David J.

Klotzkin

Introduction to
Semiconductor
Lasers for Optical
Communications
An Applied Approach
Second Edition
Introduction to Semiconductor
Lasers for Optical Communications
David J. Klotzkin

Introduction to
Semiconductor
Lasers for Optical
Communications
An Applied Approach
Second Edition

123
David J. Klotzkin
Department of Electrical
and Computer Engineering
Binghamton University
Binghamton, NY, USA

ISBN 978-3-030-24500-9 ISBN 978-3-030-24501-6 (eBook)

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Preface

Nobody questions the importance of semiconductor lasers. The information they

transmit is the backbone of the World Wide Web, and they are increasingly finding
new applications in solid-state lighting and in spectroscopy, and at new wave-
lengths ranging all the way from the ultraviolet on gallium nitride to the extremely
long wavelengths produced by quantum cascade lasers. Even in optical commu-
nications, lasers are used in different ways, from metropolitan links using directly
modulated devices to Tb/s transmission systems incorporating advanced detection
and modulation schemes.
In this book, I introduce semiconductor lasers from an operational perspective to
those who have a background in engineering or optics, but no familiarity with
lasers. The objective here is to present semiconductor lasers in a way that are both
accessible and interesting to advanced undergraduate and graduate students. The
target audience for this book is someone who is potentially interested in careers in
semiconductor lasers, and the decision of what topic to cover is driven both by the
importance of the topic and how fundamental it is to the whole field. I hope to make
the reader very comfortable with both the scientific and engineering aspects of this
discipline.
The topics and emphasis were selected based largely on my experience in the
semiconductor laser industry. My goal is that after reading the book, the reader
appreciates most of the aspects of laser fabrication and performance and can get
immediately and actively involved in the engineering of these devices.
The book starts with talking generally about optical communications and the
need for semiconductor lasers. It then discusses the general physics of lasers and
moves on to the relevant specifics of semiconductors. There are chapters on optical
cavities, direct modulation, distributed feedback, and electrical properties of
semiconductor lasers. Topics like fabrication and reliability are also covered. This
second edition also includes a discussion of optical communication, including
amplitude-modulated and coherent formats.
The book is appropriate as the primary text for a one-semester course on
semiconductor lasers at the advanced undergraduate or introductory graduate level,
or would also be appropriate as one of the texts in a general course in photonics,
optoelectronics, or optical communications.

v
vi Preface

Despite all care, errors have a way of creeping in. I apologize in advance for any
errors which may remain. Should any error be discovered, readers are invited to
bring it to my attention and I will maintain a list of errata for the benefit of those
using the book or a possible future edition.

Binghamton, USA David J. Klotzkin

Acknowledgements

First, much thanks to Springer, and Michael Luby, for the opportunity to do a
second edition of this book.
My background in lasers is largely from commercial laser communication
companies. I appreciate the opportunities I have had to work at Lasertron (later
acquired by Corning), Lucent (which later became Agere), Ortel (which later
became part of Agere, and then part of Emcore), Binoptics (which was acquired by
Macom), Finisar (currently being acquired by II-VI), and Source Photonics. Change
is constant in the laser industry. At all of these places, there were always laser
problems to work on and people to learn from! In my commercial career I had the
chance to work with many knowledgeable and helpful people, particularly Malcolm
Green, Phil Kiely, Hanh Lu, Julie Eng, Richard Sahara, Jia-Sheng Huang, Tsurugi
Sudo, Yashiro Matsui, John Bai, Martin Kwakernaak, and Ashish Verma. A par-
ticular thanks to Binoptics and Finisar for allowing me to use some data in this
book.
I very much appreciate Sylvia Smolorz generously sharing her time and expertise
on some topics.
I am happy to again thank Mary Lanzerotti for her help at all phases of this
project, from the start and through the first and then this second edition. Her input
has very much improved the book. A thank you also to James Pitarresi and Stephen
Cain for some of the pictures.
My laser course and students were always the motivation for this work. I ap-
preciate what I have heard from my students in the course over the years and hope
the presentation is as clear as they deserve.
Much thanks to my family, for their support over the time this has taken.
Let me finally thank my graduate research advisor, Prof. Pallab Bhattacharya, for
getting me started on this fascinating field.

vii
Contents

1 Introduction: The Basics of Optical Communications . . . . . . . . . . . 1

1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Introduction to Optical Communications . . . . . . . . . . . . . . . . . 2
1.2.1 The Basics of Optical Communications . . . . . . . . . . 2
1.2.2 A Remarkable Coincidence . . . . . . . . . . . . . . . . . . . 4
1.2.3 Optical Amplifiers . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2.4 A Complete Technology . . . . . . . . . . . . . . . . . . . . . 6
1.3 A Picture of Semiconductor Lasers . . . . . . . . . . . . . . . . . . . . 6
1.4 Organization of the Book . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.5 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6 Questions and Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2 The Basics of Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2 Introduction to Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.2.1 Black Body Radiation . . . . . . . . . . . . . . . . . . . . . . . 12
2.2.2 Statistical Thermodynamics Viewpoint
of Black Body Radiation . . . . . . . . . . . . . . . . . . . . . 13
2.2.3 Some Probability Distribution Functions . . . . . . . . . 14
2.2.4 Density of States . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.2.5 Spectrum of a Black Body . . . . . . . . . . . . . . . . . . . 19
2.3 Black Body Radiation: Einstein’s View . . . . . . . . . . . . . . . . . 19
2.4 Implications for Lasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.5 Differences Between Spontaneous Emission, Stimulated
Emission, and Lasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
2.6 Some Example of Laser Systems . . . . . . . . . . . . . . . . . . . . . . 25
2.6.1 Erbium-Doped Fiber Laser . . . . . . . . . . . . . . . . . . . 25
2.6.2 HeNe Gas Laser . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.7 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 28
2.8 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
2.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

ix
x Contents

3 Semiconductors as Laser Materials 1: Fundamentals . . . . . . . . . . . 31

3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.2 Energy Bands and Radiative Recombination . . . . . . . . . . . . . . 32
3.3 Semiconductor Laser Material System . . . . . . . . . . . . . . . . . . 34
3.4 Determining the Band Gap . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.4.1 Vegard’s Law: Ternary Compounds . . . . . . . . . . . . . 37
3.4.2 Vegard’s Law: Quaternary Compounds . . . . . . . . . . 39
3.5 Lattice Constant, Strain, and Critical Thickness . . . . . . . . . . . . 39
3.5.1 Thin Film Epitaxial Growth . . . . . . . . . . . . . . . . . . . 40
3.5.2 Strain and Critical Thickness . . . . . . . . . . . . . . . . . . 41
3.6 Direct and Indirect Bandgaps . . . . . . . . . . . . . . . . . . . . . . . . . 43
3.6.1 Dispersion Diagrams . . . . . . . . . . . . . . . . . . . . . . . . 44
3.6.2 Features of Dispersion Diagrams . . . . . . . . . . . . . . . 46
3.6.3 Direct and Indirect Band Gaps . . . . . . . . . . . . . . . . . 47
3.6.4 Phonons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3.7 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 49
3.8 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
3.9 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
4 Semiconductors as Laser Materials 2: Density of States,
Quantum Wells, and Gain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
4.2 Density of Electrons and Holes in a Semiconductor . . . . . . . . 54
4.2.1 Modifications to Eq. 4.9: Effective Mass . . . . . . . . . 56
4.2.2 Modifications to Eq. 4.9: Including
the Band Gap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
4.3 Quantum Wells as Laser Materials . . . . . . . . . . . . . . . . . . . . . 59
4.3.1 Energy Levels in an Ideal Quantum Well . . . . . . . . . 60
4.3.2 Energy Levels in a Real Quantum Well . . . . . . . . . . 62
4.4 Density of States in a Quantum Well . . . . . . . . . . . . . . . . . . . 64
4.5 Number of Carriers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
4.5.1 Quasi-Fermi Levels . . . . . . . . . . . . . . . . . . . . . . . . . 67
4.5.2 Number of Holes Versus Number of Electrons . . . . . 68
4.6 Condition for Lasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
4.7 Optical Gain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
4.8 Semiconductor Optical Gain . . . . . . . . . . . . . . . . . . . . . . . . . 71
4.8.1 Joint Density of States . . . . . . . . . . . . . . . . . . . . . . 72
4.8.2 Occupancy Factor . . . . . . . . . . . . . . . . . . . . . . . . . . 73
4.8.3 Proportionality Constant . . . . . . . . . . . . . . . . . . . . . 74
4.8.4 Linewidth Broadening . . . . . . . . . . . . . . . . . . . . . . . 75
4.9 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 77
4.10 Learning Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
Contents xi

4.11 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
4.12 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
5 Semiconductor Laser Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
5.2 A Simple Semiconductor Laser . . . . . . . . . . . . . . . . . . . . . . . 84
5.3 A Qualitative Laser Model . . . . . . . . . . . . . . . . . . . . . . . . . . 85
5.4 Absorption Loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
5.4.1 Band-to-Band and Free Carrier Absorption . . . . . . . . 89
5.4.2 Band-to-Impurity Absorption . . . . . . . . . . . . . . . . . . 90
5.5 Rate Equation Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5.5.1 Carrier Lifetime . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
5.5.2 Consequences in Steady State . . . . . . . . . . . . . . . . . 95
5.5.3 Units of Gain and Photon Lifetime . . . . . . . . . . . . . 97
5.5.4 Slope Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
5.6 Facet-Coated Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
5.7 A Complete DC Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
5.8 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 105
5.9 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
5.10 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
6 Electrical Characteristics of Semiconductor Lasers . . . . . . . . . . . . . 111
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.2 Basics of p–n Junctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
6.2.1 Carrier Density as a Function of Fermi Level
Position . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
6.2.2 Band Structure and Charges in p–n Junction . . . . . . 115
6.2.3 Currents in an Unbiased p–n Junction . . . . . . . . . . . 118
6.2.4 Built-in Voltage . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
6.2.5 Width of Space Charge Region . . . . . . . . . . . . . . . . 121
6.3 Semiconductor p–n Junctions with Applied Bias . . . . . . . . . . . 124
6.3.1 Applied Bias and Quasi-Fermi Levels . . . . . . . . . . . 124
6.3.2 Recombination and Boundary Conditions . . . . . . . . . 126
6.3.3 Minority Carrier Quasi-Neutral Region
Diffusion Current . . . . . . . . . . . . . . . . . . . . . . . . . . 128
6.4 Semiconductor Laser p–n Junctions . . . . . . . . . . . . . . . . . . . . 131
6.4.1 Diode Ideality Factor . . . . . . . . . . . . . . . . . . . . . . . 131
6.4.2 Clamping of Quasi-Fermi Levels at Threshold . . . . . 132
6.5 Summary of Diode Characteristics . . . . . . . . . . . . . . . . . . . . . 133
6.6 Metal Contact to Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
6.6.1 Definition of Energy Levels . . . . . . . . . . . . . . . . . . 133
6.6.2 Band Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
6.7 Realization of Ohmic Contacts for Lasers . . . . . . . . . . . . . . . . 140
xii Contents

6.7.1 Current Conduction Through

a Metal–Semiconductor Junction:
Thermionic Emission . . . . . . . . . . . . . . . . . . . . . . . 141
6.7.2 Current Conduction Through
a Metal–Semiconductor Junction:
Tunneling Current . . . . . . . . . . . . . . . . . . . . . . . . . . 142
6.7.3 Diode Resistance and Measurement of Contact
Resistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
6.8 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 145
6.9 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
6.10 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
7 The Optical Cavity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
7.2 Chapter Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
7.3 Overview of a Fabry-Perot Optical Cavity . . . . . . . . . . . . . . . 153
7.4 Longitudinal Optical Modes Supported by a Laser Cavity . . . . 154
7.4.1 Optical Modes Supported by an Etalon:
The Laser Cavity in 1D . . . . . . . . . . . . . . . . . . . . . 154
7.4.2 Free Spectral Range in a Long Etalon . . . . . . . . . . . 156
7.4.3 Free Spectral Range in a Fabry-Perot
Laser Cavity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
7.4.4 Optical Output of a Fabry-Perot Laser . . . . . . . . . . . 160
7.4.5 Longitudinal Modes . . . . . . . . . . . . . . . . . . . . . . . . 161
7.5 Calculation of Gain from Optical Spectrum . . . . . . . . . . . . . . 162
7.6 Lateral Modes in an Optical Cavity . . . . . . . . . . . . . . . . . . . . 165
7.6.1 Importance of Lateral Modes in Real Lasers . . . . . . . 166
7.6.2 Total Internal Reflection . . . . . . . . . . . . . . . . . . . . . 167
7.6.3 Transverse Electric and Transverse Magnetic
Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
7.6.4 Quantitative Analysis of the Waveguide Modes . . . . 170
7.7 Two-Dimensional Waveguide Design . . . . . . . . . . . . . . . . . . . 175
7.7.1 Confinement in Two Dimensions . . . . . . . . . . . . . . . 175
7.7.2 Effective Index Method . . . . . . . . . . . . . . . . . . . . . . 175
7.7.3 Waveguide Design Targets for Lasers . . . . . . . . . . . 178
7.8 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 178
7.9 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
7.10 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
8 Laser Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
8.1 Introduction: Digital and Analog Optical Transmission . . . . . . 183
8.2 Specifications for Digital Transmission . . . . . . . . . . . . . . . . . . 184
8.3 Small Signal Laser Modulation . . . . . . . . . . . . . . . . . . . . . . . 186
Contents xiii

8.3.1 Measurement of Small Signal Modulation . . . . . . . . 187

8.3.2 Small Signal Modulation of LEDs . . . . . . . . . . . . . . 188
8.3.3 Rate Equations for Lasers, Revisited . . . . . . . . . . . . 190
8.3.4 Derivation of Small Signal Homogenous
Laser Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
8.3.5 Small Signal Laser Homogenous Response . . . . . . . 195
8.4 Laser AC Current Modulation . . . . . . . . . . . . . . . . . . . . . . . . 196
8.4.1 Outline of the Derivation . . . . . . . . . . . . . . . . . . . . 196
8.4.2 Laser Modulation Measurement and Equation . . . . . 197
8.4.3 Analysis of Laser Modulation Response . . . . . . . . . . 200
8.4.4 Demonstration of the Effects of sc . . . . . . . . . . . . . . 203
8.5 Limits to Laser Bandwidth . . . . . . . . . . . . . . . . . . . . . . . . . . 203
8.6 Relative Intensity Noise Measurements . . . . . . . . . . . . . . . . . . 205
8.7 Large Signal Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
8.7.1 Modeling the Eye Pattern . . . . . . . . . . . . . . . . . . . . 207
8.7.2 Considerations for Laser Systems . . . . . . . . . . . . . . 209
8.8 Summary and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
8.9 Learning Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
8.10 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
8.11 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
9 Distributed Feedback Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
9.1 A Single-Wavelength Laser . . . . . . . . . . . . . . . . . . . . . . . . . . 215
9.2 Need for Single-Wavelength Lasers . . . . . . . . . . . . . . . . . . . . 216
9.2.1 Realization of Single-Wavelength Devices . . . . . . . . 218
9.2.2 Narrow Gain Medium . . . . . . . . . . . . . . . . . . . . . . . 218
9.2.3 High Free Spectral Range and Moderate Gain
Bandwidth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
9.2.4 External Bragg Reflectors . . . . . . . . . . . . . . . . . . . . 220
9.3 Distributed Feedback Lasers: Overview . . . . . . . . . . . . . . . . . 222
9.3.1 Distributed Feedback Lasers: Physical Structure . . . . 222
9.3.2 Bragg Wavelength and Coupling . . . . . . . . . . . . . . . 224
9.3.3 Unity Round Trip Gain . . . . . . . . . . . . . . . . . . . . . . 225
9.3.4 Gain Envelope . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
9.3.5 Distributed Feedback Lasers: Design and
Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226
9.3.6 Distributed Feedback Lasers: Zero Net Phase . . . . . . 228
9.4 Experimental Data from Distributed Feedback Lasers . . . . . . . 231
9.4.1 Influence of j on Threshold Current and Slope
Efficiency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
9.4.2 Influence of Phase on Threshold Current . . . . . . . . . 232
xiv Contents

9.4.3 Influence of Phase on Cavity Power Distribution

and Slope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
9.4.4 Influence of Phase on Single-Mode Yield . . . . . . . . . 233
9.5 Modeling of Distributed Feedback Lasers . . . . . . . . . . . . . . . . 237
9.6 Coupled Mode Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
9.6.1 A Graphical Picture of Diffraction . . . . . . . . . . . . . . 240
9.6.2 Coupled Mode Theory in Distributed Feedback
Laser . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
9.6.3 Measurement of j . . . . . . . . . . . . . . . . . . . . . . . . . . 246
9.7 Inherently Single-Mode Lasers . . . . . . . . . . . . . . . . . . . . . . . . 247
9.8 Other Types of Gratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
9.9 Learning Points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250
9.10 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
9.11 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
10 Assorted Miscellany: Dispersion, Fabrication, and Reliability . . . . . 255
10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255
10.2 Dispersion and Single Mode Devices . . . . . . . . . . . . . . . . . . . 256
10.3 Temperature Effects on Lasers . . . . . . . . . . . . . . . . . . . . . . . . 258
10.3.1 Temperature Effects on Wavelength . . . . . . . . . . . . . 259
10.3.2 Temperature Effects on DC Properties . . . . . . . . . . . 259
10.4 Laser Fabrication: Wafer Growth, Wafer Fabrication,
Chip Fabrication, and Testing . . . . . . . . . . . . . . . . . . . . . . . . 263
10.4.1 Substrate Wafer Fabrication . . . . . . . . . . . . . . . . . . . 263
10.4.2 Laser Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
10.4.3 Heterostructure Growth . . . . . . . . . . . . . . . . . . . . . . 265
10.5 Grating Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
10.5.1 Grating Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . 267
10.5.2 Grating Overgrowth . . . . . . . . . . . . . . . . . . . . . . . . 269
10.6 Wafer Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
10.6.1 Wafer Fabrication: Ridge Waveguide . . . . . . . . . . . . 270
10.6.2 Wafer Fabrication: Buried Heterostructure
Versus Ridge Waveguide . . . . . . . . . . . . . . . . . . . . 272
10.6.3 Wafer Fabrication: Vertical Cavity
Surface-Emitting Lasers (VCSELS) . . . . . . . . . . . . . 274
10.7 Chip Fabrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
10.8 Wafer Testing and Yield . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278
10.9 Reliability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
10.9.1 Individual Device Testing and Failure Modes . . . . . . 279
10.9.2 Definition of Failure . . . . . . . . . . . . . . . . . . . . . . . . 281
10.9.3 Arrhenius Dependence of Aging Rates . . . . . . . . . . . 282
10.9.4 Analysis of Aging Rates, FITS, and MTBF . . . . . . . 282
Contents xv

10.9.5 Electrostatic Discharge and Electrical

Overstresses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
10.9.6 Optical Overstress and Snap Test . . . . . . . . . . . . . . . 286
10.10 Design for … . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
10.10.1 Design Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
10.10.2 Design for High Speed Directly Modulated
Lasers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
10.10.3 Design for High Power . . . . . . . . . . . . . . . . . . . . . . 288
10.10.4 Design for Low Linewidth . . . . . . . . . . . . . . . . . . . 288
10.10.5 Design Over Temperature . . . . . . . . . . . . . . . . . . . . 289
10.11 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 289
10.12 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290
10.13 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
11 Laser Communication Systems I: Amplitude Modulated
Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
11.2 Evolution of Optical Speed . . . . . . . . . . . . . . . . . . . . . . . . . . 294
11.3 Evolutionary Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
11.4 Multiplexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
11.4.1 Wavelength Division Multiplexing . . . . . . . . . . . . . . 296
11.4.2 Wavelength Division Multiplexing
and Demultiplexing . . . . . . . . . . . . . . . . . . . . . . . . . 298
11.4.3 Optical Add Drop Multiplexors . . . . . . . . . . . . . . . . 299
11.5 Overview of Amplitude-Modulated Communication . . . . . . . . 299
11.5.1 Definitions for Amplitude Modulation Formats . . . . . 300
11.5.2 Bits Versus Symbols . . . . . . . . . . . . . . . . . . . . . . . . 300
11.5.3 Pulse Amplitude Modulation . . . . . . . . . . . . . . . . . . 302
11.6 External Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
11.6.1 Quantum-Confined Stark Effect . . . . . . . . . . . . . . . . 304
11.6.2 Absorption Modulation Through
the Quantum-Confined Stark Effect . . . . . . . . . . . . . 305
11.6.3 Mach–Zehnder Modulator from Electooptic
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
11.6.4 Phase Shifting with Plasma Effect . . . . . . . . . . . . . . 310
11.7 Laser Linewidth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312
11.7.1 Inherent Laser Linewidth . . . . . . . . . . . . . . . . . . . . . 312
11.7.2 Linewidth Enhancement Factor . . . . . . . . . . . . . . . . 313
11.8 Direct Detection Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
11.9 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 317
11.10 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
11.11 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
xvi Contents

12 Coherent Communication Systems . . . . . . . . . . . . . . . . . . . . . . . . . 323

12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
12.2 Phasor Representation of Light . . . . . . . . . . . . . . . . . . . . . . . 324
12.2.1 Reminder: Phasor Representation of Electrical
Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
12.2.2 Phasor Representation of Optical Signals . . . . . . . . . 324
12.3 Phasor Descriptions of Coherent Optical Transmission . . . . . . 326
12.3.1 Binary (and More) Phase Shift Keying . . . . . . . . . . . 326
12.3.2 Differential Phase Shift Keying . . . . . . . . . . . . . . . . 326
12.3.3 Quadrature Amplitude Modulation . . . . . . . . . . . . . . 328
12.3.4 Polarization Division Multiplexing . . . . . . . . . . . . . . 329
12.3.5 Polarization-Maintaining Fiber . . . . . . . . . . . . . . . . . 331
12.4 Coherent Optical Transmitters . . . . . . . . . . . . . . . . . . . . . . . . 331
12.4.1 Binary (or More) Phase Shift Keying
Transmitter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
12.4.2 Quadrature Amplitude Modulation . . . . . . . . . . . . . . 333
12.5 Receivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
12.5.1 Reference Signal . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
12.5.2 Balanced Photodiode . . . . . . . . . . . . . . . . . . . . . . . . 334
12.5.3 A Full Coherent System . . . . . . . . . . . . . . . . . . . . . 337
12.6 Coherent Transmission in Context . . . . . . . . . . . . . . . . . . . . . 338
12.6.1 Comparison of Coherent and Incoherent
(Amplitude Shift Keying) Systems . . . . . . . . . . . . . . 338
12.6.2 Communication Formats . . . . . . . . . . . . . . . . . . . . . 339
12.7 Limits to Transmission Distance in Optical Systems . . . . . . . . 339
12.7.1 Optical Signal-to-Noise Ratio . . . . . . . . . . . . . . . . . 340
12.7.2 Eye Diagram-Based Signal-to-Noise Ratio . . . . . . . . 341
12.7.3 Bit Error Rate Versus Transmission Format
and Signal-to-Noise Ratio . . . . . . . . . . . . . . . . . . . . 342
12.8 Noise Sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
12.8.1 Relative Intensity Noise . . . . . . . . . . . . . . . . . . . . . 345
12.8.2 Shot Noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
12.8.3 Erbium-Doped Fiber Amplifier Noise . . . . . . . . . . . . 346
12.8.4 Thermal Johnson Noise . . . . . . . . . . . . . . . . . . . . . . 348
12.8.5 Combination of Noise Sources . . . . . . . . . . . . . . . . 349
12.8.6 Other Noise Sources . . . . . . . . . . . . . . . . . . . . . . . . 350
12.9 Final Words . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
12.10 Summary and Learning Points . . . . . . . . . . . . . . . . . . . . . . . . 351
12.11 Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
12.12 Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355
Introduction: The Basics of Optical
Communications 1

Begin at the beginning and go on till you come to the end: then
stop.
—Lewis Carroll, Alice in Wonderland

Abstract
In this chapter, the motivation for the study of semiconductor lasers (optical
communications) is introduced, and the outline of the book described.

1.1 Introduction

It is very difficult to fit a subject like semiconductor laser for optical communica-

tions into a single book and have it remain accessible. It spans an enormous range
of areas, including optics, photonics, solid-state physics, and electronics, each of
which is (by itself) worthy of several textbooks. The objective here is to present
semiconductor lasers in a way that is both accessible and interesting to advanced
undergraduate students and to first-year graduate students. The target audience for
this book is someone who is potentially interested in careers in semiconductor
lasers, and the decision of what topic to cover is driven both by the importance of
the topic and how fundamental it is to the whole field. We aim to make the reader
very comfortable with both the scientific and engineering aspects of this discipline.
Before we leap into the technical details of the subject of semiconductor lasers in
communications, it is wise to take a step back to appreciate both the historical and
technological significance of these devices in optical communications and the need
for semiconductor lasers for light sources in optical communication.
Finally, at the end of the chapter, we would like to introduce the reader to what a
semiconductor laser looks like and describe how the book is organized.

© Springer Nature Switzerland AG 2020 1

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_1
2 1 Introduction: The Basics of Optical Communications

1.2 Introduction to Optical Communications

1.2.1 The Basics of Optical Communications

Optical communications by itself have a long history. Modern optical communi-

cations based on lasers and optical fibers are incredibly attractive communications
solution for the fundamental and technological reasons listed in Table 1.1.
The last point is the key advertisement for semiconductor lasers in optical
communication. Long ago, Paul Revere used lanterns to signal the arrival and mode
of transport of the British invaders. Those lanterns are black-body light sources
formed by heat, producing incoherent light in a spectrum of wavelengths and
propagating through a turbulent, lossy atmosphere. Nonetheless, information was
conveyed for miles. To truly take advantage of the amazing properties of light, and
transmit light for hundreds of miles, a convenient, single-wavelength coherent
source is needed, along with a very clear, lossless waveguide. The answer to the
first requirement is a semiconductor laser.
The basis of fiber optic communications is pulses of light created by lasers
transmitted for many hundreds or thousands of miles over optical fiber. An enor-
mous amount of information can be transmitted over each fiber. Light of different
wavelengths can transmit without affecting each other, and light at each wavelength
can transmit data up to many gigabits/second.
The vast majority of these bits are generated by semiconductor lasers, which are
one of the most useful inventions of the second half of the twentieth century. The
first coherent emission from semiconductors was demonstrated in 1958 by a group
led by Robert Hall. The first modern double heterostructure laser was proposed by
Herbert Kroemer and ended up earning him and Zhores I. Alferov the 2000 Nobel
Prize for ‘developing semiconductor heterostructures used in high-speed- and
opto-electronics’ (http://www.nobelprize.org)1. Jack S. Kilby also received the
2000 Nobel Prize for ‘his part in the invention of the integrated circuit.’
Fiber optic technology enables billions and billions of bits to flow seamlessly
and uninterrupted from one side of the world to the other.
The building blocks for this optical communication network are shown in
Fig. 1.1. Figure 1.1a shows coils of optical fiber, demonstrating the portability and
compactness of this flexible and convenient routable waveguide. Figure 1.1b–d
shows several types of optical communication packages, from Fig. 1.1b, a single
semiconductor laser transmitter already fiber coupled, to Fig. 1.1c, an integrated
transceiver which connects a digital electrical side to an optical side, with the drive
circuitry as part of the package, to Fig. 1.1d, a very low-cost TO-can laser package.
In all of these, the electrical signal is modulated onto the light, which is connected
to an optical fiber. Miles of this are routed under the ground, and enormous
bandwidth is available everywhere.

1
An interesting story: according to Herbert Kroemer, he first wrote up this idea and submitted it as
a paper to the journal Applied Physics Letters, and it was rejected. Sometimes important ideas are
difficult to recognize!
1.2 Introduction to Optical Communications 3

Table 1.1 Advantages of optical communications

Light has enormous As an electromagnetic wave with a frequency in the hundreds
bandwidth of THz, a lot more information can be carried with light than
can be carried on electromagnetic waves of lower frequency in
conventional electromagnetic spectrum
Light is easily guided Flexible and very low-loss waveguides (glass fibers) have been
invented that allow these pulses of light to be routed just like
electrical signals
Light can be easily detected The best wavelengths for transmission can be easily generated
and generated and detected with semiconductor devices, and these sources
and detectors can be economically fabricated

Fig. 1.1 a An unjacketed coil of optical fiber containing 20 km (12 miles) of fiber and a jacketed
coil of fiber containing 100 m; b a semiconductor laser transmitter showing electrical inputs with
an optical output; c an integrated gigabit laser transceiver module, with a digital electrical interface
and optical output and input side, from Wikipedia (https://en.wikipedia.org/wiki/Fiber-optic_
communication, current 1/2019); d a simple and economical TO-can laser package, from Thorlabs,
picture used by permission

The growth of this use of bandwidth can be seen in Fig. 1.2. As of 2006, the
amount of digital data was doubling about every *2 years; now (2019) it has
slowed to a point where it is doubling only every three years. This is a prodigous
growth rate!
4 1 Introduction: The Basics of Optical Communications

Fig. 1.2 Worldwide growth of internet bandwidth traffic. Data from https://en.wikipedia.org/
wiki/Internet_traffic, current 12/2019

To give a sense of the power of fiber optic transmission, the demonstrated

bandwidth that can be transmitted over a single optical fiber is about 100 Tb/s.
There is tremendous bandwidth capacity in optical fiber, and most optical fibers are
drastically underutilized.

1.2.2 A Remarkable Coincidence

Optical communications are based on the transmission of light pulses through

optical fiber. It owes its remarkable utility to a very fortunate coincidence and a
fortuitous invention. The coincidence is illustrated in Fig. 1.3. The invention was
made by Maurer, Schultz, and Keck at Corning when they first demonstrated ‘low’
(20 dB/km) loss fiber at Corning in 1970.

Fig. 1.3 Fiber attenuation and dispersion versus wavelength, over the bandwidth range covered
by InP-based semiconductor lasers most often used for telecommunications lasers
1.2 Introduction to Optical Communications 5

Figure 1.3 shows the optical loss in current state-of-the-art single-mode glass
fiber, in units of dB/km. Modern Corning SMF-28 optical fiber has a loss minimum
about 0.2 dB/km at a wavelength around 1550 nm. If the objective is to transmit
power as far as possible, this lowest loss wavelength of 1550 nm is the best choice
of wavelength. (For reasons we will talk about later, the low-dispersion window
around 1310 nm is also highly desirable).
Where do the light sources to transmit this information come from? Semicon-
ductor lasers are made with semiconductors, and semiconductors have a natural
property, called the band gap, which controls the wavelength of light they can emit.
Figure 1.3 also indicates the broad range of wavelengths that can be generated or
detected by InP-based semiconductors used as both sources and detectors. It hap-
pens that wavelengths around 1300 and 1550 nm are easily accessible by making
heterostructures of the different semiconductors appropriately.
Hence, sources that create light in the low-loss region of glass (at a wavelength
around 1550 nm) can be easily fabricated in semiconductors. Semiconductor lasers
and light-emitting diodes are marvelously convenient sources of light—they are
small, simple to make and inexpensive and can take advantage of all the expertise
and background that has grown up around fabricating semiconductors for standard
electronics. This fortunate match between conveniently fabricated light source and
the particular wavelength needed has led to the tremendous growth and importance
of this technology. Without these convenient light sources, and availability of an
excellent waveguide, other technology may have been chosen as the technology of
choice for communications.
An excellent overview of extraordinarily rapid growth of fiber optic technology
is given in the book City of Light: The Story of Fiber Optics, by Jeff Hecht.

1.2.3 Optical Amplifiers

The third leg of this technology for optical communication is the invention of the
erbium-doped fiber amplifier (EDFA) in 1986 or 1987. Even though the loss in
optical fiber had been reduced to a point where 100 km transmission does not
require amplification, amplification is required for distances greater than 100 km.
For global connectivity, a convenient way to optically amplify these signals was
needed. The alternative of receiving the optical signal, translating it back to elec-
trical data and then retransmitting optically every 100 km was a serious drawback
to the widespread adoption of optical communications.
The EDFA is a device that can directly amplify all the light signals in a fiber, at
any practical speed, without converting them back into electrical signals and
regenerating them. With EDFAs, the limitation to long-distance transmission
becomes dispersion or overall signal-to-noise ratio. Depending on the transmitter,
that distance could be 600 km or even longer.
6 1 Introduction: The Basics of Optical Communications

1.2.4 A Complete Technology

This collection of interlocking technologies (along with others that we have not
mentioned, such as dispersion-compensated fiber and optical switching techniques)
has enabled this entire field to take off and blossom. Low-loss waveguides and
optical amplifiers enabled precise routing of transmission of these signals over
tremendous distances—since semiconductors are convenient sources and also
receivers of the light signal they take advantage of the vast semiconductor manu-
facturing infrastructure. Voltaire would say (truly) that we are optically in ‘the best
of all possible worlds.’

1.3 A Picture of Semiconductor Lasers

Before we introduce the mechanics and physics of semiconductor lasers, it is useful

to convey an overall broad picture of what they are. The details in this overview
here will be covered in subsequent chapters.
Semiconductor lasers start out as pieces of semiconductor wafer (let us say an
InP base) with various other layers deposited on it. This epitaxial base wafer is (as
close as engineering can get it) a perfect crystal. Seen in visible light, a polished
wafer is an excellent mirror. At wavelengths below the band gap, in the far infrared,
the wafer appears as transparent as a piece of extra-clean window glass in ordinary
visible light.
The wafer is processed by depositing more layers on it and finally mechanically
breaking or ‘cleaving’ it into thin strips of laser bars. Each of these laser bars has
many tens of lasers on it. These lasers are then broken into individual laser devices,
each typically about 0.5 mm long (about the same as a large grain of rice), and
mounted and packaged. Testing and packaging these devices is typically much
harder than testing or packaging electrical devices, since the cleaving (breaking
apart) of the wafer is what forms the surface of the cavity mirror, and that must be
kept to perfect optical smoothness. The final packaged device will be coupled to an
optical fiber, which also takes precision mechanical handling (compare that to a
microprocessor, which only needs electrical contact to each of the electrical pads)!
These aspects of laser semiconductors will all be covered in detail in subsequent
chapter. It is useful though to see something before discussing the physics behind it,
and so, we partly interrupt the flow of narrative to now show a semiconductor laser.
Figure 1.4 shows some of the stages of development of a semiconductor laser,
from a wafer, to a bar, to a chip, to a sub-mount. That sub-mount will be eventually
packaged as shown in Fig. 1.1.
Figure 1.5 shows a close-up view of a typical semiconductor laser. The figure
shows the waveguide (here a ridge waveguide device), the semiconductor active
region medium (quantum wells), the top and bottom metal contacts (by which
current is injected), and the optical mode (the shape of the spot of light in the
semiconductor). The secondary electron microscope picture on the right shows the
1.3 A Picture of Semiconductor Lasers 7

Fig. 1.4 Stages of development in a semiconductor laser. a It first starts as an epitaxial wafer,
upon which different layers of material are grown, metals are deposited, and various processing
steps are made. b It is then fabricated through etching, metal deposition, and other
microfabrication steps and then separated into individual laser bars as shown in (b). c Each bar
is separated into individual chips, and d chips are packed by being soldered to sub-mounts and
then coupled into an optical fiber. The scale factor in figures (b) and (c) is the point of a needle; in
(d) it is the eye of a needle. The mechanical handling of such small devices is a major part of
fabrication of optical transmitters. Each individual laser is packaged separately; potentially ten
thousand lasers can be obtained from a single wafer. Photograph credit J. Pitarresi

Fig. 1.5 Schematic of a ridge waveguide semiconductor laser, and a picture of the front facet of a
ridge waveguide device
8 1 Introduction: The Basics of Optical Communications

actual dimensions of a complete laser—the ridge is typically a few microns wide

and tall, and the quantum well area (the ‘active region’) is about 300 nm or so thick.
(Quantum wells, largely the subject of Chap. 4, are thin slabs of material sand-
wiched by other materials which give the device beneficial properties). The ridge
length is around 3–600 lm (about 0.5 mm). (This is only one of several common
laser structures. This is called a ridge waveguide—other types will be discussed
later in the book.)
In Fig. 1.5, current is injected through the top and bottom, and light is coming
out front and back (along the line of the ridge).

1.4 Organization of the Book

In general, topics in this book will be covered in order from most general to most
specific. In this first chapter, the motivation for the study of semiconductor lasers
and a general introduction to the field of optical communication was presented.
Table 1.2 shows the organization of the book by chapter. Chapter 2 will discuss
general properties of all lasers made of any material. Chapter 3 will discuss the
basics of semiconductors as a lasing medium, including details of the band struc-
ture, strained-layer growth, and direct and indirect semiconductors, heterostruc-
tures, strain and grown ideal semiconductors, including the band gap, density of
states, quasi-Fermi level, and optical gain. Chapter 4 introduces quantitative models
of the density of states for both bulk and quantum well systems and discusses the
conditions for population inversion.
Chapter 5 ties together the qualitative laser models with measureable perfor-
mance characteristics, such as slope and threshold current, and describes some of
the common experimental metrics used to evaluate laser material. Chapter 6 takes a
break from talking about optical and material characteristics and instead talks about
the specific electrical characteristics of semiconductor junction lasers, including
metal contacts. Chapter 7 discusses the laser as an optical cavity, including design
of single-mode waveguide and mode separation in Fabry-Perot cavities.
Chapters 8 and 9 talk more specifically about laser communications, partly
issues relevant to directly modulated lasers. Chapter 8 discusses laser modulation
and the inherent limitations to semiconductor laser speed. The focus of Chap. 9 is
single-wavelength distributed feedback lasers and the inherent variability intro-
duced with a grating and the usual high-reflection/anti-reflection coatings.
Chapter 10 covers a number of other more applied topics, such as dispersion in
laser transmission, laser reliability, temperature dependence of laser characteristics,
and laser fabrication. Though laser applications and requirements are unique, it also
includes a brief section on laser design (new to the second edition).
Chapter 11 (new to the second edition) introduces amplitude modulated optical
communication systems. On–off modulation is extended into pulse amplitude
modulation, and the physics of methods of external modulation and optical recei-
vers are briefly discussed.
1.4 Organization of the Book 9

Table 1.2 Organization of the book

Chapters Topics
1 Introduction to optical communication and to organization of the book
2 Structure and requirements for all lasers, semiconductor, or other materials
3 The ideal semiconductor and quantum wells, heterostructures and strained-layer
growth, direct, and indirect band gap
4 Density of states in semiconductor lasing medium, conditions for population
inversion, quasi-Fermi levels
5 Connection between laser model and measured characteristics of threshold current
and slope efficiency
6 Electrical characteristics of semiconductor lasers. I-V curve, metal connections
7 Optical cavities in semiconductors, and the relationship between gain and cavity.
Design of single-mode cavity
8 High-speed properties of semiconductor lasers—rate equation models
9 Single-wavelength lasers; distributed feedback lasers
10 Other miscellaneous topics including fabrication, communication, yield, and
reliability; and laser design
11 Directly modulated laser communication systems, symbol and bit rates, pulse
amplitude modulation
12 Coherent laser communication systems

Chapter 12 (also new to the second edition) discusses coherent optical com-
munication systems, and the signal-to-noise limits of optical communication
formats.

1.5 Summary and Learning Points

A. Optical communications continue to grow rapidly very rapidly driven by
enormous growth rate of worldwide bandwidth usage.
B. Basic optoelectronic communication systems consist of semiconductor laser
light sources coupled to flexible fiber optic waveguides.
C. These fiber optic waveguides can carry enormous amounts of bandwidth.
D. Optical transmitters and receivers based on semiconductors can be fabricated to
transmit at the low-loss and low-dispersion points of optical fiber.
E. Erbium-doped fiber amplifiers can amplify optical signals in fiber without need
of regeneration.
F. All of these make optical communications based on lasers a near-perfect
communication solution.
10 1 Introduction: The Basics of Optical Communications

1.6 Questions and Problems

Q1:1. What are optical communications?
Q1:2. Why do we use lasers and optical fibers in optical communications?
Q1:3. What are the particular advantages of semiconductor lasers in optical
communications?
Q1:4. Identify a few semiconductors on the Periodic Table.
Q1:5. What is an EDFA?
Q1:6. What are typical dimensions of the active region of a semiconductor laser?
The Basics of Lasers
2

But soft, what light through yonder window breaks…

—Shakespeare, Romeo and Juliet

Abstract
In this chapter, the important common elements of all lasers are introduced.
Some examples of lasing systems are given to define how these elements are
implemented in practice.

2.1 Introduction

Semiconductor lasers are the enabling light source of choice for optical commu-
nications. However, the basic principles of operation of semiconductor lasers are
shared by all lasers. In this chapter, the requirements for lasing systems and the
characteristics of all lasers will be discussed. Specific examples from outside of
semiconductor lasers will be used to demonstrate these characteristics, before we
focus on the specific mechanics and structure of semiconductor lasers.

2.2 Introduction to Lasers

With an appreciation of the significance and underlying technology of optical com-

munication, we can start to understand the basic process of lasing. In this section, we
introduce the fundamental underpinnings of lasing, stimulated emission. Stimulated
emission is the idea that under certain conditions a photon can create additional
photons of the same wavelength and phase. Lasers are based on this principle and
create ‘floods’ of photons of the same wavelength and phase that constitute laser light.

© Springer Nature Switzerland AG 2020 11

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_2
12 2 The Basics of Lasers

To start to understand stimulated emission, we begin with a description of one of

the classical problems of physics, black body radiation.

2.2.1 Black Body Radiation

Black body radiation is the spectrum emitted from a ‘black body’ (an object without
any particular color) as it is heated up. ‘Red hot’ iron and ‘yellow hot’ iron are red
and yellow because, at the temperature to which they are heated, their emission
peak is *600 or *550 nm, and they look ‘red’ or ‘yellow.’ The surface of the sun
is another example of a classical black body. Measurements showed that black
bodies emit light at a peak spectral wavelength depending on their temperature,
with the amount of emission above and below that wavelength falling off to zero at
shorter and longer wavelengths. The peak emission shifted to shorter wavelengths
as the temperature of the black body increased. All black bodies at the same
temperature emit light of the same spectrum, independent of the material.
In the beginning of the twentieth century, the physics behind the spectrum was a
great mystery to early twentieth-century physicists. The shape of the curve was well
described by a simple equation first derived by Max Planck,

8phm3 1
EðmÞdv ¼ dv ð2:1Þ
c3 expðhv=kTÞ  1

where E(v) is the amount of energy density, in J/m3/Hz, in each frequency.1 The theory
behind this equation was not understood until quantum mechanics was introduced.

Aside: It is remarkable how powerful and universal this

black body spectrum is. Radiation from outer space is
difficult to measure on Earth, because the atmosphere
absorbs very long wavelengths. The Cosmic Background
Explorer (COBE) satellite was sent up to measure the
far-infrared black body spectrum above the atmosphere.
Shown in Fig. P2.1 is one of the spectra it recorded. The
shape fits perfectly to the shape of the spectrum of
Eq. 2.1, and from this data, the temperature of the uni-
verse could be extracted. It turns out that the universe
as a whole is a balmy 2.75 K. This measurement is cur-
rently being interpreted as support for the Big Bang
theory of the creation of the universe. It was clear this
measurable phenomenon was driven by basic physics. The
initial theory and discovery of this cosmic background

1
M. Planck, ‘On The Theory of the Law of Energy Distribution in the Continuous Spectrum,’
Verhandl. Dtsch. Phys. Ges., 2, 237.
2.2 Introduction to Lasers 13

Fig. P2.1 One of the first measurements of the COBE background microwave satellite, showing
the use of the optical spectrum of the black body to measure temperature. Image from http://en.
wikipedia.org/wiki/File:Cmbr.svg, current 1/2013

radiation resulted in Nobel Prizes for Penzias and Wil-

son in 1978; the subsequent measurements by the COBE
satellite resulted in Nobel Prizes for Smoot and Mather.

This black body formula can be understood in fundamentally two different ways:
(i) a macroscopic, statistical thermodynamics viewpoint, attributed to Planck, and
(ii) a microscope rate equation viewpoint, attributed to Einstein. Both views are
correct, and both have parallels with semiconductor lasers. The statistical view,
involving density of states, is repeated when calculating gain in a semiconductor
laser. The rate equation view comes up again when talking about modeling laser
DC and dynamic performance. Let us talk about both views in detail.

2.2.2 Statistical Thermodynamics Viewpoint of Black Body

Radiation

The viewpoint of statistical thermodynamics, which is fundamentally Planck’s view, is

that an existing ‘state’ has a certain probability to be occupied, based on its temper-
ature. As the temperature increases, it becomes more likely that higher energy states are
occupied. At a temperature of absolute zero, only the very lowest energy states are
occupied: At higher temperatures, the higher-level energy states start to be occupied.
As such, the spectrum is determined by two things: first, the probability dis-
tribution function, which determines the likelihood that a state will be occupied
based on temperature, and second, the density of states, which is the number of
14 2 The Basics of Lasers

states that exists at a particular energy in a black body. We will talk about both of
these terms in the next sections.

2.2.3 Some Probability Distribution Functions

Let us briefly review probability distribution functions for photons and electrons.
A distribution function gives the probability that an existing state will be occupied
based on the energy of the state and the temperature of the system. These functions
are thermodynamic functions that are applicable to systems in thermal equilibrium
at a fixed temperature. Table 2.1 shows a list of the statistical distribution functions
and the systems (or particles) to which they apply.
In these functions, E refers to the energy of the state, Ef is a characteristic energy
of the system (the Fermi energy) usually used with Fermi–Dirac statistics, and kT is
the Boltzmann constant times the temperature (in Kelvin). The constant A in the
Bose–Einstein and Maxwell–Boltzmann functions depends on the type of particles
but is 1 for photons.

Example: If the Fermi energy of a semiconductor is 1 eV

above the valence band, at room temperature, what is the
probability that an electronic state 2 eV above the
valence band will be occupied?
Solution: The Fermi–Dirac function applies here, but in
fact, E − Ef is high enough that all three functions will
give the same answer: expð1 eV=0:026 eVÞ ¼ expð40Þ ¼ 1018 .

The Bose–Einstein distribution function is appropriate for photons, phonons, and

particles with integral spin (like protons) and reflects the fact that these particles can
have any number of particles in a given state.
The Fermi–Dirac function applies to particles which follow the Pauli exclusion
principle that at most one particle can occupy a given energy state. Let us take this
very earliest opportunity to note that this exclusion principle excludes more than
one particle from each quantum state, not from each energy level. A quantum state
is a set of quantum numbers that describes a particle. Many situations have multiple
states with the same energy that have different sets of quantum numbers, such as the
sub-levels of p-orbital of an atom. These states are called degenerate in energy.

Table 2.1 Distribution functions P(E)dE

Distribution function Function Applies to
name
Bose–Einstein 1 Bosons: photons and protons and spin-1
A expðE=kTÞ 1
particles
Fermi–Dirac 1 Electrons and other spin ½ particles
expððEEf Þ=kTÞ þ 1
Maxwell–Boltzmann A expðE=kTÞ All particles at high temperatures
2.2 Introduction to Lasers 15

This distribution function is only part of the story. The population of electrons present
at any given energy depends on the number of states at that energy. The bandgaps of
semiconductors are devoid of states, because of their particular crystalline arrangement.
In order to determine the population of photons, we have to derive the density of states,
or the number of photon states is available to be occupied at any given energy.

2.2.4 Density of States

In order to apply the distribution functions, a state must exist. These states are allowed
solutions of the Schrodinger equation for a particular physical situation or potential.
The calculation of the density of states in black body is best illustrated by an
example. Let us proceed to consider the density of photon states for a cubic black
body with length L per side and calculate what the density of states per unit energy
D(E)dE is. A picture of a cubic black body volume is shown below. The ‘volume’ is
considered to be macroscopic and much larger than the wavelength of the photons
corresponding to this energy.
An intuitive picture suggests that for a given volume, there should be many more
short-wavelength, high-energy photons, per volume than long-wavelength, low-energy
photons.
The conventional approach here is to pick an electromagnetic boundary condi-
tion that confines photons within the black body, and allow only wavelengths that
are integral fractions of the cubic length L. For example, wavelengths of kx = L are
allowed, and wavelengths of kx = L/2 are allowed, but a wavelength of kx = 0.8L is
not allowed. The same applies to wavelengths in the other two directions, ky and kz
as shown in Fig. 2.2.
Let us calculate the number of these allowed photon states that exist as a
function of energy in a black body.
It is easier to analyze this problem in what is called reciprocal space, in which
the propagation constants k rather than the wavelengths are considered. If the
wavelength is kx, the propagation constant kx = 2p/kx. This relationship is true for
wavelengths of the components of the photon in each of the three directions, as well
as the scalar wavelength of the photon and the amplitude of k.

Fig. 2.2 A cubic black body

of macroscopic size
16 2 The Basics of Lasers

We are going to write the relationship between k and k in two ways (shown
below): the first between the vector x, y, z components of k, and the second between
the magnitude of k and magnitude of k. The magnitudes of k and k are related to
their magnitudes in the three orthogonal directions as shown.

2p
kx;y;z ¼
kx;y;z
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
k ¼ kx2 þ ky2 þ kz2
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ð2:2Þ
1 1 1 1
¼ þ 2þ 2
k k2x ky kz
2p
k¼
k
The simplest way to understand the propagation constants is to consider them as
reciprocals of the wavelength k. The product of wavelength and propagation con-
stants is a full cycle, 2p. If the wavelength halves, the propagation constant doubles.
Writing the allowed wavelengths and propagation constants in terms of the boundary
conditions above gives a picture of the spacing of the allowed propagation constants.
The allowed wavelengths are integral fractions of the cavity length, and so, the
allowed propagation constants are integral multiples of the fundamental propaga-
tion constant, 2p/k, as shown in the expressions below.

L
kallowedx;y:z ¼
mx;y:z
ð2:3Þ
mx;y;z 2p
kallowedx;y;z ¼
L
These allowed propagation constants form a set of evenly spaced grid points in
the reciprocal space plane, as shown below in 2D (x and y). Any point represents a
valid propagation constant of a photon, and k-values between the points cannot
exist in a black body.
The vector k, having kx, ky, and kz components, gives the propagation direction,
and the quantization condition (Eq. 2.3) is independently fulfilled in each direction.
Figure 2.3 shows the picture of allowed k-states in x and y. Using this diagram,
and the probability distribution function for photons, we calculate the density of
photons at a given frequency (the black body spectrum, Eq. 2.1). What is the
number of states at a given energy as a function of the optical frequency v (N(v)dv)?
First, we realize that by Plank’s formula, E = hv, the optical frequency or
wavelength k equivalently specifies the energy.

hc hck
E ¼ hv ¼ ¼ ¼
hck ð2:4Þ
k 2p
2.2 Introduction to Lasers 17

Fig. 2.3 A picture of the

allowed points in k-space,
illustrating the calculation of
the ‘density of states’ of the
photon modes in a black
body. The picture shows the
x–y plane in k-space, but
allowed points are also
equally spaced in z

Even though k is a vector as above, the k in this expression is the scalar

magnitude of k. In the picture above, anything with the same magnitude (shown by
the circle) has the same energy. Calculating the density of states is equivalent to
calculating the density of points of a circle of radius k.
The picture above, for clarity, is actually a 2D picture slice of the 3D system. We
are going to carry through the derivation in 3D in which there are three dimensions
of allowed propagation vectors, in x, y, and z. The procedure we follow is to
calculate the differential volume in a thin slab of fixed radius dk and then divide by
the volume per point to get the number of points in that volume. We find that the
differential volume for a 3D segment is

VðkÞdk ¼ 4pk2 dk: ð2:5Þ

The density of points as a function of k, Dp(k), is given by this volume divided

by the density of states in k-space, which is 1 state per (2p/L)3 volume, or

4pk2 dk L3 k2
Dp ðkÞdk ¼  3 ¼ dk ð2:6Þ
2p 2p2
L

Finally, the relationship between energy and k is best expressed as follows (and
substituted into the above)

E ¼ hck dE ¼ hc dk
ð2:7Þ
k ¼ E=hc dk ¼ dE= hc:
18 2 The Basics of Lasers

Substituting into the above expression, we obtain

4pE2 dE L3 E2 dE
Dp ðEÞdE ¼   3
¼ : ð2:8Þ
h3 c3 2p h3 c 3
2p2 
L

Considering the density of states per fixed real space volume, L3, gives us the
nearly final result for the density of points in k-space (Dp) equal to

E2 dE
Dp ðEÞdE ¼ cm3 ð2:9Þ
2p2 h3 c3
A final factor of two has to be multiplied to the expression above to give the
density of photon states. Each state, in addition to direction, has a polarization. The
polarization can be uniquely specified with two orthogonal polarization states, and
as a result the density of state is doubled and the final expression for total density of
states, D(E), is

E2 dE
DðEÞdE ¼ cm3 ð2:10Þ
p2 h3 c3
We have derived this equation in such detail because this will echo the dis-
cussion of density of states in an atomic solid, and the very same principles will be
used to write down a ‘density of states’ for electrons and holes in exotic quantum
confined structures, like quantum wells (a 2D slab), quantum wires (a 1D line), or
quantum dots (small chunks of material with dimensions comparable to atomic
wavelength).
Let us make some comments about this derivation, so far. First, there is a key
role about the dimensionality of the solid. The expression for ‘differential volume’
contains k2, which is what leads to the quadratic dependence of D(E) on E. When
we start discussing atomic solids, particularly 2D quantum wells (QWs), 1D
quantum wires, and 0D quantum dots (QDs), this dimensionality will be different
and the density of states will have a different dependence on energy.
Second, let us emphasize again what the term ‘density of states’ means. It means
only the number of states with the same energy, but not with the same quantum
numbers. In a black body, for example, there are red photons radiating in all
directions, with different quantum numbers kx,y,z but the same wavelength (energy).
Density of states measures the number of photons with that red energy or
wavelength.
Third, looking back, there is a key assumption about the electromagnetic
boundary condition perfectly confining the photons, which is only reasonable and
not rigorous.
2.2 Introduction to Lasers 19

2.2.5 Spectrum of a Black Body

Having discussed density of states and calculated the density of states in a black
body, we now talk about the spectrum of a black body. The statistical thermody-
namics way of looking at it is simple: Multiply the density of states by the dis-
tribution function (giving the probability that the existing state is occupied) to
determine the occupation or emission spectrum. In this case, written as a function of
energy, the number of photons N(E) at that energy is:

1 E2 dE
NðEÞdE ¼ cm3 ð2:11Þ
h3 c3
expðE=kTÞ  1 p2 

Or as a function of energy q(E) (energy/cm3), it simply gets multiplied by

another E to obtain

1 E3 dE
qðEÞdE ¼ cm3 ð2:12Þ
h3 c 3
expðE=kTÞ  1 p2 

It is left as an exercise to the student to substitute back in E = hv and obtain

Planck’s black body spectra, Eq. 2.1!
All of this discussion should be relatively familiar. We now want to look at this
problem in a slightly different way and see what insights we can get in particular
about lasing.

2.3 Black Body Radiation: Einstein’s View

The preceding discussion about black bodies introduced (or reminded) the reader of
distribution functions and density of states, and both of these concepts will reappear
again in the context of semiconductor lasers. However, let us consider a microscope
rate equation view, attributed to Einstein, which considers the processes that the
photons undergo to maintain that distribution.
Let us consider for a moment the ‘sea’ of electrons and atoms in a metal which
constitute a black body. At any given moment, some number of photons are being
absorbed by the metal with the electrons rising to a higher energy level, and some
other photons are being emitted as the electrons relax to a lower energy level. For a
black body (which is a temperature-controlled, thermodynamic system) at a fixed
temperature, these rates of up and down transitions have to be the same for the
black body to be in equilibrium. The rate of photons being absorbed has to equal the
rate of photons being emitted.
What Einstein postulated was three separate processes which go on in a black
body:
20 2 The Basics of Lasers

Fig. 2.4 Three processes which occur in a black body and are in equilibrium. Top, absorption;
middle, spontaneous emission; and bottom, stimulated emission. The dark circles represent excited
states at energy E2, while the open circles represent unexcited (ground) states at lower energy E1

(1) Absorption, in which a photon is absorbed by the material and the material (or
electron in the material) is left in an excited state;
(2) Spontaneous emission, in which the material or photon relaxes to a lower
energy state and a photon is emitted, without the influence of another photon;
(3) Stimulated emission, in which the material or electron relaxes to another energy
state and a photon is emitted, when stimulated by another photon.

These three processes are illustrated in Fig. 2.4.

It is this last process which is the process responsible for lasing and which we
will discuss in much detail. It is likely to be unfamiliar to the student. The proof that
in fact it is a valid physics process, as valid as gravitation, will be found in the
equivalence of this model with the statistical thermodynamic model of black body
emission, when this mechanism is considered.
Let us now proceed to establish the correspondence between these two models.
In equilibrium, the rates of the excitation and relaxation processes must be equal.
Let us go ahead and postulate the following linear model for the relative rates.
The processes pictured in Fig. 2.5 can be written down conceptually, in equi-
librium, as

AN2 þ B21 N2 Np ðEÞ ¼ B12 N1 Np ðEÞ ð2:13Þ

where N2 and N1 are the fraction of the populations in the states N2 with energy E2
and N1 with energy E1, respectively, Np(E) is the photon density as a function of
2.3 Black Body Radiation: Einstein’s View 21

Fig. 2.5 Processes which go on in a black body, pictured as a collection of photons and
excited/unexcited electronic states

energy E = E2 − E1, A is a linear proportionality coefficient for the rate of

absorption, and B12 and B21 are the linear coefficients for the rates of stimulated
emission and absorption, respectively. We include one more physical fact that the
populations in state N1 and state N2 are in thermodynamic equilibrium, as

N2
¼ expððE2  E1 Þ=kTÞ ð2:14Þ
N1

with E2 and E1 the energy of the states. With these facts, it is possible to show that
the black body spectrum, Np(E), is the same as that derived earlier if the two
Einstein B coefficients for stimulated emission and absorption are equal (and we
will henceforth write them just as B). This will be left as an exercise for the student
(see Problem P2.2)!

2.4 Implications for Lasing

The sense of lasing is of a monochromatic and in-phase beam of light. The process
of stimulated emission is one in which a single photon stimulates the emission of
another photon, which stimulates additional photons (still in phase at the same
wavelength) leading to an avalanche of identical photons. The mechanism which
does this is stimulated emission; therefore, what is desired is a physical situation in
which the rate of stimulated emission is greater than the rate of absorption or of
spontaneous emission. The word laser, which is now accepted as a noun, was
originally an acronym for light amplification by stimulated emission of radiation.
The reader can observe the rate equation appears from nowhere and has no
justification, but stipulates a new process (stimulated emission) which is non-trivial.
This is true, but this has proven, over time to be an accurate model of the world, and
so it has been retained. We take the equation above as valid and will examine it for
the implications it has for lasing.
Let us now make some observations about the equation above and see what it
indicates about a lasing system.
First, it describes dynamic equilibrium. In the material, electrons are constantly
absorbing and emitting photons, but the population of excited and ground state
electrons and photons stays constant. The units of each of the terms on each side of
22 2 The Basics of Lasers

the equation are rates (/cm3 s). When these transition rates are equal, the equation
describes a steady-state situation; in thermal equilibrium, the populations can be
described by a Boltzmann distribution and the relative size of the populations is as
given in Eq. 2.14.
In equilibrium, the population of the higher energy state is always lower than that of
the lower energy state, and therefore the rate of absorption is always greater than the
rate of stimulated emission: BN2 Np ðEÞ [ BN1 Np ðEÞ (the absorption rate is always
greater than the stimulated emission rate in thermal equilibrium). The absorption rate
is not only greater, but enormously greater. In a typical semiconductor laser, E2 −
E1 * 1 eV, which gives the relative population of ground and excited states as exp
(−40) at room temperature. Because in equilibrium N2 << N1, stimulated emission is
much less than absorption, and therefore in equilibrium lasing is not possible.
This means practical lasing systems must be driven in some non-equilibrium
way, generally either optically or electrically. It is not possible to drive something
thermally and achieve a dominant stimulated emission. Practical lasing systems are
usually composed of (at least) three levels: an upper and lower level, between which
the system relaxes and emits light, and third, pump level, where the system can be
excited. This will be illustrated in Sect. 2.6.
In addition, for lasing to occur, the spontaneous emission rate must also be much
less than the stimulated emission rate. While both processes produce photons, the
spontaneous emission photons are emitted at random times and are thus in random
phases compared to the coherent photons generated by stimulated emission. These
photons thus do not really contribute to the coherent lasing photons. For a lasing
system, BN2 Np ðEÞ [ AN2 .
This may or may not be possible depending on the relative values of A and B and
various Ns. We note that a higher photon density, Np, certainly makes the balance
favorable. There is much more stimulated emission at higher photon density than at
lower photon density. Hence, for stimulated emission to dominate, it is beneficial to
have a higher photon density. This is achieved in a laser by always having some
cavity mechanism, based on mirrors or other wavelength-selective reflectors, to
achieve a high photon density inside the cavity.
The first equation (stimulated emission greater than absorption) implies that the
lasing system is non-equilibrium (N2 > N1) and is called population inversion. The
second equation (stimulated emission greater than spontaneous emission) implies a
high photon density. These two conditions taken together form a mathematical
model for a physical basis for a lasing system.

implies
BN2 Np ðEÞ [ AN2 ! high photon density Np
implies
BN2 Np ðEÞ [ BN1 Np ðEÞ ! nonequilibrium system with N1 \N2
2.4 Implications for Lasing 23

Fig. 2.6 Requirements for a lasing system and the way they are implemented in practice.
Non-equilibrium pumping is done electrically, or optically, to excite most of the states. A high
photon density is achieved by mirrors or other sorts of optical reflectors to maintain a high photon
density inside the cavity. A laser usually looks similar to this conceptual picture

The first condition means that we cannot construct a laser that will just heat up
and lase. Any heat-driven process is by definition a thermal equilibrium process,
and in such processes absorption, rather than emission, will always dominate. This
non-equilibrium requirement is realized in real laser systems by having them
powered—for example, in semiconductor lasers, the holes and electrons are elec-
trically injected rather than thermally created. These requirements are illustrated in
Fig. 2.6. The portion of a lasing system which is in population inversion is called
the gain medium.
In the next two sections, we are going to talk about the qualitative differences
between spontaneous emission, stimulated emission, and lasing, and give some
examples about how these two requirements for lasing systems (driving force and
high photon density) are implemented in practice.
24 2 The Basics of Lasers

2.5 Differences Between Spontaneous Emission,

Stimulated Emission, and Lasing

Figure 2.7 illustrates the spectra of some systems dominated by lasing, spontaneous
and stimulated emission, to give some intuition to the idea of lasing as a beam of
coherent photons and some idea of what is meant by lasing. There is no clean
mathematical definition of lasing; the sense of lasing is a monochromatic beam of
photons that is dominated by stimulated emission. Figure 2.7 shows the spectrum
for a standard semiconductor laser (a distributed feedback laser) whose spectra are
dominated by stimulated emission and shows a near-monochromatic one wave-
length peak; the spectrum of a light-emitting diode, whose emission shows a broad
peak characteristic of spontaneous emission from the band gap of the semicon-
ductor; and finally, a doped Eu system which has achieved population inversion but
not an extremely high photon density and as such exhibits a spectral narrowing but
not to the extent seen in (a). We will refer back to this figure and discuss some of
the details of the spectra later in this book; for now, we just wish the reader to note
that one laser characteristic is an extremely narrow spectra, and that there is a
different qualitative character to each of the different mechanisms of stimulated
emission, spontaneous emission, and lasing.
In the middle figure, also note that the power density where the system starts to
exhibit substantial stimulated emission (BN2Np > AN2) is quite clear. There is also a
dynamic element in these lasing systems. Because the population must be inverted
(N2 > N1), the amount of time an excited state exists before it relaxes is extremely
important and can influence properties like the threshold of lasing systems. This
also will be talked about in greater detail later.
We note also that absorption can be considered a ‘stimulated’ process, which is
the opposite of stimulated emission.

Fig. 2.7 Spectra of some semiconductor-based light-emitting systems. Left, some light-emitting
diode spectra with bandwidth of 40–50 nm; center, spectra of a doped Eu system which is showing
substantial stimulated emission (a positive feedback cascade of photons at peak wavelength, with a
bandwidth of a few nm) but not lasing; right, finally, a full single-mode distributed feedback laser,
showing very narrow linewidth (<1 nm)
2.6 Some Example of Laser Systems 25

2.6 Some Example of Laser Systems

All lasers consist of a gain medium, a method of non-equilibrium pumping, and a

cavity defined by mirrors or another mechanism to obtain a high photon density.
We now show specific examples illustrating how these three properties are
achieved. Because the bulk of the book will discuss semiconductor lasers, these
examples are going to be taken from other laser systems.
Apart from the gain medium, this will also show the various ways in which
optical cavities are formed to contain the photons.
First, an Er-doped fiber laser has the atomic levels of the erbium (Er) atom as the
gain medium, optical pumping as the means for inducing non-equilibrium, and a
Bragg grating cavity integrated into the fiber as the cavity mirror to achieve a high
photon density.
Second, we will talk about a common red HeNe gas laser, which has the Ne
atomic levels as the gain medium, a high-voltage AC source as the method of
electrically exciting (pumping) the molecules, and high-reflectivity mirrors defining
the cavity.

2.6.1 Erbium-Doped Fiber Laser

As an illustration, Fig. 2.8 depicts the energy levels and the physical structure of an
erbium (Er)-doped fiber laser. This structure is similar to an Er-doped fiber
amplifier, but with an engineered cavity. An optical fiber is fabricated doped with
optically active Er atoms, and a simplified version of the Er atomic energy level is
shown at above left. Pump light at 1 lm excites the atoms into an excited state (the
4I15/2 state), which then rapidly (*ns) relaxes into a state with a band gap at around
1 lm (the 4I13/2 state). This state has a lifetime of *ms, and so the system can be
put into population inversion in which the density of atoms in the 4I11/2 state is
much higher than the 4I13/2 state. Here, the three states (4I15/2, 4I13/2, and 4I11/2) are
the pump level, upper level, and lower level, respectively.
The dynamics are actually critical to this system. If the relaxation between 4I15/2
and 4I13/2 was slower, or the relaxation between 4I13/2 and 4I11/2 was faster, it
would be much harder to achieve ‘population inversion’ system in which the
population of 4I13/2 > 4I11/2, as required for lasing.
The other requirement for lasing is high photon density. This is accomplished by
the Bragg gratings integrated into the fibers, which confine most of the 1.55 lm
photons into the fiber laser cavity. In order to allow the pump light in freely, these
gratings have to have a low reflectivity at 1 lm. This system produces a device
which, when high-intensity 1 lm light is coupled into the fiber, produces a
monochromatic beam of 1.55 lm light out.
26 2 The Basics of Lasers

Fig. 2.8 An erbium-doped fiber laser. As shown, population inversion is achieved between the
4I13/2 and 4I11/2 levels by optical pumping, a non-equilibrium process. High photon density is
achieved by Bragg mirrors, which keep most of the 1.55 lm photons in the laser length of the fiber

2.6.2 HeNe Gas Laser

The traditional red laser that is often used in optics laboratories is a HeNe gas laser.
The schematic picture of such a laser and its mechanism for operation is shown in
Fig. 2.9. The gain medium is the HeNe molecules that are sealed in the tube. A high
DC voltage is applied which creates electrons which excite a He atom. The He atom
then transfers its energy to a Ne atom. The Ne atom then relaxes by radiative
stimulated emission to a lower level, emitting a red photon at k = 632 nm in the
2.6 Some Example of Laser Systems 27

Fig. 2.9 A HeNe gas laser, showing the gain medium (the Ne atom), the high photon density
(created by high-reflectivity mirrors), and the method for non-equilibrium pumping by electronic
excitation. The bottom shows the physical picture of a HeNe laser; the tube is the active laser
region, while the area around it is a reserve gas cavity

process. Even though the light has already been emitted, the Ne atom then has to
relax through several more levels non-radiatively down to the ground state to be
reused. Finally, the photons are kept in the cavity by the mirrors at each end of the
tube. The reflectivity is typically *99% or more, so the photon density inside the
laser is much higher than the photon density right outside the cavity.
There are several atomic levels to the Ne atom. By tailoring the cavity to confine
photons of different wavelengths (a mirror specific to red, green, or infrared
wavelengths), the same system can be induced to lase in the green or infrared as
well as red. Commercial HeNe lasers at all these wavelengths can be purchased.
In Fig. 2.9, the upper portion shows the atomic-level picture of the mechanism
for operation of the HeNe laser. The molecule is initially excited, and the relaxation
time from the excited state is long enough that the system can be put into population
inversion. Once population inversion is achieved, lasing occurs because stimulated
emission dominates and the photon density is kept high with the highly reflective
facets. The laser cavity is shown at the bottom.
28 2 The Basics of Lasers

Semiconductor lasers will be covered extensively in the following chapters. In

general, they have electrical injection as the pumping method, with the conduction
and valence bands serving as the gain medium. There are many mirror methods
available in semiconductor lasers; the simplest one is simply the mirror formed
when the semiconductor with the refractive index n = 3.5 is cleaved, and an
interface with the air (n = 1) is formed.

2.7 Summary and Learning Points

A. Distribution functions describe the probability that an existing energy state is

occupied. They describe systems in thermodynamic equilibrium. Different
functions are appropriate to different situations. The Fermi–Dirac distribution
function is applicable to particles which follow the exclusion principle (elec-
trons or holes); the Bose–Einstein is applicable to photons or protons or other
particles who like to aggregate; the Boltzmann distribution function is the
classical approximation to both.
B. The density of state function is the number of states at a given energy in a
system. The density of photon states in a black body can be calculated and that,
combined with the appropriate distribution function, gives the black body
emission spectra.
C. By equating the rates of particle relaxation and excitation (in a ‘dynamic’
equilibrium), the same picture of black body emission spectra can be obtained
(provided that the two Einstein B coefficients are equal). This model resulted in
defining the (new) mechanism of light emission called stimulated emission, in
which a photon impinges on an excited atom and causes it to emit another
photon of the same wavelength and phase. It is this mechanism that is
responsible for lasing.
D. A laser is a coherent light source generated by stimulated emission. Hence,
stimulated emission has to dominate over both absorption and spontaneous
emission. These criteria require a lasing system to:

i. be in population inversion, with more of the gain medium in the excited

state than in the ground state;
ii. have a high photon density Np, which requires mirrors or facets to surround
the lasing system.

E. Because of the population inversion requirement, a laser cannot be driven

thermally. Lasers are non-equilibrium systems.
2.8 Questions 29

2.8 Questions

Q2:1. Define stimulated emission of radiation.

Q2:2. Explain how the temperature can be measured from a black body
spectrum.
Q2:3. Explain in your own words the statistical thermodynamics perspective of
black body radiation.
Q2:4. Explain in your own words the microscopic view of black body radiation.
Q2:5. Define the term ‘distribution function.’
Q2:6. Define the term ‘population inversion.’
Q2:7. What distribution function is appropriate for photons? For electrons?
Q2:8. When is it appropriate to use the Gaussian distribution function?
Q2:9. Define the term ‘density of states.’
Q2:10. If the k-value of a particular photon state is very large, is the wavelength of
that photon high or low? Is the energy of that photon high or low?
Q2:11. List the three requirements for any lasing system.
Q2:12. Explain how these requirements are met in your own words for the two
types of lasers discussed in the chapter.
Q2:13. What are the three levels in the HeNe laser system?

2.9 Problems

P2:1. Show that Eq. 2.11 reduces to Plank’s expression for a black body spec-
trum, Eq. 2.1.
P2:2. Show that for a system in thermal equilibrium, the coefficient of stimulated
emission B21 is equal to the coefficient of stimulated absorption B12. (Hint:
Use the fact that the N2/N1 = exp(−DE/kT), and the fact the Einstein and
Plank black body spectra must agree).
P2:3. A photon has a wavelength of 500 nm.

(a) What color is it?

(b) What is its energy, in?

a. J
b. eV.

(c) What is the magnitude of its spatial propagation vector k?

(d) Find its frequency in Hz.
30 2 The Basics of Lasers

P2:4. (This problem is given by Kasap,2 and used by permission). Given a 1 lm

cubic cavity, with a medium refractive index n = 1:

(a) Show that the two lowest frequencies which can exist are 260 and
367 THz.
(b) Consider a single excited atom in the absence of photons. Let psp1 be
the probability that the atom spontaneously emits a photon into the (2,
1, 1) mode, and psp2 be the probability density that the atom sponta-
neously emits a photon with frequency of 367 THZ. Find psp2/psp1.

P2:5. This problem explores the influence of dynamics on the populations of the
erbium atom levels. In Fig. 2.8, the energy levels of the erbium atom are
pictured.

(a) If a population of Er atoms absorbs 1018 photons/second, but the life-

time of the excited state is 1 ns, what is the steady-state population of
atoms in the 4I11/2 state?
(b) If the lifetime of the 4I13/2 state is 1 mS, what is the steady-state
population of the 4I13/2 state?
(c) How many 1.55 lm photons are emitted per second?

2
S. O. Kasap, Optoelectronics and Photonics: Principles and Practices. Upper Saddle River, NJ:
Prentice Hall, 2001.
Semiconductors as Laser Materials 1:
Fundamentals 3

You can observe a lot by just watching.

—Yogi Berra

Abstract
The descriptive overview provided in this chapter is a prelude to the
mathematical modeling of semiconductor and optical properties that follows in
later chapters. Here, we discuss the relevant properties of semiconductor
quantum wells from the point of view of applications for semiconductor lasers.
First, we introduce the general idea that semiconductor lasers are composed of
mixtures of semiconductors designed to select the appropriate lattice constant
and band gap. The physical limits of mixing of different semiconductors are
covered. Practical factors that influence the use and fabrication of semiconduc-
tors for lasers including factors such as direct and indirect band gaps, and strain
and critical thickness, are discussed.

3.1 Introduction

As seen in Chap. 2, lasers can be constructed with many different material system,
and different lasers have different applications. For example, HeNe lasers are used
as coherent sources for optical experiments. High-power Ti: Sapphire lasers can be
used to generate very short, high-intensity optical power bursts, and CO2 gas lasers
can produce extremely high-power bursts that can be used to machine materials.
This textbook focuses on the semiconductor lasers used in optical communications.

© Springer Nature Switzerland AG 2020 31

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_3
32 3 Semiconductors as Laser Materials 1: Fundamentals

In this chapter, we discuss the basics of semiconductors as a lasing medium and

the practical details of designing and making these complex laser heterostructures.
First, we address the details of designing heterostructures of different compounds,
and we cover considerations of growing thin films of these heterostructures. Finally,
we discuss the band structure of real semiconductors.

3.2 Energy Bands and Radiative Recombination

The semiconductor is the gain medium in a semiconductor laser. A very simple

diagram of the electron structure of a semiconductor is shown in Fig. 3.1. In
general, a semiconductor has a valence band, in which (effectively) holes (positive

Fig. 3.1 Basics of semiconductors for laser application. They emit light due to recombination of
electrons and holes across the band gap. The distance a in (c) and (d) represents the lattice constant
of the semiconductor
3.2 Energy Bands and Radiative Recombination 33

charges) exist and conduct current, and a conduction (or electronic) band in which
electrons (negative charges) exist and conduct current.
Usually, semiconductors are doped to influence their electrical properties.
Doping means that the semiconductor (say Si, for example) has some amounts of
other atoms incorporated into it (say, B). Here, B has only three electrons per atom
in its outer shell, so the doped semiconductor has an average of slightly less than
four electrons/atom. These missing electrons in the valence band act as conductors.
In doped semiconductors, one or the other of these charge carriers dominates: in the
example, here, the charge conductors would be holes with a positive sign.
Because of the periodicity of the crystalline array, the energy levels associated
with an atom become the energy bands within a crystal. These leave a band gap of
forbidden electron energies. In semiconductor compounds, the average of four
electrons per atom is precisely enough to fill up the lowest energy level and leave
the higher energy levels empty. This situation creates the useful semiconductor
property of a moderate band gap, and conductivity that is easily controlled by
doping.
Real semiconductor bands are much more complicated than the description
implied by the single band gap number. For example, only some semiconductors—
those with what are called direct band gaps, like GaAs and InP—support
electron-hole recombinations that emit light. These and other qualitative details of
the bands will be discussed at the end of the chapter.
In the context of lasers, we are more concerned with electron and hole recom-
bination rather than with conduction. When an electron recombines with a hole,
eliminating them both, the resulting energy can be emitted in the form of a photon
through radiative recombination. Hence, the band gap (the difference in energy
between the hole and electronic levels) determines the value of the wavelength of
light emitted by a particular semiconductor.
Figure 3.1 shows the process from both an energy diagram view and a physical
‘real space’ view. A photon is emitted when an electron in the conduction band
recombines with a hole in the valence band, eliminating both.
In general, the more readily a material recombines and emits light spontaneously
(spontaneous emission), the better the material works as a laser (with stimulated
emission). The Einstein model of stimulated/spontaneous emission predicts a
relationship between the A and B coefficients of spontaneous and stimulated
emission, and in practice a good light emitter (like a direct band gap semiconductor)
works well either in spontaneous emission, as a light-emitting diode, or with
stimulated emission in a laser configuration, with mirrors and a mechanism for
non-equilibrium pumping.
In telecommunications lasers, the band gap largely determines the wavelength of
light emitted from the semiconductor. But how is the band gap determined? We will
discuss the answer to the question in later sections.
34 3 Semiconductors as Laser Materials 1: Fundamentals

3.3 Semiconductor Laser Material System

For semiconductor laser applications, we need a material with a particular band gap
that emits light at a particular wavelength. Typically, the material is grown on a
semiconductor substrate (for example, a laser may be made from InGaAs quantum
wells on a GaAs substrate). The lattice constant of the material (which is the
characteristic size of the unit cell, ‘a’, as illustrated (in 2D) in Fig. 3.1, and (in 3D)
in Fig. 3.3) has to closely match the lattice constant substrate for a successful
growth. To obtain a working laser, the material has to be nearly lattice-matched to
the substrate on which it is grown and have the right bandgap for a particular
wavelength of light.
(As an aside, laser material sometimes intentionally is not perfectly lattice
matched—it is designed for it to be slightly different than that of the substrate. We
defer discussion of this topic until later in the chapter).
As a concrete example, let us talk about the InGaAsP laser system, commonly
grown on InP and used across the important telecommunications spectrum from 1.3
to 1.6 lm. The system has in it four binaries (fundamental III-V compounds made
of two elements, like GaAs or InP), whose band gap and lattice constant are listed
in Table 3.1.
The layers from which communications lasers are made are the quantum well
layers and are usually grown on an InP substrate. Whatever the wavelength, it is
important that the value of lattice constant of the layer be close to 5.8686 Å. The
utility of this material system stems from the ability to grow nearly perfect
heterostructures of the four basic elements, with In and Ga freely interchangeable
and As and P freely interchangeable. The quaternary compounds of InxGa1−xAsyP1−y
can span a broad array of band gaps and lattice constants.
Figure 3.2 shows the bandgap and lattice constant of the binaries in Table 3.1
(and many others) plotted on a graph with band gap (or emission wavelength)
shown on the y-axis and lattice constant is shown on the y-axis. To grow a 1.55 lm
laser lattice-matched to InP (a very common case) the composition should lie at the
intersection of the line y = 1.55 lm and x = 5.8686 Å. The intersection of the two
constraints lies somewhere within the parameters spanned by the four binaries,
suggesting that there is some compound of InGaAsP (denoted by InxGa1−xAsyP1−y)
that will match both lattice constant and desired band gap.

Table 3.1 Band gap Binary Band gap (eV) Lattice constant (Å)
(eV) and lattice constant (Å)
of binaries in the InGaAsP InP 1.34 5.8686
family InAs 0.36 6.05838
GaAs 1.43 5.65315
GaP 2.26 5.4512
3.3 Semiconductor Laser Material System 35

Know it and what it means!

Fig. 3.2 Semiconductor chart showing properties (lattice constant and band gap, in both eV and
lm) versus composition. The lines between pairs of binary semiconductors represent the properties
of heterostructures of those two binaries (a ternary). Quaternary compounds can access all of the
area bounded by their four boundaries. From E. F. Schubert, Light Emitting Diodes, Cambridge
University Press, 2006, used by permission

What Si is to ordinary CMOS electronics, III-V compound semiconductors are

to telecommunications optoelectronics. The utility of InP-based lasers for
telecommunications applications arises from the fact that its bandgap overlaps both
1.55 and 1.3 lm, which are the low loss and low dispersion windows for optical
fiber, respectively. In a different role, GaAs-based lasers are used for as a key
amplifier component to make lasers around 1 lm wavelength.
To give a physical picture of the semiconductor lattice, Fig. 3.3 shows the zinc
blende lattice of both GaAs- and InP-based heterostructures (in fact, it is the same
structure for Si lattices also, just with only Si atoms throughout). The length of the
unit cell is the lattice constant a. The white dots are Group III atoms, and the black
dots are Group V atoms. In this lattice, any Group III atom can occupy any
Group III site. Each Group III atom (with valence III) is surrounded by four
Group V atoms of valence 5, so the structure as a whole (undoped) has an average
valence of 4.
In doped semiconductors, the dopant atoms occupy some of the positions for-
merly occupied by Group III or Group V atoms. In that case, the crystal is still
perfect, but has a shortage or excess of electrons over its nominal number of four
electrons/atom.
36 3 Semiconductors as Laser Materials 1: Fundamentals

Fig. 3.3 A picture of the zinc blende lattice, showing each group III (Ga) atom surrounded by 4
group V (As) atoms, and each group V atom surrounded by four group III atoms. Any group III
atom can occupy any group III site, and by variations of the composition, the bandgap lattice
constant, and other associated properties can be picked. From Wikipedia, http://en.wikipedia.org/
wiki/Zincblende_%28crystal_structure%29#Zincblende_structure,current 9/1/2013

3.4 Determining the Band Gap

If we are constrained by nature to use only binary compounds with fixed bandgap,
we would not have semiconductor laser-based optical communications. There
simply are not enough wavelengths! However, we can mix and match atoms to
achieve materials with a wide range of band gaps and wavelengths.
The wavelength k at which a material with a given bandgap Eg emits is given by

hc
k¼ ð3:1Þ
Eg

which comes from Plank’s relation between the energy and wavelength k of the
photon. The easy way to remember this is the constant hc = 1.24 eV-lm. So, the
equation above can be written as

1:24 eV-lm
kðlmÞ ¼ ð3:2Þ
Eg ðeVÞ

which means that if the band gap is given in eV (the usual unit of band gaps),
dividing 1.24 by that number will give the wavelength in lm.
3.4 Determining the Band Gap 37

Example: What bandgap semiconductor is necessary to emit a

very long wavelength 10 lm photon? How does that compare to
the thermal energy kT at room temperature?
Solution: If the hypothetical semiconductor emits at
10 lm, the bandgap (in eV) can be determined to be
1.24 eV-lm/10 lm = 0.12 eV. The thermal energy kT at room
temperature is 0.026 eV, about ¼ of this bandgap. This
device would probably only work at very low temperatures.

3.4.1 Vegard’s Law: Ternary Compounds

Let us now demonstrate how we can design a heterostructure with a particular

bandgap. This is easiest illustrated by an example, given below and based on a
ternary compound.

Example: What mole fraction x of In in InxGa1−xAs will

result in a material that emits light at 1 lm wavelength?
Solution: The compound InxGa1−xAs is made up of GaAs and
InAs. We assume that the bandgap property is a linear
interpolation of the bandgaps of GaAs and InAs. The
energy corresponding to 1 lm light emission is
1.24 eV-lm/1 lm or 1.24 eV, so that the desired bandgap is
1.24 eV at room temperature. Using the data from
Table 3.1, the equation
1.24 eV = xEg(InAs) + (1 − x)Eg(GaAs) = x0.36 + (1 − x)
(1.43) gives x = 0.17. Thus, a mole fraction of In of
x = 0.17 will give a material with a bandgap of 1.24 eV.

Let us look at another example calculating the property of an existing

semiconductor.
38 3 Semiconductors as Laser Materials 1: Fundamentals

Example: What will the lattice constant be of In0.17Ga0.83

As?
Solution: In the same way that energy gaps average,
lattices constants average. In this case, the lattice
constant a of In0.17Ga0.83 As will be 0.83a(InAs) + 0.17a
(GaAs) = 5.7222 Å, where a(compound) represents the
lattice constant of that compound.

Notice that of course the total number of Group III and Group V atoms are the
same, since semiconductors have equal numbers of Group III and Group V atoms;
for example the compound In0.2Ga0.1As, which has more Group V than Group III
atoms, is certainly not a semiconductor and in all likelihood could not be fabricated
at all.
This linear interpolation between binary compounds is called Vegard’s law and
serves as a very useful first approximation for how we design material composition
for a given bandgap and lattice constant. In general, for a property Q of a ternary
alloy A1−xBxC,

QðA1x Bx CÞ ¼ ð1  xÞQðACÞ þ xQðABÞ ð3:3Þ

where Q(AC) and Q(AD) are the properties of the associate binaries, In practice,
what is usually done is to approximate the composition for a particular bandgap by
some kind of estimation technique, such as this one. Then the material is grown,
and the composition is measured. The small variations in the composition are
corrected in subsequent growths. (How the material is grown is discussed in
Sect. 3.5.1, upcoming, and in Chap. 10).
From Fig. 3.2, a linear interpolation is perfectly appropriate to approximate the
properties of In1−xGaxAs. By adjusting the composition of the heterogenous
semiconductor, the bandgap, refractive index, and lattice constant can be selected.
The power and the utility of these compounds are the ability to engineer properties
(such as bandgap, refractive index, and lattice constant) to whatever is required by
mixing together Group III and Group V atoms. Ternary compounds (such as In1
−xGaxAs) have one degree of freedom (the fraction of Ga atoms) and so by picking a
lattice constant, the band gap is specified. Quaternary compounds (like In1−xGaxAs1
−yPy) have two degrees of freedom, and so (within certain limits) can independently
pick both bandgap and lattice constant. This freedom allows for design of layers
that can be grown on InP with the desired strain and bandgap.
A broad range of materials with different bandgaps (or wavelengths) can be made by
making heterostructures or combinations of binary compounds. This averaging process
consists of randomly arranging group different Group III atoms on Group III sites, and
Group V atoms on Group V sites as pictured in Fig. 3.3. The whole compound is
always constrained to having equal number of group III and group V atoms.
3.4 Determining the Band Gap 39

3.4.2 Vegard’s Law: Quaternary Compounds

Please look again at Fig. 3.2 shows the bandgap and lattice constant of the four
binaries. Bounded by the four binaries of Table 3.1, it is apparent that a range of
bandgaps (from 0.36 eV of InAs to 2.3 eV for GaP) can be achieved on a range of
lattice constants from 5.45 to 6.05 Å, and in particular lattice-matched to InP
(5.86 Å). How does the parameter (lattice constant, band gap, or effective index)
depend on composition for these quaternaries?
The basic result, which we will present here, is that for the quaternary A1
−xBxCyD1−y the property Q(A1−xBxCyD1−y) is given by

Qðx; yÞ ¼ xyQðBCÞ þ xð1  yÞQðBDÞ þ ð1  xÞðyÞQðACÞ þ ð1  xÞð1

 yÞQðADÞ ð3:4Þ

This formula gives a good start to get a fixed bandwidth, based on the assumption
of perfect linear interpolations between the binaries. While this formula gives a
good first-order approximation, usually slight refinements of composition are
necessary to obtain the exact desired property. A careful look at Fig. 3.2 shows that
dependence of properties on composition is rarely exactly linear.

3.5 Lattice Constant, Strain, and Critical Thickness

Now that we have discussed growing a material with given properties like bandgap, let
us focus in this section on the growth of thin films on a substrate. Thin films are
important because the vast majority of lasers are made by depositing thin films on a
substrate to form quantum wells. Hence, what happens when thin films are deposited on
a substrate—both to their electronic properties and physically—is extremely important.
The lattice constant is the fundamental size of the unit of a semiconductor. A mismatch
in lattice constant between the thin film and the material it is being grown on (the
substrate) causes strain in the material. Just like a spring when it is compressed or
stretched, is strained and exerts force to return to its desired dimension, a layer of material

Fig. 3.4 An SEM of a semiconductor quantum well structure. The active region consists of
quantum wells surrounded by barrier layers, with the entire stack less than 1400 Å total. The thin
films have to match the lattice constant of the substrate within a few percent
40 3 Semiconductors as Laser Materials 1: Fundamentals

deposited on a material of different lattice constant also is strained. A strained layer cannot
be grown indefinitely—when it is grown too thick, the atomic bonds will break (or the
springs will pop back to their normal size), creating dislocations, or missing atomic bonds.
The maximum thickness a strained layer can be grown without incurring dislocations is
called its critical thickness and depends on the degree of lattice mismatch in the material.
When growing these thin layers which are used in lasers, strain and critical thickness are
very important, because it is imperative to good laser performance to have a low defect
density. Dislocations resulting from strain are a kind of material defect. Figure 3.4 shows
some of the thin layers forming the quantum wells that define the laser active region.

3.5.1 Thin Film Epitaxial Growth

For these devices to emit light, they have to be assembled from nearly perfect crystals.
Imperfections, like missing atoms or extra atoms, create recombination centers which
cause carriers to recombine and create heat, rather than light. This engineering
requirement that semiconductor lasers be nearly perfect crystals is part of the reason
that fabrication of semiconductor lasers is half science and half engineering (with the
growth of them being half art!). However, it also imposes a specific requirement on the
lattice constant of these layers. For devices to work as emitters, these semiconductors
thin films need to match, quite closely, the lattice constant of the substrate.
The active semiconductor layers are grown on a semiconductor wafer, called a
substrate (InP is a typical substrate). All of the various methods for semiconductor
growth (molecular beam oxide, MBE, or metallorganic chemical vapor deposition,
MOCVD) deposit atoms onto the existing substrate, with the atoms bonding
one-by-one, atomically, to the existing layers.
Let us examine what happens when a layer of material that is not quite the same
lattice constant is deposited.
One analogy is stacking foam bricks of one size on a wall of bricks of a different
size. If the size of the bricks being stacked is only slightly different than that the
bricks already on the wall, then the new bricks can be squeezed or stretched slightly
but fit in, matched brick-by-brick, to the bricks already in the wall. This is called
strain which is induced in the new layer.
If the new bricks, or new material, are much larger than the substrate, then it is
impossible to line up brick-by-brick; nature’s solution is then to leave a brick (or a
bond) out, and henceforth, match up the new bricks properly. This omitted brick, or
atom, is called a dislocation. These dislocations (missing or extra atoms) are fatal for
lasers; they act as non-radiative recombination sites, which compete with radiative
recombination to consume carriers. Figure 3.5 shows both strain and dislocation.
Quantitatively, the strain f in a thin film is given by the difference in lattice
constants between the substrate asubstrate and the film afilm as
afilm  asubstrate
f ¼ : ð3:5Þ
asubstrate

The strain f is typically reported as percentage. If the film material lattice constant is
larger than the substrate, the film is said to be compressively strained; otherwise, it
is said to be tensile strained.
3.5 Lattice Constant, Strain, and Critical Thickness 41

Fig. 3.5 Strain and dislocation. The left side shows that strain results in a distortion (stress)
distributed on each of the unit cells (or foam bricks) deposited. On the right, dislocations suffer
some energy penalty from missing bonds at the interface but thereafter are perfect crystals. These
dislocations at the interface act as non-radiative recombination sites and are deleterious to lasers

Typically, layers have can strains up to about 1% or a little more. A modest

amount of strain can be beneficial in improving the speed or other properties of the
device, as we will discuss in later chapters.

3.5.2 Strain and Critical Thickness

As one can imagine, the more atomic layers (or springs, or bricks) that are stacked
together, the more energy it takes to hold them squeezed into their non-equilibrium
42 3 Semiconductors as Laser Materials 1: Fundamentals

shape. These thin layers can only be grown up to a certain thickness before dis-
locations start to appear. This thickness is called the critical thickness and is of great
important to lasers. Quantum well lasers are made up of quantum wells, which are
thin (*100 Å) layers of one material sandwiched between other, thin layers of
material. These layers are usually not quite lattice-matched to their substrate, and so
it is important to be aware of the strain and the material limits on how thick these
layers can stack up.
One way to envision this is to imagine that nature will pick the lowest energy
solution. If there only a few atoms in a thin layer, they will be strained, and match
up to the substrate; if there are a large number of atoms in a thick strained layer, it is
energetically favorable to have a few broken bonds in one layer, and thereafter grow
a relaxed layer with its equilibrium lattice constant not matched to the substrate.
This model of critical thickness, which is based on comparison of dislocation
energy and strain energy, is based on the thermodynamic equilibrium of minimum
energy. In reality, the layers do not know how thick they will be when they are
initially grown. Starting with a few strained layers already, there is a kinetic barrier
to switching to a dislocation after fifty or a hundred layers of atoms have been
grown. Because of this, layers substantially thicker than the critical thickness can
usually be grown without dislocation in practice. But a lot depends on how (de-
position rate, and deposition temperature) the layers are deposited.
There are several models of how thick these layers can be (the critical thickness
tc), based on the degree of strain f, and the lattice constant a. The simplest is
afilm
tc ¼ ð3:6Þ
2f

For example, an InGaAs layer with a lattice constant of 5.67 Å grown on a GaAs
substrate with a lattice constant of 5.65 Å would have a compressive strain of
0.35%, and a critical thickness of 800 Å. Such numbers are typical for critical
thickness dimensions.
This strain is cumulative, so alternating layers of GaAs and InGaAs on a GaAs
will allow a total of 800 Å of InGaAs to be grown. However, there is also a strategy
used in quantum wells to allow as many different thin layers to be grown as desired.
Strain compensation (used in multiple quantum well lasers) pairs compressively
strained layers with tensilely strained layers. The net effect is that the strain cancels
and very thick layers can be grown. Figure 3.6 shows a typical laser set of quantum
wells and barriers, with and without strain compensation.

Example: What is the critical thickness of a layer of

In0.17Ga0.83 As grown on a GaAs substrate?
Solution: As we see from the previous example, the lattice
constant a of In0.17Ga0.83As is 5.7222 Å. Hence the strain
is (5.6532 − 5.7222)/5.6532, which is compressive,
3.5 Lattice Constant, Strain, and Critical Thickness 43

Fig. 3.6 Strain and strain compensation, illustrated with typical quantum well stacks

since the lattice constant of the film is greater than that

of the substrate.
The critical thickness is 5.7222/(2 * 0.0102), or 234 Å.

3.6 Direct and Indirect Bandgaps

This chapter is intended to cover, mostly qualitatively, the use of semiconductor

materials in lasing systems and a description of fundamental limits and constraints.
Properties such as band gap and lattice constant are determined by the composition of
the material, and thin films (though they can confine electrons and holes to very high
density and facility lasing) have certain additional constraints, based on the amount of
strain the material can tolerate. The very basic question we will address before
completing this chapter is why some semiconductors can be lasers (such as GaAs and
InP, and associated compounds) while others cannot (like elemental Si or Ge).
To answer this qualitatively, let us return to the discussion on band gap in
Sect. 3.2, and delve a little bit deeper into what the band structure of a solid really
means.
44 3 Semiconductors as Laser Materials 1: Fundamentals

In this section, we take GaAs as an example of a direct bandgap semiconductor.

In fact it is an important laser substrate, particularly for 980 nm pump lasers and
shorter wavelengths (based on the GaAs/InGaAs/AlGaAs) material system. The
substrate for longer wavelength materials (around 1.3 to 1.6 lm) is InP, but
everything discussed about GaAs applies to InP as well.

3.6.1 Dispersion Diagrams

The fundamental perspective is that the energy levels in a system are given by the
solutions to Schrodinger’s equation, Eq. 3.7.

h2 r2 w
þ Uðx; y; zÞw ¼ Ew: ð3:7Þ
2m
An atom, for example, has discrete energy levels. These levels come out of
Schrodinger’s equation when the atomic potential (due to the protons at the
nucleus) is put into the equation. (The energy levels which emerge predict all the
atomic shells observed (s, p, d, f, and so on) and can be considered a major
validation of quantum mechanics! These shells can be experimentally seen by
exciting the atom with X-rays or electron beams, then watching the X-rays emitted
from the excited atom.) In Fig. 3.7 is a schematic illustration showing how the
energy levels in an atom become bands in a solid.
When this equation is applied to a three-dimensional periodic array of atomic
potentials (a semiconductor crystal) the math gets complex, but the result is well
known. The energy levels in the crystal become energy bands in the solid, with a
band gap in between them. The significance of semiconductors is that each band
holds four electrons/atom in the crystal, and semiconductors have a valence of four.
This leads to a mostly empty band and a mostly fully band and all the desirable

Fig. 3.7 Atomic energy levels become energy bands when the atoms are placed in a
three-dimensional crystal
3.6 Direct and Indirect Bandgaps 45

properties of semiconductors, such as control of conductivity and carrier species

(electrons or holes) through doping.
Schrodinger’s equation has associated with each energy level En a k-vector (kx,
ky, kz). In 3D, solutions of the equation typically have a form exp(jkxx + jkyy +
jkzz), where k (as we discuss above) is fundamentally defined as 2p/k, where k is the
spatial wavelength in the direction specified.
An important dimension of the energy levels in a solid is how they depend on the
k-vector. Intuitively, it makes sense that the electronic energy depends on the
wavelength and direction associated with the electron in material. Electrons trav-
eling in different directions interact with the crystal in different ways.
Usually, this relationship is captured in a dispersion diagram, which encapsulates
the relationship between E and k in several different directions and will illustrate
why Si and Ge are not good semiconductors.
Figure 3.8 illustrates a real space and reciprocal space, version of a unit cell of
GaAs (which is a cubic lattice). The real-space version gives the dimension of the
unit cell; the reciprocal space illustrates the appropriate k-vector associated with
electronic wavelengths from 0 (delocalized) to 2p/a (localized to the crystal).
The special points labeled in Fig. 3.8 are the zone center (C, gamma point), face
center X (chi), and corner (L) point. Typical dispersion diagrams for cubic semi-
conductor systems show E versus k starting with k = 0 and going toward both X and
L. The dispersion diagram of a semiconductor captures the E versus k dependence
of the solid. Since k includes direction, the dispersion diagram is plotted as a
function of direction. The graph in Fig. 3.9 shows E versus k for GaAs, where the k-
vector starts at 0 (a delocalized electron with a very long wavelength), and heads
toward the center of the face of crystal (X) (indicate by Miller indices as the
(100) direction, and toward the corner of the crystal (L), in the (111) direction). The
key point of this diagram is the energy depends both on the magnitude of k and the
direction associated with the carrier. The other major substrate for optoelectronics,
InP, looks much like GaAs; it has heavy and light hole bands, a split-off band, and
is a direct band gap.

Fig. 3.8 Right, a real-space lattice picture showing a unit cube (shown in more detail in Fig. 3.3).
Left, the reciprocal space picture, in which each dimension is drawn in units of 2p/a. The
dispersion diagram shown in Fig. 3.9 shows the E versus k curve, with k in the direction indicated
46 3 Semiconductors as Laser Materials 1: Fundamentals

Fig. 3.9 Band structure of GaAs. Notice that there are several bands in the valence band, and that
the band gap differs at different k values. From Handbook Series on Semiconductor Parameters,
M. Levinshtein, S. Rumyantsev, M. Shur, ed., © 1996, World Scientific Pub. Co. Inc., used by
permission

Note these are only typical directions in a crystal—there are many others, and
some may be of interest, particularly considering transport in a given direction.
However, they give a picture of the E versus k curve and illustrate the fundamental
difference between direct bandgap semiconductor and indirect semiconductors.
Usually, what we are most concerned with is the smallest distance between the
highest valence energy level and the lowest electronic energy level—the band
gap. Since electrons (and holes) settle to their lowest energy state, this is where
most of the carriers will be and between where recombinations will take place.

3.6.2 Features of Dispersion Diagrams

The dispersion diagram has much more useful information than just the band
gap. First, let us take a look at the conduction band of GaAs, shown in Fig. 3.9. The
conduction band has various energies depending on direction and magnitude of k,
but the lowest energy is at zone center (k = 0, or k very large—a delocalized
electron). Most electrons injected in a GaAs semiconductor will have a k value near
0, since that value corresponds to their lowest energy point.
The valence band has an interesting structure—in fact, it has three bands, known
as the heavy hole band, the light hole band, and the split-off band. These bands all
have slightly different density of states, associated effective masses of the carriers in
the band, and even band gaps (as we will quantify in the next chapter). In practice,
the material will be dominated by the lowest energy band with the highest density
3.6 Direct and Indirect Bandgaps 47

Fig. 3.10 Band structure of Si. The figures show that the minimum in the conduction band lies in
L direction, toward a face. From Handbook Series on Semiconductor Parameters, M. Levinshtein,
S. Rumyantsev, M. Shur, ed., © 1996, World Scientific Pub. Co. Inc., used by permission

of states (which, as we will see in the next chapter, is the heavy hole band in GaAs).
Information about the density of states is actually in the E versus k curve as well.
This band structure is characteristic of unstrained GaAs. If a semiconductor is
strained, some of the symmetries are broken, and the heavy and light hole bands are
no longer at the same energy. Breaking this degeneracy between the heavy and light
hold bands increases the differential gain and hence, speed of the device, as we will
see in Chap. 8.
Many of the III–V semiconductors, particularly InP, have similar band
structures.

3.6.3 Direct and Indirect Band Gaps

In the valence band, holes float up. Most of the holes will be also at zone center—
the minimum in the conduction band is directly above the minimum (hole) energy
in the valence band. This is crucially important for a laser material for the following
reason.
Qualitatively, both electrons and holes have momentum associated with them,
and momentum, like energy, needs to be somehow conserved in an interaction. The
momentum associated with an electron or hole (or photon) in a crystal is given by
the de Broglie relation

p ¼ hk: ð3:8Þ

When a recombination event occurs, an electron changes from a state in the

conduction band to a state in the valence band, resulting in a net change of
momentum, hDk, and a change in energy about equal to the band gap. The energy is
48 3 Semiconductors as Laser Materials 1: Fundamentals

taken up by the emitted photon, but the emitted photon has very little momentum.
In order for momentum to be conserved in a radiative recombination, either Dk has
to be zero, or momentum has to be conserved some other way (through, e.g., lattice
vibrations (phonons) which are discussed in Sect. 3.6.4). Involving three elements
(an electron, hole, or phonon) makes this radiative recombination much less likely.
This requirement that Dk equal zero requires that the semiconductor be a
direct-band-gap material, with the minimum in the conduction band being directly
above the minimum (hole) energy in the valence band. In practice this means that
k = 0 for both electrons and holes.
Semiconductors like GaAs and InP, and most of their heterostructures, such as
InGaAsP, are direct band gap semiconductors, where valence band and conduction
band energies have minima at the same k-value. The semiconductor Si, whose
dispersion diagram is shown in Fig. 3.10, is not a direct band gap material. As can
be seen, the conduction band minimum does not overlap the valence band (electron)
minimum at k = 0. Therefore, Si can never be a good laser or light-emitting device,
no matter how developed process technology or how inexpensive and available Si
wafers become. Forever, we are doomed to expensive and beautiful III-V
substrates.
Interestingly, Si can be an excellent light detector. When absorbing light,
momentum is conserved by the interaction of phonons (lattice vibrations); as the
light is absorbed, in addition to the generation of electron-hole pairs, lattice
vibrations in the atoms are created (or absorbed). This process is much more
efficient for absorption than for recombination, and so Si can detect light without
being able to readily generate light.

3.6.4 Phonons

The lattice vibrations mentioned in the previous section are called phonons and they
serve a useful role in allowing some recombinations and absorptions between
carriers of different k-values. A semiconductor crystal consists of a bunch of atoms
bonded together, but at temperatures above 0, each of these atoms is vibrating a bit
about its equilibrium position. As the temperature increases, the atomic vibrations
increase. These lattice vibrations serve to soak up excess momentum in many
carrier-light interactions.

Fig. 3.11 Short wavelength and long wavelength phonons

3.6 Direct and Indirect Bandgaps 49

Fig. 3.12 Spectrum of phonons in GaAs, showing wide range of k’s (x-axis) over very small
energies (y-axis). Note the range of 10THz corresponds to an energy of 40 meV. From Journal of
Physics and Chemistry of Solids, J. Cai, X. Hu, N. Chen, v. 66, p. 1256, 2006, used by permission

One useful conceptual picture is to imagine the atoms bonded atom-to-atom by

little springs. As one atom vibrates, it pushes the atom next to it a bit away from its
equilibrium position, which pushes on its neighbors, and so on. The picture is
illustrated in Fig. 3.11. Now, the vibration becomes a crystal-wide phenomena with
its own wavelength and k-vector, and the E versus k curves of these vibrations can
be plotted.
The phonon band structure for GaAs is given in Fig. 3.12. Note the scale of the
x-axis. These phonon vibrations have fairly low energy (*30 meV in GaAs), but
span the entire range of k-vector, and hence, momentum.
An absorption event in Si is facilitated by phonon interaction. A 700 nm photon
is absorbed in Si, transitioning with a Dk of about 2/3 p/a. The change in system
momentum is taken up by either an optical phonon emission, resulting in an ab-
sorption energy *30 meV below or optical phonon absorption, resulting in an
absorption energy *30 meV above 1.77 eV (the energy equivalent of 700 nm).

3.7 Summary and Learning Points

A. The wavelength of light which is emitted from a semiconductor wafer depends

on the bandgap of the material and is given by 1.24 eV-lm/Eg(eV) = k (lm).
B. The family of III-V semiconductors made with Ga, As, In, P, Al, and some
other materials, can be made into heterostructures (like In0.25Ga0.75As), whose
properties (like band gap, refractive index, and lattice constant) are (approxi-
mately) the weighted average of the binary constituents.
C. Because properties are roughly the weighted average of binaries, (the
InP/InGaAsP) material system can access wavelengths spanning the
50 3 Semiconductors as Laser Materials 1: Fundamentals

telecommunications range (from 1.3 to 1.6 lm) and still be lattice matched to
an InP substrate.
D. Know Fig. 3.2 (the graph of the binary III-V compounds lattice constant and
band gap)!
E. Lasers are made up of thin layers (quantum wells) stacked on one the other.
Stacking material with mismatched lattice constants creates strain (distortion of
the layer) or dislocations (missing atomic bonds).
F. Dislocations are fatal to lasers. It is very important that the layers be grown so
as to minimize dislocations.
G. There is a critical thickness above which dislocations are created and below
which the thin layer is strained.
H. Critical thickness limitations can be overcome by strain compensation.
I. Dispersion diagrams express the E versus k dependence of carriers and phonons
in semiconductors. The propagation constant k is related to the momentum of
the carrier or phonon, either electron or hole.
J. GaAs and InP are direct bandgap semiconductors, which readily emit light. Si
and Ge are indirect bandgap semiconductors, which do not readily emit light
and cannot in general be used for lasers.
K. A direct band gap semiconductor has its minimum electron energy exactly over
the minimum hole energy on an E versus k diagram. Recombination between an
electron and hole (emitting a photon) will involve no change in momentum.
This is necessary, because photons carry very little momentum!
L. Phonons are quanta of lattice vibrations. In absorption of light in indirect band
gap materials, they ensure that moment and energy are conserved.

3.8 Questions

Q3:1. What property of a semiconductor determines the wavelength of photons

emitted by a particular semiconductor?
Q3:2. What is the name of the process by which semiconductors emit light?
Q3:3. Look at Fig. 3.2. What is the lattice constant (in Å) for InP? What is the
wavelength corresponding to the energy gap for InP? What is the corre-
sponding energy band gap in eV?
Q3:4. Look at Fig. 3.2. Suppose a semiconductor were made out of In, Al, Ga,
and As. Estimate the range of energies the band gap could span and the
range of lattice constants that it could span (hint: look at the properties of
the binaries).
Q3:5. Why is an InP-based laser particularly useful for optical communications
with optical fibers?
Q3:6. True or False. As the mole fraction of In increases in In1−xGaxAs, the mole
fraction of Ga decreases.
Q3:7. What is Vegard’s Law? What is it used to calculate?
Q3:8. What is a thin film? How thick is a thin film (typically, in nm)?
3.8 Questions 51

Q3:9. What is the lattice constant of a material?

Q3:10. What is the strain of a material?
Q3:11. Define in your own words the critical thickness of a semiconductor.
Q3:12. True or False. A thin film grown on a material will be strained if its lattice
constant is different than the substrate on which it is grown.
Q3:13. True or False. Dislocations can occur at the when thin films are grown on
bulk material and serve to relieve strain at the interfaces.
Q3:14. True or False. As the lattice mismatch between a thin film and a substrate
decreases, the strain exhibited in the thin film also decreases.
Q3:15. What is a typical value of a strain of a thin film in a semiconductor laser
(%)?
Q3:16. True or False. As the degree of strain increases, the critical thickness
decreases.
Q3:17. What is a direct bandgap semiconductor? List two examples.
Q3:18. What is an indirect bandgap semiconductor? List two examples.
Q3:19. True or False. As the value of the propagation constant increases (for an
electron or hole or photon), the value of the momentum increases.
Q3:20. What is a phonon?
Q3:21. Explain in your own words how indirect band gap semiconductors, like Si,
can absorb light while conserving energy and momentum.

3.9 Problems

P3:1. The refractive index of GaAs is 3.1, with a band gap of 1.42 eV. The
refractive index of InAs is 3.5, with a band gap of 0.36 eV. (a) Find the
composition of InxGa1−xAs that has a refractive index of 3.45. (b) Find the
band gap at this composition.
P3:2. The data below gives data about the InGaAlAs system.

Compound Bandgap (eV) Lattice constant (Å)

InAs 0.36 6.05
GaAs 1.42 5.65
AlAs 2.16 5.66

An In0.5Ga0.3AlxAs quantum well is grown on InP (a = 5.89 Å).

(a) What is x?
(b) Estimate the band gap of the quantum well, treating it as a bulk
material.
(c) What is the strain of this material when grown on InP (magnitude, and
compressive or tensile)?
52 3 Semiconductors as Laser Materials 1: Fundamentals

(d) Estimate how thick it can be grown without dislocations.

P3:3. Using the data of Table 3.1, find the composition of an InxGa1−xAsyP1−y
alloy that has a band gap of 1.560 lm and a strain of +1% when grown on
InP. (Note: while it is certainly possible to do this analytically, use of a
spreadsheet or Matlab may facilitate a much quicker solution.)
P3:4. As noted in Sect. 3.6.4, phonons mediate absorption of light in indirect
band gap materials. Because of this, materials can actually absorb from
wavelengths ‘slightly’ below the band gap, due to phonon absorption.
Qualitatively sketch the absorption coefficient of Si (Eg = 1.12 eV) keeping
in mind that a absorption can take place slightly below the band gap, and
that slightly above the band gap, two mechanism for photon absorption
(involving phonon emission and phonon absorption) are available.
P3:5. (This problem is adapted from Kasap1 and is used by permission). Fig-
ure 3.2 represents the band gap Eg and the lattice parameter a in the qua-
ternary III-V alloy system. A line joining two points represents the changes
in Eg and with composition in a ternary alloy composed of the compounds
at the ends of that line.
The compound semiconductor In0.53Ga0.47 As has the same lattice con-
stant as InP and can be alloyed with InP to obtain a quaternary alloy,
InxGa1−xAsyP1−y, whose properties lie on the line between In0.53Ga0.47 As
and InP. Therefore, they all have the same lattice parameter as InP but
different bandgaps.

(a) Show that quaternary alloys are lattice matched when y = 2.15(1 − x).
(b) The band gap energy Eg in eV for InxGa1−xAsyP1−y lattice matched to
InP is given by the empirical relation,

Eg ðeVÞ ¼ 1:35  0:72y þ 0:12y2

Calculate the fraction of As suitable for a 1.55 lm emitter.

1
S. O. Kasap, Optoelectronics and Photonics: Principles and Practices. Upper Saddle River, NJ:
Prentice Hall, 2001.
Semiconductors as Laser Materials 2:
Density of States, Quantum Wells, 4
and Gain

‘If it cannot be expressed in figures, it is not science, it is

opinion…’’
—Robert A. Heinlein

Abstract
In the previous chapter, we discussed the direct properties of semiconductors
that are relevant to lasers, including band gap, strain, and critical thickness. In
this chapter, we talk about the ideal properties of semiconductors and
semiconductor quantum wells, including density of states, population statistics,
and optical gain, and we develop quantitative expressions for these that are based
on ideal models. These will lead up to a qualitative and quantitative expression
of optical gain.

4.1 Introduction

The general idea of semiconductor lasers formed by quantum wells which confine
the carriers to facilitate recombination was described in Chap. 3, along with the
various features of the band structure that facilitate recombination (direct vs.
indirect band gap) and the limits on strained- and unstrained-layer growth of
quantum well layers. However, to really focus on the precise effect of material,
composition, and dimensionality (bulk vs. quantum wells vs. quantum dots) on
optical gain, we need to develop expressions for carrier density and carrier prop-
erties. In this chapter, we develop a quantitative basis for carrier density, and optical
gain in reduced dimension structures which will let us quantitatively understand the
benefits of quantum wells (and other reduced-dimensionality structures) for lasing.
By the end of the chapter, we will understand optical gain in terms of current
density in a semiconductor.

© Springer Nature Switzerland AG 2020 53

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_4
54 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

4.2 Density of Electrons and Holes in a Semiconductor

In this chapter, we are going to drop, briefly, the reality of semiconductors and just
consider an ideal semiconductor. We would like to determine the dependence of
electron (and hole) density in a semiconductor as a function of energy and tem-
perature. This energy band function is going to be critical in determining the optical
gain of a semiconductor.
The first step is to calculate the density of electronic states. Here, the logic is
identical to that we used in Chap. 2 in finding the density of states of photons in a
black body. Take a cube of length L of semiconductor sitting in space, and consider
which wavelengths k or propagation vectors k will fit precisely in that cube.
The original assumption is that an electron, just like a photon, has an allowed
wavelength that fits precisely into this imaginary cube of semiconductor material.

L
kallowed
x;y;z ¼
mx;y;z
ð4:1Þ
mx;y;z 2p
kallowed
x;y;z ¼
L
The difference between this derivation and the photon derivation is the changed
energy -versus k relation for electrons versus photons. For photons (as in Chap. 2),
Planck’s constant relates energy and optical frequency or wavelength, as in
E ¼ hv ¼ hck.
For electrons, the relationship is different. One of the fundamental ideas of
quantum mechanics is wave–particle duality: electrons are particles, having both
mass m and an energy E; and waves, with a wavelength k (or propagation constant
k = 2/k). In free space, the energy is related to the propagation constant k with the
expression

h2 k2 1 2 p2
E¼ ¼ mv ¼ ð4:2Þ
2m 2 2m
This comes from de Broglie’s relationship between wavelength and momentum
of a particle with mass, mentioned in Chap. 3 and repeated here1:

p ¼ hk ð4:3Þ

The above equation is the fundamental description of a particle wavelength.

From those two equations, we can obtain the k. versus E relationship for a particle
(like an electron or hole) to be:

1
This idea was put down in deBroglie’s Ph.D. thesis. Would that you would have a thesis of such
significance!
4.2 Density of Electrons and Holes in a Semiconductor 55

pffiffiffiffiffiffiffiffiffi
2mE
k¼ ð4:4Þ
h
As in Chap. 2, the differential density of points in k-space is the volume in k-
space

VðkÞdk ¼ 4pk2 dk ð4:5Þ

divided by the volume of one point in k-space

Vallowed state ¼ ð2p=LÞ3 ð4:6Þ

giving a number of points in k-space equal to

4pk2 dk L3 k2 dk
DðkÞdk ¼ 3
¼ : ð4:7Þ
ð2p=LÞ 2p2

For each point in k-space, we need to multiply by a factor of two to represent the
two electronic spin states (and hence, two electrons) for each state. To write Eq. 4.7
in terms of energy, we need expressions for both k and dk in terms of energy.
Differentiating Eq. 4.4 we obtain

2m dE ð4:8Þ
dk ¼ pffiffiffiffiffiffiffiffiffi
h 2mE

Plugging in k and dk in terms of energy back into Eq. 4.7, and then dividing by
L3 (to get the density of states per unit real space volume), we obtain,
3 1
ð2mÞ2 E2
DðEÞdE ¼ dE ð4:9Þ
2p2 h3
We have gone through this discussion rather quickly because we want to talk
more about the physics rather than the math, and it closely echoes the
density-of-state discussion of the photons in the black body.
The important thing is the physics that Eq. 4.9 expresses. In a three-dimensional,
bulk crystal, the density of states is proportional to both the square root of the
energy and the (effective) mass of the carrier, to the 3/2. Later, we will compare this
to the density of states in a thin slab of material (a quantum well) and see one of the
important advantages that these quantum wells possess.
56 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

4.2.1 Modifications to Eq. 4.9: Effective Mass

Equation 4.9 has mass in it. The E-versus-k (or E-vs.-k) formula in a semiconductor
crystal is more complicated than the free-space electron, because electrons or holes
with varying effective wavelengths interact in different ways with the periodic
atoms in the crystal (see Sect. 3.6). The potential energy term, involving the
interaction of the charge carrier and the atomic cores, is very dependent on the k-
value of the charge carrier.
Inside a crystal, the allowed energy is modified from the free space description
above Eq. 4.2 by the presence of the atoms of the crystal. However, the formula for
density of states is essentially correct if we replace the free electron mass m with an
effective mass m*. This effective mass includes the effect of the crystal on the
electrons in a single-lumped number. This approximation is especially true toward
the bottom of the band gap where most of the carriers are. All the details of the
interaction can be neglected with the net effect of being in a crystal replaced by a
modification to a single mass number.
The effective mass is defined by the E-versus-k curve as

1 1 @2E
¼ ð4:10Þ
m h2 @k2

This definition holds for any direction (x, y, and z) and any value of E. The
dispersion diagram, effective mass, and density of states are all essentially
descriptions of the same thing.
If the E-versus-k curve on the dispersion diagram is sharper, the effective mass of
those carriers is lighter. Take a look, for example, at the dispersion diagram for
GaAs in Fig. 3.9 in the previous chapter. The effective mass for electrons in GaAs
is about 0.08 times the electron rest mass, and the effective mass for holes is about
0.5 m0. This is clear from the dispersion diagram: at zone center (k = 0), the
conduction band curvature is much sharper than the valence band, which is why
conduction band electrons are much lighter. Consequently (because the density of
states is proportional to mass), the density of states in the conduction band is much
lower.
The effective mass defined in Eq. 4.10 depends on the direction of k, and there
are effective masses for each direction. In addition, there are different effective
masses appropriate for conduction (involving the application of outside fields) and
for density of states/population statistics (in Eq. 4.9) which do not involve a par-
ticular direction. In the valence band, there are several bands (heavy hole and light
hole) for the carriers to occupy, and each of these also has a different effective mass.
The effective mass for conduction in general is given by
 
3 1 2
¼ þ  ; ð4:11Þ
mconduction ml mt
4.2 Density of Electrons and Holes in a Semiconductor 57

where ml and mt are the E-versus-k masses in directions parallel, and transverse to,
the appropriate minimum energy valley, respectively. For example, in Si, where the
minimum energy is in the (100) direction, the longitudinal direction is (100), and
the transverse directions are the (011) direction. This expression effectively aver-
ages the effective mass. In direct band gap semiconductors, with the minimum
energy at k = 0 (a delocalized electron), the effective mass for conduction and
density of states is simply the effective mass.
The effective mass for density of states (Eq. 4.9) does not involves a direction. It
is given by the geometric mean of the effective masses in longitudinal and trans-
verse directions as below.
1
mdensity
of
states ¼ ðml m2t Þ3 ð4:12Þ

The situation is more complicated in the valence band, where there are several
sub-bands, each of which can contain carriers (see discussion in Fig. 4.1). In
2
Eq. 4.10, the term @@kE2 is a function of the particular band E(k) to which we are

Fig. 4.1 Qualitative picture of density of states for both electrons and holes in GaAs, showing
conduction band and valence light and heavy hole bands and the split-off band
58 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

referring. For example, the heavy hole effective mass depends on the curvature of
the heavy hole band.
Combining the effective masses of the various bands in the valence band
requires another average. Few carriers are in the split-off band because it is higher
in energy than the other two bands. The appropriate average of the heavy hole and
light hole bands for calculating the hole effective mass is

3=2 3=2 2
mdensity
of
states  ¼ ðmhh þ mlh Þ3 ð4:13Þ

The central point here is that the effective masses used for equations for pop-
ulation statistics, and for conduction, are appropriate averages of the effective
masses determined by the curvature of E-versus-k curves. For laser applications, the
effective mass for conduction does not matter much, since the speed of the device is
not determined by carrier transport. Instead, the effective mass for population
statistics influences things like threshold current density and the like. However, in
high-speed electronics, effective mass for conduction is the critical parameter, and it
is for that reason that electronics designed for higher frequency operation (like GHz
receivers for cell phones) typically uses Ge- or GaAs-based semiconductors which
have much lower effective-mass carriers (particularly electrons).
One quick example will illustrate these calculations

Example: In Ge, with an energy minimum at 0.66 eV in the

(111) direction, the electron transverse and longitu-
dinal effective masses are
m*e,l = 1.64
m*e,t = 0.082
Estimate the effective mass appropriate for population
statistics and for conduction.

Solution: The conduction effective mass, given by

Eq. 4.11,
 1 is 2 
3
m ¼ 1:64 þ 0:082 , or m*conduction = 0.12 m0. The
conduction
density-of-state mass is given by Eq. 4.12, with
mdensity
of
states ¼ ð1:64  0:082  0:082Þ1=3 ¼ 0:22 m0 .

The take-away message of this section is that there is no single electron mass,
but instead it depends on direction, band, and context (conduction or density of
states). The above expressions relate the effective masses defined by Eq. 4.10 to the
effective masses that could be experimentally extracted though cyclotron resonance
measurements or conductivity measurements. For lasers, the relevant effective mass
is density-of-state effective mass.
4.2 Density of Electrons and Holes in a Semiconductor 59

4.2.2 Modifications to Eq. 4.9: Including the Band Gap

In addition, the density of states is zero in the band gap of the semiconductor
crystal, and there are different density of states expressions for the electron and the
holes. Shown below is a modified version of Eq. 4.9 in Fig. 4.1, along with a sketch
of density of states, to correctly express this relationship.
Because the density of states is a function of mass, the density of states is lower
for bands with lower effective mass. For example, in GaAs systems, the curvature
of the conduction band is much sharper than the valence band, and therefore, the
effective mass of electrons is lighter and the density of states is lower in the
conduction band.
The valence band of GaAs is actually composed of three bands: the ‘heavy hole,’
‘light hole,’ and ‘split-off’ bands (Figs. 3.9 and Fig. 4.1). The heavy hole band has
a lower curvature, higher effective carrier masses, and larger density of states.
Taking this one step further, because the heavy hole band does have much more
room for carriers, most of the holes will be in the heavy hole band, and the
properties of the holes in GaAs or other III–V materials tend to be dominated by the
properties of this band.
The third band, the ‘split-off’ band is at slightly higher energy than the other two
and does not generally contain many free carriers.
All of the details and complexity of the band structure come about from the
detailed solution of Schrodinger’s equation for a very complex atomic potential.
That particular problem is beyond the scope of the book, but in Sect. 4.3, we look at
the solution of the very simple potential represented by a quantum well structure.
This is a good description to the density of states in a bulk semiconductor. We
need to apply this to the quantum well structures that are commonly used in
semiconductor lasers.

4.3 Quantum Wells as Laser Materials

Let us introduce a quantum well and demonstrate its importance to semiconductor

lasers.
A quantum well is a thin slice of material of a lower band gap, sandwiched
between two other materials of larger band gap. These energy walls confine the
carriers (electron and holes) to stay mostly in the well. In fact, this real ‘particle in a
well’ is an excellent analogy to the classical quantum mechanical example of a
particle in a well.
Figure 4.2 shows both a schematic picture of a well, with the electrons and holes
confined to the slab, a sketch of an electron microscope picture of a laser, showing
materials with different composition forming a set of multiquantum wells (which is
how most lasers are formed) and an scanning electron microscope image of a set of
quantum wells. The particle in a box is out of its box! It is now a useful engineering
construct.
60 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

Fig. 4.2 Above left, a picture of a single quantum well, showing how the electrons and holes are
confined in the quantum well giving rise to quantized energy levels. Below left, a schematic of a
multiquantum laser, showing individual wells, separated by barriers. Right, a scanning electron
microscope image showing quantum wells in an actual laser. Almost all semiconductor lasers are
multiquantum well lasers

These semiconductor quantum wells form confining potentials (or ‘little boxes’)
in which carriers (electrons and holes) are trapped. Because they are confined by the
energy barriers around them, the density of electrons and holes in the same location
is much higher than it would be otherwise. This enhancement of carrier density is
critical in realizing high-performance semiconductor lasers.
It is really impossible to overstate the importance of quantum wells in modern
semiconductor lasers. It is quite difficult to make a working laser at high temper-
ature with a bulk semiconductor material. The unconfined carriers and light would
require much higher current densities to lase. Compared to a bulk p–n junction with
the same current input, the carrier density in the quantum well is much higher and
all of the performance characteristics are much better.
Let us now quantify a bit more what happens to the density of states, and energy
levels, in a quantum well.

4.3.1 Energy Levels in an Ideal Quantum Well

Let us first look at the energy levels in an ideal quantum well of width a, and solve
directly for the energies and wavefunctions of that system, pictured below in
Fig. 4.3.
In Chap. 3, Eq. 3.7 expressed Schrodinger’s equation in a three-dimensional
form. Here, we would like to solve the one-dimensional form of Schrodinger’s
equation, where W is the wavefunction, U is the potential energy function, and En is
the energy eigenvalues.
4.3 Quantum Wells as Laser Materials 61

Fig. 4.3 Picture of the

energy levels and
wavefunction of a particle in
an infinite quantum well.
Outside of the region from 0
to a, the energy barriers are
infinite, and the particle is
constrained to remain in that
range from 0 to a. The lines
show the energy levels, and
the curves indicate the
wavefunctions associated
with them

h2 r2 w
þ UðxÞw ¼ En w ð4:14Þ
2m
This equation can be used to give a very good model to what a quantum well
does to the energy band structure of a semiconductor.
The potential profile of the ideal quantum well above has its potential energy as
U = 0 between x = 0 and x = a, and infinite (with the particle forbidden) outside
that range. The wavefunction W is required to be continuous at the boundary 0 and
a, and the appropriate boundary conditions are that the wavefunction and its
derivative equal 0 at the boundaries of the well.
For this simple case, Schrodinger’s equation can be written as

h2 r2 w
¼ Ew ð4:15Þ
2m

inside the well, which has a solution of the form

WðxÞ ¼ A sinðkz zÞ ð4:16Þ

where A is a currently undetermined constant. This expression is always zero at

x = 0, and equals 0 at x = a if kza is an integral multiple of p, or

kz a ¼ np ð4:17Þ
62 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

Equation 4.17 defines kn and the only remaining variable is A. To evaluate a

value for A, recall that the interpretation of the wavefunction is that W*W yields the
probability density at a particular location in the spatial domain. Thus, the integral
of W*W over the entire permissible domain should be equal to 1, requiring that
particle should be somewhere. Mathematically,

Za
aA2
1¼ A2 sin2 ðnpzÞdz ¼
2
0 ð4:18Þ
rffiffiffi
2
A¼
a

(To simplify evaluating the integral, we recall that the average of sin2(x) or
cos2(x) over any number of integral half periods is equal to ½, and so evaluating the
integral is just multiplying this average by the width of the range (a in this case).
This sort of integral is ubiquitous, so it is worthwhile to remember and apply!).
We now know exactly what the wavefunction W(x) is. By substituting this into
Eq. 4.15, above, we can obtain the allowed energy values (or energy eigenvalues)
that are allowed by Schrodinger’s equation. We get energy eigenvalues of

n2 h2 p2
En ¼ ð4:19Þ
2ma2
Because the particle is confined, the energies of the confined particles are lifted
above the ground state bulk level by En. The narrower the well is, the greater the
lift. This one-dimensional confining potential acts like an artificial atom with dis-
crete energy levels. The steps in the energy level are proportional to the quantum
number, n, squared.

4.3.2 Energy Levels in a Real Quantum Well

Let’s take a two-step approach to understanding a real semiconductor quantum well,

illustrated in Fig. 4.4. First, what happens when the confining potential is non-infinite
and exists for both electrons and holes? Qualitatively, the result is essentially the same.
Energy levels appear in the quantum wells. As these energy levels rise higher and
higher, they eventually escape the confining potential and then appear as part of the
bulk density of states in the ‘barrier’ region around the quantum well. Because the
mass of electrons and holes is different, the energy levels and offsets are different in the
valence and conduction bands. In addition, for a real quantum well (say, a semicon-
ductor quantum well with a band gap of 1 eV in a ‘barrier’ region with a cladding of
1.2 eV, as pictured), the total confining potential of 0.2 eV divides up in different way
between the valence and conduction band depending on the material system. (This
topic will be discussed in a later chapter).
4.3 Quantum Wells as Laser Materials 63

Fig. 4.4 Left, an ideal quantum well in 1D with infinite barriers; middle, a finite 1D quantum well
with barriers for both the electrons and holes; and right, a real semiconductor quantum well,
showing finite barriers, an unconstrained kx and ky and a kz constrained by the quantum well. In
these figures position is shown on the ‘x’-axis, and energy is shown on the ‘y’-axis

Because recombination happens between electron and hole states, effectively, in a

quantum well, the band gap is higher than that in the bulk material. The effective band
gap is between the first hole level and the first electron level, as seen in Fig. 4.4b.
Let us do a real example to calculate the magnitude of this effect.

Example: A layer of InGaAsP with a bulk material band gap

of 1.3 lm is confined in a quantum well of 80 Å width. The
effective mass of holes is 0.6 m0 and of electrons is 0.08
m0. Estimate the emission wavelength of this quantum well.

Solution: The energy level corresponding to 1.3 lm is

0.954 eV. From Eq. 4.19, the approximate shift in the
valence band is

12 ð1:05  10
34 Þ2 ð3:14Þ2

DE ¼ ¼ 1:55  10
21 J ¼ 0:010 eV
2ð0:6Þð9:1  10
31 Þð80  10
10 Þ2

and similarly, in the conduction band is DE ¼ 0:072 eV. As

shown in the picture below, these offsets add to the bulk
band gap to produce a net band gap of 0.954 +
0.010 + 0.072 = 1.034 eV, and a corresponding recombi-
nation wavelength of 1.20 lm.
64 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

The effect is illustrated pictorially in Fig. 4.4. The

quantum wells formed in both the valence and conduction
bands shift the band gap up and lower the emission wave-
length from the bulk value.

4.4 Density of States in a Quantum Well

In the beginning of Sect. 4.3, we described qualitatively why quantum wells aid
enormously in laser performance. To quantify this statement, we need to develop
the expression for density of states in a quantum well.
Shown in Fig. 4.5 is a picture of a very thin slab of material (a quantum well) as
well as a picture of its density of states, in kx and ky, in k-space. Let us first calculate
the density of states, in states/cm2 (not cm3) in this thin slab of material. This is
strictly a calculation in two dimensions.
Then, we can include the kz values permitted by Eq. 4.17 to generate a sketch of
states/cm3, including the thickness of the material.

Fig. 4.5 A schematic picture

of a quantum well, showing a
thin z and large (macroscopic)
x and y. Next to it a 2D k-
space picture, showing
allowed k-values in kx and ky
4.4 Density of States in a Quantum Well 65

As before, the boundary condition is assumed to be that the wavefunction equals

0 at y = x = L, in a 2D square of dimension L. The areal density of states Ad picture
now is the fraction of points inside a circle of radius k, or the area in k-space

Ad ðkÞdk ¼ 2pkdk ð4:20Þ

Divided by the area of one point in k-space

Aallowed state ¼ ð2p=LÞ2 ð4:21Þ

or a areal density of points in k-space, we obtain

2pk dk L2 kdk
Ad ðkÞdk ¼ ¼ ð4:22Þ
ð2p=LÞ2 2p

There are two spin states allowed for each electronic state. Using the expressions
for energy versus k and dk in Eqs. 4.4 and 4.8, and multiplying by two to account
for the two spin states, the areal density of states for a quantum well as a function of
energy per cm2 is

mdensity
of
states dE
Ad ðEÞdE ¼ ð4:23Þ
h2 p
The interesting result is that the density of states is independent of energy.
A careful look at the calculation will show that a 2D structure has the dimen-
sionality so that the quadratic dependence of energy on propagation vector k just
cancels the dependence of the density of k-points with increase of magnitude of
k. The mass m*dos is the density-of-state effective mass.
This calculation, however, just captures the 2D density considering kx and ky.
The sketch below expresses what happens when we include kz and Ez in the third
dimension. (These are given by Eqs. 4.17 and 4.19, respectively.) Since each kz
implies a fixed value of energy, the bottom of the band is offset by E1. When the
energy reaches the density associated with E2, there are two values of kz with the
same density of states in kz and ky, and the net density of states doubles. These ideas
are captured in the sketch of density of states sketch in Fig. 4.6, which compares a
bulk semiconductor with a quantum well.
The importance of this abrupt step-like density of states, compared the gradual
increase in density associated with the bulk, is that it causes a much higher carrier
density at the band edge. For the same number of carriers injected, the carrier
density at one particular energy will end up higher compared to a bulk semicon-
ductor. Since the optical gain will depend in the carrier density at a given energy,
having higher densities of carriers at one energy is clearly beneficial!
66 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

Fig. 4.6 A sketch of density of states of a quantum well vs. density of states for a bulk
semiconductor material. The steps indicate sub-bands of the quantum well and are different values
of kz

4.5 Number of Carriers

The next thing we are interested in is the number of carriers (electrons or holes) in a
given band. The basic expression in a bulk semiconductor is

nðEÞdE ¼ DðEÞf ðE; Ef ÞdE ð4:24Þ

where n(E) is the number of carriers as a function of energy E, D(E) is the density
of states at an energy E, and f(E, Ef) is the Fermi–Dirac distribution function as a
function of the energy and the Fermi level Ef. We remind the reader that this Fermi
function gives the probability that an existing state is occupied. From Chap. 2, the
Fermi function is given as

1
f ðE; Ef Þ ¼ ð4:25Þ
1 þ expððE
Ef Þ=kTÞ

The idea of a ‘Fermi level’ Ef, is not fundamentally appropriate to lasers. Fermi
levels are used to describe systems in thermal equilibrium, and as we discussed in
Chap. 2, lasers cannot be in thermal equilibrium. They have to be driven by some
non-equilibrium means (typically electrical injection for semiconductor lasers) in
order to be put into a state of population inversion. However, the expressions above
are still used with the introduction of quasi-Fermi levels.
4.5 Number of Carriers 67

4.5.1 Quasi-Fermi Levels

Equation 4.25 above still has some utility with regard to lasers. Even though the
electrons and holes are not in thermal equilibrium with each other, we can assume
that the electron population and hole population are separately in thermal equilib-
rium, but each with a different ‘quasi-Fermi level’. The concept is illustrated in
Fig. 4.7.
The figures on the left show semiconductors in true thermal equilibrium in an n-
doped semiconductor. If the Fermi level is near the top (say, by n-doping), there are
lots of electrons in the valence band and a few in the conduction band. If the Fermi
level is near the bottom in a p-doped quantum well, there are lots of holes but very
few electrons. The second figure from the left in Fig. 4.7 shows a true thermal
equilibrium in a p-doped system.
The third figure from the left represents a p–n junction with a forward bias
applied which is not in thermal equilibrium. A separate ‘quasi-Fermi level’ for
electrons, Eqfe, and holes, Eqfh, describes the population density in the conduction
and valence band, respectively. When we are calculating the density of electrons in
the conduction band, the quasi-Fermi level for electrons is used, and when calcu-
lating the density of holes, the quasi-Fermi level for holes is used.
The figure in the far right represents a p–n junction under strong forward bias,
where the quasi-Fermi levels for electrons and holes are no longer in the band gap,
but are actually in the bands. This situation has a very high density of electrons and
holes in conduction and valence band, and is actually what is necessary for lasing.
The distribution of the electrons in the conduction band is still assumed to be
‘equilibrium’. They interact with each other, and their distribution among the
available density of states is thermal and determined by the Fermi distribution
function. However, the number of electrons is determined by the quasi-Fermi level.
The mental picture is that a large number of electrons are electrically injected into

Fig. 4.7 Illustration of the distribution of carriers as a function of Fermi level (left) and two
separate ‘quasi-Fermi levels’ right. The situation on the far right has a high number of both
electrons and holes
68 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

the conduction band of the quantum wells from the n-side of the junction, where
they then interact with each other, and with the lattice of atoms, and quickly
distribute themselves thermally. Similarly, holes are injected from the p-side of the
junction, and then distribute themselves thermally as well. In this picture, the
quasi-Fermi level is a shorthand description of the number of carriers in the band.

4.5.2 Number of Holes Versus Number of Electrons

To avoid potential confusion, let us write down the separate expressions for density
of holes and density of electrons. The Fermi–Dirac expression gives the probability
of an electron state being occupied. The probability of it being vacant, or occupied
by a hole, is 1–f(E, Ef) = f(−E, −Ef). The density of states for holes increases as
energy decreases (hole energy increases as electron energy decreases). Typically,
we are interested in hole populations below the Fermi level of interest where E–Ef is
negative. The combination of all these expressions gives the expression for density
of holes as a function of energy. The appropriate functions for holes and electrons
are given in Table 4.1.
A good way of visualizing it is that for holes, the energy should be read as
increasing downward—that is place a negative sign in front of every energy value,
and, since only differences between energies appear, calculations will work out
correctly.

4.6 Condition for Lasing

At this point, we have expressions for the density of electrons and the numbers of
their respective quasi-Fermi levels. What electron and hole density do we need for
lasing?

Table 4.1 Electron and hole density for bulk semiconductors

Electrons Holes
Appropriate Eqfe Eqfh
Quasi-Fermi
level
1
Distribution fe ðE; Eqfe Þ ¼ 1 þ expððE
Eqfe Þ=kTÞ
fh ðE; Eqfh Þ ¼ 1 þ expððE1qfh
EÞ=kTÞ
Function
3 1 3 1
Density of
De ðEÞdE ¼ ð2me Þ2pðE
E cÞ
Dh ðEÞdE ¼ ð2mh 2p
Þ ðEv
EÞ
2 2 2 2
h3
2 dE h3
2 dE
states
3 1 3 1
Number of 1 ð2me Þ2 ðE
Ec Þ2 1 ð2mh Þ2 ðEv
EÞ2
ne ðEÞdE ¼ E
E
2p2 h3
dE nh ðEÞdE ¼ E
E
h3
2p2 
dE
carriers 1 þ expð kTqfe Þ 1 þ expð qfh
kT Þ
4.6 Condition for Lasing 69

As we talk about in Chap. 2, to achieve lasing, stimulated emission needs to

dominate absorption:

implies
BN2 Np ðEÞ [ BN1 Np ðEÞ







! nonequilibrium systemN1 \N2 ð4:26Þ

where N2 is the density of excited atoms, N1 is the density of ground-state atoms,

and Np(E) is the photon density at a particular energy E. There we were talking
about discrete atoms states, where an atom by itself was either excited or in the
ground state. We need to write this condition in terms of the population in the
electron and valence band.
First, as mentioned in Sect. 3.6.3, photons carry very little change in momentum.
For these optical transitions, Dk has to be 0. For any one particular electron energy
Eec, there is one matching valence band energy Eev that has the same k, and the
recombination between those two has a specific recombination energy E.
A reasonable assumption with which to start is that absorption is proportional to
the number of electrons in the valence band, and the number of empty states (holes)
in the conduction band. Since these are independent and independently given by the
quasi-Fermi levels, the total absorption rate is proportional to the product of the
two. Similarly, we assume that stimulated emission is proportional to the number of
electrons in the conduction band and the number of empty states (holes) in the
valence bands

stimulated emission / f ðEec ; Eqfe Þð1
f ðEev ; Eqfh ÞÞDe ðEec ÞDh ðEev Þ
ð4:27Þ
absorption / f ðEev ; Eqfh Þð1
f ðEec ; Eqfe ÞÞDe ðEec ÞDh ðEev Þ

in which Eqfe and Eqfh are the electron and hole quasi-Fermi levels, and Eev and Eec
are the electron energy associated with a particular photon energy in the conduction
and valence band, respectively.
For stimulated emission to be greater than absorption, with the expression above
implies that

f ðEec ; Eqfh Þð1
f ðEev ; Eqfe ÞÞDe ðEev ÞDh ðEec Þ [ f ðEec ; Eqfe Þð1
f ðEev ; Eqfh ÞÞDe ðEec ÞDh ðEeh Þ
f ðEev ; Eqfh Þ [ f ðEec ; Eqfe Þ

ð4:28Þ

With a little algebra, the expression above can be rearranged to show

Eec
Eev \Eqfe
Eqfh ð4:29Þ

70 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

Fig. 4.8 Bernard–Duraffourg condition. At the left, photons incident on a semiconductor with an
energy greater than the band gap but less than the split in the quasi-Fermi levels induce net
stimulated emission, and possibly lasing. At right, higher energy photons are above the band gap,
but experience net absorption, rather than stimulated emission

In order for stimulated emission to be greater than absorption, and for lasing to
be possible, the split in quasi-Fermi levels has to be greater than the laser energy
levels! This condition is called the Bernard–Duraffourg condition after the people
who first described it in 1961. It is illustrated in Fig. 4.8.
Not only are semiconductor lasers not in equilibrium, but they are very far from
equilibrium. The split between quasi-Fermi levels (which, we recall, is zero in
equilibrium) must be at least as great as the band gap (the minimum distance
between electron and hole energies) in order for lasing to be possible in a
semiconductor.

4.7 Optical Gain

It is only a short step from Eqs. 4.27 and 4.28 to an expression for optical gain. Let
us first define optical gain as a measurable parameter and then write down the
expression for optical gain in a semiconductor, including the ideas of density of
states and quasi-Fermi levels that we have developed.
The term optical gain in a material means that when light is shined on it or
through it, more light comes out than went in. Absorption of light is much more
commonplace (everywhere from window shades to sunglasses) but optical gain has
its important place in physics and technology. The erbium-doped fiber amplifier,
4.7 Optical Gain 71

which allows optical transmission over thousands of miles, is based on optical gain
and can amplify signals by factors of 1000.
Phenomenologically, optical gain and absorption are described by the following
equation.

P ¼ P0 expðglÞ ð4:30Þ

where P0 is the initial optical power, P is the final power, and the ‘gain’ g is in units
of length−1 and is positive for actual gain and negative for absorption. (Typically, in
laser contexts, gain and absorption are expressed in units of cm−1). Two quick
examples will suffice to illustrate this formula.

Example: About 95% of the power is transmitted through

window glass 1 cm thick. What is the absorption coeffi-
cient of window glass, and what fraction of a 100 W light
beam will make it through the window?

Solution: P=P0 ¼ 0:95 ¼ expðg1Þ, so g = ln(0.95) =

−5.1 cm−1, or an absorption of 5.1 cm−1.
Example: An erbium-doped fiber amplifier has a gain of
about 30 dB over a length of about 3 m of fiber. What is the
gain in cm−1? If the input is 1 lW, what is the output
power?
Solution: A gain of 30 dB means 30 = 10 log (P/P0), so
P=P0 ¼ 1000 ¼ expð
g3000Þ and g = ln(1000)/3000 = 0.0023
cm−1. The output power gain of 30 dB means that the output
increases by a factor of 1000, giving an output power of
1 mW.

4.8 Semiconductor Optical Gain

Finally, let us write down an expression for the optical gain in a semiconductor, as a
function of material properties, density of states, and quasi-Fermi levels. This
expression will capture the dependence of gain on carrier injection level, degree of
quantum confinement, and material properties.
The simple optical gain expression consists of the product of three separate terms,
representing three different factors. They are the density of possible recombinations
(which is known as the ‘joint,’ or ‘reduced’ density of states, discussed below);
occupancy factor related to the charge density, determined by the quasi-Fermi levels
for electrons and holes; and a proportionality factor (amount of gain for each possible
absorption or recombination state). These terms are written in Eq. 4.31.
72 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

ð4:31Þ

Finally, there is a linewidth broadening factor, which includes small variations

from strict k-conservation and allows recombination between electrons–holes of
slightly different k-values.

4.8.1 Joint Density of States

Let us look at the graph in Fig. 4.9, showing the process of recombination under
conditions of strict k-conservation. The energy of the emitted photon is given by the
band gap plus the offset in both the valence and conduction bands. With strict k-
conservation, any particular photon energy Ek has exactly one k-value associated
with that recombination.
The E-versus-k relationship for photon energy is then given by the expression
below.

h2 k2 h2 k2 2 k 2
h
Ek ¼ Eg þ þ ¼ Eg þ ð4:32Þ
2me 2mh 2mr

with the term, mr, defined as thereduced mass,

1 1 1
¼ þ ð4:33Þ
mr me mh

These two equations lead to a photon energy Ek-versus-k relationship for the
photons of

ð2mr ðEk
Eg ÞÞ1=2

k¼ ð4:34Þ
h
Just as in considering density of states for electrons and holes, every allowed k-
value constitutes a state. Here, each single value of k represents a single allowed
transition. Hence, the density of possible photon emissions (called reduced density
4.8 Semiconductor Optical Gain 73

Fig. 4.9 Relationship between photon energy Ek, band gap energy Eg, and k. The large down
arrow illustrates the recombination, which emits the photon, while the two smaller arrows indicate
the distance from the band edge

of states or joint density of states) is given by the same process used for density of
electron states, with the slightly modified E-versus-k relationship given in Eq. 4.35,

ð2mr Þ3=2 ðEk
Eg ÞÞ1=2

Dj ðEk ÞdE ¼ dE ð4:35Þ
2p2 h3
This joint density of states term is one part of the gain expression, and represents
the density of transitions for a given photon energy Ek.

4.8.2 Occupancy Factor

Of course, just as an electronic state either has an electron it or not, the joint density
of states has to be appropriately populated in order to provide gain or absorption.
Let us think about a ‘recombination state’ of fixed photon energy Ek. There exist a
74 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

number of electrons, which can participate in this recombination (all of those at the
corresponding electron energy). The fraction of possible electrons which can par-
ticipate is given by the Fermi function, f(Eqfe, Eec), and the fraction of possible
holes is given by the number of vacant electronic states in the valence band, 1−f
(Eqfv, Eev). The total number of ‘gain states,’ proportional to each is proportional to
the product, f(Eqfe, Eec) (1−f(Eqfv, Eev)). (As in Sect. 4.5, Eqfx is the appropriate
hole or electron quasi-Fermi level, and Eec and Eev are the energy levels which
satisfy k-conservation for a given recombination energy and wavelength Ek.)
Similarly, the total number of absorption states is proportional to the product of
the number of vacant electronic sites at the appropriate conduction band energy
level and the number of occupied electronics states in the appropriate valence band
energy level, f(Eqfe, Eec) (1−f(Eqfv, Eev)).
The net occupancy factor is proportional to this total number of gain states minus
the number of absorption states, or

O ¼ f ðEqfc ; Eec Þð1
f ðEqfv ; Eev Þ
f ðEqfv ; Eev Þð1
f ðEqfc ; Eec Þ
¼ f ðEqfc ; Eec Þ
f ðEqfv ; Eev Þ ð4:36Þ

This argument is illustrated pictorially in the simple band diagram of Fig. 4.10.
The figure shows a single conduction and valence band level, both of them
appropriate for recombination for a particular photon energy Ek. The net gain is
related to the difference between the number of recombination states indicated by
down arrows and absorption states indicated by up arrows. In the figure shown, the
relevant electron level has f(Eqfe, Eec) = 0.66 and the relevant hole level has f(Eqfv,
Eev) = 0.33.
First, if both states contain a hole, or both an electron, then no recombinations
are possible. To get gain, we need population inversion, which means an electron in
the conduction band and a hole in the valence band.

4.8.3 Proportionality Constant

The most effective way to write down this ‘proportionality constant’ between the
number of available transitions and the gain in cm−1, is to start with the final
answer. The expression for gain can be written down as
3 1
ð2mr Þ2 ðEk
Eg Þ2 hq2
p
gðEk ÞdE ¼  ðf ðE qfc ; E ec Þ
f ðE qfv ; E ev ÞÞ  fcv
2p2 h3 6e0 cm0 nr Ek
ð4:37Þ

It is a monstrous beast of an expression, but the origin of the first two parts
should be clear, and the last part is the proportionality constant A. In the expression,
e0 is the free space dielectric constant and nr is the relative permittivity of the
semiconductor. The term fcv is related to the quantum mechanical oscillator
4.8 Semiconductor Optical Gain 75

Fig. 4.10 Illustrating the occupancy factor O, which is the difference between the relative number
of recombinations and absorptions. Only one conduction and valence band level participate in a
radiative recombination at a particular photon energy level

strength of the transition of the electron from the conduction to the valence band,
which represents how likely a recombination is to take place. It can be taken as a
material constant, with a value of 23 eV in GaAs for an allowed (Dk = 0) transition
and 0 for a forbidden (Dk <> 0) transition.
If properly evaluated with consistent units, the equation gives gain in units of
length−1.
Recall also that Eqfc and Eqfv are alternative ways of expressing the carrier
density, and Eev and Eec are not independent energy values, but are uniquely
specified by the photon energy Ek.

4.8.4 Linewidth Broadening

Looking at the gain formula in Eq. 4.37, we can see that is largely composed of the
density-of-state term for the system we are observing. Hence, for a bulk system, we
expect to see something that varies quadratically with energy and for a quantum
well system, we would expect to see an abrupt increase in gain right at the first
quantum well energy level transition and another abrupt increase in gain when the
energy hits the second allowed transition (depending on carrier populations).
That is not, however, what is observed. The measured gain (which can be seen
with a variety of techniques) is a very smoothed and softened version of what
Eq. 4.37 predicts. The gain is convolved with a smoothing function, called a
lineshape or a linewidth broadening function. This function serves to turn the
theoretical sharp edges into smoother gradual rises. The effect of linewidth
broadening on the gain spectrum can be seen in Fig. 4.11.
The physical origin of this function comes largely from violation of absolutely
strict k-conservation due to scattering of the electrons and holes by phonons.
76 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

Quantum Well Ideal Gain Function Lineshape Function Actual Gain Function

Fig. 4.11 A sketch illustrating the original gain expression, the lineshape function with which it
is convolved, and the final (measured gain). The circled X represents the convolution operation.
DE is characteristic of the width of the lineshape function, and the shape differs slightly depending
on whether it is a Gaussian or Lorentzian

Should they interact, the energy conversation equation when the electron and hole
recombine will include the energy of the phonon. Therefore, a single electron–hole
recombination can emit a photon with a narrow range of energies, not just the exact
wavelength set by the difference between hole and electron energy levels. If this
interaction is uniform with all recombinations across the gain band, it is called
homogenous broadening. If the phenomenon is specific to one range of wave-
lengths or one spatial area, it is called inhomogeneous broadening.
The new gain equation for this broadened gain gb(Ek) then is given by the
convolution of the lineshape function with the original function g(Ek)
Z
gb ðEk Þ ¼ gðEk ÞLðE0
Ek ÞdE0 ð4:38Þ

where L(E) is the appropriate lineshape function. The function is picked with a
phenomenological linewidth and is normalized, so its integral is 1.
Two common forms are used for this lineshape function. The most common is
called the Lorentzian lineshape function,

1 ðDE=2Þ
LðE0
Ek Þ ¼ ð4:39Þ
p ðE0
E0 k Þ2 þ ðDE=2Þ2

where DE is the width of the linewidth function (often about 3 meV for these sort of
models). This Lorentzian function is often used to model homogenous broadening.
Also used to model linewidth broadening is a Gaussian expression, such as

1 ðE0
Ek Þ2
LðE0
EÞ ¼ pffiffiffiffiffiffi exp
2DE2 ð4:40Þ
2pDE

Finally, in this whole section, an expression for gain is developed as a function

of material parameters and injection density. An interesting way to measure optical
gain directly from analysis of the optical spectrum is presented in Chap. 7.
4.9 Summary and Learning Points 77

4.9 Summary and Learning Points

This chapter covers most of the common models and ideas that are used for
semiconductor lasers, including benefits of quantum confinement, gain expression,
quasi-Fermi levels, and Bernard–Duraffourg condition. With this foundation, it is
hoped that most of the properties and experimental characteristics of lasers you
encounter can be understood, modeled, and optimized.

4.10 Learning Points

A. The Pauli exclusion principle states that no two electrons can occupy the same
quantum mechanical state or have the same quantum numbers.
B. The formula for density of states in a semiconductor gives the number of states
available for electrons or holes at a given energy.
C. The density of states in a bulk semiconductor increases quadratically with
energy, as E1/2.
D. The two-dimensional density of states in a quantum well is constant. The
sub-bands associated with the third dimension result in a staircase-like density
of states versus energy.
E. The abrupt increase in density of states in a quantum well is very beneficial for
lasing because it results in a lot of carriers at the same energy. Because of this,
threshold current densities are much lower and semiconductor lasers are now
almost universally quantum wells or smaller dimensions.
F. The number of carriers in a band at a given energy is given by the product of
the density of states and the Fermi function.
G. Under conditions of electrical injection (or optical injection), the semiconductor
is not under thermal equilibrium. In that case, the population of electrons and
holes can be described by separate quasi-Fermi levels.
H. The quasi-Fermi levels are shorthand descriptions for the number and distri-
bution of carriers in each band.
I. The lasing energy Ek has to be less than the split between the quasi-Fermi levels
in order for stimulated emission to dominate absorption.
J. Optical gain depends on the density of states (dependent on the dimensionality
of the system and effective mass); the occupancy of holes and electrons (de-
pendent on the quasi-Fermi levels; a proportionality constant; and a linewidth
broadening factor.
K. This linewidth broadening factor is usually modeled as a Lorentzian or Gaus-
sian expression with a phenomenologically determined linewidth.
78 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

4.11 Questions
Q4:1. What is the expression for the carrier density in a semiconductor? Explain
what each of the terms (symbols) represents.
Q4:2. How does the density of states depend on the energy in a three-dimensional,
bulk crystal, and in a 2D quantum well?
Q4:3 What is effective mass? Why is effective mass for density of states and
conduction different?
Q4:4. What happens to the value of the effective mass as the curvature of the E-
versus-k curve increases?
Q4:5. What is a quantum well? What is a quantum well composed of? Explain
both the mathematics and the physical structure.
Q4:6. True or False. As the width of a quantum well increases, its energy levels
decrease.
Q4:7. Will the energy offsets from the bulk band edge be greater in the conduction
band or the valence band?
Q4:8. Will the luminescence wavelength of bulk In 0.3Ga 0.7As or In 0.3Ga 0.7As in
a quantum well be longer?
Q4:9. What is the Bernard–Duraffourg condition?
Q4:10. What is optical gain?
Q4:11. What factors determine optical gain in a semiconductor?
Q4:12. Why are sharp gain edges, such as would be predicted by Eq. 4.37, not
observed in gain measurements?

4.12 Problems
P4:1. Derive the density of states for a 1D quantum wire, in which the electrons
are quantum-confined in two dimensions and free to move in only one
dimension. The answer should be in units of length−1 energy−1.
P4:2. A simple 3D model for the E-vs.-k curve around k = 0 is.E(k) = A cos
(kxa) cos (kyb) cos (kzc). What is the effective mass for density of states at
k = 0?
P4:3. A 3D quantum box can be described as having a wave function of the form
Wðx; y; zÞ ¼ A sinðkx xÞ sinðky yÞ sinðkz zÞ. If the box is a square box of
dimension a,

(a) Write an expression for the energy level in terms of the quantum
numbers, nx, ny, and nz.
(b) Sketch the density of states for this system for the first four energy
levels.

P4:4. In a certain semiconductor system, the density of states for electrons at

T = 0 K is given in Fig. P4.12.
4.12 Problems 79

Fig. P4.12 Density of states

of an odd semiconductor
system

(a) If the system contains 2  1017 electrons/cm3, what is the Fermi level?
(b) If the Fermi level is 0.8 eV, how many electrons does the system
contain?
(c) Sketch the electron density versus energy at 300 K if the Fermi level is
at 1.5 eV.

P4:5. Optical fiber has a loss of 0.2 dB/km. Calculate the loss in/km, and the
power exiting the fiber after 100 km if the input power is 2 mW. (These are
typical numbers for semiconductor optical transmission.)
P4:6. Calculate and graph the optical gain vs. energy for a simplified model of
GaAs in which me = 0.08m0, mh = 0.5m0, and Eqfv = Eqfc= 0.1 eV into
their respective band, and DE = 3 meV with a Gaussian lineshape function.
P4:7. Fig. 3.12 shows the band structure of Si.

(a) Sketch qualitatively the effective mass versus k of the lowest energy
conduction band, indicating where it is negative, positive or infinite,
from the < 000 > direction toward the < 100 > direction
(b) The valence bands include the heavy hole band, the light hole band, and
the split-off band. Explain (briefly) which of these bands is most sig-
nificant in determining the density of carriers versus temperature and
Fermi level in the valence band.
(c) Estimate the longest wavelength that a Si photodiode can detect.
(d) Explain (briefly) how Si can absorb photons even though it is an
indirect bandgap semiconductor.
80 4 Semiconductors as Laser Materials 2: Density of States, Quantum …

P4:8. It is desired to make a 60 Å quantum well of InGaAsP with an emission

wavelength of 1310 nm. If the effective mass of electrons is 0.08m0 and the
effective mass of holes is 0.6 m0, estimate the target emission wavelength of
InGaAsP (considered as bulk semiconductor) to be grown, taking into
account quantum well effects.
P4:9 A quantum dot is a small chunk of 3D material which has discrete energy
levels. A quantum dot laser is made up of a collection of many, many of
these dots, distributed in the active region. A simple model of a quantum dot
has a single electron level and a hole level for each dot. A quantum dot
active region has a number of dots in it, and the density of states given is
given by the number of dots.
One of the implications of Eq. 2.15 is that the absorption coefficient is
proportional to

a ¼ a0 ðN2
N1 Þ

where N2 is the fraction of atoms in the excited state and N1 is the number of
dots in the ground state. Initially there is not current in the dots (N1 = 1 and
N2 = 0). In this problem, light exactly matching the gap between the two
levels is shined on an active region as pictured in Fig. P4.13.

(a) A very low level of light I0 is shined on a quantum dot active region
1 mm long. The output light is 5  10−4 time the input light. Find a0.
(b) A moderate level of light is shined on the active region, to maintain
N1 = 0.75 and N2 = 0.5. If a small additional increment of light DLin is
shined on the active region, what is the increment of light out DLout?
(c) If an enormous amount of light is shined on the active region (L ! ∞),
what will N1 and N2 be? Is it possible to optically pump this region into
inversion?

P4:10 Quantum dots, like atoms, have more than one electronic energy level.
Suppose 100 quantum dots make up the active region of a quantum dot
laser, as shown in Fig. P4.14. The first energy level is 0.1 eV above some
reference, and the second energy level is 0.3 eV above the same reference.

Fig. P4.13 A model of a quantum dot active region, showing left a range of dots inside of a
structure, and right, the band structure of each dot, showing all the dots in the ground state
4.12 Problems 81

Fig. P4.14 Left, picture of arrangement of quantum dots inside the laser active region, and right,
picture of density of states of quantum dots

Recall the Fermi occupation probability from Table 2.1 of Chap. 2.

(a) If the Fermi level is 0.05 eV below the first energy level at room
temperature, how many of those energy states are occupied?
(b) If half of the energy states of the first energy level are occupied, what is
the electron quasi-Fermi level?
(c) Why are there 300 states at the second energy level but only 100 states
at the lowest energy level?
(d) What is the minimum number of electrons needed to get lasing from the
first energy level (assuming that the number of holes injected into the
valence band, not shown, is equal to the number of electrons in the
conduction band)?
Semiconductor Laser Operation
5

… Rail on in utter ignorance

Of what each other mean,
And prate about an Elephant
Not one of them has seen!
—John Godfrey Saxe

Abstract
In the previous chapter, we talked about the ideal properties of semiconductors
and semiconductor quantum wells, including density of states, population
statistics, and optical gain, and develop expressions for these that are based on
ideal models. In this chapter, we will take a step back to see how optical gain and
current injection interact with the cavity and photon density to realize lasing.
Finally, we present a simple rate equation model and examine it to see how laser
properties such as threshold and slope are predicted. The predictions from the
rate equation model are related to the measurements which can be made on these
devices to determine fundamental properties of laser material and structure,
including internal quantum efficiency and transparency current.

5.1 Introduction

In Saxe’s famous poem, The Blind Men and the Elephant, six blind men discuss
whether an elephant is like a rope, a fan, a tree, a spear, a wall, or a snake. The
message at the end of the poem is that while each of them focuses on some aspect of
the animal, they all miss the essentials of the elephant. Like an elephant, a semi-
conductor laser is several things. It is simultaneously a P-I-N diode (an electrical
device) and an optical cavity, and both of these parts have to work together in order
to be a successful monochromatic light source.

© Springer Nature Switzerland AG 2020 83

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_5
84 5 Semiconductor Laser Operation

Rather than leaping into the study of the various parts of the laser, and ending
up, like the men of Indostan in the poem, familiar with the parts but not the whole,
in this chapter, we introduce a canonical semiconductor laser structure and describe
it to the point where details about the waveguide, and the electrical operation and
metal contacts can be sensibly studied in subsequent chapters. Let us look at the
elephant before we dissect the poor thing!

5.2 A Simple Semiconductor Laser

Let us look again at the structure in Fig. 1.5. The single semiconductor bar serves as
both a gain medium, as current is injected, and as a cavity, which confines the light.
In the latter part of Chap. 4, we discussed optical gain, and we saw that material
with optical gain amplifies incident light. We also saw how a direct band gap
semiconductor can exhibit optical gain if the hole and electron levels are high
enough so that the quasi-Fermi levels are in their respective bands. All of this leads
to a simple description of an optical amplifier, but it does not quite produce the
clean, single-wavelength output of the ideal lasing system.
In Chap. 1, we saw that lasing requires a high photon density and gave examples
of a HeNe laser in which the high photon density was achieved with mirrors which
kept most of the photons inside the cavities. In the most basic semiconductor
edge-emitting devices, the ‘mirror’ that keeps the photon density high inside the
semiconductor optical cavity is formed by the cleaving of the semiconductor wafer.
Since the dielectric constant of the semiconductor is typically around 3.5, and that
of air, 1, the amplitude reflectivity r at the interface is given by
nair  nsemi
r¼ ð5:1Þ
nair þ nsemi

and the power reflectivity R (which is Eq. 5.1, squared) is


nair  nsemi 2
R¼ ð5:2Þ
nair þ nsemi

For typical semiconductor laser values, R is about 0.3. These cleaved laser bars
come with built-in mirrors that reflect 30% of the incident back into the cavity. This
reflectivity is sufficient to achieve lasing in these structures. In general, the facets of
commercial devices are also coated after fabrication with dielectric layers to
increase (or reduce) their reflectivity at specific wavelengths.
5.3 A Qualitative Laser Model 85

5.3 A Qualitative Laser Model

Figure 5.1 is a picture of a qualitative laser model. It shows a collection of electrons

and holes, which are electrically injected as current into the cavity. Let us imagine
inside this cavity an optical wave bouncing back and forth between the mirrors,
increasing exponentially according to the gain of the cavity, as it did at the end of
Chap. 4. As the wave moves through the cavity, its intensity grows, due to the
optical gain from the semiconductor. Let us ask the rhetorical question: Can the
amplitude continue to grow without limit as it bounces back and forth?
The answer it is that it cannot: There is a feedback between the gain and the
photon density that is important when the photon density is large. Every photon
which is created involves the removal of an electron and a hole. As the photon
density increases, the hole and electron density decrease, and the gain decreases.
The laser is not just an optical amplifier, but an optical amplifier with feedback!
With this idea that an increase in photons leads to a decrease in gain (which leads
in turn back to a decrease in photons) let us show why, under steady-state condi-
tions, there has to be ‘unity round trip gain’ in a laser. Figure 5.1 shows optical
modes inside of a laser cavity, growing exponentially as they travel back and forth,
with many of the photons exiting from each facet. To anticipate later discussion and
a potential difference in reflectivity between the two facets, the reflectivities at the
two facets are labeled R1 and R2.
The term ‘steady state’ means that nothing changes with time; the injected
current, and the carrier density and photon density inside the cavity look the same
now as they did fifteen minutes ago or will fifteen minutes hence. The term ‘unity
round trip gain’ in a laser means that the optical wave power after bouncing back

Fig. 5.1 Qualitative model of a semiconductor laser, showing optical waves propagating forward
and backward, while gain is provided by carriers inside the cavity. Because of the feedback
between the photons and the gain medium, there is required to be unity round trip gain, where
P0 = P0 R1R2exp(2gL)
86 5 Semiconductor Laser Operation

and forth between the cavity should be at the same level as when the wave started;
the net gain, including power that leaks out of the facets, should be one.
In Fig. 5.1, we follow the path of the optical mode as it goes back and forth
within the laser cavity. First, at position 1, the wave starts out with a value P0 and
increases exponentially according to the cavity gain g as it travels to the right facet.
When it arrives there (position 2), on the right, its amplitude is P0exp(gL). At the
right facet, R1 power is reflected, so the amplitude returning to the left is R1P0exp
(gL). Finally, as the wave travels back toward the left, it experiences another cycle
of exponential gain (R1P0exp(gL) exp(gL), or R1P0exp(2gL)) and another reflection
R1R2P0exp(2gL). That value, R1R2P0exp(2gL), has to be equal to the initial photon
density P0, which sets the value of the gain.
Let’s imagine what would happen if the gain were higher in Fig. 5.2. Then, after
making one round trip, the optical wave would be a little larger. As the wave went
around again, it would grow larger yet. Eventually, as the photon density in the
cavity grows too large, the increased density would deplete the electrons and holes
and reduce the gain. (The sharp-eyed reader may have already noticed that even
under this condition, photons are constantly being created to replace the ones
leaking out the facets; that is, the constant current coming in, which we are ignoring
for the next two paragraphs, is just sufficient to replace the photons which are
exiting the facets.) A similar argument can be made if the gain is lower than
equilibrium; the carrier density would then build up to achieve unity round trip
gain.
The value of the gain has to be such as to maintain the laser in steady state
because of the interconnection between photon density and carrier density. The
particular value of the equilibrium gain g depends on the cavity properties such as
facet reflectivity. In Fig. 5.2, we show the photon density driving the gain, but of
course it can be looked at the other way too; the gain drives the photon density.
Regardless, the gain is a constant and is fixed in a lasing cavity to achieve unity
round trip gain.

Fig. 5.2 Feedback between the photon density and the gain. The oval represents the density of
carriers which provide the gain. Read from right to left, this illustrates how if the gain is too large,
it will eventually deplete carriers and reduce the gain back to its equilibrium value
5.3 A Qualitative Laser Model 87

The equation for unity round trip gain leads to the following relationship
between cavity gain gcav and facet reflectivity.

1 ¼ R1 R2 expð2gcav LÞ


1 1 ð5:3Þ
gcav ¼ ln
2L R1 R2

The steady state, DC, lasing gain is set by the condition of the cavity (facet
reflectivity and length). Instead of analyzing the very detailed dependence of gain
on quasi-Fermi level and band structure, we can simply look at the cavity length
and reflectivity to determine an expression for the lasing gain.
For those with a background in electronics, the situation is analogous to the open
and closed-loop gain of an op-amp or transistor. The ‘open-loop’ gain we studied in
Chap. 4 was a function of the details of the band structure and semiconductor
material system. The closed-loop gain of Eq. 5.3 depends on the feedback elements
placed around it (in this case, the laser cavity). Like electronics, it is the closed-loop
gain which is more important in setting device properties, though the intrinsic
material gain sets limits.
The simplest useful model of semiconductor laser peak gain as a function of
carrier density, or current density J, is given by the expression

g ¼ Aðn  ntr Þ ¼ A0 ðJ  Jtr Þ ð5:4Þ

where ntr is called the transparency carrier density, and Jtr is the transparency
current density (both figure-of-merit material constants), and A and A′ are pro-
portionality constants with appropriate units. Let us define the carrier density at
which a particular device starts to lase as nth, the threshold current density. If we
equate this to the cavity gain of (Eq. 5.3)


1 1
Aðnth  ntr Þ ¼ ln ; ð5:5Þ
2L R 1 R2

it immediately says that the carrier density is clamped to be nth in a device which is
lasing. Because nothing on the right side of the equation depends on the current
density, the value of the gain in the cavity cannot change with current density;
therefore, the carrier population n is clamped at threshold to some population nth.
This expression is a more mathematical way of restating the discussion around
Fig. 5.2. The photon density inside of the cavity (and exiting the laser) will vary,
but the carrier density inside a laser cavity is fixed above threshold and is inde-
pendent of the photon density. This idea will be revisited when we talk about the
rate equation model for lasers and about their electrical characteristics.
88 5 Semiconductor Laser Operation

Example: A bathtub has a hole in it. The tub is being filled

by the spout at a rate of 5 gallons/min, while at the same
time water is being drained out of the tub through the
hole at a rate of 10% of the bathtub water volume/min. How
much water is in the bathtub?
Solution: This is a problem which can be solved easily if
it is looked at as a system with a definite answer in steady
state, where there is a negative feedback between the
amount of water in the bathtub and the amount draining
from the bathtub. If the bathtub has more than 50 gallons,
the amount of water in the bathtub will be decreasing; if
the bathtub has less than 50 gallons, the amount of water
in the bathtub will be increasing. Therefore, the bath-
tub has exactly 50 gallons.
What has this to do with lasers, you ask? The rate of
photon loss due to the cavity is constant (like the spout
in the bathtub) and the rate of photon addition has to do
with the gain that is dependent on the carrier density
(like the leak). This is perhaps a loose analogy, but is a
vivid image.

5.4 Absorption Loss

In reality, a few more parameters are necessary to make this model really useful.
First, the cavity defined in Fig. 5.1 has a certain absorption loss associated with it.
The light in the cavity experiences optical gain as it travels back and forth within the
cavity, but it is also absorbed by mechanisms that do not depend on the carrier
injection. Let us first include this absorption parameter as a phenomenological part
of the cavity model, and then briefly discuss the mechanisms for absorption.
Including an absorption loss in the cavity leads to the following round trip
expression for the gain,

1 ¼ R1 R2 expð2gLÞ expð2aLÞ


1 1 ð5:6Þ
gcav ¼ ln þ a ¼ A0 ðJth  Jtr Þ
2L R1 R2

which defines the lasing

 gain in terms of cavity parameters and absorption loss.
1 1
The first term, 2L ln R1 R2 above, in Eq. 5.6 is called the distributed mirror loss.
This term represents the photons ‘lost’ through the mirrors, as if that mirror loss is a
lumped parameter over the entire laser length. The absorption loss, similarly, rep-
resents the optical loss due to absorption of photons through free carriers, scattering
off the edges of ridges, or other means.
5.4 Absorption Loss 89

This absorption loss is not the optical absorption across the band gap—that
absorption becomes gain as the material is pumped into population inversion. There
are several mechanisms that are not carrier-density-dependent which induce optical
absorption. Let us briefly discuss them.

5.4.1 Band-to-Band and Free Carrier Absorption

The most significant additional absorption factor in laser design is called

‘free-carrier absorption.’ This mechanism is illustrated below in Fig. 5.3 and is
contrasted to band-to-band absorption.
Values of the band-to-band absorption coefficient are given by the expression in
Eq. 4.37 and depend on the quasi-Fermi levels. (Negative gain, with quasi-Fermi
level splits below the band gap, mean absorption rather than gain.) For lasers
pumped into population inversion, there is band-to-band gain, not absorption; the
gain term in Eq. 5.6 is due to band-to-band transitions.
A sub-class of band-to-band absorption is called excitonic absorption, often seen
at very low temperatures or sometimes in very pure semiconductors and quantum
wells at higher temperatures. An exciton is an electron-hole pair; at low tempera-
tures, the electron and hole form a Coulombic attachment which lowers the energy
of them both. This bound electron-hole pair is an exciton; when absorbed by a

Fig. 5.3 a Band-to-band and b free carrier absorption. A photon is absorbed by a carrier (electron
or hole) but instead of promoting an electron from the valence band to the conduction band (left), it
promotes a carrier from the bottom of its band up to the top. The carrier (say an electron) then loses
energy by interaction with other electrons and the lattice and relaxes back to the bottom of the band
90 5 Semiconductor Laser Operation

photon, this exciton is removed. Extra absorption peaks seen at a semiconductor

band edge are due to excitonic absorption.
Free-carrier absorption is a loss factor in lasers and part of the a term in Eq. 5.6.
The mechanism for it is given as follows. A photon is incident on a semiconductor
and excites a carrier (electron or hole). This electron or hole is promoted higher in
its own band. After being excited, the carrier relaxes back down to its equilibrium
position in the band through interaction with the lattice and with other carriers. This
process is dependent on the doping density—the higher the doping density, the
more likely this absorption process will take place. For this reason, the separate
confining region around the quantum well is usually kept undoped. Quantitatively,
the free carrier absorption is given as a function of doping density by the expression

nq2 k2 1
afreecarrier ¼ ð5:7Þ
4p2 mnr c3 e0 s

where n is the free carrier density (or doping density), k is the wavelength, m the
carrier mass, and s is a ‘scattering time’ associated with the relaxation time of the
carriers once they are excited. Because of the wavelength dependence, relatively
low energy (longer wavelength) photons in more highly doped areas experience
more free carrier absorption.
Devices designed for high power operation go through special efforts to keep
this absorption value low—for example, pump lasers designed for several hundred
mW typically have absorption losses in the range 2–5/cm. High speed modulated
devices for telecommunications have numbers closers to 20/cm.
Because this process depends on the density of carriers in the region near the
semiconductor, typically the separate confining heterostructure region is kept
lightly doped to reduce absorption losses. However, like many things, this is a
trade-off—some positive effects of increased doping are better conductivity, and
hence, lower heat dissipation. In addition, increased p-doping in the active region
can lead to better modulation performance.

5.4.2 Band-to-Impurity Absorption

As a matter of completeness, we observe that light can generally be absorbed

wherever a carrier can be absorbed and induced to transition from one energy state
to another. For example, impurities in a semiconductor, which trap carriers, can also
serve as absorption sites, and there is often low energy absorption from impurities
to conductor or valence bands (or sometimes, between bands, such as between the
heavy and light hole bands). These mechanisms are not very important in lasers—in
general, the absorption energy is much lower than the lasing energy (for standard
telecommunication lasers), and there are few impurities in good lasing material.
This mechanism is pictured in Fig. 5.4.
5.5 Rate Equation Models 91

Fig. 5.4 Impurity to band and band to impurity absorption, illustrated. The horizontal line
represents a defect state in the middle of the band gap. Typically lasers have few defects or
impurities, and in addition, this mechanism is typically for much lower than band-gap energy
photons

5.5 Rate Equation Models

One of the most useful and powerful tools to understanding laser operation is the
rate equations. The idea is simple and best illustrated as we work through it.
Figure 5.5 shows a schematic picture of a laser cavity, which contains a certain
carrier density n and a photon number S. There are a number of things going on:

Fig. 5.5 Laser cavity, illustrating the processes which can change both photon number and carrier
number
92 5 Semiconductor Laser Operation

current is being injected, photons are coming out, and inside, carriers are being
converted to photons through the mechanism of stimulated emission and sponta-
neous emission.
In the diagram, I is injected current, V is the carrier volume, q is electronic
charge for each carrier, s is carrier lifetime (which includes both radiative and
non-radiative processes), and G(n) is the gain as a function of carrier density (e.g.,
see Eq. 5.4).
All of these processes can change the carrier density and photon number in the
cavity. We can write down a simple expression for all processes and set that
quantity equal to the total rate-of-change in photon number or carrier density in the
cavity. The expressions, and the mechanisms behind each term, are shown in
Eqs. 5.8a and 5.8b.

ð5:8aÞ

ð5:8bÞ

The first term on the right of Eq. 5.8a represents current injection. This current,
in carriers/sec, is confined to some sort of volume V (the quantum well region) and
exists for a carrier lifetime s (and as well, being measured in Coulombs, means that
it has a conversion factor from coulombs to carriers of q.) The second term rep-
resents the decay of carriers through natural recombination processes (including,
but not limited to, radiative recombination). As each carrier exists for only s sec-
onds, the rate of density decline is n/s.
The third term expresses the fact that for every photon generated through
stimulated emission, carriers are lost. The expression G(n) is a convenient
expression which captures both the correct units and the dependence of gain on
carrier density. Other forms, other than Eq. 5.6, are also used. The expression
G(n) here represents the modal gain (or the gain experienced by the optical mode)
5.5 Rate Equation Models 93

rather than material gain (which would be the gain experienced by the optical mode
if all the light were confined completely to the gain region). The left-hand side of
Fig. 1.5 illustrates that the optical mode usually only fractionally overlaps the
quantum well region; Chap. 7 will discuss this in more detail.
Equation 5.8b is a rate equation for the number of photons in the lasing mode
(there are typically also many other additional photons at other wavelengths being
created through spontaneous emission). They increase through stimulated emission
(G(n)S) and are lost through the cavity facets and through absorption (S/sp). Both of
these factors are proportional to the photon density S, and so S is factored in the
parenthesized expression above.
A small fraction b of the photons created through spontaneous radiative
recombination n/sr is at the correct wavelength, and in phase with, the lasing mode.
These photons are said to ‘couple’ into the lasing mode. Typically this is not
important except for mathematically kickstarting stimulated emission, which
requires an initial, small, density of photons. The fraction of photons coupled into
that mode, b, is of the order of 10−5.

5.5.1 Carrier Lifetime

This is an appropriate place to talk for a moment about one of the time constants in
the rate equations, the carrier lifetime s. The spontaneous emission carrier lifetime
is the typical amount of time that a carrier exists in the active region before it
recombines and vanishes. The time constant is due to all mechanisms except for
carrier depletion through stimulated emission.
There are actually several different ways a carrier can recombine, illustrated in
Fig. 5.6. The most familiar is a direct bimolecular radiative recombination as shown
in Fig. 5.6(left side). An electron recombines with a hole, and the energy taken up
by an emitted photon. If there are defects in a material, the electron (or hole) can fall
into the defect, where it is eventually eliminated when a carrier of the opposite
species falls into the defect and renders it neutral again. In this case, the energy is
taken up by phonons. This is called Shockley-Read-Hall recombination, or
trap-based recombination, and is illustrated by Fig. 5.6(middle).
Finally, the mechanism of Auger recombination is illustrated in Fig. 5.6(right).
In this mechanism, an electron and a hole recombine, but instead of emitting a
photon, the energy is transferred to another carrier. That third carrier is kicked up
higher in energy and serves to heat up the carrier distribution. Auger recombination
as pictured here uses two electrons and one hole; however, it can take place with
two holes and one electron and can involve transitions between bands (such as the
heavy hole and light hole band). The essential feature is that it is a non-radiative
method that requires three carriers and transfers the recombination energy to the
third carrier instead of emitting a photon.
The relative importance of these three rates of recombination can be seen by
writing the total spontaneous recombination rate Rsp (in s−1 cm−3) as
94 5 Semiconductor Laser Operation

Fig. 5.6 Mechanisms of carrier recombination: bimolecular, trap-based, and Auger

Rsp ¼ An þ Bn2 þ Cn3 ; ð5:9Þ

where An represents the rate of trap-related recombination, Bn2 is the rate of

bimolecular (radiative) recombination, and Cn3 is the rate of Auger recombination.
If the recombination rate is higher, the carrier lifetime is reduced. The impact of
carrier lifetime on laser threshold current, for example, will be seen in Eq. 5.15,
forthcoming. Here, we do not distinguish between electrons ne or holes nh; gen-
erally, (particularly in undoped laser active regions) they are both about the same
and denoted by n.
Good lasers typically have very low defect densities, so the trap-based recom-
bination term is often negligible. The dominant term for shorter wavelength devices
(such as 980 nm) is bimolecular recombination. For longer wavelength (lower
energy and band gap) devices, Auger recombination is more significant, and, as
seen by Eq. 5.9, at higher carrier density, Auger is also more significant. In terms of
recombination rate Rsp, recombination time s can be written as

s ¼ n=Rsp ð5:10Þ

In general, the carrier lifetime s in laser rate equations is about 1 ns.

Having defined and discussed s, let us look further into the rate equation model.
5.5 Rate Equation Models 95

5.5.2 Consequences in Steady State

For in a laser in steady state, all of these observable quantities—n, S, and I—are not
changing with time. It does not matter if we look at the laser now or twenty minutes
from now; it will look the same. Let us look at what these rate equations tell us
when the rates of change, dn/dt and ds/dt, are zero.
Let us look at the second expression first, in steady state.



1 bn 1
0 ¼ S GðnÞ  þ  S GðnÞ  ð5:11Þ
sp sr sp

We will neglect the bn/sr term—it is relatively small compared to the density of
photons created due to stimulated emission. The equation then says that either S = 0
(low photon density), or the gain G(n) = 1/sp. (we will discuss the question of the
units of gain in a moment—here, they are clearly in units of s−1.)
The gain G(n) obviously depends on n, while the photon lifetime in the cavity
depends only on things like the facet coating and optical absorption and not on
n. Therefore, the first, very important observation is that the gain G(n) is clamped at
the threshold carrier density nth to a value G(nth) set by the laser cavity and does not
increase further with increased carrier injection. This is the same conclusion,
restated, that was obtained in Sect. 5.3.
Hence, the actual value of the lasing gain is set fundamentally by the cavity, not
by the mechanics of the gain region. By far the most effective way to alter the lasing
gain, and consequently, parameters like threshold current, is to change cavity
characteristics including the length and threshold coating. The properties of the
active region substantially set the threshold current density nth.
Below this ‘threshold’ carrier density, the photon density is approximately zero.
At nth, the gain is clamped by the cavity properties.
Let us take a look at Eq. 5.8a in light of this observation.

I n I n
0¼   GðnÞS ¼  for n\nth ðS ¼ 0Þ
qV s qV s
ð5:12Þ
I n I nth
0¼   GðnÞS ¼   Gðnth ÞS for n ¼ nth ðS [ 0Þ
qV s qV s

Equation 5.12 above, for n below and up to threshold carrier density (when the
photon density is 0) simply says that injected current linearly increases the carrier
density as

Is
n¼ ð5:13Þ
qV

Every injected carrier exists for a characteristic time s, occupies a volume V, and
has charge q converting current to carriers. Equation 5.13 can almost be written
96 5 Semiconductor Laser Operation

down directly from a common-sense perspective. Typically, the lifetime s (in-

cluding recombination processes except stimulated emission) is about 1 ns.
If n = nth (remember, we have concluded that n cannot be greater than nth) we
can write Eq. 5.12 as

1
S¼ ðI  Ith Þ; ð5:14Þ
Gðnth Þ

where Ith is the threshold current is defined from Eq. 5.13, where n = nth as

qVnth
Ith ¼ ð5:15Þ
s
Equations 5.12 and 5.14 predict the easily-observed laser properties in Fig. 5.7.
Below a certain threshold current Ith, there is very little light out. The current
injected serves to increase the carrier density. Above the threshold current density,
the carrier density is clamped and further increases in current increase the photon
density.
Just as the photon density (and the light out of the cavity) changes qualitatively
at the threshold current, the electrical properties also change qualitatively (but
subtly) at threshold. This will be discussed in Chap. 6.

Fig. 5.7 Predictions of the

rate equations with respect to
carrier density n and photon
density S. Below threshold,
the current density is clamped
with a nominal photon density
due only to spontaneous
emission; above threshold, the
carrier density is clamped, and
the photon density increases
linearly with injected current
5.5 Rate Equation Models 97

5.5.3 Units of Gain and Photon Lifetime

In Chap. 4, and photon lifetime at the beginning of this chapter, we wrote down an
expression for gain in terms of cm−1 as defined by its exponential dependence on
length, P = P0exp(gx). In the rate equation model, it is clear that G(n)S has to have
units of s−1. Which is correct?
The answer is both. Gain in cm−1 can be converted to gain in s−1 by using as
conversion factor the velocity of light, as shown below.
c
g½cm1  ¼ g½s1  ð5:16Þ
n

where c/n is the group velocity, and vg is the velocity of light in the medium.
We also note that we have very casually written gain as proportional to current,
current density, carrier density, and carrier number, and with units of either cm−1 or
s−1. In the context, in which we use these simple gain models, these are all basically
correct. The prefactor A is picked to give the correct units for whatever propor-
tionality we find currently convenient.

Example: Estimate the photon lifetime in a 300 lm-long

laser device with uncoated facets and an index of 3.5.
Solution: The calculated gain point is given by Eq. 5.6,
and is 40/cm.
Dividing by c/n gives a value of 1/sp of 3.31011/s, or a
time constant sp = 3 ps.

This small ps photon lifetime is fundamentally the reason that semiconductor

lasers can be rapidly modulated. When we rapidly change the current going into the
device, the photon density can also rapidly change.
In contrast, modulated light-emitting diodes are driven by spontaneous emission,
and the light from those devices is proportional to n/s, where s is the carrier lifetime
(typically in ns). Because laser light is limited largely by photon lifetime of ps,
while light from a light-emitting diode is limited by carrier lifetime of ns, lasers can
be modulated at Gb/s speeds which are much faster than diode speeds. This is
fundamentally why optical communication requires lasers.

5.5.4 Slope Efficiency

Figure 5.8a shows the most basic of all laser measurements—a light-current, or L-I,
curve. A current source injects a precise amount of current into the laser bar, and an
optical detector in from the bar measures the amount of light L (in Watts, W) out of
98 5 Semiconductor Laser Operation

Fig. 5.8 a Measurement setup for a laser bar and b the L-I measurement of the device

the device. Figure 5.8b shows two items of data derived from the measurement—
first, the light out as a function of the current in, and second, the derivative (dL/dI)
or slope, in W/A, versus the current in.
Notice how exactly this behavior matches the predictions of the rate equations.
There is an abrupt increase in the amount of light out, at a particular threshold
current Ith, proportional to the current. The slope of that proportionality (in Watts
out/Amps in) is usually called the slope efficiency (abbreviated as SE) and is
something that has a minimum specification in a commercial device. Generally, the
higher the slope efficiency, the better we want to extract as much light per given
injected current as possible.
There are several definitions of threshold current from a measured L-I curve. The
most common is the current extrapolated back to the point where the light is zero, or
about 6 mA in Fig. 5.8b. Other definitions are the point of maximum slope or the
point where the slope changes.
Let us quantify the slope efficiency in terms of the cavity parameters R1, R2, and
a. Suppose an amount of current I is injected into the device, and of that current, a
fraction ηi (the internal quantum efficiency) is converted into photons. Those
photons in the laser cavity then are either re-absorbed (represented by the loss a) or
emitted out of one of the facets (represented by the distributed optical loss, 1/2L ln
(1/R1R2) (in this expression, L is cavity length). The latter term, while it represents
‘loss’ in terms of the gain needed, actually represents photons exciting the cavity
and is desirable.
The ratio of external quantum efficiency (ηe) in photons out/carriers in to internal
quantum efficiency, in terms of the photons exciting the cavity and the photons
absorbed within the cavity, is given by the expression
 
1
gi 2L ln R11R2
ge ¼   ð5:17Þ
1 1
2L ln R1 R2 þ a

The ratio of external conversion efficiency to internal conversion efficiency is

equal to the ratio of distributed optical loss to total loss.
5.5 Rate Equation Models 99

Both ηi and ηe are in terms of photons/carrier, while the quantity that is measured
(in the measurement pictured in Fig. 5.8a) is the slope efficiency in W/A. Each
photon of wavelength k carries an energy of 1.24 eV lm/k, and the conversion
between eV and V is the electron charge q. The relationship between slope effi-
ciency SE in W/A and ηe is then

1:24
SEðW/AÞ ¼ g ðphotons/carrierÞ ð5:18Þ
kðlmÞ e

Usually, slope efficiency is typically measured out of only one facet. If the facet
reflectivity is the same, then that number can be doubled to determine the total
Watts/A emitted from the device. When the facet reflectivity is different, as is
usually the case, additional analysis is needed.
Equation 5.17 is an expression that can be used to determine both the internal
loss a and the internal quantum efficiency of a laser material, based on a set of
measurements of devices that are of varying length but are otherwise identical. If
the equation is re-written as
0 1
1 1 2La
¼ @1 þ  A ð5:19Þ
ge gi ln R11R2

it is clear that the slope increases as the device gets shorter and that the extrapolated
value (where the cavity length L = 0) will give the internal quantum efficiency ηi.
This fraction of injected carriers that are converted to photons is an important figure
of merit for the material and is typically of the order 80–100%. This process also
illustrates the methodology behind much of laser analysis—through fairly simple
models, material constants are related to measurements.

5.6 Facet-Coated Devices

In most applications of semiconductor edge-emitting lasers, the facet reflectivities

of the two facets are not equal. In edge-emitting Fabry-Perot lasers, the mirrors are
first formed by physical cleave of the wafer (Fig. 5.9). The wafers are scribed
(scratched) on an edge with a diamond-tipped tool, and then broken; the break
propagates along the crystal planes forming a perfect dielectric mirror between the
semiconductor and air. As formed, these mirrors are symmetric, and so half of the
light would exit one side of the cavity and half the other. It is important when doing
this to align the scribe and cleave marks with the plane of the wafer which is being
cleaved.
While perfectly acceptable as a textbook example, for commercial purposes, it is
desirable that most of the light exit one facet to be coupled into an optical fiber.
Hence, the facets are usually coated with dielectric coatings in order to modify the
100 5 Semiconductor Laser Operation

Fig. 5.9 Laser bar, showing (left) a scribed edge, where the break was started, and mirror-flat
cleaved edge, which creates the mirror for the laser cavity. Where it was scribed, the devices do not
lase and are discarded. Photo credit J. Pitarresi

reflectivity. A typical design for a Fabry-Perot laser has a rear facet reflectivity of
about *70%, and a front facet reflectivity of *10%. Most of the light exits the
laser from the front facet with a small amount exiting the rear facet. The rear facet
light is often coupled to a monitor photodiode in the package, to enable active
control of the output laser power. Typical Fabry-Perot laser coatings are shown in
Fig. 5.10.
These coated facets are an excellent way to control the laser properties. From
Eq. 5.6, it is clear that required cavity gain decreases as the facet reflectivity
increases. Hence, the threshold current required can be reduced by increasing the
facet coating reflectivity.

Fig. 5.10 Typical telecommunications Fabry-Perot laser, with one side HR coated to 70%
reflectivity, and the other side LR coated to 10% reflectivity. Notice the asymmetry, with most of
the light near the front facet
5.6 Facet-Coated Devices 101

Example: Calculate the value of the lasing gain point of

the cavity pictured in Fig. 5.5, where R1 = 0.1 and
R2 = 0.7. Compare it the value of the lasing gain point of
the cavity if the facets were uncoated, with R1 = R2 =
0.35. Neglect absorption loss.
Solution: From Eq. 5.6, with L = 500 lm, the gain point is


1 1
53 ¼ ln
2ð0:05Þ ð0:7Þð0:1Þ

If the facets were both uncoated, with reflectivity of

0.3, the gain point would be 72/cm.

If the reflectivity of the two facets are not equal (and they usually are not), then
the slope efficiency out of the two facets is also different. The term asymmetry
means the ratio of the slope efficiency out of one facet SE1 over the slope efficiency
out of the other facet SE2, and for Fabry Perot lasers is given

1=2 1=2
SE1 R1  R1
¼ ð5:20Þ
SE2 R1=2  R1=2
2 2

Tailoring the slope efficiency is a useful and powerful way to affect the per-
formance of the laser.

Example: A Fabry-Perot 1.48 lm laser has a low reflec-

tivity (LR)/high reflectivity (HR) pair of facet coatings
with reflectivity R1 = 0.1 and R2 = 0.7, respectively, and
is intended to have a fiber coupled to the LR side. The
internal quantum efficiency is 0.8, and the absorption
loss is 15/cm. For a cavity length of 400 lm, calculate
the slope efficiency in W/A out of the front facet.

Solution: The total slope efficiency in photons/carrier

is calculated using Eq. 5.19 to be 0.55.
 
1 1
0:8  2ð0:04Þ lnðð0:7Þð0:1Þ
0:55 ¼ 1 1
2ð0:04Þ lnðð0:7Þð0:1Þ þ 15
102 5 Semiconductor Laser Operation

According to Eq. 5.20, the ratio of the slope out the

front to slope out the back facet is

0:10:5  0:10:5
7:9 ¼
0:70:5  0:70:5

Hence, the slope efficiency in photons/carrier out the

front facet is

7:9
0:49 ¼ 0:55
8:9

And in W/A,

1:24
0:41 ¼ 0:49
1:48

Later in Chap. 8, we will extensively discuss another type of device called a

distributed feedback (DFB) laser. Those lasers are also coated, but in those devices
the equations for relative power given in this chapter do not apply.

5.7 A Complete DC Analysis

Fundamentally, laser characteristics are limited first by the material and then
affected by the structure. The kinds of samples used for material analysis are almost
always ‘broad-area’ samples, tested with pulsed current sources. These types of
samples and testing methods are used to avoid non-idealities associated with the
waveguide that we are trying to measure material properties and with heating
effects. (Laser devices exhibit significant heating effects at higher current.)
Figure 5.11 illustrates the difference between broad-area and single-mode (ridge
waveguide) devices.
Several different devices are measured at each length because there is significant
variation from device-to-device.
The two key equations in this sort of analysis are Eqs. 5.6 and 5.19. Shown
below is an example of the complete set of data acquired from devices of various
lengths and the analysis of material and device properties.
5.7 A Complete DC Analysis 103

Fig. 5.11 Left, broad area, and right, ridge waveguide devices. Ridge waveguide support single
transverse mode operation and are used for communication, while broad-area devices are used for
material characterization as details of the ridge, and resistance, matter much less

Example: The set of data in Table 5.1 is obtained on

broad-area laser devices which have a lasing wavelength
of 1.31 lm. Find the transparency current of this mate-
rial, the. absorption loss, and the internal quantum
efficiency.

Table 5.1 A set of data obtained from a few different laser samples each with a 30 lm stripe
width and uncoated facets
Sample Sample Ith SE (measured Jth (Ith/ SE (two facets,
# length (mA) from one facet) length * 30 lm) in
(lm) (W/A) photons/carrier)
Measured quantities Calculated quantities
1 500 217 0.14 1447 0.30
2 500 217 0.13 1447 0.27
3 500 217 0.18 1447 0.34
4 750 259 0.09 1151 0.19
5 750 269 0.09 1187 0.23
6 750 258 0.11 1147 0.21
−2
7 1000 286 9.1  10 953 0.19
8 1000 294 9.2  10−2 980 0.19
9 1000 297 8.0  10−2 990 0.17
The columns at left, Ith (mA) and SE (W/A) are directly measured quantities; the columns at right,
Jth and SE (photons/carrier)
104 5 Semiconductor Laser Operation

Fig. P5.12 Threshold

current density versus 1/L for
a set of lasers, showing Jth
about 500 A/cm2

Solution: The straightforward process is illustrated by

example below. The theoretical model is provided by
Eqs. 5.6 and 5.19. First, the current density is calcu-
lated by simply dividing by the area. The measured output
efficiency is evaluated by multiplying by two (in this
case, where the facets are identically uncoated) and by
k/1.24 eV lm. These values are plotted in the last two
columns of Table 5.1.
To determine transparency current, the threshold
current density is plotted versus 1/L according to
Eq. 5.6. The result is shown in Fig. P5.12. The value
extrapolated as L tends to infinity is the transparency
current density which is the minimum current density

Fig. P5.13 External quantum efficiency versus device length L. The intercept gives the internal
quantum efficiency, while the absorption loss can be obtained from the slope
5.7 A Complete DC Analysis 105

required to lase in this material. This number is often

used as a figure of merit for the material.
The efficiency versus length can be plotted according
to Eq. 5.19. This equation shows the relative effect of
mirror loss versus absorption loss. As the cavity length
goes to zero, the only effective loss is the mirror loss,
and the ratio of carriers into photons out gives the
internal quantum efficiency (typically >0.60). Below, 1/
ηe (external quantum efficiency) is plotted as a function
of L to show extracted internal quantum efficiency of
about 0.74.
The slope plotted in Fig. P5.13 gives the absorption
loss a. (If this value is measured in a broad-area device,
it can be different than that seen in a ridge waveguide,
due to the scattering from the ridge.)

The best-fit equation for 1/ηe versus L in Fig. P5.13 is

1
¼ 0:0042L þ 1:36
g

Comparing with Eq. 5.19, 0.0042 = 2a/ηi * 1/ln(R1R2),

and with known facet reflectivities R1 = R2 = 0.3, and
extracted value of ηi of 0.74, gives a value for a of
3.74  10−3 lm−1, or 37 cm−1.

5.8 Summary and Learning Points

In this chapter, we related the fundamental internal properties of semiconductor

quantum wells to the input and output parameters of a device.

A. The reflectivity of as-cleaved semiconductor facets is given by the index of the

material and air and is typically about 0.30.
B. Lasers operate in a steady-state condition of unity round trip gain where for a
constant current input (or any input excitation level) the photon density in the
cavity and exiting the cavity is stable.
C. A simple but useful model of the gain represents it as proportional to the carrier
density minus a transparency carrier density. The transparency current density
106 5 Semiconductor Laser Operation

is a structure and material constant that sets the minimum carrier density at
which the material can lase.
D. In addition to the gain and loss associated with the active region, there is
absorption loss associated with absorption of the optical mode in the doped
cladding layers. There is also optical scattering from the waveguide. These
additional loss terms affect the efficiency and threshold current of the device.
E. The gain point of a Fabry-Perot optical cavity is set by the absorption losses and
the facet reflectivity.
F. Threshold current and slope efficiency of a given device are affected by facet
reflectivity. Commercial devices typically have their facets coated to cause
more light to exit the primary end.
G. By evaluation of threshold current density as a function of length, a
material/structure parameter called transparency current density can be mea-
sured. This sets the minimum threshold current density obtainable for a very
long device and is used as a figure of merit for laser structures.
H. Rate equation models are used to relate injection current, carrier density and
photon density and predict the DC characteristics of threshold and linear L-I
slope that are observed.
I. Gain can be expressed in cm−1 (as appropriated for the optical loss equation) or
in s−1 (as in the rate equation) and are appropriately related by the speed of light
in the medium.
J. The short photon lifetime in a semiconductor laser cavity is fundamentally the
reason that they can be modulated very rapidly.
K. The total slope efficiency is given by the ratio of optical loss to total loss.
L. By analysis of DC characteristics of threshold current density and slope effi-
ciency versus length, cavity and material/structure parameters such as internal
quantum efficiency, absorption loss, and transparency can be extracted. These
numbers are often used as figures of merit for a structure or material.

5.9 Questions
Q5:1. True or False. The amplitude and power reflectivity at the interface of a
semiconductor facet and air increases as the dielectric constant of the
semiconductor increases.
Q5:2. Would the power coming out of an uncoated semiconductor laser increase
if it were tested in water instead of air?
Q5:3. True or False. Every photon that is created by recombination involves the
removal of an electron and a hole.
Q5:4. What physical properties of a cavity determine the steady-state DC lasing
gain?
Q5:5. What happens to the cavity gain g and threshold current Ith when the
reflectivity of the facets R1 and R2 is increased?
5.9 Questions 107

Q5:6. What happens to the cavity gain g as the cavity length increases? What
happens to the threshold current Ith?
Q5:7. What phenomena determine absorption loss? Is absorption loss minimized
or maximized in manufacturing real semiconductor lasers?
Q5:8. What is the rate equation model for lasing (see Eq. 5.12 and describe the
physical mechanism behind each term).
Q5:9. What is transparency current and how is it determined?
Q5:10. What is an L-I curve?
Q5:11. Define external and internal quantum efficiency. How are these properties
measured?
Q5:12 Why are measurements for fundamental properties such as transparency
current usually done with broad-area lasers and pulsed current?
Q5:13. What is slope efficiency?
Q5:14. What are typical values of the reflectivities of both facets of a Fabry-Perot
semiconductor laser in order to allow most of the light to couple to an
optical fiber attached to one facet?

5.10 Problems
P5:1 A semiconductor laser has a threshold current Ith of 20 mA with a carrier
lifetime of 1 ns (due to Auger and bimolecular recombination) and an
impurity density of <1013/cm3. Figure P5.14 gives the dependence of car-
rier lifetime on impurity density in this particular material.

(a) By what mechanism does increasing impurity density reduce the

lifetime?
(b) If the laser had an impurity density of 1018/cm3, what would its
threshold current be?

P5:2 A laser designed to laser at 980 nm has an internal efficiency of 0.9, power
reflectivity of 0.4 from both facets, a length of 300 lm, and internal ab-
sorption loss of 20/cm−1.

(a) What is the photon lifetime sp?

(b) What is the slope efficiency, measured out of one facet, measured in
W/A?

P5:3. A laser active region has the following material properties:

ηi (internal quantum efficiency) 0.8
Jtr (transparency current density) 2000 A/cm2
108 5 Semiconductor Laser Operation

Fig. P5.14 Recombination lifetime versus impurity density for some semiconductor

A (differential gain) 0.02 (/cm * cm2/A)

Eg (band gap) 0.946 eV.

In addition, the waveguide structure used is 1 lm wide and has an

additional loss
a (absorption loss) 20/cm.

Design a laser with the following properties:

Front facet slope greater than 0.4 W/A

Rear facet slope at least 0.05 W/A
Length between 150 and 450 lm
Threshold current below 20 mA.
The actual design can be done with a spreadsheet, but for what you submit,
please calculate explicitly the threshold current, and slope efficiency out of
each facet as a function of your chosen parameters.

P5:4. Vertical cavity lasers use dielectric Bragg stacks as mirrors and can be made
with extremely high reflectivity. The mirrors are typically circular, and the
active area, instead of being set by the length times the ridge width, is set by
area pr2. The table below summarizes the length, ridge width, calculated
active area, and reflectivity of a typical edge-emitting laser, as wells as the
length, radius, and calculated active area for a VCSEL (Fig. P5.15).

(a) Calculate the mirror loss for the edge-emitting laser.

5.10 Problems 109

(b) Calculate the reflectivity for the VCSEL which will give it the same
mirror loss as the edge-emitting laser.
(c) Assuming these cavities are crafted from the same gain region, and
neglecting absorption, estimate the threshold current for the VCSEL.

P5:5. The rate equation model, above, predicts a threshold current where n = nth
above which the light out is linearly proportional to current density n. This
can be easily derived if we assume that bn/sr is negligible. However,
spontaneous emission is observed below threshold, and light-emitting
diodes operate completely through the means of spontaneous emission.

Derive the sub-threshold slope ratio of S/J in terms of other quantities in the
rate equation for n < nth.

P5:6. An uncoated laser has a facet active area of A, a modal index of n (which
determines both reflectivity and mode speed), and a facet reflectivity of
R. Assuming a uniform photon density in the optical cavity, determine an
expression for photon density in the cavity in terms of power measured
P (in W) out of the cavity facet.
P5:7. The 1 mm long device in the example of Sect. 5.7 has a threshold current of
about 290 mA with uncoated facets. If the device was coated with
facets >99% reflectivity (to reduce the facet reflectivity to negligible levels),
what would its threshold current be?

Edge emitting laser properties Surface emitting laser properties

L=300µm L=1µm
R1=R2=0.3 R1=R2=?
Ridge width=1.5µm Diameter=2µm
Ith=10mA Ith=?
Active area=4.5x10 –6cm2 Active area=3X10 –8 cm2

Fig. P5.15 Picture and properties of edge-emitting and surface-emitting laser devices. The
shaded area represents the emitted optical mode
110 5 Semiconductor Laser Operation

Fig. P5.16 Laser with a partial active cavity

P5:8. Fig. P5.16 shows a laser with a partial active cavity. In this structure, the
part on the left is the active region with the quantum wells and gain; the part
on the right is a ‘beam expander,’ which has no gain but is engineered to
change the pattern of light out of the device to something that will better
couple into optical fiber (glance ahead at Fig. 7.11!). As seen in Fig. 5.10,
the general power distribution in a laser cavity is non-uniform. This prob-
lem involves modeling the cavity above to calculate the power distribution
in this unusual cavity.

(a) Find the gain point g in the active region at which this structure will
lase.
(b) Plot the forward-going, backward-going, and total power distribution in
this cavity.
(c) Find the slope efficiency out the front facet in terms of photons out/total
photons created.
Electrical Characteristics
of Semiconductor Lasers 6

Some say the world will end in fire

Some say in ice…
—Robert Frost

Abstract
In this chapter, the electrical characteristics of semiconductor lasers are
discussed. The basic operation of p–n junction diodes is reviewed, and the
ways in which semiconductor lasers are and are not diodes will be enumerated.

6.1 Introduction

In the first several chapters of the book, we have talked about the general properties
of lasers and then the specifics of semiconductor lasers. More or less, our analysis
has started at the active region—the ‘fire’—and the way that the electrons and holes
create lasing photons. However, there is another important part of it, which is how
the electrons and holes make their way to the active region in the first place. This
part—the ‘ice’, if the reader will allow the poetic analogy to be strained more than
GaAs grown on as Si substrate—is not unique to semiconductor lasers, but is
nonetheless crucially important to them.
In this chapter, we will review semiconductor p–n and p–i–n junctions, and then
we discuss ways in which lasers diverge from ideal p–i–n junctions. We will also
discuss metal contacts to semiconductor lasers. We do expect the reader to have
encountered p–n junctions before, and so our treatment is terse. More details can be
found in many other textbooks on semiconductors.1

1
For example, Streetman and Banerjee, Solid State Electronic Devices, Prentice Hall.

© Springer Nature Switzerland AG 2020 111

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_6
112 6 Electrical Characteristics of Semiconductor Lasers

6.2 Basics of p–n Junctions

Semiconductor laser diodes consist of a p-doped region on one side, a generally

undoped region of quantum wells and barriers in the center which is the ‘active
region’ of the laser diode and an n-doped region on the other side. Electrons are
injected from one side, and holes are injected from the other side. Both electrons
and holes accumulate in the active region.
The objective is to derive the p–n junction diode equation. Because there is a lot
of math to follow, and as a navigational aide, we illustrate the logical flow in
Table 6.1. Then we will see how the derived expression applies to lasers.
The result of all this is to derive a general expression for the I–V curve across a
p–n junction. The salient features are an exponential dependence of current on
voltage and a reverse saturation current that depends on the features of the active
region (doping, mobility, and lifetime).

6.2.1 Carrier Density as a Function of Fermi Level Position

The very first thing to introduce, or more appropriately, remind the reader of, is that
the Fermi level, Ef, is fundamentally a measure of carrier density. The number of
holes or electrons is given by the relatively complicated expression in Table 4.1,
which includes the Fermi distribution function and the density of states function.

Table 6.1 Steps in deriving the diode current equation

Step Sections
1. The use of Fermi levels to describe the population of a single p- or n-doped 6.2.1
semiconductor is demonstrated
2. The band structure of an abrupt p–n junction in equilibrium is drawn 6.2.2
3. From the band structure, the space charge region and built-in voltage is derived 6.2.3,
6.2.4
4. From the relationship between space charge, and voltage, the width of the space 6.2.5
charge region is derived
5. The same abrupt junction has a bias applied to it, splitting the Fermi level into 6.3
twoFermi levelsquasi-Fermi levels (one for electrons and one for holes)
6. From the band structure picture, a rough picture of the charge density is 6.3.1
sketched, assuming (as usual) an abrupt transition between the depletion region
(with only space charge and no mobile charge) and the quasi-neutral region (with
no net charge)
7. Assuming the excess charge is given by the minority carrier expression, an 6.3.2
expression for excess minority carrier charge is derived, and from that, minority
carrier diffusion currents
8. Finally, because current is continuous, the total current across the junction 6.3.3
(neglecting recombination current in the depletion region) is equal to the sum of
minority carrierdiffusion currents on each side of the junction
6.2 Basics of p–n Junctions 113

Table 6.2 Band gap, intrinsic carrier concentration, effective density of states, and relative
refractive index of some common materials
Material Band gap (eV) ni (cm3) NC (cm3) Nv (cm3) er (e0 = 8.85  10−12 F/m)
Si 1.12 1.45  10 10
2.8  1019
1.0  10 19
11.7
GaAs 1.42 9  106 4.7  1017 7  1018 13.1
AlAs 2.16 10 1.5  1017 1.9  1017 10.1
InP 1.34 1.3  107 5.7  1017 1.1  1019 12.5

However, for bulk semiconductors in which the Fermi level is not too close to the
conduction or valence band, there are two convenient simplifications.
First, the number of electrons and holes, n0 and p0, in equilibrium, can be written
as

n0 ¼ Nc expððEc  EFermi Þ=kTÞ

ð6:1Þ
p0 ¼ Nv expððEFermi  Ev Þ=kTÞ

where Ec and Ev are the energy levels of the valence and conduction bands,
respectively. The terms Nc and Nv are what are called the effective density of states
of the conduction band and valence band, respectively. This simplification lumps all
the states in the bands into one number, located exactly at the conduction band
edge, and so, rather than the expression in Table 4.1, only a multiplication is
needed. This number is about 1020/cm3 in Si and 1017/cm3 in GaAs. Particular
values for different materials are in Table 6.2.
The product n0p0 has the property,

n0 p0 ¼ Nc Nv expððEc  EFermi Þ=kT Þ expððEFermi  Ev Þ=kT Þ

¼ Nc Nv expððEc  Ev Þ=kT Þ ð6:2Þ


¼ Nc Nv exp Eg =kT ¼ n2i

and is a constant in equilibrium, independent of the Fermi level. The number ni is

called the intrinsic number of carriers and is a material property. In an undoped
semiconductor, this represents the density of bonds which will be broken thermally
and create holes and electrons.
In most semiconductors, the carriers are created by doping, and typically n0 or p0
is set by the density of donor atoms, ND, or acceptor atoms, NA. The dopant atoms
are things which fit into the lattice but are either deficient in electrons (Group III
dopants, like B or C) or have an extra electron (Group V dopants, like As).
The effect is to set the Fermi level not at the intrinsic Fermi level (Ei, in the
middle of the band gap) but either near the conduction band, for n-doped semi-
conductors, or near the valence band, for p-doped semiconductors.
For the moment, let us look at a Si lattice. Equation 6.2 says that if n0 is
increased (say, to 1017/cm3, by doping Si to a 1017/cm3 level), then the equilibrium
114 6 Electrical Characteristics of Semiconductor Lasers

Fig. 6.1 Band structure of a p-doped semiconductor illustrating how the carrier concentrations
can be referenced to the conduction band or to the intrinsic Fermi level

density of holes falls to 103/cm3. In an undoped semiconductor, mobile holes are

created along with the mobile electrons, and so n0 = p0.
Equation 6.3 shows an expression for the carrier density as functions of the
position of the Fermi level and the conduction and valence band. Because the
carriers increase exponentially with respect to the energy level, we can write the
carrier density conveniently with respect to the Fermi level and the intrinsic Fermi
level (the middle of the band gap). The form of the equations is the same, but the
prefactor (ni, and Nc/Nv) and the reference value differ,

n0 ¼ ni expððEFermi  Ei Þ=kT Þ
ð6:3Þ
p0 ¼ ni expððEi  EFermi Þ=kT Þ

There is an easy way to recall Eqs. 6.2 and 6.3. Equation 6.2 says that if the
Fermi level was at the conduction band (with EFermi − Ec = 0), then the carrier
density would be Nc. Equation 6.3 references the carrier density to the intrinsic
Fermi level, Ei. If the Fermi level was at the intrinsic Fermi level (with EFermi −
Ei = 0), then the carrier density would be ni.
A visual representation of the Fermi level, and these formulas, is shown in
Fig. 6.1.
Some material constants to be used in the examples, and in the end-of-chapter
problems, are tabulated in Table 6.2.
An example will illustrate the use of these equations.

Example: A Si wafer is doped with 3  1017 atoms/cm3 of B.

Sketch the band structure, indicating the distance
between the Fermi level and the intrinsic Fermi level,
and the distance between the Fermi level and the valence
and conduction band. Find n0 and p0.
Solution: Using Eq. 6.3, and assuming p0 = 3  1017/cm3,
then (EFermi − Ei) = kT ln(NA/ni) = 0.026 ln(3  1017/
1010) = 0.45 eV from the intrinsic Fermi level. The band
gap of Si is 1.1 eV, so if the Fermi level is 0.45 eV from
6.2 Basics of p–n Junctions 115

the middle (0.55 eV), then it is about 0.1 eV from the

valence band and 1 eV from the conduction band.
Just to illustrate, Nv for Si is 1  1019/cm3. From
Eq. 6.1, 3  1017 = 1  1019exp(−(Ev −EF)/0.026)), or
Ev−EF = 0.09 eV, which is approximately the same value.
The numbers, n0 and p0, can be found from Eq. 6.1 or
Eq. 6.3, but most conveniently from Eq. 6.2. The term p0
at room temperature is the doping density, 3  1017/cm3,
so n0 = n2i /p0 = (1.45  1010)2/3  1017 = 700/cm3.

Let us also define two more useful terms. In a doped semiconductor, the majority
carriers are those directly derived from the dopants (electrons from a donor-doped
semiconductor), and the minority carriers are the other species, whose concentration
is reduced. In the previous example, holes are the majority carriers, and electrons
are the minority carriers.

6.2.2 Band Structure and Charges in p–n Junction

Having introduced a single semiconductor in Fig. 6.1, let us look at the properties
of something more complicated. In Fig. 6.2, we show a p–n junction, drawn in
equilibrium, as the basis for the discussion for the next several sections.
In equilibrium, there is only one Fermi level which describes the entire structure,
shown stretching across from one side to another. The distance between the Fermi
116 6 Electrical Characteristics of Semiconductor Lasers

level and the valence and conduction band, respectively, give the number of mobile
electrons or holes in the band. Also shown in the figure is the resulting fixed charge
at the junction, the direction of the electric field (and corresponding drift current),
and the electric field.
Far away from the junction between the n- and p-region, the semiconductors
look like n-doped or p-doped semiconductors. Here, Eqs. 6.1–6.3 apply. For
example, on the n-side, the electron density is about equal to the dopant density, the
hole density is n2i =ND , and the Fermi level is near the conduction band. What
happens at the junction is discussed next.
These regions on the n- and p-side are called the quasi-neutral regions. They are
electrically neutral because the large number of mobile electrons comes from
dopant atoms. Each mobile electron with a negative charge leaves behind a fixed
positive charge dopant atom. Hence, the net charge is zero, and it is electrically
neutral.
The region in the middle, where the Fermi level is far from both the conduction
and valence band, has few mobile carriers but still has the immobile charge asso-
ciated with the dopant atoms. This is called the space charge region or the depletion
region.
Where did the mobile charges go? At the junction between the electron-rich n-
doped side and the hole-rich p-doped side, the free electrons and holes recombined
and vanished, leaving the space charge behind.
At the junction of these two regions, there is a very short region in which the
semiconductor goes from being quasi-neutral, with zero net charge, to having many
fewer mobile carriers and an electric field. This length is of the order of the Debye
length, LD, given by
sffiffiffiffiffiffiffiffi
ekT
LD ¼ ð6:4Þ
Nq2

where N is the dopant density, e is the dielectric constant, and q is the fundamental
charge unit.
Even for relatively low dopant densities, the Debye length is quite small. The
usual assumption is of an abrupt junction between the quasi-neutral region and the
depletion region, which is quite reasonable.
We can now look at the band structure of Fig. 6.2 and sketch the free charge
density.

Example: Using the distance between the Fermi level and the
band in Fig. 6.2, sketch the mobile charge concentration.

Solution: Far away from the junction, the free carrier

concentration of electrons and holes is equal to the
dopant density. In the depletion region, the Fermi level
6.2 Basics of p–n Junctions 117

Fig. 6.2 Band structure, depletion charge density, and electric field of a p–n junction in
equilibrium. Some equations to be developed are already shown in the diagram
118 6 Electrical Characteristics of Semiconductor Lasers

is far from both the conduction and valence bands,

leading to a very low concentration of both electrons and
holes. The holes and electrons, brought in close prox-
imity, recombine. The overall sketch of free carrier
density is given below.

To summarize, there are:

(i) Mostly mobile electrons on the n-side of the junction balanced by ionized
dopants;
(ii) Mostly mobile holes on the p-side of the junction balanced by the ionized
dopants; and
(iii) Very few mobile electrons or holes in the middle of the junction (the space
charge region).

Because the space charge region is charged, it has an electric field associated
with it. The electric field always points from positive charge to negative charge. In
this case, it points from the n-side (which has positive space charge) to the p-side
(which has negative space charge).

6.2.3 Currents in an Unbiased p–n Junction

6.2.3.1 Diffusion Current

In a p–n junction under no applied voltage, there is no net current, However, there
are current components. In particular, on the one side of the junction (the n-side),
there are a lot more electrons than there are on the other side (the p-side). There is a
diffusion of electrons from the electron-rich n-side to the p-side. Diffusion current in
general is given by
6.2 Basics of p–n Junctions 119

 
dp
Jpdiffusion ¼ qDp
dx
  ð6:5Þ
dn
Jndiffusion ¼ qDn
dx

where J is the diffusion current, n and p are the concentrations of electrons or holes,
respectively, and q is the fundamental unit of charge. The current is proportional to
the difference in carrier concentration (dn/dx) with a proportionality constant D that
depends on the material and on the carrier (holes or electrons). The change in sign
between electrons and holes is simply related to the charge of the carrier.
This expression makes common sense; if you put a drop of cream into coffee, the
entire cup of coffee gradually gets lighter as the cream diffuses from regions where
there is more cream (where it is first dropped in) to regions where there is less
cream. Random motion provided by temperature serves to spread out things from
regions of high concentration to low concentration.
In a p–n junction, we expect there to be some diffusion current associated with
holes moving from the p-side to the n-side (current going to the right) and with
electrons moving from the right to the left (also positive current going to the right).

6.2.3.2 Drift Current

There is also a built-in electric field associated with the space charge region. The
electric field points from the n-side to the p-side. That means that any mobile charge
carriers that happen to fall into the space charge region will be caught by that
electric field and swept to one side or another. The formula for drift current is

Jndrift ¼ qEln n
ð6:6Þ
Jpdrift ¼ qElp p

where E is the electric field, and l is the mobility of electrons or holes, respectively.
The reader is reminded that the mobility l is related to the diffusion current, D,
through the Einstein relation

D kT
¼ ð6:7Þ
l q

Fundamentally, the reason is that electrical mobility, and diffusion, both involve
carriers scattering randomly off of atoms in a crystal lattice. With an electric field,
there is displacement due to the electric field between collisions, which essentially
resets the direction of travel of the carrier; with diffusion, the random motion is
always random, but adds up to movement of the carriers from regions of high
concentration to low concentration. This will be explored further in the problems.
120 6 Electrical Characteristics of Semiconductor Lasers

Fig. 6.3 Current components across a p–n junction in equilibrium

The drift direction in which the carriers will go is interesting. From the n-side of
the quasi-neutral region, minority carriers (holes) which happen to fall into the
space charge region will drift over toward the p-side; similarly, minority electrons
on the p-side will drift over to the n-side. The drift current is in the opposite
direction to the diffusion current. At equilibrium, the net current is zero.
The drift and diffusion currents in a p–n junction in equilibrium are shown in
Fig. 6.3.
Questions about p–n junctions are very common on qualifier examinations for
Ph.D. students. As an aid for working out directions, the author suggests consid-
ering diffusion first. Diffusion is more intuitive (electrons of course diffuse from the
region with high electron concentration, the n-side, to the p-side), and drift current
is in the other direction. Remember to change the sign of the current direction when
the moving charge is negative!

6.2.4 Built-in Voltage

Figure 6.2 shows that an electron or hole is at a different energy level on one side of
the junction than the other. This difference is called the built-in voltage and is
determined by the difference in the doping levels on each side of the device.
A simple expression for the built-in voltage can be worked out from Eq. 6.2. The
carrier density on each side of the junction is approximately equal to the dopant
density at room temperature,

Nd ¼ ni expððEFermi  Ei Þ=kT Þ
ð6:8Þ
Na ¼ ni expððEi  EFermi Þ=kT Þ
6.2 Basics of p–n Junctions 121

where Nd and Na are the dopant densities of donors (n-side) and acceptors (p-side),
respectively. These expressions can be rearranged to be
 
Nd
Ef  Ei ¼ kT ln
ni
  ð6:9Þ
Na
Ei  Ef ¼ kT ln
ni

The first expression tells how much the conduction band is above the Fermi level
on the n-side. The second expression tells how much the valence band is below the
Fermi level on the p-side. From Fig. 6.2, it should be clear that the sum of these two
expressions (given that the Fermi level is a fixed reference) is the built-in voltage,
Vbi,
 
kT Nd Na
Vbi ¼ ln ð6:10Þ
q n2i

6.2.5 Width of Space Charge Region

The built-in voltage above is created by the space charge left in the space charge
region. Since we know the built-in voltage, and the charge density, we can deter-
mine the width of this space charge region, as described below.
The relationships between charge density, q, and electric field, E, are

dE q qNA=D
¼ ¼ ð6:11Þ
dx e e

Zxn
qðxÞ
E¼ dx ð6:12Þ
e
xp

where e is the dielectric constant, and N is the dopant density of acceptors or donors
(with the sign of the charge appropriately matching). This electric field is illustrated
in Fig. 6.2. For an abrupt junction with a constant charge density on each side, the
electric field is a maximum at the junction and falls to zero outside the depletion
region.
The electric field is the integral of the space charge density. In general, it is
easiest to keep the signs straight by just recalling that electric field points from
positive to negative charges. The integral goes from the (currently unknown) left
edge of the space charge region, xn, where it starts at zero, to the right edge of the
122 6 Electrical Characteristics of Semiconductor Lasers

space charge region, where it ends at zero again at xp. The electric field is maximum
right at the junction between the p- and the n-sides. The maximum electric field
Emax is

qNA xp qND xn
Emax ¼ ¼ ð6:13Þ
e e
With the electric field determined, the voltage is simply the integral of the
electrical field.

Zxn
Vbi ¼ EðxÞdx ð6:14Þ
xp

There is one other relationship between xp and xn that we can use. The total
amount of depletion charge has to be zero (why?). This relationship can be
expressed as

xp NA ¼ xn ND ð6:15Þ

Using Eqs. 6.13–6.15, the depletion layer width can be expressed in terms of the
doping as
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2e NA þ ND

xp þ xn ¼ Vbi  Vapplied ð6:16Þ
q NA ND

where Vbi is the built-in voltage, and Vapplied is the applied bias (which we will talk
about in the next section).
For a junction with an abrupt change between p-dopants and n-dopants, this is
the appropriate formula. For other dopant formulations (for example, a linear
gradient making a smooth transition from a p-side to an n-side), different formulas
can be derived, all of them based on the idea of a built-in voltage between one side
and the other, and a region completely depleted of mobile charges sandwiched
between quasi-neutral regions that are charge neutral.
A few qualitative observations are helpful. First, Eqs. 6.15 and 6.16 describe
how much of the depletion layer width appears on each side of the junction.
Because of overall charge neutrality, the width of the depletion layer is wider on the
more lightly doped side of the junction. If ND = 10NA, for example, the depletion
layer width will be 10 times larger on the p-side than on the n-doped side. If one
doping is significantly greater than the other (say 10 or more), it is usually
6.2 Basics of p–n Junctions 123

accurate enough to assume that all the depletion width appears on the lightly doped
side.
Another qualitative observation is that in a laser with an undoped active region
(or a p–i–n) diode, the middle section is undoped. The undoped middle section
looks like part of the depletion region in the sense of having relatively few mobile
charges. Depleted n- and p-layers appear at the edges of the doped active regions,
but the bulk of the built-in voltage is taken up by the voltage drop across the
undoped region. We will explore this further in the problems. Meanwhile, let us do
an example of the application of these equations.

Example: A Si abrupt junction is formed between a p-doped

1018/cm3 region and an n-doped 5  1016/cm3 region. Sketch
the band structure, labeling the distance between the
Fermi level and the conduction and valence band on each
side. Find the width of the depletion region on both the
n- and the p-side. Find the built-in voltage and the peak
electric field and indicate its direction.

Solution: Start by drawing a straight line indicating

the Fermi level in equilibrium.
  From Eq. 6.8, the Fermi
51016
level is Ef  Ei ¼ kT ln ¼ 0:37 eV above the intrinsic
1:451010
 
1018
Fermi level on the n-side and kT ln 1:4510 10 ¼ 0:47 eV below
the intrinsic Fermi level on the p-side. The built-in
voltage is then Vbi = 0.37 eV + 0.47 eV = 0.84 eV.
The width of the depletion region is then Eq. 6.16,
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2ð11:7Þð8:854  1014 Þ ð5  1016 þ 1018 Þ
xn þ xp ¼ ð0:84Þ
1:6  1019 ð5  1016 Þð1018 Þ
¼ 0:153 lm

Now, because the n-doping density is 20 less than the

p-doping density, practically all of this is on the n-
side. However, to work it out properly, we have two
equations: 5  1016xn = 1018xp, and xp + xn = 0.153 µm,
gives xp = 0.007 µm and xn = 0.146 µm.
The peak electric field is given by Eq. 6.13 and is 1:6 
10 ð5  1016
19
=cm3 Þð0:146  104 cmÞ=ð8:854  1014 F=cmÞð11:7Þ ¼
5
1:12  10 V=cm. It points from n-side to p-side.
The only care to be taken is with the units. Since
constants such as e are used here, be sure to use the
124 6 Electrical Characteristics of Semiconductor Lasers

constants associated with the units (for example,

e0 = 8.854  10−14 F/cm).
Putting all this information in a diagram like Fig. 6.1
gives

6.3 Semiconductor p–n Junctions with Applied Bias

6.3.1 Applied Bias and Quasi-Fermi Levels

Let us now examine the diode under an applied bias Vapplied (where a voltage is
applied to the p-side, and the n-side is grounded). The band diagram for this diode
under bias is shown below. Since it is forward biased, the barrier height shrinks, and
a positive current flows from the p-side to the n-side. Since the barrier height
(Vbi − Vapplied) is lowered, the depletion layer width is reduced as well.
When this bias is applied to the p-side, current starts to flow. Since it is the
diffusion current which flows from the p-side to the n-side, it must be the diffusion
current which increases as the voltage increases. In fact, this does make sense. Drift
current is composed of minority carriers which happen to wander into the depletion
region and are swept to the majority carrier side. Regardless of the size of the
depletion region, about the same number of minority carriers find themselves
caught in the depletion region and become drift current.
6.3 Semiconductor p–n Junctions with Applied Bias 125

Fig. 6.4 Forward-biased p–n junction. The quasi-Fermi level splits, with excess electrons injected
across the junction from the n-side and excess holes injected across the junction from the p-side, in
the other direction

In the band diagram of Fig. 6.4, the best representation of the device under bias
is with quasi-Fermi levels. (As we talked about in Chap. 4, quasi-Fermi levels are
separate Fermi levels for holes and electrons.) Far from the junction on the right
side, the semiconductor is by itself in equilibrium. Because there is a bias applied,
more holes are injected into the depletion region. Assuming minimal recombination
as they make their way across, these excess carriers appear at the edge of the p-side
quasi-neutral region. In the quasi-neutral region, these excess minority carrier holes
recombine with the majority carrier electrons until equilibrium is restored on the left
side. Again, far from the junction on the left side, the semiconductor is back in
equilibrium, with only one Fermi level.
The best way to draw the band structure is to draw both the left side and the right
side with the Fermi levels located as appropriate, and then separate them by the
applied voltage Vapplied. Then label the p-side Fermi level Eqfp and extend it into the
n-side; label the n-side Fermi level Eqfn and extend it into the p-side. At the
boundary of the n-side depletion region, the carriers enter a region with high carrier
density again and start recombining as they diffuse. As the minority carriers on each
side diminish, the quasi-Fermi levels approach each other again.
Looking at the quasi-Fermi levels, we can sketch the free carrier density in the
quasi-neutral region.
Far away from the junction, the carrier density is the intrinsic carrier density with
that doping density. Near the border of the depletion region, the quasi-Fermi levels
split, and there starts to be an excess of minority carriers. (There is also the same
number of excess majority carriers to maintain quasi-neutrality. However, the
percentage change in minority carrier density is much, much greater.)
Across the depletion region, there are more electrons and holes than there would
be in equilibrium. However, it is assumed that the carrier density is still too low for
significant recombination, so the extra carriers on each side are injected across the
depletion region and appear on the other side.
126 6 Electrical Characteristics of Semiconductor Lasers

6.3.2 Recombination and Boundary Conditions

Let us go from the band structure in Fig. 6.4 and charge density in Fig. 6.5 to the
current density. We know there is no current with no applied bias, and we wish to
determine the current with an applied bias. For reasons that will hopefully become
clear in the next section or two, let us focus on the diffusion of minority carriers in
the quasi-neutral region.
Given the band structure of Fig. 6.4, and the carrier density of Fig. 6.5, the
density of minority carriers at the edge of the quasi-neutral region is given as


np ¼ np0 exp qVapplied =kT

 ð6:17Þ
pn ¼ pn0 exp qVapplied =kT

where np and pn are the minority carrier density at the edge of the quasi-neutral
region, and np0 and pn0 are the minority carriers in equilibrium with the same
doping density. The carrier density, of course, depends exponentially on the Fermi
levels. The equilibrium densities of minority carriers, n on the p-side (np0) and p on
the n-side (pn0), are given by

n2i
np0 ¼
NA
ð6:18Þ
n2
pn0 ¼ i
ND

which is Eq. 6.2, with n or p equal to ND or NA.

Look closely at the n-side, where the minority carriers are holes. At the edge,
there is an excess number of holes; far from the boundary, everything has returned
to equilibrium. Therefore, there is a diffusion of minority holes into the n-side. As

Fig. 6.5 Mobile charge density of holes and electrons in the quasi-neutral region under forward
bias. Note that there are more electrons and holes on both sides of the depletion region
6.3 Semiconductor p–n Junctions with Applied Bias 127

these excess minority (and majority) carriers diffuse away from the junction, they
recombine, until they return to equilibrium. There are still minority carriers, but
they are now in thermal equilibrium with the majority carriers. The amount of
minority carriers generated thermally is equal to the amount disappearing through
recombination.
The equations for excess minority carriers can be most conveniently written by
defining a variable Δn, which is the number of minority carriers above equilibrium,


 
Dnp ¼ np0 exp qVapplied =kT  1


  ð6:19Þ
Dpn ¼ pn0 exp qVapplied =kT  1

The equation below describes the combined diffusion and recombination of

carriers in the active region. We are interested in the steady state solution when the
concentrations are not changing with time,

dDnðx; tÞ d2 Dnðx; tÞ Dnðx; tÞ

¼0¼D  ð6:20Þ
dt dx2 s
This comes from Fick’s second law of diffusion and conservation of particles. In
this expression, D is the diffusion coefficient, and s is the carrier recombination
lifetime. In other words, what it says is that the change in concentration for any
given point n(x) depends on the flux of carriers in, the flux of carriers out, and
recombination.
There can also be a current component due to generation (in semiconductors, if the
number of carriers is below the equilibrium number, carriers are thermally generated
in the material. We neglect it in this equation). The equation is shown pictorially
below. The excess holes both recombine, and diffuse, in the quasi-neutral region.
Taking the coordinates as sketched in Fig. 6.6, the boundary conditions for this
differential equation are


 
Dpn ð0Þ ¼ pn0 exp qVapplied =kT  1 ð6:21Þ

and

Dpn ð1Þ ¼ 0 ð6:22Þ

(The minority concentration returns to equilibrium far from the junction). With
these equations and boundary conditions, the solution Δpn(x) is
 pffiffiffiffiffiffi

 
Dpn ¼ pn0 exp x= Ds exp qVapplied =kT  1 ð6:23Þ
pffiffiffiffiffiffi
The term Ds appears in this equation. This term has dimensions of length and
is called the diffusion length, LD. It represents the typical length that a carrier will
travel before it recombines. Equation 6.24 gives the diffusion length for electrons
128 6 Electrical Characteristics of Semiconductor Lasers

Fig. 6.6 Diffusion current at the edge of the quasi-neutral region, showing the holes diffusing and
recombining as they diffuse away from the junction

and holes, written with subscripts as a reminder to use the appropriate lifetime and
diffusion coefficient for each carrier on the correct side of the junction.
pffiffiffiffiffiffiffiffiffiffi
Ln ¼ D n sn
pffiffiffiffiffiffiffiffiffiffi ð6:24Þ
L p ¼ D p sp

6.3.3 Minority Carrier Quasi-Neutral Region Diffusion

Current

Finally, from Eq. 6.5, we are in a position to calculate the current: specifically, the
diffusion current associated with minority carriers on the n-side of the junction.
Equation 6.23 gives the excess carrier concentration, Δpn(x). From Fick’s law,
the diffusion current of minority carriers on the n-side is proportional to

dDpn pn0  pffiffiffiffiffi

 

J ¼ qD ¼ qD pffiffiffiffiffiffi exp x= Dt exp qVapplied =kT  1 ð6:25Þ
dx Ds

where x, we remind the reader, is the distance from the edge of the depletion region
going into the quasi-neutral region. An identical equation can be derived for
electron minority current on the p-side. The current density J here is the current
density in A/cm2 in cross-sectional area.
Now, finally, we are in a position to write down the diode current equation.
Before we do, to make it realistic, we have to add a few more subscripts. The
diffusion coefficient is different for electrons and holes (for one thing, the mobility
6.3 Semiconductor p–n Junctions with Applied Bias 129

Fig. 6.7 Current components in the quasi-neutral regions of a forward-biased diode

for electrons is different from the mobility for holes, and according to the Einstein
relation, that means the diffusion coefficient will be different as well). In fact, the
diffusion coefficient depends not only on whether it is holes or electrons which are
diffusing, but also on the ambient dopant density, which depends on which side
of the junction the diffusion takes place. We will label the diffusions, Dn–p-side and
Dp–n-side to refer to the diffusion of (minority carrier) electrons on the p-side or
diffusion of (minority carrier) holes on n-side.
The lifetime of electrons or holes is also different, so we will now label s as sp
and sn.
Now, let us think about currents in a more qualitative way, as illustrated in
Fig. 6.7. Current has to be continuous across the device, since there is no charge
accumulation. We know what charge distribution looks like across the device under
an applied bias, that is, given from Fig. 6.5. Based on the derivative of charge
distribution, we can label currents in the charge picture shown in Fig. 6.7.
Across and up to the edges of the depletion region, there is no meaningful
recombination; therefore, both electron and hole currents have to be separately
continuous. The majority carrier current on each side is actually carried by a
combination of drift and diffusion (once the charge distribution has reached equi-
librium, there can be no more diffusion current; drift is much more significant for
majority carriers because the current is proportional to the number of carriers).
On the left side of the junction, the electron current is all diffusion of minority
carriers. On the right side of the junction, all the hole current is diffusion current of
minority carriers. Therefore, the total current across the junction is the minority
carrier current at the edge of the n-side plus the minority carrier diffusion current at
the edge of the p-side. Written down, it is
!
pn0 pp0

 
J ¼ q Dpn side pffiffiffiffiffiffiffiffi þ Dnp side pffiffiffiffiffiffiffiffi exp qVapplied =kT  1 ð6:26Þ
Dsp Dsn
130 6 Electrical Characteristics of Semiconductor Lasers

Written to put it in terms of the intrinsic number of carriers in the semiconductor

(ni) and the doping level, the equation can be written as
!
n2i n2i

 
J ¼ q Dpn side pffiffiffiffiffiffiffiffi þ Dnp side pffiffiffiffiffiffiffiffi exp qVapplied =kT  1 ð6:27Þ
ND Dsp NA Dsn

or it is sometimes written as
 
n2i n2i

 
J ¼ q Dpn side þ Dnp side exp qVapplied =kT  1 :
ND Lpn side NA Lnp side
ð6:28Þ

However, most people will recognize it most easily as the diode equation,
 
n2i n2i
J0 ¼ q Dpn side þ Dnp side
ND Lpn side NA Lnp side ð6:29Þ
J ¼ J0 ðexpðqVapplied =kTÞ  1Þ

in which the diode current depends exponentially on the applied voltage and a
prefactor term J0 which depends on the doping and material characteristics.
Let us now work through an example.

Example: A silicon p–n junction has the following

characteristics.
n-side p-side
ln = 1000 cm2/V s ln = 500 cm2/V s
lp = 400 cm2/V s lp = 180 cm2/V s
sn = 500 lS sn = 10 ls
sp = 30 lS sp = 1 ls
ND = 5  1016/cm3 NA = 1018/cm3

Find the diffusion lengths, Lp and Ln, and the reverse

saturation current density, J0.

Solution: This is Eq. 6.16, where the only hard part is

picking out the right constants. On the n-side, we are
looking at the diffusion of minority holes, so the cor-
rect numbers are sp and Dp. Dp can be calculated from lp as
Dp ¼ kT=q lp ¼ 0:026  400 ¼ 10:4 cm2 =s. On the p-side, simi-
larly, the relevant numbers are sn and Dn, which are 10 ls
and 13 cm2/s.
6.3 Semiconductor p–n Junctions with Applied Bias 131

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
The diffusion lengths then are 10  106  13 ¼ 114 lm
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
for electrons on the p-side, and 30  106  10 ¼ 176 lm for
holes on the n-side.
The prefactor J0 is given by Eq. 6.29, or,
!
19 ð1:45  1010 Þ2 ð1:45  1010 Þ2
1:6  10 10 þ 13
ð5  1016 Þð0:0176Þ ð1018 Þð0:0114Þ
¼ 4:32  1012 A=cm2 :

6.4 Semiconductor Laser p–n Junctions

6.4.1 Diode Ideality Factor

Having reminded the reader of the I–V curve of an ideal abrupt p–n junction, let us
talk about the I–V curve of a working laser or a real diode. There are several
differences.
The ideal diode equation (Eq. 6.29) was derived neglecting currents that come
from recombination, or generation, within the depletion region. Actual diodes have
equations that look like Eq. 6.29, but with a diode ideality factor, n, as


 
J ¼ J0 exp qVapplied =nkT  1 ð6:30Þ

This ideality factor is determined by measuring the I–V curve of the laser and
fitting it to the form of Eq. 6.30. They reflect the influence of these non-ideal terms,
like recombination or generation currents. In general, most diodes have a diode
ideality factor greater than 1. Laser diodes, in particular, are designed to facilitate
recombination, and the ideality factor of lasers is closer to 2.
Second, a laser typically does not have an abrupt junction. Often the laser has an
undoped active region, which means it has several hundreds of nanometers, or
more, of undoped material. The diode looks more like a p–i–n junction than a p–
n junction. That makes the peak electric field across the junction less and the
effective depletion width somewhat more. (This will be explored further in the
problems.)
132 6 Electrical Characteristics of Semiconductor Lasers

6.4.2 Clamping of Quasi-Fermi Levels at Threshold

Above threshold, the differences are more interesting. First, let us define the dif-
ferential resistance, Rdiff, of a diode (or any device).

dV 1 kT
Rdiff ¼ ¼ ¼ ð6:31Þ
dI dI IðVÞ
dV
This differential resistance is the reciprocal of the slope at each point. In a
conventional diode, the differential resistance continually decreases.
However, the physical phenomenon on which this is based is the continual
splitting of the quasi-Fermi levels as the voltage increases. In a laser, the
quasi-Fermi levels are clamped above threshold; above threshold, all the extra
carriers that are injected into the active region leave as photons. Because the
quasi-Fermi levels are clamped, the differential resistance is also clamped. This
differential resistance is actually no longer a ‘diode’ resistance; it represents the
parasitic resistance due to the contact resistance of the metals and the ohmic
resistance across the p- and n-side of the active region.
There is a fairly dramatic difference between the differential resistance curve of a
conventional diode and a laser diode. Figure 6.8 shows the I–V, and differential
resistance, measured from a laser, at threshold and above, along with the I–V and
I–dV/dI curve of a fictitious diode with the same n and saturation current.
At threshold, the resistance of a laser drops and is constant, with a value equal to
the parasitic resistance. This parasitic resistance is often a laser parameter with a
product specification to be less than 10 X or so; the higher this value becomes, the
more heat gets injected into the active region along with the current.
The differential resistance of a diode is continually decreasing. In a sense, the
laser diode is no longer a diode at threshold, but has a clamped band structure. It is

Fig. 6.8 I–V, and I–dV/dI curve, of a conventional diode (with matching ideality factor and
reverse saturation current). The differential resistance of the conventional diode decreases with
current, while the differential resistance of the laser diode is clamped
6.4 Semiconductor Laser p–n Junctions 133

also interesting to see that the diode can be distinguished from a laser diode, and the
laser diode’s threshold current even measured, with a purely electrical
I–V measurement!

6.5 Summary of Diode Characteristics

To quickly summarize Sects. 6.2–6.4, the basics of p–n junctions were reviewed.
After the diode equation was developed, a few important differences between it and
real lasers were pointed out. First, the laser quasi-Fermi levels are ‘clamped’ above
threshold. Above threshold, the I–V relationship is no longer exponential, but is
actually linear again. The slope (the dynamic resistance) is from the parasitic
resistance due to the conduction through the semiconductor and the contact resis-
tances from the metal contacts.
Second, the classic diode equation has a diode ideality factor n = 1 and neglects
recombination currents in the active region. In fact, laser diodes are designed to
facilitate recombination in the active region and so typically have diode ideality
factors, below threshold, closer to 2.
We also note that the actual peak electric field across a laser active region is
usually substantially lower than that in a p–n junction, because of the (generally
undoped) quantum wells.

6.6 Metal Contact to Lasers

Apart from forming the p–n junction, the other major electrical task is to make
contact with an operating laser. Since it is a semiconductor device, ultimately it has
to come down to metal. The classic problem of how to get a good metal to
semiconductor contact is one that was first associated with Schottky. We can start
talking about the problem by drawing the band structure associated with a metal–
semiconductor contact.

6.6.1 Definition of Energy Levels

Figure 6.9 shows a diagram of a metal–semiconductor contact in equilibrium. This

is a Schottky junction (which we distinguish from an ohmic contact, which we will
talk about in Sect. 6.7). We are going to discuss energy levels, so let us quickly
define a few more levels that are relevant to the metal and to the junction.
The vacuum level is simply the energy of a free carrier which is not interacting
with the material—for example, an electron above a metal surface. The energy level
is labeled E0 in the diagram. The metal work function (qUm) is the energy from the
Fermi level in the metal to this vacuum level. This represents the amount of energy
134 6 Electrical Characteristics of Semiconductor Lasers

Fig. 6.9 Top, a semiconductor–metal band diagram, showing the metal work function and
electron affinity. Bottom, the charge in a metal–semiconductor junction

it takes to remove one electron from the material. This is a material constant which
varies for different metals.
The band structure of a metal is fairly simple. Unlike a semiconductor, a simple
metal has plenty of states both below and above the Fermi level. To a good
approximation, all of the states below the Fermi level are occupied, and all of the
states above the Fermi level are empty.
A similar, yet different, quantity from the metal work function is the electron
affinity, qX, of a semiconductor. The electron affinity is the energy distance between
the conduction band and the vacuum level, and it represents the energy necessary to
remove an electron from the semiconductor. This is the relevant material constant
for semiconductors. The electron affinity of Si, for example, is 4.35 eV.
6.6 Metal Contact to Lasers 135

Semiconductors also have a work function, qUs, or distance from the Fermi level
to the vacuum level. This is less relevant than in a metal, because typically there are
no carriers at the level to be ionized. Nor is it a material constant; the distance
between the semiconductor work function and the Fermi level depends on the
doping. For n-doped semiconductors, it is
 
Nd
qUs ¼ qX þ kT ln ð6:32Þ
ni

The junction between the metal and semiconductor is characterized by barriers.

For electrons, from metal to semiconductors, the barrier height is given by,

DEn metal!semi ¼ q/ms ¼ q/m  qX ð6:33Þ

This is a material constant and is labeled in Fig. 6.9. The other barrier to charge
conduction is from the semiconductor to the metal and that relates to the amount of
band bending: whether the conduction or valence bands need to bend up, or down,
in order to make the vacuum level continuous. This bending is given by,

qUsm ¼ qðUm  Us Þ; ð6:34Þ

where a positive number means that it bends up, and a negative number means that
it bends down. As illustrated in the diagram, this bending (in this case) is the
potential energy barrier that majority carriers have going from a semiconductor to a
metal.

6.6.2 Band Structures

Let us discuss then how the band diagram of Fig. 6.9 is drawn and how it tells the
charge distribution, both mobile and fixed.
First, the metal is specified only by the work function, qUm, and the semicon-
ductor is specified by its electron affinity and the placement of its Fermi level.
To draw the band diagram when the semiconductor and metal are placed in
contact, we need two guidelines. First, when they are placed in contact, everything
eventually achieves equilibrium, and the band diagram starts by having a straight
Fermi level across the metal and the semiconductor. A system in thermal equilib-
rium means that the Fermi level is constant. The second constraint is that the
vacuum level is everywhere continuous. This is a physically reasonable guideline; if
the vacuum level was not continuous, then a carrier could be ionized, moved a tiny
little bit (from the metal side to the semiconductor side), and somehow acquire or
lose energy.
136 6 Electrical Characteristics of Semiconductor Lasers

Example: Sketch the band diagram of the semiconductor/

metal junction given.


GaAs p ¼ 1017 =cm3 ; X ¼ 4:07 eV to TiðUm ¼ 4:33 eVÞ

Far away from the junction, the semiconductor and

metal look like they do in free space. Following the
example in Sect. 6.2.1, the location of the Fermi level
is placed 0.12 eV above the valence band.
At the junction, we draw the bands assuming that the
vacuum level is continuous. At the junction, the dis-
tance from the conduction band to the vacuum level is qX;
the distance from the metal work function to the vacuum
level is qUm. Therefore, the barrier for electrons from
the metal to the conduction band is

DEn metal!semi ¼ q/m  qX ¼ 4:33  4:07 ¼ 0:25;

which is independent of the doping and depends instead

only on the metal work function and semiconductor elec-
tron affinity.
In this case, the conductors are holes; therefore, the
appropriate barrier to identify is the barrier to holes
(which is E ¼ Eg  DEn metal!semi ). With this information, we
can draw the junction points—line up the Fermi levels
and locate the conduction and valence bands according to
the barriers given.
Finally, we have to identify how much the bands bend
and in what direction. The work function for the semi-
conductor is 5.37 eV (4.07 eV + 1.42 eV − 0.12 eV).
6.6 Metal Contact to Lasers 137

According to Eq. 6.34, the barrier is

qUsm ¼ qðUm  Us Þ ¼ 4:33  5:37 ¼ 1:04 eV, with the negative
number meaning it bends down. Combining all this infor-
mation, the band structure looks like

What kind of a junction is this? Well, the valence band bends away from the
Fermi level in a p-doped material, which means a decrease in mobile carriers and a
depletion region. This is also what is called a Schottky junction (a metal–semi-
conductor junction that looks like half of a p–n junction.) These junctions have I–
V curves that look very much like diode I–V curves, with an exponential depen-
dence of current on voltage. This is actually not the desired contact; what we would
like is a metal–semiconductor contact that looks ohmic, or resistive, with a linear
dependence of current on voltage.
The figure in this example is a p-doped Schottky junction; Fig. 6.9 shows an n-
doped Schottky junction. Let us illustrate in the next example an ohmic contact, in
which there is an enrichment of carriers at the interface.

Example: Suppose we are making a Ti contact to an unre-

alistically, lightly doped GaAs doped 1012 n-type. Draw
the junction and sketch the charge distribution (GaAs
(n = 1012/cm3, X = 4.07 eV) to Ti (Um = 4.33 eV).

Solution: Following the example of Sect. 6.7, the Fermi

level is located 0.3 eV above the intrinsic Fermi level
and 0.42 eV below the conduction band, as illustrated
below.
138 6 Electrical Characteristics of Semiconductor Lasers

The junction is exactly the same as it was, except that

in this case the majority carriers are electrons, and so
the barrier to majority carries is 0.25 eV.

DEn metal!semi ¼ Ums ¼ q/m  qX ¼ 4:33  4:07 ¼ 0:25 eV:

The work function for the semiconductor is 4.07 eV +

0.41 eV, or 4.48 eV. The degree of bending of the semi-
conductor bands is given by,

qUsm ¼ qðUm  Us Þ ¼ 4:33  4:48 ¼ 0:15 eV

The bands bend down 0.15 eV. However, if the majority

carriers are electrons, the bands bending down (toward
the Fermi level) actually mean an enrichment of carriers
at the junction (more electrons than in the bulk). Hence,
there is no barrier to electron flow from the semicon-
ductor to the metal. This junction has no depletion
layer; instead, it has excess mobile charge. Putting it
together, the band structure and the charge density
implied by it are given below.
6.6 Metal Contact to Lasers 139

This junction does not have an exponential I–V curve. Instead, it has an ohmic
I–V curve. So what is wrong with this contact?
The first thing is that that level of semiconductor doping is not very conductive.
In order to conduct carriers to the active region, the semiconductor should have
relatively low resistance, hence, high doping.
It turns out that with most semiconductors and available metals, it is impossible
to get a classic ohmic contact, for the following reason. Assume the semiconductor
has to be heavily doped. In that case, the possible values of the work function are
(roughly) either the electron affinity (for n-doped semiconductors) or the electron
affinity plus the band gap for p-doped semiconductors.
140 6 Electrical Characteristics of Semiconductor Lasers

Table 6.3 Some values of metal work functions and values of semiconductor work functions for
n- and p-doped semiconductors. For a good n-ohmic contact, the work function of the metal should
be less than that of the semiconductor; for a good p-ohmic contact, the metal work function should
be greater
Metal (Um) Highly n-doped semiconductor work Highly p-doped semiconductor work
functions functions
GaAs (4.07)
Ti 4.33 eV
InP (4.35)
Be 4.98 eV
Au 5.1 eV
Ni 5.15 eV
GaAs(5.49)
InP (5.62)
Pt 5.65 eV

For an n-doped semiconductor to bend down to form an ohmic contact, the work
function of the semiconductor has to be greater than that of the metal. Most useful
metals have work functions greater than 4.3 eV; typical semiconductors have
electron affinities less than 4.3 eV. Table 6.3 illustrates this point by showing the
work function of some metals and the potential work functions of doped GaAs and
InP.
The key point of this table is that it is difficult to get good metal contacts to
lasers. There are not many metals that have a work function that is less than the
semiconductor electron affinity or greater than the electron affinity plus the band
gap. In the next section, we will talk about how ohmic contacts can be realized.

6.7 Realization of Ohmic Contacts for Lasers

In reality, what is usually done for lasers is to use the best metals possible. The
metal Pt is usually used for the p-metal contact, because of its high work function.
Contact to the n-side is frequently made with NiGe alloys or Ti (both relatively low
work function metals).
Schottky metal–semiconductor junction theory, as presented here, is partially an
approximation. It is a guideline to conduction behavior across the junction, but not
the whole story. Junction theory ignores the fact that the band structure at the
surface of the semiconductor (where the metal is deposited) is different than in the
bulk of the semiconductor. The surface has dangling bonds which tend to pin the
Fermi level in the middle of the band gap.
6.7 Realization of Ohmic Contacts for Lasers 141

To understand how we actually get good, low-resistance ohmic contacts, let us

look at mechanism for current conduction through a metal–semiconductors
junction.

6.7.1 Current Conduction Through a Metal–Semiconductor

Junction: Thermionic Emission

Let us look first at the I–V equation for a Schottky junction and the methods for
current conduction. In a Schottky junction, for current to get from the semicon-
ductor to the metal side, it has to get over the potential energy barrier Usm indicated.
That barrier is a function of applied voltage. The figure shows that some carriers
from the semiconductor manage to make it over the barrier onto the metal side, and
at the same time, some carriers from the metal side manage to make it over the
semiconductor side. In equilibrium, of course, these are equal, and there is no net
charge flow.
Figure 6.10 (left) shows a Schottky junction in equilibrium, with the metal–
semiconductor and semiconductor–metal contacts equal. The middle picture shows
the junction with an applied forward bias. The barrier from semiconductor to metal
side is lowered, and so the charge flow from semiconductor to metal side is
increased.
The rightmost picture of Fig. 6.10 shows the junction with a reverse bias. In this
case, the barrier on the semiconductor side is increased, and the charge flow from
semiconductor to metal is decreased. (Apologies for confusing the reader: Schottky
junctions are majority carrier conductors, and so charge transfer of electrons from
the n-side to the metal corresponds to current flow in the opposite direction. We use
‘charge flow’ instead of current in this section to avoid this confusion.)
We note that regardless of bias, the charge flow from metal to semiconductor
(limited by the barrier Ums) stays about the same. This is analogous to the drift
current flow in a p–n junction, which is also independent of applied bias.

Fig. 6.10 Band structure of Schottky junction, under equilibrium, forward bias, and reverse bias
142 6 Electrical Characteristics of Semiconductor Lasers

This method of current flowing through a Schottky junction is called thermionic

emission. Even though there is a barrier for charge on the semiconductor to go over,
because of the Fermi function and the nonzero temperatures, some carriers in the
semiconductor will have an energy higher than that of the barrier, and it will be
those that get conducted over the top.
Very qualitatively, the number of carriers at an energy sufficiently high to get
over the barrier is exponentially dependent on the voltage. Therefore, roughly, the
I–V curve of a Schottky junction looks like,

I ¼ I0 ðexpðqV=kT Þ  1Þ ð6:35Þ

In this book, we will not go any further into the saturation current I0, but it
depends on the details of the junction in ways similar to p–n junctions.

6.7.2 Current Conduction Through a Metal–Semiconductor

Junction: Tunneling Current

There is another conduction mechanism that is possible for Schottky junctions that
is not possible in p–n junctions. Examine the band diagram below. There are many
states close to the carriers in the conduction band of the semiconductor on the metal
side, separated only by the barrier. If the carriers can tunnel through the barrier,
current can be conducted that way, as shown in Fig. 6.11.
This is the reason that the contact layers in semiconductors are very highly
doped. The more highly doped, the thinner the depletion layer turns out to be.
A thin depletion layer facilitates tunneling current. If the ‘barrier’ is thin enough,
quantum mechanics allows current to go through it.
Another key to getting a good ohmic contact is annealing the contact after the
metal is deposited. Typically, semiconductor wafers are heated to 400–450 °C after
they are fabricated, for the purpose of encouraging some diffusion of the metal

Fig. 6.11 Tunneling current through the depletion region of a Schottky barrier. Because the
depletion region is thinner in a more highly doped semiconductor, having a highly doped
semiconductor region facilitates tunneling current
6.7 Realization of Ohmic Contacts for Lasers 143

atoms into the semiconductor. This junction is not the abrupt Schottky junction
pictured, but it facilitates conduction and is quite important to device fabrication.

6.7.3 Diode Resistance and Measurement of Contact

Resistance

Before we leave this metal–semiconductor junction topic, we should talk briefly

about the resistances in a laser diode. Figure 6.12 has a schematic diagram of a
ridge waveguide laser diode, showing the active region in the middle, the cladding
on the p- and n-side, and the metal contact. Typical dimensions of a ridge
waveguide laser are indicated. The resistance measured comes from both the
contact resistance (associated with the metal–semiconductor junction) and a
semiconductor conduction resistance, through the cladding regions.
The resistance, Rsemi, of the semiconductor region, as a function of the geometry, is

ql
Rsemi ¼ ; ð6:36Þ
A

where A is the cross-sectional area through which the current flows, and l is the
length of the region. The resistivity, q, depends on the doping and the material and
is given by,

1
q¼ ð6:37Þ
qln=p ND=A

where N and l are the appropriate doping density in the semiconductor and
mobility, respectively.

Fig. 6.12 A typical

semiconductor ridge
waveguide laser, showing the
origins of the resistance terms
including contact resistance
between the semiconductor
and metal, and the conduction
resistance through the
semiconductor
144 6 Electrical Characteristics of Semiconductor Lasers

To give a sense of the relative importance of the various terms, look at the
example below.

Example: In Fig. 6.12, the doping density of the ridge,

and of the substrate, is 1017 cm3, and it is 2 lm high, 2 lm
long, and 300 lm long. The thickness of the wafer is 90 lm.
Find the resistance due to the top and bottom cladding
regions (ln is 4000 cm2/V s, and lp is 200 cm2/V s).

Solution: Because the bottom region is very large, the

cross-sectional area is quite large. Typically, the
bottom n-metal can be 100 lm wide or larger. Taking the
average of 100 lm- and the 2 lm-wide active regions gives
a 50 lm-wide bottom region.
The top region is much more constrained and is only 2 lm
wide.
The resistivity associated with the n-region is
therefore 1=ð1:6  1019 Þð4000Þ1017 ¼ 0:016 X cm, and the
resistivity associated with the p-region is 20 times
greater (0.31 X cm) due to the 20 lower mobility.
The resistance of the n-contact region is about
0:016ð90104 Þ
50104 ð300104 Þ = 1 X. The resistance of the p-contact region
0:31ð2104 Þ
is much higher 2104 ð300104 Þ, or about 10 X.

This is typical of lasers, where much of the resistance is in the p-cladding.

Typically, the undoped regions near the active region are insignificant, because they
are so thin; the highly doped contact layers are also insignificant, because they are
highly doped. It is the moderately doped cladding which adds most of the
resistance.
Typical specified values for laser resistances are less than 8 X for directly
modulated devices.
The contact resistance associated with the metal–semiconductor junction can be
experimentally measured with a lithographic pattern, as shown below. The mea-
surement of each pair of pads includes two contact resistances plus the semicon-
ductor resistance. Measurements of a few resistances versus length will extrapolate
to twice the contact resistance as shown in Fig. 6.13.
6.8 Summary and Learning Points 145

Fig. 6.13 Left, metal pads on a semiconductor with fixed spacing; right, measurement of
resistance between pairs of pads. Extrapolated to zero length, it gives twice the contact resistance

6.8 Summary and Learning Points

In this chapter, the details involved with injecting current into the active region are
described, including the similarities and differences between laser diodes and
standard diodes, and the details of making good metal contact to semiconductors.

A. The electrical characteristics of semiconductor lasers are also important to their

operation. Low-resistance contacts lead to lower ohmic heating.
B. Semiconductor lasers are fundamentally p–n junctions.
C. The p–n junctions form a depletion region, where the mobile electrons and
holes recombine and leave behind immobile depletion charge.
D. The depletion charge gives rise to an electric field and a built-in voltage
between one side and the other side of the junction.
E. On each side of the depletion region is what is called the quasi-neutral region,
where the net charge is zero.
F. The boundaries between the depletion region and the quasi-neutral region are
assumed to be abrupt.
G. The electric field across the depletion region gives rise to a drift current, going
from the n-side to the p-side; in addition, there is a diffusion current, going from
the p-side to the n-side. These currents are balanced in equilibrium.
H. Applied forward bias reduces the built-in voltage. The magnitude of the drift
current remains approximately the same, but the magnitude of the diffusion
current increases exponentially.
I. Assuming an abrupt junction and a Fermi level split across the junction, the
number of excess carriers injected into each side of the quasi-neutral region
depends exponentially on voltage.
J. These excess carriers recombine as they diffuse into the quasi-neutral region.
K. From this diffusion/recombination process, the diode I–V curve showing in
Fig. 6.8 can be derived.
146 6 Electrical Characteristics of Semiconductor Lasers

L. Lasers differ significantly from p–n junctions.

M. Lasers have significant recombination current, and so the diode ideality factor is
typically closer to two than one.
N. Above threshold, the quasi-Fermi level in lasers is clamped. Hence, the excess
carriers do not increase the carrier density in the quasi-neutral region but
instead increase the number of photons out.
O. This gives rise to a constant differential resistance above threshold; the expo-
nential I–V curve is no longer followed.
P. The general problem of making metal contacts to semiconductors is described
by Schottky theory.
Q. Assuming the band structure of the semiconductor is the same at the surface as
in the bulk, the band diagram can be drawn by drawing a constant Fermi level
and a continuous vacuum level. This gives rise to band banding in the
semiconductor.
R. This band bending represents the depletion region (if the band bends away from
the Fermi level) or carrier enhancement (if the band bends toward the Fermi
level)
S. The balancing charges accumulate on the metal side.
T. An applied bias reduces the barrier on the semiconductor side, since the barrier
on the metal side is fixed by the material constants.
U. To obtain an ohmic contact, the work function has to be less than the electron
affinity (for n-doped semiconductors) or greater than the electron affinity plus
the band gap (for p-doped semiconductors).
V. Practically speaking, the work functions of most metals do not satisfy condition
(B); therefore, usually, the contact to a semiconductor is not a perfect ohmic
contact.
W. It works as an ohmic contact because (a) the band structure at the surface is
usually different than in the bulk, (b) the surface is heavily doped to make the
depletion layers thinner, and (c) the contact is annealed, to blur the junction
further.
X. The annealing is very important to semiconductor laser operation.
Y. Typically, semiconductor resistances derive from conduction resistance through
the p-cladding and metal semiconductor contact. They are usually specified to
be 8 X or less.

6.9 Questions

Q6:1. If the current conduction across the depletion region is drift and diffusion,
and near the junction in the quasi-neutral region is diffusion only, how does
current get from the contacts to the junction?
Q6:2. Would you expect there to be a generation, or a depletion term, in general in
the semiconductor depletion region?
6.9 Questions 147

Q6:3. Annealing usually improves the semiconductor–metal interface, lowering

the resistance and making it more ohmic. Can you think of some potential
problems with over-annealing?
Q6:4. Why is Eq. 6.15 true?

6.10 Problems

P6:1. An InP semiconductor is p-doped to 1018/cm3. Find the Fermi level and the
concentration of holes and electrons in the semiconductor.
P6:2. The sample in P6.1 is illuminated with light, such that 1019 electron–hole
pairs are created per second per cm3. The lifetime of each electron or hole is
1nS.

(a) Is the semiconductor in equilibrium?

(b) What is the steady state value of excess electrons and holes in the
semiconductor (this is equal to the generation rate multiplied by the
lifetime).
(c) What is the quasi-Fermi level of electrons, and holes, now in the
semiconductor?
(d) Compare the location of the Fermi level in P6.1 with the location of the
quasi-Fermi levels calculated here. Between the holes and the electrons,
which shifted more and why?

P6:3. A semiconductor GaAs p–n junction has the following specifications:

p-side I n-side
NA = 5x1017/cm3 ND = 1017/cm3
sn = 5 ls sp = 10 ls
lp = 400 cm2/V-s lp = 350 cm2/V-s
ln = 8000 cm2/V-s ln = 7500 cm2/V-s

(a) Sketch the band structure and calculate Vbi.

(b) Calculate the depletion layer width.
(c) Calculate the peak electric field in the depletion region.
(d) Calculate the forward current under 0.4 V applied bias in A/cm2.
(e) Why is the mobility of holes and electrons slightly less on the p-side?
(f) Assume the p–n junction above is actually a laser, which has an
additional undoped region 3000 Å wide between the p- and the
n-region. Roughly, estimate the peak electric field in the i region.

P6:4. A sample of GaAs is linearly doped with ND going from 1014 to 1017/cm3
over 1 mm.
148 6 Electrical Characteristics of Semiconductor Lasers

P (-V) I N (0V)

Incident light

Fig. P6.14 A p–i–n diode with a small pulse of incident light that creates excess holes and
electrons

(a) Sketch the band diagram of the sample, indicating the conduction band,
the valence band, the Fermi level, and the intrinsic Fermi level.
(b) Indicate the kind and direction of the charge flow in the sample.
(c) Indicate the kind, and direction, of currents in the sample.
(d) Is there any fixed charge in this sample, and if so, where is it?

P6:5. A reverse-biased p–i–n GaAs-based photodetector has a light shined

momentarily on it in the center of the i-region, creating a small region with
excess holes and electrons (equivalent to moderately doped levels, 1016/
cm3). The p- and n-regions are fairly heavily doped (1018/cm3) (Fig. P6.14).

(a) Ignoring the excess holes and electrons created by the absorption of
light, sketch the depleted regions of the semiconductor and indicate the
direction of the electric field.
(b) Sketch the band diagram of the device clearly labeling the electron and
hole quasi-Fermi levels and the applied voltage V. Include the effect of
the excess optically created holes and electrons.
(c) Indicate the direction in which the excess holes and electrons created by
the light pulse will travel.
(d) Assume now that the diode is moderately forward biased, and a brief
pulse of light is again shone in the center of the i region.
(e) Sketch the band diagram of the device, indicating electron and hole
quasi-Fermi levels and the applied voltage V. Indicate again the
direction the excess holes and electrons will travel.
(f) Assume the light is misaligned and now shines in the middle of the p-
region. Sketch the band diagram of the device indicating the electron
and hole quasi-Fermi levels. Again, do not neglect the effect of the
optically created holes and electrons.

P6:6. A Schottky barrier is formed between a metal having a work function of

4.3 eV and Si (Si has an electron affinity of 4.05 eV) that is acceptor doped
to 1017/cm3.

(a) Draw the equilibrium band diagram, showing V0 and /m.

(b) Draw the band diagram under (a) 0.5 V forward bias, (b) 2 V reverse
bias.
6.10 Problems 149

P6:7. For the system used in Problem P6.6, what range of Si doping levels and
types will give rise to an ohmic contact in Si?
P6:8. Derive an equation for the work function of a p-doped semiconductor in
terms of doping and its material parameters.
P6:9. Draw the band diagram of an n–n+ semiconductor junction in equilibrium.
Label the electric field (if there is one), the drift current (if there is drift
current) and the diffusion current (if there is diffusion current).
P6:10. In Fig. 6.12 and the associated example, find the doping necessary to reduce
the top cladding resistance to 5 X.
The Optical Cavity
7

Macavity, Macavity, there’s no one like Macavity,

There never was a Cat of such deceitfulness and suavity.
—T.S. Eliot, Old Possums Book of Practical Cats

Abstract
In this chapter, the design and characteristics of a typical semiconductor laser
optical cavity are examined. The concept of free spectral range and single
longitudinal and spatial modes are defined, and procedures for designing
single-mode optical cavities are discussed.

7.1 Introduction

In this book, we began by talking about the general properties of lasers and
determined that the requirements for a laser were a non-equilibrium system with
high optical gain and a high photon density. In subsequent chapters, we focused on
the first requirement for a high optical gain, and the various constraints, limits, and
considerations in getting the necessary high gain at the correct wavelength from a
semiconductor active region.
Now, we would like to turn our attention to the second requirement of a high
photon density. This high photon density is achieved by putting the gain region into
a cavity which holds most of the photons inside. For the HeNe gas laser discussed
in Chap. 2, the cavity is simply a pair of mirrors at each end of a laser tube. For the
semiconductor lasers we discuss now, this optical cavity is a dielectric waveguide
formed by the geometry of the laser and the index contrast between the layers
within the laser. A good laser is a good waveguide. This laser property is so
important that this entire chapter is devoted to waveguides, in general, with special
attention paid to common laser waveguide types.

© Springer Nature Switzerland AG 2020 151

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_7
152 7 The Optical Cavity

The simplest semiconductor laser cavity is a cleaved piece of semiconductor

(typically a few hundred microns long). This cavity type defines a Fabry-Perot
laser: the cleaves, which are close to atomically smooth, act as excellent dielectric
mirrors and can keep the photon density within the cavity high. Even, this very
simple cavity profoundly affects the light generated in the cavity.
In practice, there are many other cavities which are used, including vertical
Bragg reflectors, integrated distributed feedback lasers, and even devices based on
total internal reflection. In this chapter, we are going to focus on the effect of the
cavity on the light, and particularly the design of the optical cavity to realize the
desired single-mode characteristics.

7.2 Chapter Outline

We are going to navigate systematically from a one-dimensional picture, in which

we consider only the direction of propagation of the light, to a two- and
three-dimensional picture, in which we consider the direction of propagation of
light, and the one and two dimensions transverse to it in order to get a full picture of
the influence of the optical cavity on the emitted light. Table 7.1 is intended to aid
the reader in navigation. It outlines completely the kind of optical cavity that we are
looking at and the learning point we are trying to illustrate for the reader.

Table 7.1 Types of optical structures considered, their appropriate section, and the learning point
intended from each
Type of structure Picture with coordinate system Learning point Section
(s)
Pair of reflecting Effects of cavity 7.4.1
mirrors (etalon) in length on longitudinal
air mode (wavelength)
spacing and
supported
wavelengths
Dielectric Effect of cavity group 7.4.3
sandwiched by air index on longitudinal
mode (wavelength)
spacing
Two-dimensional Influence of dielectric 7.5
slab waveguide thickness and index
on spatial mode
properties in 2D
Three-dimensional Influence of dielectric 7.6
ridge waveguide thickness and index
on spatial mode
properties in 3D
7.2 Chapter Outline 153

Let us make one important distinction here, and we will return to it the appro-
priate sections. The word ‘mode’ in a laser context has several meanings. In
Sect. 7.4, laser longitudinal mode means the allowed wavelengths in the cavity.
A gain region emitting around 1300 nm placed in the optical cavity of a laser will
emit specific wavelengths associated with specific longitudinal modes (for example,
1301.2, 1301.8 nm, and more).
Section 7.5 focuses on the transverse distribution of the light of a particular
wavelength within a cavity. For example, if light of a specific wavelength is
traveling in the z-direction, the optical field distribution in the y-direction could
have one spatial mode showing a single optical field peak in the center of the
waveguide, and a second one with two peaks (for a multimode waveguide).
Mode can also refer to the polarization state (as in ‘transverse electric’ or
‘transverse magnetic’ mode.). The meaning is usually clear from the context. Each
of these types of modes will be revisited in their associated sections.

7.3 Overview of a Fabry-Perot Optical Cavity

Figure 7.1 shows a picture of the laser emphasizing its optical cavity and waveg-
uide qualities. This common laser cavity is called a ridge waveguide Fabry-Perot.
The cavity is formed by a laser bar cleaved from a wafer forming two cleaved

Fig. 7.1 A picture of a Fabry-Perot cavity (ridge waveguide) structure, showing light bouncing
back and forth between the two facets with light exiting the facets at each end. Qualitatively, the
presence of the ridge confines the ridge in the x-direction, the index contrast in the active region
confines the light in the y-direction, and the optical mode bounces back and forth between the
facets in the z-direction
154 7 The Optical Cavity

semiconductor facets, with current injected through the top and bottom, and light
emitted from the front and back. This edge-emitting device is the simplest optical
cavity to realize; this structure is used commercially, usually with the cleaved facets
coated to enhance or reduce reflectivity.
The light in the laser cavity bounces back and forth between the two facets in the z-
direction while it is confined in the waveguide formed by the laser. Qualitatively, the
higher index of the quantum wells (compared to the surrounded layers) confines the
light in the y-direction, and the presence of the ridge above the quantum wells confines
the light in the x-direction. The reflection back and forth in the z-direction results in
only certain, regularly spaced wavelengths in the cavity (called free spectral range),
and the confinement in x-y affects the intensity pattern (the lateral or spatial mode
shape) of the light in the laser. This overview is intended to put that discussion of free
spectral range and optical modes to follow into the proper laser context.
Figure 7.1 shows a combined view of the semiconductor active region serving as
the optical cavity. A view of the device solely as an optical cavity is shown in
Fig. 5.1.

7.4 Longitudinal Optical Modes Supported by a Laser

Cavity

7.4.1 Optical Modes Supported by an Etalon: The Laser

Cavity in 1D

First, let us look at the cavity in strictly one-dimensional view as light between a
pair of mirrors. Optical plane waves emanate from it originating from the recom-
bination (stimulated or spontaneous) of carriers within the cavity. Let us consider
the optical wavelengths supported by the cavity in Fig. 7.1 and think of the light as
strictly a wave phenomenon.
Imagine spontaneous emission light of a range of wavelengths being created
within the cavity and then bouncing back and forth between the mirrors. In order for
any given wavelength to be allowed in the cavity, the round trip light has to
undergo constructive interference. Mathematically, a round trip for any given
wavelength has to be an integral number of wavelengths. Equation 7.1 states this
succinctly.

2L 2Ln
m¼ ¼ ð7:1Þ
ðk=nÞ k

This idea is illustrated in Fig. 7.2.

Figure 7.2 shows a set of cavities sandwiched by two reflective mirrors. Because
of the coherent nature of light, only certain wavelengths are supported in any cavity,
depending on the length of the cavity and the wavelength. In this set of figures (a–f),
7.4 Longitudinal Optical Modes Supported by a Laser Cavity 155

Fig. 7.2 (a–c) show several optical wavelengths in the same length of cavity (right) and the same
optical wavelength in three different cavity lengths (left), illustrating how the interaction of the
cavity and the wavelength create supported and suppressed cavity modes

the actual peaks and valleys of the optical wave represent the phase of the light; the
peaks and valleys represent the change in phase as it propagates, and so the distance
between two peaks (or valleys) is the wavelength.
Figures 7.2a–c show three different wavelengths in one optical cavity. In
Fig. 7.2a, the optical cavity is exactly half a wavelength, so the round trip (of one
wavelength) supports constructive interference. Figure 7.2b shows a cavity that is
three-fourths of a wavelength long, so the round trip is one-and-a-half cavity
lengths long. After one round trip, the original light is out of phase by 180°, and so
this cavity cannot support this wavelength. Figure 7.2c shows wavelength equal to
the cavity length.
Figures 7.2d–f illustrate the same idea, with the same wavelength shown in three
different size cavities. The first cavity (Fig. 7.2d) is exactly 2k of the light long. As
the light travels one round trip, it comes back to the mirror and is reflected again,
exactly in phase with where it started. Since this particular wavelength is con-
structively interfered with in the cavity, this wavelength is supported in this cavity.
The cavity shown in Fig. 7.2e is 7/4k of a wavelength long. The round drive is
three and a half wavelengths which results in this wavelength being 180° out of
phase with itself and not being supported. The cavity of Fig. 7.2f is 3/2k and
supports that wavelength.
Just as the net gain has to be 1 in order for the laser to be in steady state, the net
phase, for a round trip, has to be a multiple of 2p. For a laser above threshold,
Eqs. 7.1 and 5.3 can be combined into a single equation, as
156 7 The Optical Cavity


2p
g þ jk=n 2L
R1 R2 eðg þ jkÞ2L ¼ R1 R2 e ¼1 ð7:2Þ

where g is the gain, k is the propagation constant 2p/k in the cavity, n is the cavity
index, L is the cavity length, and R1 and R2 are the facet reflectivities.

7.4.2 Free Spectral Range in a Long Etalon

Qualitatively, the idea of interference of coherent light leads to a set of ‘allowed’

optical wavelengths supported by the cavity, and ‘forbidden’ optical wavelengths
that the cavity does not support. In this section, let us define the standard optical
terminology that is used to specify etalons, and then in the next section discuss what
this means for the spectrum of Fabry-Perot lasers.
A very simple cavity is composed of two mirrors spaced a distance L apart and is
illustrated in Fig. 7.3. The index of this pedagogical cavity is assumed to be
wavelength-independent and equal to 1. Let us consider the optical wavelengths,
and the wavelength spacing allowed by the cavity. In this example, the cavity
length is 1 mm, much longer than the optical wavelength.
The modes supported by such a cavity are qualitatively shown in Fig. 7.3, with
the spacing between them defined as the free spectral range (FSR). With a long
cavity, the modes will be closely spaced, as described in Eq. 7.1 and in a free
spectral range equation to be derived below.
A good qualitative way to understand Eq. 7.1 is that in a cavity with reflection
from the facets, the round trip path length 2L has to be an integral number of
wavelengths in the cavity. In the cavity shown (1 mm long), a wavelength of
1600 nm will have an integral number of 1250 wavelengths in a round trip between
the mirrors.
A slightly shorter wavelength with 1251 wavelengths of light in a round trip is
also supported by this cavity. That wavelength is 2 mm/1251, or 1598.7 nm. For
each integral number that the number of wavelengths in the cavity is incremented,

Fig. 7.3 An optical cavity composed of air sandwiched by two reflective mirrors which supports
a number of optical modes separated by the free spectral range (FSR). In this picture, the optical
cavity is presumed to be many wavelengths long, and in air, with an index of n = 1
7.4 Longitudinal Optical Modes Supported by a Laser Cavity 157

there will be another allowed wavelength. In this example, the spacing between
them, or free spectral range, is 1.3 nm.

Example: Calculate the next higher wavelength supported

by the cavity shown in Fig. 7.3 with a length of 1 mm.
Solution: The next higher wavelength will have one fewer
full wavelength in a round trip through the cavity, or
1249. Two mm/1249 is 1601.3 nm.
Example: Calculate the free spectral range of this
cavity.
Solution: From simply examining the space between peaks,
the free spectral range is about 1.3 nm. We will derive an
expression for it below.

Let us develop an expression for the free spectral range which measures the
spacing between the peaks. We will start by labeling km the wavelength associated
with m round trips through the cavity, and km+1 the slightly shorter wavelength
associated with m + 1 round trips through the cavity. The requirement for an
integral number of wavelengths in a round trip is

mkm ðm þ 1Þkm þ 1
2L ¼ ¼ ð7:3Þ
n n

from which we can write

mkm  ðm þ 1Þkm þ 1
¼0 ð7:4Þ
2Ln

or

ð7:5Þ
mDk ¼ km þ 1

This expression, while correct, is not satisfying since it requires a calculation for
m (the number of round trips). It can be shown (see Problem P7.1) by substituting
for m that the free spectral range is

k2m þ 1
Dk  ð7:6Þ
2Ln
158 7 The Optical Cavity

Equation 7.6 gives the spacing of the modes, Dk, as a function of the index and
the cavity length. The important point is that mode spacing depends inversely on
the length of the cavity, and the cavity index, and directly on the central wavelength
squared.

7.4.3 Free Spectral Range in a Fabry-Perot Laser Cavity

A Fabry-Perot laser cavity has some important differences from the mirrored etalon
described above. In its simplest model, shown in Fig. 7.4, below, it is a smooth
piece of dielectric material with facet reflectivity due to the index contrast between
the material and surrounding air. Unlike the sandwiching mirrors pictured in
Figs. 7.2 and 7.3, the mirrors of this cavity are due to the index difference between
the ambient atmosphere and the semiconductor, with the reflectivity given by
Eq. 5.2.
More importantly, the wavelengths-of-interest of a laser active region are right
around the band gap of the semiconductor. As shown in Fig. 7.5, around the band
gap, the refractive index and gain are very dependent on wavelength. Because of
this strong dependence of refractive index, the equations for free spectral range will
turn out to be slightly modified in a semiconductor laser.
If the index for two wavelengths km and km+1 is slightly different, like Fig. 7.5
says, we can rewrite Eq. 7.3 as

mkm ðm þ 1Þkm þ 1
2L ¼ ¼ ð7:7Þ
nm nm þ 1

Fig. 7.4 A one-dimensional model of a dielectric cavity. The difference in index between the
cavity and air provides the mirror, and the group index sets the spacing of the modes
7.4 Longitudinal Optical Modes Supported by a Laser Cavity 159

Fig. 7.5 Refractive index of GaAs at room temperature around its bandgap of *870 nm at
300 K Adapted from http://www.batop.com/information/n_GaAs.html and data in Journal of
Applied Physics, D. Marple, V. 35, pp. 1241

It can be shown (see Problem P7.1) that this expression leads to the following
expression for free spectral range,

k2m þ 1
Dk ¼ ð7:8Þ
2Lng

where ng is the group index, defined by

Dn dn
ng ¼ n  k ¼nk ð7:9Þ
Dk dk
The group index captures both the index, and the change in index versus
wavelength. Since the calculation of the mode spacing is based on a net 2p phase
difference between two wavelengths covering the same length, this is the appro-
priate index to use.
However, the actual number of whole wavelengths in the cavity is given by the
mode index, n. This subtle difference is illustrated in the example below.

Example: A 300-lm-long laser cavity has a mode index of

3.4191, a group index of 3.6432, and a lasing wavelength
of 1399.359 nm (the need for such precise numbers will
become clear throughout the problem)
Find the spacing of the cavity modes and the integral
number of wavelengths in a round trip in the cavity. Find
the next longer wavelength and estimate its mode index
and the number of round trips in the cavity associated
with that wavelength.

Solution:
From above, we can write
160 7 The Optical Cavity

k2 1:3993592
Dk ¼ ¼ ¼ 0:895834  103 lm:
2Lng 2ð300Þ3:6432

The spacing between peaks (or free spectral range) is

about 0.9 nm. On the other hand, the integral number of
wavelengths in the cavity is 2L/(k/n), or 600 lm/
(1.399359/3.4191) = 1466 wavelengths exactly.
The next longer wavelength is 1.399359 + 0.895834  10−3
lm, or 1.400255 lm. The mode index of the next longer
wavelength (m = 1465) is estimated as follows.

Dn Dn Dn
ng ¼ n  k ¼ 3:6432 ¼ 3:4191  1:399353 gives ¼ 0:16=lm:
Dk Dk Dk

Then, the mode index at 1.400255 (the next longer wave-

length) is 3:6432  1:400255ð0:16Þ ¼ 3:418957, and the number
of round trips is, 600=ð1:40025=3:418957Þ ¼ 1465, exactly.
Notice that if we had used the same index for 1.399359 as
for 1.400255, the calculated number of modes would have
been 600=ð1:40025=3:4191Þ ¼ 1465:06, a non-integral number.
It is the slight shift in index between adjacent wave-
lengths that makes the condition of Eq. 7.1 work out
exactly for each of the cavity wavelengths.

7.4.4 Optical Output of a Fabry-Perot Laser

With the idea that a Fabry-Perot optical cavity is an etalon, supporting a discrete set
of wavelengths, let us take a look at the output of a Fabry-Perot laser. The important
characteristic of a Fabry-Perot laser is that the reflectance does not depend on
wavelength. All the wavelengths are reflected approximately equally.
This gives rise to the expected output spectra (graph of power vs. wavelength) of
a Fabry-Perot cavity. The wavelengths are spaced approximately evenly according
to Eq. 7.8. The predicted peaks are seen in the region over which the semiconductor
has net gain and emits photons (called the gain bandwidth region).
A typical output spectra from a Fabry-Perot laser emitting when biased above
threshold is shown in Fig. 7.6. There are a few prominent modes in a range from
1290 to 1305 nm. Looked at on a logarithmic scale, emission could probably be seen
over a range of 40 nm, but 100 times lower in power than the peaks that are shown.
This figure is surprising if you think about it. According to the rate equation model,
the carrier density and optical gain are clamped above threshold, and after that, injected
current leads to increased optical output. Since the gain reaches the threshold gain at
one particular wavelength first, it would be reasonable to think that the light at the
single wavelength which is lasing at threshold increases, and the light at the other
modes (which are driven by spontaneous emission) should remain the same since the
carrier population is clamped. Hence, we would expect one dominant wavelength out.
7.4 Longitudinal Optical Modes Supported by a Laser Cavity 161

Fig. 7.6 Output spectrum of 1.2

a Fabry-Perot laser
1

Power (mW)
0.8

0.6

0.4

0.2

0
1293 1295 1297 1299 1301 1303
Wavelength (nm)

However, there are some non-ideal effects which make this simple model
incorrect. In particular, there is a phenomenon called spectral hole burning. When a
lot of light is produced at a specific wavelength, it reduces the gain at that wave-
length and facilitates the production of light at other wavelengths. At high optical
power levels, the carrier distribution is no longer accurately described by a Fermi
distribution, which leads to lasing at more than one wavelength.
A phenomenological way to describe this is with the gain bandwidth, as a
material property. The range of wavelengths over which lasing is supported is
called the gain bandwidth (typically of the order of 10 nm or so) and the spacing of
the modes in this gain bandwidth (determined by the cavity length) determines the
number of lasing modes. The example below illustrates this idea.

Example: A particular material has a gain bandwidth of

15 nm at a lasing wavelength of 1.3 lm, a group index of
3.6, and an index of 3.4. In a cavity 250 lm long, about
how many modes are lasing?
Solution: This is fairly straightforward. The spacing
between cavity modes is

k2 1:32
Dk ¼ ¼ ¼ 0:94 nm:
2Lng 2ð250Þ3:6

The number of modes is about the gain bandwidth/mode

spacing, or 16 modes. Note that as the cavity length
increases, the mode spacing decreases and the number of
distinct lines seen will increase as well.

7.4.5 Longitudinal Modes

Each of these lasing wavelengths which are within the gain bandwidth of the
material is identified as the longitudinal modes of the devices. Each of these
162 7 The Optical Cavity

Fig. 7.7 Typical output

spectrum of a distributed
feedback (DFB) single
longitudinal mode laser

wavelengths is associated with a different standing wave pattern in the cavity. For
long-distance transmission, of course, a single wavelength with a single effective
propagation velocity is required. For wavelength ranges that are not subject to
dispersion (around 1300 nm) or low-cost solutions, Fabry-Perot lasers are some-
times commercially used, but in general, high-performance devices need to have
only one wavelength.
These devices are almost universally distributed feedback lasers (DFBs) which
will be discussed in-depth in a subsequent section. These DFBs have inherently low
dispersion because they are single wavelength, and also have output wavelengths
which are inherently less temperature-sensitive than Fabry-Perot. For multichannel
wavelength division multiplexed (WDM) system, often single wavelength DFBs
are required, not for dispersion but for wavelength stability over a specific tem-
perature range.
While we are not yet going to explore the detailed fabrication and properties of
DFB devices, for context and comparison, Fig. 7.7 shows a typical spectrum of
such a device. Unlike the Fabry-Perot device in Fig. 7.5, it has only a single
wavelength.

7.5 Calculation of Gain from Optical Spectrum

Now is an appropriate place to describe an experimental technique to measure the

gain spectrum of a semiconductor laser. In Chap. 4, we discussed optical gain in
terms of the density-of-state and injection level, and in Chap. 5, we showed that
above threshold, the gain point of the active region cavity is actually set by the loss
point of the cavity, which includes the absorption loss and the mirror loss.
7.5 Calculation of Gain from Optical Spectrum 163

Fig. 7.8 A sub-threshold spectra, shown from 1300 to 1350 nm in the inset with a close-up view
of the peaks and valleys from 1301.5 to 1303 nm in the main diagram

However, the below-threshold spectrum of the laser itself can tell you the net
gain of the cavity, in the following way. As shown in Fig. 7.8, below threshold the
light experiences gain as it travels within the cavity, but the gain is not quite enough
to overcome the cavity loss. However, at some wavelengths, the light experiences
constructive interference as it goes through the cavity (the peaks in the Fabry-Perot
etalon spectrum) and at other wavelengths (the troughs at the Fabry-Perot spec-
trum), the light experiences destructive interference as it goes through the cavity.
Hakki and Paoli1 realized that actual gain spectra of the laser could be derived by
looking at the ratio of the amplitude of the constructively interfered light to the
destructively interfered light.
The process will be best illustrated by example. On the figure, we define a
modulation index ri as the ratio of the peak power to the valley power. Since the
peaks and valleys do occur at different wavelengths, typically the ‘peak’ associated
with a given valley is the average of the adjacent peaks, and the valley associated
with a given peak the average of the adjacent peaks.
The net gain (or modal gain gmodal) is given by
!
1=2
1 ri þ 1 1
gnet ¼ gmodal þ a ¼ ln 1=2 þ lnðR1 R2 Þ ð7:10Þ
L ri  1 2L

1
B. W. Hakki, T. L. Paoli, Journal of Applied Physics, vol. 46, pp. 1299, 1975.
164 7 The Optical Cavity

where ri is the ratio of peaks and valleys, as defined in the figure; L is the cavity
length, R1 and R2 are the facet reflectivities of both facets, and a is the absorption
loss in the cavity. (We note the form above is slightly different than the original
Hakki-Paoli formulation, which omitted a and interpreted modal gain as optical
gain plus absorption loss.) From the details of the spectra, and the relative height of
the peaks and valleys, the gain can be determined.

Example: The laser above is 750 lm long and has facet

reflectivity of 0.3 for both facets. For the peaks and
valleys picture above and tabulated below, find the gain
spectra over this wavelength range.
Valleys peaks
Wavelength Power (dBm) Wavelength Power (dBm)
1301.56 −61.22 1301.74 −57.87
1301.92 −61.93 1302.1 −58.3
1302.34 −61.73 1302.52 −57.94
1302.7 −61.85 1302.88 −57.47

The first thing to note is that the power is in dBm, which

is a logarithmic unit. Power in mW is given by P(mW) =
10^P(dBm)/10. To take appropriate ratios for ri, the
power needs to be in linear units. To illustrate the
calculation of just one point, the peak value at 1301.74
is 10^(−57.87/10), or 1.63 nW; the corresponding valley
power is the average of −61.22 dBm (0.75 nW) and
−61.93 dBm (0.64 nW), or 0.69 nW.
The ratio
 ri is 1.63/0.69, or 2.36. The net gain gnet is
1 2:360:5 þ 1 1 2
750104 ln 2:360:5 1
þ 2ð750104 Þ lnð0:3 Þ ¼ 5 cm1 .
Note that the first term is positive, representing
gain; the second term is negative, representing mirror
loss.

The rest of the points can be similarly calculated and give spectra as shown in
Fig. 7.9. It is more interesting when plotted as complete spectra (across the whole
range of available wavelengths), but a few points are all that is necessary to
illustrate the technique.
7.6 Lateral Modes in an Optical Cavity 165

Fig. 7.9 Calculated gain

spectra for a few points from
the measured ratio of peaks to
valleys

7.6 Lateral Modes in an Optical Cavity

The word ‘mode’ in an optical context is confusing because it means several things.
It can mean ‘wavelength’, it can refer to the polarization state, or it can refer to the
standing wave pattern inside an optical cavity in the propagation direction or the
direction perpendicular to propagation. All these meanings are relevant to lasers, so
let us clarify the particular modes we will be talking about getting into the details of
each of them.
In Sect. 7.4, we discussed the longitudinal modes of a laser cavity. These are
fairly easy to measure with an instrument like an optical spectrometer since each
longitudinal mode corresponds to a slightly different wavelength.
But, in addition to the longitudinal modes, which identify the wavelengths in the
cavity, there are lateral or spatial ‘modes’ that characterize the standing wave
pattern of the light in the cavity transverse to the propagation direction. These are
the same modes that characterize any waveguide. When we refer to a waveguide as
‘single mode’, this is the meaning of mode. Waveguides (including lasers) support
many different wavelengths and are single mode in all of them.
In Sect. 7.3, we modeled a Fabry-Perot optical cavity as a single 1D slab of a
single effective index. Here, we are going to look at the stacks of different materials
that make up a laser section and see how they result in distinct modes each of which
is characterized by a single effective mode index.
Figure 7.10 shows a simplified two-dimensional waveguide picture, with a
region of higher index sandwiched by two regions of lower index. This is a slightly
more realistic laser model than that in Fig. 7.1, since the quantum wells are of high

Fig. 7.10 Left, TE mode, and right, TM mode, propagating down a dielectric waveguide cavity
166 7 The Optical Cavity

index than the cladding around them. This looks somewhat like a two-dimensional
version of the Fabry-Perot waveguide; in that structure, the quantum wells in the
middle serve as the waveguide as well as the means of carrier confinement. In this
section, we will talk about the optical modes supported by the waveguide of
Fig. 7.10.
Figure 7.10 shows a representation of the propagating modes in a waveguide.
The direction of mode propagation is shown with a heavy arrow, and the orthogonal
electric (E) and magnetic (H) field directions are indicated. The left figure shows the
‘TE’ mode, where the electric field is perpendicular to the direction of travel down
the waveguide. Qualitatively, these optical modes are undergoing total internal
reflection at the interface and bouncing back and forth between one side of the
waveguide and the other. The quantitative details will be discussed shortly.

7.6.1 Importance of Lateral Modes in Real Lasers

Generally, for lasers used in communications, the waveguide structure is designed

to realize a single transverse mode. Details of the design (like the thickness of the
region around the cladding, or the etch depth of the ridge in a ridge waveguide
device) are adjusted to achieve a device that is single mode. There are several
reasons why this is important in semiconductor lasers.
First, as illustrated in Fig. 7.11, the mode shape also controls the far field of the
device. Here the mode shape and far field pattern of a single-mode ridge waveguide
device (right) and a broad area device (left) are compared. The far field pattern for a
coherent light source is essentially the Fourier transform of the near-field pattern
(which is the mode shape in the device.) The far field pattern of a single mode, ridge
waveguide device is a fairly circular beam of modest, 30° divergence angle; the far
field pattern of the broad area device is very elongated, with a few degree diver-
gence in-plane and very high divergence out-of-plane. The pattern of optical power
inside the cavity directly translates into the divergence pattern of light a few mm
from the device. This is important because the ultimate objective of communica-
tions lasers is coupling into optical fiber, and for that purpose, a single-mode device
is optimal.
Practically speaking, it is much easier to couple light between the relatively
circular profile of a single-mode device and a fiber than the pattern of a broad area
waveguide device.
The second reason it is important for a laser device to be single mode is that it is
necessary for a device to be truly single wavelength. As we will learn in upcoming
chapters, distributed feedback (DFB) devices make single-mode lasers using a
periodic grating that reflects a single wavelength based on its effective index.
Different lateral modes have different effective indexes, and therefore a multiple
mode waveguide with a DFB grating could have more than one wavelength output.
A final practical comment is that, in reality, dielectric waveguides are only
simple, first-order models for actual wave guiding of semiconductor lasers. The
waveguide region of a laser is also the gain region, and so the refractive index has a
7.6 Lateral Modes in an Optical Cavity 167

Fig. 7.11 Illustration of the importance of optical spatial mode by illustrating the dependence of
far field on optical mode. a shows a broad area laser, several tens or hundreds of microns long; the
top shows a schematic of the light exiting the laser, and the bottom shows a sketch of the intensity
of the light vs divergence angle in the horizontal and vertical direction. A narrow horizontal stripe
mode shape leads to a narrow vertical stripe far field. b shows a more circular single-mode device,
with a nearly circular far field. Typical divergence angles of single-mode lasers are around 30°,
though they can be engineered to be much lower

complex part associated with the gain (or, where there is no current, a loss com-
ponent). The optical modes are said to be ‘gain-guided’ as well as index-guided,
and really precise optical cutoff design is not required—this gain guiding tends to
favor single-mode propagation. In practice, far fields and mode structure details
calculated from index profiles can differ from the measurement of the fabricated
device.

7.6.2 Total Internal Reflection

To get some insight into waveguide design, we are going to start with the idea of
total internal reflection. As we hope the reader has previously encountered, when
light is incident from a region of higher dielectric constant onto a region of lower
dielectric constant, there is a critical angle. Light incident at angles above the
168 7 The Optical Cavity

Fig. 7.12 Illustration of light inside a waveguide incident below, at, and above the critical angle,
showing how a region of higher dielectric constant can act as a waveguide and conduct light down
a channel

critical angle will glance off the side of the interface and experience total internal
reflection. All of the optical power will be reflected at the incident angle. If the light
is sandwiched between two such interfaces, the light will reflect back and forth
between those interfaces and remain in the guiding region.
The formula for the critical angle hc is
n2
sin hc ¼ : ð7:11Þ
n1

Light incident above that angle hc will experience total internal reflection and
remain within the cavity. Figure 7.12 illustrates what happens when light is incident
on a dielectric interface at, below, and above the critical angle.
The picture shows a straightforward progression, in which the refraction away
from the normal at the lower dielectric constant region goes from propagating into
region 2 to propagating along the interface between the two regions, to propagation
by total internal reflection inside region 1.
The above is a bit of a simplification. There is a little more subtlety associated
with total internal reflection that explains some of its properties that we should at
least qualitatively review.
First, it should be clear that the light has to interact a little with the low index
region in order for it to ‘see’ it enough to be reflected by it. Light is a wave which
occupies a length something like its wavelength. A more correct version of the total
internal reflection picture shown at the right above might look like Fig. 7.13. The
ray penetrates the material to a certain effective interaction length and then is
reflected out. Because of this interaction length, a plane wave incident on a
dielectric interface undergoes a phase change upon reflection. It can be pictured that
the reflection at the point where the wave was incident actually comes from part of
the plane wave incident slightly earlier, leading to what looks like an instantaneous
phase shift.
7.6 Lateral Modes in an Optical Cavity 169

Fig. 7.13 A qualitative

picture of the mechanism for
phase shift at total internal
reflection interface

Figure 7.13 implies that for a given ray, there should be a physical shift between
its input and output. This effect actually happens with small, focused, light beams
and is called the Goos-Hanchen effect. Though not particularly relevant in lasers,
these sorts of effects are the reason that optics can be such a rich and fascinating
subject although the basics of it have been known for centuries.

7.6.3 Transverse Electric and Transverse Magnetic Modes

In Fig. 7.10, modes with both transverse electric (TE) and transverse magnetic
(TM) fields perpendicular to direction of propagation (hence, coming out of the
page) are illustrated. In a waveguide, transverse is defined in terms of the guided
waveguide direction, not in terms of the plane waves propagating inside the
waveguide.
As a waveguide, a semiconductor laser will support both TE and TM modes, but
in semiconductor quantum well lasers, the light emitted is predominantly TE
polarized. The reason for that will be explored by Problem 7.3 and is based on the
fact that the reflection coefficient at the facet differs for TE and TE modes. How-
ever, the result is that most laser light is inherently highly polarized.
For both TE and TM modes, only certain discrete angles can become guided
modes which can travel down the waveguide. Just like light in an etalon has to
undergo constructive interference in order for the etalon to support a particular
wavelength, light in a waveguide has to undergo constructive interference for a
particular ‘mode’ (which corresponds to a particular incident angle) to exist. In an
etalon analysis, usually the variable is wavelength, and transmission is plotted as a
function of wavelength; in a waveguide analysis, typically the wavelength is fixed,
but nature chooses the angle at which it propagates. The reason for it is also the
same; assuming the plane wave in the cavity originates from all the points on the
bottom edge, if the round trip weren’t an integral number of wavelengths,
destructive interference would eventually cancel that optical wave.
170 7 The Optical Cavity

Fig. 7.14 An example of two allowed propagating modes. The white dots are points with a 2p
phase difference. Other possible modes, represented by the more dotted lines, have an incident
angle below the critical angle for that particular dielectric interface and so are not allowed

As is illustrated in Fig. 7.13, in addition to the phase change due to propagation,

there is also a phase change at total internal reflection. Both of these phase changes
must be taken into account when determining the allowed waveguide modes.
Figure 7.14 shows two allowed modes using arrows. The definition of an
allowed mode is that the net phase difference between the two equivalent points be
an integral multiple of 2p.
If the waveguide is a higher index region sandwiched by two identical lower
index regions, there is always at least one very shallow angle in which this con-
dition is satisfied. Depending on the index difference and thickness, there may be
other angles which also fulfill this condition. Eventually, the incident angle will
exceed the critical angle and the necessity of total internal reflection will not be met.
The quantitative aspect of determining the allowed modes will be discussed in the
next section.

7.6.4 Quantitative Analysis of the Waveguide Modes

In this section, we will go through calculation of guided guides for some simple
waveguide structures. The purpose is to give a more intuitive picture of what a
mode is, not to present the best calculation techniques. Nowadays, software is
usually used to obtain modes for lasers or most complicated wave guiding struc-
tures. The reader is invited to look at other books (e.g., Haus2) for examples of
waveguide solutions by other methods.
The qualitative picture now should be clear. Transverse electric or transverse
magnetic (TE or TM) modes can both simultaneously propagate in a higher index
medium sandwiched by two lower index mediums. For a symmetric medium (with
the same index cladding region on both sides), there is always at least one allowed
propagation angle and one guided mode. As the index contrast gets higher, the
critical angle gets higher and the number of modes increases. A thicker higher index
region also increases the potential number of modes.

2
H. Haus, Waves and Fields in Optoelectronics, Prentice Hall, 1984.
7.6 Lateral Modes in an Optical Cavity 171

Fig. 7.15 A waveguide illustrating the phase change of a propagating mode at reflection and due
to the propagation length. The propagation constants in the forward and up-and-down direction are
identified in terms of the fundamental propagation constant 2p/(k/n1)

Figure 7.15 identifies the angles and propagation constants in various directions,
and the phase changes at reflection. The top and bottom slabs are considered to be
infinitely thick. The propagation constant k0 of light in free space is

2p
k0 ¼ ð7:12Þ
k
On examination of this figure, let us write down the mathematical statement that
the net phase change between equivalent parts of the wave, the far left and the
middle, should be a multiple of 2p. The relevant quantities are defined in the figure.

2/ þ /rtop þ /rbottom ¼ 2dn1 k0 cos h þ /rtop þ /rbottom ¼ 2mp ð7:13Þ

where the / terms are the phase changes due to reflection (defined below). Put in a
different way, the round trip from bottom to top should be an integral number of
wavelengths, even though the light is propagating mostly forward. For light which
is mostly forward, the phase change is given by kx (the k vector in the x-direction)
multiplied by the distance, which is n1k0cosh. Conventionally, the propagation
constant in the forward direction is called b, and it is equal to n1k0sinh.
The phase change on total internal reflection is
0qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi1
n21 sin2 h  n22
/TE ¼ 2 tan1 @ A ð7:14Þ
n1 cos h

for TE waves, and

0 qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi1
n1 n21 sin2 h  n22
/TM ¼ 2 tan1 @ A ð7:15Þ
n22 cos h

for TM waves.
172 7 The Optical Cavity

The effective index neff which identifies the mode is given by

neff ¼ n1 sin hp ð7:16Þ

where hp now means that we have identified a particular discrete propagating angle
as labeled in Fig. 7.15. Let us illustrated this process of analyzing propagation
waveguide modes with an example, and then discuss more qualitatively what design
variables are adjusted to tailor a single-mode waveguide.

Example: Find the number of TE modes, and the effective

index of all the TE modes, supported by the waveguide
pictured.

Solution: The equations are formulated in terms of k (the

propagation vector) and h (the incident angle from
high-index region to the low index region, measured from
the normal). The propagation vector k = (3.5)2p/
(1.5  10−6) = 14.66  106/m. Equation 7.13, written with
known quantities and an angle h, is
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
6 6 1 3:52 sin2 h  3:42
2ð4  10 Þ3:5ð4:83  10 Þ cos h  4 tan ¼ 2mp
ð3:5Þ cos h

Finding the allowed modes in the waveguide corresponds

to finding the allowed values of h in the equation above.
The equation is a transcendental equation. There is no
analytic solution, and the effective way to solve it is to
plot the left side versus h and pick out the values of h for
which the equation is true.
The range of theta is set by the expression under the
square root sine. When h = sin−1(3.4/3.5) = 76.3° the angle
becomes greater than the critical angle, and the mode is no
longer reflected by total internal reflection. Only angles
7.6 Lateral Modes in an Optical Cavity 173

between 90 and 76.3 have to be considered. The graph below

plots the left side of the expression above, with lines
indicating the multiples of 360° points (including 0).

The line has the following phase angles at the following

incident angle. At each angle, the propagation constant
b is given by ksinh, and the effective index neff is given
by bn1/k.

Phase angle h Incident angle b (/m) neff

0 87.3° 14644477 3.496114
360 84.7° 14598072 3.485036
720 82.0° 14518073 3.465938
1080 79.4° 14410570 3.440273
1440 77.0° 14284995 3.410294

There are five modes in the waveguide as listed above.

It is important to look at the example above and try to get some qualitative
insight. First, notice how the effective index ranges from 3.49 to 3.41 (between the
value of 3.5, the value of the high-index guiding layer, and 3.4, the lower index,
cladding layer). At the shallow angle of 87.3°, the optical mode is traveling mostly
straight down the guiding layer, and effectively ‘seeing’ mostly the index of the
guiding layer. At the steeper angles, with the mode bouncing more often between
the two sides, it sees more of the cladding. The effective index is closer to the
cladding. It is the effective index, not the material layer index that governs the
properties of the waveguide and is used, for example, in the expression above for
cavity finesse (Eq. 7.2, and other expressions with n).
174 7 The Optical Cavity

Every high-index layer surrounded by symmetric low index cladding has guided
modes—at least one each TE and TM mode. As the layer gets thicker, or the index
contrast gets higher, the number of guided modes in a structure increases.
For lasers, generally thicker more confining waveguides are better, since better
confinement to the active region leads to lower thresholds and better overall
properties. However, as the waveguide gets thicker and higher confining, it gets
more multimode. As with many things in lasers, designing the waveguide is a
tradeoff. The goal is usually to get the thickest single-mode waveguide possible.
Finally, let us do a final example to connect the one-dimensional etalon in
Sect. 7.4.2, with this two-dimensional waveguide here.

Example: Find the free spectral range of the lowest order

mode of the simple dielectric waveguide structure below.

Solution: The formula for free spectral range is given in

Eq. 7.6, and the only question is what index to use. The
appropriate index is the mode index for the structure
above. As the geometry is the same as the previous exam-
ple, the index of the lowest order mode is 3.496114, and
the free spectral range is then

k2 1:52
Dk ¼ ¼ ¼ 1:61 nm:
2Ln 2ð200Þ3:496114

The one-dimensional structure of Sect. 7.4.2 could be considered a model of a

more realistic, two-dimensional waveguide shown here. The mode indexes deter-
mined by the waveguide govern the optical output.
There are other, equivalent formulations for determined the discrete modes of a
slab waveguide that are involved matching boundary conditions at the boundary,
which is perhaps more flexible in the case of more than three layers. In practice,
7.6 Lateral Modes in an Optical Cavity 175

much of this optical modeling is done in software, and this simple three-layer
method illustrates clearly the origin of discrete modes without being too
computational.

7.7 Two-Dimensional Waveguide Design

We are going to extend Sect. 7.4 into another dimension. Instead of looking at light
confined in the y-direction while it travels in the z-direction, we will now look at
light confined in y- and x-direction, while it travels back and forth in the z-direction.
This is an accurate picture of what happens in a laser cavity.

7.7.1 Confinement in Two Dimensions

A typical laser waveguide, like the ridge waveguide structure whose cross-section is
shown in Fig. 7.11, left, (and in the example problem below) is actually a
two-dimensional confining structure. One can think of the light being confined in
the y-direction by the higher index of the active region compared to the cladding
region, like a typical slab waveguide. How is it confined in the x-direction?
The answer is subtle and best seen by imaging the optical mode as a diffuse blob
that is centered on the confining slab but leaks out to the cladding and the ridge
above. When this optical mode overlaps with the ridge, it sees a higher average
index than to the left and right, where the mode overlaps more with the air. This
index difference between the effective index of the center, where the ridge is, and
the effective index on the sides, where the top layer is removed and the optical
mode sees only air, forms the optical confinement in the x-direction.
In ridge waveguide structures like this, typically the index difference in the x-
direction is much less than the index difference in the y-direction. In such cir-
cumstances, numbers for the optical mode as a whole can be more easily obtained
by the effective index method, which we will illustrate (again, largely by example)
in the sections below.

7.7.2 Effective Index Method

Below we are going to illustrate a more manual method for solving simple indexes
for two-dimensional confinement regions. (In reality, these calculations grow
extraordinarily complicated with multiple layers and real shapes actually seen in
lasers, and so real calculations are usually done using programs, such as RSOFT or
Lumerical. This example will illustrate at least how the geometry and index contrast
determine whether a waveguide is single mode or not).
176 7 The Optical Cavity

Table 7.2 Analyzing Steps for analyzing simple ridge waveguide-type structures
waveguides using the using the effective index method
effective index method
1. Break the waveguide up into two regions (inner and outer)
and solve for the effective modes of each of those regions, the
chosen polarity
2. Make a slab waveguide using those effective indexes as the
core and cladding index
3. Find the effective index of that simple structure, which is
approximately the effective index of the 2D waveguide

For pedagogical reasons, let us model the typical semiconductor waveguide as

shown below in the upcoming example. A region of about 3.4 effective index is
clad by air (on top) and a semiconductor substrate (3.2) on the bottom. In a ridge
waveguide geometry, the region around the central region is etched to provide
confinement in the x-direction.
The basic process for the effective index method is shown in Table 7.2.
This method works well if the confinement in one direction (typically in the y-
direction) is much stronger than in the x-direction.

Example: Find the effective index (or indexes) of the TE

modes of light at a wavelength of 1.3 lm confined in the
ridge waveguide structure below

Solution: First, we break the structure into three sepa-

rate structures, as shown. Equation 7.13 applies to each
structure, but of course, the phase change (and critical
angle) at the top and bottom interface is different.
Equation 7.13, for example, written for the middle slab,
would be:
7.7 Two-Dimensional Waveguide Design 177

2ð0:6  106 Þð3:4Þð4:83  106 Þ cos h

pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi! pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
3:5 2 sin2 h  3:42 3:52 sin2 h  12
 2 tan1  2 tan1 ¼ 2mp
ð3:5Þ cos h ð3:5Þ cos h

Solving Eq. 7.13 for each of the slab indexes results in

the following values for TE effective modes in each slab.

n=3.223 n=3.315 n=3.223

Finally, the waveguide in the x-direction looks

approximately like the structure below.

Solving this structure in the x-direction leads to

the following effective index: n = 3.281. Since all
of the structures in the example were single mode,
the final result is also single mode. If the width
were 1 lm instead of 0.8 lm, the final structure would
have had two modes, 3.289 and 3.223. Since the
objective is to have the widest structure that is
still single mode, a target ridge width should be
between 1 lm and 0.8 lm.
178 7 The Optical Cavity

7.7.3 Waveguide Design Targets for Lasers

Now that we know how to analyze index structures for wave guiding modes, let us
discuss what the optimal waveguide for a laser should look like. For the sake of
discussion, let us draw a picture of a simple ridge waveguide, let the ridge width
vary, and see what happens to the effective index n and the mode shape.
As shown below in Fig. 7.16, with a very narrow ridge, the effective index is
close to the cladding index. This implies that the optical mode is very large and
‘sees’ a lot of the cladding. (Qualitatively, the effective index neff is some kind of
weighed average of the indexes that the mode shape covers.) For lasers, the optical
mode should be confined to be in the gain region (indicated by the dark region
under the ridge) where the quantum wells are and where the injected current pro-
duces gain. As the ridge gets wider, the effective index sees more of the region
under the ridge and gets slightly higher, and the optical mode is more confined to
the region under the ridge. Finally, as the ridge gets wider yet a second mode
appears. This second mode has a two-peak standing wave pattern in the ridge.
For lasers, the best waveguide is the most confining, single-mode device. High
confinement to the region under the active region means net high optical gains and
lower threshold currents. Multimode devices as discussed can have worse coupling
to optical fiber and not be single wavelength.
As we close this section, and chapter, let us make a final comment. While
discussion of the mathematics of how to calculate optical modes gives insight into
what influences the optical mode, usually, real-mode solutions for complex struc-
tures are done with numerical methods on software such as Lumerical or RSOFT.
The analytic analysis of a waveguide with many, many parts is very difficult.

7.8 Summary and Learning Points

In this chapter, we discuss the influence of the cavity on the light. A typical laser
structure with two reflecting facets sandwiching an active region acts as an etalon,
and only allows certain wavelengths within the cavity. This allowed wavelengths
form the set of longitudinal modes.

Fig. 7.16 Illustration of mode shape evolution versus ridge width in a simple example. The less
confined modes (left) have bigger modes and worse confinement to the active region (indicated by
the dark rectangle). In the middle just before cutoff, the optical mode is most confined to the active
region. Finally, on the right, a second mode appears, characterized by two peaks. The ideal design
target for lasers is just before the single-mode cutoff, illustrated in the middle
7.8 Summary and Learning Points 179

In addition, the details of the wave guiding structure including the index con-
trasts and dimensions control the spatial modes of the devices. These modes can
influence the wavelengths supported by the cavity, and control the coupling into
and out of optical fiber.
With the tools of this chapter, waveguides can be designed to support only a
single spatial mode. With that, truly single-wavelength devices, using, for example,
distributed feedback structures, can be fabricated.

A. In an optical cavity defined by two mirrored surfaces, only certain wavelengths

are supported due to constructive/destructive interference between the facets.
B. Each supported wavelength in a cavity must have an integral number of round
trips between the two facets.
C. A Fabry-Perot laser cavity has a regular spacing of modes determined by the
length of the cavity.
D. The number of wavelengths is given by the cavity length and the mode index;
spacing between wavelengths depends on the group index.
E. Each supported lasing wavelength is identified as a longitudinal mode in a
Fabry-Perot laser.
F. The number of lasing modes is determined by the gain bandwidth and the mode
spacing.
G. A laser cavity is also a waveguide composed of a higher index region sand-
wiched by lower index regions
H. The laser waveguide supports one or more transverse/spatial/lateral modes.
I. These modes are found for a system with one-dimensional confinement by
finding the discrete angles at which light reflected back and forth undergoes
constructive interference from the top to the bottom.
J. The specific angles each correspond to a different mode.
K. The effective index method can be used for systems with two-dimensional
confinement in which the index contrast in one direction is much less than in
the other direction (as in typical ridge waveguide lasers).
L. Although mathematically TE and TM modes are equally supported in a
waveguide, real semiconductor laser emit predominantly TE light because the
facet reflectivity is slightly higher (and the distributed facet loss slightly lower)
for TE light.
M. Laser waveguides should be designed to be just before the cutoff for
single-mode waveguides. They should have the highest possible effective index
before the waveguide becomes multimode.
N. Real-mode solutions for complex structures are usually done with numerical
methods on software such as Lumerical or RSOFT.
O. Lasers are gain-guided as well as index-guided. Often the details of the effective
index and far field differ from those calculated using index guiding alone.
180 7 The Optical Cavity

7.9 Questions

Q7:1. What is an etalon?

Q7:2. What modes are supported in an etalon?
Q7:3. What is a difference between an etalon and a Fabry-Perot laser cavity?
Q7:4. What is the expression for the spacing between allowed modes in a cavity?
Q7:5. What is the expression for the number of wavelengths in a cavity?
Q7:6. What is the difference between the group index and the index? Why does
the group index determine the mode spacing?
Q7:7. What is the condition for a lateral mode?
Q7:8. Does every high-index structure sandwiched by low index regions support
at least one mode?
Q7:9. Is it possible for an index waveguide to support a TE mode but not a TM
mode, or a TM mode but not a TE mode?

7.10 Problems

P7:1. Derive Eq. 7.6 and then Eq. 7.8 for free spectral range, appropriate for
vacuum and semiconductor etalons, respectively.
P7:2. Write Eq. 7.6 in terms of optical frequency, m, rather than wavelength.
P7:3. A InP-based laser emitting at k = 1550 nm has a 300 lm cavity length, a
group refractive index n = 3.4, and refractive index of 3.2. The width of
the gain region above threshold is 30 nm.

(a) What is the mode spacing, in

(i) nm?
ii) GHz?

(b) How many modes are excited in the cavity?

(c) What is the typical number of wavelengths in a round trip in the
cavity?

P7:4. Semiconductor lasers typically emit strongly polarized light. If the facet
reflectivity for an incident angle of h (from the perpendicular) is given by

n1 cos hi  n cos ht
RTE ¼
n1 cos hi þ n cos ht
for TE polarized modes, and

n1 cos hti  n cos hi

RTM ¼
n1 cos ht þ n cos hi
7.10 Problems 181

Fig. P7.17 Laser modes incident on the facet in a semiconductor waveguide

for TM polarized modes, calculate the reflection coefficient for TE and TM

modes, and the associated distributed facet loss, for the modes pictured in
Fig. P7.17 (let n1 = 3.5 and n = 1). What polarization do semiconductor
lasers emit? (Hint: consider the distributed facet loss for each polarization).
P7:5. The ring laser pictured in Fig. P7.18 is a triangular waveguide fabricated
on a piece of quantum well semiconductor material. Two of the facets are
etched at an angle for total internal reflection, so that the entire light wave
is reflected. The other angle ingle is made more abrupt so that the inci-
dence angle is below that needed for total internal reflection. The light goes
around the ring which serves as the cavity, and the arrows show
(one) direction of light circulating in the ring.

Fig. P7.18 A triangular ring laser (left) and a conventional edge-emitting laser (right)
182 7 The Optical Cavity

w
n=3.4, h=1000A
n=3.4
d
n=3.1, h=10 m n=3.1, h=10 m

Wafer Layer Structure Fabricated Ridge Waveguide

Fig. P7.19 Waveguide design problem

The group index is 3.5, the mode index is 3.2, and the lasing wavelength is
1.3 lm.

(a) If the long legs of the triangle are (as pictured) 500 lm, and the short
leg is 200 lm, what is the expected mode spacing in the device?
(b) Which device would have a greater threshold current (the ring laser or
the edge emitting) given that they are the same ‘size’ and facet
reflectivity on output facets (and, briefly, why)?

P7:6. Assume a waveguide is formed by a layer of 3.5 index core, 2 lm thick,

surrounded by cladding with a refractive index of 3.2 (as in the example of
Sect. 7.6.4, with a different thickness). Find the number of TM modes, and
the incident angle and effective index associated with each mode.
P7:7. A very simple optical model of a waveguide structure is given in
Fig. P7.19, consisting of a higher index layer on top of a lower index layer
(sandwiched by air on top). Determine an etch depth and rib width to make
this structure a single-mode ‘rib’ waveguide as shown. (Note: there are
many possible answers!).
P7:8. Look back at Problem 6.10, where the question was what doping would be
necessary to reduce the resistance of the top contact to 5X. Another thing
that a designer could do to decrease resistance is to increase the top contact
width.

(a) What width for the ridge would be necessary to reduce the resistance
to 5X?
(b) What optical problems could that possibly cause in laser operation?
Laser Modulation
8

He said to his friend, “If the British march

By land or sea from the town to-night,
Hang a lantern aloft in the belfry arch
Of the North Church tower as a signal light–
One if by land, and two if by sea;
And I on the opposite shore will be”
—Henry Wadsworth Longfellow, Paul Revere’s Ride

Abstract
In this chapter, the use of lasers for direct modulation transmission at high
speeds is discussed. The laser properties that limit the high speed transmission
and the ultimate transmission speed achievable are analyzed.

8.1 Introduction: Digital and Analog Optical Transmission

Semiconductor lasers in optical communications are largely used as digital modulated

light sources. Just as Paul Revere doubled the light in Longfellow’s famous poem,
lasers are switched from low light levels to high light levels to communicate digital
zeros or ones in an optical fiber. The data on the fiber is encoded in little pulses of light
which then travel at the speed of light down the flexible optical fiber waveguide.
Because so much information can be transmitted on the fiber, we (the end user) have as
much bandwidth as we are willing to pay for (with more available all the time).
As discussed in the previous chapters, the optical power output from a laser is
proportional to the current injected into the laser. In the simplest digital amplitude
modulation scheme, high level light pulses represent ‘1’s and low level light pulses
represent ‘0’s. In a direct modulation scheme, these ‘1’s and ‘0’s are generated by
rapidly switching the current injected into the laser between two different levels. In

© Springer Nature Switzerland AG 2020 183

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_8
184 8 Laser Modulation

Fig. 8.1 Left, a simplified directly modulated laser diode circuit. Right, a typical eye pattern
showing changing light levels in response to a random pattern of 1’s and 0’s. The region in
between illustrates the digital current data (clean transitions between the 1 and 0 current levels)
versus the output light data

this chapter, we discuss the limits of the speed with which we can directly modulate
lasers. Chapters 11 and 12 talk about laser transmission systems on a higher level,
including externally modulated devices and an overview of transmitters and
receivers.
To illustrate what we mean by ‘modulation,’ Fig. 8.1 shows the laser output in
the form of an eye pattern (which is the conventional way that large signal digital
optical modulation schemes are evaluated). An eye pattern shows many bits
overlaid on each other, in which each bit starts at the same point on the trace.
A desirable eye pattern has a clean transition between high and low, looking (in
fact) like the square current pulse that drives the laser. The very typical laser output
shown in Fig. 8.1 looks nothing like that. It has significant overshoot, much slower
rise and fall times and is delayed from the input current pulse. These properties
result from semiconductor laser characteristics and fundamentally affect how a
semiconductor laser can be used for direct modulation.
We hope this brief introduction to eye patterns was, at least, eye-opening.
Alternatives to direct laser modulation include external modulation, in which a
laser is used to generate the source light and another modulation method is used to
change the light amplitude.
Before we discuss the fundamental limits of digital transmission, let us look at
the requirements on optical digital transmitters. This will tell us what the semi-
conductor lasers have to do before we focus on what they can do.

8.2 Specifications for Digital Transmission

It is worthwhile to discuss how digital transmission is specified and to connect the

transmitter specification to the laser bias conditions and coupling efficiency from
the laser to the output fiber. To avoid the situation in which vendors test their
products to many slightly different standards, the industry has tried to provide
common standards for optoelectronic components. Table 8.1 shows a bit of the
8.2 Specifications for Digital Transmission 185

Table 8.1 Typical specification for a directly modulated optical transmitter

Parameter Minimum Maximum Typical
Wavelength at 25 °C (nm) 1290 nm 1330 nm 1310 nm
Ith(25 °C) (mA) 5 20 10
SMSR (dB) 35 dB – 40 dB
Coupled slope efficiency (W/A) 0.1 W/A – 0.2 W/A
Launch power (dBm) −8.5 dBm 0.5 dBm −3 dBm
Extinction ratio (dB) 3.5 dB – –

specification for a laser component designed to be used as part of the IEEE 802.3
compliant transponder.
Power in laser specifications is often given in dBm (decibel mW) as given
below.


PðmWÞ
PðdBmÞ ¼ 10 log ð8:1Þ
1 mW

For example, 0 dBm is 1 mW, 10 dBm is 10 mW, and so on. The extinction
ratio is the ratio of the power at the ‘1’ level (Pon) to the power at the ‘0’ level
(Poff). This is usually given in dB:


Pon
ERðdBÞ ¼ 10 log ð8:2Þ
Poff

The specification on extinction ratio implies a specification on laser speed. When

the extinction ratio is given, it means the transmitter should pass a mask test (as will
be described below) at that given extinction power. Qualitatively, the eye should
look open at that speed and bias conditions, with an acceptable amount of overshoot
and a blank area in the middle so the receiver can decide if it is receiving a zero or a
one.
For 1550 nm directly modulated devices, another specification on laser high
speed modulation is dispersion penalty, which will be discussed in Chap. 10.
The launch power, LP, means the average fiber-coupled power, given by


Pon þ Poff
LP ¼ 10 log ð8:3Þ
2 mW

in dBm. It differs from the laser power because the laser (in whatever packaged
form it is being sold) does not couple all of the light out into a fiber. Only a certain
fraction of light emitted from the front facet of the laser (typically around 50%,
though it can be higher) is translated into useful transmittable light.
Given the value of extinction ratio, launch power, and laser characteristics, the
necessary bias conditions can be determined. An example of the calculated bias
conditions Ihigh and Ilow is given below.
186 8 Laser Modulation

Example: A typical laser has a threshold current of 10 mA

and a coupled slope efficiency of 0.15 W/A into the fiber.
For typical transmission conditions (LP = −1 dBm,
extinction ratio of 4 dB for a 10 Gb/s device), calculate
the low and high current levels.
Solution: From the expression

1 ¼ 10 log10 ðLPðmWÞ=1 mWÞ;

the launch power is calculated to be 0.8 mW. The power of

0.8 mW is an average current of
 
0:8 mW=0:15 W/A ¼ 5:33 mA ¼ Ihigh þ Ilow =2:

above threshold. By the extinction ratio given

   
4 ¼ 10 log10 Phigh =Plow ¼ 10 log10 0:15Ihigh =0:015Ilow ;

the ratio of Ihigh/Ilow is 2.5. From the average current

expression,
(Ihigh + Ilow)/2 = (2.5Ilow + Ilow)/2 = 5.33 mA or Ilow = 3 mA
(above threshold) and Ihigh = 7.6 mA (above threshold).

In this chapter, we are going to focus on the factors that limit directly modulated
laser speed and how to get a fast device. We start by talking about small signal
modulation (which is useful in its own right and often a good figure of merit for
large signal communication) and then connect it to large signal properties. Then we
talk about other limits to high speed transmission, including fundamental laser
characteristics and more parasitic limitations.

8.3 Small Signal Laser Modulation

In some applications, the laser is used directly in an analog small signal trans-
mission mode. For lasers used to optically transmit cable TV signals (CATV
lasers), the channel information is actually encoded into analog modulation of the
laser output. Though the small signal characteristics are directly relevant here,
usually the modulation frequency is very low compared to the laser capabilities.
Typically, the small signal characteristics are used to describe the laser speed
metrics, but the device is used digitally.
8.3 Small Signal Laser Modulation 187

We first describe a small signal measurement and then discuss its application,
first to light-emitting diodes (LEDs) and then to lasers.

8.3.1 Measurement of Small Signal Modulation

Before discussing the theory of small signal modulation, let us illustrate the
modulation measurement, so the reader can have a good idea of the properties being
measured and relate to the upcoming mathematics.
When we talk about modulation bandwidth of lasers and LEDs, what we mean is
the frequency response of the quantity ΔL/ΔI, where L is the light output and I is the
input current. In these measurements, the device (laser or LED) is typically
DC-biased to some level, and an additional small signal amount of current is
superimposed on this DC bias. The amplitude of the small signal light is then
measured and plotted as a function of frequency, and the point where the amplitude
falls 3 dB below the DC or low frequency response is called the device bandwidth.
The measurement and frequency response are illustrated in Fig. 8.2.
These measurements are much easier to describe and quantify than large signal
measurements. It is not clear immediately how to put a number to how good an eye
pattern is, but it is quite straightforward to name a device bandwidth under a certain
DC bias condition.
These small signal measurements are important measurements for lasers for
several reasons. First, they give direct information about the physics of the device,
including information about the optical differential gain that cannot be obtained
directly. They also serve as a good proxy for large signal measurements: devices
with good (high) bandwidths give good eye patterns.

Fig. 8.2 Illustration of a modulation measurement for an optical device (laser or LED). The
device is DC-biased, and a small signal is superimposed on top of it. The small signal amplitude of
the light is plotted against frequency to give the device bandwidth. Sometimes, the source and
receiver are in the same box, called a network analyzer. The bandwidth is the point where the
response falls to 3 dB below its low frequency level
188 8 Laser Modulation

8.3.2 Small Signal Modulation of LEDs

To enter into this subject of large signal laser modulation, let us begin by small
signal modulation of light-emitting diodes. This will serve to give a more intuitive
picture of what determines modulation bandwidth of these devices and introduce
the small signal rate equation model that we will use to model these phenomena.
The simplest meaningful model includes electron and hole current injection into
the active region and radiative recombination in the active region. Figure 8.3
illustrates the processes.
Figure 8.3 neglects carrier transport and leakage through the active region, but
captures the important details. The important concept is that the carrier population
in the active region is only increased by increased current and only decreased by
radiative recombination. When a certain current level is applied to the device, a
certain DC level of carriers is established in the active region. The carrier popu-
lation in the active region can only increase through current injection and only
decrease through recombination, which has a time constant, sr, associated with it.
Inherently and intuitively, the bandwidth should be limited by that recombination
time constant.
A rate equation that describes the process is given in Eq. 8.4,

dn I n
¼  : ð8:4Þ
dt qV s

Fig. 8.3 Modulation of LEDs. Current is injected into the active region, where it recombines
radiatively and emits light. Modulation speed is limited because once in the active region, the
current density reduces only with the *ns timescale associated with radiative recombination. The
figure shows a modest carrier population density and light output with low level current injection,
and b increased carrier population density and light output with higher level current injection
8.3 Small Signal Laser Modulation 189

In the equation, n is the carrier density in the active region, I is the injected
current, V is the volume of the active region, q is the fundamental unit of charge,
and s is the carrier lifetime. That carrier lifetime in this simple model represents the
amount of time it takes before a carrier radiatively recombines into a photon.
The first term in Eq. 8.4, I/qV, represents injected current; the second term, n/s,
represents carriers which recombine after a time s and emit a photon and hence is
proportional to the photon emission rate Semission out,

Semission ¼ n=sr ð8:5Þ

in which sr is the radiative lifetime. The radiative lifetime is the lifetime of the
carriers due to the process of radiative recombination only. Total carrier lifetime s is
the carrier lifetime due to both radiative (sr) and non-radiative (snr) processes. If the
processes are all independent, the total lifetime is given by Matthiessen’s Rule as

1 1 1
¼ þ : ð8:6Þ
s sr snr

The radiative efficiency ηr, which is the fraction of injected carriers which are
emitted as photons, is given as,

1
sr
gr ¼ 1 1
: ð8:7Þ
snr þ sr

Problem 8.1 will explore the implications of these different times. For now, let us
note that the internal quantum efficiency of a good laser can be >90%, and in both
laser and LED material, radiative recombination dominates.
To model a small signal measurement, both I and n are given a DC and an AC
component (at a frequency x), as shown in Eq. 8.8.

I ¼ IDC þ IAC expðjwtÞ

ð8:8Þ
n ¼ nDC þ nAC expðjwtÞ:

Let us substitute these expressions for I and n into the simple rate equation of
Eq. 8.4 to obtain

dnDC þ dnAC IDC þ IAC dnDC þ dnAC

¼  ; ð8:9Þ
dt qV s

which breaks up into two simple equations. One of them,

IDC nDC
0¼  ; ð8:10Þ
qV s

sets the DC carrier level in the diode as a function of injected bias,

190 8 Laser Modulation

IDC s
nDC ¼ : ð8:11Þ
qV

The second AC equation,

IAC expðjxtÞ nAC expðjxtÞ

nAC jx expðjxtÞ ¼  ð8:12Þ
qV s

can be rewritten, by canceling the common exponential term and rearranging, as

nAC 1
IAC ¼ ð8:13Þ
qV
1 þ jxs
 
n  1
 AC 
 IAC  ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi: ð8:14Þ
 qV  1 þ x 2 s2

The only step necessary in recognizing this as the modulation bandwidth of an

LED is to realize that the light out is proportional to the current density n.
Notice that this is an experimental prescription for measuring the carrier lifetime.
It is exquisitely difficult to observe carriers directly, but it is perfectly straightfor-
ward to measure the 3-dB bandwidth of a device. From that bandwidth (assuming
that the measurement is unobstructed by parasitics, and there are no other mean-
ingful recombination terms), the carrier lifetime can be extracted.
There can, of course, be a phase offset between n and I (represented by a
complex nac) but it is irrelevant to measuring the bandwidth.

8.3.3 Rate Equations for Lasers, Revisited

What we wanted to show in the previous discussion is that LED modulation was
fundamentally limited by the carrier lifetime in the active region because their
fundamental emission mechanism is spontaneous emission from carrier recombi-
nation. As the carrier lifetime is of the order of ns, the lifetime is limited to ranges
typically <1 GHz.
Lasers, however, emit light by stimulated emission. The stimulated emission
lifetime is much shorter than spontaneous emission, as the carrier recombination is
controlled by the changing photon density. The expectation is that therefore laser
modulation will be fundamentally different and faster.
As with LEDs, let us start with a rate equation, with appropriate small signal
terms inserted. The appropriate rate equations (from Chap. 5) are repeated below.
8.3 Small Signal Laser Modulation 191

dn I n
¼   Gðn; SÞS
dt qV s

 ð8:15Þ
dS 1 bn
¼ S Gðn; SÞ  þ
dt sp sr

Most terms are defined as before: I is the current injected, V is the active region
volume, s and sr are the total recombination time and radiative recombination time,
respectively; sp is the photon lifetime and b is the fraction of carriers coupled into
the lasing mode. The final term is generally important only in kick-starting the laser
process; once the optical gain becomes non-negligible, it is the spontaneous
emission photons that are amplified to generate the lasing photons.
The one change we make is a redefinition of gain function G(n, S), which is now
given as a function of both carrier density n and photon density S. In Chap. 5, we
were looking at the DC steady state value of the gain and for that purpose, a DC
value sufficed. Here, when we want to include time dependence, we need to use a
more sophisticated model, which includes the carrier density and the photon
density.

dg
Gðn; SÞ ¼ ðn  ntr Þð1  eSÞ: ð8:16Þ
dn
This model incorporates two important physical factors. The differential gain dg/
dn is an important metric for high speed laser performance. What it represents is the
change in gain with increase in carrier density. Though the DC gain is clamped at
threshold, modulating the laser involves changing the current in resulting in a
change in light level out. This dg/dn parameter measures how quickly this happens,
and thus how fast a device can be modulated.
This model also assumes that the model is strictly linear all the way from
transparency through and around lasing. This is a simplification, but usually per-
fectly applicable.
The gain function also includes the ‘gain compression’ factor e. This factor
models the fact that as the current into the laser increases (above threshold), the net
AC gain that the light in the cavity experiences decreases. For example, at low
photon/current levels into a laser, a temporary increase in carriers may increase the
output (temporarily, until the steady state DC situation is restored) by a hypothetical
10%; the same increase in carrier density at high photon/current levels may only
increase the output by 5%. This excess carrier density can be directly created by
modulation of the input current or by optical pumping.
It is safe to say that the mechanisms for gain compression are not fully under-
stood and vary depending on the details of the laser structure. Two of the common
mechanisms for gain compression are illustrated in Fig. 8.4. The first is called
spectral hole burning, in which the carrier distribution becomes nonlinear as the
photon density gets higher and depletes carriers at the lasing wavelength. The
second is called spatial hole burning, in which the higher photon density at certain
locations (at the facets, in a Fabry-Perot laser or anywhere, in a distributed feedback
192 8 Laser Modulation

Fig. 8.4 Mechanism for gain compression. The top illustrates spectral hole burning, in which the
current density becomes non-equilibrium as the light intensity increases, leading to a reduction in
effective gain at the lasing wavelength; the bottom illustrates spatial hole burning, where locations
with high photon density have non-uniform carrier density

laser) depletes the carriers at those locations and reduces the net gain. Whatever the
mechanism, this gain compression at higher currents and photon densities damps
out the modulation response.
A word about the units: in the rate equations, gain is in units of 1/s, and
differential gain is in units of 1/s-cm3. When gain is calculated using band struc-
tures, conventionally it is in units of 1/cm, and differential gain is in units of cm2
(change in gain in 1/cm divided by carrier density in 1/cm3). It can easily be
converted from one to another by multiplying by the group velocity.
 
Gðn; sÞ s1 =vg ½cm=s ¼ Gðn; sÞ cm1
dg  1 3 dg  2 ð8:17Þ
s cm =vg ½cm=s ¼ cm
dn dn
In the rate equation context of this chapter, both these numbers should be
understood to be in s−1 units. And note how useful unit analysis can be helpful in
navigating complicated equations!
8.3 Small Signal Laser Modulation 193

8.3.4 Derivation of Small Signal Homogenous Laser

Response

To begin talking about the dynamic response of lasers, let us first solve for the small
signal homogenous laser response. From the rate equations, we write the appro-
priate, small signal differential equations for nac and sac, where the ‘ac’ subscripts
indicate deviations from the DC solution. Here, we will follow Bhattacharya’s1
treatment, slightly simplified

S ¼ SDC þ sac

n ¼ nDC þ nac : ð8:18Þ

The variable ndc is nth, which is usually a few times the transparency current
density ntr for a given structure. At this point, the math gets complicated, so let us
describe what we are going to do first before we go ahead and do it.

(i) Substitute the expressions in Eq. 8.15 into the rate equation, Eq. 8.12. The
resulting equation will have first order terms containing single terms nac or
sac, zeroth order terms which contain neither and second order terms which
contain products of nac and sac.
(ii) Ignore the second order terms (considering them generally small compared to
the first order terms) and the zeroth order terms (since those are exactly the
DC rate equations!).
(iii) Finally, we are going to write differential equation for dsac/dt and dnac/dt.
This equation is appropriate for when the steady state conditions for n or
s are perturbed and will describe how the laser evolves back to the steady
state. It will give some insight into the dynamics of the laser.

As a real example, let us take the rate equation for n and apply these steps.

dnDC þ dnac I nDC þ nac

¼ 
dt qV s
dg
 ðnDC þ nac  ntr Þð1  eðSAC þ SDC ÞÞðSAC þ SDC Þ ð8:19Þ
dn
The following results can be carried through including the gain compression e,
but they are much more complicated. To give the following expressions a bit more
intuition, the e term will be henceforth set to zero and we will leave out the
spontaneous emission term from the photon rate equation. We will also set the drive
term (I) to zero to find the homogenous solutions.
Setting e equal to zero and keeping only the first order, small signal terms on
both sides give

1
Pallab Bhattacharya, Semiconductor Optoelectronic Devices, 2nd edition, Prentice Hall.
194 8 Laser Modulation

dnac nac dg dg
¼ þ SAC ðndc  ntr Þ  nac SDC ð8:20Þ
dt s dn dn
And


dSac dg dg 1
¼ Sac ðndc  ntr Þ  nac SDC þ : ð8:21Þ
dt dn dn sp

These two equations are a set of coupled, linear differential equations; dsac/
dt and dnac/dt depend on sac and nac. The reader is reminded that the DC gain is
clamped at threshold and does not vary. The ac value of n and s, and the total gain,
do vary.
The equations can be combined into a single second order differential equation
by differentiating one of them (say, the equation for dsac/dt), and substituting for
dnac/dt in the first equation then an expression can be obtained that contains only
the first and second derivatives of s. We leave the details of that operation to the
curious reader. The homogenous solutions are of the usual exponential form

nðtÞ ¼ expðXtÞ expðjxr tÞ; ð8:22Þ

which looks like a decaying sinusoid. By using the DC expressions (for example,

1 dg
¼ ðnth  ntr Þ; ð8:23Þ
sp dn

which can be obtained from setting the rate equation for s equal to zero above
threshold, as done in Chap. 5), fairly simple expressions for X and xr can be
written. The time constant of the decay, X, can be written as


1 i
X¼ ; ð8:24Þ
2s ith  itr

where
nth q
ith ¼ ð8:25Þ
s

and
ntr q
itr ¼ : ð8:26Þ
s

The resonance frequency is then equal to

 1=2
1 i
xr ¼  X2 ; ð8:27Þ
ssp ith  itr
8.3 Small Signal Laser Modulation 195

which since sp (the photon lifetime of ps)  s (the carrier lifetime of ns), is
approximately

 1=2
1 i
xr ¼ ; ð8:28Þ
ssp ith  itr

The relaxation frequency is a geometric average of the photon and carrier life-
time and increases as the square root of the bias current. Both of these will ulti-
mately affect the design of lasers and their chosen operating points for high speed
operation. Typically, small devices, with short photon lifetimes, are faster, and we
will see that higher speed devices are specified to a lower extinction ratio and higher
currents on the low end.

8.3.5 Small Signal Laser Homogenous Response

Equation 8.21 spells out the form of the natural response of a laser when there are
small variations from the DC parameters. For example, if, in an active laser, a pulse
of light injected a small number of excess carriers above the DC value, that
equation would describe how the carriers (and the light) decayed down to their
equilibrium values.
To illustrate this in operation, see Fig. 8.5. This figure shows how a laser
responds when current is suddenly applied. The figure does not show the small
signal solution; it is a full numerical solution of the rate equation response of
Eq. 8.12, essentially the large signal response. However, the tail end of the response
when the current and light are converging toward their steady state values is
characteristic of the small signal solution that we determined above. The form of the
response shows what the natural response looks like.

Fig. 8.5 An illustration of the nonlinear solution of the rate equation illustrating what happens
when the current to a laser is abruptly turned on
196 8 Laser Modulation

In this calculation, at time t = 0, the current in goes from 0 amps to some

nonzero value, above threshold. The figure on the left illustrates what happens to
the carrier density in the active region. After the current starts, carriers start to
accumulate in the active region, until carrier density approaches the threshold
carrier density. In steady state, excess current above threshold turns into photons,
not carriers; however, several nanoseconds elapse before the population of carriers
and photons equilibrates. During that time, the population of carriers and photons
oscillates as it decays t its equilibrium value.
The ‘why’ of it requires some explanation. Until the carriers reach threshold,
there are very few photons created by spontaneous emission. Hence, there is a delay
between when the current input starts and when the light output begins. Above
threshold, the net positive gain results in a sudden increase in photons which results
in a depletion of carriers. The population of photons oscillates at the same fre-
quency as the carriers, and they both gradually decay to their equilibrium value.
For both photons and carriers, as the difference from equilibrium value gets
small, the response looks like the small signal response. The decay time 1/X and the
resonance frequency xr can be identified by the spacing between oscillations and
the falloff of the peaks, as shown.
This is the fundamental reason that bit patterns of high speed lasers have the sort
of overshoots that are shown in Figs. 8.1 and 8.11. These oscillations are inherent
to directly modulated lasers. Typically, the receiver is low-pass-filtered to improve
the response and reduce the impact of these typically high frequency oscillations.

8.4 Laser AC Current Modulation

With what we know about the natural response of the laser system, we can start to
discuss the modulation response of a laser. The small signal modulation response is
the small signal change in output light L (or photon density S) due to a small signal
change in input current, I, plotted versus frequency. The measurement is precisely
the same as illustrated in Fig. 8.2.

8.4.1 Outline of the Derivation

The outline of the derivation of the laser modulation response equation is given
here, though we spare the reader the grittiest of details.
First, to determine an expression for laser modulation response, we start by
letting the I in the rate equation have both an AC and DC component, as shown
below.

I ¼ IDC þ iac expðjwtÞ ð8:29Þ

8.4 Laser AC Current Modulation 197

The AC amplitude iac is at a frequency x, which models modulating the device

at a frequency x. This time-varying input leads of course to a time-variation in
optical output and in carrier density.
If the AC term is small compared to the DC term, a small signal approximation is
appropriate and the output terms (n and s) should now have a form

n ¼ NDC þ nac expðjxtÞ; ð8:30Þ

and

s ¼ SDC þ sac expðjxtÞ ð8:31Þ

also with AC and DC components.

From here, the process is similar to that illustrated in determining the laser
natural small signal response in Sect. 8.3.4. The rate equations are expanded and
the first order terms (including just exp(jxt)) are retained, leading to a first order
rate equation in the small signal quantities sac, nac, and iac. The response sac for a
fixed magnitude iac can be found as a function of the modulation frequency x. That
expression is the modulation response, which can be related to the experimental
measurement illustrated in Fig. 8.2. The experimental measurement and the equa-
tion are developed in the next few sections. In the derivation, the inclusion of the
gain compression term e is necessary to model laser behavior accurately.

8.4.2 Laser Modulation Measurement and Equation

Let us start by illustrating in Fig. 8.6 a typical small signal laser modulation
measurement, as pictured in Fig. 8.2, followed by the equation that it should match.
The measurements are at room temperature at different currents and illustrate the
typical shape of the response. The dots illustrate the measured response, and the
curves are ‘best fits’ to the theoretical expression which will be discussed.

Fig. 8.6 Bandwidth data (points) and best fit curve (line) to Eq. 8.32
198 8 Laser Modulation

Qualitatively, the responses for most semiconductor lasers are similar. As the
DC current into the device increases, the resonance peak moves out in frequency as
the height of the peak gets lower.
Both of these effects are accurately predicted from the small signal model of the
laser rate equations,

1 1
Mð f Þ    c ð8:32Þ
f 2  fr2 þ j 2p f 1 þ j2pf sc

To more easily match the output of a standard network analyzer, this equation is
given in terms of frequency f, rather than angular frequency x, which is 2pf. The
parasitic term sc comes from a more complete rate equation model which includes
transport and parasitics (see Problem 8.5): it will be discussed below. The damping
factor term, c, is defined in Eq. 8.34. Most of the complex laser behavior under
small signal modulation is contained in this fairly simple equation (and in the two
other equations that we will discuss in this section). The modulation response looks
like a second order function with a resonance peak (representing the fundamental
laser response at fr) along with a first order additional falloff, representing parasitic
terms. As the laser current increases, the resonance peak fr increases also, according
to
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

 sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

 u
1=2 u dg
1 1 i 1 SDC dg e 1 tvg dn ðI  Ith Þgi
fr ¼ ¼ þ ¼
2p ssp ith  itr 2p sp dn s 2p qV
pffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ D I  Ith
ð8:33Þ

Equation 8.33 shows the dependence of resonance frequency on current or

photon density written in several common ways. Fundamentally, increasing the
photon density increases the resonance frequency. However, it is difficult to mea-
sure the photon density in the cavity directly (but see Problem 8.2!), so the second
expression includes the conversion of light to current, and charge to carriers, with
the internal conversion efficiency ηi (the fraction of injected carriers which are
converted to photons) and to the electron charge q.
Accurately knowing the photon density SDC or the carrier active volume V is
quite difficult. What is often measured is simply the relationship between injected
current and measured resonance frequency, which theoretically and experimentally
follows the quadratic form given. The symbol D (the laser D-factor, in GHz/mA1/2)
is then a metric for laser performance.
The damping, c, which describes how the peak flattens out, is given by

1
c¼ þ Kf 2 ; ð8:34Þ
s
8.4 Laser AC Current Modulation 199

where K is the damping factor, given by

0 1
2
K ¼ ð2pÞ2 @sp þ A ð8:35Þ
dg
dn

Physically, this damping term arises because the modulation is limited by photon
lifetime (which is significant at high frequencies and high photon densities, even
though it is typically much smaller than carrier lifetime) and by gain compression,
which are the two terms in Eq. 8.35. The easiest one to picture is photon lifetime:
just as carrier lifetime fundamentally limits processes driven by carrier population
(such as LED light emission), photon lifetime in lasers fundamentally limits
modulation bandwidth. Gain compression also acts to reduce the bandwidth. As
current is injected, the gain both increases (because of dg/dn) and decreases (be-
cause the photon density increases and the gain is reduced due to gain compres-
sion). Thus, the effective differential gain becomes less at high bias currents.
Finally, the final term in the expression (1/(1 + j2pfsc)) is a model for both the
parasitic RC time constant and for carrier transport into the active region of the laser
diode. The first part of the expression models the behavior of the laser active region.
To completely model the effects, the frequency limits of injecting carriers into the
active region also have to be included.
The physical picture origin of sc is shown in Fig. 8.7.

Fig. 8.7 Illustration of transport limited bandwidth (left) and RC limited bandwidth (right). In
both cases, the modulation response is degraded due to factors external to the laser active region
200 8 Laser Modulation

Transport is the easiest to imagine. The carrier, injected into the high resistance,
low-doped regions of the diode, typically takes a few ps to make its way to the
active region. If the cladding is exceptionally thick, the diffusion across it can take
more than a few ps and so directly affects the modulation bandwidth directly.
Excessive RC transport constants can give rise to the same behavior. Typical
laser diodes have a few ohms of resistance associated with them (about 8–12 X for
300 lm devices) due to current flow through the moderately doped p-contact and
cladding region. If the diode has excessive capacitance associated with it as well,
the modulation response sees what looks to be a single-pole, low-pass RC-filter.
This impacts the modulation bandwidth in the same way.
This capacitance can come from capacitance associated with the blocking layers
(in buried-heterostructure devices) or from the metallization layers or from the
junction. Resistance and capacitance can typically be adjusted by adjusting those
external factors (doping or metallization patterns) while keeping the same laser
active region.
Both of these effects are included in the laser modulation by including an
additional rate equation with the two shown in Eq. 8.12. This equation represents
carriers injected into the cladding directly by the current and then transported to the
active region in a characteristic time s. (The reader is asked to write down the
appropriate rate equation in Problem 8.5.)

8.4.3 Analysis of Laser Modulation Response

After the data is acquired, typically the data is analyzed. The method for analyzing
the data will be illustrated in the example below.

Example: From the data in Fig. 8.6 (for which the best fit
is shown tabulated), determine the D- and the K-factor
and estimate the differential gain and gain compression
for a device. The device is a Fabry-Perot device with
uncoated facets and a 200 lm long cavity, a 2 lm wide ridge
and a total active region (including quantum wells and
barriers) of 130 nm. The absorption loss in the material
(which has been previously measured) is 20 cm−1. The
effective mode index is 3.2.
Solution: The first step is to fit the data obtained to the
theoretical curve. When that is done, using with the data
above, the following fit parameters (or ones close to
them) are obtained:
8.4 Laser AC Current Modulation 201

Fig. P8.8 The data for resonance frequency2 versus current, showing an extrapolated threshold
current of around 5 mA and a slope, in Ghz2/mA of 3.07 and a D-factor of 1.75 GHz/mA0.5

Current, I fr (Ghz) c (1/s) sc (ps)

18 6.3 16 10
28 8.6 26 10
38 10.2 33 10
48 11.5 44 10
Based on Eq. 8.33, the square of the resonance frequency
is plotted versus the injected current in Fig. P8.8.
To find differential gain, the form of Eq. 8.33 is used.
vffiffiffiffiffiffiffiffiffiffiffiffiffiffi
u
uv dg g
fr t g dn i
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ¼ 1:7  109 ¼
ðI  Ith Þ qV

From the dimensions, the active volume is

5.5  10−11 cm3 and the group velocity (c/n) is 9.4  109
cm/s. Hence, the differential gain is 1.0  10−15 cm2.
(The units for differential gain look unusual; remember
that it is changed in gain, in 1/cm, divided by change in
carrier density, in 1/cm3).
According to Eq. 8.33, the x-intercept is the thresh-
old current. For this particular device, the threshold
current is about 5 mA. This threshold (determined from
measurements of the modulation response only) typically
agrees well with the threshold obtained from
L-I measurements.
To find gain compression, first, the measured c versus f2r is
plotted. From Eq. 8.34, the slope is K and the y-intercept is
1/s. The points are shown in Fig. P8.9.
202 8 Laser Modulation

Fig. P8.9 Damping factor, in

1/ns, versus resonance
frequency squared. The slope
gives the K-factor (in ns), and
the intercept gives one of the
carrier lifetimes

Here, the K-factor is 0.25 ns and the carrier lifetime

is about 0.2 ns. To get a number for photon lifetime which
also appears in Eq. 8.15, we use the DC rate equation,

gmodal ¼ 1=sp :

The modal gain is given by the sum of optical

loss + material loss or



1 1 1 1
gmodal ¼ ln 2 þ a ¼ ln þ 20 ¼ 80 cm1
2L R 2ð200  104 Þ 0:32

The photon lifetime sp = 1/(80 vg) = 1.3 ps. Plugging

all this information into Eq. 8.35 gives e = 4.9  10−18
cm−3. These units indicate the photon density at which the
gain is meaningfully compressed. At a photon density
of >1017 cm3, the gain will be reduced by 5% or more,
according to Eq. 8.16.

This example hopefully illustrates the typical process of looking at a laser

response and analyzing its dynamics. It also illustrates how one can use measure-
ments to get to fundamental material quantities. In this case, straightforward mea-
surements on bandwidth give differential gain and gain compression, which are
intrinsic properties of the active region. The method, used here and everywhere in
science and engineering, is to relate measurement quantities to material properties
using an appropriate model. Terms like dg/dn that are indirectly measured from an
8.4 Laser AC Current Modulation 203

analysis of laser bandwidth, for example, can be directly tied to the theory con-
sidering the band structure of the device.
The appropriateness of the model can be empirically judged by the goodness of fit
between the data and the model (shown in Fig. 8.6). In this case, the fit is reasonably
good. If the fit is generally poor (for this model or for anything), it is usually wise to
reexamine the model. In general, this modulation model here (with three fitting
parameters per curve, fr, c and sc) is a good model to measured laser response.

8.4.4 Demonstration of the Effects of sc

In analysis of this device, we obtained a sc value of about 10 ps, roughly inde-

pendent of bias current. This sc represents the RC time constant associated with the
device (as well as transport time associated with carrier injection from the highly
conductive contact layers to the active region).
Typical lasers have a resistance associated with them on the order of 5–10 X
(sometimes more), so this level sc represents an associated capacitance of about
1 pF. This is a reasonable value considering typical geometric capacitances asso-
ciated with laser metal pads or the reverse-biased capacitance associated with
blocking structures in buried heterostructure regions.
The influence of this capacitance term on the laser performance is often under-
estimated and sometimes even omitted from analysis of laser response. Figure 8.10
shows the results of an experiment in which the capacitance was intentionally varied
by varying the size of the metal contact pad on the laser surface. Depending on the
structure, this pad typically has some capacitance associated with it equal to eA/d,
where d is the distance to the doped chip surface and A is the metal pad area.
As can be seen, the laser modulation response differed enormously as this parasitic
capacitance was intentionally varied. While generally a high bandwidth is preferred
(which implies a minimal capacitance), sometimes a flat response is desirable. In that
case, the capacitance can be optimized to improve the response as desired.

8.5 Limits to Laser Bandwidth

Laser bandwidths are limited by both intrinsic factors, contained in the modulation
equation and other factors. The two factors which are included in the modulation
equation are the K-factor limit, and the transport and capacitance limit.
The number K encapsulates how quickly the peak flattens out as it moves out in
frequency. The units of K are time (typically, ns). This damping by itself can limit
the laser bandwidth. This limit is appropriately called the damping limited band-
width BWdamping and is given by
204 8 Laser Modulation

Fig. 8.10 Left, a description of an experiment in which many identical lasers were fabricated
with differences in the size of the compliant metal pad, which typically sits on an oxide on the chip.
The capacitance between the metal pad and the chip is about eA/d, and so increased metal pad area
can increase the capacitance. Right, the modulation response as a function of the device
capacitance

9
BWdamping ðGHzÞ ¼ : ð8:36Þ
K ðnsÞ

When the K-factor is extracted from a set of modulation measurements, it gives

an estimate of what the maximum bandwidth for that laser can be. In the example
discussed, where the K-factor turned out to be 0.25 ns, the maximum K-factor
limited bandwidth is 36 GHz. At currents above that value corresponding to that
bandwidth, the response is so damped that the total bandwidth is lower.
The second limit which is contained in the laser modulation equation is the
‘parasitic’ limit, which relates to the 1/(1 + jxsc) term in the modulation equation.
This equation represents a single-pole falloff and as such, the bandwidth associated
with it is

1
BWparasitic ¼ : ð8:37Þ
2psc

Hence, for the 10 ps capture time seen in the example, the bandwidth associated
with it is about 15 GHz. This term is the easiest to engineer (either increase or
decrease) and can be used to improve the laser response.
Those are the two fundamental limits but in practice, the device bandwidth can
be limited by other empirical limits. The first of these to be discussed is the thermal
limit. The bandwidth increases with increasing current, but increasing current also
tends to increase the temperature of the device. At some point, this thermal effect
put an end to the increases with current, and the modulation response saturates or
even degrades when additional current is injected. The approximate maximum
8.5 Limits to Laser Bandwidth 205

Table 8.2 Limits to laser bandwidth

Limit (GHz) Expression
K-factor limit *9/K (ns)
Parasitic/transport limit 1/2psc
Heating limit *1.5fr-max
Facet power limit Varies—typically 1 MW/cm2 for uncoated devices

bandwidth due to this thermal limit is 1.5fr-max, where fr-max is the maximum
observed resonance frequency.
There is a second limit sometimes imposed by the power-handling capacity of the
facet. Higher bandwidths always require higher photon density, which implies a
higher power density passing through the laser facet. The laser facet is a peculiarly
vulnerable part of the laser. The atomic bonds on the facet are unterminated, and there
are often defect states associated with them. These states can potentially absorb light,
creating heat. If photons are absorbed going through the facet, portions of the facet
can actually melt. The melted facet absorbs even more light, which leads to even
more degradation. This can lead to catastrophic facet damage as shown in Fig. 10.20.
This catastrophic optical damage (COD) limit is typically around 1 MW/cm2 for
an uncoated facet. Coating the facet for passivation of the unterminated bonds, or to
adjust the location of the magnitude of the peak optical field, can substantially
increase the amount of power the facets can tolerate. Unlike the other limits, if
approached, it typically terminates the useful life of a particular device and so
should be taken as a specification for a maximum allowable optical power out or
operating current.
Table 8.2 lists the expressions for the modulation frequency limit and the laser
bandwidth.
With all of these different limits to small signal modulation, what is the limit for
a given laser at a given temperature? The limit, of course, is the lowest of these,
which varies from device to device. Typical bandwidths for conventional eight
quantum well 1.3 lm devices designed for directly modulated communication are
often well over 20 GHz at room temperature. These devices are fast. Nowadays,
they are being put together in products that can modulate at 100 Gb/s through a
combination of different modulation schemes and multiple lasers and wavelengths.

8.6 Relative Intensity Noise Measurements

We have shown how information about the physics inside the laser can be extracted
from optical modulation measurements. It is a very powerful technique, but it does
have some disadvantages. Primarily, the laser itself must be packaged in a way that
allows for high speed testing. Typically, either the laser is fabricated in a coplanar
configuration such that it can be directly contacted with such probe or it is mounted
206 8 Laser Modulation

on a suitable high speed submount. The modulation speed for plain laser bars,
probed with a single needle as pictured in Fig. 5.8, is limited by the inductance of
the needles to well under a GHz, and so the fundamental laser modulation speed
cannot even be measured.
In addition, measurement of electrical-to-optical modulation includes terms like
transport to the active region and capacitance that can obscure active region
dynamics.
However, information about the high speed properties can be obtained through a
simple DC measurement, from the laser relative intensity noise (RIN spectrum).
The basic process and measurement technique are illustrated in Fig. 8.11.
The basic process is illustrated in the top sketch. A laser, above threshold, has
the majority of its emission from stimulated emission. However, there is still
background of random radiative recombination from spontaneous emission. This
spontaneous emission at random times acts as a broadband noise source input into
the laser cavity. This noise (primarily created by random recombination coupled
into the lasing mode) is amplified by the laser cavity frequency response curve. The
result is an equation for relative intensity noise,

Af 2 þ B
jRINðf Þj   2 c2 f 2
ð8:38Þ
f 2  fr2 þ ð2pÞ2

where the denominator looks very like the modulation expression. In fact, from a
spectrum of relative intensity noise data, the dependence of resonance frequency on
input current (the D-factor) can be easily determined and the damping factor c can
be sometimes extracted. The peak (seen in the RIN curve) is the same as the peak
shown in the modulation response curve.

Fig. 8.11 Process and measurement of relative intensity noise. Random radiative recombination
acts as a broadband noise source into the cavity, which then amplifies the noise in a manner similar
to direct electrical modulation
8.6 Relative Intensity Noise Measurements 207

This is a useful measurement technique even where directly modulated mea-

surements are available, since it measures the characteristics of the cavity without
external parasitics or the possibility of transport, or capacitance, influencing the
dynamics of the device.
One pitfall is that it is a very sensitive measurement. Reflection between the fiber
and the detector can show up as oscillations (spaced in the MHz) in the frequency
signal if the fiber is not properly antireflection coated and the measurement done
with insufficient optical isolation.
Relative intensity noise is a parameter that is sometimes specified in lasers, with
requirements that it be less than values like −140 dB/Hz average, from 0.1 to
10 GHz,2 at given operating conditions. Like electrical modulation, the RIN
measurement peak increases with current and increases with device differential
gain. Engineering the device for a high differential gain will move the resonance
peak further to the right at a given current.

8.7 Large Signal Modulation

While the small signal bandwidth is of theoretical interest and includes much of the
physics of the laser response, what is really relevant for most applications is the
large signal response. For most digital modulation schemes, the relevant metric is
the eye pattern which we introduced in the beginning of the chapter.
In an eye pattern measurement, binary data encoded as two (or multiple) current
levels is driven into the laser, one representing a ‘0’ (for example, 20 mA) and one
representing a ‘1’ (for example, 50 mA). These 1’s and 0’s occur in random pat-
terns. The light out of the laser is measured with traces of all of them displayed.
What is desired is a clear area with no signals in it, clean and sharp up and down
transitions, and minimal overshoot and undershoot.
It is not obvious from laser characteristics, such as differential gain, what the eye
pattern at a particular modulation speed will be, and yet it is important to tie the
laser physics to the device modulation performance. This can be done using the
versatile tools of the rate equations, which can be numerically solved to obtain the
response for any input current.

8.7.1 Modeling the Eye Pattern

The rate equations do an excellent job of modeling the salient features of the small
signal modulation response and can also be used to model the large signal response.
In this case, the appropriate rate equations are the full rate equations in Eq. 8.15, not
the small signal version. (Laser digital modulation is not a small signal!) The two
rate equations for photon density and carrier density form a set of coupled nonlinear

2
For example, this specification is from a Finisar S7500 tunable laser.
208 8 Laser Modulation

differential equations that can be numerically solved by a number of techniques,

including the Runge–Kutta method (see Problem 8.4).
What this does is relates the small signal parameters to the large signal pattern
(which is really of more direct interest). Figure 8.12 shows an example of a mea-
sured eye pattern and a simulated eye pattern obtained from numerical simulation of
the rate equations using the parameters extracted from the small signal model.
As can be seen, it does a good job of reproducing most of the relevant features.
The overshoot and the traces are clearly seen. With tools like this, the effect of
changes in the K-factor or capacitance can be easily seen in the eye pattern.
Optimization of the laser transmission can be more easily quantified.
The hexagon in the center and the shaded region on top of the measured eye
pattern represent the eye mask, where traces from 1’s and 0’s are forbidden to cross.
Typically, the quality of an eye pattern is determined by how far away the eye
traces are from this forbidden region, measured in a percentage of ‘mask margin’

Fig. 8.12 Comparison of measured eye pattern with simulated eye pattern (thin lines). The
parameters used in the simulation (dg/dn, e, and the capacitance time constant, sc) are extracted
from small signal analysis. The hexagon in the center and the shaded region on top represent the
eye mask, where traces from ones and zeros are forbidden to cross. Typically, the quality of an eye
pattern is determined by how far away the eye traces are from the forbidden regions (gray)
8.7 Large Signal Modulation 209

for a given device. There are different eye masks for different applications (in-
cluding SONET and Gigabit Ethernet), and the required transmission characteristics
also differ from application to application. During the measurement, the device is
filtered by a low-pass filter with a bandwidth a little below relevant gigabit speed to
suppress the inherent ringing and overshoot associated with all semiconductor
lasers. For example, a 10 Gb/s receiver will often use an 8 GHz low-pass filter in
front of the optical input data.

8.7.2 Considerations for Laser Systems

Before we leave the topic of laser transmitters, it is worth addressing some

laser-in-a-package issues that are important to achieving a working transmitter
system. A typical laser in a package is illustrated in Fig. 8.13. The package is a
TO-can with a lens on the top. The cutaway view shows (not to scale) the laser
mounted on a simple submount with metal traces. Also on the submount is what is
called a back-monitor photodiode, which detects the light coming out of the back
facet of the laser. Because the light out of the device varies enormously with
temperature and slightly with aging, this allows the control system to adjust the
current to the laser to maintain a more constant power into the fiber.
The driver, which is shown as a triangle in the diagram, is a high-performance
piece of electronics that modulates high current sources at very high speeds. These
speeds of 10 Gb/s or even more are well into the microwave regime of circuit
design. Hence, the traces have to be designed for high speed signals and
impedance-matched to the impedance of the driver. Wire bonds used to connect the
driver to the TO-can, and the submount to the laser, have to be short.

Fig. 8.13 a A cross-sectional view of a packaged laser system and laser, and b a sketch of the
final packaged product
210 8 Laser Modulation

Optical issues are also important. Reflection back into the laser can lead to kinks
in the L-I curve, mode hops, and deleterious behavior. Sometimes, laser packages
are designed with optical isolators which prevent back reflection from reaching the
laser, but low-cost transmitters often omit them.

8.8 Summary and Conclusions

In this chapter, the basics of direct modulation in lasers were covered. The use of
eye patterns as metrics for directly modulated, digital transmitters are illustrated.
Typical eye patterns from modulated lasers show inherent frequency effects due to
the physics of the laser.
To understand these effects, we first analyze the small signal response of a laser.
The rate equations are linearized, and the results show a characteristic oscillation
frequency and decay time related to the photon lifetime, carrier lifetime, and
operating point of the laser. This homogenous response has strong effects on the
modulation response (with a sinusoidally modulated small signal current). The
small signal frequency response is given and also includes the effect of the char-
acteristic oscillation (resonance) frequency.
From small signal response measurements, fundamental characteristics of the
laser active region can be extracted. These include differential gain, gain com-
pression, and the equivalent parasitic capacitance associated with the device. These
parameters, and particularly, the parasitic capacitance, can be engineered to
improve the device performance for directly modulated communication.
The rate equation model, along with practical considerations, gives some limits
to the small signal laser bandwidth. Both laser fundamentals (K-factor and para-
sitics) and operating issues (facet power handling and temperature issues) limit the
bandwidth, and in general, the bandwidth is limited by the most restrictive of these.
These parameters can also be used to model the large signal response through
numerical solution of the rate equations using laser parameters extracted from small
signal measurements. This model can show how the operating point (high and low
current levels) or parasitics affect the eye pattern of the device.
At the end of the chapter, a brief discussion of laser specifications, and of
packaging, connects laser fundamentals to laser applications as communication
devices.

8.9 Learning Points

A. Many communications lasers are designed for directly modulated digital
transmission, and a clean difference between a low and high level is desired.
However, overshoot and undershoot are inherently part of the laser dynamics.
8.9 Learning Points 211

B. Small signal modulation and the measured laser bandwidth are excellent and
easily characterized metrics for large signal performance.
C. Small signal measurements can provide information about the fundamental
physics of the laser active region.
D. Bandwidth measurements are made with a small signal superimposed on a DC
bias, and the optical response at fixed input amplitude plotted versus frequency.
E. The frequency response of an LED is limited by the carrier lifetime.
F. The homogenous small signal response of a laser is a decaying oscillation, with
both the oscillation frequency and the decay envelop both dependent on the
bias point. The decay time of the homogenous small signal solution also
depends on the carrier lifetime; the resonance frequency of the homogenous
solution also depends on the geometric average of the carrier lifetime and
photon lifetime.
G. To overcome these resonance frequency oscillations, typically the receiver is
low-pass-filtered.
H. The modulation response function of a laser is the small signal variation of light
out as the current is modulated (superimposed on a DC current) as a function of
frequency.
I. The modulation response frequency of the laser is a second order function
characterized by a resonance frequency and a damping factor, as well as a first
order parasitic/capacitive term.
J. Typical analysis takes a set of modulation measurements at different bias
conditions, from which the differential gain and gain compression factor can be
extracted. A similar analysis can be done on relative intensity noise spectra with
a DC drive current.
K. From the modulation equation, two fundamental limits to laser modulation
frequency can be derived: a K-factor limit, based on how fast the resonance
peak damps out as it moves out in frequency, and a transport/capacitance limit,
based on the limit based on transport to the active region, and the RC laser
diode characteristics.
L. The laser bandwidth may also be limited by power handling capacity of the
facet or the thermal effects when high current is injected.
M. The parameters extracted from a small signal analysis, such as differential gain,
gain compression, and K-factor, may be used to accurately model large signal
modulation shapes.
N. Directly modulated laser packages are typically specified for wavelength,
speed, extinction ratio, and launch power. From the specifications, the oper-
ating point can be determined.
O. The current high speed of direct modulated laser transmission means that
package and driver electronics must also be designed to handle those fre-
quencies (typically up to 25Gb/s in 2019).
212 8 Laser Modulation

8.10 Questions
Q8:1. What factors limit the bandwidth of an LED?
Q8:2. What limits the small signal bandwidth of laser? Would you expect a
VCSEL with a cavity length of *1 lm and a facet, reflectivity, 0.99 to
have a better bandwidth than an edge-emitting device with a cavity length
of 300 lm and typical reflectivity of 0.3?
Q8:3. What limits the bandwidth of a transistor? How are transistors fundamen-
tally different from lasers in this respect?
Q8:4. In the diagrams of Fig. 8.5, the current is actually switched at t = 0 ps, but
the light starts to switch at about 40–50 ps afterward. What is responsible
for that delay?
Q8:5. What is the order of magnitude for maximum directly modulated laser
frequency? Suggest some design considerations for a high speed device.

8.11 Problems
P8:1. Suppose the radiative lifetime for an LED is 1 ns and the non-radiative
lifetime is 10 ns. Find the bandwidth of the LED and the radiative efficiency
of the LED.
P8:2. Some of the expressions for carrier density include a photon density S. An
uncoated semiconductor laser has the following characteristics: a = 40/cm,
nmodal = 3.3.

(a) Calculate the photon lifetime.

(b) The measured resonance frequency is 3 GHz. Calculate the differential
gain when the laser has photon density of 2  1016/cm3 (Neglect the e/
s term).

P8:3. A particular cleaved laser has the following characteristics:

k = 0.98 lm, dg/dn = 5  10−16 cm2, sp = 2 ps, nmodal = 3.5.
It can tolerate a facet power density of 106 W/cm2 before degradation, and
its facet dimensions are 1 lm by 1 lm.

(a) What is the maximum facet power the device can put out before
catastrophic facet degradation sets in?
Assume the internal photon density in the cavity is 1.2  1015/cm3 at
this maximum power.
(b) What is the resonance frequency fr of the cavity at this power level.
Assuming the bandwidth = 1.5fr, what is the maximum bandwidth due
to facet power capabilities?
(c) If the devices’ K-factor is 0.9 ns, will fundamental or facet power limits
determine the bandwidth?
8.11 Problems 213

P8:4. The objective of this problem is to numerically calculate the response of a

laser which has been switched from one current value to another above
threshold. This is very similar to how the laser would be used in a directly
modulated setup.
The device in question has an active region volume of 120 lm3, a photon
lifetime sp = 4 ps, s = 1 ns, b = 10−5, dg/dn = 5  10−15 cm2,
e = 10−17 cm−3, and n = 3.4.

a. Calculate the threshold current in mA.

b. Find the steady state value of n and s at I = 1.1Ith.
c. Using an appropriate technique, numerically calculate the response of
the laser if the current is suddenly switched to 4Ith for 100 ps and then
switched back to 1.1Ith. This should look similar to the eye pattern
response.

P8:5. We would like to expand the rate equation model we have, which is written
in terms of carriers in the active and photon density, to also include carrier
transport from the injected contacts and edge of the cladding to the active
region. Shown in Fig. P8.14 is the diagram of the core, cladding, and active
region. Write a third rate equation which features current being injected into
the cladding, rather than directly into the active region, and includes the
carrier transport time sc from the cladding to the core. Assume there is no
transport from the core back to the cladding.

Fig. P8.14 A rate equation picture of a laser, including transport from the cladding to the active
region
214 8 Laser Modulation

P8:6. Figure 8.10 shows the geometry of the extra capacitance induced between
the contact metal pad and the n-doped surface of the laser wafer. If the metal
pad is 300 lm long and 200 lm wide, calculate the oxide thickness to give
a capacitance associated with the pad of 2 pF.
Distributed Feedback Lasers
9

…and there, ahead, all he could see, as wide as all the world,
great, high, and unbelievably white in the sun, was the square
top of Kilimanjaro.
—Ernest Hemingway, The Snows of Kilimanjaro

Abstract
Good-quality long-distance optical transmission over fiber needs lasers which
emit at a single wavelength. This is almost universally realized by putting a
wavelength-dependent reflector into the laser cavity, in a distributed feedback
laser. In this chapter, the physics, properties, fabrication, and yields of
distributed feedback lasers are described.

9.1 A Single-Wavelength Laser

The mountain top of Kilimanjaro, like the cleaved facets of a Fabry-Perot laser,
reflects all colors. Though it may be ‘great, high, and unbelievably white,’ this
wavelength-independent reflection means that wavelength emitted by the cavity is
determined only by the gain bandwidth of the cavity and the free spectral range of
the cavity. Because the reflectivity is wavelength independent, typically the emis-
sion from an edge-emitting Fabry-Perot device has many peaks in a range of 15 nm
or so (see Fig. 9.1b).
What is needed for long-distance transmission, as we will talk about below, is a
semiconductor laser whose optical emission spectrum is as narrow as possible. In
this chapter, we describe how a semiconductor gain region gain can be made to emit
in a single wavelength. The technology of choice for this (and the primary focus of
this chapter) is the distributed feedback laser, usually abbreviated DFB.

© Springer Nature Switzerland AG 2020 215

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_9
216 9 Distributed Feedback Lasers

9.2 Need for Single-Wavelength Lasers

By ‘single wavelength,’ what we mean is a device whose spectrum measured on an

optical spectrum analyzer has one dominant wavelength, whose peak is typically
40 dB (104) higher than all the other peaks. This is illustrated in Fig. 9.1. Shown next
to it, in comparison, is the output of a Fabry-Perot laser, which is composed of many
peaks separated by the free spectral range and set by the gain bandwidth of the device.
Other features of the spectra are labeled and will be discussed later in the chapter.
Single-wavelength lasers are important for three reasons. First, a principal use for
communication lasers is direct modulation on fiber. In optical fiber, light at different
wavelengths travels at slightly different speeds. This is called dispersion. The effect of
dispersion on transmission is as follows: Suppose a current pulse is injected into a
Fabry-Perot laser, causing the optical output power to change from one level (say,
0.5 mW) to another level (say, 5 mW). A detector in front of the laser will register a
clean ‘zero-to-one’ transition. However, because this optical power will be carried by
many different wavelengths traveling at different speeds, after a few tens or hundreds
of kms down the fiber, the clean transition will be degraded. Eventually, a set of ones
and zeros will be smeared out into a uniform level. The idea of pulse degradation as it
travels because of dispersion is illustrated in Fig. 9.2. The pulse in the Fabry-Perot
laser is carried by three wavelengths (for the sake of illustration); after kilometers of
travel, the three wavelengths traveling at different speeds arrive at different times, and
it is difficult to reconstruct the original data.
A good analogy of dispersion is the runners in a 26.2-mile marathon. With a
wide enough starting line, all the runners can start at the same time, but they all run
at different speeds. If they are only running a block, their finishing times will only
be slightly different. However, if they are all going 26.2 miles, the faster ones will
finish hours after the slower ones, and the sharp beginning of the race will have a
lingering finish that is hours long.
If all the runners were picked to be about the same speed (analogous to having
the light pulse all carried at one wavelength), the finish would be nearly as sharp as
the start. A series of ‘marathons’ launched a few minutes apart would be distin-
guishable at the end of the race. The dispersion of the race is effectively low
because the speed of the runners is nearly the same. In a single-wavelength laser, a

Fig. 9.1 Optical output spectra from a a single-mode, distributed feedback laser and b a
Fabry-Perot, with some labeled features discussed in the text
9.2 Need for Single-Wavelength Lasers 217

Fig. 9.2 Top, dispersion in an optical pulse train due to different speeds of light down a fiber;
bottom, dispersion in finish times in a marathon due to different speeds of various runners. In order
to clearly see ones and zeros after traveling many kilometers in optical fiber, the original source
should be a single-wavelength device

pulse, once launched, can be resolved many kms later. This somewhat strained
analogy is pictured in Fig. 9.2 and then (rightly) abandoned.
Though optical absorption is very significant over 100 km or more, it is less of a
fundamental barrier because fiber amplifiers (like the erbium-doped fiber amplifier)
can regenerate optical signals easily with near-perfect fidelity, though with the
addition of noise. The fundamental limit to transmission is always signal-to-noise
ratio. Dispersion is most important in the 1550-nm wavelength range where fiber
loss is minimal. Around 1310 nm, dispersion is close to zero, but the loss is much
higher. The 1550-nm wavelength range is what is used for long-distance
transmission.
A second reason that single-wavelength lasers are important is bandwidth. Each
fiber can transmit with reasonably low losses over at least 100 nm of optical
bandwidth (from 1500 to 1600 nm); each ‘channel’ of modulated information is
carried on a wavelength band in the fiber. This typical scheme is called ‘dense
wavelength division multiplexing’ (DWDM). The narrower the channel, the more
channels can be carried on a fiber. If each channel is <1 nm (typical of single-mode
lasers), then more than 100 channels can fit on a fiber; if the channels are carried by
Fabry-Perot lasers with optical linewidths >1 nm, the capacity of the fiber is much
less. Additionally, distributed feedback laser wavelength is much less sensitive to
temperature. This is important because in wavelength division multiplexing the
wavelength has to be very well controlled in order to not interfere with channels on
adjacent wavelengths.
218 9 Distributed Feedback Lasers

Table 9.1 Necessity for a single-wavelength device

Property Requirement
Dispersion Light with different wavelengths travels at different speeds in a fiber.
If the device is close to single wavelength, it can be more easily
received after traveling many kms
Channel capacity If each device is restricted to a narrow range of wavelengths, more
devices can be carried on the same fiber
Speed/design degrees Distributed feedback lasers can put the lasing wavelength away
of freedom from the gain peak, leading to higher-speed devices and another
degree of design freedom

Finally, there is one design feature of distributed feedback lasers which gives
another degree of freedom in laser design and makes distributed feedback devices
faster than Fabry-Perot devices. As will be seen, the lasing wavelength is set by the
grating period and is independent of the gain peak of the material. If the lasing
wavelength is shorter wavelength (higher energy) than the gain peak, the device is
said to be negatively detuned. This negative tuning results in higher differential gain
and a higher-speed device.
The benefits and need for these single-wavelength devices are summarized in
Table 9.1.
Below, we discuss some other ways to achieve single-mode emission before
exploring the distributed feedback structure.

9.2.1 Realization of Single-Wavelength Devices

Single-mode devices can be realized in a few ways, and before we discuss in detail
distributed feedback devices, let us introduce some of the other methods that can be
used.

9.2.2 Narrow Gain Medium

The simplest possible way to get a single wavelength is to have a gain medium that
is very narrow, so that there is only optical gain in a small range. For example,
HeNe and other lasers based on atomic transitions lase with very narrow spectral
width and at a single precise wavelength. If there was only optical gain over a
spectral range <1 nm, then clearly there would be an optical linewidth of <1 nm.
Theoretically, that is certainly true, but practically speaking, gain regions composed
of semiconductors cannot be made narrower than many tens of nm.
Even active regions based on quantum dots are several tens of nm wide, due to
the size variation of the dots. Nonetheless, the overwhelming advantages of
semiconductor lasers (small size, low power, high speed, and the ability to realized
9.2 Need for Single-Wavelength Lasers 219

useful wavelengths in the near-infrared range) outweigh the difficulty we will see in
getting lasers to lase at just one wavelength.

9.2.3 High Free Spectral Range and Moderate Gain

Bandwidth

From Chap. 7, we saw that putting the gain region into a Fabry-Perot cavity
imposes a free spectral range (FSR) on the output of the device, pictured again in
Fig. 9.1. This free spectral range increases as the cavity width decreases. Typical
edge-emitting cavities of 300 lm or so have free spectral ranges of about a nm, and
so, there are many peaks coming out of the cavity.
The formula for free spectral range Dk (adapted from Chap. 7) is

k2
Dk
ð9:1Þ
2Lng

where k is the lasing wavelength, L is the cavity length, and ng is the group index. If
the free spectral range is much shorter than the cavity gain bandwidth, many lateral
modes are possible.
However, suppose the cavity length was engineered to be less than 2 lm so the
peak-to-peak spacing was greater than 20 nm, the typical gain bandwidth. In that
case, there would only be one peak in the gain bandwidth, and the device would be
single mode. Such a device exists. It is commonly made as a vertical cavity
surface-emitting laser (VCSEL) and is illustrated (in comparison with a standard
edge-emitting laser) in Fig. 9.3.

Fig. 9.3 Top, a sketch of an edge-emitting laser, with a 300-lm-long cavity and hence a very short
free spectral range. This device can have multiple lateral modes and emits from the front (and back).
Bottom, a VCSEL device which has a cavity length of a few microns, and hence a free spectral range
of >100 nm, such that only one longitudinal mode is supported. The VCSEL emits from the top and
bottom, and so its cavity length is about the thickness of the quantum well and cladding
220 9 Distributed Feedback Lasers

Because the VCSEL cavity is so much shorter, the free spectral range is much
larger. In fact, for a typical mirror-to-mirror VCSEL spacing of 3 lm, the free
spectral range is >100 nm. The gain region, however, is the same as in a quantum
well laser and about 10–20 nm wide. Since the free spectral range is larger than
the gain bandwidth, only one wavelength will fit within it, and these devices are
inherently single (longitudinal) mode.
However, VCSELs are not yet the solution for laser communications. The
potential issues with these devices would easily make a chapter or book in them-
selves, but fundamentally they have two problems which make them unsuitable
substitutes for edge-emitting lasers. First, because the gain region is very short, the
mirror reflectivity is very high (to keep the optical losses low). This means that most
of the photons created are kept within the VCSEL cavity, and the power output of a
mW or so is not quite enough for fiber telecommunication needs. Second, the very
short gain region means the device operates at a very high gain (and high current
density) and so suffers from heating due to current injection. Typically, VCSELs do
not operate over as high a temperature range as edge-emitting lasers.
There is another technological factor which makes VCSELs a better technology
for shorter wavelengths than for the 1310- and 1550-nm wavelength devices. The
very high reflectivity of VCSELS is realized with Bragg reflector stacks of materials
of two different dielectric constants. It so happens that for GaAs-based devices
(with wavelengths up to 850 nm or so) GaAs and AlGaAs form a very nice material
system for these Bragg reflectors. In the InP-based system, it is not as easy to realize
these Bragg reflectors on the top and bottom of the device.
Vertical cavity lasers do have a huge technical role in products like CD players
and other low-cost, less demanding laser applications. They are lower cost than
edge-emitting lasers and easy to test, but they do not have the necessary perfor-
mance at the right wavelengths for high-quality fiber transmission.

9.2.4 External Bragg Reflectors

If we cannot reduce the gain bandwidth to below 10 nm and very short cavities are
impractical, another alternative is to narrow the reflectivity range. Cleaved facets
are largely wavelength independent, but if some sort of wavelength-dependent
reflectivity could be coated in front of the cavity, that would introduce a
wavelength-dependent loss, which might be sufficient to induce a
single-wavelength emission.
This facet coating is done all the time commercially, just not for the purpose of
wavelength selectivity. Commercial lasers do not generally get sold with
‘as-cleaved’ facets; typically, they are coated with a low-reflectance (LR) coating
on one end and a high-reflectance (HR) coating on the other. The HR coating is
typically a Bragg stack in which each material is ¼k thick, and consists of one, or a
few, dielectric layer typically sputtered onto the facets of the laser bars. A typical
recipe might be alternating layers of SiO2 (n = 1.8) and Al2O3 (n = 2.2). The
schematic realization of this is pictured in Fig. 9.4. These coatings change the slope
9.2 Need for Single-Wavelength Lasers 221

Fig. 9.4 A laser cavity with an external quarter-wave reflector stack and the calculated reflectivity
as a function of the number of pairs. Potentially, the reflectivity can be higher than a cleaved facet,
but typically, few periods of a high-contrast material are not very wavelength selective and have a
broad reflectance band

asymmetry of the device and cause much more light to come out the end that
couples to the fiber than the other end.
While this coating works very well for increasing the net reflectance, dielectric
coatings composed of a few periods of materials with fairly high index contrast
inherently have broadband reflectance across quite a range of wavelengths. Fig-
ure 9.4 shows a facet-coated laser and the calculated reflectivity as a function of the
number of pairs of ¼-wavelength dielectric layers. (The reflectivity here as a
function of wavelength is calculated using the transfer matrix method, which will be
discussed in Sect. 9.5.)
Note that the reflectivity is fairly high over a wide region. While these dielectric
stacks increase the reflectivity, they are no aid to wavelength selectivity.
Observing that this is what happens when a few periods of material with a
relatively large index difference form the grating, we can calculate what happens
when we have many, many periods of layers with a small dielectric contrast
between them. The results of this are shown in Fig. 9.5. In this calculation, the
refractive indices of the different dielectric layers differ by order of only 10−3, and

Fig. 9.5 Reflectivity of many pairs of dielectric layers with a low index contrast. The reflectance
band is much higher, but the necessary thickness is 100 s of microns
222 9 Distributed Feedback Lasers

so to get reasonable reflectivity from them, it is necessary to have many pairs.

However, the reflectivity bandwidth is much, much narrower than that seen with
fewer pairs of higher index contrast. Reducing the index contrast, n1/n2, with more
pairs of dielectric levers dramatically narrows the reflectance band.
This is potentially promising, but there are important practical problems.
A structure with 500 pairs of layers, each about 200 nm thick for maximum
reflectance at 1310-nm wavelength, has about 100 lm of coating thickness. This is
a very impractical thickness. For one thing, the light coming out of lasers is
diverging and not collimated (see Fig. 7.11), and so that set of dielectric layers will
not reflect 70% of the light back into the waveguide. It is also difficult to picture
coating thicknesses of 100 s of lms on a 3-lm square facet. Mechanically, the
coatings would be quite likely to peel off, crack, or otherwise fail.

9.3 Distributed Feedback Lasers: Overview

Finally, if a narrow gain bandwidth is impractical, a narrow cavity unsuitable for

fiber transmission, and a Bragg reflector not useful, what is the solution? Figure 9.5
points the way to what has become the commercial single-mode laser method. If the
number of periods is very high (a few hundred) and the index contrast is very low
(less than 1%), the calculated reflectivity is very wavelength-specific, with a
bandwidth of a few nanometers and a distinct peak. This suggests that a more
effective method would be to integrate the reflector itself directly into the laser
cavity.
In the following sections, we will start with a physical picture and qualitative
overview of how a distributed feedback laser works, and then work into the
important parameters in designing them (coupling constant j, length L, reflectivity
of the back facet R, and others).

9.3.1 Distributed Feedback Lasers: Physical Structure

Figure 9.6 illustrates what a multiquantum well, distributed feedback laser looks
like. Somewhere, either above or below the active region, a grating is fabricated
into the device. Because the optical mode sees an average index that extends out of
the active region, it sees a slightly different index when it is near a grating tooth
than when it is far away from a grating tooth. Hence, as the optical mode goes left
or right in the cavity, it constantly encounters a change in index from when it is
over a grating tooth, to when it is not over a grating tooth, to when it is over a
grating tooth again.
The optical model of a grating built into a laser cavity is shown in Fig. 9.6. The
key is that there is a very low index contrast between the toothed and the
9.3 Distributed Feedback Lasers: Overview 223

Fig. 9.6 Top, an SEM of a DFB laser showing the quantum wells and the underlying grating.
Bottom, the optical model of the laser; the many, many periods of slightly different effective
indexes serve as a wavelength-specific Bragg reflector

non-toothed regions. Typically, their effective index difference is about 0.1% or

less. Because of that, the reflectivity model looks like Fig. 9.5 rather than Fig. 9.4.
As a prelude to the mathematical discussion that will follow in Sect. 9.6, the two
counter-propagating modes ‘A’ and ‘B’ are also illustrated in the figure. Optical
mode ‘A’ moves to the right; every time it encounters a grating tooth, a little bit of it
is reflected in the other direction and joins mode ‘B’, moving to the left. Similarly,
the left-moving mode ‘B’ is reflected just a bit at each interface and reflected in the
‘A’ direction, and modes ‘A’ and ‘B’ are said to be coupled together by the grating.
This distributed reflectivity takes the place of mirrors on the facet and in addition
introduces the exact right degree of wavelength dependence into the reflectivity.
224 9 Distributed Feedback Lasers

9.3.2 Bragg Wavelength and Coupling

Two parameters used to characterize DFB lasers are the Bragg wavelength, kb, and
the distributed coupling, j. The Bragg wavelength, kb, defined in the figure above,
is simply the ‘center wavelength’ of the grating defined by the grating pitch, K, and
the average effective optical index n in the material.

kbragg
K¼ ð9:2Þ
2n
At the Bragg wavelength, kbragg, each grating slice is k/4 thick in the material. In
a passive reflector cavity, the Bragg wavelength would be the wavelength of
maximum reflectivity.
The coupling of a distributed feedback laser is characterized by the reflectivity
per unity length. If n1 and n2 are the effective indexes that the modes see at those
two locations, the reflectivity at each interface is

n1  n2 Dn
C¼ ¼ ð9:3Þ
n1 þ n2 2n

where Dn is the slight difference between the modes of the effective indices and n is
the average index. It experiences this reflection twice in each period K, and so the
reflectivity/unit length is about

Dn
j¼ ð9:4Þ
nK
Because distributed feedback lasers are fabricated in various lengths, the usual
parameter used to compare reflectivity is not j, but the product jL (the product of
reflectivity per length multiplied by the effective length). This dimensionless
quantity jL can be thought of as the equivalent of mirror reflectivity in a Fabry-
Perot device.
In general, the higher the jL is, the lower the threshold and slope become.
The Bragg wavelength kb is controlled by setting the period of the grating.
Typically, a grating period of about 200 nm corresponds to a central wavelength of
1310 nm in most InP-based structures. The coupling j is controlled by changing
the strength of the grating, by moving it either closer or farther away from the
optical mode, making it thicker or thinner, or change the composition to adjust the
two effective indices, n1 and n2.
9.3 Distributed Feedback Lasers: Overview 225

9.3.3 Unity Round Trip Gain

Just like Fabry-Perot lasers, there are two fundamental conditions for lasing in
distributed feedback lasers:

(a) Unity effective round trip gain:

At the lasing condition, a round trip of the optical mode including lasing gain,
loss through the facets, and absorption should lead back to the same amplitude
as the original mode.
(b) Zero net phase:
Over the complete interaction with the cavity, the returning mode should be
exactly in phase with the starting mode for coherent interference. It does no
good to have maximum reflection at a particular wavelength that gets back to
the starting point 180° out of phase.

In the next several sections, we will cover the math which describes distributed
feedback lasers and shows how these conditions are met. Here, we present a more
qualitative overview.
In a Fabry-Perot laser, changing the reflectivity of the facets changes the lasing
gain of the cavity. The more reflective the facets are, the more the light is contained
within the cavity, and the lower the threshold gain and threshold current. Intro-
ducing a grating into the cavity also changes the effective reflectivity with the
advantage being that it does it in a very wavelength-dependent way.
However, it is absolutely not as simple as the laser now lasing at the Bragg peak
of maximum reflectivity. The Bragg wavelength of maximum reflectivity is not
necessarily the laser wavelength for minimum gain. This is counterintuitive, but
true. If the light is created internally (as in a laser), the same interference effects that
create reflection forbid the optical mode to propagate. There is a compromise
between reflectivity and interference which moves the lasing gain minimum off the
Bragg peak.

9.3.4 Gain Envelope

A more quantitative way to show this same point is shown in Fig. 9.7, which shows
the calculated lasing gain envelope as a function of wavelength for the two different
cavities of different jL, with typical laser absorption parameters. (This same graph
for a Fabry-Perot laser would be a wavelength-independent straight line. The cal-
culation method here is the transfer matrix method, which will be discussed in
Sect. 9.5). As shown, for a fairly low jL device (with jL = 0.5) the position of
minimum gain is located at the Bragg peak; for a higher jL device (jL = 1.6), the
positions of minimum gain are symmetrically located around the Bragg peak.
In general, jL * 1 are typical of index-coupled distributed feedback lasers.
226 9 Distributed Feedback Lasers

Fig. 9.7 Calculated gain curves for two different laser cavities, one with a low jL of 0.5 (left) and
one with a high jL of 1.6 (right). The minimum gain is at the Bragg peak for the low jL cavity and
at two symmetric locations outside of the Bragg peak for the high jL cavity

Although a higher j (corresponding to a lower reflectivity) has a lower gain

point, as j gets higher, the minimum gain point drifts from the maximum reflec-
tivity point. The critical difference between a distributed feedback laser and a Bragg
reflector is that the Bragg reflector reflects external light that is incident upon it by
creating destructive interference for light of a particular wavelength band inside the
reflection surface. The light cannot propagate into the structure, and so it is
reflected. In a distributed feedback laser, the reflector is the cavity. The light has to
propagate somewhat to experience the necessary laser gain. The effect of the grating
is to make the necessary lasing gain very dependent on wavelength.

9.3.5 Distributed Feedback Lasers: Design and Fabrication

The conditions for lasing for a DFB laser are exactly the same as in a Fabry-Perot
laser: namely, unity round trip gain and zero net phase. Typical DFBs have one
facet anti-reflection coated (as close to zero reflection as possible) and the other
facet high-reflection coated, to channel most of the light out the AR-coated front
facet. The zero net phase in a round trip is crucially affected by what is called the
‘random facet phase’ associated with the high-reflectivity back facet. That comes
from the fabrication process for typical laser bars. In order to discuss this mean-
ingfully, let us first briefly outline the fabrication process for a commercial dis-
tributed feedback laser.
We feel it is more productive to ease into the mathematics with a qualitative
description first and so choose instead to dive directly into the conventional AR/HR
DFB laser structure and its associated complications. In Sect. 9.6, we will discuss
coupled mode theory which will give another way to look at these devices.
The typical process of turning a distributed feedback wafer into many bars of
distributed feedback lasers is illustrated in Fig. 9.8. There are some important extra
considerations above those required for a Fabry-Perot laser. The starting point is a
9.3 Distributed Feedback Lasers: Overview 227

Fig. 9.8 Fabrication of DFB laser process, showing the origin of the random facet phase. The
cavity thickness can vary slightly along the length of the bar, and variations on the order of a few
tens of nm change the phase of the reflected light

wafer which has a grating already fabricated in it, along with all the rest of the
necessary contact and compliant metals and dielectric layers. The wafer is then
mechanically cleaved into bars which define the cavity length. Typical cavity
lengths are usually hundreds of lms or so.
The gratings can be defined on the wafer in a holographic lithography patterning
process, in which one exposure patterns lines of the necessary period on the whole
wafer, or, alternatively, written by electron beam lithography. In recent years,
electron beam lithography systems have developed the throughput to enable them
to be used to write wafer-level grating patterns. However, without the ability to
control cleaving with nanometer precision, a random facet phase is introduced.
After separation into bars, one facet is anti-reflection (AR) coated, and the other
facet is high-reflection coated. The anti-reflection facet has reflectivity of <1%; it is
designed to make the loss in the Fabry-Perot modes very high and ensure that the
device only lases in the mode defined by the grating.
The anti-reflection coating in front is absolutely essential to get a good
single-mode device. If it is missing, the lasing gain for the distributed feedback
228 9 Distributed Feedback Lasers

peak and Fabry-Perot peak will be comparable and the laser could lase at a variety
of wavelengths. Recall the lasing gain in a Fabry-Perot laser is


1 1
glasing ¼ a þ ln ð9:5Þ
2L R1 R2

where L is the cavity length, a is the absorption loss, and R1 and R2 are the facet
reflectivities (which are at most only weakly wavelength dependent). If R1 or R2 is
very small (anti-reflective), the Fabry-Perot lasing gain glasing becomes very large,
and the laser will lase at the mode defined by the grating. Fabry-Perot lasers are
usually facet-coated also with the objective of increasing the power out of the front
facet, but if that coating is missing, the result is simply a device with not as much
power emitted out the front facet.
The number of grating lines can differ from device to device across a bar because
it is impossible to pattern and cleave the device completely accurately. This causes
a random facet phase associated with the high-reflectance facet that will be dis-
cussed next.

9.3.6 Distributed Feedback Lasers: Zero Net Phase

The wafer is cleaved into bars a few hundred microns long. The grating direction is
in the same direction as the cleave direction (and perpendicular to the ridge
direction) as shown in Fig. 9.8. The cleave, which is a mechanical operation, does
not pick out an integral number of grating periods. Typically, there is a random
residual fraction of a grating period left over. This does not matter on the
anti-reflection side, because the light from that side is not reflected back into the
laser cavity; however, it does matter very much on the high-reflection side.
A round trip through the Fabry-Perot cavity is required to have zero net phase, so
that the round trip light undergoes constructive interference. The same is true in a
distributed feedback laser; although the feedback is distributed, the net round trip
length has to be an integral number of wavelengths. Distributed feedback lasers,
like Fabry-Perot lasers, also have a comb of allowed modes set by the cavity length.
The random cleave at the end adds a certain random facet phase to the entire
optical mode and shifts the set of allowed modes by a certain amount. Though the
spacing may be the same, set by the length of the cavity, this random facet phase
shifts all the points back and forth along the spectrum.
This random facet phase has great influence on the device operation. For a start,
look at Fig. 9.9, which examines the net reflectivity from the highly reflective back
facet with a small varying cleave distance remaining. The reflectivity of the back
facet is the same: However, consider the reflectivity from the reference plane
indicated on the diagram. In the first diagram, with no additional cleave length, the
reflectivity is simply R. In the second, the reflected wave at the reference plane has
an additional phase associated with the propagation of the left-going wave from the
reference plane to the back facet and then back again. In the final case, the extra
9.3 Distributed Feedback Lasers: Overview 229

Fig. 9.9 A fabricated conventional DFB structure, showing the cause of the random facet phase
and how it influences the effective reflectivity from the back facet

distance is sufficient to induce a 180° phase shift, and the reflectivity becomes
−R. The magnitude of the reflected wave is always R, but the phase varies with the
exact length of the laser in the typical HR-/AR-coated device.
Figure 9.10 shows with points the allowed lasing wavelength for a device with a
particular length with two different back facet phases (indicated by dark and light
points). The spacing between the allowed wavelengths is set by the length of the

Fig. 9.10 Compared to a

device with an arbitrary zero
phase, whose allowed lasing
modes are shown in white, a
slightly longer device (whose
allowed modes are darker) has
its allowed modes by a
fraction and may change the
lasing mode dramatically
230 9 Distributed Feedback Lasers

cavity just like a Fabry-Perot device and is about one nm for a cavity length of
200 lm. The random net phase comes from the random variation in cavity length
from device to device.
In a Fabry-Perot device, this slight variation in cavity length does not do very
much to the output. Slight variations in the length mean the device will shift its
comb of allowed modes a bit, but the device will still lase at the allowed mode with
maximum gain (which may shift by a fraction of a nm or so).
In a distributed feedback laser, these small shifts are extremely significant. When
the allowed modes are shifted by a nm or two, the particular mode with the lowest
gain can change dramatically. Figure 9.10 shows a device that would originally lase
at the lowest gain point of *1313 nm, shown by the lowest of the white dots. If the
back facet phase were slightly different, it could lase near the other minimum at
1311 nm. Even worse, some other phase shift could leave two brown dots effec-
tively at the same lasing gain (as illustrated). This would leave two allowed modes
with essentially the same optical gain and lead to a device with two lasing modes.
Later on, we will talk about single-mode yield for distributed feedback lasers in
the context of back facet phase, but qualitatively, the fundamental distributed
feedback structure for index-coupled lasers usually has two symmetric points on the
gain envelope, and the back facet phase determines where on the gain curve the
device will lase. If two points are near the same gain, they may both lase, and it will
not be a single-wavelength device.
Things get worse. Fabry-Perot lasers have a very simple power distribution
inside the cavity, where the power is minimum in the middle and maximum at the
ends. In distributed feedback devices, the power distribution also depends sensi-
tively on the back facet phase, and so the slope efficiency out the front of the device
varies with facet phase. Because the actual lasing gain also depends on the back
facet phase, and the threshold current depends on the lasing gain, these as well vary
significantly from device to device. These dependencies are listed qualitatively in
Table 9.2.
Essentially, we have significantly improved over a Fabry-Perot, from a comb of
modes spanning 10 nm or more to potentially one or at most two degenerate

Table 9.2 Effects of back facet phase on laser properties

Property Explanation
Threshold Back facet phase affects the allowed lasing wavelengths which have
current different lasing gains
Lasing Random back facet phase shifts the allowed modes slightly, but, since the
wavelength gain varies significantly with slight wavelength changes, the mode with
lowest gain can vary significantly (from one side to the other of the Bragg
wavelength)
Single-mode With some back facet phases, two allowed modes have essentially the
behavior same lasing gain. In that case, the device can have two lasing modes
Slope efficiency The power distribution in the device depends sensitively on the phase.
Slightly different back facet phases mean different slope efficiencies.
Unlike a Fabry-Perot, the slope efficiency depends sensitively on the back
facet phase
9.3 Distributed Feedback Lasers: Overview 231

distributed feedback modes. In practice, random facet phase and the gain curve of
the active region often make the device lase in a single mode. The statistics of how
the random facet phase affects device characteristics will be illustrated in Sect. 9.4
using a model and experimental data from a population of devices.

9.4 Experimental Data from Distributed Feedback Lasers

9.4.1 Influence of j on Threshold Current and Slope

Efficiency

The first thing to show with distributed feedback devices is the role of j and jL in
affecting the DC characteristics of threshold current and slope efficiency. The
distributed reflectivity plays a role very similar to that the reflectivity R in
Fabry-Perot devices. To remind the reader, as R increases, the optical loss decreases
according to Eq. 5.3 which decreases the threshold current. The slope efficiency
increases according to Eq. 5.17.
The same effect is seen with varying jL. This is beautifully illustrated in
Fig. 9.11, which shows slope efficiency and threshold current for devices of the
same size fabricated on the same wafer engineered by e-beam written gratings with
varying j. Data like this is gold!
As can be seen, as j increases, both slope efficiency and threshold current
decrease.
Similar to picking R to adjust threshold and slope, j and jL strongly affect
threshold and slope in distributed feedback devices. For high-power devices
requiring high slope, j is kept low. For high-speed devices that are typically short,
j is high to reduce optical loss.

Fig. 9.11 L-I curve of a set of identical devices fabricated with varying j, showing that the
threshold current increases and the slope efficiency increases with reducing j
232 9 Distributed Feedback Lasers

Fig. 9.12 Left, measured threshold currents of populations of nominally identical devices with
random back facet phase, for two different populations with different grating strengths and kL
values. Right, calculated lasing gain curves for the same kL. The shape of the measured threshold
versus wavelength curve qualitatively matches the shape of the gain curve versus wavelength. The
quantitative difference in threshold is not that high, because much of the threshold current is really
transparency current

While average data varies substantially depending on j, for devices of nominally

the same j, the random variation of back facet phase imposes a distribution on these
nominal characteristics. This effect is the subject of the next sections.

9.4.2 Influence of Phase on Threshold Current

The fabrication of a distributed feedback device leads to a random phase on the

back facet, and that random phase leads to variations in the laser properties.
The nice thing is that a single wafer, which typically has thousands of devices on
it, has all the information needed to show these properties. When a population of
lasers is fabricated, typically at some point they are cleaved to nominally the same
length. However, the length of course cannot be controlled to the 100-nm scale with
mechanical cleaving; therefore, the population effectively is of devices of nominally
the same design, except with a random back facet phase.
Figure 9.12 shows the threshold current of two populations of identical devices
(other than random back facet phase) with different jL, along with the calculated
gain curve envelope. The lower the gain curve, the lower the threshold current is
expected to be. No points are shown in the middle of the lasing band for the higher
jL structure because there are no good single-mode devices in the middle of the
lasing band for high jL structure. The variation in characteristics is due to the
random back facet phase. In these graphs, the easily-measured lasing wavelength
serves as a proxy for back-facet phase.

9.4.3 Influence of Phase on Cavity Power Distribution

and Slope

The influence of phase on the output slope efficiency is not intuitively apparent.
Starting with a calculated lasing gain and back facet reflectivity, the distribution of
9.4 Experimental Data from Distributed Feedback Lasers 233

Fig. 9.13 Power distribution shown with two different back facet phases and hence different
slope efficiencies, out of the cavity and power distribution within the cavity

power can be calculated throughout the laser cavity using the known gain. If the
front facet is anti-reflection coated, as is usual, the relative slope efficiency will be
proportional to the forward-going optical power intensity at the front facet.
Figure 9.13 illustrates this. Two different power distributions are shown, cal-
culated for different back facet phases but otherwise identical laser structures.
There are several interesting things to be seen in these plots. First, notice that the
total power density (forward plus backward) varies significantly inside the cavity
and is not necessarily a maximum at the output facet. In contrast, Fabry-Perot
devices always have the maximum optical power density at the facets. There is also
a significant difference between the maximum and the minimum optical power
distributions in these devices. This can cause subtle problems in device operation.
Devices with strong difference between maximum and minimum power distribu-
tions are susceptible to spatial hole burning, where the carrier distribution is also
not uniform because it is depleted by the large local photon density.
In the cavity on the left, with one back facet phase, the forward-going wave has
an amplitude of 3.5, while for the one on the right, the forward-going wave has an
amplitude of <2.5. The output slopes for these two devices will differ by more than
30%. Figure 9.14 shows measured and modeled slope efficiences for populations of
devices with different jL showing ranges of observed slope efficiencies.
The pictures also show how the forward- and backward-going waves relate to each
other. In a Fabry-Perot device (see Fig. 5.1), the forward-going wave grows as the
backward-going wave shrinks, going toward one facet. Here, the backward- and
forward-going waves grow and shrink together, because they are coupled to each other.

9.4.4 Influence of Phase on Single-Mode Yield

As seen in Fig. 9.10, the back facet phase particularly determines what wavelength
the device lases at, by shifting the allowed modes on the gain curve envelope.
Relatively, small shifts in back facet phase can change the mode with minimum
gain significantly. Another consequence of the sensitivity of the lasing wavelength
234 9 Distributed Feedback Lasers

to back facet phase is that it is quite possible to have two modes which have
essentially the same lasing gain.
Figure 9.1 shows the usual metric for single-mode quality, the side-mode sup-
pression ratio. The side-mode suppression ratio (SMSR) is the power difference
between the highest power mode and the second highest power. Typically, the
specification for a good single-mode laser is a side-mode suppression ratio of at
least 30 dB.
The side-mode suppression ratio (SMSR) of a device depends on the gain
margin for the device, where ‘gain margin’ means the difference between the lasing
gain required for the mode with the lowest gain and the mode with the second
lowest gain.
If the lowest mode has significantly lower gain required to lase than the second
lowest mode, after the carrier population has reached the required lasing gain, it will
be clamped; the carrier population will no longer increase with increase in current,
and the device will lase only in that mode. If there are two modes which lase at
about the same gain value on the DFB gain envelope, then it is possible that a given
carrier density will be sufficient to support lasing in both modes. In that case, the
output spectra of the device will have two prominent wavelengths. This is espe-
cially true due to the feedback mechanism of spectral hole burning, in which a high
optical power density at one wavelength depletes carriers at that wavelength.
Hence, for a good single-mode device, it is required that there be sufficient gain
margin between the two lowest lasing modes. Figure 9.15 illustrates a comparison
of measured SMSRs along with calculated gain margin profiles for two different
devices with different jL. The left side shows the measured side-mode suppression
ratio of populations of devices, while the right side shows the calculated gain
margin between the lowest and the next lowest modes.
Typically, gain margins of about 2/cm are needed for a good single-mode
device. The gain margin for the two different phases is illustrated for the two
different back facet phases in Fig. 9.10.

Fig. 9.14 Left, measured slope efficiencies of populations of nominally identical devices with
random back facet phase, for two different populations with different grating strengths and jL
values. The shape of the measured slope efficiency versus wavelength curve qualitatively matches
the shape of the calculated slope efficiency curve versus wavelength. As can be seen, there is at
least a factor of two differences in slopes from devices at the edge of the lasing band and those in
the middle of the lasing band
9.4 Experimental Data from Distributed Feedback Lasers 235

Fig. 9.15 Left, measured side-mode suppression ratio of populations of nominally identical
devices with random back facet phase, for two different populations with different grating strengths
and jL values; right, the calculated gain margin or difference between calculated gain of lowest
mode and the next lowest mode. There is good qualitative agreement showing that for this device
length, the higher jL material only had a good gain margin at the edges of the lasing band. In the
center, the SMSR was low, and devices were multimode

For the high jL device, not only does the slope efficiency become minimal
toward the Bragg wavelength, but the gain margin also becomes much lower. The
devices close to the middle of the stopband tend not to be single mode, but
multimode.
The point of these examples is to illustrate the significant influence of the
random back facet phase on the lasing characteristics of otherwise identical lasers.
Simply because the back facet phase varies randomly, some lasers will fail the
specification typically due to low slope, poor SMSR, or poor threshold current.
Values of jL determine not just the average static characteristics but the wafer
yield.
The general effect of j and jL on device properties is similar to what increasing
reflectivity would be in a Fabry-Perot laser, decreased threshold current and SE.
Effects on yield and such are more subtle.

Example: A typical laser has jL values about 1. Find the

period and Dn, for a laser cavity 300 lm long with a jL
about 1 designed to lase at about 1310 nm and an average
mode index of 3.4.
Solution: If the target wavelength is 1310 nm, that means
the Bragg wavelength of the grating should be targeted
for 1310 nm. Hence, the grating period is

K ¼ 1310 nm=2=3:4 ¼ 192:6 nm:

236 9 Distributed Feedback Lasers

For jL ¼ 1, j (for a designed length of 300 lm) is 33 cm−1,

or

Dn
33 ¼ ¼ 0:0022;
ð3:4Þ192:6  107

or a change in index from one part to another of about 104 .

This change in index is achieved by changing the struc-
ture (as shown in the micrograph in Fig. 9.6). The effec-
tive indices, n1 or n2 , can be calculated through the
methods in Chap. 7 or, more usually, calculated using
finite-difference time-domain technique and numerical
software.

Generally, the initial grating period and design are made based on calculation on
models. Initial results are used to fine-tune the model and hit the precise wavelength
in subsequent fabrication runs, as illustrated in the next example.

Example: The previous design is fabricated, but the

average lasing wavelength turns out to be 1300 nm, not
1310 nm. Assuming the reason is that the calculated
average effective index is off (but the laser layer
structure stays the same) how would the design be altered
in the next iteration to get 1310 nm?
Solution: If the actual wavelength turned out to be
1300 nm, then the effective index can be calculated from
the same equation, as

192:6 nm ¼ 1300 nm=2=n

which gives

n ¼ 3:375:

Assuming n is 3.375, then the required grating period is

K ¼ 1310 nm=2=3:375 ¼ 194:1 nm:

In the second iteration, the target grating period should

be 194.1 nm. Notice how precise the grating period has to be
to get the wavelength to the target. Typical specifications
for wavelength division multiplexed devices are within a
nm; for wavelength tolerance like that, the grating period
has to be specified, and accurate, to within 0.1 nm.
9.5 Modeling of Distributed Feedback Lasers 237

9.5 Modeling of Distributed Feedback Lasers

Let us spend a page or two to give a framework by which the statistics of different
distributed feedback laser structures can be calculated. The specific details of the
modeling are left as a problem at the end of the chapter.
The transfer matrix method for optical modeling is a general technique and is
very good for modeling thin-film filters as well as distributed feedback lasers. The
basic method is illustrated in Fig. 9.16, using the simplest optical example (prop-
agation through a uniform dielectric). In the most general case, there is a left- and a
right-propagating wave on both the left and the right sides of an arbitrary dielectric
boundary with a refractive index, n1, and a gain, g. The length of this dielectric we
will set as K/2 (half the grating period) so that this small chunk represents one
grating tooth.
The equations that relate the left and right sides to each other are
 
ar ¼ al exp g þ j2pn1 =k K=2 ð9:6Þ
 
br ¼ bl exp g  j2pn1 =k K=2 ð9:7Þ

We want to be able to write the waves on the right as a function of the waves on the
left, so after some rearrangement, we can write
      
ar expððg þ j2pn1 =kÞK=2Þ 0 al al
¼ ¼ M1
br 0 expððg  j2pn1 =kÞK=2Þ b1 b1
ð9:8Þ

This expression has the ‘output’ (the waves on the right) as a function of the input
(the waves on the left), times the transfer matrix M1.

Fig. 9.16 Illustration of the transfer matrix method for light propagating in a region of index n1
and n2
238 9 Distributed Feedback Lasers

In the second scenario pictured in Fig. 9.15, the waves on the right are incident
on a dielectric boundary, with reflection coefficients r1 and r2 (for reflection in
regions 1 and 2), and transmission coefficients t12 and t21 (for transmission from
region 1 to 2, and 2 to 1, respectively). Those coefficients are given as
n1  n2
r1 ¼
n1 þ n2
n2  n1 ð9:9Þ
r2 ¼
n1 þ n2

and

2n1
t12 ¼
n1 þ n2
ð9:10Þ
2n2
t21 ¼
n1 þ n2

With these definitions, for example, ar and bl can be easily written as

ar ¼ t12 al þ r2 br
ð9:11Þ
bl ¼ t21 br þ r1 al

which, after some rearrangement, becomes the transfer matrix for a dielectric
reflection, which is
      
ar 1=t12 r1 =t12 al al
¼ ¼ M2 ð9:12Þ
br r1 =t12 1=t12 b1 b1

The power of the transfer matrix method is that it allows us to combine the
optical operations (propagation and then reflection) into a single matrix. To rep-
resent the relationship between the waves on the right side of Fig. 9.15, in the block
labeled n2, and the waves on the far left side of the first n1 block, we can multiply
the matrices together appropriately. The input to the dielectric is the output from the
propagation. The expression
   
ar al
¼ M2 M1 ð9:13Þ
br b1

represents the optical transfer matrix between the waves on the left of the figure and
the waves on the right of the figure.
This can be applied to the entire distributed feedback laser structure, with
appropriate propagation and dielectric reflection matrixes applied for each of the
grating teeth, as shown in Fig. 9.17.
9.5 Modeling of Distributed Feedback Lasers 239

Fig. 9.17 Use of the transfer matrix to model to distributed feedback lasers. The entire operation
of a laser is modeled by a single matrix

This single matrix picture is a model of the light propagation inside the structure.
One boundary condition is that br on the right of the structure is zero (there is no
light coming into the structure.) As in Fabry-Perot lasing modes, the condition for
single-mode lasing is unity gain and zero net phase. Both these conditions can be
concisely expressed as

a21 ðg; kÞ
1 ¼ R expðj/Þ ð9:14Þ
a22 ðg; kÞ

where the coefficients a21 and a11 are written explicitly as functions of the gain
g and the wavelength k.
Ignoring phase for the moment (solving Eq. 9.14 for just the amplitude), if the
wavelength k is picked, the necessary lasing gain g can be solved for numerically.
Doing this for the relevant range of k gives the curve g(k) which is the gain
envelope curve shown in Figs. 9.7, 9.10, and 9.12.
With phase included, the wavelengths exhibit the same comb of allowed modes
that Fabry-Perot laser modes do, and only certain wavelengths of any given
structure exhibit the zero net phase that is required for lasing. That gives rise to the
points shown in Fig. 9.10. These points lie on the gain envelope, and change of the
phase (such as random change of the back facet phase) shifts the allowed wave-
lengths along the gain envelope curve. With the information about lasing wave-
length and gain, anything discussed in the previous sections (gain margin, slope
240 9 Distributed Feedback Lasers

efficiency, threshold currents, and lasing wavelength) can be calculated. The

statistics can be calculated by imposing a random distribution on the back facet
phase.
We will leave off the discussion of the transfer matrix method here, except for
the extent that we explore it in the examples and problems.
This is a powerful framework to analyze real devices, since variations in length,
j, R, and other parameters can be included. Its major weakness is that it does not
simplify the subject particularly. In the next section, we are going to discuss the
coupled mode perspective of laser analysis, which is more difficult to apply to
realistic devices but does give some insight and another physical picture.

9.6 Coupled Mode Theory

A different way to model semiconductor lasers is through coupled mode theory

which we introduce here. This is more analytical than the transfer matrix method
(which requires computing power to implement) but is most directly applicable to
very simple (anti-reflection/anti-reflection) conditions.

9.6.1 A Graphical Picture of Diffraction

Before we discuss the details of coupled mode theory, let us illustrate a useful way
to look at the interaction of light with a periodic structure. Below, we show coherent
light incident on a grating structure, and the specular and diffracted orders asso-
ciated with it.
The usual equation given for the allowed angle hm of the diffracted beams is


mk
hm ¼ sin1  sin hi ð9:15Þ
K

in which the angles are defined in Fig. 9.18, and k is the wavelength of incident
light. Another more graphical picture can be seen in the dispersion-like diagram on
the right. This graphical picture will be very helpful in looking at gratings in
distributed feedback lasers in the next section.
A graphical way to understand diffraction is to associate a scattering vector
bscattering with the grating itself, equal to 2p/K (the grating period). This scattering
vector bscattering adds or subtracts to the incident light k vector to form the scattered
light k vector. The magnitude of the k vector is constrained to be 2p/k, illustrated by
the circle on the right. Additions or subtractions to kx change the diffracted angle as
well as the kx magnitude, but keep the magnitude of k overall the same.
Depending on the shape of the grating, the light may not scatter in all possible
multiples of bscattering; but that is a detail not relevant here.
9.6 Coupled Mode Theory 241

Fig. 9.18 Coherent light incident on a diffraction angle, showing schematically the allowed
diffraction directions

Automatically if the scattering vector is too big (and the grating too small,
compared to the wavelength of the light), there is no diffraction.
The next section examines what happens in a distributed feedback laser with an
included grating.

9.6.2 Coupled Mode Theory in Distributed Feedback Laser

Another perspective on distributed feedback operation is offered by coupled mode

theory. Rather than modeling each detailed piece of the distributed feedback
structure, in coupled mode theory one steps way back and approaches the subject
mathematically. That way is perhaps better to get a more intuitive picture of the
operation of the device, but it is not quite as applicable a tool to model variations in
these devices versus laser parameters. Here, we follow Haus’ treatment with the
addition of a gain term.1
The picture associated with a coupled mode picture is shown in Fig. 9.19. The
laser cavity is modeled as medium with gain and a grating, and two optical modes
propagate back and forth. Through its periodic scattering of the light wave, the
grating continuously reflects one mode back into the other and the forward and
backward modes are said to be coupled by the grating.
Though the scattering vector is a vector (in the same way that the propagation
constant k is a vector), in this one-dimensional discussion we are going to write
these b’s as scalars. In some sense, the grated region and the forward and backward
modes in it are a 1D diffraction problem. For laser optical feedback, the
forward-going mode should be diffracted into the backward-going mode, which
should be diffracted again into the forward-going mode. The difference between this
and the diffraction diagram of Fig. 9.18 is that in Fig. 9.18, the modes interact,

1
H. Haus, Waves and Fields in Optoelectronics, Prentice Hall, 1984.
242 9 Distributed Feedback Lasers

Fig. 9.19 Two modes coupling in a grated region

diffract, and are gone; here, the condition to confine the modes means the forward
and backward modes are continually linked.
For coherent feedback, the forward-going mode a in the figure above must be
precisely coupled into the backward-going mode b, which, when scattered, couples
back into the forward mode. The condition for this to happen is if two modes
propagate with two propagation vectors, b and −b, that are coupled together
through the grating scattering vector. The relationship between the scattering vector
and the forward and backward propagation vectors is

b ¼ b þ bscattering
ð9:16Þ
b ¼ b  bscattering

Here, let us also identify the Bragg wavelength (which is the wavelength for
which the grating has maximum reflectivity) and associated Bragg propagation
vector.
9.6 Coupled Mode Theory 243

kbragg ¼ 2Kn
p ð9:17Þ
bbragg ¼
K

This wavelength is the easiest to picture being coupled by the cavity. The two
propagation vectors which are separated by one scattering vector 2p/K are +/− the
Bragg propagation vector, bBragg=p/K, and so those are the propagation vectors of
the forward and backward waves.
For wavelengths different than the Bragg wavelength, the same process occurs.
In this case, the propagation vectors become group propagation vectors: These
propagation vectors b are associated with the group velocity of the mode and are
not necessarily equal to 2p/k. The forward and backward modes are then each
composed partly of forward- and partly of backward-going waves scattered with
propagation vectors at the Bragg wavelength.
This process is modeled with a set of coupled equations that describe the change
in each optical mode as it propagates. Each mode experiences a phase change
(through propagation) and amplitude change (through gain). In addition, a certain
fraction of the mode in the opposite direction is coupled into it. The amplitude of
that fraction is given by j, and the exponential terms reflect the change in propa-
gation vector due to scattering.
Mathematically, this is represented as

da  
¼ ðjbz þ gÞa þ jb exp jbscattering z
dz
ð9:18Þ
db  
¼ ðjbz  gÞb þ ja exp þ jbscattering z
dz

The exp(jbscattertingz) models the change in the propagation vector of b to couple

it back into the a mode.
To make them easier to solve and write, let us make the following two sim-
plifications. First, let us write a and b as
 
a ¼ AðzÞ exp jbscattering z
  ð9:19Þ
b ¼ BðzÞ exp jbscattering z

This is more than just a mathematical trick. In the range of interest for distributed
feedback lasers, the forward-going mode a will generally have a propagation vector
close to −bbragg. Writing the expression this way means we can neglect the very
rapid spatial variation of exp (−jbbraggz) and instead look at the relative slow change
of the envelope function A(z). Substituting Eq. 9.19 into Eq. 9.18 gives us the
following set of coupled equations.
244 9 Distributed Feedback Lasers

dA    
¼ j b  bbragg þ g A þ jB
dz
ð9:20Þ
dB    
¼ j b  bbragg  g B þ jA
dz

The expression b − bBragg is the difference between the Bragg propagation

vector and the mode propagation vector, and is given the symbol d.

d ¼ b  bBragg ð9:21Þ

With that, the equations can be rewritten in a final more concise form.

dA
¼ ðjd þ gÞA þ jB
dz
ð9:22Þ
dB
¼ ðjd  gÞB þ jA
dz

These coupled linear differential equations can be easily solved and give a
general result of

AðzÞ ¼ A þ expðSzÞ þ A expðSzÞ

ð9:23Þ
BðzÞ ¼ B þ expðSzÞ þ B expðSzÞ

with a complex propagation constant S equal to

qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
S¼ j2 þ ðg  jdÞ2 ð9:24Þ

Let us look at this equation for a little bit and try to see if we can make sense of
it. To start, let us assume there is no gain in the structure (g = 0). Then, the
propagation vector S is
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
S¼ j2  d 2 ð9:25Þ

The variable d is the distance from the Bragg wavevector; if the wavelength is
the Bragg wavelength, then d is 0. The further away from the Bragg wavelength we
get, the larger d becomes. If |d| is less than |j|, then S becomes a real number, and
the wavefunctions inside the cavity are decaying exponentials. This is the classical
‘stopband’ of a Bragg reflector, where wavelengths near the Bragg wavelength
decay and do not propagate going into the structure. The amplitude of the stopband
is about the same as j (in appropriate units).
If the gain is nonzero, some positive exponentials can be valid solutions to the
propagation equation, and solutions to Eq. 9.25 give the propagation vectors for the
envelope functions.
9.6 Coupled Mode Theory 245

Fig. 9.20 An incident wave, A(−L), incident on a grated region with gain. The reflected wave is B
(−L), and the boundary conditions have the wave incident on the structure from the right. The
reflection coefficient B(−L)/A(−L) will indicate the wavelengths which support lasing

The ultimate goal is to get some information about g (lasing gain) versus d
(wavelength, written in terms of distance from Bragg wavelength) in terms of j,
device length L, and other factors. To go further in this analysis requires solving the
differential equation for some specific conditions. The initial conditions we will
look at are shown in Fig. 9.20.
The strategy we will follow is pictured in Fig. 9.20. A distributed feedback
cavity of length L, with both facets anti-reflection coated, has light incident on it
from the right. We will then find the reflection coefficient, B(0)/A(0). Finally, to
deduce the lasing conditions from that, we will find the relationship between d and
g such that, mathematically, there is a reflection without any input. The appropriate
boundary conditions are

AðLÞ ¼ A
ð9:26Þ
Bð0Þ ¼ 0

With these two boundary conditions, the ratio of B(−L)/A(−L) can be found to be

BðLÞ  sinhðSLÞ
¼ S gjd
ð9:27Þ
AðLÞ j coshðSLÞ þ j sinhðSLÞ

At the points where the denominator is 0, there can be an output without an

input; in other words, there is a lasing cavity. The expression in the denominator
defines the relations between gain required and wavelength. It is a transcendental
equation with no simple solution, but it can be numerically solved to give the sort of
gain envelopes and permitted lasing wavelengths, as shown in Fig. 9.10.
This is a nice mathematical model for a laser which is anti-reflection coated on
both sides and, with suitable complex numbers, can accommodate both
index-coupled and gain- and loss-coupled lasers. However, it is not quite as
straightforward to analyze things like slope efficiency or threshold with asymmetric
boundary conditions, and so we take leave of this model except to the extent that it
246 9 Distributed Feedback Lasers

is covered in the problems. There is no better resource for this topic than the
original Kogelnick and Shank paper2.

9.6.3 Measurement of j

As we note in the examples of Sect. 9.4, a laser cavity can be designed with a
specific period and j, but what is eventually realized can vary from that. For
example, to calculate effective indices requires precise knowledge of the refractive
index dependence on wavelength and carrier density (hence laser operating point);
typically, these calculations are approximations, refined through an iteration or two
of the laser design.
The value of the parameter j is determined by the fabrication of the device. The
designer can control the thickness, composition, and placement of the grating layer
to obtain the desired values of n1 and n2. Once fabricated, the actual value of the
coupling coefficient j can be estimated by the approximate technique described
below.
When there is no gain, there is a region in which light cannot propagate through
a grated structure. This region is called the stopband. At very low current densities,
there is minimal optical gain in the device, but the spontaneous emission spectra
can be easily observed. The stopband shows reduced spontaneous emission in a
certain wavelength range. Figure 9.20 shows a measurement of the output spectra at
very low current. As shown in Eq. 9.27 with no gain, there is a stopband with
reduced emission from the device, and the width of the stopband is related to j.
In Fig. 9.21, the low output region between the peaks corresponds (roughly) to
the stopband between the two peaks of the gain curve. This stopband can be easily
measured, and a useful relationship between the measured stopband width and jL is
given in the following set of equations.
The parameter jL can be estimated as

p DksB
Y¼
2 Dk
ð9:28Þ
p2
kL ¼ Y 
4Y

where Y is a parameter, DksB is the stopband width, and Dk is the Fabry-Perot mode
spacing as seen in the figure.
This measurement of stopband and subsequent calculation of jL are tools to
analyze the characteristics of fabricated devices and further refine the design. There
are also available software tools, such as Laparex (available at http://www.ee.t.u-
tokyo.ac.jp/*nakano/lab/research/LAPAREX/, current 11/18) or Glaparex (avail-
able through the authors’ webpage at Binghamton University). Both these tools

2
Coupled-Wave Theory of Distributed Feedback Lasers, H. Kogelnick, C. Shank, J. Applied
Physics, v. 43, pp. 2327, 1972.
9.6 Coupled Mode Theory 247

Fig. 9.21 A subthreshold spectra of a distributed feedback laser, showing the stopband, and the
spacing between non-lasing modes. Compare this to the threshold above spectra in Fig. 9.1

comprehensively model measured spectra as a function of laser structure and can be

used to extract parameters such as j. Typically, they fit measured spectra and obtain
best fit values of j, reflectivity, and the like.
The value of jL picked for the wafer as a whole determines both the nominal
characteristics and the statistics, including the yield of the design to the given
specification. It is critically important in achieving a manufacturable and profitable
distributed feedback laser design. As we will talk about in Chap. 10, yield is
particularly important in the semiconductor business, and a 10% difference in
device yield, in products that are approaching commodities, can make a difference
between being comfortably profitable and exploring different bankruptcy options.

9.7 Inherently Single-Mode Lasers

One of the things that the reader may note, from Figs. 9.7 and 9.10, is that the
distributed feedback lasers we have described so far are only ‘mostly’ single mode.
Because there is a good chance that the gain margin between two lasing modes will
be reasonably high, a reasonable number of devices will be single mode. However,
the envelope of the gain curve is generally symmetric about the Bragg wavelength
and is not by itself, single mode.
248 9 Distributed Feedback Lasers

Fig. 9.22 A comparison between a standard laser, with a uniform grating all the way through,
and a quarter-wave-shifted device, which has one grating tooth in the center shifted by ¼-
wavelength to make the device inherently single mode

A nice picture of why that is so can be seen by considering an ideal

AR/AR-coated laser, with the observer located right in the middle of the middle
grating tooth, as shown in Fig. 9.22.
Outside of that one grating tooth, the grating goes on, for an equal number of
periods on each side. The rest of the grating teeth can be lumped into a single
reflectivity R. Let us suppose this cavity tries to lase at the Bragg wavelength where
the cavity has its point of maximum reflectivity.
Now the observer is in the middle of a very small cavity, watching light bounce
from one side, across a ¼-wavelength, to the other side, and back again for another
¼-wavelength. The half-wavelength round trip means that the Bragg wavelength
undergoes destructive interference in the cavity, although that is the wavelength
who’s reflectivity is absolutely the highest.
This problem suggests a solution, shown in Fig. 9.22. Suppose in the very
middle of the laser cavity, one grating tooth was widened from ¼k to ½k. Con-
sidering the observer at the middle of the cavity, the Bragg wavelength goes from
9.7 Inherently Single-Mode Lasers 249

destructive to constructive interference. The fundamental envelope of the gain curve

changes from the one on the right to the one on the left. Astonishing, but an extra
¼-wavelength in the material (about 100 nm) can completely shift the character-
istics of the device and enable the realization of devices that have close to 100%
single-mode yield.
While it is easy to get a uniform grating over an entire wafer using holographic
grating techniques, with holographic gratings it is challenging to introduce a single
¼ shift in the center of the device. In addition, the classical argument presented
above really holds only for ¼k-shifted devices with no phase effects from the facets
(anti-reflective/anti-reflective coated). For devices with phase effects, like com-
mercial lasers with highly reflective facets, the ¼ shifting technique is very helpful
but does not produce perfect single-mode yield.3
Recently, it has become commercially feasible to use gratings fabricated with
e-beam lithography where every grating tooth is individually written. This tech-
nique makes it easy to introduce a ¼k shift. It is becoming common for commercial
devices to have e-beam written gratings with quarter-wave shifts with much higher
single-mode yields over the wafer.

9.8 Other Types of Gratings

Figure 9.5 and the coupled mode equations show that for the grating we have
considered here, j is real because the grating is index-coupled. The difference
between one periodic material slice and another is just in the refractive index, n.
However, devices which have periodic modulation in gain or loss can also be
easily fabricated. If the grating material is absorbing at the lasing wavelength, that
will introduce a ‘loss grating’; if the grating is actually fabricated to preferentially
inject current into the quantum wells, that creates a ‘gain grating.’ These effects can
be mathematically modeled by replacing the real j in Eq. 9.20 with a positive or
negative complex j for a gain or loss grating, respectively.
The gain and loss gratings can also make the gain envelope asymmetric with
respect to the Bragg wavelength, which can be favorable for single-mode yield.
Loss gratings of course have some loss associated with them, and so can degrade
the threshold or slope. As with almost anything in lasers, it is a trade-off.

3
In the first edition of the book, the discussion continued, ‘this technique is not used typically for
commercial lasers.’ and went on to explain that it required e-beam grating fabrication, which was
not commercially feasible. It now is commercially feasible, and many companies use it.
Proficiscitur in tempore!
250 9 Distributed Feedback Lasers

9.9 Learning Points

A. Single-mode lasers are needed for laser communications, both for channel
capacity and for long-distance transmission.
B. Since each wavelength can carry different information, many single-mode
lasers can carry more information than one multimode laser.
C. Since different wavelengths travel at different velocities, for a good-quality
long-distance pulse transmission, the pulse should be composed of a narrow
range of wavelengths.
D. There are several methods which can be used to achieve single-mode spacing in
lasers.
E. Atomic lasers with very narrow gain regions have inherently single-mode
operation; this is not possible in semiconductor lasers, which have broad gain
bandwidths of at least 10’s of nanometers.
F. Bragg facet coatings or other external wavelength reflectors are also not pos-
sible since they do not have a narrow reflectance band.
G. The free spectral range can be made wider than the gain bandwidth by making
the lasing cavity narrow. Vertical cavity surface-emitting devices do this and
are inherently single longitudinal mode.
H. However, vertical cavity surface-emitting lasers are not good solutions for
long-distance fiber communications because vertical cavity lasers have lower
slope and lower power output compared to edge-emitting devices.
I. The conventional commercial solution is to include a distributed feedback
grating into the laser cavity itself. A long grating with a large number of periods
is very wavelength-specific.
J. Though it is similar to a Bragg reflector with a maximum reflectivity at the
Bragg wavelength, there are a number of subtle differences. A laser cavity is a
mixture of reflector and cavity; wavelengths within the classical stopband of a
Bragg reflector can propagate there because there is gain in the cavity.
K. Bragg reflectors (and other optical elements) can be modeled with the transfer
matrix method, which allows cascade of many complicated optical elements.
L. Uniformly grated Distributed feedback lasers do not usually lase at the Bragg
wavelength of maximum reflectivity, because the reflector is also the laser
cavity.
M. A Bragg reflector with no gain has a stopband in which wavelengths are
reflected and do not propagate in the cavity. This can be seen by observing
spontaneous emission from a laser cavity, in which there is a region of reduced
light output.
N. In practical devices that are HR coated on one end and AR coated on the other
end, the properties of the laser (including slope efficiency, threshold, and
side-mode suppression ratio) vary depending on the exact length of the cavity
and the phase of the device when it is reflected from the back facet.
9.9 Learning Points 251

O. Because the properties of these HR/AR devices depend strongly on back facet
phase, and back facet phase cannot be controlled since it is defined during the
laser cleaving process, the set of devices from a typical identical wafer each
have effectively random back facet phase.
P. The yield of a design is determined by the properties of the population; hence,
design of a distributed feedback laser should consider the distribution due to
random back facet phase as well as the nominal properties.
Q. Quarter-wave shifted devices can have much higher single mode yields than
uniformly grated devices and tend to be inherently single mode. They are
typically realized with e-beam lithography.
R. Periodic variations in loss or gain (gain gratings or loss gratings) can be used as
well as index gratings to realize lasers.

9.10 Questions
Q9:1. Sketch and describe the physical structure and spectral characteristics of the
following devices.

(a) Fabry-Perot laser

(b) Lasers with a highly reflective Bragg stack on the front and rear facet
(c) Index-coupled distributed feedback laser
(d) ¼-wave-shifted distributed feedback laser

Q9:2. Would the lasing wavelength of a perfect distributed feedback laser depend
on temperature, and if so, how? Compare the temperature dependence of a
distributed feedback laser with that of a Fabry-Perot laser. Is there a
difference?
Q9:3 If the specifications for a particular laser are SMSR >30 dB and slope
efficiency >0.35 W/A, what value of jL should be chosen, based on
Figs. 9.14 and 9.15. Estimate the yield to this specification from the best
jL.

9.11 Problems
P9:1. Typical values for gain are around 100/cm. Suppose we fabricate an
extremely small active cavity device, in which the active region is only
0.1 lm long but the cavity is 3 lm long. (A) What does the value of
reflectivity R have to be in order for the gain to not exceed 100/cm in the
active region? (B) Assume an absorption of 20/cm. What is the slope
efficiency out of the device, in photons out/carriers in? Comment on the
general slope characteristics of this device compared to a standard device.
252 9 Distributed Feedback Lasers

P9:2. We want to design a 300-lm-long distributed feedback laser suitable for a

lasing wavelength of 1550 nm, in a material with an index of 3.5. The
device should have a negative detuning of 20 nm at room temperature.

(a) What should the gain peak in the quantum wells be (approximately)?
(b) Sketch the output spectra of a fabricated device, along with the output
spectra of a Fabry-Perot made with the same material.
(c) Calculate the necessary period for a first-order grating.
(d) Assuming Dn = 0.001, calculate j for this material.

P9:3. Consider a grating period twice as big as the Bragg period for a given
wavelength.

(a) What is the scattering vector compared to that of a grating at the Bragg
wavelength?
(b) Can this grating be used to couple a forward-going and backward-going
waves?
(c) Will this wavelength diffract a forward-going wave into any other
direction?
(d) What are some potential advantages of this second-order grating?
(e) Suppose the coupling was found to be 12/cm of this geometry (grating
thickness, duty spacing, and material). What will the coupling be for
this second-order structure?

P9:4. A dielectric stack is designed to be highly reflective at 1550-nm wave-

length. If it is composed of two layers, one with an index of 1.5 and one
with an index of 2,

(a) Find the appropriate thickness of each material.

(b) Use the transfer matrix method to calculate the reflectivity of a stack of
5, 10, and 25 periods at normal incidence.

P9:5. (a) Implement the algorithm pictured in Fig. 9.16, and use it to calculate the
gain envelope for a device with a 200-nm grating period, Dn = 0.005,
navg = 3.39, R = 0.9, and a length of 300 lm. Does the calculated Bragg
wavelength make sense?
(b) Calculate it for the same parameters but with a length of 200 lm.
P9:6. Show that Eq. 9.11 can be rearranged to give Eq. 9.12.
P9:7 Figure 9.17 shows the interaction of light with a grating. In the process of
fabrication of the grating, the grating period is often measured by measuring
the diffraction angle of the grating from coherent light. When illuminated by
a laser of known wavelength, the diffraction angles unambiguously tell the
period K of the grating.
9.11 Problems 253

(a) If grating has a period of 198 nm, what is the smallest wavelength of
light that will diffract?
(b) If light at 400 nm is incident on the grating above at 45°, at what angles
will diffraction spots be observed?

P9:8 Download the program Glaparex from the link through the authors’ aca-
demic Web site.

(a) Fit some of the sample spectra, and run the yield scan to estimate the
single-mode yield of the device.
(b) Click the quarter-wave shift button and place the quarter-wave shift
about 20–30 lm from the high-reflectivity end of the device. Run the
yield scan again and see how it has changed.
Assorted Miscellany: Dispersion,
Fabrication, and Reliability 10

“I was wondering what the mouse-trap was for.” said Alice. “it
isn’t very likely there would be any mice on the horse’s back.”
“Not very likely, perhaps,” said the Knight; “but, if they do
come, I don’t choose to have them running all about.”
“You see,” he went on after a pause, “it’s as well to be
provided for everything.”
—Lewis Carroll (Charles Lutwidge Dodgson),
Through the Looking-Glass

Abstract
Here we address some topics of importance that don’t fit neatly into other
chapters. The basic measurement of optical communications quality, the
dispersion penalty, is described. We then outline the process flow that takes
raw materials to a fabricated and packaged chip. The temperature dependence of
laser properties which is particularly important to uncooled lasers is discussed,
which leads into the idea of accelerated aging testing for reliability. Finally,
some of the failure mechanisms are discussed.

10.1 Introduction

In the previous chapters, we have worked from the theory of lasers, to the theory of
semiconductor lasers, to more details about waveguides, high speed performance,
and single mode devices. In the process of covering these topics in a systematic
way, we have ended up with a complete but basic description of a laser and
understanding of its operation.
However, there are many other aspects of laser science, including fabrication,
operation, test, and manufacture that should be covered but don’t quite fill a whole
chapter. In commercial use of these devices, or in research, these areas are less

© Springer Nature Switzerland AG 2020 255

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_10
256 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

fundamental but are not less important. We want to leave the student conversant
with common issues, and as Lewis Carroll says, ‘provided for everything’, except
perhaps horseback-riding rodents.
In this chapter, other aspects of lasers are introduced. Among them are disper-
sion measurements, typical laser processing flow, differences between Fabry-Perot
and ridge waveguide devices, and temperature dependence of laser characteristics.

10.2 Dispersion and Single Mode Devices

In the previous chapter, we described properties of (usually single mode) distributed

feedback lasers. As we noted then, one of the motivations for single wavelength
lasers is to obtain reduced dispersion; optical signals travel for many km on optical
fiber, and because different wavelengths travel at different speeds, a clean set of
modulated ones and zeros at the origin can become an ambiguous mess many km
later.
Qualitatively that is clear. In this section, we describe more quantitatively how
signal quality is evaluated through a dispersion penalty measurement. The basic
idea is to measure the bit error rate (the fraction of bits that the optical receiver
measures incorrectly) as a function of the power on the optical receiver.
The measurement is outlined in Fig. 10.1. Typically in a baseline measurement,
a modulated optical signal is coupled to an optical receiver, and a combination of
attenuators and amplifiers is used to control the optical power at the receiver end.
As the received power is reduced, the number of bits in error increases. A curve
typical to the back-to-back curve in Fig. 10.2 is obtained, where the bit error rate
goes down as the power at the receiver goes up.
To quantify the effect of dispersion on transmission quality, another measure-
ment is made with a length of fiber in between the transmitter and receiver. Again,
amplifiers and attenuators are used to control the power level at the receiver.
A second curve of bit error rate versus power level is obtained, this time over fiber.
In real laser systems, increasing optical amplitude is straightforward with
erbium-doped fiber amplifiers; however, degradation of transmission quality
through dispersion is fundamental. Typically, the power has to be a bit higher (a

Fig. 10.1 Measurement of dispersion penalty. The signal is put onto a semiconductor laser,
through a varying length of fiber (typically *0 km and the distance over which the dispersion
penalty is tested), and then through a receiver and bit error rate detector, which compares the
received bit with the bit which was launched. If they disagree, then an error is recorded
10.2 Dispersion and Single Mode Devices 257

Fig. 10.2 Results of a dispersion penalty measurement. The space between the back-to-back
curve and the 100 km curve is the increase in signal power necessary for the data to be transmitted,
the dispersion penalty. Typically, it is measured at a specific bit error rate like 10−10

dBm or two) for the error rate to be the same. This required increase in power due to
signal degradation from dispersion is called the dispersion penalty.
Typical specifications are 2 dB dispersion penalty over the transmitted signal
conditions, for example, 100 km of directly modulated laser signal at 1.55 lm.
As an imperfect analogy, understanding the words to a song on a very soft radio
station is easier when there is no static; if there is static, the volume needs to be
turned up to understand the words. The dispersion in this case adds the ‘static’ to
the signal.
Since lasers have complicated dynamics, the tests usually done with a pseudo-
random bit stream (PRBS) which drive the laser with varying combinations of ones
and zeros and ensure that the laser is excited with all possible frequency content.
To aid in connecting dispersion penalty with more fundamental laser parameters,
an approximation for the dispersion penalty is given by the expression

DP ¼ 5 log10 ð1 þ 2pðBDLrÞÞ2 ð10:1Þ

where B is the bit rate (in Gb/s, or 1/ps), L is the fiber length (in km), D is the
dispersion of the fiber (in ps/nm km), and r is the optical linewidth of the signal
(Note there are actually many similar expressions used for approximate dispersion
penalty. This one is from Miller1).
The units for the fiber dispersion penalty D are a bit obscure. It can be read as
‘ps’ (of delay)/’nm’ (optical signal bandwidth)-‘km’ (of fiber length).

1
Miller, John, and Ed Friedman. Optical Communications Rules of Thumb. Boston, MA:
McGraw-Hill Professional, 2003. p. 325.
258 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Example: A 2.5 Gb/s signal is transmitted using a single

mode distributed feedback laser at 1.55 lm over 100 km of
standard fiber. This standard fiber has a dispersion of
17 ps/nm km. The dispersion penalty measured as shown in
Fig. 10.1 is 1.5 dBm. What is the optical linewidth
associated with this transmitter?
Solution: Using Eq. 10.1,

.
101:5=5  1 2p ¼ 0:159
ð0:159Þ=ð100 km  2.5Þ  109 =s 17  1012 s=nm km ¼ 0:093 nm

or about 1.0 Å.

The origin of this 1.0 Å comes from the physics of laser modulation. The
wavelength shifts very slightly with the current injection statically (the wavelength
of a ‘one’ is slightly different than the wavelength of a ‘zero’) resulting in a
measurable laser linewidth when modulated. In addition, there is a dynamic chirp
during the switch, due to the oscillation of carrier and current density in the core.
Because of this, any directly modulated source has numbers of the order of Å.
As an aside, externally modulated sources (like lasers modulated by lithium niobate
modulators, or by integrated electroabsorption modulators) do not have this inherent
chirp. Because of that, those kinds of directly modulated transmitters can go 600 km or
more with appropriate amplification. As another side, the reader is reminded that the
dispersion around 1310 nm wavelength in standard fiber is about 0. However, that
wavelength is not used for long-distance transmission because the losses are too high
(1 dB/km, rather than 0.2 dB/km) and it is more difficult to get in-fiber amplification.
Equation 10.1 also points out how dispersion penalty depends on fiber length,
wavelength, and modulation speeds. It is crucially dependent on fiber length because
long fibers multiply the difference in propagation velocity between different wave-
lengths; it is crucially dependent on wavelength because the dispersion penalty depends
on differences in speeds at a particular wavelength; and it is crucially dependent on bit
rate because slower bit rates require more time for a one to bleed into a zero.

10.3 Temperature Effects on Lasers

A second topic in this miscellaneous chapter is effect of temperature on laser properties.

Both the DC and spectral properties do depend strongly on temperature. One additional
advantage of distributed feedback devices over Fabry-Perot devices is enhanced tem-
perature stability of the wavelength with temperature changes. To put this in proper
10.3 Temperature Effects on Lasers 259

context, fibers can carry many, many channels of information with each channel on a
separate wavelength. In order for this work, the wavelength of each channel must be
clearly defined and specified so that the various channels do not interfere with each
other. As we will see, the temperature affects the operating wavelength of laser devices,
but much less in distributed feedback lasers than in Fabry-Perot devices.
For temperature-controlled devices typically used in dense wavelength division
multiplexing systems, wavelength control within a nm is maintained by controlling
the temperature of the laser source. This is done with an integrated Peltier cooler.
For uncooled devices, the inherent wavelength stability of a distributed feedback
laser is an advantage.

10.3.1 Temperature Effects on Wavelength

The bandgap of all of these materials depends on the temperature. As the tem-
perature increases, the lattice experiences thermal expansion, and the wave func-
tions of the atoms that overlap to form the band gap change. Hence, the energy band
gap becomes smaller and the emission wavelength becomes larger. The typical shift
is of the order of 0.5 nm/K. For Fabry-Perot lasers, which lase at the band gap, the
lasing wavelength will also change at this rate of 0.5 nm/K.
What about distributed feedback devices, with a fixed grating period? There are
slight changes to the period through thermal expansion and to the refractive index
through temperature. The net effect is significantly less than that of Fabry-Perot
lasers, but is still about 0.1 nm/K.
A third effect is the interaction between lasing wavelength and photolumines-
cence peak. As discussed in Chap. 9, the difference between the lasing wavelength
and peak gain is called the detuning. Typically, the best high speed performance
(and the highest differential gain) comes with negative detuning where the lasing
wavelength is at lower wavelength than the gain peak. The best DC performance
and lowest thresholds are obtained with zero or positive detuning.
Figure 10.3 shows that as the temperature changes, the detuning changes as
well. At high temperature, the gain drifts away from the lasing peak, increasing the
detuning and the threshold current. At low temperatures, the gain peak approaches
the lasing peak and the detuning is reduced. This can change the high speed
performance of the device at low temperatures.

10.3.2 Temperature Effects on DC Properties

As the temperature increases, the lasing threshold current increases as well. This
happens for several reasons. First, the formula for gain includes the Fermi distri-
bution function for carriers. As the temperature increases, the carriers spread out
more in wavelength, and to achieve the same peak gain (set by the optical cavity)
more carriers (and hence current) are required. Second, it is the carriers in the
quantum wells which contribute to gain. As the temperature increases, a certain
260 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.3 Left, a qualitative illustration of the relationship between gain peak and distributed
feedback laser lasing peak versus temperature. The gain peak shifts much more rapidly than the
lasing wavelength, creating a detuning that depends on temperature. Right, photoluminescence
peak (band gap), distributed feedback lasing peak, and detuning as a function of temperature. The
lasing wavelength for a device that is not temperature controlled varies significantly over the
operating temperature range

amount of carriers, mostly electrons, escape from the quantum wells and go into the
barriers. These carriers do not contribute to optical gain either, and so more current
is required to achieve the same peak gain. These mechanisms are illustrated in
Fig. 10.4.
The threshold current usually depends exponentially on current, as

I ¼ I0 expðT=T0 Þ ð10:2Þ

where T0 is a constant which depends on material system and, to some degree, on

structure. Shown in Fig. 10.5 are two L-I curves taken at different temperatures
illustrating the change in device characteristics over temperature.
Usually, these DC characteristics are quantified with the T0 of the device,
determined by measuring threshold current versus temperature and finding the T0
that provides the best fit.

Fig. 10.4 Illustration of the mechanisms for threshold current increase with temperature. Left,
carriers escape into the barrier layers; Right, thermal spreading of carriers within the quantum
wells. More carriers are needed to achieve the same peak gain
10.3 Temperature Effects on Lasers 261

Fig. 10.5 L-I curve taken at

two different temperatures
illustrating the change in laser
performance characteristics of
the device

Example: In the data shown in Fig. 10.5, find the T0.

Solution: I(25 °C) = 8, I(85 °C) = 38, and so
 
8 expð25=T0 Þ 25  85
¼ ¼ exp
38 expð85=T0 Þ T0

or
  
38
T0 ¼ ð85  25Þ ln ¼ 38 K
8

This number of about 40 K is typical of InGaAsP laser

systems.

Lasers designed for uncooled use (i.e., without a piezo-electric heater/cooler

integrated into the package) must be designed to have reasonable operating char-
acteristics over a broad range of temperature. Typical specifications can be from 0
to 70 °C, or −25 to 85 °C, or more. For those sorts of lasers, T0 is very important. A
high T0 means device characteristics will vary less with temperature, and a laser
with a threshold of 10 mA at room temperature may only be up to 25 mA at 85 °C.
As it happens, the InGaAlAs family of materials (as opposed to the InGaAsP)
has a very high T0, typically 80 K or more; hence, InGaAlAs is the preferred
material for high temperature, uncooled devices. The disadvantage to InGaAlAs
262 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.6 Band structure of InGaAsP and InGaAlAs. The band offsets divide up differently, so
that InGaAlAs is much less sensitive to temperature than InGaAsP

(which we will discuss talking about comparison between buried heterostructure

and ridge waveguide devices) is that the Al tends to oxidize and so leads to defects
in the material. This manifests in better reliability in devices based on InGaAsP
compared to devices based on InGaAlAs.
The reason InGaAlAs is better at high temperature is illustrated in Fig. 10.6. In
addition to band gap, another important property of laser heterostructures is how the
band offset splits up between the valence and conduction bands. For example, a
1.55-lm active region (energy band gap of 0.8 eV) is sandwiched by cladding
layers at 1.24 lm (energy band gap of 1 eV). The difference in energy between the
core and cladding (0.2 eV) divides up between the valence and conduction band in
different ways, depending on the material system.
For example, in InGaAsP material systems, 40% of that 0.2 eV difference
appears across the conduction band and the remaining 60% appears in the valence
band. The net ‘barrier’ to electrons is 0.08 eV (not that much different than the
0.026 thermal voltage). Because of that, as the temperature increases, a greater
fraction of electrons thermally excite out of the conduction band and into the
barriers, and more current is needed to get the carrier density in the wells at the
threshold level.
The author whimsically pictures this as a popcorn popper that will lase only
when the popcorn is at a fixed level—but the higher the temperature, the more
kernels are popped out and wasted. It is a shame to waste popcorn like that!
Luckily, the situation is much more favorable in the InGaAlAs material system.
In that system, the barrier breaks up 70% on the conduction band side and only 30%
10.3 Temperature Effects on Lasers 263

on the valence band side. The electrons are effectively in a much deeper well and so
have much less leakage into the barriers.
In both these cases, it is the electrons who are the important carriers. The
effective mass of the electrons is about 0.1m0, which is much less than that of the
holes, and so they are much more susceptible to thermal leakage.

10.4 Laser Fabrication: Wafer Growth, Wafer Fabrication,

Chip Fabrication, and Testing

We have touched upon fabrication in bits and pieces in prior chapters, when it was
relevant. Here it is very worthwhile to cover the flow of the laser fabrication process
completely in one place. Part of the laser compromises that are made are driven by
the materials and processing issues and often it is not the design, but the fabrication
issues, which cause problems with laser performance.
In this section, we will first present an overview of substrate wafer fabrication,
including the wafer fabrication and the subsequent growth of the active region.
To clarify the terminology, ‘wafer growth’ means the creation of the wafer,
including the substrate and the quantum wells; ‘wafer fabrication’ means the
lithographic processes of making ridges, metal contacts, etc.; chip fabrication is the
more mechanical aspects of separating the device into bars and chips and testing it.
We also mention (briefly) packaging.

10.4.1 Substrate Wafer Fabrication

All laser fabrication begins with a substrate wafer. This substrate wafer is typically
made starting with a seed crystal and a source of the relevant atoms (In and P, or Ga
and As) that are exposed to it in molten or vapor form, and then cooling it under
controlled conditions in contact with a seed crystal to form a large wafer boule.
A picture of the overall process is shown in Fig. 10.7. In this particular InP
wafer fabrication process, a Bridgeman furnace is used to create polycrystalline but
stoichiometric crystals of InP. These crystals are then melted together while
encapsulated by a layer of molten boric oxide. A seed crystal is then pulled from the
melt, and as the layers freeze, a large, single crystal of InP is formed.
The physics of the crystal growth can be quite involved and merit either a
detailed discussion, or the merest mention. Here, we stay with the latter and give a
qualitative overview.
Once a large single-crystal boule has been fabricated, the wafer flat is marked to
show its orientation. It is then cut into thin slices (*600 lm thick) and polished on
one side to form wafers that are ready to be grown. Figure 1.4 in Chap. 1 shows a
picture of a typical semiconductor wafer in its ready-to-be-processed state.
Particularly for lasers, the underlying wafer quality is important. Defects in the
underlying wafer can eventually make their way to the active region and degrade
264 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.7 Substrate wafer fabrication. First, In and P are melted and re-frozen in polycrystalline
InP; then, the polycrystalline InP is melted again, put in contact with a single crystal seed crystal,
and pulled from the metal, to form a large boule which is then sliced into further wafers.
Picture credit, Wafer Technology Ltd., used by permission

the device performance. As part of testing, typically a sample of devices is given

accelerated aging testing to see how their characteristics change over time. Devices
built on wafers with high defect density suffer quicker degradation of their oper-
ating characteristics, and it is harder for them to meet the typical lifetime require-
ments. The idea of reliability testing will be discussed further in Sect. 10.11.

10.4.2 Laser Design

Laser design begins with the detailed specification of the laser heterostructure. The
essence of the laser is the active region, which includes the set of layers of quantum
wells (which form the active region) and separate confining heterostructures (which
form the waveguide). Design of the laser consists of specifying the composition,
doping, thickness, and band gap of this set of lasers. A typical laser heterostructure
design is shown in Fig. 10.8. Often, in addition to specifying the structure, the
required characterization methods are specified as well.
A few comments on the laser structure are made in the diagram.
The top and bottom layers are heavily doped to facilitate contact with metals.
The layer below the top layer—which would form the ridge in a ridge waveguide
laser—is moderately doped. Most of the resistance in the device is caused by the
conduction through this region, and the doping is a trade-off between reduced free
carrier absorption and increased resistance.
In this case, the active region of this structure is undoped. This is not always
true; often, semiconductor quantum wells are p-doped, which increases the speed
but also increases free carrier absorption of the light. The number and dimension of
quantum wells are typical of directly modulated communication lasers. This design
uses strain compensation, in which the barrier layers (whose only real purpose is to
define the quantum wells) have a strain opposite that of the quantum wells, but
reduce the net strain (in this case, to zero).
10.4 Laser Fabrication: Wafer Growth, Wafer Fabrication, Chip … 265

Fig. 10.8 A typical ridge waveguide laser heterostructure design. The doping, thickness, and
strain of each laser are specified. Typically, metal contacts are made with the bottom and the top,
though some designs have both n and p contacts on the top

10.4.3 Heterostructure Growth

After specification, these layers are fabricated, or ‘grown’, typically in one of two
specialized machines. Either a metallorganic chemical vapor deposition system
(MOCVD), or molecular beam epitaxy (MBE) machine, can make layers of the
precise thickness, composition, and doping as specified. The basic arrangement of
the two techniques is shown in Fig. 10.9 and will be discussed in a little more detail
in the subsequent paragraphs. The dynamics and chemistries of the techniques are
beyond the scope of the book, and this next section is best appreciated with some
microfabrication background.

10.4.3.1 Heterostructure Growth: Molecular Beam Epitaxy

(MBE)
An MBE system works by physical deposition. Pure sources of Ga, As, In, or
whatever are desired to be grown are independently heated, and the atoms impinge
on a source wafer, as shown schematically in Fig. 10.9. They then diffused to an
appropriate lattice site and are incorporated into the wafer. The control parameters
are typically the temperature of the effusion cells (called Knudson cells) and
opening and closing the shutters in front of each cell. The wafer temperature is very
important and needs to be precisely controlled.
Typically, the wafer is mounted at the top, and the sources toward the bottom are
covered by controllable shutters. To ensure high purity growth of the atoms, the
chamber is usually at very high vacuum, and the wafer is transferred in and out
through a load lock. Thickness monitoring can be done with an in situ crystal
266 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.9 Left, a diagram of an MBE system and a photograph, courtesy Riber; Right, a simple
schematic diagram of an MOCVD machine and a photo of an MOCVD machine, courtesy
Aixtron. The MBE machine schematically shows atoms being deposited though thermal effusion;
in the MOCVD system, chemical reactions occur on the wafer surface and result in the atoms
being incorporated into the wafer

thickness monitor, for relatively thick growths. In addition, many MBE machines
include a simple electron diffraction system (called reflection high-energy electron
diffraction, or RHEED) which can monitor monolayers of growth. The deposition is
controlled by the rapid opening and closing of a shutter. Thickness control is more
accurate than with MOCVD, and the chemicals used are much safer.

10.4.3.2 Heterostructure Growth: Metallorganic Chemical Vapor

Deposition (MOCVD)
In metallorganic chemical vapor deposition (MOCVD), and other vapor deposition
techniques, the wafer is loaded into a machine shown in Fig. 10.9. This machine
controls the flow rate of various reactive gases (trimethyl gallium, arsine, etc.), and
the temperature of the wafer is carefully controlled.
As shown in the figure, as the various gases flow over the heated wafer, they
chemically react with it. For example, the Ga atom in trimethyl gallium is incor-
porated into the lattice of the existing wafer structure, and methane gas is given off
as a byproduct. By controlling the flow rate of the gases, and of other gases
intending to introduce dopants, the composition and doping density of the wafer
can be controlled.
10.4 Laser Fabrication: Wafer Growth, Wafer Fabrication, Chip … 267

Some of the gases are poisonous or ignite on exposure to oxygen. The MOCVD
reactor requires a facility with gas alarms and a charcoal scrubber to cleanse the
exhaust. The MOCVD method is almost exclusively used commercially for wafers
grown on InP substrates, including devices in the InGaAsP family and in the
InGaAlAs-based lasers.
Doing this with accuracy is a very complex task and requires a suite of char-
acterization tools, in addition to the fabrication machine. For example, to grow a
p-doped InGaAsP layer (a common laser requirement) requires control of five gases
and the wafer conditions. When a wafer recipe is developed, it is usually necessary
to measure all of the specified characteristics. Band gap can be measured using
photoluminescence; the doping can be measured using Hall effect measurements of
conductivity, or sputtered ion microscopy (SIMS); and the strain can be measured
with X-ray diffraction. All of these are the beginnings of realizing the thin layer
desired.
Wafer growth to some degree is regarded as a ‘black art’. Having a body of
experience of previously grown similar layers can be enormously helpful.

10.5 Grating Fabrication

At the end of the substrate fabrication and layer growth processes, one is left with a
wafer that has the required layers on it and needs to be fabricated into devices with a
waveguide, and n- and p-metal contacts. If the device is a Fabry-Perot laser, the
layers are the active region, and the wafer will fall into the wafer fabrication
diagram pictured in Fig. 10.12. However, if the device is a distributed feedback
device with the grating layer below active region, the first step may be patterning
the grating layer,2 followed by an overgrowth of the rest of the devices. Overgrowth
means layer growth on a patterned wafer; for distributed feedback lasers (and buried
heterostructure lasers, to be described below), overgrowth is necessary. Devices
with the grating layer both below and above the active region are commercially
used. Below we describe the grating faction steps, followed by the rest of the wafer
fabrication.

10.5.1 Grating Fabrication

As discussed in Chap. 9, to realize single mode lasers requires a grating patterned

into the device of a particular period. The period is around 200 nm for lasing
wavelengths of 1310 nm, and a bit bigger for devices designed around 1550 nm.
This is too large to be patterned by simple i-line contact lithography. Most of the

2
In this example, the grating is under the active region (a common location for it). However, in
some processes, the grating is over the active region. In terms of performance, it makes no
difference, but one or the other may be more compatible with a given process.
268 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.10 A schematic of a Lloyd’s mirror interferometer, in which two interfering laser beams
of light form a pattern on the wafer

other steps for lasers are relative large by semiconductor standards and require only
1–2 lm features at minimum.
These gratings are sometimes patterned by holographic interference lithography,
as shown in Fig. 10.10. The process goes as follows: A thin layer of resist is spun
onto the wafer. A single laser beam, within the range of the resist, is split into two
beams and recombined at the wafer surface. The example below is called a Lloyd’s
mirror interferometer, and with that geometry, the period P of the interference
pattern formed is

P ¼ k=2sinð/Þ ð10:3Þ

where P is the angle from the normal and k is the exposing laser wavelength. The
minimum achievable period is half the laser wavelength. Wavelengths around
325 nm work well in terms of being within the exposure range of 1800 series
photoresist and in producing grating periods down to 200 nm or less.
Then, the wafer is etched, and the resist is removed. What remains is the cor-
rugated pattern on the surface of the wafer.
It is becoming more common for wafers to be patterned by e-beam lithography.
Such gratings have tremendous advantages, as they allow every device to have a
quarter-wave shift for a much improved single mode yield. In addition, they allow
for a greater level of grating design. For example, the quarter-wave shift can be
distributed among a larger area, to reduce the peak photon density at the
quarter-wave location and reduce spatial hole burning. The duty cycle can also be
controlled as way to vary k across the length of the device. Figure 10.11 illustrates
some of the potential for these e-beam written gratings.
10.5 Grating Fabrication 269

Fig. 10.11 Some features enabled by a e-beam lithography. Every device can be written with a
quarter-wave shift. In addition, the duty cycle of the lines can be varied to also control j, and the
pitch can be varied spatially across the devices. All of these features allow control of things like
spatial hole burning and single mode yield

10.5.2 Grating Overgrowth

To be effective, the grating has to be integrated as part of the laser heterostructure.

The rest of the device structure needs to be grown on top of the grating, while
preserving the grating.
This can be challenging; heating up the wafer, as is typically done during wafer
growth, causes atoms to move, and diffusion can erode the sharp grating contours.
In addition, the overgrowth has to planarize the wafer so the rest of the growths are
sharp clean interfaces. Poor overgrowth leads to defects at the growth region and
deteriorates the wafer performance. The transition from patterned surface to smooth
surface has to happen fairly quickly (within 100 nm or so) as the grating has to be
able to affect the optical mode in the device.
Nonetheless, this is largely a solved problem, and the majority of distributed
feedback laser are made this way. Figure 10.12 shows an SEM of a grating that has
been successfully overgrown. The grating teeth are successfully covered by the rest
of the device, and the remaining layers are flat.
270 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.12 A successful overgrown grating, including quantum wells and surrounding n- and
p-regions

10.6 Wafer Fabrication

In this section, we will illustrate the process of turning a wafer (including the
substrate, and the initial grown layers) into laser devices. Here the simplest practical
device, a ridge waveguide, is shown first, and variations on that basic process are
shown for distributed feedback devices and buried heterostructure devices. The
latter two incorporate overgrowth which significantly complicates the process.

10.6.1 Wafer Fabrication: Ridge Waveguide

For Fabry-Perot ridge waveguide devices, fabrication starts here immediately after
heterostructure growth, and the entire active structure can be grown in a single
growth. For distributed feedback lasers, fabrication continues here after the grating
layer has been grown, the wafer removed and patterned, and the rest of the
heterostructure then overgrown on the patterned grating.
Figure 10.13 shows the fabrication flow of a simple ridge waveguide device.
Additional steps which are necessary for buried heterostructure devices will be
illustrated in Sect. 10.4.2. The first two steps shown below (grating fabrication) are
necessary for distributed feedback devices only (Fig. 10.13).
10.6 Wafer Fabrication 271

Fig. 10.13 A simple fabrication process overview for a ridge waveguide laser

The first two steps are only for distributed feedback lasers. These steps involve
patterning the grating layers and then overgrowing the rest of the structure. For
Fabry-Perot devices without a grating, wafer processing starts with the wafer layers
already grown on the step labeled 1. A typical first step is etching the ridge (shown
in steps #1–5). The ridge etch can be just a wet chemical etch with only a pho-
toresist mask, or (more typically) involve intermediate steps of depositing masking
layers of oxide or nitride, patterning them with photoresist, and then using the oxide
as a mask for a dry etch. Dry etching has the advantage of making a more vertical
sidewall and being more controllable.
The next step is depositing some sort of dielectric insulation on the wafer, so the
metal layers to be deposited will not make electrical contact to the wafer except on
the ridge (steps #6–10). Then, contact metal is deposited and etched (steps #11–15),
leaving p-metal with an ohmic contact on the top of the p-ridge. Finally, a com-
pliant metal pad (typically much larger and thicker) is deposited on top of the
contact metal, to allow a place to make external electrical. Typically, the compliant
metal is Au (the resist deposition-pattern-develop-metal etch- resist remove steps
are omitted, as they are quite similar to the sequence for contact metal).
The wafer is then lapped, which means it is ground down to about 100 lm
thickness. Typically, this is done by fastening the front surface of the wafer to a
puck with wax, and grinding off the back surface until the thickness is as desired.
Thinning the wafer is required in order to be able to divide into reasonably sized
bars later.
272 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

The n-contact and compliant metals are then applied to the n-side. The wafer is
then annealed, to make good ohmic contact to the wafer.
There are additional steps which can be done. For example, sometimes the metal
on the n-side is then patterned, which requires an two-side alignment between the
metal on the back side and the metal on the front side, as well as the same
metal-deposition resist-deposition pattern etch remove cycle as shown in Fig. 10.12
for the p-contact and p-compliant metal.

10.6.2 Wafer Fabrication: Buried Heterostructure Versus

Ridge Waveguide

This book has been focused on lasers in general, but here we would like to focus on
the two common single mode laser structures—buried heterostructures and ridge
waveguide devices—the specific issues associated with both, and the particular
differences in fabrication.
Figure 10.14 on the left shows a buried heterostructure device on a 10-lm scale.
The heart of the device (the active region) is the small rectangle indicated by the
arrow. That is where the quantum wells and the grating layer lies. The filler around
it is InP (typically in an InGaAsP system) that serves to funnel the current injected
in the top into the relatively small active region. In this structure, the active region is
physically carved from the pieces around it.
The picture on the right show a completed ridge waveguide device. The ridge
waveguide device is much simpler to fabricate than a buried heterostructure device.
The basic fabrication consists of just a simple ridge etch, and the various etches,
dielectric deposition, and metallization.
The extra processes for buried heterostructures are shown in Fig. 10.15. Typi-
cally, the first step is etching away the mesa, often with a wet etch. Wet chemical
etching is thought to form a better, more defect-free surface for overgrowth than a
dry etch. The wafer is then put back into a metallorganic chemical vapor deposition,

Fig. 10.14 Left, a buried heterostructure laser; right, a ridge waveguide laser
10.6 Wafer Fabrication 273

Fig. 10.15 Fabrication process for buried heterostructure wafers

and the active region is overgrown. The process of this overgrowth serves to
planarize the wafer again, so that subsequent processes, like dielectric deposition,
metal deposition and patterning, can be done on a flat wafer.
It is the doping in the overgrowth that makes these overgrown layers into
blocking layers. Typically, these blocking layers are grown either undoped
(i) (which has very low conductivity compared to the doped contact layers) or
grown (from mesa upward) with a p-doped layer followed by an n-doped layer. On
top of that (now top) n-doped layer, the p-cladding layer of the laser is grown.
When that layer is positively biased, the junction indicated on the figure is reverse
biased, and little current can flow through it. The 10-lm-wide region at the top of
the structure shown can be biased, but current will still be funneled only through the
active region.
There are advantages and disadvantages to such a structure which are shown in
Table 10.1 and discussed below.
Buried heterostructure devices are certainly more complicated to fabricate. In
particular, these blocking layers have to be overgrown, which means the fabricated
wafer with mesas on it needs to be put back into the MOCVD and have new layers
grown upon it. The growth process has to be given low defect densities, or the laser
performance and reliability will suffer. In addition, this sort of blocking structure
often has reverse bias capacitance associated with the blocking layers, and as
discussed in previous chapters, this capacitance, along with residual resistance, can
impair the high speed performance.

Table 10.1 Advantages and disadvantages to ridge waveguide and buried heterostructure devices
Laser type Advantages Disadvantages
Ridge waveguide Easy to fabricate—no Lower current confinement
overgrowth Lower optical confinement
Generally worse DC L-I performance
Buried Better current confinement Overgrowth required
heterostructure Better optical confinement Parasitic capacitance associated with
Overall better performance blocking layers
Less reliable overall than ridge waveguides
274 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Additionally, it is difficult to get high-quality overgrowth of Al-containing

materials.
The advantages are the structure which does an excellent job of isolating the
current, and confining the light, to only the active region. Buried heterostructure
devices tend to be the highest performance devices in terms of slope efficiency and
threshold current.
The ridge waveguide structure shown on the right of Fig. 10.14 is a much
simpler structure. As discussed in Chap. 7, the waveguide is formed by the ridge
over a section of the active region. The optical mode sees a bit of the ridge, and so
the effective index of the optical mode is a bit higher under the ridge.
Fabrication is very simple, as illustrated in Fig. 10.13. The ridge is just etched
down to just above the active region (etching through the active region, leaving an
exposed surface and unterminated bonds, effectively introduces defects into the
active region.) Typically, an insulating layer like oxide is put down around the
ridge, and a hole is opened at the top of the ridge, exposing the contact layer, to
which metal contact can be made.
The current is then injected through the top p-cladding ridge directly into the
active region.
The trade-off for this straightforward fabrication process is that optical (and
current) confinement is not as good as with buried heterostructures, and often slope
and threshold are not as good.

10.6.3 Wafer Fabrication: Vertical Cavity Surface-Emitting

Lasers (VCSELS)

As long as we are discussing different common types of lasers, we had best briefly
mention the fabrication of vertical cavity surface-emitting lasers (or VCSELs), as
pictured in Fig. 10.16. Though they do not have a huge place in high-performance
telecommunication devices today, they do have significant advantages in both
fabrication and testing, and so it is appropriate to at least briefly describe them. At
some point, their natural disadvantages may be overcome, and they may become
the technology of choice.
Unlike the devices we have discussed before, VCSELs emit light in a vertical
direction normal to the wafer. The mirror is formed by Bragg stacks above and
below the active region.
To produce these structures on a GaAs substrate, first, alternating layers of GaAs
and AlAs are grown on the wafer through MBE or MOCVD. In this case, the layers
are grown to form a Bragg mirror (similar to what is shown in Fig. 9.5). AlAs and
GaAs have significantly different refractive indices, but remarkably, almost the
same lattice constant: Therefore, many pairs of layers can be grown one after
another to form a high reflectance bottom mirror, without creating dislocations.
Then, a thin active region of a few quantum wells is grown. Typically, the
quantum well region is centered in the optical center of the cavity. Another set of
p-doped GaAs/AlAs layers are grown on top of that region, and a round circular
10.6 Wafer Fabrication 275

Fig. 10.16 Left, view of a VCSEL mesa. The light is emitted out of the top and bottom. Right, a
schematic picture of a VCSEL. The mirrors are provided by many pairs of Bragg reflectors. From
Journal of Optics B, v. 2, p. 517, https://doi.org/10.1088/1464-4266/2/4/310, used by permission

region is etched to define the lasers in a region a few microns in diameter. Typi-
cally, a metal contact is put in a ring around the top of the device. Often an oxide
current aperture is formed in the top mirror stack by oxidizing the exposed AlAs
layers (making them non-conductive) so as to funnel current only to the center of
the device. The edges of the top Bragg stack are nicely exposed after the mesa etch,
and the usual tendency of Al-containing compounds to oxidize (thus making it
difficult to make reliable buried heterostructure Al-containing devices) is used to
advantage, by intentionally oxidizing Al to make it not conductive.
The advantages and disadvantages of VCSELs are shown in Table 10.2. Fun-
damentally, the advantages are that many more devices can be fabricated on a
wafer; they are intrinsically single lateral mode because the optical cavity is so
short; and, their far fields are inherently low divergence and couple nicely to an

Table 10.2 Advantages and disadvantages of vertical cavity surface-emitting lasers compared to
edge-emitting lasers
Laser Type Advantages Disadvantages
Edge-emitting lasers (both Overall higher Generally have to separate before
ridge waveguide and buried performance-slope, testing
heterostructures) temperature Much bigger—fewer devices per
wafer
Vertical cavity Easy on-wafer Limited generally to GaAs-based
surface-emitting lasers testing substrates (due to natural AlAs/GaAs
Naturally single mirror system)a and wavelengths
lateral mode <880 nm
Excellent far field Generally poor performance over
for coupling to fiber temperature
Generally lower power output
a
Many, many different versions of InP-based VCSELs have been realized in research laboratories.
However, as yet (2012) they do not have a market presence in long wavelength telecommunication
lasers
276 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

optical fiber. Their disadvantages are worse DC performance, as well as the very
major disadvantage, for telecommunications use, that there really are no natural
mirrors that match well to InP substrates.

10.7 Chip Fabrication

After the lasers have been fabricated, there are many more mechanical steps nec-
essary to turn this wafer, with thousands of devices on it, into thousands of
mechanically separated individual devices. The basic flowchart, starting with a
fabricated wafer, is shown in Fig. 10.17 (This is a typical process for edge-emitting
devices. Processes with surface-emitting devices like VCSELs are very different.).
As we will see in Sect. 10.8, there are substantial advantages in testing things as
soon as possible. Labor invested in bad chips has a cost. Hence, being able to
quickly identify that the wafer as a whole is below specification is advantageous. If
the wafer has to be fabricated into many chips that are individually tested and then
discovered to be below specification, then time (which is money) has been invested
into bad, unsalable product which has to drive up the cost of all of the remaining
devices which fall within the specification. Most companies find some way to do
some form of on-wafer testing.

Fig. 10.17 Chip fabrication flow, from fabricated wafer to packaged chip. See text for discussion
of various points on the process
10.7 Chip Fabrication 277

This may be as simple as testing the electrical (metal) connections or the I-V part
of the LIV curves ranging up to nearly full device performance tests.
After the wafer test results are done, if the results merit it, the wafer is typically
divided into bars. These bars are cut out of the wafer through the process of scribing
and cleaving. First, a small scratch is made on the wafer surface, parallel to one of
the wafer planes. Then, the wafer is snapped along the scratch line, cleaving along
one of the crystal planes. In Fig. 5.9, the scribed (rough) and cleaved (clean) areas
can be clearly identified. The cleave is very important to form an optical quality
facet on the edge of the device. For the bar to cleave properly, the optical cavity has
to parallel to one of the wafer planes.
The necessity to cleave is one reason the wafer must be lapped (thinned) down to
about 100 lm. In order to get 200–300-lm-wide bars reliably, the wafer should be
about as thick as the bar width. In addition, the thin wafer aids in the heat removal
from the device. InP (and GaAs) has much poorer thermal conductivity than the
metal layers that will be put on top of them.
The bars are then facet-coated: A layer or layers of some dielectric material are
put on the facet to either reduce or enhance the reflectivity and engineer the
emission from the device. For a distributed feedback laser, this facet coating has the
purpose of killing the Fabry-Perot modes, so the only optical feedback is the
wavelength-sensitive grating feedback. For a Fabry-Perot device, the coatings
engineer the emission so that most of the light going out comes out the front end
and is coupled to the fiber. A modest amount of light (*15% typically) is coupled
out the back and used to monitor the amount of light from the front facet in situ.
After facet coating, the bars can be tested again. At this stage, things like
side-mode suppression ratio (SMSR) and threshold current can be reliably tested.
The passing chips on the bar are usually packaged onto a sub-mount, which is a
small piece of alumina or aluminum nitride with metal traces on it. The sub-mount
often has provision for mounting a back-facet-monitoring photodiode. Once
mounted on sub-mounts, high speed tests can be done; however, since it is not yet
hermetically sealed, very low temperature tests are not possible due to condensation
of water onto the cooled facet.
Finally, sub-mounts passing that test are packaged into device packages, shown
at the end of Fig. 10.16. Then the devices can be given full performance testing,
including over temperature.
Some performance parameters of the lasers (such as side-mode suppression
ratio) are tested on every fabricated device, as they can vary a lot from device to
device from the same wafer. Other performance parameters (e.g., bandwidth) are
‘guaranteed by design’ and are tested only on a sample basis.
278 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

10.8 Wafer Testing and Yield

After the laser chip is fabricated and before it is sold to a customer, it needs to be
tested. Semiconductor laser yields are nothing like integrated circuit yields, and
every single device needs to be tested, to verify that it meets all the product
specifications.
For a successful commercial operation, laser testing is very important. Unlike
strictly electronic devices, semiconductor lasers vary significantly from device to
device. Some of this variation is fundamental (e.g., from random facet phase in
distributed feedback devices), and some of it is simply due to the extreme sensi-
tivity of these optical devices to material quality.
A successful company that is trying to manufacture devices needs to reduce the
costs as low as possible, and one of the ways to do that is through intelligent testing.
Testing devices (particularly, packaging for testing) does cost money. It is
beneficial to find bad chips as early as possible before they have been packaged. As
an extension to that idea is that if it is possible to test things on a wafer, do that and
avoid the labor of cleaving off bars and testing them, or mounting chips on
sub-mounts to test them. The point is that testing does both cost money and time,
and testing capacity can also be a bottleneck for the number of chips produced.
One simple useful concept here is the idea of yielded cost: How much does a
good wafer or laser chip cost? The yielded cost Y.C. is defined as the cost C of the
operation divided by the yield of the operation, as

Y:C: ¼ C=yield ð10:4Þ

For example, if it costs $10 to package a laser in a TO can, and the yield when
tested to the TO can specification is 80% (0.8), then the yielded cost per good
device is $12.50. To make 80 good devices, you will have to package 100 at a cost
of $10/each, and so, it will cost $12.50/each per every good one. If the yield can be
reduced on the per/wafer steps to be increased on the/chip step, it is almost always a
worthwhile trade-off.
An example of this sort of optimized testing is illustrated in Table 10.3. The
numbers in the table may be outdated, but the idea is clear. If a bad wafer can be
identified early and discarded, the cost of chips eventually produced is reduced.
In the first method, every wafer is divided into chips, and every chip is tested,
while in method B, wafers which are projected through some means to have a lower
yield (perhaps their contact resistance is higher) are simply discarded. Here, just
throwing out wafers which would have a lower yield and making another wafer
lowers the cost of each final package by 10%.
In addition, there are often opportunities to eliminate expensive tests (like, tests
over temperature) in favor of finding correlations (like room temperature
measurements).
10.9 Reliability 279

Table 10.3 Illustration of two different strategies of laser testing

Step Method A Method B
Cost Yielded cost Cost Yielded cost
Wafer fab + test $5000 (100%) $5000/wafer $6000 (80%) $7500/wafer
Device fabrication $30 (80%) $37.50/chip $30 (80%) $37.50/chip
Device test $50 (28%) $178.57/chip $50 (35%) $142.85/chip
Total yielded cost/chip $216 $180
Method A does not do on-wafer testing, and so has a slightly lower average yield than method B,
which does on-wafer testing and eliminates 20% of the wafers but results in a higher chip test yield

10.9 Reliability

In addition to performance tests, like threshold, slope efficiency, side-mode sup-

pression ratio, and the like, semiconductor lasers must have a certain reliability in
order to be sold commercially. This means that they are at least expected to perform
within specifications for some given lifetime. Guaranteeing this (or at least, assuring
the likelihood of it) is a major effort and part of the quality that goes into semi-
conductor devices.
In this section, we briefly describe the process by which laser reliability is
quantified. To illustrate the idea, we will walk the reader through an analysis of
laser reliability, though the specifics of the procedures followed vary company to
company.

10.9.1 Individual Device Testing and Failure Modes

It is impossible of course to directly test whether a laser will last for 10 or 25 years or
any reasonable nominal lifetime. To indirectly test this, laser companies typically do
accelerated aging tests, in which devices are operated continuously at levels well above
its normal operating characteristic. For example, a sample of lasers intended for cooled
use at around 25 °C might be tested at 85 °C. The devices are kept at 85 °C for months
and months and during that time, the current required for fixed power output, or the
power output for fixed current, is monitored. Additionally, device aging can be
accelerated by operating at currents significantly above specified operating currents.
Since there is substantial variation from device to device, typically a few samples
of a particular device are used, and aging rates from each device in a sample are
computed.
Lasers have different failure modes. Most of the devices in Fig. 10.18 are shown
experiencing wearout failure, which is a gradual performance degradation attributed to
the accumulation of defects in the active region. This manifests as an increase in the
current required for fixed power, or a decrease in the power output for fixed current
over thousands of hours. The rate of degradation can be modeled as a %/khr.
280 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Fig. 10.18 Aging data from

a sample of lasers. Aging
conditions are typically much
harder than operation
conditions and are
extrapolated down to
operating conditions to
predict reliability there

Also shown in Fig. 10.17 is an example of random failure. In these failures, the
laser very suddenly fails by a mechanism not due to gradual defect accumulation.
The root cause of these failures is defects, which are often created at regrown
interfaces (like the blocking layers in a buried heterostructure devices). The growth
of these defects and encroachment into the active region as dislocations can often be
observed in transmission electron microscopy (TEM) measurements after failure.
Figure 10.19 shows some TEM images taken through the plane of the grating in
a buried heterostructure device. Dislocation loops are seen going from the regrown
interface to the active region of the device. This is one of the weaknesses of buried
heterostructure devices, which are less reliable than ridge waveguide devices
because of the proximity of the blocking layer regrown interface to the active
region.
Sometimes devices suddenly fail due to damage to the facet from catastrophic
optical damage. With catastrophic optical damage, the facet absorbs some light,

Fig. 10.19 Top view of the ridge shown in transmission electron microscopy, illustrating the
growth and propagation of a dislocation network. These dislocation networks gradually (or
suddenly) degrade the performance of semiconductor lasers
10.9 Reliability 281

Fig. 10.20 Catastrophic optical damage on a laser facet

creating heat and causing defects on the facet, which leads to more absorption, and
can lead to a positive feedback mechanism in which the facet rapidly melts, and the
laser fails. A before and after picture of catastrophic facet degradation is shown in
Fig. 10.20.
Sometimes these sudden failures are due to failures in the various external layers
of oxide and metal that make up the device, or sometimes they just remain
unexplained.
The third category is sometimes referred to as infant mortalities; occasionally,
the devices fail suddenly after a few tens or less of hours of operation. Lasers are
screened for this by operating devices at a highly stressed condition (high tem-
perature or power) for a day or so, and then measuring the change in device active
characteristics over the course of that time. Usually, these burn-in characteristics
correlated to the long-term aging characteristics and can be used as a quick test of
the device’s expected reliability.

10.9.2 Definition of Failure

In this next couple of sections, it is the wearout failure mechanism that is being
discussed. For analysis of reliability in a wearout mechanism, there has to be a
definition of failure. Typically, the definition is based on an increase in operating
current or decrease in power. For example, a ‘failure’ could be defined as 50%
decrease in output power for a given current. Lasers all experience some level of
degradation as they operate. The general operating requirements are not that the
lasers maintain their initial specifications (for maximum threshold, minimum slope,
and the like) over their lifetime; instead, the requirement is that they not degrade too
rapidly.
282 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

10.9.3 Arrhenius Dependence of Aging Rates

From Fig. 10.18, the aging rate can be quantified in % per khr. This aging rate, AR,
is a temperature-driven Arrhenius process, such as

AR ¼ A0 expðDEa =kT Þ ð10:5Þ

where k is Boltzmann’s constant, T is the temperature (in K), and DE is the acti-
vation energy, which is typically of the order of electron volts (eV).
To find the particular activation energy, the aging rate can be measured at more
than one temperature, and the relationship between the median aging rates at dif-
ferent temperatures can be used to determine the activation energy. Knowing the
activation energy allows us to calculate the aging rate at a lower temperature from
the measured aging rate at higher (accelerated) temperature.

Example: At 85 °C, the median aging rate of a set of sam-

ples is 1.2%/khr, and at 60 °C, it is 0.15%/khr. What is
the activation energy?

Solution: AR85C/AR60C = exp((−DEa)(1/(8.6  10−5 eV/K)

1/(85 + 273) − 1/(60 + 273))) = 8, so ln(8)(8.6  10−5)
* (1/(85 + 273) − 1/(60 + 273)) = 0.4 eV.

Values of 0.4–0.8 eV are typical of what is measured for wearout failures.

There are other ‘acceleration factors’ such as drive current and optical power which
can also affect device degradation and wearout factors and are sometimes included in
aging analysis. With models like this, they can predict expected aging rate at an operating
point current from measured aging rates at one operating point (see Problem 10.4).

10.9.4 Analysis of Aging Rates, FITS, and MTBF

Analysis of aging rates starts by testing a set of samples at some accelerated

condition, as shown in Fig. 10.17. The degradation of each device under test is
measured, and a failure criterion is defined. From there on, the data set is analyzed
statistically to determine the quantitative reliability of the device. Reliability is
measured in Mean Time Before Failure (MTBF) and in Failures In Time (FIT),
which is the total number of device failures in 109 device-hours of operation.
The statistical model which is usually used is that the MTBF and the aging rates
are described by a lognormal process, in which the log of the relevant quantity
follows a normal distribution.
The process is best illustrated with example.
10.9 Reliability 283

Fig. 10.21 Measured aging rates at 100 °C, along with calculated rates at 50 °C from activation
energy and differences in temperature

To start with, let us look at the collection of aging rates of a sample of devices
undergoing accelerated aging. Figure 10.21 shows the measured aging rates at
100 °C along with the rates calculated at 50 °C with Eq. 10.5. This plot is called a
lognormal plot, in which the log of the aging rate (y-axis) is plotted against the
standard deviation of the log(aging rate) function. On such a plot, the measured
aging rates should be roughly linear and cross the 0 sigma at the mean.
Calculation of the reliability takes place at the hypothetical operating conditions,
which in this case are uncooled devices hypothetically operating at 50 °C. The
degradation rates are first calculated at the operating conditions though Eq. 10.5.
Subsequent details of the analysis are illustrated in the example below.

Example: From the set of data shown in Table 10.4 (and

graphed in Fig. 10.21), calculate the MTBF and the FITs.
The devices are uncooled lasers with an expected life-
time of 10 years and an activation energy for aging of
0.4 eV.
Solution: Table 10.4 contains some calculated data and
some measured data.
The left column is the measured degradation rate,
which ranges from 0.5 to 2.7%/khr in this sample of 14
devices tested. The aging rate at 50 °C is calculated
from Eq. 10.5 from the aging rate at 100 °C. The total
aging (column 3) is the aging rate * khr in the specified
ten-year lifetime. The power at fixed current is expected
to decline by between 5 and 34% among this set of devices.
Degradation follows a lognormal distribution. The
next step in the analysis is to take the natural log of the
total aging (column 4) and measure its average and
284 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Table 10.4 Aging data on some sample devices

Aging rate (100C) %/khr Aging rate (50C) %/khr Total aging Ln
(rate * khr) (aging)
0.5 0.07 6.36 1.85
0.6 0.09 7.63 2.03
0.7 0.10 8.90 2.19
0.8 0.12 10.17 2.32
0.9 0.13 11.44 2.44
1 0.15 12.71 2.54
1.2 0.17 15.25 2.72
1.54 0.22 19.58 2.97
1.54 0.22 19.58 2.97
1.61 0.23 20.47 3.02
1.84 0.27 23.39 3.15
2.36 0.34 30.00 3.40
2.48 0.36 31.52 3.45
2.67 0.39 33.94 3.52

standard deviation. In this case, the average is 2.75,

with a standard deviation of 0.54.
The lognormal average is 2.75, which means a total
average aging of exp(2.75) or 15.6%. The lognormal
average aging rate is 15.6%/87.6 khr, or 0.17%/khr. If
‘failure’ is arbitrarily defined as a 50% decrease in
output power, then MTBF = 50/0.17 = 294 khr, or about
34 years.
The ln of the failure condition (50%) is 3.9. In terms
of standard deviation, that is about (3.9 − 2.54)/0.54
or 2.13 standard deviations from the mean.
The tabulated Gaussian Cumulative Distribution Func-
tion (CDF) is listed in terms of a dimensionless param-
eter Z, which is the number of standard deviations away
from the mean. The cumulative number of failures (1 − CDF
(2.13)) is 1.65%; 1.65% of the devices are expected to
fail over their lifetime. Finally, the number of devices
failing in a total of 109 device-hours can be determined
by calculating how many devices are needed. The time of
109 device-hours represents 11,000 devices each oper-
ating for a lifetime (defined as 10 years, or 87.6 khrs).
If 1.65% fail, that represents 188 individual failures
in total 109 h, or 188 FITs.
10.9 Reliability 285

As can be seen, both MTBF and FITs depend very strongly on both the median
aging rate and on the distribution of aging rates. A narrow distribution (or low
standard deviation) with a slightly higher average can give better reliability than a
low average with a broader distribution.
Typical values range around 100 FITs (for uncooled devices) down to 10 or 20
FITs for cooled devices.
The process here takes months and months of test time. Usually, this detailed
process is done once for a particular design, and then long-term aging results are
done intermittently thereafter. Typically, reliability is monitored by short-term
aging (a week or two) on a sample of devices from each wafer. Correlations have
been established that allow degradation results over *200 h to project how the
device will perform in long-term reliability.
Different variations on the methodology are followed by different companies.
The reliability reports detailing the testing and analysis methodology, and the result
in MTBF and FITs, are often used to convince the customer of the quality of the
production process and the final product.

10.9.5 Electrostatic Discharge and Electrical Overstresses

In addition to meeting performance qualification, and reliability testing, lasers are

tested to tolerate a certain amount of electrostatic discharge, which they could
encounter during packing and handling. Typical test methodology involves testing a
small sample of devices with progressive higher electrostatic discharge, until a
device fails by demonstrating a significant shift in threshold, slope, or other
operational characteristics.
The electrostatic voltage they can tolerate scales with the area of the device. For
typical 200 lm edge-emitting devices, it is on the order of a thousand volts. Often,
the devices are more tolerant of forward voltage than reverse voltage.
The failure of devices under electrostatic discharge can be dramatic. Fig-
ure 10.22 shows several different devices, after having exceeded the electrostatic
discharge threshold. Even tested in reverse bias, the devices tend to be vulnerable at
the facets, as seen.

Fig. 10.22 Some examples of the damage caused by electrostatic discharge and electrical
overstress, on the (left) mesa, (middle) facet, and (right) ridge of a laser
286 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

Typically, these are tested on a representative batch of devices to qualify a

particular design. An electrostatic discharge threshold is set, saying that electrostatic
voltages below this number do not harm the device.

10.9.6 Optical Overstress and Snap Test

To qualify the laser facet, devices are often put through an optical snap test, in
which the current in the laser is ramped up briefly to a very high value. The purpose
is to induce a very optical power level through the facet. Defects in the facet coating
can lead to absorption in the light, creation of heat at the point and damage of the
facet and facet coating.

10.10 Design for …

It is appropriate here to consolidate all the information discussed here and talk
about how to design lasers. The focus of course is on the process, rather than the
outcome, as requirements for lasers change continuously. By comparison of a
couple of typical requirements, we can get a sense of what qualities can be
important and the sorts of knobs that can be turned to determine the output.
The knobs that can be turned with laser design are subtle. Variables are things
like device length and width, number of quantum wells, grating strength, doping
profile. More detailed knobs include precise control of the grating profile. The
outputs are things like power, performance over temperature, and bandwidth.

Table 10.5 Some tools useful for semiconductor laser modeling, as of 2019
Tool Function
RSOFT Various modules spanning component design (thermal, optical, electrical)
Crosslight through optical communication systems. Optical mode propagation and
Suite modeling
PhotonDesign
Suite
Lumerical
Suite
VPIphotonics Modeling of laser output characteristics and transmission systems
TFCalc Optical thin film reflectivity design tool
Laparex Models output spectra of distributed feedback lasers
GLaparex Models output spectra of distributed feedback lasers, including partial
gratings, quarter-wave shifts
10.10 Design for … 287

10.10.1 Design Tools

There are many design tools available which model laser performance to varying
degrees of detail. Table 10.5 shows a couple that the author has used. In the
author’s experience, even the best tools do not perfectly capture a laser design;
these are not digital silicon simulations. However, with experience they can indicate
trends and be very useful in reducing the number of iterations necessary on a
particular design.
While tools cannot replace actual experiment, neither can experiment replace
tools. They are indispensable for narrowing down design space and low-cost iter-
ation over many designs.

10.10.2 Design for High Speed Directly Modulated Lasers

In general, design for high speed looks something like the SEM shown in Fig. 9.6
and sketched in Fig. 10.23. Typically, the structure has many quantum wells (eight
or more) to increase the differential gain. The separate confining heterostructure is
relatively thin and often doped, to facilitate transport to the quantum wells. The
cavity itself is short, to increase the photon density for given current injection while
maintaining minimal capacitance and low photon lifetime.

Fig. 10.23 Left, a qualitative sketch of a device design for high power with fewer quantum wells,
larger separate confining heterostructure region, and reduced doping. Right, a qualitative sketch of a
laser design for high speed, including many quantum wells for high differential gain, thin separate
confined heterostructure regions for low transit time, and sometimes p-doped quantum wells
288 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

For buried heterostructure lasers, the blocking structure is designed as narrow as

possible around the active region. It is often I-N, rather than P-N, to reduce parasitic
capacitance.
All of these enable bandwidths well over 20 GHz in directly modulated lasers.

10.10.3 Design for High Power

High power lasers are important for silicon photonics and externally modulated
devices. In silicon photonics, typically modulation and other functions are performed
by the silicon, but the light has to be coupled onto and off of the silicon. Because the
size of silicon waveguides is much different than laser waveguides, the loss involved
in the coupling is quite significant, and so the laser power has to be quite high.
In high power, what matters is minimizing optical absorption and thermal
effects. Absorption tends to scale with number of quantum wells, so typically higher
power lasers are made with as few quantum wells as practical. The separate con-
finement heterostructure region is thicker than in a high speed device, as the larger
separate confinement region keeps the optical mode away from the higher doped n-
and p-contact regions.
Reduction in absorption has several beneficial effects. As a first order benefit, it
allows more photons out per carrier in. As a second order benefit, since an absorbed
photon often reappears as heat, reduced absorption means lower heating in the device.
The heating and thermal rollover limit the ultimate power achievable out of the device.
Typically, the devices are much longer than high speed devices. A low ab-
sorption device is much easier to scale to longer lengths, and at longer lengths, the
same power occurs at a lower current density and with less thermal rollover.
A sketch comparing typical high speed and high power lasers is shown in
Fig. 10.23. The main point is simply to illustrate the idea that different applications
lead to different basic design emphasizing different qualities. High speed lasers
emphasize low capacitance and detuning for high differential gain; high power
lasers emphasize low absorption and large size for low thermal rollover.

10.10.4 Design for Low Linewidth

A third major category of applications are the lasers used in coherent communication
systems (which will be covered in Chap. 12). These lasers are generally used with
external amplitude and phase modulation, and their major design consideration is
very low linewidth (or, said alternatively, a very pure single mode spectral signal).
In general, these devices are external cavity or sometimes, integrated distributed
Bragg reflector lasers. Integrated gratings tend to have much higher linewidths.
Detailed design of these sorts of devices is not covered here, but good lasers for
coherent communication tend to have linewidths well under a MHz, often under
100 kHz.
10.10 Design for … 289

10.10.5 Design Over Temperature

Devices designed to be cooled, and operated at a fixed temperature, are typically

designed for optimal performance at that operating temperature. Directly modulated
distributed feedback lasers, which have higher differential gain when negatively
detuned, are designed negative negatively detuned at the operating temperature. For
devices designed to operate over temperature, the entire range of operation is
considered. Typically, detuning at room temperature is set to maximize perfor-
mance (e.g., threshold current) at the worst-case temperature, often high
temperature.
Figure 10.3 indicates the general idea; as the temperature increases, for dis-
tributed feedback lasers, the lasing wavelength changes slowly (*0.1 nm/°C),
while the gain peak beneath changes more rapidly (*1 nm/°C). The detuning
between the gain peak changes with temperature, and this must be taken into
account in designing a device to be used over temperature.

10.11 Summary and Learning Points

A. A major reason for distributed feedback devices is to obtain better quality
long-distance transmission.
B. The quality of long-distance transmission is measured though a dispersion
penalty, or difference in signal power required for same signal quality over fiber
vs. back-to-back.
C. Typical specifications for dispersion penalty are 2 dB power penalty over
operating conditions.
D. The temperature has a strong effect on the emission wavelength of Fabry-Perot
semiconductor lasers. The bandgap and hence lasing wavelength increases by
about 0.5 nm/°C.
E. The temperature also affects the emission wavelength of distributed feedback
lasers, but only by about 0.1 nm/°C.
F. The temperature effect on emission wavelength can be used to tune the emis-
sion wavelength of the devices. For that reason, cooled wavelength division
multiplexing devices usually can span two or three channels depending on the
operating temperature selected.
G. Temperature also affects the DC properties, including the threshold current and
the slope efficiency.
H. The effect of temperature on threshold is quantified by a phenomenological
constant T0 which quantifies the exponential dependence of threshold current
on temperature.
290 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

I. For better high temperature performance, lower T0 is better. Typical values for
InGaAsP materials are about 40 K; typical values for InGaAlAs are 80 K or
more. Because of that, InGaAlAs is the material of choice for uncooled devices.
J. Laser fabrication processes are outlined in Sect. 10.4.
K. Buried heterostructure devices and distributed feedback devices require
regrowth (growth on patterned wafers) which makes them significantly more
complicated than ridge waveguide devices, which do not require regrowth.
L. Buried heterostructures devices are generally slightly higher performance than
ridge waveguide (in threshold and slope) but have additional parasitic
capacitance.
M. Gratings in distributed feedback devices can be done with wafer-scale inter-
ference lithography, but are also done by wafer level e-beam lithography.
E-beam lithography allows every device to have quarter-wave shifts and much
improved single mode yield.
N. Vertical cavity devices are smaller, inherently single mode, and are easier to test
on wafer; however, there is not yet a good commercial technology for longer
wavelength (>900 nm) vertical cavity devices.
O. Device testing is done to guarantee that fabricated devices meet specifications.
The testing is usually designed to find failing devices, or wafers, as early as
possible.
P. In addition to tests of laser device characteristics, device reliability is also tested
through accelerated aging, in which the laser is exposed to conditions far in
excess of typical operating conditions in order to expose reliability failures
early.
Q. Lasers have several failure modes, including infant mortality (sudden abrupt
failures early), random failures (sudden failures which can occur at any time),
and wearout failures which have to do with gradual performance degradation.
R. Laser aging rates follow a lognormal distribution, in which the log of the aging
rates follows a normal (Gaussian) distribution.
S. Laser reliability is described by MTBF (Mean Time Before Failure) and FITs
(Failures in Time, or failures in 109 device-hours).
T. Laser devices are also tested for electrostatic discharge tolerance, and for facet
power handling capability.
U. Design considerations for typical laser devices used in communications include
design for high speed, design for high power, and design for low linewidth.
Each of these feature different trade-offs.

10.12 Questions
Q10:1. Dispersion is often compensated for in practice by dispersion-compensation
links (lengths of fiber which are engineered to have a negative dispersion that
will compensate for the positive dispersion experience on ordinary fiber.) Why
can’t these links be used to eliminate dispersion considerations altogether?
10.12 Questions 291

Q10:2. In fabrication described here, the grating used is buried within the device.
Is it possible to put a grating on the surface of a device, and if so, what
would be the advantages and disadvantages of it?
Q10:3. Would you expect a device designed with more highly strained layers to be
more or less reliable than a device with less strained layers?
Q10:4. We note that the detuning reduces as the temperature reduces, to the point
where a 20–30 nm detuning at room temperature can become 0 nm or
negative at −20 °C. We also notice that the dynamics and high speed
performance get worse as the detuning gets smaller. Do you expect this to
be a problem in practice (e.g., for an uncooled device operating at an
abandoned substation in the Arctic)?
Q10:5. What sort of problems would the reliability test not detect?
Q10:6. Why is the wearout failure rate in FITs so much less for dense wavelength
division multiplexed devices than for uncooled devices?

10.13 Problems
P10:1. A typical specification for an uncooled telecommunication is Ith < 50 mA at
85 °C. If the T0 of that particular laser is typically 45 K, what should the
measured Ith be at 25 °C to be 50 mA or less at 85 °C?
P10:2. This problem discusses the maximum length that a 1480 nm laser with a
chirp of 0.2 Å can transmit over optical fiber at 2.5 Gb/s, while maintaining
a dispersion penalty less than 2 dB and optical loss of <30 dB. The fiber
characteristics are losses of 0.5 dB/km and dispersion of 10 ps/nm/km at
1480 nm wavelength.

i. What is the maximum dispersion limited length?

ii. What is the maximum loss-limited length?
iii. 1.55 lm electro-absorption modulators typically can transmit up to
600 km dispersion limited transmission under the same conditions.
What is their typical spectral width?
iv. How do 600-km transmitters overcome the fiber attenuation?
v. A far better natural choice for high speed transmission would be a
directly modulated 1.3 lm device, with no dispersion. Why aren’t
1.3-lm devices used for high speed long-distance transmission?

P10:3. Two different samples of ten devices each were put on accelerated aging
tests, one at 85 °C and one at 60 °C. The one at 85 °C had a median aging
rate of 2%; the one at 60 °C had a median aging rate of 0.4%. Calculate the
activation energy appropriate for the accelerated aging.
292 10 Assorted Miscellany: Dispersion, Fabrication, and Reliability

P10:4. According to a JDSU White paper,3 the random failure rate, F, is given by
   n  m
Ea 1 1 P I
F ¼ F0 exp   ; ð10:6Þ
kn Tj Top Pop Iop

where the subscript op is at the operating conditions testing, P is the optical

output power, and I is the current. Take m = n = 1.5. If the FIT rate due to
random failure at the tested condition of T = 85°C, I = 50 mA, P = 2 mW
is 5000, calculate the FIT rate at T = 60 °C, P = 2 mW, I = 35 mA.
P10:5. A population of devices has an lognormal average rate of −2.9 (a rate of
0.055) and a lognormal standard deviation of 0.55 at its nominal operating
temperature of 25 °C. Calculate the FITs in a 25-year lifetime and the
MTBF.
P10:6. In the text, we state that the shift in lasing wavelength in distributed
feedback lasers is 0.1 nm/°C. What fraction of that is due to thermal
expansion of the lattice (for InP, the thermal expansion coefficient is
4.6  10−6/°C)?

3
http://www.jdsu.com/productliterature/cllfw03_wp_cl_ae_010506.pdf, current 9/2013.
Laser Communication Systems I:
Amplitude Modulated Systems 11

The gull sees farthest who flies highest.

—Richard Bach, Jonathan Livingston Seagull

Abstract
Optical communications have gone to levels that were barely imagined twenty
years ago. OC48 (2.5 Gb/s) is a thing of the past, and current state of the art
commercial modules can deliver 100–400 Gb/s onto a fiber. In this and the
following chapter, we outline how these rates have been achieved, both in
high-speed device development and in an overview of the modern coherent
communication formats. In this chapter, we give a brief history of optical
communications, from where things were back in the mid-1990s to where they
are today, and the evolution from directly modulated to externally modulated to
coherent formats. We will also go into the details of the various
amplitude-dependent formats and describe some of the physical mechanisms
used for external modulation. We also briefly describe photodetectors used for
communications.

11.1 Introduction

In this and the next chapter, we fly high and look at the communication system into
which the laser goes. In the previous chapters, we have covered many of the details
that define semiconductor lasers in communications: we have talked about stimu-
lated emission, material families and their plusses and minuses, distributed feed-
back devices and many, many other topics. Beautiful and interesting these topics
are, but in fact, they are specific details of the semiconductor lasers for commu-
nications and subordinate to the requirements of the communication systems.

© Springer Nature Switzerland AG 2020 293

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_11
294 11 Laser Communication Systems I: Amplitude Modulated Systems

We introduce the reader to the many different sorts of communication formats

used in optical communication system. The requirements of the formats actually
drive the individual laser requirements. Presenting it here is a good overview and
review of the potential of semiconductor lasers in communications.
In addition to talking about the formats, we would also like to provide a working
overview of the major technologies (in addition to lasers) that enable the specific
formats. We are moving beyond laser modulation into the realm of communica-
tions. After being in the weeds for the previous ten chapters, let us soar above and
examine the entire system.
The approach will be the following. First, we will talk about the various tech-
niques for increasing communication bandwidth and the various technologies
which enable them. The techniques are mostly forms of multiplexing to put a
greater number of individual wavelength channels onto a fiber. Then, we will talk
about various communication formats which let higher data rates transmit at lower
noise on each given channel.

11.2 Evolution of Optical Speed

The diagram of Fig. 11.1 below indicates the evolution of optical speed over time
with a picture of the enabling technologies.
The question to be asked and answered in this chapter is ‘How did this happen’?
How did we go from data rates of 2.5 and 10 Gb/s to fiber data rates at more than a
Terabyte (Tb/s)?

11.3 Evolutionary Changes

Most of the answer is provided in the chart in Fig. 11.1, with this chapter filling in
some details. They represent several paradigm shifts in the goal of achieving
ever-greater speed.
In the 1990s and early 2000s, the focus was on development of single devices
with modulation speeds of 2.5 and 10 Gb/s, which met the current need for fiber
bandwidth. These directly modulated lasers provided sufficient bandwidth for the
time, and there was always in the back of the mind of the industry the idea that
many channels at these speeds could be multiplexed for an automatic bandwidth
multiplier.
In the 2000s, this multiplexing explosion happened, and dramatic increases in
fiber bandwidth were achieved by wavelength division multiplexing. In this way,
fiber bandwidths of up to 1 Tb/s were accomplished.
However, individual directly modulated lasers ran into limits associated with
dispersion as well as speed. Speed was intrinsically limited by the laser physics
discussed in Chap. 8. Because direct modulation inherently introduced a chirp into
11.3 Evolutionary Changes 295

Fig. 11.1 Optical fiber data rate vs time along with the dates of the enabling technologies. The
dramatic increases enabled both by dense wavelength division multiplexing, and by coherent
detection, are clearly indicated. After NTT Technical Review, vol. 15, no. 2, Feb, 2017

the optical signal, the dispersion-limited transmission distance was also limited to
roughly 100 km for 2.5 Gb/s.
In an effort to overcome both the intrinsic speed limit and the dispersion limit,
externally modulated technologies were explored. These technologies included
electroabsorption modulators and Mach–Zehnder modulators and offered higher
modulation speeds with lower dispersion penalties. These technologies used a laser
source that was continuous wave (CW) (unmodulated) coupled into a modulator.
After 2010, the focus shifted toward encoding. Borrowing techniques from
coherent encoding from wireless technologies, information was encoded in both the
amplitude and the phase of the optical signal. This allowed much more information
to be communicated with the same physical symbol modulation speedrate. Methods
based on these which require recovery of the optical phase are referred to as optical
coherent communication methods.
The development of laser communications then can be loosely divided into
several epochs:

• The directly modulated epoch, in which the laser itself was modulated; roughly
the 1990s.
• The wavelength division multiplexing epoch, in which many more channels of
directly modulated devices began to be put on to the fiber; roughly late
1990s-early 2000s. Development also included externally modulated devices,
which took individual transmitters from 10 to 40 Gb/s with reasonable distance.
• The coherent epoch, in which both the phase and amplitude of the optical signal
carry information, and many more bits are packed into each change of the
physical characteristics.
296 11 Laser Communication Systems I: Amplitude Modulated Systems

These next chapters will give an overview of these developments.

The details of directly modulated devices have been covered in Chap. 8. Below
we will cover multiplexing and then external modulation, and in Chap. 12, describe
coherent networks.

11.4 Multiplexing

In previous chapters, in the discussion of laser modulation speed, we showed some

bit patterns at 10 Gb/s generated by an individual device. Currently, transmission
through a single-mode fiber can be of the order of Tb/s. In the section that follows,
we discuss some of the simple methods in which that can be achieved.

11.4.1 Wavelength Division Multiplexing

The compelling advantage to optical communication is the enormous bandwidth

that can be fit through a conveniently sized optical fiber. Because the wavelength is
so small, the fiber can be small; again, because the wavelength is so small, the
electromagnetic frequency is very high, and so an enormous amount of bandwidth
and information can be transmitted on each wavelength.
An examination of the fiber characteristics in Fig. 1.3 shows the minimum loss
at 1550 mm but relatively low loss from 1480 to 1620 nm. It also shows minimal
dispersion at 1310 nm but relatively low dispersion around 1310 nm. If each
wavelength can carry roughly the order of 10 Gb/s of information, the simplest way
to increase bandwidth is to transmit information on many different wavelengths.
To enable different systems to work together, the International Telecommuni-
cation Union has established standards for sets of wavelengths used for commu-
nication. The standards are illustrated in Table 11.1. There are actually two different
standards in use. The Coarse Wavelength Division Multiplexing Grid (CWDM) is
intended for use with uncooled lasers. The spacing between channels is nominally
20 nm starting at 1271 nm. This spacing is large because (as we have seen) laser
wavelength can drift significantly with temperature.
The denser grid of Dense Wavelength Division Multiplexing (DWDM) is
intended for temperature-controlled lasers. The channel is specified by frequency,
not wavelength: the allowed frequency values are given by

fn ¼ 193:1 þ n  D; ðTHzÞ ð11:1Þ

where fn is the frequency of a given channel, Δ is the frequency spacing, and n is an

integer determining the channel number (positive, negative, or 0). For these tables,
the relationship between frequency and wavelength is given by
11.4 Multiplexing 297

Table 11.1 Wavelength bands for CWDM (a, specified by ITU 652.2), and DWDM (b, specified
by ITU 652.1)
a. CWDM channel spacinga
Wavelength Frequency
(nm) (THz)
1271 235.871
1291 232.217
… …
1671 179.409
b. DWDM channel spacing (Δ of 100, 25 GHz)b
Wavelength, 100 GHz Wavelength, 25 GHz Frequency
(nm) (nm) (THz)
… … …
1551.7208 1551.7208 193.200
1551.9216 193.175
1552.1225 193.150
1552.3234 193.125
1552.5244 1552.5244 193.100
1552.7254 193.075
1552.9265 193.050
1553.1276 193.025
1553.3288 1553.3288 193.000
… … …
a
CWDM spacing is in wavelength, from 1271 to 1671 nm in 20 nm steps
b
DWDM specification is in frequency, centered at 193.1 THz and width channels at
193.100 THz + n * Δ, where Δ is the assigned spacing, and n is a positive or negative integer.
The channel spacing Δ can be as low as 12.5 GHz

f ¼ c=k ¼ 2:99792458  108 m=s=k ð11:2Þ

where c, of course, is speed of light in vacuum. Table 11.1, below, shows some of
the values for the WDM grid.
A major advantage to semiconductor lasers is the ability to readily make lasers
with so many different, precisely targeted wavelengths. By engineering the gain
peak of the quantum wells, and the pitch of the grating, both gain and feedback at
any of these wavelengths can be achieved. Hence, many of these wavelengths can
be easily packed into a single fiber.
In addition to creating these many wavelength sources, the technology to
combine signals of multiple wavelengths, and manipulate them individually, is
necessary for wavelength division multiplexing systems. Below, we outline some
technologies that are used to combine different wavelengths on and off of fibers.
298 11 Laser Communication Systems I: Amplitude Modulated Systems

11.4.2 Wavelength Division Multiplexing

and Demultiplexing

Wavelength division multiplexing requires the ability to combine and separate

multiple wavelengths onto and off of a fiber.
One marvelous device used for multiplexing and demultiplexing is an arrayed
waveguide grating. A diagram of it is shown below. At the device level, a fiber with
mixture of wavelengths will steer each wavelength onto a different fibers on the
output end. For example, all the 1551.7 nm light in a fiber containing many
wavelengths is coupled into one port, all the 1552.5 nm light is coupled into the
next port, and so on. Operated in reverse, a particular wavelength can be coupled to
the output fiber by putting that wavelength on its designated fiber on the right side.
The picture below, Fig. 11.2, illustrates the concept.
The basic principal of operation is somewhat like a wavelength-dependent
diffraction pattern. The input light from (1) is equally coupled onto the each of the
waveguides in (3). However, the waveguides in (3) have slightly different path
differences, so the array at the decoupling region in (4) the different wavelength
have different phases. These paths serve to focus the coherent light at different
colors into different locations.
It is similar, conceptually, to using the chromatic aberration of a lens in a
positive way. Just like a camera lens with chromatic aberration focuses light of
different colors to different spots, these arrayed waveguide does the same, only at
the focal point of the array waveguide are waiting to collect the different colors.
This can be used in either direction to multiplex onto a single fiber or demultiplex
from an input fiber into multiple channels.
The drawback is coupling losses. Transitioning from a fiber to a waveguide to a
fiber has associated losses that quickly add up. Light has to get from an optical
waveguide on the order of 10 lm onto typically a semiconductor-based waveguide
on the order of 1–2 lm, and then back again, and so losses can be on the order of
5 dB.

Fig. 11.2 Arrayed waveguide. Incoming light from 1 is split into a number of individual lasers,
and then free-space-coupled to an array of fibers with specific distance and spacing such that the
different colors of light couple into different fiber ports. Image from Wikipedia, https://en.
wikipedia.org/wiki/Arrayed_waveguide_grating, current, 1/2019
11.4 Multiplexing 299

Fig. 11.3 Left, optical add drop multiplexor, and right, reconfigurable add drop multiplexor. The
devices allow switching of wavelengths conveniently onto or off of optical fiber

11.4.3 Optical Add Drop Multiplexors

In addition to splitting light into multiple ports by wavelength, the second thing that
is needed is the ability to switch individual wavelengths on to or off of the primary
fiber. An illustration of the concept is shown in Fig. 11.3. An optical fiber carrying
many wavelengths is not usually conveying them all between two points, but
instead drops off a wavelength at one location, picks up another at different loca-
tion, and so on. Imagine it as an interstate highway with many entrance and exit
ramps.
This routing of wavelengths on and off of a fiber is accomplished by a device
called an Optical Add Drop Multiplexer (OADM). The individual wavelengths can
be switched on or off as needed. For example, in the left picture, two wavelengths
are permanently dropped at the location (maybe a college campus) and outgoing
data from the campus then switched back onto the fiber using the same two colors.
This is an example of static OADM.
The picture on the right shows a dynamically reconfigurable optical add drop
multiplexer. These allow each node on the network to be changed as traffic con-
ditions change. They require controllable optical switching, where wavelengths can
be routed on or off depending based on input control signals. These switches can be
based on microelectromechanical mirrors, tunable filters, or other switch
mechanisms.

11.5 Overview of Amplitude-Modulated Communication

After all the multiplexing we can reasonably do, we are left with a bottleneck. The
physics of lasers limits direct modulation to something no more than 20–30 Gb/s,
and so other techniques have to be explored in order to the keep the bandwidth
increasing.
The simplest communication format is the directly modulated digital on–off
keying that we encountered in previous chapters. By modulating the current into the
laser, we can change the light level. One light level can be interpreted as a ‘1’, and
300 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. 11.4 NRZ versus RZ

format, RZ format returns to
zero after each bit, while NRZ
encodes each symbol in a
single bit period

one as a ‘0’, and information can be transmitted. However, that runs flat into the
ultimate, intrinsic limit on laser communication (the laser modulation speed).
There are techniques that have been evolved to pack more information onto an
optical signa, and those will be covered below, after definition of the appropriate
vocabulary.

11.5.1 Definitions for Amplitude Modulation Formats

Simple amplitude modulation formats are classified as NRZ (non-return to zero)

and RZ (return-to-zero). The diagram of Fig. 11.4 illustrates them. A RZ format
returns to zero after each bit (whether it is a one or a zero), while in an NRZ format,
each pulse is a ‘1’ or a ‘0’. In RZ format, the optical signal switches during a ‘1’ but
remain constant for a ‘0’.
The tradeoffs are clear; the RZ format generally encodes the clock rate and is
easy to distinguish, but at the cost of half the symbol bandwidth. In general, in
optical communication systems, bandwidth is too valuable and NRZ is used.

11.5.2 Bits Versus Symbols

The distinction between bits and symbols is very important as we go on to discuss

communication formats. A bit is a unit of information, and bit rate is expressed in
units of bits/s (or usually in an optical context, gigabits/second, Gb/s). A symbol is
something which changes to communicate information, and a symbol rate is
measured in baud.

bits=s ¼ ðsymbol=sÞ  ðbit=symbolÞ ð11:3Þ

11.5 Overview of Amplitude-Modulated Communication 301

If every ‘1’ or ‘0’ changing represents a single bit, then bit rate and baud rate are
the same. However, if the information is encoded so that every physical change
represents more (or less) than one bit, then they are not. Information transfer is
measured in bits/sec; symbol change is measured in baud. A simple way to visu-
alize baud is in the potential number of symbol transitions per second.
In Fig. 11.4, the NRZ format has one bit for every transition, and so the bit rate
equals the symbol rate. The question of bit rate and symbol rate of RZ format is
covered in the problems, but below is a related example.

Example: in a NRZ modulation format, the level varies

between high and low, so the bit rate of information, in
bits/s (usually Gb/s, in an optical context) is equal to
the symbol rate, 1 Gbaud.
One convenient format for digital information is called
Manchester encoding, in which a ‘1’ is represented by a 1–0
transition, while a 0 is represented by a 0–1 transition.1
The advantage to such encoding is that there is a tran-
sition at least once every bit, so the information con-
tent of the signal is centered at the data rate. For the
Manchester encoded signal shown in Fig. P11.5, if each
clock period is 1 ls (clock rate 1 MHz), what is the symbol
rate, in baud and the information transfer rate, in bits/s?
Solution: As can be seen, one bit of information is sent
every clock period. Therefore, the bit rate is 1 Mb/s. Each
bit can have two transitions (if it is 1 1 1); therefore,
the symbol rate is (up to) 2 M transitions-per second or 2
Mbaud. Manchester encoding is one of the few formats in
which the symbol rate is more than the bit rate.
Since there are two transitions/bit,
1 Mb/s = 2 Mbaud * 1 bit/2 transitions
The advantage to Manchester encoding is that the signal
encodes its own clock very cleanly and has its spectrum
centered around the baud rate, not a DC signal. These
characteristics make the signal easy to receive and filter,
which is some return for giving up half the channel band-
width. One disadvantage to Manchester encoding is that
because the information content is centered at the bit
rate, not up to the bit rate, it generally requires a
higher bandwidth receiver.

1
as you can see in the figure, there are two conventions: the Thomas convention has a ‘1’ represented
by a ‘1’-to-‘0’ while the other convention has a ‘1’ represented by a ‘0’ to ‘1’ transition.
302 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. P11.5 Demonstration of data which is Manchester encoded. From Wikipedia, https://en.
wikipedia.org/wiki/Manchester_code, current 1/2019

In on–off keying, or the direct modulation concept discussed in Chap. 8, there is

1 bit/symbol, and so the baud rate and the symbol rate are the same.

11.5.3 Pulse Amplitude Modulation

There is one small adaption that can be made to squeeze more bandwidth out of direct
modulation. Pulse amplitude modulation (PAM), as illustrated in Fig. 11.6, extends
digital on–off keying into more than just two levels (on and off). If the receiver can
detect more than one level reliably, then each level can encode more than one bit.
In general, in a system with n levels, the number of bits is given by

bits ¼ ln2 levels ð11:3Þ

The figure illustrates how bits are encoded in a four-level system. Of course, the
tradeoff is in receiver signal-to-noise ratio. In a sense, it is a step backwards into the
analog world, when a level could encode high-precision information, and not just a ‘1’ or
a ‘0’. However, practically speaking, many receivers can resolve four levels under rea-
sonable conditions, and so it is an effective way to increase communications bandwidth.
As of 2018, this PAM-4 format is widely used in high-speed data centers, often
in packages with multiple lasers. It can realize 50 Gb/s/channel with lasers with
bandwidths of roughly 20 GHz.
However, it does impose signal-to-noise limits, as it requires being able to
distinguish between four levels, instead of two. Conceptually, it is easy to imagine
more than four different levels, with a consequently higher number of bits/symbol.
This is largely the limit of what is currently used for directly modulated
amplitude modulation.
11.6 External Modulation 303

Fig. 11.6 a Illustration of a PAM-4 time-domain signal, in which each of the 4 levels encodes
two bits. b A real 50 Gbaud PAM-4 eye pattern signal, showing a single laser transmitting at
100 Gb/s

11.6 External Modulation

External modulation is the next step for higher speed and longer distance trans-
mission. With external modulation, rather than modulating the laser directly, the
continuous wave (CW) laser light is put through a second device which modulates
it through a variety of mechanisms. This offers two advantages.
First, in terms of speed: direct modulation of lasers is inherently limited by
capacitance and intrinsic effects to numbers typically not much greater than
20GHz2. This limit is inherent to direct laser modulation; other modulation tech-
nologies have different, often higher, inherent speed limits. By using an external
modulation technology, that limit can be increased.
The second reason is dispersion. The dispersion penalty, which fundamentally
limits transmission for amplitude-modulated systems, depends on the chirp (which
is the change of wavelength as the device is modulated) through Eq. 10.1. Direct
amplitude modulation of the laser inherently changes the chirp, but external
modulation does not. Therefore, dispersion limitations for external modulation
systems are less.
There are some disadvantages to external modulation. For example, the need to
couple light into a separate device leads to an insertion penalty. This insertion
penalty is a built-in loss of power going from one waveguide (the laser) to another
(the modulator) and can be several dB. The second disadvantage is the increased
complexity and cost of the external modulator.
Let us now discuss some of commonly used external modulation mechanisms.

2
The number, 20 GHz, can be quibbled with. There have been reports of devices made with
different techniques achieving over 50 GHz bandwidth, but they have not yet proven practical
direct modulation devices.
304 11 Laser Communication Systems I: Amplitude Modulated Systems

11.6.1 Quantum-Confined Stark Effect

Before discussing this external modulator based on the quantum-confined Stark

effect as a device, let us describe the modulation of absorption through bias through
quantum-confined Stark effect mechanism. Semiconductors generally absorb light
depending on their bandgap and the wavelength of the light. What is needed is an
electrically controllable mechanism that can be rapidly modulated to change the
absorption through change in an electrical signal, and the quantum-confined Stark
effect does exactly that.
The effect is illustrated in Fig. 11.7, along with a qualitative illustration of the
change in the absorption with bias. Imagine a quantum well, like the ones discussed
in Fig. 4.4. For an unbiased structure, the absorption starts to occur between the first
two confined subbands, at an energy level of Ebandgap–unbiased. For an electri-
cally biased structure, the details of the bandstructure are altered, and a tilt, due to
the applied bias, is applied to the quantum well potentials. The electron subband
sinks into the deeper side of the quantum well, while the hole subband floats up into
the higher half of the quantum well. When the subbands are calculated in this new
structure, they are closer together, and absorption starts to occur at the new lower
energy, Ebandgap_bias.
If the specific wavelength of light is right around the intersubband spacing of the
quantum wells, the absorption can be modulated readily by changing the bias. This
is the principle behind the electroabsorption modulator.
The application of this effect to a device is shown in the next section.

Fig. 11.7 Illustration of the quantum-confined Stark effect. A quantum well with no bias across it has
its bandgap, and absorption, start fundamentally at the intersubband spacing as shown. With an applied
bias, the electron subband sinks a little lower and the hole subband goes up a little higher, and the
bandgap between them decreases. The graph on the right shows absorption versus energy or wavelength
for two different applied biases. If the wavelength to be modulated is placed right around the bandgap,
small changes in bias can have large changes in absorption and amplitude of the output light
11.6 External Modulation 305

11.6.2 Absorption Modulation Through

the Quantum-Confined Stark Effect

Figure 11.8 illustrates the basic structure of an integrated laser modulator based on
the quantum-confined Stark effect. On the left is a standard distributed feedback
quantum well laser, and on the right is a quantum-confined Stark effect modulator.
Both the laser and modulator are grown on the same wafer and often use the exact
same quantum wells (which is possible if the grating pitch is used to correctly
choose the laser wavelength). An electrical isolation (achieved by etching or
implantation) isolates the two distinct sections of the device.
To transmit data, a signal is modulated onto the modulator portion of the device.
An example of some typical data for a structure like Fig. 11.8 is shown in
Fig. 11.9.
The two figures illustrate some aspects and tradeoffs of these integrated laser
modulators. Generally, the lasing wavelength is positively detuned from the gain
peak, so zero-bias on the modulator is transmissive through the modulator region.
These devices typically must be temperature controlled, as the relationship between
the lasing wavelength and the absorption peak is quite critical. However, as can be
seen in Fig. 11.9, with a proper configuration, an extinction ratio of 10 dB or more
can be achieved with a few negative volts reverse bias. The modulation bandwidth
is typically limited only by the capacitance of the modulator.
One tradeoff, however, is the optical loss of the modulator. The absorption does
not abruptly go from zero to some large number. Depending on the wavelength
chosen for the transmitter, there is some absorption in the transmissive-state (on the
order of a dB) with a corresponding power-level reduction.

Fig. 11.8 Integrated laser modulator. The left side of the structure provides a continuous level
output light, while the right side modulates the light through the quantum-confined Stark effect.
The two sides must be electrically isolated (as shown). The absorption modulation does not
introduce chirp into the signal and is primarily limited in speed by R–C considerations and
capability of the driver, but the overall structure is more complicated that the directly modulated
laser and is difficult to realize uncooled
306 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. 11.9 Some data from an integrated laser modulator similar to the one pictured in Fig. 11.8
(after IEEE J. Sel. Top. Quantum Electron., vol. 2, pg. 326). As the exact same quantum wells are
used for both modulation and light generation, the light has been positively detuned (longer
wavelength than) the gain peak. As shown in the figure on the right, application of reverse bias
lowers the transmission of light through the structure

Example: In the modulator whose data is shown in

Fig. 11.9, calculate the absorption (in/cm) for a wave-
length of 1.55 lm at 2 V reverse bias. Note that the graph
gives transmission for 100 lm modulator distance.

Answer: 10 log (Pout/Pin) = −12, so Pout = 10−1.2 = 0.063.

The number 0.063 = exp(−a0.01)! a = 276/cm.
What is the insertion loss for a lasing wavelength of
1.54 lm? 1.55 lm? What is the extinction ratio for the two
wavelengths at 2 V?

Answer: The insertion loss, defined as loss at 0 V bias, is

roughly 1.7 and 0.7 dB at 1.54 and 1.55 lm, respectively.
At 1.54 and 1.55 lm, the extinction ratio is loss (0 V)-
loss(2 V), or 13 dB and 12 dB, respectively.

This integrated laser modulator has a place in amplitude-modulated transmission

at moderate distances and high speeds. The need for speed at very long distances is
met largely by coherent technologies that can be scaled to very long distances and
moderate to high single-channel data speeds, as will be discussed in the next chapter.
11.6 External Modulation 307

11.6.3 Mach–Zehnder Modulator from Electooptic Materials

Another external technology which is used for optical modulation is the Mach–
Zehnder interferometer, used as a modulator. Figure 11.10 shows a general Mach–
Zehnder interferometer, in which the incoming optical signal is split between two
arms and then recombined at the output. The optical path length between the two
paths can be changed through application of an electrical signal. Hence when the
optical signals are recombined, amplitude modulation is realized though either
constructive or destructive interference of the two signals.
Realization of a Mach–Zehnder modulator requires a material and mechanism
that can controllably shift the phase of the light by changing its refractive index.
One mechanism is the electrooptic effect in which application of an electric field
leads to changes in refractive index.
A canonical example of a material which has this effect is lithium niobate (LiNbO3).
When electrical fields are applied across a waveguide formed of lithium niobate, its
refractive index undergoes a relatively large change. This change changes the phase of
light propagating in the waveguide relative to an unbiased waveguide. Because the
change in lithium niobate is relatively large, and it is otherwise a tractable material to
fabricate, it is frequently used in optoelectronics. To realize full modulation and
completely turn off the optical signal, the nominal amplitude has to be the same, while
the difference in phase between the two paths of light has to be p radians.
Figure 11.11 shows the use of lithium niobate as it would be integrated into a
device.
The relationship between index change Δn and electric field E in lithium niobate
is given by

1
Dn ¼  n30 ðrEÞ ð11:4Þ
3

where Δn is the refractive index change, n0 is the refractive index, and r is the
electrooptic coefficient (usually in units of 10−12 m/V, or pm/V).

Fig. 11.10 Simple picture of a Mach-Zehnder interferometer. The light is split and recombined.
The difference in phase between the two paths can realize constructive or destructive interference
at the output, and create an amplitude-modulated signal. Some physical mechanisms allow control
of the refractive index and hence the optical path lengths of the different paths to realized
constructive or destructive interference, and hence amplitude modulation, at the output
308 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. 11.11 Litihum niobate electrooptic material and waveguides. The useful property of lithium
niobate is illustrated in the inset equation, where the refractive index changes with applied voltage.
The righthand figure illustrates a basic lithium-niobate optical device. A waveguide is created by
infusing Ti into the LiNbO2, which increases the refractive index.

A typical refractive index of lithium niobate at 1.55 lm is 2.11, though this

varies with Ti doping and with crystal orientation. Figure 11.11 shows the
waveguides and electrodes of a typical lithium niobate device. Details of materials,
fabrication, and devices vary, but generally, the lithium niobate material is formed
into a waveguide and then sandwiched by electrodes. Application of a voltage shifts
the refractive index of the material, and thus the phase as the light propagates a
fixed distance.
A figure of merit for a fabricated modulator is Vp, the voltage needed to shift the
phase by 180° and turn the transmitted signal from on to off. The following
example illustrates this in more detail.

Example: Figure P11.12 shows two arms of a lithium nio-

bate structure, both sandwiched by metal electrodes, as
is typically used for optical communications. For the
geometry and electrooptic phase coefficient shown in the
figure, what is the Vp (the applied voltage needed to shift
the phase of the light by p (180) relative to an unbiased
waveguide).

Answer: First, let’s calculate the total phase along an

unbiased waveguide, the propagation constant k is 2p
(2.12)/1.55  10−6, or 8.5894  106/m. Thus, the total
phase change along a 500 l the total phase change6
(500  10−6), or 4294.1 radians. A p phase change implies
a total shift of 4291.6 radians. Since the length is
equal, that implies k is 4291.6/500  10−6, or
8.5832  106/m. Then n = 8.5832  106 (1.55  10−6)/
(2p) = 2.118. The refractive index change needed is
2.120–2.118, or 2  10−3.
11.6 External Modulation 309

Fig. P11.12 Lithium niobate Mach–Zehnder modulator

Putting that into Eq. 11.4, 2  10−3=1/3 (2.12)3(E)

(30  10−12), or E = 2.1  107 V/m. Given the 1 lm separa-
tion, Vp = (2.1  107) (1  10−6) = 21 V. In order to shift
the phase of the light by p radians, a voltage of 21 V has
to be applied.

The value 21 V is a large number. As of this writing, commercial lab-grade

lithium niobate phase modulators are available with Vp of <5 V. Both the geometry
of the waveguide (particularly length) and the material property of the electrooptic
coefficient figure into this Vp number.
These lithium niobate devices are relatively large compared to Si electronics or
typical communication laser lengths. They are often on the millimeter scale,
compared to semiconductor lasers (on the 100 lm scale) and electronics (on the
submicron scale).
The splitting, recombining, and phase changes serve to realize optical modula-
tion. One implantation of it is shown in Fig. 11.13, with different directions of
electric field applied across each arm.
The figure shows a classical, Mach–Zehnder interferometer structure with a
differential biasing scheme (such that one arm has a +V bias while the other arm has
a −V bias). The light is split 50–50 at the input arm and a phase shift imposed on
each arm. A differential configuration means the output is in phase with the input,
but at a different amplitude. The details are explored in the following example.
310 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. 11.13 Mach–Zehnder interferometer. The configuration of biases means that one arm is
biased positively and one arm is biased negatively. Because of this, the output signal is in phase
with the original signal but reduced in amplitude

Example: In the Mach–Zehnder shown in Fig. 11.13, one arm

shifts the phase of the signal by 45° with respect to an
unbiased arm, and the other arm, biased oppositely,
shifts the phase by −45°. What is the amplitude and phase
of the output, assuming a perfect 50:50 split at the input
and the output?

Solution: Basically, it is ½ (cos (xt + 45) + cos (xt −

45)), which is simplified to 0.707 cos wt. The net effect
of this Mach–Zehnder is to reduce the amplitude to 70% of
the original amplitude, while keeping it in phase with
the original signal. One of the properties of differen-
tial biasing is that it stays in phase with the original
signal, which is important when used with a quadrature
amplitude modulation scheme.

Here, the Mach–Zehnder interferometer is an amplitude modulator, and can

be an alternative to electroabsorption modulation or direct modulation. Though it
does not have the same fundamental speed limitation that directly modulated laser
does, it suffers from its own problems. For example, a high extinction ratio (defined
as before, as ratio between the maximum and minimum amplitude at the out)
requires an exact split between the two arms. If the two arms split, for example,
55:45, the modulation signals will not cancel even if they are 180° out of phase.

11.6.4 Phase Shifting with Plasma Effect

There are other mechanisms which can shift the refractive index of a material based
on some sort of biasing signal. One of them is based on increasing or decreasing the
mobile carrier concentration in silicon (or other semiconductor) materials. Because
11.6 External Modulation 311

Fig. 11.14 Basic structure of a silicon optical modulator (after IEEE Photon. Technol. Lett., vol.
24, pg. 234)

mobile carriers affect the refractive index, modulating the number of carriers
(though carrier injection or depletion) changes the local refractive index. This is
called the plasma effect, and it is strong enough to engineer Mach–Zehnder inter-
ferometers similar to those based on the electrooptic effect.
This effect allows the direct engineering of modulator and phase shifters on a
silicon waveguide. A typical Si-base phase shifting structure is shown in
Fig. 11.14.
When a bias is applied to the signal, a depletion layer appears between the n and
p segments. The width grows or shrinks based on the bias. The optical mode sees
the average refractive index of the waveguide. Its effective index and the phase of a
wave traveling in that waveguide is changed as well. From a device perspective, it
is similar to an electrooptic material, but the mechanism is different; electrooptic
materials respond to electric fields, while the plasma effect depends on modulating
carrier density.
Empirically, the change in refractive index depends on the change in carrier
densities as

Dn ¼ ð8:8  1022 DNe þ 8:5  1018 DNh0:8 Þ ð11:5Þ

at a wavelength of 1.55 lm in silicon, where Δn is the change in refractive index,

and ΔNe and ΔNh are the changes in carrier densities, in/cm3. This will be explored
further in the problems.
The ability to realize controllable phase shifters with Si allows devices like
Mach–Zehnder modulators, add drop ports, multiplexers, and splitters to all be
combined onto one chip, for enormous optical integration. The combination of
lasers with silicon may actually be another transformative step in optical commu-
nications, enabling another order of magnitude increase in fiber bandwidth at even
lower cost.
Regardless of how they are realized, Mach–Zehnder interferometers are
important alternatives to direct modulation. They are crucial to coherent commu-
nication which will be discussed in Chap. 12.
312 11 Laser Communication Systems I: Amplitude Modulated Systems

11.7 Laser Linewidth

We have been talking about externally modulating continuous wave (DC) laser
light. One clear advantage, and a major reason external modulation is preferred, is
reduced laser chirp. However, even when driven with unmodulated current, the
linewidth (or range of wavelengths) in a laser signal is non-zero. Let us return to
lasers for a section to talk about laser linewidth.
Laser linewidth is important to directly modulated dispersion limited transmis-
sion, as we discuss here, and utterly crucial to coherent transmission, as we discuss
in the next chapter.
First, for dispersion-limited transmission: one of the primary differences between
directly modulated devices, as discussed in Chap. 8, and externally modulated
devices, as discussed here, is the degree of chirp. Directly modulated devices
inherently chirp (or change wavelength with modulation current) which limits their
dispersion-limited transmission. These externally modulated devices do not have
that chirp and so in general have much great dispersion-limited transmission dis-
tances. However, all lasers and semiconductor lasers, in particular, do have a finite
linewidth (they are not perfectly monochromatic), and so there is still a limit for the
externally modulated dispersion transmission in those devices.
Here, we give a brief overview of mechanisms for linewidth in semiconductor laser.

11.7.1 Inherent Laser Linewidth

For the coherent lasers will discuss in this and the next chapter, the most important
criteria are not speed or power, but linewidth. A narrow linewidth means the laser
precisely remains at its lasing wavelength or frequency, and more importantly in the
context of coherent communication, that its phase does not jump around.
Intuitively, it seems like light emission from stimulated emission should be
extraordinarily narrow, as every stimulated emission photon remains in phase with
other photons. Schalow and Townes, however, long ago predicted that even pro-
cesses driven perfectly by stimulated emission would not have a zero linewidth.3
There are random processes which are ongoing which add noise to the output signal.
In particular for semiconductor lasers, spontaneous emission, which occurs ran-
domly, couples into the lasing mode. Transmission or absorption of photons is also
on a photon-by-photon basis and subject to statistics, so it, in addition, gives rise to
noise. These factors give rise to a ‘minimum’ semiconductor laser linewidth Dm min,

vg hvRsp am
Dmmin ¼ ð11:6Þ
8pP0

in which hm is the energy/photon, vg is the group velocity, am is the modal loss in

per length units, and P0 is the total power in the optical model. The item with most

A. L. Schalow, C. H. Townes, “Infrared and Optical Masers”, Phys. Rev. 112 (6), 1940 (1958).
3
11.7 Laser Linewidth 313

uncertainty is Rsp, the total amount of spontaneous emission (in/s) which couples
into the lasing mode.
This lower limit value in semiconductor lasers is typically on the order of 10 s of
kHz. It is much higher than theoretical limit set by Schalow and Townes, and also
higher than seen in other sorts of laser.

Example: Estimate the fundamental laser linewidth in a

device with an optical loss of 10 cm−1, at a lasing power
of 10 mW and wavelength of 1.3 lm.

Solution: The word ‘estimate’ gives wide latitude in the

solution process: let us begin. Typical group velocities
vg are about 1  1010 cm/s. The energy/photon hm is about
1.24/1.3 = 1 eV/photon = 1.6  10−19 J/photon. The only
quantity remaining is the amount of spontaneous emission
coupling into the lasing mode, Rsp.
Total spontaneous emission is nth/s (from the rate equa-
tions); picking typical numbers of 1018/cm3 as threshold
current density 10−11 cm3 as active region volume, and 10−9 s
as carrier lifetime gives Rsp−total = 1018 * 10−11/10−9 or 1016
recombinations/s total. The typical assumption is 10−4 or
so of spontaneous emission photons couple into the lasing
mode, so Rsp = 1012/s.
Multiplying it all together gives,1010 * 1.6  10−19 *
1012 * 10/(0.01 * 8 * 3.14) = 600 kHz. It is very rough
number, but it gives a sense of the order of magnitude of
the linewidth.

Here, the point is to appreciate that the random factors of spontaneous emission
and optical loss add to phase variation and set a lower limit for the linewidth.

11.7.2 Linewidth Enhancement Factor

In addition to linewidth variation driven largely by spontaneous emission, there is

an additional factor with semiconductor lasers. In semiconductor lasers, the gain
and the refractive index are directly coupled together through the plasma effect.
Fluctuations in carrier density are clearly fluctuations in optical gain. Less intuitive,
though, is that fluctuations in carrier density are also fluctuations in refractive index.
The optical mode sees a fairly large volume around the active region, and the index
of each material is modified by the density of mobile charge. Hence, fluctuations in
mobile charge affect both gain and refractive index, and shifts in refractive index
lead directly to shifts in wavelength.
314 11 Laser Communication Systems I: Amplitude Modulated Systems

The effect of this is that amplitude, and phase or frequency noise are coupled
together, quantified through a parameter called the linewidth enhancement factor or
Henry’s a factor. Semiconductor lasers are noisier than other mediums because of
the strong coupling between amplitude and phase.
The mathematical definition for the a factor given below as is

4p @n 4p @n=@N 4p @n=@I
a¼ ¼ ¼ ð11:7Þ
k @g k @g=@N k @g=@I

where @n=@N and @g=@N are refractive index and gain variation induced by carrier
density injection; respectively, and @n=@I and @g=@I are variation by current.
The phenomena are illustrated in Fig. 11.15 which shows a common method of
measuring the linewidth enhancement factor. Two measurements of the lasing
spectra below threshold are taken at slightly different currents. The gain increases,
shown by the increase of the peak amplitude, and the index changes, shown by the
shift in peak location at the different current. From these two spectra, numbers for
the linewidth enhancement factor can be calculated.
Although this measurement was taken below threshold on a Fabry-Perot laser, the
effects of the linewidth enhancement factor are seen above threshold in both Fabry-Perot
and distributed feedback devices. Devices with higher linewidth enhancement factors
have greater dispersion penalties under direct modulation. In addition, even under direct
current, this linewidth enhancement factor fundamentally impacts the laser linewidth.
Including the linewidth enhancement factor, the linewidth of a laser is given by

Dm ¼ Dmmin ð1 þ a2 Þ ð11:8Þ

Example: This example is based on the data of Fig. 11.15.

If the optical gain extracted (via the Hakki-Paoli
method of Chapter 7) at 5.2 mA is 12/cm at a wavelength
of 1304.00 nm, and at 5.4 mA is 16/cm at a wavelength of
1303.95 from a cavity with a group index of roughly 3.5 at
5.2 mA, find the linewidth enhancement factor.

Solution: The actual change in current is irrelevant; we

can just calculate change in gain and change in refractive
index. The change in gain is 4/cm. The nominal wavelength
is 1304 nm. Since the basic wavelength-index relationship
is L = mk/n with m an integer and L is the cavity length.
Hence, k5.2/k5.4 = n5.4/n5.2 = 1303.95/1304 = 0.9999961; Δn =
1.4  10−4. So the linewidth enhancement factor is

4p 1:4  104
a¼ ¼ 4:4
1:303  104 4
11.7 Laser Linewidth 315

Fig. 11.15 Laser spectra taken at two different currents slightly below threshold, with shift in
peak wavelength indicating a change in refractive index and shift in amplitude peak-to-valley
indicating a change in gain

Typical values for a are 2–5 in multiquantum well devices. This factor depends
on the details of the laser, including its quantum confinement structure, the details
of the heterostructre design and the location of the wavelength with respective to
the gain peak. In particular, devices which are negatively detuned tend to have
smaller a factors.
The mechanisms and rough numbers for linewidth enhancement are illustrated in
Fig. 11.16.

11.8 Direct Detection Receivers

Though this text is focused on lasers and the transmitter side of optoelectronics, it is
worthwhile here to spend a page (or a page and a half) briefly describing the
optoelectronic devices which receive optical signals and convert them back into
electrical impulses. In the next chapter, we will be implementing systems which can
detect the phase of an optical wave; it is useful to understand how the basic,
amplitude photoreceivers work, and their limitations. Here, will talk about the most
common p-i-n photodiodes used as detectors.
The basic photoreceiver component is a p-i-n photodiode, as pictured in
Fig. 11.17. In a common arrangement, the photodetector is top-illuminated, in a
center area ringed with a p-contact ring. The light is absorbed in the intrinsic region
and generates an electron hole pair. The built-in field, or an applied reverse bias,
sweeps the carriers toward the n- and p-contacts, where they are collected.
These p-i-n diodes have responsivities of the order of one electron hole pair per
photon.
316 11 Laser Communication Systems I: Amplitude Modulated Systems

Fig. 11.16 Mechanisms and rough amounts by which the linewidth in semiconductor lasers is
broadened

Fig. 11.17 Left, the band

structure of a typical p-i-n
photodiode Middle, device
diagram of a photodetector
made of InP contacts
sandwiching an InGaAs
absorption layer

There are two fundamental speed limitations associated with them. The first has
to do with the thickness of the absorption layer, and transport of carriers to the
contact, where they are collected. Once the electron hole pair is generated in the
middle of the undoped i-region, it needs to be collected by drifting to the appro-
priate contact. This drift time is set by the drift velocity (which depends on applied
reverse voltage and carrier mobility), and the distance, set by the thickness of the
absorption region. The transit time limit is expressed as

1
f3 dBtransit ¼ ð11:9Þ
2p dv

where d is the distance traveled by electron or hole to be collected, and v is the

velocity. The velocity depends on the electric field through the mobility, but it is
usually considered as the saturation velocity of the carrier in that material. In this
11.8 Direct Detection Receivers 317

simple expression, we have lumped the velocity of the electrons and holes into a
single typical velocity v.
The second has to with the capacitance of the diode. The large the diode area,
and the thinner the active region, the higher the capacitance and the longer the RC
time constant. Quantitatively, the RC limit can be expressed as

1
f3 dBRC ¼ ð11:10Þ
2pRC

in which R and C are the series resistance associated with the photodiode and
photodiode circuit. The capacitance, in particular, includes the parallel plate ca-
pacitance of the diode structure. Some aspects of the frequency limits are explored
in the problems.
These kinds of diodes can be fabricated with bandwidths approaching 100 GHz.
They can see the amplitude of the envelope of the optical signal, but not the peaks
and valleys of the 100 THz optical field. To determine the phase of an optical wave
requires interference techniques, as we explore in the next chapter on coherent
communication.

11.9 Summary and Learning Points

In this chapter, we have stepped a few paces back from how lasers work and put
them into the context of how optical transmission systems work. Here, we have
covered amplitude modulation formats and mechanisms, and in the next chapter, we
will talk about coherent communication.

A. Some important definitions: a ‘symbol’ is the thing which changes in data

transmission (such as an optical amplitude), while a bit is a unit of information.
B. Directly modulated lasers are limited in speed to something about 50 Gbaud/s
(currently) due to fundamental laser limitations, but despite that, fiber band-
widths greater than Tb/s have been realized.
C. The increase in link transmission bandwidth has come about through a variety
of techniques, including multiplexing, more bits/symbol and higher speed ex-
ternal modulation, and (to be covered next chapter) coherent transmission
techniques
D. Wavelength division multiplexing puts many channels at different wavelengths
on the same fiber and multiplies the link bandwidth accordingly.
E. Even though each individual channel is limited in speed, the transmission
windows around 1550 and 1310 nm each have many channels and wavelengths
which can transmit independently on the fiber.
318 11 Laser Communication Systems I: Amplitude Modulated Systems

F. These different wavelengths have to be multiplexed onto and off of a single

fiber. This is typically done with arrayed waveguide gratings as part of an
optical add drop multiplexor.
G. One extension of digital modulation which can extend the bandwidth is pulse
amplitude modulation. In this format, the optical signal comes in several levels,
and each level represents more than one bit of information.
H. In the simple, on–off, non-return-to-zero amplitude modulation, the symbol rate
is the bit rate; in other forms of transmission, such as pulse amplitude modu-
lation, the bit rate can be different than the symbol rate.
I. An alternative to direct laser modulation is external modulation, in which
continuous wave laser light is coupled into a different device which does the
modulation.
J. One external modulator is based on modulated absorption in quantum wells
through the quantum-confined Stark effect. This allows integrated lasers and
modulators (fabricated on the same wafer, often with the same quantum wells)
to be fabricated.
K. Another external modulator is based on a Mach–Zehnder interferometer. These
modulate by splitting the signal light into two segments, changing the phase in
one path, and then recombining the two light segments. By modulating the
phase, constructive or destructive interference creates modulated amplitude
signals.
L. Mach–Zehnder modulators can be realized in with electric fields through the
electrooptic effect. These are done external to the laser often with lithium
niobate.
M. Mach–Zehnder modulators can also be realized through charge injection or
removal through the plasma effect. These modulators can be integrated onto
semiconductors, such as InP or Si.
N. Phase shifting as introduced here is crucial for coherent communications.
O. Lasers have an inherently non-zero linewidth due to random fluctuations from
spontaneous emissions and loss terms. Semiconductor lasers also have strong
coupling between amplitude and phase variations through the linewidth
enhancement factor, which limits their inherent linewidth to numbers of the
order of 10 s of kHz.
P. P-i-n photoreceivers are the workhorses of optical receivers. Typically, they can
have bandwidth up to 100 GHz, sufficient to see the envelope of the optical
wave but not to observe the phase directly.

11.10 Questions
Q11:1 What new technologies enabled the increase in bandwidth from the 1990s?
Q11:2 What is the difference between bits and symbols?
11.10 Questions 319

Q11:3 For amplitude shifted formats, there are several different ways of putting
bits into symbols. Explain the differences between on–off keying
(OOK) and pulse amplitude modulation (PAM), return-to-zero (RZ) and
non-return-to-zero (NRZ), formats. What is Manchester encoding?
Q11:4 List two alternatives to a directly modulated laser for amplitude-modulated
optical transmission.
Q11:5 Build a table comparing directly modulated, quantum-confined Stark effect
modulated, and Mach–Zehnder modulation in terms of speed, complexity,
insertion loss, dispersion, and cost.
Q11:6 What factors limit the linewidth of semiconductor lasers?
Q11:7 What factors limit the speed of a p-i-n diodes?

11.11 Problems

Q11:1 A pulse amplitude modulated with four levels has a symbol rate of
25 Gb/s.

(a) What is the bit rate?

(b) Sketch the eye pattern seen by an oscilloscope looking at this wave
form. Indicate the period.

Q11:2 A wavelength division multiplexing system is being designed for a tem-

perature range of 0 to 50 °C. Roughly how many channels can be fit into
the standard O-band from 1290 to 1330 nm? (assume the typical thermal
shift for a distributed feedback laser of 0.1 nm/°C)
Q11:3 In the RZ transmission system shown in Fig. 11.4, if the clock period is
100 ns,

(a) What is the bit rate?

(b) What is the symbol rate (in Gbaud)?

Q11:4 For the electroabsorption modulator material shown in Fig. 11.9,

(a) Find the modal absorption at 1.56 lm at a bias voltage of −2 V.

(b) If the material is an 8 quantum well active region with a confinement
factor of 10% to the quantum wells, find the material absorption at
1.56 lm at a bias voltage of −2 V.
(c) How long would the device have to be to have an extinction ratio of
10 dB? What would the insertion loss be at that length?

Q11:5 Find an expression relating the change in index, the modulator length, and
the wavelength, for a p phase shift in one arm of a Mach–Zehnder
modulator.
320 11 Laser Communication Systems I: Amplitude Modulated Systems

Q11:6 Design a Mach–Zehnder interferometer, using the material in the example

of Sect. 11.5.3, that would have a Vp of 1 V.
Q11:7 The figure below shows a schematic of a silicon-based Mach–Zehnder
interferometer.

Fig. P11.18 Sketch of a Si-based differential Mach-Zehnder modulator

Each arm of the modulator is based on a p–n junction in which current can
be injected.

a. If a change in charge density of 5  1017/cm for both electrons and

holes is realized, evaluate the change in index at 1.55 lm.
b. Find the amplitude of the output signal with the charge density given
with a length of 200 lm.
c. What length should the modulator be in order to introduce a phase shift
of p between the two arms?

Q11:8 Another mechanism to introduce phase change is through change in tem-

perature of the material. In silicon, the index change with temperature is
given by

dn
¼ 1:86  104 =K
dT

where n is index, and T is temperature in Kelvin.

a. What temperature change is necessary to get an index change of 10−3?

b. With that change, what is the length necessary to realize a Mach–
Zehnder interferometer with a potentially infinite extinction ratio?
c. Why do you think this mechanism is not used to realize modulation for
optical transmission?

Q11:9 A Mach–Zehnder interferometer such as that shown in Fig. 11.16 has a 55–
45 split at the input arm. What is the maximum achievable extinction ratio
if the two arms are 180° out of phase?
Q11:10 (a) In the laser example of 11.7.1, what would the actual linewidth of the
laser be if the device had a linewidth enhancement factor of 4?
11.11 Problems 321

(b) Looking at Eq. 11.6, suggest a couple of ways the laser could be
engineered or operated for a lower linewidth enhancement factor.

Q11:11 This problem explores the frequency limits of the p–i–n detector. In the
figure shown, the area of the diode is 25 lm2 and the thickness of the
i-region is 1 lm.

Fig. P11.19 Sketch of a typical p-i-n photodector showing width of the intrinsic region,
geometry, and resistance of the contacts

(a) For the parameters shown, calculate the RC limit and the transport limited
bandwidth of the photodiode. Assume the capacitance is just given by the
photodiode capacitance, the carrier absorbed in the center of the band, and
a single ‘velocity’ as a model for both hole and electron velocity.
(b) Suggest one way to improve the RC limit without affecting the
transport limit.
(c) Assuming that it is limited by the lower of the two limits, find the
optimum thickness d to achieve the highest bandwidth.
(d) Apart from increasing the capacitance, what disadvantage is there in
reducing the thickness of the absorber region, in terms of responsivity?
Coherent Communication Systems
12

…and a great and strong wind rent the mountains…and after

the wind an earthquake… and after the earthquake a fire… and
after the fire, a still small voice…
—Kings 19:11–12, King James Version

Abstract
In this chapter, we outline the modern coherent communication formats and how
they are realized. These coherent communication formats enable long-distance
and high-speed transmission. We also discuss the sources of noise in optical
communication systems and the relationship between signal to noise, bit error
rate, and communication format.

12.1 Introduction

In the previous chapter, we described as far as has been currently realized with
amplitude modulation and some technologies for amplitude modulation apart from
direct laser modulation. However, there is an entirely different method of infor-
mation transmission with light, focused on what is called coherent detection. In this
method, both the amplitude and the phase of the (200+ THz!) light signal with
respect to some reference communicate information. By measurement of the phase
through combining the signal with a reference, a ‘still, small voice’, hidden in the
phase of the optical signal can emerge. Using all the information contained in the
photons, rather than just signal amplitude, dramatically improves the amount of
information that can be communicated optically. But this relies on seeing light
differently than we have so far.

© Springer Nature Switzerland AG 2020 323

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6_12
324 12 Coherent Communication Systems

12.2 Phasor Representation of Light

12.2.1 Reminder: Phasor Representation of Electrical Signals

If you are now using this book as a textbook, there have been, hopefully, many
connections to your prior classes such as semiconductors for p–n and Schottky junc-
tions and ohmic contacts, and physics for waveguide modes, for example. This chapter
is a solid connection to circuits (which the author also has the privilege of teaching).
In the discussion of sinusoidal (AC) circuits, the conventional technique is to
describe AC signals as phasors. For example, a voltage with a particular frequency
and amplitude, and a phase of some angle h with respect to some reference signal, is
described as A\h, as shown in Eq. 12.1. As an example, the current through a 1 H
inductor due to a 1 V signal at 120 Hz (377 radians/s) and its phasor representation
are both given in Fig. 12.1 on the phasor diagram.

f ðtÞ ¼ A cosðxt þ hÞ ) A\h ¼ Aeih ¼ A cos h þ iA sinðhÞ ð12:1Þ

at a frequency x. Typically, the vector A is plotted on the complex plane.

Both the amplitude and the phase of the signal matter. For example, because the
current and voltage in an inductor are out of phase by 90°, inductors consume no power.

12.2.2 Phasor Representation of Optical Signals

In the case of circuits at moderate frequency, observing the time-domain current or

voltage signal is generally possible with an oscilloscope, and the phase of the signal
with respect to some arbitrary reference can be easily determined. For optical
signals, techniques to generate and detect the phase are more indirect, but the
concept is the same.
One more bit of terminology before we start talking about optical transmission: a
phasor signal has a component I(t) in phase with the reference and a quadrature
component Q(t) 90° out of phase with the reference. Hence, an optical signal L(t)

Fig. 12.1 An illustration of a phasor diagram for an I–V curve. Each vector represents both the
amplitude and the phase, relative to the reference voltage
12.2 Phasor Representation of Light 325

LðtÞ ¼ A cosð2p192 THz t þ hÞ

¼ A cosð2p192 THz tÞ cosðhÞ þ A sinð2p192 THz tÞ sinðhÞ ð12:2Þ

in which A is the optical amplitude has as its phasor representation,

L ¼ I þ iQ ð12:3Þ

(with the frequency understood to be 192 THz), with the values

I ¼ L cos h
ð12:4Þ
Q ¼ L sin h

Transmission formats that rely on the phase of the light are called coherent
communication formats, and they are remarkably powerful. In general, I and Q are
functions of time (I(t) and Q(t)) and change at the symbol rate of GHz scale, much
slower than the optical signal at hundreds of THz.
Figure P12.2 and the associated example illustrate decomposing a time-domain
signal into its I and Q components.

Example: Fig. P12.2 shows three different signals at

optical frequencies plotted in the time domain.
Estimate the time-domain expression for the signal as a
single cosine term, and illustrate both the signal and
the two references in the phasor domain. Find the I and
Q magnitudes.
Solution: From the figure, we need to estimate the relative
amplitude and phase of the signal. The amplitude looks

Fig. P12.2 A sinusoidal signal in the time domain, along with the cosine and sine references. The
full amplitude sin and cosine are given as ‘reference signals,’ and the signal is an arbitrary optical
signal. In coherent communication, generally both the amplitude and phase of the incoming signal
are used to convey information
326 12 Coherent Communication Systems

Fig. P12.3 A phasor diagram of the signal. The I and Q magnitude would be I = 0.25 cos 45 and
Q = −0.25 cos 45

like it is about a quarter of the reference signals, so call

it 0.25; the peak comes between the cos and sine signal, so
the absolute difference in phase is 45°. The angle is
negative (leading signals come first in time and have their
maximums earlier than the signals they lead. Therefore,
the signal leads the sine wave and lags the cos wave).
On a phasor diagram, it would look like Fig. P12.3.

12.3 Phasor Descriptions of Coherent Optical

Transmission

With the idea of phasor representation of optical communication, let us show some
of the formats used for coherent communication.

12.3.1 Binary (and More) Phase Shift Keying

One of the simplest coherent techniques is called binary phase shift keying (BPSK),
along with its logical extensions into higher numbers of phases. Instead of changing
the amplitude of the optical signal, the phase is changed while the amplitude is
fixed. This can be done among as many different phases as we can confidently
detect. In Fig. 12.4, it is illustrated with both two and four different phases.
In all of these systems, the receiver has to be sensitive enough to detect and
discriminate between the different symbols. Both amplitude and phase noise may be
present, and the system has to be able to resolve the symbol in the presence of noise.

12.3.2 Differential Phase Shift Keying

One variation that is appropriate to mention is differential phase shift keying. With
differential phase shift keying, instead of a particular phase conveying a bit, a
12.3 Phasor Descriptions of Coherent Optical Transmission 327

Fig. 12.4 Left shows a time-domain binary phase-shifted signal, in which the information is
carried in the phase of the optical signal. Middle, the ‘constellation diagram’ showing the I and
Q of the two symbols and their associated bits. Right, constellation diagram for four phases
(quadrature phase shift keying). In quadrature phase shift keying, four discrete symbols are
transmitted, each representing two bits

Fig. 12.5 Same time-domain bit stream, interpreted as BPSK (binary phase shift keying), where a
‘1’ is one phase and a ‘0’ is another phase, and differential binary phase keying (DBPSK), where a
0 is not a phase change and 1 is a phase change from the previous bit

change in phase from one bit to the next denotes a ‘1’, while continuing the phase
from one symbol to the next denotes a ‘0’. The idea is illustrated in Fig. 12.5,
comparing phase shift keying to differential phase shift keying (Fig. 12.5).
The potential advantage is that it can be detected without the use of a local
optical signal, as it can be compared to adjacent symbols to see if they are the same
phase or have a phase change. The disadvantage is that receiving errors in bits
propagate; an error in one bit will cause errors in subsequent bits. The mechanics of
detecting optical phase changes will be discussed subsequently.
328 12 Coherent Communication Systems

Fig. 12.6 A constellation of

a 16-QAM system. In this
system, both the amplitude
and phase of the receiver are
simultaneously modulated

12.3.3 Quadrature Amplitude Modulation

Extending the idea to both amplitude and phase modulation gives rise to the fol-
lowing constellation of allowed symbols. This method is called quadrature ampli-
tude modulation (QAM); the amplitudes of the in-phase (cos) and quadrature
(sin) signals are both changed, and a specific symbol is identified by a particular
position in the phasor domain.
Figure 12.6 shows a number of points in the I–Q plane, each of which indi-
vidually represents a set of bits. For this selection of sixteen symbols, each symbol
represents four individual bits. If the receiver is good enough to resolve them under
the transmission conditions, symbol bit rate can be immediately multiplied by four
(bit/symbol) and achieve that multiple in data rate.
All of this depends on the electronics. To some extent, it is true that advances in
laser communication over the past two decades have been driven partly by slight
improvements in the lasers and enormously by extreme improvement in the elec-
tronics. Electronics which work at tens of GHz can much more easily decode,
receive, and error-correct very fast signals.

Example: Sketch the time-domain signals represented by

0001 and 0000 in the diagram above, indicating the rel-
ative phase (with respect to the reference cos and
amplitude with respect to each other.)
Solution: Looking at it, the reference is taken as a
cosine, which for convenience we will take as amplitude
2. The 0000 point is taken as amplitude one and a phase of
45°, leading the reference. The 0001 point has an
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
amplitude 12 þ 22 , or 2.23, and a phase of arctan 1/2, or
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
26°. The 0000 point has amplitude of 12 þ 12 , or 1.49, so
the 0001 point has an amplitude 2.23/1.49 = 1.49.
12.3 Phasor Descriptions of Coherent Optical Transmission 329

Fig. P12.7 Time-domain

representation of the phasor
signal

All of this information is put into Fig. P12.7. The period

of the signal is indicated to reinforce that this is an
optical signal.
In effect, in coherent communication the circuit is
discriminating between the two lower-amplitude waves
shown, at a timescale of GHz. We hope at this point the
reader is comfortable relating an optical signal in the
time domain to a constellation diagram with a symbol by
its amplitude and phase.

This is the basic idea of coherent communication. The symbol, instead of being just
an amplitude change, contains amplitude and phase. It works because the detector
locks on to the particular optical frequency and excludes noise at other frequencies.
A general transmitted symbol in a coherent format can be represented as

LðtÞ ¼ AðtÞ cosð2pf þ hðtÞÞ ð12:5Þ

in which what is changing is both the amplitude, A(t), and the phase, h(t). These
change at the symbol rate of tens of Gb/s—for example, 25 Gb/s. However, a
16-QAM system with symbols that change at 25 Gb/s is transmitting 100 Gb/s on a
single laser.
With coherent systems, another multiplexing doorway becomes open to us—
polarization division multiplexing.

12.3.4 Polarization Division Multiplexing

Apart from wavelength, another thing which can be easily distinguished in optical
signals is polarization. Two different optical signals at orthogonal polarizations can be
separately filtered at the receiving end. This additional factor of two applies to every
single wavelength in the ITU Grid, and so, the bandwidth is potentially doubled.
However, standard single-mode fiber is not designed to be polarization-
maintaining. While there are two orthogonal polarization modes in the fiber (one
330 12 Coherent Communication Systems

Fig. 12.8 A coherent system without polarization multiplexing and with polarization multiplex-
ing. a A coherent system which does not use polarization multiplexing simply adds together the
I and Q components in both polarizations to obtain the received signal; b a coherent system with
polarization multiplexing transmits one signal on each polarization. Even though the polarizations
get scrambled during transmission, the electronics can reconstruct the original transmitted bit
stream based on signature bits in the bit stream or previous characterization of the link

TE-like and one TM-like), minor imperfections and stresses in the fiber as it is
fabricated disturb the polarization and mix the two polarizations together. An
optical signal launched with one specific polarization will become mixed with the
other polarization before very long.
In a simple amplitude system, a signal launched with no specific polarization is
received by a receiver that is not polarization sensitive, and the amplitude is
recovered. In this situation, polarization is not relevant.
However, with polarization filter receivers and the knowledge of the entire optical
field achieved in a coherent system, the signals can be reconstructed. With a coherent
transmitter, it is possible to transmit polarization-multiplexed signals on standard fiber.
Figure 12.8 illustrates this idea. In a coherent system without polarization
multiplexing, a signal is launched. The transmitted signal gets mixed into two
polarizations, x and y. The receivers at the end recover the amplitude and phase of
both polarization components and add them together.
In a coherent system with polarization multiplexing, two signals in two different
polarizations are launched on a fiber. At the other end of the fiber, the received
signal in one polarization contains components of both launched signals (and
similarly, the received second polarization is made up partly from both of the two
launched signals). The processing electronics reconstruct and separate the two
orthogonally polarized bit streams based on a prior characterization of the link or
signatures in the bit stream. Thus, automatically the capacity of the link is doubled.
Multiplexing signals onto a variety of wavelengths (and polarizations) lead to an
astonishing potential bandwidth for optical communications. Many experiments
have demonstrated transmission rates of >Tb/s over hundreds of kilometers of
standard single-mode fiber using these methods.
12.3 Phasor Descriptions of Coherent Optical Transmission 331

Fig. 12.9 Illustration of multimode, single-mode, and PANDA fiber

Example: Calculate the ultimate capacity of a system on

the ITU 100 GHz Grid, with individual channels trans-
mitting in a binary phase shift-keyed format at
2.5 Gbaud/s, transmitting on the 25 GHz Grid with 400
channels. This system is polarization multiplexed as
well as wavelength multiplexed.

Solution: Very straightforward! 400 channels  2.5 Gbaud/

s  2 bits/symbol (BPSK)  2 (for polarization multi-
plexed), or 4 Tb/s! This is why optical communications are
so valuable!

12.3.5 Polarization-Maintaining Fiber

As an aside, there are special fibers designed to maintain the polarization of launched
signals. Figure 12.9 shows standard single-mode fiber, and polarization-maintaining
and attenuation-reducing fiber (PANDA). The fiber is designed to maintain specific
polarization coupled into it, without allowing one mode to couple into another.
These special-purpose fibers are not used for long-distance links. They are signifi-
cantly more expensive than standard fiber, and their attenuation is higher. However,
they do provide a direct solution to transmitting and receiving a specific polarization.
The colorful name for PANDA fiber should end all doubt as to whether optical
engineers and scientists have a sense of humor.

12.4 Coherent Optical Transmitters

These coherent transmission formats have many advantages over directly modu-
lated lasers. They can certainly be higher bandwidth generally. Because they are
externally modulated, they are lower chirp and do not suffer from the inherent
directly modulated laser K-factor limitations of resonance frequency and damping
332 12 Coherent Communication Systems

factor. Here, we will discuss some of the basic coherent transmitters at the com-
ponent and physics level.
In previous sections, we have described the transmission format in terms of the I and Q of
the received optical signal. Now let us examine how we generate, and measure, I and Q.

12.4.1 Binary (or More) Phase Shift Keying Transmitter

The simplest imaginable coherent transmitter is something which alters the phase of
the output based on an input voltage. Physically, it could be a lithium niobate
waveguide, as discussed in Chap. 11.
The physical device is shown in Fig. 12.10. A constant wave optical signal is
applied, and through the application of voltage on the high-speed electrical ports,
shown, its phase is shifted.
This transmitter can realize binary (or potentially more) phase shift keying.
The voltage level sets the phase shift. With the application of Vp, the phase is
shifted 180°. Commensurately lower voltage values with shift it by 90°, or 45°, or
arbitrary values (however many levels the receiver is able to distinguish). Limita-
tions to the speed are set largely by the capacitance of the electrical input, but are
not related to the laser signal.
The physics of the phase shift due to the elector optic or plasma effect is
described in Chap. 11.

Example: What would you see if you connected the output

of the phase modulator above, to a conventional
high-speed oscilloscope equipped with an optical to
electrical connector, and the electrical input was dri-
ven to various phases at a symbol rate of 10 Gb/s?
Answer: After a moment’s thought, you should conclude
that you would see a flat line. In fact, photodetectors
that do not mix signal with a reference are strictly
amplitude detectors and cannot see the phase of the
optical signal (which, after all, is at hundreds of THz).
Detection of the phase of the optical signal and decoding
the symbol require different techniques, which we will
discuss in subsequent sections.

Fig. 12.10 Lithium niobate phase modulator, showing the optical input and output, the modulating
electrical input and connectors for a monitoring photodiode. From Thorlabs, used by permission
12.4 Coherent Optical Transmitters 333

12.4.2 Quadrature Amplitude Modulation

In quadrature amplitude modulation circuitry, both the in-phase and 90°

out-of-phase (quadrature) parts of the signal are simultaneously amplitude modu-
lated. A typical transmitter configuration is shown in Fig. 12.11.
This can be understood by walking through the path of the light. The laser
optical carrier signal is input on the left edge and split into two, half of which will
become the amplitude-modulated in-phase (I) signal and half of which will become
the amplitude-modulated out-of-phase (Q) signal. The two signals then each go
through a Mach–Zehnder interferometer, shifting their respective amplitudes to map
to the point of the constellation shown in Fig. 12.6. One arm is shifted out of phase
by 90°, typically by a 90° phase delay (*125 fs propagation delay for a 1.55 lm
signal). The two signals are then recombined and transmitted.
As a phase-sensitive system, it is important that the signal remains coherent, so
the source has to be of relatively narrow linewidth. In general, the laser require-
ments are very different than those of directly modulated lasers; apart from being
low linewidth, they often have higher power requirements, as there is significant
coupling loss (called, ‘insertion loss’) onto and out of each component.

Fig. 12.11 A typical quadrature amplitude modulation transmitter. A reference signal is input
into an pair of Mach–Zehnder interferometers, as shown. It is split into its Q half and I half, and
both of them are modulated as required to encode the appropriate signal. The Q half is then shifted
by 90° to put it in quadrature with the reference signal, and the two halves of the signal recombined
334 12 Coherent Communication Systems

12.5 Receivers

The basic architecture of the transmitters is relatively straightforward. Phase shifting is

done by a variety of mechanisms, and through splitting and recombining, optical
signals of different amplitudes and phases can be generated. It is the electronics’ job to
drive all the modulators and phase shifters to generate the appropriate signals.
The receiver, however, is conceptually more complex. What is needed is an
architecture, built around a combination of electronics and optics, to recover the
in-phase and quadrature components of an optical system and turn them back into
conventional 1’s and 0’s. The complete phase and amplitude can be recovered
through interference with a reference signal both in phase and in quadrature.
In the section below, we outline the building blocks of these coherent receivers.

12.5.1 Reference Signal

The key to decoding the phase of an optical signal is interference with a reference
signal, at the same optical frequency as the transmitted signal. That is not a trivial
task, but it is made easier these days by the use of high-frequency electronics.
Generally, the system starts with a local laser of the same channel as the incoming
light. Table 11.1 shows that the signals are spaced by 100 (or 25) GHz. Different
lasers nominally on the same channel could potentially be off by something around
that. Interference with a reference laser at the frequency would produce, instead of
DC signals, signals which vary at that difference frequency.
It is possible to incorporate a circuit that will phase lock the reference laser to an
incoming signal via a phase lock loop. By feedback into the laser, the lasing
frequency can be slightly changed until it matches exactly with the input signal as
shown in Fig. 12.12.
In many modern systems, however, the electronics can actually live with GHz signal
difference between the reference oscillator and the optical signal. Such systems are
called intradyne systems, where the frequency difference between the reference and the
signal is large by electronic standards (GHz) but not by optical standards.
In Fig. 12.12, both a more complex phase-locked reference (which is generally,
kept almost exactly at the wavelength of the incoming signal) and a simpler
intradyne system are illustrated. The system on the left produces a laser that is
locked to the input and can be used as a reference. The system on the right simply
uses a local reference laser that is close to the input signal and produces an output
that is not DC, but rather oscillates at the difference frequency of the order of GHz.

12.5.2 Balanced Photodiode

A key component to receiving the signals is the mixer, pictured in Fig. 12.13: a way
to combine the optical signal with the reference and obtain the difference frequency.
12.5 Receivers 335

Fig. 12.12 a Locking to an input signal laser to create a reference signal exactly in phase with the
input, b operating in an open-loop, intradyne mode, in which a local laser that is ‘close enough’ to
the input signal is used, and the output oscillates at the difference frequency

One common way is a balanced photodiode pair. A typical architecture is shown

below. In this discussion, the local reference wavelength is assumed to be exactly
matched to the signal wavelength.
The incoming signal is combined with the reference laser and used to illuminate
a photodiode. For example, let us look at the top photodiode. The photodiode is fast
enough to response to I(t) (the symbol rate—about 25 Gb/s) but not fast enough to
respond to an optical signal, xc. The incoming optical signal is

InputðtÞ ¼ IðtÞ cos xt þ QðtÞ sin xt þ A cos xt ð12:6Þ

where x is the optical frequency, I(t) and Q(t) are the in-phase and quadrature
envelopes of the signal, and A is the amplitude of the reference lasers. The output
seen by the photodiode will be the time average of the signal over the timescale that
it can respond to, or

Photodiode signalðtÞ ¼ hIðtÞ cos xt þ QðtÞ sin xt þ A cos xti

1
¼ ðI 2 ðtÞ þ Q2 ðtÞ þ AIðtÞ þ A2 ðtÞÞ ð12:7Þ
2

consisting of two DC offsets and a mixed signal, AI(t), which directly contains the
transmitted information at the symbol rate. The I and Q vary as the symbol rate and
can be detected by the photodetector.
This arrangement has two specific problems. First, it can be difficult to pick out
the signal from among the other terms. Second, the signal I(t) is often quite weak,
and it is a question of signal-to-noise ratio in discerning it out from the incoming
information. A clever arrangement called a balanced photodiode pair can address
both of these problems.
In a balanced photodiode, there is a second photodiode (shown at the bottom of
Fig. 12.13). The arrangement of the second set of photodiodes is the same as at the
top, except that the reference laser has its phase shifted by 180°, inverting it. This
makes the input
336 12 Coherent Communication Systems

Fig. 12.13 A balanced photodiode architecture, in this case for detecting the ‘I’ component. The
signal (containing both Q and I, and the reference local laser) are combined and illuminated on a
photodiode. The photodiode gives the response shown, proportional to the amplitudes of the
individual components and the mixed signal. By inverting the reference, the difference signal
between the two photodiodes can be made directly proportional to I. To obtain the Q, the second
pair of photodiodes is used, with the reference signal shifted by 90° before mixing

InputðtÞ ¼ IðtÞ cos xt þ QðtÞ sin xt  A cos xt ð12:8Þ

and the output

Photodiode signalðtÞ ¼ hIðtÞ cos xt þ QðtÞ sin xt  A cos xti

1
¼ ðI 2 ðtÞ þ Q2 ðtÞ  AIðtÞ þ A2 Þ ð12:9Þ
2
Now, notice what happens if the difference of the two photocurrent signals is
taken, as if they were across the same resistor in different directions. The difference is

1
Photodiode difference signalðtÞ ¼ ððI 2 ðtÞ þ Q2 ðtÞ þ AIðtÞ þ A2 Þ
2
 ðI 2 ðtÞ þ Q2 ðtÞ  AIðtÞ þ A2 ÞÞ ð12:10Þ
¼ AIðtÞ

The common terms have been eliminated, and the term of significance AI(t) has
been doubled.
In addition, this particular arrangement of photodiodes has the intriguing feature
that the signal to noise of the actual signal AI(t) can be increased simply by
increasing the reference laser power A.
12.5 Receivers 337

The figure shown will obtain the value AI(t); a slightly modified circuit will
obtain the AQ(t) component. Having decoded the I(t) and Q(t), the electronics
determine the position in the constellation for quadrature encoded systems.

12.5.3 A Full Coherent System

To tie all of these topics together, Figs. 12.14 and 12.15 show block diagrams of a
full coherent transmitter and receiver. This block diagram is meant to give a picture

Fig. 12.14 a Diagram of an entire polarization multiplexed quadrature amplitude-modulated

communication system. The reference laser is split into two orthogonal polarizations, x and y, and
each one is separately modulated with its I and Q components. The full signal, with its I and
Q components of both polarizations, is multiplexed onto a fiber and transmitted; b Picture of a
polarization multiplexed transmitter, showing how the components are integrated and packaged
338 12 Coherent Communication Systems

Fig. 12.15 Block diagram of a polarization division-multiplexed quadrature amplitude modu-

lation receiver. The signal is received and split into two orthogonal polarizations which are mixed
with two orthogonal polarizations of the reference laser A. The Q mixers shift the reference signal
by 90°

of the information flow and identify at which points the signal is optical, where it is
electrical, and again point out the role of the electronics in transmitting and
receiving coherent signals.
The details of most of the boxes have been previously discussed. The laser is a
semiconductor lasers, designed for low linewidth. The Mach–Zehnder interferom-
eters are shown as block in Fig. 12.14, with two sets, on for each polarization. The
electronics play a major role: The data to be transmitted is input and encoded using
the chosen format (quadrature phase shift keyed, quadrature amplitude modulated,
or whatnot) into the drive signals on the modulators. Two modulators are used for
each polarization division-multiplexed coherent transmitter.
A similar full diagram of the receiver is shown in Fig. 12.15.

12.6 Coherent Transmission in Context

12.6.1 Comparison of Coherent and Incoherent (Amplitude

Shift Keying) Systems

Let us spend a few paragraphs discussing coherent and incoherent

amplitude-shift-keyed transmission in context. The incoherent system consists of a
directly modulated laser diode or other amplitude-modulated light sources on the
transmission end, and a receiver with a bandwidth of roughly the transmission
frequency on the other end. This system is sensitive only to the optical amplitude
and is straightforward and simple.
12.6 Coherent Transmission in Context 339

It suffers from a few disadvantages, particularly for devices based on directly

modulated lasers. The laser modulation speed has a limit based on capacitance,
K-factor, and other laser intrinsics. The second issue is dispersion. As the laser is
modulated, the 1s and 0s travel at different speeds, leading to dispersion over a
length of fiber. Externally modulated amplitude shift devices, such as Mach–
Zehnder interferometers or electroabsorption modulators, have much better external
speed limitations and reduced dispersion effects.
In general, amplitude shift keying [both on–off modulation and multilevel
modulated (pulse amplitude modulation)] tends to be used in data centers, where
cost matters. Amplitude-modulated receivers and transmitters are much less
expensive than coherent systems. These amplitude-modulated devices are often
used with 1310 nm devices in which dispersion is important, and loss is less
important. They are also widely used in short-haul and metro links at 1550 nm
wavelengths.
Coherent transmitters, on the other hand, have almost completely taken over
long-haul (100 km+) transmission systems. As it happens, by completely recov-
ering the amplitude and phase of the received signal, it is possible for the electronics
to recover from nearly any amount of dispersion. Hence, dispersion compensation
is not a factor for coherent transmission.
Coherent transmission also offers bit rates much higher than symbol rates and
improves the bit error rate for a similar signal-to-noise ratio. In a way similar to
frequency modulated radio transmission, at similar power levels, transmission is
much clearer for coherent systems.

12.6.2 Communication Formats

‘The nice thing about standards is that you have so many to choose from.’1
Nowhere is that more correct than in the variety of formats usable for coherent
communications. In Table 12.1 we list some (not all) acronyms for common
communication formats and their decriptions.
The primary advantages to coherent communication are much improved fidelity
at the same signal-to-noise ratios and transmission unlimited by dispersion.

12.7 Limits to Transmission Distance in Optical Systems

In any transmission system, optical or otherwise, the limit to getting clear trans-
mission with no errors is determined by the signal-to-noise ratio. The signal (a ‘1’
or a ‘0’) competes with a background of random noise from many sources and has
to stand out from the noise by a specific amount in order to be understood. The

1
Andrew S. Tanenbaum, Computer Scientist. Another area with lots of standards!
340 12 Coherent Communication Systems

Table 12.1 A list of optical communication formats

Format Acronym Description
Amplitude shift keying, ASK-NRZ Shifts in optical amplitude encode the symbols; each
non-return to zero symbol period is one bit period
Amplitude shift keying, ASK-RZ Shifts in optical amplitude encode the symbols; after
return to zero each bit, the symbol returns to zero
Pulse amplitude PAM Optical amplitude is modulated over several levels; each
modulation level encodes more than one bit
Parallel series PSM A form of wavelength division modulation in which
modulation each of typically four channels around 1310 nm is
separately modulated
Binary phase shift BPSK The amplitude of the laser is kept constant, but the
keying optical signal is shifted between one of two phases as the
symbol change
Differential binary phase DBPSK The phase of the signal is the symbol change; however,
shift keying a change of phase represents a one value and an
unchanged phase the other bit value. This may obviate
the need for a reference signal
Quadrature (or more) Q (or The phase of the laser signal is shifted between several
phase shift keying more) different values, each one encoding different bits of
PSK information
Quadrature amplitude QAM Both the phase and amplitude of the signal laser are
modulation modulated over many points in optical phase plane. This
is commonly done in 16, or 64, or even more points,
such that each symbol represents 4, 6 or more bits
respectively

amplitude of the signal itself is not that significant; you can generally amplify the
optical, or electrical, signal freely. But it does little good if it sits on a bed of static.
A good analogy is how loud someone needs to shout to talk to you across a
room. If the room is empty, and the noise is low, the person can speak softly and be
understood. If one is at a party, the signal (voice) level needs to be raised for
intelligible conversation. Similarly, signal-to-noise ratio is the key component for
error-free transmission, not the amplitude.

12.7.1 Optical Signal-to-Noise Ratio

A picture of the optical signal-to-noise ratio (OSNR) is shown in Fig 12.16. In

optical signals, typically the carrier frequency (of the light) is enormously larger
than that of the signal. The optical signal-to-noise ratio is defined is the power in the
optical signal divided by the noise in a particular bandwidth.
Mathematically, the OSNR is defined as

OSNR ¼ 10 log10 ðS=NÞ ð12:11Þ

12.7 Limits to Transmission Distance in Optical Systems 341

Fig. 12.16 Optical signal-to-noise ratio is defined as the optical power of the signal, divided by
the noise in a filtered bandwidth. Because the carrier bandwidth is so high (THz), it is more
relevant to look at the noise in an optical channel of narrow defined bandwidth

where S is the signal power, and N is the total noise power in a single channel. The
bit error rate associated with the OSNR, measured in this way, is (empirically)

log10 ðBERÞ ¼ 10:7  1:45OSRN ð12:12Þ

The noise power N, in particular, depends on the width of the region defined as
the channel bandwidth. Typically, a number like 0.1 nm is used.
Defined in this way, the optical signal-to-noise ratio can be measured on an
optical spectrum analyzer, quantifying the power in the signal and the variation in
the noise around it.

12.7.2 Eye Diagram-Based Signal-to-Noise Ratio

In addition to the optical signal-to-noise ratio defined above, there is another def-
inition of signal-to-noise ratio, SNR, appropriate to an amplitude-modulated system
defined as

Psignal L1 þ L0
SNR ¼ ¼ ð12:13Þ
Pnoise r1 þ r2

An illustration of the various quantities given is shown in Fig. 12.17.

The first definition (of Eq. 12.11) says that the signal-to-noise ratio is the signal
power divided by the noise power in a channel bandwidth. Essentially, it is a
frequency-domain definition, with the frequency mapped out by the optical
wavelength.
Here, signal-to-noise ratio is defined as the average power level of the ‘1’ and ‘0’
states, (L1 + L2)/2, divided by the variation in average power of the ‘1’ and the ‘0’
states, (r1 + r2)/2. This puts it into the domain of something that can be easily seen
in a laboratory in a time-domain eye pattern. When observing a pattern of optical
342 12 Coherent Communication Systems

Fig. 12.17 An illustration of

a noisy eye pattern, in which
variations in the high and low
levels are characterized by
standard deviations r1 and r2,
respectively. The dotted line
shows the nominal L1 and L0
levels

pulses by shining the light on a photoreceiver, with the receiver connected to an

oscilloscope, the levels are not completely flat (for a real example, see Fig. 8.1).
The variation in the ‘1’ or the ‘0’ levels comes from noise in the light source, or the
photodiode, and fundamentally limit how much information can be transmitted.
Often in amplitude-modulated formats, the high signal level is much higher than
the low signal level, and so, the approximation below can be made.

L1
SNR  ð12:14Þ
r1

12.7.3 Bit Error Rate Versus Transmission Format

and Signal-to-Noise Ratio

However, neither of those definitions of optical signal-to-noise ratio (Eqs. 12.13

and 12.11) take into account differences in the efficiency between various com-
munication systems, particularly for ratios of bits to symbols. A quadrature
amplitude system can transmit two, four, or six bits for a given power level while a
single on–off keying system will only transmit one bit. However, the raw signal
power level and the noise level can be the same.
To better compare different systems, let us introduce a slightly different noise
figure. The symbol R is the ratio of the bit energy Eb to noise spectral density, No in
W/Hz, as

Eb
R¼ ; ð12:15Þ
No

Noise spectral density is total noise power, in W, divided by channel bandwidth

in Hz; hence, the units of it are joules as well.
12.7 Limits to Transmission Distance in Optical Systems 343

Fig. 12.18 Bit error rate versus bit energy-to-noise ratio for various detection systems. After
Wikipedia, https://en.wikipedia.org/wiki/Eb%2FN0

Because R is energy/bit, not energy/symbol, it is a better metric for comparing

transmission fidelity at different signal-to-noise ratios across coherent and inco-
herent formats.
Figure 12.18 shows bit error rate as a function of R for different formats.
To illustrate how this is used, on the given chart, the y-axis shows bit error rate, and the
x-axis shows the ratio R. For a given ratio R (e.g., 10 dB), a BPSK transmission format
would give a bit error rate of 10−5–10−6, while amplitude shift keying (on–off keying)
would give a bit error rate of 10−3–10−4. In general techniques which have lower bits per
symbol have better bit error rates for a given R. The major tradeoff is in the extra
complexity of the coherent transmitter and receiver.
The quantity R is not fundamentally different than OSNR or SNR, as shown in
the example below.

Example: A QAM-16 system has an OSNR of 48. What is R, the

ratio of bit energy/noise spectral density? (assume the
channel bandwidth is 1/s, where s is the symbol period).
Solution: This question asks to convert signal power and
noise power, into energy per bit. Let us assume a symbol pe-
riod s and an average power level S. The total energy per
symbol is sS, and hence, the total energy per bit is sS/4 (since
344 12 Coherent Communication Systems

QAM-16 has four bits/symbol). The total noise power N con-

verts to noise spectral density by dividing it by 1/s. Hence

Eb Ss=
¼ 4 ¼ S
No N=1=s N4

or 12.

Equations 12.13 and 12.15 generally differ only by the factor of bits/symbol.

12.8 Noise Sources

Noise is generated throughout an optical transmission system, by the laser, at the

receiver, and even in the fiber and amplifiers. All of this noise figures into the noise
component seen by the receiver.
Figure 12.19 lists some of the noise sources which appear in optoelectronic
transmission links.
The diagram lists the sources of noise, and where they occur. The ones listed in
black type will be discussed in some detail with the ones listed in gray will be
roughly defined.
One note about expressions that appear for noise in many of these terms. In
optical systems in particular, the carrier frequency of hundreds of THz is much,
much larger than the signal bandwidth, of perhaps GHz. It makes no sense to look
at total noise in the carrier signal when the receivers are filtered to look at a
particular signal band. Hence, the expressions for noise all carry within them a
bandwidth B, which is equivalent to the bandwidth of the channel being received.
For example, in a WDM system spaced by 25 GHz, the relevant noise would only
be within that 25 GHz bandwidth.

Fig. 12.19 Noise sources in an optoelectronic communication system. The ones in dark type will
be discussed in detail below, and the ones in gray only mentioned and defined
12.8 Noise Sources 345

12.8.1 Relative Intensity Noise

In Chap. 8, we introduced relative intensity noise. This is noise inherently asso-

ciated with the laser, due to amplified spontaneous emission. Generally, commercial
lasers have a specification for relative intensity noise of average levels *
−145 dB/Hz, and here, we would like to specify the impact it has on transmission.
Relative intensity noise is essentially intensity fluctuations in the laser output, and it
increases the variation associated with the laser signal above. The relevant formula is
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rRIN ¼ L RIN  B ð12:16Þ

in which relative intensity noise spectral density (usually in dbW/Hz) should be

written as a ratio, B is the channel bandwidth, and L is the optical power.

Example: What is the noise and signal-to-noise ratio as-

sociated with a 1 lW signal in a laser with a typical RIN of
−140 dB/Hz and a 25 GB/s bit rate?
Solution: The RIN, written as a ratio, is
−140 = 10 log10(RINW/Hz), or
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
RINW/Hz = 10−140/10 = 10−14 Then r ¼ 1 lW 25  109  1014 ¼ 15 nW
This signal-to-noise ratio of roughly 60 dB is not a very
big limitation.

12.8.2 Shot Noise

A second important source of noise in optical communication is what is called shot

noise. Shot noise comes about because, as shall be shown, optical signals trans-
mitted for a long time can have a very low power level (e.g., lW), and each bit can
occupy a remarkably short time. A bit in a 25 Gb/s signal lasts just 40 ps. A quick
calculation shows this signal has an astonishing 25 photons per bit (or, looked at
from the receiver point of view, involves detecting 25 photons).
A typical model for a distribution of 25 generated photons, each of which
independently faces the same probability of generation and detection, is a Poisson
distribution. In such a distribution, the standard deviation rsd of a population of
N independent events is equal to
pffiffiffiffi
rsd ¼ N ð12:17Þ

(with N here the number of photons). This variation from the nominal average leads
to noise in the signal. This signal is seen by the photodetector in Amps, not Watts.
The expression below for photoreceiver shot noise in A is
346 12 Coherent Communication Systems

pffiffiffiffiffiffiffiffiffiffiffiffiffi
rshotnoiseAmps ¼ 2BgLq ð12:18Þ

where B again is channel bandwidth, L is the signal level (in W), and q is the
electronic charge. The symbol g is the responsivity of the photoreceiver, in A/W.
To get the noise in W references back to the optical signal, the photodiode noise is
divided by the responsivity, as

1 pffiffiffiffiffiffiffiffiffiffiffiffiffi
rshotnoiseW ¼ 2BgLq ð12:19Þ
g

Example: What is the shot noise (in W, and A), of a 1 lW

10 Gb/s signal impinging on a photoreceiver with
responsivity of 0.8 A/W?
Solution: The shot noise in A is
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
2  1010  0:8  106  1:6  1019 ¼ 5:5  108 A and in W,
5.5 * 10−8/0.8 = 69 nW.

12.8.3 Erbium-Doped Fiber Amplifier Noise

In any long-distance system, there are erbium-doped fiber amplifier (EDFA) links.
As we talked about back in Chap. 1, the EDFA takes 1 lm light and pumps a
population of erbium atoms into inversion, such that they create an optical gain
medium for 1.55 lm light. Such amplifiers typically amplify light by 30 dB or
more and are one of the key enabling blocks for optical transmission.
Ideally, the amplifier would amplify both the incoming signal and noise, and the
signal-to-noise ratio would remain unchanged. But in fact, through a process called
quantum noise, the EDFAs themselves actually add noise to a signal. Though a detailed
description is beyond the scope of the book, we will give a qualitative overview.
The noise in this process comes from a few factors. The erbium gain rides on a
background of spontaneous emission in the amplifier from the erbium level. This
background is also amplified and added to the output signal. This is thought to be
the dominant noise source in EDFAs.
In addition, the 1 lm pump laser has noise of its own, which translates into ‘gain
noise’ in the amplifier. Also, as the laser signal grows stronger as it is propagated
though the amplifying fiber, some of the signal photons can be reabsorbed. The
absorption process is statistical in nature and carries with it a shot noise term. If a
nominal number P of photons are absorbed or emitted, these photons follow a
pffiffiffi
Poisson distribution with a variance of P and standard deviation of P. This
statistical variation translates into additional noise on the output.
12.8 Noise Sources 347

Fig. 12.20 An illustration of the noise added by an erbium-doped fiber amplifier

This increase in noise is characterized by a noise factor F or a noise figure NF,

which is defined as

SNRin
F¼ ð12:20Þ
SNRout

NF ¼ 10 logðFÞ ¼ 10 logðSNRin Þ  10 logðSNRout Þ ð12:21Þ

Even though both the noise and the signal are multiplied by the amplifier gain G,
the amplifier itself adds noise. The signal-to-noise ratio after amplification is lower
than the signal-to-noise ratio before amplification. This is illustrated in Fig. 12.20.
Noise figures for ideal erbium-doped fiber amplifiers are always greater than
3 dB and are typically 5–6 dB.

Example: An optical signal of 10 lW and a signal-to-noise

ratio of 20 enters an EFDA with a gain of 30 dB and a noise
figure of 6 dB. Calculate the exit signal power, exit
noise power, and exiting signal-to-noise ratio.
Solution: A gain of 30 dB means a gain of a factor of a 1000,
as 30 = 10 log G, or G = 1000. If the input power is 10 lW,
the output power is then 10 mW. The initial signal-to-
noise ratio is 20 (or, 10 log (20) = 13 dB) with an initial
noise power of 500 nW within the determined bandwidth.
To calculate the output noise power, we use the noise
factor. If the noise factor is 6 dB with an initial noise
factor of 13, by Eq. 12.21, then the signal-to-noise ra-
tio is 7 dB after the amplifier. Hence, 7 = 10 log
(10 mW/N), or N = 2 mW. The noise increased by 36 dB while
the signal power increase by 30 dB, for a consequent
degradation of 6 dB in the SNR.
348 12 Coherent Communication Systems

This example illustrates that amplifiers alone are not the solution to transmission
for infinite distances. Ultimately, it the signal-to-noise ratio which fundamentally
limits transmission distances.

12.8.4 Thermal Johnson Noise

Apart from the variance in the incoming signal, the receiver photodiode has noise
associated with it even without an impinging signal. Such noise, called Johnson noise,
comes from the thermal random motion of the carriers, as shown in Fig. 12.21.
These randomly moving carriers cross an equivalent resistance, R, and give rise
to a Johnson noise (in V) of
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rJohnson ¼ 4BkTR ð12:22Þ

In which B is channel bandwidth, k is Boltzmann’s constant and T is the absolute

temperature. The symbol R is the equivalent circuit resistance seen by the photo-
diode and depends on the circuit in which it is placed.
At the end, we want to be able to add the noise due to the various causes, so we need
to reference this voltage noise back to current noise and then to optical signal noise.

1 pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rJohnsonAmps ¼ 4BkTR ð12:23Þ
Gain

in which the gain is the circuit gain, in V/A (often the feedback resistance of the
transimpedance amplifier). Referenced back to optical signal, the equivalent
Johnson noise of the optical signal is

1 1 pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rJohnsonoptical ¼ 4BkTR ð12:24Þ
g Gain

Fig. 12.21 Left: illustration of thermal Johnson noise on a diode detector. The temperature gives
rise to random carrier motion in the diode, which appear as a voltage across the equivalent circuit
resistance. Right, illustration of how the current motion leads to voltage noise in a typical circuit
12.8 Noise Sources 349

This noise is present whether or not there is a signal and is independent of the
signal magnitude.

Example: At room temperature, a photodetector is used to

detect a 25 Gb/s signal. The photodetector has a 10 K
resistor in the circuit to convert the photocurrent into
a voltage and a responsivity of 0.8 A/W. Find the equiv-
alent Johnson optical noise
Solution:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
rJohnsonvolts ¼ 4  25  109  300  1:38  1023  10;000 ¼ 6:5  104 V

To convert to Amps, the gain is needed; as the photocur-

rent goes across the resistor of 10,000 X, the gain is
10,000 V/A.

1
rJohnsonAmps ¼ 6:5  104 V ¼ 6:5  107 A
10;000

And then to optical Watts, is

1
rJohnsonWatts ¼ 6:5  108 ¼ 81 nW:
0:8

12.8.5 Combination of Noise Sources

The noise sources, each essentially random and uncorrelated, are combined in
quadrature to get the total noise.

r2noise ¼ r2shotnoise þ r2Johnonnoise þ r2RIN þ    ð12:25Þ

From the total noise, the ratio of signal-to-noise (Q) can be computed, and the bit
error rate can be estimated.

Example: For the three previous examples, we calculated

values of shot noise of 69 nW, Johnson noise of 81 nW, and
laser relative intensity noise of 15 nW for an input
signal with an input power of 1 lW. From these three,
calculate a signal-to-noise ratio (SNR), and using
350 12 Coherent Communication Systems

Table 12.2 List of other sources of optical system transmission noise

Laser Noise Explanation
Sources
1/f noise (flicker Low-frequency noise source of indeterminate cause, but generally not
noise) significant at high (>Gbaud/s) symbol rates
Mode partition Noise related to having more than one optical mode in a device.
noise Typically associated with multimode Fabry-Perot lasers
Laser quantum Noise associated with the Poisson distribution of the number of photons
noise emitted
Fiber noise sources
Polarization noise Related to coupling between modes of different polarization in the fiber
Thermal noise Noise related to temperature changes on the fiber
Acoustic noise Noise related to fiber vibration and associated stress/index changes

Fig. 12.18, estimate the bit error rate for an amplitude

shift keyed (on–off keyed) transmission format.
Solution: The three noises add in quadrature as
r2noise ¼ ð81 nWÞ2 þ ð15 nWÞ2 þ ð69 nWÞ2 ¼ ð107 nWÞ2 , so the total
noise power is 107 nW.
The signal-to-noise power ratio, Q, is 1000/107 = 10. This
gives roughly a bit error rate of 10−3. Notice, of course,
that binary phase shift keying would lead to a much better
bit error rate of 10−6.

12.8.6 Other Noise Sources

Listed in Fig. 12.19, above, are other noise sources (and there are of course others
that can be imagined). Table 12.2 briefly defines those noise terms.
All of these noise sources cooperate to hide the signal, and it is the ratio of the signal
strength to the total noise which governs the detectability and speed of the system.

12.9 Final Words

Here, we come to the end of the book, but not, fortunately, to the end of the subject.
There are many fascinating topics in the broad area of semiconductor lasers that we
have not even touched upon.
We have focused in this book on topics that concern communications lasers at
the conventional 1.3 or 1.55 lm wavelength. The factors which control directly
modulated speed have been covered and the reader should come away with a good
understand of the limitations and capabilities of directly modulated, distributed
feedback lasers.
12.9 Final Words 351

We have also talked about external modulation techniques, including integrated

laser modulators and Mach-Zehnder modulators. The highest performance optical
transmission systems do not use direct modulation; they use external modulation,
which is typically combined with techniques for coherent transmission and forward
error correction. Performance from these systems is quite incredible. In October
2018, Fujitsu demonstrated 600 Gb/s transmission on a single wavelength using
64-QAM. Commercial switch systems up to 500 Gb/s are available. There is hardly
any limit to the bandwidth available over a fiber.
All of this capability is built upon semiconductor lasers and imposes stringent
requirements upon the lasers. We hope that with the aid of this book, these laser
requirements can now be appreciated and (if this is your job function) satisfied.
There are also some fascinating new areas in laser materials, all invented since
the beginning of the 1990s. The development of high-efficiency blue LEDS and
blue lasers based on GaN on sapphire was a phenomenal breakthrough, enabling
new applications for displays and for solid-state lighting using shorter wavelength
lasers. On the very long-wavelength side, a team at Bell Laboratories developed a
method to use conventional semiconductors, with bandgaps around 1 eV or higher,
to emit very low energy and very long-wavelength photons. The quantum cascade
laser is now widely used in spectroscopy and is the most convenient method for the
generation of long-wavelength sources.
The first semiconductor laser was demonstrated using bulk semiconductors at
low temperature, but quantum wells have been the standard material for semi-
conductor lasers for many years. The extra confinement they provide compared to
bulk material allows for good performance and room temperature or higher oper-
ation. However, recently, practical quantum dot materials have emerged. These
materials have demonstrated lower threshold current density and higher temperature
independence than any quantum well device. Quantum dot active regions are
currently being developed as a potential alternative to quantum well active regions
for applications in optical communication and other areas.

12.10 Summary and Learning Points

In this chapter, we have looked at coherent communication systems which make up

the bulk of long distance, high speed links. The formats used for encoding bits with
phase and amplitude were described, and the methods for generating and detecting
coherent signals were outlined. We also discussed sources of noise in laser com-
munication systems and how they limit transmission.

A. Coherent light can be represented as a phasor, with the amplitude and phase
with respect to a reference shown as a vector on a two-dimensional plane.
B. Coherent transmission methods modulate and detect both the amplitude and
phase of the light and encode and decode that light into data.
C. Coherent transmission has many different formats, with various degrees of
complexity and bits/symbol associated with them.
352 12 Coherent Communication Systems

D. Binary phase shift keying (BPSK) shifts the phase of the optical wave by 180° to
signify one symbol or another, while keeping the amplitude of the wave the same.
E. Quaternary phase shift keying (QPSK) shifts the phase by 90°, while keeping
the amplitude of the wave the same. It can be extended to eight, sixteen, or
arbitrary phase levels, depending on the sensitivity of the receiver.
F. In quadrature amplitude modulation, both the phase and amplitude of the wave
are modulated. This is usually named by the number of distinct symbols that are
created: 16 QAM, 64 QAM, and so forth.
G. These systems have the advantages of lower symbols rates for a given bit rate
compared to directly modulated systems. They can also operate at lower
signal-to-noise ratios than amplitude-only systems.
H. These transmission formats need high-speed electronics to receive and recover
the signal.
I. Coherent systems can electronically compensate for polarization mixing
(leading to polarization division multiplexing on standard fiber) and dispersion.
J. The mechanics of the phase of the optoelectronics transmitters involve phase
shifts with optoelectronic materials (typically lithium niobate, via the elec-
trooptic effect, or silicon waveguides, via the plasma effect).
K. Phase shifters by themselves do the phase shifting required for phase shift
keying and create the in-phase and quadrature components for coherent
transmitters.
L. A combination of phase shifters and splitters and combiners creates modulators
to change the amplitude of the in-phase and quadrature components of the
signal.
M. The receiver consists of a reference signal, splitters, and balanced photodiodes
to combine the signal in-phase and quadrature component with the reference.
N. Signal-to-noise ratio is the signal power divided by the noise power with the
system bandwidth. A related parameter, R, is the bit energy over the noise
power within the system bandwidth.
O. The signal-to-noise ratio determines the bit error rate for a given communica-
tion format.
P. The sources of noise in optical transmission system include noise attributed to
the laser, noise attributed to the fiber and amplifiers, and noise attributed to the
receiver.
Q. The dominant noise source in transmission systems is quantum noise in the
erbium doped fiber amplifier. These amplifiers raise the signal-to-noise ratio of
the transmitted signal by 3–6 dB.
R. Shot noise is attributed to absorption of photons being a random,
Poisson-distributed process.
S. Johnson (thermal) noise on the receiver is the result of a small, random, thermal
current being superimposed on the photocurrent.
T. Independent noise sources combine in quadrature to give a total noise.
12.11 Questions 353

12.11 Questions

Q12:1 What is meant by the phase of an optical signal? How would it be directly
measured and how is it measured on optical signals?
Q12:2 What is modulated in amplitude shift keying (ASK), phase shift keying
(PSK), and quadrature amplitude modulation (QAM) systems?
Q12:3 How are phase shifts in optical signal realized?
Q12:4 Sketch the building blocks of a coherent optical transmitter. What are its
essential components?
Q12:5 Sketch the building blocks of a coherent optical receiver. What are its
essential components?
Q12:6 How is the mixing required to decode optical phase accomplished?
Q12:7 List the advantages and disadvantages of coherent communication over
amplitude shift keying.
Q12:8 What fundamentally limits the transmission capability of an (optical) system?
Q12:9 What are some of the noise sources inherent in optical communications?

12.12 Problems

P12:1 Sketch a phase ‘constellation’ of the amplitude-shift-keyed transmission

system with four levels. Consider how the optical phase matters in an
amplitude-modulated system.
P12:2 A quadrature amplitude modulation coherent transmission system is shown
in Fig. P12.22 (which include the phase constellation, and some
time-domain data showing symbol changes). There are 32 points in the
phase constellation phase constellation, and the period is 40 ps.

(a) What is the transmission rate in Gbits/s and the symbol rate in Gbaud?
(b) Assume the arrow in the phase constellation is an amplitude of 1 and a
phase of 0 (essentially represents the reference phasor) What is the
amplitude and phase of the solid point at 2, 3?
(c) Write the phasor in P12.22 as a time-domain optical signal.

P12:3 In the quadrature amplitude-modulated transmitter pictured in Fig. 12.14, a

90° phase shift is pictured associated with the Q component. How long
should that path be to implement a 90° phase shift at 1.55 lm if the
waveguide has an effective index of 2.1?
P12:4 Over a certain length, a fiber will attenuate a 1-mW 1.55-lm wavelength
average power signal by *30 dB, down to a 1 lW signal. The signal is
then received by a p-i-n receiver.

(a) If the data rate is 10 Gb/s, calculate the number of photons received in a
single bit.
354 12 Coherent Communication Systems

Fig. P12.22 A phasor constellation and sample associated time-domain signal measurements

(b) Calculate the signal/shot noise ratio. (Assume shot noise is the domi-
nant noise in this system.)
(c) From Fig. 12.18, estimate the bit error rate over this link for each of the five
formats listed (remember to put it c) in log scale, as the graph is in log scale).

OOK:
BPSK:
8-PSK:
16 QAM:

P12:5 A particular system requires a bit error rate of <10−6. For each of the
communication formats given, assuming the symbol rate is 10 Gbaud and
the noise/bit is 100 nW, what laser power would be needed?
P12:6 A 10 Gbaud/s PAM-4 system has shot noise of 50 nW, thermal (Johnson)
noise of 50 nW, and relative intensity noise of 10 nW when received by a
photoreceiver after *100 km of travel. The launch power is 1 mW and the
received power is 1 lW.

(a) Find the total noise power and signal-to-noise ratio

(b) Find the energy/bit
(c) Suppose the signal goes through an amplifier with a noise figure of
4 dB, is transmitted another 100 km, and then received. Find the total
noise power and signal-to-noise ratio.
Index

A 219–222, 224–228, 230, 232, 233, 235,

Absorption, 20–24, 28, 48–50, 52, 69–71, 241, 243–246, 248, 250, 251, 259, 274,
73–75, 77, 80, 88–91, 93, 95, 101, 275, 277, 287, 288, 290, 314
103–107, 109, 148, 162, 164, 200, 217, Chip, 6, 7, 203, 204, 255, 263, 276–279, 311
225, 228, 251, 264, 281, 286, 288, 291, Coherent transmission, 312, 317, 331, 338,
304–306, 312, 316, 318, 319, 346, 352 339, 351, 353
Amplifier noise, 346 Coupled mode theory, 226, 240, 241
Arrayed waveguide, 298, 318 Coupling, 166, 178, 179, 184, 222, 224, 242,
246, 252, 275, 288, 298, 313, 314, 318,
B 333, 350
Back facet phase, 229, 230, 232–235, 239, 240, Critical thickness, 31, 39, 40, 42, 50, 51, 53
251
Balanced photodiode, 334–336, 352 D
Bandwidth limits, 199, 203, 210, 211 Defects, 40, 91, 93, 94, 205, 263, 264, 269,
Bernard-Durrafourg condition, 70, 77 272–274, 279–281, 286
Bits, 2, 9, 43, 48, 49, 60, 135, 168, 184, 193, Degenerate, 14
196, 223, 230, 244, 256–258, 263, 267, Density of states, 8, 9, 13, 15, 17–19, 28, 29,
274, 295, 296, 300–303, 317–319, 323, 46, 47, 53–57, 59, 60, 62, 64–68,
324, 326–328, 330, 331, 339–345, 70–73, 77–81, 83, 112, 162
349–354 Depletion region, 112, 116, 121, 123–126, 128,
Black body, 2, 12, 13, 15–21, 28, 29, 54, 55 129, 131, 137, 142, 145–147
Black body radiation, 12, 13, 19, 29 Design, 8, 9, 37, 38, 89, 100, 108, 151, 152,
Bose-Einstein distribution function, 14 166, 167, 172, 175, 178, 182, 195, 209,
Bragg reflector, 152, 220, 222, 223, 226, 244, 212, 218, 226, 232, 236, 246, 247, 251,
250, 275, 288 252, 263–265, 268, 277, 285–288, 290,
Built-in voltage, 112, 120–123, 145 315, 320, 331
Buried heterostructure, 203, 262, 267, 270, Design tools, 287
272–275, 280, 288, 290 Detuning, 252, 259, 260, 288, 289, 291
D-factor, 198, 201, 206
C Differential gain, 47, 108, 187, 191, 192,
Capacitance, 200, 203, 204, 206–208, 210, 199–202, 207, 210–212, 218, 259,
211, 214, 273, 287, 288, 290, 303, 305, 287–289
317, 321, 332, 339 Differential Phase Shift Keying (DPSK), 326,
Catastrophic Optical Damage (COD), 205, 327
280, 281 Diffusion current, 112, 118–120, 124, 128,
Cavity, 6, 8, 9, 16, 22, 23, 25, 27, 30, 83–88, 129, 145, 149
91–93, 95, 96, 98–101, 105–110, Diffusion length, 127, 130, 131
151–166, 168, 169, 173, 175, 178–181, Direct bandgap, 43, 44, 46, 50, 51
191, 198, 200, 206, 207, 212, 215, Dislocation, 40

© Springer Nature Switzerland AG 2020 355

D. J. Klotzkin, Introduction to Semiconductor Lasers for Optical Communications,
https://doi.org/10.1007/978-3-030-24501-6
356 Index

Dispersion, 4–6, 8, 9, 35, 44–46, 48, 50, 56, Gaussian distribution, 29

162, 216–218, 240, 256–258, 290, 291, Grating fabrication, 249, 267, 270
294–296, 303, 312, 314, 319, 339, 352 Group index, 152, 158, 159, 161, 179, 180,
Dispersion penalty, 185, 255–258, 289, 291, 182, 219, 314
303
Distributed feedback laser, 8, 9, 24, 152, 162, H
192, 215–218, 222, 224–226, 228, 230, Hakki-Paoli method, 164
231, 237–241, 243, 246, 247, 250–252,
256, 258–260, 267, 269–271, 277, 286, I
289, 292, 319, 350 Index coupled, 225, 230, 251
Dopant, 35, 113, 115, 116, 118, 120–122, 129, Indirect bandgap, 43, 50, 51, 79
266 Integrated laser modulator, 305, 306
Drift current, 116, 119, 120, 124, 141, 145, 149 Internal quantum efficiency, 83, 98, 99, 101,
103–107, 189
E
Effective density of states, 113 J
Effective index method, 175, 176, 179 Johnson noise, 348, 349
Effective mass, 46, 56–59, 63, 65, 77–80, 263 Joint density of states, 72, 73
Electrooptic effect, 311, 352
Electrostatic discharge, 285, 286 K
Erbium Doped Fiber Atmosphere (EDFA), 5, Kappa, 224, 236
346 K-factor, 200, 202–205, 208, 210–212, 331,
Etalon, 152, 154, 156, 158, 160, 163, 169, 174, 339
178, 180
External modulation, 8, 184, 293, 296, 303, L
312, 317, 318, 351 Laser bandwidth, 203, 205, 210, 211
External quantum efficiency, 98, 104, 105, 107 Laser bar, 6, 7, 84, 97, 98, 100, 153, 206, 220,
Eye pattern, 184, 187, 207, 208, 210, 213, 303, 226
319, 341, 342 Laser linewidth, 258, 312–314
Lateral mode, 165, 166, 179, 180, 219, 275
F Lattice constant, 34, 35
Fabry-Perot laser, 154 Lattice-matched, 34, 39, 42
Facet reflectivity, 86, 87, 99, 100, 105, 106, Linewidth enhancement factor, 313, 314, 318,
109, 156, 158, 164, 179, 180, 182, 212, 320, 321
228, 232 Lithium niobate, 258, 307–309, 318, 332, 352
Failures In Time (FITs), 282, 283, 285, Longitudinal mode, 152, 153, 161, 162, 165,
290–292 178, 179, 219, 250
Far field, 166, 167, 179, 275 Loss coupled, 245
Fermi-Dirac distribution function, 28, 66
Fermi level, 9, 66–71, 77, 79, 81, 84, 89, M
112–116, 121, 123–126, 132–137, 140, Mach-Zehnder modulator, 295, 307, 311, 318,
146–148 319
Free spectral range, 151, 154, 156–159, 174, Majority carriers, 115, 124, 125, 127, 129, 135,
180, 215, 216, 219, 220, 250 138, 141
Matthiessen’s rule, 189
G Mean Time Before Failure (MTBF), 282–285,
Gain bandwidth, 160, 161, 179, 215, 216, 219, 290, 292
220, 222, 250 Minority carriers, 112, 115, 120, 124–129
Gain compression, 191–193, 197, 199–202, Mode index, 159, 160, 165, 174, 179, 182,
210, 211 200, 235
Gain coupled, 245 Modulation, 8, 9, 90, 163, 183–188, 190–192,
Gain medium, 23, 25–28, 32, 84, 85, 218 196–201, 203–207, 210, 211, 216, 249,
Index 357

258, 288, 294–296, 299–307, 309–312, R

314, 317–320, 323, 328, 333, 339, 340, Radiative lifetime, 189, 212
351–353 Radiative recombination, 33
Multiplexing, 217, 294, 296, 298, 299, 317, Random failure, 280, 290, 292
329, 330 Reciprocal space, 15, 16, 45
Reduced mass, 72
N Reflectivity, 25, 27, 84, 85, 87, 99–101,
Noise, 5, 9, 205, 206, 217, 294, 302, 312, 314, 105–109, 154, 156, 158, 164, 212, 215,
323, 326, 329, 335, 336, 339–350, 220–229, 231, 235, 242, 247, 248,
352–354 250–253, 277, 286
Non-radiative lifetime, 212 Relative Intensity Noise (RIN), 206, 207, 345,
Non-Return to Zero (NRZ), 300, 301, 319 349, 354
Reliability, 8, 9, 255, 262, 264, 273, 279–283,
O 285, 290, 291
Optical Add Drop Multiplexors (OADM), 299 Requirements for lasing system, 11, 23
Optical gain, 8, 53, 54, 65, 70, 71, 76–79, Return-to-Zero (RZ), 300, 318, 319
83–85, 88, 151, 160, 162, 164, 178, Ridge waveguide, 6–8, 102, 103, 105, 143,
191, 218, 230, 246, 260, 313, 314, 346 152, 153, 166, 175, 176, 178, 179, 256,
Optical loss, 5, 88, 98, 106, 202, 220, 231, 291, 262, 264, 265, 270–275, 290
305, 313
Optical overstress, 286 S
Schottky junction, 133, 137, 141–143, 324
P Shot noise, 345, 346, 349, 352, 354
Pauli exclusion principle, 14 Side Mode Suppression Ratio (SMSR), 185,
Phase shift keying, 326, 327, 332, 340, 350, 234, 235, 250, 277, 279
352, 353 Signal-to-noise ratio, 342
Photon lifetime, 95, 97, 106, 107, 156, 191, Slope asymmetry, 221
195, 199, 202, 210–213, 287 Snap test, 286
Photoreceiver, 315, 318, 342, 345, 346, 354 Space charge region, 116, 118–122
Plasma effect, 310, 311, 313, 318, 332, 352 Spatial hole burning, 191, 192, 233, 268, 269
Polarization division multiplexing, 329, 352 Spectral hole burning, 161, 191, 192, 234
Pulse Amplitude Modulation (PAM), 302, 319 Spontaneous emission, 20–24, 28, 33, 92, 93,
96, 97, 109, 154, 160, 190, 191, 193,
Q 196, 206, 246, 250, 312, 313, 318, 345,
Quadrature Amplitude Modulation (QAM), 346
328, 333, 352, 353 Stimulated absorption, 29
Quantum-Confined Stark Effect (QCSE), 304, Stimulated emission, 11, 12, 20–24, 26–29, 33,
318 69, 70, 77, 92, 93, 95, 96, 190, 206,
Quantum efficiency, 83, 98, 99, 101, 103–107, 293, 312
189 Stopband, 244, 246, 247, 250
Quantumstate, 14 Strain, 8, 31, 38–43, 50–53, 264, 265, 267
Quantum well, 6, 8, 9, 18, 31, 34, 39, 40, 42, Strain compensation, 42
43, 50, 51, 53, 55, 59–68, 75, 77, 78, Submount, 206, 209
80, 83, 89, 90, 92, 93, 105, 110, 112, Symbols, 9, 78, 198, 244, 295, 300–302,
133, 154, 165, 166, 169, 178, 181, 200, 317–319, 325–329, 331, 332, 335, 339,
205, 219, 220, 223, 249, 252, 259, 260, 340, 342–344, 346, 348, 350–354
263, 264, 270, 272, 274, 286–288, 297,
304–306, 318, 319, 351 T
Quasi-Fermi level, 8, 9, 66–71, 74, 77, 81, 84, T0, 260, 261, 289–291
87, 89, 112, 124, 125, 132, 133, TE mode, 165, 169, 172, 176, 180
146–148 Temperature effects, 258, 259, 289
TM mode, 165, 169, 170, 174, 179–182
358 Index

Transfer matrix method, 221, 225, 237, 238, W

240, 250, 252 Wafer, 6, 7, 40, 48, 49, 84, 99, 114, 142, 144,
Transparency carrier density, 87 153, 214, 226–228, 231, 232, 235, 247,
Transparency current density, 87, 104–107, 249, 251, 263–279, 285, 290, 305, 318
193 Wafer fabrication, 263, 264, 267, 270, 272, 274
Wavelength Division Multiplexing (WDM),
U 217, 259, 289, 295–298, 317, 319, 344
Unity round trip gain, 85–87, 105, 225, 226 Wear out failure, 282, 290
Work function, 133–136, 138–140, 146, 148,
V 149
Vp, 308, 309, 320, 332
Vegard’s law, 38 Y
Vertical Cavity Surface Emitting Laser Yield, 9, 62, 215, 230, 233, 235, 247, 249, 251,
(VCSEL), 108, 109, 212, 219, 220, 274, 253, 268, 269, 278, 279, 290
275