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 Reinhold Noé

Essentials
of Modern
Optical Fiber
Communication
Second Edition

123
Essentials of Modern Optical Fiber Communication
Reinhold Noé

Essentials of Modern Optical

Fiber Communication
Second Edition

123
Reinhold Noé
Faculty of Computer Science, Electrical
Engineering and Mathematics, Institute
for Electrical Engineering and Information
Technology
Paderborn University
Paderborn
Germany

ISBN 978-3-662-49621-3 ISBN 978-3-662-49623-7 (eBook)

DOI 10.1007/978-3-662-49623-7

Library of Congress Control Number: 2016935217

© Springer-Verlag Berlin Heidelberg 2010, 2016

This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part
of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations,
recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission
or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar
methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are exempt from
the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in this
book are believed to be true and accurate at the date of publication. Neither the publisher nor the
authors or the editors give a warranty, express or implied, with respect to the material contained herein or
for any errors or omissions that may have been made.

Printed on acid-free paper

This Springer imprint is published by Springer Nature

The registered company is Springer-Verlag GmbH Berlin Heidelberg
Preface

This book covers important aspects of modern optical communication. It is inten-

ded to serve both students and professionals. Consequently, a solid coverage of the
necessary fundamentals is combined with an in-depth discussion of recent relevant
research results.
The book has grown from lecture notes over the years, starting 1992. It
accompanies my present lectures on Optical Communication A (Fundamentals),
B (Mode Coupling), C (Modulation Formats) and D (Selected Topics) at Paderborn
University in Germany.
I gratefully acknowledge contributions to this book from Dr. Timo Pfau,
Dr. David Sandel and Prof. Dr. Sebastian Hoffmann.

v
Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
2 Optical Waves in Fibers and Components. . . . . . . . . . . . . . . . . . . . 3
2.1 Electromagnetic Fundamentals. . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.1.1 Maxwell’s Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2.1.2 Boundary Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2.1.3 Wave Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.4 Homogeneous Plane Wave in Isotropic
Homogeneous Medium . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.1.5 Power and Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.2 Dielectric Waveguides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
2.2.1 Dielectric Slab Waveguide . . . . . . . . . . . . . . . . . . . . . . . 29
2.2.2 Cylindrical Dielectric Waveguide . . . . . . . . . . . . . . . . . . 38
2.3 Polarization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
2.3.1 Representing States-of-Polarization . . . . . . . . . . . . . . . . . 52
2.3.2 Anisotropy, Index Ellipsoid . . . . . . . . . . . . . . . . . . . . . . 58
2.3.3 Jones Matrices, Müller Matrices . . . . . . . . . . . . . . . . . . . 65
2.3.4 Monochromatic Polarization Transmission . . . . . . . . . . . . 82
2.3.5 Polarization Mode Dispersion . . . . . . . . . . . . . . . . . . . . . 92
2.3.6 Polarization-Dependent Loss . . . . . . . . . . . . . . . . . . . . . . 100
2.4 Linear Electrooptic Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
2.4.1 Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
2.4.2 Soleil-Babinet Compensator . . . . . . . . . . . . . . . . . . . . . . 110
2.5 Mode Coupling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
2.5.1 Mode Orthogonality. . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
2.5.2 Mode Coupling Theory . . . . . . . . . . . . . . . . . . . . . . . . . 119
2.5.3 Codirectional Coupling in Anisotropic Waveguide. . . . . . . 122
2.5.4 Codirectional Coupling of Two Waveguides . . . . . . . . . . . 129
2.5.5 Periodic Codirectional Coupling . . . . . . . . . . . . . . . . . . . 135
2.5.6 Periodic Counterdirectional Coupling . . . . . . . . . . . . . . . . 140

vii
viii Contents

2.6 Differential Group Delay Profiles . . . . . . . . . . . . . . . . . . . . . . . . 142

2.6.1 DGD Profiles and Discrete Mode Coupling . . . . . . . . . . . 142
2.6.2 Polarization Mode Dispersion Compensation. . . . . . . . . . . 148
2.6.3 Chromatic Dispersion Compensation . . . . . . . . . . . . . . . . 154
2.6.4 Fourier Expansion of Mode Coupling . . . . . . . . . . . . . . . 160
2.6.5 DGD and PDL Profiles Determined
by Inverse Scattering . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
2.7 Nonlinearities in Optical Fibers . . . . . . . . . . . . . . . . . . . . . . . . . 169
2.7.1 Self Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . . . 170
2.7.2 Cross Phase Modulation . . . . . . . . . . . . . . . . . . . . . . . . . 181
2.7.3 Four-Wave Mixing . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184
3 Optical Fiber Communication Systems . . . . . . . . . . . . . . . . . . . . . . 189
3.1 Standard Systems with Direct Optical Detection . . . . . . . . . . . . . 189
3.1.1 Signal Generation, Transmission, and Detection . . . . . . . . 189
3.1.2 Regeneration of Binary Signals . . . . . . . . . . . . . . . . . . . . 206
3.1.3 Circuits and Clock Recovery. . . . . . . . . . . . . . . . . . . . . . 214
3.2 Advanced Systems with Direct Detection . . . . . . . . . . . . . . . . . . 222
3.2.1 Photon Distributions . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
3.2.2 Noise Figure of Optical Amplifier . . . . . . . . . . . . . . . . . . 228
3.2.3 Intensity Distributions . . . . . . . . . . . . . . . . . . . . . . . . . . 232
3.2.4 Receivers for Amplitude Shift Keying . . . . . . . . . . . . . . . 236
3.2.5 Receivers for Differential Phase Shift Keying . . . . . . . . . . 241
3.2.6 Polarization Division Multiplex . . . . . . . . . . . . . . . . . . . . 256
3.3 Coherent Optical Transmission . . . . . . . . . . . . . . . . . . . . . . . . . 262
3.3.1 Receivers with Synchronous Demodulation. . . . . . . . . . . . 262
3.3.2 Carrier Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
3.3.3 Receivers with Asynchronous Demodulation. . . . . . . . . . . 283
3.3.4 Laser Linewidth Requirements . . . . . . . . . . . . . . . . . . . . 287
3.3.5 Digital Coherent QPSK Receiver. . . . . . . . . . . . . . . . . . . 294
3.3.6 Digital Coherent QAM Receiver . . . . . . . . . . . . . . . . . . . 306
3.3.7 Other Modulation Schemes. . . . . . . . . . . . . . . . . . . . . . . 324

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
Chapter 1
Introduction

At the end of the 1970s, telecom carriers started to lay optical fiber between telecom
exchange offices, and coaxial cable for electrical data communication was no longer
deployed. The performance of optical fiber communication has since then grown
exponentially, very much like Moore’s law for the complexity of electronic circuits.
In the electronic domain, rising clock speeds, miniaturization of feature sizes, and
chip size increase along two, maybe soon along the third dimension, are con-
tributing to this truly impressive growth. The performance of optical communica-
tion is determined by clock speed as offered by a state-of-the-art electronic
technology, availability of several or if needed many fibers in one cable, multiple
optical channels carried on a single optical fiber by means of wavelength division
multiplex, and recently the transmission of several bits per symbol.
The economic and societal impact is dramatic: Optical fiber communication is a
key enabler of the worldwide web, of e-mail and of all but local telephone con-
nections. The technically exploitable fiber bandwidth is roughly 10 THz, orders of
magnitude higher than in other media. Fiber attenuation is extremely small: After
100 km of fiber there is still about 1 % of the input power left. Optical amplifiers,
with 4 THz bandwidth or more, overcome fiber loss so that transoceanic trans-
mission is possible without intermediate signal regeneration.
Around the year 2000, in the so-called dotcom era, growth rates of information
exchange of about one order of magnitude per year were forecast. This triggered
massive investments and resulted in the founding of many new companies in a short
time. A significant part of that investment was lost, while achieved technical pro-
gress remains available at large. The telecom industry has consolidated since then
because investments make sense only if customers pay them back. Of course,
customers don’t want to spend a significant part of their household budget for
communication, even though available bandwidth has grown by more than two
orders of magnitude thanks to DSL technology.
But today’s communication does indeed grow by a factor of 1.4 per year or so.
Private communication such as music downloading, video portals, personal web-
sites and of course also the ever more complex and video-laden media and
© Springer-Verlag Berlin Heidelberg 2016 1
R. Noé, Essentials of Modern Optical Fiber Communication,
DOI 10.1007/978-3-662-49623-7_1
2 1 Introduction

enterprise websites are responsible for this, along with video telephony services,
drastically increasing usage of the internet in developing countries, and so on. As a
consequence there is healthy business. In contrast, revenues increase only on a
single-digit percent scale annually. The quantitative growth is entertained by the
technical and productivity progress.
With the rather conservative spending pattern of end users in mind, telecom
carriers want to preserve their enormous investments in fiber infrastructure, and to
use newly deployed fiber most economically. Multilevel modulation schemes,
including the use of two orthogonal polarization modes, are needed to exploit fibers
optimally. At the same time, phase modulation increases noise tolerance. Recent
research and development places special emphasis on these issues, and so does this
book.
Understanding fibers requires a knowledge of dielectric waveguides and their
modes, including polarizations. Chapter 2 is therefore devoted to wave propagation
in ideal and nonideal optical waveguides, also exhibiting polarization mode dis-
persion and polarization-dependent loss, to mode coupling, electrooptic compo-
nents and nonlinear effects in silica fibers. Most optical components and
transmission effects are based on these features.
Chapter 3 discusses optical transmission systems of all kinds. The simplest are
standard intensity-modulated direct-detection systems. Their reach can be dramat-
ically extended by optical amplifiers, the theory of which is thoroughly described.
Performance is enhanced by binary and quadrature phase shift keying with inter-
ferometric detection. Symbol rate can be doubled by polarization division multi-
plex. The same is possible also with coherent optical systems. But these can as well
detect signal synchronously, which again increases performance. The principle is
that the received signal and the unmodulated signal of a local laser are superim-
posed. The power fluctuations resulting from this interference are detected. Several
signal superpositions and detectors allow obtaining an electrical replica of the
optical field vector. Coherent optical transmission systems can therefore electron-
ically compensate all linear distortions suffered during transmission. Signal pro-
cessing and control algorithms for high-performance digital synchronous coherent
optical receivers conclude the book. Coherent transmission, which increases the
traditional fiber capacity 10- or 20-fold, has become a megatrend in optical com-
munication since 2007.
Fiber-to-the-home services can increase customer data rates by several more
orders of magnitude and make it likely that the pressure for increased capacity at
moderate cost in metropolitan area and long haul communication will continue.
Chapter 2
Optical Waves in Fibers and Components

2.1 Electromagnetic Fundamentals

2.1.1 Maxwell’s Equations

Electromagnetic radiations obeys Maxwell’s equations

@D
curl H ¼ þJ Ampere0 s law; ð2:1Þ
@t
@B
curl E ¼  Maxwell-Faraday equation; ð2:2Þ
@t

div D ¼ q Gau
0 s law; ð2:3Þ

div B ¼ 0 Gau
0 s law for magnetism; ð2:4Þ

We take the divergence of (2.1) and obtain with div curl A ¼ 0 the

@q
div J ¼  continuity equation; ð2:5Þ
@t

It says that the current drained from the surface of a differential volume element
equals the reduction of charge per time interval (preservation of charge). The
equations can be brought into integral form, using Gauß’s and Stokes’s integral
theorems,
I ZZ  
@D @We
H  ds ¼ þ J  da ¼ þI ð2:6Þ
@t @t

© Springer-Verlag Berlin Heidelberg 2016 3

R. Noé, Essentials of Modern Optical Fiber Communication,
DOI 10.1007/978-3-662-49623-7_2
4 2 Optical Waves in Fibers and Components
RR RR
(I ¼ J  da: enclosed current; We ¼ D  da: electric flux),
I Z Z 
@ @Wm
Uind ¼ E  ds ¼  B  da ¼ ð2:7Þ
@t @t
RR
(Uind : induced voltage; Wm ¼ B  da: magnetic flux),
ZZ ZZZ ZZZ
 D  da ¼ q dV ¼ Q ðQ ¼ q dV : enclosed chargeÞ; ð2:8Þ

ZZ
 B  da ¼ 0; ð2:9Þ

ZZ ZZZ 
@ @Q
I ¼  J  da ¼  q dV ¼  : ð2:10Þ
@t @t

The relations between fields and flux densities are given by the material
equations
D ¼ e0 E þ P; ð2:11Þ

B ¼ l0 H þ M: ð2:12Þ

In isotropic media electric (P) and magnetic (M) dipole moment have the same
direction as the corresponding field. Therefore the material equations simplify into

D ¼ eE ¼ e0 er E ¼ e0 ð1 þ vÞE ðv : susceptibilityÞ; ð2:13Þ

B ¼ lH ¼ l0 lr H: ð2:14Þ

But the same equations can also be applied for anisotropic media if ε (and χ) and
μ are not defined as scalars but as rank-2 tensors (matrices),

D ¼ eE ¼ e0 er E ¼ e0 ð1 þ vÞE B ¼ lH: ð2:15Þ

The material tensors are quadratic 3 × 3 matrices. In non-magnetic media, as

employed in optics, it holds lr ¼ 1, l ¼ l0 . All the same we will occasionally set l
instead of l0 in order to emphasize the analogy of treatment of magnetic and
electric field or to show that equations can be used also outside the optical domain.
The relative dielectricity constant serves to define the refractive index n through
er ¼ n2 . In vacuum it holds lr ¼ 1, er ¼ n2 ¼ 1.
Ohm’s law

J ¼ rE; ð2:16Þ

which is another material equation, relates current density and electric field.
2.1 Electromagnetic Fundamentals 5

Time-dependent signals can be expressed by summation of Fourier components

with different frequencies in the frequency domain. Therefore a complex separation
ansatz of space and time dependence such as Hðr; tÞ ¼ HðrÞejxt is particularly apt
to solve Maxwell’s equations. The physical, scalar or vectorial amplitude quantity
is simply the real part of the corresponding complex quantity. If one replaces @=@t
by jx then (2.1) becomes

curl H ¼ jxD þ J ¼ jxeE þ J with D ¼ eE; ð2:17aÞ

where we have assumed time-invariance of ε. Losses are taken into account in the
current density J, which facilitates the interpretation of Poynting’s vector. But in
optics it is often more convenient to take losses into account in a complex
dielectricity constant

e ¼ e0 er ¼ e0 ðer  jeri Þ ¼ e0 er  jr=x ¼ e  jr=x; ð2:18Þ

here defined for isotropic media. This results in a re-defined complex flux density

r 1
D ¼ eE ¼ eE  j E ¼ eE  j J; ð2:19Þ
x x

1 1 @q
div D ¼ div eE þ div J ¼ q  ¼ q  q ¼ 0: ð2:20aÞ
jx jx dt

Here (2.5) has been inserted. In (2.17a, b) the term jxD þ J is replaced by the
re-defined (by 2.19) jxD. One obtains

@D @E
curl H ¼ ¼e ¼ jxD ¼ jxeE with D ¼ eE: ð2:21aÞ
@t @t

Note that the effects of current density are duly taken into account, like in (2.17a, b).
If there are pure ohmic losses then σ is frequency-independent. Generally it
depends on frequency. Losses are characterized by r [ 0; eri [ 0. In lasers and
optical amplifiers one utilizes media which amplify electromagnetic radiation in the
optical domain, where r\0; eri \0 is valid.
The two definitions of D are based on two different usages in the literature.
While (2.21a, b) is formally (2.17a, b) in contradiction with (2.1) the current density
is correctly taken into account by the complex dielectricity constant e.
Analogously, magnetic losses can be expressed by a complex permeability
constant

l ¼ l0 lr ¼ l0 ðlr  jlri Þ: ð2:22Þ

For anisotropic media one uses complex material tensors e, l.

6 2 Optical Waves in Fibers and Components

We obtain Maxwell’s equation in complex notation

curl H ¼ jxD ¼ jxeE; ð2:21bÞ

curl E ¼ jxB ¼ jxlH; ð2:23Þ

div D ¼ div ðeEÞ ¼ 0; ð2:20bÞ

 
div B ¼ div lH ¼ 0: ð2:24Þ

With real dielectricity constant when using the other definition of the electric
flux density (dielectric displacement) it holds instead

curl H ¼ jxD þ J ¼ jxeE þ J; ð2:17bÞ

div D ¼ div ðeEÞ ¼ q; div J ¼ div ðrEÞ ¼ jxq: ð2:25Þ

2.1.2 Boundary Conditions

Normally the medium of wave propagation is not homogeneous and infinite in

pffiffiffiffi
space. For example, between air (refractive index n ¼ er  1) and silica
(n ≈ 1.46) there is a refractive index difference which must be taken into account in
the calculations. The most effective way to do this is to solve the wave propagation
equations at both sides of the boundary and to equate the two solutions with free
parameters, using the boundary conditions.
We first determine the normal boundary conditions for electric and magnetic
flux densities perpendicular to the boundary. In Fig. 2.1a the boundary region
between two media with different material properties is sketched. Let the two media
1, 2 be homogeneous and isotropic. Bottom and lid of a shallow cylinder, both with
area F, lie in media 1 and 2 with material constants l1 ; e1 and l2 ; e2 , respectively.
The unit vector n is perpendicular to the boundary plane. Let the cylinder height

Fig. 2.1 Derivation of (a) (b)

normal (a) and tangential 1 1
1 1 2
(b) boundary conditions

n
l 1
F n

2 2
h 2 2 h
2.1 Electromagnetic Fundamentals 7

h approach zero, so that its surface can be neglected. Gauß’s law for magnetism in
integral form (2.9) yields
ZZ
0 ¼  B  da ¼ ðB2  B1 Þ  n F ) B2n  B1n ¼ 0: ð2:26Þ

The normal components B1n , B2n of the magnetic flux density in direction of the
normal vector n are identical on both sides of the boundary. In other words, it must
be continuous while passing the boundary. Gauß’s law in integral form (2.8) yields
the enclosed charge. Assuming an area charge density qA , which in the boundary
itself corresponds to an infinite space charge density, the enclosed charge equals
Q ¼ qA F. In optics it usually holds qA ¼ 0. In summary it holds for the normal
components D1n , D2n of the electric flux density
ZZZ ZZ
Q¼ qdV ¼  D  da ¼ ðD2  D1 Þ  n F ) D2n  D1n ¼ qA : ð2:27Þ

For deduction of the tangential boundary conditions we look at Fig. 2.1b.

A rectangular area element have length l and height h, which tends again toward
zero. The closed-loop integral of the magnetic field is
I
H  ds ¼ l ðH2  H1 Þ  s1 ; ð2:28Þ

where s1 is the unit vector in the tangential plane parallel to a side of the rectangle.
For finite temporal changes of electric flux and current densities the right-hand side
of Ampere’s law in integral form (2.6), applied to the area element, equals zero,
since height h approaches zero. But if the boundary conductivity is infinite then
there can be an area current density JA with

Zh=2
lim Jdn ¼ JA : ð2:29Þ
h!0
h=2

Ampere’s law then yields

ðH2  H1 Þ  s1 ¼ JA  s2 ; ð2:30Þ

where s2 is the unit vector in the tangential plane that is perpendicular to s1 . If one
replaces s1 by s2  n one obtains on the left-hand side a spade product of three
vectors, which may be cyclically exchanged according to u  ðv  wÞ ¼
v  ðw  uÞ,
8 2 Optical Waves in Fibers and Components

s2  ½n  ðH2  H1 Þ ¼ s2  JA : ð2:31Þ

Since the direction of s2 in the tangential plane can be chosen at will, and JA and
n  ðH2  H1 Þ lie in the tangential plane, we may write

n  ð H 2  H 1 Þ ¼ JA : ð2:32Þ

Infinite conductivity excluded the tangential components (index t) of the mag-

netic field are continuous when passing the boundary,

H2t ¼ H1t for JA ¼ 0: ð2:33Þ

The Maxwell-Faraday equation in integral form (2.7) allows deducing in analog

fashion the continuity of the tangential electric field components in the boundary,

E2t ¼ E1t : ð2:34Þ

In (2.26) and (2.27) we have deduced the conditions for the normal components
of the flux densities. The corresponding fields are found using the material equa-
tions. Similarly, the tangential components of the flux densities can be found from
the material equations once (2.32)–(2.34) have specified the tangential field
component.
Tangential and normal boundary conditions are interrelated. To show this one
bends the area element of Fig. 2.1b to a complete cylinder wall of Fig. 2.1a. This
way the continuity of the tangential electric (magnetic) field becomes equivalent to
the continuity of the normal magnetic (electric) flux density. It is therefore sufficient
to fulfill either
• the tangential or
• the normal boundary conditions or
• the normal boundary condition for the electric flux density and the tangential
one for the electric field or
• the normal boundary condition for the magnetic flux density and the tangential
one for the magnetic field.
The other boundary conditions are then automatically fulfilled.
The homogeneous region may be limited to the immediate surroundings of the
boundary.

2.1.3 Wave Equation

We use complex notation and take losses into account in the imaginary parts of
complex material parameters e, l. The medium be isotropic so that e, l are scalars.
2.1 Electromagnetic Fundamentals 9

We take the curl operator on both sides of Maxwell-Faraday Equation (2.23) and
apply on the right-hand side the general relation curl ðFaÞ ¼ Fcurl a  a  grad F,
   
curl ðcurl EÞ ¼ jxcurl lH ¼ jx lcurl H þ H  grad l : ð2:35Þ

Ampere’s law (2.21a, b) is inserted into first term, while (2.23) is again inserted
into the second term on the right-hand side,

1
curl ðcurl EÞ ¼ x2 leE  curl E  grad l: ð2:36Þ
l

The second term on the right-hand side is roughly zero if l changes only little
within one optical wavelength. This is quite common. In optics it even holds l ¼ l0
so that grad l ¼ 0 holds. As a result we obtain

curl ðcurl EÞ ¼ x2 leE: ð2:37Þ

According to (2.20a, b) and with div ðFAÞ ¼ Fdiv A þ A  grad F we can write

0 ¼ div ðDÞ ¼ ediv E þ E  grad e: ð2:38Þ

We insert into (2.37) the Laplace operator DA ¼ grad ðdiv AÞ  curl ðcurl AÞ
and (2.38) solved for div E,
 
1
DE  grad ðdiv EÞ ¼ DE þ grad E  grad e ¼ x2 leE: ð2:39Þ
e

In vacuum and other homogeneous media (i.e., e, l are position-independent),

but with sufficient accuracy also in slightly inhomogeneous media it holds
ðgrad eÞ=e ¼ 0. This results in a simplified wave equation for the electric field,

DE þ x2 leE ¼ 0: ð2:40Þ

Due to the symmetry of Maxwell’s equations one can derive in analog fashion
for the magnetic field

DH þ x2 leH ¼ 0: ð2:41Þ

The vectorial wave Eq. (2.40) tells only the relation between space and
time-dependence of the wave amplitude. However, the direction of the field vector
is yet unclear. Once (2.40) is solved one may choose a tentative arbitrary vector
direction E. Then one calculates H through the Maxwell-Faraday equation. Finally
H is inserted into Ampere’s law and one obtains a usually modified E which is the
correct solution. Instead of this complicated procedure one may start with certain
10 2 Optical Waves in Fibers and Components

assumptions (Sect. 2.1.4) or may eliminate a degree of freedom of the field vector
(Sect. 2.3.2). The same holds for solutions of (2.41). An elegant possibility for
“direct” solution of Maxwell’s equations are electromagnetic potentials.
We assume now a nonmagnetic medium (l ¼ l0 ), insert the

1
c ¼ pffiffiffiffiffiffiffiffiffi speed of light in vacuum ð2:42Þ
e0 l0

and the definition of the refractive index

pffiffiffiffi
n¼ er ; n ¼ ðer Þ1=2 ð2:43Þ

and write as an example (2.40) as

n2 @ 2 E n2
DE ¼ ¼ x2 2 E: ð2:44Þ
c @t
2 2 c

The wave equation is often solved numerically. Knowledge of the

position-dependence of e or n and, if applicable, of an incident field E, is required.

2.1.4 Homogeneous Plane Wave in Isotropic

Homogeneous Medium

We investigate wave propagation in an isotropic, homogeneous medium and write

Ampere’s law (2.21a, b) and the Maxwell-Faraday equation (2.23) in cartesian
coordinates

@H z @H y @E
 ¼e x; ð2:45Þ
@y @z @t

@H x @H z @E y
 ¼e ; ð2:46Þ
@z @x @t
@H y @H x @E
 ¼e z; ð2:47Þ
@x @y @t

@E z @Ey @H x
 ¼ l ; ð2:48Þ
@y @z @t

@E x @E z @H y
 ¼ l ; ð2:49Þ
@z @x @t
2.1 Electromagnetic Fundamentals 11

@E y @E x @H z
 ¼ l : ð2:50Þ
@x @y @t

Without loss of generality we initially choose the z axis as the propagation

direction. We furthermore assume a plane wave (in the x-y plane). This means that
the derivatives @=@x and @=@y of the fields are zero. This assumption is not gen-
erally valid!
As a consequence the temporal derivatives of E z and H z vanish. We are not
interested in static fields, which can not propagate a wave. Therefore it holds
E z ¼ H z ¼ 0. This plane wave has only transversal, no longitudinal field compo-
nents. If one takes the derivative @=@z of (2.49) and inserts into the derivative @=@t
of (2.45) one obtains the plane wave equation

@ 2 Ex @ 2 Ex
¼ el : ð2:51Þ
@z2 @t2

The same equation is obtained if one sets @=@x ¼ @=@y ¼ 0 in (2.44) and
considers only the x-component of the field. The general solution of (2.51) is

þ jðx tkzÞ jðx t þ kzÞ

E x ðz; tÞ ¼ Ex0 e þ E
x0 e : ð2:52Þ

k is the wave number or propagation constant of the wave in z-direction with


k2 ¼ x2 el ¼ x2 n2 c2 ðn : only for l ¼ l0 Þ k ¼ xn=c ¼ 2pn=k0
: ð2:53Þ
jk ¼ a þ jb ¼ c k ¼ b  ja ¼ jc k0 ¼ b0 ¼ 2p=k0

For description of transversal electromagnetic (TEM) lines one sometimes uses c

instead of jk. Quantity k0 is the wavelength in vacuum. The solution with exponent
x t  kz corresponds to wave propagation in positive z-direction; the solution with
x t þ kz propagates in negative z-direction. Wave number k is complex in general,
like dielectricity constant ε and refractive index n. β is the phase constant and α the
attenuation constant of the wave amplitude. Quantity k0 ¼ b0 is the wave number
and phase constant of vacuum.
If one sets, for example for the wave propagating in positive z-direction,
xt  bz ¼ const:, then one obtains the temporal derivative x  b@z=@t ¼ 0. This
allows one to define generally

vph ¼ @z=@t ¼ x=b¼ c=ReðnÞ phase velocity; ð2:54Þ

vg ¼ @x=@b group velocity; ð2:55Þ

1 @b ng @n
¼ ¼ ng ¼ n þ x group refractive index: ð2:56Þ
vg @x c @x
12 2 Optical Waves in Fibers and Components

The sinusoidal, single-frequency or monochromatic ansatz (2.52) is called a

harmonic electromagnetic wave. Since any wave can be expressed, by Fourier
transformation, as a linear combination of sinusoidal waves with various frequen-
cies and since (2.51) is a linear differential equation the general solution consists in
a linear combination of terms of type (2.52) with various propagation directions,
angular frequencies ω, propagation constants k and phases. (The phase is contained
þ
above in the complex field amplitude, for example E x0 .) The same holds for the
magnetic field (which coexists with the electric field). Insertion of (2.52) into (2.49)
yields

þ jðx tkzÞ jðx t þ kzÞ

H y ðz; tÞ ¼ H y0 e þ H
y0 e ð2:57Þ

with

E 
x0 ¼ Z F  H y0 ; ð2:58Þ

 1  1 rffiffiffiffiffi
l 2 l l0
ZF ¼ ¼ ZF0 r 2 ðgenerallyÞ; ZF0 ¼  377 X ðvacuumÞ: ð2:59Þ
e er e0

Z F , ZF is the field characteristic impedance; ZF0 is the field characteristic

impedance of vacuum. In lossless media the complex Z F becomes the real ZF . In
special cases it holds
rffiffiffi rffiffiffiffiffi
l lr ZF0
ZF ¼ ¼ ZF0 ðreal e; lÞ; ZF ¼ ðoptics; l ¼ l0 Þ: ð2:60Þ
e er n

While we have considered so far only E x , H y there exist similar, independent

solutions also for E y , H x . Like in (2.58) one finds

E
y0 ¼ ZF  H
x0 : ð2:61Þ

Note the opposite signs compared to (2.58). Since phase and amplitude of
forward and backward traveling homogeneous plane waves (2.52) depend in space
only on z one may replace the product kz by the scalar product k  zez . For prop-
agation in any direction, kz must be replaced by the scalar product k  r, where
r ¼ ½x; y; zT ¼ xex þ yey þ zez is the position vector.
We generalize our findings. Contained in the

k ¼ b  ja wave vector ð2:62Þ

are the phase vector b and the amplitude vector a: For homogeneous waves these
two have the same direction. Equation (2.52) is a homogeneous wave due to kz ¼
kez  r: For a general plane but not necessarily homogeneous wave it holds
2.1 Electromagnetic Fundamentals 13

Eðr; tÞ ¼ E0 ejðx tkrÞ ¼ E0 e ar ejðx tbrÞ : ð2:63Þ

Let E0 and wave vector be position-independent. Insertion into (2.44) yields

n2
k2x þ k2y þ k 2z ¼ x2 : ð2:64Þ
c2

The phase gradient is b, the amplitude gradient is a: For a

position-independent phase vector we have a plane wave. Its direction is the
propagation direction. We write

b ¼ bs: ð2:65Þ

The unit vector s in propagation direction is also called wave normal vector
because it is perpendicular to the equiphase planes. For plane waves in lossless
media amplitude and phase vectors are perpendicular to each other because an
amplitude vector component in the direction of the phase vector would mean an
attenuation or amplification of the wave along its propagation path. A homogeneous
plane wave in a lossless medium has the amplitude vector a ¼ 0, because it is both
parallel and perpendicular to the phase vector.
In inhomogeneous media n and k are position-dependent. In this context β, the
length of phase vector b ¼ bs, is not a phase constant. But in sufficiently small
areas of inhomogeneous media waves usually can be considered as plane waves.

2.1.5 Power and Energy

We assume scalar material constants, insert the material Eqs. (2.13) and (2.14) into
Ampere’s law (2.1) and the Maxwell-Faraday equation (2.2),

@
curl H ¼ ðeEÞ þ J; ð2:66Þ
@t
@
curl E ¼  ðlHÞ; ð2:67Þ
@t

and take the scalar product of E with (2.66) and of H with (2.67). The right-hand
sides can be manipulated,
. using the product rule of differentiation (for example
E  @E=@t ¼ ð1=2Þ@ jEj2 @t). One thereby obtains

e@
E  curl H ¼ jEj2 þ E  J; ð2:68Þ
2 @t
14 2 Optical Waves in Fibers and Components

l@
H  curl E ¼  jHj2 : ð2:69Þ
2 @t

The real electromagnetic power density through a differential area element is

given by the
ZZ
S ¼ E  H Poynting vector with P ¼  S  da: ð2:70Þ

Here E and H must be due to the same source. P is the power which is emitted
by a volume with a known surface. If one is interested in the power through a
certain area one integrates only over this area. If one subtracts (2.69) from (2.68)
and applies the general rule div ðA  BÞ ¼ B  curl A  A  curl B one obtains the
differential form of Poynting’s theorem

@ e 2 l 2
div S ¼ E  J þ jEj þ jHj ; ð2:71Þ
@t 2 2

which allows one to show the conservation of energy. Energies are transferred from
their original type into another type. This is because power densities are temporal
derivatives of energy densities. In the medium we find

pve ¼ E  J Ohmic electric loss density;

e
we ¼ jEj2 stored electric and ð2:72Þ
2
l
wm ¼ jHj2 magnetic energy density:
2

Magnetic losses are not taken into account in the above. Quantity div S is the
power density of electromagnetic radiation flowing into the differential volume
element. Integration over the volume yields the integral form of Poynting’s
theorem,
ZZ ZZZ  
@ e 2 l 2
  S  da ¼ E  Jþ jEj þ jHj dV: ð2:73Þ
@t 2 2

At the left-hand side the volume integral of div S has been replaced by a surface
integral of S according to the integral theorem of Gauß.
We define the complex Poynting vector

1
T ¼ ðE  H Þ: ð2:74Þ
2
2.1 Electromagnetic Fundamentals 15

T is not simply the complex form of S, because complex notation of real quantities
is not possible in products of complex quantities. After insertion of the complex
monochromatic expressions

 1
E ¼ Re E0 ejxt ¼ E0 ejxt þ E0 ejxt
2 ð2:75Þ
 1
H ¼ Re H0 e jxt
¼ H0 ejxt þ H0 ejxt
2

into (2.70) we find

1  1 
S ¼ Re E0  H0 þ Re E0  H0 ej2xt : ð2:76Þ
2 2

The second term on the right-hand side is an alternating signal at twice the
frequency of the fields, the temporal average of which equals zero. The first term is
constant and therefore is the temporal average S of the (real) Poynting vector.
Comparison with (2.74) yields

1
S ¼ ReðTÞ ¼ ReðE  H Þ: ð2:77Þ
2

To compute T we must take the scalar products of E with the complex conjugate
of (2.17a, b), (2.21a, b) and of H with (2.23),

E  curl H ¼ jxejEj2 þ E  J ¼ jxe jEj2

: ð2:78Þ
H  curl E ¼ jxljHj2

Subtraction and division by 2 yields, analogously to the above,

l   
1 2 e l 2 e
2 2
div T ¼ E  J þ jx jHj  jEj ¼ jx jHj  jEj : ð2:79Þ
2 2 2 2 2

After integration we get

ZZ ZZZ  l 
1 e
  T  da ¼ E  J þ jx jHj2  jEj2 dV
2 2 2
ZZZ   : ð2:80Þ
l 2 e
¼ jx jHj  jEj2 dV
2 2
16 2 Optical Waves in Fibers and Components

The mean values of

r xe0 eri 2
pve ¼ jEj2 ¼ jEj electric;
2 2
xl0 lri
pvm ¼ jHj2 magnetic and
2
pv ¼ pve þ pvm total loss power density;
ð2:81Þ
e ReðeÞ 2
we ¼ jEj2 ¼ jEj stored electric and
4 4 
l Re l
wm ¼ jHj2 ¼ jHj2 magnetic energy density
4 4

allow writing

div T ¼ pv þ 2jxðwm  we Þ
ZZ ZZZ
: ð2:82Þ
  T  da ¼ ðpv þ 2jxðwm  we ÞÞdV

ImðTÞ gives the reactive power density through a differential area element. The
mean active power through an area is
ZZ ZZ ZZ  ZZ 
1
P¼ ReðE  H Þ  da ¼ ReðTÞ  da ¼ S  da ¼ Sz da ; ð2:83Þ
2

where the rightmost expression in parentheses holds only for integration over the
plane z ¼ const:
For a plane wave in z-direction there is only a z component of the Poynting
vector, due to Ez ¼ H z ¼ 0: Using (2.52) and (2.57) we get for a lossless medium

 1  
Sz ¼ Re T z ¼ Re E x H y  E y H x
 2 : ð2:84Þ
1 þ 2 þ
2
 2 
2
¼ E x0 þ E y0  E x0  E y0
2 ZF

As expected the total power density is the difference of power densities flowing
in positive and negative z-directions.
Let the attenuation constant of fields and—if defined—amplitudes be a. Since
Poynting vector and power are proportional to squares of fields the attenuation
constant of Poynting vector and power is 2a,

U; I; E; H e a z , P; S; T e 2a z : ð2:85Þ

Problem The y-z plane constitutes the boundary of two homogeneous, isotropic,
lossless, non-magnetic materials (Fig. 2.2). The refractive indices are n1 for x\0
2.1 Electromagnetic Fundamentals 17

Fig. 2.2 Reflection and transmission (=refraction) at a dielectric boundary for electric fields
parallel (II) or perpendicular (⊥) to the incidence plane

and n2 for x 0. In the half space x\0 a homogeneous plane wave propagates
toward the boundary with an incidence angle a1 ¼ p=2  #. Calculate the reflec-
tion and transmission properties of the boundary (propagation directions, field and
power reflection and transmission factors) for these cases:
(II), E is in the incidence plane or parallel to it.
(⊥), E is perpendicular to the incidence plane.
For large a1 use complex wave vectors to discuss total reflection. Also, find the
Brewster angle where reflection vanishes. Simplify expressions for perpendicular
incidence a1 ¼ 0:
Solution For x < 0, fields 1 and 3 must be added. At position r, the fields can be
written as

Ei ðt; rÞ ¼ Ei ejðx tki rÞ Hi ðt; rÞ ¼ Hi ejðx tki rÞ ði ¼ 1; 2; 3Þ: ð2:86Þ

with Ei ¼ E i eEi , Hi ¼ H i eHi . eEi , eHi are unit vectors. According to (2.64) it holds

k2ix þ k 2iy þ k 2iz ¼ x2 n2i c2 ð2:87Þ

with n3 ¼ n1 . For the time being, we start with real wave vectors, ki ¼ ki .
(II) According to Fig. 2.2 left (parallel case), their components are

E 1z ¼ E 1  cos a1 E 3z ¼ E3  cos a3 E 2z ¼ E 2  cos a2

E 1x ¼ E 1  sin a1 E 3x ¼ E 3  sin a3 E 2x ¼ E 2  sin a2 : ð2:88Þ
H 1y ¼ H 1 H 3y ¼ H 3 H 2y ¼ H 2
The tangential magnetic boundary condition H 1y þ H 3y ¼ H 2y can be written as

H 1y ejðx tk1 rÞ þ H 3y ejðx tk3 rÞ ¼ H 2y ejðx tk2 rÞ ðx ¼ 0Þ: ð2:89Þ

From the geometry and since the boundary condition must be fulfilled for all
y and z it follows
18 2 Optical Waves in Fibers and Components

k1z ¼ k3z ¼ k2z kiz ¼ ki sin ai k1 sin a1 ¼ k3 sin a3 ¼ k2 sin a2

: ð2:90Þ
k1x ¼ k1 cos a1 k2x ¼ k2 cos a2 k3x ¼ k3 cos a3 kiy ¼ 0

From (2.90) one can deduce

a1 ¼ a3 Law of reflection; n1 sin a1 ¼ n2 sin a2 Snell0 s law of refraction:

ð2:91Þ

Since the magnetic field is purely tangential, (2.88), (2.89) and Ei ni ¼ ZF0 H i
result in

H1 þ H3 ¼ H2; n1 E 1 þ n1 E 3 ¼ n2 E 2 : ð2:92Þ

The tangential electric boundary condition is E1z þ E3z ¼ E2z . Using (2.88),
a1 ¼ a3 we obtain
E1 cos a1  E 3 cos a1 ¼ E2 cos a2 : ð2:93Þ

In (2.92) and (2.93) we eliminate either E 2 or E 3 , thereby finding Fresnel’s

equations

E 3 n2 cos a1  n1 cos a2 n22 k1x  n21 k2x

qII ¼ ¼ ¼ reflection factor; ð2:94Þ
E 1 n2 cos a1 þ n1 cos a2 n22 k1x þ n21 k2x

E2 2n1 cos a1 2n1 n2 k1x

sII ¼ ¼ ¼ 2 transmission factor: ð2:95Þ
E 1 n1 cos a2 þ n2 cos a1 n2 k1x þ n21 k2x

Using (2.88), a1 ¼ a3 , Ei ni ¼ ZF0 H i , n3 ¼ n1 , the various field components

behave as
E3 E 3x E H
qII ¼ ¼ ¼  3z ¼ 3 ; ð2:96Þ
E1 E 1x E 1z H 1

E2 cos a1 E 2z sin a1 E 2x n1 H 2
sII ¼ ¼ ¼ ¼ : ð2:97Þ
E1 cos a2 E 1z sin a2 E 1x n2 H 1
 1=2    1=2
With cos a2 ¼ 1  sin2 a2 ¼ 1  n21 n22 sin2 a1 and the relative
refractive index n12 ¼ n2 =n1 one finds alternative expressions for Fresnel’s
equations,
 1=2
n212 cos a1  n212  sin2 a1 2n12 cos a1
qII ¼  1=2
; sII ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi :
n212 cos a1 þ n212  sin2 a1 n212 cos a1 þ n212  sin2 a1
ð2:98Þ
2.1 Electromagnetic Fundamentals 19

We calculate the ratio TII of transmitted to incident power. To this purpose we

integrate the Poynting vector Si over one or the other side of a flat cylinder which
encloses the boundary (Fig. 2.1b). Their normal components are Six ¼ Si cos ai .
The power transmission factor is
RR  
S2  da E 2 H 2 cos a2 n2 cos a2 2
TII ¼ RR ¼ Re ¼ s : ð2:99Þ
S1  da E 1 H 1 cos a1 n1 cos a1 II
RR  
S3  da E3 H 3 cos a3
RII ¼ RR ¼ Re ¼ q2II ; ð2:100Þ
S1  da E1 H 1 cos a1

i.e. the power reflection factor, is obtained analogously. We can show

TII þ RII ¼ 1; ð2:101Þ

thereby validating energy conservation.

(⊥) According to Fig. 2.2 right (perpendicular case), the field components of
(2.86) are
H 1z ¼ H 1  cos a1 H 3z ¼ H 3  cos a3 H 2z ¼ H 2  cos a2
H 1x ¼ H 1  sin a1 H 3x ¼ H 3  sin a3 H 2x ¼ H 2  sin a2 : ð2:102Þ
E1y ¼ E1 E 3y ¼ E 3 E 2y ¼ E 2

The tangential electric boundary condition E 1y þ E3y ¼ E 2y requires

E 1y ejðx tk1 rÞ þ E3y ejðx tk3 rÞ ¼ E 2y ejðx tk2 rÞ ðx ¼ 0Þ: ð2:103Þ

Like above, one can deduce (2.90) and (2.91). Since the electric field is purely
tangential and due to the boundary condition H1z þ H3z ¼ H2z together with (2.88),
a1 ¼ a3 we obtain

E1 þ E3 ¼ E2 ; H1 cos a1 þ H3 cos a1 ¼ H2 cos a2 : ð2:104Þ

Using Ei ni ¼ ZF0 H i the latter equation can be rewritten as

E1 n1 cos a1 þ E 3 n1 cos a1 ¼ E 2 n2 cos a2 : ð2:105Þ

By eliminating either E 2 or E 3 from (2.104) and (2.105) we get corresponding

Fresnel equations

E 3 n1 cos a1  n2 cos a2 k1x  k2x

q? ¼ ¼ ¼ reflection factor; ð2:106Þ
E 1 n1 cos a1 þ n2 cos a2 k1x þ k2x

E2 2n1 cos a1 2k1x

s? ¼ ¼ ¼ transmission factor: ð2:107Þ
E1 n1 cos a1 þ n2 cos a2 k1x þ k2x
20 2 Optical Waves in Fibers and Components

With (2.88), a1 ¼ a3 , E i ni ¼ ZF0 H i , n3 ¼ n1 we get for the various field

components

E3 H 3x H H
q? ¼ ¼ ¼  3z ¼ 3 ; ð2:108Þ
E1 H 1x H 1z H 1

E2 n1 H 2 n1 sin a1 H 2x H 2x n1 cos a1 H 2z
s? ¼ ¼ ¼ ¼ ¼ : ð2:109Þ
E1 n2 H 1 n2 sin a2 H 1x H 1x n2 cos a2 H 1z

The alternative expressions for Fresnel’s equations are now

 1=2
cos a1  n212  sin2 a1 2 cos a1
q? ¼  1=2
; s? ¼  2 1=2
: ð2:110Þ
cos a1 þ n212  sin2 a1 cos a1 þ n12  sin2 a1

For the power transmission and reflection factors we obtain, like for parallel
polarization,
RR RR
S2  da n2 cos a2 2 S3  da
T? ¼ RR ¼ s ; R? ¼ RR ¼ q2? ; T? þ R? ¼ 1:
S1  da n1 cos a1 ? S1  da
ð2:111Þ

Total reflection: We choose n12 ¼ n2 =n1 \1: For a1 approaching p=2, sin a2 ¼
ðn1 =n2 Þ sin a1 [ 1 would be required which is physically impossible. There exists a
critical incidence angle a1c for which the transmitted (refracted) wave propagates
with a2 ¼ p=2 along the boundary: sin a1c ¼ n12 . We need complex wave vectors.
 1=2  1=2
In Fresnel’s equations we set n212  sin2 a1 ¼ j sin2 a1  n212 . Also,
with kiy ¼ 0 we find (2.64) k 22x þ k 22z ¼ k02 n22 and calculate
 1=2  1=2  1=2
k 2x ¼ k02 n22  k2z
2
¼ k0 n1 n212  sin2 a1 ¼ jk0 n1 sin2 a1  n212 :
ð2:112Þ

For our geometry we need the negative sign, which lets E2 , H2 decay expo-
ejk2x x ¼ ek0 n1 ðsin a1 n12 Þ x . Fresnel’s equations can
2 2 1=2
nentially for x > 0: E H 2 2
now be written as
 1=2
n212 cos a1 þ j sin2 a1  n212
qII ¼  1=2
¼ ejuII
n212 cos a1  j sin2 a1  n212
 2 ðfor a1 a1c Þ;
1=2  
sin a1  n212 Imðk2x Þn21
uII ¼ 2 arctan ¼ 2 arctan
n212 cos a1 k1x n22
ð2:113Þ
2.1 Electromagnetic Fundamentals 21

 1=2
E 3 cos a1 þ j sin2 a1  n212
q? ¼ ¼ ¼ eju?
E 1 cos a1  jsin2 a1  n2 1=2
 2
12 ðfor a1 a1c Þ:
2 1=2  
sin a1  n12 Imðk 2x Þ
u? ¼ 2 arctan ¼ 2 arctan
cos a1 k1x
ð2:114Þ

Remarkably, there is total reflection, jq? j ¼ jqII j ¼ 1. Due to uII [ 0, u? [ 0,

there is a phase acceleration upon total reflection.
Brewster angle aB : We set . qII ¼ 0 in (2.98) .and obtain
 2 1=2 pffiffiffiffiffiffiffiffiffiffiffiffiffiffi pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
n12 cos aB ¼ n12  sin aB
2 2
, sin aB ¼ n12 1 þ n212 , cos aB ¼ 1 1 þ n212 ,

aB ¼ arctan n12 ðBrewster angleÞ: ð2:115Þ

Due to sin a2 ¼ ðn1 =n2 Þ sin a1 we get in the Brewster case

. pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
sin a2 ¼ 1 1 þ n212 ð¼ cos aB Þ: Hence there is an angle p=2 between k2 and k3 ,
which is the case in Fig. 2.2 left.
 1=2
In contrast, if we set q? ¼ 0 we obtain cos a1 ¼ n212  sin2 a1 with the
trivial solution n12 ¼ 1 for arbitrary a1 .
Perpendicular incidence a1 ¼ 0: We obtain a2 ¼ 0 and

n2  n1 2n1
qII ¼ ¼ q? ; sII ¼ ¼ s? ; ð2:116Þ
n2 þ n1 n1 þ n2
n2 2 n2 2
RII ¼ q2II ¼ q2? ¼ R? ; TII ¼ s ¼ s ¼ T? : ð2:117Þ
n1 II n1 ?

Upon transition from air (n  1) to glass (n  1; 46) power reflection is about

3.5 %. This is also called the Fresnel loss.
Figure 2.3 illustrates reflection and transmission between air and glass.
Problem A homogeneous plane wave with complex electrical field E1a in
propagates
through media 2, 3, 4,…, m which are multiple dieletric layers with various
thicknesses l2;3;4;...;m and refractive indexes n2;3;4;...;m (Fig. 2.4). It hits the multilayer
slab from medium 1 with refractive index n1 under a tilt angle a1 with respect to the
normal of the surfaces and exits with complex electrical field E2b out
into medium 1
with the same refractive index n1 under the same angle a1 . We exclude the case of
total reflection, which is true in particular for n1 minðn2 ; n3 ; . . .; nmÞ.
Find a method to calculate the transmission function H ¼ E2b out in
E1a and the

reflection function R ¼ E3a E1a of the whole tilted multilayer slab. Derive a
out in

relation between jH j and jRj. Part of your method should be the multiplication of
2m  1 matrices, which alternately characterize a boundary and a (boundary-free)
layer. Discriminate the two cases of polarizations parallel or perpendicular to the
22 2 Optical Waves in Fibers and Components

Fig. 2.3 Reflection and transmission as a function of incidence angle a1 from air to glass (top)
and from glass to air (bottom). E parallel (-) or perpendicular (- -) to incidence plane. Brewster
angle (○) and critical angle for total reflection (□) are marked. At the Brewster angle the phase
(=the argument) of q11 jumps by π (bottom right). Air: n = 1; glass: n = 1.46

Fig. 2.4 Reflection and transmission of homogeneous plane wave at multiple dielectric layers

incidence plane. Note that most of the multiple reflections at and between the layers
in
are not depicted in the drawings. Use the same reference point A for the waves E1a ,
out in
E2b , E3a independent of tilt angle a1 .
Calculate H and R for m ¼ 2.
Another Random Scribd Document
with Unrelated Content
 “As many as 1200 men became commissioned officers ... Negro
nurses were authorized by the War Department for service in base
hospitals at six army camps—Funston, Sherman, Zachary Taylor and
Dodge, and women served as canteen workers in France and in
charge of hostess houses in the United States. Sixty Negro men
served as chaplains, 350 as Y. M. C. A. secretaries and others in
special capacities.... In the whole matter of the War the depressing
incident was the Court Martial of sixty-three members of the Twenty
Fourth Infantry, U. S. A. on trial for rioting and the murder of
seventeen people at Houston Texas, August 23rd, 1917. As a result of
it thirteen of the defendants were hanged, December 11th, forty-nine
sentences to imprisonment for life, four for imprisonment for shorter
terms and four were acquitted.”[363]
President Wilson’s action in this matter was a vindication of
President Roosevelt’s action in the previous riot at Brownsville and a
stern condemnation of the sentimentalists, white and black whose
strictures upon Roosevelt had led the Negro soldiery to harbor the
amazing idea, that troops of any color could take the law into their
own hands and make Zaberns in America, on a scale beyond the
wildest imaginations of any War Lord’s minions, in Europe.

FOOTNOTES:
[352] Warne, Immigrant Invasion, p. 174.
[353] The New Republic, June 24, 1916.
[354] Ibid. July 1, 1916.
[355] News and Courier, December 17, 1916.
[356] Rhett’s Oration on Calhoun, Pamphlets Vol. 8 p. 151
Johnston C.L.S.
[357] Bureau U. S. Census 1910 Bulletin 129, p. 64.
[358] R. R. Wright Jr. Letter News and Courier, November 6,
1916.
[359] Pickens, The New Negro, p. 18.
[360] Ibid. p. 228.
[361] Ibid. p. 37.
[362] Chicago Tribune.
[363] Brawley, Short History of American Negro, p. 357.
 CHAPTER XV

In the year immediately following the end of the great World War
armed clashes between whites and Negroes in the United States
occurred in the great cities of the North and West, Washington,
Chicago and Omaha and also in the State of Arkansas. These race
riots drew comment from whites and Negroes. Prior to these riots in
the time of peace, there had been others during the World War at
Chester and Philadelphia, in the State of Pennsylvania and one in
Illinois at East St. Louis. Both Dr. DuBois, the president of “The
National Association for the Advancement of the Colored People,”
and the colored minister Wright, whose article on Negro migration
has been alluded to, gave advice. It is interesting to compare their
utterances. The communication of the minister is first cited.
“To my dear Brethren and Friends:
Permit me to say this word to you in this time of most serious
anxiety. You have read of the riots in St. Louis, Philadelphia, and
Chester, Pennsylvania during the Great World War and in Washington
and Chicago since the close. When the facts have been finally sifted,
they have always shown that the colored people did not start these
riots. They were started by whites in every instance. If there are to be
riots in the future I want to say to my people let it be as it has been in
the past, that you shall not be the instigators of them. It is to the
everlasting disgrace of these Northern cities as it has been of certain
Southern cities, that these riots have been started by whites, and that
white policemen who should be the first to uphold the law have, in
nearly every instance assisted the mobs. Now is the time for all of us
to keep our wits: to do nothing wrong, which may be any excuse for
riot. Let men and women go about their work quietly, attending to their
business. Keep away from saloons and places where there is
gambling. More trouble starts in these places than anywhere else.
Avoid arguments. Make no boasts. Make no threats. Attack no man
nor woman without due provocation, and under no circumstances hurt
a child. Don’t tell anybody what the Negroes are going to do to the
whites. For we do not want war; we want peace. Our safety is in
peace. Don’t loaf in the streets; do not needlessly encounter gangs of
 white boys. A gang of boys from 15 to 20 years is generally
irresponsible. A gang of white toughs will delight to ‘jump’ a lone
Negro, especially if they number eight or a dozen and believe the
Negro is unarmed; and it is foolish to give them the chance. In trading
as nearly as possible get the right change before paying your bill;
know what you want, where you can trade with your own people,
where you are not liable to get into a dispute. Don’t go to white
theatres, white ice cream places, white banks or white stores, where
you can find colored to serve you just as well. In other words don’t
spend your hard earned money where you are in danger of being
beaten up. Don’t carry concealed weapons—its against the law. Now I
am not urging cowardice. I am urging common sense. I am urging law
and order. Protect your home, protect your wife and children, with your
life, if necessary. If a man crosses your threshold after you or your
family, the law allows you to protect your home even if you have to kill
the intruder. Obey the law but do not go hunting for trouble. Avoid it.
Do not be afraid or lose heart because of these riots. They are merely
symptoms of the protest of your entrance into a higher sphere of
American citizenship. They are the dark hours before morning which
have always come just before the burst of a new civic light. Some
people see this light and they provoke these riots endeavoring to stop
it from coming. But God is working. Things will be better for the Negro.
We want full citizenship ballot, equal school facilities and everything
else. We fought for them. We will have them; we must not yield. The
greater part of the best thinking white people, North and South know
we are entitled to all we ask. They know we will get it. In their hearts
they are for us though they may fear the lower elements who are
trying to stir up trouble to keep us from getting our rights. But they will
fail just as they failed to keep us from our freedom. God is with us.
They cannot defeat God. So I say to you stand aside, stand prepared,
provoke no riot; just let God do his work. He may permit a few riots
just to force the Negroes closer together. He lets the hoodlums kill a
few in order to teach the many that WE MUST GET TOGETHER. But
he does not mean that we shall be defeated—if we trust him. Let us
learn the lesson He is teaching us. Remember a riot may break out in
any place. Let pastors caution peace, prayer and preparedness. Let
us provoke no trouble. Let us urge our congregations to keep level
heads and do nothing that is unlawful.
Yours in Christian bonds,
R. R. Wright, Jr.
Editor of the Christian Recorder.”[364]

The appeal of DuBois is more dramatic:

 “Brothers we are on the Great Deep. We have cast off on the vast
voyage which will lead to Freedom or Death. For three centuries we
have suffered and cowered. No race ever gave Passive Resistance
and Submission to Evil longer, more piteous trial. Today we raise the
terrible weapon of Self Defense. When the murderer comes he shall
no longer strike us in the back. When the armed lynchers gather, we
too must gather armed. When the mob moves we propose to meet it
with bricks and clubs and guns. But we must tread here with solemn
caution. We must never let justifiable self defense against individuals
become blind and lawless offense against all white folk. We must not
seek reform by violence. We must not seek vengeance. Vengeance is
Mine saith the Lord; or to put it otherwise—only infinite Justice and
Knowledge can assign blame in this poor world and we ourselves are
sinful men, struggling desperately with our own crime and ignorance.
We must defend ourselves, our homes, our wives and children against
the lawless without stint or hesitation; but we must carefully and
scrupulously avoid on our own part bitter and unjustifiable aggression
against anybody. The line is difficult to draw. In the South the Police
and Public Opinion back the mob and the least resistance on the part
of the innocent black victim is nearly always construed as a lawless
attack on society and government. In the North the Police and the
Public will dodge and falter, but in the end they will back the Right
when the truth is made clear to them. But whether the line between
just resistance and angry retaliation is hard or easy, we must draw it
carefully, not in wild resentment, but in grim and sober consideration;
and when back of the impregnable fortress of the Divine Right of Self
Defense, which is sanctioned by every law of God and man, in every
land, civilized or uncivilized, we must take our unfaltering stand.
Honor, endless and undying Honor, to every man, black or white, who
in Houston, East St. Louis, Washington and Chicago gave his life for
Civilization and Order. If the United States is to be a Land of Law, we
would live humbly and peaceably in it—working, singing, learning and
dreaming to make it and ourselves nobler and better; if it is to be a
Land of Mobs and Lynchers, we might as well die today as tomorrow.

‘And how can a man die better

Than facing fearful odds
For the ashes of his fathers
And the temples of his Gods?’
The Crisis (New York) September.”[365]
 In a consideration of these two utterances, if it be conceded that in
point of literary excellence, DuBois’s appeal is superior, yet that does
not establish that in his call he better plays the part of leader than the
Negro minister, first quoted, whose exhortation to his race, unlike
that of DuBois, is in no way overstrained, nor pitched too high for the
humblest, if possessed of rudimentary intelligence, to grasp. The
detailed instructions in Wright’s publication, simple as they are,
contain wisdom, the wisdom which crieth out in the streets from of
old; while if the comparison instituted, by DuBois between the
Northern and the Southern whites, in respect to the police and public
opinion in the two sections, is true, it is passing strange, that unlike
the Negro minister, he is not found advising the migration from the
worse to the better section, as far as the needs of his race are
concerned. If in the North, even if justice moves limpingly as he
describes; yet according to him justice does move. And for the poor
and oppressed what gain can out-weigh justice? But there is a
graver comparison to be instituted between these calls. DuBois in his
publication exclaims:
“Honor, endless and undying Honor, to every man, black or white
who in Houston, East St. Louis, Washington and Chicago gave his life
for Civilization and Order.”
Now whatever wrongs or supposed wrongs the Negro soldiery
suffered in Houston, can it be reasonably contended that they,
armed by the Federal Government and enlisting to be under its
orders, in breaking away from the control of their superior officers
and with weapons put in their hands for other purposes, in any way
assisted civilization and order by precipitating themselves upon the
white population in an attempt to shoot up the city? If he does so
claim then he is worse than the Negro soldiery who so acted, or
those Negroes and whites, no matter who they were, who criticised
Roosevelt’s action in the Brownsville matter. No matter to what lofty
station Roosevelt’s critics may have been advanced; no matter what
service they may claim to have rendered peace and civilization, their
weakness in that first instance induced the graver breach, for which,
under President Wilson, as commander-in-chief, the Negro soldiery
were courtmartialed and punished for their excesses at Houston. Yet
while the perusal of DuBois’s call, as above, does not convey a
positive stand for or against the Negro soldiery and is open to the
criticism which appears in Pickens’s book:
“Till this day the Negro is seldom frank to the white man. He says
what he does not mean; he means what he does not say,”—
apparently his view changed. As editor of The Crisis, Dr. DuBois
upon the occasion of the Chicago riots as above noted honored
every man, black or white, who, in either Houston or Chicago, gave
his life for civilization and order; later he expressed the following,
which is nothing more nor less than a justification of the behavior of
the Negro soldiery at Houston:
“Six years ago December 11, at 7:17 in the morning, thirteen
American Negro soldiers were murdered on the scaffold by the
American government to satisfy the blood-lust of Texas, on account of
the Houston riot.”[366]
Now, how does this exhibit this extremely gifted man, as a leader
of his race? In the roar and blaze of the Chicago riot, in 1919 he was
for “Honor, endless and undying Honor to every man black or white
in Houston ... who gave his life for civilization and order”; but by the
end of 1920, the executed Negro soldiers had become martyrs,
murdered by the government.
But in justice to this most excitable man, it must be admitted that
there can be found whites of cultivation and intellect just as wild.
Take the case of Dr. H. J. Seligman.
With all the insufferable conceit of a certain class of white, he
appropriates the work of Negroes, (easily recognized by those who
have heard their most intelligent speakers), denatures it of the humor
which makes its appeal and presents it to the public, as his own
indictment of the South. “The Southern dogma colors the rest of the
country,” he says. Yet he admits—“In so far as the South is
concerned, conditions improve as the Negro moves out.” Another
writer, Stephen Graham, starts his book with crediting to the Negro
slaves emancipated in 1863 the “twelve millions out of a total of a
hundred millions of all races blending in America.”[367] As the census
postdating his book gives only 10,389,328 Negroes for 1920, and as
in all reason nearly two millions of these may be argued to be the
progeny of the free persons of color of 1860, the contribution to the
race from the class of colored person invariably ignored by English
and Northern writers must approach almost a third. But that is not
sensational. So journeying through Virginia, Tennessee, Alabama,
Georgia, Florida, Louisiana and Mississippi, visiting Negroes,
accepting their hospitality and practicing social equality, Graham
most inconsiderately denounces their smell and, because he failed
to reach and establish any spiritual touch, in his attempt to address
them, stupidly decides there was none to be attained. Expressing the
belief that the Negroes of New York and Chicago were firmer in flesh
and will than those in the South and yield more hope for the race in
the light of the extra prosperity and happiness of the Northern
Negroes, he nevertheless crawls back to the feet of Northern
prejudice with the declaration against the migration of the Negroes
from the South to the North and the consequent even distribution
over the whole of the country, because it would take “hundreds of
years to even them out” and “they would probably crowd more and
more into the large cities and be as much involved in evil conditions,
as they were in the South.” Can it be possible that there are nothing
but evil conditions in the great cities of the North and West? Is it not
the belief of the Northern authorities, that what the Negro needs is
education? What education is equal to residence in these great
pulses of our civilization? Has not Mr. Graham, himself attested “the
extra prosperity and happiness of the Northern Negroes?” Why then
attempt to throw doubts on the benefits to the Negro from diffusion?
It might as well be faced without any more squirming. It is inevitable.
By the law of compensation, that section of our great country, which
for a hundred years or more has represented to the admiring world
all the virtue, intelligence and civilization of the United States,
especially in its treatment of the colored race will have to endeavor
to live up to its reputation. The aspiring Negro is not going to be
denied that contact with the most advanced civilization of this
country, which those who freed him owe to him. If he crowds into the
great cities, it is because there he finds its most advertised display,
and so the most active and energetic push into it with some
contempt for their feeble self elected leaders, who have preached
against or kept quiet concerning it.
 For three decades prior to the war between the States, the
Southern States of the Union had made railroad development
secondary to the Negro question. Constituting as they did in area at
that time fully one-half of the States; peopled with 3,575,634 whites
and 2,176,127 Negroes, they had been led to base their civilization
on the substratum of an inferior race, putting that wild conception
even above the Federal Union, that great experiment in government,
which they had been most instrumental in framing. After their
overthrow, Reconstruction raised the spectre of the Negro
outstripping the whites in the South and almost assuredly in the
lower South. And what establishes the wonderful clearness of the
vision of the Negro, William Hannibal Thomas, was his ability, two
years before the overthrow of Reconstruction, to see through the
mists of 1874, which so completely shrouded the vision of Judge
Albion Tourgee as late as 1888 in his “Appeal to Caesar.”
For Thomas realized, from the outset, that the Negro majority of
South Carolina could not last.
In the hundred years which have elapsed since 1820, the
proportion of the Negro population to the whites in the United States,
as a whole, has dropped from 19 per cent to 9.9 per cent, the whites
rising from 81 per cent to 90.1 per cent. With regard to the Negro
population in the Southern States as compared with the rest of the
United States, the proportion in the South has dropped from 92.5 per
cent to 84.2 per cent, the percentage of the rest of the United States
rising from 8 per cent to 15.98 per cent. But while it is treated as a
movement of one hundred years, as far as the South is concerned,
on account of the unknown accretions prior to 1860 through the illicit
slave trade and the magnetic attraction of Reconstruction, it could be
more accurately represented as a movement of forty years.
In the five great States of Kentucky, Tennessee, Alabama,
Mississippi and Louisiana, embracing an area of about 224,960
square miles of contiguous territory, the white population had risen
from 4,112,564 in 1880, to 7,444,218 in 1920; while in the same
period the Negro population had increased from 2,408,654 only to
3,223,791. But what is even more striking is the fact that in the last
decade there has been an actual decrease of 143,288 in the Negro
population of this Southern area.
At the same time in the five great States of Ohio, Indiana, Illinois,
Michigan and Wisconsin the Negro population has risen to 514,589,
and to the East of the great Northwest, in the Middle States and New
England 709,453 were found to be; while West of the Mississippi
river, outside of the old South, into a region, which before the war
between the States was prairie and almost unexplored mountain and
desert, 314,879 Negroes have moved. Yet in the South they still
constitute 26 per cent of the population to only 3 per cent outside, in
the rest of the Union.
Mr. Graham’s impression, however, that it will “take hundreds of
years to even them out” is a hasty and illconsidered judgment.
Louisiana, which forty years ago had a colored majority of 28,707,
had by the Census of 1920 a white majority of 396,360. Georgia had
increased its white majority from 90,773 in 1880 to 482,749 in 1920;
while the great cotton planting State of Alabama had raised its
majority in the same period from 62,083 to 546,972. Considering
what the Census figures show for Virginia, suffering as no State
suffered from the war between the States, engaged in by her for no
purpose of sustaining a black substratum for her civilization; but for a
purpose identical with that which the civilized world acclaimed for
Belgium and supporting the shock of war with a courage and
devotion not surpassed by France in the Great War, she was shorn
of about a third of her area and four-tenths of her white population, in
utter defiance of the Constitution; but, now with a white majority
which has risen from 57.5 per cent to 70.1 per cent, she is in a
healthier condition than the portion which was carved out of her
flank. The gain of North Carolina is even greater. Taking the whole
South, we find, that from 1880 to 1920 the white population has
increased from 12,309,087 to 25,016,579; while during the same
period the colored has only risen from 6,013,215 to 8,801,753. It is
true that by the Census of 1920 two Southern States, Mississippi
and South Carolina still each had a colored majority; but one which
had shrunk from 213,227 to only 46,181 in South Carolina and from
170,893 in Mississippi to 81,262; the percentage of whites in South
Carolina being 48.6 per cent and in Mississippi 48.3 per cent.[368]
Until the Census of 1930 is published we shall not know positively;
but in this, the fifth year since the last census, all available
information seems to indicate that in both States the white minority
has been converted into a white majority. By the census of the
United States for 1920 in the 875,670 square miles which constitute
the Southern States there were 25,016,579 whites and 8,801,753
colored inhabitants; while the remaining 2,150,600 square miles of
the Union held 70,925,032 whites and 1,552,402 Negroes, with
109,966 under strictly Federal control at Washington. But again,
North of the Northern line of the United States extends a region
greater in area than the United States in which as indicated by the
Canadian census of 1921 there are only 8,750,643 inhabitants. The
door of opportunity therefore still remains open to the Negro in
America and his inability to see this, throughout the fifty eight years
of his freedom in which it has been accessible to him by foot, while
handicapped by their ignorance of our wants, our customs and our
language, the impoverished whites of Europe have crossed the three
thousand miles of water which barred them, offers the most striking
proof of the Negro’s lack of capacity to help himself.
Perhaps, in justice to the Negroes as a whole, it should be noted
that in no race that has ever existed has it been easier to use the
supposed leaders against the true interests of the masses, than is
apparent in the history of the Negroes. Yet even these, as they now
clash with each other, emit some sparks of political intelligence.
Meanwhile the masses are growing more accustomed to judge for
themselves. Northern environment has not been without its effect
upon them. They are taking something from it and they are going to
give something to it.
In the Northwest, in all probability, they are in the next decade apt
to gather in such numbers, as to affect both the South and Canada,
although in exactly opposite ways. To a considerable extent what
The New Republic foresaw in 1916 is coming to pass; but in
somewhat quicker movement than that paper anticipated. The last
great effort to induce them to remain in the South their “natural
home” has been made. It has utterly failed. They are steadily moving
out and diffusion is proceeding without any of the ills so continuously
alleged as inseparable with such a movement.
And now to this last effort, the comments upon it and what may be
called the first Negro Crusade, we should pay some attention, and
then close with an allusion to the most helpful discussion ever
instituted concerning the Negro.

FOOTNOTES:
[364] Kerlin, The Voice of the Negro, p. 21.
[365] Ibid. p. 20.
[366] The Crisis, December 1923, p. 59.
[367] Graham, Children of the Slaves, Preface.
[368] U. S. Census Pop. by Color, 1920.
 CHAPTER XVI

At Birmingham, Alabama, President Harding spoke on the Negro

question, October 25, 1921. Elected president by the greatest
majority which had ever placed a president in power, his remarks, if
not very profoundly wise, were unquestionably bravely frank. His
position was that unless there should “be recognition of the absolute
divergence in things social and racial,” there might be “occasion for
great and permanent differentiation.” To quote him in such passages
as most clearly and unequivocally expressed his views, he will be
found to have said:
Men of different races may well stand uncompromisingly against
any suggestion of social equality. Indeed it would be helpful to have
the word equality eliminated from this consideration, to have it
accepted on both sides that this is not a question of social equality but
a question of recognizing a fundamental, eternal and inescapable
difference. We shall have made real progress when we develop an
attitude in the public and community thought of both races which
recognizes the difference.[369]
To this he added, as if replying to some unexpressed utterance,
altho’ he was the sole speaker:
I would accept that a black man cannot be a white man and that he
does not need and should not aspire to be as much like a white man
as possible in order to accomplish the best that is possible for him.[370]
In these two utterances President Harding put himself in accord
with Abraham Lincoln and in opposition to Theodore Roosevelt’s
dinner to Booker Washington, and, from this, he drew near to what is
supposed to be the teaching of Booker Washington:
“I would say let the black man vote when he is fit to vote.... I have
no sympathy with the half baked altruism that would overstock us with
doctors and lawyers of whatever color and leave us in need of people
fit and willing to do the manual work of a work-a-day world.”[371]
 From these generalizations, after quoting from F. D. Lugard a
paragraph which even a Philadelphia lawyer would be puzzled to
unravel, in which it is declared that while there shall be equality in
the paths of knowledge and culture and equal admiration and
opportunity, yet each must pursue his own inherited traditions, and
while agreeing to be spiritually equal diverge physically and
materially, the President reached the piece-de-resistance of his
discourse:
“It is probable that as a nation we have come to the end of the
period of very rapid increase in our population. Restricted immigration
will reduce the rate of increase and force us back upon our older
population to find people to do the simpler physically harder manual
tasks. This will require some difficult adjustments. In anticipation of
such a condition the South may well recognize that the North and
West are likely to continue their drains upon its colored population,
and that if the South wishes to keep its fields producing and its
industry still expanding it will have to compete for the services of the
colored man.”[372]
To this, the most important part of the President’s remarks, while
complimenting the tone and spirit of the whole, the same paper in
which Carlyle McKinley in 1889 sought to reveal to the South its true
policy, thus replied:
“The South would be glad to see a considerable part of the negro
population in this section find homes in other sections.”[373]
The comment of that Northern publication which had, as has been
shown, most intelligently discussed the migration of the Negroes
from the South to the North and West in 1916, was to the effect that
while the President’s scheme had much to recommend it as far as
the spirit was concerned, yet—
“The South knows as President Harding ought to know that you
can’t draw a sharp line between politics and social life. The offices of a
State are in most parts of America positions of social leadership. With
complete political equality the State of Mississippi might easily elect a
Negro as governor. Would such a result be accepted by Mississippi as
devoid of social significance? The race problem unfortunately is not
one that admits of easy general solutions.”[374]
 The President’s speech appeared about the time at which Dr.
DuBois returned from the second of the Pan-African congresses in
Europe, which he had been mainly instrumental in convening and at
which there were Negroes and mulattoes from West and South
Africa, British Guiana, Grenada, Jamaica, Nigeria and the Gold
Coast; Indians from India and East Africa; colored men from London;
and twenty-five American Negroes. There were meetings at London,
Brussels and Paris.
The London congress over which presided a distinguished English
administrator, later Secretary of State for India, Sir Sidney Olivier,
was mild, the chairman making no attempt to control the findings.
But at Brussels, where—
“the black Senegalese, Blaise Diagne, French Deputy and High
Commissioner of African troops—”[375]
presided—
DuBois says—
“We sensed the fear about us in a war land with nerves still
taut.”[376]
It seems Oswald Garrison Villard, with that refreshing conceit
which tempts him to discuss any subject whether he knows anything
about it or not, had been ignorantly denouncing conscription,
imposed on French Negroes.
With infinitely superior political acumen the London congress
under the leadership of DuBois, or certainly with his approval,
claimed the right to bear it equally with white Frenchmen, as long as
France recognized racial equality; but when DuBois at Brussels,
after a few days of harmless palaver—
“rose the last afternoon and read in French and English the
resolutions of London—”[377]

there was some stir. This is the scene, as depicted by DuBois:

“Diagne, the Senegales Frenchman who presided was beside
himself with excitement after the resolutions were read; as under
secretary of the French government; as ranking Negro of greater
France, and perhaps as a successful investor in French Colonial
 enterprises he was undoubtedly in a difficult position. Possibly he was
bound by actual promises to France and Belgium. His French was
almost too swift for my ears, but his meaning was clear; he felt that
the cause of the black man had been compromised by black American
radicals; he especially denounced our demand for ‘the restoration of
the ancient common ownership of the land in Africa’ as rank
communism.”[378]
Dr. DuBois does not explain wherein it was not; but contents
himself with declaring that Diagne used his power as chairman and
prevented a vote, the question being referred to the French
congress. Later in conversation with DuBois, Diagne declared that
he had “only sought to prevent the assassination of a race.”
In his final analysis of the congress at Paris, DuBois says:
“France recognizes Negro equality, not only in theory but in
practice, she has for the most part enfranchised her civilized Negro
citizens. But what she recognizes is the equal right of her citizens
black and white to exploit by modern industrial methods her laboring
classes black and white; and the crying danger to black France is that
its educated and voting leaders will join in the industrial robbery of
Africa, rather than lead its masses to education and culture.”[379]
DuBois thought Diagne and Candace, while unwavering defenders
of racial opportunity, education for and the franchise for the civilized,
“curiously timid” when the industrial problems of Africa “were”
approached. Well so was the Negro, Martin R. Delany, candidate for
lieutenant governor of South Carolina in 1874. He had had
advantages for studying the African problems which Dr. DuBois had
possibly not enjoyed to the same degree. Delany in his younger days
had been an African explorer and, even if he had not penetrated very
deeply into “The Dark Continent,” had seen the African Negro in his
lair. He and his younger co-laborer for reform in South Carolina,
William Hannibal Thomas, ex-Union soldier from Ohio, as has been
narrated, supported the candidacy of Judge Green for governor of
South Carolina, in 1874, against the brilliant white Carpet-Bagger
Daniel H. Chamberlain and his lieutenant, the even less reputable
black Carpet-Bagger, R. B. Elliott. But while Thomas accepted
Chamberlain, in 1876, as a changed man, with regard to
Chamberlain’s accompaniment, Delany, who had been in South
Carolina since 1865, eleven years to Thomas’s three, was still
“curiously timid.”
DuBois later enlarged his experience by a trip to Africa and, before
that, possibly may have been moved by the work of a French Negro
scholar who had made some mark in the literary world and
occasioned some stir in French colonial politics, just after the Pan-
African congress. But upon his return from these in 1921 DuBois at
once addressed himself to the consideration of President Harding’s
Birmingham speech.
With a curious sympathy for the man, Harding, and a display of
rank ingratitude to that white leader who had dared to do more for
the Negro, than Harding thought became a white man, DuBois
declared:
“The President made a braver, clearer utterance than Theodore
Roosevelt ever dared to make or than William H. Taft or William
McKinley ever dreamed of....
Mr. Harding meant that the American Negro must acknowledge that
it was wrong and a disgrace for Booker T. Washington to dine with
President Roosevelt.”[380]
Although thus praising the President and with a wholly gratuitous
sneer at the dead Roosevelt who had dared the “disgrace” and
suffered for it, the Doctor asserted Harding’s “braver clearer
utterance” was “an inconceivably dangerous and undemocratic
demand,” which he disposes of with one sweep of his pen, which not
only wiped out Harding’s speech; but also brushed away the basis
upon which John Stuart Mill erected his political economy, to wit
—“the first impulse of mankind is to follow and obey, servitude rather
than freedom is their natural state.”
Not so in the view of Dr. DuBois:
“No system of social uplift which begins by denying the manhood of
a man can end by giving him a free ballot, a real education and a just
wage.”[381]
In reply to this it may be said, that when the Negroes are
thoroughly diffused throughout the United States, they are apt to get
as free a ballot as the whites and proportionately the same
education; but when all who labor, white or black, get a just wage,
the millennium will have arrived and the capitalistic lion will be lying
down with the horny headed laboring lamb.
It cannot be denied, however, that Dr. DuBois stirred up some
comment with his congresses and those who believe in the
exhortation—“let there be light” will be interested in the French and
German utterances thereon.
The Paris Temps, generally considered the organ of the French
government, editorializes in these words:
“It is the claims of the wiser group which must be studied.... The
road will be long for Negroes in the League of Nations toward the
liberation modest though it is, whose program they have elaborated in
their Congress. But there is nothing to keep us French from putting
into immediate practice some articles at least of this program to start
with.”[382]
This is a world wide echo of Hayne’s Speech on the floor of the
United States Senate just about a century earlier. It is also to some
extent an endorsement of Diagne, whom DuBois had criticised as
“curiously timid.” The portrait of the remarkable Senegalese who
played such an Ajax to DuBois’s ambitious Hector does not appear;
but an entire front page of The Crisis is given to Maran, the Black
Thersites of the race.
If DuBois would accept Diagne as the leader of the Negro people
some results might come; but the Negro in DuBois will scarcely
permit this. He might accept the far less able white, Oswald Garrison
Villard. But no Negro.
The German comment on the congress is less cautious than the
French but points in the same direction:
“The Congress was called by Dr. Burghardt DuBois, an American
mulatto who has been prominent in his native country for many years
as a race agitator. Its purpose was to draw together all Negro
organizations throughout the world. The agenda included: the
segregation of the colored races; the race problem in England,
America and South Africa; and a future programme....
 The attendance at London and Brussels was very small, but some
four hundred delegates from every portion of the world participated in
the proceedings at Paris.... At the London session the radical ideas of
DuBois, which approached those of Garvey were in the ascendant
and force was preached as a possible alternative to attain the ends
which the Negroes have in view.... At Brussels, Deputy Diagne, a
member of the French Parliament from Senegal, presided. When he
saw that radical ideas were likely to prevail there also, he arbitrarily
terminated the session. At Paris the programme was cut and dried....
The newspapers gave full and sympathetic reports of the sessions.
France by this stroke of diplomacy attained her purpose. Under the
skilful leadership of the French deputy Diagne, the Congress adopted
a more moderate programme of evolution instead of revolution,
culminating in a platform demanding equality of all civilized men
without distinction of race; a systematic plan for educating the colored
races; liberty for the natives to retain their own religion and manners;
restoration of native titles to their former lands and to its produce; the
establishment of an international institute to study and record the
development of the black race; the protection of the black race by the
League of Nations; and the creation of a separate section in the
International Labor Bureau to deal with Negro labor.”[383]
In this report it is claimed both the United States and England are
handled harshly, while France is praised. It seems Sir Harry
Johnston is, to some degree, in accord with this praise of France, at
the expense of his own country, his opinion being:
“All in all, I am of the opinion that the French nation since 1871 has
dealt with the Negro problem in Africa and in tropical America more
wisely, prudently and successfully than we English have done.”[384]
It is this very fluent gifted linguist, in all probability, who is
responsible for the picturesque conclusion:
“Finally it is perfectly certain that the race question is the rock upon
which the British Empire will be wrecked or the corner stone upon
which the greatest political structure in the history of the world will be
erected.”[385]
But if from a representative of Imperial Germany, the only country
which ever enacted as a part of its organic law the principle of
Nullification, it surpasses in grandiosity and positiveness of
statement the dictum of Calhoun in 1837:
 “We have for the last 12 years been going through a great and
dangerous juncture. The passage is almost made and, if no new
cause of difficulty should intervene, it will be successfully made. I, at
present, see none but the abolition question, which however, I fear is
destined to shake the country to its centre.... For the first time the bold
ground has been taken that slaves have a right to petition Congress ...
itself emancipation.... Our fate as a people is bound up in the
question. If we yield, we will be extirpated; but if we successfully
resist, we will be the greatest and most flourishing people of modern
time. It is the best substratum of population in the world and one on
which great and flourishing Commonwealths may be most easily and
safely reared.”[386]
We of the South know, we did not successfully resist
emancipation; were not extirpated; but do form part of “the greatest
and most flourishing people of modern time.” We must realize that,
no matter what was the price paid for it, emancipation was salvation
for the South. It was a deliverance from the “body of death,”
Reviewing our history, we find that in the same year that Calhoun,
the greatest disruptive force in our politics, pronounced the dictum
last quoted, a comparatively young and unknown politician, destined
to be the greatest cementing force of the Union, declared—
“That the institution of slavery is founded on both injustice and bad
policy; but that the promulgation of abolition doctrines tends rather to
promote than to abate its evils.”[387]
In discussing this utterance of Lincoln, his latest biographer, Mr.
Stephenson, who declares it reveals the dawn of his intellect,
beautifully pictures how—
“arise the two ideas, the faith in a mighty governing power; the equal
faith that it should use its might with infinite tenderness; that it should
be slow to compel results.”[388]
Going back ten years before the dawn of Lincoln’s intellect, and four
prior to the declaration that the Negro question was, as he, Calhoun,
saw it an African slave substratum on which great and flourishing
commonwealths could be most easily and safely reared, Hayne, on
the floor of the United States Senate, voiced in his own words,
Lincoln’s subsequently sponsored thought.
Harken to Hayne:
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