Academic press optical fiber telecommunications volume a components and subsystems 5th edition feb 2008 ISBN 0123741718 pdf

Optical Fiber Telecommunications V A


About the Editors

Ivan P. Kaminow retired from Bell Labs in 1996 after a 42-year career. He
conducted seminal studies on electrooptic modulators and materials, Raman scattering in ferroelectrics, integrated optics, semiconductor lasers (DBR, ridge-waveguide
InGaAsP, and multi-frequency), birefringent optical fibers, and WDM networks.
Later, he led research on WDM components (EDFAs, AWGs, and fiber Fabry-Perot
Filters), and on WDM local and wide area networks. He is a member of the National
Academy of Engineering and a recipient of the IEEE/OSA John Tyndall, OSA
Charles Townes, and IEEE/LEOS Quantum Electronics Awards. Since 2004, he has
been Adjunct Professor of Electrical Engineering at the University of California,
Berkeley.
Tingye Li retired from AT&T in 1998 after a 41-year career at Bell Labs and
AT&T Labs. His seminal work on laser resonator modes is considered a classic.
Since the late 1960s, he and his groups have conducted pioneering studies on
lightwave technologies and systems. He led the work on amplified WDM transmission systems and championed their deployment for upgrading network capacity. He is a member of the National Academy of Engineering and a foreign
member of the Chinese Academy of Engineering. He is also a recipient of the
IEEE David Sarnoff Award, IEEE/OSA John Tyndall Award, OSA Ives Medal/
Quinn Endowment, AT&T Science and Technology Medal, and IEEE Photonics
Award.
Alan E. Willner has worked at AT&T Bell Labs and Bellcore, and he is Professor
of Electrical Engineering at the University of Southern California. He received the
NSF Presidential Faculty Fellows Award from the White House, Packard Foundation Fellowship, NSF National Young Investigator Award, Fulbright Foundation
Senior Scholar, IEEE LEOS Distinguished Lecturer, and USC University-Wide
Award for Excellence in Teaching. He is a Fellow of IEEE and OSA, and he has
been President of the IEEE LEOS, Editor-in-Chief of the IEEE/OSA J. of Lightwave
Technology, Editor-in-Chief of Optics Letters, Co-Chair of the OSA Science &
Engineering Council, and General Co-Chair of the Conference on Lasers and

Electro-Optics.


Optical Fiber Telecommunications V A
Components and Subsystems
Edited by

Ivan P. Kaminow
Tingye Li
Alan E. Willner

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Contents

Contributors

ix

Chapter 1

Overview of OFT V Volumes A & B
Ivan P. Kaminow, Tingye Li, and Alan E. Willner

1

Chapter 2

Semiconductor Quantum Dots: Genesis—The Excitonic
Zoo—Novel Devices for Future Applications
Dieter Bimberg

23

Chapter 3

High-Speed Low-Chirp Semiconductor Lasers
Shun Lien Chuang, Guobin Liu, and Piotr Konrad Kondratko

53

Chapter 4

Recent Advances in Surface-Emitting Lasers
Fumio Koyama

81

Chapter 5

Pump Diode Lasers
Christoph Harder

107

Chapter 6

Ultrahigh-Speed Laser Modulation by Injection Locking
Connie J. Chang-Hasnain and Xiaoxue Zhao

145

Chapter 7

Recent Developments in High-Speed Optical
Modulators
Lars Thyle´n, Urban Westergren, Petter Holmstro¨m,
Richard Schatz, and Peter Ja¨nes

183

Chapter 8

Advances in Photodetectors
Joe Charles Campbell

221

Chapter 9

Planar Lightwave Circuits in Fiber-Optic Communications
Christopher R. Doerr and Katsunari Okamoto

269

vii


viii

Contents

Chapter 10 III–V Photonic Integrated Circuits and Their Impact
on Optical Network Architectures
Dave Welch, Chuck Joyner, Damien Lambert,
Peter W. Evans, and Maura Raburn
Chapter 11 Silicon Photonics
Cary Gunn and Thomas L. Koch
Chapter 12 Photonic Crystal Theory: Temporal Coupled-Mode
Formalism
Shanhui Fan

343

381

431

Chapter 13 Photonic Crystal Technologies: Experiment
Susumu Noda

455

Chapter 14 Photonic Crystal Fibers: Basics and Applications
Philip St John Russell

485

Chapter 15 Specialty Fibers for Optical Communication Systems
Ming-Jun Li, Xin Chen, Daniel A. Nolan, Ji Wang,
James A. West, and Karl W. Koch

523

Chapter 16 Plastic Optical Fibers: Technologies and Communication
Links
Yasuhiro Koike and Satoshi Takahashi
Chapter 17 Polarization Mode Dispersion
Misha Brodsky, Nicholas J. Frigo, and Moshe Tur

593
605

Chapter 18 Electronic Signal Processing for Dispersion Compensation
and Error Mitigation in Optical Transmission Networks
Abhijit Shanbhag, Qian Yu, and John Choma

671

Chapter 19 Microelectromechanical Systems for Lightwave
Communication
Ming C. Wu, Olav Solgaard, and Joseph E. Ford

713

Chapter 20 Nonlinear Optics in Communications: From Crippling
Impairment to Ultrafast Tools
Stojan Radic, David J. Moss, and Benjamin J. Eggleton

759

Chapter 21 Fiber-Optic Quantum Information Technologies
Prem Kumar, Jun Chen, Paul L. Voss, Xiaoying Li,
Kim Fook Lee, and Jay E. Sharping

829

Index to Volumes VA and VB

881


Contributors

Dieter Bimberg, Institut fuer Festkoerperphysik and Center of Nanophotonics,
Berlin, Germany,
Misha Brodsky, AT&T Labs – Research, Middletown, NJ, USA,

Joe Charles Campbell, School of Engineering and Applied Science,
Department of Electrical and Computer Engineering, University of Virginia,
Charlottesville, VA, USA,
Connie J. Chang-Hasnain, Department of Electrical Engineering and
Computer Sciences, University of California, Berkeley, CA, USA,

Jun Chen, Center for Photonic Communication and Computing,
EECS Department, Northwestern University, Evanston, IL, USA
Xin Chen, Corning Inc., Corning, NY, USA,
John Choma, Scintera Inc., Sunnyvale, CA, USA,
Shun Lien Chuang, Department of ECE, University of Illinois, Urbana, IL,
USA,
Christopher R. Doerr, Alcatel-Lucent, Holmdel, NJ, USA,

Benjamin J. Eggleton, ARC Centre of Excellence for Ultrahigh-bandwidth
Devices for Optical Systems (CUDOS), School of Physics, University of
Sydney, Australia,
Peter W. Evans, Infinera Inc., Sunnyvale, CA, USA,
Shanhui Fan, Ginzton Laboratory, Department of Electrical Engineering,
Stanford, CA, USA,
Joseph E. Ford, Department of Electrical and Computer Engineering,
University of California, San Diego, CA, USA,
ix


x

Contributors

Nicholas J. Frigo, Department of Physics, U.S. Naval Academy, Annapolis,

MD, USA,
Cary Gunn, Chief Technology Officer, Luxtera, Inc., Carlsbad, CA, USA,

Christoph Harder, HPP, Etzelstrasse 58, Schindellegi, Switzerland,

Petter Holmstro¨m, Department of Microelectronics and Applied Physics,
Royal Institute of Technology (KTH), Kista, Sweden,
Peter Ja¨nes, Proximion Fiber Systems AB, Kista, Sweden,

Chuck Joyner, Infinera Inc., Sunnyvale, CA, USA,
Ivan P. Kaminow, 254M Cory Hall #1770, University of California, Berkeley,
CA, USA,
Karl W. Koch, Corning Inc., Corning, NY, USA,
Thomas L. Koch, Center for Optical Technologies, Sinclair Laboratory,
Lehigh University, Bethlehem, PA, USA,
Yasuhiro Koike, Keio University ERATO Koike Photonics Polymer Project,
Yokohama, Japan,
Piotr Konrad Kondratko, Department of ECE, University of Illinois,
Urbana, IL, USA,
Fumio Koyama, Microsystem Research Center, P&I Lab, Tokyo Institute
of Technology, Nagatsuta, Midori-ku, Yokohama, Japan,

Prem Kumar, Technological Institute, Northwestern University,
Evanston, IL, USA,
Damien Lambert, Infinera Inc., Sunnyvale, CA, USA,
Kim Fook Lee, Center for Photonic Communication and Computing,
EECS Department, Northwestern University, Evanston, IL, USA
Ming-Jun Li, Corning Inc., Corning, NY, USA,
Tingye Li, Locust Place, Boulder, CO, USA,

Contributors

xi

Xiaoying Li, Center for Photonic Communication and Computing,
EECS Department, Northwestern University, Evanston, IL, USA
Guobin Liu, Department of ECE, University of Illinois, Urbana, IL, USA,

David J. Moss, ARC Centre of Excellence for Ultrahigh-bandwidth Devices for
Optical Systems (CUDOS), School of Physics, University of Sydney, Australia,

Susumu Noda, Department of Electronic Science and Engineering,
Kyoto University, Kyoto, Japan,
Daniel A. Nolan, Corning Inc., Corning, NY, USA,
Katsunari Okamoto, Okamoto Laboratory, 2-1-33 Higashihara, Mito-shi,
Ibaraki-ken, 310-0035, Japan,
Maura Raburn, Infinera Inc., Sunnyvale, CA, USA,
Stojan Radic, Department of Electrical and Computer Engineering,
University of California, San Diego, La Jolla, CA, USA,
Philip St. John Russell, Max-Planck Research Group (IOIP), University of
Erlangen-Nuremberg, Erlangen, Germany,
Richard Schatz, Department of Microelectronics and Applied Physics,
Royal Institute of Technology (KTH), Kista, Sweden,
Abhijit Shanbhag, Scintera Inc., Sunnyvale, CA, USA,
Jay E. Sharping, University of California, Merced, CA,

Olav Solgaard, Department of Electrical Engineering, Edward L. Ginzton
Laboratory, Stanford University, Stanford, CA, USA,
Satoshi Takahashi, The Application Group, Shin-Kawasaki Town Campus,

Keio University, Kawasaki, Japan,
Lars Thyle´n, Department of Microelectronics and Applied Physics, Royal
Institute of Technology (KTH), Kista, Sweden,
Moshe Tur, School of Electrical Engineering, Tel Aviv University,
Ramat Aviv, Israel,
Paul L. Voss, Center for Photonic Communication and Computing, EECS
Department, Northwestern University, Evanston, IL, USA


xii

Contributors

Ji Wang, Corning Inc., Corning, NY, USA,
Dave Welch, Infinera Inc., Sunnyvale, CA, USA,
James A. West, Corning Inc., Corning, NY, USA,
Urban Westergren, Department of Microelectronics and Applied Physics,
Royal Institute of Technology (KTH), Kista, Sweden,
Alan E. Willner, Ming Hsieh Department of Electrical Engineering, Viterbi
School of Engineering, University of Southern California, Los Angeles, CA,
USA,
Ming C. Wu, Berkeley Sensor and Actuator Center (BSAC) and Electrical
Engineering & Computer Science Department, University of California, Berkeley,
CA, USA,
Qian Yu, Scintera Inc., Sunnyvale, CA, USA,
Xiaoxue Zhao, Department of Electrical Engineering and Computer Sciences,
University of California, Berkeley, CA, USA,


1

Overview of OFT V volumes A & B
Ivan P. Kaminow*, Tingye Li†, and Alan E. Willner‡
*
University
†

of California, Berkeley, CA, USA
Boulder, CO, USA
‡
University of Southern California, Los Angeles, CA, USA

Optical Fiber Telecommunications V (OFT V) is the fifth installment of the OFT
series. Now 29 years old, the series is a compilation by the research and development community of progress in optical fiber communications. Each edition
reflects the current state-of-the-art at the time. As Editors, we started with a clean
slate of chapters and authors. Our goal was to update topics from OFT IV that are
still relevant as well as to elucidate topics that have emerged since the last
edition.

1.1 FIVE EDITIONS
Installments of the series have been published roughly every 6–8 years and
chronicle the natural evolution of the field:
• In the late 1970s, the original OFT (Chenoweth and Miller, 1979) was
concerned with enabling a simple optical link, in which reliable fibers,
connectors, lasers, and detectors played the major roles.
• In the late 1980s, OFT II (Miller and Kaminow, 1988) was published after the
first field trials and deployments of simple optical links. By this time, the
advantages of multiuser optical networking had captured the imagination of
the community and were highlighted in the book.
• OFT III (Kaminow and Koch, 1997) explored the explosion in transmission
capacity in the early-to-mid 1990s, made possible by the erbium-doped fiber

amplifier (EDFA), wavelength division multiplexing (WDM), and dispersion
management.
Optical Fiber Telecommunications V A: Components and Subsystems
Copyright Ó 2008, Elsevier Inc. All rights reserved.
ISBN: 978-0-12-374171-4

1


Ivan P. Kaminow et al.

2

• By 2002, OFT IV (Kaminow and Li, 2002) dealt with extending the distance
and capacity envelope of transmission systems. Subtle nonlinear and dispersive effects, requiring mitigation or compensation in the optical and electrical
domains, were explored.
• The present edition of OFT, V, (Kaminow, Li, and Willner, 2008) moves the
series into the realm of network management and services, as well as employing optical communications for ever-shorter distances. Using the high bandwidth capacity in a cost-effective manner for customer applications takes
center stage. In addition, many of the topics from earlier volumes are brought
up to date; and new areas of research which show promise of impact are
featured.
Although each edition has added new topics, it is also true that new challenges
emerge as they relate to older topics. Typically, certain devices may have adequately solved transmission problems for the systems of that era. However, as
systems become more complex, critical device technologies that might have been
considered a “solved problem” previously have new requirements placed upon
them and need a fresh technical treatment. For this reason, each edition has grown
in sheer size, i.e., adding the new and, if necessary, reexamining the old.
An example of this circular feedback mechanism relates to the fiber itself.
At first, systems simply required low-loss fiber. However, long-distance transmission
enabled by EDFAs drove research on low-dispersion fiber. Further, advances in WDM

and the problems of nonlinear effects necessitated development of nonzero dispersion
fiber. Cost considerations and ultra-high-performance systems, respectively, are driving research in plastic fibers and ultra-low-polarization-dependent fibers. We believe
that these cycles will continue. Each volume includes a CD-ROM with all the figures
from that volume. Select figures are in color. The volume B CD-ROM also has some
supplementary Powerpoint slides to accompany Chapter 19 of that volume.

1.2 PERSPECTIVE OF THE PAST 6 YEARS
Our field has experienced an unprecedented upheaval since 2002. The irrational
exuberance and despair of the technology “bubble-and-bust” had poured untold
sums of money into development and supply of optical technologies, which was
followed by a depression-like period of over supply. We are happy to say that, by
nearly all accounts, the field is gaining strength again and appears to be entering a
stage of rational growth.
What caused this upheaval? A basis seems to be related to a fundamental
discontinuity in economic drivers. Around 2001, worldwide telecom traffic ceased
being dominated by the slow-growing voice traffic and was overtaken by
the rapidly growing Internet traffic. The business community over-estimated the


1. Overview of OFT V Volumes A & B

3

growth rate, which generated enthusiasm and demand, leading to unsustainable
expectations. Could such a discontinuity happen again? Perhaps, but chastened
investors now seem to be following a more gradual and sensible path. Throughout
the “bubble-and-bust” until the present, the actual demand for bandwidth has
grown at a very healthy $80% per year globally; thus, real traffic demand
experienced no bubble at all. The growth and capacity needs are real, and should
continue in the future.

As a final comment, we note that optical fiber communications is firmly
entrenched as part of the global information infrastructure. The only question is
how deeply will it penetrate and complement other forms of communications, e.g.,
wireless, access, and on-premises networks, interconnects, satellites, etc. This
prospect is in stark contrast to the voice-based future seen by OFT, published in
1979, before the first commercial intercontinental or transatlantic cable systems
were deployed in the 1980s. We now have Tb/s systems for metro and long-haul
networks. It is interesting to contemplate what topics and concerns might appear in
OFT VI.

1.3 OFT V VOLUME A: COMPONENTS
AND SUBSYSTEMS
1.3.1 Chapter 1. Overview of OFT V volumes A & B
(Ivan P. Kaminow, Tingye Li, and Alan E. Willner)
This chapter briefly reviews herewith all the chapters contained in both volumes of
OFT V.

1.3.2 Chapter 2. Semiconductor quantum dots:
Genesis—The Excitonic Zoo—novel devices
for future applications (Dieter Bimberg)
The ultimate class of semiconductor nanostructures, i.e., “quantum dots” (QDs), is
based on “dots” smaller than the de Broglie wavelength in all three dimensions.
They constitute nanometer-sized clusters that are embedded in the dielectric
matrix of another semiconductor. They are often self-similar and can be formed
by self-organized growth on surfaces. Single or few quantum dots enable novel
devices for quantum information processing, and billions of them enable active
centers in optoelectronic devices like QD lasers or QD optical amplifiers. This
chapter covers the area of quantum dots from growth via various band structures to
optoelectronic device applications. In addition, high-speed laser and amplifier
operations are described.

4

Ivan P. Kaminow et al.

1.3.3 Chapter 3. High-speed low-chirp semiconductor lasers
(Shun Lien Chuang, Guobin Liu, and Piotr Konrad
Kondratko)
One advantage of using quantum wells and quantum dots for the active region of
lasers is the lower induced chirp when such lasers are directly modulated, permitting direct laser modulation that can save on the cost of separate external
modulators. This chapter provides a comparison of InAlGaAs with InGaAsP
long-wavelength quantum-well lasers in terms of high-speed performance, and
extracts the important parameters such as gain, differential gain, photon lifetime,
temperature dependence, and chirp. Both DC characteristics and high-speed direct
modulation of quantum-well lasers are presented, and a comparison with theoretical models is made. The chapter also provides insights into novel quantum-dot
lasers for high-speed operation, including the ideas of p-type doping vs tunneling
injection for broadband operation.

1.3.4 Chapter 4. Recent advances in surface-emitting lasers
(Fumio Koyama)
Vertical cavity surface-emitting lasers (VCSELs) have a number of special properties (compared with the more familiar edge-emitting lasers) that permit some novel
applications. This chapter begins with an introduction which briefly surveys recent
advances in VCSELs, several of that are then treated in detail. These include
techniques for realizing long-wavelength operation (as earlier VCSELs were
limited to operation near 850 nm), the performance of dense VCSEL arrays that
emit a range of discrete wavelengths (as large as 110 in number), and MEMSbased athermal VCSELs. Also, plasmonic VCSELs that produce subwavelength
spots for high-density data storage and detection are examined. Finally, work on
all-optical signal processing and slow light is presented.

1.3.5 Chapter 5. Pump diode lasers (Christoph Harder)
Erbium-doped fiber amplifiers (EDFAs) pumped by bulky argon lasers were
known for several years before telecom system designers took them seriously;
the key development was a compact, high-power semiconductor pump laser.
Considerable effort and investment have gone into today’s practical pump lasers,
driven by the importance of EDFAs in realizing dense wavelength division multiplexed (DWDM) systems. The emphasis has been on high power, efficiency, and
reliability. The two main wavelength ranges are in the neighborhood of 980 nm for
low noise and 1400 nm for remote pumping of EDFAs. The 1400-nm band is also
suitable for Raman amplifiers, for which very high power is needed.


1. Overview of OFT V Volumes A & B

5

This chapter details the many lessons learned in the design for manufacture of
commercial pump lasers in the two bands. Based on the performance developed for
telecom, numerous other commercial applications for high-power lasers have
emerged in manufacturing and printing; these applications are also discussed.

1.3.6 Chapter 6. Ultrahigh-speed laser modulation by
injection locking (Connie J. Chang-Hasnain and
Xiaoxue Zhao)
It has been known for decades that one oscillator (the slave) can be locked in
frequency and phase to an external oscillator (the master) coupled to it. Current
studies of injection-locked lasers show that the dynamic characteristics of the
directly modulated slave are much improved over the same laser when freely
running. Substantial improvements are found in modulation bandwidth for analog
and digital modulation, in linearity, in chirp reduction and in noise performance.
In this chapter, theoretical and experimental aspects of injection locking in all

lasers are reviewed with emphasis on the authors’ research on VCSELs (vertical
cavity surface-emitting lasers). A recent promising application in passive optical
networks for fiber to the home (FTTH) is also discussed.

1.3.7 Chapter 7. Recent developments in high-speed
optical modulators (Lars Thyle´n, Urban Westergren,
Petter Holmstro¨m, Richard Schatz, and Peter Ja¨nes)
Current high-speed lightwave systems make use of electro-optic modulators based
on lithium niobate or electroabsorption modulators based on semiconductor materials. In commercial systems, the very high-speed lithium niobate devices often require
a traveling wave structure, while the semiconductor devices are usually lumped.
This chapter reviews the theory of high-speed modulators (at rates of 100 Gb/s)
and then considers practical design approaches, including comparison of lumped and
traveling-wave designs. The main emphasis is on electroabsorption devices based on
Franz–Keldysh effect, quantum-confined Stark effect and intersubband absorption.
A number of novel designs are described and experimental results given.

1.3.8 Chapter 8. Advances in photodetectors
(Joe Charles Campbell)
As a key element in optical fiber communications systems, photodetectors belong to
a well developed sector of photonics technology. Silicon p–i–n and avalanche photodiodes deployed in first-generation lightwave transmission systems operating at
0.82-mm wavelength performed very close to theory. In the 1980s, InP photodiodes


6

Ivan P. Kaminow et al.

were developed and commercialized for systems that operated at 1.3- and 1.5-mm
wavelengths, albeit the avalanche photodiodes (APDs) were expensive and nonideal.
Introduction of erbium-doped fiber amplifiers and WDM technology in the 1990s

relegated APDs to the background, as p–i–n photoreceivers performed well in amplified
systems, whereas APDs were plagued by the amplified spontaneous emission noise.
Future advanced systems and special applications will require sophisticated devices
involving deep understanding of device physics and technology. This chapter focuses on
three primary topics: high-speed waveguide photodiodes for systems that operate at
100 Gb/s and beyond, photodiodes with high saturation current for high-power applications, and recent advances of APDs for applications in telecommunications.

1.3.9 Chapter 9. Planar lightwave circuits in fiber-optic
communications (Christopher R. Doerr and
Katsunari Okamoto)
The realization of one or more optical waveguide components on a planar substrate
has been under study for over 35 years. Today, individual components such as
splitters and arrayed waveguide grating routers (AWGRs) are in widespread
commercial use. Sophisticated functions, such as reconfigurable add–drop
multiplexers (ROADMs) and high-performance filters, have been demonstrated
by integrating elaborate combinations of such components on a single chip. For
the most part, these photonic integrated circuits (PICs), or planar lightwave
circuits (PLCs), are based on passive waveguides in lower index materials,
such as silica.
This chapter deals with the theory and design of such PICs. The following two
chapters (Chapters 11 and 12) also deal with PICs; however, they are designed to
be integrated with silicon electronic ICs, either in hybrid fashion by short wire
bonds to an InP PIC or directly to a silicon PIC.

1.3.10 Chapter 10. III–V photonic integrated circuits
and their impact on optical network architectures
(Dave Welch, Chuck Joyner, Damien Lambert, Peter
W. Evans, and Maura Raburn)
InP-based semiconductors are unique in their capability to support all the photonic
components required for wavelength division multiplexed (WDM) transmitters

and receivers in the telecom band at 1550 nm. Present subsystems have connected
these individual components by fibers or lenses to form hybrid transmitters and
receivers for each channel.
Recently, integrated InP WDM transmitter and receiver chips that provide
10 channels, each operating at 10 Gb/s, have been shown to be technically and


1. Overview of OFT V Volumes A & B

7

economically viable for deployment in commercial WDM systems. The photonic
integrated circuits are wire-bonded to adjacent silicon ICs. Thus a single board
provides optoelectronic regeneration for 10 channels, dramatically reducing
interconnection complexity and equipment space. In addition, as in legacy singlechannel systems, the “digital” approach for transmission (as compared to “all-optical”)
offers ease of network monitoring and management. This chapter covers the technology
of InP photonic integrated circuits (PICs) and their commercial application. The impact
on optical network architecture and operation is discussed and technology advances for
future systems are presented.

1.3.11 Chapter 11. Silicon photonics (Cary Gunn
and Thomas L. Koch)
Huge amounts of money have been invested in silicon processing technology,
thanks to a steady stream of applications that justified the next stage of processing development. In addition to investment, innovative design, process discipline and large-volume runs made for economic success. The InP PICs described
in the previous chapter owe their success to lessons learned in silicon IC
processing.
Many people have been attracted by the prospects of fabricating PICs using
silicon alone to capitalize on the investment and success of silicon ICs. To succeed
one requires a large-volume application and a design that can be made in an
operating silicon IC foundry facility. A further potential advantage is the opportunity to incorporate on the same photonic chip electronic signal processing. The

application to interconnects for high-performance computers is a foremost motivation for this work.
While silicon has proven to be the ideal material for electronic ICs, it is far from
ideal for PICs. The main shortcoming is the inability so far to make a good light
source or photodetector in silicon. This chapter discusses the successes and
challenges encountered in realizing silicon PICs to date.

1.3.12 Chapter 12. Photonic crystal theory: Temporal
coupled-mode formalism (Shanhui Fan)
Photonic crystal structures have an artificially created optical bandgap that is
introduced by a periodic array of perturbations, and different types of waveguides and cavities can be fabricated that uniquely use the band gap-based
confinement. These artificially created materials have been of great interest for
potential optical information processing applications, in part because they provide a common platform to miniaturize a large number of optical components
on-chip down to single wavelength scale. For this purpose, many devices can be


8

Ivan P. Kaminow et al.

designed using such a material with a photonic bandgap and, subsequently,
introducing line and point defect states into the gap. Various functional devices,
such as filters, switches, modulators and delay lines, can be created by controlling the coupling between these defect states. This chapter reviews the temporal
coupled-mode theory formalism that provides the theoretical foundation of
many of these devices.

1.3.13 Chapter 13. Photonic crystal technologies:
Experiment (Susumu Noda)
Photonic crystals belong to a class of optical nanostructures characterized by the
formation of band structures with respect to photon energy. In 3D photonic
crystals, a complete photonic band gap is formed; the presence of light with

frequencies lying in the band gap is not allowed. This chapter describes the
application of various types of materials engineering to photonic crystals, with
particular focus on the band gap/defect, the band edge, and the transmission band
within each band structure. The manipulation of photons in a variety of ways
becomes possible. Moreover, this chapter discusses the recent introduction of
“photonic heterostructures” as well as recent developments concerning two- and
three-dimensional photonic crystals.

1.3.14 Chapter 14. Photonic crystal fibers: Basics
and applications (Philip St John Russell)
Photonic crystal fibers (PCFs)—fibers with a periodic transverse microstructure—
first emerged as practical low-loss waveguides in early 1996. The initial demonstration took 4 years of technological development, and since then the fabrication
techniques have become more and more sophisticated. It is now possible to
manufacture the microstructure in air–glass PCFs to accuracies of 10 nm on the
scale of 1 mm, which allows remarkable control of key optical properties such as
dispersion, birefringence, nonlinearity and the position and width of the photonic
band gaps (PBGs) in the periodic “photonic crystal” cladding. PCF has in this way
extended the range of possibilities in optical fibers, both by improving wellestablished properties and introducing new features such as low-loss guidance in
a hollow core.
In this chapter, the properties of the various types of PCFs are introduced,
followed by a detailed discussion of their established or emerging applications.
The chapter describes in detail the fabrication, theory, numerical modeling,
optical properties, and guiding mechanisms of PCFs. Applications of photonic
crystal fibers include lasers, amplifiers, dispersion compensators, and nonlinear
processing.


1. Overview of OFT V Volumes A & B

9

1.3.15 Chapter 15. Specialty fibers for optical
communication systems (Ming-Jun Li, Xin Chen,
Daniel A. Nolan, Ji Wang, James A. West, and
Karl W. Koch)
Specialty fibers are designed by changing fiber glass composition, refractive index
profile, or coating to achieve certain unique properties and functionalities. Some of
the common specialty fibers include active fibers, polarization control fibers,
dispersion compensation fibers, highly nonlinear fibers, coupling or bridge fibers,
high-numerical-aperture fibers, fiber Bragg gratings, and special single mode
fibers. In this chapter, the design and performance of various specialty fibers are
discussed. Special attention is paid to dispersion compensation fibers, polarizationmaintaining and single-polarization fibers, highly nonlinear fibers, double clad
fiber for high-power lasers and amplifiers, and photonic crystal fibers. Moreover,
there is a brief discussion of the applications of these specialty fibers.

1.3.16 Chapter 16. Plastic optical fibers: Technologies
and communication links (Yasuhiro Koike and
Satoshi Takahashi)
Plastic optical fiber (POF) consists of a plastic core that is surrounded by a plastic
cladding of a refractive index lower than that of the core. POFs have very large
core diameters compared to glass optical fibers, and yet they are quite flexible.
These features enable easy installation and safe handling. Moreover, the large-core
fibers can be connected without high-precision accuracy and with low cost. POFs
have been used extensively in short-distance datacom applications, such as in
digital audio interfaces. POFs are also used for data transmission within equipment
and for control signal transmission in machine tools. During the late 1990s, POFs
were used as the transmission medium in the data bus within automobiles. As we
move into the future, high-speed communication will be required in the home, and
POFs are a promising candidate for home network wiring. This chapter describes
the POF design and fabrication, the specific fiber properties of attenuation, bandwidth and thermal stability, and various communications applications, concluding

with a discussion of recent developments in graded-index POFs.

1.3.17 Chapter 17. Polarization mode dispersion (Misha
Brodsky, Nicholas J. Frigo, and Moshe Tur)
Polarization-mode dispersion (PMD) has been well recognized for sometime as an
impairment factor that limits the transmission speed and distance in high-speed
lightwave systems. The complex properties of PMD have enjoyed scrutiny by


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theorists, experimentalists, network designers, field engineers and, during the
“bubble” years, entrepreneurial technologists. A comprehensive treatment of the
subject up to year 2002 is given in a chapter bearing the same title in Optical Fiber
Telecommunications IVB, System and Impairments. The present chapter is an
overview of PMD with special emphasis on the knowledge accumulated in the
past 5 years. It begins with a review of PMD concepts, and proceeds to consider
the “hinge” model used to describe field test results, which are presented and
analyzed. The important subject of system penalties and outages due to first-order
PMD is then examined, followed by deliberations of higher-order PMD, and
interaction between fiber nonlinear effects and PMD.

1.3.18 Chapter 18. Electronic signal processing for
dispersion compensation and error mitigation in
optical transmission networks (Abhijit Shanbhag,
Qian Yu, and John Choma)
Dispersion equalization has its origin in the early days of analog transmission of
voice over copper wires where loading coils (filters) were distributed in the network to equalize the frequency response of the transmission line. Digital transmission over twisted pairs was enabled by the invention of the transversal equalizer

which extended greatly the bandwidth and reach. Sophisticated signal processing
and modulation techniques have now made mobile telephones ubiquitous. However, it was not until the mid 1990s that wide deployment of Gigabit Ethernet
rendered silicon CMOS ICs economical for application in high-speed lightwave
transmission. Most, if not all lightwave transmission systems deployed today, use
electronic forward error correction and dispersion compensation to alleviate signal
degradation due to noise and fiber dispersive effects.
This chapter presents an overview of various electronic equalization and adaptation techniques, and discusses their high-speed implementation, specifically
addressing 10-Gb/s applications for local-area, metro, and long-haul networks.
It comprises a comprehensive survey of the role, scope, limitations, trends, and
challenges of this very important and compelling technology.

1.3.19 Chapter 19. Microelectromechanical systems for
lightwave communication (Ming C. Wu, Olav
Solgaard, and Joseph E. Ford)
The earliest commercial applications of microelectromechanical systems (MEMS)
were in digital displays employing arrays of tiny mirrors and in accelerometers for
airbag sensors. This technology has now found a host of applications in lightwave
communications. These applications usually require movable components, such as
mirrors, with response times in the neighborhood of 10–6 s, although fixed


1. Overview of OFT V Volumes A & B

11

elements may be called for in some applications. Either a free-space or integrated
layout may be used.
This chapter describes the recent lightwave system applications of MEMS.
In telecommunications, MEMS switches can provide cross-connects with large
numbers of ports. A variety of wavelength selective devices, such as reconfigurable

optical add–drop multiplexers (ROADM) employ MEMS. More recent devices
include tunable lasers and microdisk resonators.

1.3.20 Chapter 20. Nonlinear optics in communications:
from crippling impairment to ultrafast tools (Stojan
Radic, David J. Moss, and Benjamin J. Eggleton)
It is perhaps somewhat paradoxical that optical nonlinearities, whilst having posed
significant limitations for long-haul WDM systems, also offer the promise of addressing the bandwidth bottleneck for signal processing for future optical networks as
they evolve beyond 40 Gb/s. In particular, all-optical devices based on the 3rd order
(3) optical nonlinearity offer a significant promise in this regard, not only because
the intrinsic nonresonant (3) is nearly instantaneous, but also because (3) is
responsible for a wide range of phenomena, including 3rd harmonic generation,
stimulated Raman gain, four-wave mixing, optical phase conjugation, two-photon
absorption, and the nonlinear refractive index. This plethora of physical processes
has been the basis for a wide range of activity on all-optical signal processing devices.
This chapter focuses on breakthroughs in the past few years on approaches
based on highly nonlinear silica fiber as well as chalcogenide-glass-based fiber and
waveguide devices. The chapter contrasts two qualitatively different approaches to
all-optical signal processing based on nonphase-matched and phase-matched processes. All-optical applications of 2R and 3R regeneration, wavelength conversion, parametric amplification, phase conjugation, delay, performance monitoring,
and switching are reviewed.

1.3.21 Chapter 21. Fiber-optic quantum information
technologies (Prem Kumar, Jun Chen, Paul L. Voss,
Xiaoying Li, Kim Fook Lee, and Jay E. Sharping)
Quantum-mechanical (QM) rules are surprisingly simple: linear algebra and firstorder partial differential equations. Yet, QM predictions are unimaginably precise
and accurate when compared with experimental data. A “mysterious” feature of QM
is the superposition principle and the ensuing quantum entanglement. The fundamental difference between quantum entanglement and classical correlation lies in the
fact that particles are quantum-mechanical objects which can exist not only in states
| 0 > and | 1> but also in states described by  | 0 > þ b | 1 >, while classical objects

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can only exist in one of two deterministic states (i.e., “heads” or “tails”), and not
something in between. In other words, the individual particle in quantum entanglement does not have a well-defined pure state before measurement.
Since the beginning of the 1990s, the field of quantum information and communication has expanded rapidly, with quantum entanglement being a critical
aspect. Entanglement is still an unresolved “mystery,” but a new world of
“quantum ideas” has been ignited and is actively being pursued. The focus of
this chapter is the generation of correlated and entangled photons in the telecom
band using the Kerr nonlinearity in dispersion-shifted fiber. Of particular interest
are microstructure fibers, in which tailorable dispersion properties have
allowed phase-matching and entanglement to be obtained over a wide range of
wavelengths.

1.4 OFT V VOLUME B: SYSTEMS AND NETWORKS
1.4.1 Chapter 1. Overview of OFT V volumes A & B
(Ivan P. Kaminow, Tingye Li, and Alan E. Willner)
This chapter briefly reviews herewith all the chapters contained in both volumes of
OFT V.

1.4.2 Chapter 2. Advanced optical modulation formats
(Peter J. Winzer and Rene´-Jean Essiambre)
Today, digital radio-frequency (rf) communication equipment employs sophisticated signal processing and communication theory technology to realize amazing
performance; wireless telephones are a prime example. These implementations are
made possible by the capabilities and low cost of silicon integrated circuits in highvolume consumer applications. Some of these techniques, such as forward error
correction (FEC) and electronic dispersion compensation (EDC) are currently in
use in lightwave communications to enhance signal-to-noise ratio and mitigate
signal degradation. (See the chapter on “Electronic Signal Processing for Dispersion Compensation and Error Mitigation in Optical Transmission Networks” by

Abhijit Shanbhag, Qian Yu, and John Choma.) Advanced modulation formats that
are robust to transmission impairments or able to improve spectral efficiency are
being considered for next-generation lightwave systems.
This chapter provides a taxonomy of optical modulation formats, along with
experimental techniques for realizing them. The discussion makes clear the substantial distinctions between design conditions for optical and rf applications.
Demodulation concepts for coherent and delay demodulation are also covered
analytically.