation
take place also has a slightly higher index of refraction and acts as a dielectric waveguide for
16
Chapter 2
light confinement. It is the DH structure that has made the semiconductor laser practical for
its role in optical communication systems.
energy
refractive
index
D?e heterO
i
\
p-type I In-type
f ~ - = -_ -_-- ;:i--: \
I I conduction band
bandgap I I
I Vl+ + + + \J:
... I + + ++ + I
--'-----I'
valez band
I I
I I
I I
I I
dn Til f-----
l ~ ~ ~ ~ )
V
active layer
Figure 2.2-4 The double heterojunction (DH) laser for carrier and light confinement.
2.2.3 Single longitudinal mode (SLM)
As noted in the earlier section, electron transport in semiconductor lasers occurs between two
energy bands that consist a finite number of discrete energy levels. Nevertheless, instead of a
discrete energy transfer like the gaseous laser, semiconductor lasers are characterised by a
wider gain spectrum. In an inhomogeneously broadened laser, the gain spectrum may be
found to be several times wider than the longitudinal mode spacing. A clear example is in the
simplest type of optical resonator as the Fabry-Perot (FP) cavity, with cleaved facets
providing the optical feedback as shown in Figure 2.2-5. Photons escape from a cavity, which
has two partially reflected mirrors facing each other.
z=o
CLEAVED
FACETS
(MIRRORS)
GAIN MEDIUM
z=L
Figure 2.2-5 The Fabry-Perot (FP) laser cavity.
17
Chapter 2
Without any frequency discrimination, photons at any frequency could escape from the
cavity. As a result, we can observe several oscillation modes are observed, as depicted in
Figure 2.2-6, particularly when the photons are under rapidly pulsed operation.
modes
Maximum gain
fm .---- frequency
Gain curve
y(f)
Loss line
- - ~ ~ - - e - ~ ~ - - ~ - - ~ - - - - - - ~ ~ ~ ~ ~ ~ f
(q-2 (q
(a)
_---J '----oJ '----J '------J '--------J ' - - - - - - - t ~ f
(q-2 (q-J (q (q+l (q+2
(b)
Figure 2.2-6 (a) Possible gain profile of an inhomogeneously broadened laser. (b) The
resulting intensity spectrum [32].
The longitudinal mode spacing between each frequency component in the FP semiconductor
laser cavity is given as:
If = c (2.2-2)
2ngroupL
where c is the free space light velocity, ngroup is the group refractive index and L is the laser
cavity length. There are several methods to have a better control over the longitudinal modes
in the FP cavity. As shown in equation (2.2-2), the mode spacing can be increased by using a
shorter cavity. Nevertheless, a higher threshold current is expected and several longitudinal
modes may occur at severe modulation as well as wider spectral width [42]. The multiple
longitudinal modes correspond to the peaks or troughs of the standing waves produced by the
optical waves running back and forth with the FP cavity as shown in Figure 2.2-7.
18
Chapter 2
1 2 3 4 S-l S
~ ~
0 0
t:: t::
..... . ....
S S
refractive index, n
Figure 2.2-7 Standing waves of the longitudinal modes.
As to which one and how many of these longitudinal modes are lasing depends on the gain
spectrum of the active semiconductor material. The spectral dependence of material gain
selects the mode closest to its gain peak as the lasing mode as shown in Figure 2.2-8. In
practice, neighbouring modes on each side of the dominant lasing mode may also overcome
the threshold condition and carry a significant portion of the total power [43]. This is typical
for FP lasers, which are sometimes known as multimode lasers.
LOSS " . ------ ----- --- ---- ---- -- -- --- --: : -.- -, -.-: ------------ --------- -------- ------ ---
. .
. DOMINANT
GAIN
C U R ~ . .... '
~ LASING MODE
SIDE MODES
l ~ _ _ _ _ ~ y ~ _ _ ___ ) FREQUENCY
LONGITUDINAL MODES
OF COLD FP CAVITY
Figure 2.2-8 The wavelength selective mechanism of the gain spectrum.
2.2.4 Grating-embedded laser structures
Figure 2.2-9 illustrates the conventional reflective diffraction of a plane wave from a periodic
grating structure with elements spaced at a period A. An incoming plane wave is incident at
an angle 8
i
, and the "M-th order" diffracted plane wave emerges at the angle 8d.
Constructive interference between the diffracted waves emanating from adjacent elements of
the grating requires the condition:
A(sine,. - sine
d
) = MA
19
(2.2-3)
Chapter 2
The integer M = 0, + 1, +2, ... defines the order of the diffraction or the phase shift in
wavelengths between the diffracted waves from adj acent grating elements, and A is the
wavelength of the radiation.
angle of
diffraction
Grating Period
A
..........
B lazed Reflection Gratings
Figure 2.2-9 Bragg gratings in reflection.
As noted before, due to a Bragg grating selecting specific frequencies, it is sensible to
consider embedding a diffraction grating within the laser waveguide structure. This is
illustrated in Figure 2.2-10 with similar concept as in Figure 2.2-9, except that there are now
different refractive indices. Using the Huygen's principle for constructive interference from
'identical' points but at different periods of the grating, one requires the sum ( or difference) of
the optical path in radians to be integer multiplies of 2n.
Am2 I
Gratings
e.
1
/
2nM"
"
./., '4,..---- '
Wave-front I A I
Waveguide
Figure 2.2-10 Diffraction from grating embedded in laser waveguide.
In tenns of distances and the wavelengths appropriate to the different materials are depicted in
Figure 2.2-10:
20
Chapter 2
AsinB; AsinBd
----'-+ =M
AmI Am2
(2.2-4)
The integer M defines the diffraction order.
On applying equation (2.2-4) to a propagating optical mode in grating-based waveguide, the
angle of incidence Bj cannot be less than the critical angle for total internal reflection [47] Be
so that:
sinB; z sinBc =!2 = AmI (2.2-5)
n
l
Am2
where nI and n2 are the refractive indices in the central and outer regions of the waveguide,
respectively. Substituting equation (2.2-5) into equation (2.2-4) gives
sine
d
( -1) '" (2: -lJ (2.2-6)
where an integer p = A/(YzAm) defines the grating order. Due to the small differences in the
refractive index, we consider AmI Am2 Am, the effective wavelength in the waveguide. In
general, for a laser with feedback along the waveguide, Bd Bi is required.
From equation (2.2-6), using the equality sign, and sin B d = 1, the order p of the grating is
equal to the order M of the diffraction. Given the physical periodicity A of the grating, the
optimum free-space wavelength ABragg, which is the most strongly reflected wavelength is
called the Bragg wavelength and thus satisfies the Bragg condition:
(2.2-7)
where neff is a mean value (effective) of the refractive index in the waveguide and relates the
free-space Bragg wavelength ABragg with the corresponding waveguide wavelength
Am = (A Bragg jnefJ)' However, it is also possible to design gratings where sinB
d
(e.g. when
p = 2M) or sin B d is significantly less than 1 so that the diffracted wave is then radiated away
from the waveguide. The second-order grating where p = 2 of practical note because this can
be used to couple light from a laser out into the direction perpendicular to the junction to form
a surface-emitting laser [48]-[49]. Table 2.2-1 summarises the influence of grating order p
and diffraction order M on the feedback and radiation loss experienced by a propagating
mode.
21
Chapter 2
As noted in the Table 2.2-1, a first-order grating with a period of one-half a waveguide
wavelength provides optical feedback in the first diffraction order. In contrast, a second-order
grating radiates normal to the grating in the first diffraction order but provides feedback in the
second diffraction order. In general, feedback is obtained from a grating of order N in
diffraction order N, but diffraction orders intermediate between 0 and N will result in
radiation loss for such a grating.
Table 2.2-1 Summary of feedback and radiation loss from grating-based laser structures
Order of diffraction M=Q
M=l M=2 M=3
1 st-order grating, p = 1 Feed-forward Feedback
Radiation at
2
nd
-order grating, p = 2 Feed -forward Feedback
() ~ 9 0
d
Radiation at Radiation at
3
rd
-order grating, p = 3 Feed-forward
() d ~ sin -1 (-1/3) (}d ~ sin -1 (1/3)
Feedback
2.2.5 Distributedfeedback lasers & distributed Bragg reflector lasers
The gratings-based single frequency lasers are classified into two categories. If the active
layer and the gratings extend along the entire length of the laser cavity, the device will be
known as a distributed feedback (DFB) laser. On the other hand, if the gratings or feedback
sections are passive such that the gain region is located in a separate planar gain section, a
distributed Bragg reflector (DBR) laser structure is formed. Figure 2.2-11 illustrates the
structural differences between the DFB and DBR lasers.
In DBR lasers, the Bragg grating sections are separated from the active section where major
carrier recombination occurs. In other words, the frequency at which the grating section
reflects does not depend on the bias current, and hence a non-linear influence on the guided
refractive index (due to injected carriers) is rare and almost insignificant. Nevertheless, extra
etching processes during fabrication are needed for the additional use of end passive gratings
in the DBR lasers. Moreover, the effective length of the entire planar section, which is crucial
in deciding the oscillation frequency of DBR lasers, is very difficult to be controlled
precisely. Besides, the relative grating phases of the two Bragg reflectors becomes
unpredictable due to the tolerance inherited in fabrication. In general, the DBR lasers are
22
Chapter 2
more complex and effective measures are needed to tackle the problem of yield and
reliability. It is rather common to have anti-reflective coatings on the laser facets of DFB or
DBR lasers in order to suppress any possible FP mode in the grating structures.
injection current (I)
~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~
Distributed Feedback
active region
(a)
DBR reflector ~ c t i v e region DBR reflector
(b)
Figure 2.2-11 Schematic diagrams of a uniform grating (a) DFB laser diode and (b) DBR
laser diode.
In 1971, Kogelnik and Shank were the first to explain the working principle of a uniform-
grating DFB laser with perfectly anti-reflective facet coatings (also known as a conventional
DFB laser) [44] by using the coupled-wave theory. Subsequently the first DFB operating at
the room temperature (300K) under continuous wave (CW) was built in 1974 [45]. Normally,
in gratings-based lasers, the grating period A must be carefully chosen to satisfy the Bragg
condition:
mA
Bragg
A = ----==- (2.2-8)
2ngroup
where ngrollp is the usual group refractive index, ASragg is called the Bragg wavelength and m is
the Bragg order, which is an integer number.
23
Chapter 2
For a 1.55Jlm InGaAsP laser, with a first-order grating (m = 1), typical value of ngroup is 3.4
and A is 0.23 Jlm. Figure 2.2-12 shows the difference between the operation of FP and DFB
lasers. For DFB lasers, the longitudinal mode, which is found closest to the Bragg
wavelength, will lase, while other side modes that have larger losses are severely suppressed
as a wavelength/frequency dependent loss is introduced. The net gain difference, (or gain
margin) between the dominant lasing mode and the most probable side mode is found to be
much higher compared with the FP lasers.
...
J1
Fabry-Perot Laser
'//.
a,w
L active region
Loss

_____ __=_:c- - - - - - - .t - - A
Gain
-------r- Llg
Wavelength Single
Frequency
(a)
DFB Laser
Anti Anti
Reflective Reflective
Coatings Coatings
Loss

Gain
Wavelength Single
Frequency
(b)
Figure 2.2-12 The typical gain, loss and spectral profiles of (a) Fabry-Perot laser diode, and
(b) a distributed feedback (DFB) laser diode [19].
2.3 Modal Analysis of Waveguides
Without well-controlled waveguiding to confine the light to the region where the electrons
and holes recon1bine the n10st diode lasers and Bragg lasers in particular would not ha e
24
Chapter 2
achieved their pre-eminence as signal sources for communication systems. The waveguide
provides a stable platform for the electronic interaction even with changes in optical power.
There are many fine texts on guiding of electromagnetic waves [50]-[52] and many methods
for solving the problems if waveguiding ranging from finite-element and finite difference to
integral equations, series expansions, separation of variables, effective refractive index, beam-
propagation methods and slab-waveguide methods [53]-[54].
Figure 2.3-1 depicts a formal distinction between vertical and horizontal guiding. The terms
transverse and lateral variations are also commonly used in most of the literature texts for
vertical and horizontal guiding, respectively. The light is normally propagating along the
'longitudinal' z-direction (see Figure 2.3-1) and the terms vertical (transverse) and horizontal
(lateral) which are perpendicular to the z-direction.
longitudinal variation of intensity
y
x
z intensi
Figure 2.3-1 Vertical and horizontal variations
In Figure 2.3-2, the outer cladding or confining layers have a slightly lower refractive index
than the active or gain layer (n
J
> n
2
Z n
3
). The layers act as a slab waveguide confining the
photons closely around the active layer through the action of total internal reflection (TIR).
The simple optical-ray illustration is shown in Figure 2.3-2 (a). A guided ray has to propagate
at a sufficiently shallow angle to the active region, and from Snell's law, the angle of
incidence () > () .. I' therefore we have
erlf/ca
(2.3-1)
25
Chapter 2
Here I1n = n
l
- n
2
and n
2
= n) . The angle, shown in Figure 2.3-2 (a) is
= (1[/2-0)< COS-I
(2.3-2)
where n is the mean index. GaAs has a refractive index of 3.6, corresponding to n
l
, and
Gal-xAlxAs is lower by I1n ::::: 0.66x , typically x = 0.4, so I1n is about 0.26 [55].
optical intensity
n
2

n
1
active layeJ
n3
(a) (b)
Figure 2.3-2 Ray and intensity for confinement of optical fields to an active layer (a) Ray
optics illustration (total internal reflection) and (b) Field or modal picture.
2.3.1 Index and gain guiding
We have briefly discussed the concepts where one views the light, propagating along the layer
of dielectric, as plane electromagnetic waves in Appendix A. In order to keep our analyses
clear, only nonmagnetic material, with relative permeability J1,., sufficiently close to unity, is
considered. The complex refractive index n = nr + jni and the complex relative permittivity
C
r
= crr + jCri of the material are found to be related by n
2
= Cr' For a plane wave in a
uniform nonmagnetic slab of such a material, the wave propagates as exp{j(wt - fJz )}exp(gz)
where:
(2.3-3)
so that f3 = nrw/c and g = niw/c. There is a unique value of f3 and g for each cr(w), which
in other words depends on the angular frequency, w.
Lasers in which the optical modes are confined because of the lateral variations of refractive
index are known as index-guided lasers. For index-guided lasers, there are several layers of
different materials with a range of real optical refractive indices n
r
. The entire concept of a
mode within a waveguide is that there is a single axial propagation coefficient f3 over the
entire cross section of the waveguide and we have to solve the guiding problem matching the
field boundary conditions between each layer. Nevertheless, equation (2.3-3) can be written in
a form of more helpful manner
26
Chapter 2
(2.3-4)
with an effective value of complex relative permittivity representing the average effects of the
waveguide through a complex refractive index neff = (n
reff
+ jn
iejf
)= (Sreff y/2. For the case
where there is neither gain nor loss, neffis purely real and g = O.
In the analysis, the gain is considered as a perturbation in the refractive index so that
n
reff
n
ieff
(2.3-5)
with n
reff
:: (srreff)V2 and n
ieff
- sieff /2n
reff
. For an 'ideal' laser, the guided transverse profile of
the laser's optical fields should not significantly alter as the gain increases. The interaction
between fields and charge carriers should then simply be proportional to gain without serious
non-linearity over a useful range of power levels.
Consequently, in the early years, the transverse guiding was often provided primarily by the
gain, namely gain-guided lasers because it is the lateral variation of the optical gain that
confines the optical mode to the strip vicinity [56]. Here, the injected current is restricted to
flow only within a central narrow region in the active region, and lateral optical confinement
is provided by the optical gain itself. Gain-guided lasers typically have threshold currents of
lO-lOOmA [32], [56].
In mathematical analysis, layers of complex permittivity with different gaIns provide
reflections of the waves in a similar way to the reflections provided by layers of different real
permittivity, but the physics of gain and index guiding rely on fundamentally different
principles. Whenever a beam of light is confined to a finite area, the beam diffracts as it
propagates and expands after a few wavelengths unless there is some compensating
mechanism to maintain the confinement of the optical energy to a constant area.
In index guiding, the diffracted light is reflected back into the main stream in the right phase
through TIR, but in gain guiding this diffraction loss is compensated by the generation of light
as it propagates through an active medium with gain. The narrower the waveguide, the greater
the diffraction loss and thus allowing for greater gain in the material. It follows that layers,
which only have changes in the optical loss, cannot guide stable propagating light because
there is no gain to compensate the diffraction loss.
27
Chapter 2
In gain guiding, the gain changes as the electron density changes and the complex interactions
between light, current drive and electron density. It means that lasers, which rely on weak
gain waveguides, tend to be less stable under changes of operating conditions. Indeed, a laser
can be particularly sensitive to varying combinations of index and gain guiding and in early
lasers, this led to instabilities or 'filamentation' in the transverse structure [57].
2.3.2 Effective area and confinement factor
The significant parameters for laser design so that the optical mode remains close to the
region where the optical gain (i.e. where electrons and holes recombine the most) is strongest,
are the effective area A occupied by the optical fields and the confinement factor r. If there
are forward and reverse propagating fields with negligible gain, the electric field, E will be:
(2.3-6)
then flo is determined for a given mode from equation (2.3-4). The phase difference between
the forward, R and reverse, S waves is arg{R/ S) = . Then the local field intensity exhibits
standing waves with a periodicity Am/2 of the form:
E * E = u(x, y)* u(x, Y){R * R + S * S + 21RSI cos(2floz + 2)}
(2.3-7)
Here Am is the wavelength in the waveguide. Initially, the periodic changes of intensity might
be thought to react with the charge carriers, and set up periodic changes to the optical gain in
the active region. However, in general, these standing waves have little effect because
diffusion of the charge carriers along the length of the waveguide smoothes out and greatly
reduces any impressed periodicity in the electron density. Over one whole optical wavelength,
the product term IRSlcos(2floz + 2) normally averages to have zero effect.
As depicted in Figure 2.3-3, the modal pattern u(x, y) may be normalised to have a peak
value lu(x y = 1 permitting definition of an effective area for the mode in the waveguide
, JI peak
to be given from:
A = fflu(x,y t dxdy
(2.3-8)
28
Chapter 2
W
eff, vert

A
1
Figure 2.3-3 Effective area schematic.
The equivalent average optical density Sphotons of the photons in this area may then be given
from the stored electromagnetic energy:
(R * R + S * s) ff&rreff (aJ
o
)&olu(x, Y dxdy =naJ
o
A S photons
(2.3-9)
The optical gain of the material may now be introduced from the imaginary part n
i
(x, y) of
the refractive index. The gain is confined to the active region, which occupies an area r A
where the electrons and holes recombine. The density of photons, Sphotons interacts with the
material gain per unit distance gm only within the active region and r is known as the
confinement factor, given as:
R * R + S * s f f active area {aJ n
i
(X, y)/ c y 2 dxdy = naJOr g mAS photons (2.3-10)
A specific value for the confinement factor r is determined by taking gm to be the peak value
of {aJ n
i
(x, y)/ c} and taking A S photons as determined from equation (2.3-9). A slab
waveguide, which is used to confine plane electromagnetic waves in one dimension, provides
an instructive starting point for optical waveguiding to determine u(y) and &reffin one plane for
a particular mode.
2.4 CoupJed-Wave Equations
As noted in section 2.2.4, grating or corrugated-induced dielectric perturbation leads to
coupling between the forward and backward propagating waves. There are ample approaches
such as Bloch wave analysis [58] , Rouard's method [59] , and coupled-wave theory [44] [60]
which have been adopted to analyse the wave propagation in periodic structures. Here the
29
Chapter 2
coupled-wave theory will be discussed and applied. This is because it eases understanding,
and numerical algorithms could be implemented to solve the equations [61].
In a homogeneous, lossless, and source-free medium, any time harmonic electric field must
satisfy the vector wave equation
(2.4-1 )
where the time dependence of the electric field is assumed to be e
jm
( , n is the refractive index
and ko is the free-space propagation constant.
In a semiconductor laser, which has a transversely and laterally confined structure, the electric
field must satisfy the one-dimensional homogeneous wave equation such that [19]
(2.4-2)
We shall consider a multi -dielectric stack in which periodic corrugations are formed along
one boundary, as shown in Figure 2.4-1.
d .
y
d
y+h
y
G
l
~ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
~ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ~ ~
Figure 2.4-1 General multi-dielectric layers.
The material complex permittivity in each layer is denoted by GN, while h and A are the height
and the period of the corrugation, respectively. From equation (2.3-4), for the corrugation
waveguides, where there is neither gain nor loss, the wave propagation constant p(z) when
the corrugations extending along the longitudinal direction is given as:
30
Chapter 2
fl 2 (z) = {))2 {U
0
8
reff
{()) )8
0
}
(2.4-3)
When the radiation frequency is sufficiently close to the resonance frequency, equation
(2.4-3) becomes [62]:
p'(z) = {I + j (2.4-4)
where n{z) and a{z) are the refractive index and the amplitude gain coefficient, respectively.
Within the grating region, (dy y < d
y
+
h
), a perturbation is introduced along the longitudinal
direction of the waveguide. The refractive index and the amplitude gain coefficient will be:
(2.4-5)
and
a{z) = a
o
+ l1acos{2floz + Q + e)
(2.4-6)
neff and a
o
are the steady-state (dc) values of the effective refractive index and amplitude
gain, respectively. I1n and l1a are the amplitude modulation terms, Q is the non-zero
residue phase at the z-axis origin and flo is the propagation constant. In addition, e has been
considered as the relative phase difference between the perturbations of the refractive index
and the amplitude gain.
Ray-Optics (Geometrical-Optics): Ray optics is the simplest theory of light in which light is
described by rays that travel in different optical media in accordance with a set of geometrical
rules. Using this simple theory, the ray propagation shall be studied in a periodic and lossless
waveguide. It is assumed that there is an incident plane wave entering the waveguide at an
angle <1>, as shown in Figure 2.4-2. The propagation constant of the wave in the waveguide is
assumed to be flo. Note that at every periodic interval A, the incident wave will experience the
same degree of refractive index change so that the incident wave will be reflected in the same
direction.
31
Chapter 2
x
z
Figure 2.4-2 Ray-optics illustration to explain Bragg condition in a periodic waveguide.
For a waveguide that consists of N periodic corrugations, there will be N reflected wavelets.
In order for the reflected wavelets to add up in phase (interfere constructively), the phase
difference between these reflected wavelets must be an integer of 2n. This yields:
(2.4-7)
where m is an integer (m = +1, 2, 3, ... ). Given for example the incident wave now
approaches more or less at a right angle to the wavefront in which <D ~ n12, the equation
(2.4-7) becomes:
(2.4-8)
This phase matching condition is also known as Bragg condition and the flo at this condition is
called the Bragg propagation constant. Thus we shall use fl Bragg to represent the Bragg
propagation constant. Note that equation (2.4-8) is similar to equation (2.2-7). Consequently,
the integer m shown in equation (2.4-8) defines the order of the Bragg diffraction. Throughout
our analysis, we assume first-order Bragg resonance (m = 1) since it will provide feedback as
shown in Table 2.2-1. Since a laser forms a self-sustained resonant, the Bragg condition must
be satisfied [44]. Rearranging equation (2.4-8) and match with the equation (2.2-7), we have:
27m eff _ neff ()) Bragg _ 7r
fl Bragg = A = = A
Bragg C
(2.4-9)
where A and ())B refer to the Bragg wavelength and the Bragg frequency, respectively.
Bragg ragg
From equation (2.4-9), the Bragg propagation constant fl Bragg is inversely proportional to the
32
Chapter 2
period of the physical grating, A. By altering the grating period A, the Bragg wavelength can
be shifted accordingly.
Using the small signal analysis, the perturbations of the refractive index and gain in equations
(2.4-5) and (2.4-6) are assumed to be smaller than their average values, which is:
neff a
o
(2.4-10)
Thus, substituting both equations (2.4-5) and (2.4-6) into equation (2.4-4), will yield:
fJ2{Z) = + j2koneffao +2ko[koneff +
+ cos(2fJ BraggZ + n + ())
But koneff = fJeff and a
o
< fJ , the above equation turns out to be:
fJ2 (z) :::::: fJ 2 + j2fJ a + 2fJ + J' e
jO
]e
A2
,BBra
gg
z+
n
)
eff eff 0 eff A 2
+ 2 P'lf [ + j i'<.2
a
e
jO
} -
where the cosine terms is replaced in phasor forms.
If () = 0, the equation (2.4-12) becomes [61]:
fJ
2 ( ) 2. . a] ( )
Z :::::: fJeff + 2JfJeffao + 4fJeff T + JT cos 2fJBragg
Z
+ n
(2.4-11)
(2.4-12)
(2.4-13)
Subsequently by collecting all the perturbed terms, a new parameter is introduced as [44],
[63], [64]:
(2.4-14)
This parameter can generally be classified to real and imaginary components in which the real
part, K; signifies all contributions from the refractive index perturbation whilst the imaginary
part, Kg covers all aspects from the gain perturbation. This complex parameter K is known as
the coupling coefficient. The coupling coefficient is often defined as the fraction of the source
power coupled into the reflected power where the latter is caused by the refractive index or
gain perturbation or both. Equation (2.4-14) will then becomes:
fJ2 (z) fJeff 2 + 2jfJeffao + 4KfJeff cos(2fJ Bragg
Z
+ n) (2.4-15)
Substituting the above equation into the wave equation (2.4-2),
33
Chapter 2
(2.4-16)
where here the cosine function has been expressed in phasor fonn would be the end result. A
trial solution of the scalar wave equation could be a linear superimposition of two opposing
travelling waves such that:
E{z) = A{z)e -jPunperturbed
Z
+ B{z )ejPunperturbedZ
(2.4-17)
where the complex propagation constant for the unperturbed structure,
Punperturbed with
~ n = a = 0 (i.e. K = 0) is:
~ (Pelf + ja
o
)2 (-: a
O
Pelf )
(2.4-18)
In equation (2.4-17), A{z) and B{z) are the complex amplitude of the forward and backward
propagating waves [61]. From equation (2.4-18), the trial solution of the scalar wave equation
(2.4-17) can also be expressed in tenns of the real propagation constant, Pef!' as:
E{z) = A{z )e
aoz
e -jPeff
z
+ B{z)e -aoz ejPeffz
= C{z )e -jPeff
z
+ D{z )ejPeffZ
(2.4-19)
In order to satisfy the Bragg (phase-matching) condition, the actual propagation, Pef!, should
be sufficiently close to the Bragg propagation constant, PBragg, so that the absolute difference
between them should be much smaller than the Bragg propagation constant. So,
(2.4-20)
We define the difference between the two propagation constants as the detuning factors or
detuning coefficient, 6:
6 = Pelf - P Bragg
(2.4-21 )
Therefore the trial solution can be expressed in tenns of the Bragg propagation constant such
that:
E{z) = C{z)e -& e -jPBragg
Z
+ D{z )e& ejPBraggZ
= R{z)e -jPBraggZ + S{z )ejPBraggZ
(2.4-22)
where R{z) and S{z) are now the new complex amplitude tenns of the forward and backward
propagating waves.
If the grating period, A, in a DFB semiconductor laser is fixed, the Bragg propagation
constant will be fixed too, according to equation (2.4-9) and is assumed to be constant over
34
Chapter 2
the cavity of the DFB laser. Substituting equation (2.4-22) into equation (2.4-16), another
form of the trial solution of the scalar wave equation would be the end result.
(R"-2jf3BraggR'-f3 Bragl?- + + 2jf3elfaoR
+ (S"+2j'/3 S'-f32 S + fJ2 S + 2j'/3 a S \_iPBragg
Z
Bragg Bragg elf elf 0 r (2.4-23)
+ 2Kf3elf (e2iPBraggZ e
in
+ e -2iPBragg
Z
e-in ). (R e - iPBragg
Z
+ SeiPBraggZ )= 0
where R' and R" are the first- and second-order derivatives of R, respectively with reference
to z. Similarly, S' and S" are the first- and second-order derivatives of S, respectively with
reference to z. With a "slow" amplitude approximation, high order derivatives like R" and S"
become negligible when compared to their first-order terms.
-: +(a
o
- j5)R = jt<Se-
JO
(2.4-24)
dS ( . s:)S . __ D -in
- + \a
o
- ju = jlV\.e
dz
(2.4-25)
When all the e-iPBragg
Z
phase terms propagating along the positive z direction, equation
(2.4-24) applies, whilst equation (2.4-25) gathers all the eiPBraggZ phase terms propagating
along the negative direction. Since 181 I3elf' other rapid changing phase terms such as
ei
3
PBra
ggZ
have been dropped. Equations (2.4-24) and (2.4-25) are called coupled-wave
equations and are based on the assumption of:
- fJ - 13 = 8 (2.4-26)
213 elf Bragg
Bragg
For a non-zero relative phase difference between the refractive index and the gain
perturbation (i.e. () *" 0), there is:
dR { . S:)R . S -in
- - + a
o
- j u = j K RS e
dz
dS ( . s:)S . R -in
- + a
o
- j u = j K SR e
dz
where
. i8
K SR = K j + j Kg e
(2.4-27)
(2.4-28)
(2.4-29)
(2.4-30)
in which K is known as the forward coupling coefficient that induces the negative travelling
RS
electric field S{z) to couple in the counter propagating field, R{z) and vice versa for K SR '
which is known as the backward coupling coefficient. Contrary to FP lasers, where the optical
35
Chapter 2
feedback originates from the laser facets, optical feedback in DFB semiconductor lasers
occurs continuously along the active layer cavity where corrugations are fabricated.
2.4.1 Purely index-coupled DFB laser diodes
When the coupling of the DFB semiconductor lasers is solely generated by the refractive
index, it is called the purely index-coupled DFB laser diodes. Most of the practical DFB
semiconductor lasers belong to this type. This is shown in Figure 2.4-3 in which a single layer
of corrugation is fabricated above (or below) the active layer.
Figure 2.4-3 A simplified schematic diagram for purely index-coupled DFB semiconductor
lasers (refractive index profile).
The amplitude gaIn of the DFB lasers will not be affected because most of the carrier
recombinations are confined along the active layer. Thus, with Kg = 0, the forward and
backward coupling coefficients are related by [61]:
K
RS
= KSR = K; (2.4-31)
F or proper guiding, n
1
> n
2
> n3 .
2.4.2 Mixed-coupled DFB laser diodes
Consequently when the corrugation layer is contrived on the upper part of the active layer, as
depicted in Figure 2.4-4, the DFB semiconductor laser is said to show a mixed coupling
characteristics [65]-[66]. The active layer thickness becomes a periodic function along the
longitudinal direction and the result is the optical confinement factor. With a periodic
modulation of the optical confinement factor, the amplitude gain along the longitudinal
direction will be modified and so the gain-coupling is induced [67].
36
Chapter 2
Figure 2.4-4 A simplified schematic diagram showing a mixed-coupled DFB semiconductor
laser diode.
Due to the fact that refractive index and gain-coupling are induced by the same corrugation,
the relative phase, 8 of the K
j
and Kg is assumed to be equal. As such there is:
K RS = KSR = K j + jK g (2.4-32)
In mixed-coupled DFB lasers, a large number of non-radiative recombination centres were
introduced during the fabrication of the corrugation layer. Since the corrugation layer has
direct contact with the active layer, such an increase in non-radiative recombination centres
implies an enormous increase in the threshold current. In addition, the performance of the
mixed-coupled lasers deteriorates rapidly as the temperature increases. Therefore, the mixed-
coupled lasers are not favoured by the laser designers.
2.4.3 Gain-coupled (loss-coupled) DFB laser diodes
In practice, it is rather difficult to achieve purely gain-coupled DFB devices with only a single
layer of grating. Nevertheless, Luo et. al. reported that the effect of the index coupling can be
cancelled out by fabricating a second-layer of grating on top of the mixed-coupled DFB
lasers, as shown in Figure 2.4-5 [68].
Owing to the direct modulation of the active layer thickness, the actual gain-coupling
coefficient may fluctuate according to the injection current. For such purely gain-coupled
structures (Kj = 0), both forward and backward coupling coefficient become purely imaginary
and thus:
K
RS
= K SR = jKg
(2.4-33)
The relative phase difference between the index and gain-coupling becomes insignificant
since the index-coupling is cancelled.
37
Chapter 2
EW/Z7ZT////7/Z
Figure 2.4-5 A simplified schematic diagram showing a purely gain-coupled DFB
semiconductor laser diode.
On the contrary, a periodic variation of loss can be fabricated in order to realise purely gain-
coupled characteristics. These structures are known as loss-coupled DFB laser diodes in
which the optical confinement factor remains constant whilst the lossy cavity is a periodic
function of z. However, the loss-coupled structures result in higher threshold current due to
additional loss and hence cause them to be unattractive to the researchers and engineers.
2.5 The Coupling Coefficient
As noted in the earlier section, both refractive index and/or gain vary along the longitudinal
direction z. These effects are represented by the coupling coefficient K RS and K SR' which
determine the waves feedback capability due to the presence of corrugation. From equation
(2.4-14), the coupling coefficient has been defined with respect to the changes in the
refractive index and gain such that:
(2.5-1)
However, on the basis of a general perturbation of the relative permittivity, the coupling
coefficient is directly related to the shape, depth and period of the corrugation.
Starting with the time harmonic vector wave equation as in equation (2.4-1):
(2.5-2)
where & is the relative permittivity and ko = (j)/ c is the free space propagation constant. There
is a major difference between a normal dielectric planar waveguide and a corrugated
waveguide. Given that the conugation is extended in the longitudinal direction, the relative
pemlittivity of the conugated region of the laser can be expressed as:
38
Chapter 2
S(x, y, z) = Sini(X, y)+ y, Z) (2.5-3)
in which Sini (x, y) is the average relative permittivity of the transverse x-y plane and /::,.S is a
perturbation term, which is zero everywhere except for the corrugated region.
Assuming TE mode excitation only and following the equation (2.4-19), a general solution of
the vector wave solution is:
(2.5-4)
,..
where } is the unit vector along the junction plane for the TE mode, fief! is the mode
propagation constant with reference to the effective refractive index and U(x, y) is the field
solution along the transverse x-y plane. Note that this trial solution is slightly different from
the one, which is derived in the previous section. The field distribution can be obtained by
solving
d
2
U d
2
u 2
-2 + -2 + [sini (x, y)k
o
- fief! ]U = 0
dx dy
(2.5-5)
with appropriate boundary condition.
With a clear definition of width and the thickness of the active layer, a single mode oscillation
along the transverse plane is assumed. The amplitude coefficients e and D become z-
dependent under the influence of the perturbation term If Sini is assumed, it is
unlikely that the field distribution U(x, y) will be affected and so it is made separable from
the longitudinal component of the field solution. Substituting equation (2.5-4) into equation
(2.5-2) and assume a "slow" variation of e and D. Then multiplying the resulting equation by
U(x, y) and integrating over the transverse x-y plane, the result will be:
de -)'p Z dD )'p Z - jko
2
ff ( )u2 ( )
-e eff +-e eff = x,y,z X,y
m m (2.5-6)
.[ee -iPeff
z
+ DeiPeffz
where
(2.5-7)
is the mode intensity for the unperturbed planar waveguide. Throughout our analysis, only
index coupling is assumed so that /::,.S is real. Since the perturbed term is a periodic
function of z, it could be expanded in Fourier series as [69]-[70]:
39
Chapter 2
(2.5-8)
where Aq#o (x, y) is the qth harmonic Fourier coefficient that depends on the shape, depth and
period of the corrugation. When q = 0, a z-independent function is formed, which equals to
the average relative permittivity term, Gini' Substituting equation (2.5-8) into equation (2.5-6)
and equating coefficients with the exponential terms ejf3ejJz, obtain:
where
dC . *D j20z
-=-jK e
dz
dD .. .f' -j2oz
- = -jK.L-e
dz
8 = fJ eff - fJ Bragg
m1r
= fJeff-A
(2.5-9)
(2.5-10)
(2.5-11 )
in which 8 is the detuning factor and m is the order of the Bragg diffraction. In the analysis,
other higher order phase terms have been neglected. K and K * are the complex conjugate
pair that can be written as:
f f Aq#o U 2 (x, y)dxdy
ffU
2
(x,y )dxdy
(2.5-12)
Note that when the coupling coefficient K vanished, the coupled-wave equations could be
satisfied by any z-independent function. However, due to the material gain characteristics
inside the laser cavity, an additional term is added to both equations (2.5-9) and (2.5-10).
Thus, these equations become:
dC = -j'K * De
j20Z
+ a C
dz s
(2.5-13)
dD .. -r' -j2oz D
dz = - j K.L-e - as
(2.5-14)
where the amplitude gain coefficient, as is appended and these pair of equations look
distinctive compared with equations (2.4-24) and (2.4-25) since a different trial solution has
been used in solving the wave equation.
40
2.6 Summary
In this chapter, the operational principles of lasers, in particular the semiconductor laser, are
outlined. It is important to note that in order to build a self-sustained oscillator like a laser, it
is important that the condition of population inversion is satisfied and an optical resonator is
formed. The simplest optical resonant cavity, Fabry-Perot semiconductor laser has limited
applications due to its broad gain spectrum. It is noted that in order to gain a stable single-
mode, the favoured technology is to incorporate some form of Bragg gratings. The
fundamentals of gratings are also highlighted. With built-in periodic corrugations along the
direction of propagation, an SLM operation becomes feasible in the DFB as well as DBR
semiconductor lasers. The built-in corrugation acts as an optical bandpass filter so that only
frequencies with components near the Bragg frequency are allowed to pass. The operational
principles of DFB LDs are explained with the help of coupled-wave equations. We can
classify the DFB semiconductor lasers into three types namely purely index-coupled, mixed-
coupled and purely gain or purely loss-coupled structures. The magnitude of the coupling
coefficient and hence the optical feedback depends on the corrugation and the active layer
dimension.
41
Chapter 3 Fibre Gratings: Basic Concepts
and Applications
3.1 Introduction
The fundamentals of the fibre gratings are presented in this chapter. This provides the
foundation for understanding the properties of fibre gratings. The Transfer Matrix Method
(TMM) is introduced in this chapter to solve the coupled-mode theory. This helps better
understanding of the additional theory provided in Chapter 6 and 7. This is followed by a
brief description on the photorefractivity and photosensitivity in optical fibre.
The development of optical fibre technology was a critical milestone in the global
telecommunications and information technology revolution. The ability to communicate
worldwide on demand would not have been possible without the development of low-loss
silica fibre as a broadband medium for transporting voice, video, and data traffic [71]-[73]. At
the time the laser was invented in 1958, it was already recognised that communication using
lightwaves offered immense potential, however it took some twenty years before a practical
medium capable of transporting light pulses around the world was developed.
Recently, optical fibres have been developed to the point where they are now synonymous
with modem telecommunication and optical sensor networks. Much of the success of optical
fibre lies in its near ideal properties: low transmission loss, high optical damage threshold,
huge bandwidth and low optical nonlinearity. Figure 3.1-1 depicts the attenuation of a
standard optical fibre as a function of wavelength. As we can see in the first window, the early
technology made exclusive use of the 800-900nm wavelength band. Nevertheless, with the
advent of the material science and technology, optical fibres with very low-loss in the 1100-
1600nm region began to dominate by reducing the concentration of hydroxyl ions and
metallic impurities in the fibre material. This spectral band is referred to as the long-
wavelength region and comprised of two windows; the second window, centred on 1310nm
and the third window, centred on 1550nm.
42
Chapter 3 Fibre Gratings
However, a major drawback to the evolution of optical fibre-based networks has been the
reliance on bulk optics for conditioning and controlling the guided light beam. The necessity
of coupling light out of the waveguides is an inherently lossy process. Moreover, coupling
light in and out of fibre significantly increases the number of high quality bulk optic
components, often requiring stringent tolerance on optical alignment, thus making
conceptually simple systems complicated and expensive in reality. This causes scientists and
engineers, who play critical roles in the explosion and proliferation of optics, to find ways to
design more in-fibre components in order to reduce the coupling loss in an inexpensive way.
Pint
window
100
SO
Eady 1970.
20

10
j
5.0

i
2.0
1.0
O.S
0.2
0.1 L-__ ...I:2Z<:z.u:L_...L-__ _ __'
600 800 1000 1200 1400 1600 1800
Wavelength (nm)
Figure 3.1-1 History of optical fibre attenuation as a function of wavelength.
Of all these components, fibre gratings are one of the in-fibre components, which are
becoming very important in the lightwaves technology. In fact, grating-based structures in
guided wave optics have long been recognised as being very crucial because of their
integration with fibres and the large number of device functions that they can facilitate. It is
simply an optical diffraction grating, and thus its effect upon a lightwave incident on the
grating at an angle 8
1
can be described by the familiar grating equation based on ray optics
analysis:
43
Chapter 3
Fibre Gratings
'f) 'f) A,
n
2
SIn 2 = n
l
SIn I + rn-
A
(3,1-1)
where B2 is the angle of the diffracted wave and the integer rn determines the diffraction order.
n; and n2 is the medium index of refraction (refer to Figure 3.1-2). Equation (3.1-1) shows
only the directions B2 into which constructive interference occurs, but it is not capable of
determining the wavelength at which a fibre grating most efficiently couples light between
two modes. Fibre gratings can be broadly classified into two types: fibre Bragg gratings
(FBGs) and long period fibre gratings (LPFGs) depending on the magnitude of the gratings
period.
- - -
Figure 3.1-2 The diffraction of a lightwave by a grating (Ray-optics illustration), where A is
the grating period.
3.1.1 Fibre Bragg gratings (FBGs)
With the significant discovery of photosensitivity in a germanium-doped optical fibre, at the
Canadian Communication Research Centre in 1978 by Ken Hill et al. [74], a new class of in-
fibre component has been developed called the fibre Bragg gratings, FBGs (also known as
reflection gratings). These passive components, essentially wavelength-selective mirrors
written non-invasively into the core of an optical fibre, were seen as a laboratory curiosity.
Nevertheless, these simple low-loss devices have become critical building blocks in the
world's lightwave communications infrastructure [75] since they can perform many primary
functions, such as filtering, diffraction and reflection, in a highly efficient and low cost
nlanner. Until now, rapid progress continues in terms of both the fabrication and the
applications of the FBGs, which includes performing tasks as diverse as dispersion
compensation multiplexing/demultiplexing; optical add-drop in dense wavelength-division
44
Chapter 3
Fibre Gratings
multiplexing (DWDM) systems; optical fibre sensor field; gain fl attening as well as pump-
laser stabilisation in optical amplifiers.
In fact, a FBG is a comparatively simple device and in its most basic form consists a periodic
modulation of the index of refraction along the fibre core as shown in Figure 3.1-3. For
conventional FBGs, the periodicity of the index modulation has a physical spacing that is one
half of the wavelength of light propagating in the waveguide. Thus, the grating period, A for
FBGs is about 0.1/-lm - 1.0/-lm. It is the phase matching (which shall be discussed in detail
later) between the gratings planes and incident light that results in coherent back reflection.
Back reflectivities approaching 100% would be possible, with the grating bandwidth C1'A
tailored from typically 0.1nm to an excess of 100nm. These characteristics make Bragg
gratings suitable for telecommunications where they are used to reflect, filter, or disperse
light.
n
core
! ~
$&n\?ii
y
(IIIIII!!IIIIII]
Reflected light Incident light Modulated index of refraction
n cladding Transmitted light
(a)
)' Incident Light
Reflected Light
Transmitted Light
Intensity
Intensity Intensity
,
Wavelength
Wavel ength Wavelength
(b)
Figure 3.1-3 (a) A schematic representation ofa fibre Bragg gratings (FBGs), with the planes
of the modulated index of refraction shown along with the reflected and transmitted light
beams where n
core
and n cladding is the fibre core index and fibre cladding index respectively. (b)
A typical spectral response from a fibre Bragg gratings with the peak of the spectral changes
occurring at the Bragg condition.
3.1.2 Long-periodjibre gratings (LPFGs)
In 1996, A. M. Vengsarkar et. al. have presented another new class of fibre gratings, namely
long-period fibre gratings. LPFGs (also known as transmission gratings) that function as
45
spectrally selective loss elements [76]-[77] as shown in Figure 3.1-4 (a). This photoinduced
LPFGs produce interesting notch filters with important applications, in particular, as gain
equalisers in fibre amplifiers, as band-rejection filters in lasers, as fibre sensors of strain,
temperature etc., and to alter the spectra of broadband sources. Their success stems from their
low insertion loss and flexibility in filter shape design. LPFGs couples light from a guided
mode into forward-propagating cladding modes. Thus, the back reflectivities are indeed very
weak and in fact negligible. That is the reason the LPFGs is also known as the transmission
gratings.
A typical LPFGs has a period, A, in the hundreds of microns, a length of about 1-3cm, and an
index modulation depth of 10-
4
or greater. Besides, LPFGs have a fairly broad stop
bandwidth, compared with fibre Bragg gratings (FBGs) which have small stop
bandwidth As shown in Figure 3.1-4 (b), the transmitted light exhibits multiple
dips (resonance), which shows the induced power exchange between the fundamental fibre
core mode (HEll) and the corresponding cladding mode of the fibre to occur [78]. However,
in practical LPFGs, the spectral separation between the resonant peaks are wide enough as
compared to the bandwidth of individual peak (high finesse), as such coupling to other
cladding modes can be neglected in simulating the spectrum. Hence, when calculating the
spectrum of LPFGs, only the coupling between the fundamental core mode to vth order
cladding mode is considered in which the phase matching (detuning) condition is satisfied
(shall be discussed in detail). Note that in general the cladding propagation mode of a fibre is
very difficult to measure, therefore we shall analyse the core mode intensity for the remainder
of the work.
46
Chapter 3
Fibre Gratillgs
Cladding propagating light { ~ ~ ~ .
-
y ' ~ neore
Incident light Modulated index of refraction ncladding
T
Y d- l' h
ransll1ltte Ig t
(a)
)' Incident Light
Cladding Propagating Light
Transmitted Light
-
Intensity
Intensity
Intensity
,
Wavelength Wavelength
Wavelength
(b)
Figure 3.1-4 (a) A schematic representation of a long-period fibre grating (LPFG), with the
planes of the modulated index of refraction shown along with the reflected and transmitted
light beams where ncore and ncladding is the fibre core index and fibre cladding index
respectively. (b) A typical spectral response from LPFG with the peak of the spectral changes
occurring at the phase-matching condition in which mode coupling occurs.
3.2 Photorefractivity and Photosensitivity
Photorefractivity refers to a phenomenon usually ascribed to crystalline materials that exhibit
a second-order nonlinearity by which light radiation can change the refractive index by
creating an internal electric field [79]. In contrast, photosensitivity in optical fibres often
refers to a pennanent change in the index of refraction or opacity induced by exposure to light
radiation with the internal field playing an insignificant role. Initially, photosensitivity was
thought to be a phenomenon only associated with optical fibres having a large concentration
of gennanium in the core and photo cited with 240-250nm ultraviolet (UV) light.
As time goes on, photosensitivity has been observed through photo excitation at different uv
wavelengths in a wide variety of different fibres, many of which do not have gennanium as
the only dopant and some of which contain no gennanium at all. There are numerous
examples in the literature of photosensitivity in a wide range of fibres, such as fibres doped
with europium[80], cerium [81] and erbium:gennanium [82], which show varying degrees of
photosensitivity in a silica host optical fibre. The addition of various co-dopants in
gennanosilicate fibre has also resulted in photosensitivity enhancement. Therefore, it is
apparent that photosensitivity is a function of various mechanisms (photochemical,
47
Chapter 3
Fibre Gratings
photomechanical, thermochemical etc.) and the relative contribution will be fibre dependent,
as well as intensity and wavelength dependent. Nevertheless, germanium-doped optical fibre
remains one of the most important materials for the fabrication of devices utilising
photosensitivity.
In short, the precise origins of photosensitivity and the accompanying refractive index change
have yet to be fully understood. It is clear that no single model can explain all the
experimental observation results. In this thesis, photosensitivity in optical fibre refers to a
permanent change in the index of refraction of the fibre core when exposed to light with
characteristic wavelength and intensity that depends on the core material.
3.2.1 Photosensitivity in silicon-based optical fibres
Photosensitivity of optical fibres has been closely correlated with the concentration of
germanosilicate, GeO defects in the core [83]. These defects are caused by imperfection of
chemical reactions between the reactive gases such as silicon/germanium tetrachloride and
oxygen. Thus, the deposited chemicals will form a proportion of suboxides and defects within
the glass matrix. The number of these defects generally increases as a function of Ge
concentration. Observations that give further insight to the photosensitivity of fibres are the
growth dynamics of the gratings, as they are exposed to UV radiation. This is a rather
complex issue as there are many types of fibres, different UV radiation bands, and laser power
available.
3.2.1.1 Type I Bragg gratings
There are three distinct dynamic regimes in fibre gratings [84]. The first regime, which is
commonly referred to as a Type I Bragg gratings, applicable to the internally and externally
written Bragg gratings, corresponds to a monotonic increase in the amplitude of the refractive
index modulation. This temporal evolution of the index of refraction change is observed in
most photosensitive fibres under either continuous wave (CW) or pulsed UV irradiation.
More specifically, this classification refers to gratings produced with 1 OOmJ/cm2/pulse or in
other words, the fibre gratings formed at low intensities are generally characterised to as Type
I gratings. It is interesting to note that the reflection spectra of the guiding mode IS
complementary to the transmission signal, implying that there is negligible loss due to
48
Chapter 3
Fibre Gratings
absorption of reflection into the cladding layer. Furthermore, due to the photosensitivity type
of the Bragg grating, the grating itself has a characteristic behaviour with respect to
temperature erasure. Type I gratings can be erased at relatively low temperatures
(approximately 200C). Nevertheless, Type I gratings are the most utilised Bragg gratings and
operate effectively from -40C to +80C; a temperature range that satisfactorily covers most
telecommunications and sensor applications.
3.2.1.2 Type IIA Bragg gratings
Another dynamic regime of gratings, which is known as Type IIA gratings is formed in non-
hydrogen-loaded fibres thus far. These gratings are formed at low power densities or with
pulsed lasers after long exposure. The characteristics of Type IIA gratings appear to have the
same spectral as Type I gratings. The transmission and reflection spectra are complementary,
rendering this type of grating indistinguishable from Type I gratings in static condition.
However, there are some distinguishable features, which are noticeable under dynamic
conditions observed either in the initial fabrication or the temperature erasure of the gratings.
Type IIA gratings are inscribed through a long process, following Type I grating inscription
[85]. Therefore Type IIA gratings are not very practical to fabricate. An obvious advantage of
the Type IIA over the Type I gratings is the dramatically improved temperature stability of the
gratings, which proves very useful if the system is exposed in high ambient temperatures.
3.2.1.3 Type II Bragg gratings
The third dynamic regime of gratings, Type II gratings, corresponds to irradiation at energy
level greater than 30mJ [86]. Physical damage is caused in the fibre core on the side of the
writing beams. This will then be accompanied by a large change in the refractive index
modulation estimated to be close to 10-
3
and therefore is possible to write high-reflectivity
gratings with a single laser pulse. Energy of the order of 50-60mJ can destroy the optical
fibre. The sudden growth of the refractive index will cause a large short-wavelength loss due
to the coupling of the guided mode to the radiation field.
The gratings generally tend to have an irregular reflection spectrum due to the
nonuniformities in the laser beam profile that are strongly magnified by the highly non-linear
response of the glass core. Besides, the reflection appears to be broad in which wavelengths
longer than the Bragg wavelength will be passed through, whereas shorter wavelengths are
49
Chapter 3
Fibre Gratings
strongly coupled into the cladding. Results of stability tests have shown Type II gratings to be
extremely stable at elevated temperatures ( ~ 8 0 0 C ) [86]. This superior temperature stability
can be utilised for sensing applications in hostile environments.
One of the most attractive features of Type II gratings (as with Type I gratings) is that highly
reflective gratings can be formed in just a few nanoseconds, the duration of a single excimer
pulse. This is of great practical importance for large-scale mass production of strong gratings
during the fibre drawing process before application of the protective polymer coating. One
distinct advantage of producing fibre Bragg gratings during the drawing process is that with
in-line fabrication, we can avoid potential contact with the pristine outer surface of the glass.
Off line fabrication requires a section of the fibre to be stripped off its UV absorbing polymer
coating in order for the gratings to be exposed. This will drastically weaken the fibre at the
site of the gratings due to surface contamination even if the fibre is subsequently recoated.
3.2.2 Hydrogen loading (hydrogenation)
Lemaire et. al. were first to report a simple, alternative, but highly effective approach for
achieving very high UV photosensitivity in optical fibres using low temperature treatment
prior to the UV exposure [87]. In fact, the presence of molecular hydrogen has been known to
induce increases in the absorption loss of optical fibres since the early day of optical fibres.
Apart from being a nuisance in submarine systems in which hydrogen seeps into the fibre,
causing a loss that increases with the time of exposure, cold high-pressure hydrogen soaking
has led to germanium-doped fibre with the highest observed photosensitivity.
Initially, the fibres are soaked in hydrogen gas at temperatures rangIng 20 - 75C and
pressures from --20 atm (latm ,.." 100kPa) to more than 750 atm, which results in diffusion of
hydrogen molecules into the fibre core. Subsequent exposure to UV or intense heat (e.g. a
flame or a CO
2
laser) causes the dissolved H2 to react in the glass, typically at Ge sites,
resulting in large permanent index change in the fibre core. In excess of 95%, equilibrium
solubility at the fibre core can be achieved with room temperature treatment. Permanent
changes in the fibre core refractive index of as high as 0.01 are possible. One advantage of
hydrogen loading is that this technique has shown itself to be applicable to any Ge02 doped
fibre, and does not require the use of fibres made with high dopant levels or other special
50
Chapter 3
Fibre Gratings
processing techniques. In addition, in the unexposed fibre sections, the hydrogen diffuses out,
leaving negligible absorption losses at the important optical communication windows.
As noted before, the presence of hydrogen has been shown to increase the absorption loss in
optical fibres over a long period of time. It is known that the hydrogen reacts with the oxygen
to form hydroxyl ions. The increase in the absorption at the first overtone of the OR vibration
at a wavelength of 1.27J..lm was clearly manifested by the broadband increase in loss in both
the 1300-nm and to a lesser extent, in the 1500-nm windows. Another effect of hydrogen is
the reaction with the Ge ion to form GeR, considerably changing the band structure in the UV
region. These changes, in tum, influence the local refractive index. The reaction rates have
been shown to be strongly temperature dependent. An atmosphere of hot hydrogen during the
collapse process or hot hydrogen soaking of fibres enhances the GeO defect concentration.
Thus, the highest refractive index change induced by UV radiation is undoubtedly in cold
hydrogen soaked Germania fibre [87].
3.2.3 Flame brushing
Flame brushing is a simple and effective technique for enhancing the photosensitivity in
germanosilicate fibre [88]. The photosensitization introduced through flame brushing is
achieved with a negligible loss at the important high-transmission communications windows.
The region of the optical waveguide to be photosensitised is brushed repeatedly by a flame
fuelled with hydrogen and a small amount of oxygen, reaching a temperature of -1700C.
The photosensitization process takes approximately 20 minutes. At these temperatures, the
hydrogen diffuses into the fibre core very quickly and reacts with the germanosilicate glass,
creating a strong absorption band at around 240nm and rendering the core highly
photosensitive. The flame-brush technique has been used to increase the photosensitivity of
standard telecommunication fibre by a factor greater than 10, achieving changes in the index
of refraction >10-
3
. M. Fokine & W. Margulis have reported a large increase in
photosensitivity of germanium-doped silicate fibres by rapid heat treatment of hydrogen-
loaded fibres at -1000C before exposure of the fibres to radiation [89]. This is the effect of
deliberately creating a massive amount of hydroxyl in the core of the fibre; a procedure
referred to as OR flooding.
51
Chapter 3
Fibre Gratings
In fact, the enhanced photosensitivity techniques of flame brushing and hydrogenation is
based on the same concept. In both cases, hydrogen is used in a chemical reaction with
germanosilicate glass. The formation of Bragg gratings in flame-brushed germanosilicate
fibres undoubtedly involves both thermal and photolytic mechanisms, except that in this case
the thermally driven chemical reactions occur simultaneously as the hydrogen diffuses into
the core at the elevated temperatures.
There are several advantages in enhancing fibre photosensitivity by flame brushing. The
increased photosensitivity in the fibre is permanent, as opposed to hydrogen loading where
the fibre loses its photosensitivity as the hydrogen diffuses out of the fibre. It allows strong
Bragg gratings to be fabricated in standard telecommunication fibres that typically exhibit no
intrinsic photosensitivity. However, one major drawback of this technique is that the high
temperature flame weakens the fibre, which has serious implications for the long-term
stability of any device fabricated using this approach.
3.2.4 Co-doping
The addition of various co-dopants in germanosilicate fibre has also resulted in
photosensitivity enhancement. In particular, Boron co-doping can lead to a saturated index
change ,..,,4 times larger than that obtained in pure germanosilicate fibres. A comparison of the
relative photosensitivity of four different types of fibres including boron co-doping is given in
Table 3.2-1 [90].
Table 3.2-1 Relative Photosensitivity for Four Different Fibres.
Saturated index
Maximum Time for
Fibre Type Fibre An reflectivity for reflectivity to
modulation
2mm gratings saturate
Standard Fibre
0.005
3.4xl0-
5
1.2% - 2 hours
- 4 mol% Ge
High index fibre -
0.03 2.5xl0-
4
45% - 2 hours
20 mol% Ge
Reduced Fibre
0.01
5x 1 0-
4
780/0 - 1 hour
- 10 mol% Ge
52
Chapter 3
Boron co-doped
fibre
~ 15 mol% Ge
0.003
Fibre Grati1lgs
7xl0-
4
95% ~ 10 min
The results show that the fibre containing boron is much more photosensitive than the fibre
with higher germanium concentration and without boron co-doping. In addition, saturated
index changes are higher and are achieved faster than for any other fibres. This indicates that
there is an additional mechanism operating in the boron co-doped fibre that enhances the
photoinduced refractive index changes.
3.3 Preservation of the Index Change
When the index change associated with the photosensitivity occurs, the major contributing
factor to erasure of this change (other than energy coinciding with the UV -writing band) is
temperature, strain, and external sources of radiation. The factor most often encountered is
temperature-related erasure, for example, the energy traps associated with defect centres can
be thermally excited, leading to partial or full removal of the index change. The thermal
energy can also result in a structural change of the glass (fibre) properties. However, the strain
needed to erase the index change in an optical fibre far exceeds the breaking strain of the host
material and therefore, cannot significantly alter the permanence of the UV -induced index
change. In the case of external radiation, one must be extremely careful to avoid exposure to
high radiation doses that can lead to changes in all the material properties. Maintaining
photoinduced index change will essentially depend on three factors: the initial writing
wavelength, the presence of co-dopants, and the strain distribution in the fibre. The relative
contributions determine the underlying mechanism that dictates the physical properties, which
govern the in-fibre photosensitivity and determine the grating type.
3.4 Properties of Fibre Gratings
In this section, various properties that are characteristics of fibre Bragg gratings (FBGs) as
well as long-period fibre gratings (LPFGs) will be explained briefly. First, an examination of
the wavelength-dependent properties such as the reflection and transmission spectral profiles
will be done. Next, the theory of fibre gratings will be discussed in the following section.
53
Chapter 3
Fibre Gratings
3.4.1 Simple Bragg gratings
As noted earlier, the simplest form of a fibre Bragg grating consists of periodic modulation of
the refractive index in the core of a single-mode optical fibre. These types of uniform fibre
gratings, where the phase fronts are perpendicular to the fibre's longitudinal axis and with
grating planes having constant period are considered the fundamental building blocks for
most Bragg grating structures. Light, guided along the core of the fibre, will be scattered by
each grating plane. If the Bragg condition is not satisfied, the reflected light from each
subsequent plane becomes progressively out of phase and eventually cancelled out.
Additionally, light that is not coincidental with the Bragg wavelength resonance, will
experience very weak reflection at each of the grating planes because of the index mismatch -
this reflection accumulates over the length of the grating. In contrast, when the Bragg
condition is satisfied, the contributions of the reflected light from each grating plane add
constructively in the backward direction to form a back-reflected peak with a centre
wavelength defined by the grating parameters. This is analogous to a volume hologram or a
crystal lattice diffracting X-rays.
The Bragg condition is simply the requirement that satisfies both energy and momentum
conservation. Energy conservation (n(j)backward = n(j)incident) requires that the frequency of the
incident radiation and the reflected radiation is the same. Whereas the momentum
conservation requires that the incident wavevector, kincidenh plus the grating wavevector, K,
equal the wavevector of the scattered radiation kbackward. This simply stated as:
k incident + K = k backward
(3.4-1 )
where the grating wavevector, K, has a direction normal to the grating planes with a
magnitude 21r/ A (A is the grating period/spacing shown in Figure 3.1-2). The diffracted
wavevector is equal in magnitude, but opposite in direction, the incident wavevector. Hence,
the momentum conservation condition becomes:
2( 27m eff J = 21r
ABragg A
(3.4-2)
which simplifies to the first-order Bragg condition:
(3.4-3)
54
where the Bragg wavelength, ABragg, is the free space centre wavelength of the incident light
that will be reflected from the FBGs, and neff is the effective refractive index of the fibre core
at the free space centre wavelength.
3.4.2 Reflectivity and transmissivity
Fibre Bragg gratings (FBGs) are normally produced by exposing an optical fibre to a spatially
varying pattern of ultraviolet intensity. Here, we assume for simplicity that this process causes
a perturbation to the effective refractive index neff of the guided mode( s) of interest, described
by:
(3.4-4)
where neff is the "dc" index change spatially averaged over a grating period along the fibre
core. t5n
eff
(z) is the amplitude of the induced refractive index perturbation along the fibre
(typical values 10-
5
to 10-
3
) and z is the distance along the fibre longitudinal axis. A is the
grating spacing (grating period). For a step-index profile fibre, an induced index change
bncore(z) is created uniformly across the fibre core. Thus, we find that t5n
eff
(z) == r t5n core (z)
where r is the fibre core power confinement factor. Figure 3.4-1 shows the confinement
factor, r and the normalised effective index, b where b = (n:O- - - for
the LPOI mode of a step-index fibre versus the normalised frequency V
( V (2
"fr/ ':l)a n 2 n 2 where a is the core radius). For a more detailed mathematical
= '" /l, core - cladding
modal analysis of optical fibre, please refer to Appendix B.
55
Chapter 3
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
o
I
I
I
I
I
I
I
I
I
I
I
I
1
/
/
I
2
...-
:/
'.
/:
I
I
I
/
/
/
/
/
I
Fibre Gratillgs
--
--
,,-
,
,/
,/
/'
/'
/
/
I r - - - - - - - - - - - - - - - - - - - - - - - ~
I
I
I
I
I
: I
: I
3 4 5
LP
01
mode
LP
11
mode
Single-mode region
Confinement Factor, r
6 7 8 9
Normalised Frequency, V
10
Figure 3.4-1 Normalised effective index, b for both LP
o1
and LP
11
together with the core LP
o1
confinement factor, r versus the normalised frequency Vof a step-index fibre.
Using the coupled-mode theory of Lam and Garside [91] that describes the reflection
properties of a Bragg grating (shall be discussed in detail), the reflectivity of a grating with
constant modulation amplitude and period is given by the following expression:
R(L ,,1,)= K2 sinh
2
(yL)
, 5 2 sinh
2
(yL)+y 2 cosh
2
(YL)
(3.4-5)
where R(L,,,1,) is the reflectivity that is a function of the grating length L and wavelength A. K
is the coupling coefficient, 5 = 27mefJ / A, -tr/ A is the detuning wavevector and y2 = K2 - 52 .
The coupling coefficient, K, for sinusoidal variation of index perturbation along the fi bre axis
if given by:
tr5n
efJ
K= r
A
56
(3.4-6)
Chapter 3
Fibre Grati1lgs
where r is the fraction of the fibre mode power contained by the fibre core which can be
approximated by 1- V
2
, where V is the normalised frequency of the fibre as mentioned before.
At the Bragg grating centre wavelength, there is no wavevector detuning and 6= O. Therefore,
the expression for the reflectivity becomes:
(3.4-7)
The reflectivity increases as the induced index of refraction change increases. Similarly, as the
length of the gratings increases so does the resultant reflectivity. However, the back
reflectivities of the fibre gratings will reach 100% when the normalised coupling coefficient,
TeL, increases till approximately 5 as depicted in Figure 3.4-2.
0.8
~
~
~
~
.6
0.6
.,....;
:>
.,....;
.......
<.)
~
~
~
~
"d
0.4
CJ:J
.,....;
......
ro

0
Z
0.2
o 1 2 3 4 5
Normalised Coupling Coefficient, d
Figure 3.4-2 Reflectivity at the Bragg wavelength versus the normalised coupling coefficient,
d.
57
Fibre Gratillgs
A calculated reflection and transmission spectrum as a function of the wavelength is shown in
Figure 3.4-3. The side lobes of the resonance are due to multiple reflections to and from
opposite ends of the grating region. Both the transmission and reflection power obeys the
energy conservation law, assuming the fibre is an ideal circular waveguide. The sine spectrum
arises mathematically through the Fourier transform of a harmonic signal having finite extent;
an infinitely long grating would transform to an ideal delta function response in the
wavelength domain. A general expression for the approximate full-width half-maximum
(FWHM) bandwidth of a grating is given by [92]:
= ABragga + (3.4-8)
2nejf N
where N is the number of the grating planes. a is the taper parameter (a 1 for strong
gratings, a'" 0.5 for weak gratings).
For the conventional uniform fibre Bragg gratings (FBGs), the reflection spectra behaves like
a bandpass filter, which causes it to be more attractive than the transmission spectra in
telecommunication applications.
58
Chapter 3
Fibre Gratillgs
1.5496 1.5498 1.5500 1.5502 1.5504
Wavelength, A (J.lm)
Figure 3.4-3 Reflection and transmission spectrum of fibre Bragg gratings (FBGs) as a
function of wavelength.
3.4.3 Strain and temperature sensitivity of Bragg gratings
The effective index of a propagating mode in a fibre is both temperature and strain sensitive.
The functional dependence of the mode index is given by the relationship:
onelT onelT
on = _ "_1 I1T + _ "_1 11
ejJ oT o
(3.4-9)
where on
ejJ
/oT is the temperature coefficient of refractive index, I1T is the temperature
change, on
ejJ
/0 is the longitudinal stress optic coefficient and 11 is the applied longitudinal
stress.
Subsequently, the Bragg grating resonance, which is the centre wavelength back-reflected
light fron1 a Bragg grating, depends on the effective index of refraction of the core and the
periodicity of the grating. However the effective index of refraction, as well as the periodic
59
Chapter 3
Fibre Gratings
spacing between the grating planes, will be affected by changes in strain and temperature.
From equation (3.4-3), the shift in the Bragg grating centre wavelength due to strain and
temperature changes is given by:
(
ane aAJ (an aAJ
= 2 A -a ff + neff - + 2 A ---.!!L + n ff -
c ac aT e aT
(3.4-10)
The first term in (3.4-10) represents the strain effect on an optical fibre. This corresponds to a
change in the grating spacing and the strain-optic induced change in the refractive index. The
above strain effect term may be expressed as [93]:
= ABragg (1- pJc
z
(3.4-11)
where Bz is the tensor strength along the fibre and Pe is an effective strain-optic constant
defined as:
2
Pe = n; [P12 - V(Pll + P12)]
(3.4-12)
PI I and PI2 are components of the strain-optic tensor, and v is the Poisson's ratio. For a
typical germanosilicate optical fibre, PI I = 0.113, PI2 = 0.252, and nefJ= 1.482. There will be a
discussion on the effects experimentally and the application usage in Chapter 6.
The second term in equation (3.4-10) represents the effect of temperature on an optical fibre.
A shift in the Bragg wavelength is expected due to the thermal expansion changes, the grating
spacing and the index of refraction. The fraction wavelength shift for the temperature change
be written as [93]:
(3.4-13)
where a A = (1/ A X aA/ aT) is the thermal expansion coefficient for the fibre (approximately
0.55 x 10-
6
for silica). The quantity aneJ! = (1/ neff Xan
eff
/ aT) represents the thermo-optic
coefficient, which is roughly equal to 8.6 x 10-
6
for the germania-doped, silica-core fibre. It is
apparent that any change in wavelength, associated with the action of an external perturbation
to the grating is the sum of strain and temperature terms. Therefore, in sensing applications
where only one perturbation is of interest, the deconvolution of temperature and strain
becomes necessary.
60
Chapter 3 Fibre Grati1lgs
3.4.4 Other properties of fibre gratings
When the fibre gratings are formed under conditions, which the modulated index change is
saturated under UV exposure, then the effective length will be reduced as the transmitted
signal is depleted by reflection. As a result, the spectrum will broaden appreciably and depart
from a symmetry sinc or Gaussian shape spectrum in which the width is inversely
proportional to the grating length as shown in Figure 3.4-4. The spectrum broadens under
continuous exposure because the incident wave is completely reflected before reaching the
end of the gratings [94]. The strongly saturated gratings are no longer sinusoidal, and the peak
index regions are flattened. Besides, the side lobes are also strongly reflected.
.0
......
;>
......
til
til

... / ',/ \ 1 \ , , '\ /
\
/ \ , I ' \ /
I
, I I
oJ \ " ""
\ " I' :
\ I , I , I
\ I , I \ I
\1 , I \J
0.8
I I
I I
, I
I I
, I
......
S 0.6
til
g

"0
o
til
0.4

o
Z
0.2
, I
, I
I I
, I
, I
, I
, I
, I
, I
, ,
,
\ I !!in = 1.5x 10-
4
\ I -4
\ / - - - !!in = 3.0 xl 0
\ I
'---""
o. 0
1.5496
1.5498
1.5500
1.5502 1.550
Wavelength, It
Figure 3.4-4 Transmission spectra for FBGs under two different index modulation conditions.
Another interesting feature, which is observed in strongly reflecting gratings with large index
perturbations, is the small-shape spectral resonance on the short wavelength side of the
grating centreline. This is due to self-chirping from f1neJAz). However, it can be overcome if
the average index change is held constant or adjusted to be constant by a second exposure of
the gratings.
61
Chapter 3
Fibre Gratings
The fibre gratings will also couple dissimilar modes in reflection and transmission, provided
the two following conditions are satisfied:
Phase matching condition
Sufficient mode overlap in the region of the fibre that contains the grating.
Thus, fibre gratings are usually being classified to two types: Bragg gratings (also known as
reflection and short-period gratings), in which coupling occurs between the modes travelling
in opposite directions; and transmission gratings (also known as long-period gratings), in
which the coupling is between modes travelling in the same direction.
The phase matching condition, which ensures a coherent exchange of energy between the
modes in which we may rewrite from equation (3.1-1) for guided modes, is given by [94],
[95]:
(3.4-14)
where the mode propagation constant, 13 is simply 13 = (21r/ A)neff where neff = n
core
sinO.
Figure 3.4-5(a) illustrates reflection by a mode with a bounce angle of OJ into the same mode
travelling in the opposite direction with a bounce angle of O2 = -OJ. For the first-order
diffraction, which usually dominates in the fibre gratings, m = -1. This condition is illustrated
on the 13 axis shown below the fibre. The solid circles represent the fibre core bound modes
(ne/adding < neff < n
core
), the open circles represent cladding modes (1 < neff < ne/adding), and the
hatched regions represent the continuum of radiation modes. Negative 13 values describe
modes that propagate in the -z direction. From equation (3.4-14) and assuming 132 < 0, the
resonant wavelength for the reflection of a mod of index neff, j into a mode of index neff, 2 is:
Aresonant = (neff,} + neff, 2 )A (3.4-15)
If the two modes are identical, a similar result for the Bragg reflection as in equation (3.4-3),
A = 2neffA shall be obtained.
62
Chapter 3 Fibre Grati1lgs
m= -1 m=O
fJ2 = -fJI ( 1) 2lr
~ - -
~ .. ... .................... ........... .................. .. ................................................. ............... ............................. .
~ ~ ~
o 2,. 27mcladding 27mcore
A. A. A.
(a)
- -
Fibre cladding
Fibre core fJ2 ~ (-1) 2:
~ .. ........................... fJI
~ ~ ~
o
2lr 27mc/ar/r/ing 27m
core
A A A
(b)
Figure 3.4-5 Ray-optics illustration of (a) core-mode Bragg reflection by fibre Bragg gratings
and (b) cladding-mode coupling by long-period fibre gratings.
Consequently, diffraction by a transmission grating of a mode with a bounce angle of 8
1
into a
co-propagating mode with a bounce angle of 8
2
is illustrated in Figure 3.4-5(b). In this
diagram, the first mode is a fibre core mode while the second is a cladding mode. Since
/32 > 0, from equation (3.4-14), the resonant wavelength for a transmission grating is as:
(3.4-16)
The above equation clearly shows that for co-propagating coupling at a given wavelength a
much longer grating period, A is required than for counter-propagating coupling. In addition,
we can design tilted or blazed gratings by adjusting the grating pitch, A along the fibre axis
provided that the phase matching condition is satisfied.
63
Chapter 3
Fibre Gratings
3.5 Fibre Gratings Theory
Recent developments in fibre and integrated optics fabrication methods have resulted in the
capability of producing a myriad of periodic and aperiodic structures, thus it has become
necessary to carefully model these structures. In parallel with the interest in such structures,
several methods have been developed for the analysis of the field propagation in corrugated
structures. The most widely used of these techniques is the coupled-mode theory [96] where
the counter-propagating fields inside the grating structure obtained by convenient perturbation
of the fields in the unperturbed waveguide, are related by coupled differential equations.
However, the coupled-mode theory was initially developed for uniform gratings. Fortunately,
Kogelnik extended the model to cover the aperiodic structure [97]. As discussed in Chapter 2,
the coupled-mode approach in the most general case and for complicated grating structures,
involves the numerical solution of two coupled differential equations since analytic solutions
are only possible for the uniform gratings.
Matrix methods such as the effective index method (ElM) [98] and the transfer matrix method
(TMM) [99] have also been developed for the purpose of grating analysis. In the effective
index method, the grating is divided into sections with the length of each one being much
smaller than the smallest value of the corrugated period. The fields are computed inside each
section, under the hypothesis that the refractive index remains constant. The electric field s in
each section are impedance matched to those of its proceeding and succeeding sections,
yielding a matrix relationship between the fields at the left and right part of each section. A
global matrix will then be obtained from the multiplication of the individual matrices of its
sections, and this characterises the overall structure. This approach is suitable for integrated
optic gratings where the maximum structure lengths are of the order of a few millimetres.
However, this technique requires excessive computation time for fibre gratings where the
structure lengths are typically in the centimetre range.
In the transfer matrix method, the designed grating is divided into sections, with the length of
each division being much bigger than the largest period of the corrugation. Furthermore, the
index variation in each of these sections is such that they can be considered a uniform grating,
and an overall structure is characterised by a global matrix obtained as the product of the
64
Chapter 3
Fibre Gratings
individual matrices. This approach is suitable for periodic and aperiodic structures, as well as
for long gratings.
There are other techniques, which have also been developed for analysing corrugated
structures. These include Rouard's method in thin-film design for the characterisation of
waveguide gratings [100] as well as Frolik and Yagle who have developed an elegant
discrete-time approach based on digital signal processing (DSP) formulation for the analysis
of periodic gratings. The advantage of the DSP formulation is that fast algorithm may be
employed in analysing the grating response for an arbitrary structure and the inverse problem
of the determination of the grating structure from its response. This formulation also includes
all multiple reflections, scattering and absorption losses, which constitutes an exact grating
description.
Another alternative approach is the Bloch wave approach. Optical Bloch waves are the
eigenmodes of the periodic media in the same way as plane waves are the natural modes of
free space propagation. It is interesting to compare the philosophies behind the coupled-mode
and Bloch wave approaches. The latter involves solving the dispersion relation first in order to
obtain the full set of permitted normal modes for the periodic medium. The modes that are
excited by matching to the incident plane wave spectrum along the boundaries are then
identified. The coupled-mode approach attempts a "one-stage" system solution, the
interpretation of which can be difficult. Nevertheless, our works will be based on the coupled-
mode theory as the necessary background theory and utilising the transfer matrix method to
solve the coupled-mode equations. The following sections are the continual discussions of the
theory elaborated in Chapter 2.
3.5.1 Coupled-mode theory
As noted in Chapter 2, the coupled-mode theory is often used as a technique for obtaining
quantitative information about the diffraction efficiency and spectral dependence of fibre
gratings. It is the technique used for analysing corrugated devices throughout the entire piece
of work of this thesis, mainly due to its simplicity and accuracy in modelling the optical
properties of grating device [43]. There are mainly two types of coupled-mode equations
involved in fibre gratings: co-directional coupling (for long-period fibre gratings) and contra-
directional coupling (for fibre Bragg gratings).
65
Chapter 3
Fibre Gratillgs
In fibre gratings, coupling occurs between the incident waves and the co-
propagating/reflected waves. It is analogous to the motion of two-coupled oscillators, such as
the two-coupled pendulums illustrated Figure 3.5-1. When there is no spring connecting the
two pendulums, they oscillate independently of each other. If the masses and lengths are
identical, the characteristic oscillation frequency is the same for both pendulums. However,
when a spring is added between the two, the pendulums are no longer decoupled, for example,
at time t = 0, the right pendulum is at rest in its relaxed position while the left pendulum is in
motion. The energy will be observed to slosh back and forth between the pendulums,
gradually moving from left to right and back so that at some later time, T, the left pendulum
will be at rest while the right one is in motion. After a time of 2T, all of the energy will again
be transferred back to the left pendulum.
The motion of the coupled pendulums can be analysed in tenns of the nonnal modes of
oscillation of the system. As depicted in the lower portion of Figure 3.5-1, there are two
nonnal modes of oscillation for the coupled pendulums: the symmetric mode in which both
pendulums oscillate in the same direction, and the asymmetric mode in which the pendulums
oscillate in opposite directions. (Note that if the pendulums were dissimilar, the nonnal modes
of the system would no longer be strictly symmetric or asymmetric, but the system would
nonetheless have two nonnal modes.) When the system is in one of its nonnal modes, all parts
of the system oscillate in synchronism with the same frequency. When the spring connecting
the pendulums is very weak, the oscillation frequency for the asymmetric mode is only
slightly higher than that of the symmetric mode, and both mode frequencies are close to the
oscillation frequency of the decoupled pendulums. In this case, the spring can be treated as
small perturbation, which introduces coupling between the motions of two otherwise
independent pendulums.
66
Chapter 3
Fibre Gratings
Coupled Modes of Two Oscillators
SYMMETRIC MODE
ASYMMETRIC MODE
Figure 3.5-1 The phenomenon of light coupling between proximate waves is analogous to the
coupling of two harmonic oscillators, such as the connected pendulums depicted here.
In order to derive the coupled-mode equations, effects of perturbation have to be included,
assuming that the modes of the unperturbed waveguide remain unchanged. The wave equation
starts with:
_ flEf a
2
p
V2 ~ = J.ioco 2
u
+ J.io -2- (3.5-1)
at at
where co and J.io is the dielectric constant and magnetic permeability, E ~ is the transverse
applied electric field of transverse mode number D. P is the induced polarisation.
67
Chapter 3
Fibre Gratings
Assuming that the wave propagates in a perturbed system with a dielectric grating, the total
polarisation response of the dielectric medium in the above equation can be separated into two
terms, unperturbed and the perturbed polarisation, as:
where
- - -
p=p +p
unperturbed gratings
- _ 0)-t
Punperturbed - coX ij E u
(3.5-2)
(3.5-3)
The linear susceptibility xS) is in general a second rank tensor with two laboratory frame
polarisation subscripts ij and is related to the permittivity tensor cij with similar subscripts as:
c = 1 +
l) IJ
(3.5-4)
Often the periodic modulation in the waveguide can be accurately treated as a small
perturbation of an otherwise z-invariant structure. Figure 3.5-2 shows how a corrugated
waveguide can be separated into a z-invariant structure with well-defined modes plus a
periodic perturbation. The goal of coupled-mode theory is to express the electromagnetic
fields of the complete structure as a superposition of the fields of the unperturbed waveguide.
y
z
-
-
X;
X;
2 Y
y
2
ncladdillg
ncladdillg I

(X,y)
z
+
y
z
6 = -(n;ore - n;,adding) 1
:y
+
6&=0
--+------+---+---z
(I-D)!\,
bc(X,y,Z)
Figure 3.5-2 The Bragg grating corrugation may be modelled as a perturbation of an
otherwise z-invariant waveguide. n
2
(x, y, z) represents the full refractive index profile of the
structure, (x, y) represents the unperturbed z-inv ari ant waveguide, and bc(X, y, z)
represents the perturbation function.
68
Chapter 3
Fibre Gratings
However, in a medium in which the dielectric constant varies periodically along the wave-
propagation direction, the total polarisation can be defined with the perturbed permittivity,
8&(x,y,z) and the applied field as:
(3.5-5)
where 8r is the relative permittivity of the unperturbed core. The constitutive relations
between the permittivity of a material and the effective refractive index neff result in the
perturbation modulation index being derived from = 8, so that:
[neff + 8n
eff
(z)J = 8, + (3.5-6)
Assuming the perturbation to be a small fraction of the refractive index, it follows that:
(3.5-7)
Defining the refractive index modulation of the grating as:
On'if (z) = /'.neff {I + ; (e
i
[(2mV/A)H,(,)] + cc)}
(3.5-8)
where is the refractive index change averaged over a single period of the grating, v is
the visibility of the fringes, and the exponent term along with the complex conjugate cc
describe the real periodic modulation in complex notation. An arbitrary spatially varying
phase change of qJ(z) (chirping) has been included. A is the period of the perturbation, while N
is an integer (-00 < N < (0) that signifies its harmonic order. The period-averaged change in the
refractive index has to be taken into account since it alters the effective index neff of a mode.
Combining equations (3.5-1) - (3.5-3), the following is obtained:
2 t a
2
t a
2
p
V Eu = ,u
o
8
0
8, -2 Eu + ,uo -2 grating u
at at '
(3.5-9)
And the transverse modes of the electric field in an optical fibre can be described as:
= L [Au (z )exp(ifiuz) + Bu (z )exp(ifiuz (x, y)exp(- iOJt)
(3.5-10)
u
where the coefficients Au(z) and Bu(z) are slowly varying amplitudes of the uth mode
travelling in the +z and -z directions, respectively, and the propagation constant fi is simply
fJ = (2tr/ A )n
eff
. The transverse mode field (x, y) might describe the bound-core or
radiation LP modes (refer to Appendix B), or they might describe the cladding modes. In an
69
Chapter 3
Fibre Gratings
ideal fibre waveguide, the modes are orthogonal and there is no mechanism available for the
exchange of energy between them. However, the presence of a dielectric perturbation
associated with the fibre grating forces coupling between the modes. In that case, the
amplitudes Au and Bu of the vth mode evolve along the z-direction according to:
d:: = iLAqK;u exp[i(pq -
q
exp[-i(pq + Pv)z]
(3.5-11)
q
dB
v
= -iL - Pv
dz q
exp[-i(Pq + Pv)z]
(3.5-12)
q
The transverse coupling coefficient between the u and q modes in the above equation is given
by the following integral:
=:
(3.5-13)
co
There are two new coefficients, the self and cross-coupling coefficients
a qv (z) = OJ 8ncore (z) {x, y (x, y)dxdy
(3.5-14)
core
(3.5-15)
where a qv (z) is the "dc" self-coupling coefficient and K qv (z) is the "ac" cross coupling
coefficient. Thus, the general coupling coefficient may be written as:
K;u = a-qJz) + 2Kqu(Z + tp(z)] (3.5-16)
3.5.1.1 Contra-directional coupled-mode equations (Bragg gratings)
For a Bragg grating, the dominant interaction lies near the wavelength for which the reflection
occurs from a mode of amplitude A(z) into an identical counter-propagating mode of
amplitude B(z). Under such condition equations (3.5-11) and (3.5-12) may be simplified to the
following equations [43], [95]:
(3.5-17)
(3.5-18)
70
Chapter 3
Fibre Gratings
where A{z)=A(z)exp{i8z-lP/2); B{z) = B(z)exp{-i8z + lP/2) , !Cae is the
coupling coefficient and a- is the general "dc" self-coupling coefficient defined as
cross-
" 1 '()
(j' = K de + 8 - -lP z
2
(3.5-19)
With 8being the detuning, which is independent of z and is defined as
8 = 11/3 = /3 -
[]
(3.5-20)
= 27m,!! -
lP'{z) is the derivative of the grating chirps and the complex coefficient Kde can describe the
absorption of refraction change grating where the power loss coefficient will be [95]:
27r-
Kde = -8nejf
A
,.. 7r-
K = K = -v8ne1f
ae ae A
(3.5-21 )
(3.5-22)
If the grating is uniform along the z direction then 8n
e
jf is constant and lP'{z) = 0 (i.e., there is
no grating chirp). Thus, K
ae
, a- and Kde are constants. This simplifies (3.5-17) and (3.5-18)
into coupled first-order ordinary differential equations with constant coefficients.
We can use the same transfer matrix technique as discussed in Chapter 2 to solve the coupled-
mode equations (3.5-17) and (3.5-18), which is based on identifying 2 by 2 matrices for each
uniform section of the grating (and then multiplying all of them together to obtain a single 2
by 2 matrix that describes the entire grating [99]. The compound grating structure can be
divided into M uniform matrix components, with Ak and Bk being the field amplitudes after
transversing the section k. Therefore, in the case of Bragg gratings, the boundary conditions
Ao = A{L/2) = 1, Bo = B{L/2) = 0 and calculates the final matrix component AM = A{-L/2)
and BM = B{- L/2)
71
Chapter 3
Fibre Gratings
A
Index Modulation at Core
L
1111
Figure 3.5-3 Illustration of the transfer matrix in a single uniform Bragg grating and a series
of gratings with different periods.
The propagation through each of the uniform sections k is described by a matrix T k, which is
defined as:
(
Ak J = (1; 1 1;2 J(A
k
-
1
J
Bk T 21 T 22 B
k
-
1
= T k ( ~ j
(3.5-23)
where transfer matrix T k can be obtained from the solution of the coupled-mode equations
(3.5-17) and (3.5-18) which is given by:
"-
1; I = cosh(r dZ)- i (j sinh(r dz)
r
1;2 = -i K sinh(r dz)
r
T21 = i K sinh(r dz)
r
"
T22 = cosh(r dz)+ i (j sinh(r dz)
r
(3.5-24)
(3.5-25)
(3.5-26)
(3.5-27)
dz is the length of the kth uniform section, a- and K = K ac = K:c are the local coupling
coefficients for the kth section.
(3.5-28)
The total grating structure may be expressed as:
(3. 5-29)
72
Chapter 3
Fibre Gratillgs
In the case of a phase-shifted grating, a phase-shift matrix T is inserted between the matrices
Tk and Tk -1 in the product of (3.5-29), which represents a phase shift after the kth section. The
phase-shift matrix has the following form:
o
(3.5-30)
o
Writing the matrix elements into equation (3.5-29) and applying the boundary conditions
leads to:
(
1 J ( ~ 1
B(-L/2) - T21
~ 2 ](A(L/2)1
T22 0)
The transmitted amplitude is easily seen to be:
A(L/2) =_1
~ 1
The reflected amplitude follows from equations (3.5-31) and (3.5-32) as:
3.5.1.2
B(- L/2) = T21
~ 1
Co-directional coupled-mode equations (long-period fibre gratings)
(3.5-31)
(3.5-32)
(3.5-33)
As noted before, long-period fibre gratings (LPFGs) are also known as transmission gratings
in which coupling occurs between modes travelling in the same direction [103], [104].
Although they are not Bragg gratings, the fundamental coupled-mode equations are found to
be pertinent to the LPFGs description, particularly if the application is limited to coupling
between two isolated modes. Therefore, close to the wavelength for which forward-
propagating mode of amplitude AJ(z) is strongly coupled into a co-propagating mode with
amplitude A
2
(z) (where the SUbscripts denote the different modes). The amplitudes of these
two modes are retained and make the synchronous approximation to:
: = io-A{z) + iK21B{z) (3.5-34)
dB . () . .. ()
- = -[eYB Z -lK
12
A ::
d::
(3.5-35)
73
Chapter 3
However, the amplitudes are now defined as:
A(z) = Al ex
p
( - i[(" + (,,] z - i)
B(z) = A, ex
p
( -i[(" + (,,] (iO Z - i)
Fibre Gratillgs
(3.5-36)
(3.5-37)
where '11 and '22 are the "de" coupling coefficients defined in equation (3.5-14), and
K = K21 = K;2 is the "ac" cross-coupling coefficient from equation (3.5-15) with the general
"de" self-coupling coefficient now defined by:
(3.5-38)
Thus, when the detuning is assumed constant along the z-axis, the following is obtained:
(3.5-39)
where Aresonant = I1nejJA is the resonant wavelength for a grating approaching zero index
modulation. When the appropriate boundary conditions are applied, closed form solutions are
possible. Following the solutions for the co-directional coupled-mode equations (3.5-34) and
(3.5-35), the T -matrix elements for the kth section are:
For transmission gratings,
"-
= cos(y dz)+ i (j" sin(y dz)
y
= -i K sin(y dz)
y
T21 = i K sin(y dz)
y
"-
T22 = cos(y dz) - i (j" sin(y dz)
y
(3.5-40)
(3.5-41)
(3.5-42)
(3.5-43)
(3.5-44)
By assuming that only one mode is incident from z = -00 (A(O) = 1 and B(O) = 0), the
following is obtained:
74
Chapter 3
(
IJ =
o T21 T22 B{L/2)
Thus, the following is obtained:
= 1
T21A{L/2) + T
22
B{L/2) = 0
so that the crossed state amplitude is:
and the uncoupled amplitude is:
Fibre Gratings
(3.5-45)
(3.5-46)
(3.5-47)
(3.5-48)
So far, the contra-directional and co-directional coupled-mode equations have been
elaborated. Table 3.5-1 shows the comparison of the transfer matrix elements between these
two coupled-mode equations.
Table 3.5-1 Comparison of the transfer matrix elements between the contra-directional and
co-directional coupled mode equations.
Con tra-directional
"
TIl = cosh(r dz) - i (Y sinh(r dz)
r
TI2 = -i K sinh(r dz)
r
Transfer Matrix Elements T21 = i K sinh(r dz)
Transmitted Amplitude
(Fibre Core)
Reflected Amplitude
(Fibre Core)
r
"
T22 = cosh(r dz) + i (Y sinh(r dz)
r
2 2 "2
where r = K - (Y
1

75
Co-directional
"
= cos{r dz)+ i (Y sin{y dz)
y
= -i K sin{y dz)
y
T21 = i K sin{y dz)
y
,..
T22 = cos{y dz) - i (J" sin (r dz)
r
where y2 = K2 + 0-
2
Nil
Chapter 3
Crossed Coupled
Transmitted Amplitude
(Fibre Cladding)
Nil
Fibre Gratings
1
The transfer matrix method (TMM) approach is indeed ideal for analysing compound gratings
(e.g. chirped gratings, apodised gratings etc.), for example, in the case of linearly chirped
gratings, the total structure will be made up of M subgratings (subsections) each with its own
grating period Ak, which increases linearly as depicted in Figure 3.5-3. However, the number
of sections M cannot be made arbitrarily large, since the coupled-mode theory approximations
that lead to equations (3.5-17) and (3.5-18) are no longer valid when a uniform grating section
is only a few grating periods long [99]. Therefore, the above approximation is only valid for
dz A, which means that it must observe:
2n ifJL
M e
A
Bragg
(3.5-49)
The number of sections determines the accuracy of the TMM calculation. For most cases M>
50 sections gives sufficient accuracy.
Besides, care must be taken to ensure that each sub grating has an integer number of grating
periods in order to have a smooth transition between the sections. An abrupt change in the
grating modulation is equivalent to a phase jump and thus formation of a Fabry-Perot cavity.
Consequences of not maintaining this condition over several sections will lead to a deleterious
effect outside of the bandwidth of the grating by forming a superstructure of cascaded Fabry-
Perot cavities. When modelling long gratings, care must be taken to allow adequate spectral
resolution in order to see the spectrum and calculate the group delay accurately.
3.6 Applications of Fibre Gratings
Fibre Gratings have emerged as important components in a variety of lightwave applications.
Their unique filtering properties and versatility as in-fibre devices is illustrated by their use in
wavelength stabilised lasers, fibre lasers, etc. Table 3.6-1 shows a list of some of these
applications and includes brief descriptions of the principal optical features and grating
parameters.
76
Chapter 3
Fibre Gratings
Table 3.6-1 A list of some applications of fibre gratings in lightwave technology.
Applications Descriptions Parameters
Fibre Laser Narrowband reflector
~ A , = O.l-lnm
R = 1-100%
Laser Wavelength Stabilisation (980nm,
Narrowband reflector
~ A , = 0.2 - 3nm
1480nm) R= 1-10%
Pump reflector in fibre amplifiers (1480nm) Highly reflective mirror
~ A = 2-25nm
R= 100%
Raman amplifiers (1300nm, 1550nm)
Several highly reflective ~ A = 1nm
. .
R= 100% mIrror pairs
Isolation filters in bi-directional WDM Matched sets of WDM ~ A , = 0.2 - 1nm
transmission (1550nm) gratings R= 100%
Pump reflector in phase conjugator (1550nm)
Highly reflective mirror
~ A , = 1nm
and isolation filter in wavelength converter R= 100%
WDM Demultiplexer (1550nm)
Multiple high -iso lation ~ A , = 0.2 -lnm
reflectors Isolation> 30dB
WDM add/drop filter (1550nm)
High-isolation reflector
~ A , = 0.1 - 1 nm
Isolation> 50dB
Optical amplifier gain equaliser (1530 -
Blazed Bragg gratings or ~ A , = 30nm
1560nm)
long-period fibre gratings loss = 0 - 10dB
Dispersion compensation for long-haul
Chirped Gratings
~ A , = 0.1 - 15nm
transmission (1550nm)
1600ps/nm
Optical Sensors
Cascaded gratings, ~ A , = 0.1 -lnm
phase-shifted gratings R= 1-100%
Some of the examples, including the use of fibre gratings in wavelength-stabilised pump
lasers, fibre Raman lasers, fibre amplifiers, and add/drop multiplexers, are now commercial
products. Indeed, Bragg gratings have truly revolutionised applications in communication
networks. Devices that were thought impossible to construct are now becoming reality. There
are competitive technologies in each application and the trade-offs and advantages need
careful evaluation. In fact, our challenge is to design optimum fibre gratings preferably with
fast tuning capability for the lightwave communication technology and higher sensitivity is
desired for optical sensing application.
As WDM networks evolve, stringent filtering needs resulting from close channel spacing and
complex optical operation could be met with specially tailored fibre gratings. Reflectivity,
isolation, bandwidth, edge response, and dispersion characteristics can all be adjusted to
fabricate optimally designed gratings. This ability to make application-specific fibre Bragg
gratings assures their long viability as components in advanced systems research and to
enhance real systems in the generation, detection and conditioning of light.
77
3.7 Summary
An overview of the evolution of optical fibre is discussed initially. The low attenuation and
the flexibility of the fibres cause much effort to explore and deploy more in-fibre components
into the current lightwave systems. Fibre gratings appear to be among the most popular in-
fibre components for the past 10 years. In general, fibre gratings can be divided into two
categories - fibre Bragg gratings (FBGs) in which the grating period is between O.lllm -
l.Ollm and long-period fibre gratings (LPFGs) whereby the grating period is in the order of
lOOllm. Photosensitivity and photorefractivity are also discussed. These include three
different types of fibre Bragg gratings. In addition, the properties of fibre gratings are outlined
in detail. This is followed by an explanation of fibre grating theory in which the coupled-
mode theory is briefly reviewed and transfer matrix method is delineated in order to solve the
equations. Eventually, the applications of the fibre gratings are summarised and
recommendations are made for further development.
78
Chapter 4 Analysis of Coupling Coefficient

In
Tapered-Structure
Grating-Embedded
Devices
4.1 Introduction
An important element of optical communications modelling is the ability to simulate sources
and components in order to optimise the efficiencies or power transfer between these systems.
A clear example is the importance to maximise the amount of power coupled within the cavity
of the lasers particularly grating-embedded devices such as distributed feedback (DFB) lasers
to offer higher gain margin, in which a single longitudinal mode (SLM) of lasing can be
achieved. This causes the grating-embedded devices to be more superior to the Fabry-Perot
(FP) lasers as discussed in Chapter 2.
In modelling the laser action in these devices, one normally utilises the coupled-mode theory
(CMT) [43]. By using this theory, the key laser parameter is the backward coupling
coefficient K since its magnitude determines the frequency selectivity and threshold mode
gain. The standard technique to determine the K in the diffraction grating-embedded devices is
to evaluate the coupled mode integral which describes the overlap of the unperturbed mode
with the grating perturbation [70], [105]. This technique works well for weak perturbations,
but shows an inherent problem as to how to choose the unperturbed waveguide geometry
when the perturbation is strong [106].
For a corrugated semiconductor, the coupled mode overlap integral cannot be evaluated at all
since the index perturbation is infinite while the electric field is zero, and hence the product is
undefined. H. J. Luo and P. S. Zory have shown that ray optics technique (ROT) will be able
to produce reliable results regardless of the choice of the unperturbed waveguide [107].
Subsequently, the analytical solutions with closed-form expressions for the coupling
coefficients of weak-coupled DFB waveguide structures are derived by Luo and Cho [108],
[109].
79
Chapter 4
Coupling Coefficiellt of Gratillg-El11bedded Devices
In this chapter, we extend the ray optics analysis used in [107] to obtain a closed-fonn
expression and hence, to determine the first-order backward coupling coefficient, K in tapered
structure grating-embedded devices.
4.2 Overview of Taper Stripe DFB Laser Diodes
As we have discussed in Chapter 2, distributed feedback (DFB) laser diodes have become
essential components for the next generation of dense wavelength division multiplexing
(DWDM) systems. They are well known for their stable longitudinal mode selectivity [110]-
[112] as well as exhibiting low threshold current and high operation temperature [113]. In
addition, they can be integrated monolithically with other optical components that eliminate
the problem of coupling loss. Nevertheless, implementation of high power ..1/4 phase-shifted
DFB lasers with stable single-mode operation is always the main issue and concern for
researchers and engineers. The side-mode suppression ratio (SMSR) can be degraded due to
the longitudinal phenomenon known as spatial hole burning (SHB) especially for the devices
with large coupling length product (KL > 1.25) operating at high output power [114]. This is
mainly because the gain margin of the DFB laser deteriorates because of the nonunifonn
distribution of the refractive index, which arises from the SHB. However, a high KL DFB
laser is far more attractive due to low threshold current density, smalliinewidth as well as low
reflection sensitivity [115].
Various methods have been proposed in order to overcome the degradation of SMSR at high
output power, and some laser structures have demonstrated stable single-mode operation
[116]-[117]. For example, a linearly chirped grating structure to suppress nonunifonn field
distribution has been reported in [118] and the two lowest order degenerate longitudinal
modes will lase simultaneously [119]. However, direct implementation of a chirped grating
DFB laser is difficult so that an alternative approach using a bent waveguide is proposed to
realise a chirped grating DFB laser.
Maximum output power of semiconductor lasers is also often limited by catastrophic optical
damage (COD). COD is due to local melting caused by heating as a result of intense non-
radiative electron-hole recombination at the device's facets. The local melting may be
initiated at defects or at defect free cleaved facets [120]-[121]. Therefore, a wide-stripe width
80
Chapter 4
Coupling Coefficient of Grating-El11bedded Devices
is desired in order to reduce the power density at the facets. In the design of high-power
lasers, a ridge waveguide structure is usually employed so that single-lateral-mode operation
can be maintained at wide stripe width ( ~ 5J-lm) due to weak lateral guiding effects [122].
However, the disadvantage of adopting a ridge waveguide structure is high-threshold current
density due to spreading of optical intensity outside the active stripe region. Alternative, high
power lasers with buried heterostructure (BH) can be utilised at the expense of single-Iateral-
mode operation [123].
For the design of a high-power single-mode DFB laser, it is required:
1. To reduce the influence of SHB for stable single-longitudinal-mode operation.
2. To maintain stable single-lateral-mode operation.
3. To minimise power density at facets.
4. To reduce the threshold current density.
In the conventional DFB laser diode, which has a straight cavity, the carrier density reduces as
the light intensity increases. Hence, broad area DFB laser diodes, which offer much higher
output power with higher reliability, have attracted many researchers. However, the major
drawback is that they tend to suffer from modal instabilities which are generally known as
filamentation, as shown in Figure 4.2-1 [57], [124]-[126].
mode
- - - ~ Higher order
modes
Figure 4.2-1 Growth of filamentation in a broad stripe laser.
In order to overcome this problem, a tapered-waveguide structure has been proposed for the
active region of travelling-wave semiconductor laser amplifier (TW -SLA) [127]. The tapered
width of the active region increases gradually from the input to the output of the laser keeping
most of the power in the lowest order mode. In here, we have extended the taper model used
in [127] to the DFB laser diodes. In fact, Kito et. af. have reported experimentally high slope
81
Chapter 4 f
'
ouplillg Coefficient of Gratillg-Enlbedded Devices
efficiency and low noise characteristics in a DFB laser lasing at 1.3 !-lm with narrow beam
divergence by employment of a laterally tapered active stripe over the whole cavity as shown
in Figure 4.2-2 [128]. The laser has an InAsP absorptive grating to realise gain coupling. The
active stripe is formed as a tapered structure except in the regions close to the facets. The
front stripe width, W
F
is fixed at 0.6!-lm and the rear stripe width, W
R
at 1. 6 !-lm. Although this
is the case, there is not much theory available to support the results.
Figure 4.2-2 Schematic diagram of the proposed DFB laser from Kito et. al. [128].
In comparison, there are several disadvantages for a broad stripe DFB laser diode if it is used
as an amplifier filter as will be discussed in Chapter 5. Firstly, the input beam must have a
width and height similar to the dimensions of the input facet of the amplifier filter, which has
an aspect ratio of 400 or more. Secondly, for the highest power, the incident beams need to be
at a small angle to suppress filamentation [125]-[126]. Besides, the power of the incident
beam also needs to be rather large. Such a stringent requirement for the input beam is difficult
to obtain from conventional semiconductor sources.
Initially, the tapered stripe amplifiers are realised by tapering the metalized contact area so
that the gain region forms a tapering diffraction limited shape as shown in Figure 4.2-3 [129]-
[131]. The taper gain region is obtained by electrically pumping the taper contact region. No
optical waveguiding was used for lateral confinement or control of the beam for fear that
reflections from the wave guiding edge could cause mode conversion to higher guided modes.
82
Chapter 4
Coupling Coefficiellt of Gratillg-Embedded Devices
Metalized tapered-gain-
region contact pad
- 10
,
,
,
,
,
,
,
,
,
,
Active layer
Figure 4.2-3 Structure of the tapered stripe amplifier.
In 1992, G. Bendelli et. al. proposed a new structure for the highly index guided tapered-
waveguide travelling-wave semiconductor laser amplifier (TTW -SLA) as depicted in Figure
4.2-4. This device is based on a buried heterostructure TW-SLA, with the active region's
lateral width increasing gradually from the input to the output. With a high relative index step
between the active region and the cladding, the optical and carrier confinement are higher.
This allows a higher differential gain without the taper meeting the diffraction limit [127].
"'j
Ii
,A

1&
I t'l
I
i//!
i/,
II
1--------1: liJ/
l--,---IL----f ij
Claddin4 i i:
I ... ... Waveguide
Substrate
Layer
Active Layer
WaUl
Figure 4.2-4 Physical structure of the highly index guided tapered-waveguide semiconductor
laser amplifier.
83
Chapter 4 Coupling Coefficient of Gratillg-Elnbedded Devices
The output width of the TTW -SLA is of the order of 10 - 50 J.lm. A larger output width may
result in deflection from the boundary of the active region and generate higher order modes.
This proposed device provides a stable fundamental mode with easy coupling to single mode
fibres. Besides, it is more compatible in waveguiding characteristic and dimensions with other
optoelectronic devices. There are numerous applications based on the saturation and non-
linear characteristics compared with the conventional SLA.
4.3 Coupling Coefficient Analysis (CCA)
We have discussed the term of coupling coefficient in the DFB laser diodes in chapter 2.
There are numerous texts and references, which explain the coupling coefficient of the
DFB/DBR laser diodes by using the coupled-mode theory (CMT) [49], [64], [105], [132]. As
presented in Chapter 2, the coupling coefficient is associated with the perturbed relative
permittivity; the numerical value of K depends on the shape, depth, and period of the
corrugation. In addition, the composition and thickness of the active and cladding layers will
also affect the coupling coefficient because K involves calculating the transverse mode
energy.
4.3.1 CCA using coupled-mode theory
In a BH structure, the active layer thickness is much narrower than its width, thus the
corrugation is laterally uniform. As a result, we assume the relative permittivity term ~ &
from equation (2.5-3) is independent of the lateral direction, x. Thus, the coupling coefficient
for the purely index-coupled DFB laser becomes:
Lrrugation Aq*oE x
2
(y)dy
(4.3-1)
fEx 2(y )dy
where Ex (y) is the transverse field component of the TE mode which satisfies the wave
equation in equation (2.5-2). The integral in the numerator is restricted to the corrugated layer
only since the perturbed relative permittivity fl.8 (or the Fourier coefficient A q ~ o ) is not
defined in any other layer.
As illustrated in Figure 4.3-1, the co sinusoidal corrugation IS represented by two
discontinuous arbitrary functions Z\ (y)+ pA and Z'2 (v)+ pA, where p is any integer.
84
Chapter 4 Coupling Coefficient of Gratillg-EYlbedded Devices
y
n
1
n
2
d
l
_
1
n[
d
y
d
l
+
1
n +
1
z
d
N
_
2
~ - l
d
N
_
1
~
Figure 4.3-1 A general multi-dielectric stack used to evaluate the coupling coefficient of DFB
semiconductor laser diodes.
For any periodic corrugation shape, it is important that the sum of the corrugation functions
ZI (y) + pA and Z2 (y) + pA will span a longitudinal distance of A, the period of the
corrugation. For simplicity, the integer p is set to be zero for the first corrugation function on
the positive y-z plane as the corrugation is extended along the positive z direction. For layers
found outside the corrugated layer, the relative permittivity &(y, z) can be expressed
analytically as:
- n
2

- I'
2 .
= n
1
+
1
,
2 .
= n
N
_
1
,
2 .
= n
N
,
d
H
> y > d
y
+
h
d
y
> y > d
1
+
1
d
N
-
2
> Y > d
N
-
1
d
N
_
1
> Y
(4.3-2)
In the meantime, for the relative pemlittivity of the corrugated layer, the relative permittivity
is [69]:
85
Chapter 4 Coupli1lg Coefficie1lt of Gratillg-El11bedded Devices
00
s(y,z)= L:n;{u[z-ZI(Z)- pA]-U[Z-Z2(Z)- pAl}
p=-oo ( 4.3-3)
where
{
I'
u(;) = '
O ,
(4.3-4)
which is a unit step function in ;. By equating the equation (2.5-8) with equation (4.3-3) and
let p = 0, the harmonic Fourier coefficient for q = 0 can be expressed as:
Aq=o = Ao = ni+, + [Z2(y)-z,(y)]ni -ni+,
and for q =I: 0
1 \ {z}tA - j27rqz
Aq*o = A ({z) n
2
(y, z)e A dz
n 2 _ n 2 [ - j27rq
Z
2 (y) - j27rqZ\ (y)]
= '+1 '. e A _ e A
j27rq
The relative permittivities at different integral ranges are:
2 ( ) {n;;
n y z =
, 2
n'+1 ;
Z 2 (y) > z > ZI (y)
ZI(y)+A > z > Z2(Y)
However, we know thatZ
1
(y)+ Z2 (y) = A, equation (4.3-6) is then simplified to:
A
n;+1 - n; .. [2mtr Z ( )].
q*O = SIn 1 Y ,
mtr A
d
y
< Y < d
y
+
h
(4.3-5)
(4.3-6)
(4.3-7)
(4.3-8)
where q = m is assumed for the smallest detuning factor. Combining equation (4.3-8) with
equation (4.3-1), we end up with the following expression for the coupling coefficients of the
purely indexed-coupled DFB LDs:
_ kg (n,2+1 - n,2) ! . [2mtrZ1 (y )f2 ( )d
K - . SIn Y y
2m n:/3 orrugation A x
eff
( 4.3-9)
where an absolute sign is used to make sure a positive value for the coupling coefficient.
The solution for a rectangular dielectric waveguide is not discussed here as there are many
texts and references, which cover this aspect in detail [31]-[33], [133]-[136]. It is a lengthy
and time-consuming process in order to find the solutions for different laser structures. This
includes solving the boundary conditions of the transverse electric field numerically.
Eventually, the coupling coefficient can then be solved using the equation (4.3-9).
86
Chapter 4 Coupling Coefficient of Gratil1g-Eltlbedded Devices
4.3.2 CCA using ray optics technique
The ray optics technique (ROT) reported by Luo and Zory gives the closed-form expressions
for the backward coupling coefficient [107], [108]. Thus it is much easier to calculate the
backward coupling coefficient using the ray optics technique compared to that using the
standard overlap integral methods as discussed in section 5.3.l. This is because the ray optics
expressions can be evaluated without using any numerical techniques of any kind. In addition
the ray optics technique is physically intuitive and will be able to give one a different
perspective on how the DFB lasers actually work. Moreover, the ROT not only works for both
weak and strong coupling DFB configurations, but also provides device designers with simple
expression for K, which is much easier to implement than the standard overlap integral
programs.
1. Cladding layer
2. Guide layer
3. Active layer
5. Cladding layer
n'
cladding
n'
buffer
nactive
ncladding
t'
d
- - ~ -
2a
Figure 4.3-2 Generic five-layer SCH DFB laser configuration.
In this section, we shall again extend the ROT discussed in [107] by deriving a closed-form
expression for Kin a generic five-layer separate confinement heterostructure (SCH) DFB laser
as depicted in Figure 4.3-2 assuming the first-order feedback on a transverse electric (TE)
mode.
4.3.2.1 Derivatiolt of ray optics expressiolt
Based on the ray optics (see Figure 4.3-3), the DFB coupling coefficient, K can be expressed
by the phenomenological equation given by [137]:
87
Chapter 4 Coupling Coefficient of Gratillg-Enlbedded Devices
. diffracted power
K = Numberofbouncesperunitiengthx-.-.-----'
IncIdent power
(4.3-10) per bounce
where Bm is the bounce rate for mode m (refer to Figure 4.3-3a in the planarized description
of the waveguide and 17m is the diffraction efficiency of the grooves at the mode bounce
angle, Bm.
j
... B-1
..... ................................................ . .. . . . ... ... ..... ........ .... ... In ... ... ... ..... ......... .......... ...... . ..... .......... .............................. .
t ncladding
deff 8
m
: nactive
t: nb,ffe,
71777l111lll1flllfl ncladding
(a)
E(- l)
reflect
I E(-l) 17 =
I
/- E . 'd
I 0 /tICI en!
E reflect
X = 0 .. -.. .... l .
X = t +f(z)
nactive
nbuffer
ncladding
(b)
Figure 4.3-3 Ray optics illustration of coupling coefficient, K.
The bounce rate is given by:
_) -
Bm = (2d
efJ
tanBn,) = d
2nefJ eff
(4.3-11)
where nactive is the refractive index of the active layer, neff is the effective refractive index for
mode m of the DFB waveguide, which can be expressed as:
11 :n- (z ) = n active sin Bm
(Ray Optics)
(4.3-12)
(EM Theory)
88
Chapter 4 Coupling Coefficiellt of Gratillg-EIIlbedded Devices
d
eff
is the effective waveguide thickness as shown in Figure 4.3-3a. It is a measurement of
the decay of the electric field mode outside the active layer and is related to the confinement
factor. Again from Kogelnik's theory, the expression for d
eff
can be derived directly from the
definition in [138]
where
and
2 2
n active - neff
- -2 -2 -2-2
Pm amX + Pm
Y
r m = ko - and r m = ko
2 ,2
nactive - n cladding
x = Pm cos{Pm
l
) + rm sin{Pm
l
)
X = Pm COS(p mt')+ r m sin(p mt')
Y = Pm sin{Pml)-rm COS{Pm
l
)
Y = Pm sin(p mt')- r m cos(p mt')
(4.3-13)
(4.3-14)
(4.3-15)
(4.3-16)
( 4.3-17a)
(4.3-17b)
(4.3-17c)
(4.3-17d)
The parameters ncladding' nbuffer' n'c1adding' n'buffer' 1 and I' are defined in Figure 4.3-2, while ko is
the wavenumber of light in the vacuum.
For practical DFB laser structures, we can make some assumptions to approximate the
effective waveguide thickness without introducing much error [138]:
1 1
d
eff
- d +1 +1'+- +=-
rm rm
(4.3-18)
Note that in some cases, the buffer region thickness is very small and can also be neglected in
order to simplify the computational steps.
Subsequently, to derive an expression for 17m' a TE polarised plane wave is incident at the
n ' /n
b
", surface as shown in Figure 4.3-3b at the angle of 8m:
active uller
E, 'd = L1 exp[- i(a X + 13m
z
)]
/IIel ent " \) III
(4.3-19)
89
Coupling Coefficient of Gratillg-El1lbedded Devices
where f3m is the z-propagation constant for mode m and A
o
is the complex amplitude of the
TE-field. The reflected waves result from zero-order and first-order diffraction, which can be
written as:
E ~ ~ l e c t = a
o
exp[i (0" mX - f3m
z
)]
E ~ : ~ e c t = a_I exp[i(O" mX + f3m
z
)]
( 4.3-20)
(4.3-21)
Since we are dealing with first-order gratings, the grating periodicity has been assumed to be
equal to A
Bragg
/2n
eff
By neglecting the higher order waves, the total field in the incident
(active) layer will then be:
E = E + E(o) + E(-I)
active incident reflect reflect
= Ao exp[-i(O"mx + PmZ)]+a
o
exp[i(O"m
x
- Pm
Z
)]
+a_
1
exp[i(O" mX + Pm
Z
)]
Similarly for the buffer and cladding layers, the total fields can be written as:
E
bu
//
er
= Bo exp[- i(Pmx + Pm
Z
)]+ B_1 exp[i(- Pm
X
+ Pm
Z
)]
+b
o
exp[i(Pmx- f3m Z)]+b_
1
exp[i(Pm
x
+ f3m
Z
)]
Ecladding = Co exp[-(qmX+ iPm
z
)] + C_
1
exp[-(qmx-iPm
z
)]
(4.3-22)
(4.3-23)
(4.3-24)
In equations (4.3-22)-(4.3-24), there are eight unknown complex amplitudes relative to Ao,
and therefore one needs eight independent equations in order to obtain an expression for the
diffraction efficiency 'lm = la_
1
/ Ao12. Matching the boundary conditions at x = 0 and
x = t + f(z) will result in four equations, in which each of them can be separated into two
homogeneous equations by setting the coefficients of exp(if3m
z
) and exp(- iPm
z
) to zero.
After some lengthy manipulation, we shall reach a mathematical form as:
where a is the groove amplitude and the parameter G is related to the spatial Fourier
coefficient of the periodic functions exp[iPmf(z)] and exp[iq mf(z)] during boundary
condition matching at x = t + f(z). Its value depends on the grating pattern, that is:
90
Chapter 4
Coupling Coefficient of Grating-ElIlbedded Devices
4
Jr
for square pattern
1.0
for sinusoidal pattern
G= 8
(4.3-26)
for triangular sawtooth pattern
Jr2
4sinx
for graded square pattern
JrX
In the last expression of equation (4.3-26), when x = 0 or x = Jr /2 we will have a square or
perfect sawtooth grating pattern, respectively.
In the derivation of equation (4.3-25), the shallow grating configuration, which is normally
utilised in the DFB diode lasers has been assumed [139], [140], i.e., koa 1. Hence, the only
two counterrunning waves are considered, all higher order diffracted waves being neglected.
In this case, the Fourier coefficients of exp[iPmf(z)] and exp[iq mf(z)], which are Bessel
functions for sinusoidal gratings can be approximated by polynomials.
Combining the expressions for 17m and B
m
, the coupling coefficient Kcan then be obtained as:
K = G - +
2n
eff
d
eff
+
- + (4.3-27)
= G 2n
eff
d
eff
[Pm cos(Pmt)+ q m sin(Pmt )]2 + [Pm sin(Pmt)- q m COS(Pmt)Y}
For a two-dimensional DFB laser such as a ridge waveguide structure, equation (4.3-27) can
be further utilised to compute the 2-D K by simply considering the lateral confinement [141].
The formula for K can be easily used since it depends only on the wavelength, the grating
amplitude and shape, as well as parameters of the planar waveguide geometry. Therefore,
once the effective index neff of the planar waveguide is obtained, the magnitude of the
coupling coefficient can be calculated in a straightforward manner.
4.3.2.2 Effective Index Method (ElM)
For most semiconductor lasers that have a lateral confinement, the width of the active layer 1r
is finite. With the width dimension found to be comparable with the active layer thickness, a
rectangular waveguide is formed. Nevertheless, we can still follow a similar procedure to that
91
Chapter 4 Coupling C"'oefficient of Gratillg-Enlbedded Devices
applied to the slab waveguide to solve the field solution of the rectangular waveguide. The
schematic cross-section of a rectangular waveguide is shown in Figure 4.3-4. The central core
region, which is surrounded by four cladding regions, has the highest refractive index (nl).
With the propagation mode mainly confined in the central core, the field penetration in the
comers (the shaded regions in the figure) of the structure can be ignored [142].
y
w
<, . V
Figure 4.3-4 Schematic cross-section of a rectangular waveguide. The refractive indices of the
different regions are indicated.
An exact analytical solution for the propagation characteristics of the strip waveguide is not
possible but a certain degree of approximation is necessary. A convenient technique, known
as the effective index method (EIM) can be used to provide an accurate analytical solution for
the rectangular waveguide.
In this method, the equivalent slab waveguide in one direction is solved first (see Figure
4.3-5(a)) so that the effective refractive index of the central slab can be generated. This
effective refractive index is then used to solve the other slab waveguide, which is found
perpendicular to the original one (see Figure 4.3-5(b)). In this way, the solutions of the two
slab waveguides are coupled. Similar to the slab waveguide analysis, the number of excited
transverse modes is determined by both the active thickness (d) and width ( W) of the central
core region. Therefore, it can be shown that proper controls over the active thickness and
width are necessary for single transverse mode operation.
92
Chapter 4
Couplillg Coefficient of Gratillg-ElIlbedded Devices
f
L
n
eff, y
(a)
(b)
Figure 4.3-5 Procedures for analysing the rectangular waveguide using ElM. (a) The first slab
approximation along the x-axis. (b) The second slab approximation along the y-axis where neff
is used.
The interrelation between the transverse wave numbers kx and ky are taken into account, which
are also assumed to be independent of each other. Physically, this accounts for the power flow
in the active region more accurately than modal field approximations. The effective refractive
index for the mth-propagating mode can be found by [143]:
( 4.3-28)
where N{x, y) is the distribution of the refractive index for the cross sectional of the structure,
and <l>m is the mth transverse modal field solution of the wave equation for the structure, and
the integration has been taken over the entire transverse x-y plane. From the definition of the
equation (4.3-28), it is important to point out that N
em
is the group index since it determines
the group velocity of the propagating fields [144]. Assuming that <l>{x, y) is a separable
function in x and y, such that <l>{x, y) = F{x )G{y), the effective refractive index neff,)' of the
dielectric slab of indices n4, nl and n5 with the thickness d for the propagating mode can be
found as depicted in Figure 4.3-5(a).
For the quasi-TE mode, neff, y can then be found by solving the elgen equation for the
dielectric slab along),. This equation is given by [145]:
93
Chapter 4 Couplillg Coefficient of Gratillg-Elllbedded Devices
(4.3-29)
This fonnulation is possible because <l>(x, y) is a separable function and hence eigen
equations can still be used [142], [144]. The parameters r4 and rs are given by:
2 k2 (2 2) k2
r j = 0 n
1
- n j - y' j = 4,5 (4.3-30)
Once k y is found, neff, y can be found by [146]:
2 2 ky
(
)
2
nelf,y = n1 - ko
(4.3-31)
We then solve for the dielectric slab in the x-direction with indices n3, nl, and n2 as shown in
Figure 4.3-5(b). For the quasi-TE mode, the eigen equation will be [145]:
(4.3-32)
and the decaying parameters r 2 and r 3 are given by [146]:
i=2,3
(4.3-33)
The effective refractive index of the entire waveguide is then given by:
n
2
= n
2
= n
2
_(k
x
(Z))2 _(k
Y
(Z))2 (4.3-34)
elf elf, y k 1 k k
000
An analogous procedure can be carried out for the case of quasi-TM modes by solving the
TM modes of the first slab initially.
Figure 4.3-6 shows the nonnalised propagation constant plotted as a function of the
nonnalised frequency. The nonnalised propagation constant is defined as [142]:
( 4.3-35)
where the longitudinal propagation constant, f3z = nelfk
o
and the nonnalised frequency is
defined as:
(4.3-36)
94
Chapter 4
Couplillg Coefficient of Gratillg-Elllbedded Devices
..t:)
0.8
-
-
-
., ....r
-
g
.,/
.,/
/
........
/' rn
/'
0
E;l
/
0
/
/'
U
/
0
0.6
E;2
/
/
0
/
.......
/
/
........
cd
/
/
bI)
E;3 /
/
cd
0..
/
/
0
~
/
/
Po;
0.4
/ E;4
/ '"d
/ / Q)
E;5/
rn
/
.......
/
- /
cd
/
/
/
0 /
Z
0.2 /
/
/
/
/
/
/
/
/ /
/
/
0.0
0 1 2 3 4
Normalised Frequency, V
Figure 4.3-6 Calculated normalised propagation constant, b as a function of the normalised
frequency, V.
From the Figure 4.3-6, the single-mode propagating condition can be achieved when the
normalised frequency is smaller than 0.7. This condition is essential for the grating-embedded
optical devices used in lightwave communication systems as mUltiple transverse mode leads
to losses in coupling and it increases noise [147]. Table 4.3-1 summarises the influences of
the physical parameters of the guide and of the optical source with the number of modes,
which can propagate through it.
Table 4.3-1 Influences of the physical parameters (guide and source) with the number of
propagation modes.
Physical parameters
(t = increase ; ~ = decrease)
Number of propagating modes
t refractive index of active region, 11 I t
t refractive index of cladding region, 11 2 17 3, 114, and 115
t guide width, W or thickness, d t
95
t operating wavelength, ..1.0 = 2n / ko
4.4 Results Comparisons Between CMT & ROT
In section 4.3, the two major techniques, which are commonly used in analysing the coupling
coefficient of the grating-embedded optical devices have been discussed. Both of these
techniques have been used in analysing the coupling coefficient in order to compare the
accuracy of the results obtained. Figure 4.4-1 shows the effect of the gratings groove depth on
the coupling coefficient for a symmetric SCH DFB laser [139].
400

300
5
......
C,)

Q)
o
200
.S
..-
"
o
U
100
-- Ray Optics Technique (ROT)
Coupled-Mode Theory (CMT)

0.00 0.05 0.10 0.15 0.20 0.25 0.30
Normalised Groove Depth, koa
Figure 4.4-1 Coupling coefficient versus normalised groove depth koa for a SCH
DFB laser with
d = t = t'= O.1,um, nactive
3.54, n buffer = n \uffer = 3.40
and
11 I dd' = n' I dd' = 3.1 7 .
c a mg c a mg
It is clear that both techniques indicate that, when the normalised groove depth koa increases,
the coupling coefficient K increases almost linearly. It is interesting to note that this linear
96
Chapter 4 Coupling Coefficient of Gratillg-Entbedded Devices
dependence of K on koa is explicitly shown in equation (4.3-27). In the standard numerical
approach using CMT, one must do a massive integration and plot the data properly before the
linear dependence becomes obvious. Excellent agreement between the two approaches is
observed over the entire range of interest. However, ROT shows a slight error of
approximately 1 % once the normalised groove depth koa reaches 0.075 and above.
Figure 4.4-2 shows a plot of the coupling coefficient Kversus the guide layer thickness t.
...... r
~
.-
<.)
\.+::
4-i
Q)
o
U
b1)
.S
..-
g-
o
U
0.0
---ROT
.............. CMT
d = O.lJ.lm
0.1
0.2
0.3
0.4 0.5
Guide Layer Thickness, t (J.lm)
Figure 4.4-2 Coupling coefficient versus guide layer thickness t with the active layer
thickness d as a parameter for a 1.55J.lm SCH DFB laser with koa = 0.1.
The results shows that both the analytical techniques used are in very good agreement with
each other. When the guide layer thickness increases, the coupling coefficient decreases as
well. This can be best explained as the guide layer thickness increases, the optical feedback
caused by the gratings logically decreases. Thus the coupling coefficient decreases almost
97
Chapter 4 Coupling Coefficient of Gratillg-Efflbedded Devices
exponentially. When d = 0.1 /-lm, ROT shows an error of approximately 2.5%. As d increases,
the computational error caused by ROT remains unchanged. In short, the ROT does not cause
any inaccuracy in computational of the coupling coefficient even if the parameters of the
grating-embedded devices change.
Coefficient 4.5 Coupling
Waveguide DFB Laser
of A Laterally Tapered
In this section, the first-order backward coupling coefficient in a laterally tapered distributed
feedback (DFB) laser diode has been analysed based on ray optics technique. These tapered
structures are designed to realize narrow beam divergence, low threshold current and high
longitudinal mode selectivity [128]. Without changing the grating period and the material
properties, the coupling coefficient can be altered by modifying the taper profile and the
waveguides dimensions while satisfying the adiabatic single-mode condition.
Figure 4.5-1 shows the 3-dimensional schematic diagram of a laterally tapered waveguide
distributed feedback (DFB) laser diode.
z
Cladding.:
............. 1... ................................................................................... {
Substrate
Active Layer .(.
....... -............. : . ; ~ .
W
out
Waveguide
Layer
Figure 4.5-1 Physical structure of an index-guided laterally tapered waveguide DFB-LD.
98
Also shown in Figure 4.5-2 (a), (b) and (c) are the top VIews of the linearly tapered,
exponentially tapered and semiexponential-linear-tapered (SELT) waveguide, respectively.
The input width, Win, of the active region is gradually tapered to WauL at output facet. Three
different tapered waveguide structures are considered in our analysis in order to calculate the
coupling coefficient using the ray optics technique.
y
W(z)

-

f
t
l'
L ---------.::>==--1
(a)
W(z)
____ __
1<
L >1
(b)
y

T
Win
WauL
t---i
1-
1< Le
>:
1<
L >1
(C)
Figure 4.5-2 Top view of (a) a linear (b) an exponential and (c) a se-exponential-linear
laterally tapered waveguide DFB-LD.
In the analysis we have set W;/l=l.O).lm and have considered small refractive index difference
between the active and the cladding layers in order to realise efficient mode-conversion. The
99
Chapter 4
Coupling Coefficient of Gratillg-Embedded Devices
expressions for the width distance dependence, W(z), in various laterally tapered waveguide
structures are given by:
(i) Linearly-tapered structure
W (z) = w. + out in Z
(
w -W J
In L
(4.5-1)
(ii) Exponential-tapered structure
(4.5-2)
(iii) Semi-exponential-linear-tapered (SELT) structure
for 0 < z ~ Le
for Le < z ~ L
( 4.5-3)
where
- 1Z (W
out
J a -- n--
e L W.
In
(4.5-4a)
and
(4.5-4b)
In the above equations, L is the length of the active region and Le is the length of the
exponential taper profile within the cavity. It should note that when Le = 0 the taper profile
becomes linear and when Le = L the taper profile becomes exponential. Table 4.5-1 lists the
parameters that we have used in the analysis of the first-order TE coupling coefficient.
Table 4.5-1 List of parameters and their values.
Parameters
Total cavity length, L
Bragg wavelength, ABragg
Refractive index for active region, nactive
Refractive index for cladding region, nc!adding
Refractive index for buffer region, nbllffer
Grating amplitude, a
Input width, Win
Output width, W
Olll
Active region thickness, d
100
Value
5 0 0 ~ m
1 . 5 5 ~ m
3.524
3.169
3.169
25nm
1 . 0 ~ m
1 0 . 0 ~ m
O.ll;lm
Chapter 4 Coupling Coefficient of Gratillg-Elllbedded Devices
As discussed in section 4.2, the main reason for using a laterally tapered waveguide structure
rather than a broad area is that the tapered profile allows most of the power to be confined in
the fundamental mode. The input width, Win is fixed at to satisfy the adiabatic single-
mode condition. The total length of the device is set to In the calculation, we have
divided the cavity into small sections each having length. The number of sections that
we have used in analysing various taper structures is made large enough to ensure the
numerical convergence of the solutions. The lateral wavenumber, kx and the transverse
wavenumber, ky for each small section are computed by solving the eigenvalue equation of
the waveguide [133]. Once both kx and ky are computed in each section equations (4.3-15),
(4.3-16), (4.3-18), (4.3-27), and (4.3-34) can be used to calculate nejj{z) , d
ejf
and hence the
coupling coefficient, K. Figure 4.5-3 shows a plot of coupling coefficient, K for the
fundamental TE mode versus the thickness of the active layer, d for various grating patterns.
----
I
S
<.)
'-'"

...... r
0
a;)
......
<.)
!.;::1
<.H
a;)
0
U
b1)
0
......
.........
g-
o
U
400
350
300
250
200
150
100
50
n = 3 524 IL = Win=Wout=1.0J.lm
ve _ --rcJaddT
g

........ _._.\ l
I 'd
l
lW G : '
S'nusOl a ave ratmgs
\.
,.. f
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Active Layer Thickness, d
Figure 4.5-3 Coupling coefficient, K versus active layer thickness, d for three different acti e
region refractive indices and grating patterns.
101
Chapter 4 Coupli1lg Coefficient of Grating-Embedded Devices
The analysis reveals that for each pattern there exist an optimum active layer thickness where
the coupling coefficient reaches maximum. This maximum value also increases with the
refractive index step between the active and cladding layers. Note also that the coupling
coefficient of square wave grating pattern is greater than the others. In fact, the results are in
good agreement with the expression of the coupling coefficient K given in equation (4.3-27),
which indicates the magnitude of K depends on the value of G from equation (4.3-26).
Furthermore, when the relative refractive index between the active region nactive and cladding
region ncladding increases, the coupling coefficient will increase as well.
Figure 4.5-4 depicts the variation of the effective refractive index, neff with the active layer
output width, Waul in a linear-tapered DFB structure for three different active layer refractive
indices.
3.200
3.190
3.185
3.180
3.175
3.170
1
. '
---,...,,-----
---
--
--
---
nactive = 3.524
......... nactive = 3.424
- - - nactive = 3.324
, 0 0 '
. ......... .
... ....
-,-..,.- ----------.--
- - L = ; = 1. 0 11m
d = ; ncladding = 3.l69
2 3 4 5 6 7 8 9
Output Width, WOUI (/-lm)
10
Figure 4.5-4 Effective refractive index, n eff versus active layer output width, Waul for linearly-
tapered waveguide DFB structure.
102
Chapter 4 Coupling Coefficient of Gratillg-Eltlbedded Devices
As discussed in section 4.3.2.2, the effective refractive index neff will change according to the
width and thickness of the laser structure. As can be seen from Figure 4.5-4, the change of the
effective refractive index is more significant in the range of - of the linearly-
tapered output width. From onwards of output width, the effective refractive index will
reach a plateau state.
Consequently, a comparison of the effective refractive index changes in the three different
tapering profiles (i.e.: linearly-tapered, exponential-tapered and semi-exponential-linearly
tapered) is shown in Figure 4.5-5.
3.200
3.195
3.190
3.185
...
...
..
...
....
...
. ....
nactive = 3.524 ; nc1adding = 3.169
= d =
Le = L =
Linear-Tapered DFB
Exponential-Tapered DFB
Semiexponential-Linear-Tapered (SELT) DFB
3. 1 8 0
1 2 3 4 5 6 7 8 9 10
Output Width, WOUI
Figure 4.5-5 Effective refractive index, neff versus active layer output width, WauL for three
different tapered waveguide profiles.
For the same active and cladding refractive index, the effective refractive index for the linear-
tapered structure exhibits the highest change in magnitude throughout the range of possible
103
Chapter 4 Coupling Coefficient of Gratillg-Embedded Devices
output width. Again, we can observe that the change for three of the tapering profiles will
reach an asymptote value of 3.201. Therefore, for output width of above 10.0J-lm, the effective
refractive index is expected to remain constant.
We have set the active layer thickness d = 0.1J-l m, in order to maintain the adiabatic single-
mode operation of the laser and varied the output width to investigate its effect on the
coupling coefficient of the tapered structure. This is shown in Figure 4.5-6 for three different
active layer refractive indices. Again the coupling constant increases when the index step
between the active and cladding layer increases.
'5
.......
u
~ 150
~
(!)
o
U
01)
~
.......
........ 100
g-
o
U
50
1
.. '
.. '
.'
.....
0
....
naClive=3.524
........ nactive=3.424
- - - nactive=3.324
0
0
0 00
--_ ...... ------
--------
---
--
--
J''''--- nc\adding = 3.169; L = 5 0 0 ~ m
W. = l.Ollm; d = . l O ~ m
In r
2 3 4 5 6 7 8 9 10
Output Width, Waul (J-lm)
Figure 4.5-6 Coupling coefficient, K versus active layer output width, Waul for three different
active region refractive indices in a linearly-tapered DFB waveguide structure.
It has been found that the coupling coefficient remains almost unchanged for Wout ~ 7 J-l m .
We should also note that the changes in the coupling coefficient of the tapered structure are
104
Chapter 4 Couplillg Coefficient of Gratil1g-EIIlbedded Devices
similar to the changes in the effective refractive index, which can be understood directly from
the equation (4.3-27).
In addition, three different types tapering profile have also been investigated. This will further
increase the coupling coefficient values without changing the material properties. Figure 4.S-7
indicates that the coupling coefficient for the linear-tapered profile increases more than the
other two types.
300
290
280
--..
.......
I
S 270
<..)
'-"

$:l"
260
<I)
.......
<..)

250
<I)
0
U
240
b1)
0
.......
........
<
230
0
U
220
I
I
210
/
200
1
/
I
I
/
I ....
f ....
I .. :
t.:
I
,I
,I'
J
I
"
".
/"
..
"
".
--
-
..
...
...
...
...
....
....
.....
nactive = 3.524 ; ncladding = 3.169
Win = ; d =
L =
__________________________________
2 3
Linear-Tapered DFB
Exponential-Tapered DFB
Semiexponential-Linear-Tapered (SELT) DFB
4 5 6 7 8 9
Output Width, WOUI (/-1m)
10
Figure 4.S-7 Coupling coefficient, K versus active layer output width, WOUI for linearly-
tapered, exponentially-tapered and SELT DFB structures.
For the SELT structure (see Figure 4.S-2(c)), the first section of the structure is the
exponential-tapered profile and therefore the coupling coefficient has the same value as that
of the exponential-tapered structure till the output tapering profile changes to the linear
tapering profile.
IDS
Chapter 4 ("Youplillg Coefficie11t of Gratillg-Elllbedded Devices
Figure 4.5-8 shows the effect of the length of the exponentially-tapered section Le for the
SELT structure on the coupling coefficient K. As predicted, the results show that the coupling
coefficient of the 1 st section is the same as that of the exponential-tapered structure whereas in
the 2
nd
section since the taper structure changes abruptly to the linear type, the coupling
coefficient increases and gradually reaches to that of the linear-tapered structure.
300
290
280
..-
.,....
I
E
270
u
..........
~
....... 260
c
Q)
'u
tt=
250
Q)
0
U
240
0>
c
0..
:::J
230
0
U
220
210
200
1 2 3 4 5
-- L
e
= 50llm
Le = 150llm
Le = 300llm
nactive = 3.524; ncladding = 3.169
L = 500llm; d = O. lOllm
Win = 1.01lm
6 7 8 9
Output Width, W
out
(Ilm)
10
Figure 4.5-8 Coupling coefficient, K versus output width, Waut for three different lengths in a
semiexponential-linear tapered (SELT) structure.
4.6 Summary
In this Chapter, two major techniques, which are commonly used in analysing the coupling
coefficient of the grating-embedded optical devices, namely coupled-mode theory (CMT) and
ray optics technique (ROT) are discussed. There is also a presentation on single spatial mode
configuration, which can be achieved in a broad stripe travelling-wave semiconductor laser
amplifiers by injecting a high intensity beam containing a single spatial mode of a dimension
106
Chapter 4 COUjJlillg Coefficient of Gratillg-Elllbedded Devices
comparable to the stripe width. Filamentation growth in such a device can be controlled at a
certain intensity related to the antiguiding factor and transverse wavenumber [57]. This
stringent requirement has resulted in the introduction of the taper stripe structure and very
similar to the broad stripe area laser amplifier, which has no lateral guiding mechanism. In
addition, the problem of the broad area laser amplifier in coupling light to the fibre waveguide
can easily be countered since one can design the tapered profile in such that index matching
can be obtained during the coupling.
The effects of the tapering profiles and coupling coefficient on the laterally tapered
waveguide distributed feedback laser diodes have also been studied based on the ray optics
technique (ROT). Without changing the grating period and the material properties, it is shown
that the coupling coefficient K can be altered by modifying the tapering profile as well as the
waveguide dimension. The coupling coefficient for three different types of tapering profiles
investigated are linear-tapered, exponential-tapered as well as semi-exponential-linear-tapered
(SELT) structures.
The linear-tapered DFB structure gives the maximum changes in the coupling coefficient as
well as effective refractive index compare with the exponential-tapered and SELT structure.
Different grating shape and groove amplitude will also provide different values of coupling
constants.
107
Chapter 5 Analysis & Design of Active
Grating-ElTIbedded Optical Filters
5.1 Introduction
In recent years, advances In wavelength-division-multiplexing (WDM) and dense
wavelength-division-multiplexing (DWDM) technology has enabled the deployment of
systems that are capable of providing large amounts of bandwidth [148]. Wavelength tunable
optical filters appear to be the key components in realising these WDMIDWDM lightwave
systems. Optical filtering for the selection of channels separated by 2nm is currently
achievable, and narrower channel separations would be possible in the near future with
improved technology [149]-[150]. This would indeed give more than 100 broadband channels
in the low-loss fibre transmission region of and/or wavelength bands, with
each wavelength channel having a transmission bandwidth of several gigahertzes.
In practice, grating-embedded semiconductor wavelength tunable filters are among the most
popular active optical filters since they are suitable for monolithic integration with other
semiconductor optical devices such as laser diodes, optical switches as well as photo detectors
[151]. As a result, A/4 -shifted distributed feedback laser diodes (DFB-LDs) are demonstrated
to be used as semiconductor optical filters when biased below threshold [152]-[153]. This is a
grating-embedded semiconductor optical device, which has advantages of a high gain and a
narrow bandwidth. However, the drawbacks are that the bandwidth and transmissivity will
change with the wavelength tuning [152]. Fortunately Magari et. al. have solved these
problems by using a multi-electrode DFB filter [154]-[155] in which a wavelength tuning
range of 33.3GHz with constant gain and constant bandwidth has been obtained by
controlling the injection current. Until then, various DFB-LDs designs have been developed
[156]-[158].
In this chapter, the wavelength selection mechanism is discussed in detail. Subsequently, the
idea of the transfer matrix method (TMM) is again thoroughly explored and the derivation of
solutions frOlTI coupled-wave equations are also discussed in detail. By converting the
108
Chapter 5 Active Grating-Embedded Optical Filters
coupled-wave equations into a matrix equation, these transfer matrices can represent the
wave-propagating characteristics of the DFB structures. Therefore, using this approach,
various aspects from different DFB optical filters to enhance the active filter functionality will
be investigated. Next, some of the issues, which are concerned with the distributed Bragg
reflector (DBR) semiconductor optical filters will also be studied.
5.2 Wavelength Selection
A narrowband transmission filter to reject unwanted channels as shown in Figure 5.2-1 can
also be used. If the filter is tunable, the centre wavelength (frequency) Ao can be shifted by
changing, for example, the voltage or the current applied to the filter.
Wavelength
Filter
Optical output
A.
I
Wavelength
Figure 5.2-1 Operation principle of wavelength selection.
Tunable filters can be classified into three categories: passIve, active and tunable LD
amplifiers, as shown in Table 5.2-1 [15]-[17]. The passive category is composed of those
wavelength-selective components that are basically passive and can be made tunable by
varying some mechanical elements of the filters, such as mirror position or etalon angle.
These include Fabry-Perot etalons, tunable fibre Fabry-Perot filters and tunable M-Z filters.
For the Fabry-Perot filters, the number of resolvable wavelengths is related to the value of the
finesse F of the filter. One of the advantages of such filters is the very fine frequency
resolution that can be achieved. The disadvantages are primarily their tuning speed and losses.
109
Chapter 5
Table 5.2-1 A comparison of filtering technologies [15]-[17].
Type
Resolution
Range
No. Tuning
Channels Speed
Etalon

ms
Fibre Fabry-Perot

ms
Passive
Waveguide Mach- 0.38A (5 GHz)
45A 128 ms
Zehnder
Fibre Bragg -2A
>50nm
ms
Gratings (FBGs)
Electro-optic
6A 160A
TE/TM
ns
Active
Acouto-optic
loA 400nm
1 O/-lS
TE/TM
DFB amplifier 1-2A 4-5A 2-3 Ins
Laser 2-section DFB
0.85A 6A
diode amplifier
8 ns
amplifiers
Phase-shift
9.5A (120
controlled DFB 0.32A (4 GHz) 18 ns
GHz)
amplifier
The Mach-Zehnder integrated-optic interferometer tunable filter is a waveguide device with
log2 (N) stages, where N is the number of wavelength. This filter was demonstrated with 100
wavelengths separated by 10 GHz in optical frequency, and with thermal control of the exact
tuning [159]. The number of simultaneously resolvable wavelengths is limited by the number
of stages required and the loss incurred in each stage.
In the active category, there are two filters based on wavelength-selective polarisation
transformation by either electro-optic or acousto-optic means. In both cases, the orthogonal
polarisations of the waveguide are coupled together at a specific tunable wavelength. In the
electro-optic case, the wavelength selected is tuned by changing the dc voltage on the
electrodes; in the acousto-optic case, the wavelength is tuned by changing the frequency of
the acoustic-drive frequency. A full-width filter bandwidth at half maximum (FWHM) of
approximately 1 nm has been achieved by both filters. However, the acousto-optic tunable
filter has a much broader tuning range (the entire 1.3 to 1.56/-lm range) than the electro-optic
type.
110
The third category of filters is the LD amplifier as tunable filter. Operation of a resonant laser
structure, such as DFB or DBR laser, below the threshold results in narrowband amplification.
These types of filters offer the following important advantages: electronically controlled
narrow bandwidth, the possibility of electronic tuning of the central frequency, net gain (as
opposed to loss in passive filters), small size, and integrability. This type of filter is becoming
more attractive since only the desired lightwave signal will be going through the cavity and
amplified simultaneously (thus it is also known as amplifier filter). We shall investigate the
principles and performance of these filters in detail.
5.3 Solutions of The Coupled-Wave Equations
In Chapter 2, the derivation of coupled-wave equations has been discussed in detail. The
characteristics of the DFB filters can be described by using these coupled-wave equations. In
the following analysis, we have assumed a zero phase difference between the index and the
gain term, hence the complex coupling coefficient could be expressed as:
(5.3-1 )
where K is the complex coupling coefficient. According to the equation (2.4.22) in Chapter 2,
the complex amplitude terms of the forward and backward propagating waves can be written
as [43]:
R(z) = R1e
rz
+ R
2
e-
rz
S(z) = Slerz + S2 e-
rz
(5.3-2)
(5.3-3)
where R R S and S are t
he complex coefficients and r is known as the complex
l' 2' 1 2
propagation constant depending on the boundary conditions at the laser facets.
By substituting equations (5.3-2) and (5.3-3) into equation (2.4.22) in Chapter 2, we have:
c; RI = iKe-in SI
(5.3-4)
,.. 'D.
c; R2 = i Ke-} S2
(5.3-5)
and
,.. 'D. (5.3-6)
c; SI = jKe} RI
'D.
(5.3-7)
c; S2 = iKe} R2
where
c; = as - j8 - r
(5.3-8)
,..
(5.3-9)
c; = as - j8 + r
III
in which as and 8 are the amplitude gain coefficient and detuning parameter, respectively. If
we compare both of the equations (5.3-6) and (5.3-8), a non-trivial solution exists if the
following equation is satisfied:
c; jK
P
=-=-
jK
(5.3-10)
Similarly, we can obtain the following dispersion equation, which is independent of the
residue corrugation phase, Q.
(5.3-11)
It is vital to note that in the absence of any coupling effects, the propagation constant is just
as - j8 . With a finite laser cavity length of L extending from Z = Zj to Z = Z2 , the boundary
conditions at the terminating facets become:
R(zj)e -jj3Bragg
Z
I = )ejj3BraggZI
S(z2)ejj3BraggZ2 = r2R(z2)e -jj3Bragg
Z
2
(5.3-12a)
(5.3-12b)
where and r
2
are the amplitude reflection coefficients at the laser facets ZI and Z2,
respectively. The above equations could be expanded in such a way that:
(1_prj)e2rZI
R - R
2 - / j
rj p-1
(5.3-13a)
(r2 - P )e
2rz2
R2 = / . R
j
1 p-r
2
(5.3-13b)
In the above equations, rl and r2 are the complex field reflectivity of the left and right facets,
respectively, such that
" -2jj3Bragg
Z
2 -jn _" -j'112
r
2
= r
2
e e - r
2
e
(5.3-14a)
(5.3-14b)
where \{II and \{I2 are the corresponding corrugation phase at the facets. Equations (5.3-13a)
and (5.3-13b) are homogeneous in RI and R
2
Hence, in order to obtain a non-trivial solution,
we must satisfy:
(1- prj )e
Zrzl
(r2 - P )e
2rz2
-
(5.3-15)
rj - p 1- pr2
After further simplification of equation (5.3-15), the following eigenvalue equation can be
obtained [61]:
Y L = - L) . {(r, +r, XI- r,r, )cosh(Y L) (I +
(5.3-16)
where = (rj + r
2
r sinh
2
(y L)+ (1- rjr2 Y
(5.3-17a)
112
Chapter 5 Active Grating-Enlbedded Optical Filters
(5.3-17b)
Eventually, we are left four parameters, which govern the threshold characteristics of the DFB
laser structures - the coupling coefficient, 1<; the laser cavity l e n g t ~ L, and the complex facet
reflectivities rl and r2. Owing to the complex nature of the above equation, numerical
methods like the Newton-Raphson iteration technique can be used provided that the Cauchy-
Riemann condition on the complex analytical functions is satisfied.
5.3.1 The dispersion relationship and stopbands
As noted in Chapter 2, for a purely index-coupled DFB-LD, K = K
j
. For such case, the
dispersion relation of equation (5.3-11) is analysed graphically as depicted in Figure 5.3-1.
When the detuning parameter, 8 = 0 (Bragg wavelength), the complex propagation constant,
1. is purely imaginary when as<K(or as < 1). This indicates evanescent wave propagation in
K
which the region is known as the stopband [160]. Within this band, any incident wave is
reflected efficiently. On the contrary, when as>K(or as > 1), the propagation constant, ywill
K
then become purely real in value.
2.0
It
~
1.5
i\i 1.0
Q)
a::
0.5
(a)
1.5
It
~ 1.0
0>
~
0.5
2.0
(b)
Figure 5.3-1 Normalised dependence of real and imaginary parts of ron Sand the amplitude
gain, as for a purely index-coupled DFB-LD.
113
Chapter 5
As predicted, when as increases, the imaginary part of the propagation constant, r decreases
appreciably while the real part increases significantly. Consequently, when the waves
propagate away from the Bragg wavelength, the imaginary part of the propagation constant, r
increases in faster pace than the real part at a given amplitude gain, as. Physically, it means
that the wave will be attenuated when it propagates away from the Bragg. It is paramount to
note that, we have considered Re(r) > 0 .
5.3.2 Formulation of transfer matrix
From equations (5.3-4) to (5.3-9), we can simply relate the complex coefficients as [61]:
S = peJOR
, ,
And thus equations (5.3-2) and (5.3-3) become:
(5 .3-18)
(5.3-19)
R(z) = R1e
rz
+ pS2e-JOe-rz (5 .3-20)
S(z) = pRJ eJoe
rz
+ S2e-rz (5.3-21)
As shown in Figure 5.3-2, the corrugation inside the DFB laser is assumed to be extended
from z = z 1 to z = Z 2
ER(ZI) 2ZZZ77777 7/777777/777777/7777ZZ777777-LZj ER(Z)
. . . . ; . . . . . . j . ~ Distributed Feedback ";1
E()
~ ~
sZ, ~ = = = = = = = = = = = = ~ = ; = = ~ = = = = = = = = = = = = = = ~
active region
Figure 5.3-2 A simplified schematic diagram for a one-dimensional corrugated DFB laser
diode section.
The amplitude coefficients at the left and right facets can then be written as:
R(z,) = R,e
rz
, + pS2e-JOe-rz,
S(zJ = pR1 eJOe
rz
, + S2
e
-
rz
,
R(Z2 )= R
1
e
r
=2 + pS2e-jOe-rZ2
S(
z ) -- p ~ e
J
Oe
r
=2 + S e-
r
=2
2 -- 1 2
114
(5.3-22a)
(5.3-22b)
(5. 3-22c)
(5.3-22d)
Chapter 5
From equations (4.2-16a) and (4.2-16b), Rl and S2 can be expressed as:
R _ pS{zJe-
in
- R{zl)
I - (p2 - l ~ Y Z '
(5.3-23a)
S _ pR{zl )e
in
- S{zJ
2 - (p2 - l ~ - Y Z '
(5.3-23b)
Subsequently, by substituting the above equations into equations (4.2-16c) and (4.2-16d),
there is:
R{z ) = E - p2 E-
I
R{z )_ p(E - E-
I
k-
in
S{z )
2 12 I 12 I
-p -p
(5.3-24a)
S{z ) = p(E - E-
I
kin R{z )_ p2 E - E-
1
S{z )
2 12 I 12 I
-p -p
(5.3-24b)
where
(5.3-24c)
Note that, the electric field at the output plane Z2 can be expressed in terms of the electric
waves at the input plane. Given the solution of the coupled-wave equations from the equation
(2.4.22) as:
E{z)= R{z)e -ifJBragg
Z
+ S{z )eifJBraggZ (5.3-25)
Equations (5.3-24) are then combined with the solution of the coupled-wave equations. The
output and input of the electric fields through matrix approach can therefore be related as
[161]-[162]:
(5.3-26)
where the matrix T{Z2 I zJ represents any wave propagation from z = Zl to z = 22 and its
elements tij (i, j = 1,2) are given as:
tIl = (E - p2 E-
I
). e -ifJBragg(Z2-
Z
,) /(1- p2)
tl2 = p(E - E-
I
). e-
in
e -ifJBragg(Z2+
Z
,) /(1- p2)
t21 = -p(E - E-
I
). e
in
eifJBragg(Z2+Z,) /(1- p2)
t22 = _(p2 E _ E-
I
). eifJBragg(Z2-Z,) /(1- p2)
Or from equation (4.3-24) in hyperbolic functions [154]:
115
(5.3-27a)
(5.3-27b)
(5.3-27c)
(5.3-27d)
Chapter 5
(5.3-28)
where
(5.3-29a)
(5.3-29b)
(5.3-29c)
(5.3-29d)
Owing to the conservative of energy, the detenninant of the matrix T(Z2 I zJ must always be
unity [161]. That is:
(5.3-30)
5.3.3 Solutions of complex transcendental equations using the Newton-
Raphson approximation
Transcendental equations will be fonned in order to find the threshold gain of the DFB-LDs
[163]. In general these equations can be expressed in complex fonn such that:
w( z ) = U(z) + j V (z ) = 0
(5.3-31)
in which the argument z = x + jy is indeed a complex number while U(z) and V(z) are the
real and imaginary parts of the transcendental equations.
If W(z) = 0, the real and imaginary parts will subsequently be zero values. If the first-order
derivative of equation (5.3-31) with respect to z is taken as:
aw(z) = au(z) + j av(z)
az az az
= au(z). ax + j(av(z). ax)
ax az ax az
(5.3-32)
= au( z) + j a v( z ) .: ax = 1
ax ax az
116
By using the Taylor's series, the functions U(z) and V(z) can be approximated about the
exact solution (xapprox, Yapprox) such that:
U(x,ppm'y'PP"J = U(x,y)+ ~ ~ (x,pp"x -x)+ : (y,ppm - y) (5.3-33)
V(x,ppmx,y'PP"J= V(x,y)+ : (x,pp,," -x)+ a;; (Y,ppm - y) (5.3-34)
where the (x, y) is the initial guess which is chosen to be sufficiently close to the exact
solutions. The other higher order derivatives terms from the above Taylor's series have been
ignored. Thus, by solving the above simultaneous equations, there is:
au av
V(x, y)ay - u(x, y)ay
xapprox = X + - - - = - - - - - ~ -
det
(5.3-35)
av au
u(x, y)fu - v(x, y)fu
Yapprox = Y + det
(5.3-36)
where
det = ( ~ ~ ) 2 + ( a;; )'
(5.3-37)
For an analytical complex function W(z), the Cauchy-Riemann condition must be satisfied
[164]:
au av
ay ax
(5.3-38)
The partial differential with respect to y, a/ay will then be replaced with a/ax using the
above Cauchy-Riemann condition, there shall be:
(
au)2
det = 2 ax
(5.3-39)
av au
v(x, y)- + u(x, y)-
ax ax
(5.3-40)
xapprox = x-
det
Only the first-order derivatives au/ax and av/ax are used to solve equation (5.3-32).
Initially, a pair of (x, .1') is guessed in order to start the numerical iteration process. A new pair
of (xapprox' .1'approx) guessing is then generated until it is sufficiently close to the exact solution.
117
Though there are many other numerical methods to solve transcendental equations, this
method is used due to its flexibility and speed. Besides, any errors associated with other
numerical methods such as numerical differentiation can be avoided. However, the derivative
term 8W / 8z must be solved analytically before any numerical iteration is solved. Another
numerical method in which the term 8W / 8z cannot be solved analytically for the case of
tapered structure DFB-LDs shall be discussed.
5.4 Threshold Analysis of the DFB Laser Diodes (LDs)
For a conventional DFB laser with a zero facet reflection, the threshold eigenvalue equation
(5.3-16) becomes:
ir L = K Lsinh(r L)
(5.4-1 )
The above transcendental equation is then solved using the Newton-Raphson iteration
approach in which the coupling coefficient is given. The results obtained are shown in Figure
5.4-1.
Note that all parameters used have been normalised with respect to the overall cavity length L.
Different values of normalised coupling coefficient KL ranges from 0.25 to 5.0 have been set.
As predicted mathematically, there exist two pairs of possible solutions for each oscillation
modes (complex conjugate). Thus, from the results, we can see that the oscillating modes
distribute symmetrically with respect to the Bragg wavelength in which the normalised
de tuning coefficient is zero can be seen. In addition to that, no oscillation can be found at the
Bragg wavelength. This region between the + 1 and -1 modes are called the stopband as
discussed in section 5.3.1. From the Figure 5.4-1 too, it can be seen that when the coupling
strength increases, the normalised amplitude gain will decrease, or in other words, the
threshold current will be decreasing. This is because a larger value of KL indicates a stronger
optical feedback along the DFB cavity. Similarly, if the coupling strength is fixed, longer
cavity length will also reduce the threshold gain since a larger single pass gain can be
achieved easily.
118
Chapter 5
4
~
d'
......
ro
(j
Q) 3
"'d
B
......
..-.
~
"2 2
en
......
..-.
ro

o
Z
1
-5 mode
-4 mode
-3 mode
-2 mode
-1 mode
+5 mode
+4 mode
+3 mode
+2 mode
+1 mode
o ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ U l l ~ ~ ~ ~ ~ ~ ~ ~
-20 -15 -10 -5 o 5 10 15 20
Normalised Detuning Coefficient, 6L
KL=

o

o

0.25
0.50
1.00
2.00
3.00
4.00
5.00
Figure 5.4-1 The normalised amplitude gain versus the normalised detuning coefficient of a
uniform index-coupled DFB LD.
In the laser operation, the main (fundamental) mode is large and the submodes are sufficiently
suppressed because the coupling between the main mode and the submodes is large and as
such, the gain concentrates on the main mode. However, if the DFB-LDs were to be used as
amplifier filters, the lasers will then be biased below the lasing threshold, therefore the gain
difference between the main mode and the submodes is always smaller than that of laser
operation. As a result, the wavelength tuning range for an optical amplifier filter is smaller
than that of a laser.
5.4.1 Phase discontinuities in DFB-LDs
The analysis of phase-adjusted DFB-LDs is rather similar to the conventional DFB-LDs
described in the previous section. The only difference is that the boundary conditions at the
119
phase-shift position (PSP) have to be matched. Whenever a propagating wave travels pass a
phase discontinuity along the corrugation, it will then experience a phase delay.
As noted earlier, TMM is used since it can easily match the boundary conditions by cascading
the matrices. Thus, the phase discontinuity along the cavity of the DFB-LDs can be best
explained by using a two-section DFB structure with a single-phase shift at the centre of the
corrugation as depicted in Figure 5.4-2. z; and z; is assumed to be the slight deviation from

Distributed
7 7 7
Z Z Z ZZ Z ZZ 7 Z / Z ZZZZj
I I
I I I
Figure 5.4-2 Schematic diagram of a single phase-shifted DFB-LD.
If the distance between Zo and z; is infinitesimal, we can relate the electric fields at z; and
z; as follow:
[
E R (z; )] = [e
JO
0.]. [E R (z; )l
Es(z;) e-
Jo
Es(z;)J
= pO. [E R (z; )l
Es(z;)J
(5.4-2)
where pO is the phase discontinuity matrix, which causes the complex electric field delay of e
at z = zO' By applying the phase discontinuity to equation (5.3-26) and follow the steps
below:
[
E R (z; )1 = T 1 [E R (z \ )]
Es(z;) Es(z\)
(5.4-3)
where TI is the transfer matrix, which is defined in equations (5.3-27a) - (4.3-27d).
(5.4-4)
120
Chapter 5
(5.4-5)
If the above concept is employed for N-section (N ~ 1) multiple-phase-shifted (MPS) DFB-
LDs structure, the general TMM equation can be expressed as
(5.4-6)
These include the novel three-phase-shift DFB-LD proposed by P. W. Tan et. al. as shown in
Figure 5.4-3 [166].
Figure 5.4-3 Analytical model for 3-phase-shift DFB-LD structure.
As shown in Figure 5.4-4 for the case of a uniform structure, there are two lowest modes of
the same gain, which implies that the gain margin is zero. Therefore, it is not possible to
achieve single longitudinal mode (SLM). Nevertheless, if a single phase-shift of nl2 is
introduced at the middle of the DFB cavity, there exist the lowest mode threshold gain at the
Bragg wavelength (5L = 0). This is an interesting feature in which SLM happens.
121
Chapter 5
o
2.5
1.0
o r-----------------, 0
3-Phase-Shift DFB-LD (n13 x 3)
o Single Phase-Shjft DFB-LD (nI2)
T Conventional DFB-LD
__________
o

o
T 0
KL = 2.00 ; L = 500Jlm
A = 0.21Jlm

o
o

o
O. 5
-20 -15 -10 -5 o 5 10 15 20
Normalised Detuning Coefficient, 8L
Figure 5.4-4 The normalised amplitude gain versus the normalised detuning coefficient of
three different index-coupled DFB LD structures: 3-phase-shift, single phase-shift and
conventional.
It is also interesting to consider the electric field intensity in these structures. By solving the
threshold condition of equation (5.4-6) with appropriate boundary condition, the thresholds
gain of the main mode, a and the detuning coefficient, 8 is obtained. Substituting these
parameters back to equation (5.4-6), the forward and backward electric field intensity, ER and
E
s
, respectively can be obtained. The total electric field intensity after the waves propagate
along the cavity is then given by:
(5.4-7)
122
Chapter 5
2.5

Single A.l4 Phase Shift
;:j
/

2.0
"-'"
0
......
en

Q)
.......

1.5
.......
"'d
-
Q)
......

u
......
.]:j
1.0
u
Q)
--<

0.5
3-Phase-Shift Structure
O. 0
0.0 0.2 0.4 0.6 0.8 1.0
Normalised Position along Cavity
Figure 5.4-5 Intensity plots versus the normalised position along the cavity of three different
index-coupled DFB LD structures: 3-phase-shift, single phase-shift and conventional.
Figure 5.4-5 depicts the electric field intensity plot versus the normalised position along the
DFB-LD cavity. For the uniform conventional DFB-LD structure, the electric field intensity is
a smooth curve reaching a maximum point at the centre of the cavity. However, for the case
of the single phase-shift DFB-LD structure, the electric field intensity exhibits a peak point at
the centre of the cavity. This point tends to lead to instability due to a phenomenon known as
Spatial Hole Bunling (SHB). SHB is the phenomenon in which the depletion of the injected-
charge carriers is caused by strong stimulated recombination in regions of high photon
density. In DFB, the effects of SHB will cause the variations in the carrier density, and thus
variations in the real refractive index and gain, which in turn causes the magnitude and phase
of the feedback from the grating to change. All these factors change the longitudinal mode
intensity distribution and alter the gain suppression of the side modes relative to the lasing
mode. This leads to the idea of introducing three phase-shifts along the cavity to reduce the
discontinuity level of the electric field intensity.
123
Chapter 5
5.4.2 Below threshold characteristics
The amplification characteristics of the conventional DFB-LDs are calculated under the low
input power saturation. From Figure S.3-2, when ZI = 0 and Z2 = L, the equation (S.3-28)
becomes
where
and
a:
8:
K'.
L:
f:
go:
10:
[
R(L)] = [/; 1
S(L) 121
/;2]. [R(O)]
122 S(O)
L] (a - i8)L. [ ]
/; 1 = coshllL + SInh yL
yL
/;2 = -i KL sinh [YL]
yL
121 = i KL sinh [YL]
yL
[ ]
(a - i 8)L. L]
122 = cosh yL - SInh ilL
yL
2a = ig
o
-a
o
the mode gain per unit length
the detuning propagation constant from the Bragg condition
coupling coefficient
cavity length of the DFB-LD amplifier
confinement factor
local gain per unit length
loss coefficient per unit length
(S.4-8)
(S.4-9a)
(S.4-9b)
(S.4-9c)
(S.4-9d)
(S.4-10)
An optical signal injected into the DFB-LD amplifiers is then amplified by the optical gain. In
the calculations, both the facet reflectivities of the laser amplifier are assumed to be zero.
Consequently, the power of the injected optical signal, Pin and the amplified transmission
output power P
amp
is connected with IR(O f and IR(L by the boundary conditions,
respectively. A signal gain G, which is defined by the ratio of the P
amp
to Pin, is then given by
using equations (S.4-8) and (4.4-9):
G
Pamp h(,T) (a-i8)L
= --= = cos ylJ - Sl ylJ
yL
(S.4-11 )
The computed results are shown in Figure S.4-6. The parameters used in the calculations are
1\-[ = 2.9, L = 300j111l , and A = 0.3962J1ffi .
12.+
Chapter 5
,-.,
co
"'0
'-'
s:::
.......
ro
0
.........
ro
s:::
bD
.......
r./.J
30
.................
------
-"-.. - ..
20
- __ a
10
o
o 5
a= O.98a
th
a= O.96a
th
a= O.94a
th
a= O.92a
th
a = O.90a
th
10
L = 300J..lm, KL=2.9
ABragg = 1.30J..lm
A = 0.3962J..lm
15
Relative Wavelength (A)
20
Figure 5.4-6 Calculated gain profiles of a conventional DFB-LD.
In fact, the gain spectrum of the amplifier has two identical peaks that are symmetric to the
Bragg wavelength, ABragg' It is important to note that the injected light signal is hardly
amplified in the vicinity of the Bragg wavelength, and this region is known as the stopband,
which has been further discussed in section 5.3.1. As the gain, a increases, the maximum
signal gain G
max
increases and the FWHM bandwidth (the gain bandwidth of full width at half
maximum) becomes narrower and shifts towards the Bragg wavelength through the refractive
index change due to the injected carrier, which is given as [154]:
(5.4-12)
5.5 Active Tunability DFB-LD Amplifier Filters
In 1992, T. Nunlai et. al. proposed a 1 . 5 ~ l l n phase-controlled (PC) DFB as depicted in Figure
5.5-1 [156]. The PC section does not have an active layer and therefore the gain of the filter
and the transmission wa elength can be controlled independently.
125
tuning current
(I tuning)
Figure 5.5-1 Schematic diagram of the phase-shift-controlled DFB-LD [156].
Although the carrier inj ection into the PC section causes a slight gain change, the gain is
compensated almost independently of wavelength by an injection current into the active
section [152], [154]. In addition, each section is electrically isolated from one another by
approximately wide etched grooves formed on both sides of the centre mesa stripe
area [156]-[157].
Since there is no active section and no grating in the planar PC section (i.e. a = 0 and K = 0),
the transfer matrix for the electric field of this section can be simplified from equations
(5.3-26) and (4.3-27):
[
ER(Zi+l)] = \}'(Zi+l I zJ. [ER(zJ]
ES(Zi+l) ES(Zi)
(5.5-1)
where \}'(Zi+l I Zi) is the diagonal transfer matrix given by:
'I'{Zi+1 I Z,} = [exPd'l') '1')]
= [exp(r pLp -0 Jj3Bragg
L
p ) 0 l
exp- (r pLp - Jj3Bragg
L
p)J
(5.5-2)
in which the r p is the r value in the PC section while Lp is the PSC section length. In fact, the
phase shift, Q, is given as [167]:
(5.5-3)
126
Chapter 5
where nactive is the effective index for the active section while npc is the effective index for
the PC section.
When the current is injected (carrier density increases) into the PC section, npc decreases due
to a phenomenon known as free-carrier plasma effect and the phase-shift n increases
according to equation (5.5-3). The relationship between the refractive index and the presence
of free carriers was originally proposed as a mechanism for light confinement in diffused
junction lasers [167]. For certain materials such as lithium niobate (LiNb0
3
) and gallium
arsenide (GaAs), the permittivity can be changed through application of an electric field [46].
The change is directly proportional to the applied electric field and independent of the
direction of the applied field (isotropic material). The applied current density is given as [62]:
(
ne2 J
J = eYE = j m OJ E
(5.5-4)
where eY is the conductivity, n is the number of free electrons per unit volume, m and OJ is the
mass of an electron and angular frequency, respectively. E is the electric field. From equation
(5.5-4), the conductivity is a function of carrier density and optical frequency and as discussed
in Chapter 2 (see Section 2.3.1), it can be noted that the changes in carrier will then affect the
conductivity. This subsequently affects the permittivity and the refractive index of the
waveguide. Hence, the final observation is that the passband will be shifted towards the
desired wavelength, which is known as the tuning capability.
Figure 5.5-2 depicts the working prototype of the multi-electrode DFB-LD amplifier filter
proposed by Magari et. al. in 1987. A continuous wavelength tuning range of 33.3 GHz was
demonstrated experimentally in the laboratory. The two electrodes are optically coupled but
electrically isolated. The gain and the transmission wavelength are controlled by the
respective current injection. Therefore, the overall gain of the DFB-LD amplifier is kept
constant, when the carrier density of one section increases, the other section's carrier density
decreases.
127
Chapter 5
Figure 5.5-2 Structure of DFB-LD and the transmission spectrum for a multi-electrode DFB
optical filter proposed by Magari et. al. [155].
In order to achieve a wider tuning range, the phase-controlled (PC) [156] and the phase-shift-
controlled (PSC) [157] DFB-LD amplifier filter are subsequently proposed. This is illustrated
in Figure 5.5-3 and Figure 5.5-4, respectively.
ACllve PC
Sec, 160 Ion
octlve
layer
wCNe:gulde
loyer
30
10
P!n'-40dBm
" r. 1 I I { A}
Cllpm
r 1 t 22.5.-2.6
1 il i1 21.6, 1.6
! " I A 22.. i 1 2.9
I \' l \
f I>!, 1\
i .....

'-5440 [,5450
Wavelength (;LLm)
Figure 5.5-3 Structure of DFB-LD and the transmission spectrum for a Phase-Controlled
optical filter proposed by T. Numai [156].
From Figure 5.5-3, the active section amplifies the input light signal and controls the gain
while the PC section controls the transmission wavelength using electro-optic effects. 43 GHz
of continuous wavelength tuning range was reported with 5 GHz (O.4A) of constant
bandwidth measured at full-width at half maximum (FWHM) while maintaining 27-dB
constant gain.
128
Chapter 5
The main mode whose gain is the largest in the DFB-LD amplifiers is used for wavelength
tuning. However, the tuning range is retracted by the sub-modes whose gain is smaller than
the main mode. This is because the gain of the sub-modes increases during the wavelength
tuning. T. Numai proposed another design in order to suppress the intensity of the sub-modes,
which is known as the phase-shift-controlled (PSC) DFB-LD amplifier filters as shown in
Figure 5.5-4. This structure has a phase-control (PC) section in between the two active
sections.
Active- Phase Control section
'0 Ip
:-6-:
Ac UVf' lo)"" IOytr
120GHz (9.5.1\)
10 ; Ip
1'1 ; 1.0
(:J 2!..7: 8.0
... 2Al : 1l0
A 314 :K8
Wovelengt h J
Figure 5.5-4 Structure ofDFB-LD and the transmission spectrum for a Phase-Shift-Controlled
optical filter proposed by T. Numai [157].
As noted earlier, the PC section does not have an active layer. Carrier injection into the PC
section causes a slight gain change because of the loss in the PC section. However, since the
gain change is small, it is then compensated almost independently of the wavelength by an
injection current into the active sections. A tuning range as wide as 120 GHz (9.5A) was
achieved with nearly constant bandwidth Of 12 to 13 GHz while maintaining 24.5-dB constant
gam.
5.6 Structural Impacts on the DFB-LD Amplifier Filters
In this section, we shall look into the structural impacts on the DFB-LD amplifier filters.
There are several factors, which need to be considered in order to obtain a good bandpass
filter response with high gain and wide tuning range. Since the electro-optic effects are used
in the phase-shift-controlled section to tune the lasers, the tuning speed should be in the range
129
Chapter 5
of several nanoseconds [168]. However, the main-mode and side-mode gain can cause severe
problems to researchers and engineers. This can be measured by side-mode suppression ratio
(SMSR), which is the ratio of the highest peak to the second highest peak of the power
transmissivity. Table 5.6-1 outlines the relationships among the transmission system
parameters, filtering properties and the countermeasures to improve the desired system
parameters [168]-[ 170].
Table 5.6-1 Relations among desired transmission system parameters, filtering properties, and
countermeasures [168]-[170].
Desired transmission (or Filtering properties for better
Switching) system system parameters
Countermeasures to
filtering properties
improve
parameters
Large number of
WDM/DWDM light
signals.
Wide dynamic range of
received optical power.
Good stability.

Large side-mode

suppression ratio (SMSR).
Small channel bandwidth.

Large saturation gain.

Large signal to noise ratio.

Small drifts of tuning
wavelength and gain due to
temperature and injection
current drifts.
Cavity mirror loss difference
between main-mode and
submode should be increased.
Coupling strength should be
increased.
Confinement factor should be
decreased.
Active layer length should be
decreased.
Temperature & injection
current deviation should be
decreased.
By adopting each countermeasure listed in Table 5.6-1, better amplification and improved
filtering response can be obtained. Nevertheless, the countermeasures must be justified since
in these will influence the desired transmission system parameters between each other. This
will be discussed in a later section.
5.6.1 Phase-shift-col1trolled DFB-LD amplifier filter
The effects of various parameters of the phase-shift-controlled DFB-LD amplifier filter
proposed by T. Numai [157] as shown in Figure 5.6-1 is discussed. These parameters include
the grating pitch, and the length of the active DFB region as well as that of the phase-
controlled region.
130
Chapter 5
Active DFB Region
Phase-Controlled
Region
Active DFB Region
A
I ...
~ I
Figure S.6-1 Schematic diagram of the phase-shift-controlled DFB-LD amplifier filter
proposed by T. Numai [IS7].
Table S.6-2 summarises the characteristics of phase-shift-controlled DFB-LD amplifier filter
for five different structure parameters.
Table S.6-2 The characteristics of phase-shift-controlled DFB-LD amplifier filter for different
structure parameters.
Type Description
Transmissivity Tuning range SMSR Bandwidth
peak (dB) (A) (dB) (GHz)
A. LI = L3 = 200/-lm;
L2 = 100/-lm; A =
33.2 to 36.1 -9.S to 9.S IS.9 to 29.2 2.91
0.2380/-lm; K=
60cm-
1
; neff = 3.7
B.
LI = L3 = 200/-lm;
L2 = IS0/-lm; A =
33.2 to 36.1 -9.S to 9.S IS.9 to 29.2 2.91
0.2380/-lm; K=
60cm-
1
; neff= 3.7
C.
Ll = L3 = IS0/-lm;
L2 = 100/-lm; A =
36.0 to 37.2 -11. 0 to 11. 0 13.7 to 27.2 4.8
0.2380/-lm; K=
60cm-
l
; neff= 3.7
D. LI = L3 = 200/-lm;
L
2
= 100/-lm; A =
29.9 to 3S.3 -11. 0 to 11. 0 18.6 to 31.0 2.02
0.2380/-lm; K=
80cm-
l
; neff = 3.7
E.
LI = L3 = 200/-lm;
L2 = 100/-lm; A =
0.30/-lm; K =
34.3 to 36.2 -13.6 to 13.6 16.l to 29.7 3.79
80cm-
l
; neff=
2.S9
We classify each structure by type A, B, C, D and E. The data is obtained by changing the
phase of the phase-shift-controlled region in steps of O.ln from n = On to 2n. When the
131
Chapter 5
grating pitch alters, the effective refractive index for the active region subsequently changes
in order to maintain the Bragg wavelength at 1 . 5 5 ~ m since for 1
st
-order gratings, the Bragg
condition is:
27mefJ n
A Bragg A
(5.6-1 )
where ABragg refers to the Bragg wavelength.
Figure 5.6-2 shows the computed transmissivity power in dB for type A DFB-LD amplifier
filter [157]. It is obvious that there is no overlapping in the passband transmission response as
the phase-shift-controlled section, n is tuned from On to 2n. The tuning range is counted from
n = O.ln to n = 1.9n since the SMSR for n = On and n = 2n is zero and is not suitable for
wavelength selection. The transmission spectrum is symmetrical at about zero relative
wavelength. As the phase-shift value n increases, the wavelength of the main-mode shifts
toward the shorter wavelength side (blue shift).
40
30
co
~
L..
20
Q)
~
0
a..
~ 10
: ~
(/)
.!!?
E
0
(/)
c
ro
L..
f-
-10
-20
-20 -15 -10 -5 0 5 10 15 20
Relative Wavelength, A- ABragg (A)
Figure 5.6-2 Transmission spectra for Type A DFB-LD amplifier filter with various values of
n. a)O.On, b )O.ln, c )0.2n, d)0.3n, e )O.4n, f)0.5n, g)0.6n, h)0.7n, j)0.8n, k)0.9n, 1) l.On,
m)1.ln, n)1.2n, p)1.3n, q)l.4n, r)1.5n, s)1.6n, t)1.7n, u)1.8n, v)1.9n, and w)2.0n.
When the length of the phase-shift-controlled region increases as described in type B DFB-
LD amplifier filter there will be no significant change in the tuning range, SMSR, band" idth
132
and the transmissivity peaks. However, based on our simulation results, the threshold gain. a
increases approximately 100/0. Consequently, for type C DFB-LD amplifier filter in which the
length of the active DFB region is reduced while maintaining the length of the phase-shift-
controlled region, the tuning range increases but at the expense of increasing the passband
bandwidth.
For type D DFB-LD amplifier filter, the coupling coefficient is altered to 80 em-I. It is found
that the tuning range increases about 160/0 compared to the type A amplifier filter proposed by
T. Numai. The passband bandwidth is approximately 2.02 GHz - ~ 3 1 % less than the type A.
Thus, within the tuning range, more channels can be fitted in. Eventually, when the grating
pitch is increased while preserving the other parameters, the tuning range is further increased
but at the expense of the increasing passband bandwidth. The transmissivity peak variability
is found to be smaller compared to other types of amplifier filter.
5.7 Proposed Multisection and Phase-Shift-Controlled
DFB-LD Amplifier Filter
In this section, the characteristic performance of the proposed novel multi section and phase-
shift-controlled DFB-LD amplifier filter has been analysed as shown in Figure 5.7-1 judging
from the structural impacts on the DFB-LD amplifier filters. In order to obtain a uniform gain,
identical passband bandwidth, and mode stability, the injection current I pumping the DFB
active regions should be from the same source. Also, the tuning current, Ituning pumping the
phase-shift-controlled regions should be identical.
133
Chapter 5
injection
current (1)
tuning current

- ".1. .1. .1.
L1 L2 L3 L4 L5 L6 L7 L8 L9
Figure 5.7-1 Analytical model for the multi section and phase-shift-controlled DFB-LD
amplifier filter.
This model is designed such that the total cavity length of the device is 600J...lm and thus can
monolithically be integrated with the photodiode detector. As depicted in Figure 5.7-1, the
current injection into the DFB active region is uniform, whereas the tuning current into the
entire phase-controlled (PC) regions is identical. The phase-shifts, rh and th are fixed to be
equal to 1[/2 and the length of PC sections L2 = Ls = Lg = 50J...lm. The lengths of the active
sections, which are optimized based on the phase-shift-position (PSP) in order to give
maximum tuning range [49] are shown in Table 5.7-1. In addition, K1 = K2 = K is assumed.
Table 5.7-1 Parameters used in the analysis to obtain maximum tuning range.
Parameters
Phase shifts, rh and rh
Phase-shift-controlled section, L2 = Ls = L8
Active region length, Ll
Active region length, L3 = L7
Active region length, L9
Value
nl2
600J...lm
50J...lm
92J.!ffi
26J...lm
102J...lm
102J.!m
From section 5.3.2, by multiplying the matrices representing the planar phase-shift-controlled
(PSC) sections, and the corrugated DFB sections together, the overall transfer matrix for the
structure shown in Figure 5.7-1, becomes:
134
Chapter 5
(5.7-1)
where T is the transfer matrix as shown in equation (5.3-26) and its superscripts indicate the
sections number. P is the transfer matrix as in equation (5.4-2), representing the phase-shifts
in between the DFB regions. For the PSC section, the transfer matrix \}' is represented in
equation (5.5-2). From equation (5.7-1), the power transmissivity Tis defined as:
(5.7-2)
Hence, the threshold gain ath and the detuning parameter 8 can be obtained by solving the
following equation numerically:
(5.7-3)
Subsequently, for the computation of the power transmissivity of the amplifier filter, we have
used a = O.98a
th
in order to achieve higher output power and smaller bandwidth as discussed
in section 5.4.2. Thus, the power transmissivity of the filter is:
2
T= 1
T22 (a = O.98a
th
, 8)
(5.7-4)
Equation (5.7-3) has been solved numerically to analyse the amplifier filter structure shown in
Figure 5.7-1. For a given value of K, the numerical solution of equation (5.7-3) gives various
oscillations modes of the device. The one having the lowest threshold gain is the main mode
whereas submodes are the modes where the threshold gain is larger than the main mode. For
filtering operation, the gain of the device is biased slightly below the threshold gain of the
main mode. The normalised detuning coefficient of the main mode determines the amount of
deviation of the of the oscillation wavelength from the Bragg wavelength. The oscillation
wavelength is the center wavelength of the filter. As noted earlier, for a given Q, the
sidemodes suppression ratio (SMSR) is defined as the ratio of the highest peak to the second
highest peak of the filter power transmissivity. It determines the amount of interference from
the channel at the side-mode wavelength. As the center wavelength drifts away from the
135
Bragg wavelength, the SMSR reduces. If the SMSR is larger than 10dB, then the adjacent
channel interference would be minimal [1 71].
Figure 5.7-2 shows the calculated transmission spectra of the filter for various values of the
phase shift n ranging 0 to 2n. The horizontal axis is the relative wavelength defined as A -
ABragg where A is the operating wavelength of the filter, ABragg = 2 neff A = is the Bragg
wavelength, and neff is the effective refractive index. Note that all the parameters used in the
analysis are based on [149] and it has shown approximately of 21.7% increase in the tuning
range. When the grating period and coupling coefficient of and 6mm-
1
were
respectively used, the relative wavelengths was at 16.oA. This gives the filter wavelength
tuning range of 32A. The filter peak gain varies 34.1 to 36.25 dB with maximum deviation of
2.l5 dB. The SMSR ranges from 12 to 27 dB.
40
(Q 30
"'0

20
II)
II)
E
II)
c 10
ro
....
I-
....
ID
0
a..
-10
avutsrqPnmlk hgfedcba

-25 -20 -15 -10 -5 0 5 10
15 20 25
Relative Wavelength, A
Figure 5.7-2 Power transmissivity versus relative wavelength (A - ABragg) for the following
different values of n. Also K= 6mm-
1
and A = (a) = 0, 2n. (b) = O.ln, (c) = 0.2n, (d)
= O.3n, (e) = OAn, (1) = 0.5n, (g) = 0.6n, (h) = 0.7n, (j) = 0.8n, (k) = 0.9n, (1) = n, (m) = 1.1n,
(n) = 1.2n, (P) = 1.3n, (q) = lAn, (r) = 1.5n, (s) = 1.6n, (t) = 1.7n, (u) = 1.8n, (v) = 1.9n.
To investigate the effect on the grating period A on the filter performance, the value is
increased to while maintaining the rest of parameters. The result is shown in Figure
136
Chapter 5
5.7-3. In this case when n = 0 or 2n the relative wavelengths are 18.15A; this gives the total
filter tuning range of 36.3A. This shows an increase of 4.3A compared to the filter shown in
Figure 5.7-2. The filter peak gain varies between 34.51 to 36.61 dB and the filter SMSR
ranges 11.69 to 26.83dB.
40 a v u t s r q P n m I k h 9 fed c b a
co 30
"0
>.
....
20
(/)

E
(/)
ffi 10

L...
())
3: 0
o
a..
-10
__
-25 -20 -15 -10 -5 0 5 10
15 20 25
Figure 5.7-3 Power transmissivity versus relative wavelength (A - AS
ragg
) for the following
different values of n. Also K= 6mm-
1
and A = (a) = 0, 2n. (b) = O.ln, (c) = 0.2n,
(d) = 0.3n, ( e) = OAn, (f) = 0.5n, (g) = 0.6n, (h) = 0.7n, (j) = 0.8n, (k) = 0.9n, (1) = n, (m) =
l.ln, (n) = 1.2n, (P) = 1.3n, (q) = lAn, (r) = 1.5n, (s) = 1.6n, (t) = 1.7n, (u) = 1.8n, (v) = 1.9n.
The effect of increasing K to 8mm-
1
while keeping is shown in Figure 5.7-4. In
this case, the wavelength tuning range has increased to 38.9A. The filter peak gain varies
between 31.8 to 35.55dB and the SMSR ranges from 14 to 28.82dB. The filter spectra for the
case where K-=10mm-
1
is also shown in Figure 5.7-5 where the wavelength tuning range of
41. 7 A has been achieved. The filter peak gain varies between 30.67 to 34.8 dB, which gives
maximum deviation of 4.13dB. The filter SMSR ranges from 13.95 to 30.21dB.
137
Chapter 5
40
en 30
"'0
~
+-'
: ~ 20
CJ)
CJ)
E
CJ)
c 10
~
I-
~
~ 0
o
0....
-10
avu ts rq Pnml k hg fedcba
- 2 0 + - - - ~ - - ~ - - ~ - - ~ - - ~ - - ~ - - ~ - - ~ - - ~ ~
-25 -20 -15 -10 -5 o 5 10 15 20 25
different values ofO. Also K= 8mm-
1
and A = 0.238/-lm: (a) = 0, 2n. (b) = O.ln, (c) = 0.2n,
(d) = 0.3n, (e) = OAn, (f) = 0.5n, (g) = 0.6n, (h) = 0.7n, (j) = 0.8n, (k) = 0.9n, (1) = n, (m) =
138
Chapter 5
40 a v u t s r q P n m I k h 9 fed c b a
co
"0
30
~ 20
.:;
.Ci)
II)
E 10
II)
c
co
~ 0 ~ ~ V ' l o I
....
a.>
~
&. -10
-20
-30+---,--,---,--,---,--,---, __ ,-__ ~ __ __
-30 -25 -20 -15 -10 -5 0 5 10 15 20 25 30
different values ofO. Also K= IOmm-
1
and A = 0.238/-lm: (a) = 0, 2n. (b) = O.ln, (c) = 0.2n,
(d) = 0.3n, (e) = OAn, (f) = 0.5n, (g) = 0.6n, (h) = 0.7n, (j) = 0.8n, (k) = O.9n, (1) = n, (m) =
In short, the effects of grating period and coupling coefficient on the performance
characteristics of a multi-section and phase-shift-controlled DFB wavelength tunable optical
amplifier filter have been studied. It was found that this filter structure offers wide tuning
range with narrow bandwidth, high gain, and large SMSR. The filter has over 30-dB peak
gain within the tuning range, which is 32.oA for x=6mm-
1
and 41.7A for x=IOmm-
1
. The
filter SMSR varies between 12dB to 30.2IdB.
These results show very clearly that with proper design and by adding the number of phase-
shift-controlled (PSC) sections, it is possible to increase the wavelength tuning range while
maintaining a small passband bandwidth. This is indeed conceptually similar to the thin film
filter in which the number of filtered wavelength depends on the number of layers of the thin
films. However, in the thin film filters, the loss incurred with the increasing the number of
layers, while in the DFB amplifier filter, the loss of the wavelength passing through the filter
can be con1pensated along the active cavity. There are several measurements, which we need
to consider during the design process. First, we need to consider the normalised differential
139
gain between the main mode and the sidemodes, lJ.aL in order to maximise the tuning range
as discussed in section 5.4. Second, the mode stability along the structure is another critical
issue to be considered when adding more sections. This can be resolved by designing the
length of the subsections and the phase-shift-position (PSP) carefully.
5.8 DFB-LDs Vs. DBR-LDs
Distributed Bragg reflector (DBR) laser diodes (LDs) can be formed by replacing one or both
of the discrete laser mirrors with a passive-grating reflector as shown in Figure 5.8-1. By
definition, the grating reflectors are formed along a passive waveguide section, so one of the
issues is to make the transition between the active and passive waveguides without
introducing unwanted discontinuities.
injection current
(Iactive)
n
~ r
2
f--
Lactive region
.
L .
actIve
phase current
(I
phase
)
1
Phase Controlled
Region
r l ~
------------------ ---- -------- -- -
tuning current
(IBragg)
~ 7
Bragg Reflector
rwwvwv'J\f\MN\f
't. Waveguide
Figure 5.8-1 Schematic illustration of a three-section distributed Bragg reflector (DBR) laser
diode.
So far we have just considered the analysis and design of the DFB-LD amplifier filter.
Contrary to the DFB-LD amplifier filter, a DBR-LD amplifier filter has the possibility of
achieving a larger wavelength tuning range. By current injection to the passive DBR section,
the refractive index changes due to the free-carrier plasma effect (refer to section 5.5), and
this in turn changes the effective corrugation period and the Bragg frequency. Since the
carrier density is not clamped like of an active DFB section, the Bragg wavelength can be
varied over a large range, typically several tens of nanometers. Nevertheless, the Auger
recombination and free-carrier absorption strongly limit the efficiency at high injection
140
current levels. A major problem inherent in the DBR-LDs is that when the unpumped active
material is used to etch the gratings, optical losses inside the Bragg reflector region are high
and as a result the DBR reflectivity is poor.
The formulation of the transfer matrix of the DBR is rather simple. From section 5.3.2, the
DBR region has no active layer thus, the amplitude gain is lossy (i.e. a ~ 0) but with finite
coupling coefficient K [49]. By rearranging the transfer matrix the following reflection
coefficient can be obtained easily once the boundary condition is fulfilled [172]:
r
1
(J) = - jK' sinh(r D B R ~
r' cosh(r L
DBR
) + (a + }J). slnh(r L
DBR
)
(5.8-1)
where r2 = K2 + (a + jJY in which a here represents the field loss coefficient of the gratings
and LDBR represents the length of the Bragg reflector section. Assuming that the loss at the
interface between the active section and the air is negligible, then the reflection coefficient r2
at the active region is [31]:
r = nair - nactive
2
n . +n .
acr actIve
Where nair and nactive are the refractive index of air and the active region, respectively.
(5.8-2)
Hence, we can find the threshold gain ath of the DBR LDs easily by assuming the structure of
Figure 5.8-1 as the Fabry-Perot cavity, which is [173]:
r a th = aactive + 1 In[1 (;) I]
Lactive + Lphase r1 r2
(5.8-3)
where r is the confinement factor of the cavity, Lactive and Lphase represents the length of the
active region and phase-controlled region, respectively. aactive is the gain per unit length of the
active section. Since we are interested in the threshold distribution, we assume the Bragg
reflector is lossless. Let Lactive = 200!-lm, Lphase = 150!-lm and LDBR = 150!-lm. The average gain
in the active region aactive = 1 Oem-I. Figure 5.8-2 depicts the normalised threshold gain versus
the normalised detuning parameter for the DBR-LD.
When the normalised coupling coefficient of the Bragg reflector region KLDBR increases, the
normalised amplitude gain increases. This is undesirable since it may cost high operating
current and the operating temperature may also increase.
141
Chapter 5
10
8
6
4
.
2
...
-10 -8
.
.
. .
. .
. :
.
'.:
.
-6 -4
-- KLDBR = 1
KL
DBR
= 3
-2 o 2
.
.
.
.
4

.
.
6
Normalised Detuning Parameter, 8L
..
. .
. .
. ,

8
.
.
10
Figure 5.8-2 Normalised amplitude gain athL versus the normalised detuning parameter 8L for
DBR-LDs.
The main mode in the DBR-LD amplifier filter will generally be located close to the Bragg
wavelength and within the main lobe of the Bragg reflector. X. Pan et. al. have shown that
when the current injection into the Bragg reflector region is varied, the tuning rate of the
lasing mode will be slower than that of the Bragg wavelength [174]. Consequently, when the
deviation from the Bragg wavelength becomes too large, a mode jump to the opposite site of
the main lobe will occur, either because a new mode with a lower threshold gain has been
created or one of the existing modes acquire a lower threshold gain. If the total cavity of the
DBR-LDs is too large, there will be many modes inside the main lobe and mode hoping can
easily happen. This causes the DBR-LDs to be not as attractive as DFB-LDs when used as
optical filters.
142
Chapter 5
5.9 Summary
An active optical tunable filter in which its frequency characteristics can be tailored to a
desired response is an enabling technology for exploiting the full potential bandwidth of
optical fibre communication systems. Having seen the importance of such active optical
tunable filters, it is highly desirable to design a tunable filter, which can perform filtering and
amplification of the filtered signal simultaneously. In this chapter, active grating-embedded
filters have been analysed and designed based on the TMM as outlined where the coupled-
wave equations of the DFB-LD amplifier filters have been solved. In addition, the dispersion
relationship and the stopband have also been discussed in section 5.3.1.
From the solutions of the eigenvalue equations, which were derived by matching the
boundary conditions, the threshold current and the lasing wavelength are determined in
section 5.4. These include the analysis of the phase discontinuities and the below-threshold
characteristics of the DFB-LDs. In section 5.5 the principle of the active tunability of DFB-
LD amplifier filter is discussed. This is followed by section 5.6 in which the structural
impacts of the performance of the filters are justified.
Next in section 5.7, the effects of grating period and coupling coefficient on the performance
characteristics of a novel multi-section and phase-shift-controlled DFB wavelength tunable
optical filter have been studied. It is found that this filter structure offers wide tuning range
with narrow bandwidth, high gain, and large SMSR. The filter has over 30-dB peak gain
within the tuning range, which is 32.oA for r-6mm-
1
and 42A for r-10mm-
1
The filter
SMSR varies between 12dB to 30.2dB.
Finally, some analyses on the 3-section DBR-LD amplifier filter have been carried out. It has
been found that this structure is not suitable for a multi section design since mode hopping
occurs in the main lobe though the tuning range can be increased. Besides, it is very difficult
to monolithically integrate the sections without error in practice since the reflectivities of each
section will contribute to the threshold amplitude. Furthermore, the Bragg reflector is lossy
and thus a higher threshold current will be required.
143
Chapter 6 Analysis and Design of Passive
Optical Filters: Fibre Bragg Gratings
6.1 Introduction
During the past decade, the world has seen an explosive growth in lightwave
telecommunications, due to the rapid expanSIOn of the Internet. Lightwave
telecommunications are not only constantly improving in their performance and capacity
[175], but the deployment of optical systems is also spreading deeper into the consumer
market. About a decade ago, optical communication systems were primarily used in point-to-
point long distance links [15]. In the near future, fibre optic networks will be routed directly
into neighbourhoods, households, and even to the back of each computer (terminal) [176]-
[177]. In a more distant future, it is possible that even the signals bouncing between the
different components inside the computer will be transmitted and received optically [178]. As
optical fibre gradually replaces copper cables, it will become necessary for many of the
electronic network components to be replaced by equivalent optical components: splitters,
filters, routers, and switches.
In order for these optical components to be compact, manufacturable, low-cost, and
integratable, it is highly desirable that these components can be fabricated on the same planar
surface, forming an all-optical solution. The integrated circuit revolution of the 1960s (which
continues till today) clearly demonstrates the tremendous potential afforded by planar
lithographic techniques. A. Yariv's proposal of Bragg gratings offers one possible solution for
constructing integrated optical filter [179]. Subsequently, with the discovery of fibre Bragg
gratings (FBGs) in 1978 by Ken Hill et. al. [74] and the ultraviolet (UV) side writing
techniques that opened the door to its practical applications in 1989 [93], [180], another new
fibre-based optical component is created.
Since then, fibre gratings have been the subjects of intense development at many research
centres around the world. The development effort has been principally led by applications to
communications; although the original development for the side written fibre gratings was
also for sensor applications. Important developments made that enhanced the usefulness
144
Chapter 6 Analysis & Design of FBGs
of the gratings such as improving the photosensitivity with hydrogen loading and coupling to
cladding modes with long period gratings. It is also very important to demonstrate that the
fibre gratings can be made permanent and that it can survive at elevated temperatures and in
environmental conditions over period of many years.
For conventional FBGs, the periodicity of the index modulation has a physical spacing that is
one half of the wavelength of light propagating in the waveguide. Thus, the grating period, A
for FBGs is about 0.1 Jlm - 1.0Jlm. It is the phase matching between the gratings planes and
incident light that results in coherent back reflection. Back reflectivities approaching 1000/0
are possible, with the grating bandwidth, ~ A tailored from typically O.lnm to in excess of
100nm [181].
In this chapter, the focus shall be on the analysis and design of the FBGs, acting as passive
bandpass optical tunable filters. Demonstration on the experimental results of the
characterisation of FBGs and its tunability shall be done. Moreover, theoretical analysis of the
noise effects on the apodization and chirped grating period of FBGs using the transfer matrix
method (TMM) discussed in Chapter 3 shall be further investigated. In the last section, the
numerical investigation of the ultrashort pulse reflection from these noisy FBGs shall be
studied.
6.2 Analysis of the Phase-Shifted FBGs
In Chapter 5, it was seen that a single phase-shift in the active gratings-embedded optical
device (i.e. DFB laser diode) is desirable as it will cause the laser to lase in a single
longitudinal mode (SLM). Here, a phase-shift is designed in the middle of the FBGs because
the transmissivity of the FBGs will behave as a bandpass filters, which is of interest in many
applications such as channel selection in a multichannel communication system. Although
techniques based on Michelson and Fabry-Perot interferometers have been developed for this
purpose [182], their use requires multiple gratings and couplers and may introduce additional
losses. Judging from these weaknesses, it can be seen that if the technique commonly used in
distributed feedback semiconductor lasers [166] can be applied to FBGs. It tailors the
transmission spectrum to suit the specific application requirement. The technique consists of
145
Chapter 6
Analysis & Design of FBGs
introducing multiple phase-shifts across the fibre gratings In which the location and
magnitude can be adjusted to design a specific transmission spectrum.
We again apply the coupled-mode theory (CMT) to obtain the quantitative information about
the diffraction efficiency and spectral dependence of fibre gratings. As discussed in section
3.5.1, the transfer matrix of a uniform section of FBGs as illustrated in Figure 6.2-1(a) is
governed by:
where
[
AO]
=T .
uniform Bo
,..
7; 1 = cosh(r dz) - i 0- sinh(r dz)
r
7;2 = -i K sinh(r dz)
r
T21 = i K sinh(r dz)
r
,..
T22 = cosh(r dz) + i 0- sinh(r dz)
r
(6.2-1)
(6.2-2)
(6.2-3)
(6.2-4)
(6.2-5)
and r2 = K2 - a-
2
with a- is given by equation (3.5-19), dz is the length of the uniform
section of FBGs.
A
Bo -. . Ao IIIII II II IIIIIII B, __ _. Al
Index Modulation at Core
(a)
1111111111111111 1111111111111111 1111111111111111
(b)
Figure 6.2-1 Illustration of (a) a single uniform Bragg grating and (b) multiple phase-shift
FBGs.
146
For phase-shifted FBGs, a phase-shift matrix T is inserted between the matrices of the
unifonn FBGs (i.e. the same technique used in analysing the DFB amplifier filter in Chapter
4) as shown in Figure 6.2-1(b). The phase-shift matrix has the following fonn:
o
(6.2-6)
o
where is the magnitude of the phase shift. Thus, the overall transfer matrix for k-l phase-
shifts FBGs will then become:
( ~ : ) = T, T. T'_IT. T, T. l ( ~ : )
(6.2-7)
The transmission and reflection spectra are then obtained by imposing the boundary condition
in equation (3.5-32) and (3.5-33).
Consider the case of a FBG with a single phase-shift located at the centre of the gratings
(LI2). Figure 6.2-2 shows the nonnalised transmissivity of a function of 5/31 K for three
different values of in the range of 0-90, by choosing d = 3.0 (refer to figure 3.4-2). When
= 00 ( solid curve) corresponds to a conventional fibre gratings without any phase-shift. The
stop-band (low transmissivity) in the central region indicates that the gratings act as a
reflection filter (bandstop filter) of bandwidth is approximately 2K. For = 90 (dashed
curve), a narrow central transmission peak opens up in the stop-band. The spectral width of
this peak is a fraction of K and decreases with an increase in d. Therefore, a phase-shifted
fibre Bragg gratings can act as a transmission filter in which the bandwidth can be quite small
depending on the magnitude of K.
147
Chapter 6
o
o
......
r/)
r/)
0.8
s 0.6
r/)

I-<
r---

Q)
r/)
......
ca 0.4

o
Z
0.2
-
\ -
\ 1 .
\ :
\
I:
. I'
\ -",:'
\ '.'
,I
KL = 3.0
,I
"
/ ,
,I
/ I
" ,I
/ ,
I'
I I
/ ,
, ,
, ,
, I
/ ,
/ I .
I I
I I
I I
I I
, ,
, , .
, \:
1 \:
I :
.\
: "
'
.
. , .
.
.
- ' , .
.
.
.
- .
-'
I:
1=
I:
E
F
I:
,:
t
f
E
,
.1
:1
- .,
' '
'.'
,
1
I
I

I:
I:'
\ . I:'
\ '. f
\ .)
\ I
\ I
<0,1
0
......... 45
--- 90
....
o. 0
-4 -3 -2 -1 o 1 2 3 4
Normalised Detuning, 5/3/ K
Figure 6.2-2 Normalised transmissivity versus normalised detuning 5 /3/ K for a single phase-
shifted FB Gs.
An interesting application of the phase-shifted FBGs is in the demultiplexer in a multichannel
lightwave communication link as illustrated in Figure 6.2-3. If the entire multichannel signal
falls within the stop-band, a single channel can be transmitted while others are blocked
(filtered) by the FBGs. The selected channel can be chosen anywhere within the stop-band by
changing the amount of phase shift, .
For = 45 as shown in the dotted curve in Figure 6.2-3, the transmissivity remains nearly
100%. Nevertheless, the filter bandwidth is limited by the stop-band bandwidth, which is 2K
in this case. Besides, this passive transmission filter can only demultiplex wavelength of the
pre-design of wavelength separation in the WDM lightwave communication systems. This is
because once the magnitude of the phase-shift is fixed, the passband cannot be altered. Thus
148
Chapter 6
it is necessary to design a tunable passive filter in order to cater for different WDM systems
design.
Grating with ) A
r------------- A)
Grating with 2 A
,------------- A2
A- A- A- ........ A-
I 2 3 n
Grating with 3 A
.......... --------....... - A3
Grating with 4 A
- - - - - - - - - - - - A4
.... ------------ A \
Grating with n
Figure 6.2-3 Schematic illustration of all-fibre demultiplexer used to select a different single
channel in each branch by using a phase-shifted FBGs.
Multiple phase-shifts can be used to open several transmission windows within the stop-band.
Figure 6.2-4 shows the transmission spectrum of three-phase-shifted FBGs of 90, with equal-
spaced along the grating length.
149
Chapter 6
1.0
IV' V I
I
I
' rvVl
0.8
q
0
......
rn
rn
......
S 0.6
rn

I-;
t-c
'"""CJ
a)
rn
......
--<
0.4
C\S

U
\J
0
Z
~ = 90
~ V
KL = 3.0
0.2
."
J
\.
I I
,
I
, ,
I
0.0
-4 -3 -2 -1 o 1 2 3 4
Normalised Detuning, 5/31 K
Figure 6.2-4 Transmission spectrum of a multiple-phase-shifted fibre Bragg gratings with
three 90 phase-shifts located at L14, LI2 and 3L14.
Three narrow transmission peaks open up within the stop-band of the gratings. By changing
the amount and the location of the phase-shift regions, we can indeed control the location of
the peaks. Implementation of phase-shifts in the FBGs is feasible in the current technology
but the challenge here is to design a passive filter with tunability function. From both of the
Figure 6.2-2 and Figure 6.2-4, note that the side-mode suppression ratio (SMSR) of the FBGs
is rather low, which is undesirable. SMSR is the ratio of the lowest peak to the second lowest
peak of the transmissivity power in the analysis of passive optical filter. Fortunately, this can
be improved by apodization and chirping of the FBGs, which we shall see in section 6.3.
150
Chapter 6
6.3 Analysis of Apodized and Chirped FBGs
So far the properties and the characteristics of the uniform FBGs has been discussed in detail.
In band-pass filter design, it is desirable to obtain a perfect square-like spectrum (i.e.: flat
spectral response over some narrowband and very low response outside of that band).
However, for a typical filter response, a sine-shape is often obtained as shown in Figure 6.3-1
in which the unwanted sidelobes will exist and may cause serious inter-signal interference
(ISI).
Ideal square-like spectrum
Typical filter response
/ ....
~ ,
/ "\.
/ \
/
\
I
\
/
-
I
,
-
"\. / "-
/
\ I \ /
\
I \ I \ I \
I
,
....
~
Figure 6.3-1 Comparison of an ideal band-pass filter spectrum with a typical filter response.
In the FBGs design, this can easily be overcome by apodizing the gratings during the
fabrication process. It is a process whereby the coupling coefficient of the gratings is
gradually increasing with penetration as well as gradually decreasing on the exit section. In
fact, Hill and Matsuhara are the first to show that the apodization of a periodic waveguide
structure suppresses the sidelobes [183]-[184]. However, simply changing the refractive index
. 7r On efJ
modulation amplitude will cause the local Bragg wavelength to change SInce K = r
A
(from equation (3.4-6)) though the side lobes amplitudes are reduced. In order to avoid this
complication, it is necessary to maintain the average refractive index throughout the length of
gratings while gradually altering the refractive index modulation amplitude. As noted, for a
conventional uniform FBG, the transmission spectrum exhibits a band-stop filter. Thus, it is
151
Chapter 6
more interesting to analyse its reflection characteristics since it can be obtained easily by
using a circulator.
In general, the coupling coefficient of FBGs is indirectly caused by the refractive index
change along the grating. Thus, it can be represented by the formula that combines the grating
shape function, an average index modulation function, a period chirp function and the
apodization function [181]:
n(x,y, z) = no (x,y)+ ~ n o (z)+ ~ n p(x,y). A(x,y). f[A(z )/cosB, z]
where no(x, y) = waveguide(fibre core) refractive index
~ n o ( z ) = average index modulation function
~ n = index modulation amplitude
P(x, y) = photosensitivity profile of the waveguide
A(x, y) = apodization profile
f[A(z)/cosB,z] = grating shape function
A(z) = period chirp function
e = grating tilt angle
(6.3-1)
Subsequently, if the pitch of the Bragg gratings changes slowly along the length of the
gratings, it is said that there is a chirp. More generally, even when the gratings are perfectly
periodic, it is the waveguide itself, which has some slow variation in its propagation constant
across the length of the device that will cause the structure to exhibit chirp-like properties.
First, we recall the fibre gratings theory, which we have discussed in chapter 3, the Bragg
propagation constant (also known as the grating spatial frequency), is defined by:
2;rr
f3Bragg = A (6.3-2)
where A is the grating pitch (period). Now imagine that the gratings slowly changes with z.
Of paramount importance, the Fourier analysis of the grating perturbation no longer applies
when the gratings is aperiodic. Nevertheless, provided the grating changes slowly with z, the
coupled-mode analysis can still be applied locally. Since the coefficients of the coupling
matrix are no longer constant, the coupled-mode equations for nonuniform gratings can no
longer be solved in closed form. There are two alternate ways to overcome it. The first
method is solving the differential equation numerically by simple integration. Again, we are
152
faced with the problem that the boundary conditions are not completely specified at either end
of the structure. For light incident from the left-hand side of the grating, the easiest way to
compute the reflection and transmission coefficients is to integrate backwards from right to
left. At the right hand side of the grating, we assume that there is no light impinging from the
right, and we arbitrarily choose the output amplitude to be 1.
Another method is the method we discussed in section 3.5.1.1 in which the entire nonuniform
FBGs is divided into 500 sections (over the grating length), over which the grating pitch A,
coupling coefficient K as well as the detuning parameter g are approximately constant.
However, the number of sections K cannot be arbitrarily large, since the coupled-mode theory
approximations that lead to equations (3.5-17) and (3.5-18) are no longer valid when a
uniform grating section is only a few grating periods long. Thus, equation (3.5-29) is only
valid for dz A, which means that we must satisfy the condition below [99]:
A
Bragg
(6.3-3)
6.3.1 Apodized fibre Bragg gratings (FBGs)
Here, we are using a Gaussian apodization profile, which is given as [181]:
(6.3-4)
where s represents the Gaussian shape taper parameter (s ~ 0.5). Figure 6.3-2 shows the
reflection spectrum for the conventional uniform FBGs and Gaussian-apodized FBGs. In
computing this spectrum, the fibre core refractive index is taken to be 1.46 while the cladding
refractive index is 1.45. The total length of the gratings is 10.0mm Note that for the
conventional uniform FBGs, the SMSR is approximately 1.67, which is relatively low.
Subsequently, for the ideal Gaussian apodized FBGs, the SMSR is infinity, which is highly
desirable for optical filters.
There are several apodization profiles, which one can design in FBGs. However, it is very
difficult to realise a perfect noise free apodization profile during the fabrication process of
FBGs and this aspect will then be investigated.
153
Chapter 6
1 . 0
.0
.....
;>
.....
-+-'
0.8
a$ 0.6
c;:::::
(!)
0:::
"'d
(!)
r/)
.....
........
0.4
o
Z
0.2
i:
...
'.
'.
'.
'.
'.
'.
:.
..
.. .
'" .
".
".
'"
" .
".
".
. ",
" ...
.oo .
.oo ..
......
,
Uniform FBGs
Gaussian-apodized FBGs
..
.
.'
.'
.'
.'
.'
.'
::
.:
.
.
-
:::
.'" "
.- ... :
...... . .. .
.. ........ . ..... " ..
.. ...... . ..... .
........ . ...... .
....
:.
:
:::.::':: .. ::,' ; = .
. " ' .. '. :'. :'. :". - V\/: !\ ..... :'. :' .. '... ., .
0.0 ..
1.5496 1.5498 1.5500 1.5502 1.5504
Wavelength, A
Figure 6.3-2 Calculated reflection spectrum for the conventional uniform FBGs and Gaussian-
apodized FBGs.
6.3.2 Chirpedjibre Bragg gratings (FBGs)
In the previous section, the effect of apodization was seen. Now the impact on the chirping in
the FBGs will be investigated. One distinct application of the chirped FBGs is to compensate
for signal dispersion (pulse spreading), which occurs during the transmission over a long
distance of fibre [185]. Similar to the apodization, there are several types of chirping profiles
which one can design to suit the applications. These include:
Linear Chirp
Quadratic Chirp
A(z)=Ao - z -L/ 2 f1
L
154
(6.3-5)
(6.3-6)
Chapter 6
Square root Chirp:
Cubic root Chirp
A(z) = A - [3 /z __ 1 ]1'1
o ~ L V2
(6.3-7)
(6.3-8)
where 1'1 represents the total chirp (1'1 Ao)' Figure 6.3-3 plots the calculated reflection and
transmission functions for a linearly chirped with Ao = O.5338Jlm, K = l.Ocm-
1
, L = 20.0mm,
and 1'1 = 10pm.
o
-20
~ . .
o:l
..
..
"d
..
..
'--"
..
C
. ..
.
..
..
.....
:. -
;> -
- .....
-:
-
+-'
...
-
u ..
I

(!)
~
..

\

-40
~
(!)

~
\
\

\
\

,

\

\
\

I
I
I

i

I

-60
1.5496
,', :
.. . ..
.' ...
.....
.' ....
., . ..
. '. /': : !: ::
"
..
"
..
-
-
-
-
-
-

,
"
. .
. ..
. '
.
.
.
.
"
'.
.... :": ! f :: ~ ~ ~ ~ "
.
. . . ' .. .'-
. . ! \1 1l
.' - .,..
~ ~ :: ~ ~ ~
". ~ . .
~ ~ : :
~ $. :
~ . .
I : :
: : :
,
: : :
,
,

,
,

,
,

-:

~

~

~

\
:
, ,
,
\
\

\

\
\
!
,
I
I
!
i
!
'.
' .
'. .'
'. .'
'.
. '
..
. :
..
... . '
...
. :
...
... :-
... ~
... ~
,
I
I
I
I
I
,
,
,
,
,
,
,
,
,
,
,

I
I

I

-- Ch irped FBGs
....... , Unchirped FBGs
.'
. .
..
. .
. = ' .
' .
.'
' .
' .
.' ' .
.:
'.
' .
'.
~
..
~
...
..

...
I
I
...
I
...
I
...
I
...
,
...
,
...
,
...
,

,
...
,
,
,
,
,

I
I

I
I
1.5498
1.5500
1.5502
Wavelength, A (Jlm)
(a)
155
..
. .
' .
' .
' .
' .
"
' .
' .
..
..
...
..
...
...
...

'.
.'
'.
' .
.'
' . : . .:
'.
.
.: ..
-:
..
..
..
..
~ :.
~
.. ~
.. I
i
\ I
\ I
1
\ I
i \ I
i
\ I
\
,
i
\
,
\
,
i
\
,
\
,
!
, ,
I I
i
I
,
I
,
~
,
I
I I
I I
i

I
,
!
i
I
!
i
1.5504
Chapter 6
~
CO
'"0
'-"
0
......
:>
.-
en
en
o-
S
en

1-4
t-;
01'---____
-10
-20
-30
1.5496 1.5498
o 0
o 0
000
1.5500
-- Chirped FBGs
00000000 Unchirped FBGs
1.5502 1.5504
Wavelength, A ~ m )
(b)
Figure 6.3-3 Calculated spectral response from a chirped FBGs (a) reflection spectra (b)
transmission spectra in comparison with the unchirped uniform FBGs.
Notice that the chirp significantly broadens the spectral response, raises the sidelobe levels
and changes the peak rejection ratio from -36dB to -17dB. Though it is possible to design
various types of chirping profile theoretically, it is rather difficult to imprint those gratings
changes without error.
6.4 Experimental studies on the characterisation of FBGs
In this section, the experimental studies on the characterisation of FBGs and its tunability will
be presented. Due to limited equipment available in the laboratory; we can only fabricate
simple FBGs designs. Bragg gratings may be classified as internally or externally written,
depending on the fabrication teclmique employed. Internally inscribed Bragg gratings are not
really interesting c0111pared to the external techniques such as the interferometric method
point-by-point, and phase-n1ask teclmiques.
156
Chapter 6
The internal writing technique first demonstrated by Hill et. al. in 1978 [74], requires the use
of single-frequency laser light in which the two-photon absorption lies in the UV
photosensitivity region of the fibre and initiates the change in the index of refraction.
Although this technique is simple and the experimental requirements are minimal, it is limited
to operating at a Bragg wavelength coinciding with the excitation of the laser wavelength.
Here we are employing the phase-mask technique (PMT), which appears to be the most
effective method [186], [187]. This method uses a diffractive optical element (known as the
phase mask) to spatially modulate the UV writing beam. Figure 6.4-1 depicts the schematic of
the phase-mask technique used in our FBGs fabrication experiment. Phase masks may be
fonned either holographically or by electron-beam lithography. It is produced as a one-
dimensional periodic surface relief pattern, with period Apm etched into fused silica. The
profile of the periodic surface-relief gratings is chosen so that when the UV beam is incidental
on the phase mask, the zero-order diffracted beam is suppressed to less than a few percent
(typically less than 30/0 [181]) of the transmitted power. In addition, the diffracted +1 and -1-
orders are maximised; each typically containing more than 35% of the transmitted power. A
near-field fringe pattern is produced by the interference of the +1 and -I-order diffracted
beams. The period of the fringe A is one-half that of the mask period (A = Apm /2). The
interference pattern photo-imprints a refractive index modulation in the core of a
photosensitive optical fibre that is placed in contact with or in close proximity to the phase
mask as shown in Figure 6.4-1.
In our experiment, a KrF excimer laser with pulse duration of approximately IOns is used as
the writing source. The 248 nm zero-order diffracted beam was nulled below 5%. The
transmitted light contained in each of the + 1 and -I-order diffracted beam is measured to be
36%. In addition, due to the cost constraint, we also demonstrate the result of our FBGs using
point-by-point fabrication method (PPM) [188]. This is accomplished by inducing a change in
the index of refraction corresponding to a grating plane one step at a time along the core of
the fibre. The fibre is then moved by the precise motorised translation stage.
157
Chapter 6
Incident UV laser
beam
Grating Silica glass phase
~ : - - __________ / mask
Photosensitive fibre
Diffracted beams
+ 1 order
Zero order
Figure 6.4-1 A schematic of a phase-mask technique utilised In inscribing fibre Bragg
gratings.
Thorlabs ASE-FL 7700 ASE
light source

Spliced
Fibre
Examined
FBGs
Circulator
Spliced
Fibre
Transmission
end
Ando optical spectrum
analyser AQ6317B
Figure 6.4-2 Experimental set-up for the characterisation ofFBGs.
The characterisation experiment set-up is rather simple. We are uSIng a Thorlabs ASE-
FL 7700 ASE light source (broadband source i.e.: 1425nm to 1625nm) and the Ando optical
spectrmTI analyser AQ6317B to view the spectral response as depicted in Figure 6.4-2. The
spectral response from a Gaussian apodized FBGs, which is fabricated using the PPM and is
shown in Figure 6.4-3.
158
Chapter 6
-10
-----
p:)
"'d
'-"
.0
-20
.-
;>
.-
....
<.)
Q)
~
Q)
~
-30
1526 1528 1530 1532 1534
Wavelength, A ~ m )
Figure 6.4-3 Spectral response of a Gaussian apodized FBGs fabricated using PPM.
From Figure 6.4-3, the spectral response clearly shows very well suppressed sidelobes with
the SMSR of about 20dB. The FWHM is maintained at 1.2nm. Nevertheless, the spectral
response is rather noisy and the FWHM is rather large because the PPM is not well controlled,
which is one of the major setbacks of the PPM. On the contrary, by using the PMT in which
the mask is pre-designed by StokerYale Inc.in Canada, the FWHM is approximately O.3nm
which is good for the high-speed terabit optical network. Meanwhile the SMSR is 25dB. Note
that the spectral response appears to be rather noisy. It is contributed by the ASE noise and
the noise imprint in the gratings, which we shall further investigate it in section 6.5.
159
Chapter 6
o
-10
..-
co
"'0
-- -20
>.
~
>
......
u
Q.)
tt=
Q.)
~
-30
-40
1546 1548 1550 1552 1554 1556
Wavelength, A (/-Lm)
Figure 6.4-4 Reflection spectra of a Gaussian apodized FBGs using PMT.
6.4.1 Tunable FBGs
Thus far, we have seen the spectral response of different types of FBGs. As noted in section
3.4.3, the effective index of a propagating mode in a fibre is both temperature and strain
sensitive. Based on these characteristics, the FBGs can be made tunable for more practical
usage as optical filters. By applying a small amount of stress on the FBGs, the Bragg
wavelength will tend to move towards its red region (i.e. longer wavelength region).
However, the maximum stress that can be applied to the FBGs depends solely on the elasticity
of the fibre used.
As shown in Figure 6.4-5, the FBGs is placed on the groove in between the holding metal
which is labelled as A and B. The holding metal A is static while the holding metal B is
movable by carefully tunling the micrometer attached at the end. The spring in the middle of
the two holding metal will stress out and hence the FBGs is said to be under stress. During the
160
Chapter 6
Analysis & Design of FBG
experiment, the surroundings temperature must be properly controlled so that the influence of
the temperature change will not affect the tuning results.
Figure 6.4-5 lliustration of the equipment used to stress the FBGs.
Figure 6.4-6 shows the results obtained for every O.05Jlm steps taken in the micrometer
screw. The results are very encouraging since it shows almost a linear dependence between
the wavelength shift with the steps taken. A total of 9.13nm of tuning range is achieved.
Further from these readings, the analysed fibre has eventually broken. For temperature
dependence tuning method, it is rather impractical for it to be implemented in the lightwave
communication systems since a ~ e r y large temperature change corresponds to a very little
change in the wavelength shift [189]. Therefore, usually the application of stress on the FBGs
is used for coarse tuning and temperature dependence is used for fine-tuning purposes.
161
Chapter 6
~

"-"
OJ)
OJ)
l
....
co
~
....cf
bD
0
Q)
..........
Q)
;>
ro
~
~
Q)
~
--------------
1558
1556
9.13 nm
1554
1552
1550

1 5 4 8 ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ u y
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
Micrometer Resolution, I (I-lm)
Figure 6.4-6 Peak wavelength ABragg versus the micrometer resolution.
6.5 Analysis of Noise Effects on the Apodization and
Chirped Grating Period of FBGs
In the previous section, we have mentioned that apart from the noise of the ASE broadband
source, the unwanted noise induced during the apodization and chirped grating fabrication
process is also contributing towards these noisy spectrums. The noise is even greater if the
FBGs is fabricated using PPM. As we know the reliability and low cost manufacturing issues
are important utilisation of the gratings in practical systems. Having seen the importance to
have better reliable FBGs, various noise levels induced on the apodization process and
gratings chirps, which deteriorate the overall perfonnance of the FBGs functionality have
been investigated. Thus, there will also be an idea on what is the noise tolerance level, which
may help the manufacturer to analyse the quality of the fabricated FBGs.
162
From section 3.5.11, we can express the coupling coefficient, Kas:
(6.5-1)
where p5neff (z) is the amplitude of the ac part of the induced index change (see equation
(6.5-2)). The fibre phase gratings are normally produced by exposing an optical fibre to a
spatially varying pattern of ultraviolet intensity. Hence, we assume that this process causes a
perturbation, 5n
eff
(z), to the effective refractive index neff of the guided mode(s) which may be
expressed as [74]:
On'ff(Z) = + POn'ff(Z)CO{:(:) z+(Z)]
dc component \ v I
(6.5-2)
ac component
In equation (6.5-2), 5n
eff
(z) is the "de" index change spatially averaged over a grating period
and p is the fringe visibility of the index change. For a step-index profile fibre, an induced
index change 5n
core
(z) is created uniformly across the fibre core. Thus, we may write
8n
eff
(z) = [,5n
core
(z) where [' is the fibre core power confinement factor.
As noted in section 6.3.1, grating apodization is the slowly varying envelope of the grating
profile. However, it is almost impossible to obtain a perfect apodization and chirping profile
that can be designed. Here, the following Gaussian apodization profile has been proposed:
(6.5-3)
where L is the gratings length and f.J is the random stray noise and (j is a parameter which
controls the Gaussian slope.
The distance dependent of the grating chirp, (z) can be expressed as:
e{z) = d{z) = Ao
dz L
(6.5-4)
where Ao is the "de" grating period and is the total chirp. In order to solve equations
(3.5 -17) and (3.5 -18), the transfer matrix method (TMM) to model the nonuniform grating
structures, which is based on identifying 2 by 2 matrices for each uniform section of the
grating has been used (refer to section 3.5.l.1). Subsequently, multiplying all of them together
163
Chapter 6
to obtain a single 2 by 2 matrix that describes the entire gratings. Initially the compound
grating structure is divided in K uniform matrices in which K must satisfy the condition in
equation (6.3-3). The transmission and reflection spectra are then obtained by imposing the
boundary condition in equation (3.5-32) and (3.5-33). The group delay of the reflected light
can be determined from the phase of the amplitude reflection coefficient r. Thus, the delay
time rfor the reflected light can be expressed as:
dB A? drp
r=-=---
dm 2;rrc dA
(6.5-5)
where rp is the phase of r, m is the angular frequency and c is the speed of light.
6.5.1 Results & discussions
The gratings parameters used are given in Table 6.5-1. Figure 6.5-1 shows the reflection
spectra for (i) Gaussian-apodized FBGs (solid line), (ii) Gaussian-apodized linearly chirped
FBGs (dashed line) and (iii) conventional FBGs (dotted line). As noted in Figure 6.5-1, the
power reflectivity of the conventional FBGs exhibits narrow bandpass spectra with as low as
2dB SMSR which is too low for dense wavelength division multiplexing (DWDM)
applications.
Table 6.5-1 List of parameters and their values.
Parameters
Fibre core refractive index, n
core
Fibre cladding refractive index, ncladding
Fibre core effective refractive index, neff
FBGs length, L
Index modulation, Jn
eff
(z)
Grating period, A
Gaussian slope (taper parameter), (j
Total grating chirps, L\
Value
1.46
1.45
1.
55
1l
m
1.45181
30mm
2 x 10-
4
0.53381lm
0.5
2.0nm
This can be improved by apodizing the gratings. For example, as Figure 6.5-1 shows the
reflection spectra of the Gaussian-apodized FBGs has a wider passband spectra and a higher
SMSR of about 40dB, which is 20 times larger than that of the conventional one. However,
the Gaussian-apodized linearly chirped FBGs offers much wider passband spectra (i.e.
0.32nm at FWHM) and a higher SMSR of 60dB. In fact the passband bandwidth of the
164
Chapter 6
chirped FBGs is determined by the total grating chirps. The longer the grating chirps the
broader the passband bandwidth or vice versa These advantages are very useful in
applications such as dispersion compensation in long haul high-bit-rate optical links, short
pulse restoration and for the implementation of high quality fibre laser cavities of various
geometry.
o
-20
~ -40
c:o
'"0
'-'
C
.......
;:>
-60
.......
.......
<.)
(1)
~
(1)
0:::
-80
-100
1.5496
Wavelength, A (/-lm)
1.545
1.550
1.555
Gaussian Apodized FBGs (Bottom x-axis)
Uniform FBGs (Bottom x-axis)
Chirped Gaussian Apodized FBGs (Top x-axis)
1.5498 1.5500 1.5502 1.5504
Figure 6.5-1 Reflectivity of a conventional FBGs, Gaussian-apodized FBGs and Gaussian-
apodized linearly-chirped FBGs.
Usually during the fabrication process stray noise is generated randomly due to the coherence
and firing angle of the UV source or the imperfection of phase masks and dust on the mirrors.
This nlakes the fabrication of long continuously chirped and apodized gratings very difficult.
The fibre must be held firmly since bending causes the gratings to be blazed with respect to
the fibre axis. This causes serious problem in chirped gratings. Hence, in practice it is ery
165
Chapter 6
difficult to imprint perfect Gaussian apodized gratings on the fibre. Extreme care is needed
during the entire process to ensure that the noise is kept at the lowest possible level. This may
cause some difficulties in mass production of Gaussian apodized gratings.
The equation (6.5-3) has been used and shown in Figure 6.5-2, are the variations of
apodization profiles with grating length for three different stray noise levels of 0.1, 0.2 and
0.3.
~ 2.5
o
........
x
'-'
s
2.0
0.., 1.5
d
o
.......
~
N
.......
'"d
o
0..
1.0
<r:: 0.5
~
2.5
"t
0
........
x
'-'
2.0
~
~
0..,
1.5
d
0
.......
~
1.0
N
.......
'"d
0
<
0.5
0.0
o 5
0 5
Noise Level = 0.1
-- Ideal Gaussian Profile
10 15 20
Grating Length, L (mm)
(a)
Noise Level = 0.2
-- Ideal Gaussian Profile
10 15 20
(b)
166
25 30
25 30
Chapter 6
3.0
~
..
't
2.5
0
.......
x
"-'"
2.0
~
~
~
1.5
q ~
0
.....
.....
ro
1.0
N
.....
'"d
0
0..
Noise Level = 0.3

0.5
........
Ideal Gaussian Profile
0.0
0 5 10 15 20 25 30
Grating Length, L (rrun)
(c)
Figure 6.5-2 Gaussian apodization for three different stray noise levels (dotted line) (a) 0.1 (b)
0.2 and (c) 0.3. The noiseless case (solid line) is also shown for comparison.
It should be noted that stray noise levels are added by generating random numbers associated
with a Gaussian profile. That is, stray noise level of 0.1 means that a random number between
o and 0.1 is generated and added to P(z). Also shown in Figure 6.5-2 (i.e. solid lines) is
variation of P(z) with grating length for the ideal case where there is no stray noise level.
In Figure 6.5-3 the reflection spectra is plotted for various apodization stray noise levels of 0
(ideal), 0.1, 0.2 and 0.3. When the stray noise level is = 0.1, the SMSR is about 23dB.
However, when the stray noise level increases to 0.2 the reflectivity of the side-modes
increases and hence causes the SMSR to decrease to 21 dB. The SMSR further decreases to
19dB when the noise level increases to 0.3. Hence, the stray noise level reduces the SMSR,
which in tum deteriorates the overall performance of the filters. However, changes in the
FWHM bandwidth of the ideal case compared with the other three cases are insignificant. The
bandwidth of filters shown in Figure 6.5-3 is 0.18nm.
167
Chapter 6
c
.......
;>
.......
.......
c.)
(])
~
(])
~
o
-20
-100
1.5496
o
-20
-60
-80
-100
1.5496
-- Ideal Apodized FBGs
........ Noise Level = 0.1
1.5498 1.5500 1.5502
Wavelength, A ~ m )
(a)
-- Ideal Apodized FBGs
........ Noise Level = 0.2
1.5498 1.5500 1.5502
Wavelength, A ~ m )
(b)
168
1.5504
Chapter 6
-60
-80
-100
1.5496
.'
-- Ideal Apod ized FBGs
Noise Level = 0.3
1.5498 1.5500 1.5502
Wavelength, A ~ m )
(c)
1.5504
Figure 6.5-3 Reflection spectra of the apodized fibre Bragg gratings (FBGs) for different stray
noise levels (a) 0.1 (b) 0.2 and (c) 0.3. The noiseless case (solid graph) is also shown for
companson.
We have also investigated the stray noise effects on the Gaussian-apodized linearly chirped
FBGs as the dispersion compensator in WDMlDWDM applications. Figure 6.5-4(a) shows
the reflection spectra of a Gaussian-apodized linearly chirped FBGs both in the absence of
stray noise ( = 0, solid graph) and in the presence of noise ( = 0.3, dotted graph). In the
analysis we have set the wavelength resolution to 0.003nm in order to obtain a very accurate
group delay. As shown in the reflection spectra of Figure 6.5-4(a) when = 0.3, there are
many side lobes which are higher than those of the Gaussian-apodized linearly chirped FBGs
with = O. The SMSR decreases significantly from 60dB (without noise) to 26dB (with
nOIse level of 0.3). However, the FWHM bandwidth increases slightly from 0.32nm to
0.45mn. Although the FWHM in the pass-band region bandwidth for both cases shown in
Figure 6.5-4(a) is ahnost the same (i.e. no significant change) however, the passband region
for the case of = 0.3 is noisy which is critical when used as dispersion compensator in
long-haul high-data transmission systems.
169
Chapter 6
,--....
c:o
"'0
'--'
>..
+-'
.......
;>
.......
+-'
<.)
0)
~
0)
~
,--....
CIl
8
~
~
.........
Q)
Q
g-
o
H
\.)
-20
-40
-60
-80
200
100
0
Gaussian-apodized linearly-chirped FBGs (Without Noise)
Noise Level = 0.3
1.542 1.544 1.546 1.548 1.550 1.552 1.554 1.556 1.558
(a)
-100 Gaussian-apodized linearly-chirped FBGs (Without Noise)
........ Noise Level = 0.3
- 2 0 0 ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ - Y
1.547 1.548 1.549 1.550 1.551
Wavlength, A (J.lm)
(b)
1.552 1.553
Figure 6.5-4 (a) Reflection spectra of the Gaussian-apodized linearly-chirped fibre Bragg
gratings (FBGs) for = 0 (solid line) and = 3 (dotted line). (b) the associated group
delays.
170
Figure 6.S-4(b) shows the calculated group delay spectra for the Gaussian-apodized linearly
chirped FBGs without noise (solid line) and that with noise ( = 0.3, dotted line). The delay
is very smooth within the passband region when = 0 but in the presence of noise the group
delay is not smooth (i.e. fluctuates in the passband region). This may have unacceptable
effects on the performance of long-distance high-data transmission systems when it is used as
dispersion compensator as it may cause the ultra-short pulses to overlap and become distorted.
Fluctuations of chirped grating period Ao with the grating length for stray noise levels of
1x10-
3
, 2x10-
3
and 3x10-
3
are shown in Figure 6.S-S(a) to (c), respectively. Also shown in
this figure is that of the ideal case. These noises are usually caused by the UV chirps from the
source during the fabrication process and consequently create the gratings chirps.
,---..,
S
6
<
'"0"
0
.......
I-<
Q)

b1)
c:
.......

I-<
d
0.53392
0.53390
0.53388
0.53386
0.53384
0.53382
0.53380
0.53378
0.53376
0.53374
30
o
5
10 15 20
(a)
171
25
Chapter 6
".-...
S
-6
<:
' " O ~
0
.......
~
Q)
p..
bO
~
.......
~
I-<
d
".-...
S
-6
<:
' " O ~
0
.......
I-<
Q)
p..
CIl
bO
~
.......
~
I-<
d
0.53392
0.53390
0.53388
0.53386
0.53384
0.53382
0.53380
0.53378
0.53376
0.53374
0
0.53392
0.53390
0.53388
0.53386
0.53384
0.53382
0.53380
0.53378
0.53376
0.53374
0
5
5
10 15 20
Grating Length, L (nun)
(b)
10 15 20
(c)
25 30
25 30
Figure 6.5-5 Effects of stray noise on the chirped gratings period profile (a)
1. 0 x 1 0 -
3
, (b)
2.0x10-
3
, and (c)
3.0 x 10-
3
. The noiseless case (solid line) IS also shown for
comparison.
172
Chapter 6
The reflection spectra associated with these noises (refer Figure 6.5-5) is shown in Figure
6.5-6(a), (b) and (c) .
.c-
......
. -60
+-'
()
Il)
1+=1
-80
-100

-40
'--'"
-60
-80
-100
-- Ideal Simple FBGs (Noise Level = 0)
Noise Level = l.0 x 10-
3
1.5496 1.5498 1.5500 1.5502
Wavelength, A,
(a)
1.5504
"
"
1.5496
Ideal Simple FBGs (Noise Level = 0)
Noise Level = 2.0 x 10-
3
1.5498 1.5500 1.5502
Wavelength, A,
(b)
173

Chapter 6
-60
-80
-100 Ideal Simple FBGs (Noise Level = 0)
--- Noise Level = 3.0 x 10-
3
1.5496 1.5498 1.5500 1.5502
Wavelength, A
(c)
1.5504
Figure 6.5-6 Reflection spectra of a conventional FBGs for different stray noise levels. (a)
= LOx 10-
3
, (b) = 2.0x 10-
3
and (c) = 3.0x 10-
3
The noiseless case (solid line) is also
shown for comparison.
As it can be noticed the SMSRs in each case is as low as about 2dB and does not change
significantly compared to the ideal chirped gratings (i.e. zero noise level). However, the
centre passband wavelength for noise level 1.0 x 10-
3
(see Figure 6.5-6 (a)) is at a
blue shift from the ideal conventional FBGs spectra. When the noise level increases to
2.0x 10-
3
, the centre passband exhibits red shifting to Subsequently when noise
level is further increased to 3.0x10-
3
(see Figure 6.5-6 (c)), the centre passband wavelength
moves further to longer wavelength at From these results, we can actually alter
gratings parameters such as grating period, grating length etc. in order to compensate the
wavelength shift due to the noise chirping effect in which the main cause is the UV source.
We have also investigated the effect of stray noise on linearly chirped FBGs. Equation (6.5-4)
is used to produce Figure 6.5-7 (a) to (c) for different stray noise levels of = l.O x 10-
3
2.0x10-
3
and 3.0x10-
3
The noiseless case where = 0 is shown by solid line for
comparison. In this analysis we set the total grating chirp !1 = 2.0nm and the grating period Ao
= 533.8nn1.
174
Chapter 6
0.53395
0.53390
0.53385
0.53380
0.53375
0.53370
0.53365
o
0.53395
0.53390
0.53385
0.53380
0.53375
0.53370
0.53365
o
5
Ideal Linear Chirp (Noise Level = 0)
Noisy Linear Chirp (Noise Level = 1.0 x 10-
3
)
10 15 20
(a)
25
3
)
5
10 15 20
(b)
175
25
30
30
Chapter 6
0.53390
0.53385
0.53380
0.53375
0.53370 Ideal Linear Chirp (Noise Level = 0)
3
)
o 5 10 15 20 25 30
Figure 6.5-7 Effects of stray nOlse on the linearly chirped gratings period profile (a)
= LOx 10-
3
, (b) = 2.0x 10-
3
, and (c) = 3.0x10-
3
The noiseless case (solid line) is
also shown for comparison.
The reflection spectra associated with the above cases is shown in Figure 6.5-8(a), (b) and (c)
where the solid line is for the ideal case where
= O. The bandwidth and SMSR values for
noiseless case are, respectively, 0.32nm and 2dB. When
= 1.0 xl 0-
3
, the passband centre
wavelength Ao shifts to the blue wavelength region (i.e. Ao = see Fig.10a) and
when
= 3.0 xl 0-
3
, the passband centre wavelength shifts toward the red wavelength (i.e. Ao
= 1.5501 see Figure 6.5-8( c). For
= 2.0x 10-
3
the value ofAo =
176
Chapter 6
,-..,..
o:l
"'0
'--"
o
-10
-40
o
-10
o -20
.......
;>
.......
-+-'
C,)
Q)
~ -30
Q)
~
-40
. .
. .
i
'.
" .
. :0,
.' .
. . .
.. .
.. .
:',' ' .. : : : : :
0'
:: : :: : :: :
.. - 0'
, : ~ : ~ .
.. , - ~ "
: . . , ..
. ,
- L ______________________________ ~ : :
-- Ideal Linear Chirp (Noise Level = 0)
1.5496
~
, .
. .
Noisy Linear Chirp (Noise Level = 1,0 x 10.
3
)
1.5498 1.5500 1.5502
Wavelength, A ().lm)
(a)
- .
. .
..
' .
' .
~
,
\
,
\
,

1.5504
. ,
, ,

f ~ __ ____________________ ______
~
i
~
-- Ideal Linear Chirp (Noise Level = 0)
i ....... .
I
I
Noisy Linear Chirp (Noise Level = 2.0 x 10.
3
)
:L ______________________________
i
- 5 0 ~ L ' ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~
1.5496 1.5498 1.5500 1.5502 1.5504
Wavelength, A ().lm)
(b)
177
Chapter 6
o
-10
.0 -20
. -
:>
. -
......
U
~
~ -30
(j)
p:::
-40
'.
'.
'.
'.
,
,
.'
.'
.'
....
:: ..
' .
0, .,
~ .' ,
,
\ ...
" .1.
, ... .
, ... .
..:
..
,
., .
,0.: ..
0
...
.'
..
.
."
" 0
:: :
0'; : .:0:
...
" .
~
' .
. .
: .
: ~ - - - - - - ~ - - - - - - - - - - - - - - - - - - - - - - - - ~
1.5496
3
)
1.5498 1.5500 1.5502 1.5504
Wavelength, A ~ m )
(c)
Figure 6.5-8 Reflection spectra of an ideal linearly chirped fiber Bragg grating for different
stray noise levels. (a) = 1.0 xl 0-
3
, (b) = 2.0 xl 0-
3
, and (c) = 3.0 xl 0-
3
. The noiseless
case (solid line) is also shown for comparison.
In conclusion, we have analysed fibre Bragg gratings having complex apodized and chirped
structures taking into account effect of stray noise of noise caused by the UV source based on
the gratings theory in section 3.5 .1.1. We have found that the noisy apodized gratings causes
the side lobe level of the gratings to increase (i.e. decreases the SMSR) and hence deteriorates
the overall system performance when used as a filter in WDMIDWDM systems. However, the
reflection spectrum of the noisy chirping profile of FBGs appears to be very similar to the
conventional FBGs. Nevertheless, in the noisy Gaussian-apodized linearly chirped FBGs, the
passband exhibits a rather noisy floor, which is unwanted in applications such as short pulse
restoration, and dispersion compensator.
6.6 Temporal Response of Ultrashort Pulse from Noisy
Apodized & Chirped FBGs
In analysing the performance of an optical filter, it is important to consider not only the
spectral response of the filter. The performance of a filter often depends directly on hO\; the
178
Chapter 6
shapes of individual bit data are altered by the filter. Any filter, which does not have a
uniform spectral response, will necessarily distort the shapes of the pulses in the data stream.
In addition, if the gratings in the FBGs are noisy (i.e. nonuniform in the grating pitch and the
grating amplitude as discussed in section 6.5), the output pulses in the data stream will
certainly be distorted. If this pulse distortion is severe, it can become difficult for the receiver
to distinguish the adjacent bits of information, or the data in one bit slot can interfere with the
neighbouring bits. In this section, we examine the temporal response of an ultrashort pulse
from the noisy apodized and chirped FBGs.
As noted in Chapter 3, fibre gratings constitute an important passive element in today's all-
optical fibre systems. Recently, these photoinduced in-fibre gratings have been successfully
implemented in a variety of optical signal processing devices such as wavelength selective
components (filters), mode converters, dispersion compensators, pulse compressors and
sensing applications. Among these include the demonstration of the encoder/decoder for
optical code division multiple access (OCDMA) by controlling and manipulating the
reflection of short pulses from the gratings [190]-[192]. These devices are typically used with
narrowband sources or with pulses, having spectral bandwidth narrower than the grating
response bandwidth. For such cases, numerous theoretical and experimental analyses have
been presented [192]-[194]. Also, there have been some investigations on the propagation of
pulses through fibre gratings for the case where the incident pulse spectral bandwidth is
several times larger than that of the grating response [195], [196].
L. R. Chen et. al. was the first to consider the detailed analysis of the linear reflection of
ultrashort broadband pulses [197]. Their studies indicate possibility of the emergence of some
new class of applications such as temporal pulse shaping and novel devices for optical
communication systems, by combining ultrashort broadband pulses with narrowband fibre
gratings. However, in none of the above mentioned cases the effect of pulse reflection from
the noisy apodized and chirped FBGs has considered. We know from section 6.5 that the
noisy apodized grating causes the side lobe level of the grating frequency response to increase
(i.e. lower the SMSR) and hence deteriorates the overall system performance when used as a
filter in WDMIDWDM systems.
179
Chapter 6
Hence, to make the analysis closer to practical case, in here, we have introduced the following
stray noise Gaussian apodization profiles P(z) [198]:
p(z} = gD+ex
p
{ -( 2 *[z- n
p(z) = (gD+ l}ex
p
{-( 2 *[ z- n
(6.6-1 a)
(6.6-1b)
Note also that equation (6.6-1a) is the same as equation (6.5-3) where L is the gratings length
and fJ is the random stray noise and (j is a parameter which controls the Gaussian slope.
Equation (6.6-1a) implies that the stray noise is distributed evenly along the Gaussian
function whereas equation (6.6-1b) gives a Gaussian function model for the stray noise. The
process to obtain the spectral response of the FBGs is the same as we have discussed in the
section 6.5 and section 3.5.1.1.
For an unchirped Gaussian input pulse, the power (r) can be expressed as:
(6.6-2)
where r 0 is related to the pulsewidth r m , which is the full width at half maximum (FWHM)
as rm = 1.665r
o
. The time parameter 1", is measured in a reference frame moving
with pulse in which r = t - zjVgrOUP where the parameters t, z, and Vgroup are, respectively,
actual time, propagation distance and group velocity.
When the incident pulse propagates through the FBGs, the transmitted or reflected output
pulse can be easily obtained by transforming the pulse temporal response into its spectrum.
This is followed by multiplying each spectral component of the input pulse by the
corresponding transfer function of the FBG reflection in order to obtain the output pulse
spectrum (i.e. reflected in this case). Eventually, we can synthesise the temporal output pulse
shape from its spectrum using the following inverse Fourier transform:
(6.6-3)
where the angular frequency, OJ = 2;rr C / A , and c is the speed of light in vacuum.
180
Chapter 6
The output pulse spectrum, Pout (A) can be obtained as:
(6.6-4)
where T(A) is the reflection frequency response of the FBGs in which we have calculated in
the earlier section. Hence, the associated output pulse temporal response is given by:
P (r) = _1 [p (A \..-jOJr d(J)
out 2 out P
J[ 00
= 2 ~ [T(l)p;, (l),-jm, dill
(6.6-5)
The schematic of the procedures to compute the reflected output pulse spectra is depicted in
Figure 6.6-1.
Fourier Transform
I - - - - - - - - - - - " ~
1/
Fourier Transform
P
OUl
( r) ~ ' - - - - - - - - - - - I
* Multiply by T(.tl)
Figure 6.6-1 Schematic of the procedures to compute the reflected output pulse.
6.6.1 Results and discussions
In the analysis we have used the same transform-limited l.Ops Gaussian pulse centred at
1.55/-lm as the ultrashort input pulse [197]. The corresponding full-width half maximum
(FWHM) bandwidth of the input pulse is approximately 3.5nm while the FWHM bandwidth
of the FBGs frequency response is in the order of O.lnm as shown in Figure 6.6-2. Thus, the
1.0ps Gaussian input pulse is essentially broadband.
Subsequently, we have divided the FBG into 500 sections so that it can sufficiently
accommodate the noisy chirped and apodized profiles. As for the calculation of the pulses, we
have considered a total time span of 200ps with a total of 1000 steps. This is to ensure that we
181
Chapter 6
have covered the entire possible range of the short pulse spectral components during the
Fourier transformation process. The effective refractive index of the fibre core, n eff is 1.452
[197] and parameters used throughout our analysis are listed in Table 6.6-1. Similar to the
noise effect analysis in section 6.5, we define the noise level as the maximum or minimum
value that the random stray noise can reach. For example, noise level of 0.025% in a noisy
grating chirps simply indicates that the gratings period along the FBGs varies in the range of
A0.025% .
,--...
;::::s
cd
'-"
S
;::::s

.......
C)
(\)
0..
'(/)

(\)

0

"'d
(\)
rJ)
......
........
Cd

0
Z
1.5496
0.8
0.6
0.4
0.2
Wavelength, A, (J...lm)
1.5498 1.5500
. .
.
.
1.5502 1.5504
Short Pulse Spectrum
(Bottom x-axis)
FBGs Spectral Response
(Top x-axis)
o. 0 -!-,... ................. ..................... ............,.
1.540
1.545 1.550 1.555
1.560
Wavelength, A, (J...lm)
Figure 6.6-2 Spectral response of the apodized FBGs and the associated spectrum of the input
pulse.
182
Chapter 6
Table 6.6-1 List of parameters used and their values.
6.6.1.1
Parameters
Total FBGs length, L
Core effective refractive index, neff
Grating period, A
FWHM of input pulse
Index modulation:
WeakFBGs
Medium FBGs
Strong FBGs
Very strong FBGs
Conventional uniform FBGs
Value
10.Omm
1. 55J.lm
1.452
0.5337J.lm
1.0pS
4.356 X 10-
5
1.1616x10-4
4.356 X 10-4
1.452x10-
3
Uniform FBGs is the earliest FBGs discovered by K. O. Hill et. al. [74]. Here, 4 types of
uniform FBGs are compared, varying in the coupling strength from weak to very strong.
However, as reported in the section 6.5, it is almost impossible to obtain an ideal uniform
FBGs. Ideal uniform FBGs means that the grating amplitude and the grating period are
uniformly distributed throughout the entire length of the gratings. The results shown here are
for four types of noisy chirped FBGs namely, weak, medium, strong, and very strong (see
Table 6.6-1 for the index of modulation used for each case).
Figure 6.6-3 shows the intensity response of the reflected pulse with noise level values of,
noise level = 0 (ideal), 0.025%, 0.05% and 0.075% as parameters.
183
Chapter 6
2 e-4 -p-nrrrT"rrTTrrrrrrrrrrrrTTTTTTTTTTTTTTTTTfTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTTT"rn
2e-4
Ideal Uniform FBGs
oise Level = 0.025%

oise Level = 0.05%
5e-5
oise Level = 0.075%
o
-100 -75 -50 -25 o 25 50 75 100
Time, reps)
Figure 6.6-3 A comparison of the reflected pulse from ideal uniform FBGs with noisy chirped
FBGs for weak FBGs.
This figure is for the cases of weak type FBGs. Although a perfect symmetric Gaussian input
pulse is considered, there is a considerable modification in the reflected pulse shape in all four
types of coupling strengths that are examined here. The reflected pulse has a square-like shape
with a gradual fall-off in intensity. Note that the duration of the reflected pulse is
approximately equal to the round trip propagation time through the FBGs
(I'J.t = 2neJJL / c ~ lOOps where c is the velocity of light in vacuum). For the case of the noisy
chirps in which the gratings period are not uniform throughout the FBGs, the reflected pulse
shapes exhibit a significant distortions during the propagation time through the FBGs. Since
the modulation index of the FBG is weak, when the input pulse propagates towards the fibre
end, the last reflection that travels back through the FBGs also experiences greater distortion
as the noise level increases. Hence, as noticed the distortion is initially small but becomes
184
Chapter 6
noticeable at the end of the pulse. For the medium noisy chirped FBG, the spectra for three
different noise levels are shown in Figure 6.6-4.

;:j
cd
'-/
.c
.....
r/)

Q)
+-'
..s
0.0012
0.0010
0.0008
0.0006
0.0004
0.0002
r
, I jl
'\ /' I:
II/I /' /1
"I ,I , I
'f" , v I I , I
'. \ I
. \ \ , I , ,
\f, , \ ,I. "
'.' I A \
\ / .. \ /r ,
\1 ,Ill. I ,
\). J \ 1 I ,
41. I I. .'
,.. \. J
-..
..
"" .. . .'. J if
o. 0000 ..L.... 'L:.I' """".' =;=' '=' ' :x::::: " 1::..1..-1'
-40 -20 o 20 40
Time, reps)
deal Uniform FBGs
oise Level = 0.025%

oise Level = 0.05%
oise Level = 0.075%
FBGs for medium FBGs.
The figure clearly shows the existence of two distinct components of the reflected pulse, that
is: the main reflection peak a series of transient subpulses. The total duration of the reflected
and the number of oscillations in the transient subpulses duration increases since the effective
grating length increases with increasing grating strength. As Figure 6.6-4 indicates between -
50 to 0 ps the reflected pulse starts gradually and becomes distorted (i.e. after half of the
incident pulse travel into the gratings). After Ops as the noise level increases to 0.05%>, the
transient subpulses begin to dominate and a total of 4 peaks are produced as shown in Figure
6.6-4. As the noise level increases further to 0.075%, the entire pulse gets out of shape and
defOlmed. Thus, for a properly controlled noise level, a single I-ps Gaussian pulse can be
transformed to 4 subpulses in its reflected temporal response.
185
Chapter 6
As Figure 6.6-S shows, by further increasing the modulation index of FBGs, almost 90% of
the incident pulse is reflected after the incident pulse propagates 2Sps (i.e. from -so to _
2Sps).
0.014
Ideal Uniform FBGs
.............
Noise Level = 0.025%
0.012
Noise Level = 0.05%
---
,.-.. 0.010
d
cd
'-'"
~
0.008
.,....,
r/)
~
Q)
:s
0.006
0.004
0.002
-40 -20 o 20 40
Time, rePs)
Figure 6.6-S A comparison of the reflected pulse from ideal uniform FBGs with noisy chirped
FBGs for strong FBGs.
Thus, the reflected pulse width is approximately 2Sps, which is a quarter of the pulse width
experienced in the weak FBG (see Figure 6.6-3). From about -20ps as the noise level
increases, a series of transient distorted sub-pulses will emerge as the reflected pulse passes
through longer gratings region. Consequently when the noise level increases beyond 0.075%,
the reflected pulse becomes well deteriorated and hence indistinguishable.
For a very strong noisy chirped FBG, known as Type II Bragg grating [78], the reflected
ultrashOli pulse spectra is shown in Figure 6.6-6.
186
Chapter 6
0.14
0.12
r--., 0.10
;::i
~
'-"
C
0.08
......
en
s::
(l)
+-'
s::
........
0.06
.............

-60 -50
Time, rePs)
Ideal Unifonn FBGs
Noise Level = 0.05%
-40 -30
FBGs for very strong FBGs.
For the ideal case, the FWHM of the reflected pulse is approximately 4.0ps. The transient
subpulses are highly compressed since for very strong FBG most of the spectral components
are being reflected at the very beginning of the FBG. When the noise level increases to
0.025%, the peak intensity of the main reflected pulse decreases to almost 50% compared to
the ideal FBGs and the FWHM, which increases to about 27%. The transient subpulses
become noticeable even for low noise level of 0.025%. As the noise level increases further,
there are not much changes in the spectrum except that the transient subpulses become more
noticeable.
6.6.1.2 Gaussiall-Apodized FBGs
Most of the FBGs used in optical communication systems are apodized as in doing so an
almost perfect bandpass filters can be obtained in the reflection spectrum and the sidemodes
187
Chapter 6
of the gratings response can be suppressed by more than 20dB [78], [181]. Apodization is a
process to change the grating amplitude according to specific functions (e.g. Gaussian
function) along the FBGs. We examine 2 types of the Gaussian-apodized FBGs, namely
typical Gaussian-apodized FBGs (Jn
eff
(z) = 0, average index (DC value) = 0), and raised
Gaussian-apodized FBGs (on 'ff (z ) = on CO" (z )exp{ - ( 2 * [ z - ~ ] / O"L ) 2 }, average index _
Gaussian function).
Unlike the uniform FBGs, we have only analysed the reflected pulse spectra in the strong
FBGs because the spectra of the reflected pulses in the weak FBGs for both types of Gaussian
apodized FBGs are identical as reported in [197]. Three different noise levels for each type of
the Gaussian-apodized FBGs are tested in 2 different types of noise profiles. We call these
two noise distributions type A and B as described in equation (6.6-1a) and equation (6.6-1b),
respectively.
Figure 6.6-7(a) and (b) show the reflected pulse spectra from conventional Gaussian apodized
FBGs for type A and B noise distributions, respectively. For the typical Gaussian-apodized
FBGs, the gratings can withstand higher noise level since the sidemodes of the gratings
frequency response are highly suppressed and hence the reflected pulse will be distorted only
when noise level is high. In both noise distribution profiles, as the noise level increases the
reflected pulse exhibits multiple peaks while the overall pulse shapes remain almost identical.
Therefore, regardless of the noise levels, the FWHM of the main mode of the reflected pulse
in both noise distribution profiles is approximately 25ps, which is consistent with the delay
caused by the Gaussian-apodized FBGs. However, the intensity distortion around the peak is
more severe in type A than type B. This is because in type B the noise distribution profile
initially has negligible effect on the apodization profile however its effect slowly increases
until the Gaussian profile reaches its peak.
188
Chapter 6
~
~
~
'-'"
0.006
C 0.004
......
CI)
5
:s
0.002
Type A
0.000 J.-------'
-100 -75 -50
-25
Ideal FBGs
- - - - - - Noise Level = 0.5%
_ .. _ .. _.. Noise Level = 1.5%
o
Time, rePs)
(a)
189
25 50 75 100
Chapter 6
0.007 -p-nITTTTTTTTTTTTTTTfTTT1rTTrT"'f'TTTTTTTTTITrTTT1ITTTTTTrTTTTrTTT1ITTTT'TTTTT'TT"r-T'TT"T"1
TypeB
0.006
0.005
,,--.
0.004

C\l
'-'"
C
.....
r/l
0
0.003
Q)
+-'
0
~
0.002
0.001
O.OOO.J.-------'
-100 -75 -50 -25
------
_ .. - .. _ ..
o
Time, rePs)
(b)
25
Ideal FBGs
Noise Level = 0.5%
Noise Level = 1.5%
50 75 100
Figure 6.6-7 Reflected pulse spectra from strong Gaussian-apodized FBGs with three
different noise level of (a) type A noise distribution, (b) type B noise distribution.
Subsequently, for the raised-Gaussian-apodized FBGs, the reflected pulse contains regular
oscillations (subpulses) as shown in Figure 6.6-8 (a) and (b) for type A and type B noise
distributions, respectively. As predicted, the distortions occur at each peak of the subpulses.
However, the magnitude of the distortion is decreasing, as the intensity of the peaks becomes
lower. These prove our assumption that higher input pulse intensity will cause the reflected
pulse to be n10re distorted.
190
Chapter 6
Type A
0.006
0.005
~
0.004

~
'--'
c
......
CI)
~
0.003
Q)
1:l
....,
0.002
0.001
0.00040------
-100 -75 -50
,
,
~
..
r
.\
-25
Ideal FBGs
- - - - . Noise Level = 0.5%
_ .. _ .. _.. Noise Level = 1.50/0
I
..
..
o
Time, reps)
(a)
191
25 50 75 100
Chapter 6
TypeB
0.005
0.004
r-...
~
C1:i
'-"
0
0.003
.....
CIl
0
Q)
E

0.002
0.001
0.000 4--------1
-100 -75 -50 -25
.
I
----
_ .. - .. - ..
o
Time, rePs)
(b)
25
Ideal FBGS
Noise Level = 0.5%
Noise Level = 1.5%
50 75 100
Figure 6.6-8 Reflected pulse spectra from strong Raised-Gaussian-apodized FBGs with three
different noise level of (a) type A noise distribution, (b) type B noise distribution.
6.7 Summary
In order for a grating-based filter to be practical, it is necessary to somehow obtain the filtered
signal directly from the transmissivity. One way to achieve this criterion is to have a phase
shift ilnprint on the gratings along the grating length. By doing so a passband window will be
created in the central region of the stopband. Section 6.2 describes how this gratings-based
filter can be designed on the fibre waveguide.
It is known frOlTI Chapter 3 that conventional uniform FBGs will have a rather low SMSR
value, which is highly undesirable in the high-speed optical systems since severe crosstalk
192
Chapter 6
Analysis & Design of EBGs
may cause inter-symbol interference (lSI) in the networks. Fortunately, the process of
apodization and chirping of FBGs will be able to not only overcome the problems but open
some of the new areas in applications of the FBGs, which is covered in section 6.3. Some
simple experiments on the FBGs characterisation are described in section 6.4. This includes
the mechanical stress testing in tuning the wavelength of the FBGs.
From the experimental work, it is known that the noisy spectral response of the FBGs is from
the contributions of the grating noise imprint on the FBGs and the noise of the broadband
source. Therefore, a theoretical analysis on the grating noise is carried out in section 6.5.
From the analysis, the effect of the unwanted stray noise incurred during the FBGs fabrication
process on the spectral response of the FBGs may be calculated, which may help the
manufacturer to analyse the quality of the fabricated FBGs.
Section 6.6 presents a complete description of the effect of the grating noise on the temporal
response of an ultrashort pulse. The reflected pulse exhibits various temporal pulse shapes and
varies in duration though an input of Ips Gaussian pulse is assumed initially. For weak
uniform FBGs, the reflected pulse is square-like, which has a duration equal to the round-trip
propagation time but as the grating period becomes nonuniform, the output pulse becomes
distorted at the end of the pulse. As the grating strength increases, there exists a separation of
the reflected pulse into two distinct components; a main reflection peak and transient
subpulses. Consequently, the reflected pulse will be distorted significantly as the grating
strength increases. The temporal responses of the reflected pulse shapes from typical Gaussian
apodized and raised-Gaussian apodized FBGs are different in which for the latter case, the
reflected pulse has a significant transient of subpulses. Two different noise distributions are
then assumed in which the reflected pulse shows multiple peaks at the highest intensity point.
For both the noise distribution, the peak ripples increases as the intensity increases.
193
Chapter 7 Analysis and Design of Passive
Optical Filters: Long-Period Fibre Gratings
7.1 Introduction
Optical fibre communication systems that use optical amplifiers are increasingly seeking
high-performance devices that function as spectrally selective filters. For example, ASE filters
that improve the noise figure in the erbium doped fibre amplifiers and band rejection filters
used to remove unnecessary Stoke's orders in cascaded Raman amplifiers should have low
insertion losses and low back-reflections. In addition, these filters must be relatively
inexpensive to be mass-produced and should be compact after packaging. One of the most
effective and inexpensive ways is to imprint the gratings on the fibre waveguide, namely fibre
gratings since fibre can be easily integrated in the system to form an all-optical networks.
As discussed in Chapter 3, these fibre gratings, which are often classified as fibre Bragg
gratings (FBGs) and long-period fibre gratings (LPFGs) depending on the magnitude of the
grating period, have found applications in various devices for optical fibre sensors and
wavelength division multiplexing (WDM) communication systems due to the wavelength-
selective nature [200]. The detailed analysis and design of the FBGs was discussed in Chapter
6. Therefore, the focus shall be mainly on the LPFGs in this chapter.
A. M. Vengsarkar et. al. is the first to have described the photoinduced LPFGs that couple the
fundamental guided mode in a single-mode fibre to forward-propagating cladding modes [76].
These modes decay rapidly as they propagate along the fibre axis owing to the scattering
losses at the cladding-air interface and bands in the fibre. Since the coupling is wavelength
selective, the LPFGs can act as a wavelength dependent loss element otherwise known as the
in-fibre band-rejection filters. LPFGs have low back reflection and a fairly broad stop
bandwidth ( ~ 2 0 n m ) compared to fibre Bragg gratings (FBGs). One of the main applications
for the LPFGs is in the area of sensing.
Photonics sensing schemes utilising fibre optics technologies have been studied since the
early 1970's. In fact, several optical fibre sensors have recently been used in practical
194
Chapter 7
Analysis & Design ofLPFGs
application fields, which provide unique functions compared to other sensing principles [201],
[202]. Some of the most notable successes in this technology have been realised in areas
including underwater acoustic sensing, strain monitoring, rotation sensing (gyroscopes),
certain chemicallbiomedical sensors and temperature sensing. Nevertheless, optical fibre-
based sensor technology has always faced problem of competing with extremely well
established conventional sensor technologies, which provide adequate performance
characteristics at low cost, and with high reliability. Grating-based sensors appear to be the
main option, which fulfil not only the reliability records, but the manufacturing costs. In
addition, the devices have an inherent self-referencing capability and are useful for a variety
of applications. In particular the area of distributed embedded sensing in materials for creating
"smart structures" is of primary interest [203]. Here, fibres with sensor arrays can be
embedded into the materials to allow measurement of parameters such as load, strain,
temperature, and vibration, from which the health of the structure can be assessed and tracked
on a real-time basis.
In this Chapter, a full detailed analysis on the phase-shifted LPFGs will be presented. Besides,
a closed form analytical equation expressing the transmission spectrum of cascaded LPFGs
shall also be derived. Based on the results obtained, a novel cascaded phase-shifted long-
period fibre gratings (CPS-LPFGs) has been proposed for microbend sensor measunng
curvature by detecting the bending-induced wavelength shift.
7.2 Structural Impacts of LPFGs
In this section, various structural impacts of the LPFGs designs apart from just being a band
rejection filter as proposed by Vengsarkar will be discussed [76]-[77].
7.2.1 Allalysis of the Phase-Shifted LPFGs
In this section, we apply the technique commonly used in distributed feedback semiconductor
laser [166] by introducing multiple phase-shifts across the LPFGs in which the location and
magnitUde can be adjusted accordingly. Similar to the analysis of FBGs, the coupled-mode
theory (CMT) is applied to obtain the quantitative information about the diffraction efficiency
and spectral dependence of the LPFGs. Contrary to the FBGs spectral response, the
reflectivities of the LPFGs is very low, in fact, it is almost negligible. In LPFGs, coupling
195
Chapter 7
occurs between the incident waves and the co-propagating waves in which to coupled co-
propagating waves will travel in the lossy cladding region. However, in general, the cladding
mode of a fibre is hard to be measured. Thus, the LPFGs is also known as the transmission
gratings since only the transmissivity of the fibre core can be detected. A simple schematic
diagram of multiple phase-shifts LPFGs written along a fibre is shown in Figure 7.2-1.
( z )
AOI ( )
core Z
v
/
-'111111 111111 I I I I I I
:
Figure 7.2-1 Schematic diagram of a multiple phase-shifts LPFGs written along a fibre.
From the Figure 7.2-1, when the input lightwave (HEll) passes through a single LPFGs of
length L, from the co-directional coupled-mode theory, the complex modal amplitude of the
fundamental core mode and the coupled lith order cladding mode are given as
[78], [181]:
(z) 5.RAol ( ) _ 'KAv ()
dz + } 'jJ" core Z -} cladding Z
(7.2-1)
dAY (Z)
cladding _ . 5. RA v " () = . KA I ( Z )
dz } 'jJ" cladding Z } core
where K is the mode coupling coefficient of a single LPFG, which is proportional to the
induced refractive index in the fibre core and to the overlap integral of the core and cladding
modes' field. The 5/1 is the detuning defined by 5/1 = - - K in which K is the
g
rating vector Assuming AOl (i) A
V
I
dd" (i) is the core input complex modal amplitude and
core , c a mg
lith order cladding input mode amplitude, we have:
where
12 core l _ S core
S
][
A I (.) l [ A I (i) l
S22 (i) - LPFGs (i)
SII = COS(y L)+ i 5/1 sin(y L)
2y
196
(7.2-2)
(7.2-3)
Chapter 7
Sl2 = -i K sin(y L)
y
S21 = i K sin(y L)
y
S22 = cos(y L)- i 8J3 sin(y L)
Y
The phase-shift matrix has the following fonn:
o
o
(7.2-4)
(7.2-5)
(7.2-6)
(7.2-7)
where is the magnitude of the phase shift. Thus, the overall transfer matrix for k-I phase-
shifts LPFGs will then become:
[
AOl (i + I) ] [ AOl (i) J
core = S T ST S T S core
A
V
(. I) k k-I 2 I AV .
cladding 1 + cladding (1 )
(7.2-8)
The transmission and coupled cladding mode spectra are then obtained by imposing the
boundary condition in equation (3.5-47) and (3.5-48). In equation (7.2-8), S1, S2, S3, ... , Sk.1 ,
is the the transfer matrix of the individual LPFGs as in equation (7.2-2).
7.2.1.1 Results and discussions
As mentioned in the previous section, coupling occurs between the incident waves and the co-
propagating waves in LPFGs. Thus, it is generally accepted that each resonant peak of the
LPFGs, written in a single-mode fibre, results from the grating-induced power exchange
between the fundamental core mode and the corresponding cladding mode of the fibre.
However, in a practical LPFGs device, as depicted by Figure 7.2-2 the spectral separation
between the resonant peaks are wider than the bandwidth of individual peak (high finesse), so
that coupling to other cladding modes can be neglected in simulating the spectrum. Hence,
when calculating the spectrum of LPFGs, only the coupling between the fundamental core
mode to vth order cladding mode is considered in which the phase matching (detuning)
condition is satisfied as follows:
01 v 2Jr
J3eore - J3c1adding = A
(7.2-9)
197
Chapter 7
Analysis & Design of LPFGs
where and denotes the core propagation constant of the fundamental mode HE
, 11
and the vth order cladding propagation constant respectively. A is the grating periodicity to
couple the fundamental mode to vth-cladding mode.
o
n
1""",
,...
'wy
r' -V1
Irv--
-1
LP
02
-2
CO
"'d
'-'
.e-
LP
03
.....
:>
.....
-3
Cf)
Cf)
.....
S
Cf)

-4
LP
04
-5
LPos
LP
06
-6
I I I I I
1.2 1.3 1.4 1.5 1.6 1.7 1.8
Figure 7.2-2 Transmission spectrum of a 50mm long LPFG in a standard Coming SMF-28
fibre, with a period of 450J.lm and index modulation 1x10-
4
.
The calculated spectra for a single phase-shifted (PS) LPFGs with varying phase shifts at
the centre of the gratings length is shown in Figure 7.2-3, where the parameters for the
simulation are based on the B-Ge-doped photosensitive fibre with 475J.lm grating period and
the resonant (coupling) wavelength of LPo5 mode around 1520nm. As the phase shift
increases, the peak wavelength is shifted to the red region (longer wavelengths) the 3-dB
bandwidth of the LPFGs is fairly constant (11nm) and the maximum transmission loss in the
main peak decreases while the loss in the single side lobe increases. When the phase shift is
increased to n radian, two resonant peaks with 20.7nm apart appearing symmetrically about a
198
Chapter 7 Analysis & Design ofLPFGs
e a e cen re wave enot as central wavelength and the gratings becomes transml'ssl'V t th t 1 h
b
reported by Bakhti et. al. [205]. This is the result of converting destructive interference into
constructive interference at the phase-matching wavelength.
-5
=rr.

p:)
"'0
'-'" = 3rr./4
0
0
-10
.......
I/)
I/)
.......
S
I/)
= rr./2
0
ro
.....
E---
d
-15 ..

..
..

::o:E = rr./4

KL = 1.471 ; L = 30mm
..
'"
ifl

=O
-20

1.50
1.51
1.52
1.53
1.54
Wavelength, A
Figure 7.2-3 Transmission of a single long-period fibre gratings (LPFGs) with different
phase-shifts.
The position of the phase shift along the PS-LPFGs can be changed according to the phase
shift position (PSP), which is defined by:
PSP, \}' = Ll (7.2-10)
LI +L2
where L 1 is the length of the first unifonn LPFGs before the phase discontinuity and L2 is
length of the uniform LPFGs after the phase shift. Note that when \}' = 0, the LPFGs will
become the conventional uniform LPFGs.
199
Chapter 7
Figure 7.2-4 shows the transmissivity of a single n phase-shifted LPFGs with the
corresponding phase shift position (PSP).
o
-5
'-'
o
o
.....
rfJ
-10
S
rfJ

H
t-<
d -15

r:f)
p.. -20
-25
\
\ I
\ !
\ I
\ '
, I
11
\i
W 1.51
KL= 1.471 ;L=30mm
= 1t
0.0
aVelength /l
, (l.J.111)
1.49
0.5

0.4
0
0.3 ;7
-Q.,,0
0.2

0.1

Figure 7.2-4 Spectral responses for n phase-shifted LPFGs and its dependence of the phase
shift position.
When the PSP = 0, the LPFGs will have no phase shift, but when the PSP = 0.5, the phase
shift will be at the centre of the grating length. Note that only the PSP range of 0 to 0.5 is
considered here since for the range of 0.5<PSP<1.0, the spectral response will be the mirror
image of the spectral shown in Figure 7.2-4. When the PSP move to the right side (away from
the initial grating length), the peak loss, which centred at (resonant wavelength)
decreases exponentially frOln -20.032dB for PSP = 0 to -8.316dB for PSP = 0.1.
Subsequently the resonant wavelength soon shifts towards the constructive interference when
the PSP = 0.5.
200
Chapter 7 Analysis & Design of LPFGs
A very interesting incident occurs when PSP is around 0.2. The spectral response will ha e a
wider 3-dB bandwidth and flatter peak loss response compared to other spectra. It is important
indeed to have a flat spectral response in practical. This is because, in the DWDM lightwa e
system, signal-to-noise ratio (SNR) should be as high as possible. If the filter response is not a
flat top shape, the signal will be significantly reduced but the noise figure remains the same,
thus causing the SNR of the filtered signal to be low. Figure 7.2-5 depicts the transmissivity
of a single 'IT phase-shifted LPFGs with three different PSP that is \.f' = 0.16 (solid line),
qJ = 0.18 (dotted line) and \.f' = 0.20 (dashed line). As shown in Figure 7.2-5(a), the 3-dB
bandwidth changes marginally low at about 10% increase for every 0.02 PSP step taken (from
qJ = 0.16 to \.f' = 0.20). Due to the energy conservative law, the peak loss will be reduced.
When \.f' = 0.18, the peak loss will show a flattop shape as shown in the closer spectral range
in Figure 7 .2-5(b)
,..-....
c:Q
'D
"-"
0
0
.......
C/)
C/)
.......
S
C/)
0
ro
H

d

p..
....:l
(/)
p..
-2
-3
'l'=O.l6
.........
'l'=O.l8
--- 'l' = 0.20
-4
/\
-5
KL = 1.471 ; L = 30mm

1.50
1.51
1.52
Wavelength, A
(a)
201
1.53
1.54
Chapter 7
-3.0
.
\ :
:1
\ :
: I
\:
: I
\:
:1
-3.5
\ :
:1
\ :
:1
\:
:/
co
\:
:J '"d
'-.../
\ :.
:/

\: .: 1
0
..... ,
......
-4.0
\": :1
rf)
/
\
rf)
\.
1
......
/
\
S
rf)
/
\

./
"-
I-<
E---
d
-4.5

....
.....:l
.......
. ...
rfJ
\.}I = 0.16

.........
\.}I=0.18
-5.0
---
\.}I = 0.20
KL = l.471 ; L = 30mm
-5.5
1.516 1.518 1.520 1.522 1.524
Wavelength, A
(b)
Figure 7.2-5 Transmissivity of a single 1t phase-shifted LPFGs with three different PSP (a) the
complete spectral range (b) a closer view of the flattop spectral response.
When the number of phase shifts along the grating length is increased, it is found that there is
no significant change in the spectral response besides the resonant peaks will shift away from
the initial resonant wavelength, which is in our analysis here. The SMSR and 3-dB
bandwidth remains unchanged. For a single 1t phase-shifted LPFG, the transmissivity will
exhibit two resonant peaks. If N equispaced 1t phase-shifts of LPFGs is analysed, both of the
resonant peaks separation L1A will also increase and the dependence of the number of phase
shifts is shown in Figure 7.2-6. From the calculations, there is a linear dependency of the
wavelength peak separations on the number of 1t phase shifts. the following equation shall be
obtained:
(7.2-11)
202
Chapter 7
30

25
'-"

<l

0
20
.-

I-<
ro
0..
(])
ifJ.
15
..c::
.......
on

(])
.......
(])

10

5
o
o 5 10 15 20
Number of n-Phase Shifts, N
Figure 7.2-6 Spectral separation between two minima in the rejection bands as a function of N
number of n phase-shifted LPFGs
7.2.2 Numerical aperture of the fibre
The use of specialty optical fibre is widespread throughout the communications industry,
component developers often overlook it as an enabling technology. Unlike standard single-
mode transmission fibres, specialty optical fibre is custom-designed for specific applications
and has been integral to the development of fibre gratings devices. Figure 7.2-7 shows the
transmissivity of a LPFGs with three different magnitudes of relative refractive index
difference, which is defined as [206]:
2 2
I1.n = n core - n cladding
2
(7.2-12)
where Heore and I1
c
l
a
dding IS the refractive index of the fibre core and cladding region
respectively.
203
Chapter 7
-20
L = 30mm ; KL = 1.471
-- &1=0.36%
&1 = 1.37%
&1 = 2.05%

1.50 1.51 1.52
Wavelength, A
1.53 1.54
Figure 7.2-7 Transmissivity of the LPFGs with three different relative refractive index
differences.
From Figure 7.2-7, the 3-dB bandwidth can be reduced if the same type of long-period
gratings (LPGs) is fabricated in a fibre with higher relative refractive index difference. When
the relative refractive index difference i1n = 0.36%, the 3-dB bandwidth is 12nm.
Subsequently, if a fibre with higher relative refractive index difference is used, the 3-dB
bandwidth can be reduced up to approximately 4.0nm when i1n = 2.05%. Note that all the
value used here conform to the specialty fibre's specifications available in fibre manufacturer
StockerYale Inc, Canada [207].
7.3 Cascaded Long Period Fibre Gratings
As discussed in Chapter 3, LPFGs have fairly broad bandwidth. However, beside acting as
band rejection filters, and gain flattening filters for erbium doped fibre amplifiers, the broad
bandwidth behaviour in fact limits their applicability. It has been recently reported that
204
Chapter 7
Analysis & Design ojLPFGs
several LPFGs can be cascaded in series to form comb filters, or multi-channel LPFGs, which
can be used for fibre-based WDM filters [208], and sensing elements [209]-[210]. Multi-
channel LPFGs are characterised by narrow bandwidth, high resolving power and high
sensitivity. There has been considerable effort to utilise these features for various
applications, and it is often necessary to control the spectral characteristics, e.g. the spectral
spacing between the adjacent channels in multi-channel LPFGs.
7.3.1 Closed form solution for cascaded LPFGs
So far, in order to simulate the spectrum of a paired or more LPFGs, the matrix multiplication
method has been used. Initially, the entire gratings structure is divided into several sections
and the transfer matrix of each section was calculated, and eventually the spectrum is obtained
by directly multiplying the transfer matrices successively [99], [211]. However, this method is
time-consuming and not informative. In this section, a new analytical solution will be derived
for cascaded LPFGs, which is composed of identical LPFGs with equal separation as shown
in Figure 7.3-1.

-.111111-' 111111
, ' -. / : !
;
l(
L
):
i(
d
)i
Figure 7.3-1 Schematic diagram of a cascaded LPFGs written along a fibre.
Equation (7.2-2) can be rewritten as:
[
(i 1) ] =
(z + 1) 0
SI2][ (i) ]
S 22 (i)
(7.3-1 )
where
(7.3-2a)
(7.3-2b)
205
Chapter 7
Note that a phase term is added in order to represent the phase changes induced by the light-
propagation in the gratings. By rearranging equation (7.3-1), we can arrive at the following:
[
AD} (L)] i-A"L
rore J 2 e
=e
(L ) 0
jR ][ (0) ]
Te-
NI2
(0)
(7.3-3)
where Rand T are the cladding mode and core mode amplitude respectively given as:
R
K.
= -slnrL
r
(7.3-4)
with R* being the conjugate of R.
Note that from equation (7.3-2b), 9 = O. The dispersion equation, r and the phase, is defined
as:
= 2tan-t:
(7.3-5)
As an example, the modal amplitude of the core mode after passing through a single LPFGs is
expressed in a closed form using the initial boundary condition (0) = 1 and
(0) = 0 (indicates that the wave was guided only along the core mode initially):
[r + "} 1 ( 813) [( )]
= Te' 2 +A: +, = / P::
re
-, L + j: (7.3-6)
For a cascading LPFGs, the waves will propagate in the uncorrugated region of length, dafter
passing through the grating length, L. The complex modal amplitude will thus become:
[
(L + d)] 0][ (L) ]
A;;adding (L + d) - 0 e
i
(L )
(7.3-7)
Here, it is assumed there is no loss in the uncorrugated region (grating-free) and thus there is
no power exchange between modes in the region after passing through the first LPFGs.
Nevertheless, there exits phase gain of each mode due to free propagation between the
gratings. Combining equations (7.3-7) and (7.3-3) yields:
206
Chapter 7
(7.3-8)
with the system matrix F in the equation (7.3-8) is defined as:

Te
J
- 2
J-
F=
jRe 2

(7.3-9)
jR*e-
Jz
-J-
Te 2
where the new phase term is derived from equation (7.3-8) as:
; = - + KL (7.3-10)
Note that for phase-shifted LPFGs, d = 0 since there is no gap in between the gratings.
However, the amount of phase shift between gratings defined by n should be added. Thus,
the following expression is obtained:
(7.3-11)
Until now, the unit transfer matrix F has been chosen to represent the mode coupling of the
wave that passing through the grating and the uncorrugated region successively. It can then be
deduced that when several gratings of an equal strength are cascaded with an equal separation,
the complex modal amplitudes after passing through N (> 1) gratings are simply given as:
r
l r (N(L + d)) l
N = (N( L + d))
P
OI +pv . r 01 J
. core claddmg N(L+d) A (0)
= e' 2 FN core
(0)
(7.3-12)
However, the equation (7.3-12) does not provide an insight of the spectral properties of the
LPFGs unless it undergoes hectic matrix multiplication. Fortunately, from equation (7.3-9),
the unit transfer matrix, F is found unitary; its Hermitian conjugate is its inverse or FH = F-
1
[212]. And this is found true since the eigenvalues for equation (7.3-9) have absolute value 1,
which obeys the energy conservative law. Thus, it can be diagonalised by a unitary
transformation of:
F=XAX
H (7.3-13)
As expected, the transformed diagonal matrix A, consists of the eigenvalues of F as its
diagonal elen1ents, is computed to be:
207
Chapter 7
where
cos ( = T cos + r;
2
(7.3-14)
(7.3-15)
Whilst,
the transforming matrix, X, which is a unitary matrix,
is achieved by taking the
normalised eigenvectors of F as the columns of the matrix. Thus, it will tum to be:
Te -l-, -e;g
l-
1 - JRe 2
X=-
.+q 1
-JR*e-'2
Note that the normalisation factor IIXII have been defined as:
[
.q
X .+q
II II Tel 2 -eX
(7.3-16)
Ilxll' 2{1- TCOs( -S )} (7.3-17)
Eventually, by USIng the diagonalised system matrix of equation (7.3-13), the matrix
multiplication term shall be reached as follow:
(7.3-18)
where xyH = I, in which I is the identity matrix. So the multiplication of the diagonal matrix
A by Ntimes is simply:
AN = e . N>1
[
iNS 0]
o e-iNs '
(7.3-19)
Equation (7.3-12) will tum to as follow:
[
] = N(L+d)X[e
iNS
0 ]XH[ J (7.3-20)
N 0 e-iNs (0)
Up to now, we have arrived an analytic solution in a closed form in which the complex modal
amplitudes are expressed with the multiplication of three simple 2x2 matrices regardless of
the number of cascaded LPFGs. Assumptions have been made that the cascaded gratings have
the identical coupling strength, K and grating separation, d. Besides, it is also assumed that
there is no power loss in the fibre. Also to be noted is that the initial condition of the complex
modal amplitudes in equation (7.3-20) is the input wave incidents only from the core of a
fibre and the cladding part should be zero.
(7.3-21)
The modal intensities of the cascaded N (> 1) gratings are given as square of the norms of the
complex modal amplitudes,
208
Chapter 7
[
] _ [ + ]
+
(7.3-22)
in which + = 1, that obeys the energy conservative law. After some lengthy
mathematical manipulations, the spectrum equation for the N cascaded LPFGs is
TV. = TV sin 2 N (
claddmg, N cladding, 1 . 2 I'
SIn '='
(7.3-23)
Equation (7.3-23) is the cladding mode intensity, which is similar to a sinc function. Also the
transmission spectrum of the N cascaded LPFGs is simply expressed with only two
parameters; the number of gratings N and the parameter c; that has the information of the
phase difference between the core and the cladding modes as in equation (7.3-15).
7.3.2 Results and discussions
The spectral response from a cascaded of two LPFGs will be looked into using the closed
form solution that is derived in the previous section. When two similar LPFGs (same grating
strength, and length) are separated with a distance of d, we called it as cascaded 2-LPFGs.
The transmission spectra is generally plotted in terms of wavelength A by the relation of:
S:ij1'T 21r ( core, 01 cladding, V A JL
UJ 'LJ - - n - n - -
- A eff eff A
(7.3-24)
in which n;;e,ol and n;;dding,v are the effective refractive indices of the fibre core LPol mode
and 1A:h order cladding mode, respectively. A is the grating period. From equations (7.3-20),
(7.3-21), and (7.3-22), the transmission spectrum of cascaded 2-LPFGs with increasing
grating separation is obtained, which is depicted in Figure 7.3-2.
209
Chapter 7
o
-5
",-...

"--"
-10
0
. .-.
r/)
r/)
. .-.
S
-15
r/)
g
....

-20
-25
25
./)/s/. 20
15
10

7l.2r 5
<--Pj;;
Os 0 1 55
c/r; .

1.49
1.50
Figure 7.3-2 The transmission spectra of the cascaded 2-LPFGs with increasing length of
grating separation, d.
From Figure 7.3-2, when the separation between two identical LPFGs, d = 0, it represents a
conventional LPFGs with the resonant wavelength at 1.52 When the separation between
the gratings increases, the initial resonant wavelength will shift towards shorter wavelength
(blue shift) but another coupling mode will start to dominate from the higher wavelength
(compared with the initial resonant wavelength). As a result, as the separation between the
two gratings d increases, a multiple coupling resonant around the initial resonant wavelength
of the conventional LPFGs shall be obtained. Figure 7.3-3 shows the transmission spectra for
the same cascaded 2 LPFGs with a separation of d = 50.0mm.
This can be best explained using equation (7.3-15). When the phase ( + which is a
function of 5/3 from equations (7.3-5) and (7.3-10), increases monotonically, coss will then
oscillates between the core mode amplitude, T as defined in equation (7.3-4). At the
210
Chapter 7
resonant wavelength, 8/3 = 0, in which the phase matching condition of equation (7.2-9) is
satisfied, the dispersion equation will be simplified to y2 = K2 .
-5
".-....
~
-10
'--'
s:::
0
.......
CI)
CI)
.......
s
CI)

-15
I-<
~
-20
-- d=50mm
-25 ~ ~ ~ ~ ~ ~ ~ I ~ ~ ~ ~ ~ I ~ ~ ~ ~ ~ ~ I ~ ~ ~ ~
1.50 1.51 1.52 1.53 1.54
Wavelength, A ~ m )
Figure 7.3-3 Transmission spectra of cascaded 2 LPFGs with a separation of d = 50mm.
Subsequently, the core mode amplitude will reach the minimum and is then given as:
T = -J1 - RR = 1 - sin 2 (yL) = cos(YL)
(7.3-25)
However, for long-period gratings, the typical normalised coupling strength, KL ~ 1[ [78].
2
Thus, when the incident wave satisfies the phase matching condition, 8/3 = 0, the phase
components, t; in the diagonal matrix A from equation (7.3-15) varies with the variations of
8/3 within the range of:
(7.3-26)
211
Chapter 7
The coupling coefficient for fibre gratings K is assumed to be real, which holds in general.
From equation (7.3-26), when the phase term C; reaches the minimum limit of KL and the
maximum limit of (Jr - KL) as c5f3 increases, the denominator of equation (7.3-23) will have
the minimum value. As a result, the cladding mode intensity will have maximum value and
since the modal intensities obey the energy conservative law, this explains the band-stop
characteristic of the long-period fibre gratings.
Note that the cosine term of the phase ( + ) becomes constant as = 0 at 813 = 0 and
~ = K(L + d) = 2Jr (L + d). As d increases, the phase ( + ~ ) increases but the cosine terms
A
decreases. Nevertheless from equation (7.3-23), the cladding mode intensity depends on the
sine functions, which has the reverse effects. Therefore, as d increases, one can notice that
there are multiple peaks.
From equation (7.3-23), it is well known that the spectra of cascaded LPFGs depend on the
number of cascaded gratings, N and the parameter ( As given by equation (7.3-15), the C; -
parameter is a function of the phase difference between modes, which is presented with
equations (7.3-5) and (7.3-10) .. Therefore, it can be said that the spectra will be determined by
the number of gratings N, the coupling coefficient of a single grating K, the length of each
grating L, and the length of the grating separation d.
7.4 Novel Cascaded Phase-Shifted LPFGs Microbend
Sensor
The advantages of optical fibre sensing are well known and have been widely extolled in the
research literature on the subject. Fibre sensors have, however, resulted in relatively few real
commercial successes, and the technology remains in many instances, laboratory-based at the
prototype stage. The reason for this is becoming clear to most researchers in the field: many
fibre optic sensors were developed to displace conventional electro-mechanical sensor
systems, which are well established, have proven reliability records and manufacturing costs.
Thus, even though fibre sensors offer important advantages such as electrically passive
operation, EMI immunity, high sensitivity, and multiplexing capabilities, market penetration
of this teclmology has been slow to develop. Nevertheless, in applications where fibre sensors
212
Chapter 7
offer new capabilities such as distributed sensing they appear to have a distinct edge over the
competition. Fibre gratings and other grating-embedded devices will be able to pro ide this
capability effectively.
In this section, an optical microbend sensor by using cascaded phase-shifted long period fibre
gratings (CPS-LPFGs) to measure structural curvature is proposed as depicted in Figure
7.4-1(a).
d
(a)
..............
.... -..
d" .....
(b)
Figure 7.4-1 Schematic diagram of LPFG-filter structure: (a) Cascaded Phase-Shifted LPFGs
where G
1
, G
2
, ... ,G
4
are gratings; rAJ rh are the phase-shifts and (b) When the fibre with CPS-
LPFGs is bent.
The proposed fibre sensor consists of 2 7t phase-shifted long-period fibres, which are cascaded
in series. G" G2, G
3
, and G
4
are the uniform LPFGs, which can be easily represented by the
transfer matrix in equation (7.2-2). Subsequently, rPtJ rh are the 7t phase shifts that are gi en III
equation (7.2-7) and the grating separation d is given by:
213
Chapter 7
(7.4-1)
in which the gratings separation will cause the wave to undergo a certain phase change
according to Kogelnik [43]. Using the same phase-shifted LPFGs design as discussed in
section 7.2.1, in which the resonant wavelength will be at and cascading two of these
identical LPFGs in series. The entire length of each phase-shifted LPFGs is fixed at 20mm.
The transmissivity can be obtained by suitable boundary condition as discussed in chapter 3.
Figure 7.4-2 shows the transmissivity of the CPS-LPFGs with the grating separation d =
1.50mm. It is interesting to note that when a small gap is left in between the PS-LPFGs, the
two coupling wavelengths becomes a single coupling wavelength but the resonant then
exhibits a red shifting to Unlike the single PS-LPFGs, there is only one resonant
wavelength that exists. The sidelobes suppression ratio (SMSR) is about 33dB.
,-...,
p:)
"'d
"-'"
0
0
.......
r/)
r/)
.......
S
r/)
0
ro
H

0
-5
-10
-15
d= 1.S0mm; L = 20mm
KL=1.471
-20
-25
-30
-35
-40
-45

1.500 1.505 1.510 1.515 1.520 1.525 1.530 1.535 1.540
Wavelength, /L
Figure 7.4-2 Transmissivity of a Cascaded Phase-Shifted LPFGs when d = 1.50mrn.
214
Chapter 7
When the gap, d = 2mm, the resonant wavelength will move to higher wavelength at
1.53233/-lm. However, when d = 2.5mm, the resonant wavelength will now exhibit a blue
shifting behaviour and will stabilise at 1.5072/-lm; this is shown in Figure 7.4-3.
-10
~
~ -15
'\j
~
~
o
......
~ -20
......
S
if)

~ -25
-30
-35
d= 2.5mm; L = 20mm
KL=1.471
-40 ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~
1.500 1.505 1.510 1.515 1.520 1.525 1.530 1.535 1.540
Figure 7.4-3 Transmissivity of a Cascaded Phase-Shifted LPFGs when d = 2.S0mm.
Consequently, as the gap between the two PS-LPFGs d changes, the resonant wavelength will
then vary in a periodical way and it is clearly shown in Figure 7.4-4. The dotted line indicate
the initial resonant wavelength of 1.52/-lm. Note that when d = O.Omm, the structure will be
purely a double phase-shifted LPFGs and thus there exist two resonant peaks as discussed in
section 7.2.1.
215
Chapter 7
1 . 535 F'TTTnTITTTTTTTTfTTTT'rTTTTj'TTTTTTTTTTTTTTTlrrrT'fTTTTTTTTTfT1rTTTTT'TTTTTTTTTTrTTTTl'TTTTTTTTTTTTTTTT'1
1.530
,--...,
8
6
~ 1.525
...r:::"
bn
~
(!)
........
~ 1.520
~

1.515
rn
(!)
0:::
1.510

..................................................... '" .................... .

0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Distance, d (mm)
Figure 7.4-4 The periodical changes of the resonant wavelength as the gap between the PS-
LPFGs increases.
Since the fibre core diameter is fairly small (i.e. Optical fibres are typically 250 or 500
microns thick, including the buffer layer), it can be assumed that the bending of the fibre with
CPS-LPFGs will cause the grating free region, d to change as shown in Figure 7.4-1(b). This
causes the resonant wavelength to be shifted according to the periodic pattern shown in Figure
7.4-4. Note that for small changes (d ~ 0.05mm), the changes of the resonant wavelength is
significant enough for detection. These characteristics of the proposed design for the phase-
shifted LPFGs can be used as a microbend sensor measuring curvature by detecting the
bending-induced wavelength shift. Besides, the spectral response of the CPS-LPFGs can also
be used as a force/pressure sensor. A typical set-up for microbend technology is shown in
Figure 7.4-5 in which our proposed CPS-LPFGs can be used to sense the force between the
top and botton1 plates. This will cause the grating separation to vary and thus the resonant
wavelength.
216
Chapter 7
Light "Ieaks ouf' during microbending
Top plate
Light in
Light out
Opti cal Fi bre
Brass rods
Figure 7.4-5 Microbend sensor technology.
7.5 Summary
In this chapter, the structural impacts of the long-period fibre gratings (LPFGs) are being
investigated. The effects of introducing phase shifts along a LPFGs have been highlighted. In
addition, the effect of the relative refractive index difference f1n on the stopband bandwidth is
also discussed. In addition, there is also a presentation that the transmission spectrum of a
cascaded LPFGs can be expressed with a simple analytic expression in a closed form solution
in section 7.3. The equation is obtained by diagonalizing the transfer matrix of the unit
composed of a single LPFGs and a grating-free region between the adjacent gratings. The
functional form is very similar to a sinc function. In order to derive the equation, it is assumed
that all gratings are identical and being separated by an equal distance, and that there is no
power loss.
From the mathematical analysis of the derived equation, it is found that the spectra of the
cascaded LPFGs can be determined by the number of gratings N, the coupling coefficient of a
single grating K, the length of each grating L, and the length of the grating separation d. A
large grating separation is required in order to get a narrow channel spacing.
From the idea of phase shifted LPFGs and cascaded LPFGs, a novel design by cascading a
pair of phase-shifted long period fibre gratings is being proposed. It is found that there exists a
resonant wavelength when two identical PS-LPFGs are cascaded in series leaving a fixed
separation. When the gap between these two PS-LPFGs changes, the resonant wavelength
217
Chapter 7 Analysis & Design ofLPFGs
will then vary in a periodical way. Based on the spectral response, it is also proposed that the
CPS-LPFGs can be functioning as a microbend sensor, measuring curvature by detecting the
bending-induced wavelength shift. In addition, it can also be used as a force/pressure
measurement sensor with high sensitivity.
218
Chapter 8 Conclusion
and
Proposal for
Future Work
8.1 Summary of the Thesis
Filters are needed in any optical communications system where noise is included in the signal
to be detected. While the 40Gbit/s Dense Wavelength Division Multiplexing (DWDM)
lightwave systems are getting ready for commercial launch, optical filters are evolving at a
rapid pace. This transformation is arising from both a pull by the development needs of
lightwave communication systems and the technology push coming from research in materials
and fabrication processes. The filters described in this thesis seek to push the limit of the
number of channels in the DWDM lightwave systems. Thus, the thesis has sought to provide a
comprehensive description of the author's research work in gratings-embedded optical
tunable filters. The filters described are grouped into two principal categories; active filters
and passive filters.
The design of the active gratings-embedded optical tunable filters begins with an
electromagnetic analysis of dielectric structures. The operational principles of lasers, in
particular the semiconductor laser, have been presented. The modal analysis for the index and
gain guiding waveguides has been reviewed. Also, computation of coupling coefficient,
which serves as a key parameter in the measurement of the degree of feedback provided by
the gratings-embedded devices has also been presented. This was followed by the introduction
of coupled-wave equations and the classifications of the DFB laser diodes.
In the case of the passive gratings-embedded filters, attention was given to the in-fibre
gratings rather than the planar waveguide filters. Nevertheless, the basic concepts are similar
for both in-fibre gratings and the planar types. The present work is concerned with the in-fibre
gratings type because of their ease of fabrication in the laboratory. Besides, the photosensitive
fibres were easily available. Two major different types of fibre gratings were introduced,
namely fibre Bragg gratings (FBGs) as well as long-period fibre gratings (LPFGs). FBGs
could then be further classified to three different types of gratings depending on the
fabrication processes. The properties of the fibre gratings are then focussed on. The coupled-
219
Chapter 8
Conclusions and Proposal for Future 1Vork
mode theory is introduced for two different types of fibre gratings, namely the contra-
directional and the co-directional coupled-mode equations. The relevant coupled-mode
equations are also analysed. Examples of the applications of the fibre gratings at commercial
and research level are given.
In the practical design of gratings-embedded optical devices, the backward coupling
coefficient K is the key parameter since its magnitude determines the frequency selectivity and
threshold mode gain for active optical devices. Viewing the importance of the coupling
coefficient, there are two techniques, which are commonly used to analyse the first-order
backward coupling coefficient: K - coupled mode theory (CMT) and ray optics technique
(ROT). Nevertheless, ROT is chosen to be the main focus in this work since it has been
established that ROT is much easier to implement than the standard overlap integral programs
in CMT. Furthermore, ROT analysis could provide less than 1 % error. Thus, ROT was used
to analyse the tapered structure gratings-embedded device discussed in chapter 4.
The idea of a transfer matrix (TM) is next introduced and explored in chapter 5. The solutions
derived from coupled-wave equations are also discussed in detail. Transfer matrix method
(TMM) had been found to be more robust compared to other boundary matching approach
[49]. By converting the coupled-wave equations into 2x2 matrices, these transfer matrices
represent the wave-propagating characteristics of the DFB structures. This approach is
extended to include the phase discontinuity and determine the below threshold characteristics
by applying appropriate boundary conditions. By modifying the elements of the TM, TMM
can also be used to represent the distributed Bragg reflector (DBR) structures. Using the
TMM analysis, the principle of the active tunability of DFB-LD amplifier filter has also been
discussed. Further, the effects of grating period and coupling coefficient on the performance
characteristics of a novel multi-section and phase-shift-controlled DFB wavelength tunable
optical filter have been studied. A 3-section DBR-LD amplifier filter has also been
investigated but this type is not suitable for a multi section design since mode hoping will
occur in the main lobe, though the tuning range can be increased.
A thorough analysis on the fibre Bragg gratings (FBGs) has been covered in Chapter 6. A
passband window would be created in the central region of the stopband, when a phase shift is
created at the centre of the grating length. It is proposed that such phase-shifted FBGs design
220
Chapter 8
Conclusions and Proposal for Future Hfork
could be utilised as passive optical filters. On top of that, apodization and chirping concepts
are also introduced in order to obtain a better spectral response of the FBGs and higher
SMSR. Complementary to the theoretical studies, experimental study had also been carried
out. It is found that the spectral response from the FBGs, which was fabricated using the
point-to-point method, is rather noisy. The response linewidth is difficult to control too.
Hence, a simpler technique has been employed namely the phase-mask method. Apart from
the noise contribution from the broadband source used, the noise also came from the gratings
during the fabrication process. A thorough theoretical study has been carried out to confinn
this aspect. Apart from that, a complete description of the effect of grating noise on the
temporal response of an ultrashort pulse has also been presented in the chapter.
Finally the analysis of the long-period fibre gratings (LPFGs) has been outlined. Similar to the
FBGs, phase shift design along the grating length has also been highlighted. Unlike the
spectral response of phase-shifted FBGs, phase-shifted LPFGs show a drift of its resonant
wavelength towards longer wavelength region (red shifting) until two resonant peaks appear
symmetrically at about the central wavelength when the phase shift is n. It has also been
shown that the transmission spectrum of a cascaded LPFGs could be expressed with a simple
analytic expression in a closed form solution. Detailed steps were shown in derivation are
provided. A novel design of a microbend sensor is proposed by cascading a pair of phase-
shifted long period fibre gratings.
8.2 Limitation of the Research Study
The strength of any scientific or engineering model cannot be fully utilised without being
aware of its limitation. In the analysis of the active gratings-embedded optical devices, TMM
was used, SInce it provides the flexibility needed in the design of the laser structures.
However, other dynamic characteristics such as transient response of the proposed
multi section DFB-LD amplifier filters cannot be analysed using this TMM. Nor can the
tuning speed of the proposed filter. Also, the weakness of using the ROT to analyse the
coupling coefficient is that the technique tends to be more complex if a 2
nd
order backward
coupling coefficient is considered.
In the passive gratings-embedded optical devices, the delay of the fibre gratings makes them
less attractive for application as optical filters in the high-speed 40Gbit/s lightwave systems
221
Chapter 8
Conclusions anti Proposal/or Future fVork
although a passband bandwidth of as low as O.lnm can be achieved. The tuning range of the
fibre gratings is large but it can only be achieved using mechanical stress or temperature. The
tuning speed would then be rather slow compared with other tuning mechanism like electro-
optic and acousto-optic methods. In the practical design of LPFGs, the coupling wavelength is
very difficult to control when different fibres are used. Furthermore, it is not very cost
effective to use different phase masks of different gratings period just to control the resonant
wavelength if the LPFGs is fabricated using the phase mask technique. The other available
fabrication technique may cause longer gratings devices to be difficult to fabricate.
8.3 Suggestions for Future Work
As discussed above, the main purpose of the thesis is to present the analysis and design of
gratings-embedded optical tunable filters. Detailed analyses covering both active and passive
optical tunable filters have been presented. There are four possible research directions, which
may be worth further investigation.
8.3.1 Extension to gain coupling devices
So far the DFB-LDs amplifier filters used in this work belong to the group of purely index-
coupled devices. The wavelength filtering mechanism is solely caused by the perturbation of
the refractive index. With improved techniques, fabrication of mixed-coupled and purely
gain-coupled devices are possible [63]-[68]. With the coupling coefficient dependent on the
material gain, it has been shown both in theory [43] and experiment [68] that these devices
exhibit stable single-mode oscillation at the Bragg wavelength. A mixed-coupled device
shows an improvement in the gain margin even for a small degree of gain coupling. And this
is rather important since for DFB-LDs amplifier filter to have a wider tuning range, a large
gain margin is highly desirable.
8.3.2 Extension to dynamic model of filters
This thesis focuses mainly on the steady state response of the filters. Thus, only small signal
analysis has been carried out. Another possible ways to analyse the filter response is to use the
dynamic modelling method - the equivalent circuit model. The distributed-element based on
transmission-line laser modelling (TLLM) can be used to model the structure design [213].
222
Chapter 8
Conclusions and Proposal for Future JVol'k
By using this dynamic model, it is much easier to integrate and model the perfonnance of the
devices in the photonics networks [214]-[215].
8.3.3 Extension to integrated Bragg grating waveguide filter
Next-generation optical networks require new functions and higher-perfonnance optical
components compared to those in current legacy systems. For these systems to be practical
there must be significant reduction in the cost per optical function. A major challenge for
component vendors is to provide increased functionality, at high volumes, without increasing
cost. One technology that can aggressively address the increasing need for integration is
currently being used to make planar lightwave circuits (PLCs). So far, only fibre-based
gratings have considered in our passive optical filters. Bragg gratings offer another possible
solution for constructing integrated optical filters in the rectangular waveguide. By using
manufacturing techniques closely related to those employed for silicon integrated circuits, a
variety of optical circuit elements can be placed and interconnected on the surface of a silicon
wafer or similar substrate. This technology has only recently emerged and is advancing
rapidly with leverage from the more mature tools of the semiconductor-processing industry.
Integrated Bragg gratings offer several advantages over their fibre counterparts. First, the
integrated Bragg gratings are formed by physically corrugating a waveguide, and therefore
they do not rely upon a photorefractive index change. This allows us to build the Bragg
gratings in material that are not photorefractive (e.g. Si or InP) and it potentially allows
stronger gratings to be constructed since the grating strength is not limited by the
photorefractive effect. Second, the integrated Bragg gratings can be made smaller, and packed
closer together with other fibre-optic devices. Third, the planar fabrication process gives
better control over the device dimensions.
8.3.4 Extension to arrayed waveguide gratings (A WG)
When the use of 10-Gbit/s optical networks was debated in the mid-'90s, many engineers
predicted that the dispersion - the natural broadening of light pulses as they travel down the
fibre - would cripple the evolution to high-speed network transmissions on the existing fibre
cable. Notably, the problem of signal loss, or attenuation, has been solved with erbium-doped
fibre amplifiers (EDFAs). It is conjectured that 40-Gbitls would soon be on its way for
deployment. When this takes place, the fibre gratings will not be able to offer the high
223
Chapter 8 Conclusions and Proposal/or FI (ure J 0 k
capability as passive optical filters in the high-speed DWDM lightwave systems due to the
high dispersive characteristics of fibre cables. Figure 8.3-1 shows the dispersion challenges
intensity with higher speeds and more channels. With the advances of planar waveguide
technology, there has been a growing interest in the use of arrayed waveguide gratings
(A WGs) [216]. A WGs consists of NxN input/output waveguides. The filtering principles
depend on the constant length difference between the neighbouring waveguides. It offers the
advantages of low loss, high port counts, and mass productivity_
Dispersion: a closer look
Chromatic dispersi . slope ismalch, arization ode dispersion
PohHlzatlUn PolarlZa Ion.
chrom c chr mil C,
OC-3072 160 Gbitsl seL. 1
slope mi match
~
l'II
C-768 I GbltSisec
-
w
Q
Fibre effects
hroma c.
OC-192110 GbilSi ec
slope mismatch
Capacity
OC-48 L5 Gbitslse ~
Increase
10
100
1, 00
Wavelengths per fib re
Figure 8.3-1 Dispersion challenges intensity with higher speeds and more channels.
224
Publications
Andy L. Y., Low, H. Ghafouri-Shiraz, and H. T. Chuah, "Analysis of a multi section and
phase-shift-controlled DFB wavelength-tunable optical filter," Journal of MicrowQ\'e and
Optical Technology Letter, vol. 27, no. 3, pp. 171-175, Nov 5, 2000.
Andy L. Y. Low, H. Ghafouri-Shiraz, A. Almanasreh, H. T. Chuah, "Cascaded Phase-Shifted
Long-Period Fibre Grating Sensors," 5
th
IEEE Malaysia International Conference on
Communications / 2
nd
East Asian Conference on Lightwave Systems, Lasers and
Optoelectronics, pp. 372-375,21-24 Oct, 2001, Kuala Lumpur, Malaysia.
Andy L. Y. Low, H. Ghafouri-Shiraz, and H. T. Chuah, "Analysis of coupling coefficient in a
laterally tapered waveguide distributed feedback laser using ray optics technique," Journal of
Optical Communications, vo1.23, no. 1, pp.2-7, Feb 2002.
Andy L. Y. Low, H. Ghafouri-Shiraz, and H. T. Chuah, "Analysis of noise effects on the
apodization and chirped grating period of fibre Bragg gratings," Journal of Optical
Communications in press 2002.
Andy L. Y. Low, H. Ghafouri-Shiraz, and H. T. Chuah, "Ultrashort pulse reflection from
noisy apodized & chirped fibre gratings," submitted to lEE Journal Proceedings.
conductor wall. The mode transformer can be used to pro-
duce field configurations which fulfill the boundary condition
for the magnetic conductor wall.
One of the benefits of the TEos mode propagating inside
an electric conductor wall waveguide is that the losses of this
mode are extremely low. In this example, the transition of the
low-loss TEos mode from a PEC waveguide to a dielectric
waveguide is considered. After the Api 4 chiral soft-surface
transformer, the fields satisfy the boundary condition of PMC,
an example of which is an open circular dielectric waveguide
with high permittivity. Thus, the chiral soft-surface waveguide
can be used as a matching element between the PEC wave-
guide and the dielectric waveguide with high permittivity. The
transverse field pattern of the propagating wave is spherically
symmetric, which may have advantages in some applications.
As another example, let us consider the propagating TEos
mode in a PEC waveguide which is transformed to a os
mode propagating in a PMC waveguide. The boundary condi-
tion of the dielectric rod at the cutoff frequency is just like
that of the PMC waveguide. At the cutoff frequency, the
dielectric rod starts to radiate as an antenna. Thus, the Api 4
chiral soft-surface waveguide mode transformer can be used
as a matching element for a low-loss TEos mode between a
PEe waveguide and a dielectric rod antenna.
The mode transformation can be used for excitation of the
TEos mode into a circular waveguide with an electric conduc-
tor wall. The TEos mode is used in applications where very
low losses are necessary. Because this mode is not the lowest
mode, and is degenerated with the TM
1s
mode which is
propagating with the same propagation factor, there may be
problems in exciting only the TEos mode and not the TM
1s
mode. In this application example, the excitation is done
from a coaxial line by using the mode transformation de-
scribed in the previous section. The TMos mode is first
excited, for example, with a short coaxial center line probe at
the center of the circular soft-surface waveguide. With these
arrangements, only the TMos mode is excited. For this mode,
the boundary condition at the soft boundary is equal to that
of the perfect magnetic conductor. This TMos mode is trans-
formed to a TEos mode by the Api 4 transformer. After the
transformer, the TEos mode fulfills the boundary condition of
the perfect electric conductor. Other modes, if excited, can-
not either propagate inside a transversely corrugated wave-
guide or through the soft-surface waveguide-perfect electric
conductor waveguide transition.
6. CONCLUSION
Field propagation in a circular soft-surface waveguide filled
with weakly chiral material is considered. It is found that,
with small chirality parameter values, the right-hand and
left-hand polarized eigenwaves are coupled for the spheri-
cally symmetric modes, i.e., n = 0, and the polarization of
these modes is changed in propagation. For other modes,
n .;: 0, there is no coupling effect between the eigenwaves,
and the mode transformation effect does not occur. If, for
example, the length of the chiral soft-surface waveguide is
Ap/4, the propagating TEos mode is transformed into a TMos
mode and vice versa. If the length of the chiral soft-surface
is Ap12, the field pattern suffers a 180
0
phase
shift. The chiral soft-surface waveguide of a proper length
between normal soft-surface waveguides can be used as a
mode transformer and a 180
0
phase shifter. Generally, the
propagating hybrid mode can be changed into another hybrid
mode by a chiral soft-surface waveguide of a proper length. If
a circular waveguide with a metal conductor boundary is
connected to the Api 4 chiral hard-surface waveguide, the
TEos mode is transformed into a TMos mode, but the fields
satisfy the boundary condition of the magnetic conductor.
This may be used as a matching element for the low-loss
TEos mode between the metal wall circular waveguide and an
open dielectric waveguide with high permittivity or a dielec-
tric rod antenna. Also, the chiral soft-surface waveguide can
be used to excite the low-loss TEOs mode in a metal wall
waveguide.
REFERENCES
1. P.J.B. Clarricoats and AD. Olver, Corrugated horns for mi-
crowave antennas, Peregrinus, Stevenage, England, 1984.
2. P.-S. Kildal, Artificially soft and hard surfaces in electromagnet-
ics, IEEE Trans Antennas Propagat 38 (1990), 1537-1544.
3. P. Pelet and N. Engheta, The theory of chirowaveguides, IEEE
Trans Antennas Propagat 38 (1990), 90-97.
4. N. Engheta and P. Pelet, Mode orthogonality in chirowaveguides,
IEEE Trans Microwave Theory Tech 38 (1990),1631-1634.
5. S.F. Mahmoud, Guided modes on open chirowaveguides, IEEE
Trans Microwave Theory Tech 43 (1995), 205-209.
6. S.F. Mahmoud, Mode characteristics in chirowaveguides with
constant impedance walls, J Electromag Waves Appl 6 (1992),
625-640.
7. AJ. Viitanen, Chiral mode transformer for hard surface wave-
guides, Proc 29th European Microwave Conf, Munich, Germany,
Oct. 1999, vol. 1, pp. 24-27.
8. AJ. Viitanen, Chiral hard surface waveguide mode transformer,
IEEE Trans Microwave Theory Tech 48 (2000).
9. I.V. Lindell, AH. Sihvola, S.A. Tretyakov, and AJ. Viitanen,
Electromagnetic waves in chiral and bi-isotropic media, Artech
House, Norwood, MA, 1994.
10. F. Mariotte, S.A Tretyakov, and B. Sauviac, Isotropic chiral
composite modeling: Comparison between analytical, numerical,
and experimental results, Microwave Opt Technol Lett 7 (1994),
861-864.
2000 John Wiley & Sons, Inc.
ANALYSIS OF A MULTISECTION
AND PHASE-SHIFT-CONTROLLED
DFB WAVELENGTH-TUNABLE
OPTICAL FILTER
Andy L. Y. LOW,1 H. Ghafouri-Shiraz,2 and H. T. Chuah
1
1 Faculty of Engineering
Multimedia University
Jalan Multimedia
63100 Cyberjaya, Malaysia
2 School of Electrical and Electronic Engineering
Nanyang Technological University
Singapore 639798
Received 18 May 2000
ABSTRACT: We hal'e proposed a new multisection and phase-shift-con-
trolled distributed-feedback wavelength-tunable optical filter structure.
The analysis, which is based on the transfer matrix reL'eais that
this filter can achieve a tuning range of 32 and -+2 A for grating coupling
coefficients of 6 and 10 mm - 1, respectively with an almost constant
peak transmissivity (gain) of more than 30 dB. The side-mode
sion ratio (SMSR) ranges from 12 to 30.21 dB. 2000 John Wiley &
Sons, Inc. Microwave Opt Technol Lett 27: 171-175.2000.
Contract grant sponsor: University of Birmingham, England
Contract grant sponsor: Multimedia University, r-.lalaysia
MICROWAVE AND OPTICAL TECHNOLOGY LETIERS / Vol. 27, No.3, November 5 2000 171
Key words: DFB laser diodes; optical-tunable filter; wavelength-division
multiplexing; phase shift; SMSR
1. INTRODUCTION
Optical wavelength-division-multiplexing (WDM) transmis-
sion systems [1, 2] are steadily being developed for the
realization of high-capacity transmission, taking effective ad-
vantage of the wideband characteristics of light. Wavelength-
tunable optical filters are one of the key components in
realizing both WDM transmission systems and wavelength-
division (WD) photonics switching in the direct detection
scheme [3]. Optical filtering for the selection of channels
separated by 2 nm is currently achievable, and narrower
channel separations would be possible in the near future with
improved technologies. This would give more than 100 broad-
band channels in the low-loss fiber transmission region of 1.3
J-Lm and/or 1.55 J.Lm wavelength bands, with each wavelength
channel having a transmission bandwidth of several gigahertz.
Important optical filter parameters include insertion loss,
bandwidth, sidelobe suppression, dynamic range, tuning speed,
control mechanism, size, mass-production possibility, and low
price [4].
The proposed filter is based on the resonant amplification
of an optical signal in the semiconductor laser diode device
biased slightly below its threshold current. When an optical
signal of a wavelength close to the oscillation wavelength of
the device is incident upon the input, the signal is amplified
and emitted at the output. By changing the injection current,
the wavelength can be tuned due to changes in the refractive
index of the active region.
A distributed-feedback laser-diode amplifier (DFB LDA)
can be used as a tunable-wavelength narrowband optical
filter. This is because it has two main advantages: 1) single
frequency (stable single longitudinal mode) with narrowband
amplification, and 2) tunability of the peak gain wavelength
by changing the amplifier's bias current. Conventional uni-
form DFB laser diodes have resonances on the two sides of
the stopband, which is a disadvantage as it may oscillate at
either of the two frequencies. Furthermore, the grating is less
effective outside its stopband. This drawback of index grat-
ings has been overcome by inserting a A/4 phase shift at the
center of the structure [5, 6]. In this way, a resonance is
produced at the center of the stopband. A passive index
grating can then perform a useful filtering function [7].
So far, several DFB wavelength-tunable filter structures
have been proposed [8-11]. For example, in [8], a single
phase-shift-controlled (PSC) structure was used, and reported
a wavelength tuning range (WTR) of 9.5 A. In [11], a A/4
phase-shifted double PSC DFB filter structure has been
o
reported with a WTR of up to 34.3 A, for a grating coupling
coefficient of 10 mm -1, and a high SMSR ranging from 15 to
35 dB.
In this letter, we have analyzed the characteristic perfor-
mance of the novel DFB wavelength-tunable filter structure
shown in Figure 1. This filter is a multisection and phase-
shift-controlled structure. In Section 2, a brief summary of
the theory, which is based on the transfer matrix method, is
presented. The numerical results and conclusions are given in
Sections 3 and 4, respectively.
2, ANALYSIS
The analytical model for the filter structure is shown in
Figure 1. This filter consi ts of three passive phase-controlled

'"
+< E-E-==--+)oEE-------+) +( < -+ ( )
EJ EJ EJ EJ EJ EJ EJ EJ EJ
Figure 1 Analytical model for the multisection and phase- hut-
controlled DFB wavelength-tunable optical filter
(PC) waveguides, which control the transmission wavelength
by changing the bias current Ip. Each PC section is sand-
wiched between two corrugated (DFB) active sections. A A/4
phase shift is located at the center of both middle DFB active
sections. The active section controls the optical gain of the
filter through the bias current Is. In this analysis, we have
used the transfer matrix method (TMM) to study the charac-
teristics of this filter [6]. The filter cavity is divided into nine
sections, and a transfer matrix represents the wave propaga-
tion in each section. Zero facet reflectivity in the device is
assumed, and the z-axis is along the filter cavity. The complex
amplitude of the electric field E(z) inside the filter cavity can
be expressed as
E(z) = ER(z) + Es(z)
= R(z) exp( -j l3
o
z) + S(z) exp(j l3oz) (1)
where ER(z) and Es(z) are the normalized electric fields that
propagate along opposite directions, R(z) and S(z) are com-
plex amplitudes of the forward and backward electric fields,
respectively, 13
0
= 'TT / A is the Bragg frequency of the grating,
and A is the grating period. Substituting Eq. (1) into the
reduced wave equations, and neglecting the second deriva-
tives of both R(z) and S(z) with respect to z, as they are
slowly varying functions of z, we obtain the following pair of
coupled-mode equations [12]:
dR(z)
-- + (a - j8)R(z) = jKS(Z) (2a)
dz
dS(z)
-- + (a - j8)S(z) = jKR(z). (2b)
dz
In (2), a is the mode gain per unit length, 8 = 13 - 13
0
is the
detuning of the propagation constant 13 from the Bragg
propagation constant 130, and K is the grating coupling
coefficient. The filter structure used in this analysi i hown
in Figure 1, where Ia and Ip are the bias currents for the
active and phase-controlled sections, respectively, LtCi = 1 9)
is the ith section length, and Z/j = 1,11) is the jth position.
In order to calculate the transmission characteristic of thi
filter structure, it is more convenient to use the TMM [6 13]
where the cavity is divided into nine sections. In each ection
we assume that parameters a, 0, and K are unifonn. From
the coupled-mode equations, the tran fer matrix, which de-
scribes the propagating electric field in the corrugated ction
172 MICROWAVE AND OPTICAL TECHNOLOGY LEITERS / Vol. 27, No. 3, November 52000
between Z i and Z j + l' can be expressed as
112]. [ER(Zi)] = F(i). [ER(Zj)]
122 Es(z) Es(z)
(3)
where the matrix elements of matrix FU) are given as follows:
with
1 ( p? ) .
III = 1 _ p? Ei - Ei exp[ -j f3
0
(Zj+l - z)]
- Pi ( 1 )
112 = 1 _ p/ E
j
- Ei exp[ -j f3
0
(Zi+l + Zj)]
121 1 p,' ( Ei - exp[j JlO(Zi+ 1 + Zi)]
112 1 pi - P,'Ei) exp[j JlO(Zi+ 1 - z;l]
Ei = exp[ Yi(Zj+l - z)]
jK
(4a)
(4b)
(4c)
(4d)
(4e)
(40
In the above equations, Yi is the complex propagation con-
stant that satisfies the following dispersion equation:
2 _ ( . 2
Yi - a
i
- jUi + K (5)
On the other hand, since there is no active section and no
grating in the planar PSC section (i.e., a
i
= 0 and K
j
= 0),
the transfer matrix for the electric field of this section is
simplified to
where rp = (YpLp - j f3oLp), Yp is the value of Yj in the PSC
section, and Lp is the length of the PSC section. pU) is the
corresponding transfer matrix of the PSC section. The amount
of phase shift n introduced by each PSC section is given
by [11]
where na and np are the effective indexes of the active and
PC sections, respectively. The value of np decreases as the
current injection into the PC section increases; hence, ac-
cording to (7), the value of n increases. The transfer matrix
for the phase shift in the active section is given by
(8)
where <1>. is .the phase shift in the active section (see Fig. 1).
By mult.lplymg matrixes representing the planar phase-con-
trol.secttons, the phase-shift section, and the corrugated DFB
sections together, the overall transfer matrix for the structure
shown in Figure 1 becomes
where ZI = 0 and zlO = L = L
j
are assumed in the
above equation. The power transmissivity T in an optical
filter is defined as
1 2
T22
(10)
The threshold gain a
th
and the detuning parameter 0 can be
obtained by solving the following equation numerically:
(11)
The power transmissivity of the filter can be calculated by
using the following expression:
1
2
T= --------
T
22
(a = 0.98a
th
, 0)
(12)
In Eq. (12), as in [14], we have used a = 0.98a
t
h to achieve a
higher output power, and hence a smaller 10 dB bandwidth.
3. RESULTS AND DISCUSSIONS
The total length of filter cavity L = 600 /Lm, and the length
of the PC sections L2 = Ls = Lg = 50 /Lm. The lengths of
the active sections which are optimized to give the maximum
tuning range [6] are shown in Table 1. For the entire analysis,
we set Kl = K2 = K. Equation (11) has been solved numeri-
cally to analyze the filter structure shown in Figure 1. For a
given value of K, the numerical solution of Eq. (11) gives
various oscillation modes of the device. The one having the
lowest threshold gain is the main mode. Submodes are the
modes where the threshold gain is larger. For filtering opera-
tion, the gain of the device is biased slightly below the
threshold gain of the main mode. The submode is the mode
where the threshold gain is larger than the main mode. The
normalized detuning coefficient of the main mode determines
the amount of deviation of the oscillation wavelength from
the Bragg wavelength. The oscillation wavelength is the cen-
TABLE 1 Parameters Used in the Analysis to Obtain
Maximum Tuning Range
Parameters
Phase shifts, <PI and <P2
Phase-shift-control section, L2 = Ls = Lg
Active region length, Ll
Active region length, L. = L6
Active region length, L9
Value
1T/2
600 p.m
50 p'm
l)2 p.m
26 p.m
102p.m
102 p.m
MICROWAVE AND OPTICAL TECHNOLOGY LEITERS / Vol. 27, NO.3, November 5 2000 173
ter wavelength of the filter. For a given fl., the SMSR is
defined as the ratio of the highest peak to the second highest
peak of the filter power transmissivity. It determines the
amount of interference from the channel at the side-mode
wavelength. As the center wavelength drifts away from the
Bragg wavelength, the SMSR reduces. If the SMSR is larger
than 10 dB, then the adjacent channel interference would be
minimal [14].
Figure 2 shows the calculated transmission spectra of the
filter for various values of the phase shift fl. ranging from 0
to 217'. The horizontal axis is the relative wavelength defined
as A - A
B
, where A is the operating wavelength of the filter,
A = 2neffA = 1.55 JLm is the Bragg wavelength, and neff is
effective refractive index. When a grating period and a
coupling coefficient of 0.21 JLm and 6 mm -1,
were used, the relative wavelengths are at 16.0 A. This
o
gives a filter wavelength tuning range of 32 A, which is
40 a vu ts rq Pnm I k j hg I edeba

25 20 15 10 5 0 5 10 15 20 25
Figure 2 Power transmissivity versus relative wavelength (A - A
B
)
for the following different values of .0. . Also, K = 6 mm - 1 and
A = 0.21 p.m. (a) = 0, 21T. (b) = 0.11T. (c) = 0.21T. (d) = 0.31T. (e) =
0.417. (f) = 0.51T. (g) = 0.61T. (h) = 0.71T. (j) = 0.81T. (k) = 0.91T. (I) =
'IT . (m) = l.l1T. (n) = 1.21T. (p) = 1.31T. (q) = 1.41T. (r) = 1.51T. (s) =
1.617. (t) = 1.71T. (u) = 1.81T. (v) = 1.91T
40 avut. rq Pnmlk J h9 ,edeba
rlJA
IVNfMVtI

1\

10
20
25 20 15 -10 5 0 5 10 15 20 25
FIgure 3 Power transmissivity versus relative wavelength (A - "B)
for the following different values of .0.. Also, K = 6 mm - 1 and
A=: 0.238 p.m. (a) = 0, 21T. (b) = 0.11T. (c) = 0.21T. (d) = 0.31T. (e)
0.47T. (f) = 0.51T. (g) = 0.61T. (h) = 0.71T. (j) = 0.81T. (k) = 0.91T .
(I) == 7T. (m) = l.l1T. (n) = 1.21T. (p) = 1.31T. (q) = 1.41T. (r) = 1.51T.
() == 1.61T. (t) = 1.71T. (u) = 1.81T. (v) = 1.91T
approximately a 28% increase in the tuning range as com-
pared to that reported in [11]. The filter peak gain varie
from 34.1 to 36.3 dB with a maximum deviation of 2.15 dB.
The SMSR ranges from 12 to 27 dB.
To investigate the effect of the grating period A on the
filter performance, we have increased its alue to 0.23 Jlm
while maintaining the same parameters for the re t. The
result is shown in Figure 3. In this case, when fl. = 0 or 21T,
the relative wavelengths are 18.15 A, which gi e a
filter tuning range of 36.3 A. This shows an increase of 4.3 A
compared with the filter shown in Figure 2. The filter peak
gain varies between 34.5 and 36.6 dB, and the filter SMSR
ranges from 11.7 to 26.8 dB.
The effect of increasing K to 8 mm -I while keeping
A = 0.238 JLm is shown in Figure 4. In this case, the wave-
o
length tuning range has increased to 38.9 A. The filter peak
gain varies between 31.8 and 35.6 dB, and the SMSR range
40
avu ts rq pnml k J hg ledeba
m
30
'C

20
'iii
.!tl
E

10
...
I-
...

0
Cl.
10
25 20 15 10 5 0 5 10 15 20 25
Figure 4 Power transmissivity versus relative wavelength (A - A
B
)
for the following different values of .0.. Also, K = 8 mm -I and
A = 0.238 JLm. (a) = 0, 21T. (b) = 0.11T. (c) = 0.21T. (d) = 0.31T . (e)
= 0.41T. (f) = 0.51T. (g) = 0.61T. (h) = 0.71T. (j) = 0.81T. (k) = 0.91T.
(I) = 1T. (m) = 1.11T. (n) = 1.21T. (p) = 1.31T. (q) = 1.41T. (r) = 1.51T.
(s) = 1.61T. (t) = 1.71T. (u) = 1.81T. (v) = 1.91T
40 avutsrqpnmlkjhgfedcbl
30

-30 .25 20 15 10 5 0 5 10 15 20 25 30
Figure 5 Power transmi sivity versu rel ative wavelength (A AB)
for the following different value of .0.. AI 0, K = 10 mm and
A = 0.238 p.m. (a) = 0, 21T. (b) = O.l1T. (c) =.0.21T. (d) = 0.31T. (e)
= 0.41T. ({) = 0.51T . (g) = 0.61T. (h) = 0.71T. (j) = O. 1T. (k) = 0.97T.
0) = 1T. (m) = 1.11T. (n) = 1.21T. (p) = l.31T. (q) = 1.47T. (r) = 1.57T
( ) = 1.61T. (t) = 1.71T. (u) = 1.81T. (v) = 1.91T
174 MICROWAVE AND OPTICAL TECHNOLOGY LEITERS / Vol. 27, No. 3, November 5 2000
from 14 to 28.82 dB. The filter spectra for the case where
K:::: 10 mm -} is shown in Figure 5, where a wavelength
tuning range of 42 A has been achieved. The filter peak gain
varies between 30.7 and 34.8 dB, which gives a maximum
deviation of 4.2 dB. The filter SMSR ranges from 14 to
30.2 dB.
4. CONCLUSION
The effects of the grating period and coupling coefficient on
the performance characteristics of a multisection and phase-
shift-controlled DFB wavelength-tunable optical filter have
been studied. It was found that this filter structure offers a
wide tuning range with narrow bandwidth, high gain, and
large SMSR. The filter has <.?ver 30 dB peak gain within the
tuning range, which is 32.0 A for K = 6 mm -} and 42 A for
K = 10 mm -1. The filter SMSR varies between 12 and
30.2 dB.
REFERENCES
1. H. Ishio, J. Minowa, and K Nosu, Review and status of wave-
length-division-multiplexing technology and its application, J
Lightwave Technol LT-2 (1984),448-463.
2. C.A. Brackett, Dense wavelength division multiplexing networks:
Principles and applications, IEEE J Select Areas Commun 8
(1990), 948-964.
3. H. Kobrinski and K-W. Cheung, Wavelength-tunable optical
filters: Applications and technologies, IEEE Commun Mag
(1989), 53-63.
4. D. Sadot and E. Boimovich, Tunable optical filters for dense
WDM networks, IEEE Commun Mag (1998), 50-55.
5. M. Okai, S. Tsuji, and N. Chinone, Stability of the longitudinal
mode in A/4-shifted InGaAsP /InP DFB lasers, IEEE J Quan-
tum Electron 25 (1989), 1314-1319.
6. H. Ghafouri-Shiraz and B.S.K Lo, Distributed feedback laser
diodes: Principle and physical modeling, Wiley, New York, 1996.
7. H.A. Haus and Y. Lai, Theory of cascaded quarter wave shifted
distributed feedback resonators, IEEE J Quantum Electron 28
(1992), 205-213.
8. T. Numai, 1.5 JLm phase-controlled distributed feedback wave-
length tunable optical filter, IEEE J Quantum Electron 28 (1992),
1508-1512.
9. T. Numai, 1.5 JLm phase-shift-controlled distributed feedback
wavelength tunable optical filter, IEEE J Quantum Electron 28
(1992), 1513-1519.
10. H. Ghafouri-Shiraz, S.H. Lew, P.W. Tan, S. Kobayashi, l.N.
Kamala, and K Yamada, A novel distributed feedback laser
diode structure for an optical wavelength tunable filter, Semi-
eond Sci Technol (1997), 1161-1165.
11. H. Ghafouri-Shiraz, S.-H. Lew, S. Kobayashi, l.N. Kamata, and
K. Yamada, Analysis of A/4-phase-shifted double phase-shift-
controlled distributed feedback wavelength tunable optical filter,
IEEE J Quantum Electron 33 (1997), 556-561.
12. H. Kogelnik and C.V. Shank, Coupled-wave theory of dis-
tributed-feedback lasers, J Appl Phys 43 (1972).
13. Makino, Transfer-matrix analysis of the intensity and phase noise
of multisection DFB semiconductor laser, IEEE J Quantum
Electron 27 (1991), 2404-2414.
14. T. Numai, S. Murata, and l. Mito, Tunable wavelength filters
using A/4-shifted waveguide grating resonators, Appl Phys Lett
53 (1988), 83-85.
2000 John Wiley & Sons, Inc.
ORTHOGONAL SYMMETRIES OF
POLARIZABILITY DYADICS OF
BIANISOTROPIC ELLIPSOIDS
Akhlesh Lakhtakia'
1 CATMAS - Computational and Theoretical Materials
Sciences Group
Department of Engineering Science and Mechanics
Pennsylvania State University
University Park, Pennsylvania 16802-6812
Received 18 May 2000
ABSTRACT: Relevant to the electromagnetic response of an electrically
small, bianisotropic ellipsoid embedded in another bianisotropic medium,
relationships are presented whereby the rotation / reflection of the consti-
tutive dyadics and the orientation of the ellipsoid are linked together.
2000 John Wiley & Sons, Inc. Microwave Opt Technol Lett 27:
175-177,2000.
Key words: bianisotropic ellipsoid; polarizability dyadic; depolarization
dyadic; rotational symmetries; reflection symmetries
1. INTRODUCTION
Molecular geometry plays a major role in the macroscopic
response characteristics of chemically pure materials. The
centrality of this role came to be appreciated after HaUy
showed that crystals comprise particles arranged on three-
dimensional lattices [1], and understanding was further en-
hanced by Pasteur in his investigations on natural optical
activity [2, 3]. We owe to Seeber the idea that the elementary
building blocks (i.e., atoms) of crystals have shapes-spheri-
cal, according to him [4]-and that interactions between
those elementary polarizable entities totally determine the
macroscopic response properties of materials.
From a remark of Garnett published in 1904 [5], we gather
that early research on the homogenization of dielectric, par-
ticulate, composite materials followed in the same vein: elec-
trically small, spherical inclusions were taken as analogs of
Hertzian doublets (i.e., electric dipoles). A few years later,
Wiener heuristically introduced the so-called form coefficient
in order to incorporate inclusions of different shapes [6]; and
ellipsoidal inclusions were apparently first considered by
Burger in 1919 [7]. Besides their distributional statistics, the
orientational statistics of (nonsphericaI) inclusions therefore
became the natural focus of homogenization research [8].
Ellipsoidal inclusions are a key ingredient of a nominal
model recently introduced to relate the microstructural ge-
ometry of sculptured thin films (STFs) to their optical re-
sponse properties [9]. STFs-a relatively new class of nano-
engineered matter-can be considered as unidirectionally
and rotationally nonhomogeneous continuua with direction-
dependent constitutive properties. Whereas the direction de-
pendence is captured by the two aspect ratios of the ellip-
soidal inclusions whose assemblies STFs notionally are, the
rotational nonhomogeneity is incorporated in the nominal
model through spatially varying orientations of the inclusions.
As part of a program to optimize key optical response
properties of locally biaxial, dielectric STFs, the orientational
statistics and the aspect ratios of the component ellipsoids
were varied [10]. These studies led to an understanding of the
rotational symmetries of the polarizability dyadics of dielec-
tric ellipsoids in vacuum. The extension of that
for electrically small, bianisotropic ellipsoids embedded In
MICROWAVE AND OPTICAL TECHNOLOGY LETIERS / Vol 27, No.3, November 5 2000 175
372
MICC, LISLO, ISCE Proceedings, Oct 2001
Cascaded Phase-Shifted Long Period Fibre
Grating Sensors
Andy Lock Yen, Low**, Student Member IEEE, H. Ghafouri-Shiraz*, Senior Member, IEEE,
Ahmed M. Almanasreh
t
, Member, IEEE & OSA and H. T. Chuah**, Senior Member, IEEE
** Faculty of Engineering, Multimedia University, lalan Multimedia, 63100 Cybetjaya, Malaysia.
E-mail:
* School of Electrical & Electronic Engineering, Nanyang Technological University, Singapore 639798.
E-mail:
t Photronix (Malaysia) Sdn. Bhd. G05, 2300 Century Square, lalan Usahawan, 63000 Cyberjaya, Malaysia.
Email: almanasreh@photTonixm.com
Abstract-In this paper, we have proposed a novel cascaded
phase-shifted long period fibre gratings (CPS-LPFGs), which
can be used as a microbend sensor, measuring curvature by
detecting the bending-induced wavelength shift. Based on the
coupled mode theory, we have analysed the CPS-LPFGs using
the transfer matrix method (TMM). The effects of the distance
gap between both phase-shifted LPFGs are also highlighted.
This is a new design to fibre optic bend sensing which exhibits
a significantly higher sensitivity.
Index terms-- Optical Fibre, Fibre Optic Sensors, Coupled
Mode Analysis, Long-Period Fibre Gratings (LPFG), Optical
Fibre Filters, Transfer Matrix Method (TMM)
I. INTRODUCTION
Photonics sensing schemes utilising fibre optics
technologies have been studied since the early 1970's.
fact, several optical fibre sensors have recently been used m
practical application fields, which provide unique functions
compared with other sensing principles [1,2]. Some of the
most notable successes in this technology have been
realised in areas including underwater acoustic sensing,
strain monitoring, rotation sensing (gyroscopes), certain
chemicallbiomedical sensors and temperature sensing.
Nevertheless, optical fibre-based sensor technology has
always faced problem of competing with extremely well
established conventional sensor technologies, which
provide adequate performance characteristics at low cost,
and with high reliability.
In 1995, Vengsarkar et. al. [3] introduced a new type of
fibre grating device to the optics community. long
period fibre gratings (LPFGs), is a periodic modulatIOn of
the core index of refraction written into a single-mode fibre.
A typical LPFGs has a period, A in the hundreds of
microns, a length of about 1-3cm, and an index modulation
depth of 10.
4
or greater.
LPFGs have low back reflection and a fairly broad stop
bandwidth (-20nm) compared with fibre Bragg gratings
(FBGs). It has been used as Er-doped fibre amplifiers
(ED F As) gain flattening filters[ 4], pump-diode wavelength
stabilisation and band-rejection filters in a variety of other
applications [5]. Besides, some composites of LPFGs have
also been proposed to produce special spectral responses by
cascading two or more independent filters [6].
Although phase-shifted long-period fibre gratings (PS-
LPFGs) and multiple-phase-shifted long-period fibre
gratings (MPS-LPFGs) have already been prop,osed and
analysed [7], very little attention has been paid to the
implication of the design of these LPFGs as microbend
sensors.
In this paper, both PS-LPFGs and MPS-LPFGs have been
analysed based on the coupled-mode theory, where
complex amplitude transmittance (t) and the LP
oq

mode-coupling ratio (r) are solved, and modelled by usmg
the transfer matrix method (TMM). Consequently, we
propose a novel cascaded phase-shifted long-period fi?re
gratings (CPS-LPFG) for microbend sensor measunng
curvature by detecting the bending-induced wavelength
shift.
MICC, LISLO, ISCE Proceedings, Oct 200 1
373
II. THEORY & ANALYSIS
Fibre gratings are produced by exposing an optical fibre to
a spatially varying pattern of ultraviolet intensity. The fibre
will then form a perturbation to the effective refractive
index, neff along its core region. This phenomenon was first
reported by Ken Hill et. al. [8]
Figure lea) depicts a schematic diagram of a single LPFG.
E+ and E are the complex field amplitudes of forward and
backward propagating waves respectively. I is the grating
length. We consider the coupling between two forward-
propagating modes of an optical fibre near the phase-
matching condition in a uniform LPFG. The linearly
polarised electric field in the grating, E(x,y,z,t), satisfies the
scalar wave propagation equation:
2 2 ( a
2
(
V E(x,y,z,t) - JlEon X'Y)-2 [E x,y,Z,t)]
at (1)
2 a
2
= JlEon (Z)-2 [E(x,y,z,t)]
at
I I IIIIIII1
i
E (0) Z=o z=t E (I)
(a)

...........
-rfl)f (N
p
d
01

G2
G
N
.
1
ON
(b)
Figure 1 Schematic diagram of LPFG-filter structure:
(a) single LPFG and (b) Phase-Shifted
Cascaded LPFG where G" G
2
, are
gratings; <1>" <1>2, , <l>N are phase-shifts
where the waves are assumed to propagate in the z direction
along the fibre, f..l is the permeability of the fibre, EO is the
free-space permitivity, n2(x,y) is the refractive-index
(squared) profile of the fibre, and n
2
(z) is the perturbation in
the refractive index (squared) in the grating region, which is
assumed to be uniform over the fibre cross section area. For
the sake of simplicity, we assume a sinusoidal index
perturbation in the z direction.
2( 2 . 2n
t1n z) = t1no sm(- z + <1
A
(2)
where t1n; is the amplitude of the perturbation (squared)
I\. is the period of the grating, and <t> is the initial pha e of
the grating.
The total field in the fibre can be expre sed as a
superposition of the two mode fields , which have
amplitudes A(z) and B(z), respectively. A(z) and B(z) is also
assumed vary slowly along the z-direction (fibre length), (1)
reduces to a pair of coupled-mode equations:
dA = Ki3e
i
(28z)e-i
dz
dB _ A -i(28z) i
---lVte e
dz
The phase mismatch IS
8 = - - with
(3)
represented by
core and :'adding
being the propagation constants for the two modes
respectively. The K is the coupling coefficient which IS
given as:
k 2
K = 4n ll
t1n
o
(4)
where n is the refractive index of the fibre glass,
k = 2n / A is the free-space wave number (with A the
free-space wavelength), and 11 is the overlap integral of the
two mode fields over the fibre cross section.
By using the transfer matrix method (TMM), Equation (3)
will then become:
[
A core (i + 1)] [Sll SI 2][ A core (i) ]
A :'adding (i + 1) - S21 S22 A :'addin/i)
= c[ Acore (i) ]
A:'adding (i)
(4)
h A (z') and A
V
(i) are the core input
were core cladding
complex modal amplitude and vth order cladding input
mode amplitude respectively in which
Sll = S;, = /: d( cosyd - j sinYd) (Sa)
S" = -S;, = - j/: L( SinYd) (5b)
374
MICC, LISLO, ISCE Proceedings, Oct 2001
.. . 2 8
( )
2
Here, the dispersIOn equatIOn, Y == KK + ; and G
is the transfer matrix representing a single uniform long
period gratings.
The phase shift, at a given location ZN can be
incorporated by multiplying the transfer matrix with a
diagonal matrix with elements corresponding to
the phase-shifts experienced by the co-propagating waves.
For a cascading LPFGs, the waves will then propagate in
the uncorrugated region (grating free) of length, dafter
passing through the phase-shifted grating length, IN-l+IN as
shown in Figure I (b). The complex modal amplitude will
thus become,
[
A (L + d) ] [ eJPCo,.d 0][ A (L)] core core
A;/addin/L + d) - 0 (L) (7)
=p
[
Acore(L) ]
(L)
Here, P represents the transfer matrix of the uncorrugated
region. And by combining each of the transfer matrices, we
can model the design easily.
III. RESULTS AND DISCUSSIONS
Each resonant peak of the LPFGs, written in a single mode
fibre, results from the grating-induced power exchange
between the fundamental core mode (HEll) and the
corresponding cladding mode of the fibre [9]. However, in
a practical LPFGs device, as depicted by Figure 2, the
spectral separation between the resonant peaks are wider
enough than the bandwidth of individual peak (high
finesse), so that coupling to other cladding modes can be
neglected in simulating the spectrum. Hence, when
calculating the spectrum of LPFGs, only the coupling
between the fundamental core mode to vth order cladding
mode is considered in which the phase matching (detuning)
condition is satisfied.
Figure 3 depicts the transmission for a single long period
fibre grating (LPFGs) with different phase-shifts in
between. We notice that when the phase-shift increases, the
stopband exhibits a red shifting. Meanwhile the 3dB-
stopband increases as well but compensated by the decrease
in the transmissivity, which obeys the energy conservative
law.
Q)

.....
C
0

'E
Vl
c
ctI
t=
(9
u...
a..
-l
C/)
a..
o

'V
IV'
V'
TV
-1
LP
02
LP03
LP
04
-5
LP
os
LP
06
-6
1.2 1.3 1.4 1.5 1.6 1.7 1.8
Wavelength, A. ()..lITl)
Figure 2 Transmission spectra of a SOmm long LPFG in
a standard Corning SMF-28 fibre, with a
period of 4SOl-lm and index modulation lxlO-4.
0

/ .\" it

-5 \J ": \
: \ 1/
: \:f<
3rtf4
-10
: 1/
= rtf2
'1<
-15
:; <
= rtf4
-20
KL = 1.471; L = 30mm

-25
1.50 1.51 1.52 1.53 1.54
Wavelength, A. (11m)
Figure 3 Transmissivity of a single phase-shifted long
period fibre gratings.
We have now cascaded a pair of phase-shifted long period
fibre gratings (PS-LPFGs) in which we fix the phase shift
to be 1t radian. The location of the shift will be at the
midway of the 20mm LPFGs as clearly shown in Figure
l(b)_ Our designed resonant wavelength is at 1.521-lm. It i
interesting to note that when we leave a small gap in
between the PS-LPFGs, the resonant will then exhibit a red
shifting to 1.526351-lm as shown in Figure 4.
MICC, LISLO, ISCE Proceedings, Oct 2001 375
d = 1.5mm ; L = 20mm
KL = 1.471
1.500 1.505 1.510 1.515 1.520 1.525 1.530 1.535 1.540
Wavelength, A. (11m)
Figure 4 Transmissivity of a Cascaded Phase-Shifted
LPFGs when d = l.S0mm
When the gap, d = 2mm, the resonant wavelength will
move to higher wavelength at However, when
d = 2.5mm, the resonant wavelength will now exhibit a blue
shifting behaviour and stabilise at which IS
shown in Figure 5. This forms a periodical change as the
gap between the two PS-LPFGs increases and it is clearly
shown in Figure 6.
10
d = 2.5rTm ; L = 20mm
Ki... = 1.471

1.500 1.505 1.510 1.515 1.520 1.525 1.530 1.535 1.540
Figure 5 Transmissivity of a Cascaded Phase-Shifted
LPFGs when d = 2.S0mm.
When a fibre with the CPS-LPFGs is bent, the grating free
region, d changes. This causes the resonant wavelength to
be shifted according to the periodic pattern shown in Figure
6. We can use these characteristics of the proposed design
for the phase-shifted LPFGs as a microbend sensor
measuring curvature by detecting the bending-induced
wavelength shift.
1.535

1.530
E
2>
.<

1.525

OJ
c
Q)
1.520 Qj
.. . . .. .. .... . ... .......... ..... .. .. . . .. .
>
ro

c:
1.515
ro

<J)
Q)
a:::
1.510

1.505
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Distance, d (nm)
Figure 6 The periodic changes in the resonant
wavelength as the gap between the PS-
LPFGs increases.
IV. CONCLUSIONS
We have solved the coupled-mode equation of the co-
directional wave in long period fibre gratings (LPFGs) by
using the transfer matrix method. Based on the solutions,
we have also analysed the spectrum of the phase-shifted
long period fibre gratings (PS-LPFGs). Eventually, we
propose a novel design by cascading a pair of phase-shifted
long period fibre gratings which exhibits a periodic
wavelength shift when the gap of the PS-LPFGs increases.
This unique behavior can be used to sense bending
curvature.
[I]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
V. REFERENCES
K. Hotate, "Fiber sensor technology today," Conference on Lasers
and Electro-Optics CLEO/QELS ' 96, Anaheim, June 2-7, 1996.
A. D. Kersey, "A review of recent developments in fiber sensor
technology," Optical Fiber Technology, vol. 2, no. 3, pp. 291-317,
July 1996.
A. M. Vengsarkar, J. R. Pedrazzani, J. B. Judkins, V. Bhatia, T.
Erdogan, and 1. E. Sipe, "Lonf-period fiber gratings as band-
rejection filters ," Tech. Dig. Con! Opt. Fiber COmmlln., San
Diego, C. A. , 1995, postdeadline paper, PD4-2.
Sun Y. et. al., " A gain-flattened ultra wideband ED FA for hi gh
capacity WDM optical communications systems," Proc
ECOC '98, Madrid, Spain, pp. 53-54, Sept. , 1998.
Vengsarkar A. M. et. at. , "Long-period fibre gratings as band-
rejection filters ,", IEEE J. Lightwave Technol., vol. 14, no. I, pp.
58-65, 1996.
Vengsarkar A. M. et. at. , " Long-period fi ber- grati ng-ba ed gain
equalizers," Opt. Lell., vol. 21 , pp. 336-338, 1996.
H. Ke et. aI. , "Analys is of phase- hifted long-period fiber
gratings," IEEE Photoll . Technol. Lell., vol. 12, no. 5, 2000. .
Hill K. O. et al., " Photosensi tivity in optical waveguides
Application to refl ection filter fabricall on," Appl Phy Lell
32(10),647, 1978. .
Raman Kashyap, Fiber Bragg Gratings, AcademiC Pre , 1999
1.0

J. Opt. Commun. 23 (2002) I, 2-7
. ,
Journal of Optical Communications
23 (2002) 1
Journal of
Optical Communications
by Fachverlag Schiele & Schon 2002
Analysis of Coupling Coefficient in a Laterally Tapered Waveguide
Distributed Feedback Laser Using Ray Optics Technique
Andy L. Y. Low, H. Ghafouri-Shiraz*, H. T. Chuah
Summary
Based on ray optics technique we have analyzed the
first-order backward coupling coefficient in a laterally
tapered distributed feedback (OFB) laser diode. These
tapered structures are designed to realize narrow beam
divergence, low threshold current and high longitudinal
mode selectivity. The coupling coefficient, K, for three
different laterally tapered waveguide distributed feed-
back laser diodes have been studied. It has been found
that without changing the grating period and the mate-
rial properties, the coupling coefficient can be altered by
modifying the taper profile and waveguide dimensions
while satisfying the adiabatic single-mode condition.
1 Introduction
Distributed feedback lasers (OFB) have become essen-
tial components for the next generation of dense wave-
length division multiplexing (OWOM) systems. They are
well known for their stable longitudinal mode selectivity
[1-4], exhibiting low threshold current and high operat-
ing temperature [5]. In addition, they can be integrated
monolithically with other optical components that elimi-
nate the problem of coupling loss.
In a conventional OFB laser diode, which has a uniform
cavity, the carrier density reduces as the light intensity
increases. Hence, broad area DFB laser diodes, which
offer much higher output power with higher reliability,
have attracted many researchers. However, the major
drawback is that they tend to suffer from modal instabili-
ties which generally known as filamentation. In order
to overcome this problem, a tapered-waveguide struc-
ture has been proposed for the active region of the trav-
elling-wave semiconductor laser amplifier (TTW-SLA)
[6]. The tapered width of the active region increases
gradually from the input to the output of the laser keep-
ing most of the power in the lowest order mode (i.e. fun-
damental mode). A double-tapered-waveguide distribut-
ed feedback laser for high-power single-mode operation
was proposed by S. F. Yu [7, 8]. Meanwhile, Kito et.
al. has reported experimentally high slope efficiency and
low noise characteristics in a OFB laser lasing at 1.3 f.lm
with narrow beam divergence by using a laterally tapered
active stripe over the whole cavity [9].
In this paper, we have used a ray optics technique to
derive a closed-form expression for the first-order back-
ward TE mode coupling coefficient, K in a laterally ta-
pered waveguide distributed feedback laser diode. This
technique significantly reduces the computational time
and provides less than 1 % error as compared with the
traditional method of using the overlap integral tech-
nique (i.e. coupled mode theory) [iO, II]. We have also
used this proposed technique to analyze (i) linear-ta-
pered, (ii) exponential-tapered and (iii) semi-exponen-
tial-linear tapered (SELT) waveguide DFB laser struc-
tures.
2 Analysis
Figure lea) shows the 3-dimensional schematic diagram
of a laterally tapered waveguide distributed feedback
(OFB) laser diode. Also shown in Figs. I b, c and dare
the top views of the linearly tapered, exponentially ta-
pered and semi-exponential-linear-tapered (SELT)
guide, respectively. The input width, Win, of the active
region is gradually tapered to W
OUI
at output facet. Three
different tapered waveguide structures are considered in
our analysis in order to calculate the coupling coefficient
using the ray optics technique. In the analysis we have
set Win = 1.0 f.lm and have considered small refractive
index difference between the active and the cladding lay-
ers in order to realise efficient mode-conversion.
The expressions for the width distance. dependence,
W(z), in various laterally tapered wavegUide structures
are given by:
Address of authors:
Faculty of Engineering
Multimedia University
Jalan Multimedia,
63100 Cyberjaya, Malaysia
* School of Electrical & Electronic Eng.
South Spine, Block S I
Nanyang Technological L'niler,il y
Nallyang AI't:nue
Singapore 639798
Rcccind I ;\Iarch 200t
1
Cladding Region
Active Region t d
1't Buffer .J.
.Jtl\/VV\/\/\/f.:: 2a
Grating if'
Win
W
t
W;n
x
z

Cladding
Substrate
Active Layer

(a) . W
OUI
y

W(z)

'i'
1<
W(Z)
1 I""" <;:::-.------ L
(c)
W(z)

-
>1
>1

00
3
T
W
OUI
L
T
W
OUI
1-
c::lJournalof OpticaICommunlcatlons _______________________________ ---l
Fig. I: (a) Physical Structure of an index-guided tapered waveguide DFB-LD and top views of (b) a linear (c) an exponential and (d) a semi-
exponential-linear tapered waveguide DFB-LD
(i) Linear-tapered structure
(z) = w. + out In Z W
(
w -w.)
In L
(la)
(ii) Exponential-tapered structure
(lb)
(iii) semi-exponential-linear structure
for
for
where
and
o < Le
(Ic)
Le < Z L
(ld)
(Ie
4
Table I: List of parameters and their Ylflues
Parameters
Bragg wavelength, AS
ragg
Refractive index for active region n .
, aCUve
Refractive index for cladding region n .
. . ' claddIng
RefractIve mdex for buffer region n
, buffer
Grating amplitude, a
Input width, Win
Output width, W
OUI
Active region thickness, d
Value
500 IJm
1.55 IJm
3.524
3.169
3.169
25 nm
1.0 IJm
10.0 IJm
0.1 IJm
In t.he above e9uations, L is the total length of the active
regIon and Le IS the length of the exponential taper pro-
file within the. cavity. It should be noted that when Le = 0
the taper profIle. becomes linear and when L = Le it be-
comes exponentIal. Table 1 lists the parameters that we
have in the analy.sis of the first order TE coupling
!he c?uplmg coefficient in a tapered DFB
laser dIOde IS defmed as the fraction of source power
coupled into the reflected power where the latter is
caused by refractive index or gain perturbation or both.
Based on coupling mode theory, the coupling coefficient
can be expressed as:
w
I I k6A(x,y)<j>2",2dxdy
K= __ l __ __________ __
II <j>2",2dxdy
(2)
where 'I' and <I> are the fundamental transverse and lat-
eral field distributions, respectively, A(x,y) is the Fourier
coefficient of the dielectric grating which depends on
the shape, depth and period of the corrugation, 0 is the
propagation constant of the light in vacuum, ko is the
wave number in free space and W is the width of the
waveguide given by (1). (2) is the coupled mode overlap
integral in a weakly perturbed region. It is a standard
technique used to calculate the coupling coefficient in
DFB laser diodes. When perturbation is strong, (2) does
not give an accurate result. However, another approach
known as ray optics technique can be used to calculate
coupling coefficient for both weak and strong cou-
p.hng DFB configurations. This technique provides de-
sign engineers and researchers to calculate the coupling
coefficient easier.
Based on the ray optics theory (see Fig. 2) the DFB
cOl!}Jling coefficient, K can be expressed as the phenom-
enological equation given by [12]:
K = Number of bounces per unit length
diffracted power r:::;
x . 'd = vll
B
m
mCI ent power b
per ounce
(3)
where Bm is the bounce rate for mode m (refer to
Fig. 2(a in the planarized description of the waveguide
and 11 is the diffraction efficiency of the grooves (refer
to Fig. 2(b at the mode bounce angle, 8
m
. These two
parameters are expre sed as:
23 (2002) 1
f * B-
1
Zs: II
LZ i:z __
Imlmntlmnfl "-
(a)
IS'
x = 0 ___ ..... :_'1_=_s:_
x=t+J(z)
(b)
of Optical (ommunlcatioos ________________ ---1
Fig. 2: Ray optics definition of coupling coefficient, K
B = (2d tan 8 )-1 = - n;fr
m eff m
2neffdeff
(4)
[
k a(n2 2 )]2( 2 2 )
= 0 eff - ncladding nactive - neff
[(
2. _ 2 ) . h2(J: ) (2 2 2 J: 2
naclIve neff SIn + neff - nbuffer) CO h
(5)
where
(6)
1 1
deff =d+-+-
'Yxi 'Yx3
C7a)
'Y xi = ko
2 2
neff - n cladding
i = 1,3 (7b)
(7c)
In the above equations naclive, ncladding, nbuffer are the refrac-
tive indices of the active, cladding and buffer layer, re-
spectively, as shown in Fig. lea), neff is the effective index
of the tapered DFB waveguide, ko is the wave number
of light in vacuum, a is the groove amplitude, d and
t are thickness of the active and buffer layer , re pec-
tively. k)l(z), and ky(z) are the tran ver e, lateral wa e
numbers, respectively [14]. Sx and are the tran er
components of the Poynting vector of the incident and
backward diffracted waves, re pectively at the active-
buffer interface and d
erf
is the effective thickne of the
structure which account for the energy to red in th
evanescent fields. Also and r 3 are the de ay rate
into cladding layer and i the decay on tant 111 the
buffer layer. The coupling coefficient K an b obtaint:d
by ub tituting (4) and (5) into (3). That i :
1
5
K - Gkoa(n;ctive - n;ff +
- 2n
e
ff
d
eff[(n;ctive
)
In (8) the parameter G is related to the spatial Fourier
coefficient of the grating pattern. This factor is deter-
mined by applying the boundary condition at x = 0 and
x = t + fez) where fez) is the periodic function represent-
ing the grating shape (see Fig.2(b)). Thus, the G value
depends on the grating pattern, that is:
4
for square pattern
1[
1.0 for sinusoidal pattern
G= 8
for triangular sawtooth pattern
(9)
1[2
4sin x
for graded square pattern
1[X
In the last expression of (9) when x = 0 or x = 7t /2 we
will have a square or perfect sawtooth grading pattern,
respectively. It should be noted that our models are based
on index-guided DFB structures and in the analysis of
Figs. 3 to 8 we have assumed sinusoidal gratings (i.e.
G = 1) are etched above the active layer. Also in this
paper we have only considered the first order Bragg grat-
ings in the DFB structure.
3 Results and discussions
The main reason for using a laterally tapered waveguide
structure rather than a broad area is that the tapered
profile allows most of the power to be confined in the
fundamental mode. The input width, Win is fixed at 1 11
m
to satisfy the adiabatic single-mode condition. The total
length of the device is 500 11m. In the calculation, we
have divided the cavity into small sections each having
2 length. The number of sections that we have used in
analysing various taper structures is made large enough
to ensure the numerical convergence of the solutions.
The lateral wavenumber, kx and the transverse wavenum-
ber, ky for each small section are computed by solving
the eigenvalue equation of the waveguide [14]. Once both
are computed in each section we can use (6), (7) and
(8) to calculate neff(z), deff and hence the coupling coef-
ficient, K.
Figure 3 shows a plot of coupling coefficient, K for the
fundamental TE mode versus the thickness of the active
layer, d, for various grating patterns. The analysis re-
veals that for each pattern there exist an optimum active
layer thickness where the coupling coefficient reaches
maximum. This maximum value also increases with the
refractive index step between the active and cladding
layers. Note that the coupling coefficient of square wave
grating pattern is greater than the others and also as
(8) indicates K increases with the groove amplitude 'a'.
Figure 4 shows variation of the effective refractive index,
nerr with the active layer output width, W
OUI
, in a linear-
tapered DFB structure for three different active layer re-
fractive indices. A comparison of the effective refractive
index changes in the three different tapered structures is
hown in Fig. 5.
400
.,
E 350
!:!.
!<
_ 300
C
Q)
250
Q)
o
() 200
Ol
c:
Slnuso,dal Wave Grabngs
'a. 150
8 100 _
//--U----
/'
50
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 10
Active Layer Thickness. d (J.lm)
of Optical (ommunications ________ __
Fig. 3: Coupling coefficient, K , versus active layer thickne s, d, for
three different active region refractive indices and grating profiles
- n"" ... =3.524
1Ii 3.195 ; W .. .

-g dOlO 3169 - - n"", .. =3.324
i ::: . . ................... .
Q)
a::
Q) 3.180
>
t5
ffi
-------------------
--
3.175
3.170
2 3 4 5 6 7 8 9 10
Output Width. W ou' (f,m)
of Optical (ommunications ________ __
Fig. 4: Effective refractive index, nerf, versus active layer output width,
Wou" for linear-tapered waveguide DFB structure
3.205
..
c:
3.200
x
Q)
'0
5
Q) 3.195
>
t;
III

a::
3.190
Q)
>
u
Q)
it:
UJ
3.185
3.180
2 3
n_=3524 . n_=3 169

- linear-Tapered OFB
ExponenlJal-Tapered OFB
__ Semiexponential.lInear-Tapered (SEl T) OFB
5 6 8 9
Output Width. W ... (I'm)
10
of Optical
Fig. 5: Effective refractive index. ncrf. \ er u. actl\'l! 13) cr output \\ ldlh.
Wou, . for three different tapered waveguide
250
'Q.
:.: 200
C
Gl
150
Gl
o
U
Cl
.S: 100
a.
:::J
o
U
n_ =3.169 :

- n._=3.524
.. .. n_.=3.424
- - n", ... -"3.324
.. ..... .... ....... ', . .. , ..... .. ....... ... ... .
50 _---------------------

2 3 4 5 6 7 8 9 10
Output Width, W ou,
(ommunlcatlons ________ ---.J
Fig. 6: Coupling coefficient, K, versus active layer output width, WOUl'
for three different active region refractive indices in a linear-tapered
DFB waveguide structure
290
280
\I 270
. 260
'0
250
o
U
Cl 240
.S:
g. 230
o
U
220
21 0 /
//'
/
/
2
./
/
/
I .....
.. ","
."., ...".., ,,,.., -----
I .. ' ,-------------,
J. ,'"
3 4
- Linear-Tapered DFB
...... ExponentlalTapered OFB
- - Semiexponentlal lInear Tapered (SELT) OFB
n"', .... =3.524 : n
dodd
"", =3.169
d=O.lflm

5 6 7 8 9 10
Output Width, W oul (l-lm)
of Optical (ommunicatlons ________ ---'
Fig. 7: Coupling coefficient, K, versus active layer output width, Wou"
for linear-tapered, exponential-tapered and SELT DFB waveguide
structures
We have set the active layer thickness d = 0.1 11m, in
order to maintain the adiabatic single-mode operation of
the laser and varied the output width to investigate its ef-
fect on the coupling coefficient of the tapered structure.
This is shown in Fig. 6 for three different active layer
refractive indices in a linear-tapered structure. Again the
coupling constant increases when the index step between
the active and cladding layer increases. It has been found
that the coupling coefficient remains almost unchanged
for' W
out
7 11m. Figure 7 shows variation of the cou-
pling coefficient with the active layer for three differ-
ent tapered structures. The figure clearly indicates that
the coupling coefficient for the linear-tapered profile in-
creases more than the other two types. For the SELT
structure (see Fig. led)), the first section which is expo-
nential and thus the coupling coefficient has the same
value as that of the exponential-tapered structure till the
output tapering profile changes to the linear tapering
profile, Figure 8 shows the effect of Le (see Fig.1(d))on
the coupling coefficient of the SELT grating profile. The
re ults show that the coupling coefficient of the 1st sec-
tion is the same a that of the exponential-tapered struc-
290
c
Q) 260
'0
:.=
Gl 250
o
U
0> 240
.S:
a.
:::J 230
o
U
220
210
2 3 4
Journal of Optical Communicat ions
23 (2002)
5 6
- L=5Oum
. L,=ISG,.m
- - L, =3O<l\Im
nOCOOoo=3 524 ' n_=3.169
L=5OO)lm d=O 10um
W.,=I .O).m
8 9 10
Output Width. W 0Y1
of Optical (ommunlcations ________ ---'
Fig. 8: Coupling coefficient, K, versus output width, WOOl' for three
different lengths in a semi-exponential-linear tapered (SELT) wave-
guide structure
ture whereas in the 2nd section since the taper structure
changes to linear type the coupling coefficient increases
and gradually reaches to that of the linear tapered struc-
ture.
4 Conclusion
The effects of the tapering profiles and coupling coeffi-
cient on the laterally tapered waveguide distributed feed-
back laser diodes have been studied. Without changing
the grating period and the material properties, it is shown
that modifying the taper structure and waveguide di-
mensions can alter the coupling efficiency. The linear-
tapered DFB structure gives the maximum changes in
the coupling coefficient as well as effective refractive
index compare with the exponential-tapered and SELT
structure. Different grating shape and groove amplitude
will also provide different values of coupling constants.
5 Acknowledgment
One of the authors (Andy L. Y. Low) wishes to thank the
University of Birmingham in the UK and Multimedia
University in Malaysia for their financial assistance.
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