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Pref ace to the Second Edi t i on

Optical communication using fibers is a major new technology which will


profoundly impact telephone systems, computer interconnections and in-
strumentation. Fiber links provide several major advantages over conventional
electronic communication systems. These include immunity to electromagnetic
interference, thinner and lighter cables, lower transmission losses (especially for
very high data rates) and potential kilometer-long link capabilities extending to
the gigahertz region.
The advances which have led to the maturity of optical communication
using fibers result from major improvements made in past decades in semicon-
ductor lasers and light-emitting diodes, detectors and fibers. Optical com-
munication is now at the threshold of major commercial exploitation with
world-wide activity in engineering and field trials. The economical ability to
process and store information has dramatically increased because of the
revolutionary improvements of computers and memories. It is indeed timely
that a high-data-rate transmission technology has been developed which will
greatly reduce the cost of transmitting data over long distances. For the second
edition of the book, two chapters were added primarily devoted to long-
wavelength light sources and detectors. Exceptionally rapid progress occurred
in these devices since the completion of the firsl edition.
This book brings together authoritative material dealing with the semicon-
ductor components used in optical communication and the associated circuitry
needed to build practical systems. We concentrate on the properties and
modulation characteristics of laser diodes and light-emitting diodes specifically
designed for optical communication, the design and construction of light
transmitters, detectors, and receivers, and techniques for optical coupling of
light into fibers. The material is presented at an engineering level which
includes a tutorial introduction to the subject matter and sufficient depth for
understanding the rapid changes which are still occurring in this field.
The editor and authors are indebted to the respective organizations which
have made it possible to publish this book. These include AEG Telefunken, Bell
Telephone Laboratories, Hughes Research Laboratories, and RCA
Laboratories. They are also grateful to Dr. H. Lotsch and Springer-Verlag for
their support in completing this book.
Princeton, New Jersey
January, 1982
Henry Kressel
Contents
1. Int roduct i on. By H. Kressel (Wi t h 6 Fi gures) . . . . . . . . . . . 1
1.1 Backgr ound . . . . . . . . . . . . . . . . . . . . . . . 1
1.2 Out l i ne . . . . . . . . . . . . . . . . . . . . . . . . . 5
References . . . . . . . . . . . . . . . . . . . . . . . . . 7
2. Laser Diodes and LEDs for Fiber Optical Communication
By H. Kressel, M. Et t enber g, J. P. Wi t t ke, and I. Ladany
(Wi t h 38 Fi gures) . . . . . . . . . . . . . . . . . . . . . . . 9
2.1 Mat eri al s for Het er oj unct i on St ruct ures . . . . . . . . . . . 11
2.2 The Doubl e- Het er oj unct i on Di ode . . . . . . . . . . . . . 14
2.2.1 Gener al Descr i pt i on . . . . . . . . . . . . . . . . 14
2.2.2 Cur r ent Vol t age Charact eri st i cs . . . . . . . . . . . . 16
2.2.3 Threshol d Cur r ent Densi t y and Efficiency . . . . . . . . 16
2.3 Device Fabr i cat i on . . . . . . . . . . . . . . . . . . . . 21
2.3.1 St r i pe- Cont act Di odes . . . . . . . . . . . . . . . . 23
2.3,2 Laser Cons t r uct i on and Packagi ng . . . . . . . . . . . 25
2.4 Laser Charact eri st i cs . . . . . . . . . . . . . . . . . . . 27
2.4.1 Power Emi ssi on vs Cur r ent of Pract i cal cw Lasers . . . . . 27
2.4.2 Laser Radi at i on Pat t er ns . . . . . . . . . . . . . . . 29
2,4.3 Spectral Emi ssi on . . . . . . . . . . . . . . . . . . 36
2.4.4 The Power - Cur r ent Cur ve Li neari t y . . . . . . . . . . 36
2.5 Li ght - Emi t t i ng Di odes . . . . . . . . . . . . . . . . . . 37
2.5.1 St ruct ures . . . . . . . . . . . . . . . . . . . . . 37
2.5.2 Opt i cal Power and Fi ber Coupl i ng . . . . . . . . . . . 40
2,5.3 LED- Fi ber Coupl i ng and Tr ans mi s s i on . . . . . . . . 40
2.5.4 Carri er Li fet i me and Di ode Bandwi dt h . . . . . . . . . 45
2.6 Di ode Rel i abi l i t y . . . . . . . . . . . . . . . . . . . . 52
2.6.1 Facet Damage . . . . . . . . . . . . . . . . . . . 52
2.6.2 Gr adual Degr adat i on . . . . . . . . . . . . . . . . 54
2.6.3 Accel erat ed Agi ng Test s . . . . . . . . . . . . . . . 55
2.6.4 Changes i n Var i ous Laser Par amet er s wi t h Agi ng . . . . . 58
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 59
References . . . . . . . . . . . . . . . . . . . . . . . . . 60
V I I l ( ; o n l t ~ n / s
.
Photodetectors
By D. P. Schi nke, R. G. Smi t h, and A. R. Har t man (Wi t h 12 Fi gures) . 63
3.1 Si mpl e Phot odi ode St r uct ur es . . . . . . . . . . . . . . . 63
3.1.1 Response . . . . . . . . . . . . . . . . . . . . . 63
3.1.2 Rever se Cur r ent s . . . . . . . . . . . . . . . . . . 65
3.1.3 Speed of Response . . . . . . . . . . . . . . . . . 65
3.1.4 Li near i t y . . . . . . . . . . . . . . . . . . . . . . 66
3.2 Aval anche Phot odi odes ( APD) . . . . . . . . . . . . . . . 66
3.2.1 Pri nci pl es o1" Oper at i on . . . . . . . . . . . . . . . 67
3.2.2 St ruct ures . . . . . . . . . . . . . . . . . . . . . 67
3.2.3 Response . . . . . . . . . . . . . . . . . . . . . 69
3.2.4 Speed of Response . . . . . . . . . . . . . . . . . 70
3.2.5 Noi se in Aval anche Phot odi odes . . . . . . . . . . . . 72
3.2.6 Li neari t y and Sat ur at i on . . . . . . . . . . . . . . . 77
3,3 Fabr i cat i on Technol ogy . . . . . . . . . . . . . . . . . . 78
3.4 Phot odi odes for Longer Wavel engt hs . . . . . . . . . . . . 80
3.4.1 Ge r ma ni um Phot odi odes . . . . . . . . . . . . . . . 81
3.4.2 l l I - V Compound Semi conduct or s . . . . . . . . . . . 82
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 85
Ref er ences . . . . . . . . . . . . . . . . . . . . . . . . . 85
4. Receiver Design for Optical Fiber Communi cati on Systems
By R. G. Smi t h and S. D. Personi ck (Wi t h 40 Fi gures) . . . . . . . 89
4.1 I nt r oduct or y Remar ks . . . . . . . . . . . . . . . . . . 89
4.1.1 Gener al Consi der at i ons . . . . . . . . . . . . . . . 89
4.1.2 Scope and Or gani zat i on . . . . . . . . . . . . . . . 90
4.2 Ti l e Basic Recei ver . . . . . . . . . . . . . . . . . . . . 90
4.2.1 Essent i al Compone nt s . . . . . . . . . . . . . . . . 90
Phot odet ect or . . . . . . . . . . . . . . . . . . . 91
Pr eampl i f i er and Ampl i f i er . . . . . . . . . . . . . . 92
Equal i zer . . . . . . . . . . . . . . . . . . . . . 93
Fi l t er . . . . . . . . . . . . . . . . . . . . . . . 93
4.2.2 Noi se Anal ysi s . . . . . . . . . . . . . . . . . . . 93
Phot odet ect or Noi se . . . . . . . . . . . . . . . . . 95
Ampl i f i er and Ci r cui t Noi se . . . . . . . . . . . . . . 97
Nor mal i zat i on . . . . . . . . . . . . . . . . . . . 98
V a l u e s o f l ~ , 1 2 , 1 3 , Z . . . . . . . . . . . . . . . . . 103
Bit Rat e Dependence of t he Noi se . . . . . . . . . . . 110
Noi se Cor ner Fr equency . . . . . . . . . . . . . . . 111
4.3 Noi se oFFET and Bi pol ar Ampl i f i er s . . . . . . . . . . . . 112
4,3.1 FET Fr ont End . . . . . . . . . . . . . . . . . . . 112
Mi ni mum VET Noi se . . . . . . . . . . . . . . . . 114
Exampl e . . . . . . . . . . . . . . . . . . . . . . 115
Effects of Ther mal and Shot Noi se . . . . . . . . . . . 115
Cont ent s 1X
4. 3. 2 B i p o l a r F r o n t E n d . . . . . . . . . . . . . . . . . 117
Op t i mu m C o l l e c t o r C u r r e n t . . . . . . . . . . . . . 119
Mi n i mu l n B i p o l a r No i s e . . . . . . . . . . . . . . . 120
Ba s e R e s i s t a n c e No i s e . . . . . . . . . . . . . . . . 121
E x a mp l e . . . . . . . . . . . . . . . . . . . . . . . . .
4. 3. 3 F E T v s B i p o l a r F r o n t E n d s . . . . . . . . . . . . . . 123
4. 4 F r o n t E n d De s i g n s . . . . . . . . . . . . . . . . . . . 124
4. 4. 1 S t r a i g h t f o r wa r d T e r mi n a t i o n . . . . . . . . . . . . . 124
4. 4. 2 Hi g h I mp e d a n c e o r I n t e g r a t i n g F r o n t E n d . . . . . . . . 125
4. 4. 3 T r a n s i mp c d a n c e Amp l i f i e r . . . . . . . . . . . . . . 126
4 . 4 . 4 E x p e r i me n t a l R e s u l t s . . . . . . . . . . . . . . . . 128
Op t i mi z e d T r a n s i mp e d a n c e Amp l i f i e r . . . . . . . . . 130
4. 5 S e n s i t i v i t y o f Di g i t a l Re c e i v e r s . . . . . . . . . . . . . . . 132
4. 5. 1 Ga u s s i a n Ap p r o x i ma t i o n . . . . . . . . . . . . . . 133
4. 5. 2 p - i - n De t e c t o r . . . . . . . . . . . . . . . . . . . 136
Bi t R a t e De p e n d e n c e . . . . . . . . . . . . . . . . 138
E x p e r i me n t a l Re s u l t s . . . . . . . . . . . . . . . . 139
4. 5. 3 Av a l a n c h e P h o t o d e t e c t o r . . . . . . . . . . . . . . 139
E x p e r i me n t a l Re s u l t s . . . . . . . . . . . . . . . . 143
Ef f e c t o f F i n i t e E x t i n c t i o n R a t i o . . . . . . . . . . . . 143
Mu l t i p l i e d Da r k C u r r e n t . . . . . . . . . . . . . . . 145
l n t e r s y mb o l I n t e r f e r e n c e . . . . . . . . . . . . . . . 146
4. 6 Ef f e c t s o f T r a n s mi t t e r a n d C h a n n e l P a r a me t e r s o n S y s t e m
P e r f o r ma n c e . . . . . . . . . . . . . . . . . . . . . . . 146
4. 6. 1 Di s p e r s i o n a n d E q u a l i z a t i o n . . . . . . . . . . . . . 147
4. 6. 2 T r a n s mi t t e r P a r a me t e r s . . . . . . . . . . . . . . . 150
4. 7 An a l o g S y s t e ms . . . . . . . . . . . . . . . . . . . . . 151
4. 7. 1 p - i - n De t e c t o r . . . . . . . . . . . . . . . . . . . 152
4. 7. 2 Av a l a n c h e De t e c t o r . . . . . . . . . . . . . . . . . 153
4. 7. 3 E x a mp l e . . . . . . . . . . . . . . . . . . . . . . 153
4. 8 R e ma i n i n g Wo r k . . . . . . . . . . . . . . . . . . . . 155
Li s t o f S y mb o l s . . . . . . . . . . . . . . . . . . . . . . . 156
R e f e r e n c e s . . . . . . . . . . . . . . . . . . . . . . . . . 159
5. Lightwave Transmitters
By P. W. S h u ma t e , Jr. a n d M. Di Do me n i c o , Jr. ( Wi t h 32 F i g u r e s ) . . . . 161
5. 1 C h a r a c t e r i s t i c s . . . . . . . . . . . . . . . . . . . . . . 161
5. 1. 1 P o we r . . . . . . . . . . . . . . . . . . . . . . . 162
5. 1. 2 S p e c t r a l Wi d t h . . . . . . . . . . . . . . . . . . . 163
5. 1. 3 S p e e d . . . . . . . . . . . . . . . . . . . . . . . 164
5. 1. 4 L i n c a r i t y . . . . . . . . . . . . . . . . . . . . . . 165
5. 1. 5 T h e r ma l B e h a v i o r . . . . . . . . . . . . . . . . . . 165
5. 1. 6 Re l i a b i l i t y . . . . . . . . . . . . . . . . . . . . . 166
5. 1. 7 Ot h e r F a c t o r s . . . . . . . . . . . . . . . . . . . 167
5. 2 Mo d u l a t i o n F o r ma t s . . . . . . . . . . . . . . . . . . . 167
X Contents
5.3 Source Compar i s ons . . . . . . . . . . . . . . . . . . . 169
5.4 Di gi t al Dr i ve Ci r cui t r y . . . . . . . . . . . . . . . . . . 170
5.5 LED Dr i ver s . . . . . . . . . . . . . . . . . . . . . . 171
5.6 Laser Dr i ver s . . . . . . . . . . . . . . . . . . . . . . 182
5.7 Anal og Dr i ve Ci r cui t r y . . . . . . . . . . . . . . . . . . 189
5.8 Subsyst em Consi der at i ons . . . . . . . . . . . . . . . . 194
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 197
Ref er ence . . . . . . . . . . . . . . . . . . . . . . . . . . 198
6. Fi ber Coupl ers. By M. K. Bar nos ki ( Wi t h 11 Fi gures) . . . . . . . . 201
6.1 Sour ce- t o- Fi ber Coupl i ng . . . . . . . . . . . . . . . . . 201
6.2 Fi ber - t o- Fi ber Coupl i ng . . . . . . . . . . . . . . . . . . 207
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 210
Ref er ences . . . . . . . . . . . . . . . . . . . . . . . . . 211
7. Mo dul a t i o n o f Laser Di ode s
ByG. Ar nol d, P. Russer, and K. Pet er mann (Wi t h 25 Fi gures) . . . . 213
7.1 Backgr ound . . . . . . . . . . . . . . . . . . . . . . . 213
7.2 The Rat e Equat i ons . . . . . . . . . . . . . . . . . . . 214
7.3 Di rect Modul at i on of I nj ect i on Lasers . . . . . . . . . . . . 217
7.4 Modul at i on Behavi or of Speci fi c Laser St ruct ures . . . . . . . 224
7.5 Effect of Modul at i on on Spect r um and Near Fi el d . . . . . . . 226
7.6 Sel f-Pul si ng Phenomena . . . . . . . . . . . . . . . . . . 231
7.7 Coupl ed Laser St r uct ur es . . . . . . . . . . . . . . . . . 234
7.8 Out l ook . . . . . . . . . . . . . . . . . . . . . . . . . 236
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 238
References . . . . . . . . . . . . . . . . . . . . . . . . . 240
8. The Ef f ect o f Junc t i on He at i ng on Laser Li neari ty and Harmoni c
Di s t ort i on. By J. K. But l er (Wi t h 10 Fi gur es) . . . . . . . . . . . 243
8.1 St at i c Laser Char act er i st i cs . . . . . . . . . . . . . . . . 243
8.2 Tr ansi ent Anal ysi s . . . . . . . . . . . . . . . . . . . . 244
8.3 Har moni c Anal ysi s . . . . . . . . . . . . . . . . . . . . 249
8.4 Concl usi on . . . . . . . . . . . . . . . . . . . . . . . 256
List of Symbol s . . . . . . . . . . . . . . . . . . . . . . . 257
9. An
By
9.1
9.2
Il l ustrati ve Opt i cal Communi c at i on Sys t e m
J. H. Mul l i ns (Wi t h 12 Fi gures) . . . . . . . . . . . . . . . 259
Backgr ound and Pur pose . . . . . . . . . . . . . . . . . 259
9.1.1 Gener al Fi ber Opt i c Syst em and Range of Appl i cat i ons . 259
9.1.2 Economi c Consi der at i ons . . . . . . . . . . . . . . 260
9.1.3 Ot her Consi der at i ons . . . . . . . . . . . . . . . . 262
Di gi t al I nt er of f i ce Tr unki ng . . . . . . . . . . . . . . . . 263
9.2.1 The Tel ephone Tr unk Net wor k . . . . . . . . . . . 263
9.2.2 Convent i onal Di gi t al Met al l i c Faci l i t i es . . . . . . . . . 263
Contents Xl
9. 2. 3 T h e Ph y s i c a l E n v i r o n me n t . . . . . . . . . . . . . . 264
9. 2. 4 C o mp a r a t i v e E c o n o mi c s . . . . . . . . . . . . . . . 265
9. 3 T h e C h i c a g o L i g h t wa v c Pr o j e c t , S y s t e m C o mp o n e n t s . . . . . 266
9.3.1 Ba s i c S y s t e m P a r a me t e r s . . . . . . . . . . . . . . . 266
9. 3. 2 Ca b l e a n d S p l i c i n g . . . . . . . . . . . . . . . . . 268
9. 3. 3 Ca b l e T e r mi n a t i o n s a n d Si n g l e F i b e r C o n n e c t o r s . . . . 269
9. 3. 4 Op t i c a l C o mp o n e n t s - La s e r , L E D, AP D . . . . . . . 271
9. 3. 5 El e c t r o n i c C o mp o n e n t s R e g e n e r a t o r . . . . . . . . . 272
9. 3. 6 Te s t E q u i p me n t . . . . . . . . . . . . . . . . . . . 273
9. 4 C o n f i g u r a t i o n a n d I n s t a l l a t i o n o f t h e S y s t e m . . . . . . . . 276
9.4.1 Ro u t e De s c r i p t i o n . . . . . . . . . . . . . . . . . 276
9. 4. 2 S y s t e m C o n f i g u r a t i o n . . . . . . . . . . . . . . . . 277
9. 4. 3 I n s t a l l a t i o n o f t h e Ca b l e . . . . . . . . . . . . . . . 278
9. 4. 4 I n s t a l l a l i o n o f E q u i p me n t . . . . . . . . . . . . . . 279
9. 5 P e r f o r ma n c e a n d Re s u l t s . . . . . . . . . . . . . . . . . 279
9.5.1 Ca b l e Ch a r ~l c t e r i s t i c s . . . . . . . . . . . . . . . . 279
9. 5. 2 E l e c t r o - Op t i c a l P e r t b r ma n c e . . . . . . . . . . . . . 281
9. 5. 3 Cu r r e n t P e r l b r ma n c e a n d F u t u r e P r o s p e c t s . . . . . . . 281
9. 6 C o n c l u d i n g R e ma r k s . . . . . . . . . . . . . . . . . . . 282
Re f e r e n c e s . . . . . . . . . . . . . . . . . . . . . . . . . 283
10. Li ght Sour c e s - An Upda t e
By H. Kr e s s e l a n d M. E t t e n b e r g ( Wi t h 3 F i g u r e s ) . . . . . . . . 285
10.1 I n Ga As P / h a P Dc v i c c s . . . . . . . . . . . . . . . . . . 285
10.2 AI Ga As De v i c e s . . . . . . . . . . . . . . . . . . . . 289
10.3 Ap p l i c z f l i o n s . . . . . . . . . . . . . . . . . . . . . . 291
Re f e r e n c e s . . . . . . . . . . . . . . . . . . . . . . . . . 291
11. Phot ode t e c t or s and Re c e i ve r s - An Updat e
By R. G. S mi t h ( Wi t h 2 F i g u r e s ) . . . . . . . . . . . . . . . 293
11.1 Ma t e r i a l f or P h o t o d e t e c t o r s . . . . . . . . . . . . . . . 293
11.1.1 Ge r ma n i u m . . . . . . . . . . . . . . . . . . . 293
11.1.2 I n Ga As P . . . . . . . . . . . . . . . . . . . . 294
i 1.1.3 Ga A1 As S b . . . . . . . . . . . . . . . . . . . . 294
11.2 p i n P h o t o d i o d e s . . . . . . . . . . . . . . . . . . . 294
11.2.1 Da r k Cu r r e n t . . . . . . . . . . . . . . . . . . 295
11.2.2 Qu a n t u m Ef f i c i e n c y . . . . . . . . . . . . . . . . 296
11.2.3 S p e e d o f Re s p o n s e . . . . . . . . . . . . . . . . 297
11.3 Avalanche P h o l o d e t e c t o r s . . . . . . . . . . . . . . . . 297
11.4 Ot h e r De t e c t o r s . . . . . . . . . . . . . . . . . . . . 299
11.5 Re c e i v e r s . . . . . . . . . . . . . . . . . . . . . . . 299
11.6 He t e r o d y n i n g . . . . . . . . . . . . . . . . . . . . . 300
Rc f e r c n c c s . . . . . . . . . . . . . . . . . . . . . . . . . 301
Subj ect I ndex . . . . . . . . . . . . . . . . . . . . . . . . . 305
Contributors
Arnold, Gfinther
AEG Forschungsinstitut, Sedanstr. 10,
D-7900 Ulm, Fed. Rep. of Germany
Barnoski, Michael K.
Plesscor Optronics Inc., 20200 Sunburst Street,
Chatsworth, CA 91311, USA
Butler, Jerome K.
Southern Methodist University, Dallas TX 75275, USA
DiDomenico, Moro, Jr.
Bell Communications Research, Morris Research & Eng. Ctr.,
453 South Street, Morristown, NJ 07960, USA
Ettenberg, Michael
RCA Laboratories, Princeton, NJ08540, USA
Hartman, Adrian R.
AT & T Technologies, 1 Oak Way, Berkeley Heights, NJ 07922, USA
Kressel, Henry
E.M. Warburg, Pincus & Co. Inc., 466 Lexington Avenue,
NewYork, NY 10017, USA
Ladany, Ivan
RCA Laboratories, Princeton, NJ 08540, USA
Mullins, Joe H.
AT & T Labs., Crawfords Corner Rd., Holmdel NJ 07733, USA
Personick, S. David
Bell Communications Research, 331 Newman Springs Road,
Box 7020, Red Bank, NJ 07701-7020, USA
XIV Contributors
Petermann, Klaus
Technische Universitfit Berlin, Fachbereich 19, Institut ffir Hochfrequenz-
technik, D-1000 Berlin 10, Fed. Rep. of Germany
Russer, Peter
Haferweg 19, D-8000 Mfinchen 81, Fed. Rep. of Germany
Schinke, David Paul
Bell Telephone Laboratories, Columbus, OH 43213, USA
Shumate, Paul W., Jr.
Bell Communications Research Inc., 435 South Street,
Morristown, NJ 07960-1961, USA
Smith, Richard G.
AT & T Bell Laboratories, 555 Union Boulevard,
Allentown, PA 18103, USA
Wittke, James P.
RCA Laboratories, Princeton, NJ 08540, USA
1. Introduction
H. Kressel
With 6 Figures
1.1 Background
The emergence of opt i cal communi cat i on using fibers was made possible by t he
parallel devel opment of low loss fibers, het er oj unct i on lasers and LEDs
emi t t i ng in the regions of low fiber loss, and sensitive phot odet ect or s. Fi gure 1.1
shows a schemat i c of a poi nt - t o- poi nt f i ber - communi cat i on system with the
light source (and its associated electronics), the fiber and the phot odi ode with
the associated receiver circuitry. Thi s book is mai nl y concer ned with the
semi conduct or component s, t hei r associ at ed circuitry, and optical coupl i ng to
fibers. Fibers and t hei r associated t echnol ogy are beyond the scope of this book
but a bri ef review is appr opr i at e [1.1].
The t hree basic types of fibers are shown in Fig. 1.2. These include step-
index, graded-i ndex and single-mode fibers. The core of the step-index fiber has
a const ant refractive index which is hi gher t han t hat of the cladding. The core
di amet er of the widely used step-index fibers varies from 50 to 90 lam. Hundr eds
of opt i cal modes may pr opagat e in st ep-i ndex fibers and pulse br oadeni ng due
to differences in the pr opagat i on del ay t hr ough the fiber (modal dispersion)
limits the bandwi dt h to a few tens of megaher t z in a kilometer.
The modal dispersion is great l y reduced in graded-index fibers if the core
has a parabol i c refractive index profile. The bandwi dt h of such fibers can reach
about 1 GHz - km - a consi derabl e i mpr ovement over step-index fibers. As a
result, graded-i ndex fibers are favored for hi gh-dat a-rat e, l ong-di st ance
transmission.
Single-mode fibers have a very small (a few mi cromet ers) core. Here, the
modal dispersion is mi ni mi zed because onl y a single mode can propagat e. Such
fibers can have bandwi dt hs of several GHz- km.
Mat eri al dispersion, however, may limit the bandwi dt h of all fibers.
Mat eri al dispersion produces pulse br oadeni ng because the pr opagat i on
velocity is a function of the wavel engt h, as shown in Fig. 2.31 [1.2]. It is
desirable, therefore, to minimize the spectral wi dt h of t he light source, i.e., a
laser is preferable to an LED for mi ni mal pulse broadeni ng. It is also desirable
to use light sources emi t t i ng in spectral regions of low dispersion. Fi gure 2.31
shows t hat the mat eri al di spersi on is mi ni mal near 1.2 to 1.3 lam maki ng light
sources emi t t i ng in t hat region desirable for high bandwi dt h systems.
Cont i nuous progress has been made in reduci ng the fiber opt i cal absor pt i on
in the 0.8 to 1. 3gm spectral region [1.3], as shown in Fig. 1.3 [1.4]. The loss
2 I1. K ressel
I N P U T
S I G N A L
( E L E C T R I C A L )
S I G N A L L - J
- l i , S H A P E R / E N C O D E R I I
SOURCE}_~ OPTICAL
DRIVER SOURCE
O P T I C A L F I B E R
SHAPER/DECODER
Fig, I . I . S i mp l e p o i n l - l o - p o i n t optional I' iber c e mml t mi c z l t i on s y s t e m
I
' ~ COUPLER
OUTPUTSIGNAL
(ELECTRICAL)
I ..................... 1
( o )
~ (b)
. . I ( c )
I "I
>
I N D E X
Fi g. 1. 2a c. T h r e e b a s i c f i ber t y p e s :
(a) s i ngl e mo d e ; ( b) s t e p i n d e x : a n d
I t ) g r a d e d i nde x
reduct i on has been achieved by purification, part i cul arl y the reduct i on of OH
ions. Fi gure t.4 shows the loss spect rum of a st at e of the art step-index fiber
consisting of a borosi l i cat e cladding and phosphosi l i cat e core [1.5]. The
at t enuat i on at 0. 83~m is 1. 6dBkm i and 0 . 4 7 d b k m- ~ at 1.2Urn. These
experi ment al values are quite close to the i nherent at t enuat i on limit due to
Rayleigh scat t eri ng in the fiber.
The historical reduct i on ill the fiber modal dispersion has resulted from
accurat e index profiling of graded-i ndex fibers. Fi gure 1.5 shows the dispersion
reduct i on duri ng the past decade as the near-ideal parabol i c index profile was
achieved. Dispersion values ill graded-i ndex fiber cables under 1 ns km 1
combi ned with a loss under 5 dB ki n- t at 0.85 ~m can now be achieved, maki ng
it possible to design hi gh-dat a-rat e optical communi cat i on systems with
repeat cr spacings of several kilometers.
The type and qual i t y of fibers needed depend on the syster~;s requi rement s.
For shor t links (a few hundred meters), a loss of tens of decibels per ki l omet er
o
. _ 1
IO00
I 0 0
I 0
I
0.1
e
I I I I
1 9 6 5 1 9 7 0 1 9 7 5 1 9 8 0
, o o ~
5 o [ -
3 O
2 X
IC \ ~
%%%
o,
0. 5
o O : 1 - . , ,
I l I I I I I I " 1 " , , l I I
0 , 1
o . 4 " ' o . 6 " o . e i . o i , a 1 . 4 1 . 6 i . e
WAVELENGTH p.Im
F i g . 1 . 4 .
[ nt r oduct i on 3
Fig. 1.3. Hi sl ori cal t r end in fiber l oss in t he
spech' al regi on of pr esent i nt erest [1. 4]
Fig. 1.4. At t enLl al i on as a f uncl i on of wavel engt h
in a s t at e of t he ar t st ep i ndex fiber cons i s t i ng of
a bor osi l i cat e cl addi ng a nd phos phos i l i cal c cor e
115]
Fil~. 1.5. Hi st or i cal t r end in fiber moda l di sper -
si on val ues (Se!/iJc refers to a gr aded- i ndex fiber
t r a de ma r k) [ 1.4]
E E
g
I 0 0
I 0
I
M U L T I N O D E
S T E P I N D E X F I B E R S
\
_ SELFOC m
0.1 I
1970
H E A R - P A R A B O L I C
o,~PROFILE
I I
1975 1980
Fig. 11.5.
and a pulse br oadeni ng of several nanoseconds per ki l omet er suffice. But when
t ransmi ssi on links several ki l omet ers long are desired at dat a rates in excess of
10 Mbi t s - t t he fiber loss shoul d be under 10 dB kin- i and the pulse br oaden-
ing shoul d be below a few nanoseconds per ki l omet er. The l at t er r equi r ement s
are satisfied with graded-i ndex mul t i mode fibers or si ngl e-mode step index
fibers. Owi ng to the fiber' s small core size, however, efficient and per manent
coupl i ng of a di ode light source and a single-lnode fiber is relatively difficult.
Therefore, such fibers will be used onl y when the highest achi evabl e dat a rate
transnaission is required, leaving t he graded-i ndex fiber the most generally
useful fiber for hi gh-dat a-rat e transmission.
Semi conduct or laser progress has been dr amat i c since the het er oj unct i on
laser was first realized with ( AI Ga) As/ GaAs st ruct ures [1.6 10]. Fi gure 1.6
sho,;vs the historical reduct i on in the t hreshol d cur r ent densi t y at r oom
t emper at ur e of GaAs homoj unct i on lasers (pri or to 1967) and het eroj unct i on
lasers since then. The si ngl e-het eroj unct i on "'close confi nement " laser made
possible for the first time practical pul sed-current oper at i on at r oom t empera-
4 H. Kressel
%
u
t-,
F.-
z
g
o
8
g
I--
I 0 ~
10 4
I 0 ~
i I i i
H OMOJUNCTIONS
SH - C O
(ALGa)As
HETEROJUNCTIONS
DH
I 0 2 I I I I I I 1 9 1 7 1 I I I I
1965 1967 1969 1973 197'
YEAR
Fi g, 1,6, 1 l i s t or i ct t l t r e nd in I hc G~l As t~lsel" d i o d e t h r e s h o l d c u r r e n t d e n s i t y a t r o o m t e mp e r a t u r e .
V~.llucs u n d e r 4000 A/on12 ;.ire e s s e nt i a l for cw operation
ture. The addi t i on of the second het eroj unct i on, to produce the double-
het eroj unct i on laser (also called doubl e-het erost ruct ure laser), made it possible
to reduce tile threshold current density from 8000 Ac m -2 to values under
4000 Ac m- 2 at room t emperat ure thus maki ng possible cont i nuous wave (cw)
operation. The further lowering of the threshold current density of double-
het eroj unct i on AI GaAs/ GaAs lasers since 1970 resulted from better materials
and thinner active regions. Practical devices have threshold current densities in
the 1000 Ac m -2 range, a value fully adequat e for reliable operat i on if ot her
structural parameters are appropri at el y controlled.
Lowering the threshold current density was onl y one of the essential
ingredients in producing useful lasers. Poor reliability p]agued early semicon-
duct or lasers and, prior to 1967, the phenomena were not underst ood.
Systematic st udy identified the key elements which cont ri but ed to the short and
generally erratic life of early lasers. These degradat i on phenomena include facet
damage resulting from the excessive optical flux density in the active region
("catastrophic" degradat i on) and an internal process of lattice defect format i on
(leading to "gradual " degradation).
Fort unat el y, it was discovered t hat facet damage can be avoided by using
dielectric facet coatings. Gr adual degradat i on, however, cannot be reduced by
such simple methods. Extensive work revealed t hat the electron hole recom-
bination process could increase tile density of lattice defects in the laser active
Introduction 5
region, pr esumabl y by the di spl acement of at oms following nonr adi at i ve
recombi nat i on. Fur t her mor e, it was found t hat devices which cont ai ned intially
a high densi t y of lattice defects, such as dislocations, degraded much mor e
rapi dl y t han mor e perfect devices [1.11]. Thus, efforts have been di rect ed at the
const r uct i on of laser di odes as free from lattice defects as possible. This means
cont r ol of the epitaxial mat eri al growt h and ext reme care in the fabri cat i on of
the diodes in or der to prevent process-i nduced defects and built-in strains in the
structure. These efforts have led to laser di odes of AIGaAs with mean time to
failure values, at r oom t emper at ur e, est i mat ed to be in excess of 105 h. Indeed,
laser di odes have now been in cont i nuous oper at i on for times in excess of
40,000 h.
The use of laser di odes in opt i cal communi cat i on offers the br oadest
oppor t uni t y for pr oduci ng hi gh- per f or mance systems, but specially designed
het er oj unct i on light-emitting di odes (LEDs) are useful for systems with mor e
modest requi rement s in terms of bandwi dt hs and fiber link distances. Bot h
edge-emi t t i ng [1.12] and surface-emi t t i ng A1GaAs LEDs [1.13] are widely
used. Lacki ng the t hreshol d cur r ent of the laser diode, the LED is less
t emper at ur e sensitive and easier to use but, because of a br oader radi at i on
pat t ern, the power l aunched i nt o fibers is l ower t han from lasers. Fur t her mor e,
the LED modul at i on capabi l i t y is typically limited to values under
200 Mbi t s - 1. The het er oj unct i on laser and LED share a common t echnol ogy
and the progress made in i mpr ovi ng the laser reliability has also favorabl y
i mpact ed the life of LEDs.
Semi conduct or phot odi ode det ect ors are widely used as fast, reliable and
conveni ent det ect ors in the visible and near-infi' ared spectral regions. Silicon
phot odi odes can be pr oduced with high quant um efficiencies and with very low
dar k current s. These devices have been readily adopt ed for fiber con>
muni cat i on and no specific i nnovat i ons were needed. Al t hough simple p-i-n
st ruct ures are qui t e adequat e for less demandi ng systems, the use of aval anche
phot odi odes with i nt ernal gains (which can reach values up to ~ 100) can
significantly i mpr ove the per f or mance of communi cat i on systems [1.14, 15].
In summary, we see t hat by a most f or t unat e ci rcumst ance, the low
at t ent uat i on region of fibers happens to mat ch the ~0. 82 ~tm emission from the
most devel oped het er oj unct i on AIGaAs laser and LED as well as the Si
phot odet ect or peak response region. With t he growi ng interest in the 1.2 lain
spectral region, where the fiber at t ent uat i on and dispersion are l ower t han in
the 0.8 ~tm spectral region, efforts are under way to devel op light sources and
det ect ors made of mat eri al s whose bandgap energy is reduced to about 1 eV
compar ed to ~ 1.5 eV in the AIGaAs het erost ruct ures.
1. 2 Out l i ne
The first eight chapters in this book address specific areas relevant to the choice
of components for a fiber-communication system. Chapter 2 reviews laser
6 I t . Kr e s s e l
diodes and LEDs. Areas discussed include the t echnol ogy of het eroj unct i on
structures emitting at ~0. 82 and ~l . 2t . t m, their power emission, efficiency,
radiation patterns and reliability. The modul at i on of LEDs is discussed; laser
diode modul at i on is discussed in Chap. 7.
Phot odet ect ors are reviewed in Chap. 3. Silicon avalanche and p-i-n
phot odi odes are the most developed and widely used devices for optical
communi cat i on because their spectral response is very high at ~0. 82gm (the
most common spectral emission value from AIGaAs devices). However, for
systems operat i ng in the vicinity of 1.2 lain, the phot odet ect or must be made
using semi conduct ors with lowcr bandgap energies t han t hat of silicon.
Ger mani um devices are suitable but phot odi odes produced from direct band-
gap materials such as l nGaAsP are potentially superior.
The circuit aspects of using sources and phot odet ect ors are discussed in
Chaps. 4, 5. Chapt er 4 discusses the design of the receiver which consists of the
phot odi ode, amplifier and filters. The objective of receiver design is t o minimize
the optical power needed at the phot odi ode to achieve a desired bit error rate in
digital systems (or signal-to-noise ratio in anal og systems). In addi t i on, cost,
manufact urabi l i t y and dynami c range enter in the choice of receiver.
The design of a t ransmi t t er using LEDs and laser diodes is discussed in
Chap. 5, including met hods of linearizing the out put of LEDs.
It is evidently i mport ant to couple as much as possible of the diode' s
emitted radi at i on into fibers. Chapt er 6 discusses coupling light sources into
fibers by both direct means (i.e., butting) and by the use of i nt ermedi at e optics.
In addi t i on, it is convenient to fabricate the light source with a short fiber
length permanent l y at t ached to the diode package. This fiber is later at t ached
to the long fiber cable. Therefore, the coupling losses t hat result from
mechanical misalignment of two i nt erconnect ed fibers are also analyzed.
A maj or advant age of the laser diode over other lasers is the ability to
modul at e its out put at rates extending into the GHz range. However, owing to
the complex dynami c behavior of laser diodes, high modul at i on rates are only
achieved with the diode dc biased in the vicinity of the lasing threshold current.
Furt hermore, resonance phenomena impact the laser modul at i on and various
sources of noise exist. These and ot her effects related to laser modul at i on are
discussed in Chap. 7.
Optical communi cat i on systems using laser diodes (or LEDs) are most
easily designed as digital rather t han anal og modul at i on systems. The reason is
that the linearity of the light source is far less critical to the qual i t y of the digital
system. Nevertheless, quality anal og modul at i on is possible but affected by the
type of device used and its operat i ng characteristics, Chapt er 8 analyzes
theoretically laser diode anal og modul at i on as limited by factors such as the
laser's t hermal and electrical resistance.
The above chapters are concerned with individual sections of a system.
Chapt er 9 places everything in perspective by a general discussion of the
economi c implications of optical communi cat i on for telephone applications. A
practical system is described which was designed by the Bell Telephone
Int roduct i on 7
Labor at or i es and tested in Chi cago under realistic condi t i ons. The success of
this experi ment has led to an cxpanded use of opt i cal conmmni cat i on for
t el ephone systems. Indeed, the opt i cal systelns promi se to rapi dl y move from
the pr ot ot ype stage into pr oduct i on dur i ng the 1980s.
The t ent h and eleventh chapt ers were added for the second edi t i on of the
vol ume to review devel opment s in light sources and det ect ors since the
compl et i on of the first edition. The great est progress has been made in the area
of sources and det ect ors in the l to 1.6Hm spectral region using l nGaAs P
alloys. The device st ruct ures are similar in most ways to t hose using A1GaAs
bot h types of devices use het eroj unct i ons and progress has been rapid. These
devel opment s are descri bed in Chap. 10 (light sources) and Chap. 11
(detectors).
References
1.1 R. D. Mauer : Proc. [EEE 61, 452 (1973)
1.2 D. N. Payne, W. A. Gambl i ng: Electron. Lett. 11, 176 (1975)
1.3 D.B.Keck, R. D. Mauer, P. C. Schultz: App[. Phys. kett. 22, 307 (1973)
1.4 D. Lockie : Electro-Opt. Sys. Des. 8, 30 (1976)
1.5 M. Horiguchi: Electron. Len. 12, 310 (1976)
1.6 H.Kressel, H. Nel son: RCA Rev. 30, 106 (1969}
1.7 I.Hayashi, M.B.Panish, P.W. Foy: [EEE J. QE-5, 211 (1969)
1.8 Zh. | . Al ferov, V.M. Andreev~ E. L. Portnoi, M. K. Tr ukan: Soy. Phys. Semicon. 3, 1328 (1969)
[English transl.: Soy. Phys. Semicond. 3, 1107 (1970)]
1.9 [.Hayashi, M.B.Panish, P.W. Foy, S.Sumski: Appl. Phys. Len. 17, 109 (1970)
1.10 H.Kressel, F. Z. Hawryl o: Appl. Phys. Lett. 17, 169 (1970)
1.11 H. Kressel, J. K. Butler: Semiconductor Lasers and lIeterojunction LEDs (Academic Press, New
York 1977)
1.12 M. Ettenberg, H.Kressel, J. P. Wi t t ke: IEEE J. QE-12, 360 (1976)
1.13 C.A. Burrus, R. W. Dawson: Appl. Phys. Lett. 17, 17 (1970)
1.14 L.K. Anderson, M. DiDomenico, J r., M. B. Fisher : "Hi gh Speed Phol odet ect ors for Microwave
Demodul at i on of Light", in Advances in Electronics, Vol. 5, ed. by L. Young (Academic Press,
New York 1970)
1.15 P. P. Webb, R.J. Mclntyre, J. Conr ad: RCA Rev. 35, 234 (1974)
2. Laser Diodes and LEDs for Fiber Optical
Communication
H. Kressel, M. Ettenberg, J. P. Wittke, and I. Ladany
Wi t h 38 Fi g u r e s
The light sources discussed in this chapt er emit radiation in the spectral regions
where the at t ent uat i on of optical fibers is relatively low 0.8 to 0.9 I, tm and 1.0
to 1.3 ~tm. Diodes t hat emit st i mul at ed radi at i on are called laser diodes, and
those t hat emit incoherent radi at i on are denot ed light-emitting diodes (LED).
These diodes are made of single-crystal materials, and for the most part consist
of heterojuncti~m structures where p- and n-type layers of different energy
bandgaps are combi ned to produce the desired properties [2.1].
A laser diode is characterized by a threshold current l(h for st i mul at ed
emission (Fig. 2.1). Above l,h the carrier lifetime is very short (thus allowing
high modul at i on rates), the spectral emission narrows to a few angst rom units,
the beam becomes quite directional, and the externally measured quant um
efficiency is high. On the ot her hand, the LED generally has a broad emission
spect rum (several hundred angst rom units), a broad-angl e beam, and a
modul at i on capability limited by the spont aneous carrier lifetime of about 1 ns
under opt i mum conditions. Al t hough bot h cw laser diodes and LEDs can emit
several milliwatts of total power, their applications differ. The LED is useful for
applications requiring limited bandwi dt h capability and short -t o-moderat e
transmission distances, whereas the cw laser diode is useful for more demand-
ing hi gh-dat a-rat e and long-distance applications. Being a device with a
t emperat ure-dependent threshold, the laser diode is somewhat more difficult to
use t han the LED.
The recombi nat i on (i.e., active) region of laser diodes used for optical
communi cat i on is bounded by heterojunctions, which provide bot h carrier
o ~ . ' ~ 16o' a b o ' ~6o' 4bo
CURRENT (mA)
Fi g. 2. 1. P o we r e mi n e d f i o m al l L E D a n d f i o m a l a s e r
d i o d e as a f unc t i on of di r e c l c ur r e nt , Ti l e k n e e in t he
l a s e r c u r v e is a l (l i e t h r e s h o l d c u r r e n t wh i c h d e p e n d s
on t he de vi c e a n d i t s c o n s t r u c t i o n . Ti l e n o n l i n e a r i t y
in l he c u r v e s at hi gh c u r r e n l s i s d u e 1o j t mc t i o n h e a l i n g
10 H. Kressel el al.
confi nement and a dielectric cavity for waveguiding. It is the addi t i on of
het eroj unct i ons to GaAs laser di odes t hat has led to the very large reduct i on in
the t hreshol d cur r ent density at r oom t emper at ur e, maki ng the laser di ode
practical. These i mprovement s reduced t he effective laser vol ume; thus the
t hreshol d current densities were reduced to typical wflues as low as
1000Ac m -2, compar ed to typical homoj unct i on laser t hreshol d cur r ent
densities of 50,000 Ac m -2 to 100,000 Ac m -2.
The design of an LED for opt i cal communi cat i ons is consi derabl y si mpl er
t han t hat of a laser di ode because of fewer design restrictions. Whereas t he
i ncor por at i on of het eroj unct i ons is essential for useful laser oper at i on at r oom
t emperat ure, het eroj unct i ons are not essential for LEDs, al t hough t hey great l y
i mprove their efficiency and modul at i on bandwi dt h. Therefore, het er oj unct i on
LEDs are generally used for optical communi cat i on.
The fabri cat i on of these diodes involves epitaxial growt h of I I I - V com-
pounds by vari ous met hods, including l i qui d-phase epi t axy [2.2]. vapor - phase
epi t axy [2.3], and mol ecul ar - beam epi t axy [2.4]. Li qui d-phase epi t axy is the
most widely used technique. The great strides made in the past decade in liquid-
phase epi t axy allow the reproduci bl e gr owt h of thin layers (a few hundr ed
angst r om units thick) of mul t i -el ement alloys. Laser di odes and LEDs designed
for optical communi cat i on use GaAs and AIGaAs for the 0.8 to 0.9 lain spectral
region, and commonl y, l nGaAs or I nGaAsP for the 1.0 to 1.3 gm region.
In the forward-bi ased diode, mi nor i t y carri ers are injected into the active
region, where they may recombi ne radiatively with the maj ori t y carri ers to
pr oduce phot ons havi ng the appr oxi mat e energy of the bandgap. Alternatively,
the r ecombi nat i on process may occur via states in the forbi dden gap or by
ot her processes t hat are nonradiative, i.e., the energy is released in t he form of
heat to the lattice. The average lifetime of the injected mi nor i t y carriers ("carri er
lifetime") in the active region is i mpor t ant because it limits the ul t i mat e di ode
modul at i on fi-equency.
The carri er lifetime, as limited by the radiative r ecombi nat i on of an el ect ron
in the conduct i on band with a hole in the valence band, depends on the band
st ruct ure of the material. Band- t o- band radi at i ve r ecombi nat i on is favored in
"di r ect - bandgap" semi conduct ors such as GaAs where the el ect ron hole
r ecombi nat i on process occurs with moment um conservat i on. In such materials,
the radi at i ve carri er lifetime is relatively short and the i nt ernal quant um
efficiency can appr oach 100 %. Di r cct - bandgap materials are presently essential
for laser diodes, thus restricting the choice of laser materials.
On the ot her hand, silicon and ger mani um are "i ndi r eet - bandgap" semicon-
duct or s which do not pr oduce light efficiently. Here, the radi at i ve recom-
bi nat i on of an el ect ron in the conduct i on band with a hole in the val ence band
is not a moment um- conser vi ng t ransi t i on. Therefore, moment um must be
conserved via the emission or absor pt i on of phonons. As a result, the radi at i ve
carri er lifetime for an equal popul at i on of carriers is much l onger t han in direct-
bandgap materials - milliseconds instead of nanoseconds. Consequent l y, the
internal quant um efficiency is low (a fcw percent at most at r oom t emperat ure),
Laser Diodes and LEDs for Fiber Optical Communication 11
because before injected mi nor i t y carri ers r ecombi ne radi at i vel y, t hey are likely
to di sappear via faster nonr adi at i ve r ecombi nat i on processes i nvol vi ng defect
centers. We will not discuss furt her light sources using i ndi r ect - bandgap
materials in the r ecombi nat i on region, al t hough such mat eri al s may be
i ncor por at ed in passive regions of het er oj unct i on devices.
2 . 1 M a t e r i a l s f o r H e t e r o j u n c t i o n S t r u c t u r e s
The bandgap energy of the r ecombi nat i on region cont rol s tile emission
wavel engt h: ) . ~ 1.2/E~. (if Eg is in eV, 2 is in mi cromet ers. ) The key het ero-
j unct i on di ode design pr obl em is to pr oduce devices having tile appr opr i at e
combi nat i on of bandgap energies within and out si de the r ecombi nat i on region
while mai nt ai ni ng a close lattice const ant mat ch at the interfaces. The devices of
interest here have bandgap energies of 0.9 to 1.5eV in the r ecombi nat i on
region.
A het er oj unct i on is formed by j oi ni ng t wo layers of semi conduct ors with
differing bandgap energies. When the layers have the same conduct i vi t y t ype an
isotype het er oj unct i on is formed, whereas in an anisotype het er oj unct i on the
l ayer conduct i vi t y t ype differs. The devices discussed here consist of com-
bi nat i ons of het er oj unct i ons t hat serve t hree basic functions : l) anisotype (n-p)
het er oj unct i ons increase the carri er injection efficiency from a hi gh- bandgap
region i nt o a l ow- bandgap one ; II) isotype (n-n or p-p) het eroj unct i ons pr ovi de
a pot ent i al bar r i er to confine mi nor i t y carriers within a l ow- bandgap regi on:
III) bot h i sot ype and ani sot ype het er oj unct i ons pr oduce a difference in t he
refractive index across the j unct i on. (A f our t h funct i on is commonl y provi ded
by an i sot ype het er oj unct i on - the cont act resistance to a device is reduced by
growi ng a surface l ayer havi ng a l ower bandgap energy t han in the underl yi ng
material.)
The confi nement of mi nor i t y carriers to the active region requires a
het er oj unct i on barri er several times the el ect ron t hermal energy kT. To
minimize the lasing t hreshol d cur r ent density, we restrict the r ecombi nat i on
region thickness by spacing the het er oj unct i ons a distance d smaller t han the
carri er diffusion length.
High qual i t y material is needed in the r ecombi nat i on region to pr oduce
efficient devices and to ensure t hei r reliable operat i on. It is essential t hat the
het er oj unct i on interface be relatively defect-free to prevent excessive non-
radi at i ve r ecombi nat i on of the injected carri ers at these interfaces. The
nonr adi at i ve loss of carriers at an interface is charact eri zed by a r ecombi nat i on
velocity S. In the typical doubl e- het er oj unct i on st ruct ure we can define an
effective carri er lifetime z due to the presence of the t wo interfaces a di st ance d
apar t [2.5, 6].
1 1 2S 1
- -~ + + (2.1)
- - Z " r ~ d - - - - ~
~tlr
6 . B
, i i , i i , i , i i i i i , i
6nSb AlSb
6 . 2
6.1 ~ " ~ ' ~
[ r l A s e - - ~ - - " ~ ' *
,... g . 0
z
5 , 8
5.5 6 o P
0 . 2 0 . 4 0 . 6 0 . 8 1 . 0 1 . 2 1 . 4 1 . 6 1 . 8 2 . 0 2 . 2 2 . 4
1 2 H. Kressel et al.
E g - B A N D G A P E N E R G Y ( e V )
i I i n i i i = i i
{ 2 o ~ . o ' ' ~ 1 , 4 I .~ i.o 2.5 2 . 0 I.I 0 2 9 0 . 8 g J 5 0 . l (1~5 0 . 6 0 , 5 5
D I O D E I A V E L E N 6 T N ( p . m }
Fig. 2.2. Lat t i ce c ons t a nt vs
ba ndga p ener gy and di ode el ni s-
si on wavel engt l a at r oom t em-
per at ur e. The s haded regi on
e nc ompa s s e s t he q u a t e r n a r y al-
l oy I nGa As P. A l at t i ce- mat ched
het er oj unct i on is pr oduc e d by
c hoos i ng a l at t i ce c ons t a nt v a l l . l e
and t wo mal er i al s wi t h di fferent
b a n d g a p energi es. For exampl e,
h l Ga As P is l at l i ce ma l c he d to
l n P ( E. - - 1. 34cV) wi l h (R)
/no.sGao.2Aso..~s Po.Ds
( E ~ l . l eV), t h u s yi el di ng a di -
ode emi t t i ng at a b o u t 1.13/am
Fi~. 2.3a, b. Misfit di sl ocat i on a r r a ys in a compos i t i oml l l y gr aded In.,Ga~_., P vapor - gr own epi t -
axial l ayer on a Ga P s ubs t r at c, (a) is a t r a ns mi s s i on mi c r ogr a ph [2. 7], (b) s hows a c a t hode -
l umi nes cence scan of a si mi l ar ar ea. in whi ch di s l ocat i ons near t he sur f ace a ppe a r as l l onr adi at i ve
r egi ons [2. 20]
where r r is the radi at i ve carri er lifetime in the absence of an interface, and r . , is
the nonr adi at i ve lifetime limited by bul k defects. In mos t pract i cal devices,
r . r >> G, and we can express the i nt ernal qua nt um efficiency for small d val ues as
tTi -~ (1 + 2S vr / d) - ~ . ( 2 . 2 )
For exampl e, if d=0. 3l a m and z r ~ 10- s , an i nt ernal qua nt um efficiency of
50% requi res S < 2 x 104cms - l in the absence of ot her nonr adi at i ve centers.
The single mos t i mpor t ant cont r i but i on to S is f r om nonr adi at i ve r ecom-
bi nat i on centers i nt r oduced at the het er oj unct i on owi ng to the lattice const ant
mi smat ch bet ween the t wo mat eri al s. Fi gure 2.2 shows the lattice const ant ,
Laser Diodes and LEDs for Fiber Optical Communication 13
bandgap energy and di ode emission wavel engt h for several of the i mpor t ant
1I[-V alloys. A viable het er oj unct i on di ode can be const ruct ed by combi ni ng
materials with equal lattice const ant and dissimilar bandgaps. ~Fhe mat eri al in
the r ecombi nat i on region shoul d have a di rect bandgap for efficient radi at i ve
recombi nat i on.
The i mpact of lattice misfit on the f or mat i on of nonradi at i ve centers may be
under st ood fi'om the det ri ment al effect of "misfit di sl ocat i ons" formed to
accomodat e a lattice misfit. For exampl e, for a 1% lattice mi smat ch at an
interface, a di sl ocat i on will be generat ed appr oxi mat el y every 100 at om planes,
or every 500A. Because of the nonr adi at i ve centers at the di sl ocat i on core, a
high di sl ocat i on densi t y depresses t he device' s internal quant um efficiency.
Fur t her mor e, misfit di sl ocat i ons are not always confined to the lattice-
mi smat ched interface, but can pr opagat e t hr ough mul t i l ayer structures. The
effect of di sl ocat i ons on radi at i ve efficiency is dramat i cal l y illustrated in
Fig. 2.3, where we compar e a t ransmi ssi on el ect ron mi cr ogr aph of a di sl ocat i on
ar r ay in a l at t i ce-l ni smat ched het er oj unct i on st ruct ure [2.7] with a cat hodol u-
mi nescence mi crograph. The areas of low radi at i ve efficiency (dark lines)
cor r espond to di sl ocat i ons t hat lie parallel and perpendi cul ar to the pl ane of
t he surface viewed. Therefore, in designing het er oj unct i on st ruct ures for LEDs
and lasers it is of ext reme i mpor t ance t o choose a closely l at t i ce-mat ched
system.
The appr oxi mat e predi ct ed rel at i onshi p between the misfit strain and the
interfacial r ecombi nat i on velocity is [2.8]
S-~(2 x lOV)(Aao/ao). (2.3)
Experi ment al dat a for InxGa j . , P/ GaAs het eroj unct i ons [2.9], where x was
varied to pr oduce vari at i ons in S due to lattice misfit, have indeed followed
(2.3). Therefore, we may t ake the maxi mum misfit strain as a guideline for
selecting materials suitable for het er oj unct i on st ruct ure fabrication. In general,
Aao/a o must be < 10 - 3 for good initial performance, al t hough useful devices
are somet i mes pr oduced with Aao/a o values as high as 5 x 10 -3. For high
device reliability, values of Aao/a o even less t han 10-3 may be required.
In the AlxGa l_~As system the lattice const ant varies very little at r oom
t emper at ur e and is virtually const ant at the growt h t emper at ur e [2.10] as x
goes from zero to unity. Het er oj unct i ons in this alloy system consequent l y have
negligible st rai n-i nduced defects, and, as we shall discuss in Sect. 2.6.2, this is
helpful in pr oduci ng Iong-terln reliability.
Mor e typical of most t er nar y alloys, the lattice const ant varies by a few
percent bet ween the bi nary alloys fi'om which they are derived. InxGa ~ ~As,
InxGa ~ _xP and GaAs~P 1 - x are exampl es of such alloys with relatively large
lattice const ant vari at i ons with composi t i on. As a result, het er oj unct i on
st ruct ures in these mat eri al s typically cont ai n di sl ocat i ons in t he active region.
In general, such lattice defects are consi dered harmful to reliability.
14 H. Kressel et al.
I 1 ] ' A T T ' C
I M A T C H IN G
In x G O l_ x A S y P I - y ~ ' W H E N
I y ~ z . ~ 6 ( , - , )
, ,,, . . . . . . . . i , : : 1
I lap I
SUBSTRATE
T
Fig. 2.4. Lat t i ce- mat ched doubl e- hct er oj unct i on laser
using I nGa As P act i ve layer and l nP confi ni ng layers
[2.12]
The simplest approach to obt ai ni ng het eroj unct i on devices emitting at 1.0
to 1.3gm consists of using hap and the quat er nar y alloy InxGa , _xAs , P, _ r
[2.11], where the bandgap and lattice const ant can be independently adjusted
over a useful range, as shown in Fig. 2.2. At some cost in simplicity, this extra
degree of freedom permits the fabrication of strain-free het eroj unct i on devices.
In~Ga~ _xAS~,P~ ~, can be lattice mat ched to lnP substrates when y~2. 16(1 - x )
[2.12] to produce doubl e-het eroj unct i on lasers and LEDs emitting in the one
mi cromet er region. Figure 2.4 shows such a doubl e-het eroj unct i on structure
where misfit strain can be completely avoi ded (except for mi nor strain resulting
from differences between the t hermal expansion coefficients of expansion of InP
and InGaAsP).
2. 2 The Do ubl e - He t e r o j unc t i o n Di o de
2.2.1 General Description
Het eroj unct i on diodes have been produced using from one to four heterojunc-
tions but onl y the doubl e-het eroj unct i on structures, which are most widely
used for optical communi cat i on, will be discussed here. Single-heterojunction,
as well as three- and four-het eroj unct i on lasers, are used for high-intensity,
pulsed-power operat i on [2.1 ].
Figure 2.5 shows a schematic of the doubl e-het eroj unct i on (DH) laser diode
consisting of either a p-n-n or p-p-n configuration. Also shown is a phot o-
mi crograph of a cross section. The recombi nat i on region is bracketed by two
layers having a higher bandgap energy. Typically, the refractive index at the
lasing wavelength is about 5% lower in the out er layers t han in the central
layer, so t hat the recombi nat i on region is also an optical waveguide. A fraction
F of the optical power is located within the recombi nat i on region, with the rest
spreading past the boundi ng het eroj unct i ons as schematically shown in Fig. 2.6.
The optical cavity for the laser is formed by cleaving the crystal al ong
two parallel crystalline planes; the change of refractive index at the
semi conduct or-ai r boundari es provides the necessary mi rror reflectivity
( ~ 30 %). A typical cavity length is 300 pm, al t hough lengths varyi ng from 70 to
500 gm are sometimes used.
Laser Di odes a nd LEDs for Fi ber Opt i cal Co mmu n i c a t i o n 15
~ 1 ,U.m
O.I -O,3/z m"
~tFm
Nil, am
u M E T ~L L I Z , d T I O N
r l l l i i i i i i i i
G o A s S U B S T R A T E
I n ) ALo. 3 GOo. 7 A$ : Sn Or ~'e
I " / / / / ,
I ( p) AL o . 3 GOo . 7 AS : G e
l p l G a A I : G e
1 I 1 1 l , ~ O X I D E
C u H E A T S I N K ~- S O L D E R
I_
S T R I P E W I D T H ~ 13/.Lm
E
=. - E #, I . B e V
- R E C O M I B I N A T I O N I
R E G I O N ~ ' -
g F - I . 5 5 e V
~' - - E g " 1 . 8 3 e V
I 0 0 /.L m
Fig. 2.5. The cr os s sect i on o[" a doubl e - he l e r oj unc t i on l aser of AI Ga As des i gned for cw oper at i on
showl l in a s c he ma t i c i l l ust r at i on ( nol to scale) and a p h o t o mi c r o g r : @l of a s ampl e t hat has
been pol i shed at a s hal l ow angl e to pr oduc e hi gh magni f i cat i on in t he t r ans ver s e di r ect i on.
The "t er r aci ng" effect evi dent on t he l ower por t i on of t he mi c r ogr a ph is a gr owt h ilrlifacl t hai
caus es SOllle i nt erface r oughne s s
I
I
I N D E X , ~
n I C/O~T
d LOSSES
"~ [ aEND
~OUT
Fig. 2.6. Schemal i c cr oss sect i on of a doubl e - he l e r oj unc t i on l aser s howi ng t he refract i ve i ndex
di s t r i but i on per pendi cul ar to t he j unc t i on pl ane a nd i nt ensi t y di s t r i but i on of t he fundaxnei l t al
t r ans ver s e mode will] a fract i on I " of t he r adi anl ener gy wi t hi n t he r e c ombi na l i on r egi on of wi dt h d.
:% and %, . ar e t he a bs or pt i on coelficielltS wi t hi n a nd beyond t he r e c ombi na t i on regi on
~STRIPE WIDTH W
i
M E T A L
/ ~ SiOz
B.
RE GI ON STRIPE-CO TAOT
B R O A D - A R E A
Fig. 2.7. Schemal i c d i a g r a ms of a br oa d- a r e a and a s t r i pe- conl act di ode wi t h SiO2 i sol at i on
16 1I. Kr e s s e l et al.
The active width of the di ode depends on the met hod of j unct i on area
delineation. In the simplest st ruct ure (no l onger widely used), called a br oad-
ar ea l as e r (Fig. 2.7), the sides of the laser are usually cut with a wire saw.
However, practical devices use a stripe cont act [2.13] to nar r ow this width, as
discussed furt her in Sect . 2.3.2. The st ri pe-cont act const r uct i on not onl y permi t s
conveni ent cont r ol of the di ode width, but is also preferable for high reliability
because defects cannot pr opagat e into the active region from the di ode' s
sidewalls, as is the case with t he br oad- ar ea const ruct i on.
2. 2. 2 Current Vol tage Characteristics
Under a forward bias V~,, holes and el ect rons are injected into the recom-
bi nat i on region. The current up to t hreshol d is
I ~ I o {expEaj (V, - I R~) ] - 1 } ,
( 2 . 4 )
where I o is the sat urat i on current , a; is a di ode par amet er and R~ is the di ode' s
series resistance. In typical AIGaAs di odes at r oom t emperat ure, Rs-~l to
10 ohms, and for a di ode area Ad, I o / A a _ ~ 2 x 10 - 11A c m- 2 ; a i ~ 3 0 V
Equat i on (2.4) is onl y appr opr i at e in the oper at i ng region b e l o w lasing
t hreshol d because abov e t hreshol d the j unct i on vol t age of the "i deal " laser
remains fixed at its t hreshol d value. Al t hough practical devices do not always
exhibit this effect, one may r easonabl y appr oxi mat e the cur r ent - vol t age
rel at i onshi p above t hreshol d by t he expression,
V,, ~- Eg/ e + I R~, (2.5)
where I is the cur r ent and Eg is the bandgap energy.
Figure 2.8 shows an illustrative curve of the power emission as a funct i on of
cur r ent and the concur r ent curve of the appl i ed vol t age as a funct i on of current .
(The series resistance of this di ode is 10 ohms.)
2. 2. 3 Threshold Current Density and Efficiency
The lasing t hreshol d current density is reached when the gain coefficient,
pr oduced by the injected carriers, equals the cavi t y losses. The dependence of
the gain coefficient on the injected carri er densi t y varies with the material and
the t emperat ure. Since the injected carri er-pai r density is related to the cur r ent
density flowing in the device, a rel at i onshi p can be deri ved for the t hreshol d
cur r ent density. Below t hreshol d the densi t y of el ect r on- hol e pairs in the
r ecombi nat i on region N~, increases linearly with the current density J
J T
N ~ - - - (2.6)
e - - ~ d '
La s e r Di o d e s a n d L E Ds f or F i b e r Op t i c a l C o mmu n i c a t i o n 17
12
E
- I0
" 8
:7
o
_o 6
I. u
4
bJ
0
Q.
0
0
/
AIGoAs OH LASER [
k = 8270 A [
W= 12~m [
20 40 60 81
CURRENT (mA)
laJ
~9
O
>
r-~
tM
m
Fi g. 2. 8. P o wc r e mi s s i o n f i ' om o n e s i de o f a s t r i p e
c o n t a c t , c w AI Ga As l a s e r d i o d e a n d t h e d i o d e
v o l i a g c a s a f l unct i on o f t he d i o d e c u r r e n t . T h e
s t r i p e wi d t h is 12 tam
where e is the el ect ron charge, d is the r ecombi nat i on region width and r is the
carri er lifetime for spont aneous r ecombi nat i on.
Referring to the schemat i c di agr am of Fig. 2.6, we can estimate the opt i cal
losses in the device t hat must be over come for t hreshol d to be reached. We
define ,%, as t he gain coefficient at t hreshol d,
F g t l , = a,,ut(1 - F) + 2 ~ ln(1/R 1 R 2 ) "q- F ~ f c ,
(2.7)
where ~,,,,t is the absor pt i on coefficient of the material out si de the recom-
bi nat i on region at the lasing phot on energy, arc is the absor pt i on within t he
r ecombi nat i on region (due to free carriers), L is the mi r r or ( Fabr y- Per ot )
spacing, R 1, R 2 are t he respective reflectivity values of the t wo mi r r or facets,
and F is the fraction of the wave energy within the boundar i es of t he
r ecombi nat i on region.
F can be comput ed from a sol ut i on to Maxwell' s equat i ons knowi ng the
dielectric steps at the het er oj unct i on boundar i es and the het er oj unct i on spaci ng
d. For AI,.Ga~ xAs/ GaAs het eroj unct i ons, the index step An at 2=0. 9 pm is
rel at ed t o t he composi t i onal change by An~0. 62x. Fi gure 2.9 shows F as a
funct i on of d/2 (where 2 is the lasing wavelength) for various An values I-2.1 ]. As
d / ) ~ is reduced, increasing values of An are needed to effectively confi ne the
wa v e .
Theoret i cal l y I-2.14], the gain dependence on cur r ent density in GaAs is of
the general form g = f l , ( J - j ~ ) b where J~, fl~ and b are const ant s t hat vary with
dopi ng in the mat eri al and t emperat ure. Typi cal l y, DH lasers designed for the
18 H. Kre.s.wl et al .
1. 0
0 . 9
0 . 8
[.-,
~ 0.6
J - O . 5
z
ELI
ILl
Z
0 . 3
z
0
o 0 2
--_ _
0 --_-
-_ o , o ,
- -
0. [ O. 2 0 . 3 0 . 4 0. 5 0 . 6 0 . 7 0 8 0 . 9 1.0
0..._~9 d ( ~m)
X
Fig. 2.9. Conf i ne me nt f act or 1' ffract i on of t he r adi at i on wi t hi n t he r e c ombi na t i on region), as a
f unct i on of d~2 I~r wl r i ous val ues of t he step/1H at t hc t wo het cr oj t u) ct i ons o f a doubl e- het er oj t mc-
t i o n l a s e r [2. I ]
p r e s e n t a p p l i c a t i o n h a v e l i g h t l y d o p e d r e c o m b i n a t i o n r e g i o n s , a n d b,-~ 1 i n t h e
g a i n r a n g e o f i n t e r e s t ( 30 1 0 0 c m- 1 ) . A s i r npl e e x p r e s s i o n f o r J, h as a f u n c t i o n
o f k e y d e v i c e p a r a m e t e r s is t h e n o b t a i n e d i f p e r f e c t c a r r i e r c o n f i n e me n t is
a s s u me d . At 300 K
d,h= 7 ~ o u , +~-~ln(1/RIR2)+cq~ +180 [ A c m - 2 ] ,
( 2 . g )
a t 350 K
d'h = ~l~26d[%"'(~FF) + 2 ~ l n ( l / R ~ R ' ) + q c + [ A c m - 2] (2.9)
( h e r e d is in u n i t s o f mi c r o me t e r s . ) T h e i n t e r n a l q u a n t u m e f f i c i e nc y ~1~ is
g e n e r a l l y e x p e r i me n t a l l y d e d u c e d t o b e i n t h e r a n g e o f 0. 6 t o 0. 7 a t r o o m
t e mp e r a t u r e , a l t h o u g h i t is v e r y l i ke l y t h a t t he t r u e v a l u e in t h e b e s t d e v i c e s is
d o s e t o 1.
As a n i l l u s t r a t i o n , c o n s i d e r a t y p i c a l c w A I G a A s ! a s e r wi t h o u t f a c e t
c o a t i n g s wh e r e d ~ 0 . 2 lain, An ~ 0. 2, F = 0. 5, c, o m= c~rc = 1 0 c m - 1 , R1 = R 2 = 0 . 3 2 ,
L = 300 btm ; h e n c e ,%1 = 58 c m - 1, F r o m (2. 8) we e s t i ma t e J , , = 1240 A c m - 2
Laser Diodes and LEDs for Fiber Optical Communication 19
3 0 0 0
~ E
> -
G )
Z
I - -
Z
I.iJ
o r
I . D
t::3
3 :
I : Z
-T-
I - -
J
2500
2000
1500
1000
0 / / / ' ~ ~-~-t h = 4 8 0 0 A/cm2P'm
A 1,xG O l- x A s D H L A S E R S
f o ~ E X P E R IM E N T I
o A x = 0 . 6 5 - + 0 . 0 5
5 0 0 ro 0 Ax = 0 . 2 5 - + 0 . 0 5
+ ~ x = 0 . 5 0 : t 0 . 0 5
/ An = 0 . 4
F,
o : , . . . . , . . . . , . . . . , . . . . , . . . . . . . . .
O . I 0 .2 0 .5 0 4 0. 5 0 .6
HETEROdUNCTI ON SPACING d ( / z ml
Fig. 2.10. Threshold current density as
a ftmction ofl he hcterojunction spacing
d for AI.,Ga i _.,As/GaAs double-hetero-
junction lasers with various A1 concen-
tration differences Ax at the hctcro-
junctions. For the theoretical curves the
rcfi'active index step dn~(). 62 A\ has
been assumed [2.15]
(assuming unity internal quant um efficiency), in reasonable agreement with the
best experimental values for such a structure. Because of the decrease in F with
d, an opt i mum d value exists which minimizes Jth for a given An value. Fi gure
2.10 shows experimental J t h dat a for Al xGaj _: , As/ GaAs DH lasers [2.15]
where bot h d and An were changed. We see t hat for sufficiently large d values
where F is not a sensitive function of d, J.h increases linearly with the active
region width, Jth/d~4800 Ac m 2-I.tm. This value is close to the theoretical J,h
value from (2.8) with r/i = 1. For a given An, a mi ni mum Jth value is observed
with decreasing d. The lowest report ed J,h value of 475 A cm- 2 is obt ai ned with
d,~0.11am and An~0. 4 [2.15], which requires a high AI cont ent in thc
boundi ng regions (x ~0.65).
Ot her i mpor t ant laser paramet ers are the differential quant um efficiency,
q~xt, measured above threshold [2.16],
1
~ln(1/R1R2)
~ / ~ , t = ~ / ; ( 2 . 1 0 )
~ln(1/R,R,)+ F l ~ f ~ ) ~ f c Jr- 0~ou t
2 0 H. Kressel e t aI .
and t he t ot al power conversi on efficiency ~/v,
Po
Y/ p - - 2 ' (2.1l)
I R. + IEg/e
where Po is the emi t t ed power at cur r ent I. Owi ng to oper at i on in the st rongl y
st i mul at ed emission regime, the r/' i val ue in (2.10) may be hi gher t han the r/i
value in (2.8).
The differential quant um efficiency can be high ; values as high as 50 % have
been measured at r oom t emperat ure. The power conversi on efficiency, how-
ever, is low near t hreshol d, but increases rapi dl y with drive to reach a
maxi mum at 2 to 3 times the t hreshol d current . In practice, the al l owabl e power
level depends on the laser' s oper at i ng dut y cycle and peak power because
excessive t hermal dissipation or radi ant out put from the facets can damage the
device. Oper at i ng in the pul sed-current mode, power conversi on efficiency
values as high as 20% (emission from bot h facets) [2.17] have been measured
from AI GaAs/ GaAs het er oj unct i on lasers. Typi cal values for devices designed
for optical communi cat i on are nearer 5-10 % (Sect. 2.4.1).
It is experi ment al l y found t hat the t hreshol d cur r ent density of many laser
di odes increases exponent i al l y with t emper at ur e
J. , w_ exp(T/To) (2.12)
where the value of T o and the range of validity of the expression varies. A
common observat i on is t hat T o ranges f r om ~4 0 t o ~200 K.
If we compar e the t hreshol d cur r ent at 70C to t hat at 22"C, then
T o = 40-200 K cor r esponds to Ith (70 ~'C)/lth (22 C) = 3.5 t o ~ 1.3. Pl ot t ed in Fig.
2.1 l a is this rat i o as a funct i on of het er oj unct i on barri er height AEg for doubl e-
het eroj unct i on lasers made from vari ous materials. The t emper at ur e sensitivity
decreases with increasing AE~ because of the i mproved carri er confi nement .
Equat i on (2.12) expresses empirically the combi ned cont r i but i on of many
factors t hat increase Jth'With t emperat ure. Neglecting j unct i on heating, the least
Jm change with t emper at ur e occurs in devices where the radi at i on and carri er
confi nement s [-2.18, 19] are t emper at ur e i ndependent , and where the defect
densi t y in the r ecombi nat i on region is low, maki ng the i nt ernal quant um
efficiency t emper at ur e insensitive. Thus, high qual i t y DH lasers with high
het eroj unct i on barri ers have a weak t emper at ur e dependence of the t hreshol d
cur r ent density. For AI GaAs/ GaAs lasers, this occurs for a bandgap step of
>0. 4e V and results in a rat i o J,h (70 C)/Jth (22 C) of 1.25-1.50, Fig. 2.1 la.
The cw and pulsed t hreshol d cur r ent of a given device may diverge with
increasing t emper at ur e because the increased t hermal dissipation in cw oper-
at i on increases t he j unct i on t emper at ur e relative to the heat sink t emperat ure.
However, Fig. 2.11b shows t hat in the highest qual i t y laser diodes, the pulsed
and cw t hreshol d current s are within 10% up to ~70 C.
Laser Di odes and LEDs l ot Fi ber Opt i cal Communi cat i on 21
3.C
A
rd
OJ
Z .01
(J
o
o
.1=
" ~ I 5 -
1 . 0
0
a
I I I I ! I
t
E3
o
I I l I
0 . 1 0 . 2 0 . 3 0 . 4
AEg ( e V )
X - ( A I , G o ) A s
o - - ( A L Ga } A s
A- - ( TnGa) P/ ( ZnGa) AI
r - I - - zn P / ZnGoAIP
I I I
0 . 5 0 . 6 0 . 7 0 . 8
6O
E
izJ
n-
=: 50
..J
o
I -
,,x
b / /
/ , / / x / /
CW / / z ~ . / /
. ) - / . , ,
/ ~ ' ' / PULSED
~" Il h a[ expl T/166K)
AI GoAs ~ LASER
12Fro x 130/~m
X(20C) ~. 8370~
2 o
i i [ i
HEAT SINK TEMPERATURE (C}
Fig. 2.11. (a) The rat i o . l , h ( 7 0 ' C ) / J u ,
(22 ~C) vs a funct i on of t he bandgap
st ep at t he act i ve regi on of doubl e-
het er oj t mct i on lasers. ( x ) [2.193; (L~)
[2.15] ; (/5, L_) [2.63]. (b) Dependence
of t he laser t hr eshol d cur r ent on heat
sink t emper at ur e for pul sed and for
cw oper at i on. The AI GaAs laser di ode
has a 12 gm oxi de- def i ned st ri pe and
is 1301.tin l ong
2. 3 Devi ce Fabri cat i on
The most developed devices are A1GaAs heterojunction structures produced
by liquid-phase epitaxy [2.2]. Here, growth is performed in a furnace (in a
hydrogen atmosphere) over a temperature interval typically between 800 and
900C. The growth technique consists of sliding a polished GaAs substrate
wafer into successive bins containing solutions of Ga, GaAs, AI and various
dopants to produce either n-type or p-type layers. The alloy composition and
a
~2, 5f i re,
d ~ 0 . 4 F m {
b
/ / / / / / / / . , - / / / / ~ , , ,~, / / / / / / / / / / / /
InGoAsP: Zn p~ 1018cm "3
I n P : Zn p ~ I OI Bcm' 3
~ . . = ~: - . - 7: - - ~ ~ _ ~ - ~
~7~n ~ - ~
Au + Sn /
Au+Zn
/ i S i 0 2
~InGoAsP
-tACTIVE
[ REGI ON
Fi g. 2. 12. (a) Doubl e - he t e r oj unc -
l i on. s t r i p e - c o n t a c l l as e r d i o d e of
l n G a A s l ) / I n P d e s i g n e d for c w
e mi s s i o n at a b o u t l . I to 1.3;am.
(b) Power emi s s i on vs c ur r e nt for
an I n Ga As P / I n P c w l as er pr o-
duced by v a p o r - p h a s e e p i t a x y
[2.25]
i
5 0 5 2 - 4
V P E I n G o A s P / I n P L A S E R
I O / z . m S T R I P E
2 7 5 p . m L O N G
) . = 1 . 2 5 p . m
22 II. Kressel el al.
I I I I I I
I 0 0 2 0 0 3 0 0 4 0 0
D C C U R R E N T ( m A ]
conducti vi ty type and level are accurately controlled, using phase diagram and
segregation coefficient data, see, e.g. [Ref. 2.1, Chaps. 10- 12] .
The planarity of the j unct i ons is very important. Di sturbances are due to
improper nucleation, oxygen cont ami nat i on in the furnace, and lack of precise
temperature control over the wafer. A form of nonplanarity of the interface
called "terracing" consists of steps in the plane of the active region. These steps,
spaced several micrometers apart, vary in height between hundreds of angstrom
units to under 50/~. Large steps produce significant light scattering losses and
result in high threshold current densities [2. 21]. Fortunately, the step height of
the terraces can be controlled by careful growth technique to less than 50/~
[2. 22], where their effect is negligible.
Another critical growth parameter is the layer thickness. The available
technol ogy makes it possible to reproducibly grow doubl e-heterojuncti on
di odes with active regions as thin as 0.03 tam, al though typical values are 0.2 to
0.3 tam.
Laser Diodes and LEDs for Fiber Optical Communication 23
Doubl e- het er oj unct i on st ruct ures of I nGaAs P/ I nP are also successfully
grown by liquid-phase epi t axy [2.23]. Fi gure 2.12a shows a typical cw laser
st ruct ure with an I nGaAs P p-t ype "cap" layer to facilitate ohmi c cont act . The
I nGaAs P layer is gr own from a sol ut i on of In, GaAs and haP, whereas the InP
is gr own from a sol ut i on cont ai ni ng In and haP. Here, the t emper at ur e range
for growt h is in t he vicinity of 700 C. The pr obl em of cont r ol is mor e difficult
t han with AIGaAs alloys because the quat er nar y layer must have a specified
composi t i on to be accurat el y lattice mat ched to l nP (Sect. 2.1). Such st ruct ures
also are grown by vapor - phase epi t axy [2.24]. Bot h liquid- and vapor - phase
epi t axy have pr oduced devices emi t t i ng at 1.1 to 1.3 i_tm with J,h ~ 2000 Ac m- 2
which are thus sui t abl e for r oom- t emper at ur e cw oper at i on. Fi gur e 2.12b
shows the power emi ssi on vs cur r ent curve fi'om a cw I nGa As P/ I nP laser
pr oduced by vapor - phase epi t axy [2.25].
The lowest LPE- gr own laser t hreshol d current density values (pulsed
operat i on, br oad- ar ea devices) are 730A cm 2 at 2 =1 . 3 ~ m with d=0,11.tm,
and 2000 A c m- 2 at 2 = 1.06 txm with d =0. 2- 0. 3 lain [2.26].
2.3.1 Stripe-Contact Diodes
Laser di odes are prepared by cleaving t wo parallel facets (usually { 110} crystal
planes) to form the mi rrors of the Fa br y- Pe r ot cavity. Al t hough the sides of the
active region can be made by et chi ng or sawing, they are preferabl y defined by
a stripe cont act for the following reasons:
I) The radi at i on of the stripe laser is emi t t ed f r om a smaller region, t hus
i mprovi ng coupl i ng of the r adi at i on i nt o fibers ;
II) The operat i ng cur r ent can be reduced by defining a small active ar ea;
111) The t hermal resistance of t he di ode is generally reduced because the
heat -generat i ng active region is embedded in a larger, inactive semi conduct or
medi um :
IV) Wi t h a smaller active di ode area it is easier to obt ai n a reasonabl y
defect-free ar ea;
V) The active region is isolated from an open surface al ong its t wo maj or
dimensions, a fact or essential for reliable l ong-t erm oper at i on (Sect. 2.7);
VI) A small stripe width permi t s fundament al lateral mode operat i on.
Many i ngeni ous schemes have been described in the l i t erat ure to form
st ri pe-cont act laser diodes. Fi gure 2.13 shows some of t he mor e widely studied
ones. In the planar stripe lasers (Fig. 2.13a), the ohmi c cont act is defined by an
isolating oxi de layer [2.13]. Alternatively, pr ot on bombar dment can be used to
form resistive regions everywhere on the device surface except in the stripe area
(Fig. 2.13e) [2.27]. Selective diffusion of t he p- t ype dopant into an n-t ype
surface l ayer also can form an i sol at ed area (Fig. 2.13b) [2.28].
Mes a stripe laser types include area definition by etching (Fig. 2.13c) and the
bur i ed- het er oj unct i on version [2.29] where, after mesa etching. AIGaAs is
24 H. Kressel et al.
~ 2 ( ~ .__] DIFFUSED P-REGION
F
METAL
Si 0 2 , ~ x x .. F META L
' " ' " 'o oo'o' , i I l l , l , J I
GaAstNorP)~ I ( A l GalAs (P) (APGa)As
/ / / / / / / / / / / / / / p ) . F - ~ t / . / / / / : ' t ' : ' : ' : / e ' : " / / I
, ( A L G a ) A s ( N ) GaAs(N or ~ ( A L G a ) A s ( N ) I
GoAS(N) ~ GOAs (N1 J
.-L ._L
(o) (b)
GoAs
( N o r p )
F uETA" ~L- a S .j---METAL
~ o x , o E
I I
_L ..J_
_-- - .
[ c ) (d)
GoAs ( P) I HI GH RESI ST I VI T Y
( A I G ) A s ( P ] ~ I I . . ~R EGIONS
b t / \ ---META"
z ~ . . . . . . . . . GoAs ( N o r P )
(AI, Go )As ( N )
Go As ( N )
_ L
(e)
Fig. 2. 13a-e. Vari ous , net hods for pr oduci ng
st r i pe- cont act laser st r uct ur es [2.1 ]
grown i nt o the moat s between the di odes (Fig. 2.13d). The et ched mesa t ype
is undesi rabl e because the excessive sur f ace- t o- vol ume rat i o of the device is
det ri ment al t o reliability. The bur i ed- het er oj unct i on laser overcomes this
handi cap. Here, the AIGaAs layer grown into the grooves passivates the
sidewalls of the device. The het er oj unct i on at the sidewalls also const i t ut es a
dielectric step which provi des st rong lateral radi at i on confi nement .
Different st ri pe-cont act st ruct ures pr oduce different degrees of lateral
cur r ent and radi at i on confi nement . The pl anar stripe st ruct ures lack lateral
bl ocki ng regions at the r ecombi nat i on region edges. Therefore, t hey cannot be
made arbi t rari l y nar r ow because the cur r ent and radi at i on spread out si de the
defined cont act area. The rat i o J ( h / J t h ( ~ : . O is useful in compar i ng the different
st ri pe-cont act st ruct ures in t erms of their ability to confine laterally t he cur r ent
and radi at i on. Jib(m) is the t hreshol d current densi t y of the mat eri al prepared
in the form of a (broad) sawed-side laser and J,h is the t hreshol d cur r ent density
of the st ri pe-cont act device, cal cul at ed on t he basis of the stripe area. Ideally,
J t h / . l t l , ( W J ) = 1; the great er the current and radi at i on spread beyond the stripe
area, the larger the rat i o becomes. Fi gure 2.14 compar es oxide-isolated [2.30],
Laser Di odes and LEDs for Fi ber Opt i cal Co mmu n i c a t i o n 25
4
" - 3
E I S O L A T E D
M E S A S T R I P E - J
O I I I I I I I I I I I I I I I I I I I I I I I
I 2 4 6 S I 0 1 2 1 4 1 6 1 8 2 0 2 2 2 4
S T R I P E W I D T H ( / ~ . m )
Fig. 2.14. The rat i o J , h / J , l , ( ~ ) as a f uncl i on of st r i pe wi dt h of oxi de- def i ned [2. 30], pr ol on-
bomba r de d [2. 31], and et ched mesa [2. 32] l aser di odes of AI Ga As
pr ot on- bor nbar ded [2.31], and et ched mesa [2.32] devices. For stripe widths
great er t han about 20 lain, all st ruct ures pr ovi de J t i , / J m ( o o ) rat i os close to unity,
but with decreasi ng stripe widths, the oxi de-i sol at ed and pr ot on- bombar ded
st ruct ures gradual l y lose t hei r effectiveness compar ed to the et ched mesa
structures.
Buri ed-het eroj unct i on st ruct ures appr oach the per f or mance of the et ched
mesa device and, with stripe widths of t to 2 pro, t hreshol d current s as low as
10 mA have been obt ai ned. However, such nar r ow stripe widths limit the useful
opt i cal power level (Sect. 2.6.1). Pract i cal st ri pe-cont act structures, designed to
emit about 10roW of cw power (with t hreshol d current s of 40 to 150mA)
requi re a stripe width of about 10 tam. For this purpose, the pl anar stripe lasers
are the easiest to produce. Not e t hat with the oxi de-st ri pe st ruct ure it is possible
to cont r ol to a significant ext ent the degree of lateral current confi nement by
cont r ol of the sheet resistance of the material between the ohmi c cont act and
t he r ecombi nat i on region. A high sheet resistance minimizes t he cur r ent spread
[2.33].
2.3.2 Laser Construction and Packaging
Fi gure 2.15 shows a cross section of an A1GaAs, oxi de-defi ned st ri pe-cont act
laser designed for low t hreshol d cur r ent cw oper at i on at r oom t emperat ure.
The thin "cap" of GaAs permi t s a good electrical cont act t o be made, while
26 H. Kressel et al.
p - G o A s - ]
2~,,, t
d ~ O . I / x m {
~ l / x rn.
W=12/xm . Z n - D I F F U S E D
I,I--- ~ . . . ~ ~ - Si 0 2
:> "..-'/:/"/~./'E~.-.~ .~4"~- ~- G,z~.4J4,,cr
- k . P" " . / - ' 1 ~ ~ OI Sem - s
p - A | 0 356 o065As ( ~ 1018c ~ 51~
.: . . . . . " . . . . _- . . . . . . . . ~ AIO.08G%92 A s
n - A10.35 Go065 A s
n - Go As SUBSTRATE (100) I
~1 Fig. 2.15. Schemat i c cr os s sect i on
of AI Ga As l aser di ode wi t h oxi de-
def i ned st r i pe conl act
] Fig. 2.16. Di ode package wi l h a
s hor t fiber l engt h "pi gt ai l " for easi er
c oupl i ng to fiber cabl es [2. 34]
C O N T A C T .
C O N T A C T , . ~ ~
. ~ ~ \ G R O O V E D
C L A M P I N G / LM I \ ~ B L O C K
S U R F A C E / ~ C A P D
C O P P E R / B L O C K
H E A T S I N K
I I I
0 " O r " 0 . 2 "
minimizing cur r ent spreading. A layer of SiO 2 several hundr ed angst r om units
thick is deposi t ed at low t emper at ur e on the wafer aft er t he compl et i on of t he
epilaxial gr owt h process. Using phot ol i t hogr aphy, a stripe 8- 10gi n wide is
defined in the oxide, after which the oxi de in the stripe region is removed. The
wafer is then sealed i nt o a quar t z ampoul e t oget her with a source of Zn m or der
to diffuse a shallow p+ region into t he exposed GaAs stripe to reduce the
cont act resistance. Fol l owi ng metallization, the wafers are cleaved i nt o strips
and then subdi vi ded by furt her cleaving or sawing bet ween the stripes. The
typical cw laser di ode chip is a 500 x 300 pm rectangle, of which onl y the small
por t i on under the stripe is active.
The diodes are mount ed on headers. A commonl y used package is shown in
Fig. 2.16 where the laser is mount ed with i ndi um solder p-side down on a
copper block. The case can be hermet i cal l y sealed with a cap cont ai ni ng a glass
window. Alternatively, a short length of fiber can be perl nanent l y bonded to the
package and subsequent l y at t ached to a long fiber cable link [2.34]. In hybri d
circuits, the laser di ode (or LED) may be mount ed with the ot her circuit
elements on metallized ceramic.
The device in Fig. 2.15 has a distance of ~ 2 lam between the r ecombi nat i on
region and the heat sink. Such a thin l ayer is desirable to minimize the t hermal
resistance of the structure. The thin cap reduces bot h the lateral cur r ent spread
beyond t he stripe edges and the electrical resistance of the diode. Due to its
i mpor t ance for cw oper at i on and its effect on ot her laser propert i es, we now
consi der heat flow in injection lasers in mor e detail.
Laser Diodes and LEDs for Fiber Optical Communication 27
Most of the heat in injection lasers (or LEDs) is gener at ed in the vicinity of
the r ecombi nat i on region. Thi s heal escapes i nt o the heat sink by conduct i on
t hr ough the semi conduct or mat eri al and the sol der interface. Since the
distance to the heat sink is much less t han the typical emission wi dt h ( > 10 lain),
an appr oxi mat i on to the t hermal resistance is obt ai ned by cal cul at i ng the one-
di mensi onal heat flow, while t aki ng the effective stripe width (i.e., t he width of
t he light-emitting region) as the laser width. Three-di mensi onal spreadi ng is
al l owed in the heat sink.
The t her mal resistivity of A1GaAs increases with AI cont ent from about
2cm- deg W - I in GaAs to 8cl n-deg W -1 for Alo. sGao. sAs [2.35]. Therefore,
t he thickness of the p-t ype A1GaAs l ayer shoul d be minimal, with the
rest ri ct i on t hat the optical field spreadi ng from the r ecombi nat i on region not be
allowed to reach the highly absor bi ng GaAs '~cap" layer. A l l am thick
Alo.35Gao.65As l ayer is generally adequat e for this purpose, but it cont r i but es
about half the t hermal resistance of t he device. For a nomi nal stripe width of
12 lain and an effective wi dt h of 20 lain, the t her mal resistance cont r i but i on of
t he AIGaAs l ayer is about 13 K W 1. A 1 tam thick GaAs "cap" cont r i but es
about 2 K W- ~, a i tam thick i ndi um sol der layer 3 K W- l, and the copper heat
sink 5 . 5 KW i for a t ot al of ~ 2 3 KW -1. This is not far from typical
experi ment al values of 20 to 30 K W i for a 300tam l ong pl anar stripe laser.
Therefore, with a power i nput t o the laser of 0.4 W, the j unct i on t emper at ur e is
about 10 C above the heat sink t emperat ure. Of course, the t hermal resistance
varies appr oxi mat el y inversely with the di ode length, and a 150 lain laser with a
similar stripe const r uct i on will have a t her mal resistance of ~ 50 K W ~.
So far the emi t t i ng region was assumed to be of a uni form t emperat ure. A
mor e accurat e analysis [2.363 shows t hat t wo-di mensi onal heat flow has t o be
consi dered, especially when t he stripe width appr oaches the distance between
the j unct i on and the heat sink. Lat eral and upwar d heat flow reduces the actual
t hermal resistance, and causes a t emper at ur e gradi ent al ong the j unct i on plane.
Thr ough the t emper at ur e dependence of the refractive index, this cont ri but es to
mode guiding under t he stripe. Recent experi ment s [2.37] have shown
t emper at ur e nonuni f or mi t i es cor r el at ed with sol der voi ds arising in the
mount i ng pr ocedur e and t emper at ur e peaks of appr oxi mat el y 5 K at the t wo
facets.
2 . 4 L a s e r C h a r a c t e r i s t i c s
2. 4. 1 Po we r Emi s s i on vs Current o f Pr ac t i c al c w Las ers
The t hreshol d cur r ent of a st ri pe-cont act laser is cont rol l ed by :
I) The initial qual i t y of the epitaxial st ruct ure, i.e., the t hreshol d cur r ent
densi t y as measured in br oad- ar ea structures. This depends oil t he paral net ers
discussed in Sect. 2.2 ;
28 H. Kressel et al.
, 2 0 I
~ 14
~EEI 00
" ' 80 ~
nr
t ) 6 0 ~ 1
Q
o 4 o
W
r~
1- 2 0
I -
o , , , , ,
tO0 200 500
LASER LENGTH L (p. m)
Fig. 2. 17. Th r e s h o l d cur r ent as a fu.~ctiou of ~ 4 I
l aser l engt h L for l asers havi ng t he s t r uct ur e
of Fig. 2.15 ~ 2 [
Fi R. 2. 18. Power emi s s i on f r om one facet as l,-
a f unct i on of c ur r e nt t hr ough a wel l - behaved O'
cw l aser o1" the t ypc s hown in Fig. 2.15, as a 0
f unct i on of heat si nk t e mpe r a t ur e
AtGoAB OH LASER ] / / / ~ / /
%:-tram1
2 0 4 0 6 0 8 0 I 0 0
DIODE CURRENT (mA}
70
60
E
l - 50
t.d
J
,,, 4 0
Z
0
i
D 30
I.-
0
a: 20
W
0
13_
10
0
0
, ~ , I 1 ~ I ~ ~
/ / / , , ~ -CALCULATED
i I / / / ~
/. 1 / i , ,
; I / / +o5O/o DUTY CTCt E
/ / / / oo,o% DuTY ~C~E
I f / ' - : c w
, f / /
,Y
o/E
I I I I I I
50 tO0 150 200 250 500 550
CURRENT (mA)
400
Fig. 2.19. Power emi s s i on f r om one facet as f unct i on of cur r ent for a l aser di ode oper at ed cw a nd
pul sed at dul y cycl es of 10 and 50%. The st r i pe wi dt h is 121am, t he di ode l engt h is 125pro. t he
series r esi st ance is 4 o h ms , t he t he r ma l r esi st ance is 80 K/ W and t he thres!~old cur r ent i ncr eases
with t e mpe r a t ur e as exp (T/80)
Laser Di odes and LEDs for Fi ber Opt i cal Co mmu n i c a t i o n 29
I1) The effective st ri pe-cont act area, which takes i nt o account the cur r ent
and r adi at i on spread beyond t he stripe edges and t he length of the laser;
III) The t emper at ur e of the r ecombi nat i on region at the oper at i ng cur r ent
and dut y cycle. Here, the electrical and t her mal resistance are key paramet ers.
The st ruct ure shown in Fig. 2.15 provi des adequat e lateral current confine-
ment and yields st ri pe-cont act lasers with t hreshol d current s under 100mA.
Fi gure 2.17 shows the dependence of the t hreshol d cur r ent on laser length L;
with L = 1001am, the t hreshol d current is 40 to 60mA I-2.38].
Fi gure 2.18 shows the power emission from one facet as a funct i on of the
current f r om a represent at i ve laser di ode oper at i ng cw at heat sink t empera-
tures bet ween 0 and 70 C. (This laser was not provi ded with a refl ect or on the
back facet.) A reduct i on in the t hreshol d cur r ent as well as a subst ant i al
i mpr ovement in the power efficiency is obt ai ned by addi ng a reflector. Met al
reflectors (such as Au) are t r oubl esome because they are easily damaged duri ng
di ode fabrication. To eliminate this probl em, a mul t i pl e-l ayer dielectric re-
fl ect or of evapor at ed Si and AI203 has been devel oped; with six layers,
reflectivities in excess of 96 % are achieved [2.39]. At the maxi mum power level
( 30r oW of emission), power efficiency values of 14% have been obt ai ned.
However , a reasonabl e cw oper at i ng power level for l ong-t erm reliability is
closer to 10 mW for a typical device and t he power efficiency at this level
reduces to about 7 %.
Hi gher peak power values are at t ai nabl e from a di ode in pulsed oper at i on,
but the power-current curve is dut y-cycl e dependent because the increasing
j unct i on t emper at ur e changes the t hreshol d cur r ent and differential quant um
efficiency. The out put curve as a funct i on of dut y cycle can be predi ct ed from
the known t emper at ur e dependence of lth and the di ode' s electrical and t hermal
resistance. The power dissipation Pdi,,s increases with I , P a i s ~ - - I E g / e + 1 2 R ~ .
Fi gure 2.19 compar es the measur ed and calculated power curve for cw
oper at i on and at 10 and 50% dut y cycles. For this laser, T o in (2.12) was about
80 K, the t her mal resistance was ~ 80 K W- ~, and the series resistance R~ was
4 ohms. The power curves are essentially i nvari ant for dut y-cycl e values under
10% because of the negligible j unct i on t emper at ur e changes.
The above discussion has concent r at ed on AIGaAs lasers, but similar
consi derat i ons appl y to ot her lasers. A not ewor t hy difference between
I nGaAs P/ l nP and A1GaAs lasers is in the t emper at ur e dependence of the two
types of structures. I nGaAs P/ I nP lasers designed for emission at about 1.2 gm
have a het er oj unct i on barri er height of about 0.3 eV. Therefore, their t hreshol d
cur r ent is mor e t emper at ur e sensitive t han t hat of AIGaAs lasers with barri ers
of 0.4 eV (Fig. 2.1 la).
2. 4. 2 Las e r Radi at i on Pat t e r ns
M o d e s . The allowed el ect romagnet i c modes of tile laser cavity are separabl e
into t wo i ndependent sets, havi ng ei t her t ransverse electric (TE) or t ransverse
30 14. Kressel et al .
magnet i c (TM) pol ari zat i on. The mode number s m, s, and q give the number of
ant i nodcs in the opt i cal field al ong the t hree axes of t he cavi t y (Fig. 2.20),
transverse, lateral and l ongi t udi nal , respectively. In the present not at i on, the
f undament al mode is denot ed 1.
The allowed longitudinal modes are det ermi ned by the effective index of
refract i on and the cavity length. The resul t ant Fa br y- Pe r ot mode spacing is
several angst r om units in typical laser diodes. The lateral modes are dependent
on the met hod used to define the t wo edges of the di ode and on the t emper at ur e
and gain profile across the diode. General l y, in nar r ow st ri pe-cont act lasers
onl y l ow- or der modes are excited. The transverse modes depend on t he
dielectric vari at i on perpendi cul ar to the j unct i on plane. In the devices discussed
here onl y t he fundament al t ransverse mode is excited, a condi t i on achieved by
restricting the wi dt h of the wavegui di ng r ecombi nat i on region d (i.e., het ero-
j unct i on spacing) to a few t ent hs of a mi cromet er. Therefore, the far-field radia-
tion pat t er n consists of a single l obe in the di rect i on perpendi cul ar to the j unc-
tion, Fig. 2.21a. ( Hi gher - or der t ransverse modes give rise to ' ~rabbit-ear" lobes
which are undesi rabl e for fiber coupling.)
The far-field pat t ern in the di rect i on perpendi cul ar to the j unct i on pl ane
reflects t he radi at i on di st ri but i on in the vicinity of the active region. This, in
t urn, depends on d and on the refractive index step An at the het eroj unct i ons.
Fi gure 2.22 shows the dependence of the beamwi dt h 0~ (full angul ar width at
the half-intensity points) on d/2 for vari ous An values. ( For Al~Ga~ _xAs/ GaAs
het er oj unct i ons An ~ 0.62x.) The decrease in 0 for small d reflects the reduced
radi at i on confi nement as t he wavegui de becomes narrower. For efficient
coupl i ng t o fibers one may even allow a somewhat higher t hreshol d [because of
reduced F (2.8)] to achieve nar r ower beam pat t erns.
Fundament al lateral mode oper at i on can be obt ai ned by sufficiently
restricting the width of the active region. The lateral modes depend on the
dielectric profile in the plane of the j unct i on and thus, on the t echni que used for
j unct i on area definition. The simplest case occurs when t here are t wo high (and
equal) steps An perpendi cul ar to the j unct i on pl ane formi ng a rect angul ar box
cavity. Then the device can be model ed in t erms of " box modes" [2.1]. Consi der
a di ode of width W. Fr om a simple analysis of the critical angle for t ot al internal
reflection at t he sidewalls, we find t hat t he highest lateral mode number Sm
capabl e of pr opagat i ng in the st ruct ure is
\ n / j '
(2.13)
Therefore, to oper at e in the fundament al lateral mode, the index step condi t i on
is
n 8 " (2.14)
, I I _
- d c~ d
AJ.IS N3 J.NI
2 "
o
z
o" A.LISN3.LNI
. L H g I q
7
I -
( . 9
. . . . 1
h i
U l
n . "
n ~
I - -

0
o =
#_
z
] . 8 5 m A
~~
~ - ~ o
o = ~ . -
= , : o = <
.-._~ ~
~ w
~ . ~ _ ~ - ~
: > - , , ' - ; . ~
~. ~,
~ -~ T~
r, # , ~
, I [ I t 1 . 6 T m ^
32 1t. Kressel et al.
6 0
5 O
W
~ D
mw4O
3 0
~D
O I I I I I
0 0.1 0.2 0.3 0.4 0.5 0.6
0 . 9 d
E F F E C T I V E C A V I T Y W I D T H ( p . m ) [ - ~ L ]
Fig. 2.22. Angular width at the
half-power point as a function of
d/2 and the index step An for
double-heterojunction lasers
For GaAs, n = 3.6 and 2 ~0. 9 lam ; hence Ant n < 7.8 x 10- 3 W- 2, where Wis in
mi cromet ers.
Thi s step-index, step-sidewall model is onl y appr opr i at e for sawed-side,
etched-side, or bur i ed- het er oj unct i on devices. Analysis of t he pl a na r stripe
lasers is more difficult because the shallow dielectric profile is rel at ed to the
cur r ent and gain di st r i but i on; hence, it is subject to change with current and
optical power level. Experi ment al l y, f undament al lateral mode oper at i on is
frequent l y obt ai ned in st andar d ( < 131am) pl anar stripe lasers, at least near
t hreshol d, but hi gher - or der modes generally reach t hreshol d with increasing
current , pr oduci ng a mul t i -l obed, far-field pat t er n as shown in Fig. 2.23 where
we see the second mode reachi ng t hreshol d.
Mode gui di ng in pl anar stripe lasers results from the combi ned cont ri -
but i ons t o the dielectric profile of several elements. Al t hough t he specific
cont r i but i on of each is not readily calculated, the following are rel evant : I)
increasing gain near the stripe cent er produces a cor r espondi ng increase in the
i magi nary part of the dielectric const ant ; II) local heat i ng rel at ed t o t he cur r ent
di st ri but i on and power dissipation increa,ses the real part of the dielectric
const ant ; IlI) however, acting in the opposi t e di rect i on to reduce the dielectric
const ant under the stripe is t he di st ri but i on of free carriers, i.e., the hi gher t he
carri er density, t he l ower the index This effect is closely rel at ed physically to (l).
~= 2 0
E
02
[al
o
Q.
I--
n
o
ku
13
Laser Diodes and LEDs for Fiber Optical Communication 33
I I I
! -
/
3 0 0 35O 4 0 0
L A S E R DRI VE CURRE NT , r n A
REL AT I VE I NTENSI TY
N
"I-
o
I,- u'~
3 > .
/ /
/ /
/ /
i I I I i
- 4
2 0 mW
i I l I i
- 2 0 + 2 * 4
B E A M A NGL E , DEG.
Fig. 2.23. (a) Power emission as a function of current for a laser showing a kink in its power
curve. The oxide-defined slripe width is 25 p.m. The dotted line is the relative noise power
(at 60 MHz) which peaks at the threshold of each of the two modes. (b) Far-field in the junction
plane at two power levels (9 and 20 roW) showing the change from the fundamental to the next
lateral mode
A shallow maxi mum in the dielectric profile under the stripe results from
the combi ned effect of the above three factors. With changes in current and
optical power density, the local heat i ng and gain coefficient profile are likely to
change, thus affecting the ability of the various lateral modes to propagate. For
example, spatial hole burni ng can occur in the region of the most intense
optical excitation with the result t hat the local gain coefficient is depressed
I-2.40]. This may lead to more efficient coupl i ng of the gain profile to the s econd
mode t han to the fundament al lateral mode.
Fundament al lateral mode operat i on is desirable not onl y because it eases
coupling into low numerical apert ure fibers (including single-mode fibers), but
also because mode changes with current are frequently accompani ed by kinks
in the power out put vs current curves, as shown in Fig. 2.23a. The key principle
which governs the restriction of laser operat i on to a single mode is t hat the
differences between the propagat i on losses of the fundament al and the higher-
order modes be as large as possible. Restricting the stripe width of buried-
het eroj unct i on lasers to very small values of 1 to 2pm is one met hod of
achieving this objective, al t hough at the expanse of the useful power from the
device. Anot her approach consists of i ncorporat i ng regions in the device t hat
produce a greater internal absorpt i on coefficient for the hi gher-order modes
34 H. Kresse! et aI,
OHMIC CONTACT,~ /Zn DIFFUSED
1~\\\\~\\~ p- 6,A, (cAP}
. ~ . ' " ~] ~- p- At o. 33 Gao.67 As
j_kx,~z,,-, s~ e,,~ x ~ x x x x L n - At o 05 Ge095 As (ACTIVE)
~0,4/Lm F 1 " "
T I \ / - - ' ~ n - At 0 33 Gao 67 A s
I , l \ n- GoA's (SUB;TRATE)
a
)HMIC CONTACT, x .Zn DIFFUSED
~, , , . \ I , \ ~ .~ .,,p -GoAs (CAP)
~ r . p - A ' L O . 3 5 6 o 0 . s 5 A s
~ 5 ~ . . . . . x, , ~N~i . . p _ At o8 % ~2 A, (ACTIVtl
f %1. "
T - n - Ga At (SUBSTRATE)
L
I
b
30
25
E
v
2 o
o
t5
o
IO
o
C
C D H - A 1
C.W
20" C
7 0 " C
5 0 I 0 0 150 2 0 0
DC DRI VE CURRENT
~ l ( mA )
Fig. 2, 24a- c. Sc he ma t i c cr os s sect i on of t wo
l aser s t r uc t ur e s of AI Ga As des i gned for
s us t a i ne d f unda me nt a l l at eral mo d e oper a-
t i on. In (a) t he l osses of t he f unda me nt a l mode
ar c l ower t h a n t hos e of hi gh- or de r mo d e s
becaus e of i t s field s pr eads beyond t he c ha n-
nel r egi on i nt o t he a bs or bi ng n- t ype Ga As
s ubs t r a t e [2. 41]. In (b) t he t hi cknes s of t he
acl i vc r egi on is co~sl r i ct ed onl y in t he desi r ed
l asi ng regi on. The t hr es hol d for hi gh- or de r
l at eral mode s c a nnot be r eached if t hc ext ent
of t he cons t r i ct ed regi on is suffi ci ent l y smal l
[2. 42]. Not e t hat bot h s t r uc t ur e s r equi r e t he
gr owt h of epi t axi al l ayers over n o n p l a n a r
r egi ons. (e) Power cur ve of t he s t r uct ur e m
(b) s howi ng excel l ent l i neari t y. ( The bendi ng
at hi gh c ur r e nt s is due to j unc t i on heat i ng. )
I - 2 . 4 2 ]
t han for the f undament al one. Schemes i nvol vi ng buri ed channel s [2.41-1, con-
stricted active region thickness [2.42], and angled cont act s [2.43] have been
proposed in or der t o achieve this objective.
Fi gure 2.24 shows the cross section of t wo st ruct ures designed to pr omot e
fundament al lateral mode operat i on. In the channel - s ubs t r at e- pl anar st ruct ure
in Fig. 2.24a [2.41], the fundament al lateral lasing mode i~ confi ned to the
channel region because the absor pt i on losses ext ernal to t hat region are high.
Laser Di odes a nd LEDs for Fi ber Opl i cal Cor nmt mi c a t i on 35
Thi s is due to the del i berat el y small spaci ng between the active layer and the
subst rat e in the regions out si de t he channel, which results in a significant
fract i on of the radi at i on spreadi ng from the active l ayer into the subst rat e in
these regions. Thus, the losses of the hi gher - or der lateral modes (which spread
beyond t he nar r ow channel region) are hi gher t han for t he fundament al mode.
Not e t hat the channel wi dt h must be relatively nar r ow ( < 10pm) in or der for
the desired effect to occur.
Fi gure 2.24b shows an al t ernat i ve st ruct ure suitable for mode cont r ol where
the thickness of the active region is const r i ct ed onl y in the desi red lasing region
[2.42]. Thus, the carrier densi t y for a given current density is sufficient for
t hreshol d to be reached onl y in the cent ral region under the current -i nj ect i ng
stripe cont act . If the wi dt h of t he const ri ct ed region is sufficiently nar r ow, high-
or der modes cannot reach t hreshol d, t hus pr oduci ng a mode-st abi l i zed laser.
However, as is the case for the st r uct ur e in Fig. 2.24a, hi gh- or der - mode
oper at i on is possible with this st r uct ur e when t he const ri ct ed active region wi dt h
becomes excessive. Ther ef or e, bot h t ypes of st ruct ures are limited in the
power level which can be reliably pr oduced in the fundament al lateral mode.
Because of t he mode stability in t hei r safe oper at i ng regions, bot h st ruct ures
exhibit linear power - cur r ent curves. Fi gure 2.24c shows such a curve of the
st ruct ure in (b).
Fiber Coupling. Coupl i ng of the r adi at i on from nar r ow st ri pe-cont act laser
di odes i nt o typical mul t i mode step-index or graded fibers presents little
difficulty. About haft of the power from one facet can be i nt r oduced i nt o the
fiber by careful alignment. But the use of slnall-diameter, si ngl e-mode fibers
i nt roduces addi t i onal coupl i ng probl ems. An accurat e sol ut i on to the elec-
t r omagnet i c pr opagat i ng wave pr obl em for the si ngl e-mode case has been
made by Kapany [2.44], and Snitzer [2. 45], but it is mat hemat i cal l y compl ex.
However, the fundament al mode can be appr oxi mat ed by the Gaussi an field
di st ri but i on of Kogelnik and Li [-2.46]. If one appr oxi mat es the beam froln the
source as Gaussi an [2.47], the coupl i ng efficiency i nt o the single fiber mode can
be comput ed [2.48].
Present single-mode fibers have core di amet ers in the 3 to 8 pm range, and
far-field beam spreads of the or der of 3 to 7 '~. (A consi derabl e fraction of the
opt i cal energy in a si ngl e-mode fiber is carri ed out si de the core, leading to
effective Gaussi an mode di amet ers larger t han the physical core size.) Thus,
since the appr oxi mat el y I t, tm thickness of a typical DH laser emi t t i ng region is
less t han the fiber core size, its beam spread angle is much greater, requi ri ng
some form of opt i cal mat chi ng el ement to maxi mi ze coupl i ng to the fiber. In the
laser j unct i on plane, stripe widths are generally great er t han the fiber mode
di amet er, while the beam angle is perhaps 2 to 3 times the fiber accept ance
angle. In this case, no opt i cal elements can coupl e all the laser radi at i on to the
fiber, since the radi ance of the system (energy per unit area per unit solid angle)
cannot be increased with optics. About 1 mW of power can be coupl ed from a
10p, m-wide stripe laser i nt o a si ngl e-mode fiber by simple techniques.
36 H. Kressel et al .
2.4.3 Spectral Emission
The wavel engt h of the emission depends on the bandgap energy, the dopant
concent r at i on in the r ecombi nat i on region and the j unct i on t emperat ure. For
commonl y used DH lasers with lightly doped r ecombi nat i on regions, the lasing
peak energy is 20 to 30meV below the bandgap energy [2.1]. The spect rum
shifts t owar d lower energy with increasing t emper at ur e at a rat e of
~ 0 . 5 me VK- 1 ( ~ 3 AK ~at ~8500A) .
The spectral width of the laser emission depends on the number of
l ongi t udi nal modes excited. The evol ut i on of the spect rum from a cw laser
di ode with increasing cur r ent is shown in Fig. 2.21b. Near t hreshol d, the
emission is relatively wide, with many l ongi t udi nal modes. With increasing
drive, a few of the modes become domi nant , and in some lasers a single mode
domi nat es. Mor e typically, however, one iliads 3 to 4 lines with a t ot al spectral
width of 5 to 10, x. within the half-intensity points. Lasers with very short
cavities (tinder 100gm) have great er l ongi t udi nal mode separat i ons, and
oscillate in a single l ongi t udi nal mode mor e frequent l y t han l onger lasers. The
cw power emi t t ed in a single mode in such short lasers somet i mes exceeds
10 mW. However, if the drive cur r ent of such a laser is widely varied, the out put
wavel engt h may shift, and the overall linewidth may br oaden. Therefore,
mai nt ai ni ng spectral puri t y in pulsed laser oper at i on is difficult unless the
cur r ent range is restricted.
2.4.4 The Power-Current Curve Linearity
The power - cur r ent curves of laser di odes frequent l y exhi bi t slope changes
(denot ed kinks) havi ng vari ous origins. Defects in the j unct i on region, which
can pr oduce lasing in filaments, may cause kinks. A second established cause of
kinks results from lateral mode changes in lasers with self-induced wavegui di ng
(i.e., those lacking st rong lateral mode guiding). As not ed earlier, nar r ow pl anar
stripe lasers frequent l y oper at e in a single lateral mode near t hreshol d, but
mor e modes appear as the cur r ent is increased. As shown in Fig. 2.23, the power
curve shows a slope change at the cur r ent where the t hreshol d for the second
mode is reached. The power out put in thc fundament al mode appears to
sat urat e, while the second mode becomes domi nant .
Ext ended linear power curves are expect ed in devices where : I) many modes
can be excited (thus pr oduci ng a smoot h t ransi t i on from one mode to the next),
such as in wide-stripe lasers; II) a single lateral mode (which can be high
order) remai ns domi nant in a wide cur r ent range where dielectric sidewalls
are built into the laser st ruct ure. I nt er modul at i on measur ement s are one
measure of linearity (see Chap. 9). Indeed, one finds experi ment al l y t hat
linear power curves are mor e commonl y found in lasers with nar r ow stripes
when a single mode domi nat es (as in Fig. 2.24c), or in wide pl anar stripe lasers
( > 20 ~tm), where many modes are easily excited.
Laser Diodes and LEDs for Fiber Optical Communication 37
2. 5 Li ght - Emi t t i ng Di ode s
The distinguishing features of LEDs designed for opt i cal communi cat i on
include high modul at i on rat e capability, high radiance, high reliability, and
emission wavelengths restricted to the near-i nfrared spectral regions of low
at t enuat i on in fibers. The earlier LEDs, based on GaAs or GaAs P homo-
t hey have some limited appl i cat i on, For t unat el y, t he advances in the het er oj un-
bot h lasers and LEDs share a c ommon t echnol ogy.
they have some limited appl i cat i on. For t unat el y, the advances in t he het eroj unc-
tion laser di ode t echnol ogy coul d be appl i ed to these new LEDs, and cur r ent l y
The wavelength of LED emission is i mport ant , not onl y because of fiber
at t enuat i on, but also because of the reduced fiber spectral dispersion at 1.3 ~m
compar ed to 0.81.tin [2.49]. Plastic fibers are also suitable for short optical
links. They have at t ent uat i ons of a few hundr ed decibels per ki l omet er in t hei r
region of low at t enuat i on (typically near ) ~ 0 . 6 6 ~na) ~, but their large numeri -
cal apert ures make LED light coupl i ng easy. However, nei t her semi conduct or
lasers capabl e of reliable cw emission at r oom t emper at ur e nor specifically
designed het er oj unct i on LEDs are yet avai l abl e near 0.661am. Convent i onal
red-l i ght -emi t t i ng GaAs P di odes designed for display purposes can be used if
t he power level is restricted to the safe oper at i ng region. Mor e recently,
however, plastic fibers [2.50] have been devel oped with mi ni mum loss at 0.7 ~tm
where A1GaAs LEDs can be empl oyed.
2.5.1 Structures
The materials most used for communi cat i on LEDs are Al . , Gal _xAs ,
l nxGa ~ ~As and In Ga~_xAs.,.P~_r; AI~Ga~ . , . As devices emi t t i ng at ~0. 82 to
0.85 ~tm are the most highly devel oped at this time. The internal quant um
efficiency of st at e-of-t he-art devices is >50% at r oom t emper at ur e but the
ext ernal efficiency is much lower owi ng to t he high index of refract i on of I l I - V
compound semi conduct or s ( n~3. 0 to 4.0). The light spont aneousl y creat ed
near a p-n j unct i on or het er oj unct i on is emi t t ed i sot ropi cal l y in t he j unct i on
plane. Even for light rays striking a device interface with air at angles close to
nor mal incidence, the reflectivity is high, --~30%, owi ng to the high index of
refract i on of the semi conduct or. Fur t her mor e, rays striking the surface at
angles great er t han about 16 from the nor mal will be compl et el y reflected back
i nt o t he bulk of the device.
Assuming a single opt i cal wave t ransi t across the LED pr i or to loss by
internal absor pt i on, onl y a few percent of the internally generat ed radi at i on
strikes the crystal surface at an angle less t han 16 , and can t hereby exit t hr ough
a sinyle pl anar surface into air. However, by the use of spherically shaped
emi t t i ng surfaces and reflecting side boundari es, t he ext ernal emission efficiency
can subst ant i al l y exceed this value. Fur t her mor e, if the internal r eabsor pt i on of
1 These fibers are produced by ~he DuPom Corporation.
38 H. Kre.~sel et al.
,L- . . . . . . . .
{ I
/ / I / I ~ n
EPOXY
[ ~ / F I B E R
Rp /n
\ [ ~ , \ t l / t , ~
. . . . . . . Fl U . . . . .
7
a
7
E
IC
(:3
w
F.,
2
C
ACE EMITTER
I = I , I , I ~ I
iO0 200 BOO 400 500
CURRENT (mA)
Fig. 2.25. (a) Et ched-wel l LED (surface emi t -
ter) of t he Burrus t ype; (b) st r i pe- cont act edge-
emi t t i ng LED. (c) Tot al power emi t t ed from
best surface emi t t er of t he Burrus t ype [2.58]
and emi ssi on from one facet of a st ri pe-
cont act , cdgc emi t t er [2.59]. The bandwi dt h
of t he surface emi t t er is about 17 MHz,
wher eas t hat of t he edge emi t t er is about
100MHz. (d) Temper at ur e dependence of
t he power emi ssi on from edge- emi t t i ng
AIGaAs LED, (e) Temper at ur e dependence
of t he power emi ssi on from edge- emi ui ng
l n Ga As P LED
1.4
1.2
1.0
0 . 8
o 0,6
o.
0.4
0.2
0
0
AJ.Go As
)~ ( 2 0 C ) = 0 . 8 5 / z m
1 1 ~ I I
I0 "C
2 0 = C
30 C
4 0 C ' x ~
5 0 ~
6 0 C ~
I I I f I
50 {00 150 200
d
I I I
250 300 350 400
CURRENT (mA)
Laser Di odes and LEDs for Fi ber Opt i cal Communi cat i on 39
1.4
i I I I i I
I n G o A s P / I n P O o C ~
X (20 C) = 1.2~,~rn IOC\ Oc
1.2
- .
3 0 C~ /
0.4~
0.2
0 50 I00 150 200 250 ~,00 350 400
CURRENT {mA)
Fig. 2.25. re) Temper at ur e dependence of t he power emi ssi on from edge- emi t t i ng l nOa As P LED
the radi at i on is minimized by the use of GaAs :Si recombi nat i on regions (where
the emission energy is slightly less t han the energy bandgap of the absorbi ng
regions), overall quant um efficiency values from all sulfaces of the di ode cat]
reach 30% [2.51]. Al t hough power efficiency is i mport ant , it is not the key
paramet er for LEDs for the present application. Here, the optical power
coupled into the desired fiber for a given electrical power input is the quant i t y
to be maximized. For example, GaAs or AIGaAs diodes with dome-shaped
emitting surfaces can be very efficient (10 15 %) [2.52], but t hey are of little use
with typical fibers because their large emi t t i ng area ( > 400 lain diameter) makes
coupling to small di amet er fibers ( <85 gm) very inefficient.
Het eroj unct i on structures are most commonl y used to optimize LEDs for
coupling into fibers. We will discuss AI,.Ga[ _.~As/AI3.Ga I _ rAs (x <y) double-
het eroj unct i on LEDs most extensively. Ot her useful III V het eroj unct i on
structures involve similar design principles. As in the DH laser (Sect. 2.2), the
injected carriers in the LED are confined to a narrow recombi nat i on region
between the heterojunctions. Furt hermore, because the surroundi ng material is
of higher bandgap, internal optical absorpt i on is reduced compared to t hat of a
homoj unct i on structure.
For fiber coupling, light can be extracted from either one surface or one
edge. The two maj or confi gurat i ons are the etched-well surface emitter (or
"Burrus LED") [2.53], and the st ri pe-cont act edge emitter [2.54, 55], which is
similar to the stripe-contact laser diode. These structures are illustrated in Fig.
2.25a, b.
40 I-1. Kr e s s e l el al.
In the Burrus st ruct ure, the cont act di amet er is typically smaller t han the
fiber core di amet er, and an et ched well in t he subst rat e is used to bri ng t he fiber
close to the emi t t i ng area. Ther e are also simpler surface-emitting st ruct ures
made by diffusion of p-t ype dopant into an n-t ype layer to form a simple
homoj unct i on emi t t er [-2.56]; ot her surface emitters have been made by
growi ng a thick AlxGa ~_xAs l ayer to act as a hi gher bandgap nonabsor bi ng
subst rat e [2.57]. In general, st ruct ures where the active region is close to the
heat sink can be oper at ed at the highest cur r ent densi t y (to ~ 10,000 Ac m- 2)
because t hei r t her mal resistance is minimized. Hence, such st ruct ures are
preferred where the highest possible power level is needed for the fiber
t ransmi ssi on system.
2.5.2 Optical Power and Fiber Coupling
The t ot al optical power emi t t ed from the best surface [2.58] and edge emitters
[2.59] is compar ed in Fig. 2.25. Not e in Fig. 2.25c t hat the power out put
increases subl i nearl y with cur r ent at high cur r ent because of j unct i on heating.
However, a compar i son of the r a d i a n c e of t he sources [-2.60] is mor e meal >
ingful t han cornpari ng their t ot al powers. The radi ance (brightness) is t he
opt i cal power emi t t ed from a unit area of the device into a unit solid angle and
is expressed in units of W c m 2-sr 1
In Tabl e 2.1, we list the best r epor t ed LED radi ance values, quant um
efficiencies, power out put s, and modul at i on bandwi dt hs. The fiber charact eri s-
tics assumed in this compar i son (a numeri cal aper t ur e of 0.15 and an 801am
core di amet er) are typical of fibers which have so far given the best overall
per f or mance for l ong-di st ance (1-10 km) appl i cat i ons.
The t emper at ur e dependence of the power emission from LEDs is relatively
small compar ed to t hat of laser diodes. Fi gure 2.25d, e shows dat a for an edge-
emi t t i ng AIGaAs LED and for an I nGaAs P/ I nP doubl e- het er oj unct i on edge-
emi t t i ng LED emi t t i ng at 1.23 p.m (at 20 C). Between 20 and 70"C the power
emission from the latter device dr ops (at const ant current ) by a fact or of about
2, whereas the change in the emission from t he AIGaAs LED is onl y a fact or of
1.7. The difference is believed to be due to the smaller het er oj unct i on barri er
height in the I nGaAs P/ I nP di ode and resul t ant part i al carri er confi nement loss
at elevated t emperat ures.
2.5.3 LED-Fiber Coupling and Transmission
In this section, we discuss fact ors affecting the optical power coupl ed i nt o fibers.
( Fur t her discussion will be found in Chap. 6. ) The emi t t i ng area of a surface-
emi t t i ng LED is det ermi ned by the cont act area, chosen in accnr dance with the
core area of the fiber. The fiber tip is mount ed close enough to the LED to
prevent beam spreadi ng between the emi t t i ng region and the fiber tip. The
L a s e r D i o d e s a n d L E D s f o r F i b e r O p t i c a l C o l n m u n i c a t i o n 41
~ ~
o . ~
. 2
o
.=
0

=
e'~
;-q.
C
x z ' . ~
e'~
. g
==,=
o r - ~ ~1 r - ~ r " n t ' - n
~ t " , , l I . . . ~ - , i t ~ " - 1
42 H. Kressel et al.
beam pat t er n of a surface emi t t er is r oughl y Lambert i an, with an angul ar
i nt cnsi t y dependence given by 1(0)2 1 o cos0. (Here 0 is the angle bet ween t he
emission di rect i on and the normal to the emi t t i ng surface.)
The radi ance of a surface-emi t t i ng di ode is det ermi ned by the thickness of
the r ecombi nat i on region, the cur r ent density, the i nt ernal quant um efficiency,
and i nt ernal absorpt i on. The combi nat i on of these factors makes the radi ance
of the edge emi t t ers higher t han t hat of t he surface emitters.
The highest r epor t ed r adi ance of a Bur r us- t ype LED is 200 W cm 2 sr
This DH st ruct ure has a 2.5 lam het er oj unct i on spacing and a dopi ng level of
5 x 10 ~ v c m- 3 in the r ecombi nat i on region [2.61]. The highest radi ance values
for AIGaAs edge emi t t ers arc in t he 1000 W c m - 2 s t - l range [2.34]. Mor eover ,
as discussed in Sect. 2.5.2, t he radi ance must be consi dered in the cont ext of the
modul at i on capability, and t he bri ght est surface-emi t t i ng diodes are relatively
slow 2.
A doubl e- het er oj unct i on edge emi t t er can pr oduce a di rect i onal beam
per pendi cul ar to the j unct i on pl ane which rivals t hat of the laser di ode ; tiffs is
because the same t ransverse modal pr opagat i on characteristics, det er mi ned by
the DH st ruct ure, cont r ol bot h the coher ent and i ncoherent emission [2.34, 64].
For Al GaAs LEDs, the full beamwi dt h at the half-intensity poi nt perpendi cu-
lar to the j unct i on pl ane is a funct i on of the al umi num concent r at i on difference
Ax at the doubl e- het er oj unct i on boundar i es d apar t [2.65],
Ol ~ 20(Ax)d/2 [ r a d] . (2.15)
For example, with 2=0. 81am, d=0. 1 ~tm, and Ax=0. 2, 0 , 2 2 9 . Fi gure 2.26a
shows the beam pat t er n measured on such a structure.
Edge emitters usually have the same stripe cont act s as lasers, but lacking
the optical feedback of the laser, this does not result in a nar r ow beam in the
pl ane of the j unct i on. A cos0 di st ri but i on of emi t t ed radi at i on is found in this
plane. The combi nat i on of beam nar r owi ng in the per pendi cul ar plane and lack
of nar r owi ng in the j unct i on pl ane causes the emi t t ed beam t o have a quasi-
elliptical shape. Therefore, an anamor phi c optical system is desirable for
opt i mal optical coupl i ng i nt o a (cylindrically symmetric) fiber.
The effective emitting area of an edge-emi t t i ng LED cannot be conveni ent l y
t ai l ored to mat ch the fiber core. Per pendi cul ar to the j unct i on plane, the light
comes from a region appr oxi mat el y as thick as the r ecombi nat i on region, with
some spreadi ng into adj acent layers as det ermi ned by the light guiding
propert i es of the DH structure. This typically results in an optical source 1 to
2 ~tm thick. The stripe cont act confines the r ecombi nat i on region to a thin stripe
across the di ode facet. The typical stripe widths of 10 to 50 ~tm are smaller t han
the core di amet er of a mul t i mode fiber. For mu[t i mode fibers with core
di amet ers of 60 to 1201am, a nar r ow (10~tm) stripe LED is al most a poi nt
2 Owi ng to t he rapi d t echnol ogi cal evol ut i on in t hi s field, definite device limits cannot be given.
Dat a pr esent ed here are for general gui dance only.
L a s e r Di o d e s a n d L E Ds f or F i b e r Op t i c a l C o mmu n i c a t i o n 43
[ .
> . -
I . . -
Z
I . . g
I - . -
Z
~ 0 . 5
I -
' , : : I
- I
I . t . I
0
9 0
EDGE >-
1.0
'EMITTING ~
0 , 5
I - -
_ . 1
n r "
i i r I t ~ ' )
4 5 O 4 5 c' 9 0 9 0 "
BEAM ANGLE FROM NORMAL
. _ _ 9 5 ~ . 0 , , ~ 120"
4 5 * 0 4 5 9 0
B E A M ANGLE FROM NORMAL
Fi g. 2 . 2 6 a , b. F a r - f i c l d f r o m (a) a n e d g e - c mi l t i n g L E D h a v i n g a v e r y n a r r o w d o u b l e - h e t e r o j u n c t i o n
s p a c i n g a n d (b) a s ur h~ce e mi t t e r
source. By maki ng the cont act st ri pe wider, the emi t t i ng regi on can be made to
ext end compl et el y across the fiber core, gi vi ng a "l i ne" source r at her t han a
"poi nt " source. To keep t he di ode radi ance const ant , the current woul d have to
i ncrease with i ncreasi ng width, t hereby i ncreasi ng the power demands on the
dri ver electronics. Often, this is not accept abl e. For ma xi mum coupl i ng
efficiency i nt o the fiber, the nar r owest st ri pe wi dt h shoul d be used consi st ent
wi t h adequat e heat si nki ng at the desired current i nput or t ot al light out put .
Onl y mul t i mode fibers can be consi dered pract i cal for LEDs. A mul t i mode
fiber has di mensi ons and refract i ve indices t hat al l ow mor e t han one opt i cal
wavegui de mode to pr opagat e. A useful a ppr oxi ma t e t r eat ment , appl i cabl e to
the "weakl y gui di ng" fibers t hat are of most interest, has been given by GIoge
[2.66]. It is useful to char act er i ze t he fiber by its numer i cal aper t ur e (N.A.) and
a V par amet er , defined by
V= 27ta(N.A.)
2 ' (2.16)
here a is the core radi us and 2 is t he free-space wavel engt h. In t erms of this
pararnet er, a mul t i mode fiber has r oughl y N, , = V2/ 2 pr opagat i ng modes. Thus,
the numbe r of modes i ncreases with the core di amet er and with the "st r engt h"
of the gui di ng as measur ed by t he fi ber' s numer i cal aper t ur e. For a fiber with
N. A. =0. 15 and a core di amet er of 90 pro, V ~ 5 2 , and about 1340 modes can
pr opagat e at a wavel engt h of 0.82 pm. For such hi gh mode number s and large
core size rel at i ve to 2, r ay opt i cs give a valid pi ct ure of the pr opagat i on of light.
In addi t i on t o these pr opagat i ng modes, energy can somet i mes be t r ansmi t -
ted down a fiber in t wo ot her t ypes of modes : "l eaky" modes and "cl addi ng"
modes. In an ideal, lossless fiber, these l at t er modes are not t rul y bound, and
suffer st r ong at t enuat i on as t hey pr opagat e. Wi t h sui t abl e pr ovi si ons for mode
st ri ppi ng, the cl addi ng modes can be at t enuat ed t o negligible levels in a very
44 H. K r e s s e l el al .
shor t distance, and hence need not be considered. Tile l eaky modes, on the
ot her hand, which cor r espond t o skew rays pr opagat i ng in a helical fashion
down the fiber, under favorabl e ci rcumst ances can travel significant distances
wi t hout appreci abl e loss. Because of them, it becomes somewhat ar bi t r ar y how
"coupl i ng efficiency" is defined. Many experi ment al met hods to measure fiber
coupl i ng cont ai n a significant cont r i but i on from such modes, especially if a
relatively shor t length of fiber is used in the measur ement ; this is t he case
despite at t empt s t o limit the measured t ransmi ssi on t o bound modes by
limiting the aper t ur e of t he beam from t he end of t he fiber. Nevertheless, in
many systems, the t ransmi ssi on distance is so short t hat energy from the source
reaches the det ect or via leaky modes, and practically, these modes shoul d be
t reat ed as t rul y pr opagat i ng ones. Therefore, one shoul d use care in using the
t erm "coupl i ng efficiency" to make clear its oper at i onal significance.
The simplest coupl i ng scheme is to place the end of the fiber against, or in
pr oxi mi t y to the emi t t i ng LED surface. Colvin [2.67] calculated the coupl i ng
bet ween surface emi t t ers with vari ous charact eri st i cs and step-index fibers. The
cal cul at i ons are based on the assumpt i on t hat ray optics are valid, and indicate
the i mpor t ance of skew and l eaky rays. For a small core-t o-source di amet er
ratio, small f i ber - LED separat i ons, and low numeri cal apert ures, skew rays
make a significant cont r i but i on t o coupl i ng efficiency.
Consi deri ng the compl exi t y of t he probl em, it becomes clear t hat vari ous
appr oxi mat e, simplified model s can be useful in est i mat i ng coupl ed power levels
to be expected under vari ous condi t i ons, but t hat detailed measurement s will
pr obabl y provi de the onl y really reliable values. One simple model for step-
index fibers assumes t hat all light rays incident on t he exposed end of the core,
and maki ng a (meridional) angle with the fiber axis less t han the critical angle
for t ot al internal reflection, 0~, are pr opagat ed, while light rays with an angle
0 > 0c are rejected. Here, the critical angle is defined as
0c =Si l l - ' ~12~i't2 =s i n 1(N.A.). (2.17)
For a source smaller t han the core and in cont act with tile fiber end, this gives a
coupl i ng efficiency r/c
oc
I(0) sin 0 dO
0
q c = n,,2
I (0) si n 0 dO
0
(2.18)
For a Lambert i an source,
r / c=s i nZ0 =(N. A. ) 2.
(2.19)
For a fiber with N. A. =0. 15, qc=2. 2%, ( - 16.5dB).
Laser Diodes and LEDs for Fiber Optical Communication 45
As ment i oned earlier, the beam pat t er n of edge-emi t t i ng LEDs and lasers
call be qui t e di rect i onal , l eadi ng to l ower coupl i ng losses. Na r r ow- be a m LEDs,
for exampl e, can give coupl i ng losses of about - 1 l dB, or mor e t han 5dB
bet t er t han for Lamber t i an sources [2.34].
Ther e is a small addi t i onal Fresnel reflection loss at the ai r-fi ber interface.
In a sur f ace- emi t t i ng LED, this can be el i mi nat ed by filling the space bet ween
the di ode surface and the fiber tip with a mat er i al of sui t abl e index. However ,
t here can still be a significant (5 to 20%) reflection loss at t he LED i nt erface
with this filler. To el i mi nat e bot h Fresnel i nt erface losses, the refract i ve index of
the mat er i al mus t be high, ~2. 3, and the f i ber - LED spaci ng must be careful l y
cont rol l ed. LEDs can be ant i refl ect i on coat ed with l ayers of 2/4 thick AI 20 3 or
ot her sui t abl e mat eri al to reduce their Fresnel loss at an LED- a i r i nt erface to
about 1%. Wi t h no mat eri al bet ween the LED and a fiber, tlle second (air-fiber)
i nt erface loss is at mos t 4% for a fiber wi t h N. A. =0. 15.
It shoul d be r emember ed t hat the coupl i ng efficiency given ill (2.18) is for a
st ep-i ndex fiber, where the effective numer i cal aper t ur e is const ant over the face
of the core. For a par abol i cal l y gr aded- i ndex fiber, a given (on-axis) numer i cal
aper t ur e cor r esponds to onl y hal f as ma ny pr opagat i ng modes as in t he st ep-
index case, and the coupl ed power is onl y about hal f as much.
Losses in hi gher - or der modes are often significantly gr eat er t han t hose of
l ower - or der ones. Thi s combi ned with mode coupl i ng effects at fiber i mperfec-
t i ons and bends, call lead to a changi ng modal energy di st ri but i on wi t h
pr opagat i on pat h length, and hence, to what can be i nt erpret ed as a changi ng
effective numer i cal aper t ur e. Thus, meas ur ement s of coupl ed power made on
short lengths of fiber can give mi sl eadi ng results.
As t he accept ance angl e of t he fiber is increased, the coupl i ng efficiency of a
surface emi t t er increases relative to t hat of an edge emi t t er. In Fig. 2.27a, we
c ompa r e the cal cul at ed coupl i ng efficiency as a funct i on of numer i cal aper t ur e
for a t ypi cal sur f ace- emi t t i ng and edge-el ni t t i ng LED and a t ypi cal cw i nj ect i on
laser. It is difficult to exper i ment al l y c ompa r e the var i ous sources avai l abl e, but
in Fig. 2.27b, we c ompa r e the cal cul at ed and exper i ment al power coupl ed i nt o a
fiber as a funct i on of the numeri cal aper t ur e. For these cal cul at i ons, we use the
best r epor t ed power out put s for t he surface and edge emi t t ers [2.58, 59]. For
Fig. 2.27a, b we assume t hat the sour ce size is smal l er t han the (step-index) fiber
di amet er. (As not ed earlier, gr aded- i ndex fibers of the same N. A. will accept
about hal f the power. ) Also shown in Fig. 2.27b are dat a poi nt s for coupl ed
power f r om the literature.
It is seen t hat the edge emi t t er is advant ageous for small numer i cal aper t ur e
fibers ( N. A. <0. 4) , whereas the surface emi t t er, because of its hi gher power
out put , is mor e useful for l arge N. A. fibers.
2. 5. 4 Carri er Li f e t i me and Di o d e Bandwi dt h
The emi ssi on f r om LEDs is modul at ed by cur r ent vari at i ons. For low cur r ent
levels, the modul at i on capabi l i t y may be l i mi t ed by the j unct i on capaci t ance
4 6
21
14. Kressel ct al.
E
15
o
D
0_
9
o
o
m 6
b.
Y ~ . / SURFACE i n "BURRUS" LED
a
Q - - I I I I I I
0 OI 0 2 0. 3 0, 4 0. 5 0. 6
FIBER NUMERICAL APERTURE
0.01
0 0 2
0 . 0 5
OI
0. 2
0 . 5
I . O
0 7
E
2
E
o I O
z
0 , 5
0 2
~ILATED I ~ i l I
CALC EXPERIMENTAL
SURFACE ~ ' ~
. . . . EMI TTER- o / t
EDGE / / /
- - - E M I o
x I / I
/
/
/ o
/
b
O l , i ' ' i I
0 OI OP- 0. 3 0. 4 0 5 0 6 0. 7
FIBER NUMERICAL APERTURE
Fig. 2.27. (a) Coupling efficicncies from
a typical laser diode and surface and
doublc-hetcrojunction edge-emilting
LEDs inlo step-index fibers of varying
numerical aperture. The range of ex-
pected values is indicated by the shaded
regions. (b} Calculated coupled power as
a funclion of fi ber N.A. for the best
reported edge and surface emitters as
well as experimentally determined values
from the literature [2.58, 59]
I- 2. 68] . Ho w e v e r , in hi gh f o r wa r d - b i a s o p e r a t i o n t h e l i g ht m o d u l a t i o n i s l i mi t e d
by t he l i f e t i me o f t he c a r r i e r s i nj e c t e d i n t o t he r e c o mb i n a t i o n r e g i o n . I f t he
c u r r e n t i s mo d u l a t e d at f r e q u e n c y 09, t he l i g ht o u t p u t Po(m) wi l l v a r y wi t h
f r e q u e n c y [ 2 . 1 , 6 9 ] .
Po(O)
P ( ( I ~ ) = [ 1 + ( ( o r ) z ] 1/ 2' ( 2 . 2 0 )
wh e r e P0(0) i s t h e l i g ht i n t e n s i t y w i t h o u t mo d u l a t i o n a n d z i s t he mi n o r i t y
c a r r i e r l i f e t i me . F i g u r e 2. 28 s h o w s t he r a t i o Po(oJ )/Po(O) f or t hr e e d i o d e s h a v i n g
t h e z v a l u e s i n d i c a t e d .
Laser Diodes and LEDs for Fiber Optical Communication 47
I . O .
I . ~
=:p
0
Q .
I L l
n -
W
N
._1
a: 0 3
0
' 6 . 4
n s
I I I I I i I I I I i i i i i i i
I0 I00 I000
M O D U L A T I O N F R E Q U E N C Y , M H z
F i g . 2 . 2 8 . Normalized re-
sponse as a function of fre-
quency for lhree LEDs having
the minority carrier lifetime
values r indicated. The solid
curves show the [ 1 +{~or) 2] ~z
dependence [2.34]
The di ode' s mo d u l a t i o n l i mi t is us ual l y defi ned in t er ms o f t he e l e c t r i c a l
p o w e r a t t h e d e t e c t o r . Thi s is p r o p o r t i o n a l t o t he s q u a r e of t he opt i cal i nt ensi t y.
The b a n d wi d t h capabi l i t y of t he di ode, defi ned as t he f r equency wher e
p2(o))__ L 2
- - 2 P o ( 0 ) , is f r om (2.20),
1
.1; - 2rcr' (2.21)
Cons i de r i ng onl y b a n d - t o - b a n d (i.e., r adi at i ve) r e c ombi na t i on, t he car r i er
lifetime in a di ode vari es wi t h cur r ent J [ 2. 10] a c c or di ng t o
e d
r = ~ j (P0 + no) {El + 4 J / e B r d ( p o + no) z] 1 / 2 - - 1 } , (2.22)
wher e Po and n o ar e t he el ect r on and hol e c onc e nt r a t i ons wi t hout i nj ect i on, d is
t he wi dt h of t he r e c o mb i n a t i o n r egi on, e is t he el ect r on char ge, and B r is t he
r e c ombi na t i on coeffi ci ent , whi ch var i es wi t h t he s e mi c onduc t or a nd t e mpe r a -
t ure. I n Ga As , Br - ~10 ~cm3 s -~ at r o o m t e mpe r a t ur e [2. 70].
Cons i de r a p- t ype r e c ombi na t i on r egi on wher e Po >> no. For a l ow i nj ect ed
car r i er c onc e nt r a t i on r el at i ve t o t he b a c k g r o u n d c onc e nt r a t i on, t he car r i er
lifetime is i nde pe nde nt of t he c ur r e nt densi t y, r - ~ ( B r P o ) - 1 . Hence,./~ = ( B r p o / 2 ~ ) .
At hi gh i nj ect i on levels, however , t he lifetimes becomes i ndependent of t he
r e c ombi na t i on r egi on dopi ng,
r ~ ( e d / B r d ) x / z
a nd
(2.23)
I ( B r J ] 1/2
.l~ = 2 ~ \ e d ] (2.24)
48 H. Kr e s s e l et al.
Thus, t here are t wo ways of reduci ng the carri er lifetime in or der to increase
.['~ : I) use high dopi ng in the r ecombi nat i on region, or II) oper at e at high cur r ent
densities and small d in or der t o obt ai n a high i l ! j e c t e d carri er concent rat i on.
If heavy dopi ng is empl oyed, nonr adi at i ve centers are i nt r oduced when the
dopi ng is increased to > 101~ c m - 3 [2.71]. For example, tile radi at i ve lifetime
in p-t ype material with 1019 holes cm -3 is about 10 . 9 S, but the nonr adi at i ve
lifetime is also short ened to about t he same magni t ude (or less). This
significantly reduces the i nt ernal quant um efficiency since r/i--(1 +rr/z,,r) -1.
Also, the internal absor pt i on of the radi at i on is increased with heavy dopi ng,
furt her cont r i but i ng to a reduct i on in the ext ernal di ode efficiency.
Experi ment al evidence of these effects is shown, for vari ous p-t ype (Ge) dopi ng
levels in a doubl e- het er oj unct i on Burrus-t ype AIGaAs LED, in Figs. 2.29, 30.
Figure 2.29 shows how the carri er lifetime decreases and the bandwi dt h
increases with increasing dopi ng level [2.61]. Fi gure 2.30 shows the accom-
panyi ng decrease in radiance. It is clear t hat the choi ce of an LED shoul d be
guided by the requi rement s of the system, because the use of high-speed di odes
general l y entails a sacrifice in available opt i cal power.
The LED response is not the onl y fact or t hat can limit system bandwi dt h.
The dispersion in the fiber, due to the modal dispersion present in mul t i mode
fibers and t he spectral dispersion present in bot h single and mul t i mode fibers,
may become limiting. Modal dispersion is a pr oper t y of the fiber only, and is
not affected by the source. In sufficiently l ong fibers, all sources will event ual l y,
t hr ough scattering, fill all the modes of t he fiber. However, with pr oper fiber
index profiling, the modal dispersion can be limited t o less t han 0.5 ns k m-
I-2.72].
Spectral dispersion on the ot her hand, depends on the wavelength and
spectral width of the source [2.49]. Figure 2.31 shows the pulse br oadeni ng per
ki l omet er of fiber as a function of wavelength. This plot points to the usefulness
of LED sources emitting at 1.2 to 1.3 lain where the spectral dispersion
appr oaches zero. It also shows why lasers are useful for very high bandwi dt h
systems ; the < 20 A typical spectral width of injection lasers pr oduces onl y a
few pi coseconds per ki l omet er of spectral dispersion. Unf or t unat el y, the
usefulness of sources at 1.2 to 1.3 gm is limited by the available aval anche and
p-i-n det ect ors in this spectral region. However, at 2 < 1.06 lam Si det ect ors can
be used.
At 0.8 to 0.9 gin, where bot h sources and Si det ect ors are highly devel oped,
the spectral dispersion is significant, as shown experi ment al l y for di odes of
varyi ng spectral width in Fig. 2.32. The bandwi dt h of the I km- l ong fiber fixed
by modal dispersion is shown as a dashed line. The modul at i on capabilities of
the LEDs used were well in excess of this modal dispersion limit. Therefore, the
bandwi dt h limitations of the LED-fi ber system illustrated are fixed by t he
varyi ng spectral widths of the LEDs and the spectral dispersion effects in the
fiber.
The light pulse br oadeni ng At, assumi ng a Gaussi an pulse shape, is given by
( A l ) 2 = ( A l ) ~ < , r . ~ , ~ 2
+ (At)m,,,i,,I disp. (2.25)
i o 3
N
" r
i o 2
CI
2:
oB
Laser Diodes and LEDs for Fiber Optical Communication
\
" ~ x x T DH LED
o
o
o o o
o
I 0 I I I I I I I I 1 I I , , , , , J l L
I 0 i 7 1018 1019
Fig. 2 . 2 9 . D O P I N G D E N S I T Y ( G e ) , c m - 3
30
IO
n
E
F,
LG
l - -
IJJ
h
. . J
n"
UJ
n~
laJ
>
I -
i i i I . i J
1 0 2 0
4 9
4 0 0
0 . 2 C
0.15
g : o . l o
: 7
0
m 0 . 0 5
hl
0-
0
_ J
-0.05
-O,I
0.6
\
2 0
E
I 0
n~
W
g sl
<
m
I - -
( -CX._ ) d 2 n
d k 2
I
IO
D IAM ETER
=50/.tm
A ~,
I
I I I I I I I I I i I
20 50 I00 200
BANDWIDTH ( M H z )
\
Z e r o M a t e r i a l D i s p e r s i o n
at 1.27Fm
I I I I I I I I I
O.B 1 , 0 1 . 2 1 . 4 1 . 8
W A V E L E N G T H ( p . m )
- 2 0 0 _
~a
E
u
i
- - L o o .~
B a
- ~
7
~ 5 0 <
n ~
2O
I
40O
Fig. 2.30.
Fig. 2.29. LED bandwidth and el z
fective carrier lifetime z as a fanction
of the doping density in the recom-
bination region ofdouble-heterojunc-
lion, Burrus-typc structures [2.61]
Fig. 2.311. Optical power and radi-
ance of Burrus-type double-hete,' o-
junction LEDs its a function of the
bandwidth [-2.61]
Fig. 2.31. Calculated and experimen-
tal material dispersion of silica-rich
fiber core [2.49]
. ~ ~ ,,.,? ~ ~ . , ~
~, ~ ~
I = / o /
/
/
!
~ J J
~ d J
. , 1 -
+o o .~ / / ~! i
/ &$ /
; / /
I ~ + /
o ~ / /
L L ~ _ . L i r I I
3 S N O~ S 3 ~ 3 A LLV"T~ ~
<3
0
J o
, U
,.-t
{3
t b
, 4
# -
W
u4
,-4
"6
o
C~
!
Laser Di odes a nd LEDs for Fi ber Opt i cal Co mmu n i c a t i o n 51
I00
> 8o
E
60
40
20
i r r i i i i I i l r l l r l l I i I i i i i i i I r i i i i i i
pl_
500 K
Go As~Ge / ?
_
A / GaAs :Zn
0 I I I i l l t l l i i i , , l l , l i I t r l l l l I I I I I I I I
1017 1018 1019
HOLE CONCENTRATI ON (crn - 3 }
Fig. 2.33. Ahv ,'it t hc hal f - i nt ens i t y poi nt of t he phot ol umi ne s c e nc e at 300 K of Ga As : Ge Da t a
for Ga As : Zn ar e s hown for c o mp a r i s o n [2.7 l ]
The resul t ant bandwi dt h is ,,~(2At)-1. Tabl e 2.2 shows the good agreement
between the observed and cal cul at ed frequency response for the LED- f i ber
system of Fig. 2.32.
To ext end the i nf or mat i on bandwi dt h with AIGaAs LEDs, nar r ow spectral
widths are desirable. Thi s means low dopi ng densities in the active region
because the spectral width of the source depends on the dopi ng densi t y in t he
active region. Fi gure 2.33 shows the spectral full width at half maxi mum as a
function of hole concent r at i on (for phot ol umi nescence emission) from GaAs
doped with Zn and Ge [-2.71]. The emission from edge and surface LEDs
generally follows these dat a, with some al t erat i on due to i nt ernal absor pt i on
effects. We are t herefore faced with a compr omi s e: light dopi ng leads t o high
efficiency and small spectral dispersion but also low modul at i on capabi l i t y if
t he injected carri er densi t y is low, whereas heavy dopi ng leads to low efficiency
and large spectral di spersi on but high modul at i on capability.
The r educt i on of the carri er lifetime by the use of nar r owl y spaced doubl e-
het er oj unct i ons offers a useful compr omi se in design. In this way, we can
pr oduce large bandwi dt hs wi t hout i mpai ri ng the quant um efficiency. The
limitations here are t wofol d : I) it is essential t hat the interracial r ecombi nat i on
at t he het eroj unct i ons due to defects be very low. This is evi dent from (2.2)
where we see t hat a reduct i on in d requi res t hat the interfacial r ecombi nat i on
velocity S also be decreased in or der t o mai nt ai n the internal quant um
efficiency const ant ; II) the modul at i on dept h of the di ode out put will be
somewhat limited because of the varyi ng carri er lifetimes with cur r ent level.
52 11. Kressel ct al.
o
0 .
u~ 0 . 4
0
F,
w 0 . 2
>
F-
<
.J
i . O ~ i , i { i I i I i I
o 4
1 - o-o-8.o , + .
A T : 4 0 0 m , ~ . o ~ - o . " ~ -~ ~ ' t ~
- [ - " F : ~ ' 0 0 m A O O :~ O ~ * ~ '+ %
0 I = l O 0 mA 0%8 +~
, e8
o~ ~,
0 . } I I I I I I I I I I
I 0 2 0 5 0 1 0 0 2 0 0
MODULATtON F R E Q U E N C Y , M H z
%
Fig. 2.34. Nor mal i zed r e s pons e of a doubl e - he t e r oj unc t i on di ode bi ased at i ncr eas i ng c ur r e nt s in
or der to i ncr ease t he i nj ect ed car r i er dens i t y in t he r ecombi l mt i on regi on [2. 34]
Experi ment al dat a showi ng t he expect ed effect on the frequency response of
changi ng the diode' s bias current level and superi mposi ng a small modul at i ng
cur r ent are present ed in Fig. 2.34. The di ode studied was a DH A1GaAs
st ruct ure with a very small value of d = 0.05 pro. Indeed, the frequency response
increases as p, z , in accor dance with (2.24) for devices operat i ng in the high
injection bi mol ecul ar r ecombi nat i on region.
2 . 6 D i o d e R e l i a b i l i t y
Laser life may be limited by ei t her facet damage or internal "gr adual "
degradat i on. The first depends on the opt i cal flux densi t y (and the pulse length)
and consists of damage to the mi r r or facet ; the second is mai nl y a funct i on of
the cur r ent density (i.e., el ect r on- hol e r ecombi nat i on rate), the dut y cycle, and
the details of the laser fabri cat i on process. The degr adat i on phenomena of
LEDs are the "gr adual " type, because optical power densities are relatively low.
In any discussion of laser di ode reliability, it is i mpor t ant t o r emember t hat
laser degr adat i on easily occurs as a result of t ransi ent pulses of the ki nd often
found on t urni ng on or off di rect -current power supplies. These pulses, which
may reach ten times t hreshol d, are not usually det ect ed in rout i ne use, but may
dest r oy a l ow-power laser di ode designed for cw operat i on.
2.6.1 Facet Damage
Compl et e or part i al laser failure may occur as a result of mechani cal damage of
the facet in a region of intense opt i cal flux. The damage t hreshol d is reduced if
flaws, which pr emat ur el y initiate damage, exist at t he laser facet.
aY
2.0
o 1.0
o
as
O.I
O
Laser Diodes and LEDs for Fiber Optical Communication 53
5.0
A ~ ~u Fig. 2.35. Emined power level
(per unit junction widlh in the
junction plane) at which facet
FH damage occurs as a function of
the pulse width. Data shown for
, , , , I , , . . . . I , , , . . . . . single-heterojunction lasers (SH)
I00 I000 I0000 and four-heterojunction lasers
PULSE WIDTH I ns) (FH)[2. 1]
For a given device, the critical damage level Pc (in W cm t of emi t t i ng facet)
decreases with increasing pulse length T as T - 1/ 2 [2.1]. This is shown in
Fig. 2.35 for vari ous het er oj unct i on lasers.
The t hreshol d level for damage is increased by deposi t i ng antireflecting
fihns [2.733 such as SiO or AI20 3 on the laser facet to l ower the rat i o between
the opt i cal flux densi t y inside and out si de the crystal. However, this l owered
reflectivity also increases J,h [see (2.8)]. It has been suggested [2.74] t hat facet
damage occurs at a const ant opt i cal electric field for a given pulse length and
t hat the rat i o of critical power levels with and wi t hout films, P' J Pc , for a facet
reflectivity R can be expressed as
P: (1 - R)
p~ = n (1 + R1/ 2) 2 ' (2.26)
where n is the GaAs refractive i ndex ( ~ 3.6) and Pc is t he measured val ue for the
GaAs- ai r interface. The avai l abl e dat a [2.73] are consi st ent with (2.26).
Lasers oper at i ng cw also can suffer f r om facet damage if the opt i cal flux
densi t y is excessive and the facets are uncoat ed. For lasers with stripe widths of
13 and 50 lain the values found were in t he range of 2 to 4 mW per lam of stripe
wi dt h or 2 to 4 x 105 W cm - 2 [2.75]. (The above laser diodes were DH lasers,
d~0. 2 to 0.31.ma, with Alo. lGao. gAs in the r ecombi nat i on region and
Alo.3Gao.vAs in the adj oi ni ng n- and p-t ype regions.) The facet damage is
generally initiated in the cent ral por t i on of t he active region under t he stripe
cont act where the optical flux densi t y is highest.
The discussion so far concer ned facet damage which occurs in a short
peri od of time. A milder form of facet damage ("erosi on") can appear over a
long operat i ng time for di odes oper at ed bel ow P,,. This effect is accel erat ed by
moi st ure on t he facet and may result f r om an oxi dat i on process opt i cal l y
accel erat ed in the course of laser oper at i on [2.76]. The use of half-wave thick
dielectric facet coatings (not abl y A1203) eliminates facet erosi on [2.77] wi t hout
increasing the t hreshol d current .
54 H. Kressel el al .
2.6.2 Gradual Degradation
The gradual degr adat i on observed in laser di odes wi t hout evi dence of facet
damage is usually charact eri zed by a reduct i on in t he differential quant um
efficiency and an increase in J,h ; in LEDs, the efficiency decreases with time.
Errat i c reliability was charact eri st i c of earl y diodes, suggesting imperfect
cont r ol of the device met al l urgy, but long-lived devices have become a reality as
the t echnol ogy has i mproved.
Gr adual degr adat i on results from defects i nt r oduced i nt o the recom-
bi nat i on region which serve as nonr adi at i ve r ecombi nat i on centers and reduce
the internal quant um efficiency. However, for a given defect density, the LED
efficiency may be more affected t han the lasing propert i es because the carri er
dynami cs are different. A fact or of t wo reduct i on in the LED spont aneous
emission efficiency typically cor r esponds to onl y a 20% increase in the
t hreshol d cur r ent densi t y [-2.78].
Many i nvest i gat ors have studied laser and LED degr adat i on phenomena
and the following summari zes common observat i ons [2. 1]:
I) With degradat i on, the t hreshol d cur r ent densi t y increases while the
differential quant um efficiency frequent l y (but not always) decreases;
I1) Fl et eroj unct i on di odes similarly oper at ed degrade whet her lasing or not
(as long as facet damage does not occur). The degr adat i on rat e (measured in
LEDs) increases with the oper at i ng cur r ent density J as J"', where m = 1.5 to 2
[_2.77, 80] ;
III) Ther e are successive degr adat i on stages. In the early stages, when the
densi t y of newly formed nonradi at i ve r ecombi nat i on centers is low, the
spontaneous efficiency decreases with onl y mi nor effects on the lasin9 pr oper -
ties. As degr adat i on proceeds, "dar k lines" may appear when t he emission is
viewed t hr ough the surface of the di ode [2.81]. The "dar k lines" are regions of
concent r at ed nonr adi at i ve cent ers which are believed responsible for the spot t y
near-field emission pat t ern of degr aded lasers and the rapid fall-off in the
out put of cw lasers at r oom t emperat ure.
The concent r at ed nonr adi at i ve centers can have several origins, including
i mpuri t y preci pi t at i on at existing dislocations. In some st ruct ures exami ned by
t ransmi ssi on el ect ron mi croscopy, t he dar k regions were di sl ocat i on net works
which grew duri ng laser oper at i on [-2.82].
Ther e is overwhel mi ng evidence t hat nonradi at i ve r ecombi nat i on centers
are i nt r oduced into the active region of degr aded devices dur i ng operat i on.
Vacancies and/ or interstitials appar ent l y form or diffuse i nt o the recom-
bi nat i on region, as suggested by the observed gr owt h of di sl ocat i on net works
by a "cl i mb" process t hat requires vacancy or interstitial at om diffusion. The
origin of these poi nt defects is still uncertain. Gold and Weisberg [2.83], in t hei r
GaAs tunnel di ode degr adat i on studies, suggested t hat nonr adi at i ve
el ect r on- hol e r ecombi nat i on at an i mpuri t y cent er on a lattice site coul d result
in its di spl acement into an interstitial posi t i on, leaving a vacancy behind. This
is the basic "phonon- ki ck" model where mul t i - phonon emission gives an
Las er Di odes and LEDs for Fi ber Opt i cal Co mmu n i c a t i o n 55
intense vi brat i on of the r ecombi nat i on center. Appl yi ng this mechani sm to
el ect rol umi nescence, it is assumed t hat the vacancy and interstitial at oms
formed have a large cross section for nonr adi at i ve recombi nat i on. Repeat ed
"ki cks" woul d gradual l y move t hem to i nt ernal sinks.
Experi ment al dat a suppor t the hypot hesi s t hat the energy released in
nonr adi at i ve el ect r on- hol e r ecombi nat i on can enhance poi nt defect displace-
ment. For example, Lan 9 and Kimmerlin 9 [2.84] showed t hat the act i vat i on
energy for the di spl acement of lattice defects i nt r oduced into GaAs di odes by
i rradi at i on with 1 MeV el ect rons was subst ant i al l y reduced under forward bias.
Experi ment al di ode studies where defects were del i berat el y i nt r oduced
show t hat certain crystal defects initially present in the di ode can accel erat e the
degr adat i on rate. These defects include a high di sl ocat i on densi t y [2.85] and
cont ami nant s such as copper [2.86]. Therefore, it is i mpor t ant to use het eroj unc-
tion st ruct ures with t he lowest possible misfit di sl ocat i on densities and to
minimize cont ami nant s. In addi t i on, many process-i nduced defects can accel-
erat e the degr adat i on rate. For exampl e, an excessively high zinc concent r at i on
in t he r ecombi nat i on region is det ri ment al [2.87], as is device strain pr oduced
by mount i ng the device on heat sinks with "har d" solders [2.88]. Therefore, a
soft, ductile sol der such as i ndi um is commonl y used for di ode assembly.
Exposed edges, where el ect r on- hol e r ecombi nat i on occurs, can great l y
accelerate degr adat i on, as demonst r at ed by t he per f or mance of compar abl e
oxi de-st ri pe and br oad- ar ea AIGaAs cw laser di odes cut from the same wafer
[2.89]. Br oad- ar ea light-emitting diodes which have sides formed by sawing
(and thus, were highly damaged) degr aded in a few hours, whereas the stripe-
cont act di odes were qui t e stable for t housands of hours [2.79].
Ther e are i mpor t ant differences in the degr adat i on rates of di odes made
using different alloys. Di odes where the r ecombi nat i on region consists of
AI~Ga~ _~As (with x~0. 05 to 0.1) are less susceptible to gradual degr adat i on
t han compar abl e diodes with GaAs in the r ecombi nat i on region [2.78]. As a
result, all widely used laser di odes and LEDs have 5 to 10at . %A1 in the
r ecombi nat i on region. For mat eri al s with l ower bandgap energies t han GaAs,
it has been found t hat the degr adat i on rat e of l nGaAs homoj unct i on di odes
decreases with increasing In cont ent [2.90].
2.6.3 Accelerated Aging Tests
Accelerated aging tests are commonl y used to predict the mean time to failure
of semi conduct or component s. Insofar as the degr adat i on process is t emper a-
t ure dependent , it is possible to design tests where the device is oper at ed at
elevated t emper at ur es and the measur ed lifetimes are proj ect ed back t o r oom
t emperat ure. The t hermal accel erat i on fact or must be experi ment al l y
established.
For the design of reliable aging tests for laser di odes and LEDs, the possible
failure modes must be carefully consi dered. An increase in the cw laser di ode
56 H. Kressel et al.
t hr eshol d cur r ent may result f r om facet damage, i nt ernal f or mat i on of non-
r adi at i ve centers due t o lattice defects, or an i ncrease in the electrical or t her mal
resistance. As not ed earlier, facet damage or erosi on, which are rel at ed to the
opt i cal flux density, are cont r ol l ed by the use of facet coat i ngs and by oper at i ng
lasers at moder at e power emi ssi on levels.
The i nt ernal da ma ge mechani s m (gradual degr adat i on) is caused by
nonr adi at i ve el ect r on- hol e r ecombi nat i on t hat can accel erat e defect mot i on.
The rat e of this di spl acement process is expect ed to i ncrease with t emper at ur e.
Because gr adual degr adat i on is a process t hat depends on the el ect r on- hol e
r ecombi nat i on rate, it occurs si mi l arl y in bot h t he l asi ng and the i ncoher ent
emi ssi on st at e of di odes at compar abl e cur r ent densities. Therefore, devices
shoul d exhi bi t an i ncreasi ng gr adual degr adat i on rat e wi t h t emper at ur e, and
such tests can be conduct ed bot h in the lasing and the i ncoher ent emi ssi on
mode. One has the choi ce of moni t or i ng t he change in the t hr eshol d cur r ent
with t i me at the el evat ed test temperature or aft er r et ur ni ng the laser to r oom
t emper at ur e. Similarly, for an LED, the out put can be measur ed at the test
t emper at ur es or at r oom t emper at ur e. Because the LED out put is rel at i vel y
insensitive t o t emper at ur e c ompa r e d to the laser t hreshol d current , t he
meas ur ement t emper at ur e is less i mpor t ant for the LED t han the laser.
Aging meas ur ement s at el evat ed t emper at ur es have been per f or med under
varyi ng condi t i ons. It is found t hat the degr adat i on rat e i ncreases wi t h
t emper at ur e fol l owi ng an expressi on of the f or m exp( E/ kT) where E is an
"act i vat i on energy". Fi gur e 2.36 shows the t i me requi red for a 20% pul sed
t hr eshol d cur r ent i ncrease ( measur ed at r oom t emper at ur e) as a funct i on of the
heat sink t emper at ur e for a gr oup of oxi de-defi ned, AI 20 3 facet -coat ed,
AI GaAs laser di odes ; here E~0 . 9 6 +_0.2 eV [2.9]. Fi gure 2.37 shows the t i me
requi red for a 50% reduct i on in the s pont aneous out put f r om the same device,
where E = 1.1 _+0.2 eV. The aver age t i me requi red for a 20% t hreshol d cur r ent
change i ncreases f r om about 500 h when oper at i ng at 100 '~C, to about 5000 h at
70 "C. At 22 '~C, the ext r apol at ed t i me is a bout 106 h. The t i me needed for a 50 %
s pont aneous emi ssi on reduct i on is of the same or der of magni t ude.
A laser' s cw t hr eshol d current may increase far mor e t han its pulsed
t hreshol d cur r ent if the electrical or t her mal resi st ances increase. Exper i ment al
dat a al so have been r epor t ed [-2.92] where AI Ga As / Ga As DH laser di odes
were oper at ed cw at var yi ng t emper at ur es until t hey no l onger funct i on (despite
current increases). The t i me to end of life defined this way decreases exponen-
tially with t emper at ur e [ocexp( E/ kT) ] with E-~0. 7 eV,
It has been found t hat laser failures follow a Gaus s i an or nor mal distri-
but i on in a l ogar i t hmi c fashion. Thi s behavi or is si mi l ar to the failure mode for
ot her s emi conduct or devices. In Fig. 2.38, we pl ot the failure rat e at 70'~C as a
funct i on of t i me for oxi de-defi ned, st r i pe- cont act AI,.Ga~ xAS DH lasers
[-2.93]. The failure here is defined as the poi nt when the laser ceases to oper at e
cw at 70"C. The mean t i me to failure is 4200 h, in good agr eement with the
previ ousl y descri bed tests of Fig. 2.36 and in agr eement wi t h the best dat a for
AI GaAs pr ot on- bomba r de d st r i pe- cont act lasers [2.94].
iO 7:92
- i o 6 .
w
m \
<
~A
r r
0
~ 1 0 5
0
o I 4
w
I
~ 3
2
Io
3.4
Laser Diodes and I.EDs for Fiber Optical Communication 57
A M B I E N T T E M P E R A T U R E ( C )
3 0 4 0 5 0 6 0 7 0 8 0 9 0 I 0 0
I I I I I I I I
\
\
\
\
I I
3 . 3 3 . 2
TLASEROEex p (E/kT)
E = 0 , 9 5 + 0.2eV
\
\ ' x \
%
I I I I I
&l 3. 0 2, 9 2. 8 2. 7
( I O 0 0 / T ) K - I
2.6
Fig. 2.36. Time needed for a 20",,
increase in the threshold current.
nleasured at 22 C, as a function
of the hcat sink (ambicnl} tem-
peraturc. The dashed line is an
cxtrapolation [2.91]
A M B I E N T T E M P E R A T U R E ( * C )
"~ 107 22 30 4 0
1--
O_ \
0 106 " x
\
Z \
i %
,1 \
0
n-"
r,, 1 0 5
o
0
2 ,04
U J
I
I..-
'~ i O 3
...1
102 I I
3, 4 3 . 3 3 . 2
5 0 6 0 7 0 8 0 9 0 I 0 0
I I I I I I
"ELED O[ exp ( EIkT )
E:l.l+-O.2eV
\
\
\
\
\
\
J . I I I I I
3,0 2.9 2.B 2.7 2.6
( I O0 0 / T ) K - I
Fig. 2.37. Time nccdcd to ob-
serve a 50% reduction in the
spomaneous emission from
AIGaAs stripe-contact diodes as a
function of the heat sink (ambient)
temperature. The dashed line is
an extrapolalion [2.91]
58 II. Kressel et aI .
104
r~
@
0
I--
z
O
3
.)
I
k,
IO 2
E ND OF L I I
A T 7 0 C
3 dB DROP I N L I GH T
OU T P U T AT C ON S T A N T
C U R R E N T
X T m = 4 2 0 0 , eft" = I. 3
O T m" 2 0 0 0 , O' ' 1 . 4 5
2 I 0 2 0 3 0 4 0 5 0 6 0 7 0 8 0 9 0
F A I L U R E S ( ~/ o )
, o ~ -
/)
-i-
o
@
M
O
I -
r-,
O
n
,
IO 5
X
bJ
z
I -
,<
n~
laJ
O
.)
- 1 i o "
9 8
F i g . 2 . 3 8 . C u mu l a t i v e r a t e o f f a i l u r e a s a f u n c t i o n o f o p e r a t i n g t i me o f l a s e r s a t 7 0 ' C . A I G a A s
o x i d e - d e f i n e d , s t r i p e - c o n t a c t d i o d e s c o n s i s t i n g o f a g r o u p o f 4 0 d e v i c e s [ 2 . 9 3 ]
Room t emper at ur e oper at i ng dat a ext end t o about 40, 000h for oxide-
defined stripe A1GaAs LEDs and lasers. These tests at constant input current
show little or no change for the LEDs and less t han a fact or of t wo dr op in
out put for the lasers. The difference in out put of these t wo devices is simply due
to the great er sensitivity of the laser to changes in t he t hermal resistance and
ot her par amet er s because the laser out put is so sensitive to small changes in J,h
when the cur r ent is kept const ant .
2. 6. 4 Cha ng e s in Var i ous Las e r Pa r a me t e r s wi t h Agi ng
The stability of the power out put from a laser is not the onl y r equi r ement for
utility in communi cat i on systems. We also requi re i nf or mat i on concerni ng
some ot her i mpor t ant factors : I) Is the out put linearity const ant ? II) Are t here
lateral mode changes which coul d reduce the coupl i ng efficiency i nt o fibers?
Ill) Does the spectral width change with time'? IV) Are t here oscillations
i nduced in the optical emi ssi on? Definitive answers concerni ng the above
quest i ons cannot as yet be given because the aging propert i es depend on the
t echnol ogy used to pr oduce the devices. However, some i nf or mat i on is
available which reveals pot ent i al probl em areas.
La s e r Di o d e s a n d L E Ds f or F i b e r Op t i c a l C o ml n u n i c a t i o n 59
Consi der first the quest i ons of laser linearity, lateral mode stability and
spectral stability. Available dat a on oxi de-defi ned lasers obt ai ned at RCA
Labor at or i es suggest t hat subst ant i al power degr adat i on (due t o an ~20%
t hreshol d increase) frequent l y also pr oduces lateral mode changes at a given
cur r ent above t hreshol d. Since lateral mode shifts with cur r ent may also
pr oduce kinks in the power emission vs cur r ent curves (see Sect. 2.4.4), the
linearity of these degraded lasers may change t owards t he end of life. However,
the coupl i ng efficiency into mul t i mode fibers need not be subst ant i al l y changed
because the angul ar di vergence of the lateral beam undergoes onl y modest
change. Also, the spectral width may increases with time. It is not uncommon
to find in subst ant i al l y degraded lasers t hat the nul nber of excited l ongi t udi nal
modes increases.
With regard to laser oscillations, Paoli I-2.95] r epor t ed on pr ot on-
bombar ded stripe lasers. He found t hat some devices initially free from
oscillations devel oped oscillations even t hough onl y mi nor changes in thresh-
old cur r ent or differential quant um efficiency occurred. These self-pulsations (at
frequencies between 300 and 600 MHz) occur r ed duri ng cont i nuous operat i on.
It was also not ed in t hat st udy t hat the power emi t t ed from the t wo facets
changes asymmet ri cal l y with aging. This effect coul d be very t r oubl esome in
systems with "opt i cal feedback" where the light emi t t ed from the back of the
laser is used t o mai nt ai n the dc bias at t hreshol d. Since onl y some lasers exhibit
this effect, it is not an i nherent laser pr oper t y but r at her a defect -i nduced
phenomenon which will be event ual l y identified and eliminated.
List of Symbols
~ X f c ~ d ~ o u I
X j
//,
F
An
11
I ] c x t
q~
tip
0j_, 011
2,21,
T
Tr
" ~ n r
T 1 a ~ c r
" C L E D
b
B~
d
Fr e e c a r r i e r a b s o r p t i o n c oe f f i c i e nt a n d a b s o r p t i o n c oe f f i c i e nt i n pa s s i ve r e gi ons , r e-
s pe c t i ve l y [ c m- 1]
Di o d e c o n s t a n t
C o n s t a n t i n ga i n r e l a t i o n wi t h c u r r e n t d e n s i t y
F r a c t i o n o f wa ve i n t e n s i t y i n s i d e t h e a c t i v e r e g i o n
Re f r a c t i v e i n d e x s t e p a t h e l e r o j u n c t i o n
C o u p l i n g ef f i ci ency of d i o d e i n t o f i ber
Di f f e r e nt i a l e x t e r n a l q u a n t u m ef f i ci ency ( l aser )
I n t e r n a l q u a n t u m ef f i ci ency
P o we r ef f i ci ency
Be a m wi d t h a t h a l f - i n t e n s i t y i n t h e d i r e c t i o n s p e r p e n d i c u l a r a n d p a r a l l e l t o t h e j u n c t i o n
p l a n e
Emi s s i o n wa v e l e n g t h
Mi n o r i t y c a r r i e r l i f e t i me
Ra d i a t i v e l i f e t i me
N o n r a d i a t i v e l i f e t i me
O p e r a t i n g t i me f or 20% l a s e r t h r e s h o l d c u r r e n t i n c r e a s e
O p e r a t i n g t i me f or a 50% o u t p u t r e d u c t i o n f r o m a n L E D
La t t i c e c o n s t a n t ( Aao/ a o is t h e mi s f i t s t r a i n )
E x p o n e n t i n g a i n r e l a t i o n wi t h c u r r e n t d e n s i t y
R e c o mb i n a t i o n coef f i ci ent [ c l n 3 s - 1]
Ac t i v e r e g i o n t h i c k n e s s
60 t l . Kr e s s e l et al.
e El e c t r o n c h a r g e
Eg B a n d g a p e n e r g y [ e V]
.~ Di o d e b a n d w i d t h
.q G a i n coef f i ci ent [ c m - l ]
l , l , T h r e s h o l d c u r r e n t [ A ]
J, h T h r e s h o l d c u r r e n t d e n s i t y [ A c m 2]
L F a b r y - P e r o t c a v i t y l e n g t h
N. A. Nu me r i c a l a p e r t u r e o f f i be r
N~ I n j e c t e d e l e c t r o n hol e p a i r d e n s i t y [ c m a]
P0 P o we r e mi t t c d
po, no E q u i l i b r i u m c a r r i e r c o n c e n t r a t i o n s i n a c t i ve r e g i o n ( hol es . e l e c t r o n s )
R F a c e t r e f l e c t i vi t y
R Di o d e s er i es r e s i s t a n c e
S Sur f a c e r e c o mb i n a t i o n ve l oc i t y [ c m s ~]
T O P a r a me t e r d e s c r i b i n g t e mp e r a t u r e d e p e n d e n c e of t h e t h r e s h o l d c u r r e n t (2.12) [ K ]
V, Ap p l i e d v o l t a g e
W S t r i p e wi d t h
Re f e r e nc e s
2.1 A d e t a i l e d a n a l y s i s o f l a s e r d i o d e s a n d h e t e r o j u n c t i o n L E Ds is p r e s e n t e d i n H. Kr e s s e l ,
J . K . B u t l e r : S e mi c o n d u c t o r Las e r s and l t et er r ~j unct i on L E Ds ( Ac a d e mi c Pr es s , Ne w Yo r k
1977)
2.2 H. Kr e s s e l , H. Ne l s o n : " P r o p e r t i e s a n d Ap p l i c a t i o n s of I I I V C o m p o u n d F i l ms De p o s i t e d by
Li q u i d P h a s e Ep i t a x y " , i n Ph y s i c s o f Thi n Fi l ms, ed. by G. I l a s s , M. H . F r a n c o m b e ,
R. W. Ho f f ma n { Ac a d e mi c Pr e s s , Ne w Yo r k 1973)
2.3 F o r a r e vi e w o f t hi s e x t e n s i v e l i t e r a t u r e , see J . . l . Ti e t j e n, V.S. Ba n, R. E. E n s t r o m, 1). R i c h ma n :
,1. Vac. Sci. Tc c h n o l . 8, 56 (1971)
2. 4 A . Y . C h o : J. Vac. Sci. Te c h n o [ . 8, 531 {1971}
2.5 A. Ma n y , Y. Go l d s t e i n , N . B . G r o v e r : Se mi c onduc t or Su#Ji~ces { No r t h - Ho l l a n d , A ms t e r d a m
1965)
2.6 M. E t t e n b e r g , H. Kr e s s e l : J. Appl . Plays. 47, 1538 {1976)
2.7 G . H . O l s e n : Un p u b l i s h e d
2.8 H. Kr e s s e l : J. El e c t r o n . Ma t e r . 4, 1081 (1975)
2.9 M. Et t e n b e r g , G . l l . O l s e n : J. Appl . Phys . 48, 4275 (1975)
2. 10 M. E t t e n b e r g , R. J . Pa f f : J. Appl . Phys . 41, 3 9 2 6 ( 1 9 7 0 )
2. I I See, f or e x a mp l e , R. S a n k a r a n , G. A. Amy p a s , R. L. Mo o n , J. S. Es cher , L . W. J a me s : J. Vac. Sci.
Te c h n o l . 13, 932 {1976) a n d r e f e r e nc e s t h e r e i n t o L P E g r o wt h of I n G a A s P
2.12 C . J . Nu e s e : J. El e c t r o n . Ma t e r . 6, 253 (1977)
2.13 .I.C. D y m e n l : App[ . Phys . Let t . 10, 84 (1967)
2 . 1 4 F . S t e r n : I E E E J . QE- 9, 290 (1973)
2.15 l l . Kr es s el , M. E t t e n b e r g : J. Appl . Phys . 47, 3533 (1976)
2. 16 Th i s is a mo d i f i e d v e r s i o n o f t h e e x p r e s s i o n d e r i v e d by J . R. Bi a r d, W. N . C a r r , B.S. Re e d :
Tr a n s . A I M E 230, 286 (1964)
2.17 H. Kr cssel , H. F. Lo c k wo o d , F . Z . H a w r y l o : J. Appl . Phys . 43, 561 (1972)
2.18 D. L. R o d e : J . Appl . Phys . 45, 3887 (1974)
2.19 A. R. Go o d wi n , J. R. Pet er s , M. Pi o n , G. H. B . T h o mp s o n , J. E. A. Wh i l e a wa y : J. Appl . Plays. 46,
3126 (1975)
2. 20 E . l , e v i n e : U n p u b l i s h e d
2.21 G . H . B . T h o m p s o n , P. A. Ki r k b y , J . E . A . W h i t e a w a y : l E E E J . Q E - l l , 481 (1975)
2.22 H . F . L o c k w o o d : Pr oc . 5t h Bi e nni a l El ect . Eng. Conf . ( Co r n e l l Un i v e r s i t y , I t h a c a , Ne w Yo r k
1975) p. 127
Laser Diodes and LEDs for Fiber Optical Communi cat i on 61
2.23 J. J. Hsi eh: Appl. Phys. Lett. 28, 283 (1976)
2.24 K.Sugiyama, H. Kojima, II. Enda, M. Shi bat a: Jpn. J. Appl. Phys. 16, 2197 (1977)
2.25 G.H.OIsen, C.J.Nuese, M. E!.tenberg: Appl. Phys. Lett. 34, 262 (1979)
2.26 J. J. Hsi eh: Unpublished
2.27 J. C. Dyment , L. A, D' Asaro, J. C. Nort h, B.I.Milter, J.E. Ri pper: Proc. IEEE 60, 726 (1972)
2.28 H.Yonezu, I. Sakuma, K. Kobayashi , T. Kamej i ma, M. Unno, Y. Nannichi : Jpn. J. App[. Phys.
12, 1585 (1973)
2.29 T. Tsukada: J. Appl. Phys. 45, 4899 (1974)
2.30 I . Ladany: Unpubl i shed
2.31 B. W. Hakki : J . Appl. Phys. 46, 2723 (1975)
2.32 T. Tsukada, R. l l oh, H. Nakashi ma, O. Nakada: IEEE J. QE- 9, 356 (1973)
2.33 l . Ladany: J. Appl. Phys. 48, 1935 (1977)
2.34 J.P.Wittke, M. Ettenberg, H.Kressel: RCA Rev. 37, 159 (1976)
2.35 A. J. Afromowitz: J. Appl. Phys. 44, 1292 (1973)
2.36 W.B.Joyce, R.W. I)i xon: J. Appl. Phys. 46, 855 (1975)
2.37 T. Kobayashi , G. l wane: Jpn. J. Appl. Phys. 16, 1403 (1977)
2.38 M. Ettenberg, H.F. Lockwood: To be published
2.39 M. Et t enberg: Appl. Phys.- Lett. 32, 724 (1978)
2.40 See, for example, P. A. Kirkby, A. R. Goodwi n, G. H. B. Thompson, P. R.Selway : IEEE J. QE-
13, 705 (1977)
2.41 K. AiM, M. Nakamura, T. Kuroda, J. Umeda, R. Itoh, N. Chi none, M. Maeda : IEEE J. QE-14,
89 (1978)
2.42 D. Botez: App[. Phys. Lett. 33, 87 {1978)
2.43 D.R.Scifres, W.Streifer, R. D. Bur nham: IEEE ,1. QE-14, 233 (1978)
2.44 N.S. Kapany : Fiber Optics (Academi c Press, New York 1976)
2.45 E. Sni t zer: J. Opt. Soe. Am. $1, 491 (1961)
2.46 H.Kogelnik, T. Li : Pr oc. l EEE54, 1312 (1966)
2.47 L. Cohen : Bell Syst. Tech. J. 51, 573 (1972)
2.48 H. Kogelnik: Proc. Syrup. on Quasi-Optics, ed. by J. Fox (l' olyteclmic Press, Brooklyn, NY
1964)
2.49 D. N. Payne, W. A. Gambl i ng: Electron. Lett. I I . 176 (1975)
2.50 K.S. Kamm, H. M. Schl ei ni t z: Conf. on Laser and Electron-Optical Systems, San Diego, CA
(1978)
2.51 I. Ladany: J. Appl. Phys. 42, 654 (1971)
2.52 E.G.Dierschke, L.E.Stone, R.W. Haisty: Appl. Phys. Left. 19, 98 (1971)
2.53 C.A.Burrus, B.l.Mitler: Opt, Commun. 4, 307 (1971)
2.54 M. Et t enbe, g, K. C. Hudson, H. F. Lockwood: IEEE J. QF,-9, 987 (1973)
2.55 H. Kressel, M. Eltenberg: Proc. IEEE 63, 1360 (1975)
2.56 A. W. Mabbi t t , R. C. Goodfellow: Electron. Lett. 11, 274 (1975)
2.57 M.Abe, I. Umeda, O. Hasegawa, S. Yamakoshi, T. Yamaoka, T. Kolani, H. Oskada,
H. Takahashi : 1EEE T,'ans. ED-24, 990 (1977)
2.58 F. D. King, J.Straus, D.1.Szentesi, A. J. Spri ngl horpe: Proc. IEEE 123, 619 (1976)
2.59 M. Ellenberg, H.Kressel. J. P. Wi t t ke: IEEE J. QE-12, 360 (1976)
2.60 D. Marcuse: IEEE. I. QE-13, 819 (1977)
2.61 T.P.Lee, A. G. Dent ai : IEEE J. QE-14, 150 (1978)
2.62 A.G. Dentai, T.P. Lee, C.A.Burrus, E. Buehler : Electron. Left. 13, 484 (1977)
2.63 C.J.Nuese, G. l l . Ol sen: Unpubl i shed
2.64 J. P. Wi t t ke: RCA Rev. 36, 655 (1975)
2.65 W. P. Dumke : [ EEE J. QE-11, 400(1975)
2.66 D. Gl oge: Appl. Opt. 10, 2252 (1971)
2.67 J. Col vi n: Oplo-e[ectronics 6, 387 (1974)
2.68 T. P. Lee: Bell Syst. Tech. J. 84, 53 (1975)
2.69 Y.S.Liu, D. A. Smi t h: Proc. IEEE 63, 542 (1975)
2.70 H. Namizaki, H. Kan, M.Ishi, A. l t oh: Appl. Phys. Lett. 24, 486 (1974)
2.71 H.Kressel, M. Ettenberg: Appl. Phys. Lelt. 23, 511 (1973)
62 H. Kressel et al.
2.72 D. Gl ogc: I EEE Trans. MTT-23, 106 (1975)
2.73 M. Et t enberg, lq.S. Sommcrs, Jr., lq. Kressel, H. F'. Lockwood: Appl. Phys. Lett. 18, 571 1971)
2.74 B. W. Hakki , F. R. Na s h : J. Appl . Plays. 45, 3907 (1974)
2.75 H. Kr essel , I . La da ny: RCA Rcv. 36, 230 (1975)
2.76 T. Yuasa, M. Ogawa, K. Endo, H. Yonezu : Appl. Phys. Lett. 32, 119 (1978)
2.77 1. Ladany, M. Et t enberg, H. F. Lockwood, 1t. Kressel : Appl. Phys. Lett. 30, 87 (1977t
2.78 M. Et t enberg, H. Kressel, I-I.F. Lockwood : Appl. Phys. Lett. 25, 82 (1974)
2.79 H. Kresscl, M. Et t cnber g, H. F. Loc kwood: J. El ect ron. Mat er. 6, 467 (1977)
2.80 D. Newman, S. Ritchie, S. O' Har a: I EEE J. QE-8, 379 (1972)
2.81 B. C. DeLoach, B.W. Hakki , R.L. Har t man, L. A. D' As a r o: Proc. IF, EE 61, 1042 (1973)
2.82 P. Petrofl, R. L. Ha r t ma n: Appl. Phys. Lett. 23, 469 (1973)
2.83 R. D. Gol d, L. R. Wci sber g: Sol i d-St at e El ect ron. 7, 811 (1964)
2.84 D.V. Lang, L.C. Ki mmer l i ng : Plays. Rcv. Le~t. 33, 489 (1974)
2.85 H. Kressel , H. Bycr, H. F. Lockwood, F. Z. Hawr yl o, H. Nel son, M. S. Abr ahams, S.H.
McFar l ane: Met. Trans. 1, 1635 (1970)
2.86 A.A. Bergh : Proc. 8th Annual Reliability Phys. Conf. ( I EEE Cat al og 70C59- Phy, 1970) p. 48
2.87 1. Ladany, H. Kresscl : Appl. Plays. Lett. 25, 708 (1974)
2.88 R. L. Har t man, A. R. I qar t man : Appl. Plays. Lett. 23, 147 (1973)
2.89 I. Ladany, II. Kressel : Gallium Atwenide and Related Compounds 1974 (Inst i t ut e of Phys. Conf.
Series No. 24, 1974) p. 142
2.90 M. Et t enbcrg, C.J. Nuese : J. Appl. Plays. 46. 2137 (1975)
2.91 H. Kressel , M. Et t enberg, I. Ladany : Appl. Plays. Lett. 32, 305 (1978)
2.92 R.L. Har t man, R.W. Di xon: Appl. Plays. Lett. 26, 239 (1975)
2.93 M. El t enber g: Unpubl i shed
2.94 R.L. I l ar t man, N. E. Schumaker , R. W. Di xon : Appl. Plays. Lett. 31, 756 (1977)
2.95 T. L. Paol i : I EEE J. QE-13, 351 (1977)
2.96 R. C. Goodf el l ow, A.W. Mabbi t t : El ect ron. Lett. 12, 51 (1976)
3. Phot odet ect ors
D. P. Schinke, R. G. Smith, and A. R. Har t man
With 12 Figures
Thi s chapt er describes phot odet ect or s useful in fiber opt i c systems. These
det ect ors conver t the received opt i cal power into an electrical cur r ent which is
amplified and processed to deliver i nf or mat i on in a useful format. The bulk of
this chapt er deals with solid-state det ect ors fabricated in silicon since t hey are
t he det ect ors of choi ce at opt i cal wavelengths of 0.8 to 0.9 gin, t he oper at i ng
wavel engt h of cur r ent fiber systems. Both simple phot odi odes and aval anche
phot odi odes with i nt ernal cur r ent gain are discussed. Each has appl i cat i ons
t hat are suited to individual propert i es. The basic physical charact eri st i cs are
discussed in rel at i on t o t hei r effect on system performance. Longer optical
wavelengths of 1.0 to 1.6 gin are of interest because the glass fiber propert i es of
at t enuat i on and dispersion are bet t er in this range of wavel engt hs [3. 1, 2]. A
l at er section reviews cnrrent t rends in phot odet ect or s suitable for these
wavelengths. Of course, t here is a much br oader range of phot odet ect or s t hat is
not discussed here. The reader is referred elsewhere for review articles [3. 3-6].
3.1 Simple Photodiode Structures
Silicon phot odi odes which per f or m in the visible and near i nfrared have been
commerci al l y available for many years. The st ruct ure and fabri cat i on of these
devices have reached a mat ur e stage of devel opment following st eady advances
of silicon t echnol ogy. Thr ee st ruct ures are shown in Fig. 3.1 : a) the p-n j unct i on ;
b) the p-i-n di ode havi ng a high resistivity "i nt ri nsi c" layer bet ween p+ and n +
cont act s; and d) the met al - s emi conduct or diode. The p-i-n can also be
i l l umi nat ed f r om the side (c) r at her t han t hr ough a cont act .
3.1.1 Response
Quant um efficiency is the first consi derat i on in a phot odi ode, i.e., the effective
col l ect i on of phot ogener at ed carriers by a depl et ed volume. A reverse-biased
j unct i on depleted to a dept h W capt ures [-1 - e x p ( - cz W)] of the light t hat enters
t hat vol ume where ~ is the absor pt i on coefficient of t he material. A gr aph of the
absor pt i on efficiency of silicon vs wavel engt h is shown in Fig. 3.2 using W as a
paramet er. The gr aph uses t he absor pt i on dat a of Dash and Newman [3.7] as
present ed by Sze [3.8]. One can see t hat a depl et i on width of 30 to 50~tm is
64 D, P. Schinke et al.
/ M E T A L A N T I R E F L E C T I O N o
/ CONTACT\ COATING ( t 025 A si02)
/ / P + P +
.... i"X , i slo2-.'-:-.'--~-,: ~ ,~:. ......
5 ; - LAYER n + "
(a) ( b )
A N T I R E F L E C T I O N
/ M E T A L ' - . h ~ ~J C O A T I N G
i ~ " . . . . ; . . . . . . . . . . . J ] ~ o .~r/'za
................... n+~R E ~ ) ( T H I N n + , S E M I T R A N S P A R E N T
F L E C T I O M E T A L L A Y E R
C O A T I N G
( c ) ( d )
Fig. 3. 1a-d. Cons t r uct i on of di fferent hi gh- speed phot odi odes . (a) p - n di ode; ( b) p - i - n di ode:
(c) p i n di ode with i l l umi nat i on paral l el to the j unct i on; (d) met al s emi conduct or di ode [3.3]
10
?
I'
ua 0 . t
E
t t l
g
o
. 01 - I - I
0 . 5 0 . 6 0 . 7 0 . 8 0 . 9 1 . 0 t , 1
1 0 0 ~ m
50/xm
WAVELENGTH (MICROMETERS)
Fig. 3.2. Abs or pt i on efficiency of a
wi dt h W in silicon at 2 5 ' C as a
funct i on of t he opt i cal wavel engt h.
r h e curves are col nput ed usi ng tile
dat a of l-3.7] and do not i ncl ude
surface refl ect i ons
n e e d e d f or h i g h a b s o r p t i o n e f f i c i e nc y a t 0. 8 gi n. T h e e f f i c i e nc y fal l s r a p i d l y f o r
2 > l . Og m, a l t h o u g h s i l i c on d i o d e s wi t h d e e p d e p l e t i o n l a y e r s c a n be us e d t o
d e t e c t l i ght a t 1.06 g i n [ 3. 9] . T h e ne t q u a n t u m e f f i c i e nc y r / mu s t a l s o a c c o u n t f o r
t h e r e f l e c t i v i t y o f t h e e n t r a n c e f a c e r~ a n d t h e l os s o f c a r r i e r s a b s o r b e d i n t h e
f r o n t c o n t a c t o f t h i c k n e s s d 1. T h u s
r / = ( 1 - r l ) ( e - ~"') (1 - e - ~ w ) ( 3 . 1 )
Photodetectors 65
in a device using a single pass of t he light beam. A subst ant i al fract i on of the
carriers pr oduced in the front cont act may be collected by diffusion. The
responsi vi t y is
q2
R=q h c [ A. W- ~] . (3.2)
A conveni ent bench mar k is R= I . 0 for r / =l . 0 at 2=1. 24gm. In practice,
silicon phot odi odes with thin cont act s (dr < 1 lam) and an ant i refl ect i on coat i ng
on the ent r ance face can achieve efficiencies q >0. 9 at fixed wavel engt hs in the
0.8 to 0. 9gi n spectral region, with cor r espondi ng responsivities of 0.5 t o
0.6 A- W- L For a given reverse bias voltage, t he depl et i on width W is di rect l y
pr opor t i onal to the square r oot of resistivity ~?/2, and efficient oper at i on at low
bias vol t age requires high resistivity material. For p-t ype silicon with resistivity
~ 100f~-cm, 10V bias depletes the j unct i on to a dept h W,,~ 10gm.
3. 1. 2 Reverse Currents
The reverse cur r ent of the device in the dar k arises from t wo sources: I)
gener at i on- r ecombi nat i on current s in t he depleted vol ume and mi nor i t y
col l ect i on at t he edge of the depl et i on region and II) surface leakage currents.
Cur r ent s generat ed in bul k silicon can be kept low by using high puri t y silicon
and using care in processing t o avoi d i nt r oduci ng crystalline defects. Bulk
current s as low as 2 x 10 ~ A. mm -3 can be achieved. Surface leakage on
silicon det ect ors can be reduced by passi vat i on techniques. Cur r ent s as low as
2 x 10- ~ A. mm- ~ of peri phery at 10V bias have been achieved [3.291. Since
the t ot al dar k cur r ent of the phot odi ode produces shot noise <i 2> = 2qIDB ,
where B is t he effective bandwi dt h of the receiver, this cur r ent must be as low as
possible. In practice, small area, well-designed silicon phot odi odes are not the
noise limiting el ement in communi cat i on systems. A mor e compl et e discussion
of receivers and receiver design can be found in Chap. 4. A system designer
must be aware t hat dar k cur r ent is dependent upon t emperat ure. The exact
vari at i on of dar k cur r ent with t emper at ur es is det ermi ned by the device
structure, p-i-n di odes fabri cat ed by a process, to be descri bed later, have
Iocexp-(A/ l <T) where A =0. 7 eV, k=8. 62 x 10 5 eV. K ~ and Ti s the absol ut e
t emperat ure. In the range of r oom ambi ent to 70C, this cor r esponds to an
or der of magni t ude increase in dar k cur r ent for each 30 C rise in t emperat ure.
3. 1. 3 Speed of Response
The internal device characteristics which affect speed of response are the width
of t he depl et i on region and the magni t ude of the electric field within t hat
region. In a fully depleted p-i-n di ode Wi s fixed by the wi dt h of t he i layer. The
66 D.P. Schinke c t a].
drift velocity of carri ers is linearly pr opor t i onal to electric field for E less t han
104V-cm ~. At hi gher fields, the el ect rons and holes appr oach maxi mum
velocities of 8. 4x l0 ~ and 4. 4x 10~'cm s -~, respectively. Thus, for a lightly-
doped i region, t ~ = W/ v . . . . and 1 ns response in a device with W= 50gna
requires ~ 50 V.
Capaci t ance is anot her fact or which must be reduced for a good receiver
performance. The capaci t ance of a pl anar area A depleted to a dept h W is
C=~; o KA. W I wh e r e ~ : o =8 . 8 5 x 1 0 - 1 2 F- m ~ and K=1 1 . 7 for silicon. Chi p
capaci t ances of 1 pF are readily achievable. The ext ernal l oad resistance R also
affects the response time t hr ough the chip capaci t ance
t = R c . (3.3)
The thickness of the active region of a device is a t rade-off between the
compet i ng effects of fast transit time requi ri ng a nar r ow depl et i on region and
the combi nat i on of quant um efficiency and low capaci t ance which requi re a
wide depl et i on region. In addi t i on, a desire for low dar k cur r ent requires a
srnall area and mi ni mum depleted vol ume, but the effective coupl i ng of light
from an optical fiber or fiber bundl e places a mi ni mum bound on the area. A
small det ect or area also minimizes capaci t ance allowing a larger load resistance
for a given response time.
3.1.4 Linearity
Reverse-biased phot odi odes have a highly linear cur r ent out put which is
pr opor t i onal to i nput optical power over 6 decades or mor e of phot ocur r ent .
The first effect of high optical power is a decrease of the electric field across the
depl et i on region. This does not initially reduce the quant um efficiency, but can
decrease the carri er velocity and l ower the frequency response. Details of the
sat ur at i on behavi or depend upon the individual device structure, resistivity,
cont act resistance and illumination condi t i ons. Sat urat i on is not expect ed to be
a pr obl em for systems which oper at e at received opt i cal power levels of 1 mW
or less.
3. 2 Aval anche Phot 0di odes ( APD)
Phot odi odes which cont ai n a region of high electric field show aval anche
mul t i pl i cat i on of phot ogener at ed carriers. The cur r ent delivered to the di ode
cont act s is hi gher than the pr i mar y cur r ent generat ed by the incident light. This
internal cur r ent multiplication, which can at t ai n values of 100 )r mor e in well-
designed silicon diodes, subst ant i al l y increases the sensitivity of an optical
receiver above t hat of a receiver cont ai ni ng a nonmul t i pl yi ng phot odi ode. The
chip generally is the same small size, but operat es under different bias
I n I p
X t X 2
M U LTIP LIC A TIO N - ~ I
p+
4 -
x 3 x 4
d
1< DRIFT ~l
DEPLETION
Phot odet ecl or s 67
l
Fig. 3.3. Schemat i c r cpr esent al i on
of a reach t hr ough avakmchc di ode
st r uct ur e
condi t i ons. The aval anche det ect or requi res hi gher bi as vol t ages to mai nt ai n a
hi gh electric field. The i nt ernal cur r ent gai n is not a l i near funct i on of the
appl i ed vol t age and is sensitive to t emper at ur e. The aval anche process
i nt roduces noise in excess of the shot noise due to the cur r ent flowing in the
device. Thi s excess noise depends upon the mat eri al , device st ruct ure, gain and
i l l umi nat i on condi t i ons and is the f act or which ul t i mat el y limits the device
per f or mance at high gain. Webb et al. [3.10] have descri bed the pr oper t i es of
aval anche di odes wi t h det ai l ed consi der at i on of silicon devices. A compr e-
hensive revi ew of aval anche phot odi odes which includes devices for several
wavel engt hs is given by Slillman and Wo![e [3.11].
3.2.1 Principles of Operation
I mpact i oni zat i on is the basi c phe nome non for mul t i pl i cat i on of el ect rons and
holes in high electric fields. The pr obabi l i t i es t hat an el ect ron and a hol e will
have an ionizing collision in a di st ance dx are ccdx and #dx, respectively, where
c~ and p are the i oni zat i on coefficients. These coefficients are exponent i al
funct i ons of field E [3.12 16], and explicit expressi ons i ncl udi ng the t emper a-
t ure dependence in silicon and ger mani um are given by Crowell and Sze [3.17].
In or der to have an i oni zi ng collision, the car r i er must at t ai n a t hr eshol d energy
which is about 1.5 to 1.8 times the bandgap energy. Since the pr obabi l i t y for a
scat t eri ng collision is much gr eat er t han for an ionizing collision, the i oni zat i on
coefficients decrease wi t h i ncreasi ng t emper at ur e and the aval anche gai n al so
decreases for a given electric field. In silicon, c > fl by an or der of magni t ude or
mor e for fields less t han 3 x 10 5 V c m- ~. The magni t udes and rat i os ofc~ and fl
are consi der abl y different in ot her mat eri al s. Chynoweth [3.18] has revi ewed
i oni zat i on phenomena in semi conduct or s.
3. 2. 2 Structures
Consi der tile schemat i c aval anche phot odi ode st r uct ur e of Fig. 3.3"' which
consi st s of an n + cont act bet ween x] and x 2, a p- t ype mul t i pl yi ng region
68 D P Schinke cl al.
SILICON n + - p - T/ ' - p +
AVALANCHE PHOTODIODE
hz.,' /-~ A NT I REFLECTI ON COATI NG
r / / / / / ~ i -/ ~ ~"/ / / / J
g / I . - " " ; / / A g,4
I I"i g. . 3. 4. Cr oss- sect i onal view of
50/ . Z 77- E p i , / O > 3 0 0 9 . c m
p + S UB S T RA T E
epimxialsiliconn + p - x p~ awt-
lanchc photodiode made for illu-
mination t hr ough 1he n + conlacl
layer. DilllOllSions ~lrC? 11(/I t('J SC~.llc
( Copyr i ght 1978 AT & T Co. Re-
pr i nt ed by per mi ssi on tom t he
Bell System T~,chnical JolrrlT~g)
between x 2 and x3, a drift space from x~ to x 4 where tile p+ cont act begins.
Aval anche occurs in tile high-field region. In oper at i on under reverse bias the
depl et i on region ext ends compl et el y from the n + to the p+ cont act s. When a
phot o- gener at ed electron hole pair is created, el ect rons are injected i nt o the
mul t i pl yi ng region if all light is absor bed to the right of the mul t i pl yi ng region
( x>x3) . Similarly, hole injection occurs for light absor bed to the left ( x<x2)
and mixed injection of bot h carriers occurs when light is absor bed within the
aval anche region. In general, lowest noise oper at i on occurs when onl y the
carri er with the highest i oni zat i on coefficient is injected into the mul t i pl yi ng
region. The shape and position of t hat region as well as the absor pt i on of light
must be opt i mi zed for each mat eri al to achi eve the highest performance. Silicon
det ect ors are generally designed so t hat el ect rons are the principal carri er to
under go multiplication. Silicon aval anche diodes have been fabricated in a
variety of st ruct ures : p-n j unct i ons [3.19, 23], mesas [3.24], Schot t ky barri ers
[3.25, 26], and met al - oxi de semi conduct or st ruct ures [3.27].
At wavelengths in the 0.8 to 0.91.un spectral region, the large optical
absor pt i on dept h in silicon makes a R e a d [3.28] or r e ac h- t hr ou. qh [3.10]
st ruct ure an opt i mal structure. Thi s st ruct ure has a wide drift region for
collecting phot ocar r i er s alld a smaller aval anche region ar r anged for maxi mum
injection of electrons r at her t han holes. A cross section of a r each- t hr ough
det ect or fabricated on high resistivity epitaxial silicon material [3. 29, 30] is
shown in Fig. 3.4. A diffused guard ring prevents edge br eakdown at the
peri met er of the mul t i pl yi ng j unct i on. A p+ channel st op sur r ounds the
det ect or to prevent surface inversion layer leakage and to limit the lateral
spread of the depl et i on layer. A wide depl et i on region, relatively thin n ~
cont act layer and antireflection coat i ng form a highly efficieht det ect or. The
principal carriers reachi ng the j unct i on are el ect rons al t hough some holes are
injected by light absor bed near the surface and t hr oughout t he mul t i pl yi ng
region. A well-controlled ion i mpl ant at i on and diffusion form the mul t i pl yi ng p
Photodetectors 69
I00
i i , { i i i 1 i i 1 I i i |
0oe
Z
_o
I -
-3 tO
' 1 . e I 1 i i i i i I I I I I i I
0 I00 200 300
BIAS VOLTAGE
Fig. 3.5. Photocurrcnt muhiplication as a flmction of reverse bias in the reach-through
structure of Fig. 3.4. Unity multiplication is taken at FR =20 V.
region. Appr opr i at e nitride passi vat i on and metallized cont act s compl et e the
structure. The met al l i zat i on is ext ended beyond the n + guar d ring and p+
channel st op to form field plates t hat reduce the surface electric fields and
i mpr ove the reliability of the aval anche phot odi ode. Because of the high
operat i ng vol t age of up to ~400 V, aval anche det ect ors are usually packaged in
a hermet i c envi r onment [3.29].
The n +-p-a-p + aval anche phot odi ode can bc realized in several st ruct ures
by the use of al t ernat e processing technologies. In addi t i on to the epitaxial
st ruct ure of Fig. 3.4, the APD can be fabri cat ed in bulk, float zone material
which is t hi nned to ~ 75 IJm t hr ough polishing and etching. The device can also
be mesa et ched to reduce surface electric fields and capaci t ance. Mor e details of
the fabri cat i on t echnol ogy are present ed in Sect. 3.3.
3.2.3 Response
The phot ocur r ent mul t i pl i cat i on (gain) as a funct i on of vol t age in the above
st ruct ure is shown in Fig. 3.5. The responsi t i vi t y R - = ~ l M ( V ) q ) o / h c ; ~l is the
device efficiency with uni t y gain. At low reverse bias, the p region is onl y
part i al l y depleted, the device has 11o gain and carri ers are not collected at high
speed from undepl el ed material. As the vol t age is increased, the depl et i on layer
"sweeps out " the p region and the device gain rises in a sharp knee. As t he
voltage is furt her increased, the depl et i on l ayer "reaches t hr ough" the lightly
doped 7r region and the device operat es efficiently at high speeds. When the
mot i on of the depl et i on region becomes pi nned by the p+ cont act , the applied
70 D.P. Schinke e t al .
vol t age raises the internal electric field in the p region as well as in the rt region
and increases the gain cont i nuousl y to values of several hundr ed near reverse
br eakdown. A functional form for the mul t i pl i cat i on curve has been given by
M i l l e r [3.31]
M - (3.4)
' ( L;
where Vbr is the reverse br eakdown vol t age and n is an empirically det er mi ned
exponent (n < 1) which depends upon the device st ruct ure, the det ect or material
and the i l l umi nat i on condi t i ons. Equat i on 3.4 provi des a good appr oxi mat i on
to the gain above the "knee". The exponent n for mul t i pl i cat i on in an abr upt
j unct i on has been related to ~, [: and the j unct i on width for a wide range of
phot oexci t at i on [3.32]. Subst ant i al mul t i pl i cat i on is obt ai ned in the n +-p-n-p +
di ode over a wide range of voltages because the ~ region is much wider t hau the
mul t i pl i cat i on rcgion. The phot ocur r ent gain depends upon t emper at ur e, in
general decreasi ng for an increase ill t emperat ure. Temper at ur e effects in reach-
t hr ough st ruct ures have been studied by C o n r a d i [3.33] who descri bed tile gain
curves using the explicit t emper at ur e dependence of e and fl and a detailed
knowl edge of device structure. Excellent agreement was found bet ween t heor y
and experi ment . Al t hough the pr ocedur e yields accurat e results, the com-
put at i ons are lengthy. An appr oxi mat e descri pt i on of the t emper at ur e de-
pendence results from i nt roduci ng T linearly into the br eakdown vol t age and
tile exponent n
V~,r = Vu,, + a ( T - T o )
n = no + b( T - To).
( 3 . 5 )
In r each- t hr ough structures, a and b are positive and can be readily obt ai ned
from experi ment al l y measured curves.
3. 2. 4 Speed of Response
Oper at i on of phot odi odes at t he highest speeds requires full depletion. If
carriers are generat ed in undepl et ed material, they are collected relatively
slowly by diffusion over times compar abl e with the mi nor i t y carri er lifetime
and pr oduce a long "diffusion tail" on a short optical pulse. When fully
depleted, most det ect ors oper at e at electric fields E > 104V. cm -1 and carriers
move at sat ur at i on limited velocities. The response time of aval anche phot o-
diodes is limited by t wo effects : a) the time for carri ers to compl et e the process
of mul t i pl i cat i on ; and b) the t ransi t time of carri ers across the depl et i on width.
Aval anche phot odi odes typically exhibit it slightly asymmet r i c pulse shape with
Photodeteclors 71
5 . 0
i . ~ 3 . 0
m 2 . 0
k
1 . 0
- r "
~ 0 . 5
121
Z
m~0. 2
~0. 1
,'-, . 0 5
L I , , I
N
J
. 0 2
o
z . 0 1
.0O
- ~ . 5 . t 0 3
_ ~ 2 ' 1 0 3
M o = a / / ~ ""
~
\ 5 . 1 0 2
~\ z.lo z
- % N ~ t 0 2
N N % , , . \ 5'101
ELECTRON INJECTION,
HOLE I NJ E CT I ON, /~/cz 2"101
[ I I L I l l l l I I I I l t i l l 1 ~ 1 t " l ~ t l
5 10 5 0 1OO 5 0 0 1 0 0 0
AVALANCHE MU L T I P L I C A T I ON M 0
Fig. 3.6. Theoretical 3 dB bandwidth B times 2nt,,Jt,,,. = average carrier transit lime) of an awdanche
photodiode plotted as aft, nction of the Iow-fi'cqucncy multiplication factor Mo, for wlrious values
of 7/[L Above the dashed curve, bandwidth is nearly independent of gain; below the dashed
curve, a constant gain bandwidth product applies [3.34]
a fast rise t i me as el ect rons are col l ect ed and a fall t i me det er mi ned by the
t ransi t t i me of holes movi ng at a sl ower velocity. E m m o n s [3.34] has cal cul at ed
the - 3 d B bandwi dt h B of a mul t i pl yi ng regi on nor mal i zed to t he aver age
carri er t ransi t t i me with t he rat i o of hol e injection to el ect ron injection as a
par amet er . These results are shown in Fig. 3.6. The dashed curve is for
M o = o~/[L When M o > ~//3 (in tile regi on bel ow tile dashed line), the curves are
st rai ght lines i ndi cat i ng a const ant gai n bandwi dt h pr oduct and a depeudence
of mul t i pl i cat i on on frequency of the f or m
m 0
M(o~) ~, [ l . . . . . 211/ ' ' (3.6)
where z I is an effective t ransi t t i me t hr ough the aval anche region. Tile si mpl est
funct i onal f or m t hat descri bes the effective t ransi t t i me is
r I = N ( ~ / f l ) r 2 , (3.7)
where r 2 is the act ual t ransi t t i me t hr ough the aval anche region and N is a
numbe r sl owl y varyi ng f r om N = 1/3 to 2 as [3/oc ranges f r om 1 to 0.001.
Signal di st or t i ons due to the hi gh-fi ' equency r esponse of silicon aval anche
di odes have been studied by K r u m p h o l z [3.35]. Di odes with gai n bandwi dt h
72 D.P. Schinke et al .
product s of 200 GHz have been const ruct ed which showed pulse halfwidths of
0. 6ns for M up to 330 using light with 2 = 0 . 9 g m [3.36]. Kaneda et al. [3.37]
have r epor t ed measurement s of the aval anche bui l d-up time as a funct i on of the
width of the aval anche region and the i l l umi nat i on wavelength. They find
r l ~ 5 1 0 ~3s which relates to the total aval anche bui l d-up time t=r.~M.
Similar measurement s have been performed on ger mani um APDs which show
z I ~-5 10-~-' s [3.383. In practice, highly efficient silicon devices oper at i ng in
high sensitivity fiber opt i c systems will be limited mor e by the RC-t i me
const ant and the carri er t ransi t time t han by the aval anche gain bandwi dt h
product . Novel st ruct ures have been fabri cat ed which have short pat hs for
carri er collection but possess relatively long optical absor pt i on distances
creat ed by multiple internal reflection or diffraction gratings [3.39,403.
14owever, fiber systems oper at i ng at bit rates of several hundr ed Mbi t , s - l or
less can accomodat e efficient, low-noise st ruct ures t hat have pulse rise times of
1 i ' l S .
3 . 2 . 5 N o i s e i n A v a l a n c h e P h o t o d i o d e s
When the aval anche di ode is oper at i ng at an average gain of M, not all
phot ogener at ed pairs are multiplied by exactly M. Ther e is a di st ri but i on of
gains which is pr oduced by the statistical nat ur e of the aval anche process. This
di st ri but i on of gains i nt roduces noise into the mul t i pl i cat i on process. Mclntyre
[3.41] has derived an expression for the noise spectral densi t y in a spatially
uni form aval anche diode. This noise spectral densi t y can be calculated if the
i oni zat i on rates and the electric field are known at every poi nt within the
depl et ed region.
If a pr i mar y cur r ent I 0 is injected into the aval anche region, the spectral
densi t y of the shot noise in the multiplied cur r ent is given by
d
r!l (i2> = 2ql (M2)' ( 3 . 8 )
where (M 2) is the mean square value of thc carri er multiplication. This
expression can be put in an equi val ent form
d
d l ~ (i2> = 2ql MZF(M)' (3.9)
where M = ( M) , and F(M), known as the excess noise factor, is the amount by
which the noise exceeds t hat of an ideal cur r ent multiplier.
The value of F(M) depends upon the detailed characteristics of the j unct i on
and upon the nat ure of the pr i mar y exci t at i on : hole injection, el ect ron injection
or mixed injection. By appr opr i at el y weighting the i oni zat i on rates over the
electric field profile, an effective rat i o of i oni zat i on coefficients, k<,rr = (/]/c~)~ff can
Photodetectors 73
be defined. When the aval anche is initiated with the most highly ionizing carri er
[3.40],
F ( M) =M 1 - ( 1 k e r r ) )2 (3.10)
which is given to a good appr oxi mat i on by
F( M) = 2(1 - k~rr) + k~rrM .
(3.11)
A graph of F( M) vs M for several values of k c f r is shown in Fig. 3.7.
Experi ment al results have been shown to be in good agreement with this
anal yt i cal form.
A low excess noise fact or requires a large rat i o of the i oni zat i on coefficients
of t wo carri er species and also requires t hat t he aval anche be initiated by the
carri er with the largest i oni zat i on coefficient. In silicon, this requires a device
design which initiates the aval anche with electrons.
Anot her charact eri st i c of the statistical nat ure of the aval anche multipli-
cat i on process is the nongaussi an di st ri but i on of aval anche gains. The shape of
the di st ri but i on funct i on is such t hat aval anche gains larger t han the average
val ue occur with great er probabi l i t y t han t hat charact eri st i c of a gaussian
process with a vari ance given by (3.8). Theoret i cal expressions for the distri-
but i on of aval anche gains have been deri ved by Mc l n t y r e [3.42] and
experi ment al l y confi rmed by Com' adi [3.43]. Under some circumstances, this
nongaussi an char act er can affect receiver performance. In pract i cal digital fiber
systems, the principal effect is a reduct i on in the opt i mum aval anche gain and a
shift in the opt i mum decision level. As discussed in Chap. 4, the use of a
gaussian appr oxi mat i on is valid under most circumstances.
The excess noise fact or for an APD is not an i nvari ant characteristic. It
depends upon the mat eri al propert i es t hr ough the electric field dependent
i oni zat i on rates. It also depends upon the st ruct ure and shape of the j unct i on. A
simple exampl e of the shape effect is illustrated in Fig. 3.8 which shows an ideal
mul t i pl yi ng region in silicon of width W with a const ant electric field. The
numeri c eval uat i on was made using the expressions of Webb et al. [3.10]. For
each width IV,, the magni t ude of the electric field is adjusted to give an average
gain of 100 for t wo cases: I) onl y el ect rons injected i nt o the region as woul d be
obt ai ned by i l l umi nat i on fi'om the back; and II) mixed injection of carriers
t hr oughout the st ruct ure t hat is pr oduced by light at 0.8 lain incident t hr ough
the n + cont act (see Fig. 3.3 also). Even for pur e electron injection, a t hi nner
j unct i on produces mor e noise t han a wi der j unct i on because :~ and fl for silicon
become nearl y equal at the high electric fields requi red to pr oduce an average
M = 100 in a short distance. In the case of mixed injection, the excess noise
fact or is higher t han for pure el ect ron injection but it goes t hr ough a mi ni mum.
If the mul t i pl yi ng region is very broad, a large fraction of the mul t i pl i cat i on
results from holes and the excess noise fact or increases. For a given j unct i on
7 4 D.P. Schinke el al .
1 0 0
5 O
rY
I- k e f f =/1
o 2 O
, , <
LLI
m 1 0
5
z
5
(.rJ
W
C)
x
w 2
J I ~ l l I I I I I I I I I I I I
5 '10 2 0 5 0 4 0 0 : ~ 0 0 5 0 0
A V E R A G E G A I N M F i g . 3 . 7 . E x c e s s n o i s e f a c t o r I , "
a s a f u n c t i o n o f a v e r a g e p h o l o -
c u r r e n t g a i n w i t h k , . a s a p a r a m -
e t e r . L o w - n o i s e o p e r a t i o n a t
l a r g e w d u e s o f M r e q u i r e s k~u
2 2 1 1 ' 'FIEt..D PROFILE n ' p - i - p * S ' A'PD I ' t o b e a s s m a l l a s p o s s i b l e [ 3. , 0~]
/ 1 1 8 a l I I
, o L i l F
I l l I I I
III
t 6 t - I I
| I ~ - - F R O N T ILLUMINATION
li~ x : e o o o ~ , n = 9 ~ 9 O / o
1 4 r i i / - - - - P U R E ELECTRON IN JEC TIO N
8 X
k
\
6
4
2
0 I
0
\
%.
M = 1 0 0
I i I L I i I I
2 4 6 8 '10
w {y,m)
F i g . 3 . 8 . D e p e n d e n c e o f t h e
e xc e s s noi s e ; a c t o r o n s t r u c t u r e
o f t h e m u l t i p l y i n g r e g i o n . For
e a c h w i d l h 14/, t h e a m p l i t u d e o f
t h e e l e c t r i c f i e l d i s a d j u s t e d 1o
g i v e a n a v e r a g e g a i n o f 100
Phot ode t e c t or s 75
16
I f f / ~ SILICON n + - p - ' r r - p + 4
2 ~ r ~ - AVALANCHE PHOTODIODE "~
0 | I I I I I I I I I I I I
0 20 40 60 80 100 120 140 t 60 180 2 0 0 220 240
MULTIPLICATION (M)
Fig. 3.9. Excess noi s e fact or F(M) as a f unct i on of aver age mul t i pl i cat i on [o1 opt i cal exci t at i on at
di fferent wavel engt hs ( Copyr i ght 1978 AT & T Co. )
shape, the excess noise fact or depends st rongl y on wavelength due to the
vari at i on of the absor pt i on coefficient and hence, the fract i on of hole injection.
Measurement s of the excess noise fact or on a part i cul ar device with the reach-
t hr ough st r uct ur e of Fig. 3.4 are shown as a funct i on o1" wavel engt h in Fig. 3,9.
This analysis has been applied to ot her st ruct ures [3,44, 45], and effective noise
factors as low as l%rr~0.01 have been r epor t ed [3.46]. Silicon aval anche
det ect ors for fiber optics appl i cat i ons in the 0.8 to 0.9 tana spectral rcgion have
l%f r in the range of 0.01 to 0.08. For small l%r r and large M : F ~ 2 + I % r r M .
Det ect ors in fiber opt i c t ransmi ssi on systems are packaged to oper at e in a
mode in which no backgr ound light is present and onl y the signal light is
incident on the mul t i pl yi ng region of t he det ect or. The mean square noise
pr oduced by an APD uni forml y mul t i pl yi ng at an average gain M can be
wri t t en as
( i ) 2 = 2 q [ l a ~ + (l.~ig + I db)M2F(M)],
where
(3.12)
q is the el ect roni c char ge, Id~ is t hat component of the det ect or dark cur r ent
which is not multiplied ; l,ig = R P o , the pr i mar y signal phot ocur r ent ; I db is t hat
component of det ect or dar k cur r ent which is to be multiplied ; and F ( M) is the
excess noise fact or descri bed above.
In an aval anche det ect or, the bulk dar k cur r ent compet es directly with the
signal cur r ent and must be kept small for sensitive detection. In silicon, sources
76 D, P. Schinke et a l .
1o-3
10"4
t 0 - 5
t 0 - 6
t 0 - ; '
10 - 8
1 0 - 9
i 0 - I ~
t 0 - I ]
1.8
(*C)
250 7'00 150 120100 80 60 40 23
I l 1 I i i I I I
DARK CURRENT AVALANCHE PHOTODIODE
~ , ~ S i n * - p - ' r r - p +
- ~ r ~ T o t f f l i n t r ~ n i ( T )
\
' a
I I I I
2 . 0 2.2 2 . 4 2.6
O -20
I
~ ' ~ C ~ ( I D i f i l e x l r ~ D ~ n t z ( T )
\ ' ~ o
\
2.8 3.0 3.2 3.4 3.6 3.8 4.0
x l O 3 / T ( K )
Fig. 3.10. A plot of dark currcni
as a function of reciprocal tcm-
peralure for an avalanche pho-
todiode with 100/am dia. gain
region and an overall diameter
of 360 pm of fully depleted
region (40 gm thick) [3.30-1
(Copyright 1978 AT & T Co.)
of this current are crystal imperfections, impurities within the depl et ed volume,
and diffusion cur r ent t hr ough its boundar y. By t he use of i mpuri t y get t eri ng
and well-controlled processing l db~2 X 10 - l i A. mm 3. General l y, Id~ is sub-
stantially larger t han I , . , . 1 , ~ is generat ed in the depl et i on region and at surfaces
out si de the n + cont act in the peri met er of the aval anche phot odi ode. Dark
current in an aval anche device depends upon t emperat ure. In Fig. 3.10, the
t emper at ur e vari at i on of a well-gettered APD with 100gin di amet er active
region is pl ot t ed as a funct i on of reci procal t emper at ur e [3.30]. The dar k
current ar ound r oom t emper at ur e is due to carri er generat i on from i mpuri t y
centers with energy levels close to the middle of the bandgap. The act i vat i on
energy of these levels is est i mat ed to be 0.66 t o 0,69 eV. At hi gher t emper at ur es
between 40 and 150'~C, the dark current increases with t emper at ur e in
pr opor t i on t o the square of t he intrinsic carri er density. Based on numeri cal
estimates and measurement s on devices with different diameters, it is suggested
t hat this dark current component is due to diffusion of el ect rons out of the high
resistivity zt-typc sidewalls of the device. For t emperat ures above 150 C, the
intrinsic carri er concent r at i on exceeds the dopi ng in the 7z region. The leakage
resulting from diffusion out of the APD' s peri met er then increases in pro-
por t i on t o the intrinsic carri er concent rat i on. The mi ni mum de{.~etable optical
power in a given system is dependent upon the receiver design and system
par amet er s and is discussed in Chap. 4. Experi ment al fiber opt i c systems
current l y empl oyi ng APDs oper at e with mul t i pl i cat i on of 100 or less.
Photodetectors 77
The above t heor y and resulting equat i ons appl y to uni forml y mul t i pl yi ng
j unct i ons. In practice, spatial nonuni formi t i es in the dopant s in a p - n j unct i on
and crystalline defects or metallic precipitates which penet rat e the high-field
region can cause localized areas of nonuni f or m mul t i pl i cat i on and mi cro-
plasmas. These defects are electrically noisy and must not be present in the
j unct i on area. Silicon t echnol ogy has advanced bot h mat eri al perfect i on and
processing to permi t aval anche devices to be fabri cat ed with economi cal l y
at t ract i ve device yields and excellent reliability.
3 . 2 . 6 L i n e a r i t y a n d S a t u r a t i o n
Aval anche phot odi odes can show excellent linearity of multiplied phot ocur r ent
from very low incident light levels of less t han a nanowat t up to levels of several
mi crowat t s. Fi ber systems based on light-emitting di odes have i nput opt i cal
power levels of 10 - to 5 x 10 4W, while lasing di odes can inject 10 - 3 to
1 0 - 2 W into fibers. The highest aval anche gain t hat can be achieved in a
det ect or is reduced by several fact ors when oper at i ng at high incident light
levels :
I) The bias voltage can decrease due to an external load resistor or series
resistance in the semi conduct or cont act s;
II) The vol t age across the mul t i pl yi ng j unct i on can decrease due to the
internal series resistance of the device or space-charge effects in which carriers
drifting in the depl et i on region decrease the electric field at the j unct i on;
III) Hi gh-opt i cal power levels can heat t he j unct i on decreasi ng t he gain by
the t emper at ur e dependence of mul t i pl i cat i on discussed above.
The sat ur at i on of t he multiplied phot ocur r ent in an APD due to these
effects have been consi dered by Webb et al. [3.10]. They show t hat at high
mul t i pl i cat i on levels, the multiplied cur r ent increases as the square r oot of t he
pr i mar y phot ocur r ent [ p . Empirically, the series resistance of the devices has
been i nt r oduced into (3.4) by Melchior and Lynch [3.47] who wrot e
1
M - (3.13)
I _ ( V - I R I " '
\ v~,r )
where I =MIp is the t ot al multiplied current . The maximuna at t ai nabl e gain
varies as (Ip)- ~/2 when the dar k cur r ent is negligibly small. An exampl e of the
decrease in measurcd mul t i pl i cat i on M = I/Ip due to i nt ernal series resistance in
a r each- t hr ough device is shown in Fig. 3.1 t. The mul t i pl i cat i on is shown as a
funct i on of the t ot al device current . Not e t hat at gains M~ 100 the device
shows some nonl i neari t y at pr i mar y phot ocur r ent s of less t han 10 - ~ A. This
t ype of nonl i neari t y depends upon the device structure, the resistivity and the
width of the depleted layer, and t he size of the incident beam. In a reach-
78 D.P. Schinke et al.
t 0 0
z
o_
10
. J
o,_
~k=O.88/.z.m SPOT DI A = 9 2 ~ m
1 1 = = = = I = = = ~ [ i i t L I
t 0 - 6 t 0 - 5 t 0 - 4 i 0 - 3
TOTAL CURRENT (AMPS}
Fig. 3.1 I. Me a s ur e d mul t i pl i cat i on M
as a f unct i on of t ot al devi ce cur r ent
MIp ( I t : pr i mar y phot ocur r ent ) . De-
vice mul t i pl i cat i on decr eas es at hi gh-
cur r ent densi t i es
t hr ough st ruct ure, pr i mar y phot ocur r ent is generat ed in a ci rcul ar area of
di amet er d. The pr i mar y electrons pr oduce M secondar y el ect rons and holes at
the j unct i on which flow from the ci rcul ar region into the drift space of
resistivity ~ and width W. The device internal series resistance is in the form of a
spreadi ng resistance [3.48]
0 t ( 4W) (3.14)
R = ~ - tan ~ / .
A smaller focused spot sat urat es the det ect or at progressively lower light levels.
A nonl i neari t y due t o space-charge effects is fast and shoul d follow the
incident phot ocur r ent up to the limit i mposed by carri er velocities. The effects
of sat ur at i on are :
1) an ampl i t ude compressi on of the detected pulse in a digital com-
muni cat i ons syst em; and
If) di st ort i on in an anal og system empl oyi ng ampl i t ude modul at i on over a
wide dynami c range.
One measur ement of di st or t i on in an APD has been r epor t ed [3.49] which
showed second har moni c di st ort i on to be less t han - 6 0 d B up to an i nput
power level of 10- s W. Details of the device st ruct ure and i l l umi nat i on
condi t i ons were not given. If t he optical power is consistently at a level which
sat urat es the APD, a p-i-n coul d be used with little or no loss in performance.
3.3 Fabrication Technology
Silicon phot odi odes have been made in a vari et y of st ruct ures with material
requi rement s and processes devel oped for part i cul ar devices. The st art i ng
material can be high resistivity (~)> 103 ~q-cm) intrinsic silicon. The wafers can
Photodeiectors 79
be t hi nned to the di mensi ons desired for depl et i on wi dt h and processed to form
j unct i ons, ohmi c cont act s and passivated opt i cal wi ndows using a wide range of
procedures.
A r each- t hr ough st ruct ure which is amenabl e to fabri cat i on on large
di amet er epitaxial silicon wafers has been r epor t ed by Mel chi or et al. [-3.29, 30]
and is shown schemat i cal l y in Fig. 3.4. The device is processed as follows.
Epitaxial mat eri al of 0 > 300f ~. cm is gr own on di sl ocat i on free p~ subst rat es
and forms the rt drift region. The light dopi ng insures full depl et i on to the p+
substrate. The epitaxial l ayer is sufficiently thick to absor b mor e t han 95 9~, of
the incident radi at i on. The st r uct ur e is formed by first diffusing the n + guard
ring and p+ channel stop. The guard ring prevents br eakdown at the edge of
the n +p j unct i on, provi des a large radi us of cur vat ur e at the n +~z j unct i on, and
reduces const rai nt s at the met al cont act s by provi di ng a relatively deep
j unct i on under the cont act . The p+ channel st op diffusion cuts off surface
inversion channel s and limits the lateral spread of the depl et i on region. The p
mul t i pl i cat i on region is formed in the cent er of the APD by a precise bor on ion
i mpl ant at i on followed by cont r ol l ed diffusion. A heavily doped phos phor ous
layer is diffused i nt o the back of the wafer to "get t er" impurities which have
deep energy levels in silicon. The get t eri ng subst ant i al l y reduces the dar k
current . A shallow n + cont act is i mpl ant ed and diffused in the cent er t o form
the high field j unct i on. This st ruct ure has light incident t hr ough the n ~ cont act .
Thi s cont act is thin in or der to mi ni mi ze the phot ocar r i er s lost due to
r ecombi nat i on and the hol e injection which would increase the excess noise
fact or of the device. The diffusion time of the n + cont act is adjusted to cont r ol
the cur r ent gai n- vol t age charact eri st i c and the reverse br eakdown voltage. The
wafers are anneal ed in an HCI ambi ent to reduce the mobile ion cont ent of the
surface oxide, and silicon nitride is deposi t ed to passivate the st ruct ure against
ionic cont ami nat i on such as Na +. The get t eri ng layer is r emoved from the back
of t he wafer and an ohmi c cont act is formed by ion i mpl ant at i on of bor on. The
wafer is about 450 Ixm thick and retains mechani cal st rengt h for handling. The
front surface met al l i zat i on is Ti - Pt - Au formed over Pt-Si, and the back met al is
Ti-Au. The metal cont act s are ar r anged to overl ap the metallurgical n-~ and
7r-p + j unct i ons. These "field plates" reduce the radius of cur vat ur e of electric
field at tile silicon dielectric i nt erface and prevent the accumul at i on of charges
on the ext ernal surface of the nitride. A bui l dup of charge t here coul d induce
sufficiently large electric fields to cause bursts of aval anche or Zener current s
[3.50]. High levels of surface charge coul d ul t i mat el y lead to increased surface
l eakage cur r ent and reduce br eakdown voltages, p-i-n phot odi odes can be
obt ai ned from this process sequence by omi t t i ng the bor on ion i mpl ant at i on
and diffusion. They exhibit similar low dar k current s and excellent reliability.
In or der to achieve a br oad j unct i on profile or a mul t i pl i cat i on region
shaped to achieve low noise performance, the r each- t hr ough st ruct ure has also
been fabri cat ed by a t wo-st ep epitaxial process. A por t i on of tile drift space is
grown by epitaxy, a cont r ol l ed p charge is i mpl ant ed in a pat t er n and the
epi t axy is compl et ed to the desired thickness and dopi ng levels [3.46, 51].
80 D. P. Schinke ctal.
Aval anche phot odi odes with the st r uct ur e of t hose in Fig. 3.4 have shown
an est i mat ed medi an t i mc to failure of about 105 hour s at 170<'C and 300V
reverse bias when packaged hermet i cal l y. Assumi ng an act i vat i on energy of
0. 7eV, which is det er mi ned f r om the agi ng of several gr oups at different
t emper at ur es, the medi an t i me to failure of the chi p is about 10 '~ hours at r oom
t emper at ur e. The pri nci pal modes of failure are high l eakage cur r ent and an
increase in the magni t ude and frequency of aval anche noise pulses near
br eakdown [3.52]. Of course, devices may al so fail for ot her reasons t hat are
related to the i ndi vi dual packagi ng t echnol ogy.
3. 4 Photodiodes for Longer Wavelengths
Si l i ca-based glass fibers show a low opt i cal at t enuat i on in tile spect ral regi on
bet ween 1.0 and 1.61am [3.53]. Tot al losses of less t han 0 . 5 d B. k m -1 are
at t ai nabl e. In addi t i on, pul se di sper si on is mi ni mi zed near 1.27 gm [3.54].
Thi s combi nat i on of l ow fiber loss and a mi ni mum in the fiber di spersi on
offer the possi bi l i t y of hi gh- bandwi dt h syst ems oper at i ng over l onger di st ances
t han are achi evabl e in the 0.8 to 0.9 gm region. Several aut hor s have assessed
al t er nat i ve fiber syst ems [3.55, 56], and a fiber t r ansmi ssi on exper i ment at
) . = 1.29 lain has been r epor t ed [3.57]. Thi s wavel engt h is sufficiently r emoved
from the 0.8 to 0.9 gm spect ral band t hat different mat eri al syst ems and
st ruct ures are requi red for sources and det ect ors. A compr ehensi ve review of
the l i t erat ure (up to the year 1975) concer ni ng det ect or s for this spect ral band
can be found in [_3.11]. However , there is act i ve research i nt o new sources and
det ect ors, and these areas are rapi dl y evolving.
Det ect i on at 1.0 to 1.6 pm requi res a mat er i al t hat can efficiently abs or b
light. Silicon, which has an indirect band gap, has an absor pt i on coefficient
which decreases rapi dl y t owar ds 1.1 lain. These det ect or s can pr ovi de useful
det ect i on Icvels to about 2 = 1.1 lam which includes the Nd : YAG laser wave-
length of 1.06 pin. The wide depl et i on l ayer of ~ 1 mm or mor e requi red for
efficiency yields l onger carri er t ransi t times and reduces hi gh-speed perfor-
mance. To i mpr ove the speed of response, the silicon det ect or can be side
i l l umi nat ed, al t hough t hat results in i ncreased fabri cat i on compl exi t y.
Al t ernat i ve det ect or mat er i al s t hat have a nar r ower band gap include ger-
mani um or mixed al l oys of silicon and ger mani um and Il l V c ompound
semi conduct or s. Extrinsic phot oconduct or s (i.e., semi conduct or s with i nt en-
t i onal l y doped i mpur i t y levels) have been used t hr oughout the i nfrared
spect r um. Absor pt i on in these det ect or s is due to el ect roni c t ransi t i ons bet ween
the gr ound st at c of the i mpur i t y and its excited st at es as well as the associ at ed
conduct i on or val ence band. However, to achi eve backgr ound- l i mi t ed perfor-
mance, the det ect ors are t ypi cal l y cool ed to cr yogeni c t emper at ur es to reduce
gener at i on- r ecombi nat i on noise pr oduced by the i mpur i t y states. Because the
nl axi munl abs or pt i on coefficient is limited by the quant i t y of dopant which can
be i nt r oduced into the lattice, ext ri nsi c phot oconduct or s havc smal l er abs or p-
Photodetectors 81
tion coefficients t han intrinsic det ect ors and thus requi re a larger physical size
for efficient det ect i on. The above factors are consi derabl e limitations in the near
infrared where intrinsic semi conduct or s can be used. A review of the physics
and t echnol ogy of i mpur i t y ger mani um and silicon mfi' ared det ect ors has been
given by Bratt [3.58], and Kruse et al. [3.59].
3. 4. 1 Ge r ma ni um Pho t o di o de s
The absor pt i on coefficient of ger mani um permi t s efficient phot odet ect i on to
2 = 1.8gm. Pl anar passivated p-i-n phot odi odes with guard rings have been
fabri cat ed in high-resistivity ger mani um [3.60]. Due to the smaller bandgap
(0.67 eV), ger mani um diodes have subst ant i al l y higher dar k current s per unit
vol ume t han silicon det ect ors (1.11 eV band gap). Di ode reverse current s were
domi nat ed by bul k generat ed dar k cur r ent r at her t han surface cur r ent for all
but the smallest ( ~1 ram) devices. A cur r ent density of 2. 5mA- cl n -2 was
report ed at r oom t emper at ur e for a device typically 1501am thick. The reverse
leakage cur r ent was found to increase exponent i al l y with t emper at ur e with an
act i vat i on energy of 0.4eV. The device showed rise and fall times of a few
nanoseconds at 15V bias. The t echnol ogy coul d also be ext ended to larger
devices with multiple arrays.
Ger mani um has also been fabri cat ed into aval anche phot odi odes
[3.38, 47, 61]. Bot h etched mesa and pl anar j unct i ons with a diffused guard ring
have been made. Ando et al. [3.62] have fabri cat ed an n+p pl anar aval anche
phot odi ode with 100 gm di amet er active region and a diffused guard ring. Since
the absor pt i on coefficient of ger mani um is the or der of 10"~cm ~ at wave-
lengths shor t er t han 1.5 gm [3.7], all phot ocar r i er s are generat ed within I to
2gi n of the surface. The quant um efficiency is st rongl y affected by surface
r ecombi nat i on of electron hole pairs. The quant um efficiency peaked near
1. 6gm and was above 80% for a device using an SiO 2 antireflection coating.
For a 100gi n di amet er diode, the reverse cur r ent of 0. 2gA consisted of 0.1 gA
flowing t hr ough the guard ring peri phery and 0.1 I-tA flowing t hr ough the
j unct i on. The values of these current s can be det ermi ned using the dependence
of reverse cur r ent on gain. The dar k cur r ent is st rongl y dependent on
t emperat ure, and varies as e x p ( - Eg/2kT) charact eri st i c of bulk generat i on. The
measured excess noise fact or was pr opor t i onal to M 3 at a wavelength of
1.32 ~am, and coul d be descri bed using an effective k = 1.0. The device at t ai ned a
high-speed pulse width of 200 ps with a cor r espondi ng frequency bandwi dt h of
2GHz . Passi vat i on of the surface is a pr obl em in ger mani um devices, and
recent efforts have been r epor t ed by Na,qai [3.63], and Yashiro et al. [3.64].
Ger mani um aval anche phot odi odcs will also exhibit a larger amount of
excess noise t han a silicon aval anche det ect or. Thi s is a consequence of t he near
equal i t y of el ect ron and hole i oni zat i on rates fl/:~, 1. Thus, t here is little
differential in the i mpact i oni zat i on t hat coul d be opt i mi zed by st ruct ural
design. Ot her aut hor s have report ed the shot noise due to phot ocur r ent as:
<i2) = 2qlpBM" where the exponent x is appr oxi mat el y 3 [-3.65].
82 D.P. Schinke el al.
6. 6
o< 6. 4
I--
6. 2
m
6. 0
(.3
m 5. 8
5 . 6
_J
5.4
5. 2
. / ~ . . . - - - " ~ S b / /
, / InP / ~ I nAs
AQ-As "~'~ GoAs Ge
d" q
GOP SI
, I , I I I I I , I i I i I i I , I I
0. 4 0. 6 0. 8 1.0 2. 0 4.0 6. 0 8. 0
WAVELENGTH CORRESPONDING TO ENERGY GAP ( / xrn)
Fill. 3.12. l.atlicc constants and wavelengths corresponding to energy gaps for several Ill V
c{~mpound semicondtlctor materials [3.56]
3.4.2 III-V Compound Semiconductors
Semi conduct or materials formed from elements in groups III and V of the
peri odi c t abl e have been investigated and fabricated into phot ocat hodes,
phot odi odes and aval anche phot odi odes. An interesting feature of these
materials is the rel at i onshi p bet ween bandgap and composi t i on which gives the
device designer the ability to cont r ol the spectral response by changi ng the
composi t i on. Also, the mat eri al s can be pr epar ed in mul t i l ayer st ruct ures by
liquid or vapor phase epitaxial growt h. Thus, there exists a wide range of
possible composi t i ons, absor pt i on coefficients, i oni zat i on propert i es, and
device structures. The rel at i onshi p between bandgap, composi t i on, and lattice
const ant are represent ed in Fig. 3.12. Since these compounds have di rect
transitions, the absor pt i on coefficient rises steeply at the band edge to values of
104cm ~ or more. These phot odi odes can absor b efficiently in a layer onl y a
few mi crons thick, leading to a small device st ruct ure and a fast carri er transit
time. Conversel y, the high absor pt i on coefficient increases the number of
carriers lost in an undepl et ed cont act region, and the thin depl et i on region has
a higher capaci t ance per unit area t han a mor e deepl y depleted device. Ther e
are several material systems which pr ovi de high det ect i on efficiency in this
range.
Dark current s in these materials due to generat i on r ecombi nat i on in the
depl et ed vol ume are pr opor t i onal to the intrinsic carri er concent r at i on n~. They
shoul d be smaller t han ger mani um but larger t han silicon since
ni~s e x p ( - E J 2 k T ) . Actual values of the bulk dar k cur r ent vary inversely with
the carri er lifetime and are sensitive to the growt h and processing of the
material. Dark current s as low as 10-'~ A are r epor t ed in a device 150tam in
di amet er fabricated in GaAsSb [-3.66]. Using the aut hor s' estimates of depl et ed
volume, lb.~k ~ l 0 - 2 A- cm 3, The l ong-t erm stability of surface leakage cur-
Photodetectors 83
rent s in I l l V mat er i al s is not well charact eri zed. At present , t here is little
publ i shed l i t erat ure on passi vat i on t echni ques on mat er i al s ot her t han GaAs.
hnpa c t i oni zat i on phe nome na in I I I - V mat er i al s are consi der abl y mor e
di verse t han in silicon and ger mani um. For exampl e, earl y results on Ga As
i ndi cat ed t hat el ect ron and hol e i oni zat i on rat es were nearl y equal [3.67]. Lat er
wor k oll aval anche devices woul d be consi st ent with a hole i oni zat i on rat e
great er t han t hat of el ect rons [3.68]. Recent wor k [3.69] has shown t hat
i oni zat i on rat es are st r ongl y dependent upon the el ect roni c band st r uct ur e of
the crystal. Furt her, the i oni zat i on rat es depend upon the or i ent at i on of the
electric field with respect to the cryst al di rect i on [3.70]. In Ga As for E al ong the
<111> di rect i on holes have a hi gher i oni zat i on rat e t han el ect rons over the
r ange of electric field 6 x 1 0 s > E > 3 x l 0 5 V. c m l. In the <100> di rect i on,
holes have a hi gher rat e t han el ect rons onl y for E <4. 5 x 105 V . c m- 1 but have
a l ower rat e at ot her values. The r at i o of i oni zat i on rat es depends upon the
al l oy compos i t i on as well. By mi xi ng Sb on the V subl at t i ce of GaAs , the rat i o
~ / [ ~ can be vari ed f r om 0.25 to 2.5 [3.71]. Ther e are i ndi cat i ons t hat the
dependence on the V subl at t i ce is al so found in the c ompounds of nar r ower
bandgap. Aval anche noise meas ur emcnt s in haas show t hat hole i oni zat i on
rat es are ~ I0 times l arger t han t hose of el ect rons 1_3.72, 73]. However , noise
and mul t i pl i cat i on meas ur ement s in l nSb aval anche di odes in the (100) pl ane
are consi st ent with el ect ron rat es which are higher t han t hose of hol es and
depend onl y weakl y on electric field [3.74]. These few exampl es illustrate the
rich var i et y of i oni zat i on phenomena to be found in these mat cr i al systems.
Consi der abl e t heoret i cal and exper i ment al wor k r emai ns to form a compl et e
char act er i zat i on of aval anche processes in these mat eri al s.
Devices have been fabri cat ed in several mat eri al syst ems and an at t empt to
review all the publ i shed l i t erat ure woul d be a large task. The fol l owi ng
di scussi on of some r epr esent at i ve devices in different mat er i al syst ems i ndi cat es
the cur r ent st at e of t he ar t in mat eri al s, st r uct ur e and per f or mance. The devices
are or der ed by decreasi ng bandgap, or by i ncreasi ng ma xi mum wavel engt h of
efficient oper at i on.
Uni f or m aval anche Schot t ky bar r i er phot odi odes have been f or med on
Ga As usi ng a thin l ayer of Pt as the bar r i er met al [3.69]. The devices empl oyed
ei t her epi t axi al r egr owt h or diffusion t o f or m a guar d ring. Aval anche
mul t i pl i cat i on over 100 was obt ai ned and showed good uni formi t y. The noise
power vari ed as M 2'1 and was consi st ent with hol e mul t i pl i cat i on great er t han
el ect ron mul t i pl i cat i on. The oper at i onal wavel engt h ext ended to 0.9 i.tm due to
the band edge of GaAs, but an enhanced response was obt ai ned at t he highest
bi as vol t ages due to the F r a n ~ Ke l d y s h effect. At a mul t i pl i cat i on of 100,
det ect or pulse response has 0.1 ns rise t i me and 0.3 ns fall time. Wavegui de
det ect or s for )o = 1.06 I-tin have been f or med by epi t axi al l ayers of Ga As which
serve as wavegui des i-3.75]. Absor pt i on at the l ong wavel engt hs was due to a
combi nat i on of el ect r o- absor pt i on and def ect - t o- band absor pt i on. The device
showed an i nt ernal qua nt um efficiency of 45 % and had a r esponsi vi t y of about
0 . 3 A - W i a t 1 . 0 6 1 . t m .
84 D.P. Schinke el al.
By i ncor por at i ng i ndi um into the GaAs system, the wavelength response
can be ext ended to about 2 = 1.15 gm. Schot t ky barri er st ruct ures made from
ln~Ga~ xAs alloy layers grown epitaxially on GaAs subst rat e showed high
aval anche gain and fast response similar to GaAs [3.76]. It was found t hat for
x <0. 08 the strain due to lattice mi smat ch between the epitaxial layer and t he
subst rat e remai ned elastic r at her t han being relieved by t he creat i on of
dislocations. The consi derat i on of lattice mat chi ng is a limiting fact or in
ext endi ng the wavelength response of this system. Ioni zat i on rates have been
measured in this system and showed f l / c~2. 5 at E ~ 3 x l 0 s V- c m- 1 [3.77].
The wavelength response of the GaAs system can also be ext ended by
alloying the V sublattice with ant i mony. A sensitive GaAs~ _xSbx i nvert ed mesa
st ruct ure has been fabri cat ed by liquid phase epi t axy on GaAs [3.66]. This
grown het er oj unct i on det ect or was "backsi de" illuminated with light in t he 1.0
to 1.2 gm spectral band passing t hough the t r anspar ent substrate. Il l umi nat i on
t hr ough a subst rat e of wi der bandgap produces a det ect or with a response
"wi ndow" as a funct i on of wavelength. Short wavelength radi at i on is bl ocked
by the substrate, while light with a wavel engt h between absor pt i on edges of the
subst rat e and epitaxial l ayer is detected, and l onger wavelengths are lost by
t r anspar ency of the entire structure. Dar k current s as low as 1 nA were
observed and low capaci t ance ~ 0 . 1 p F i nsured high-speed response. The
usable aval anche gain over the entire det ect or area was < 10 due to spatial
nonuni formi t i es in the aval anche multiplication. The principle of"sel f-fi l t eri ng"
has been ext ended to the 3.1 to 7.0lam spectral region using the lnAs~ .~Sb~-
InAs system [3.78].
A mat eri al system t hat can be fabri cat ed with lattice mat chi ng and can
provi de high responsi vi t y in the 1.2 to 1. 6gin spectral region is the
I nGaAs P/ l nP system. The bandgap of I nGaAsP can be varied cont i nuousl y
from 1.34eV (0.921am) to 0. 78eV (1. 6gm) in composi t i ons t hat are lattice
mat ched t o l nP [3.79, 80]. Aval anche phot odi odes have been fabri cat ed as
mesas et ched in epitaxial layers of Gao.2,~lno.vc~Aso.ssPo.42 grown on InP
substrates by liquid phase epitaxy. The mul t i pl yi ng j unct i on was formed in the
epitaxial l ayer by diffusion. Low reverse current s of < 10 -8 A were found and
some devices showed uni form aval anche gain of 10. The low bias quant um
efficiency of the uncoat ed devices was 45% at 2=l . 15! am. Some shift of the
absor pt i on edge t owards longer wavel engt hs occurred at high bias voltages
pr esumabl y due to the Fr anz- Kel dys h effect. The small det ect or showed rise
times of 150 ps which coul d be limited by the rise time of the light source, and
longer fall times ~ 1 ns due to the diffusion of a fract i on of the carriers from
undepl et ed material. At this early stage of devel opment , the characteristics of
efficiency, dark cur r ent and response time are compar abl e to or bet t er t han
ger mani um detectors.
Ther e are i ndi cat i ons t hat the i oni zat i on rates for electrons and holes are
not equal in the I nGaAs P system. I t o et al. [3.81] fabri cat ed a wi ndow
st ruct urc l nP/ I nGaAs P/ I nP into a mesa of 140gm dia. The device br eakdown
voltage was 52 V and had a dark cur r ent of 0.1 nA a t VBr/2. Thei r measur ement s
Phot odet ect or s 85
using incident light from different spectral bands showed t hat c~ was great er
t han [~ by a fact or of 3 to 4.
The I I I - V compound semi conduct or phot odi odes are an active area of
research and devel opment . Subst ant i al quest i ons concerni ng material proper-
ties, gr owt h and processing of materials, surface passivation, opt i mal device
st ruct ure, and l ong-t erm stability and reliability remai n to be answered before
these phot odet ect or s can be included in fiber systems on a rout i ne basis.
List of Symbols
A Di ode ar ea
B Effective bandwi dt h of the recei ver
C Di ode capaci t ance
d Di ode di amet er
d~ Thi ckness of front conl act
E~ Bandgap energy l eVI
F(M} Excess noi se fact or
h Pl anck' s cons t ant
l D Phot odi ode dar k cur r ent
fat , Compone nt of t he det ect or dark cur r ent
whi ch is t o be mul t i pl i ed
I,~ Compone nt of t he det ect or dar k cur r ent
whi ch is not mul t i pl i ed
1 o Pr i mar y cur r ent in di ode (in aval anche
regi on)
l~i ~ The pr i mar y signal phot ocur r ent
k~,~ Effective rat i o of t he i oni zat i on coef-
ficients 7/fl
M Aval anche mul t i pl i cat i on value (M 0 is
t he dc value)
q El ect ron charge
R Responsi vi t y, al so l oad resi st ance
t'~ Reflectivity of surface
t Response t i me
t , . Average carri er t ransi t t i me
Vb, Reverse br eakdown vol t age
W Wi dt h of t he j unct i on depl et i on regi on
:~ Abs or pt i on coefficient [ cm ~]; I.c. elec-
t r on i oni zat i on coefficient
[/ Hol e i oni zat i on coefficient
t/ Quant um efficiency
..~ Resistivity of t he dri ft regi on in di ode
r Transi t t i me {with subscr i pt lbr appr o-
pi l at e di ode region)
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4. Receiver Design
for Optical Fiber Communication Systems
R. G. Smi t h and S. D. Per soni ck
Wi t h 40 Fi gur es
The pur pos e of t hi s chapt er is to pr ovi de t he r eader wi t h a basi c unde r s t a ndi ng of t he opt i cal
recei ver mad t he i nt er pl ay bet ween t he c o mp o n e n t s of t he recei ver as well as t he i nfl uence of t he
sour ce a nd t r ans mi s s i on medi um, The a ppr oa c h t aken will be t o pr esent t he mat er i al in a
s t r ai ght f or war d engi neer i ng ma nne r , a nd t o avoi d, wher e possi bl e, t he us e of l ong ma t he ma t i c a l
der i vat i ons. In t hi s way it is hope d t hat an i nt ui t i ve feel for recei ver desi gn will be gai ned. Thos e
r eader s i nt er cst ed in t he ma t he ma t i c a l det ai l s will find t he m in t he references cited.
4. 1 I nt r o duc t o r y Re ma r k s
4.1.1 General Considerations
In the design of an opt i cal fiber communi cat i on syst em, whet her for use in l ong
di st ance communi cat i on [4,1 8] or for bussi ng of dat a over shor t di st ances,
[ 4. 9- 12] and whet her oper at i ng at low or high dat a rates, one of the key
el ement s of the syst em is t he receiver. The basi c pur pos e of t he recei ver is to
det ect the light i nci dent upon it and to conver t it to an electrical signal
cont ai ni ng the i nf or mat i on i mpressed on the light at the t r ansmi t t i ng end. The
receiver is t hus an opt i cal to electrical conver t er or O/ E t ransducer. In t he same
way the t r ansmi t t er funct i ons as an E/ O t ransducer.
The opt i cal receiver, to be descri bed in this chapt er, consi st s of a phot ode-
t ect or and an associ at ed ampl i fi er al ong wi t h necessary filtering. The funct i on
of the phot odet ect or is to det ect the i nci dent light signal and conver t it i nt o an
electrical cur r ent ; t he ampl i f i er conver t s this cur r ent i nt o a usabl e signal while
i nt r oduci ng the mi ni mum a mount of addi t i onal noise t o cor r upt t he signal.
The f undament al goal in the design of an opt i cal receiver is to mi ni mi ze the
a mount of opt i cal power which must reach t he recei ver in or der t o achi eve a
given bit er r or rat c (BER) in digital syst ems or a given signal to noise rat i o
(S/N) in an anal og system. Thi s power, c ommonl y referred to as the sensitivity,
and usual l y measur ed in dBm ( 0 d Bm= 10 - 3 W) of opt i cal power, depends
upon the det ect or t ype and charact eri st i cs - ei t her p-i-n or aval anche phot o-
di ode - as well as the design of the amplifier.
Wher eas achi evi ng opt i mum sensi t i vi t y in the design of a receiver is the
basi c goal, ot her consi der at i ons influence the details of the design, and in fact
may result in a pract i cal receiver wi t h less t han the opt i mum in sensitivity.
Exampl es of such consi der at i ons include achi evi ng a wide dynami c range,
90 R. G. Smith and S. D. Personick
Fig. 4.1. Block divgram of
optical fiber receiver
oper at i on from specified, and perhaps nonopt i mum power suppl y voltages,
achieving a manuf act ur abl e and cost effective design, and the design of a
"uni versal " receiver which mi ght be opt i mum at one bit rate and nonopt i mum
at others.
In or der to assess the t radeoffs involved in the design of an opt i cal receiver,
it is first necessary to undcr st and t hebas i cs of the oper at i on of such a receiver
Thi s requires a knowl edge of the sources of receiver noise and their minimi-
zat i on, the role played by the det ect or, the effect played by the source and the
t ransmi ssi on medi um, and thc i nt erpl ay between all of them.
4.1.2 Scope and Organization
This chapt er is organi zed i nt o six sections as follows: Sect. 4.2 i nt roduces the
basic receiver and present a discussion of tile vari ous component s of which it is
comprised. Next, the general quest i on of noise sources is i nt r oduced and t hei r
cont r i but i ons to system noise evaluated. In Sect. 4.3 this general noise analysis
is appl i ed specifically to the cases of FET and bi pol ar i nput transistors. Section
4.4 deals with the opt i mi zat i on of receiver design and will i nt r oduce t he "hi gh
i mpedance, " or "i nt egrat i ng" amplifier appr oach as well as the use of t ransi m-
pedance amplifiers. Fol l owi ng these discussions of the noise charact eri st i cs of
the receiver, Sect. 4.5 deals with t he sensitivity of t he receiver using bot h p-i-n
and aval anche phot odi odes as det ect ors, and presents experi ment al as well as
t heoret i cal results on receiver sensitivity. Section 4.6 deals with t he quest i on of
the effects of the t ransmi ssi on medi um and t he source on receiver performance.
Finally a bri ef account of anal og systems is prese.ated in Sect. 4.7.
Thr oughout this chapt er the emphasis is placed on t he propert i es of the
amplifier and the ampl i f i er - det ect or combi nat i on. The details of the det ect or
can be found in Chap. 3.
In addi t i on to the references cited above t he r eader is referred to [4.13, 14]
for ot her reviews on the subject of receivers and to [4. 15-17] for related
discussions of fiber systems.
4. 2 The Basi c Recei ver
4.2.1 Essential Components
The basic optical receiver is shown in Fig. 4.1 and consists of a phot odet ect or , a
low noise preampl i fi er and post amplifier, an equal i zer and a filter. A receiver of
this confi gurat i on woul d be useful for bot h anal og as well as digital appli-
L
" V B I A S
Receiver Design for Optical Fiber Communication Systems 91
PREAMP
R L
Fig. 4.2. Schcnmtic representation and equiwdent circuit
of photodetector and bias circuit
cations. In the case of a digital system an addi t i onal function, t hat of a deci der
or decision circuit woul d be required. Such a circuit funct i ons at high signal
levels and does not influence the basic amplifier design and thus will be omi t t ed
f r om consi derat i on at this time. That por t i on of the receiver shown in the figure
is referred to as the linear channel.
Photodetector
In most , if not all, opt i cal fiber systems, t he phot odet ect or is a p-i-n or
aval anche phot odi ode, al t hough in pri nci pl e a phot ot r ansi st or or a phot o-
multiplier coul d be used. At the present time these phot odi odes are made from
silicon which provi des an excellent spectral mat ch to the emission fi'om sources
made from t he AI~Ga~ xAs system [4.18, 19]. In the future, when fiber systems
move to the region of 1.2 1.6~un, these det ect ors will have to be made from
ot her materials, e.g., Ge [4.20], GaA1AsSb [4.21], GaAI Sb [4.22], I nGaAs P
[4.23] and Gal nAs [4.24, 25], which absor b in this spectral region. See Chap. 3
for details on phot odet ect or s.
In oper at i on these detectors, which are reverse biased, absor b the incident
radi at i on, generat i ng el ect r on- hol e pairs which drift t o t he det ect or el ect rodes
generat i ng a current in the ext ernal circuit. An excellent equi val ent circuit of
the det ect or shown in Fig. 4.2 is a current source shunt ed by the depl et i on
capaci t ance, C a , of the det ect or. Series resistance and shunt conduct ance can
also be added to t he equi val ent circuit but bot h are small, havi ng negligible
effect on performance, and are omi t t ed from the equi val ent circuit for
convenience.
92 R. G. Smith and S. D. Personick
For a p-i-n phot odi odc the current , i o, generat ed by the incident light of
power, P, is given by
! l q p (4.1)
1 = hv
where q is the quant um efficiency of t he di ode and hv/q is the phot on energy in
el ect ron volts.
For a wavelength of 825nm, hv/q= 1.5eV. At this wavelength and for a
det ect or with r/ =0. 75, i 0 =0. 5 P. The responsivity, R o, of the diode, defined as
the current pr oduced per unit optical power incident, is given by
qq
R - hv
=0. 805 q2 [ gm] (4.2)
and for the above exampl e Ro=0. 5( A. W- ~) . Typi cal values for the rc-
sponsivity at 2 = 825 nm are 0.4 t o 0.6 A- W-
The aval anche phot odi ode multiplies the pr i mar y current , i o, by a fact or
( M) , where <M) is the average val ue of the gain (which is a r andom variable).
In this case the cur r ent source in Fig. 4.2 has a value
i =(M)i o=(M) ~q P=<M)RoP.
(4.3)
P r e a m p l i f i e r a nd A m p l i f i e r
The phot ocur r ent generat ed by t he det ect or must be conver t ed to a usable
signal for furt her processing with the mi ni mum amount of noise added. The
preampl i fi er is here defined as the first stage or stages of ampl i fi cat i on
following t he phot odet ect or . It will thus be the domi nant source of noise added
to the signal and hence its design will be the principal fact or in det ermi ni ng t he
sensitivity of the receiver. The bulk of this chapt er deals with the analysis of this
part of the receiver and with the mi ni mi zat i on of the noise.
The postamplifier, shown in Fig. 4.2, provi des the r emai nder of the amplifi-
cat i on of the signal. It may precede or follow the equal i zer or may be
i ncor por at ed into the funct i ons of the equal i zer and filter. Because it will not
cont r i but e significant noise in a well-designed system, it is shown schemat i cal l y
as appear i ng between the preamplifier and equalizer.
In practice the post ampl i fi er may cont ai n features such as aut omat i c level
cont rol to keep the out put signal level const ant as well as cl ampi ng ci rcui t ry to
reference the signal to part i cul ar vol t age levels. The design of this part of t he
linear channel, al t hough not discussed here, is nevertheless ext remel y i mpor t ant
to the funct i on of an opt i cal receiver [4.5, 8].
Receiver l-)esign for Optical Fiber Conlmunication Systems 93
is{t)+
i
DETR I BIAS CKT
POSTA M P EQL F LT
i a PREAMP
AMPLR
V s ( t )
Fig. 4,3. Equivalent
SIGNALOUT circuit of front end
Equalizer
As will be seen later, the t ransfer funct i on of the pr eampl i f i er - post ampl i f i er
combi nat i on may be such t hat the signal waveshape is di st ort ed, or the incident
signal may be di st ort ed due t o dispersive effects in t he fiber medi um. The role of
the equalizer, Fig. 4.2, is t o r emove these (linear) signal di st ort i ons, provi di ng a
reasonabl e pulse shape t o the final filter. In actual fact the equal i zer and filter
may compri se a single net work, but for purposes of this discussion, these
funct i ons are separated.
Filter
The final el ement in the receiver is the filter. It will oper at e on bot h the signal
and the noise sources, and its mai n funct i on will be t o maxi mi ze t he signal-to-
noise rat i o while preservi ng essential features of the signal. For anal og systems
the requi rement s of the filter may be to hol d ampl i t ude and phase responses
within certain limits, while in digital systems it may be to minimize i nt ersymbol
interference. Wi t hi n these and perhaps addi t i onal const rai nt s, t he filter will be
chosen to reduce the amount of i n-band and out - of - band noise. As will be seen,
the requi red filter funct i on will be defined in t erms of t he i nput pulse shape, the
desired out put response, expressed ei t her in the time or frequency domai n, and
t he frequency response of the rest of the linear channel.
The remai nder of this section deals with the eval uat i on of the signal and the
noise as functions of the par amet er s of the linear channel.
4.2.2 Noise Analysis
We now consi der the linear channel in mor e detail, eval uat i ng the effect of the
noise sources on the overall system noise. The upper por t i on of Fig. 4.3 shows
the front end in mor e detail, including t he vari ous noise sources; the l ower
por t i on shows the r emai nder of the linear channel. The signal cur r ent i j t )
generat ed by the incident light is i ndi cat ed at the left. The capaci t ance C a is the
depl et i on capaci t ance of the det ect or and C, is the st ray capaci t ance associated
94 R. G. Smith and S. D. Personick
with the i nt er connect i on of the det ect or to the i nput of the amplifier. The
resistor R e represents the resistive por t i on of the circuit used to bias the
det ect or and the i nput transistor. The generat ors i a, i 1, i, and e~ charact eri ze the
vari ous sources of noise in t he system as discussed below.
The preamplifier por t i on of the linear channel shown on the ri ght -hand side
of Fig. 4.3 is model ed as an ideal, noise-free amplifier with shunt and series
noise sources i~ and e,, respectively, and an i nput admi t t ance Y.,. The t ot al i nput
admi t t ance is thus given by
!
Y i , , ( " ) ) = Y , ( t ' ) ) + R, +J)(Ca + C~).
l
= Rin - Fj oJCT, (4.4)
where Ri~ j is the resistive por t i on of the admi t t ance and C T is the t ot al
capaci t ance including cont r i but i ons from the det ect or, amplifier and parasitics.
Let the t ransfer funct i ons of the preamplifier and post ampl i fi er be A a ( u J )
and A 2(o)), respectively, and t hose of t he equal i zer and filter be E(~)) and F(/~)).
The signal voltage at the out put of the linear channel, V~(c~), is then given by
E( ( ' ) ) = Zrr((' )) I & ) ) , ( 4 . 5 )
where ZT((~)) is the transfer funct i on of the system defined by,
A 1 ( o ) ) A 2 ( o ) ) E ( ~ ) F ( o : O
ZT(~)) = (4.6)
and I ~ ( ~ o ) is t he Four i er t r ansf or m of the signal cur r ent i,(t).
The noise sources included in this model include cont r i but i ons f r om the
cur r ent flowing in the phot odet ect or , i d, t hermal noise associated with the
biasing resistors, ij, and noise sources of the preamplifier i, and e,. Noi se
sources associated with subsequent por t i ons of t he linear channel are assumed
to be small and are neglected.
The sources described here fall i nt o t wo general cat egori es: Those which
depend on the incident optical signal and t hose which are i ndependent of the
signal level. The latter includes t he cont r i but i ons of the amplifier (neglecting
nonlinearities) and the biasing circuit as well as signal i ndependent current s
flowing in the det ect or, i.e., dar k c u r r e n t s ; t h e f or mer involves the phot o-
generat ed current flowing in the det ect or in response to the incident optical
signal which will be time varying. We consi der this noise source first. The
reader who is not interested in the details of the deri vat i on may refer to
(4.46-52) where the signal and cont r i but i ons of the noise sources are sum-
mari zed in t erms of i nput signal and noise current s and to Figs. 4. 6-17 where
the integrals and sums involved are plotted.
Receiver Design for Optical Fiber Communication Systems 95
Photodetector Noise
The si gnal - dependent noise in the phot odet ect or results froltl the r andomnes s
associ at ed wi t h the rat e of arri val of the phot ons at t he det ect or, and when an
aval anche phot odet ect or in used, t he r a ndom nat ure of t he aval anche process
i nt r oduces addi t i onal fl uct uat i ons in the signal cur r ent which ent ers the
ampl i fi er [4.18, 26] 1.
We begin by consi deri ng a digital syst em with a si gnal i ng rat e B and a t i me
slot of wi dt h T - B - 1 . At each t i me slot t he t r ansmi t t ed opt i cal power is
assumed to t ake on one of t wo discrete values with a pulse shape h p ( t ) . T h e
opt i cal power i mpi ngi ng on the det ect or is t hen of the f or m
P( t ) = ~ bkhp(t -kT), (4.7)
k - c o
where k is a vari abl e denot i ng tile t i me slot and b k t akes on one of t wo di scret e
values, b(0) and b(1) where it is assumed b( 1) > b(0). 2 The pr i mar y phot ocur r ent
gener at ed by t he phot odet ect or in r esponse to the opt i cal power consi st s of a
series of pulses each due to the gener at i on of an el ect r on- hol e pai r by an
abs or bed phot on. Wi t hi n a given t i me slot the numbe r of pr i mar y el ect r on- hol e
pai rs is a r a ndom vari abl e with a Poi sson di st ri but i on char act er i zed by a mean
val ue pr opor t i onal to the aver age incident power. When an aval anche phot ode-
t ect or is empl oyed, each pr i mar y el ect r on- hol e pai r is mul t i pl i ed by the
aval anche process to pr oduce M s econdar y pairs. The aval anche gai n M is al so
a r a ndom vari abl e with a mean val ue <M) and a mean squar e val ue <M2).
When a p-i-n det ect or is used, <M) = 1 and <M 2) = 1. Each abs or bed phot on
t hus pr oduces a pulse of char ge Mq which ent ers the pr eampl i f i er and
cont r i but es t o the out put vol t age. The out put vol t age is t hen given by t he sum
of all t he i nput pulses, modi fi ed by t he t ransfer funct i on of t he l i near channel .
The out put vol t age will t hen be char act er i zed by an average, or expect ed
val ue as well as fl uct uat i ons f r om this average, resul t i ng f r om the r andomnes s
of the arri val rat e of the phot ons as well as the addi t i onal r andomnes s
i nt r oduced by the aval anche process. Omi t t i ng the s omewhat l engt hy de-
ri vat i on found in [4.26] the aver age val ue of t he out put vol t age resul t i ng f r om
an i nci dent power P(t) is given by
(4.8)
where ZT(t ) is the i mpul se r esponse of the syst em given by t he Four i er
t r ansf or m of ZT(~O) and I 0 is t hat por t i on of the phot ocur r ent not di rect l y
rel at ed to the incident signal, i.e., dar k cur r ent or phot o- gener at ed current
resul t i ng f r om st r ay light, and referred to as the dar k current .
I The analysis below follows closely that presented in I-4.26].
2 In this and similar expressions kT is not to be confused with the Boltzmann energy.
9 6 R. G. S mi t h a n d S. D. P e r s o n i c k
The fl uct uat i on in the out put voltage or the noise resulting from the di ode
current is dcfined by
< , @ ) > = < ( v ~ ( t ) - < v ~ ( t ) ) ) : >
= < v ~( 1) > - ( < , ~ ( t ) > ) :
(4.9)
and in t erms of the par amet er s of the system
(4.10)
The expression for this por t i on of the noise can be written in terms of the
Four i er t ransforms as follows"
(2n) z _,~, [ \ h v J P ( w ) + t0(w ) [ZT(W )*ZT(w)] e3' ~' dw,
( 4 . 1 1 )
where ZT(~J)) has been defined before, P(w) is the Four i er t r ansf or m of P( t ) , I o( o) )
is the Four i er t r ansf or m of the dar k current , assumed to be const ant in time.
The quant i t y Z-r(~n)*ZT(O)) is the convol ut i on of ZT(W) defined by
Z l , ( ( t ) ) , Z T ( ( t , ) ) = Z T ( ( D ' ) Z T ( ( D - - ( I f ) d w ' (4.12)
Consi der now the cont r i but i on to ( n ~ ( t ) ) resulting from the const ant dar k
cur r ent I o ( t ) = I o. Subst i t ut i ng I0((~) ) = I o 2n6(w) i nt o (4.12), using t he definition
of the convol ut i on, and not i ng t hat Z T ( - - w ) = Z * ( w ), this noise t erm becomes
<n2)a~k . . . . . . t = q l o ( M 2 ) i s 2 d w
= ' i
2 q l o ( M a ) [Z,r(~))l 2 d r ,
0
where
(4.13)
w=2 x f .
In the last expression use has been made of the fact t hat IZT(W)I 2 is an even
funct i on of w in or der to change the limits of integration. Equat i on (4.13) is a
st at ement of the familiar relation t hat the mean square out put noise is given by
the pr oduct of the mean square i nput noise current densi t y and the integral of
Receiver Design for Optical Fiber Communication Systems 97
the squared magni t ude of t he t ransfer funct i on of the system. The i nput noise
cur r ent density, given by
d ( i Z ) - 2 q l o ( M 2 ) . (4.14)
4f
is recogni zed as the familiar shot noise expressi on modified by t he mean square
aval anche gain [4.27].
For conveni ence it has been assumed t hat the full dar k current undergoes
aval anche gain. In practice a por t i on of t he cur r ent may not flow t hr ough the
aval anche region and under go gain. For this por t i on of the current , { M 2 } = 1.
De n o t i n g I m and I n as t hose por t i ons of the dar k current which are multiplied
and not multiplied, respectively, the expressi on for the i nput noise cur r ent
densi t y becomes
d( i2} = 2q[lm( M 2 } + I .]. ( 4 . 1 5 )
~f
Amplifier and Circuit Noise
The cont r i but i ons to the out put noise f r om the amplifier and bias circuit are
descri bed by the shunt noise current and series noise vol t age generat ors
depi ct ed in Fig. 4.3. The shunt cur r ent generat ors associ at ed with t he bias
circuit and the amplifier are connect ed to t he same node and may be l umped
t oget her i nt o an equi val ent shunt cur r ent gener at or with a noise spectral
densi t y given by
d ( i 2 ) ~ q _ 4 k T d ( i ~ )
+ (4.16)
d f R df
The out put noi se resulting from these noise sources is given by
o df IZv())lEdf'
(4.17)
where we have explicitly i ncl uded t he frequency dependence of d ( i 2 ( m ) ) / d f t o
account for the possibility t hat the noise does not have a white spect rum. When
d ( i Z ( c o ) } / d f is const ant or t he vari at i on of ( i z ( c o ) } is small over tile range of
]Zv(OJ)] 2,
d ( i 2 > e q
0o
( n 2 ( t ) ) ~ , . , . , - j " IZT(~O)t2df. (4.18)
d f o
We will discuss this rel at i on in mor e detail later.
98 R. G. Smith and S. D. Personick
The out put noise due to the series noise voltage generat or is given by
d < e ~ ( , , ) ) )
< 1 1 2 > s e r ie s = i! d f ] Yi,(c'DI 2 [ Z T ( ( t ) ) [ 2 d f . (4.19)
Substituting from (4.4) for Y~,, (4.19) becomes
i ~I<<+~> . . . .
4f
i n
o
d<e~> ....
+(27CCT)2 d f ! f a l Z v ( m ) 1 2 d f '
(4.20)
where wc have made the simplifying assumpt i on t hat the noise spectral density
d < ~ 7 ,( o D > / 4 ] is independent of frequency over the range of interest which is
generally the case. When this assumpt i on is not true the explicit frequency
dependence can be included within the integral.
Examining (4.20) it is seen t hat the series noise generat or contributes two
terms to the out put noise voltage, one proport i onal to the bandwi dt h of ZT(O))
and the second proport i onal to the cube of the bandwi dt h. This latter term will
turn out to be the limiting factor in the opt i mi zat i on of optical receivers.
T.he total mean square out put noise, assumi ng the noise sources are
uncorrelated, is thus
< n 2 ( t ) > ~ - < # ] 2 > s l l u n t - I f - < # ] 2 > s e r l e s
(4.21)
and expressions for each of these terms are found above. The time dependence
of the noise, implicit in the above expressions, results from the fact t hat <n2(t))
and hence < h a ( t ) ) depends on the incident light level; < l ' / 2 > s h u n ! a n d <n2)series
will generally be i ndependent of time.
No r ma l i z a t i o n
The preceding expressions for the signal and the noise depend explicitly on the
transfer function of the system, ZT(~) ). Thus far not hi ng has been said
concerning its properties.
We begin by returning to (4.7) for the optical power P(t) incident on the
detector. The pulse shape h p ( t ) is normalized such t hat
c~,
T __~s h p ( t ) d t = 1. (4.22)
With this normal i zat i on the energy associated with a given received pulse is b k T
where bk=b(0) or b(l), the two discrete states. The quant i t y b has the
Receiver Design for Optical Fiber Communication Systems 99
d i me n s i o n s o f p o we r wi t h t hi s n o r ma l i z a t i o n . ~ I f t h e s t a t e 0 is t r a n s mi t t e d wi t h
p r o b a b i l i t y p(O) a n d s t a t e 1 wi t h p r o b a b i l i t y p ( l ) t h e n t h e a v e r a g e o p t i c a l p o we r
is gi ve n b y
/5 = b(O) p(O) + b(1)p(1). (4. 23)
Wh e n t h e t wo s t a t e s a r e e q u a l l y p r o b a b l e , as is g e n e r a l l y t h e c a s e in
c o mmu n i c a t i o n l i nks,
/5= 1/2[b(O)+b(1)], p ( 0 ) = p ( 1 ) = 1/2 (4. 24)
a n d f u r t h e r wh e n b ( 0 ) = 0,
/ 5 _ b(1)
~ , b ( 0 ) = 0 . (4. 25)
I n r e s p o n s e t o t h e i n p u t p o we r P( t ) , (4.7), t h e o u t p u t v o l t a g e will be o f t h e
f o r m
v j t ) = ~ s k h o u t ( t - k T ) + n o i s e , (4. 26)
wh e r e s k t a k e s o n o n e o f t wo d i s c r e t e va l ue s , s(0) o r s(1). T h e s h a p e o f t h e o u t p u t
p u l s e hou,(t ) is c h o s e n s uc h t h a t its m a x i m u m va l ue , o c c u r r i n g a t t = 0, is uni t y,
i . e . ,
ho. , (0) = 1. (4. 27)
Us i n g t hi s n o r ma l i z a t i o n t h e e x p e c t e d o r a v e r a g e v a l u e o f t h e o u t p u t s i gnal a t
t = k T d u e t o a si ngl e i n p u t p u l s e is e i t h e r s(0) o r s( l ) .
Le t Hp((O) a n d Hou, (. ) ) b e t h e F o u r i e r t r a n s f o r l n s o f h p ( t ) a n d ho.,(t).
r e s p e c t i v e l y , a n d de f i ne
ZT((O ) = R T HT(~O ) (4. 28)
wh e r e R T is a c o n s t a n t wi t h d i me n s i o n s o f r e s i s t a n c e a n d H,r((O ) c o n t a i n s al l t he
f r e q u e n c y d e p e n d e n c e o f ZT(~)). Us i n g t h e d e f i n i t i o n s o f t h e v a r i o u s q u a n t i t i e s ,
3 This choice of normalization differs from that used in [4.26].
100 R. G. Smith and S. D. Personick
equat i on (4.5) for the response to a single i nput pulse reduces to
. s 'H , , , , ( c ') ) = ( M ) (~Tqv) b R T H r ( o g ) H p ( o ') .
Defining
(4.29)
OF
(4.29) reduces to
s = ( M ) ( ~ v , ) R T b (4.31)
and relates t he magni t ude of the peak out put vol t age to the i nput power.
Wi t h t he definition of ZT(OJ), (4.28), and HT(~)), (4.30), the noise sources
given by (4.1 l, 18, 20) can be evaluated. As HT({o ) is defined above, t he vari ous
integrals will explicitly depend on the width of the time slot T. Thi s dependence
can be fact ored out in a simple manner by defining a normal i zed frequency
variable
f {~) o) T
Y = B = ~2~B - 2r: (4.32)
2~y
T
With this change of variables we can define t wo new functions,
I H ( 2 r c y l ( 4 . 3 3 )
1 H [2~Y 1
The t ransfer function is then given by
H:r(y ) -
(4.34)
(4.35)
HT(O) ) (4.30)
Receiver Design for Optical Fiber Communication Systems 101
With these definitions the dar k current , shunt and series noise cont r i but i ons are
given by
~ 2
( "Is ) d a r k . . . . . . t = 2q[lm( M2 ) + I~] R2BI2 ( 4 . 3 6 )
( l 1 2 ) s h u n t - d(ia)eq R 2 B I , ( 4 . 3 7 )
df
( H 2 ) s e r i c s d(l?2> g 2
= d f ~ 2 B 1 2 ( 4 . 3 8 )
g i n
d ,, ~2,,
+ ( 2 X C T ) Z ~ R Z B 3 1 3 ,
aj
where the 12 and 13 are definite integrals given by
co
12 = .[ [H'T(y)12dy ( 4 . 3 9 )
0
13 = IH'w(y)[2 y2 d y . (4.40)
0
Because of the nor mal i zat i on of H:r(y) the values of these integrals depend onl y
on the relative shapes of the i nput and out put pulses: the dependence on the
time slot width T - B t is cont ai ned in t he B and B 3 coefficients in (4.36 38).
The noise ill the out put at time t due t o the incident optical signal P(t ), is
f ound by subst i t ut i ng (4.7) i nt o (4.11), performi ng t he requi red Four i er
t ransforms, and using the definitions of the vari ous quant i t i es to give
e x p E O 2 = y / r l ( , - k r ) l H ; ( y ) E n ( y ) . u . O l d ? } . (4.41)
Thi s noise source is pr opor t i onal t o B as are the ot her shunt cur r ent noise
terms, and it is seen to depend in a detailed manner not onl y on the value of the
received pulse within t he time slot of interest but it cont ai ns cont r i but i ons f i om
all ot her time slots weighted by the t erm in braces. It is conveni ent to separat e
the summat i on over k i nt o t wo part s : t he first part being the cont r i but i on from
the signal in the time slot in quest i on, and the second part the cont r i but i on due
to t he signal in all ot her time slots. The first term, eval uat ed at t =0, the poi nt of
maxi mum signal, is
[ nq~.M ' ,,O 2B , h
< 1 1 2 ( 0 ) > = ./-,q / ] ~ V ) k, ~ 2 1 % T I 1 v , ( 4 . 4 2 )
102 R. G. Smith a n d S. D. Personick
where b is the value of the received signal, b=b(0) or b(l), and 11 is given by
I, = Re j" Hv(y ) [H'T(y )* H'r(y) ] dy, (4.43)
0
where Re indicates t aki ng the real part. This expression is seen to be similar in
form to the expression for the dark current noise with the pri mary current being
given by (nq/hv)b but with a weighting factor I~. As in the case of the definite
integrals 12 and 13, 11 depends onl y on the relative shapes of the input and
out put pulses.
The remaining term, resulting from the cont ri but i ons from the other time
slots, cannot be evaluated wi t hout knowledge of all the b k. The worst case
condi t i on can be found if it is assumed t hat in all other time slots the maxi mum
value of b, b,,,~ x is present. In this case the worst case noise at t =0 is given by
(4.44)
where
~ t = l / 2 ~ , H ' p ( k ) [ H ; r ( k ) , H : t , ( k ) ] (4.45)
k = - - ,x,
and I~ is defined above.
In summary, the maxi mum signal and the noise terms at the out put are
given by
s = ( M ) [ ' l q ] R T b ( 4 . 3 1 )
\ / ~ , , /
. f q\
= zq t w] ( M 2) R Bl xb
(due to signal in time slot) (4.42)
(4.44)
(4.36)
(4.37)
( qql ( M2 ) R-~Bb . . . . (~., - Ix)
< , , ~ ( o ) ) . . . . . , . . . . = 2 q \ h ~ q
(due to signals in other time slots)
(n2(O)),,;,,-k ........ t = 2q [ I , , ( M 2) + 1,3 R~ BI 2
d(iZ)~q RZBI 2
('2(O))~h"'-- 4f
( / 1 2 ( O ) ) s e r i c s _ _ d ( c 2 ) 2 BI2 B313 l
(![" RT ~ i 2 +(2rtCv)2
(4.38)
~ n ' ( ) ) t o t a l = ~ t 7 2 ( 0 ) ) s i g n a l -~- ( ] ' l s ' ) d a r k . . . . . . t + (n2)~hu,u + (nZ)~ri,~ . ( 4 . 2 1 )
Receiver Design for Optical Fiber Communication Systems 103
Fr om these expressions and the knowl edge of the coefficients of the vari ous
noise t erms the per f or mance of the receiver can be evaluated.
The signal and noise quant i t i es have been expressed in terms of t hei r values
at t he out put of t he linear channel. Since t he signal is an i nput current it is
conveni ent to define these quant i t i es at the input r at her t han at the out put .
Because I t , 12,13 and ~ depend onl y on the pulse shapes, the onl y par amet er
of the linear channel remai ni ng in the above definitions is R T. Since the signal
and rms noise are bot h pr opor t i onal to R T it can be fact ored out of all the
expressions yielding equi val ent i n p u t signal and noise currents. The equi val ent
i nput signal cur r ent is t hen
Isle, = ( M ) ~hv] b (4.46)
and t he vari ous noise t er ms referred t o t he i nput are given by
( i 2 ( 0 ) ) = 2 q ( 7 q ] ( M 2 > b l , B (due to signal in time slot)
\:Tvj
(4.47)
(due to signals in ot her time slots) (4.48)
i" - 2 q [ l m ( M 2 ) + I , ] B I 2
< , , ) , , ~ r ~ . . . . . . , - -
(4.49)
2 -- d(i2)eq
(1 >.hun, d f B I 2 (4.50)
d < e ~ ) [ B I 2 + ( 2 n C T ) 2 B 3 1 3 ]
(4.51)
f f i z ( 0 ) ) t o t . ] = < i ~ ( 0 ) ) i 2 ~ .
+ ( s >dark . . . . . . t + (/' >shum + (i2>series (4.52)
V a l u e s o f I i , 1 2 , 1 9 ,
The values of the definite integrals 11, 12, 13 and the sum ~1 have been
eval uat ed by P e r s o n i c k [4.26] for several i nput and out put waveforms and
these results are summari zed here.
In choosi ng the shape of the out put pulse it is desirable to define a funct i on
which will have its maxi mum val ue at the cent er of the time slot in quest i on and
have zero value at the cent er of all ot her time slots. In this way the out put
signal, but not necessarily the noise, at t he cent er of the kth time slot is due onl y
to the i nput power in the kth time slot. This is anot her way of saying t hat for the
assumed pulse shape t he i nt er symbol interference is zero.
104 R. G. Smith and S. D. Personick
:
H ~ ) u T ( Y } l
/
./3 = O.1 ~.-~ , , ~ . , , . s i n ( ' n ' t / T ) c o s ( ~ r l ~ | / T )
0 . 3 ~ / 7 I ' ~ . ~ h O O T " ' = / r | , T [ , _ ( 2 / ~ t / T ) 2 ]
, . o f [ \
i
- ~ = = ' - " ~ r - 2 ~ - - i " I ~ " - z - - " v ~ ' T 3 y " ~ " - ' ~ T 1
h o g T ( t )
0'30.1
",.J,', I / 7 / Vi~. 4.4. Frequency domain, time domain and eye
" K~ diagram representations of raised cosine family
I (Copyright 1973 (1978) AT&T Co. Reprinted by
W O R S T - C A S E E Y E D I A G R A M S permission from Bell Syst. Tech.)
One class of function which satisfies the above criterion and which also
tends to minimize the noise is given by the "raised cosine" family defined by
(4.53)
for which the normalized fourier transform is given by
(1 - f l )
H , , , , , ( y ) = J 0 < lY[ <
=1/ 2 1- s i n roy 2~j) l
#- ,
l - # l+#
2 < r y r < ~ -
=0 otherwise. (4.54)
Tile pulse shapes, normalized Fourier transforms and eye diagrams for this
family of pulses with fi=0.1, 0.3 and 1.0 are shown in Fig. 4.4.
Three different input pulse shapes are considered, The first is a rectangular
pulse which fills a fraction c< of time slot. Such a pulse might be expected when
the transmitted pulse has sharp leading and falling edges and the pulse remains
undistorted in passing through the transmission medium.
Receiver Design for Optical Fiber Communication Systems 105
I l l a : 0 ' 2 (:z=1 I
I I I , , -
- r T
I - ( I T
hp ( t ) = T F O R T < I < ' ~ , 0 OTHERWISE
/a
=0.2
I \
-T hp(t)= 2_~aEXP {_12/[2((~T)2] } T
T
T 2T
, . ( I ~: " Ex~ {-,,loT] }
Fig. 4.5. Input pulse families (Copyright
1973 11978) AT&T Co.)
The second i nput pulse family consi dered has a gaussian shape. Received
pulses appr oxi mat i ng this shape mi ght be expect ed if t here is consi derabl e
mode mixing in the fiber medi um [-4.28]. The third family of pulse shapes are
exponent i al s which mi ght be charact eri st i c of a t ransmi ssi on medi um which
i nt roduces dispersion into the t ransmi t t ed pulse. Typi cal pulse shapes al ong
with t he anal yt i cal definition of these pulses are f ound in Fig. 4.5. The
par amet er cx is a measure of the fract i on of the time slot occupi ed by the pulse.
With these definitions for the assumed pulse shapes the values of I 1, 12, /3
and ~ i are f ound in Fig. 4.6-17.
In the case of the rect angul ar family it is seen t hat the values of the four
quant i t i es of interest are relatively insensitive to t he fl' action of t he time slot
occupi ed by the i nput pulse. The values of / 1 and ~ i are bot h close to 0.5 over
the range 0 <c~ =< 1. Thus, the cont r i but i on to the noise from pulses in adj acent
time slots, which is pr opor t i onal to ~ - 11 is small, especially f o r / / = 1.0. Since
12~0. 5. the noise associ at ed with the dar k cur r ent and shunt cur r ent gene-
rat ors has an effective noise bandwi dt h B~rr~0.5B. The integral 13 varies
between 0.03 and 0.08 and is very nearl y but not exactly equal to B 2 r r / 3 which
would be the case if HT( ~ ) were a perfect low pass filter.
Whereas the vari ous integrals and t he sum Y'n are relatively insensitive t o
for rect angul ar pulses, they are seen to increase qui t e rapi dl y in the case of
gaussian pulses for c~ >0. 5. When ~=0. 5 the val ue of a given pulse is 0.135 of its
maxi mum value at the cent er of the adj acent time slots. In or der to satisfy the
r equi r ement of zero i nt crsymbol interference at the out put , the equal i zer plus
106 R. G. Smith and S. D. Personick
0 d. ~ 7 o o
d-
d 0 ~
o
d 0
N N
d d "
I ~ I 2 i I i i I i i I ~ ~ . ~
o q d o
d
i
I ~ ~ - / I I I i I I i I
0 0 0 0 0 0 ~ N )0
oo o o do d 0 o o o ~ 0~ - o
w~
>
Receiver Design for Optical Fiber Communic~fion Sys{cms ~07
0,1
o
,o, ~. ~0
c5~
,~ ~ - - '._ ~ ~ ~.
d d d q ~
o d
o
d " - - o
,
o ~ ' o ~ ' 4
o
d ~
d
I
o
d
l I i i I l l I i /
0 0 0 0 0 0 ~ oa ~ LO
r ~
k~
co
~o
d - - -
. ko
~0..d
o,
H-
g
o
o
I I I
Lq, ~ 04
O0 0 0
~. ~ i ~ , . . . ~
o o
In,
t
o~
~6
. I -
P
~<
.~c~
108 R. G. Smith and S. D. Personick
5 0
4 0
30
2 0
1 0
5
"r 2 4
5
2
t
0 5
0. 4
O-~
0. 2' 0
1(3
I 3 o
0 2
05:
0
0. 0
O)4
0.0.3
0. 02
( 2
1 2 3 4 5
I I l I I ~ = 0 . 1
0.5,1.0
~
1.0
I I I I I
0. 2 0. 4 0. 6 0. 8 1. 0- 1. 2
( 2
( 2
1 2 3 4 5
I I I = t B = I . 0
0.1
0.5
~=1. 0
0.5
o ' . ~ o ' . , o ' . ~ o ' . ~ 1 ' . o 1 . ~
(2
Fig. 4. 16. Exponent i al f ami l y 12 vs c~
and fl ( Copyr i ght 1973 (1978) AT &T
Co. )
Fig. 4. 17. Exponent i al f ami l y 13 vs
and f l ( Copyr i ghl 1973 (1978) AT &T
Co.)
filter must reshape the pulse, emphasizing the high frequency components of
the input signal, thereby increasing the effective bandwidth and the values of
the noise integrals. The implication of the increase in 11, 12, 13, ~ is an increase
in the noise of the receiver and a corresponding decrease in sensitivity.
Consider the same reasoning from the point of view ot the frequency
domain. The Fourier spectrum of the out put pulse is specified by its assumed
shape. Whcn the input pulse is narrow in time, i.e., ~ 0 , its spectrum is broad
0
>,
~ - 2 0
- 30
- 4 0
0
GAU $SIAN
Cl~ 0
~20
110
10o
90
80
7O
6O
5O
40
3 Q
2O
10
0
- 20
- 5 0
- 40
R E C T A N ~
I I I t I I I ' I I ~ I
0, t 0. 2 0.3 0. 4 0. 5 0. 6 0. 7 0.8 0.9 1.0
Y
Fi g. 4. 18. No r ma l i z e d t r a ns f e r
f unc t i on f or t he r e c t a n g u l a r f ami l y.
[~ ~ 1.0, :~ = 0.5, 1.0
Receiver Design for Optical Fiber Communication Systems 109
I r I I I I I I I
0.1 0.2 05 04 0.5 06 0.7 0.8 0.9
Y
Fig. 4.19. Normalized mmsfer function
to for the gaussian family, fl = 1.0, ~ ~ 0.5, 1.0
and the shape of H'TO') appr oaches t hat of H'ou,0'), permi t t i ng the rnaxi mum
amount of filtering and hence mi ni mum noise. When the i nput pulse br oadens
in time its spect rum narrows, limiting t he amount of filtering t han can be
empl oyed, resulting in increased noise. The case of t he ideal gaussian pulse
t ends to exaggerat e this effect since for a given pulse width in time, t he
fi' equency spect rum tends to be relatively nar r ow and falls off rapi dl y with
frequency. Figures 4.18, 19 show pl ot s of H~r(y ) for the rect angul ar and gaussian
families with [ t = 1.0 and e =0 . 5 and 1.0. Whereas HT(Y) for the rect angul ar
family falls off smoot hl y with frequency, the t ransfer function for the gaussian
110 R. G. Smith and S. D. Personick
( a ]
IE(~)I~ / <~'>
{b)
Vou 2
Iin
(c)
(e} to
/
IHTi
( f )
<e a > I H T L 2 ~
o (g)
-
< e i > IH T et
(d) (~ (h ) ,.~
Fig. 4.20a-h. Frequency dependence of signal
and noise in fi'ont end circuit: (a) system
response at inpul of equalizer; (b) response
of equalizer; (e) system response at output
of equalizer: (d) system response at output
of fiher and output noise spectrum of shunt
current generator; (e) spectrum of series
noise generator at oul pul of amplifier; (f)
spectrum of series noise contribution at
output of equalizer; (g) spectrum of series
noise contribution at output of filter with
equalization ratio of 2; (h) spectrum of series
noise contribution at output of filter with
equalization ratio of 10
f ami l y s hows a rise in t he r es pons e r esul t i ng f r om t he f a l l of f of H' p( y) - whi ch is
r equi r ed t o mi ni mi ze t he i nt e r s ymbol i nt erference. I n a pr act i cal si t uat i on,
recei ved pul ses whi ch ma y a p p e a r gaus s i an will in all l i kel i hood not r equi r e t he
a mo u n t of equal i zat i on pr edi ct ed by t hi s i deal i zed case.
The val ues for t he var i ous quant i t i es f or t he . exponent i al fami l y, s hown in
Fi gur es 4. 2- 14 t h r o u g h 4. 2- 17 s how a de pe nde nc e on c~ whi ch is less d r a ma t i c
t han f or a gaus s i an but mor e r api d t ha n f or t he r e c t a ngul a r fami l y.
Bit Rat e Dependence of t he Noi s e
In t he pr ecedi ng t he o u t p u t noi se has been f or mal l y eval uat ed in t er ms of t he
spect r al densi t i es and t he wei ght f unct i ons of I t , 12, 13 a nd ~, l t he var i ous noi se
sour ces. Fr o m t hese resul t s it is seen t ha t all t he s hunt noi se t er ms c ont r i but e t o
t he o u t p u t noi se in di r ect p r o p o r t i o n t o t he si gnal i ng r at e or b a n d wi d t h B. Thi s
resul t s f r om t he fact t hat t he s hunt noi se s our ces see t he s ame t r ans f er f unct i on
as t he si gnal cur r ent and t he b a n d wi d t h o f t he t r ansf er f unct i on is p r o p o r t i o n a l
t o t he si gnal i ng rate. On t he ot her hand, t he series noi se ge ne r a t or does not see
t he s ame t r ans f er f unct i on as t he s hunt cur r ent ge ne r a t or s and cont r i but es a
t er m t o t he noi se pr opor t i ona l t o t he cube of B. Thi s de pe nde nc e can be
expl ai ned as follows.
Let t he i nput a dmi t t a nc e t o t he pr eampl i f i er be a si mpl e RC ci r cui t in whi ch
case t he i nput vol t age due t o t he si gnal a nd s hunt noi se sour ces will fall off
b e y o n d m = ( RC) - 1 due t o t he s hunt i ng effect of t he i nput c a pa c i t a nc e as s hown
in Fig. 4.20a. Ch o o s i n g t he equal i zer t o cor r ect f or this fal l -off in r esponse, t he
Receiver Design for Optical Fiber Communication Systems 111
t ransfer funct i on of the equal i zer is shown in Fig. 4.20b, and the t ransfer
funct i on of t he system at the out put of t he equal i zer is given in Fig. 4.20c. The
filter response and hence the overall system response H T t aken from Fig. 4.4, is
shown in Fig. 4.20d.
The out put noise spect rum of the shunt noise sources is given by the
pr oduct of (c) and (d) assumi ng t he spect r um of t he noise cur r ent is flat - and
hence pr opor t i onal to the integral of t he t ransfer funct i on which is pr opor t i onal
to B.
In the case of the series noise gener at or the noise vol t age at the amplifier
i nput will be i ndependent of frequency, Fig. 4.20e, assumi ng the i nput admi t -
tance t o the ideal amplifier is zero. The effect of the equal i zer is t hen t o
accent uat e the high frequency component s of the noise as shown in Fig. 4.20t".
The spect rum of this noise t erm at the out put of the filter has the shape shown
in Figs. 4.20 g, h for the cases when the cor ner frequency of the i nput admi t t ance
and hence the equal i zer is equal to 0. 5B and 0.1 B, respectively. Assuming the
same i nput noise generat or, the out put noise, pr opor t i onal t o t he areas under
these curves, is clearly seen to depend upon the degree of equal i zat i on
empl oyed. The integral is easily seen t o cont ai n a t erm pr opor t i onal t o B a
resulting from t he .1.2 dependence of t he equal i zer response. Since the magni-
t ude of this t erm depends quadr at i cal l y t he l ocat i on of the zero of t he i nput
admi t t ance it t hus depends on the squar e of the i nput capaci t ance, given
anal yt i cal l y by (4.38).
Thi s noise t erm is often referred to as the capacitive noise, since it depends
on the i nput capacitance. Physically this noise does not result from the
capaci t or, which is a noiseless element, but r at her from the equal i zat i on
requi red t o over come the shunt i ng of t he signal by this capaci t ance.
Noise Corner Frequency
The i nput or out put noise expressions cont ai n t erms pr opor t i onal to B and B 3.
Wi t hout knowi ng the magni t udes of the t erms involved it is not clear which
t erm will domi nat e. A conveni ent means for discussing the i nput noise is
t hr ough the concept of the noise cor ner frequency defined below.
Consi der the noise t erms which are i ndependent of the signal. The shunt
noise cur r ent densi t y is given by d ( i 2 ( ( o ) ) e q / d f and the series vol t age gener at or
is equi val ent to a shunt cur r ent gener at or given by d(e2(~o))/df[Yi,(~,o)l 2.
Assuming d ( i 2 ( o ) ) ) c q / d f and d(e2,({o))/t!/" t o be i ndependent of frequency the
t ot al equi val ent i nput noise cur r ent is then of the form
d (i2((O))toia i =Ao +A2c,)2 '
d f
where
A _ d . , 1 d ,
o- 4f + a7 <e:(.,)>
112 R. G. Smith and S. D. Persouick
and
A ~ = C " ~t < d ( , o ) >
" d r ' "
The noise cor ner f r equency. ] ~ is defined as t hat frequency for which the val ue
of the noise is twice the low frequency value, and is given by
1 d ( i 2 ( u ) ) ) c q / d f 1 ] 1''2
I L - 2 n C . , I ~ / ( d ( ~ o ) ) / a f + ~ 1 "
( 4 . 5 5 )
Under most ci r cumst ances the first t er m in the radi cal domi nat es si mpl i fyi ng
the expressi on somewhat .
The quest i on of whet her the B or B a t erm in the noise domi nat es is
det er mi ned by the rel at i on bet ween the noise cor ner frequency and t he
si gnal i ng rat e B. When .1~ > B the noise spect ral densi t y is nearl y const ant over
the r ange of HT(~o) and the noise is pr opor t i onal to B. When.li,~ <~ B, the f 2 t erm
in (4.20) domi nat es the noise which is t hen pr opor t i onal t o B s. When .f.~ < B
bot h t er ms cont r i but e nearl y equal l y to the t ot al noise. The quest i on of whet her
./',~ <, = or >B can be si mpl y answered f r om the knowl edge of the noise sources
and the definition of.f,~ given by (4.55). We shall now t urn to the eval uat i on of
the noise sources for FET and bi pol ar amplifiers.
4 . 3 No i s e o f F E T and Bi pol ar Ampl i f i e r s
In tile precedi ng section the noise of the syst em, referred bot h to the out put ,
(4.21, 36 38, 42, 44), and to the i nput of the l i near channel , (4.47 52), has been
present ed in t er ms of the spect ral densities of the noise sources, the bit r at e B,
and the weight funct i ons 11, 12, 13 and ~ . The noise will now be eval uat ed for
the specific cases of a c ommon sour ce FET and a c ommon emi t t er bi pol ar, the
most c ommonl y used confi gurat i ons.
4.3.1 FET Front End
The c ommon source conf i gur at i on for the i nput ampl i fi er when using an FET is
shown in Fig. 4.21, where the resi st or R e represent s the parallel combi nat i on of
resistors used to bi as the gat e of the t r ansi st or and to pr ovi de a dc ret urn pat h
for the det ect or current . The pri nci pal sources of noise in this circuit are the
t her mal noise of the equi val ent resi st or R L, the shot noise associ at ed with gat e
v i i
Receiver Design for Optical Fiber Communication Systems 113
R t .
VDD
Fi g . 4 . 2 1 . Schematic representation of FET fi'ont end
i l l c o m r n o n s o u r c e C O l l f i g t l r a l i o n
l e a k a g e c u r r e n t a n d t he noi s e a s s o c i a t e d wi t h t he c ha nne l c o n d u c t a n c e 4. Th e
e q u i v a l e n t i nput s hunt c u r r e n t d e n s i t y is gi ven by [4. 29, 30-1
d 2 4 k T
d f ( i )~hu,,t= -R-~ +2ql g~, ~, (4.56)
whe r e I~,~c is t he ga t e l e a k a g e c ur r e nt . Th e c h a n n e l c o n d u c t a n c e c o n t r i b u t e s a
noi s e c u r r e n t at t he o u t p u t of t he F E T wi t h a s pe c t r a l d e n s i t y
d ( i a ) , , u m, t / d f =4 k T Fg m whe r e gm is t he t r a n s c o n d u c t a n c e of t he device, F is a
n u me r i c a l f a c t or ~ 0 . 7 f or Si devi ces a n d F. . ~I . 1 f or Ga As F E T s [ 4. 31] .
Re f e r r i ng t hi s o u t p u t c u r r e n t s our c e t o t he i nput of t he a mpl i f i e r gi ves a ser i es
vol t a ge s our c e wi t h a s pe c t r a l d e n s i t y s
d z 4 k T F (4.57)
dJ " < e " ) = g i l l
Un d e r mo s t c i r c u ms t a n c e s t he i n p u t a d mi t t a n c e of t he F E T wi l l be c a pa c i t i ve ,
hence
Y,, =j ~, ) C, , (4.58)
Ri. , = RL, (4.59)
a n d
C T = C d + C~ + C, , (4.60)
whe r e C,, is t he s um of t he g a t e - s o u r c e a n d g a t e - d r a i n c a p a c i t a n c e s .
4 Some devices exhibit l / f noise which is not explicitly considered here. See [.4.29-1.
5 The use of this equation in (4.51) gives the correct expression for the series noise contribution,
(4.61), where C 1, is the actual capacitance at the input. The Miller effect, which, increases the
effective input capacitance, when explicitly taken into account, modifies (4.51, 57) and (4.71),
below, in such a way that the Miller effect cancels out, yielding correct expressions with its
neglect.
l l 4 R. G. Smith and S. D. Personick
T h e n o i s e d u e t o t he a mp l i f i e r a n d b i a s r e s i s t o r , r e f e r r e d t o t he i n p u t , f o u n d
f r o m (4. 50, 51) a n d ( 4. 56- 59) is g i v e n b y
(i2)circuit \ ~ - L +2q/ g; , , 12B{~h~,,tl
4 k r r I l a B ]
+ .q-~LR~ + ( 2 lZCT)2I~B ( ~ , . (4. 61)
R e a r r a n g i n g t h e t e r ms a c c o r d i n g t o t h e i r bi t r a t e d e p e n d e n c e (4. 61) b e c o me s
2 r i k T ( , r
< '
+ 4k TF (2~CT)2 13 B3 . (4. 62)
,l~ ] I I 1
Mi ni mum FET Noi s e
F o r mo s t we l l - d e s i g n e d c i r c u i t s gmRL> 1 a n d f o r Si d e v i c e s / g a t e is s ma l l a n d
ma k e s a n e g l i g i b l e c o n t r i b u t i o n t o t h e n o i s e 6. Us i n g t h e s e a p p r o x i m a t i o n s
()4kT (2~CT)213B3"gm (4. 63)
( i 2) ~i r ~ui t ~ RL 12B+4kTF
As (4. 63) is wr i t t e n , t h e f i r st t e r m is t h e n o i s e c o n t r i b u t e d b y t h e b i a s c i r c u i t wh i l e
t h e s e c o n d t e r m is t he c o n t r i b u t i o n o f t he a c t i v e de vi c e . T h e s e c o n d t e r m t h u s gi ve s
t h e a b s o l u t e m i n i m u m n o i s e wh i c h t he f r o n t e n d c a n a c h i e v e i n t h e l i mi t R c - ~ oo,
(i2)circuit. mini . . . . . = 4kTF (2rt Cv)2 13 B 3 . (4. 64)
gm
T h e m i n i m u m v a l u e is o f t e n u s e d t o c a l c u l a t e t h e l i mi t i n g s e n s i t i v i t y o f F E T
r e c e i ve r s . F r o m (4. 64) it is s e e n t h a t t he l i mi t i n g c i r c u i t n o i s e f or a n F E T v a r i e s
a s B ~ a n d a l s o a s C~/,O,,,. A f i g u r e o f me r i t f o r a n F E T f r o n t e n d is t h u s g i v e n b y
gm ( F E T ) . (4. 65)
F i g u r e o f Me r i t = C ~
6 Gate leakage is not negligible in GaAs FETs at this time. A discussion of the effect of leakage
current is given below.
Receiver Design for Optical Fiber Communication Systems 115
Since C. r cont ai ns cont r i but i ons f r om bot h the det ect or (plus parasi t i cs) and the
t ransi st or, and since the t r ans conduct ance and capaci t ance of an FET are bot h
appr oxi mat el y pr opor t i onal to the gat e width, an FET desi gned t o opt i mi ze the
figure of meri t woul d have C a =( C a +C0 .
Example
The mi ni mum circuit noise for an FET, (4.64) cal cul at ed as a funct i on of the bit
rat e B for the fol l owi ng assumed val ues of the circuit par amet er s, assumi ng a
2N4416 j unct i on FET,
C,, = 4.5 pF
Ca = l pF
C s = 0.5 p F
gm= 6 mS = 6 mmh o
F =0. 7
k T = 4 . 1 4 x 10 - 2 1 J
13 = 0 . 0 3 (Rectangular Pulse)
is given by
2 =8. 24 x 10 -23 B3[ Mbi t - s - 1] [ A2] .
(1)ci rcui t , minimum
In the above expressi on the bit rat e B is expressed in Mbi t - s 1 and the i nput
noise current densi t y is expressed in A 2. The i nput noise is pl ot t ed in Fig. 4.22
as a funct i on of the bit rat e B.
Effects of Thermal and Shot Noise
Equat i on (4.64) gives the mi ni mum syst em noise assumi ng t hat t her mal noise of
t he resi st or and shot noise due to gat e l eakage ar e negligible. We now exami ne
the limits on R c and / g a t e such t hat t hei r cont r i but i ons to the noise are
negligible.
The cont r i but i ons t o the circuit noise f r om R c and Ig,, are given by
4k T + 2ql~ate) I z B
(4.66)
and are seen t o var y l i nearl y with bit rate. The t her mal noise cont r i but i on of a
resi st or R and the shot noise cont r i but i on of a cur r ent 1 are equal when
4 k T
- 2ql
R
116 R. G. Smith and S. D. Personick
, o -,~ . _ o ~ 4 " Y / / .
% 2o _ / " ~o ~ ~/ / _ /
8, o v _ / / jy.~*/__ / / "
m
/
2.."/
/
,o V o.' o' .
I / /
, . %/ / . : o.o
I 0 2 5 ~
0 I $ ~0 100
BI T RATE 6 [ M b l s }
Fig. 4.22. Effective i nput noi se cur r ent vs
bit rat e for an FET front end wi t h pa r a m-
et ers i ndi cat ed. Also shown is effective
i nput noi se cur r ent for shunt resi st or or
l eakage current . Tot al noi se is gi ven by
t he sum of alI cont r i but i ons
or
2k T
I R- - 5 . 2 x 10 -2 [ V] . (4.67)
Thi s relation, often referred to as the 50 mV rule, st at e t hat the equi val ent noise
resi st ance of a cur r ent I is appr oxi mat el y 50mV/ I . Thus a cur r ent of 1 laA
cont r i but es the same noise as a 50 kf l resistor.
Taki ng 12 =0. 5 ( Rect angul ar Pulse), the noise as a funct i on of bit rat e for
vari ous val ues of R L (and l~,t~) are shown as dashed lined in Fig. 4.22. The
difference in bit rat e dependence bet ween t her mal or shot noise and mi ni mum
FET noise is clearly seen, The effects of R L and Ig,,e may be easily seen f r om the
figure. Assume for exampl e t hat a systern is to be oper at ed at a dat a rat e of
I Mbi t . s - 1, for which the mi ni mum FET noise is appr oxi mat el y 10 - 2z A 2. At
this poi nt the noise is equal to t hat of a resi st or of 108 Q or a l eakage cur r ent of
500pA. Thus to reach the mi ni mum achi evabl e noise level, limited by the
channel noise of the FET, it is necessary the Re>> 108~ and I~t~ < 500 pA. In
many cases achi evi ng or exceedi ng these limits may be i mpossi bl e in which case
the act ual circuit noise will be domi nat ed by R L or l~,t~. It shoul d al so be not ed
t hat nonmul t i pl i ed dar k cur r ent of the det ect or cont r i but es noise with the same
weight funct i on and bit rat e dependence as the gat e l eakage cur r ent and t hus
the same const r ai nt s appl y.
At hi gher bit rat es the rest ri ct i ons on R E and l eakage current s become less
severe due to the differing bit rat e dependences of the noise sources. A general
V b i o s
_k
T
Recei ver Desi gn for Opt i cal Fi ber Co mmu n i c a t i o n Sys t ems
Vcc
117
b rbJb b t
i s C d + C ~ RI_ C a r b t e
0
F i g . 4. 23. Schemat i c r epr es ent a-
t i on of bi pol ar f r ont end in c om-
mon emi t t cr conf i gur at i on
rel at i on t hat must be satisfied for resist, or noise to be less t han t hat of t he FET
is
g ml 2 1
Re> F(2~CT)213 B2. (4.68)
The cor r espondi ng rel at i on for l eakage cur r ent is
I < 2kTF(2~ZCT)213 - B 2 . (4.69)
q,qmI 2
4.3.2 Bipolar Front End
The common emi t t er confi gurat i on for the i nput amplifier is shown in Fig. 4.23,
where the resistor R e represents the parallel combi nat i on of resistors used to
bias the base of t he t ransi st or as well as the phot odet ect or . For the bi pol ar
t ransi st or t he domi nant sources of noise are t he shot noise associated with the
base and col l ect or current s and t he t her mal noise of t he base resistance, rh. b 7.
In t he common emi t t er confi gurat i on the shot noise of the base cur r ent is
model ed by an equi val ent shunt cur r ent gener at or with a noise cur r ent spect ral
density given by
d
d~ (i2)shun' = 2qlu'
(4.70)
(base current )
7 Conf i gur a t i ons ot he r t ha n c o mmo n s our ce a nd c o mmo n emi t t er ar e di scussed in [4. 32].
118 R. G. Smith and S. D. Personick
where I b is the qui escent base current . The shot noise of the col l ect or cur r ent
appear s as a current source at the out put with a spectral densi t y
d 2
~ : f ( i )ou~vu, = 2 q I ~ (collector current )
where I~ is the quiescent col l ect or current . Referring this noise gener at or t o the
i nput gives an equi val ent series noise gener at or with a spectral densi t y given by
d 2 2 q l ~
d f ( e a ) = 2 (4.71)
gm
where gm is the t r ansconduct ance which in t urn is given by
q l (4.72)
g i n - - k T "
The i nput admi t t ance of the t ransi st or at the i nt ernal base cont act (lead
and package capaci t ance are consi dered to be included in the st ray capaci t ance)
is given by
1
Y,, = - - + j w C , , (4.73)
F b '~
where C~ includes base-emi t t er and base-col l ect or capaci t ances and rb, ~ is the
dynami c base-emi t t er resistance,
rh'~ = f i g (4.74)
fl is the small signal bet a of the t ransi st or and G is the Shockl ey emi t t er
resistance
1 k T
G - - (4.75)
gm q l ~ "
The t ot al i nput admi t t ance is t hen given by
Y i n = " ~ +Ja)C' r (4.76)
and
C T = C O + C~ + C. , (4.77)
Receiver Design for Optical Fiber Communication Systems 119
where now the stray capacitance C'~ includes t hat port i on of the t ransi st or input
capacitance associated with leads and package.
Using st rai ght forward circuit analysis, the base resistance noise, which
appears as a noise voltage generat or connected between the internal and
external base leads, can be model ed as an equivalent series voltage generat or
given by
d ,2 d Yiy~ 2
~ f ( % ) = ~ f ( e 2 ) ,
(4.78)
where
1
!
Yi, = w- +fin(Ca + C;)
tx L
(4.79)
and
d
d ~-=g < eb ) 2 = 4k ' ] ? ' b ' b " (4.80)
The effective i nput noise of the amplifier may be found from (4.50, 51) using
(4.70, 71, 78). The equivalent i nput noise current is given by
< i 2 ) c i r c u i t - = 2 q l t , Bl 2 (base current) (4.81)
2ql [ ( 1 + 1 ]2BI2+(2gCT)ZBaI3] (col l ect orcurrent )
+ [kK "b'o/
+4kTJ'b,bl~/L22 +(2g)2(CdWC~)2B313]. (base resistance)
Opt i mum Col l ect or Current
Exami ni ng (4.81) it is seen t hat the first and second terms depend explicitly
upon the operat i ng point, i.e., collector current of the transistor, the base
resistance t erm is essentially i ndependent of I c except as rb, b might vary with
specific biasing conditions.
The base current noise, being proport i onal to I b is t hus proport i onal to the
collector current. On the ot her hand, since the t ransconduct ance, gin, is
proport i onal to the collector current, the collector current noise is inversely
proport i onal to I c. Thus there exists all opt i mum collector current which
minimizes the sum of the collector and base current cont ri but i ons to the noise.
By differentiating (4.81) with respect to lc and neglecting the variation of C a
1 2 0 R . G. S m i t h a n d S . D. P e r s o n i c k
with 1~, which does not significantly alter the results, the opt i mum col l ect or
cur r ent is found to be
_ k T . 2 x C T f l U Z B ( I 3 ] 1 /2 [
I . . . . . . . . . . . . q \ I ~ / 1
12/13 ] 1 / 2
+ ( 2 x ~ 0 2 j (4 .8 2 )
where
I c
f l O = l b = h F E " ( 4 . 8 3 )
The opt i mum col l ect or current t hus varies di rect l y as the bit rate, directly as the
t ot al i nput capaci t ance and as the square r oot of the bet a of t he transistor.
Minimum Bipolar Noise
At this opt i mum col l ect or cur r ent the base and col l ect or cur r ent noises are
essentially equal and are given by
2 k T ( 2 r C C T ) ( I 2 1 3 ) l / 2 [ I 2 / 1 3 ]
< i 2 ) h a s e = f l l o / 2 1 + ( 2 r c B C T R L ) 2
i 2 .
( )Ct)III2CtI)F = (i2). . . ~
1 / 2
( 4 . 8 4 )
In general the value of tile t erm in bracket s is close to uni t y and for most
ci rcumst ances may be set equal to one.
At the opt i mum bias poi nt the t ot al circuit noise referred to the i nput is
given by
2 - ( 8 x k T ) " ( 1 2 1 3 ) 1 / 2 B 2 1 + ( 2 1 r B C T R L ) 2 ] < l > c i r c u i l , o p t i m u m - -
\ 1 " 0 /
+ 4 k ~ 'b ,b I-~ //- + ( 2 7 ~ ) 2 ( C 3 q - C s ) 2 I d B 3 ] . (4.85)
In the limit t hat RL--* oo, the mi ni mum circuit noise for the bi pol ar t ransi st or is
given by
< i 2 > ~ , r , : , i , , = ( 8 ~ k T ) ( ~ l ( I 2 1 3 ) t ' 2 B 2
mini . . . . \ r i O / /
+ 4k'/?'wh(2'~) 2 ( C , j + C ~ ) 2 1 3 B 3 . ( 4 . 8 6 )
Receiver Design for Optical Fiber Communi cat i on Systems 121
Excl udi ng t he cont r i but i on f r om the base resistance, which in most, but not all,
instances will be small, t he mi ni mum noise is seen t o var y as the square of the
bit rat e in cont r ast t o a cubi c dependence for t he FET, and linearly with
capaci t ance compar ed to a quadr at i c dependence for the uni pol ar device. An
appr opr i at e figure of meri t for the bi pol ar t ransi st or is
Fi gure of Meri t = [3~'2 (Bipolar). (4.87)
Cv
The fact t hat the bit rat e dependence of the noise of t he bi pol ar front end is
slower t han for the FET results in the bi pol ar device pr oduci ng lower noise
circuits at hi gher bit rates, whereas the FET is superi or at low bit rates. The
principal reason for the superi ori t y of the bi pol ar device at the hi gher
frequencies derives from the ability to increase the t r ansconduct ance of the
device by increasing t he col l ect or current , t hereby reduci ng t he cont r i but i on of
the series noise gener at or which varies as B 3.
B a s e R e s i s t a n c e N o i s e
Since the noise cont r i but i on of t he base resistor is i ndependent of the col l ect or
cur r ent it is not subject to the above opt i mi zat i on. It is thus of interest to
exami ne under what ci rcumst ances base resistance noise will pl ay a maj or role
in det ermi ni ng receiver noise. Equat i ng the base resistance noise to the sum of
the base and col l ect or cur r ent noises in the limit of large R L gives
c , ( 1 2 1 ,,,2
rb'bB---- 2 n ( C d + ~ s ~ I'O \ I 3 ]
t,-.p ]2 [~ 1/2
( 4. 88)
Using [2 =0. 5 and 13 =0. 03 (the rat i o is r easonabl y const ant for varyi ng pulse
shapes), and expressing the capaci t ances in pF, (4.86) results in t he appr oxi mat e
formul a
rb, bB=6. 5 X 1011 CT
/3~/2(Co + C, ) 2 . (4.89)
As an exampl e choosi ng CT=6 p F , Ca + C' s = 4 p F and /3o= 100, the poi nt at
which the base resistance noise equals the ot her noise sources satisfies
rb, bB=2. 4 X 101
Thus at a bit rat e of 100 Mb i t . s - 1 the effect of base resistance will begin to
domi nat e an opt i mal bi pol ar receiver when r b, u=240~. At a bit rat e of
300Mbi t . s -a the cor r espondi ng val ue is 80f~. It shoul d be not ed in passing
t hat for a nonopt i mal receiver t he effect of base resistance is cor r espondi ngl y
less i mport ant .
122
~6 s
oc
10 - 5
o
t66
R. G, Smith and S, D. Personick
I I
C T = 6 P F
/ ;::7:o
I 2 = 0 5
/
i I I I I t i I I I I I I I
10 t 0 0 1000
BIT RATE B IMDIs)
Fig. 4.24. Opt i mum col l ect or cur r ent for
bi pol ar f r ont end
Example
As an exampl e the opt i mum bias cur r ent and the mi ni mum circuit noise for a
bi pol ar t r ansi st or in the limit RL~ oo are pl ot t ed in Figs. 4.24, 25 usi ng the
following par amet er s
C T = 6 pF
C a + C~ = 4 pF
#o = 1 O0
r w, = 100f~
I 2 =0. 5
13 =0. 03
for which case the opt i mum bias cur r ent is given by
I .............. = 2 . 4 x 10-6 B [ A]
and the mi ni mum noise by
<i 2)ci rcui , , mini . . . . . . ---7.65 X ] 0 - 2 1 B e
+ 3 . 1 4 x 1 0 - 2 3 B 3 (base resistance) [ A: ] ,
where B is expressed in Mbi t . s - L Also shown as a dot t ed line in Fig. 4.25 is the
limiting behavi or when rwb =0. The effect of the base resi st ance noise is seen to
Recei ver Desi gn for Opt i cal Fi ber Co mmu n i c a t i o q Sys t ems 123
I o - 1 4
1(5 t 5
t o - I ~
==
1517 u
z t0-18
t 0 - 1 9
~ o - 2 o
o -"- J
/
/ ~ ~'( CT=6P F
Cci+C~=4p F
/ ~ o - i O o
,C,OO
"r 2=0.5 , "r3:0.03
| 6 " " ~
t " l o l O O ~ o 0 o
BIT RATE B (Mb/s)
Fig. 4.25. Effective i npul noi se cur r ent
vs bi t r at e for an opt i mi zed bi pol ar
f r ont end wi t h pa r a me t e r s i ndi cat ed.
Effective i npul noi se cur r cnl is al so
s hown. Tot a l noi se is gi ven by t he
SUITI of all c ont r i bul i ons
become significant for B~ 3 0 0 Mb i t . s -1 in agr eement with the pr ecedi ng
ar gument . For reasons of compl et eness the noise associ at ed shunt resi st ance or
l eakage cur r ent s ot her t han base bi as cur r ent al r eady specifically included, is
shown in the figure. As wi t h the FET, the differing dependences on bit rat e of
t he noise sources is seen.
4. 3. 3 F ET vs Bi po l a r Front Ends
The mi ni mum circuit noise for the FET and the bi pol ar front ends are given by
(4.64, 86). The noise in the case of t he FET vari es as B 3 whereas the dependence
is B 2 for t he bi pol ar when l'b'b is small and B 3 when base resi st ance noise
domi nat es. Hence at low bit rat es the FET is super i or whereas at hi gher bit
rat es the bi pol ar device pr oduces super i or per f or mance. The cr ossover fre-
quency at which poi nt the per f or mances are equal is given by equat i ng t he
above expressi ons and for t he t wo exampl es given occurs at 93 Mbi t . s i when
rb, b = 0 and 150 Mbi t . s ~ when Yb'b = 100 ~'~. Dependi ng on the specific as s ump-
t i ons r egar di ng par amet er val ues the cr ossover occurs ar ound 5 0 Mb i t . s t
within a fact or of 2. For silicon FET' s high frequency oper at i on is al so limited by
the finite gai n of the first st age (fixed 9,,) whi ch i ncreases the cont r i but i on of
subsequent st ages to the t ot al noise.
124 R. G. S mi t h and S. D. P e r s o n i c k
4. 4 Front End Designs
In the previ ous sections the basic noise propert i es of front ends have been
discussed in detail. In this section several al t ernat i ves for front end designs are
discussed and their features cont rast ed. The designs discussed are the high
i mpedance or i nt egrat i ng front end and the t r ansi mpedance or cur r ent - t o-
voltage convert er. The noise charact eri st i cs as well as ot her propert i es of these
designs are compar ed with a t hi rd al t ernat i ve which uses an amplifier with an
i nput t er mi nat i on chosen to pr ovi de a bandwi dt h great er t han or equal to t he
chosen bit rate.
4. 4. 1 St rai ght f orward Termi nat i on
The most st rai ght forward - but not necessarily the opt i mum met hod of
designing a front end is t o t ermi nat e the i nput to the preamplifier with a l oad
resistor, RL, such t hat in conj unct i on with the i nput capaci t ance, C, r, the
bandwi dt h of t he i nput admi t t ance is equal to or great er t han the bit rate, B.
This requires
1
R L < 2 r c B C , r . (4.90)
One appr oach woul d be to use a st andar d 50 f* ternaination pr ovi ded (4.90) was
satisfied, and the second to satisfy the equal i t y in the above equat i on. In ei t her
case t he i nput signal woul d be passed with good fidelity t hr ough the amplifiers
requi ri ng little or no equal i zat i on. The final filter woul d then do the pulse
shapi ng and noise filtering with F ( ( o ) ~ - Hv ( w ) . The advant age of this appr oach
is its simplicity.
The i nput noise associated with t he l oad resistor R L is given by
4 k T
2 - - - . B I 2 . (4.91)
( 1 ) l o a d resi st or-- RL
When R L is chosen to satisfy the equal i t y in (4.90) the noise becomes
( i 2 ) l o a d r e s i s t or = 41 T ( 2 n C T ) B 212 (4.92)
while for a t ermi nat i on of 5 0 ~ the noise is given by (4.91) with RL=5 0 ~ . In
general the noise associated with ei t her of these choices of R L will exceed the
mi ni mum value achi evabl e with an FET or an opt i mi zed bipolar. Compar i ng
(4.92) with the mi ni mum noise achi evabl e with an FET, (4.64) gives
2 g m l 2
( l ) l o a d resistor __ (4.93)
2 F(2nCT)I3B
( l ) mi n i . . . . FET
and in the limit t hat rb, b is small the equi val ent rel at i on for a bi pol ar at
opt i mum col l ect or current , (4.86), is given by
i 2 / I \ ~ / 2
( ),o~ros~s.,r
= f l ~ / 2 [ ~ _ } . (4294)
(i2)minimum. Bipolar k/ a]
Receiver Design for Optical Fiber Communication Systems 125
For t he par amet er values selected as exampl es in t he previ ous sections t he l oad
resistor noise is appr oxi mat el y 40 times t hat of the opt i mum bi pol ar at any bit
rat e whereas for t he FET it is 103 times great er at 4 Mb i t . s - ~ and 100 times
great er at 4 0 Mb i t . s ~. Thus the simplicity of this appr oach is paid for by a
consi derabl e increase in the circuit noise over t hat pot ent i al l y achievable.
4.4.2 High Impedance or Integrating Front End
The second appr oach to the design of a front end is to reduce all sources of
noise t o the absol ut e mi ni mum. Whet her using a bi pol ar or an FET i nput
device this is accompl i shed by reduci ng the i nput capaci t ance t hr ough t he
selection of low capaci t ance, high frequency devices, by selecting a det ect or
with low dar k current s, and by mi ni mi zi ng the t hermal noise cont r i but ed by the
biasing resistors [4.26, 29, 30, 32-36]. The l at t er is accompl i shed by maki ng R L
large which is the reason this appr oach is referred to as a high i mpedance front
end. When the i nput resistance is large the i nput admi t t ance is domi nat ed by
the capaci t ance C T and t he signal cur r ent t ends to be i nt egrat ed by this
capacitance. Thus, t he high i mpedance front end is also commonl y referred to
as an i nt egrat i ng front end. It is i mpor t ant to not e t hat the i nt egrat i on of t he
signal is a consequence of havi ng made R L large as a part of the process of
minimizing the circuit noise and is not t he reason low noise is achieved.
In the high i mpedance front end the equal i zer plays the essential role of
rest ori ng the i nput pulse shape which was di st ort ed due to the limited
bandwi dt h of the i nput admi t t ance. In many cases the equal i zer takes t he form
of a simple di fferent i at or, which at t enuat es t he low frequency component s of
the signal, rest ori ng a flat t ransfer funct i on to the system [4.33]. The equal i zer
woul d nor mal l y follow the first few stages of ampl i fi cat i on and hence woul d
add little noise to t hat al ready present due to t he cont r i but i ons of the front end.
A high i mpedance-equal i zed amplifier is t hus capabl e of reduci ng the circuit
noise to an absol ut e mi ni mum while ret ai ni ng a t ransfer funct i on t hat preserves
t he i nf or mat i on cont ai ned in the signal. It does, however, have several
dr awbacks discussed below.
The first probl em with this appr oach lies with the need to posi t i on t he zero
of the equal i zer to compensat e for the zero of t he i nput admi t t ance. Since the
l ocat i on of the i nput zero depends upon the values of C T and R~,, which in t ur n
depend on the values of parasi t i c capaci t ances, and in t he case of bipolars on
the/3 of the t ransi st or, it will in general vary from unit to unit. Thus, individual
amplifiers may need to be i ndi vi dual l y equalized, and this equal i zat i on may
have t o be t emper at ur e compensat ed, increasing the compl exi t y and cost of
such an appr oach. The exactness with which equal i zat i on must be achieved
depends upon the amount of the signal spect r um near the cut-in frequency of
the equalizer. For bal anced signals, with appr oxi mat el y equal number s of
marks and spaces, the low frequency por t i on of t he signal spect rum is small and
exact equal i zat i on may not be i mport ant . Scrambl i ng of the signal is one
met hod of obt ai ni ng such bal ance ; using bal anced codes is anot her.
126 R. G. Smith and S. D. Personick
The second dr awback of the high i mpedance front end is t hat it has r educed
dynami c range (ratio of maxi mum to mi ni mum i nput signals) compar ed to
ot her appr oaches [4.6, 37, 38]. The loss of dynami c range occurs because the
charge on the i nput capaci t ance, and hence the i nput voltage, builds up over the
course of a number of i nput time slots, greatly exceeding t he charge and vol t age
associ at ed with a single i nput pulse 8. Al t hough the equal i zer subsequent l y
restores the pulse shape, the bui l dup of t he low frequency component s within
the circuit pri or to the equal i zer can lead to pr emat ur e sat ur at i on of the amplifiers
at high i nput signal levels.
The reduct i on of dynami c range depends upon the amount of i nt egrat i on
and subsequent equal i zat i on empl oyed. In the case of the FET f r ont end if t he
resisto? R L is chosen such t hat its noise is equal to the mi ni mum FET noise,
t her eby doubl i ng t he t ot al noise, the amount of equal i zat i on requi red, defined
as the rat i o of the bit rat e B to the 3 dB frequency of the equal i zer (or the i nput
circuit) is given by (4.93). Thus at a bit rat e of 4 Mbi t . s - 1 t he i nput admi t t ance
woul d have a zero at 4 kHz requi ri ng an equal i zat i on of 1000:1. The amount of
equal i zat i on woul d be 100:1 at 40 Mbi t - s 1. I f on the ot her hand it was desired
to make the noise cont r i but i on of R L equal to 10% of the FET t hen the t ot al
noise is reduced by 45% and t he degree of equal i zat i on requi red woul d be
increased tenfold.
In t he case of a bi pol ar front end increasing R e reduces its cont r i but i on to
the noise while R~, asympt ot i cal l y reaches t he dynami c i mpedance of t he
j unct i on, rh, . In this case the noise appr oaches the mi ni mum val ue for a bi pol ar
front end while the equal i zat i on rat i o takes on a value given by (4.94). The
equal i zat i on rat i o is thus i ndependent of the bit rate but does depend
specifically on t he [ / o f the transistor. As a general rule, for fixed bias voltages
the dynami c range will be smaller the great er the amount of equal i zat i on
empl oyed.
The high i mpedance front end thus provi des the means for achi evi ng the
ul t i mat e in low noise front etads but with reduced dynami c range and t he
possible requi rement of i ndi vi dual l y equal i zed amplifiers. In appl i cat i ons
requi ri ng the ul t i mat e in sensitivity it does achieve the best performance.
4.4.3 Transimpedance Amplifier
The t ransi mpedance or shunt feedback amplifier is the most commonl y
empl oyed front end design used in optical fiber appl i cat i ons I-4.6, 37-41].
Shown schematically in Fig. 4.26 it is basically a cur r ent - t o- vol t age convert er.
In the limit of large l oop gain t he relation bet ween the out put vol t age and the
i nput cur r ent is given by
V,,ut = -- ZFiin, (4.95)
8 It is possible to actively discharge the input capacitance - integrate and dump - bot this adds
considerable complexity and will not be considered further.
Receiver Design for Optical Fiber Communication Systems 127
ZF
o
Vo
-(D
Fig. 4.26, Simplified representation of
the traasimpedance amplifier
where Z v is the effective feedback i mpedance from the out put to the i nput of the
amplifier. The t ransi mpedance amplifier is finding widespread use because it is
capable of wide bandwidths, provides a greater dynami c range t han the high
i mpedance approach [4.6, 38, 41] and has a noise performance which can
approach t hat of the high i mpedance front end, al t hough in many applications
nonopt i mi zed designs are used [4.38].
The bandwi dt h, or more properly, the transfer function of the t ransi mped-
ance amplifier is det er mi ned by the details of the circuit design and the
part i cul ar value of the component s used. Wi t h the simplifying assumpt i on of
large l oop gain, where (4.95) applies, the frequency response is governed by the
response of Z F, which is usually comprised of a feedback resistor, RF, and a
capacitance C v. Since the feedback capacitance will in general be smaller t han
the input capacitance, and can be made exceedingly small t hrough the use of a
cascode design, the bandwi dt h will be greater t han for a similar amplifier which
does not use feedback and has its i nput t ermi nat ed with R L = R v. The use of
feedback t hus provides for increased bandwi dt h.
The basic sources of noise for this t ype of amplifier consist of cont ri but i ons
from det ect or leakage, the i nput t ransi st or and the feedback resistor R F. The
effective input noise is given by the relations given in Sect. 4.3 for FET and
bipolar transistors where now R L is replaced by R v, the feedback resistance.
Thus the noise of a t ransi mpedance amplifier is the same as t hat of a high
impedance front end if R v = R L.
In practice the noise performance of t ransi mpedance amplifiers is not as
good as t hat achieved with the high i mpedance approach. The principal reason
for this results from the effect R F has on the frequency response of the amplifier.
Equat i on (4.95) is onl y an appr oxi mat i on to the actual response of the
t ransi mpedance amplifier in the limit of infinite l oop gain. In practice the gain
of the amplifier is finite and at high frequencies may not be much greater t han
100. The actual transfer function is composed of two or more poles and may
cont ai n zeros. For a fixed open loop gain it is well known t hat increasing the
feedback resistance (for fixed CF) tends to make the pole locations complex, and
under some conditions, make the amplifier oscillate. Thus, there is some
practical limit to how large R F can be made. This limit depends upon the details
of the circuit and t hus all t hat can be said here is t hat since R v cannot be
1 2 8 R. G. Smi t h a n d S. D. Pe r s oni c k
increased indefinitely its cont r i but i on to the noise will have a pract i cal l ower
limit. Thus, the noise of the t r ansi mpedance amplifier will always exceed, to
some extent, t hat of the high i mpedance front end.
The dynami c range of the t r ansi mpedance amplifier is great er t han t hat of
the high i mpedance front end. Thi s arises as follows: In the high i mpedance
front end the low frequency component s which are at t enuat ed by the equaliza-
tion process cause sat urat i on of the amplifier pri or t o t he equal i zer at high
signal levels. In the t r ansi mpedance amplifier at t enuat i on of t he low frequency
component s is accompl i shed via the negative feedback and hence the low
frequency component s are amplified by the cl osed-l oop, not the open- l oop gain
of the amplifier. For a given amplifier the i mpr ovement in dynami c range will
be appr oxi mat el y t he rat i o of the open- and cl osed-l oop gains.
4. 4. 4 Experimental Results
The precedi ng material has discussed the noise characteristics of front ends
from a t heoret i cal poi nt of view. We shall now t urn to the measurement s of this
noi se; t hree procedures will be descri bed:
The first pr ocedur e is to directly measure the noise at the out put of t he
linear channel with a t rue RMS vol t met er. With a knowl edge of the magni t ude
of the t ransfer function of the system this noise can be referred to the i nput of
the linear channel as an effective i nput noise cur r ent density. While this
t echni que is st rai ght forward it does requi re an accurat e knowl edge of the gain
and frequency response of the vari ous amplifiers in the receiver.
The second technique, a modi fi cat i on of the first, utilizes a p-i-n det ect or as
the light detecting element. The amplifier noise is first measur ed with t he
det ect or in the dar k and subsequent l y with t he det ect or i l l umi nat ed with a
const ant intensity light source. If I o is the cur r ent at which the t ot al noise of t he
system doubl es t hen t he effective i nput noise of the circuit is given by
( i 2 ) c i r c u i t = 2 q l o B e f r c c t i v c ,
where Beff~tiw is the effective bandwi dt h of the system including the filter. The
effective bandwi dt h of the system can in t urn be det er mi ned by measuri ng the
response of the system t o a modul at ed light source or by injecting white noise
into the i nput (such as with an i l l umi nat ed APD oper at i ng at high gain) [4.38].
The effective bandwi dt h is then given by
Hr(f)df
Berf - o (4.96)
H,r(0) '
Receiver Des i gn for Opt i cal Fi ber Communi cat i on Syst ems 129
Table 4.1. A compari s on o f theoreti cal and experi ment al resul ts o f first stage noi s e for several front end
desi gns operating from 3 to 274 Mbi t . s
Entry Bit rate Signal k~rmat 12 I~ Recei ver t ype; Cal cul at ed Measured Ref.
No. i nput devi ce noi s e first noi se
Input Out put st age
pul se pul se
[Mbit. s - I ] [A 2] [A2]
I 3 NRZ NRZ 0.55 0.085 Optimized 1. 34xl 0 - ' 2. 24x10 -2 [4.41]
Trans. hnped.
Si FET
2 6.3 RZ RZ 0.31) 0.13 High. lmped. 1.59x10 1, 2. 12x10 i~ [4.32,33]
Si FET 1.6 xl 0 -19 [1)
3 44.7 NRZ NRZ 0.68 (2) Nonoptimized 1.89x10 '~' 2 x 10 -~t' [4.38]
Trans. l mped.
Si Bi pol ar
4 50 RZ NRZ 0.40 0.036 High hnped. 1.44x 10 - 17 1.46x 10 - ' v [4.32.35]
Si FET
5 274 NRZ NRZ 0.55 0.085 Si Bi pol ar 5.3 x 10 -I~' 2.4 xl 0 ,s [4.32,34]
1.76x 10 15 (1)
6 274 NRZ NRZ 0.55 0.085 Ga As FET 1.3 xl 0 - I s 6.2 xl 0 ,5 [4.32.34]
3.0 xl 0 -I5 (1)
(1) Contribution o f first stage.
{2) Series noi se cont ri but i on negl i gi bl e for this nonopt i mi z e d desi gn.
where HT(0) is t he a s y mpt o t i c val ue o f t he transfer f unc t i on at l o w frequenci es.
For a di gi tal s ys t em des i gned t o ope r at e at a bi t rate B, (4. 96) reduces t o
Bef f ecl i v e = BI 2 . (4. 97)
It s ho ul d be no t e d t hat a l t h o u g h t hi s t e c hni que e mpl o y s a s hunt current
generat or t o det ermi ne t he s ys t em noi s e it meas ures bo t h s hunt and series
c o nt r i but i o ns t o t he ci rcui t noi s e.
The t hi rd t e c hni que e mpl o y s t he me as ur e me nt o f recei ver s ens i t i vi t y
( di scussed i n t he next s ect i on) t o infer t he ci rcui t noi se. Thi s t e c hni que is mos t
easi l y i mpl e me nt e d by use o f a p- i - n det ect or, a l t h o u g h an AP D o pe r a t i ng at
l o w gai n ma y be used. Thi s t e c hni que has t he di s advant age t hat , be i ng i ndi rect ,
it c a n n o t separat e o u t ot her effects - s uc h as pi ckup - whi c h mi ght affect
sensi t i vi t y. In wel l - engi neered s ys t ems all three me as ur e me nt t echni ques ,
properl y perf ormed, gi ve ext remel y g o o d agreement .
Tabl e 4.1 present s t he resul ts o f meas ured and cal cul at ed noi s e perf ormance
o f f ront ends des i gned for di gi t al s ys t ems ope r at i ng at bi t rates f rom 3 Mb i t . s -
t o 274 Mb i t . s - t [ 4 . 3 2 - 3 5 , 38, 41] . Al t h o u g h n o t a c ompr e he ns i ve s umma r y of
all repeat er des i gns it doe s serve as a basi s o f c o mpa r i s o n o f t he or y and
experi ment . I ncl uded i n t he t abl e i n a ddi t i o n t o t he noi s e val ues are t he
s i gnal i ng f ormat ( RZ or NRZ) , t he a ppr o x i ma t e val ues o f t he i nt egral s 12 and
130 R. G. Smith and S. D. Personick
Vbias
,A/v
+5V
: OUTPUT
Fi g. 4. 27. Ci r cui t di a gr a m of
t r a ns i mpe da nc e ampl i f i er used to
obt a i n da t a s h o wn in Figs. 4.28, 29
13 , the t ype of i nput device empl oyed and the type of circuit design: high
i mpedance, opt i mi zed t r ansi mpedance and nonopt i mi zed t ransi mpedance. It is
seen t hat the agreement between the t heoret i cal and experi ment al results is very
good, especially at bit rates bet ween 6. 3Mbi t . s -1 and 50Mbi t . s - t . At the
lowest bit rate, 3 Mb i t . s -1, the devi at i on is 2. 2dB, possibly due to the
cont r i but i on of the feedback resistor, while at the highest bit rat e the
di screpancy is somewhat great er (5. 2dB for the bi pol ar and 3. 6dB for the
GASFET) due possibly to the neglect of parasitic resistances or the use of an
oversimplified model for the transistor. In general, however, the present model
does provi de good engi neeri ng number s for all but t he most exacting
application.
Optimized Transimpedance Amplifier
The high i mpedance front end achieves the lowest effective i nput noise as st at ed
previously. Tr ansi mpedance amplifier designs do not generally appr oach t he
low noise levels achieved with the high i mpedance appr oach and hence it is
often implied t hat the t r ansi mpedance amplifier shoul d not be empl oyed when
a t rul y low noise design is required. Reference t o entries 3 and 4 in Tabl e 4.1
woul d suggest t hat a t r ansi mpedance amplifier using bi pol ar t ransi st ors
(entry 3) is appr oxi mat el y one or der of magni t ude mor e noisy t han a high
i mpedance design using an FET when oper at i ng at nearl y the same bit rat e
(entry 4).
The frequency response and noise propert i es of a t r ansi mpedance amplifier
similar t o t hat used in ent r y 3 have been studied as a funct i on of t he biasing
condi t i ons of the i nput t ransi st or [4.42]. A circuit di agram of the amplifier is
shown in Fig. 4.27. The frequency response of the amplifier is charact eri zed by
t wo real poles, S t and S 2 whose l ocat i ons are shown in Fig. 4.28 as a funct i on of
the feedback and col l ect or resistors R v and R c. R v was set equal t o R c for
conveni ence in these experiments. Bot h pole l ocat i ons are seen to vary inversely
as the resistance level. An amplifier with a domi nant pole at 50 MHz coul d be
designed, for example, with RF = Rc = 6 k ~ ) whereas for Rv = Rc = 2 5 k ~ t he
domi nant pole is at 12.5 MHz with the subsidiary pole l ocat ed at 50 MHz. For
such an amplifier a simple, single zero equal i zer can be used to cancel t he effects
of the domi nant pole Sj resulting in an amplifier with a frequency response
Receiver Design for Optical Fiber Communication Systems 131
4 0 0
2 0 0
I00
e0
::- 60
o
<~ 40
g
._i
o
~ ] I I I l
- $z -
'! I
2 4 6 B t 0 2 0 4 0 6 0 8 0 t 0 0
R F : R c ( k , P . )
Fi g. 4. 28. Po l e h ) c a t i o n s o f trans-
impedance a mp l i f i e r vs Rv f or
p a r t i c u l a r c h o i c e Rv = Rc
Iu I5~ , 1 i ' i ' ' ' r i i t i r
~ \ BASE CURRENT +
I "-. FEEDBACK RESISTOR NOISE
- - t 6 1 \ C U R R E N T /
B_ ~ 4 : r M _ b / s " ~ _ ~ - - - > _ _ / ~ "
CT= 3 . 9 pF k~ / "
a. ~ I0 I? ~ : 1 4 0 ~j x/ o MEASURED
rl:j b= 9011 / .~.
z 12 =0.52 / \
/ "\
I 3 = 0 . 0 9 / \
/ \
/ ' B A S E RESISTANCE NOISE \ .
/ t ,.,,
/ ,....
/ \
i ~ 1 8 ~ i , f i I I h I I k I I t \ . l ,
1 0 t 0 0
RF: Rc(k 9,)
' 1 0 0 0
Fi g. 4. 29. Contributions to i n p u t
n o i s e from various noise s o u r c e s .
Da t a a r e shown f or a n l p l i f i c r wi t h
d o mi n a n t p u l e e q u a l i z e d to
. / ~ 50 M Hz
do mi na t e d by t he s ubs i di ary pol e S 2. Equa l i z a t i o n o f t he s e c ond pol e is al s o
possi bl e.
The meas ured effective i nput noi s e current for a receiver ope r at i ng at
45 Mb i t . s - 1 is s h o wn i n Fig. 4. 29 a l o ng wi t h t he cal cul at ed noi s e resul t i ng f rom
t he base current, f eedback resistor, c ol l e c t or current and base resi st ance
132 R. G. Smith and S. D. Perso~lick
cont ri but i ons. For resi st ance val ues gr eat er t han 6 kf L single st age equal i zat i on
was empl oyed to equalize the domi nant pol e to a frequency equal t o or gr eat er
t han 50 MHz.
At low values of R o and hence high col l ect or current s, the cal cul at ed noise
is domi nat ed by the shot noise of t he base cur r ent and t her mal noise of t he
feedback resistor. At high resi st ance val ues the noise is domi nat ed by shot noise
of t he col l ect or current . The mi ni mum noise, occur r i ng for R c = R v = 44 k~,
(I c =801aA), has a val ue of 2.5 10 17 A2 which is a fact or of 8(9dB) bel ow the
nonopt i mum design r epor t ed in Tabl e 4.1 and a fact or of 1.7 (2.3 dB) great er
t han ent ry 4 of t hat same table. At this opt i mum poi nt 50 % of the noise is due
to t he col l ect or current , 16% t o the base cur r ent and 34')(, to the feedback
resi st or 9.
The measur ed noise in these exper i ment s is f ound to be in close agr eement
with t heory, except at the highest val ues of col l ect or resi st ance where the dat a
fall s omewhat bel ow t heory, due pri nci pal l y to the reduct i on in the noise
bandwi dt h due to the effect of the unequal i zed subsi di ar y pole. These dat a serve
to demons t r at e t hat usi ng a modes t a mount of equal i zat i on in this case a
fact or of four - the noise of the t r ans i mpedance ampl i fi er can closely a ppr oa c h
t hat of the high i mpedance front end which, in the case of ent r y 4, used an
equal i zat i on rat i o of gr eat er t han 1000:1. The measur ed loss in dynami c range
of the t r ans i mpedance ampl i fi er wi t h Rv = Rc = 2 5 k O compar ed to a si mi l ar
uni t using 4 kf~ resi st ors is 2 5 / 4 =8 dB.
4.5 Sensitivity of Digital Receivers
In the t ype of digital syst em bei ng consi der ed the i nf or mat i on is t r ansmi t t ed as
a series of mar ks and spaces occur r i ng at a rat e B. At the receiver the opt i cal
signal will be at t enuat ed f r om t hat t r ansmi t t ed and may al so be di st ort ed. It is
the j ob of the digital r egener at or t o det er mi ne whet her a mar k or a space was
t r ansmi t t ed and to regenerat e the i nf or mat i on wi t h a mi ni mum pr obabi l i t y of
error. The er r or pr obabi l i t y is often measur ed in t erms of a bit er r or rat e (BER)
which is given by the r at i o of bits i ncorrect l y identified to the t ot al number of
bits t ransmi t t ed. Typi cal bit er r or rat e r equi r ement s are in the r ange of 10- o to
10-15 dependi ng upon the appl i cat i on.
The sensitivity of a receiver is defined in t er ms of thc received opt i cal power
requi red t o achi eve t he desired BER. Thi s power is often meas ur ed in dBm
where 0 dB m cor r es ponds to 1 mW of opt i cal power at the receiver. One of the
goal s of receiver design is to mi ni mi ze the a mount of power requi red t o achi eve
the desired objective, t hat is, to maxi mi ze the sensitivity.
Receiver sensitivity depends upon t he t ot al noise of the f r o , t end, i ncl udi ng
the noise associ at ed with the signal, and on the t ype of det ect or empl oyed and
9 When RI;=R c the thermal noise of R F is not negligible and (4.83) for the optimum collector
current and (4.84) for the tolal noise must be modified.
Recei ver Desi gn for Opt i cal Fi ber Communi cat i on Syst ems 133
Sll)
s( o)
2 G I
2%
D E C I S I O N L E V E L
PNOI~ABIL FTY
Fig. 4.30. Pr obabi l i t y di st r i but i on func-
t i on for two level digital signal. E. t is
pr obabi l i t y of falsely i dent i fyi ng a space
and El o is pr obabi l i t y of falsely identi-
fying a nlark, o- o and a, ar e t he rms noi se
levels associ at ed wi t h t he signal levels
its properties. Di st or t i on of the received pulse will also affect the receiver
sensitivity ei t her t hr ough increased noise associated with pulse equal i zat i on
(see Sect. 4.2), or t hr ough i nt ersymbol interference resulting from imperfect
equal i zat i on. In this section the sensitivity of a receiver will be eval uat ed for the
case of an undi st ort ed pulse with the effects of di st or t i on consi dered in mor e
detail in a separat e section.
4.5.1 Gaussian Approximation
Al t hough the assumed t ransmi t t ed signal consists of t wo well-defined light
levels, the signal plus the noise at the receiver will not be as well defined and
may be charact eri zed in terms of a pr obabi l i t y densi t y funct i on (PDF). This
probabi l i t y density funct i on describes the pr obabi l i t y t hat t he out put vol t age
You , (or i nput cur r ent il, ) has a value v (i) within the i ncrement al range d v ( d i ) .
Figure 4.30 indicates graphi cal l y the form such a PDF mi ght take. The details of
the PDF depend upon the statistics of the signal, the statistics of t he det ect or
134 R. G. Smith and S. D. Personick
especially for an APD - and the statistics of t he non-si gnal -dependent noise
sources.
The t hermal and shot noise sources of the amplifier are well descri bed by
gaussian statistics where the noise is charact eri zed by an rms noise vol t age
(current). On the ot her hand t he statistics of t he optical signal are Poi sson in
nat ur e while t hose of the aval anche process are charact eri zed by a PDF which
has been anal yzed by several aut hor s but which is not easily expressed in a
simple anal yt i cal form [4.18, 27, 43 51].
In or der to handl e the sensitivity cal cul at i on exactly it is necessary to use
the vari ous statistics in a consi st ent manner. To dat e such an appr oach has
proven difficult and has requi red digital comput at i on to i mpl ement it [4.46].
On the ot her hand, the use of gaussian statistics is relatively st rai ght forward
and yields simple anal yt i cal solutions. It has been shown, however, t hat the
results obt ai ned by assumi ng all statistics are gaussian yield predi ct i ons in close
agreement with t he exact calculation, especially for the range of par amet er s
encount er ed in optical fiber systems [4.46].
Because of t he comput at i onal simplicity and the close agreement with bot h
the exact t r eat ment and experi ment al results, gaussian statistics will be used
here. The receiver sensitivities cal cul at ed will generally be within 1 dB of t hose
cal cul at ed by ot her met hods; significant devi at i ons bet ween comput at i onal
t echni ques occur pri nci pal l y in t he areas of the det er mi nat i on of opt i mum
aval anche gain and in predicting the opt i mum l ocat i on of the decision level of
the decider circuit [4.46]. These latter t wo par amet er s are easily subject to
experi ment al det er mi nat i on in the design of an actual system and, when
opt i mi zed, lead to experi ment al l y det er mi ned sensitivities in ext remel y close
agr eement - usual l y within 1 dB - with those cal cul at ed by the simplified t heory.
Ret urni ng to Fig. 4.30 let t he expect ed values of the signals in the t wo
t ransmi t t ed states by s(0) and s(1) and assume the PDFs of the t wo states to be
2 and a 2. Since the noise in each signal state cont ai ns gaussian with variances a o
cont r i but i ons pr opor t i onal to the signal, a o and a~ will not in general be equal.
With a decision level D, located as shown in the figure, the probabi l i t y t hat a
signal t ransmi t t ed as a space is falsely identified as a mar k is pr opor t i onal t o the
area E0~ in the figure. Similarly the probabi l i t y t hat a mar k is i ncorrect l y
identified as a space is pr opor t i onal to the area E~o. The t ot al pr obabi l i t y of
er r or is t hen given by
p( E) = p(O)E o, + p(l )E ~ o,
(4.98)
where p(0) and p(l) are the probabi l i t i es the space and mark are t ransmi t t ed
and Eol and El o are the probabi l i t i es t hey are misidentified.
When t he statistics are assumed to be gaussian t he probabi l i t y a mar k or
space is i ncorrect l y identified, P(E) is given by
P( E) = 1 7 (x2/2)
~2~_ Q e - d x ,
(4.99)
1 0 - 5
I 0 - 6
1 0 - 7
10 . 8
tl_
I 0 - 9
w
10 - I 0
k -
I
d
i 0 - 1 1
Q::
o . i 0 - 1 2
IO-L3
10- 14
I l I
Recei ver Desi gn for Opt i cal Fi ber Co mmu n i c a t i o n Sys t ems
I I l I I
135
1 0 - 1 5 I
4 5 5 5 5 6 6 . 5 T 7 . 5 8
O
Fig. 4.31. Pr obabi l i t y of er r or vs Q
where
Q = Io - sll (4.100)
O" i
and s i and o- i are the expect ed val ue and st andar d devi at i on of the ith signal
level. To an excellent appr oxi mat i on
l e - ( g2/ 2)
P( E) = ; (4.101)
Q
Fig. 4.31 shows P(E) vs Q. Fr om this figure it is seen t hat for Q =6, P( E) ~ 10- 9
and P( E) = 10-15 cor r esponds to Q = 7.9. Because of the rapi d vari at i on of P(E)
with Q, a val ue of Q=6 , yielding a BER of 10 - 9 will be used in performi ng
numeri cal examples.
When the statistics are gaussian the value of the variance, o -2, is equal to the
mean square noise associated with the signal level. Thus t he val ue of 0 "2 will be
given by (4.21) when the signal and noise voltages are referred to the out put and
by (4.52) when t hey are consi dered as i nput currents.
Before proceedi ng to tile cal cul at i on of receiver sensitivities it is of interest
to consi der what limits exist for t he ul t i mat e sensitivity of a digital receiver. The
136 R. G. Smith and S. D. Personick
l i mi t i n g c a s e will o c c u r wh e n t he n o i s e o f t h e a mp l i f i e r is r e d u c e d t o z e r o a n d
t h e t r a n s mi t t e r s e n d s s o m e f i ni t e p o we r wh e n t h e s i g n a l is a m a r k a n d z e r o
p o we r wh e n t he s i g n a l is a s p a c e . Si nc e i n t hi s i d e a l c a s e t h e c i r c u i t n o i s e o f t h e
r e c e i v e r is i d e n t i c a l l y z e r o it is o n l y n e c e s s a r y t o d e t e r mi n e wh e t h e r a t l e a s t o n e
p h o t o e l e c t r o n is g e n e r a t e d a t t h e d e t e c t o r i n o r d e r t o d e c i d e i f a m a r k h a s b e e n
s ent . I f o n t he a v e r a g e N p h o t o e l e c t r o n s a r e g e n e r a t e d wh e n a m a r k is r e c e i v e d ,
t h e n t he p r o b a b i l i t y t h a t z e r o p h o t o e l e c t r o n s a r e g e n e r a t e d i n a g i v e n i n t e r v a l
c h a r a c t e r i z e d b y a m a r k is e x p ( - N) . F o r a p r o b a b i l i t y o f e r r o r e q u a l t o 1 0 - 9,
21 p h o t o e l e c t r o n s , on t h e a v e r a g e , mu s t b e g e n e r a t e d i n t h e d e t e c t o r f o r e a c h
m a r k t r a n s mi t t e d . As s u mi n g a n e q u a l p r o b a b i l i t y o f m a r k s a n d s p a c e s t h e
a v e r a g e r e c e i v e d p o w e r is g i v e n b y r//5 = 21 hvB/ 2 wh e r e hv is t h e e n e r g y o f a
p h o t o n . Th i s m i n i m u m p o w e r is r e f e r r e d t o a s t h e q u a n t u m l i mi t . U n d e r a n y
ot he, " c i r c u ms t a n c e s , s u c h a s n o n z e r o c i r c u i t n o i s e o r f i ni t e p o w e r t r a n s mi t t e d
f or a s p a c e , t h e r e q u i r e d o p t i c a l p o w e r i s g r e a t e r t h a n t hi s va l ue .
4 . 5 . 2 p - i - n D e t e c t o r
Wh e n t he p h o t o d c t e c t o r i s a p - i - n p h o t o d i o d e < M ) = 1 a n d ( M 2) = 1. F o r t hi s
c a s e t h e e x p e c t e d v a l u e s o f t h e s i g n a l i n t h e t wo s t a t e s a r e
(qq)b(O) (4. 102)
Isig ( 0 ) =
( r / q) b ( l )
# ~(1)= hv
a n d t h e me a n s q u a r e n o i s e c u r r e n t s in t he t wo s t a t e s a r e d e f i n e d a s <i2>o a n d
<i2)l. T h e s e n o i s e c u r r e n t s , f o u n d f r o m (4. 52), i n c l u d e c o n t r i b u t i o n s f r o m t h e
a mp l i f i e r a n d b i a s c i r c u i t pl us n o i s e a s s o c i a t e d wi t h t he d a r k a n d s i g n a l
c u r r e n t s wi t h i n t h e d e t e c t o r . C h o o s i n g t h e d e c i s i o n l evel D t o yi e l d e q u a l
p r o b a b i l i t y o f e r r o r in t h e t wo s t a t e s , a s wo u l d b e a p p r o p r i a t e wh e n p ( 0 ) = p(1),
(4. 100) b e c o me s
(~lql b(O)=Q< i2> ~ i2 (4. 103)
D - ~hv)
wh e r e ( 4 . 1 0 2 ) h a s b e e n us ed.
F o r p r a c t i c a l digital r e c e i v e r s , s o l u t i o n o f (4. 103) s h o ws t h a t t h e n o i s e
a s s o c i a t e d wi t h t he s i g n a l is n e g l i g i b l e c o m p a r e d t o t he c i r c ui t noi s e. He n c e i t is
a g o o d a p p r o x i m a t i o n t o n e g l e c t s i g n a l - d e p e n d e n t c o n t r i b u t i o n t o t h e n o i s e i n
wh i c h c a s e < i 2 > 0 = < i 2 > l = < i 2 > c wh e r e t h e l a t t e r q u a n t i t y is t he c i r c u i t n o i s e I o.
10This will nol necessarily be true for analog systems which require larger S/N ratios. See Sect. 4.7.
Receiver Design for Optical Fiber Communication Systems 137
Using this appr oxi mat i on (4.103) can be solved to yield
D = l / 2 ( ~ ) [ b ( O ) + b ( 1 ) ]
(~Tqv) [ b ( l ) - b ( O ) ] = 2 Q ( i2> J /2 .
(4.104)
(4.105)
The decision level is t hus l ocat ed mi dway bet ween the t wo signal levels. Using
(4.24) and defining
b(O)
r = - - (4.106)
the average opt i cal power requi red to achi eve an er r or rate, defined by the
par amet er Q, is given by
1 +r I / h v\ . 2 1/2
,P=
(4.107)
In this expressi on the first factor, l + r / 1 - r , describes the penal t y associ at ed
with t ransmi t t i ng a nonzer o power level for a space; the fact or h v / q is the
phot on energy in el ect ron volts and the ot her paramet ers have been defined
above. In the limit r =O this expression reduces to
bY / i2 1/2
' I p = \ q / Q < >c (4.108)
At a wavelength 2 = 825 nm, h v / q = 1.5 eV and for an er r or rat e of 10 9, Q = 6,
yielding the simple rel at i on for a p-i-n det ect or oper at i ng at 825 nm
*l f i =9<i 2>~ 12 (p-i-n, 2 =8 2 5 nm). (4.109)
At a wavel engt h of 1. 3gm where t here is consi derabl e current interest the
cor r espondi ng expressi on is
t i p = 5 . 7 ( i e > ~ / 2 (p-i-n, 2 = 1.3 gin). (4.110)
The decreased val ue of t he coefficient results from the reduced energy of t he
phot on at t he l onger wavelength.
In the above expressions the sensitivity is expressed in t erms of the pr oduct
of the average received opt i cal power and the quant mn efficiency. This quant i t y
is used as it is directly rel at ed to the average cur r ent generat ed in the
phot odet ect or , a quant i t y which is easily measured. The power sensitivity of the
138 R.G. Smith and S. D. Personick
receiver is si mpl y rel at ed to this quant i t y t hr ough a separ at e det er mi nat i on of
the qua nt um efficiency of the det ect or. Typi cal qua nt um efficiencies for
ant i refl ect i on coat ed silicon devices are 80 %.
Referri ng to the expressi ons for the sensitivity of receivers using a
p-i-n det ect or it is seen t hat t he opt i cal power requi red to achi eve a given
sensitivity is pr opor t i onal to the r oot mean squar e noise. Thus a reduct i on
in the t ot al circuit noise by a fact or of 10( 10dB) will result in an i mpr ove-
ment of 5dB in receiver sensitivity. Conver sel y if it is desired to
i mpr ove a receiver sensitivity by 10 dB of opt i cal power it is necessary t o reduce
the ampl i fi er noise by 20dB. For a front end whose noise is domi nat ed by
l eakage current s or l oad resi st or t her mal noise this cor r esponds to a 100-fold
reduct i on in the current or a si mi l ar i ncrease in t he val ue of R L. For a front end
with t he mi ni mum achi evabl e noise, a 10 dB i mpr ovement in opt i cal sensitivity
cor r esponds to a 100-fold increase in the figure of meri t of the i nput circuit,
(4.65, 87).
Bit Rate Dependence
When the i nput device is a bi pol ar t r ansi st or t he mi ni mum circuit noise is
pr opor t i onal to B 2, (4.86) when base resi st ance can be neglected. One f act or of
B results f r om the bandwi dt h of the filter; the ot her f r om the fact t hat t he
spect ral densi t y of the noise source is al so pr opor t i onal t o B, (4.82). In this case
the sensitivity of an opt i mum bi pol ar recei ver vari es as the first power of B,
cor r espondi ng to a fixed energy per bit.
The mi ni mum front end noise of an FET front end vari es a s B 3 , (4.64). One
f act or of B results f r om the filter bandwi dt h. The r emai ni ng B 2 dependence
comes f r om the effective spect ral densi t y of the series noise t er m which t akes
this f or m due to the equalizer. The bit rat e dependence of a receiver empl oyi ng
an opt i mi zed FET t hen varies as B 1'5.
The third limiting case occurs when the noise is domi nat ed by a l eakage
current or a l oad resi st or which does not var y wi t h bit rate. In this case the
equi val ent i nput noise spect ral densi t y is const ant and the t ot al effective i nput
noise is pr opor t i onal to the filter bandwi dt h, and hence to B. In such a case
recei ver sensitivity will be pr opor t i onal to B '5
The above dependences assume t hat t he par t i cul ar receiver is desi gned for a
given bit rat e B. In the case of the bi pol ar f r ont end this assumes t hat t he
col l ect or current is adj ust ed to its opt i mum val ue for t he given bit rate, (4.82). In
all cases it is assumed t hat the overal l filter response is adj ust ed to give the
desired eye response, (4.53) or (4.54). If on the ot her hand a receiver desi gned for
a given bit rat e B is used in a syst em oper at i ng at s ome lower bit rat e B' wi t hout
changi ng the el ement values or the filter r esponse funct i on t hen the sensitivity is
unchanged f r om its val ue at t he bit rat e B. Thi s results f r om the fact t hat the
i nput noise is unchanged, and hence the aver age opt i cal power, (4.108), r emai ns
the same. If an opt i mi zed receiver is used at a hioher bit rat e tLe sensitivity will
decrease due to i nt er symbol interference resul t i ng f r om the i mpr oper filtering.
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Receiver Design for Optical Fiber Communication Systems 139
I I J I ] r I I i I I J
PIN ~ _
" / I ~ UA NT UM LIMIT
.I
I L / I I I I r J I I i i L
I0 I00 I000
BIT RATE ( M b/s]
Fi g. 4 . 3 2 . Ca l c u l a l e d s e n s i l i -
vi t y o[" r e c e i ve r u s i n g a p- i - n
d e t e c l o r a nd o p t i mi z e d FET
or b i p o l a r f ront e nd a s a
f unc l i o n o f l he bi t rat e. Quart -
t a m l i mi t c o r r e s p o n d s t o 21
p h o t o n s per mar k. D a t a p o i n l s
show s o me r e por t e d e xpe r i -
me n i a l r e s u h s
Experi mental Resul ts
Cal cul at ed sensi ti vi ti es of opt i cal receivers, expressed in terms o f ~IP, for syst ems
operat i ng at 2 = 825 nm are s ho wn in Fig. 4. 32 for the mi ni mum noi s e levels
s ho wn in Figs. 4.22, 25. Al s o s hown on the figure are reported sensi ti vi ti es o f
several receivers operat i ng at vari ous bit rates [4. 6, 7, 32 35, 38, 39, 52].
Reas onabl e agreement bet ween experi ment s and the s ome what i deal i zed
cal cul at i ons is good.
4. 5. 3 Aval anche Phot odet ect or
Through its internal gain mechani s m the aval anche phot ode t e c t or ( APD)
mul t i pl i es the primary phot ocurrent o n the average by a factor <M). For a
gi ven i nput si gnal current t o the front end, the opt i cal powe r is corres pondi ngl y
reduced by (M). Thus t o the extent that the system noi se is domi nat ed by the
circuit noi se the receiver sensi ti vi ty is i mproved by the same factor ( M) . The
APD is used t o i mprove receiver sensi t i vi t y t hrough its mul t i pl i cat i on o f the
primary phot ocurrent .
Aval anche gain al s o i ncreases the noi s e o f the system. Fl uct uat i ons in the
si gnal current (signal shot noi se) are mul t i pl i ed by the aval anche process whi ch
in turn adds its o wn noi se due t o t he r andom nature o f its gai n mechani sm. The
noi se associ at ed wi t h currents mul t i pl i ed by the aval anche process is pro-
port i onal t o ( M 2) whi ch varies more rapidly than ( M ) z [ 4. 27] . As the
aval anche gain is i ncreased the noi se as s oci at ed wi t h the si gnal current
i ncreases t o a poi nt where it be c ome s comparabl e to, and ul ti matel y exceeds,
140 R. G. Smith and S, D. Personick
the signal i ndependent circuit noise. These characteristics have several con-
sequences: First of all, the fact t hat the signal-dependent noise becomes
significant results in different noise levels for the mark and the space. As a
consequence the opt i mum decision level is not located mi dway between the two
signal levels. The second principal effect is t hat there exists an opt i mum value of
the aval anche gain beyond which the signal-dependent noise increases more
rapidly t han the signal power.
With an APD detector the expected values of the signal in the two states are
given by
I~g(O)= ~ (M)b(O)
( r l q ) ( M ) b ( l )
Isig ( 1 ) = ~
(4.111)
The noise in the two states can be divided into two port i ons: one which does
not depend upon the aval anche gain and a second which in proport i onal to
( M2) . In the former are cont ri but i ons from the amplifier and bias circuit and
leakage currents in the det ect or which do not undergo avalanche multipli-
cation. The avalanche gain dependent terms include detector leakage currents
t hat are multiplied as well as the shot noise associated with tile signal-generated
phot ocurrent . These various terms are included in the expressions for the
equivalent input noise, (4.46 52).
In order to simplify the following analysis several assumpt i ons will be made.
The first is t hat the component of the dark current which undergoes multipli-
cation is small. It will also be assumed t hat the signal-dependent noise in a
given time slot is due only to the signal within t hat time slot, i.e., ~1 =I ~.
Finally it will be assumed t hat the space corresponds to zero t ransmi t t ed
power, i.e., b(0)=0. These const i t ut e ideal condi t i ons for a system. Following
det ermi nat i on of the sensitivity of the receiver under these ideal condi t i ons the
effect of relaxing the various assumptions will be considered separately and the
impact on the sensitivity will be evaluated.
For the above assumpt i ons the noise current in the space or zero state is
given by (i2)c and the noise in the mark or "1" state is given by
( i z) t = ( i2)c + 2q (T~qv) ( M 2 ) B l t b(1 ) . (4.112)
With b(O)=O the equat i ons anal ogous to (4.103) for the p-i-n are given by
rlq) ( M >b(1)-
D = Q ( i 2 ) J / 2
(4.113)
Receiver Design for Optical Fiber Communication Systems 141
Solving these equat i ons for b(1) yields
b(1)=(hv)~[2<i2)~/2 ( M e )
1
2qBl~ Q <M~- J (4.114)
+
The average optical power, assumi ng equal probability of marks and spaces, is
given by
[hv\ {(ie)J 'z ( Me ) )
q P = ~ q ) Q t ~ ) +qBItQ ( M ~ " (4.115)
The first term on the ri ght -hand side of this expression results from the circuit
noise ; the second term is due to the noise in the signal. In the limit ( M) = 1 the
second term is negligible and (4.115) reduces to (4.108) for the p-i-n detector.
Equat i on (4.115) is an explicit function of the average aval anche gain ( M)
and of ( M 2) where
(Me> = (M>2F(<M)).
(4.116)
The quant i t y F((M)) is referred to as the excess noise factor and describes the
factor by which the aval anche process increases the noise over t hat of a perfect,
noiseless gain mechanism. The expression for F((M)) is [4.27]
F( <M) ) =<M) [ I - ( 1 - k ) ( <M) - I ) 2 ] \ <M) ' (4.117)
where k is the ratio of the ionization coefficients of the holes and electrons in the
detector j unct i on. For silicon k~0. 02 to 0.04 in well-designed devices and
k~0. 5 for germani um. Equat i on (4.117) also assumcs t hat the aval anche is
initiated by the most highly ionizing carrier type. The expression for F((M)) is
often approxi mat ed by the expression F = ( M) " with x~0. 3 to 0.5 for Si and
x = l for Ge devices. Equat i on (4.117) is a more exact expression, fits the
experimental dat a well, and is equally easy to use as an analytical expression as
is the approxi mat e exponential form.
Substituting (4.116) into (4.115) gives an alternative expression for II/5
O[ <P):- +qBItQF(<M>) I. (4.118)
\ q / X[ <M>
The first term varies inversely as the gain ( M) while the second t erm cont ai ns a
term directly proport i onal to (M). There t hus exists an opt i mum value of ( M)
for which ~l/5 is mi ni mum. Subst i t ut i ng (4.117) for F(<M)) and differentiating
with respect to ( M) gives the opt i mum gain
1 { < i e e , , 2 ) , , 2
< M > < , , , = k , , e + k - 1
(4.119)
142 R. G. Smith a n d S. D. Personick
and t he mi ni mum optical power requi red to achieve the er r or rat e charact er-
ized by Q
rll~ = 2 h v B l I Q 2 ( k ( M) o p t + 1 - - k ) . (4.120)
To a good appr oxi mat i on t he first t erm in the parent hesi s in (4.119) domi nat es
the expressi on in which case the opt i mum gain expressi on becomes
{ ( i 2>J / 2 / 1/2
( M ) " ' " ~ ~ k q B I , Q ] "
( 4 . 1 2 1 )
The opt i mum gain t hus varies directly as t he f our t h r oot of the mean square
system noise and inversely as the square r oot of t he k val ue of t he det ect or.
When the front end uses a bi pol ar t ransi st or the noise ( i 2 ) c varies as B z and
hence the opt i mum gain is i ndependent of the bit rate. When an opt i mi zed FET
is empl oyed the noise varies as B 3 and hence the opt i mum gain varies as B '25.
Using (4.121) in (4.120) t he expression for the opt i cal sensitivity is given by
q f i , ~ 2 h v B I 1 Q Z [ \ q B i ~ Q ] + l - k . (4.122)
Consi der the dependence of this expression on the vari ous par amet er s in-
volved : When an opt i mi zed bi pol ar t ransi st or is used the t erm in the radical is
i ndepcndent of B and hence the overall sensitivity varies as B 1' j ust as was the
case with a p-i-n det ect or. Wi t h an FET t he sensitivity varies bet ween B 1 and
B 12s dependi ng upon whet her t he radical is less t han or much great er t han
unity. For a given bit rat e and k value, the dependence on amplifier noise is
relatively weak, varyi ng at most as the fourt h r oot of ( i z ) and mor e generally
as the 0.2 to 0.15 power of the noise. Thus the use of an APD can reduce to a
large ext ent the dependence of the sensitivity on amplifier noise. Fi nal l y for
ot her par amet er s bei ng fixed the dependence of the sensitivity on the k val ue of
the det ect or is generally less rapi d t han k s .
Equat i on (4.122) can be present ed in an al t ernat i ve form using the definition
of <M),,pt, (4.121), and t he sensitivity of the receiver using a p-i-n diode, (4.108).
The resulting expression is
(2)
q /I~ A I'D = ~ M ~ o p t q f i p -i-" + ( 1 - k ) ( 2 B l l ) h v ( Q 2 ) "
(4.123)
For well-designed silicon devices 1 - k , ~ 1 and for rect angul ar pulses 11 ~0. 5
(see Fig. 4.6) hence
_ ( 2 )
~'/PAI'D~'~' ~ l"/PP-i-n +( h v B) ( Q2 ) .
(4.124)
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-8
Recei ver Desi gn for Opt i cal Fi ber Communi cat i on Syst ems
] i i ] i 1 i i [ I i i T
143
A P D k = O . O 3
X = 8 2 5 n m
B E R : I O - 9
$
l e o
/ I 1 1 " ~ . T o M .,,.,1 -
/ FET t /
I I f ' I I I I I I I I I I I I
IO IOO IOOO
B I T R A T E ( M b / s )
Fig. 4.33. Cal cul at ed sensi t i vi t y
of recei ver usi ng an AP D wi t h
k=O. 03, as a funct i on of t he bit
rate. Dat a poi nt s show s ome
r epor t ed exper i ment al results
Thus the sensitivity of a front end using an APD is equal t o 2/<M)opt times t he
sensitivity of t he same receiver using a p-i-n plus Q2 phot ons per bit per second.
If the opt i mum gain is 100 the i rnprovcment in sensitivity of an APD over a
p-i-n det ect or can be nearl y 50 or 17 dB. This represent s a significant fraction of
the avai l abl e margi n between the t ransmi t t i ng and receiving ends of a digital
system ( ~50dB) . A similar i mpr ovement in receiver sensitivity using p-i-n
det ect or woul d requi re a reduct i on in the noise level of t he amplifier by 34 dB.
Experimental Results
Fi gure 4.33 shows a plot of the receiver sensitivities comput ed for an APD with
k=0. 03 as a funct i on of bit rate for the assumed noise levels previ ousl y
discussed. Also shown are some report ed results. Of interest to not e is t hat t he
difference in comput ed sensitivity bet ween bi pol ar and FET front ends is much
smaller with the APD t han with the p-i-n. The experi ment al dat a are general l y
somewhat worse t han those cal cul at ed but in some instances the experi ment al
dat a are within 1 to 2dB of t he cal cul at i on indicating t hat pr oper receiver
design can lead t o excellent agreement with t heory.
Effect of Finite Extinction Ratio
When the t ransmi t t ed power cor r espondi ng to a space is nonzero, (b(0) +0), t he
noise in the signal in this st at e is nonzer o and is in fact a funct i on of tile
144 R. G. Smith and S. D. Personick
- 4 4
- 4 6
- 4 8
"~ - 5 0
,%
- 5 2
- 5 4
- 5 6
- 5 8
' ' ' ' l I I t i , I l l I I ,
X
k = 0. 0~5
I I I I I I i I i I i l l l I I i
I 0 2 0 4 0 6 0 8 0 I 0 0 2 0 0 5 0 0
< M>
Fig. 4.34. Calculated sensitivity
of a bipolar receiver as a flmction
of the average avalanche gain
( M) , for two values of the exline-
tion ralio of the source, r. Data
point shows the average sensitivity
and standard deviation of 53
receivers measured
avalanche gain ( M) . The noise levels in the two states are given by
( i2)o = ( i2)~ + 2q (qhq) ( M 2) Bl ,b(O)
4i2), = (i2)c + 2q(~v,)(M2)Blah(1).
( 4 . 1 2 5 )
(4.112)
Using these equat i ons al ong with the definitions of the signal levels, (4.111), and
subst i t ut i ng into (4.100) yields the following expression for the average optical
power required to achieve an error rate characterized by Q
rlP=(]q') {I+r~I(I+r)Q2qBI1F(<M))~I - r } [ 1 - r
I ( & q B I , F ( <M >) ) =. 4 , . + & < / ~ > , ~ ] ' " = ' l
+ t \ I - , / < ~ T J ]
(4.126)
where r is defined by (4.106). This equat i on is seen to reduce to (4.118) in the
limit r--+0. Al t hough this expression can, in principle, be differentiated to find
the opt i mum gain and the correspondi ng sensitivity, the mat hemat i cs is
cumbersome and does not lead to any simple analytical expressions yielding
physical insight. Equat i on (4.126) is most easily numerically computed. An
example of such a comput at i on is shown in Fig. 4.34 where the receiver
sensitivity is comput ed as a function of the APD gain ( M ) for a receiver
operating at B=45 Mbi t - s - i. The amplifier noise is (i2)c= 2 x 10 t6 A 2, and
for the APD k=0. 035. Two curves are presented: one for r = 0 and one for
Receiver Design for Optical Fiber Communication Systems 145
r = 0.05, a value typical 'of what mi ght be achi eved with a laser. Two features are
evident : the first is t hat the opt i mum gain is l ower for r + 0 due to the increased
noise in the "zer o" state, and secondl y t hat the sensitivity is poor er due to t he
l ower opt i mum gain. Also shown in the figure is the average of t he measur ed
sensitivity of 53 receivers for which the opt i mum gain was appr oxi mat el y 80
and the mean sensitivity ~7/5 = - 55.7 dB m [4.38]. The agr eement bet ween t he
predi ct ed sensitivity and the experi ment al results is qui t e good, demonst r at i ng
the fact t hat use of t he gaussian appr oxi mat i on yields accept abl e predi ct i ons of
receiver sensitivity. The measured opt i mum gain is l ower t han t hat predi ct ed
and t he opt i mum posi t i on of the decision level is appr oxi mat el y 43 % of the
peak eye height, closer to the mi dpoi nt t han predi ct ed by the gaussian t heory.
For these same par amet er s the effect of ext i nct i on rat i o on t he sensitivity
was comput ed as a funct i on of r. An empirical rel at i on was f ound for this case
to be
A sensitivity [ dB] = 18r. (4.127)
Thus for r =0. 1 the opt i cal power penal t y is appr oxi mat el y 1.8dB, etc.
Ext ensi on of this relation t o ot her bit rates, amplifier noise and det ect or
propert i es shoul d yield a similar rel at i on with a slightly different numeri cal
value.
Multiplied Dark Current
The effects of multiplied dar k cur r ent are similar in nat ure to t hose resulting
from t ransmi ssi on of a finite opt i cal power in t he "zer o" state. The presence of
the cur r ent limits t he amount of APD gain t hat can be used, t hereby limiting
t he sensitivity. The effects of mul t i pl i ed dar k cur r ent can be eval uat ed by
addi ng a t erm 2ql m<M2>Bl 2 to the circuit noise. The results agai n are most
easily eval uat ed by numeri cal comput at i on. On the ot her hand an i ndi cat i on of
the al l owabl e level of dar k cur r ent can be obt ai ned by equat i ng t he noise of the
dar k cur r ent at opt i mum gain to t hat of t he circuit in t he absence of dar k
cur r ent effects. Thi s leads to the appr oxi mat e result
lm ~ <i2)~/ZkQ (4.128)
2F(<M>) "
Assuming k=0. 03, Q= 6 and F( <M>) ~ 5 at <M>= 100 the above expressi on
becomes
i mP 2 x 10-2 ;2\1/2
<, /~ . (4.129)
For the above exampl e at B = 45 Mbi t . s -1 the dar k current (before multipli-
cat i on) will have an i mpact when it appr oaches 3 x 10 I A. Fr om this
appr oxi mat e rel at i on it is seen t hat t he permissible dar k cur r ent varies with bit
rat e as B 1' to B ~5 dependi ng on the t ype of front end empl oyed.
146 R. G. Smith and S. D. Personick
lntersymbol Interference
The discussion of i nt ersymbol i nt erference will be limited to a fcw remarks. It is
clear t hat when i nt ersymbol i nt erference occurs, ei t her t hr ough pulse dispersion
within the fiber medi um or due to noni deal filtering in the receiver, the signal
level as well as the noise in the time slots nomi nal l y occupi ed by spaces will be
dependent on the gain of the APD. In addi t i on t o eye cl osure the i nt ersymbol
i nt erference will result in increased noise in t he space, which has the effect of
reduci ng t he opt i mum gain, and hence the sensitivity. The exact amount of
sensitivity loss depends in a detailed manner on how the decision level is
det ermi ned in the presence of i nt erference but the power penal t y due t o
reduct i on of the opt i mum gain will be at least as great as t hat given by (4.127).
4.6 Effects of Transmitter and Channel Parameters on System
Performance
To first or der the individual pieces of a fiber communi cat i on system call be
opt i mi zed i ndependent l y. The most powerful t ransmi t t ers are used al ong with
the lowest loss fibers, and t he most sensitive receivers. Invari abl y i nt eract i ons
between these pieces occur which lead to the necessity to make compr omi ses in
or der to opt i mi ze t he overall system performance. For example, it was seen
above t hat in or der to accommodat e a wide range in optical signal levels (due
perhaps to unknown fiber losses and lengths) it may be necessary t o t rade off
sensitivity (the fundament al receiver figure of merit) against dynami c range.
The sensitivity of a fiber opt i c system receiver is dependent upon the shapes
of the individual light pulses which arri ve in each time slot. If the received
pulses tend to overl ap (i nt ersymbol interference) they will interfere in the
decision maki ng process at the linear channel out put (i.e., deciding if a mar k or
space is present). The overl ap can be r emoved by equal i zat i on, but this has t wo
di sadvant ages : First, in general, equal i zat i on requires a knowl edge of the pulse
shape- which may vary from one si t uat i on to anot her. Second, equal i zat i on, or
high frequency enhancement , increases the noise at the linear channel out put
which may degrade the receiver sensitivity mor e t han allowing the pulses to
interfere by overlapping. The amount of over l ap in the received pulse sequence
is a funct i on of the pulse br oadeni ng (dispersion) propert i es of the fiber. The
fiber designer l ooks to the receiver designer for gui dance as to the al l owabl e
amount of dispersion and how to quant i fy the t r adeof f between dispersion and
receiver sensitivity.
For a given average t ransmi t t ed power, large ampl i t ude low dut y cycle
pulses are preferred in or der to maxi mi ze the receiver sensitivity. However, all
sources are to some ext ent speed and peak power limited, and ext ernal
modul at or s have peak cur r ent and speed const rai nt s as well. Thus the
t ransmi t t er designer l ooks for gui dance in picking the pr oper dut y cycle and, in
addi t i on, t r ansmi t t er rise and fall times, pulse to pulse width variations, pulse to
pulse ampl i t ude variations, etc., in t hat t hey affect receiver performance.
Receiver Design for Optical FiBer Communication Systems 147
4.6.1 Dispersion and Equalization
In a typical fiber opt i c link, as shown in Fig. 4.35, t he received pulse shape h v ( t )
is dependent upon the t ransmi t t ed pulse shape and the fiber impulse response:
h t r ( t ) and h f ( t ) , respectively.
h v ( t ) = htr(t), hr(t ) (4.130)
The t ransmi t t ed pulse shape can oft en be appr oxi mat ed by a t rapezoi d
as shown in Fig. 4.36. The impulse response of the fiber is mor e difficult
to characterize. It can be shown t hat for fibers with significant mode
mixing (at splices or due to mi crobendi ng) the fiber impulse response
appr oaches a gaussian shape in bot h the time domai n and in t he frequency
domai n ( Four i er t ransform) [4.28]. For shor t fibers or fibers wi t hout much
mode mixing the fiber impulse response can be ahnost anyt hi ng positive. It can
be mul t i modal (more t han one local maxi mum) or uni modal . It need not be a
mi ni mum phase f unct i on, etc. It is useful to define one par amet er which
charact eri zes the received pulse shape h p ( t ) in a quant i t at i ve way to pr ovi de
some insight i nt o the relative sensitivities of a receiver oper at i ng with t hat pulse
shape and one worki ng with an ideal nar r ow received pulse. One such
par amet er is the rms pulse wi dt h defined as follows
[ [ h ( t ) t 2 d t
( r = [ ( h ( t ) d t
I h ( , ) , J , l = l
; h ( t ) a t / 1 = "
where
T= ~ h ( t ) t d t
. ( h ( t ) d t " (4.131)
Thi s rms wi dt h is the square r oot of the moment of i nert i a of the pulse about its
cent er of gravity. It has cert ai n i nt erest i ng propert i es. For exampl e for a n y
positive pulses h i ( t ) and h 2 ( t ) we have the following rel at i onshi p: If
h3(t ) =h l ( t ) , h z ( t ) (convol ut i on)
t hen
~r = (cr~ +az2) '/2 . (4.132)
Thus referring t o (4.130) it follows t hat the rms wi dt h of the received pulse is the
square r oot of t he sum of the squares of the rms widths of t he t ransmi t t ed pulse
and the fiber impulse response.
148 R. G. Smith and S. D. Personick
1
TRANSMITTER j
_/-L
h t r ( t ) h f ( t } h p ( t ) = h l r ( t ) * hf (~)
Htr(OJ) H f (w) Hp (~e)= Htr(W) Hf ((~)
~ J
RECEIVER -
L NEAR CHANNEL
hT(t) h~jt(t) = hp (t ] * h T (t)
HT ( ~) Houl (o~)= Hp (c~) H l- (oJ)
Fig. 4. 35. Block d i a g r a m of fiber s y s t e m
s h o wi n g t r ans mi t t e d a n d recei ved op-
tical purse s ha pe s a nd el ect ri cal s i gnal
at ti l e o u t p u t o f t he l i near channel
" I T , t" T 2 " t T ~ I "
Fig. 4, 36. Ap p r o x i ma t i o n to t r ans -
mi t t ed pul s e s ha pe
20
m 1 6
z 1 2
> -
, , = ,
~ 4
i i
01 6 8 I0
~
L
G i
0. 2 0. 4 0 . 6 0 B 1.0 2 4
O-IT
Fig. 4. 37. Loss in recei ver s ens i t i vi t y
as a f unct i on of tile rms pul s e wi dt h
wi t h an a v a l a nc he de t e c t or at o pt i -
mu m gain. ( Copyr i ght 1973 (1978)
AT & T Co. )
Figure 4.37 s hows the d!fference in sensi ti vi ty (referenced to an i deal narrow
pulse) of a typical receiver for vari ous recei ved pul se shapes. It is as s umed that
the receiver can equal i ze the recei ved pul se t o a nomi nal out put pulse, and
therefore that the received pul se shape is known. It is seen that roughl y
speaki ng, there is less than 1 dB penal ty compared t o the i deal i f the rms wi dt h
of the recei ved pul se is less than about 0.25 o f the pul se spaci ng expressed in
terms of the wi dt h o f the ti me sl ot, T. For larger rms wi dt hs, the penal ty is shape
dependent .
Receiver Design for Optical Fiber Communication Systems 149
This can be expl ai ned as follows. If t he Four i er t r ansf or m of tile received
pulse is calculated, the following expressi on obt ai ns
/
Hp((o) = ~ h p ( t ) e J " ' d t = Hp(0) [1 +j~o~
where ~ = o -2 + (~-)2, i.e.,
? , = ~t " h v ( t ) d t
[ h ~ ( t ) d t "
'02-? )
. . .
(4.133)
If now t he pulse is cent ered in time about its cent er of gravity, }-, to r emove an
i rrel evant delay,
H p ( ) ) = H p ( O ) ( 1 ~ 0 2 f f 2 )
2 . . . +hi ghe r or der t erms ill (0 . (4.134)
Since the receiver per f or mance penal t y depends upon how qui ckl y t he pulse
rolls off in the frequency domai n, it is now clear why the rms width
charact eri zes the effects of di spersi on for small rolloffs. It is also easy to show
t hat no positive pulse shape can have a Four i er t r ansf or m whose magni t ude at
some par t i cul ar frequency f t exceeds the dc value H(0) 11. Thus the most ideal
pulse shape (smallest rolloff) is a const ant H ( f ) , cor r espondi ng t o a nar r ow
received pulse. That is
IHp(cO)l<Hp(0), for positive h p ( t )
IHo&o)lid~. l=Hp(O)--,hv(t) is a nar r ow pulse
(4.135)
Thus far the discussion has concent r at ed on equalizing receivers to pr oduce
t he ideal pulse shape at the out put which i nt roduces a high frequency
enhancement in the linear channel to compensat e for high frequency rolloffs ill
the received pulses. An al t ernat e appr oach is to al l ow t he out put pulses from
the linear channel to interfere at the sampl i ng time, r at her t han to equalize. It
can be shown t hat for modest amount s of equal i zat i on (less t han 1 dB or so of
dispersion penalty) this appr oach can be as good or bet t er t han equal i zat i on
[4.53]. The nice thing about this appr oach is t hat it is not necessary to know
the received pulse shape, since equal i zat i on will not be empl oyed. Ther e is a
slight pr obl em in pract i cal receivers with this appr oach. Pract i cal receivers
t ypi cal l y use the peak- t o- peak ampl i t ude of the linear channel out put to
provi de a reference for aut omat i c gain cont rol . I nt er symbol i nt erference on the
linear channel out put signal due to i nput pulse overl ap can cause the aut omat i c
gain cont r ol system to set the aval anche or linear channel amplifier gain t oo
t I A smaller value of H p(6O ) increases the value of the integrals 11, I z , 13 and the stun ~t-
150 R. G. Smith and S. D. Personick
A/
Fi g. 4.38. Repr es ent at i on of a pul se aft er
passi ng t hr ough t he fiber showi ng tails oll
t he recei ved signal
low (compared to optimal) causing an increased dispersion penal t y in receiver
sensitivity.
Anot her propagat i on effect of interest in receiver design is the presence of
tails on the received pulse stream. This is illustrated in Fig. 4.38. These tails t end
to increase the intersymbol interference in digital systems by an amount which
depends upon the shape of the tail and the type of line codi ng being used. Tails
which are j ust a few time slots long are relatively the worst since t hey add the
most uncert ai ni t y to the neighboring pulse ampl i t udes at their sampling times.
Tails which are many time slots long are less i mpor t ant since they !end to add
to and average with ot her tails, to add a dc level to the received signal which is
blocked by an ac coupled amplifier. For a given area in the tail, long low tails
are much less i mport ant t han shorter higher ampl i t ude ones.
4. 6. 2 Transmi tter Parameters
There are a number of t ransmi t t er parameters which affect the receiver design
and sensitivity.
The t ransmi t t ed pulse shape is a t radeoff between average t ransmi t t ed
power and pulse width. For a given received average power, the received pulse
should ideally be as narrow as possible. However, since t ransmi t t ers are peak
power limited, the width of the t ransmi t t ed pulse must be chosen as a compromi se
between the above requirements. It can be shown t hat except for very dispersive
fibers, the opt i mal pulse width is close to full dut y cycle. Since t ransmi t t er response
speed is always a consideration, it is typical to make use of this result by choosi ng
full dut y cycle signaling in high speed systems.
Effects like t ransmi t t er rise and fall times, extinction ratio, pulse-to-pulse
width and ampl i t ude variations, pat t ern effects, etc., must be quantified to
provide specifications to the t ransmi t t er designer (see Chap. 5). Typically a
certain fraction of a dB of receiver sensitivity penalty is allocated to each effect
with the allocations adj ust ed as a negot i at i on process takes place. A detailed
analysis of the above is beyond the scope of this book.
Receiver Design for Optical Fiber Communication Systems 151
Li ne codi ng is al so an i mpor t ant consi der at i on in digital recei ver desi gn
[4.54]. I f t he t r ansmi t t ed signal is scr ambl ed, t hen the recei ver can be desi gned
to be ac coupl ed wi t h a l ow frequency cut off of 0.01 1% of the bit rat e
dependi ng upon t he scr ambl er and the al l ocat ed penal t y in recei ver sensi t i vi t y
for basel i ne wander 12. Thi s is permi ssi bl e because scr ambl i ng r emoves ma ny
low frequency component s in t he pulse s t r eam which woul d cause excessive
basel i ne wander in an ac coupl ed receiver.
If scr ambl i ng is not empl oyed, a r edundant line code which wast es
bandwi dt h, or some f or m of de r est or at i on like cl ampi ng or quant i zed feedback
mus t be empl oyed in the receiver. When desi gni ng t he line code, it is al so
i mpor t ant to guar ant ee sufficient t r ansi t i ons for t i mi ng recovery. Scr ambl i ng is
al so sui t abl e for this purpose.
4.7 Analog Systems
Recei ver per f or mance ill t he case of anal og syst ems is nor mal l y specified in
t er ms of a si gnal -t o-noi se rat i o or a car r i er - t o- noi se ratio. Let the t r ansmi t t ed
opt i cal power be modul at ed by a si nusoi dal wavef or m in such a ma nne r t hat
P(t) = Pt(1 + m sino~t), (4.136)
where P t is the aver age t r ansmi t t ed power ; m is t he modul at i on i ndex ; and (o is
t he modul at i on frequency.
Assumi ng the t r ansmi ssi on naedium is nondi spersi ve, tile received opt i cal
power will have the same f or m as (4.136) but wi t h an aver age received opt i cal
power Pr. The phot ocur r ent gener at ed in t he det ect or will be given by
l =l o ( M > (1 + m sincot), (4.137)
where
Io = ~ Pr (4.138)
and <M> is the aver age aval anche gain. When a p-i-n det ect or is used, <M> = 1.
Negl ect i ng the c ompone nt of the dar k cur r ent of the det ect or which is
mul t i pl i ed, and i ncl udi ng the nonmul t i pl i ed c ompone nt in the circuit noise, the
t ot al aver age noise in the syst em, i ncl udi ng the shot noise associ at ed with t he
signal is given by
<i2> = < iz)~ + 2qlo< M> 2 F( < M> )B ~rf , (4.139)
12 Baseline wander refers to the time varying random sum of the negative tails of individual ac
coupled pulses. This averages close to a constant for adequately scrambled signals.
152 R. G. Smi t h and S. D. Personi ck
where Bef f is the effective noise bandwi dt h of the system. The si gnal -t o-noi se
rat i o, S/ N, defined in t erms of the rat i o of the mean squar e signal cur r ent to the
mean squar e noise current is given by
S 1 m2(M)212o
N = 2 ( i 2 ) + 2 q l o ( M) 2 F ( ( M) ) B f f ( APD)
(4.140)
A si gnal -t o-noi se rat i o defined in t erms of the peak- t o- peak signal power is a
fact or of 8, or 9dB gr eat er t han the above expressi on. When a p-i-n det ect or is
used (4.140) reduces to
S 1 m2 I 2
(p-i-n) (4.141)
N=2 "
( I-)~ + 2qloB~f f
4 . 7 . 1 p- i - n De t e c t o r
Consi der first the case where a p-i-n det ect or is empl oyed. Gi ven t he modu-
l at i on index m, the effective bandwi dt h B rr and the circuit noise i2)~, the S/ N
rat i o can be det er mi ned f r om (4.141) as a funct i on of the aver age signal cur r ent
I o. Two distinct signal dependences are obser ved : When I o is small the circuit
noise t er m domi nat es the t ot al noise in which case
S 1 m2Io 2
N ~ 2 (i2) (Circuit Noi se Li mi t ). (4.142)
In this case, referred t o as the circuit noise limit, the si gnal -t o-noi se rat i o will be
pr opor t i onal t o the squar e of the signal cur r ent and i nversel y pr opor t i onal to
the circuit noise. Since this limit occurs for small val ues of I 0 it cor r esponds to
small S/ N ratios. The ot her limit occurs for large values of I o in which case the
noise is domi nat ed by the shot noise associ at ed with the signal. Thi s limiting
case, referred to as the shot noise lirnit, has
S m2Io
- - ~ (Shot Noi se Li mi t ) . (4.143)
N 4qBf f
The si gnal -t o-noi se rat i o depends l i nearl y on the signal cur r ent a n d is
i ndependent of the circuit noise. Since this expressi on is i ndependent of the
circuit noise it represent s the f undament al or qua nt um limit for t he sensitivity
of an anal og syst em and is the count er par t of the 21 phot oel ect r ons per t i me
slot qua nt um limit for a digital system. The qua nt um limit for anal og syst ems is
general l y associ at ed with high S/ N ratios. Thus when large S/ N rat i os are
requi red of a syst em it is general l y oper at i ng at or near the shot noise limit ; on
t he ot her hand when a small S/ N rat i o is requi red the syst em is general l y circuit
Receiver Design for Optical Fiber Communication Systems 153
noise limited. Di gi t al syst ems requi re onl y qui t e smal l S/N ratios, i.e., (12) 2 for a
p-i-n det ect or, and hence will be circuit noise limited (when a p-i-n det ect or is
used).
4.7.2 Avalanche Detector
Ret ur n (4.140) for the case of an APD det ect or and consi der the case of a
syst em which was initially circuit noise limited with a p-i-n det ect or. As the
aval anche gai n is i ncreased f r om ( M) = 1 for a fixed val ue of I o, the S/ N rat i o
initially i ncreases as ( M ) z as l ong as t he circuit noise domi nat es. As the APD
gai n is furt her i ncreased the S/ N r at i o i ncreases until the shot noise t er m
becomes compar abl e to the circuit noise, and for furt her increases in ( M) , t he
S/ N rat i o decreases as F ( ( M ) ) 1. Ther e t hus exists an opt i mum aval anche gai n
yielding a ma xi mum S/ N ratio.
On the ot her hand consi der a syst em which is shot noise limited wi t h a p-i-n
det ect or. In this case, wi t h an APD the noise i ncreases mor e r api dl y wi t h ( M)
t han the signal and t he S/ N rat i o is r educed for any val ue o f ( M) > 1. Hence an
APD pr oduces no i mpr ovement for syst ems oper at i ng in the shot noise limit, or
at l arge S/ N ratios. Thus when l arge S/ N rat i os ar e requi red a p-i-n will be the
preferred det ect or and when small S/ N rat i os are called for, as in digital
syst ems, an APD yields bet t er per f or mance.
4.7.3 Example
As an exampl e o f a S/ N cal cul at i on consi der the case of an anal og recei ver with
a bandwi dt h adequat e t o car r y a single TV channel . Let the effective noise
bandwi dt h be Bet r = 6.25 MHz, choose m = 0.707, ). = 825 nm, and consi der t wo
circuit noise levels ( i 2) c = 10- 19 A 2 and 10 17 A z charact eri st i c of an opt i mum
recei ver and one with t wo orders of magni t ude gr eat er noise. Usi ng a p-i -n
det ect or the S/ N r at i o as a funct i on of t he aver age received power, deri ved f r om
(4.138, 141), is pl ot t ed in Fig. 4.39. Fr om this figure it is seen t hat when S/ N
rat i os less t han 30 dB are requi red, t he difference in sensitivity bet ween t he t wo
circuits is appr oxi mat el y 10dB as bot h are oper at i ng in t he circuit noise limit.
Between 30 and 60 dB S/ N rat i os, this difference di mi ni shes and for S/ N rat i os
gr eat er t han 60 dB the opt i cal power requi red is essentially the same for t he t wo
ampl i fi ers (shot noise limit). It is al so i nt erest i ng to not e t hat for a S/ N rat i os of
80 dB t he opt i cal power requi red is gr eat er t han 0 dB. m, a level compar abl e to
t hat avai l abl e f r om cur r ent s emi conduct or lasers and in excess of t hat avai l abl e
f r om LEDs.
Fi gure 4.40 shows the rel at i on bet ween the S/ N r at i o and the received
opt i cal power for the same ampl i fi er noise levels when an APD is used as t he
det ect or. The as ympt ot i c values of the circuit noise limit for the t wo ampl i fi er
noise levels (using a p-i-n) as well as the shot noise limit are shown by dashed
154 R. G. Smith and S. D. Personick
0
-I0
-8o
-3o
, %
-40
-5O
- 60
Io
- I I N I I I I / I /
P
Bel l =625 MHz
2 : -I? ~ ' - f ~ ~ S HOT NOISE UMIT
~ I O I S E LIMIT
,..~, a >c--io-'9
I 1 I I I f
20 50 40 50 60 70 80
SIGNAL- TO-NOISE RATIO (dB)
Fig. 4.39. Sensitivity as a function of
signal-to-noise ratio for an analog
system using a p-i-n detector and for
two amplifier noise levels. Asymptotes
show regions of circuit noise limi! and
shot noise (quantum) limit
I ~ 0 I I I t I I / / "
APD k= 0.035 / . /
_ Beff= 6.25 MHz / / /
r- X= 825 nrn /
m=07o7 /
- 2 o F . / :
| ' I . , , , " / "
- 30 CIRCUi T NOISE LIMIT ~ , ' ~ S HOT NOISE LIMIT
~ - 4 0 " " "
_ o L : Z / F ' "
lo-le
-70 ~
I0 20 30 40 50 60 70 80
SIGNAL-TO-NOISE RATIO (dB)
Fig. 4.40. Sensilivity as a func-
tion of signal-to-noise ratio
using an APD with same as-
sumptions as in Fig. 4.39
lines. The sol i d lines r epr esent t he r el at i on bet ween t he S/ N r at i o and t he
opt i cal powe r f or t he o p t i mu m a va l a nc he gai n. Val ues of o p t i mu m gai n ar e
s hown al ongs i de t he cur ves f or each decade c ha nge in S/ N rat i o. F r o m t hese
cur ves several f eat ur es ar e obs er ved : Fi r st o f all at l ow S/ N r at i os t he o p t i mu m
a va l a nc he gai n is r e a s ona bl y l arge, decr eas i ng as t he r equi r ed S/ N r at i o
i ncreases, ul t i mat el y r e a c hi ng a val ue of 1 (p-i-n) at a poi nt wher e t he ci r cui t
noi se and s hot noi se a s ympt ot e s i nt ersect . The s e c ond poi nt is t hat t he over al l
sensi t i vi t y cl osel y a ppr oa c he s t he s hot noi se l i mi t f or all val~_tes of S/ N rat i o.
Thus t he AP D can pr ovi de si gni f i cant r e duc t i ons in r equi r ed opt i cal powe r
when l ow S/ N r at i os ar e r equi r ed but is i neffect i ve f or l ar ge S/ N rat i os.
Receiver Design for Optical Fiber Commuqication Systems 155
Anot her quest i on concerns t he ext ensi on of the concl usi ons reached in the
above exampl e t o ot her modul at i on indices and bandwi dt hs. Consi der first the
bandwi dt h dependence" When the circuit noise varies as B z , as for a bi pol ar
front etad, bot h the circuit noise limit and the shot noise limit are consi st ent
with the optical power varyi ng as B for any S/ N ratio. Similarly when an APD
is used t he opt i cal power scales di rect l y with bandwi dt h as long as t he circuit
noise varies as B 2. When the circuit noise varies as B 3 (FET) the opt i cal power
varies as B t'5 in t he circuit noise limit and as B 1' in t he shot noise limit. Thus
at low frequencies, where the circuit noise is small, the system is likely to be shot
noise limited in which case t he optical power dependence is B 1. At high
frequencies where the noise woul d t end to be larger, an API ) coul d be used in
which case the shot noise limit is appr oached and a B ~' dependence is
expected. Thus to a good appr oxi mat i on the optical power requi red to achi eve
a given S/ N rat i o will scale directly as t he circuit bandwi dt h when the opt i mum
det ect or is empl oyed.
When t he modul at i on index is reduced t he signal current is reduced while
the average value of the phot ocur r ent , and hence the shot noise, is unchanged.
Thus when the system is oper at i ng in the circuit noise limit m/5 is a const ant
indicating t hat the requi red optical power varies as m- ~. On t he ot her hand, if
the system is in the shot noise limit m2/5 is a const ant and the requi red opt i cal
power varies as m- 2
4.8 Remaining Work
Earl y analyses of receiver sensitivity deal t with fundament al limits i mposed by
device and circuit par amet er s [ 4. 13, 26, 32] . Experi ment al i mpl ement at i on
verified these predi ct i ons yielding receiver sensitivities in many cases in
excellent agreement with t heor y [4.33 35, 41]. Fur t her wor k went i nt o t he
devel opment of so-called pract i cal receivers with somewhat reduced sensitivity
but with great er dynami c range and reduced manuf act ur i ng t ol erances [4.7, 9,
37, 38, 40]. Recently, compl et e receivers including a l l stages of ampl i fi cat i on
and decision ci rcui t ry have been fabri cat ed on a single silicon i nt egrat ed circuit
[4.I I, 123. At the present time practical, manuf act ur abl e receivers oper at i ng at
vari ous bit rates (digital) and bandwi dt hs (analog) are r eady for i nt r oduct i on
i nt o fiber opt i c systems.
Ther e are, however, a number of areas in which bot h t heoret i cal and
experi ment al work as well as device design remains to be done, Among the
i nt erest i ng probl ems is the effect of fiber dispersion on receiver per f or mance:
specifically in det ermi ni ng the opt i mum equal i zat i on strategy, t aki ng i nt o
account the effects of increased amplifier noise and i nt ersymbol interference.
Thi s pr obl em can be expect ed to become ext remel y i mpor t ant as t he t rans-
mission medi um is pushed to the limit of its frequency response. Some form of
adapt i ve equal i zat i on may have to be devised to compensat e for t he vari at i on
in dispersive propert i es among fibers.
156 R. G. Smi t h and S. D. Pe r s oni c k
Anot her area of interest is in obt ai ni ng a simple model for receiver
sensitivity which i ncorporat es the nongaussi an statistics of the aval anche
phot odet ect or permi t t i ng efficient analysis of overall system performance and
the effects various degradat i ons have on the performance.
In the field of devices t echnol ogy several areas are part i cul arl y interesting.
GaAs FETs have larger figures of merit t han Si FETs and hence hol d promise
for i mproved receiver sensitivities. At the present time, however, gate leakage
currents are excessive in most devices and an underst andi ng and solution of this
problem is required before full advant age can be taken of this new technology.
Also new circuit designs operat i ng at the necessarily high impedance levels
must be devised.
Consi derat i on has been given in this review to receivers using either p-i-n or
aval anche phot odi ode detectors. Recent work on new device structures includ-
ing phot o- FETs I-4.55], phot ot ransi st ors [4.56], and emi t t er-det ect or com-
binations [4.57, 58] shows promise, and one or more of these devices may be
practical for some applications. Work remains in eval uat i ng and i mprovi ng the
performance of these devices and in developing models for their noise
properties.
List of Symbols
Ao~Z 2
A 1 ( o J )
A2(~o)
b
bk
B
Bc f f
C.
Cd
C~
c~
CR
D
C a
d
4i" <e,~(.,)>
d
E(,,))
Elo
El l 1
f . o
F((M))
F ( . ) )
g m
h
Coefficients in power series expansion of input noise spectral density
Preamplifier gain
Postamplifier gain
Value of input signal (general)
Value of input signal in kth time slot
Bit rate
Effective bandwidth
Input capaeilance of amplifier (neglecting Miller effect)
Capacitance of photodetector
Stray capacitance
Stray capacitance including lead and package capacitance of input
transistor
Total input capacitance (neglecting Miller effect)
Decision level in digital system
Series noise generator of input amplifier
Spectral density of series noise generator
Spectral density of noise associated with base resistance
Equalizer response
Probability a mark is misinterpreted as a space
Probability a space is misinterpreted as a mark
Frequency [Hz]
Noise corner frequency
Excess noise factor of avalanche photodetector
Filter response
Transconductance of input transistor
Planck' s constant
/ I f { l )
h o . , ( l )
h p ( l )
h . ( t )
l I F E
hT(t)
H ,((,))
H'oo,(y)
Ho(.~)
H'p(y)
H T ( ( D )
HT(y)
ia
/l
i o
L(O
d
d r ( i2 )
d d .
~ f < i ~ > o , , y j . < i ~ ( , o ) > o n
d
(g, <i2> . . . . . .
<i2(o)>
( i 2 > c l r c u i , , ( / 2 ) c
( i 2 ) s l . . . . .
<i?(0)>
<q(o)> . . . . . . . . . .
io
i~(l)
<i2> o, ( i 2 > 1
[b
l c
I coplm~.m
/ g a l e
I m
I n
J s i g
I ~ ( ( o )
- / ~ i g ( O ) , / ~ i g ( 1 )
I o , 1o((O)
11, 12, I 3
k
I l l
M
< M >
(M),,p,
<M ~>
< " ~ ( 0 >
Receiver Design for Optical Fiber Communication Systems 157
Impulse response of the fiber
Output pulse shape
Input pulse shape
Transmitted pulse shape
Transistor hybrid parameter
hnpulse response of linear channel
Fourier transform of output pulse
Normalized fourier transform of output pulse
Fourier transform of input pulse
Normalized fourier transform of input pulse
Frequency response of linear channel
Normalized frequency response of linear channel
Shunt noise current generator of input amplifier
Noise current generator of diode
Noise current generator of load resistor
Photocurrent
Signal current (time dependent)
Spectral density of shunt noise generator
Spectral density of effective input noise current
Spectral density of current generator
Total mean square input noise current
Mean square input noise current
Mean square input noise current due to detector dark curreut
Mean square input noise current due to load resistor
Mean square input noise current due to series noise source
Mean square input noise current due to shunt current generator
Mean square input noise current due to signal in the time slot
Mean square input noise current due to signals in other time slots
Photocurrent
Signal current (time dependent)
Mean square noise current when space (mark) is received referred to input of
amplifier
Base current of bipolar transistor
Collector current of bipolar transistor
Optimum collector current
Gate leakage current of FET
Component of detector dark current that is multiplied
Component of detector dark current that is not multiplied
Input signal current
Fourier transform of input signal current
Signal current when space (mark) is received
Diode leakage current
Definite integrals involved in expressions for circuit noise
Boltzmann's constant ; Summation index ; Ratio of ionization coefficients of
holes and electrons
Modulation index
Carrier multiplication of avalanche photodiode (a random variable)
Average or expectation value of avalanche gain
Optimum avalanche gain
Mean square avalanche gain
Mean square output noise voltage due to total photodetector current
158 R . G, S m i t h and S . D . P e r s o n i c k
( n . ~ ( 0 ) )
( J 7 2 ) s e r ie s
Q t 2 ~ h , , . ,
( n 2 ( 0 ) , . , . ~
p ( 0 ) , p ( 1 )
P . P , . P ( t )
p.
P ( . ) )
P ( E )
q
Q
r
r h , h
f ' b '
V e
R v
Ri+l
R i .
R o
RT
s
s k
s(O), s ( l )
S ~ , $ 2
t , t '
T
v o,. v d t )
O ~ Y ) )
( v ~ l + ) )
V.(.~)
X
Y
Y~,. Y , ( ( o )
Y + . , ~ , , ( . ) )
~ ' .
z r : ( , . )
Z ~ , ( t )
Z . d o 2 t
F
,5((.I
i t
V
tTO, ~1
* (superscript)
Mean square out put noise
of interest
Mean square out put noise
Mean square out put noise
Mean square out put noise
Mean square out put noise
voltage due to the signal current in the time slot
voltage due to phot odet ect or dark current
voltage due to series noise sources
voltage due to shunt noise sources
voltage due to phot odet ect or signal current
Total mean square out put noise, all sources
Probabi l i t y a space (mark) is t ransmi t t ed
Received optical power
Tratlsmitted optical power
Average received optical power
Fouri er t ransform of received optical signal
Probabi l i t y of error
Electronic charge
Paramet er det ermi ni ng error rate in digital systems
Ratio of t ransmi t t ed power in space to t hat in mark
Base resistance
Base-emitter resistance
Shockley emitter resistance
Feedback resistance of t ransi mpedance amplifier
Effective resistance of input circuit
Load resistance
Responsivity of phot odet ect or
Effective transfer resistance of linear channel
Peak value of out put voltage
Peak value of out put voltage in kth time slot
Value of out put voltage when space (mark) is received
Location of poles of transimpedance amplifier
Time
Time slot width; Absolute t emperat ure
Out put signal voltage
Expectation value of out put voltage
Expectalion value of square of out put voltage
Fourier transform of out put voltage
Exponent in power law approxi mat i on to excess noise factor
Normalized frequency variable
Input admi t t ance of amplifier
Total admi t t ance of input circuit
Admittance of i nput circuit minus effect of transistor j unct i on capacitances
Feedback impedance of transimpedance amplifier
Impulse response of linear channel
Response of linear channel
Paramet ers used in describing input pulse shape
Srnall signal bet a of t ransi st or
Quiescent beta of transistor
Fact or appeari ng in spectral density of series noise generat or of FET
Delta function
Quant um efficiency of the phot odet ect or
Wavelength of light
Frequency of light
St andard deviation of noise in the space (mark)
Mean square noise in space (mark)
Summat i on appeari ng in noise expressions
Convol ut i on
Complex conjugate
Receiver Design for Optical Fiber Communication Systems 159
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4.2 E.E.Basch, R.A. Beaudette, H.A.Carnes: IEEE Trans. C-26, 1007 (1978)
4.3 R.W. Berry, D.J.Brace, l.A.Ravenscroft: IEEE Trans. C-26, 1021 (1978)
4.4 J.I.Yamada, M.Sarvwatari, K.Asatani, H.Tsuchiya, A.Kawana, K.Sugiyama, T.Kimut:a:
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4.5 T.L.Maione, D.D.SelI: IEEE Trans. C-25, 517 (1977)
4.6 Y.Ueno, Y.Ohgushi, A.Abe: Proc. 1st Europ. Conf. on Opt. Fiber Commun., IEEE Conf.
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4.7 J. Yamagata, S.Senmoto, Y.[namura, H.Kaneko, T.Takahashi: Proc. 1st Europ. Conf. on
Opt. Fiber Commun., IEEE Conf. Pub. No. 132, 144 (1975)
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4.10 W.H. Hackett, J r., J.R.Jones, C. A. Brackett, L.C. Dombrowski, L. E. Howarth, P. W. Shulnate,
R.G.Smith, A.W.Warner, R.S.Riggs: Optical Fiber Transmission I I (Technical Digest,
Williamsburg, VA 1977)
4.11 W.C. Brown, D.C.Hanson, T. Hornak, S.Garvey: IEEE Trails. C-26, 976 (1978)
4.12 D.C. Hanson, W. W. Brown, S. E. Garvey, G.F.Girot, E. Heldt : l EEE Trans. C-26, 1068 (1978)
4.13 S.D.Personick: Proc. 1EEE 65, 1670 (1977)
4.14 M.K.Barnoski: Fundamentals of Optical Fiber Communications (Academic Press, New York
1976) Chap. 6
4.15 S.E.Miller, T. Li, E.A.J.Marcatili: Proc. IEEE 61, 1703 (1973)
4.16 T. Li: IEEE Trans. C-26, 946 (1978)
4.17 J.Conradi, F.P. Kapron, J.C. Dyment : IEEE Trans. ED-25, 180 (978)
4.18 P.P.Webb, R.J.Mclntyre, J.Conradi: RCA Rev. 35, 234 (1974)
4.19 H.Melchior, A, R. Hartman, D.P.Schinke, T. E.Seidel : Bell Syst. Tech..I. 57, 1791 (1978)
4.20 H. Ando, H. Kanbe, T. Kimura, T. Yamaoka, T. Kaneda : I EEE J. QE-14, 804 (1978)
4.21 L.R.Tomasetta, H.D.Law, R.C. Eden, l.Deyhimy, K.Nakano: IEEE J. QE-14, 800 (1978)
4.22 H.D. Law, L.R.Tomasetta, K.Nakano, J.S. Harris : Appl. Phys. Lett. 33, 416 (1978)
4.23 M. [to, T. Kaneda, K.Nakajima, Y.Toyoma, T. Yamoako, T. Kotani : Electron. Lett. 14, 418
(1978)
4.24 T.P.Pearsall, M.Pauchon: Appl. Phys. Lett. 33, 640 (1978)
4.25 K.Ahmad, A.W.Mabbitt: Tech. Dig., Inter. Elect. Dev. Meeting, (Washington, D.C. 1978)
pp. 646
4.26 S.D.Personick : Bell Sysl. Tech. J. 52, 843 (1973)
4.27 R.J.Mclntyre: IEEE Trans. ED-13, 164 (1966)
4.28 S.D.Personick: Bell Syst. Tech. J. 50, 843 (1976)
4.29 T.Witkowicz: IEEE J. SSC-13, 195 (1978)
4.30 T.Witkowicz: IEEE J. SSC-13, 722 (1978)
4.31 W.Baechtold: IEEE Trans. ED-19, 674 (1972)
4.32 J.E.Goell: Bell Syst. Tech. J. 53, 1771 (1974)
4.33 J.E.Goell: Bell Syst. Tech. J. 53, 629 (1974)
4.34 J.E.Goell: Proc. IEEE 61, 1504 (1973)
4.35 P.K. Runge: IEEE Trans. C-2,:1, 413 (1976)
4.36 J.L.Hu[[ett, T.V.Muoi: IEEE Trans. C-23, 1518 (1975)
4.37 J.L.l,iullett, T.V.Muoi: IEEE Trans. C-24, 1180 (1976)
4.38 R.G.Smith, C. A. Braekett, H.W. Reinbold : Bell Syst. Tech. J. 57, 1809 (1978)
4.39 R.C.Eden: Final Rpt. NASA Cont. NAS5-23333 (1975)
4.40 T.A. Eppes, J.M.Holland : Electro-Optics Syst. Des. 9, 41 (1977)
4.41 W.M.Muska: Bell Syst. Tech. J. 56, 65 (1977)
4.42 P.W.Dorman: Unpublished results
4.43 R.J.McIntyre: IEEE Trans. ED-19, 703 (1972)
160 R. G. Smith and S. D. Persouick
4.44 J.Conradi: IEEE Trans. ED-19, 713 (1972)
4.45 S.D.Personick: Bell Sysl. Tech. J. 50, 3075 (1971)
4.46 S.D.Personick, P. Balaban, J. H. Bobsin, P. R. Kumar : 1EEE Trans. C-25, 541 (1977)
4.47 P.Balaban: Bell Syst. Tech. J. 55, 745 (1976)
4.48 D.G. Messerschmitt: IEEE Trans. C-26, 1110 (1978)
4.49 W.Hauk, F.Bross, M.Otlka: 1EEE Trans. C-26, 1119 (1978)
4.50 J.E.Maxo, J.Salz: Bell Syst. Tech. J. 55, 347 (1976)
4.51 J.C.Cartledge: IEEE Trans. C-26, 1103 (1978)
4.52 See for example papers in:
[) Proc. of the 1st, 2nd and 3rd Europ. Conf. on Opt. Comm. ;
1I) Tech. Dig., Top. Meeting on Opt. Fiber Transmission II, Williamsburg, Va. (1977);
Ill) Tech. Dig., Intern. Conf. on Integ, Opt. and Opt. Fiber Comm., Tokyo (1977);
IV) Special issue on : Fiber Opt,, IEEE Trans. C-26 (1978)
V) Tech. Dig., Conf. on Laser and Electro-Opt. Syst. San Diego, CA (1979);
VI) Special issue on: Quant. Electr. Dev. for Optical-Fiber Comm., IEEE J. QE-14 (1978)
4.53 S.D.Personick: Bell Syst. Tech. J. 55, 957 (1976)
4.54 Y.Takasaki, M.Tanaka, N.Maeda, K. Yamashita, K.Nagano: IEEE Trans. C-24, 404 (1976)
4.55 C.Baak, G. Elze, G.Walf: Electron. Lett. 13, 193 (1977)
4.56 R.A.Milano, T.ll.Windhorn, E.R. Aaderson, G.E.Stillman, R.D.Dupuis, P.D.Dapkus:
Tech. Dig., lnter. Electr. Dev. Meeting, (Washington, D.C. 1978) pp. 650
4.57 T.Ozeki, Y. Ucmatsu, T.lto, M. Yamamoto, Y. Unno: Opt. Lelt. 2, 103 (1978)
4.58 J.A.Copeland, A.G.Dentai, T.P. Lee: IEEE J. QE-14, 810 (1978)
5. Lightwave Transmitters
P. W. Shmnat e and M. Di Domeni co, Jr.
With 32 Figures
Li ght -emi t t i ng di odes (LEDs) and injection-laser di odes (1LDs) have cert ai n
uni que characteristics which make t hem at t ract i ve as lightwave communi cat i on
sources. Thi s chapt er provi des a discussion of the engi neeri ng consi derat i ons
one must make to use these semi conduct or sources in lightwave t ransmi t t ers.
Among the advant ages, LEDs and lasers are di mensi onal l y compat i bl e with
opt i cal fibers, resulting in high coupl i ng efficiencies; t hey emi t at wavel engt hs
coi nci di ng with regions of low opt i cal absor pt i on in fibers; t hey are easy to
modul at e; and they offer solid-state reliability, with lifetimes now exceeding
106 h. Nevertheless, t here are many engi neeri ng tradeoffs to be dealt with. This
chapt er will first compar e and discuss these t radeoffs in view of differing
appl i cat i ons. Then, ci rcui t ry for digital and anal og appl i cat i ons will be
exami ned.
5. 1 Charact eri s t i cs
Al t hough LEDs and lasers exhibit a number of similarities, striking differences
exist which must be consi dered in t erms of t he appl i cat i on and t r ansmi t t er
design. One maj or difference is, of course, the spatial and t empor al coher ence of
laser light which results in a relatively nar r ow beam of light and nar r ow
spectral width. In cont rast , most LED sources are Lamber t i an and have a
moder at el y large spont aneous spectral width. These fact ors govern, respec-
tively, t he amount of opt i cal power which can be coupl ed i nt o a fiber and the
influence of mat eri al (or chromat i c) dispersion on the dispersive propert i es of
the fiber medium. A second difference is in speed. The st i mul at ed emission from
lasers results in intrinsically faster opt i cal rise and fall times in response to
changes in drive current t han rise and fall times obt ai nabl e with LEDs. Thi rdl y,
EEDs generat e light al most linearly pr opor t i onal to t he cur r ent passing
t hr ough the device. In cont rast , lasers are t hreshol d devices, and t he lasing
out put is pr opor t i onal to drive cur r ent onl y above threshold. Compl i cat i ng the
pi ct ure is the fact t hat the laser' s t hreshol d cur r ent is not const ant but a
funct i on of device t emper at ur e and age. Thi s has a significant i mpact on drive
ci rcui t ry for lasers. The effect of t emper at ur e changes on LED out put can be
handl ed far mor e simply, and in many cases is not even a probl em. Lastly,
differences exist in device reliability. At present, LEDs have subst ant i al l y l onger
oper at i ng lifetirnes t han lasers. We will now discuss these compar i sons in mor e
specific detail, summari zi ng the par amet er s ill Tabl e 5.1 as we proceed.
162 P. W. S h u m a t e and M. Di Do me n i c o , J r .
Table 5, I. Representative electrical and optical characteristics
lightwave communications
for light-emitting devices suitable for
Low-radiance High-radiance Injection
LEDs LEDs lasers
Voltage drop [V] 1.5 to 2.5 1.5 to 2.5 1.5 to 2
Forward current [mA] 5(1 to 300 50 to 300 10 to 300
Threshold current [mA] NA NA 5 to 250
Output power [mW] 1 to 3 I to 10 1 to 10
Launched power [mW] 0.001 to 0.1 0.05 to 0.5 0.5 to 5
Spectral width [nm, at 800nm] 35 to 50 35 to 50 2 to 3
[nm, at 1300nm] 70 to 100 70 to 100 3 to 5
AInP/AT [ %/ ' C ] - 1 - 1 N A
A1 n / - i / A T [ %/<'C] N A N A + 1
Brightness [W/cm2/sr] 1 to 10 10 to 1000 ~ 105
Rise time [10% to 90%, ns] 5 to 50 2 to 20 < 1
Frequency response [ 3dB, MHz] 7 to 70 18 to 175 350 to 1000
Nonlinearity [%] 0.03 to 1 0.3 to 3 0.3 Io 30
Feedback stabilization required? No No Yes
MTTF (h, at 25 ' C heatsink) 10 ~, to 109 l04 to 107 3 x 103 to 10 <,
Operating temperature [C] - 55 to + 150 - 40 to +90 - 55 to +70
(;hip processing complexity Lowest Low to Medium High
Packaging complexity Low Low High
Cost Lowest Low High
N o t e : Spcctral width is full width at half maximum (FWHM). approximately equal to 1.18 x rms
(2o-I width.
5.1.1 Power
Li ght -emi t t i ng diodes typically oper at e at cur r ent levels of 50 to 300 mA and
with vol t age dr ops across the t ermi nal s of 1.5 to 2.5 V. Dependi ng on quant um
efficiency, st ruct ure and series resistance, such electrical power levels t ransl at e
i nt o the or der of 1 to 10roW of optical out put when the device is oper at ed
cont i nuousl y. Of this out put power, from less t han 1% to less t han 10% is
t ypi cal l y coupl ed into a single mul t i mode fiber lightguide [5.1]. Coupl i ng
efficiencies on the or der of 10% or mor e shoul d be at t ai nabl e if the light-
emi t t i ng area is smaller t han t he area of the fiber core and lenses or ot her
optical elements are empl oyed [5. 2-5]. Edge-emi t t i ng LEDs, by virtue of their
non- Lambcr t i an radi at i on pat t ern also achi eve ~ 10% coupl i ng [5.6]. These
consi derat i ons t ransl at e into power levels from a few laW on one ext reme to
several hundr ed I.tW on the ot her typically being l aunched i nt o single mul-
t i modc fibers. The specific value depends st rongl y on di ode structure, fiber
di amet er, and fiber numeri cal apert ure.
Injection lasers oper at e at similar levels of electrical i nput (10 to 300 m A, 1.5
to 2 V), but are t hreshol d devices as illustrated by the l i ght -current ( L - I ) t ransfer
~o
Lightwave Transmitters 163
8
E
6
, , = ,
o
a_ 4
d
2
0
0 250
20C 50C
THRESHOLD A T 5 0 ( /
I
50 100 t50 200
FORWARD CURRENT (mA)
F i g . 5.1. The light-power output vs
forward current, or L - - l . transfer charac-
teristic for a typical injection laser diode.
Curves for two typical heatsink tempera-
tures are shown
charact eri st i c in Fig. 5.1. Below t hreshol d the laser' s out put is spont aneous
LED light, whereas above t hreshol d the emission is coherent , of nar r ow
spectral wi dt h compar ed with an LED, and generat ed at a high differential
quant um efficiency ( d L / d l ) . Cont i nuous opt i cal power levels of several mW per
mi r r or are typical of t oday' s laser diodes. Al t hough this out put level is
numeri cal l y similar to t hat of an LED, mor e of it is effectively coupl ed i nt o a
fiber because the beam is di rect i onal (spatially coherent). Fur t her mor e, a lens
can readily be used to advant age since t he emi t t i ng area of a laser is much
smaller t han most fiber cores, Wi t h no lens, coupl i ng efficiencies near 30 % are
obt ai ned by placing a fiber close to a laser mi rror. By mel t i ng a "lens" on the
end of this ot herwi se flat-ended fiber, or by using ot her lens schemes, coupl i ng
efficiencies appr oachi ng 100 % are realizable [5. 7-9]. (The very highest efficien-
cies are not necessarily practical, however, because of t hei r sensitivity to
mechani cal mot i on, assembl y tolerances, etc.) For lasers, then, power levels of
appr oxi mat el y 0. 5r ow to several mW are l aunched, an advant age of 10 to
20dB when compar ed with most LEDs. Thi s 10 to 20dB power advant age
t ransl at es into subst ant i al l y longer fiber lengths being al l owed between source
and det ect or, or higher si gnal -t o-noi se ratios (SNRs) for fixed lengths of fiber in
anal og appl i cat i ons, or addi t i onal margi n to accommodat e passive taps or
coupl ers for signal di st ri but i on in a dat a net work.
5. 1. 2 Spectral Width
The i ncoherent emission of an LED oper at i ng in the 800 900 nm range (e.g., a
GaAI As device) usually displays a spect rum whose full wi dt h at hal f maxi mum
( FWHM) is 35 to 50nm. Chr omat i c or mat eri al dispersion in vari ous high-
silica fibers results in rms i mpul se br oadeni ng of 1.6 to 3.0 ns/ km at 800 nm (1.0
to 2. 0ns/ km at 900nm) for this range of spect ral wi dt hs [5. 10-12]. Thi s
di spersi on in t urn places a 3dB-frequency x length l i mi t at i on on an LED
system of appr oxi mat el y 60 to 120 MHz . k m at 800 nm ( appr oxi mat el y 95 to
164 P. w. Shumate and M. DiDomenico, Jr.
190 MHz . k m at 900nm) ~. Thi s l i mi t at i on can be ci r cumvent ed ei t her by
oper at i ng at a wavel engt h where chr omat i c di sper si on is less, or by usi ng a
sour ce wi t h reduced spect ral width.
Chr omat i c di spersi on in high-silica fibers appr oaches zero near 1.3p.m
[5.12, 13] 2. Ther ef or e if a "l ong- wavel engt h" LED is used (one whose emi ssi on
peaks near 1.3 lam), even t hough its F WHM is as l arge as 100nm [-5.14, 15], the
frequency x length pr oduct is i ncreased at least an or der of magni t ude to the
vicinity of 1 GHz . k m over what is obt ai nabl e in the 800 to 900nm region.
( Anot her benefit of oper at i ng near 1.3 ~m is the very low at t enuat i on glass
fibers di spl ay at t hat wavel engt h. )
The spect ral width of the source is nar r ower if one uses a laser r at her t han
an LED. The coher ent lasing out put is far mor e monoc hr oma t i c t han the
s pont aneous cmi ssi on of an LED, by a fact or of at least 20. Thus even at
800nm, the frequency x length pr oduct rises to a val ue near 1 GHz . k m, and
consi der abl y hi gher at 1.3 t, tm. Ther ef or e the frequency (or bit rate) x l engt h
r equi r ement s of a par t i cul ar syst em may di ct at e the choi ce of source or
wavel engt h.
5. | . 3 Speed
The effective mi nor i t y- car r i er lifetime in a heavi l y doped 0018 to 1019/cm3)
di r ect - gap mat er i al such as Ga As is t ypi cal l y about 1 t o 10ns [5.16]. The 10 to
90 % rise t i me of an LED made f r om GaAs, reci procal l y rel at ed to the frequency
response of t he device, is at least twice this value, and frequent l y much l onger
due to j unct i on (space-charge plus diffusion) capaci t ance in combi nat i on wi t h
any st ray cont r i but i ons [5.17]. Rise times for LEDs cur r ent l y avai l abl e range
from 2 to about 50 ns, cor r espondi ng to 3 dB frequencies of 7 to 175 MHz. By
pr opcr choi ce of dri ve circuitry, malay of the sl ower di odes can be dri ven to
show rise times of 10ns or less. Thi s will be discussed in the circuits section of
the chapt er.
The t i me const ant charact eri st i c of the st i mul at ed- emi ssi on process in lasers
is much short er, and mos t lasers di spl ay rise times of 1 ns or less. As wi t h the
LED, pr oper choi ce of dri ve ci rcui t ry can mi ni mi ze this value. To achi eve the
highest speeds with lasers, and mi ni mum t ur n- on delays, lasers are usually
bi ased ei t her j ust bel ow or j ust above t hreshol d and a hi gh-speed dri ve current
on the or der of a few mA to tens o f mA is added to this bias. Lasers can be used
beyond 1Gb/ s N RZ ( nonr et ur n- t o- zer o) or f r om a bout 500 t o 1000MHz, as
compar ed with pr ac t i c al limits of abot , t 100 Mb/ s NRZ (or about 50 MHz) for
most LEDs. (Li ght -emi t t i ng di odes have been oper at ed at frequencies much
hi gher t han this in vari ous exper i ment al envi r onment s I-5.18-20-1.)
1 This limitation always scales linearly with distance.
2 The second derivative of refractive index dZn/d22, to which chromatic or laaterial dispersion is
proportional, goes to zero at an inflection point in n(2). This inflection point is connected with
the dipole absorption in glass at longer wavclcngths responsible for classical "anomalous
dispersion."
Lightwave Transmitters 165
5. 1. 4 Li neari t y
Al t hough the out put f r om an LED is appr oxi mat el y pr opor t i onal to dri ve
current , mos t LEDs di spl ay some degree of nonl i near i t y in t hei r L- I
charact eri st i cs. In the l i ght -generat i ng regi on above t hreshol d, lasers can
di spl ay nonl i neari t i es in t hei r L- - I charact eri st i c, ari si ng f r om mode in-
stabilities. Gr os s nonl i neari t i es ari si ng f r om j unct i on heat i ng in an LED
or ki nks in a l aser can be cl earl y seen f r om a quasi st at i c pl ot of t he L - I
charact eri st i c on a r ecor der or oscilloscope. The mor e subt l e di st or t i ons ari si ng
f r om cur r ent cr owdi ng or the j unct i on equat i on for LEDs can be measur ed in
t erms of har moni c- di s t or t i on levels, two-, three-, or mul t i f r equency (noise
l oadi ng) i nt er modul at i on component s , or di fferent i al -gai n and differential-
phases responses to a st andar d compos i t e signal. These t ypes of meas ur ement s
can be rel at ed t o one anot her as descri bed in [Ref. 5.21, Chap. 10]. As a resul t
of source nonlinearities; mos t at t ent i on has been di rect ed to oper at i ng light-
wave t r ansmi t t er s, par t i cul ar l y t hose usi ng lasers, in a 2-level (bi nary) digital
mode which is fairly insensitive to these di st ort i ons. (Digital pr obl ems ari si ng
f r om nonl i neari t i es will be di scussed later.) Cert ai n LEDs, however, di spl ay
high l i neari t y where di st ort i on pr oduct s ( har moni c and i nt er modul at i on) lie
50dB [5.22], or even 60dB or mor e [5.23] bel ow the modul at i ng signal level.
Hi gh- r adi ance devices such as etched-well ("Burrus") LEDs consi st ent l y dis-
pl ay di st or t i on pr oduct s 35 to 45 dB bel ow the signal level [5. 24-26]. (These
di st or t i ons have been anal yzed and predi ct ed f r om t heoret i cal consi der at i ons of
LED r ecombi nat i on kinetics and di ode st r uct ur e [5.27, 28].) And very rel evant
to the pi ct ure, cert ai n new si ngl e- mode laser st r uct ur es are al so showi ng
l i neari t y in this r ange ( ~ 50 dB) [5.29]. These levels of di st or t i on are adequat e
for ma ny anal og appl i cat i ons. I f not adequat e, t here are circuit designs for
i mpr ovi ng t he l i neari t y of ei t her t ype of source, the mos t obvi ous bei ng the use
of negat i ve feedback.
5. 1. 5 Thermal Behavi or
Nei t her LEDs nor lasers mai nt ai n a const ant opt i cal out put if the device
t emper at ur e (more specifically, the j unct i on t emper at ur e) is changed. It is welt
known t hat mos t LEDs have a negat i ve t emper at ur e coefficient of a bout
- 1 %/ C [5.30] 3. Thi s arises f r om an i nt er pl ay bet ween the t emper at ur e
dependence of the band det ai l s on one hand ( compet i t i on bet ween r adi at i ve and
nonr adi at i ve processes), and changes in car r i er - gener at i on efficiency on the ot her.
A t emper at ur e dependence of this magni t ude can result in a change of 2 dB
(a f act or of 1.6) or mor e in opt i cal power over the t emper at ur e range 0 to 70 ~C.
For t unat el y, if this present s a pr obl em, t he out put can be stabilized very
3 More accurately, the quantum efficiency closely follows an exponential activation energy
behavior near room temperature, with an activation energy in the range 40 to 70meV.
166 P. W. Shumate and M. DiDomenico, Jr.
sat i sfact ori l y by desi gni ng a circuit to adj ust t he dri ve cur r ent wi t h t emper at ur e
and cancel the predi ct abl e change in LED efficiency.
Lasers present far mor e of a pr obl em. The t hr eshol d current s of t ypi cal
lasers change by appr oxi mat el y + 1%/C. The 1%/'~C is far mor e di sast r ous in
t er ms of out put st abi l i t y t han an LED' s coefficient of si mi l ar magni t ude
because its effect is magni fi ed by the high differential qua nt um efficiency
beyond t hreshol d. In a t ypi cal laser (Fig. 5.1), a change of onl y 30~'C, which
results in a t hr eshol d i ncrease of 3 0 mA in the figure, results in a compl et e loss
of lasing out put for levels bel ow 5 mW (al t hough the s pont aneous out put
remai ns) 4. Cl earl y this must be deal t wi t h at the t r ansmi t t er - desi gn level and
furt her discussion must be deferred until l at er in the chapt er.
5.1.6 Reliability
Mean- t i me- t o- f ai l ur es ( MTTFs ) gr eat er t han 107 h at a j unct i on t emper at ur e of
70"C have recently been r epor t ed for cert ai n LEDs [5.31]. Typi cal MTTFs of
commer ci al LEDs, bot h high- and l ow- r adi ance devices, are in the 10 "s h r ange
[5.32]. For LEDs, it is expect ed t hat l ow- cur r ent - densi t y di odes (J < 1 kA/ c m 2)
will have the l ongest MTTFs , the reduced-j unct i on (J ~ 3 to 6 kA/ cm 2) Burrus-
t ype device the short est , and t hat lifetimes for all devices will const ant l y show
i mpr ovement s as the t echnol ogy mat ures.
Impressi ve laser MTTFs of ~ 1 0 6 h at a heat si nk t emper at ur e of 22C
(average j unct i on t emper at ur e appr oxi mat el y 32"C) have recently been r epor t -
ed [5.33]. Inj ect i on lasers are expect ed to show subst ant i al i mpr ovement s in
lifetime as this t echnol ogy mat ures. Typi cal MTTFs of commer ci al l y avai l abl e
lasers range f r om 3 x 103 to 105 h at 25 C [5.32] 5. Lasers have mor e pot ent i al
da ma ge mechani sms t han LEDs (e.g., mi r r or damage, nonr adi at i ve r ecom-
bi nat i on in the act i ve region, defects in the act i ve-regi on geomet r y, etc.) Thus it
is r easonabl e to expect that, given equal oper at i ng t emper at ur es and cur r ent
densities, lasers will al ways trail LEDs in reliability. The reliability requi re-
ment s for any appl i cat i on must be eval uat ed very specifically in each case.
Temper at ur e ext remes and the details of the l og- nor mal failure statistics must
be consi dered. Power - suppl y l i mi t at i ons may al so come i nt o the picture,
because in s ome appl i cat i ons, t her moel ect r i c cool i ng may be used pr of i t abl y to
enhance device lifetime. The onl y gener al i zat i on one can make is t hat LEDs are
far mor e reliable at higher t emper at ur es t han lasers. Therefore, if oper at i on in
an unpr edi ct abl e envi r onment (e.g., out door s) is cont empl at ed, LEDs present l y
have a subst ant i al edge over lasers.
4 Lasers with substantially reduced thresholds, however, will be affected to a much lesser extent.
5 For comparison with LEDs specified at 70 "C, laser lifetimes at 25 "C must ~e reduced by a factor
of approximately 20 to 70. The exact ratio depends on junction tempcrature, activation energy,
thermal impedance and average operating current, which may change widely for a laser during
its lifetime.
Li ght wave Tr a ns mi t t e r s 167
5.1.7 Other Factors
Aside from these technical tradeoffs, pract i cal consi derat i ons include device
cost (lasers are mor e expensive t o fabri cat e and to package t han LEDs) and
circuit compl exi t y. Presently, cost is a rapi dl y movi ng t arget and must be
consi dered, again, in each specific appl i cat i on. Ci rcui t compl exi t y affects cost,
bot h in part s count and assembly and set up time.
5. 2 Modul at i on Format s
We t ur n now t o the modul at i on format s useable with LEDs and lasers. Bi nary
digital met hods, including pul se-code modul at i on (PCM) and adapt i ve delta
modul at i on (ADM), are frequent l y preferred in lightwave appl i cat i ons because
of t he high signal-to-noise ratios or low bit er r or rates at t ai nabl e for even
modest carri er-t o-noi se ratios [5.21, 34]. That is, a bi nary signal t ol erat es large
amount s of at t enuat i on or signal degr adat i on arising from dispersion, noise,
etc., wi t hout degradi ng the i nf or mat i on cont ent since onl y a two-level (pulse/no
pulse) decision must be made. Thi s usually t ransl at es into increased repeat er
spaci ng (or increased length of nonr epeat er ed links) when compar i ng digital
with i nt ensi t y- modul at ed transmission. Fur t her mor e, bi nar y digital modu-
lation is highly compat i bl e with a source like an LED or laser t hat can be
switched rapidly, and nonlinearities in the L - I charact eri st i c of t he source do
not usually affect its suitability for two-level signaling.
Digital transmission, however, acqui res these advant ages at the expense of
bandwi dt h expansion. For PCM, an anal og signal must be sampled at twice its
highest frequency component (i.e., the Nyqui st rate) in the anal og-t o-di gi t al
conversi on process. Thus a vi deo signal of bandwi dt h of 4.25 MHz must be
sampl ed at least as oft en as 8.5 x 106 samples/s. In fact, col or vi deo must be
sampl ed at the next highest multiple of the 3.58 MHz NTSC chr oma subcarri er
frequency 6 in or der to prevent undesi rabl e col or effects in the pi ct ure [5.35, 36].
Therefore, a col or vi deo signal t hat coul d be sent in a 4. 25MHz anal og
baseband f or mat woul d instead be sent at 86 Mb/ s if 8-bit codi ng is desired t o
preserve a high signal-to-noise rat i o (3 x 3.58 x 10 6 samples/s x 8 bits/sample).
Clearly, a PCM signal at this rat e requires st at e-of-t he-art sources (t r < 5 ns),
graded-i ndex fibers if l ong t ransmi ssi on lengths are desired
(BW > 500 MHz - km) and possibly l ong-wavel engt h LEDs or narrow-l i ncwi dt h
sources such as lasers to avoi d mat eri al -di spersi on constraints.
In spite of t he advant ages of digital signaling, anal og appl i cat i ons such as
di rect i nt ensi t y modul at i on (IM) or subcarri er FM ~ offer simplicity and low
6 Na t i ona l Tel evi si on Sys t em Commi t t e e s t a nda r d for 525-1ine br oadcas t i ng.
7 Subcar r i er FM is used to denot e t he fact t hat t he f r equency of t he l i ght sour ce itself is not bei ng
modul a t e d to t r a ns mi t t he i nf or mat i on (direct FM) , but r at her t hat t he f r equency of an rf
electrical s ubcar r i er is modul a t e d. Thi s si gnal , in t ur n, i nt ensi t y modul a t e s t he light sour ce. The
s ubcar r i er can be a si ngl e cent r al f r equency or sever al i ndependent l y modul a t e d s ubcar r i er s
( mul t i - subcar r i er ) , mul t i pl exed in t he electrical f r equency domai n.
168 P. W. Shumat e and M. DiDomenico, Jr.
cost at the terminal ends (11o CODECs) and may frequent l y deserve con-
si derat i on 8. IM and mul t i subcarri er FM are realizable using direct i nt ensi t y
modul at i on of many LED sources and some lasers because of the adequat e
linearity these devices possess, requi ri ng no feedback or ot her schemes to
reduce di st ort i on. This is especially t rue for t hose appl i cat i ons where second-
or der t erms lie out - of - band [-5.37, 39, 40, 42, 43] and onl y the smaller t hi rd-
or der i nt er modul at i on t erms such as 2o) t - ~) 2 and e) t +co2- o~ 3 are i n-band
and need be considered. Of course, the devices can be linearized furt her using
feedback or ot her techniques, as will be discussed.
A probl em peculiar to lasers t hat was not discussed earlier but t hat may
limit their appl i cabi l i t y in cert ai n IM links is excess noise. Near t hreshol d, the
light out put of injection lasers has super i mposed on it wi deband noise of an
ampl i t ude great er t han or di nar y shot noise referred ei t her to the laser cur r ent
or to the det ect or phot ocur r ent [5.44 47]. Thus, t he signal-to-noise rat i o (for
IM or subcarri er FM) will be reduced. At levels about 10 % above t hreshol d, the
excess noise of many lasers dr ops back close to the shot -noi se limit, but for
some lasers it may remai n qui t e large (total noi se/ shot noi se=excess
noise ~ 10 dB). Thi s is part i cul arl y common near L - I nonlinearities (kinks).
( LEDs are Mso known to exhibit some excess noise, but it is o f a 1/ f nat ur e and
smaller in ampl i t ude, t herefore pot ent i al l y less t r oubl esome [5.48].)
Some lasers also show sustained pul sat i ons at frequencies rangi ng fi'om
hundr eds of MHz to several GHz, and the frequency of such pul sat i ons may
decrease with aging. The modul at i on index of such pul sat i ons can be very large,
nearly 100%, and t herefore pot ent i al l y di sast rous in cert ai n IM applications.
Pul sat i ons can also limit the per f or mance of digital systems and may be a fact or
in det ermi ni ng ul t i mat e device reliability in cert ai n applications.
At present, until nonlinearities, excess noise, and pul sat i ons are mor e clearly
under st ood and eliminated, LEDs woul d appear to be safer choices in IM
applications.
In publ i shed papers, at t ent i on has been given t o modul at i on and codi ng
schemes ot her t han IM, FM, and PCM. For example, pul se-frequency modu-
lation, pulse-position modul at i on, and pul se-ampl i t ude modul at i on have been
discussed, as well as encodi ng schemes for bi nary dat a such as bi-phase
(Manchester), del ay modul at i on (Miller), multilevel, and ot hers [5.49 59]. The
compl ex subject of the relative merits of each scheme is beyond the scope of this
chapt er but the reader is referred elsewhere [5.21, 34, 60] as well as to t he
references j ust ment i oned.
It shoul d be recognized t hat whi chever anal og scheme mi ght be di ct at ed by
a part i cul ar appl i cat i on, the anal og drivers to be present ed may be suitable as
t he interface bet ween a user-provi ded modul at or and t he opt i cal source.
Likewise, the digital circuits to be present ed may be used between a digital
encoder circuit and the source.
8 Di rect i nt ensi t y modul at i on has received much al t ent i on recent l y for mul t i channel vi deo
appl i cat i ons wher e l he bit rat e of a digital composi t e woul d be excessively hi gh [5.37 41] .
Lightwave Transmitters 169
- 1 0
~" - 2 0
- 3 0
d .
>
bn - 4 0
- I
u~ - 50
o
0,_ - 6 0
- 7 0
- 8 0
- 9 0
..../....A P O
FET ~ BI POLAR
I I I I I
:5 10 30 1 0 0 3 0 0 1 0 0 0
BI T RATE ( Mb / s , NRZ)
Fig. 5.2. Typical output power levels vs operating frequency for comnlon lightwave sources, as
coupled into single fibers (core diameter ~ 50 70 pro, N.A. ~0. 2 to 0.36). Also shown are receiver
sensitivity curves for silicon p-i-n photodiodes and for silicon awdanche photodiodes operated at
opt i mum gain. The break near 50 Mb/s denotes a switch from silicon FETs to silicon bipolar
transistors to optimize noise performance
5.3 Source Comparisons
To summari ze and concl ude tile first par t of this chapt er, the i mpact of many of
t he per f or mance par amet er s j ust discussed will be present ed in t wo sets of
curves appl i cabl e to digital systems.
Fi gure 5.2 is useful in compar i ng the speed-power t radeoffs among the
sources. This figm'e also includes receiver sensitivities for 10- 9 bit er r or rate as
a funct i on of bit rate. These wel l -known curves for p-i-n phot odet ect or s and
APDs charact eri ze opt i mum receiver designs opt i mmn filtering at each bit
rate, st at e-of-t he-art semi conduct or and circuit design, and opt i mal aval anche
gain in the case of the APD [5.61] (see Chap. 4). Pract i cal designs can achieve
per f or mance within 1 to 2 dB of these curves.
The curves at the t op of the figure represent typical average power levels
l aunched by each source. The ranges of power levels and pract i cal frequency
l i mi t at i ons are also indicated.
At any bit rate, the difference between the source power and the receiver
sensitivity for the chosen phot odet ect or represent s a margin t hat can be
di st ri but ed among fiber, connect or and splice losses, t emper at ur e and end-of-
life allowances, addi t i onal margi n for l ower bit er r or rates, l ess-t han-opt i mal
receiver designs, etc. The al l ocat i on of these quant i t i es in assembling a
t ransmi ssi on loss budget has been discussed elsewhere [5.62 65].
170 P. W. Shumate and M. DiDomenico, Jr.
m lOOK
E
1oK
Z
3
~E
o I00
( J
~" 10
{ E
s LASER-APD f--FIBER MODAL
HIGH- RADIANCE LED-APD / DISPERSION
/
/ L E D C H R O M A T , C
- - - - - - - - - - - - / D . S E R S , O .
- ~ ~ ~ X= B25nm
.- L E D &
THERMAL ~ DRIVER
NOISE LIMITED ~- LIMITED
i r i i I s s r l t l I t I I t l l , ~ i , J J
10 100 1000
BIT RATE ( Mb/ s)
Fig. 5.3. Representative t ransmi ssi on di st ances as a function of b i t rate for various combi nat i ons
of sources and detectors. For these curves, 2=825 nm, phol odi odes and bi pol ar t ransi sl ors arc
silicon, and fiber loss is 5 dB/km. Fiber core di amet er is 55 gm and N. A. =0. 23
As an exampl e one finds f r om Fig. 5.2 a p-i -n recei ver sensi t i vi t y of - 44 dB m
at 30 Mb/ s (again, NRZ f or mat and BER= 10-9). If one selects the surface-
emi t t i ng br oad- ar ea LED wi t h an aver age out put power of - 2 0 dB m (10 laW)
i nt o a fiber, t here r emai ns a t ot al mar gi n of 24 dB to al l ocat e a mo n g loss and
syst em mar gi n cont r i but i ons. For a fiber wi t h a cabl ed loss of 5 dB/ km and
a 2 dB connect or on each end, one coul d assembl e a 4 km link if t emper at ur e,
end-of-life, and ot her syst em mar gi ns were negl ect ed,
Wi t h these addi t i onal consi der at i ons included, somet hi ng on t he or der of
3 km is mor e reasonabl e. Fi gure 5.3 uses the dat a of Fig. 5.2 al ong wi t h some
r epr esent at i ve assumpt i ons about mar gi n consi der at i ons and present s length vs
bi t - r at e plots. Again, one mus t realize t hat these curves por t r ay the general
charact eri st i cs of devi ces; a specific source f i ber - det ect or combi nat i on used
with specific ci rcui t ry may differ by ma ny dB f r om Fig. 5.3. Nevert hel ess,
Fig. 5.3 can usefully be used t o i ndi cat e t ypi cal combi nat i ons of sources and
det ect or s and their l i nk-l engt h capabi l i t i es at different bi t rates. Al t ernat i vel y,
Fig. 5.3 can be regenerat ed by the r eader t o compar e specific devices, fibers, etc.
5.4 Digital Drive Circuitry
Havi ng selected a l i ght -emi t t i ng device based oll t radeoffs rel evant to the
par t i cul ar appl i cat i on, we now t urn t o t he circuit aspect s of oper at i ng t he
device. Fi rst we will discuss digital dr i ver desi gns for LEDs since LEDs ar e mor e
Li ght wave Tr a ns mi t t e r s 171
CI
R1
+Vc
LED@.
< ~ R 2
- - - - - - 7
[
I
f
I
Fig. 5. 4. A c o mmo n - e mi t t e r s a t ur a t i ng swi t ch.
Res i s t or R 2 l i mi t s t he cur r ent t hr ough t he LED: R~
a nd ('~ ar e set by t he i nput levels wi t h C~ pr ovi di ng
t he desi r ed "speed- up' " or over dr i ve to i ni t i at e t ur n- on
st rai ght forward to operate. All of the circuits to be discussed are rat her
el ement ary so t hat no lengthy analyses are needed or supplied. No at t empt is
made to recommend a best choice for a driver : the applications are t oo varied,
and the best choice for 300 Mb/s, for example, mi ght not be the best choice for
10 Mb/s. Instead, the operat i ng performance of each circuit described is given
where details have been published. Our purpose is mai nl y to review the various
workabl e approaches reported in the literature.
5 . 5 L E D D r i v e r s
For bi nary (2-1evel) digital applications, a current in the range 50-300 mA must
be switched on and of f at high speed t hr ough an LED ill response to a low-level
dat a-i nput signal. A small dc forward bias ( ~ 1 mA) added to the switched
current may prove advant ageous in high-bit-rate applications by mai nt ai ni ng
charge on the diode' s capacitance.
The t radi t i onal circuit for cont rol l i ng such currents is a bipolar t ransi st or
switch operat ed in the common-emi t t er confi gurat i on (Fig. 5.4). This circuit
offers current gain (the base current is smaller by a factor of [3 t han the base
drive current), a small voltage drop across the switch (in sat urat i on, with the
collector-base j unct i on forward-biased, the collector-to-emitter voltage VCE<~,t )
is approxi mat el y 0.3 V), and ease of provi di ng i ndependent bias to the LED. In
Fig. 5.4 such a bias is provided t hr ough R 3.
The speed of the common- emi t t er switch is limited, however, compared
with ot her confi gurat i ons to be discussed. Bandwi dt h is t raded off for current
gain, al t hough this can be compensat ed somewhat by preemphasizing (over-
driving) the base current duri ng the t urn-on period. In Fig. 5.4, preemphasis is
accomplished by using speed-up capaci t or C~. For certain LEDs, speed can be
limited by the fact t hat the LED drive appears to come from a current source
(the reverse-biased collector-base junction). Thus, if the LED has a high
172 P. W. Shumate a n d M. DiDomenico, Jr.
+ 5 V
1 / 2 7 4 S t 4 0 I I ]
R1
t , 4 1 1 f 3 8 0 t r , ~ _ ~ V c c + 5 V
c T Y - , - J l t - - - 4 o 2
%+ , . "
b /47-- 07
Fig. 5. 5. (a) A s i mp l e , l o g i c - l e v e l - c o mp a t i b l e L E D d r i v e r ut i l i z i ng a c o m m e r c i a l l i n e - d r i v e r i m e g r a t e d
c i r c u i t ; (hi t h e i n t e r n a l d e t a i l s o f t h e l i ne d r i v e r
capaci t ance, dri ve cur r ent is initially di vert ed into char gi ng this capaci t ance,
reduci ng the cur r ent avai l abl e for light generat i on. Thi s can be offset in t wo
ways : a speed- up capaci t or can be used as descri bed above, or the LED can be
f or war d- bi ased near its cut-in voltage. Al t ernat i vel y, one must go to a low-
i mpedance dri ver such as an emi t t er-fol l ower circuit to pr ovi de a vol t age st ep
r at her t han a cur r ent step.
Finally, speed of the common- emi t t er dri ver can be limited by the t i me
requi red to r emove mi nor i t y- car r i er charge st ored at (principally) the col l ect or-
base j unct i on dur i ng sat ur at i on. Thi s effect can be mi ni mi zed by using a
Schot t ky di ode cl amp bet ween the col l ect or and base of the drive t ransi st or.
Negat i ve feedback t hus pr ovi ded limits the ext ent of sat ur at i on to a bout 0.3 V
while the di ode itself adds no addi t i onal mi nor i t y- car r i er st ored charge. (A
Schot t ky di ode is a maj or i t y - or hot - car r i er - device.)
Such cl ampi ng is aut omat i cal l y provi ded if one uses cert ai n commer ci al
T2L i nt egrat ed circuits. For exampl e, Schot t ky- cl amped 74S04 i nvert ers and
74S140 line dri vers are capabl e of driving LEDs at useful current levels. Each of
the t wo sect i ons of a 74S140 can drive an LED at 60 mA, and the sections call
be paral l el ed for 120mA if one follows or di nar y current -equal i zi ng pract i ces
(splitting the l oad resi st ance a mong the out put s) or assures t hat the paral l el ed
gat es al ways switch at preci sel y the same time. Bot h t he 74S04 and the 74S140
al so pr ovi de compact size, T Z L signal-level compat i bi l i t y, and T2L noise
mar gi ns (0.3 V rain when used with 74S-series logic, or 0.4 V mi n when used
wi t h 74-series logic). A 74S140 LED dr i ver is shown in Fig. 5.5a. Wi t h a 50f2
resi st or to limit the LED cur r ent to 60 mA and with a 47 pF speedup capaci t or ,
opt i cal rise times of 5 ns have readi l y been at t ai ned usi ng LEDs wi t h 150-200 pF
of capaci t ance. Resi st or Rl is selected to dr aw a const ant small cur r ent of
about I mA t hr ough the LED as di scussed earlier.
A few obser vat i ons can be made here r egar di ng the use of T2L logic gat es as
drivers. In Fig. 5.5b showi ng the i nt ernal circuit of a 74S140 [5.66], the series
connect i on of Q1 and Q2 is called a t ot em pole. Because TZL t ot em poles are
Lightwave Transmitters 173
usually requi red to sink mor e cur r ent t hr ough Q2 t han t hey source t hr ough Q1,
Q2 is a physically large, hi gh-current t ransi st or. Ill an or di nar y gate it can sink
16- 20mA. On the ot her hand Q1, a smaller device, can source onl y 1 mA or
less. (The 74S 140 is one of a few except i ons : it can sink 60 mA or source 40 m A.)
In general, one shoul d connect the out put as shown in the figure, r at her t han
reversing the di ode and gr oundi ng its n cont act (in which case Q1 now serves as
an emi t t er follower).
Connect ed pr oper l y as in Fig. 5.5, t he t ot em pole has one pot ent i al
di sadvant age. The presence of Q1 adds an addi t i onal const rai nt to even the
simplest schelnes for forward biasing the LED in the off state. For exampl e, the
current drawn t hr ough Q1 by R~ must not exceed Ion, regardless of the val ue of
the LED bias. Finally, one shoul d be aware of t he short crossover i nt erval
duri ng switching when bot h Q1 and Q2 may be on. Hi gh-frequency noise
t ransi ent s (glitches) are easily generat ed, appear i ng on the power suppl y rails
unless adequat e suppressi on measures are taken.
Fi gure 5.6 shows a discrete t ot em- pol e dri ver combi ni ng hi gh-current
capabi l i t y with commerci al emi t t er-coupl ed-l ogi c (ECL) compat i bi l i t y. Opt i cal
rise times of 6- 7ns have been obt ai ned using hi gh-capaci t ance LEDs
( 200- 500pF) with no off-state bias. The l ower t ot em- pol e t ransi st or acts
duri ng t ur nof f to remove charge st ored in t he LED.
An i mpor t ant vari at i on of the col l ect or-l oaded common- emi t t er switch is
the emi t t er-coupl ed or cur r ent - r out i ng circuit shown in Fig. 5.7. Al t hough this
circuit resembles a linear differential amplifier, it is oper at ed out si de the nar r ow
range of linearity in t he switching mode of operat i on. The circuit funct i ons as if
it were st rongl y overdri ven at the i nput while at the same time remai ni ng out of
sat urat i on. This mode of oper at i on follows fi'om t he use of the cur r ent source
Q3 and selection of appr opr i at e i nput drive levels, as discussed in [5.67]. The
effective overdri ve results in switching speeds faster t han a col nmon- emi t t er
amplifier woul d exhibit were it driven from a COlnparable st ep-i nput signal.
Emi t t er-coupl ed drivers have been used at speeds beyond 300 Mb/s.
With the const ant - cur r ent source as shown, the LED can be placed
arbi t rari l y in ei t her col l ect or lead. The cur r ent source shoul d be const ruct ed
with a fast t ransi st or havi ng a low out put capaci t ance Cob SO t hat the cur r ent
supplied is not affected by the high-speed switching oper at i ons via col l ect or-t o-
base coupling. If, for simplicity, however, a resistor is used in place of the
current source, one shoul d be aware t hat the LED out put may r epr oduce ripple
and noise present on the i nput signal if placed in the collector circuit of Q~.
The emi t t er-coupl ed dri ver is readily compat i bl e with commerci al emi t t er-
coupl ed logic and, being a const ant - cur r ent driver, no significant t ransi ent s are
placed on t he power suppl y rails dur i ng switching. The compl et e dri ver shown
in Fig. 5.8 has level-shifting t ransi st ors to make the circuit fully level com-
patible with ECL (high = - 0 . 8 V, l o w= - 1.8 V). This shifting is necessary if
one wishes to have a gr ounded light emi t t er since a typical LED requires a
vol t age dr op of about 1.5 to 2.5 V : it is not possible ot herwi se to gr ound the p
cont act of the LED and still switch the circuit with ECL-level signals.
174 P. W. Shumate and M. DiDomenico, Jr.
t
~
I / 3 MC102t0
M M 4 0 4 9 k ~
Fi g. 5.6. An ECk- compat i bl e t ot em- pol e 4 7 ~ _ . _ ~ t o o o
dr i vcr
V I N
<
Q1
( )
Q2
"+Vec
V B B
R
~
+ Vcc
R3
D~
D:~
Fig. 5.7. A basi c emi t t er - coupl ed switch
wherein the LED dr i ve cur r ent is det er mi ned
by the const ant - cur r ent source Q~
The bi asi ng pr obl em can be el i mi nat ed by connect i ng the p cont act of the
LED t o + 1 V or more, r at her t han to gr ound, but this may be i nconveni ent . If
one is willing to suppl y this posi t i ve bias, the circuit shown in Fig. 5.9 usi ng a
commer ci al ECL i nt egrat ed circuit is wor t h consi deri ng [5.68]. The 10210
i nt egrat ed circuit cont ai ns uncommi t t ed npn t r ansi st or s which can be con-
nect ed in parallel and used as shown in the figure.
To at t ai n t he highest speed f r om an LED, one must resort to a low-
i mpedance dri ver - one t hat supplies a l ow- i mpedance vol t age step, wi t h or
Li ght wave Tr a ns mi t t e r s 175
A;
L
121 ilO
I/gMCIOItE
1.88K
3OO
196
- -5.2V
Fig. 5.8. A compl et e ECL- c ompa t i bl e emi t t er - coupl ed dri ver, useful to at l east 50 Mb - s -1. A
change t o a fast er ECL logic f ami l y a nd 2 GHz t r a ns i s t or s will ext end t he ope r a t i on of t hi s ci rcui t
to 300 Mb . s
wi t hout pulse shaping (speed-up) to the device. The space-charge and diffusion
capacitance are thus charged as rapidly as possible.
The simplest low-impedance driver is of the emitter-follower (or common-
collector) type shown in Fig. 5.10. This circuit is known to be capable of
extracting 2.5 ns optical rise times from 180pF LEDs, clearly adequat e for
100 Mb/ s operat i on [5.69].
The Darl i ngt on confi gurat i on of QL and Q2 (to reduce source impedance)
and the combi nat i on of R~ and C 1 (to compensat e the pole arising from R 1 and
CLE o while permitting the i nt roduct i on of R~) bot h serve to optimize the speed
of the circuit. Since electrical rise times are often in the fi' equency region where
/3 is complex (i.e., near the cut-off frequency in current gain, or near f ) , the
out put emitter load, if not purely resistive, can induce oscillation in this circuit.
One should be aware of this potential problem and the steps needed to prevent
it [5.70, 71].
The other type of low-impedance driver we shall discuss is the shunt
confi gurat i on shown in Fig. 11. Wi t h the switching element now in parallel with
the LED, a low-impedance path is provided for t urni ng off the LED by
shunt i ng current ar ound it.
The LED can be slightly reverse-biased fit t urn-off to aid in removi ng stored
charge as shown in the figure by having VEE below ground. In this case, the
Schot t ky clamp limits the extent of the reverse bias while at the same time not
176 P. W. Shumate and M, DiDomenico, Jr.
o
~Z
%

?
~ h
YSI
~Y h
YEs
J
] "
)
o ~ ~, 2.~. .~. o
, &
0
> Lr~
+
w
J
<i Y-?)
:~-~vv~
+
Y C ) ~
Y Z Y
' ~ Y C )
Ill
z
: ~ i.Z
Lightwave Transmitters 177
i nt r oduci ng any mi nor i t y- car r i er st ored charge of its own. Alternatively, if no
reverse bias is desired, the t ransi st or emi t t er can be gr ounded, in which case the
Schot t ky di ode is no l onger required. Resistor R 1 and the LED capaci t ance
det ermi ne the t ur n- on per f or mance of this circuit.
Fi gure 5.12 shows a simple i mpl ement at i on of t he shunt dri ver using a
st andar d TZL i nt egrat ed circuit.
The shunt dri ver offers ot her advant ages. By replacing R 1 in Fig. 5.11 with a
const ant - cur r ent source, the design of which is now made easier by the
increased vol t age available (the switch is no longer in series with the LED),
power-suppl y noise can be reduced.
In shunt -dri ver circuits, charge can be mai nt ai ned on the LED capaci t ance
by placing a resistor between t he LED and the shunt-switch col l ect or (e.g., at
poi nt A in Fig. 5.12). Any pole i nt r oduced by this resistor can be compensat ed
in the usual manner.
Finally, an ECL- compat i bl e shunt driver, again maki ng use of the 10210
i nt egrat ed circuit, is shown in Fig. 5.13. Thi s circuit appears in [5.68]. Not e t hat
it cont ai ns a const ant - cur r ent source, and the cur r ent l oad on bot h the + 5 and
- 5. 2 V power supplies is nearly const ant . The magni t ude of cur r ent fluc-
t uat i ons on the - 5 . 2 V rail is det er mi ned by the selection of R1: the emi t t er
cur r ent set by R1 shoul d be slightly higher t han the cur r ent from the current
source. Thus, the shunt (left-hand-side) t ransi st or will at t empt to sat urat e, the
ext ent of sat ur at i on limited by the Schot t ky diode.
At this point, the digital LED drivers so far discussed have been for 2-level,
on- of f signaling. If one is able at t he receiver to di scri mi nat e among mor e t han
t wo levels, mor e i nf or mat i on can be sent in a single bit interval. For example,
four discrete levels (off, 1/ 3on, 2/ 3on, full on) describe all four possible
combi nat i ons of t wo bi nary bits. Therefore, if these four levels can reliably be
decoded duri ng one signaling interval, the bit rate associ at ed with this interval
is doubl ed. Similarly, 8 levels are requi red to triple the bit rate, 16 levels for
quadrupl i ng, etc.
On occasion, 3-level signaling can be used not to increase the i nf or mat i on
rate of a channel but to code a signal in such a way to make the receiver mor e
stable to widely varyi ng dat a patterns. For example, the frequency spect r um of
NRZ dat a cont ai ns a dc component cor r espondi ng to indefinitely l ong strings
of I s or 0 s. To respond to these pat t erns a receiver must ampl i fy at dc or very
low frequencies maki ng it susceptible to dc drift and/ or l ow-frequency noise.
Long time const ant s also may cause dynami c- r ange and i nt ersymbol -
interference problems. Wi t hout using 3-level codi ng such probl ems are usually
solved by t ransmi t t i ng or di nar y 2-level opt i cal pulses aft er scrambling, bi -phase
(Manchest er) encodi ng, Miller encodi ng, etc. While also aiding in clock
recovery at the receiver when needed, these schemes nevertheless requi re
addi t i onal synchronous circuitry, which can restrict t he applicability of a
system. Fi gure 5.14a shows a por t i on of an ar bi t r ar y NRZ dat a pat t ern.
Figure 5.14b shows the same dat a pat t ern coded in a 3-level f or mat [5.72, 73].
Not i ce t hat this encodi ng scheme t ransmi t s onl y chan.qes in the NRZ pat t ern as
178 P. HI. Shumate and M. DiDomenico, Jr.
) . . . . . . +5V
i N ~ ~ . ~ " ~ R t MECL 10210
- 5 2 V
Fig, 5.13. An ECL-compatible shunt
driver with a constant-current source for
the LED [-5.68]
I I I
(a) o F-~~ o
(b) I-L- l j ~
( c ) i- - 1
J - - I I - t l
I I I i I I I
0 1 1 1 0 J " / ' - - ~ 0
n
i _ _ i - ! . - i r _ _
l Y t i U 1 F1
Fig. 5.14a~t. Several coding schemes
discussed in the text. (a) unencoded
NRZ: (b) 3-level edge encoding:
(e) 3-level alternate-mark-inversion
encoding: (d) bi-phase or Manchester
encoding, commonly used in tape
recording and lightwave applications
t r ans i t i ons f r om hal f powe r t o full powe r or f r om t he hal f - power t o t he of f level
in an RZ f or mat . A dc hal f - power level is t hus ma i nt a i ne d c ont i nuous l y for
possi bl e AGC use at t he recei ver. But t he ac ampl i f i cat i on r equi r ement s of t he
recei ver ar e na r r owl y defi ned by t he wi dt h of t he t r ansi t i ons, opt i ma l l y equal t o
hal f t he NR Z bit i nt erval .
Al so s hown in t he s a me fi gure ar e a 3-level a l t e r na t e - ma r k- i nve r s i on ( AMI )
f or ma t and Ma nc he s t e r or bi - phas e encodi ng. The AMI i or ma t (Fig. 5.14c)
however , a l t hough i l l ust rat i ve of a 3-level code, has c l oc k- r e c ove r y probl ems. .
Thes e pr obl e ms ar e c i r c umve nt e d by i nser t i ng ext r a t r ans i t i ons ( not r ecogni zed
as Is) in l ong st ri ngs of 0 s [5, 21].
V$ N
+ VCC
R
DELAY
k /
ONE- SHOT MV
Li ght wave Tr a ns mi t t e r s 179
F i g . 5.15. Re pr e s c nt a t i on of how mul t i l evcl
s i gnal i ng can be a c c ompl i s he d wi t h a n LED
(or laser)
R BIAS
(OPTIONAL)
56
1 5 0
Fig. 5.16, A c ompl e t e T2L- compt l t i bl e
3-level edge- encoder ci rcui t
+5V
56 ( ~ L E D
0-- 54/74S00
~ 54/74S04
Since ma ny LEDs are r easonabl y l i near sources, or at least t hei r non-
l i neari t y is pr edi ct abl e and st abl e with aging, a dri ver circuit such as shown in
Fig. 5.15 can be used to generat e mul t i l evel signaling. Since the vari ous open-
col l ect or "swi t ches" do not i nt eract , the swi t chi ng on of any one of t hem results
in a cur r ent of appr oxi mat el y (Vcc-VLW D - V c E ( s , t ) ) / R . Cl earl y if n of these
switches are on si mul t aneousl y, the cur r ent is n times larger.
Thi s circuit is useful for gener at i ng t hree or four di scret e dr i ve- cur r ent
levels. For mor e t han four levels, wi t hout r esor t i ng to t emper at ur e cont r ol of
the LED and/ or feedback st abi l i zat i on of some sort, the errors in the levels will
resul t in unsat i sf act or y bi t - er r or - r at e per f or mance at the receiver. Fi gur e 5.16
shows a compl et e T2L- compat i bl e circuit for encodi ng the leading and t rai l i ng
180 P. W. Shumate and M. DiDomenico, Jr.
edges of NRZ dat a accor di ng to the scheme depi ct ed in Fig. 5.14b. Monost abl e
mul t i vi brat ors (one-shots) provi de the pulses in response to positive and negative
edges in the input, and ext ra gates have been added to equalize t he pr opagat i on
del ay for each type of edge.
To close this section oil digital LED drive circuitry, let us ret urn to the
quest i on of t hermal behavior. As ment i oned previously, typical LEDs display a
change of up to 2dB in optical out put over a nor mal range of operat i ng
t emperat ure. One call allow for this change by subt ract i ng 2 dB from a system
loss budget cal cul at ed for nomi nal oper at i ng condi t i ons, but this is oft en 2 dB
out of onl y 15- 30dB to st art with. Alternatively, one call compensat e for this
t emper at ur e vari at i on within the circuit design. In many cases, the l at t er is
preferable.
Obvi ousl y the i nt ent for such a circuit will be to raise LED cur r ent with
rising ambi ent t emperat ure. For series drivers (Figs. 5.4, 5) or shunt drivers
(Figs. 5.11, 12) this can be accompl i shed by condi t i oni ng the vol t age appl i ed t o
the LED, as a funct i on of t emperat ure. A circuit which raises the vol t age
supplied to the LED can be qui t e simply built using the t emper at ur e vari at i on
of the cut-in voltage of a silicon j unct i on ( - 2.5 mV/<>C). Side benefits of this
appr oach include increased isolation from glitches, reduced LED drive i mped-
ance (low Z voltage source and lower series resistance), and i mmuni t y of the
LED dri ve-current level to power-suppl y changes.
Temper at ur e compensat i on call also be added to a shunt driver or to an
emi t t er-coupl ed dri ver (Figs. 5.7 9) by using a t emper at ur e- var i abl e const ant -
current source such as that shown in Fig. 5.17. Again t he t emper at ur e
dependence of silicon j unct i ons is used t o increase cur r ent with rising t empera-
ture. The base voltage of Q l is
1000
VB~ i450(Vcc- 3VBE),
where VBE~0. 7 V near r oom t emperat ure. This analysis assumes bot h Q1 and
Q2 have reasonabl e [:Is, ~5 0 or higher. The LED drive, equal to t he col l ect or
current of Q2, is given by
100 2VBE
I LED=I c ' ~I E= 1 4 ~ ( Vcc- 3 VBE) 10
which is 60mA if Vcc = +5 V. The t emper at ur e vari at i on AI E/ AT is trivially
f ound to be + 1 mA/ C, again if Vcc = + 5 V. This coefficient was found to
correct for one part i cul ar GaAs LED. Ot her LEDs may requi re modi fi cat i ons
to this circuit, but such modi fi cat i ons are easily wor ked out.
A l ow-i mpedance driver such as an emi t t er follower (Fig. 5.10) presents
somewhat mor e of a probl em. It is amenabl e to nei t her the const ant - cur r ent -
source appr oach nor t he vari at i on of Vco al t hough the n cont act of t he LED
coul d be ret urned to a negative VEE source pr ogr ammed as j ust discussed.
VIN
1K
VBE
VBE
VBE
450
+5V
10
Q2
16
1/2 7545'1
i L ~ ] , r . . . . . . . . . ~ _ _ ~ ,o o e _ _ ,(~ ~ ~ o
Fig. 5.17. Temperature compensation using lhc coeffi-
cient of silicon pn junctions to adjust a current source
Lightwave Transmitters 181
-t-Vcc
v o i
LED
VBE
VBE
VBE
Fig. 5.18. Temperature compensation
of an LED using the temperature-
dependent series voltage drop in
multiple silicon pn junctions to adjust
the current through the LED, assum-
ing the total voltage drop relnains
constant [5.74, 75]
Co n t r o l of t he base vol t age of Q2 is r i sky becaus e [3 of ma n y t r ans i s t or s is itself
sensi t i ve t o t e mpe r a t ur e - and f l ( T ) is not pr edi ct abl e e n o u g h t o use in pl a nni ng
a c o mp e n s a t i o n scheme.
On e possi bl e a p p r o a c h is t he use o f a c o mb i n a t i o n of r esi st or s and
t her mi s t or s in pl ace of R~ in Fig. 5.10. A d r a wb a c k of this me t hod, unl i ke t he
ot he r a ppr oa c he s pr evi ous l y di scussed, is t he i mpossi bi l i t y of i nt egr at i ng
t her mi s t or s on a si l i con I C s houl d i nt egr at i on be c ome desi rabl e.
An a l o g o u s t o t he use o f t her mi s t or s , however , is t he c onne c t i on of several
si l i con j unc t i ons in series wi t h t he L E D in such a way t ha t t he negat i ve
t e mpe r a t ur e coeffi ci ent s of t he si l i con a nd Ga As j unc t i on vol t ages ar e expl oi t ed
t o rai se t he cur r ent [5. 74, 75]. Fo r t he ci r cui t in Fig. 5.18
V o - 3 VB E - VLE D
/LED = R
a nd t he t e mpe r a t ur e coeffi ci ent is
A/LE D - - 4 ( - - 2. 5mV/ "C) + 10mV/ C
AT R R
( Not e t hat t he t e mpe r a t ur e coeffi ci ent of t he Ga As L E D j unc t i on has been
a s s ume d t o be t he s ame as silicon. Thi s is a ppr oxi ma t e l y cor r ect , but vari es
182 P. w. Shumat e and M. DiDomenico, .It.
f r om one LED mat er i al syst em to anot her . ) If R is 10~, we obt ai n 1 mA/ C as
before, and if V o is adj ust ed t hr ough bi asi ng of the dri ver circuit to appr oxi -
mat el y 4. 2V, we f ur t her mor e have the 6 0 mA r oom- t emper at ur e drive as
before. Use of this circuit may requi re Vcc > + 5 V, or the use of a negat i ve bi as
(VE~) on the t ransi st or. Fur t her mor e, cert ai n di odes ma y sl ow the t ur n- on
response of this circuit.
One scheme not ment i oned is use of feedback cont r ol t o mai nt ai n the light
out put const ant at all t emper at ur es. At low bit rat es ( < 1 Mb/ s) it is fairly easy
to det ect the LED light with a phot odi ode and use this signal in a negat i ve-
feedback scheme t o cl amp the light level to some reference "on" value. At
hi gher bit rates, however, where mos t i nt erest lies, the phase shifts and avai l abl e
gai n become a pr obl em and st abl e designs are difficult to obt ai n. Si mpl er
appr oaches are avai l abl e for LED cont rol , and furt her discussion of feedback
r egul at or s will be reserved for laser dri vers where such cont r ol is far mor e
i mpor t ant .
5.6 Laser Drivers
Unl i ke LEDs, which emi t light appr oxi mat el y in pr opor t i on to t he t ot al device
cur r ent (aside f r om the small cut-in region), lasers are t hreshol d devices as de-
scribed earlier. As such, light out put is pr opor t i onal t o t he i ncrement al cur r ent
above t hreshol d. Several of the circuits discussed for LED appl i cat i ons can be
used as laser dri vers wi t h onl y mi nor modi fi cat i ons. These changes are di rect ed
t owar d suppl yi ng the laser wi t h a subst ant i al bi as (often called prebi as) in t he off
state. It is desi rabl e t hat this bias be j ust bel ow t hreshol d in the off st at e for
several reasons. First, by keepi ng the laser close t o t hreshol d, t ur n- on del ay and
l eadi ng-edge over s hoot of t he opt i cal out put are mi ni mi zed 9. Second, a
subt hr eshol d bias can easily be cont r ol l ed t o compens at e for changes in t he
ambi ent t emper at ur e and, in mos t cases, device agi ng as will be discussed
short l y. Thi rd, dat a- pat t er n- dependent j unct i on heat i ng and its effect on t he
opt i cal out put are reduced since t he on c u r r e n t (/bias-l-/drive) is close to the off
c u r r e n t {Ibi.s) for mos t lasers. A subt hr eshol d bias, in spite of causi ng
s pont aneous light emi ssi on in the off state, ext ract s little penal t y for mos t
digital appl i cat i ons since the on- t o- of f rat i o of light levels is usual l y gr eat er
t han 10 : 1.
The si mpl est dri ver t h a t has often been used to expl oi t the hi gh- speed
capabi l i t y of lasers is a modi fi ed shunt driver. By using Ga As MESFETs in the
circuit of Fig. 5.19 [5.79], lasers have been modul at ed at rat es exceedi ng l Gb/ s
[ 5 . 8 0 ] .
Resi st or R 1 and compensat i ng capaci t or C1 are used to add sufficient
vol t age in series wi t h the laser to bi as Q~ well i nt o its act i ve or pi nch- of f region.
9 These aspects of laser dynamics are discussed broadly in [5.76-78], and the delay aspect is
further considered in [5.17].
Lightwave Transmitters 183
Therefore, for a specific i nput vol t age V~n (or VGS), a specific amount of the t ot al
current flowing t hr ough R 2 is di vert ed ar ound t he laser. That cur r ent cont i nu-
ing to flow t hr ough R 1 and the laser is the bias, or off-state, value. For
maxi mum ext i nct i on ratio, ?, the off-state bias woul d be below but close to
t hreshol d. In this way, ext i nct i on ratios of 10-30 are commonl y at t ai ned. For
maxi mum speed, however, it may be desi rabl e to bias the laser slightly above
t hreshol d. Now all modul at i on is per f or med on st i mul at ed emi ssi on: the time
const ant is very short ( < 1 ns) and the t ur n- on del ay is minimized. The penal t y
one pays for the l ower ext i nct i on rat i o may be uni mpor t ant . Personick has
discussed the power penal t y referred to receiver sensitivity for different 7's. For
example, in lowering V f r om 16 to onl y 4, one loses at worst onl y 3 dB in receiver
sensitivity [-5.81].
The circuit of Fig. 5.19 woul d pr obabl y not be useful in a system
appl i cat i on, however. Recall t hat t he lasing t hreshol d is a sensitive funct i on of
t emper at ur e, changi ng about + 1%/C. It was shown earlier how a rise of 30 C
coul d r ender such a circuit i noperat i ve. Thr eshol d is not onl y a funct i on of
t emperat ure, but usually increases as the device ages, br ought about by an
increase in i nt ernal losses. This has been observed to be as large as 1 mA/ kh for
lasers with a mean time to failure of l 0 s h. Cl earl y AI/At depends on the
reliability (i.e., MTTF) of t he par t i cul ar device.
If t emper at ur e changes were the principal concern, the laser t emper at ur e
coul d be regulated. In fact, if cool i ng were placed under cl osed-l oop cont r ol
using the laser' s opt i cal out put as the cont r ol l ed paramet er, t hen this cool i ng
coul d cor r ect for aging effects as well as ambi ent t emper at ur e changes - a laser
woul d be increasingly cool ed as it aged t o keep its t hreshol d const ant ,
i ndependent of the t emper at ur e aspect. This scheme woul d qui ckl y become
i mpract i cal and inefficient, however, if subst ant i al amount s of cool i ng were
requi red t o offset a large t hreshol d increase.
It is qui t e easy to get ar ound this pr obl em by cont rol l i ng the laser bias
instead. Since the bias is a quasi-static current , it can be cont rol l ed using tow-
speed feedback ci rcui t ry and raised or lowered as necessary. It has usually been
found desirable to mai nt ai n some aspect of the light out put const ant in such a
loop. (Predictive cont rol of the bias, similar to what was done for an LED,
woul d provi de onl y poor t emper at ur e compensat i on and no compensat i on at
all for device aging.)
In the emi t t er-coupl ed driver shown in Fig. 5.20 [5.82], the laser cur r ent is
the sum of the col l ect or current s of Q2 (the drive current ) and Q3 (the bias).
Since Qt and Q2 form a nonsat ur at i ng cur r ent - r out i ng switch, Q2 is always in
its active region and its switching act i on is unaffected by the presence of Q3.
Similarly, t he col l ect or cur r ent of Q3 is unaffected by the switching oper at i on of
Q2 if Qa has a small out put capaci t ance (Cob) so t hat high-speed voltage
fl uct uat i ons due to switching are not coupl ed into Q3's base circuit. (These
vol t age fl uct uat i ons are nor mal l y very small, on the or der of 0. 1-0. 2V due to
laser series resistance.)
In oper at i on, the emi t t er-coupl ed switch adds a const ant drive cur r ent
sufficient to exceed t hreshol d and reach a poi nt subst ant i al l y up the lasing
184 P. W. Shumate and M. DiDmnenico, .h'.
v~N
+
3C
R2
?
Fig. 5.19. A laser shunt-driver circuit. Bias is adjusted
through the combination of R~, R 2 and the conductivity of
Q~ [5.79]
Fi g. 5 . 2 0 . A feedback-stabilized laser driver circuit. Laser
output, taken from the mirror not coupled to the output
fiber or from a tap in the output fiber is compared with the
data pattern and a fixed reference to control laser bias [5.82]
+ 5V +PHOTODIODE
LASER~ ~ / OUTPUT MONITOR
I - J - , C O S T A N ,
DATA M~NITOR
VREF
r egi on of t he L - 1 cur ve whenever l i ght o u t p u t is cal l ed for, The bi as is adj us t ed
by t he f eedback l oop c ont a i ni ng ampl i f i er A 1 and t he p h o t o d i o d e so t hat t he
aver age p h o t o c u r r e n t is hel d c ons t a nt wi t h r espect t o t he aver age of Vi,, t he
da t a pat t er n. Co mp a r i s o n wi t h t he da t a pat t er n gi ves cont r ol of bot h t he on
and off st at es i ndependent l y of t he pat t er n st at i st i cs ; i.e., t he da t a need not be
s cr ambl ed t o assur e a 50% dut y cycl e, etc.
Thi s scheme - c ons t a nt dr i ve pl us cont r ol l ed bi as - is an effective means t o
st abi l i ze l aser o u t p u t whenever t he sl ope effi ci ency is expect ed t o r emai n
rel at i vel y cons t ant . I t has been s hown capabl e of pr ovi di ng o u t p u t st abi l i t y
wi t hi n 1% over t he t e mpe r a t ur e r ange 20 t o 50 "C [-5.82] a nd wi t hi n 10 % dur i ng
2 0 k h o f ope r a t i on for n u me r o u s lasers [5. 83]. Thi s has been achi eved f or
t r ans mi t t er s ope r a t i ng at bi t r at es of 44.7 Mb/ s and 274 Mb/ s .
I n t he first ver si ons of t r ans mi t t er s as s embl ed usi ng t hi s ci rcui t , t he " ba c k"
mi r r or of t he l aser was mo n i t o r e d by t he p h o t o d i o d e f or cont r ol whi l e t he
" f r ont " mi r r or was coupl ed t o a fiber. Thi s s cheme wor ks well, as descr i bed
Lightwave Transmitters 185
above, onl y if t he t wo mi rrors t rack in relative power changes. Laser
nonlinearities evidenced by ki nks in the L - I curve can arise however, due to
the appear ance of hi gher - or der t ransverse modes m the active regions of many
lasers. Appear i ng with agi ng or t emper at ur e changes, these nonlinearities are
somet i mes accompani ed by f r ont - t o- back mi r r or mi st racki ng leading t o poor
regul at i on of the f r ont - mi r r or out put even t hough t he back mi r r or is itself
stabilized I-5.83].
In l at er versions of the t ransmi t t ers descri bed above, the opt i cal out put was
stabilized by moni t or i ng t he act ual fiber power using opt i cal -fi ber taps depi ct ed
in Fig. 5.21 [5.84]. Basically, a beam splitter is assembled using angle-polished
fibers aligned in a precision vee groove, and t wo 4 % (glass-to-air) reflections are
directed t owar d a l arge-area phot odi ode as seen in Fig. 5.22. Thus, appr oxi -
mat el y 8% of t he fiber power is conver t ed i nt o a phot ocur r ent and the
r emai nder is t ransmi t t ed. Opt i cal - out put regul at i on of _ 2 % has been achieved
from 0-50~-'C even in the presence of l aser-mi rror mi st racki ng [5.83]. This
represent s mor e t han an or der - of - magni t ude i mpr ovement over t he back-
mi r r or - moni t or i ng scheme used in the earlier design, for cases where laser
mi st racki ng occurred.
Thr ough addi t i onal processing of t he phot odi ode out put in Fig. 5.20
enough i nf or mat i on can be derived to cont rol the drive cur r ent in addi t i on to
the bias. Thus changes in laser slope efficiency can be compensat ed as well. An
i mpor t ant advant age of such a circuit, however, lies in the fact t hat the circuit
woul d possibly not requi re adj ust ment to different lasers dur i ng manufact ure,
saving the time and cost of addi t i onal steps if all lasers do not have the same
values of t hreshol d and slope efficiency.
Phot ocur r ent from the out put moni t or carries with it, in its ac and dc
component s, all the i nf or mat i on needed to deduce the on, off, and average light
levels. Circuits acqui ri ng such i nf or mat i on fl-om the ac signal have been
descri bed [5.85 88]. Fi gure 5.23 por t r ays one of these circuits, based on [5.85].
The most positive excursi on of t he moni t or phot ocur r ent cor r espondi ng to the
peak light level is st ored in a peak det ect or aft er being buffered and amplified
by a fast ac amplifier (A2). Because A 2 is ac coupl ed, one-hal f of this st ored level
cor r esponds to the mi dpoi nt of the modul at i on dept h which differs from the
average light level by the amount of light in the off or zero state. (The peak
det ect or is assumed to be perfect.) Amplifier A 3 subt ract s one- hal f the
modul at ed power level from the average, deri ved t hr ough slow dc amplifier A~,
and uses t he resulting anal og of the zero light level, Po, to cont r ol the bias
t hr ough compar at or A 4 and pass t ransi st or Q3. The drive level is adj ust ed by
compar i ng the peak signal or modul at i on dept h with a desired level: the out put
of compar at or A s pr ogr ams the cur r ent source in the emitters of Qt and Q2.
By use of this scheme, no reference to the dat a pat t ern need be made.
However, now the statistics of the dat a must be such t hat t ransi t i ons occur
frequent l y to keep the peak det ect or charged. If the dat a di sappear for a
pr ol onged interval (e.g., an idle line), the drive level coul d be adj ust ed t o t oo
high a value and the first bits of a new dat a st ream will result in excessive
186 P. W. Shumate and M. DiDomenico, .lr.
~ 1 Fig. 5.21. Configuration of a beam-
splitter optical-fiber tap using a vee
P - I - N P H O T O D I O D E ~ i i l i - , . . ~ PHOTOCURRENT groove to align two angle-polishcd
fibers. The reflected output is convert-
ed directly to an electrical signal using
the p-i-n photodiode
ALIGNMENT
TAP OUT
P - , ; N P H O T O O ,a O E
. " = ~ - " , I II
INPUT F IB E R ~ J O L T P U T F IB E R
~ 2OFm
)OUT
Fig. 5.22. Details of the reflections
taking place in tile optical-fiber tap
[5.84]
o p t i c a l o u t p u t . Cl e a r l y a d a t a - p a t t e r n r e f e r e n c e c o u l d b e a d d e d i n t o t h e c i r c u i t
o f Fi g. 5. 23 t o p r e v e n t t hi s ef f ect .
A s i mi l a r c i r c ui t , d e s c r i b e d i n d e t a i l b y Gr u b e r et al. [ 5. 88] wa s s h o wn t o
r e d u c e l a r g e c h a n g e s me a s u r e d wi t h o u t a n y f e e d b a c k c o n t r o l t o l ess t h a n ___ 3 %
v a r i a t i o n s o v e r a c h a n g e i n t e m p e r a t u r e f r o m 10 t o 40 ~C. O v e r t hi s r a n g e , b i a s
c h a n g e d , f o r e x a mp l e , f r o m 190 t o 227 mA, a n d d r i v e c h a n g e d f r o m 50 t o
58 mA. S i mi l a r p e r f o r ma n c e h a s b e e n r e p o r t e d f o r o t h e r p e a k - p o w e r / m e a n -
p o w e r c o n t r o l s c h e me s b y S a h e r e t al . [ 5. 86] a n d b y Br o s i o e t al. [-5.87].
A n o t h e r i n t e r e s t i n g l a s e r c o n t r o l c i r c ui t is s h o wn i n Fi g. 5. 24 [ 5. 89] . Th i s
" a u t o m a t i c b i a s c o n t r o l " us e s t h e f a c t t h a t t h e j u n c t i o n v o l t a g e o f a l a s e r
Li ghl wave Tr ans mi ner s
+V
F L . M O N I T O R P H O T O D I O D E
+Vcc (+)
t "-:V
D R I V E ~ I I I
C U R R E N T L ~ ) . I - - - - - <~ I I
m r)7 . . . . . . . . . . l I / 2 P M O D
187
i P E A K D E T E C T O R
( P M o D )
D R I V E
R E F E R E N C E /77T
Fig. 5.23. A circuit concepl using bot h t he ac and dc i nf or mal i on in tile laser out put So cont r ol
laser dri ve and bi as i ndependent l y. ( Used wi t h per mi ssi on of St andar d Tel ecommuni cat i on
Labor at or i es, Ltd. (c) 1976.) [5.85]
becomes pi nned at the bandgap val ue with the onset of st i mul at ed emission
[5.90]. By raising t he bias cur r ent of the laser until the j unct i on vol t age is
sensed t o be clamped, we have an all-electronic confi gurat i on (i.e., 11o optical
par amet er in the feedback loop) t hat changes the bias in response to t empera-
t ure or aging.
The degree of sat ur at i on of the j unct i on vol t age is sensed as i l l ust rat ed in
Fig. 5.25. The laser with its i nt ernal series resistance R s is placed in a bridge
circuit, as shown. Resistors R2, and e2b are adj ust ed so t hat , if the laser' s
j unct i on voltage Vj were const ant (pinned at t he bandgap), 11o change in
bal ance woul d arise if drive current I d were vari ed; (i.e., the dc i nput s to the
difference amplifier may be unequal at all times, but the magni t ude and sign of
t hei r difference stays const ant in response to a dat a input signal.)
If, on the ot her hand, Vj changes with I a due to lack of pinning, the
difference represent ed as A- B in the figure changes. Obvi ousl y, if the amplifier
is ac coupl ed, t he out put of the amplifier goes from zero to some nonzer o value
rel at ed in magni t ude to the change in Vj. Thi s represents an er r or signal which,
188 P. W. Shumate a n d M. DiDomenico, Jr.
vi N 0 !! R 2
LASER ~ .
~ ~ DI
/ - ) 7 I'I8 ~ M ~ ~ C 3
+v f . ~
Q2
/ q
,
Fig. 5.24. An " a u t o ma t i c bi as
c o n t r o l " c i r c ui t t hat s e n s e s
l a s e r t h r e s h o l d e l e c t r i c a l l y
[5.89-1
Id
A N
RI / l ~ \ ~ A-B
o-&/.
V J x /
! 1 '
I Fig. 5,2N. I l l us t r a t i o n o f t he br i dge pr i nc i pl e us e d in t he
rJ7 ""automatic bi a s c o n t r o l " ci rcui t , , n e a s u r i n g t he e x t e nt t o wh i c h
/
the laser junction voltage ~ is saturated
t hr o ug h addi t i onal ci rcui try, is mi ni mi z e d in t he ordi nary c l o s e d- l o o p,
negat i ve- f eedback sense.
Re t ur ni ng n o w t o Fig. 5.24, we find t he bri dge i mpl e me nt e d as R 1 (for Rt )
and R z (for R2. and Rzb ). The laser series resi st ance is no l onger l abel ed.
Capac i t or s C 1 and C 2 r e move t he dc c o mp o n e n t s o ampl i fi er A~ wi l l r e s pond
o nl y t o c hange s in bal ance. Resi st ors R a a nd R 4 provi de c l o s e d - l o o p dc
s t abi l i z at i on o f A~ as wel l as adj us t abl e offset for t he out put . The t rans i ent
o ut put s o f A ~ (in r e s pons e t o t he si gnal i nput V~,,) are st ored in a peak de t e c t or
(D 1 and C3), t he o u t p u t o f whi c h c ont r ol s t he bi as l u t hr ough t ransi st ors Q,
and Q2. The bi as is raised s o as t o mi ni mi ze t he error si gnal , but t he gai n o f t he
ci rcui t is kept l o w e n o u g h s o t hat an error si gnal al ways persists (is no t reduced
t o t he noi s e level). Hence, t he laser is al ways bi ased j us t be l ow t hres hol d.
Lightwave Transmi t t ers 189
5.7 Analog Drive Circuitry
In cont r ast to the precedi ng digital circuits which generat e onl y t wo or t hree
distinct out put levels, anal og drivers must cause the light out put L ( t ) from a
source t o follow a t i me-varyi ng i nput vol t age waveform V ( t ) as accur at el y in
ampl i t ude and phase as possible. If LED or laser sources responded linearly to
vol t age or cur r ent drive, our task woul d be simplified. Unf or t unat el y this is not
the case, as was discussed earlier in t he chapter. Most commonl y available
sources (hi gh-radi ance LEDs and mode-st abl e lasers) display di st ort i on pro-
duct s 30-50 d B below the signal. Thus the source itself limits t he per f or mance in
most anal og signaling appl i cat i ons since phot odi odes show much hi gher
linearity [5.91] and t ransi st or dri ver circuits can be designed to have, in many
cases, l ower di st ort i on levels.
If one has a reasonabl y linear, high-speed source and if the appl i cat i on does
not requi re ext remel y low di st ort i on levels (i.e., ~ 1 ~,;), very st rai ght forward
dri ver circuits can be used.
A simple and often adequat e high-speed dri ver is the common- emi t t er
t r ansconduct ance amplifier shown in Fig. 5.26 which convert s an i nput base
vol t age to a col l ect or current . Base bias is adj ust ed in this circuit for class A
oper at i on: the quiescent col l ect or cur r ent is about half t he peak value and bot h
the t ransi st or and t he LED (or laser) are biased well up into t hei r linear
oper at i ng region. For this circuit dri vi ng a resistive l oad (no LED or laser) and
dependi ng on t ransi st or selection, response to over 100MHz with har moni c
di st ort i on levels on t he or der of 45 dB or mor e below signal can be at t ai ned at
80~,, modul at i on index. Since the circuit as shown provi des onl y 3 0 _ 2 4 mA
(i.c., 80 % modul at i on), addi t i onal bias must be supplied if a laser with a hi gher
t hreshol d is used. A similar t r ansconduct ance driver, but utilizing a Dar l i ngt on
pair for Q 1 to reduce source i mpedance, has been used at 70 MHz to drive high-
radi ance LEDs [5.92].
Laser bias under feedback cont rol to compensat e for t emper at ur e or aging
effects has been used qui t e effectively with the circuit of Fig. 5.26, also at
70 MHz [5.93]. The emittel;-coupled dri ver of Fig. 5.20 was replaced with the
common-enai t t er circuit of Fig. 5.26. Since the laser average power must be
regul at ed i ndependent l y of t he i nput waveform, the dat a reference lead in
Fig. 5.20 was removed. The l ow-frequency response of the resulting circuit is
now det ermi ned by the time const ant of the feedback amplifier A 1 and the
i nput coupl i ng capaci t or. By increasing these values, response down t o a few Hz
can be obt ai ncd if requi red for a part i cul ar appl i cat i on.
If one has a source whose linearity is higher t han t hat of a simple drive
circuit, the dri ver itself can be linearized. It is well known t hat even- har moni c
di st ort i on can be reduced t hr ough use of a push-pul l confi gurat i on, or electrical
negative feedback can be used to force the drive cur r ent to follow the i nput
voltage. Alternatively, compl ement ar y di st ort i on can be used to minimize
di sl ort i on pr oduct s generat ed in the amplifier [5.94]. The feedback appr oach
190 P. IV.. Shumat e a nd M. Di Domeni co, Jr.
VIN
1/J.F
I I
5 0
2K
~SK
/ ;
+SV
7 LEDORLASER
50:
iO M O N I T O R
Fig. 5. 26. A s i mpl e t r a ns c onduc t a nc e dr i ver f o r i nt ensi t y
modul a t i on of a l aser or LED
D I
LED
R
Fig, 5. 27. Us e of a di ode net wor k to
pr ovi de s ome degr ee of compl e-
me nt a r y di s t or t i on for l i near i zi ng an
LED [5. 97]
becomes difficult at vi deo frequencies because of the high gai n- bandwi dt h
requi rement s and short pr opagat i on delay times needed for stability. At
frequencies below about 1 MHz, however, feedback l i neari zat i on can be used
mor e reliably. The third met hod, compl ement ar y di st ort i on to linearize tile
dri ver alone, is pr obabl y not wor t h t he effort consi deri ng t he l i mi t at i ons
present ed by the source itself, t hus i nt r oduced after the driver.
The real payoffs come when the opt i cal source is included in t he lineariza-
tion scheme. For negat i ve-feedback circuits the opt i cal out put can be det ect ed
and compar ed with the i nput waveform. This sampl i ng can be done using a tee
coupl er in the out put fiber, or a phot odi ode can be packaged al ong with the
source to pick up st ray emission. The har moni c di st ort i on of an LED plus
dri ver has been measur ed at 70 dB bel ow the f undament al f r om dc to 100 kHz
in an opt oi sol at or i mpl ement at i on of the ext r a- det ect or scheme [5.95]. Clearly,
by using hi gher speed circuitry, an LED plus dri ver coul d be linearized to a
compar abl e degree in a hi gher speed fi ber-opt i c appl i cat i on.
It has been poi nt ed out, however, t hat negative feedback, part i cul arl y for
vi deo signals, may be poor in reduci ng t hi r d- or der di st ort i ons since these
cont ai n compl ex cr oss- modul at i on t erms as well as t hi r d- har moni c com-
ponent s [5.96].
Anot her scheme for obt ai ni ng a signal for use in the closed l oop woul d be to
drive in series with the pr i mar y emi t t er a secondary, reference emi t t er coupl ed
to a phot odet ect or . The reference channel woul d be placed in the feedback l oop
and the pr i mar y emi t t er woul d be coupl ed to a fiber. Thi s assures maxi mum
power coupl ed i nt o the fiber and may simplify obt ai ni ng a st r ong signal for
feedback. It is interesting to not e t hat if the reference-channel phot odet ect or is
of the same type as t hat used at the far-end receiver, phot odet ect or non-
linearities will be compensat ed out to within the capabilities of t he feedback
circuit.
Lightwave Transmitters 191
At vi deo frequencies, mor e stable correct i ve schemes are needed. Vari ous
predi st ort i on t echni ques appear to be the most popul ar solution. Pr edi st or t i on
or compl ement ar y di st ort i on is commonl y used in el ect roni cs to compensat e
for peculiarities in a t ransmi ssi on or recordi ng medi um, or in devices at the
t ermi nal ends. It is vari ousl y called preemphasi s, equal i zat i on, speedup,
pr edi st or t i on or, loosely, feedforward dependi ng on the appl i cat i on. The
scheme is to al t er the signal at some poi nt so t hat the "pecul i ari t i es" i nt r oduced
l at er on are as nearl y as possible cancelled out leaving the signal as if nei t her
act i on had t aken place. The result, of course, is t hat the t ransmi ssi on pat h l ooks
compl et el y t r anspar ent with regard to di st ort i on.
One of the simplest pr edi st or t i on schemes is to al t er the LED or laser
cur r ent in response to t he signal ampl i t ude by connect i ng a net wor k ar ound the
device. In Fig. 5.27, the use of a ger mani um di ode and resistor in parallel with a
Burrus-t ype LED was found to ext end t he range of drive cur r ent for a given
level of out put linearity by nearl y 50% [5.97]. The net wor k t ends to shunt a
l arger fract i on of the t ot al cur r ent ar ound the LED at low drive levels and vice
versa at high drive levels. Thus at high dri ve levels, the negative cur vat ur e of the
LED charact eri st i c arising from j unct i on heat i ng is compensat ed by great er
drive.
Since j unct i on- heat i ng effects are time dependent , it has also been found
useful to deemphasi ze t he l ow-frequency component s in the signal at the
t r ansmi t t er (and make a cor r ect i on at the receiver) [5.98]. Such l ow-frequency
rol l off combi ned with a di ode pr edi st or t i on scheme was f ound in this last
reference to reduce differential gain and phase to <1 % and <0. 75 at 70%
modul at i on index.
The t echni que of predi st ort i on using di odes in net works coupl ed to the
source dri ver circuit are exemplified in [5.96, 99, 100]. Differential gain and
phase cor r ect i on circuits, shown in Figs. 5.28, 29, respectively, are placed ahead
of the source driver. Compl ement ar y di st or t i on is i nt r oduced in different
por t i ons of the response of each circuit by the i ndependent l y biased diode-
resistor net works which affect the gain in Fig. 5.28 and t he phase response in
Fig. 5.29. The bias voltages V i det er mi ne where in the amplifier' s t ransfer
charact eri st i c the associated resistors R i affect t he gain (Fig. 5.28) or phase
(Fig. 5.29) response. Thus, in a pi ecewi se-cont i nuous manner, source (and
circuit) di st ort i ons can be t r i mmed out by adj ust i ng the bias V~ and resistance Ri
for each diode. In principle, di st ort i on coul d be reduced to any ar bi t r ar y level
by increasing the number of diodes, and hence bias variables, in each net work.
The aut hor s of this work achi eved reduct i ons in differential gain and phase to
less t han 1% and 1 , respectively, over reasonabl e changes in t emper at ur e
[5.96].
Closely rel at ed t o the pr edi st or t i on t echni ques discussed above is "quasi -
f eedf or war d" which has been r epor t ed effective in r educi ng di st or t i on for
wi deband appl i cat i ons [5. 101, 102]. Inst ead of predi st ort i ng the electrical drive
t o t he source using passive component s (diode characteristics, R's, C's), the
drive signal is al t ered with an "er r or signal" obt ai ned by first passing the
192 P. W. Shumate and M. DiDometlico, Jr.
V,rN - -
+ V c c
R 5
- - O U T P U T TO DRIVER OR
DIFF, P H A S E CIRCUIT
)
R I ~ R2 i
- V ~ - - V 5
Fig. 5.28. Differential gain correction circuitry [5.96]
+ V c c
R4
v l
r",
v2 R t
I~ _1 %%,%
R2
R3
OUTPUT TO
DRIVER OR
DIFF. GAIN
CIRCUIT
Ct
Fig, 5,29. Differential phase correction circuitry
[5.96]
i nformat i on t hrough a reference light-emitting channel. The mixing of this
compl ement ary di st ort i on with the signal at the electrical level differentiates
quasi-feedforward from feedforward, where the mixing would t ake place in the
optical regime. The latter is also possible, but the aut hor s are aware of no
published reports of such techniques.
In Fig. 5.30, LED 1 is modul at ed directly by the i nput signal, detected
immediately by phot odi ode D 1 and compared with the input signal which has
been delayed to preserve the correct phase relationship. The result of this
compari son is an error signal cont ai ni ng onl y the di st ort i on component s added
by the source and detector. Next the error signal is subt ract ed from the input
which has been delayed still further to remain in phase with the error signal.
Lightwave Transmitters 193
VZN
+Vcc +V
t , , ' 7 1 7 COMPARISON
SUM
Fig. 5.30. Quasi-feedforward lincarization principle [5.101]
+%c
LED 2
(OUTPUT)
Fi nal l y the resul t i ng pr edi st or t ed i nput modul at es the pr i mar y sour ce LED 2. If
phase and ampl i t ude have been pr eser ved careful l y and t he sources are
mat ched, t hen the di st ort i on and compl ement ar y pr edi st or t i on component s
cancel and the r esponse is linear. Use of this scheme has reduced di st or t i on
component s 70dB bel ow a 3.1 MHz f undament al .
The aut hor s of t he quasi - f eedf or war d t echni que have r epor t ed a not he r
novel scheme, a phase- shi f t - modul at i on t echni que for selectively cancel l i ng
har moni c component s of a specific or der [5.102, 103]. As seen f r om Fig. 5.31,
t wo i dent i cal sources are dri ven out of phase wi t h each ot her and the opt i cal
out put s are combi ned in a opt i cal tee coupl er. Fr om a st r ai ght f or war d anal ysi s
given in the reference, one finds t hat the det ect ed ac signal at t he recei ver has
zero s econd- har moni c c ompone nt if the phase shift is 90 . Al t ernat i vel y, t hi rd-
har moni c component s cancel if t he phase shift is 60 c', etc. As furt her discussed
in t he reference, schemes can be devised usi ng mor e coupl ers and sources to
cancel several har moni c component s si mul t aneousl y. As descri bed in the
reference, a t wi n- cont act - st r i pe LED was used to obt ai n mat ched LEDs, and a
25dB decrease in s econd- har moni c di st or t i on to a level near - 6 0 d B was
measur ed at 3.1 MHz.
All of our di scussi on on l i neari zi ng t echni ques has addr essed LEDs r at her
t han lasers. Thi s is because mos t lasers avai l abl e now still have the pot ent i al for
(a) devel opi ng ki nks in t hei r L - I charact eri st i c or (b) at least showi ng a change
in l i neari t y wi t h agi ng or wi t h t emper at ur e changes. Onl y a scheme t hat
measur es the nonl i near i t y and correct s it in real t i me such as feedback, feed
f or war d or phase modul at i on woul d be helpful here. Then one is faced, in the
l at t er t wo schemes, with mat chi ng t wo lasers in their mode- i nst abi l i t y behavi or
194
90OPHASE
VIN SHIFT
P. W. Shumate a nd M. DiDomenico, Jr.
4 Vcc
Z
+Vcc
I LED 2 . . _ ~ . ~
F PASSIVE OPTICAL
FIBER COUPLER
OUTPUT
T _ _ J ' F ' B E R
Fig. 5.31. Pha s e - s hi f t - modul a t i on t echni que for sel ect i ve
h a r mo n i c cancel l at i on when l i nearl y mo d u l a t i n g an LED
[5. 103]
- a very difficult if not i mpossi bl e task. Ther ef or e we feel t hat for any syst em
requi ri ng low di st ort i on, wi t hout the chance of degr adat i on with aging, mode-
st abl e lasers are absol ut el y necessary. As with the vari ous digital drivers, we
will make no absol ut e compar i s ons a mong the anal og drivers. Far t oo little has
been publ i shed for gui dance in maki ng a compar i son. If a si mpl e dri ver such as
t hat in Fig. 5.26 can be used, or if negat i ve feedback can be appl i ed, t hen clearly
these circuits are the choices because of their simplicity. All of the ot her
t echni ques so far publ i shed for i mpr ovi ng source l i neari t y requi re careful
t r i mmi ng, or precisely mat ched t i me del ays (especially at hi gh frequencies such
as 100--300MHz), or mat ched sources or hi gh- qual i t y tee coupl ers. The
endur ance of these t echni ques to large changes in t emper at ur e or to agi ng
changes in t he sources is yet to be demons t r at ed for some of these techniques.
Ther ef or e it r emai ns to be seen which are the mos t useful schemes if low-
di st ort i on l i ght wave dri vers are to be realized for syst ems appl i cat i ons.
5.8 Subsystem Considerations
Up t o this poi nt we have discussed device t radeoffs and circuit consi derat i ons,
not t ryi ng to r ecommend best choices for ei t her since choices depend on the
Lightwave Transmitt.ers 195
appl i cat i on, but to provi de perspective for maki ng these selections. Ther e
remain some consi derat i ons t hat are i mpor t ant from the subsyst em view but
often are so diverse and t ransi ent t hat they are i nappr opr i at e for extensive
discussion. Device packaging, part i cul arl y for lasers, is such an item.
In closing this chapt er, we will ment i on and comment on several of these
topics to clarify what we consi der the mor e i mpor t ant facets of each.
Source Packaging: A main consi der at i on here is t he met hod for transfer-
ring the light out of the package, which is preferabl y hermet i c for achi evi ng
highest reliability.
Present l y t here are t hree sour ce- packagi ng scenarios : the first is a lensed oi"
wi ndowed package. Here the bur den of coupl i ng the source' s opt i cal out put
i nt o the fiber in an efficient, stable way lies with the user. A package of this sort
is the hardest to use.
The second package style brings the light out via an opt i cal fiber per-
manent l y at t ached to the package and aligned with the source. The fiber, often
rei nforced as a mini-cable, is called a pigtail. The out put end of the pigtail may
have a st andar d opt i cal -fi ber connect or installed, ot herwi se the user provi des
the connect i on. A pigtailed package solves the device coupl i ng pr obl em for the
user. In addi t i on, the flexible pigtail, often between 10 and 30cm in length,
allows the user much freedom in l ocat i ng the par t on a circuit boar d and in
strain-relieving the connect or on the end. On the ot her hand, a pigtail is mor e
costly and takes up ci rcui t -board area.
The third style of package has the connect or rigidly at t ached to the package
wall, or has the light source embedded in t he connect or itself. A compact
packagi ng scheme such as this is desirable for densely packed appl i cat i ons
where a pigtail woul d be in the way or subject to damage. A possible
di sadvant age, however, coul d be provi di ng adequat e strain relief, or l ocat i ng
the part itself, if an opt i cal -fi ber cable is to be connect ed and br ought off a
circuit boar d cont ai ni ng the package.
For all of these package designs, it is desirable to have the smallest pract i cal
dimensions, with the package also cont ai ni ng the drive ci rcui t ry where possible
(i.e., an i nt egrat ed-ci rcui t chip).
Package design shoul d also provi de low t hermal i mpedance between the
source j unct i on and the ambi ent , since source lifetime is t hermal l y activated.
This is very i mpor t ant for lasers, where the junction t emper at ur e shoul d be
mai nt ai ned as low ( 25- 50"C) as reasonabl e. For act i vat i on energies EA of
~0. 7 cV, a difference of 20 "C i mpact s lifetime by a f act or of five- to tenfold
(degradat i on rat e is pr opor t i onal to e x p ( - EA/kT). Ther ef or e a package design
i ncor por at i ng a stud for heat r emoval is highly desirable.
Coolin~i : Al ong these same lines, for some appl i cat i ons it may be necessary
to cool a laser using a t hermoel ect ri c device. The cost of provi di ng AT' s on the
or der of 20 ~'C is modest and t he power di ssi pat i on low, on the or der of a few
watts. Thus a laser coul d be rendered mor e practical for use in out si de-pl ant
appar at us or hot equi pment frames. LEDs, havi ng a less sensitive internal
st ruct ure and higher reliabilities, pr obabl y do not war r ant cooling.
196 P. W. Shumate and M. DiDomenico, Jr.
i ..--...~
OPTO I SOL AT OR
Fig. 5.32a, b. Ci rcui t s of laser L I si mul at ors.
(a) Basic circuit pr ovi di ng t hr eshol d and sl ope-
efficiency adj us t ment s : (b) circuit l hat pr ovi des
addi t i onal feat ure of ki nks [5.104]
R.
C = 0. 5/ . ~F
R= t O K ~ ,
Laser Prot ect i on : Al t hough not addressed specifically in the circuit par t of
this chapt er, it shoul d be recogni zed t hat lasers are cat ast rophi cal l y damaged
by overdrive. This is part i cul arl y i mpor t ant duri ng the power - up sequence.
Most laser circuits shoul d have time const ant s of milliseconds to seconds
placed on strategic nodes so t hat bias, for example, rises smoot hl y f r om zero
and is under feedback cont r ol by the time it reaches full value [5.82]. Cr owbar s
and clamps somet i mes offer i nadequat e pr ot ect i on because t hey do not act fast
enough.
We have ci rcumvent ed the l aser-prot ect i on pr obl em when experi ment i ng
with new laser circuitry (part i cul arl y of the t ype provi di ng i ndependent bias
and drive cont rol ) by using a laser simulator in place of the laser. The circuit of
Fig. 5.32a behaves electrically similar to a laser at the i nput port s [5.104, 105].
By connect i ng the shunt/series net wor k ar ound the LED in an opt oi sol at or and
maki ng use of the LED' s light-emitting cut-in behavi or near 1.1 V, the
phot ocur r ent at the out put port s is found to display an " L" - I t ransfer
charact eri st i c very close to t hat of Fig. 5.1. The out put phot ocur r ent , presumed
to be a measure of " L" , is ret urned to the feedback cont rol circuit in place of the
laser moni t or . Adj ust ment s of R 1 and R 2 al t er the "t hr eshol d cur r ent " and
"slope efficiency", respectively. We have used the augment ed version of this
circuit in Fig. 5.32b one which provi des "ki nks" to test the stability of
cl osed-l oop bias cont rol in the presence of such kinks [5.104]. (These ki nks can
cause instabilities in certain feedback circuits, possibly resulting in laser
damage were an act ual laser to be used for testing purposes.)
Li ght wave Tr ansmi t t er s 197
T~'ansmitter Subsystem Evaluation : To charact eri ze a compl et ed design, one
must eval uat e bot h its electrical and opt i cal performance. Electrical charact eri -
zation includes measurement s of i nput current s for all possible combi nat i ons of
i nput voltages over the t emper at ur e range for which the design is i nt ended to
operat e. Dynami cal l y, this must also include worst-case dat a or signal-input
patterns.
Opt i cal per f or mance includes measur ement s of out put power, on/ of f (ex-
tinction) ratio, opt i cal rise time and fall time, delay, j i t t er, over shoot , dr oop,
frequency response, di st ort i on, etc.
Power measur ement s are easily made using cal i brat ed phot odet ect or s or
commerci al power meters.
Pulse propert i es are eval uat ed by exami ni ng the optical out put in response
to a known input, using a fact phot odet ect or and oscilloscope. For digital
t ransmi t t ers, a square-wave or ps eudor andom- wor d i nput is useful. The
behavi or of the optical out put in the presence of strings of 0s or 1 s in a
pseudor andom pat t ern is a good test for heat i ng effects or laser bias-circuit
effectiveness. Ps eudor andom- wor d gener at or s are easily built using i nt egrat ed-
circuit shift registors: two or mor e bits in the register are summed (exclusive
OR) and ret urned t o the i nput of the register [5. 106-109].
Of the many wel l -known met hods for measuri ng di st ort i on [5.21, 110 112],
one of t he best is t he t wo- t one i nt er modul at i on test. Two sinusoidal frequencies
are added in a wi deband hybri d coupl er (mixer) and t hen used t o modul at e t he
source. By l ooki ng with a spect r um anal yzer at Ji , f z, f ~ -+f2 and t erms such as
2ft-+J2, second- and t hi r d- or der t erms are readily measured. Har moni c-
di st ort i on figures can be cal cul at ed from i nt er modul at i on measur ement s
[5.21]. The advant age of mul t i t one IM testing is t hat harmoni cs present in the
test signals themselves are n o t present in t he sum or difference frequencies. The
same spect rum anal yzer also facilitates measuri ng the frequency response of a
t ransmi t t er, part i cul arl y if a swept -frequency measur ement is made.
Ackmm,ledqements. We wish t o t hank F.S. Chen, P. W. Dor nr an, W.J. Cl emet son, and C. A. Bracket
for useful di scussi ons on circuits and per mi ssi on to use some of t hei r dat a and desi gn ideas.
List of Symbols
L
I
?l
J
tr
BW
f
BER
VCE(s;II}
R
Li ght - power level [ mW or ].tW]
Devi ce cur r ent [ mA or A]
l ndex of refract i on
Wavel engt h of light [ mn or / . t m]
Cur r ent densi t y [ kA/ cm 2]
Ri set i me [ ns ]
Bandwi dt h [ MHz or GHz ]
Fr equency [ Hz]
Bit er r or rate I s - J]
Tr ansi st or cur r ent gain /h; E
Col l ect or - t o- emi t t er vol t age of a sat ur at ed bi pol ar t r ansi st or [ V]
Resi st ance lEVI
198 P. W. Shumate and M. DiDomenico, Jr.
C Capacitance [ pF or laF]
1 "2 L Transi st or-t ransi st or logic (family)
/ o, Out put current of a gate in the high slate [ mA]
ECL Emitter-coupled logic (family)
C,, h Out put capacitance, common-base configuration [ pF]
E'I~H~ LED capacitance, equal to space-charge plus diffusion plus stray (e.g., lead) component s
[ pF]
Vcc Colleclor supply voltage IV]
VI~ E Emitter supply voltage [V]
AGC Automatic gain control
I/i.~,:~ ~ Voltage across terminals of LED when emitting light [V]
VBE Forward voltage of a p-n (e.g., base-emi t t er)j unct i on [V]
I c Collector current [ mA]
ll~ Emitter current [ mA]
7' Temperat ure [ K]
Vi~ Input voltage [V]
VGs Gate-to-source w)ltage IV]
Extinction (on/off~ ratio
t Time [h]
Vj Junct i on voltage [V]
I d Drive current [ mA]
E A Activation energy [eV]
k Boltzmann const ant [8.625 10- "~ eV/ K]
N.A. Numerical aperture
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5.107 M. Damashek : Electronics 49, 107 (May 27, 1976)
5.108 J.T. Harvey : Electronics 4g, 104 (Nov. 27, 1975)
5.109 H.Pangratz: Electron. Des. 26, 134 (May 19, 1978)
5.110 T~,leeommunications 7i'ansmission Engineerin~i, Vol. 1 (American Telephone and Telegraph
Co. 1974) Sect. 4
5.111 L.E. Weaver: Television Video 7~'ansmission Measurements, 2nd cd. (Lbenezer Baylis and Son,
London 1977)
5.112 See numerous Application Notes available from test-equipment manufacturers, e.g.,
Hewlett-Packard Application Note 150-11, "Spectrum Analysis-Distortion Measurements"
(19761
6. Fiber Couplers
M. K. Barnoski
W i t h I1 F i g u r e s
To use opt i cal fibers in communi cat i ons systems requires component s for
coupl i ng light-emitting semi conduct or devices to the fibers and for i nt ercon-
necting separat e lengths of fiber. This chapt er briefly treats the pr obl em of
coupl i ng light sources to fibers by bot h direct but t j oi nt coupl i ng and coupl i ng
using i nt ermedi at e optics. Tr eat ment of the coupl er probl em is followed by a
discussion of the at t enuat i on losses t hat result from mechani cal mi sal i gnment
of t wo i nt erconnect ed fibers.
6.1 Source-to-Fiber Coupling
Thi s section reviews vari ous t echni ques used for coupl i ng power from LEDs
and laser di odes into single st rands of mul t i mode optical fibers.
Source-t o-fi ber coupl i ng t echni ques include direct but t coupling, mi cro-
lenses, and the use of t apered or bul b-ended fiber pigtails. The simplest of these
is di rect but t coupl er shown schemat i cal l y in Fig. 6.1. For a source with a
cylindrically symmet ri c radi at i on pat t ern, it is a simple exercise [6.1] to show
t hat the power coupl ed into t he fiber is, to a good appr oxi mat i on, given by
s i n ~ (N.A.}
S B(O)sinOdO
P t ' i b e r = o P ....... = ~l~ P . . . . . .
.[ B(O)sinOdO
o
(6.1)
where B(O) is the source brightness, P . . . . . . is tlae t ot al power emi t t ed by the
source, and N.A. is the fiber numeri cal apert ure. It is assumed t hat t he emission
area of the source is less t han or equal t o t hat of t he fiber core. For a source
such as a surface-emi t t i ng LED, the r adi at i on pat t er n of which is Lambert i an,
the coupl i ng efficiency ~L=(N. A. ) z. A plot of coupl i ng efficiency vs the
numeri cal aper t ur e of a step-index fiber is shown in Fig. 6.2. ( For an edge-
emi t t i ng LED, the radi at i on pat t er n is asymmet ri cal as discussed in Sect. 2.6,
where fiber coupl i ng is discussed for this case.)
For a step-index waveguide, t he number of bound modes is appr oxi mat el y
equal to N = V 2 / 2 , [2.66] where
V 2 = ( k( d) 2 ( H 2 _ 1 1 2 ) = ( k a ) 2 ( N , A.) 2 . ( 6 . 2 )
202 M. K. BurRo,ski
9 - -
8
7
6
5
5
,7
~ 4
~ a
2
1
0
,(cos 8)n.9- ANGUL AR DI STRI BUTI ON
OF OPTI CAL POWER
EMI TTED BY SOURCE
/ \ n 2
n]
OPTOE LECTRONI C SI NGLE FI BER
SOURCE STRAND
f
_~_ I ~ I I
0.10 0.20 0.30
NUMERICAL APERTURE
Fig. 6. 1. Sc he ma t i c i l l ust r at i on of di rect
but t c oupl i ng
Fig. 6.2. Pl ot of coupl i ng efficiency vs
numer i cal a pe r t ur e of st ep- i ndex fiber
for a La mbe r t i a n s our ce
The efficiency with which power is coupl ed i nt o a fiber is t herefore di rect l y
pr opor t i onal to the number of bound modes. In the above expressi on, k and a
are the free space wave number (2~/2) and fiber core radius, respectively. Her e 2
is the free space opt i cal wavel engt h. For a gr aded- i ndex fiber, t he refract i ve
index varies with core radi us as
l 6 3 ,
Fiber Couplers 203
OPTI CAL SOURCE
OPTICAk ~ ~
SOURCE ~ & .
SIZE ds t
- f -
ANGUL AR DI STRI BUTI ON
OF OPTICAL POWER
EMI TTED BY SOURCE
. . . . . q l CLAD -
!
OPTI CAL
COUPLI NG SYSTEM
l
Fig. 6,3. l[lustration of optical source to fiber coupler
q_--
where n 1 = n(0) is t he refract i ve index at the cent er of the fiber core, ~ specifies
the shape of the refract i ve index profile, and A=( n ~- n z ) / 2 n ~ wi t h 1 1 2 = n ( a )
bei ng t he refi' active index at the edge of the fiber core. The numbe r of bound
modes of a gr aded- i ndex fiber is given by [-2.66],
M= ( / ~ a ) ~ ( n ~ - n ~ ) = ~ + 2 '
(6.4)
Since the number of bound modes of a gr aded- i ndex fiber wi t h a given n 2 and
n 1 is smal l er by a fact or of [~z/(:+2)] t han the numbe r for a st ep-i ndex fiber
wi t h core and cl addi ng refract i ve indices of n 1 and 172 the coupl i ng efficiency is
less for a gr aded- i ndex fiber t han for a st ep-i ndex fiber. For a fiber with a
par abol i c profile (e = 2), t he coupl i ng efficiency is reduced by a fact or of 2.
The coupl i ng efficiency bet ween a l aser di ode or LED and an opt i cal fiber
can be enhanced by i nt r oduci ng an i nt erveni ng opt i cal syst em (i l l ust rat ed in
Fig. 6.3), such as a sphere lens or a t aper ed section of fiber, onl y if the pr oduct of
the opt i cal emi ssi on area times the emi ssi on solid angl e is less t han the pr oduct
of the cross-sect i onal ar ea of the fiber core times the accept ance solid angl e of
t he fiber. The opt i cal el ement serves to magni f y the sour ce ar ea ill the same
pr opor t i on t hat it demagni fi es (collimates) t he solid angul ar di st ri but i on of the
radi at i on, so t hat the r esul t ant r adi at i on pat t er n is bet t er mat ched to the fiber
N. A. The ma x i mu m coupl i ng efficiency I-6.2] t hat can be realized usi ng a
Lamber t i an sour ce is
~1~ ( maxi mum) = ( N . A . ) 2 AF
As '
(6.5)
where A F is the cross-sect i onal ar ea of the fiber core, and A s is the l i ght -emi t t i ng
ar ea of t he source. The efficiency of the i nput opt i cal coupl i ng i mpr oves as the
204 M. K. Barnoski
Fig, 6.4, Tapered launcher input coupler
2a
emission area of t he source decreases and the fiber core cross-sectional area
increases. The t ot al optical power from a source with a uni form r adi at i on
di st ri but i on across its emission area is appr oxi mat el y
Ps ~ 2 x A s B 5.1(O)dO (6.6)
when cylindrical symmet r y is assumed. The source brightness B(O) has been
expressed as B(O) = Bf (O), where If(0)[ < 1, and B is the maxi mum value of B(O).
The t ot al optical power emi t t ed by the source is directly pr opor t i onal to the
pr oduct of the emission area and brightness. If t he emission area is decreased to
enhance i nput coupl i ng efficiency, the source brightness must be increased if the
t ot al power emi t t ed by the source is t o remai n const ant . Since t he power
coupl ed into the fiber is di rect l y pr opor t i onal to the optical source brightness, it
is advant ageous to make the semi conduct or source as bri ght as is consi st ent
with the restraints placed on the size of t he device by semi conduct or mat eri al
and device processing t echnol ogy.
An optical system t hat efficiently coupl es light from a semi conduct or source
i nt o an opt i cal fiber is the t aper l auncher [6.3, 4] shown in Fig. 6.4. This optical
coupl i ng system consists of a short section of fiber heat ed and pulled into the
shape of a taper. Equat i on (6.5) predicts that, for a Lamber t i an emi t t er with
emission di amet er <2 a l , the i mpr ovement in coupl i ng efficiency over t hat of
di rect but t coupl i ng is R z = (a/ a 1)2. Experi ment al results [6.4] obt ai ned using a
pl anar, Lamber t i an LED with a di amet er of 22 gm are shown in Fig. 6.5. The
figure shows a pl ot of the i mpr ovement fact or ( a / a l ) 2 vs t aper rat i o ( a/ al ) with
the measured dat a points also shown. The tapers used in the experi ment were
fabricated using Cor ni ng silica fibers with N. A. = 0.18. The experi ment al results
obt ai ned are in excellent agreement with t hose predicted by t heory.
The t aper l auncher has also been used as an optical coupl i ng system with a
het er oj unct i on [6.4] LED and a doubl c- het cr oj unct i on laser [6,3]. Nei t her of
these devices is a Lamber t i an emitter. Both have mor e di rect i onal radi at i on
pat t erns, a consequence of which is hi gher coupl i ng efficiency for bot h direct
but t coupl i ng and coupl i ng with an opt i cal element. Coupl i ng efficiencies as
10
/
, , / ,
i
/ ~ N A 0 t 8
I
/
3 4 5 6
T A P E R R A ] I O H
Fi ber Coupl e r s 205
Fig. 6. 5. l ) e pc nde nc e of t he power coupl i ng efficiency
on t he t aper r al i o for a La mbe r l i a n s our ce [6. 4]
600
500
400
300
200
i
lO0
50
/
/ .
/
- /
/ /
/ /
- e / /
/ 7 '
/ /
! /
'_ /
/
/
I I I
/ NA : 0.26
/
/
NA : 0.18
I [ I I
I I I I I I I
2 3 4 5 6 7 8
TAPER RATIO, R
I
- 10
I
9 10
lOO
50
>-
0
z
t.t0
r , O
t . t .
z
o
Fig. 6.6. De pe nde nc e of power coupl i ng bet ween edge- emi t t i ng doubl e - he t e r oj unc t i on LED and
l aper ended fiber on t be t aper r at i o [6.4]
206 M. K. Barnoski
SPHERE
LENS
(n = 2.0),Xx ~
(
a
~
A I R (n = 1.0)
EPOXY
% ~ L I G H T SOURCE
M E T A L
SPHERE LENS / . Z n D I F F U S E D
\
EPOXY ~ / / / n - G a A I A s
/ I f SUBSTRATE
I.. . . . . . ~ . . . . . . ~ M E T A L
I " H E A T S I N K " ~ ' S O L D E R
b
FiR. 6.7. (a) A si mpl e geomet r i cal con f i gur at i on of t he LE D wi t h a s pher e l ens [6, 5] ; (b) a s chemal i c
cr oss- sect i onal dr a wi ng of t he Ga As - Ga AI As he t e r os t r uc t ur e I , ED wi l h a sel f-al i gned s pher e l ens
high as 97 % were observed using a DH laser and a t aper l auncher fabri cat ed
with Cor ni ng fiber (N.A. =0.18). The length of the t aper was 4.3 mm with a
t aper rat i o 3.5. The direct but t j oi nt coupl i ng efficiency measured using the
same laser di ode is 30 %. The t apered l auncher t herefore provi ded an i mprove-
ment rat i o of 3.2 in this case. Maxi mum experi ment al coupl i ng efficiencies
obt ai ned [6.4] using an edge-emi t t i ng doubl e- het er oj unct i on LED and t apered
fibers with numeri cal apert ures of 0.18 and 0.26 are 53 and 83 %, respectively.
The plot shown in Fig. 6.6 displays the dependence of the optical power
coupl ed into the fiber on the t aper rat i o using an LED t hat emits 650gW at
100mA drive current. The measured coupl i ng efficiencies for direct but t
coupl i ng to t he 0.18 and 0.26 numeri cal aper t ur e fibers are 11% and 17%,
respectively.
Microlenses can also be used as the optical coupl i ng system. Self-aligned
[6.5] sphere lenses have been used to increase the power coupl ed from an LED
i nt o the fiber waveguide. The geomet ri cal confi gurat i on used is shown in Fig.
6.7. In this confi gurat i on, the sphere is aut omat i cal l y cent ered in the et ched
hole, which is filled with clear epoxy. Since the surface-emi t t i ng doubl e-
het er oj unct i on di ode has a Lamber t i an radi at i on pat t ern, the maxi mum
coupl i ng efficiency obt ai nabl e using the ball lens is given by [6.5]. The
experi ment al l y det ermi ned efficiency of coupl i ng i nt o a 80gm core di amet er
fiber with an N.A. of 0.14 is shown as a funct i on of LED emi t t i ng area di amet er
in Fig. 6.8. The ball lens di amet er was appr oxi mat el y 100pm. The solid curve
was comput ed using [6.5]. The solid dot is the experi ment al l y measured
coupl i ng efficiency using a 35!am di amet er LED. The open circles are the
efficiencies est i mat ed based on experi ment al det er mi nat i on of t he power within
a numeri cal aper t ur e of 0.14 using LEDs with emi t t i ng di amet ers of 25, 30, 35,
and 50 pm. The results agree closely with t hat predi ct ed theoretically. For an
emi t t i ng-area di amet er of 35 gin, a coupl i ng efficiency of 9 % was observed. This
is an i mpr ovement of appr oxi mat el y 4.5 above t hat expect ed for direct but t
coupl i ng i nt o a fiber with N.A. =0. 14.
Fi ber Coupl er s 207
> . -
LU
< '2-
u.
Lu
z
o
100
5 0
2 0
1 0
5 0
2 0
10
I I I I 1
A M 8 0 p . m
10 20 30 4 0 5 0 6 0 70
E M I T T I N G A R E A D I A M E T E R d s , H - m
Fi g. 6.8. Coupl i ng efficiency vs
sur f ace- emi ni ng LED emi t t i ng-
ar ea di amet er . A solid dot and
curve r epr esent t he exper i ment al
result and t heoret i cal limil, re-
spectively. Open dot s shrew l hc
coupl i ng efficiencies expect ed
from t he exper i ment al results of
t hc i mpr ovement fact ors 1"6.5]
Anot her optical system for enhanci ng coupling efficiency which has been
experimentally investigated is the spherical, or bulb-ended, fiber [6.6 8]. As
with the tapered launcher and ball lens, the experimental results obt ai ned for
this type of coupler are in good agreement with theory.
High-brightness semi conduct or light-emitting devices can be efficiently
coupled to communi cat i on-grade optical fibers using the optical elements
discussed above. The semi conduct or source, coupling optics, and a short
section of fiber can be packaged as a uni t with i nt ercounect i on to the fiber cable
provided for by a fiber connect or or permanent splice (Sect. 2.4.2).
6.2 Fiber-to-Fiber Coupling
Practical i mpl ement at i on of fiber systems requires interconnecting fibers with
maxi mum transfer efficiency of the optical signal. There are two i nt e r c on-
nection techniques. The first, the fiber splice, is a permanent i nt erconnect i on of
two fibers. The second, tile fiber connector, is designed for many repeated
connect i ons of two fibers. Both types of interconnection may have at t enuat i on
resulting from variation in the intrinsic parameters of the two fibers to be
connected. The intrinsic fiber paramet ers are core di amet er and shape, cl addi ng
di amet er and shape, numerical aperture, refractive index profile, and the
concentricity of the core and cladding. In addi t i on to at t enuat i on resulting
from vari at i ons in these intrinsic fiber parameters, interconnection losses can
also result from mechanical mi sal i gnment of the fiber ends, i mproperl y
prepared and cleaned fiber end surfaces, and Fresnel reflections.
208 M. K. Barnoski
a
POWE R
SUPPLY
100x 20x MODE
~ _ . _ . . LENS L E N S STRIPPER
(-~ r-"a f } LAUNCHING
MIC R OPOSITION E R S ~ .,,,~,~r~ ~
FIBER
ENDS
MODE
SOLAR CELL /
STRIPPER J
CHART L _ _ _ ] D I G I T A L ~
R E C O R D E R ) I
b . POWER ]
METER
_ 1
DIGITAL
MICROPOSITIONER --_ T T ~ LAUNCHINGIMULTIMETERI
LED FIBER
DRIVER
OBJECTIVES x 25 ~ 4 IN. S
@
~ 4 1 N . SPOOL
ROTATING
TABLE
POWE R
METER
IN. SPOOL
DIGITAL
MULT METER
Fig. 6.9. (a) Fiber and misalignment measurement setup in the first experiment; (b) fiber and
misalignmenl measurement setup in the second experiment [6.9]
Th e de s i gn o f fi ber s pl i c i ng t e c hni que s a nd fi ber c o n n e c t o r s requi res a
de t ai l e d k n o wl e d g e o f t he s e ns i t i vi t y o f t he i n t e r c o n n e c t i o n i ns e r t i o n l o s s o n
me c h a n i c a l a l i g n me n t o f t he f i ber e nds . Ex p e r i me n t a l s e t ups us ed t o me a s u r e
[ 6 . 9 ] t he effect o f me c h a n i c a l mi s a l i g n me n t o n c o u p l i n g l o s s are s h o w n in Fi g.
6.9. In b o t h a r r a ng e me nt s , t he f i bers we r e e x c i t e d by s ur f a c e - e mi t t i ng L E D s
Fi ber Coupl er s 209
NORMALIZED ANGULAR MISALIGNMENT, ~'/sin - 1
NA
0.1 0.2 0.3 0.4 0.5 0.6
4
I I I l I
FIRST
,,~ ; - ~ OFFSET ALONE EXPERIMENT
3 I / s E c o N D
~ 2 - - i / E X P E R I M E N T
Q
/ / ANGULAR MISALIGNMENT
I I ATSIa = 1 / /
/ /
' / / / / j SEPARAT,O
[ / / ~ ~ ALONE
- ..........---~.
o
1 L I I
0 1 2 3 4 5 6
NORMALIZED OFFSET, d/a OR SEPARATION,S/a
Fig. 6.10. Loss in dB vs nor mal i zed offset din, separ at i on S/a, and angul ar mi sal i gnment
#/ si n - 1N.A. [6.9]
with a 50 gm emi t t i ng di amet er. The experi ment al ar r angement shown in Fig.
6.9a was used to measure the dependence of coupl i ng loss on the lateral offset of
the t wo fiber cent ers and on t he l ongi t udi nal (on-axis) separat i on of t he t wo
fiber ends. A 1.83 m length of graded-i ndex fiber with 50 gm out si de di amet er
was used. The ar r angement shown in Fig. 6.9b was used to measure the effects
of lateral, longitudinal, and angul ar misalignments. A 20m length of graded-
i ndex fiber with 55 lain cor e di amet er and 110 gm out si de di amet er was used in
this case. In bot h cases, the on-axis numeri cal aper t ur e is N.A. =0. 2. The lateral
offset (defined as d) and the l ongi t udi nal separat i on (defined as S) can be
normal i zed to the fiber core radius a (t hat is, d/a and S/a). The angul ar
mi sal i gnment (defined as #) can be normal i zed to the axial numeri cal aper t ur e
N. A. = ~ - n 2 (6.7)
[ t hat is, #/ s i n- ~ (N.A.)].
The measured coupl i ng loss in dB as a funct i on of t hree mechani cal
mi sal i gnment s is shown in Fig. 6.10. The first experi ment refers to the
ar r angement of Fig. 6.9a; the second t o t he ar r angement of Fig. 6.9b. The
results clearly reveal t hat the coupl i ng loss is most sensitive t o lateral
misalignment. I ndependent measur ement s made of the coupl i ng loss de-
pendence on one of the t hree normal i zed par amet er s with the ot her t wo held
const ant yield dat a t hat can be used t o pl ot const ant loss curves as caused by
vari ous kinds of mi sal i gnment (Fig. 6.11). A coupl i ng loss of 0.5 dB can result
210 M . K . B a r n o s k i
Z
O
<
<
03
t~
uJ
N
-J
<
n-
O
Z
0. 5r i b LOSS o ~-~/sin - 1 NA : 0
. . . . . . 1. 0dB LOSS A : 0. 087
. . . . 1. 5dB LOSS (3 = 0. 174
= 0.261
\ " ' , \ , ' , " , \ . !I
I \ \ " ' " " " " i "
I \ \ \ \ - - , ~ \ \ , \
I \ \ " . , \ ",.' ,. \
0 0.1 0. 2 0. 3 0. 4
NORMALI ZED OFFSET, d/ a
0.5
F i g . 6. 11. Cons l al l l l oss l i nes as t he r esul t of fiber end offset d / a , s e pa r a t i on S / a , and a ngul a r
mi s a l i gnme nt f l / s i n i N. A. [6. 9]
f r om a nor mal i zed offset of 0.2 alone, a nor mal i zed separ at i on of 2 al one, or a
nor mal i zed offset of 0.1 and a nor mal i zed separ at i on of l. Since coupl i ng losses
of 0.5 dB or less are very desirable, the const ant loss curves shown in Fig. 6.11
pr ovi de a val uabl e guide to tile connect or designer. The losses shown in the
figure are, of course, mi ni mum losses since t hey include onl y the effects of
mechani cal mi sal i gnment and not fiber intrinsic losses or the effects of
i mpr oper l y pr epar ed or cl eaned fiber ends and Fresnel reflection loss. Fresnel
reflection losses, which are appr oxi mat el y 0. 2dB per fiber face, can be
mi ni mi zed by using index mat chi ng mat eri al . El i mi nat i on of the effect of end
pr epar at i on and cleanliness are, of course, i nt i mat el y rel at ed to the design and
assembl y of the connect or.
List of Symbols
I11
H2
N.A.
/ )fi ber
P s o u r c e
R(0)
N
k
(J
O~
Refract i ve index of fiber core
Refract i ve index of fiber clad
Fi ber numeri cal aper t ur e
I nput coupl i ng efficiency
Opt i cal power coupl ed i nt o fiber
Opt i cal power emi t t ed f r om source
Source bri ght ness
Nu mb e r of bound modes of st ep-i ndex fiber
Free space wave number
Fi ber core radi us
Profile shape fact or
Fiber Couplers 211
M
Av
As
(l 1
R
d
S
d~
Numbe r of bound modes of gr aded- i ndex fiber
Cross-sect i onal ar ea of fiber core
Li ght - emi t t i ng ar ea of the sour ce
Mi ni mum radi us of t aper ed fiber
Taper r at i o
Lat eral offset
Longi t udi nal offset
Angul ar mi sal i gnment
Di amet er of emi t t i ng ar ea of source
References
6.1 M.K. Barnoski: "'Couplim.! Components f or Optical Fiber Waveyuides", in Fundamentals ()["
Optical Fiber Communications, ed. by M. K. Barnoski (Academic Press, New York 1976) Chap.
3
6.2 M.C. Hudson: Appl. Opt. 13, 1029 (1974)
6.3 T.Ozcki, B. S. Kawasaki : Electron. Lett. 12, 607 (1976)
6.4 Y. LJematsu, T.Ozeki: "E[ficient Power Coupling Between a M H LED and a Mul t i mode Fiber
with Tapered Lamwher", Tech. Dig. of 1977 Intern. Conf. Integrated Optics and Optical Fiber
Commun., Tokyo, Japan (1977) p. 371
6.5 S. I toriuchi, K. Ikeda, T.Tanaka, W. Sasuki : [EEE Trans. ED-24, 986 (1977)
6.6 D. Kato: J. Appl. Plays. 44, 2756 (1973)
6.7 B.S.Kawasaki, D.C.Johnson: Opt. Quantum Electron. 7, 281 (1975)
6.8 M.Abe, l.Umebu, O.Hasegawa, S.Yamakoshi, T. Yamaoka, T. Kotani, H.Okada,
l t.Takanashi: [EEF Trans. ED-24, 990 (1977)
6.9 T.C.Chu, A.R.McCorrnick: Bell Syst. Tech. J. 57, 595 (1978}
7. Modul at i on of Laser Di odes *
G. Arnol d, P. Russer, and K. Pet er mann
Wi l h 25 Fi gures
GaAs doubl e- het er ost r uct ur e semi conduct or injection lasers which now exhi bi t
mor e t han 25,000 h cw r oom t emper at ur e lifetime are of great interest for fut ure
use as directly modul at ed t r ansmi t t er for high bit-rate fiber optical com-
muni cat i ons. The effects limiting this appl i cat i on are modul at i on di st ort i ons,
spectral width and addi t i onal spectral br oadeni ng in the case of modul at i on
and self-pulsations of the out put power, The dynami c and spectral behavi or of
injection lasers, the met hods of high bi t -rat e modul at i on and the i mpr ovement
of the high bit-rate modul at i on capabi l i t y by coupl i ng t wo lasers are discussed.
7 . 1 B a c k g r o u n d
Semi conduct or injection lasers are of great interest as t ransmi t t ers for high bit-
rate fiber opt i cal communi cat i on systems [7.2]. The main adwmt ages of
semi conduct or injection lasers are simple const ruct i on, small dimensions, high
efficiency and direct modul at i on capabi l i t y up to the GHz range.
Semi conduct or injection lasers yield a good coupl i ng efficiency also i nt o
monomode fibers [7.3] and for t hei r nar r ow emission spect ra onl y a low pulse
br oadeni ng due to fiber, dispersion when monomode fibers are used. At the
wavel engt h of GaAs injection lasers the dispersion of usual monomode fibers is
1 ns k m - ~ for 1% relative opt i cal bandwi dt h [7.4, 5].
Consi derabl e effort has been under t aken in recent years to devel op cw
lasers with long lifetimes at r oom t emperat ure. Today lifetimes great er t han
25,000 h have been achi eved [7.6, 7]. Li fet i me measur ement s at elevated- t em-
perat ures yield ext r apol at ed r oom t emper at ur e lifetimes in excess of 100 years
[7.8]. Several review papers on semi conduct or injection lasers have been
written [7. 9-13]. In this paper we shall discuss the modul at i on and
spectral propert i es of doubl e- het er ost r uct ur e (DHS) st ri pe-geomet ry
GaAs/ Gal _xAl . , As i nj ect i on lasers for cw r oom t emper at ur e oper at i on. The
results on these devices may be consi dered to be . representative also for
semi conduct or lasers based on ot her materials. Especially injection lasers for
l onger wavelengths based on l nGaAs P/ I nP are very at t ract i ve [7.14 17]. The
dynami c behavi or of these devices is very similar to t hat of GaAs lasers, as
report ed in [7.18, 19].
" Expanded and updat ed t r eat ment based upon a paper publ i shed in Appl. Phys. [7.13,
214 G . A r n o l d et al .
For high bit-rate communi cat i on from several 100 Mbi t / s up into the Gbi t / s
range, lasers must have the following properties:
i) No modul at i on distortions (pattern effects);
ii) A narrow spectral bandwi dt h;
iii) No high spectral broadeni ng due to direct modul at i on;
iv) No self-pulsations.
The rate equat i ons which describe the dynami c behavior of injection lasers
are discussed in detail in Sect. 7.2. In the following sections we review and
discuss the modul at i on, spectral and self-pulsation behavi or of injection lasers,
and the met hods for direct modul at i on at high bit rates.
7.2 The Rate Equations
Semi conduct or injection lasers exhibit a very complex dynami c behavior. Until
now, not all experimentally observed effects can be explained satisfactorily ; but
for the main properties, a good theoretical underst andi ng has been achieved.
The dynami cs of a semi conduct or injection laser is governed by rate equat i ons
[ 7. 2027] . The quant um-mechani cal rate equat i ons for the electron density and
polarization operat ors and the phot on ampl i t ude operat ors give i nformat i on
about the time devel opment of the phot on amplitude, frequency and phase and
also about the statistical properties due to quant um fl uct uat i ons
[7.20, 23, 24, 26]. In many cases, where onl y the time dependence of the phot on
number mean value is of interest and an interaction of modes with a very
narrow wavelength spacing does not occur, the analysis can be performed by
the much simpler classical rate equat i ons for the electron density in the active
layer and the phot on numbers in the modes [7.21, 22, 25, 27]. Due to the
i nt raband scattering processes spectral hole burni ng is uni mpor t ant in injection
lasers and the cause for the mainly observed mul t i mode operat i on of injection
lasers is assumed to be spatial hole burni ng [7.28-31]. We give mul t i mode rate
equat i ons for the electron density and phot on numbers. In the mul t i l node case
the i nhomogeneous di st ri but i on of electron and phot on densities must be taken
into account. For an active layer, parallel to the x - y plane with a thickness d,
these rate equat i ons are
( ' ) n ( x , y , t ) J ( x , y , t ) l
- eod ~ R ~ p ( n ) + D V 2 n ( x , y , t) (7.1)
at
1 F i
_ / ' i
~?S,(1) S i ( t ) + ~ ( l t p i ( x , y ) l Z r s p ( E i , n ) d x d y (7.2)
r")l Z ph + q ) ( E i )
F i
+ ~ S~(t) ,f Iq~i(x, y)l 2 r, , ( E i, n) d x d y .
Mo d u l a t i o n o f L a s e r Di o d e s 215
The el ect ron densi t y n depends on x and y and is assumed t o be confi ned within
the active l ayer and const ant therein in z direction. J is the injection current
density, e o the absol ut e value of the el ect ron charge. S i is the phot on number in
the ith mode, ~p~(x,y) is the normal i zed scalar compl ex phot on ampl i t ude
function. The compl ex ampl i t ude funct i on is normal i zed so t hat ]q~(x,y)] 2
i nt egrat ed over the whol e x - y pl ane yields 1. F~ is the phot on confi nement
fact or which gives the rat i o of phot on energy concent r at ed within the acti'~e
l ayer of vol ume V to the t ot al phot on energy, bot h for the ith mode [7.13]. The
stimulated and spont aneous emission rates per unit of vol ume and unit of
phot on energy r~, and r~p have been calculated by Las her and St e r n [7.32] for
GaAs at r oom t emperat ure, assumi ng t ransi t i ons between par abol i c bands
with k selection rule for pur e mat eri al and wi t hout k selection rule for highly
doped material. For parabol i c bands wi t hout k selection rule, and addi t i onal
Gaussi an i mpuri t y band tails cal cul at i ons have been performed by Case); and
St er n [7.33]. For t ransi t i ons between parabol i c bands wi t hout I< selection rule
an appr oxi mat e expressi on for r~t has been given by Mar i nel l i [7.34]. R~p is t he
t ot al spont aneous emission rat e per unit of volume, and is the i nt ernal
quant um efficiency. 4~(E~) is the number of modes per unit of vol ume and unit of
energy and is given by
--~--2 2
( E i ) - - ni ni Ei ( 7 . 3 )
g 2 h 3 c 3 '
where ~i is the index of refract i on for the ith mode, and the effective index of
refract i on ii' i consi deri ng the dispersion is given by
~ i i = / / ~ ( 1 - f i ~ d2~]" ( 7 . 4 )
For a vacuum wavel engt h of 8500 ,~ we obt ai n E; = 1.46 eV and with ~ = 3.6 and
~i'~ 5 I-7.35] the number of modes per unit of vol ume and unit of energy is
q~( Ei ) =l , 817xl 0~2me V- ~c m -3. D is the diffusion const ant and can be
calculated from D = i ~, kT/ e o (where/~n is t he el ect ron mobility, k the Bol t zmann
const ant and T the absol ut e t emper at ur e) or from D = L~/Z~p (where r.~p is the
spont aneous el ect ron lifetime and L n the el ect ron diffusion length). Fr om
/ ~o =3 0 0 0 c m2 V- l s -~ for GaAs and k T / e o = 2 6 m V the el ect ron diffusion
const ant D, = 78 cm 2 s - ~ for p- doped GaAs is calculated. This value coincides
well with the result calculated from L, = 5pm for Ge- doped p-t ype GaAs layers
[7.36] and Z~p=3ns. In highly doped GaAs, the mi nor i t y carri er diffusion
const ant can be smaller by mor e t han an or der of magni t ude [-7.28, 30]. The
phot on lifetime I"ph i ill the ith mode is given by [7.25]
ph, = ~i ~'i lnRi , (7.5)
216 G. Arnohl et al.
where ~i is the i nt ernal opt i cal loss per unit length, R~ the reflectivity of the end
mi rrors, bot h for the ith mode and L is the laser length. For sol ut i on gr own
j unct i ons at r oom t emper at ur e the phot on lifetimes are bet ween 1 and 2ps
[7.37].
The comput at i onal anal ysi s of the si ngl e- mode laser in ma ny cases yields
consi derabl e insight i nt o the laser dynami cs. To some ext ent the results are al so
appl i cabl e to the physi cal l y mor e realistic mul t i mode case. If onl y one mode
oscillates, hol e bur ni ng effects can be neglected and the spat i al di st ri but i on of
the el ect ron and phot on densities can be consi dered uni f or m within the act i ve
region. In this case the s ummat i on in (7.1) over i has to be deleted and
d - l J ( x , y ) [ 2 has to be subst i t ut ed by V 1 in (7.2) the i nt egral s over [ q) ( x, y) [ 2
have to be replaced by l. A furt her si mpl i fi cat i on of the mo n o mo d e rat e
equat i ons is possi bl e by the following appr oxi mat i ons
l Rsv(n)' ~ n/'c, p , (7.6)
F c~ 1~7
q , ( E, ) r ~ v ( E~ , n ) , , ~ . (7.7)
Ts p
Measur ed s pont aneous el ect ron lifetimes r~p of DHS lasers at r oom t emper a-
t ure are bet ween 2 and 8 ns [7.18, 38, 39]. The coefficient c~, defined by (7.6, 7)
gives the rat i o of the s pont aneous emi ssi on rat e i nt o the osci l l at i ng mode to the
t ot al s pont aneous el ect ron r ecombi nat i on rate. To give a r ough est i mat e of the
ma xi mum val ue of e we set the i nt ernal qua nt um efficiency = 1 and R~v(n )
equal r~v(E~, n) times t he s pont aneous emi ssi on linewidth. For V / F = 10 -'~ cm 3,
a s pont aneous emi ssi on linewidth of 300/~, and for the above cal cul at ed
4 ) ( E) = l . 8 1 7 x 1 0 1 2 me V - l c m - 3 we obt ai n c ~ = l . 0 7 x l 0 .s. On the basis of
Mari nel l i ' s appr oxi mat i on formul a, A d a m s has pr oposed a si mi l ar appr oxi ma-
t i on for the st i mul at ed emi ssi on coefficient
F
V4~(E~) r~t(E~, n ) = O n ' , (7.8)
where l = 3 for Ga As doubl e- het er ost r uct ur e lasers at r oom t emper at ur e [7.27].
These appr oxi mat i ons yield the rat e equat i ons
dn J n
g S n I , (7.9)
d t e o d r~p
d S S n
- + ~ V - - + V, q S n I . (7.10)
dt "cph z~p
Modulation of Laser Diodes 217
For 7 = 0 and J > = J t h the explicit sol ut i on of the st eady-st at e rate equat i ons is
, , , , ,
"c~p \ V o z r , l-~ / ( J / J , h - 1), (7.12)
where n m is the t hreshol d el ect ron densi t y at which the gain in the active region
compensat es the r esonat or losses. The t hreshol d current densi t y Jth is given by
J t h = e o d n t h / ' r ~v " (7.13)
Fi gure 7.1 shows the experi ment al light out put vs cur r ent characteristics of t wo
different injection lasers. Laser 1 shows a linear slope above threshold. The
slope below t hreshol d results from the spont aneous elnission with a br oad
spectral distribution. The nonl i neari t y in curve 2 wilt be discussed later.
7. 3 Di rect Modul ati on of Injection Lasers
If a step cur r ent pulse of ampl i t ude I (the injection current 1 is given by the
pr oduct of the injection current densi t y J and the j unct i on area) is appl i ed to
t he laser, an initial del ay time t d passes until the onset of the laser oscillations
and t hen the coherent emission starts with rel axat i on oscillations in the out put
power [7.40, 41]. The t ransi ent sol ut i on of t he rate equat i ons has been given by
several aut hor s [7.27, 42-45].
Fi gure 7.2a shows the t ransi ent response of a monomode injection laser to a
step current pulse. We use the normal i zed el ect ron density z = n / n , , , the
normal i zed phot on number x = S r , r , / V n t h Z r , h and the normal i zed injection
current r / = l / I t h = J / J t h " The laser par amet er s are z~p/rp~, = 1 0 3, 1= 3,
C~=2 X 10 -5. The normal i zed step cur r ent pulse ampl i t ude is 11= 1.1. If a step
cur r ent pulse of ampl i t ude 1 is appl i ed t o an initially unbiased injection lascr,
the el ect ron density in the active l ayer increases. As long as n is well bel ow nth
no consi derabl e ampl i fi cat i on of the spont aneousl y emi t t ed phot ons takes
place. After the initial delay time [7.40, 41]
ta = z,p In [ I / ( I - Ith)] (7.14)
t he el ect ron density in t he active layer reaches its t hreshol d value and the
phot on number rises fast. As long as the phot on number is below its st at i onar y
value, the el ect ron densi t y furt her increases above n,w When S passes its
st at i onar y value, due to the rapi dl y increasing st i mul at ed r ecombi nat i on
processes, the el ect ron density qui ckl y decreases but the phot on number furt her
218 G. Arnold et al.
10
E
0~
T
o
o
2
100 200 300
l, Injection current [mA]
Fig. 7.1. Experimental light output vs cur-
rent characteristics for two different injection
lasers
F i g . 7.2a-c. Transient response of an in-
jection laser to a step current pulse for
different spont aneous emission contributions
0.8 1 a)
i 0 , L 0,2
04-0
x ~ ct = 2.10 -s
b)
o 8 1
U
t 0 , 2
0 0
c)
N Z ~=10 3
t o . t o 2 t
OJ-O
' ' 0 ~ r
0 5 t00 150
Fig. 7.2 -- t / ~
increases until n passes again n,,. The fast decrease of the electron density
cont i nues until the phot on number falls below its st at i onary value. If the
ampl i t ude of the first phot on spike is much higher t han the st at i onary phot on
number, a considerable decrease of n below n~h duri ng the decrease of the
light pulse takes place. Since the electron densi t y is slowly raised again the
phot on number may decrease by several orders of magni t ude until n has again
reached nth. Afterwards the whole process is repeated, but since the phot on
number in the considered mode now is higher t han at ~he beginning of the
process when n passed n,,, the phot on number reaches its equilibrium value at a
shorter time. Therefore the overshoot in the electron density and the following
Modulation of Laser Diodes 219
re"
W~
WLJJ
r r r y
~LU
LU
klJ
e_
212
tD
2ns
o)
5ns 2ns
b) C)
Fig. 7.3. Current pulse (upper trace) and corresponding light pulse (lower trace) ofa GaAs/GaAIAs
DHS stripe-geometry laser operated with double pulses with different pulse spacing (a) 2 ns,
(h) 5 ns, and (c) 2 ns with pulses of forward and reverse swings [7.48]
phot on number over s hoot are smal l er t han before. The process is repeat ed until
the st at i onar y st at e is reached.
For pulse modul at i on appl i cat i ons of injection lasers the del ay t i me can
easily be reduced by pr ebi asi ng t he l aser wi t h a dc c ur r e nt / o [7.44, 46]. When a
cur r ent pulse with ampl i t ude l p is super i mposed the del ay t i me is
t d = T~v I n [ I v / ( l P - I m + I o) ] .
(7.15)
I f the laser is biased up to t hreshol d, t d vanishes. I f the laser is unbi ased or
bi ased bel ow t hr eshol d and modul at ed with t wo subsequent pulses the del ay
t i me for the second pulse is reduced [7.40] since the el ect ron densi t y aft er the
first current pulse is hi gher t han before. In the case of di rect pulse code
modul at i on this woul d cause a pat t er n effect. Oz e k i and I t o suggest ed the
modul at i on of the injection laser by an addi t i onal compens at i on pulse before
each modul at i on pulse which is preceded by a logical zero [7.47]. Thi s
compens at i on pulse is t oo small to generat e a light pulse but raises the el ect ron
densi t y up to the same level as a f or egoi ng modul at i on pulse woul d have done.
Two si mi l ar met hods for pat t er n effect reduct i on have been shown by L e e and
De r o s i e r [7.48]. In the first case, the modul at i on pulse ampl i t ude is dependent
on whet her a modul at i on pulse preceded or not. In the second case the
modul at i on signal consists of doubl e pulses with a f or war d and a reverse swing
(Fig. 7.3). The first f or war d swing causes the light pulse, whereas the second
negat i ve swing r emoves the excess char ge in the act i ve region. For prebi asi ng
near t hr eshol d a pulse spaci ng of 2 ns is achi eved wi t hout pat t er n effect.
220 G. Arnold et al.
Wi t h increasing cont r i but i on of spont aneous emission into t he oscillating
modes, the dampi ng of the rel axat i on oscillations is raised since the initial
phot on number in t hat case is higher, the st at i onar y phot on number is reached
earlier and the over shoot consequent l y is smaller [7.43, 45, 49]. In the
mul t i mode case the relative cont r i but i on of spont aneous emission i nt o the
oscillating modes is pr opor t i onal to the number of oscillating modes when the
monomode cal cul at i on is t aken as represent at i ve for the phot on number in all
oscillating modes. Fi gure 7.2b, c shows cal cul at i ons of t he t ransi ent behavi or
wi t h ~ = 1 0 - 4 and c~=10 -3. Angerst ei n and Si emsen deduced from measure-
ment s on DHS st ri pe-geomet ry injection lasers ~ as high as 5 10 - 4 [7.39].
Values of 10 3 <: ~<1 0 - 2 fitted to measurement s on buried het er ost r uct ur e
lasers cannot be expl ai ned by such a st rong spont aneous emission [7.50]. Pulse
code modul at i on of injection lasers has been achieved up to mor e t han 2 Gbi t / s
[7. 51-56]. Figure 7.4 shows the direct modul at i on of an injection laser at
2.3 Gbi t / s. Fi gure 7.5 shows the result of a 280 Mbi t / s modul at i on experi ment
with a low mesa-stripe DHS injection laser [7.56]. When the laser is biased
below t hreshol d the light out put shows a st rong pat t ern effect. If the laser is
biased 5% above t hreshol d the pat t ern effect vanishes but the laser out put
exhibits a st rong ringing, since every modul at i on pulse causes rel axat i on
oscillations. We have seen t hat in the case of biasing below t hreshol d pat t er n
effects arise from the el ect ron density dependence on a precedi ng pulse. In the
case of biasing the laser above t hreshol d the optical out put pulse not onl y
depends on the initial electron densi t y in the active l ayer but also on the initial
phot on number in the oscillating modes. Dani el sen has suggested avoi di ng the
pat t ern effects in Gbi t / s PCM by biasing the laser appr oxi mat el y to t hreshol d
and giving the height and dur at i on of the appl i ed current pulses such values
t hat the laser onl y emits the first spike of the rel axat i on oscillations and the
el ect ron and phot on densities at t he end of the cur r ent pulse ret urn t o t hei r
initial values [7.57]. In many experiments, we have seen t hat in the case of pulse
code modul at i on above 250 Mbit/s, when the laser is biased near t hreshol d an
exact adj ust ment of the bias cur r ent and the modul at i on ampl i t ude is necessary.
This can be well expl ai ned by the 1,heory of Danielsen.
Sinusoidal modul at i on of injection lasers above t hreshol d is a powerful tool
for investigating the dynami c propert i es of injection lasers. Small-signal
analysis yields a resonance in the modul at i on dept hs vs modul at i on frequency
curve [7.27, 58 60]. If I~ is the compl ex modul at i on current anaplitude and S~
t he compl ex phot on number ampl i t ude, bot h at the angul ar frequency to, and if
the laser is biased to I 0 and S 0, respectively, we obt ai n by small-signal analysis
of the rate equat i ons (7.9, 10) for ~ = 0
11/lo
S , / S o = (l/z,pZph) e) 2 +j o o~1-- ~O 2 (7.16)
with
(D2/Tsp"f ph = l ( l / l t h - 1) (7.17)
Modulation of Laser Diodes 221
< 2
6' 1 >,
~a
1,25-"
1 . 0 0 '
J
i I I I I I I I r I I
, o , b o , ~ , o 6 , I ' , o o
i I I I i i I
0 I 2 3 4 5 6
TIME (ns)
- o )
Light
@ 1o=1,05 Ith
11=45mA
It =45mA
~ , [0 : O,g5 [ t h
I~ = 45mA
d)
2_SyLZ u n
L L I I k
2ns/div. Ith=2OOmA
Fig. 7.4. Direct modulation of an
injection laser at 2.3 Gbit/s
Fig. 7.5a~1. Direct modulation of
an injection laser at 280 Mbit/s and
different bias currents
and
f l ~ p = I ( l / l , h - 1) + 1. (7.18)
Small-signal calculations including the effect of spontaneous emission have
been performed by H a r t h and S i e m s e n [7.49]. Figure 7.6 shows the dependence
222 G. Arnold el al.
( z : 2 . I 0 ~ - % . , w . j I 0 - ~
1 0 l o l L / [ t
0 , 0 1 I I X X ~ . I
1 0 . 2 1 0 - 1 1 1 0
I . - LO ' ~ ' ~ ' ~ s
Fig. 7.6. Smal l -si gnal modul at i on dept hs
dependence on modul at i on frequency for
bi asi ng 10% ( cont i nuous curve) and 20%
(broken curve) above t hr eshol d for z ~ , /
z p h - l 0 B and di fferent :~
of modul at i on dept hs on the modul at i on frequency for biasing 10 and 20%,
respectively, above t hreshol d calculated from (7.9, 10) for l = 3 and e = 2 x 10- 5,
10 4, 10 B, 10-2. The last t wo values o r e are possible onl y in the case of many
excited modes. The results of the small-signal analysis suggest t hat a biasing of
the injection laser much above t hreshol d woul d be preferabl e for high-
frequency modul at i on. Unf or t unat el y, the laser t here exhibits i rregul ar pheno-
mena which we shall discuss in Sects. 7.5,6. Fur t her mor e, for opt i cal com-
muni cat i on appl i cat i ons a high dc light power level woul d also raise the shot
noise in t he receiver. The use of mul t i mode lasers with a hi gher e is in
cont r adi ct i on with the nar r ow bandwi dt h requi rement s for low fiber dispersion.
When the laser is modul at ed by large sinusoidal current s the resonance
frequency call be reduced consi derabl y and the light out put signal becomes
di st ort ed [7.61, 62]. With l = l and ~ = 0 in (7.9, 10) accordi ng t o [7.62] the
anal yt i cal expression for the time dependence of the phot on density is
So
S( t ) = ~ exp [a cos(sot + 0)], (7.19)
where i o(a) is the modified Bessel function of the first ki nd and of or der zero,
and a is an ampl i t ude fact or depicted in Fig. 7.7. At the large-signal resonance
frequency where a >> 1 from (7.19) a pulse-like shape of the optical out put signal
arises (Fig. 7.8). We emphasi ze t hat this st rong nonl i neari t y occurs al t hough a
compl et el y linear dc light out put vs current charact eri st i c is assumed. This
imposes restrictions on the appl i cat i on of ampl i t ude modul at i on for high
10
cl
Modul a t i on of Las er Di ode s 223
["~ Fi g. 7. 7. Ampl i t ude fact or a as a f unct i on of t he nor ma l -
I I I
5
4
~2
1
o L
0
#
2 r t
out
I
uJ/ uJ 0
I I " " ~ I
100
80
c"
-~
6o
c
. o
~ 40
o
~r
~
- - - - I 2o
3 ,rr 4~q
Fig. 7,8. Nor ma l i z e d phot on dens i t y as a f unc-
t i on of t i me I-7.62]
I ! [ m A t
10
~ 2 0
/ . 0
O L l t
0 , 9 1.0 1.1 1.2
10/ l ~h
F i g . 7 . 9 . M o d u l a t i o n d e p t h as a f u n c t i o n o f
t he bi as c ur r e nt 1~ for 280 MHz si nusoi da]
mo d u l a t i o n at di fferent mo d u l a t i o n ampl i -
t udes It
bandwi dt h fiber communi cat i on systems. The ampl i t ude fact or a has a
maxi mum at t hreshol d for which it yields a maxi mum modul at i on depth. Our
experi ment al investigations of t he large-signal modul at i on dept h as a funct i on
of the normal i zed bias current l o/ l t h confi rm these t heoret i cal results (Fig. 7.9).
By generat i ng spikes with a small sinusoidal cur r ent at t he modul at i on
resonance frequency and removi ng one or mor e light pulses by a shor t l oweri ng
of t he bias, S c h i c k e t a n z has demonst r at ed pulse code modul at i on at 650 Mbi t / s
[7.54]. Fur t her investigations of the nonl i near rate equat i ons have shown t hat
by modul at i on at the doubl e r esonance frequency also subhar moni cs can be
excited [7.63] and the small-signal modul at i on sensitivity can be increased by
an addi t i onal large sinusoidal modul at i on cur r ent [7.64, 65].
224 G. A r n o l d e t al.
Z n - d i f f u s i o n
o x i d e Z n - d 4 f u s i o n ~ mp l o n t e d r e g i o n s Z n - d d l u s i o n
.................. p : G u A I As " . . . . . . . . . . . . . p - G a A t A s ~ p - G a A I A s " \ . . . . . .................... " ~ - - ' ~ . ? . ?.C,a.~,.I A s
n - Go A l A s n - Go A l As n - Go A l A s n - Go A I A s
n ~ Go A s n - G a A s n G a A s n - G o A s
e l b) c ) d l
Zn - d i f l u s ~ o n Z n - d i f f u s i o n
~ a A t A s p-GoAIAs . ~ z ~ p_C, aAta s ;/,J//,J)J//,.~>A P - ~xtlx
n - G o A I A s ............ ~ / ; ) . . . . G A I A s ~ _ . _ ~ n G o A t A s / ........... n - S a A I A s
n - O o A I A s
n - G o A I A s n - G o A s n - O a A s n - Ga A s
el fl g l h l
~- a c t i v e f o y e r
Fi g. 7. 10a h. Se ve r a l l a s e r s t r u c t u r e s . {a) Ox i d e - s t r i p e l a s e r ; (b) Di f f u s e d - s t r i p e l a s e r ; (c) P r o t o n -
i mp l a n t e d l a s e r : (d) V- g r o o v e l a s e r ; (e) L o w- me s a - s t r i p e l a s e r ; (f) C h a n n e l l e d - s u b s t r a t e - p l a n a r
( CSP) l a s e r ; (g) B u r i e d - h c t e r o s t r u c t u r e ( BH) l a s e r ; (h) T r a n s v c r s e - i u n c t i o n - s t r i p e ( TJ S) l a s e r
7. 4 Modul at i on Behavi or of Speci f i c Laser St ruct ures
111 the preceding section, the modul at i on behavior of injection lasers has been
discussed in general wi t hout referring to special laser structures. In recent years
a large number of proposals for specific laser structures has been made. We
shall now direct our at t ent i on to the correlations between geomet ry and the
dynami c properties of injection lasers.
Some of these structures are shown in Fig. 7.10. It is convenient to relate the
large variety of laser structures to the following subgroups which differ mai nl y
in the mode-gui di ng mechanism and the mode vol ume of the lasing modes:
i) Injection lasers with no built-in index waveguide. The lasing mode in
these lasers is guided only by the gain profile due to the current injection from
the stripe contact. Especially the oxide-stripe laser (Fig. 7.10a), the diffused-
stripe laser (Fig. 7.10b) with shallow diffusion, the prot on-i mpl ant ed laser (Fig.
7.10c) and the V-groove laser [--7.66] (Fig. 7.10d) belong to t hat group. The gain-
guiding mechani sm also predomi nat es in the low-mesa-stripe laser [7.67] (Fig.
7.10e), as long as a broad mesa structure with a stripe width in excess of about
15 lam is used.
ii) Injection lasers with a built-in index waveguide. Improved laser charac-
teristics are expected if the lasing mode is guided by a stable built-in waveguide.
In order to have efficient waygui di ng the built-in waveguide should be
sufficiently narrow so t hat a gain-guided mode with self-focusing properties
[7.68] cannot develop. The CSP laser [--7.693 (Fig. 7.100 and the diffused-stripe
Modulation of Laser Diodes 225
laser with deep diffusion [7.70] are examples, bel ongi ng to the second group. In
addi t i on, the bur i ed- het er ost r uct ur e (BH) laser [7.71] (Fig. 7.10g) also exhibits
a stable built-in waveguide.
iii) Lasers with very small t ransverse di mensi ons of the active layer.
Exampl es of this third gr oup are represent ed by t he BH laser as ment i oned
above and by the t ransverse-j unct i on-st ri pe laser [7.72] (Fig. 7.10h).
The laser groups ment i oned above differ in their modul at i on behavior.
These differences are i nt r oduced on t he one hand by t he different rat i os ~ of t he
spont aneous emission i nt o the lasing modes, as discussed in t he precedi ng
section. On the ot her hand, diffusion processes within the active l ayer and
dynami c i nt eract i ons with hi gher or der modes also play an i mpor t ant role in
the modul at i on behavi or [7.30, 73, 74].
Let us begin the discussion by consi deri ng pl anar-st ri pe lasers accordi ng to
the laser subgr oup (i). Since the wavegui de for the lasing modes is accompl i shed
here mai nl y by the gain di st ri but i on as i nt r oduced by the injected carriers, any
dynami c change of the carri er di st ri but i on also i nt roduces a change in the
wavegui di ng properties. An accurat e descri pt i on of the modul at i on behavi or of
pl anar-st ri pe lasers t herefore requires numeri cal cal cul at i ons [7.73].
If t he wi dt h of the injected carriers in such lasers exceeds the width of the
fundament al mode field, def or mat i ons of the spatial gain profile (hole burning)
may occur so t hat event ual l y a fi rst -order mode is creat ed duri ng the
modul at i on. An exampl e of t hat kind will be discussed in the next section.
I mpr oved modul at i on characteristics are t herefore obt ai ned, if t ransverse
spatial hol e burni ng is avoi ded. This can be done by lowering the stripe wi dt h
of lasers down to the or der of 2 to 3 lain [7.75]. Such a small stripe width can
also be easily achieved when using the V-groove st ruct ure [7.66] accor di ng to
Fig. 7.10d. The wi dt h of the fundament al lasing mode is then ira t he same or der
as the width of the injected current or even larger. Ther ef or e hol e- bur ni ng
effects are less pr obabl e to occur. In addi t i on, the diffusion length comes into
the same or der of magni t ude as t he modal width. Diffusion effects then yield a
reduct i on of t he rel axat i on oscillations as cal cul at ed in [7.74]. Experi ment al l y,
very nar r ow stripe lasers t herefore show no rel axat i on oscillations [7.75],
which is also caused by the larger value of t he spont aneous emission coefficient
due to the small active vol ume accor di ng to (7.7).
Diffusion processes yield a significant reduct i on of rel axat i on oscillations
for lasers of the subgr oup (ii) if the width of the built-in wavegui de is in the
or der of the diffusion length or even smaller. A reduct i on of rel axat i on
oscillations especially occurs if the t ransverse cur r ent injection ext ends beyond
the built-in wavegui de since t hen carriers from out si de may diffuse into the
region of the oscillating mode yielding a reduct i on of rel axat i on oscillations
[7.73]. Such a behavi or has been t heoret i cal l y cal cul at ed and is found t o be in
good agreement with experi ment al observat i ons on CSP lasers [7.73].
In t he laser subgr oup (iii) the t ransverse wi dt h of t he active l ayer is reduced
down to ! to 21am. For the case of lateral carri er confi nement and an active
l ayer wi dt h consi derabl y smaller t han the diffusion length, the shape of the gain
226 G. Arnold et al.
a)
/
799 800 801 802
X[ nml
799 800 801 802
;~ [ a m ]
Fig. 7. 11a, b. Emi s s i on s pe c t r um of a l ow- mes a-
st r i pe Ga As DHS i nj ect i on l aser 3 % a bove t hr es hol d
{a) a nd cl ose to t hr e s hol d (b)
profile is onl y weakl y influenced by diffusion processes. Suematsu et al. [7.74],
and Chinone et al. [7.73] have cal cul at ed t hat , t herefore, no significant
di ffusi on-i nduced reduct i on of the r esonance peak of the r el axat i on osci l l at i ons
occurs in this case. The case of lateral carri er conf i nement in connect i on wi t h
low st ri pe wi dt h is realized by the BH laser [7.71]. Due t o the small vol ume V
of the act i ve l ayer (7.7) yields a large s pont aneous emi ssi on coefficient yielding a
st r onger reduct i on of the rel axat i on oscillations. A nearl y flat frequency
response for frequencies up to 2 GHz has been r epor t ed for BH lasers [7.71].
TJS lasers have al so a small vol ume of the act i ve l ayer but differ f r om the BH
laser in t hat the carri ers are not strictly confined. TJS lasers w.ere shown to
exhi bi t onl y a small pat t er n effect when modul at ed with a 400 Mbi t / s PCM
signal [-7.76].
7. 5 Effect of Modulation on Spectrum and Near Field
The dc spect ral [7.10, 13, 35, 77] and near field [7.13, 78-80] behavi or of
injection lasers have been widely discussed. We have i nvest i gat ed the influence
of modul at i on on the emi ssi on pr oper t i es of injection lasers. Far bel ow
t hreshol d, injection lasers exhibit a br oad s pont aneous emi ssi on spect r um
( appr oxi mat el y 300 ~) which is nar r owed wi t h i ncreasi ng , , urrent and exhi bi t s a
mode st r uct ur e at and above t hreshol d (Fig. 7.11). The laser can oscillate in a
single o1" in a number of t r ansver se modes and al so in one or mor e filaments.
Modulation of Laser Diodes 227
The t endency to mor e filaments or to hi gher-order transverse modes increases
with the stripe wi dt h of the active region and with the pumpi ng above
threshold. The latter increase is due to t ransverse spatial hole bur ni ng I-7.30].
Each filament or t ransverse mode exhibits a l ongi t udi nal mode group. Since the
gain spect rum of injection lasers has a br oad maxi mum, also very small
l ongi t udi nal hol e burni ng shoul d yield a number of l ongi t udi nal modes within
the same transverse mode family. The envel opes of the l ongi t udi nal mode
gr oups can be different in wavel engt h and intensity of the maxi mum. For the
l ongi t udi nal modes the wavelength separat i on A2 of adj acent modes can be
calculated from [7.35]
A2 - )2 (7.20)
2 L n l "
For a typical laser length of 200-400 lain the l ongi t udi nal modes are separat ed
by 1.5-3/~. The t ransverse modes al ong the j unct i on plane, however, have a
separat i on in the or der of 0.1/~ I-7.10]. The spectral posi t i on of these lasing
modes is very sensitive to t emper at ur e changes owi ng to t wo effects [7.13]. First,
the band gap of a semi conduct or decreases with increasing t emperat ure. As a
result the wavelength of the laser emission increases with t emperat ure. This
t emper at ur e coefficient is appr oxi mat el y 2.5/~/K. The wavel engt h of an
individual spectral mode has a t emper at ur e coefficient of appr oxi mat el y
0.4 A/ K because of the t emper at ur e dependence of the refractive index of the
semi conduct or [7.81]. To observe nar r ow spectral lines a careful t emper at ur e
cont r ol of the laser is necessary. The t emper at ur e effects can influence the
emission spect rum if the t emper at ur e of the j unct i on region of the laser is
increased in the course of the modul at i on pulse durat i on.
Many st ri pe-geomet ry DHS GaAs / GaAI As lasers show nonlinearities - the
so-called kinks in the light out put vs cur r ent charact eri st i cs [7.80, 82, 83].
Laser 2 in Fig. 7.1 shows a typical kink in the light out put charact eri st i c of a
l ow-mesa-st ri pe DHS injection laser with stripe wi dt h 25 gin. It has been found
t hat these kinks are associated with fi l ament ary st ruct ures of the near-field
intensity di st ri but i on parallel to the j unct i on plane, spatial movement of the
filaments within the stripe width, and excessive spectral br oadeni ng of the
emission spect rum. Mor eover , t he l ocat i on and char act er of the kinks can
change duri ng l ongt i me oper at i on of lasers. Recently, Di x o n et al. [7.83]
r epor t ed an i mproved linear light out put vs cur r ent charact eri st i c by reduci ng
the excited stripe width of the active region of the DHS GaAIAs lasers below
101.tm, whereas al most all lasers with a stripe wi dt h rangi ng from 10- 20gi n
show kinks [7.84]. In nar r ow stripe lasers the ki nks move to a hi gher current
range and may occur again at higher light out put power.
Experi ment al and t heoret i cal investigations show t hat hi gh-frequency
di rect modul at i on causes an intensity decrease of domi nant modes while the
number of nei ghbori ng l ongi t udi nal modes is increased. Consequent l y, the
spectral envel ope is br oadened [7.85 88]. When t he injection cur r ent is
2 2 8 G. A r n o l d e t a l .
0.8
0.7
0,6
i 0.5
0/ ,
0.3
0 2
03
0
I iif ~ \
" ~ ~ / ~\ I
I / ~
% \1
I I t , , I
. . . . . . . . . . . . . . . . . I I I I I I ' , / , , /
" / / / / ' / i
I 0 20 30 40
I h t "z' V "~ s p ' ~ p h '
5
0
F i g . 7 . 1 2 . R e s p o n s e t o a m o d u l a t i o n w i t h r e c t a n g u l a r c u r r e n l p u l s e s : ( . . . . ) i n j e c t i o n c u r r e n t ;
( ) p h o t o n d e u s i t y ; ( ) s p e c t r a l h a l f w i d t h
modul at ed, the electron density also oscillates with the modul at i on frequency.
The electron density modul at i on ampl i t ude increases with the modul at i on
current ampl i t ude and also with the rnodulation frequency. If the electron
density oscillates there are periods when modes with a higher threshold
electron density may have a net gain and the number of oscillating modes is
increased.
Figure 7.12 shows a theoretical calculation of the phot on response and the
t emporal development of the spectral emission halfwidth by use of the
mul t i mode rate equations, if the laser is operat ed with rectangular pulses which
change the injection current from 3.5% above threshold to 403, above
threshold [7.88]. The spectral halfwidth A is normalized with respect to the
mode spacing A2. Though the st at i onary spectral width in this specific example
at 3.53, above threshold is onl y A= 1.6A2 and decreases with increasing
current, the spectral width duri ng modul at i on becomes much broader. The
spectral broadeni ng j ust occurs duri ng the time interval of small phot on
density. As soon as the phot on density increases the spectral width decreases
onl y slowly so t hat a relatively broad spectrum is mai nt ai ned duri ng the light
pulses.
Modulation of Laser Diodes 229
Figure 7.13 shows the effect of 300 Mbi t / s pulse code modul at i on on the
emission spectrum of a GaAs low-mesa-stripe DHS injection laser. The quasi
single-mode emission of the laser wi t hout modul at i on changes with increasing
modul at i on current to a mul t i mode emission. Besides the increase of the
number of l ongi t udi nal modes, a new mode family appears.
For the i nt erpret at i on of the spectral change, the modul at i on influenced
emission spectrum has been investigated spatially and time resolved. Figure
7.14a shows the integral intensity di st ri but i on of the near field al ong the
j unct i on plane and Fig. 7.14b the correspondi ng monochr omat i c near-field
distributions of neighboring modes belonging to different longitudinal mode
families. The near-field distribution A belongs to the fundament al transverse
mode and the intensity di st ri but i on B/C exhibits the first-order transverse
mode. The spatially resolved emission spectra at the near-field positions A, B,
and C are shown in Fig. 7.15 t oget her with the integral emission spectrum. As
can be seen, the fundament al transverse mode (A) yields a quasi single-mode
emission spectrum which is essentially the same as the spectrum wi t hout
modul at i on (Fig. 7.13). At the positions B and C of the first-order transverse
mode an identical spectrum is measured, but it is different from the spectrum at
position A. The peak wavelength is 4.5/~ shorter t han in the spectrum of the
fundament al transverse mode. The lower wavelength for the first-order mode is
in agreement with the measurement s of Buus et al. [7.30] and in cont radi ct i on
to their theoretical considerations. The wavelength shift can probabl y bc
explained by higher bandfilling caused by the modul at i on current pulses.
In order to investigate the dynami c behavi or of the emission of the
modul at ed laser, the time resolved light pulses have been measured. In Fig. 7.16
the light pulses of the five figures "1" of the word 1000110001111100 at
300 Mbit/s are shown for the same modul at i on condi t i ons as for the spatially
resolved spectra. Besides the light pulses for the overall intensity di st ri but i on
also the light pulses for the fundament al (A) and first-order (B, C) transverse
modes are measured. The light pulses show spikes caused by relaxation
oscillations. The first spike of the relaxation oscillations is lasing in the
fundament al mode (A) in agreement with the results of [7.30]. The first-order
transverse mode (B,C) is excited later, as can be seen from Fig. 7.16.
Measurement s of the time resolved spectra have yielded essentially the quasi
single-mode emission spectrum of Fig. 7.13 in the first spike of the light pulse
and the modul at i on induced spect rum with the short er peak wavelength
exhibited by the first-order mode is observed in the following spikes of the light
pulse. The results of these investigations show t hat for certain modul at i on
condi t i ons it may be possible to retain the emission spectrum unchanged in
spite of direct modul at i on of the laser, provided t hat the modul at i ou pulses are
very short or the light pulse is suppressed after the first spike of the relaxation
oscillation. By appropri at e choice of pulse ampl i t ude and durat i on direct
Gbi t / s modul at i on free of pattern effects and spectral broadeni ng is possible
[7.89, 90]. However, the need of an accurat e bias and pulse ampl i t ude control
would complicate technical applications of this method.
2 3 0 G. Arm)ld e l a l .
J
c
<:;
[ s j ! u n q J D ] /~)~ISUO:IU 4
co
~. ~ . ~ _ ~ ~
o o
~ N
Z ~ ~ o
. ~
~ . ~ ~
. ~
.~_~ .= ~
E
J
I
[ S ~ l U rl ~ J D J ~ ! q J D
~ 1 1 5 u a l u l 4
<
o o
~ o
c - .
o
~
~ j j ~
. - = =
~

2ns/ di v
Modulation of Laser Diodes 231

Fig. 7.16. Time resolved light outpul of the laser
operated as in Fig. 7.14. Light pulses of the five "'1"" of
lhe word 1000110001111100. @ Light pulses in tile
fundamental transverse mode, and @, light pulses
in the first-order mode
2
t . . . . . . . .
Fig. 7.17. Double section injection laser
7.6 Self-Pulsing Phenomena
F r o m (7.17, 18) can be seen t hat t he mo d u l a t i o n b a n d wi d t h of i nj ect i on l asers
i ncr eases wi t h bi as level. Unf or t una t e l y, i nj ect i on l asers t end t o exhi bi t
s t a t i ona r y sel f - pul sat i ons when t hey ar e dc bi ased t o mo r e t ha n a few per cent
a b o v e t hr es hol d [7. 85, 91, 93, 95]. The f r equency of t hese sel f - pul sat i ons has a
r ange f r om 0.1 t o a few GHz a,~d coi nci des wi t h t he mo d u l a t i o n r es onance
f r equency f or si nusoi dal modul a t i on. As t he mo d u l a t i o n dept hs can t ake val ues
up t o 80% [ 7. 96] , t hi s effect is a severe l i mi t at i on for hi gh- f r equency di r ect
mo d u l a t i o n of i nj ect i on lasers. Several t heor et i cal model s have been
pr opos e d f or a physi cal unde r s t a ndi ng of t he sel f - pul sat i ons.
B a s o v et al. [7.91, 97] s uppos e d spat i al i nhomoge ne i t i e s t o be t he r eas on f or
t he sel f - pul sat i ons. The i nfl uence of spat i al i nhomogenei t i es oil t he l aser
dyna mi c s has been t r eat ed by tile si mpl e t heor et i cal mode l of a l aser di vi ded
i nt o Sects. 1 and 2 (Fig. 7.17). The gai n in t he t wo sect i ons can be cont r ol l ed
232 G. Arnold el al.
separately by the injection currents 1~ and I z. Both active regions are within the
same Fabr y- Per oI resonator. To achieve laser action it is sufficient t hat onl y
one of the sections exhibits optical gain. In the diode which is onl y biased in the
Iossy region a phot on field in the r esonat or raises the electron level, whereas in
the diode, which exhibits optical gain, the electron density is lowered by a
phot on field. Now if the absorbing section saturates faster t han the amplifying
one, there exists a region of phot on number where the net optical amplification
in the Fabr y- Per ot resonat or increases with the phot on number and the
steady-state solution of the laser rate equat i ons becomes unstable.
Ifr~t a and r~, 2 are the stimulated emission coefficients in Sects. 1 and 2, and 7
is the ratio of the volume of Sect. 2 to t hat of Sect. 1, the condi t i on of instability
is
~ # ' s l 1 ~ . 0r s t 2
,.,,, + < o .
(7.21)
By this model possible pulsations can be explained in all laser structures where
the phot on field can couple to lasing semi conduct or regions with a band gap
smaller t han the phot on energy.
Kobayashi has shown experimentally and theoretically t hat st at i onary
pulsations can arise when two parallel lasers are optically coupled I-7.98]. In the
same way, self-pulsations could also be caused by the coupling of two filaments
or two mode groups with different lransverse mode structures. The t heory of
Kobayashi is on the basis of the rate equat i ons and includes no mode locking
phenomena, where the pulsation frequency is related to the difference of
oscillating frequencies of interacting modes. Or di nar y mode locking would
yield spiking frequencies in the order of 101 ~ Hz. Therefore second-order mode
locking has been proposed for injection lasers [7.85, 92, 99]. Al t hough [7.100]
brings experimental evidence for second-order mode locking, the measured
pulsation behavi or of lasers with a narrow emission spectrum [7.94] can rat her
be explained by the t heory of Basov. We think t hat the Q switching, proposed
by Basov is the main reason for spont aneous self-pulsing phenomena. These
phenomena are surely influenced and possibly also enhanced by mode or
filament interactions.
We have measured the microwave spectrum of the st at i onary optical out put
pulsations of dc operat ed low-mesa-stripe geometry DHSGa As injection
lasers. Figure 7.18 shows the typical decrease of the rf bandwi dt h of the out put
pulsations and the increase of the pulsation frequency and ampl i t ude with
increasing injection current. Generally we observed t hat an abrupt change in
the self-pulsation frequency is always accompani ed by a change in the
filamentary structure of the near-field intensity di st ri but i on [7.95].
An emission spectrum wi t hout and with (Fig. 7.19) self-pulsations is shown
for the same laser at different injection levels. Self-pulsations cause a broaden-
ing of the spectral envelope of the longitudinal modes and also a broadeni ng of
Modul at i on of Laser Di odes 233
b)
o)
"7 1,C
z
0.5
1.0
>, ,
u l
_c
T
/
1 ~ 1 ~ o 1 ; 5 / , o , , , h
. ~ / ~ . . . "~. 1,13
A 1.0g
/ \ , - __ ,oo,
~ ~ 1.0 3
0,5 1
- - ~ f l O H z l
Fig. 7.18. (a) Fr equency s pect r um of t he
sel f-pul sat i ons of a cw oper at ed low-
mesa- st r i pe GaAs / GaAI As laser for dif-
ferent i nj ect i on cur r ent s; (b) fl uct uat i on
frequency as a funct i on of t he nor mal i zed
i nj ect i on cur r ent l o / I , h
c
o
35
c
806 808
i o)
810 806
P- X [nm]
808 810
Fi g. 7 . 1 9 a , b. Longi t udi nal - mode
spect r a of a cw oper at ed l ow-mesa-
st ri pe GaAs/ GaA1As laser: (a) laser
oper at i on wi t hout sel f-pul sat i ons (1 o
=2 1 4 mA) ; (b) laser oper at i on wi t h
sel f-pul sat i ons (Io = 283 mA)
234 G. Arnold et al .
the individual modes as can be obvi ousl y seen from tile intersections in Fig.
7.19. The linewidth widens by a fact or of two.
The br oadeni ng of the spectral lines can be expl ai ned in the following way.
Tile self-pulsations cause an oscillation of the el ect ron density and t herewi t h
also an oscillation of the refractive index in the active region and a cor r espond-
ing oscillation in the wavelength shift. In the time averaged measur ement this
effect shows a spectral broadeni ng. In spont aneousl y pulsating injection lasers
the spectral br oadeni ng of the emission spect rum is tile same as in the case of
direct modul at ed injection lasers.
A significant correl at i on between the occurrence of nonlinearities in the
light out put vs cur r ent characteristics (so-called kinks) and the repetitive self-
pul sat i on has also been observed [7.95]. A typical exampl e of t hat ki nd is
shown in Fig. 7.20. Figure 7.20a shows the light out put vs current charact eri st i c
of a laser, where the self-pulsations (Fig. 7.20b) j ust occur at the onset of the
"ki nks" (shaded areas in Fig. 7.20a). It is i nt erest i ng to consi der t he related
near-field di st ri but i on (Fig. 7.21). As l ong as the near field shifts to the right
boundar y a self-pulsation occurs. For larger current s the near-field shift stops
and tile stabilized near field also yields a nonpul si ng light out put .
Experi ment s of t hat kind suggest t hat the repetitive self-pulsations are
related to the t ransverse near-field movement i nt o possibly absor bi ng regions.
Ther ef or e the most pr obabl e expl anat i on for these self-pulsations is a repetitive
Q-switching process i nduced by sat urabl e absor bi ng regions, as ment i oned
above.
7.7 Coupled Laser Structures
Opt i cal l y coupl ed injection lasers exhibit very interesting modul at i on and
spectral properties. Dependi ng on the st rengt h of coupl i ng quite different effects
can be observed.
St r ong optical coupl i ng is achieved when bot h laser systems are within the
same Bragg r esonat or or very close by aligned end to end [7.21, 97, 101]. We
have discussed such a system ill the precedi ng section. For i nhomogeneous
exci t at i on there also exist points of oper at i on where such j unct i ons exhibit a
bistable switching behavi or. Appl i cat i ons can be seen for pulse shapi ng and
opt oel ect r oni c logic AND gates.
Anot her promi si ng appl i cat i on of opt i cal l y coupl ed injection lasers is to
i mprove the modul at i on performance of injection lasers. It has been shown
t heoret i cal l y and experimentally, t hat the modul at i on bandwi dt h of an in-
j ect i on laser can be increased by i nj ect i on of a coher ent light signal i nt o one
of its oscillating modes [7. 102-109]. In sect i on 7.3, we have shown t hat a
high initial phot on number in the oscillating modes causes a st rong reduct i on
of the rel axat i on oscillations. By injection of a coher ent light signal into one
oscillating mode of an injection laser, this st rong reduct i on occurs wi t hout
6,0
~,,0
~t [rnW]
2,0-

2,0
1,5
T I , O -
flGHzl
05-
I
/
/ , ! /
1 J /
/ : " i
I
[ [ r e A l -
I i I :
' ~
I I
I
] [ m A }
F i g . 7 . 2 ( l a , b . L i g h t o u t p u t v s c u r r e n t , a n d m i c r o -
wave f r equency vs cur r ent char act er i s t i c of a
pr ot on- i mpl a nt e d l aser
Modulation of Laser Diodes 235
~ N e o r f i e [ d I lp n
1 / A X , .
z 6 s J / / / \ \~.__
z s 0 ~ / / X~_ -
21s ~ / A ~- - -
2 0 0 - - - '- L ' ~ t
F i g . 7 . 2 1 . N e a r - f i e l d d i s t r i b u t i o n a l o n g
t he j unc t i on pl ane
mul t i mode operation. Figure 7.22 shows the experimentally observed optical
response of an injection laser to a step current pulse [7.108]. The comput er
si mul at i on of a 2 Gbi t / s direct pulse code modul at i on of a mul t i mode injection
laser has shown t hat by coherent light injection not onl y the pattern effects are
el i mi nat ed but also the noni rradi at ed modes are suppressed [7.104] (Fig. 7.23).
The suppression of the noni rradi at ed modes results from the reduction of the
electron density and the associated gain caused by the light injection.
Practically, coherent light injection at the center wavelength of a mode is
impossible and there is always a det uni ng between the wavelength of the
injected radi at i on and the wavelength of the free-running laser mode. The
locking range for synchroni zat i on to the wavelength of the injected radi at i on is
proport i onal to the ampl i t ude ratio of injected radi at i on and radi at i on
produced in the laser and inversely proport i onal to the laser length
[7.107 109]. For an ampl i t ude ratio of 10 -2 a locking range of more t han 0.1 A
can be achieved [7.108, 109]. If two lasers with different l ongi t udi nal mode
spacing are coupled, by appropri at e choice of the laser paramet ers there always
exists one or more pairs of modes with sufficiently close wavelengths to insure
locking [7.107, 110].
Figure 7.24 shows the small-signal modul at i on depths vs modul at i ol l
frequency characteristics with and wi t hout coherent light injection [7.109]. The
236 G. Arnold e t al.
a
I----4
ins
Fi g. 7. 22a, b. Re s p o n s e o f a n i n j e c t i o n l a s e r
t o a s t e p c u r r e n t p u l s e wi t h a n a mp l i t u d e
a p p r o x i ma t e l y 3% a b o v e t h r e s h o l d wi t h -
o u t (a) a n d wi t h (b) c o h e r e n t l i ght i n j e c t i o n
2
0
without irradiation
$1
l 0/.
0
I 0.2
$2,2LIS~ wilh i rradi al i on
0
t [ n s l
Fi g. 7. 23. N o r ma l i z e d p h o t o n n u m b e r s xi=Siz~p /
Vn,Jph a n d n o r ma l i z e d mo d u l a t i o n c u r r e n t q = I /
l,h a s a f u n c t i o n o f t i me wi t h o u t a n d wi t h c o h e r e n t
l i ght i n j e c t i o n
calculations with coherent light injection have been performed for different
detuning A2 between the wavelength of the injected radiation and the free-
running wavelength of the laser mode. When the detuning is smaller than the
locking range, the resonance in the modulation characteristics vanishes. Figure
7.25 shows the large-signal response to a step pulse which changes I / I t h from 0.9
to 1.1 at the time t =0 [7.109]. With light injection the response is strongly
damped within the whole locking range and exhibits no spiking response. For a
detuning larger than the stationary locking range the frequency locking breaks
down and the laser produces strong spiking oscillations. The frequency of these
spiking oscillations is identical with the difference between the frequencies of
the free-running mode and the incident radiation. This oscillation, induced by
coherent light injection has also been experimentally observed I-7.111].
7.8 Outlook
Although stripe-geometry DHS GaAs injection lasers under certain experimen-
tal conditions can be modulated up into the GHz region there are still problems
I 0
T
0,1
0.01 I
I 0 2
~ w ith o u l
. / ~ irradiation
~ ~ A X / A X ~ o ~ = 0
~ ~ ~Wo.6
0.8
i i
I 0 q 1 10
mB W I W 0
Mo d u l a t i o n o f La s e r Di o d e s 237
Fi g. 7. 24. S ma l l - s i g n a l m o d u l a t i o n d e p t h s vs
mo d u h l t i o n f r e q u e n c y c h a r a c t e r i s t i c wi t h a n d
wi t h o u t c o h e r e n t i r r a d i a t i o n f or di f f e r e nt
r a l i o s o f t h e wa v e l e n g t h d e t u n i n g r a n g e A2
t o t h e wa v e l e n g t h l o c k i n g r a n g e A2 . . . . ( z ~ o /
"r,,i, - - 10 3, 1 = 3 , I / o = I . l )
Fi g. 7. 25. La r g e - s i g n a l r e s p o n s e l o a s l e p
c u r r e n t pul s e wi t h c o h e r e n t i r r a d i a t i o n , f2 is
t h e a n g u l a r f r e q u e n c y di f f e r e nc e b e t we e n t h e
f r cc r ui a ni ng mo d e a n d t h e i n j e c t i o n r a d i a t i o n .
T h e l i g h t i n j e c t i o n i n t e n s i t y c o r r e s p o n d s t o a
m a x i m u m l o c k i n g r a n g e Oz o l , =0 . 0 5 (Z~r,/
Tph - - l 0 3, l - - 3)
0 . 1 5
i 0.1
0,05
0 i'o 2 ; 3'o 4'o 5'o 6 o 7 6 8 ; ; o ~do
~+ t / ~ "cnh "c+~
to be solved for practical application. The self-pulsations can possibly be
eliminated when laser structures can be developed where the optical field does
not reach into absorbing regions with a band gap smaller than the photon
energy.
Since the multimode emission structure is caused by spatial hole burning
and the hole burning is intensified by a low minority carrier mobility, undoped
active layers with a very good crystal perfection should be used. Another
possibility to obtain a stable longitudinal single-mode output is the distributed
feedback injection laser [7.112].
Theoretical investigations yield for distributed feedback injection lasers the
same modulation behavior as for Fabry-Perot type monomode lasers [7.113].
Single longitudinal mode emission has also been reported for transverse-
junction-stripe lasers [7.114, 72].
238 G. Arnold et al.
Coher ent light injection will result in a consi derabl e i mpr ovement in the
hi gh-frequency modul at i on behavi or. Possibly tile fut ure devel opment in
i nt egrat ed optics [7.115] will make monol i t hi c i nt egrat ed coupl ed laser struc-
tures feasible for technical applications.
Injection lasers which show a stable fundament al mode lasing oper at i on are
becomi ng mor e and mor e at t ract i ve as anal ogue t ransmi t t ers in opt i cal
communi cat i on systems. Lasers exhibiting a good linearity between the light
out put and the injection current exhi bi t onl y little hi gher-order har moni c
di st ort i on. BH lasers (see Fig. 7.10g) show a second- or der har moni c di st or t i on
of as low as about - 5 0 dB, as r epor t ed in [7.116]. St r i pe- geomet r y lasers
with very nar r ow stripes as, for exampl e, t he V-groove laser (Fig. 7.10d) may
also exhi bi t low har moni c di st ort i ons. In our l abor at or y, pr el i mi nar y mea-
surement s showed a second- or der di st or t i on of - 5 0 d B with a modul at i on
of 1 mW peak- t o- power light power, coupl ed into a fiber, for modul at i on
frequencies up to about 100 MHz.
Today Ga As DHS injection lasers with stripe geomet r y are tile most
devel oped fiber optical transmitters. Increasing effort is under t aken in devel op-
ment of laser materials emitting at wavel engt hs ar ound 1.2 to 1.3 gm since the
fiber mat eri al dispersion vanishes t here [7.117] (see Chap. 2). In this case, the
spectral emission ba ndwi dt h of the laser does influence the t ransmi ssi on
bandwi dt h of the optical fiber channel s onl y by a second- or der effect [7.118].
With l nP/ Gal nAs P injection lasers of 1.1 t o 1. 3pm emission wavel engt h cw
lifetimes of 3500hrs have been report ed [-7.14, 15].
Acknowledgment. The a ut hor s ar e i ndebt ed t o F.-J. Berlec for as s i s t ance in per f or mi ng t he
me a s u r e me n t s and to H. Go t l s ma n n , C. W/51k, and P. Mar s chal l for t he f abr i cat i on of t he l asers
i nvest i gat ed. Thi s wor k has been s pons or e d by t he " Bunde s mi ni s t e r i um fiir Fo r s c h u n g und
Technol ogi e". The a ut hor s al one ar e r esponsi bl e for t he c ont e nl of t he paper.
List of Symbols
6/
C
d
D
D.
~o
Ei
f
g
h
I
[ t h
Ampl i t ude fact or
Velocity of light in vacuum
Thi ckness of active layer
Diffusion const ant [cm z s- 1 ]
El ect ron diffusion const ant [cm 2 s - 1]
Absolute el ect ron charge
Phot on energy of ith mode
Fr equency of self-pulsation
Gai n of lasing mode
Pl anck' s const ant
Injection cur r ent
Thr eshol d injection current
Modulation of Laser Diodes 239
I o
I
,A3
lo(a)
d
dth
k
L
L~
11
~t
PL
I ' s p
/ ' s t
R i
R s p
S
SI
t
t d
T
V
X
Z
#
F
t/
2
A2
A
Pn
2"sp
27ph
4,(E~)
O)
O
dc bias current
Pulse current
Modified Bessel function
Injection current density [A cm-2]
Threshold current density [A cm 2]
Boltzmann's constant, also wave number
Laser cavity length
Electron diffusion length
Electron density
Threshold electron density
Index of refraction
Effective index of refraction
Light-output power per laser mirror
Spontaneous emission rate per unit of volume and unit of photon
energy E i
Stimulated emission rate per unit of volume and unit of photon energy
El
Reflectivity of end mirrors for the ith mode
Total spontaneous emission rate
Photon number
Photon number in the ith mode
Time
Inital delay time
Absolute temperature
Active volume
Coordinate; normalized photon number
Normalized electron density
Spontaneous emission coefficient
Internal optical loss per unit length
Damping parameter
Volume ratio
Photon confinement factor
Normalized injection current
Internal quantum efficiency
Emission wavelength
Wavelength separation of neighboring longitudinal modes ; wavelength
detuning
Half-width of the stimulated emission
Electron mobility
Spontaneous electron lifetime
Photon lifetime
Normalized complex photon amplitude function
Number of modes per unit volume and energy
Angular frequency
Angular detuning frequency
240 G. Arnold et al.
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D. Kat o: Hi gh- qual i t y br oad- band opt i cal communi cat i on by t i medi vi si on mul t i pl exed pul se
anal og modul at i on: nonl i near i t y in di ode lasers. I EEE J. QE-14, 343 (1978)
T. l t o, K. Nakagawa, K. Ai da, K. Takemot o, K. Sut o: Nonr epeat er ed 50ki n t r ansmi ssi on ex-
per i ment usi ng l ow-l oss opt i cal fibres. El ect ron. Lett. 14, 520 (1978)
M. Ito, T. Ki mur a: Longi t udi nal mode compet i t i on in a pul se modul at ed AIGaAs DH semi-
conduct or laser. I EEE J. QE-15, 542 (1979)
W. Langc: Int ensi t y fl uct uat i ons of i nj ect i on lasers oper at ed wi t h high frequency modul at i on.
El ect ron. Lett. 14, 7 (1978)
K. Nawat a, S. Machi da, T. Ito : An 800 Mbi t / s opt i cal t r ansmi ssi on exper i ment using a si ngl e- mode
fiber. I EEE J. QE-14, 98 (1978)
M. Sar uwat ar i , K. Asat ani , J.-I. Yamada, 1. Hat akeyama, K. Sugi yama, T. Ki mur a : Low loss fibre
t r ansmi ssi on of hi gh speed pul se signals at 1.29/am wavel engt h. El ect ron. Lett. 14, 187 (1978)
T. Ya ma mot o, K. Sakai , S. Aki ba: Fast pul se behavi our of l n Ga As / l n P doubl c- het er os l r uct ur e
lasers at 1.27 p-m. El ect ron. Left. 13, 142 (1977)
8. The Ef f ect of Junct i on He at i ng on Las er Li neari t y
and Har moni c Di s t ort i on
J. K . B u t l e r
wifl~ i0 Figures
The modul at i on charact eri st i cs of a laser di ode ar e frequency dependent (Chap.
7) being affected by r esonance effects, noise associ at ed wi t h ki nks and t ur n- on
delays. In this chapt er, we anal yze the anal og modul at i on l i mi t at i ons i mposed
by nonl i near power - cur r ent curves when these nonl i neari t i es are t her mal l y
induced. In the oper at i ng regi me where ot her effects are negligible (low to
moder at e frequencies) and st ar t i ng wi t h a laser with nor mal l y a linear P - I
curve (Chap. 2), the t her mal l y i nduced effects discussed here will limit the
pr oper t i es of a laser used in anal og modul at i on. We deri ve expressi ons for the
t ot al har moni c di st ort i on as a funct i on of device par amet er s and oper at i ng
frequency.
8.1 Static Laser Characteristics
The rel at i onshi p between out put power P and dri ve cur r ent I for a semi con-
duct or laser di ode is given by
P = O l h v / q ) ( I - 1,1,), (8. I)
where h v is tile l asmg phot on energy, q is the el ect ron charge, I1 is the ext ernal
differential qua nt um efficiency, and l t h is the dri ve current at t hreshol d. Below
t hreshol d, I < / t h , the lasing power is zero. If l,h is assumed to be const ant t hen
t he P - 1 curve is linear. However , it is f ound t hat pract i cal cw lasers have P - I
curves t hat are somet i mes nonl i near (sec Chap. 2). These nonl i neari t i es in P - I
curves are frequent l y due to instabilities of the opt i cal l asi ng mode. Her e we will
limit our discussion to lasers which oper at e in a st abl e wavegui de mode so t hat
t he P - I curve will have an absence of kinks.
The nonl i neari t i es discussed here resul t f r om j unct i on heat i ng which
pr oduces a "fl oat i ng" val ue of [ t h ' Assumi ng t hat I n , o c e x p ( T / T o ) where T o is a
charact eri st i c par amet er (Chap. 2), the t hr eshol d current increase for a AT
t emper at ur e change is
i , . = tl',~ e p ( A T / T o ) . ( 8 . 2 )
AT is pr opor t i onal to the drive cur r ent because of the power di ssi pat i on in the
laser. In the absence of heating, Ith = 1% the nomi nal t hreshol d current of tile
244 d. K. Butler
device. Experi ment al l y, lh can be det ermi ned using low dut y cycle pulses where
heat generat i on is negligible.
If V3(~-E/q) is the j unct i on voltage, R~ the series resistance, and I the drive
current then the power dissipation Q in cw oper at i on is
Q = (1 - , l v ) ( v i i + R j 2 ) , (8.3)
where tlp is the power efficiency. Because q, < 10 % in typical devices it will be
neglected in the subsequent analysis. Consequent l y, the t emper at ur e rise AT
above the heat sink t emper at ur e is assumed to be
A T ~ R , . , ( V3I + R J 2 ) , (8.4)
where R,m is the t hermal resistance.
The laser o u t p u t p o w e r P can be expressed as
P = ( q h v / q ) { I - lh exp [ R , , , ( V.il + R J 2 ) / 7 o ] }. (8.5)
In cw oper at i on the t hreshol d cur r ent is a sol ut i on of
ltu = llJh exp ['R,m(Vjl2,h + R J Z O / T o ] . (8.6)
R~ is det ermi ned experi ment al l y from the di ode V- I characteristics, I, , and lob
are found from the pulsed and cw P - 1 curves, and the rat i o R , , / T o is from
(8.6),
I n ( l , , , / I , )
R , , , / G - ~i,~, + R J , ] , ' ( 8 . 7 )
We illustrate P - I characteristics in Fig. 8.1 using q =30'%,, V i = 1.4V, and
I~), = t 00mA. In Fig. 8.1a R , m / T o =0. 5 W- ~ and the t wo curves represent values
of R~= 1 and 10f2. In Fig. 8.1b R~=2f ~ and R, , / 7 o =0 . 2 and 0. 8W -1.
8. 2 Transient Analysis
In pulsed oper at i on heat i ng occurs duri ng t he pulse. For example, let I be the
pulse curren! ampl i t ude under the condi t i on I , < I < I , , . This pulse st rengt h
causes the laser to reach t hreshol d in the early stages of the pulse but it will turn
off in the latter parts. But when I > I,,, the di ode will , mi t for the t ot al pulse
durat i on, al t hough light i nt ensi t y at the end will be lower t haq at the beginning.
To anal yze this t ransi ent response, we use an electrical anal og to model the
di ode heat i ng phenomena as shown in Fig. 8.2. In Fig. 8.2a, the "cur r ent
Effcct of.lunction Heating on Laser Linearity and l larmonic Distortion 245
15 i
a
I0
5
O q I
I I I I I I I I I I
I
l t h 0 - I O O m A /
RlmTo = 0 . 5 W - I / /
/ /
Rs = ~
I I I I I I I I I I I I I I [ I I
50 I 00 150
CURRENT I (mA)
200
15
, 0
O
o 5
illl O = IOOmA /
R s " 2 ohm
Rtm = 0.2 W J / "
I I I I I 1 I I I I I I I I I
I I I 5 0 I 0 0 150
CURRENT I ( mA)
Fig. 8.1a, b. Static power-cur-
rent curves for l a s e r diodes:
(a) series resistance is a pa,am-
2oo eler: (b) thermal resishmce is
a paranaetcr
source" in the equivalent circuit is Q (t), tile i nst ant aneous heat generat i on in tile
active region, and AT=A(t ) is the t emperat ure rise as a function of time,
modeled as the voltage rise at the node. The capacitance C is equivalent to the
thermal capacity and the conduct ance G is the equivalent of the rcciprocal of
the t hermal resistance. Figure 8.2b is the electrical anal og with Q(t) as the
"voltage source" and A(t) is the "' current" flowing in the circuit. The units of the
various parameters arc
Q(t) w (power generation)
A(t) K (temperature rise)
Rt. , K/ W (thernaal resistance)
K h J/ K (heat capacity).
246 d. K. But l er
Q(t)
& ( t )
l a )
C = Kt m
G= l - -
Rim
L
,, g' y' y" y%
Q ( t ) + R
R = ~
Rt m
( b )
Fig. 8.2a, b. Electrical analog circuits used to
model temperature in the active region
O0
A(t)
I
( ~( t ]
~ t
(a)
~ K h Q Rf m = ~0
Qo
( b )
A ( t )
Qo Rtm
Kh=O
(c)
Fi g. 8 . 3 a - c . Temperature response to a step
Ctll'l'enl
Fr om Ki r chhof f laws,
dA 1
O_(O=Kh eF + ( s . s )
For example, assume t hat Q( t ) =Qou( t ) where u(t) is the unit step function
t urni ng on at t = 0 as shown in Fig. 8.3a. In Fig. 8.3b we show t he case where
R,,, = c~, i.e., heat cannot be conduct ed from the active region. Solving (8.8), the
t emper at ur e rise A( t ) =( Qo/ Kh) t , i.e., the t emper at ur e rises indefinitely. In Fig.
8.3c we show the case where the heat capaci t y K~=0 so t hat (8.8) gives
A(t )=QoRt mu(t ), a const ant value for t >0.
The heat capaci t y Kf~ plays a maj or role in the t ransi ent as well as the low-
frequency response of the laser diode. In our simple model the value of K, can
be est i mat ed from the vol ume of the active region and the specific heat capaci t y
of the material. Of course, an exact model giving the t ransi ent t emper at ur e
response can be obt ai ned onl y by accurat el y model i ng the laser geomet ry.
Pract i cal laser diodes are mul t i l ayered devices mount ed on copper heat sinks
and accurat e t hermal model i ng woul d include the layers' t hermal capacities
and electrical resistances. Ncvertheless, our model can give qual i t at i ve as well
as fi rst -order quant i t at i ve dynami c behavi or in the row-frequency regimes.
Finally, we not e t hat for har moni c exci t at i on of the driving function Q(t), the
t emper at ur e function A(t) lags in time. Thi s phenomenon will be discussed in
later sections.
Effect of J unc t i on Heat i ng on Laser Li near i t y and Ha r moni c Di s t or t i on 247
Wc n o w a n a l y z e t h e d y n a m i c b e h a v i o r o f t h e l a s e r i n p u l s e d o p e r a t i o n . T o
o b t a i n t h e mo s t g e n e r a l a n a l y s i s we a s s u me t h a t t h e d i o d e is d c b i a s e d t o a
c u r r e n t v a l u e I 0 wi t h a s wi n g a m p l i t u d e Im. Spe c i f i c a l l y, f o r a p u l s e wi d t h r ,
i (t ) = 1 o + I mH [(t - - r / 2 ) / r ] ,
(8.9)
wh e r e t h e w i n d o w f u n c t i o n
t , l t l < l / 2
/ / ( t ) = 0 , I t l > 1 / 2 '
T h e i n s t a n t a n e o u s p o w e r g e n e r a t e d i n t he a c t i v e l a y e r is
Q( t ) = Vii o + R . J o + [ Vj l m + R j m ( 2 1 o + l m)] H [ t - - r / 2 ) / z ] .
( 8 . i o )
S u b s t i t u t i n g (8. 10) i n t o (8.8) a n d s o l v i n g t he r e s u l t i n g d i f f e r e n t i a l e q u a t i o n , we
o b t a i n t he t e m p e r a t u r e c h a n g e wi t h t i me
~Ao + A 1 [1 - - e x p ( - - t / ' r o ) ] , t < z
A( t ) = [ A 0 "-l- A 1 [ 1 - e x p ( - z/ z0) ] e x p [ ( z - t ) / r o ] , t > r ,
( 8 . 1 1 )
wh e r e
R~ g)
Ao =Rt m( V3 I o + I "
A 1 =Rt m [ V i m + Rs l , , ( 2 1 0 + l,n)]
T O = Kh R t m
T h e v a l u e ~0 is t h e t h e r ma l t i me c o n s t a n t . ( T y p i c a l d i o d e s h a v e r 0 ~ a f ew
h u n d r e d ns. ) T h e p o we r o u t p u t is
I }. p(r) = ( qhv/ q) { l o + I , , n [(t - r / 2 ) / 2 ] - ,h e x p [ A( t ) / To] (8.12)
N o t e t h a t wh e n t he d i o d e is b i a s e d a t t he c w t h r e s h o l d c u r r e n t
l o = I , e x p ( A o / T o ) . F i g u r c 8.4 s h o ws a s e r i e s o f p l o t s i l l u s t r a t i n g t h e l i ght
r e s p o n s e a s a f u n c t i o n o f t i me o v e r o n e t h e r l n a l t i me c o n s t a n t r 0, T = % . T h e
v a r i o u s p l o t s r e p r e s e n t d i f f e r e n t b i a s l e ve l s : (a) I o = 0 , (b) lo=l~)h, a n d (c)
t o > l , . In Fi g. 8. 4a, t he l i ght o u t p u t is m a x i m m n a t t h e b e g i n n i n g o f t he
c u r r e n t p u l s e b u t d r o p s a s t he d i o d e h e a t s . T h e m a x i m u m p o w e r o u t p u t o c c u r s ,
o f c o u r s e , wh e n t he a c t i v e r e g i o n t e m p e r a t u r e e q u a l s t h a t o f t he h e a t s i nk.
E v e n t u a l l y t h e p o w e r d r o p s t o P3 wh i c h is st i l l l a r g e r t h a n t he c w p o w e r l evel
a t t he d r i v e c u r r e n t I = I 0 + I m. Wh e n t h e p u l s e wi d t h is s uf f i c i e nt l y e x t e n d e d ,
h o we v e r , t h e p o we r wi l l r e a c h t h e cw p o we r l evel . As t he t h e r ma l c a p a c i t y K h
is r e d u c e d , t h e t i me r e q u i r e d t o r e a c h t he c w p o w e r l evel fal l s.
248 . I . K. Butler
h-
==
I -
0
n,.
w
P3
I o ' O
o
I m I t ~
P 2
P3
PI
P 4
0 ! 5 1.0 115
( . )
2 0
P2
P3
I o " I t h [ b )
am ) 0
O 0 ! 5 1.0 11,5 2.0
P 3
i
PI t . . . . . .
P4
I
( c )
Io> It~
Im>O
NORMALIZED TIME t / t o
H E A T S I N K T E M P E R A T U R E S T I < T 2
F ,
T 2
0 +
LOW D U T Y _ _ . . ~
C = -
( =
I , ~ + I o
I t h
Fig. 8.4a c. Laser pulse response for
different current bias levels
D R I V E C U R R E N T
F i g . 8 . 5 . C u r r e n t p u l s e c y c l e o n
t h e P l c u r v e s
In Fig. 8.4b, tile light power is i l l ust rat ed f or a di ode dc bi ased t o t hr eshol d.
Thi s bi as c ur r e m heat s t he act i ve r egi on a bove t he heat si nk t emper at ur e.
When t he cur r ent pul se is t ur ned on, t he powe r rises t o P : and t hen dr ops back
t o P~ as t he act i ve r egi on t e mpe r a t ur e rises. Fi nal l y, in Fig. 8.4c, not e t he
t mde r s hoot of t he light power when t he pul se is t ur ned off'. Thi s case will be
i l l ust rat ed by t r aci ng t he event s on t he P - I cur ve (Fig. 8.5) dur i ng t he t i me
n e i g h b o r h o o d of t he pulse. At t = 0 , an i nst ant j ust bef or e t he pul se t ur n- on,
t he di ode is bi ased t o a val ue / 0 whi ch is a bove t he di ode' s cw t hr e s hol d; t he
c or r e s pondi ng light power is P, . As t he cur r ent pul se rises fi ' om I o t o I o + I m
t he power i ncreases fi' om P t t o P2. The pr ogr es s i on is t aken al ong t he t angent
t o t he power cur ve at the poi nt P = P1 and I = 1o. As t he di ode heat s dur i ng t he
Effect of .lunction Heating on Laser Linearity and llarmonic Distortion 249
pulse, the power dr ops fi'om P2 to P3; at this point, the active region
t emper at ur e T 2 is higher t han 7"1, the heat sink t emperat ure. Just before the
pulse is t urned off, t = r , the power level is P.> At the time t = , + , the light
power dr ops to P4 at which time the active region t emper at ur e is 72. As the
j unct i on cools the light power begins to rise to its initial value P1, thus
compl et i ng the cycle.
8.3 Harmonic Analysis
In this section, we discuss tile nonl i near characteristics of a laser di ode and how
they affect the di st ort i on of harl noni c signals. We will st udy a laser dc biased to
a level above t hreshol d with an al t ernat i ng signal superi mposed on tile bias.
The swing level of the al t ernat i ng signal must be small enough so that the laser
remains above t hreshol d duri ng the t ot al signal period. A st udy of the
har moni c generat i on and the resulting signal di st ort i on is ai med at est i mat i ng
the per f or mance of a laser di ode used as a t ransmi t t er in anal og systems. The
i nformat i on cont ent of the signal is the al t ernat i ng par t ; t hus , if s ( t ) i s the base
band signal, normal i zed to +1, then the current appl i ed to the di ode is
i ( t ) = l o + 1 , , s ( t ) where I,, is tile swing about tile bias level.
Ordi uari l y, the har moni c generat i on in a nonl i near device can be est i mat ed
fi'om the static transfer characteristics, l Iowever, the nat ure of signal di st ort i on
cannot al one be del ermi ned from the static characteristics because tile device' s
transfe,- function may di st ort the signal. (The transfer function used here is tile
rat i o of t he light out put power to the i nput signal current at the baseband
fi'equcncy.)
In this section, we anal yze the laser diode' s l ow-frequency t ransfer function
and the har moni c signal generat i on using out" model of tile previ ous section.
The amount of har moni c signal di st ort i on is est i mat ed by i nt roduci ng the t ot al
har moni c di st ort i on fact or (THD). This quant i t y is det ermi ned l heoret i cal l y by
assumi ng a sinusoidal drive current of strength I m, and t hen calculating the
har moni c cont ent in the out put light power. TH D is then defined as the rat i o of
power in tile harnl oni c component s 21~ 31~ 4./;... and the power in the
fundament al of the out put intensity signal.
With the di ode biased to 1 o with the baseband signal s ( t ) = c o s ~ , ) t super-
imposed, the cur r ent is
i ( t ) = I o + I , , coscot. (8.13)
The heat i ng power pr oduced by this current becomes
(2(t)= (Vii o + R ~ I o + R J ~ , / 2 )
+ Ira( Vj + 2 I o R J costol
+ R~ I~1 (cos 2 t o t ) , / 2 .
( s . 1 4 )
250 3 . K . B u t l e r
N o t e t h a t t h e r e is a s e c o n d h a r m o n i c c o m p o n e n t i n t he i n s t a n t a n e o u s h e a t i n g
p o w e r o wi n g t o t he d i o d e s e r i e s r e s i s t a n c e . S u b s t i t u t i n g Q ( t ) i n t o (8.8) yi e l ds t he
i n s t a n t a n e o u s t e m p e r a t u r e r i se o f t h e a c t i v e r e g i o n . T h e s t e a d y - s t a t e s o l u t i o n is
A( t ) = A o + A t cos((~)t - ~P) + A 2 c o s 2 ( , ) t - VJ),
( 8 . 1 5 )
wh e r e
A o = R, m ( V J o + R f l ~ + R f l ~ , / 2 ) , ( 8. 16a)
z] 1 = R , m l , n ( V j .-}- 2 R i l e ) [ 1 + (//.1o) 2] - ' / 2 ( 8. 16b)
A2 = ( R , m R f l ~ / 2 ) [ 1 + ( 2 1 7 1 J ] - 112
(8. 16c)
IP = t a n ' ( I ' / . I o) . ( 8. 16d)
T h e t e r ms A o, A ~, A 2 a r e t h e dc, f u n d a me n t a l a n d s e c o n d h a r m o n i c a mp l i t u d e s .
T h e c h a r a c t e r i s t i c f r e q u e n c y
.[~, = I / ( 2 ~ R , , , , K h ) . (8.1 7)
T h e t e mp e r a t u r e f l u c t u a t i o n s o f t h e a c t i v e r e g i o n l a g t h e i n p u t c u r r e n t b y t he
p h a s e t e r m V j. At l ow f r e q u e n c i e s 7 J ~ 0 whi l e a t hi gh f i ' e que nc i e s W~r ~/ 2.
N o w t he i n s t a n t a n e o u s l i ght p o w e r c a n b e wr i t t e n a s
p ( t ) = Olh v / q ) 1Io + Im COS (91 - - ll~l, c x p [A o/ To + (A l / T0 ) cos(~,)t - tp)
+ ( A 2 / T o ) c o s 2 i , , > l - ' I ' ) - I } .
( 8 . 1 8 )
Wh e n t he a c s i g n a l is s u p e r i mp o s e d o n t he dc one , it is n o t i c e d t h a t t i l e e f f e c t i ve
dc b i a s p o i n t o n t he P - I c u r v e wi l l be s hi f t e d d u e t o t he a d d i t i o n o f t he l as t
t e r m in ( 8. 16a) wh i c h is t he a v e r a g e p o w e r o f t h e a c s i gna l . T h e i n s t a n t a n e o u s
h e a t i n g t e r ms wh i c h af f ect t he h a r m o n i c s i gna l s t r e n g t h s , d i mi n i s h a s t he
f r e q u e n c y o f t he b a s e b a n d s i g n a l i n c r e a s e s . At hi gh f r e q u e n c i e s , A 1 a n d A 2 a r e
p r o p o r t i o n a l t o 1[[
T h c h a r m o n i c f r e q u e n c y c o m p o n e n t s o r F o u r i e r s e r i e s e x p a n s i o n o f
t h e p o w e r s i g n a l c a n b e d e t e r mi n e d u s i n g t he Be s s e l g e n e r a t i n g e q u a t i o n f o r
mo d i f i e d Bes s el f u n c t i o n s . I f l i nt (0) i s t he mo d i f i e d Be s s e l f u n c t i o n , o r d e r I,
( f i ni t e a t 0 = 0 ) t h e n
~J
e x p ( x c o s 0 ) = ~ I m , ( x ) e x p ( j l 0 ) . (8.1 9)
F.ffect of ,lunction Heating on Laser Linearity and Harmonic Distortion 251
[ For negative indices I m _ t ( x ) = l m l ( x ) . ] Thus, the t wo t erms in (8.18) are
wri t t en as
exp [(A j / T o ) cos(, )t - ~u) + (A z/To) cos 2 ((or - '/'9]
= L I m t ( A ~ / T o ) l m , . ( A 2 / T o ) e x p [ j ( l + 2 n ) ( ( ' ) t - t f ' ) ] "
l , t l : c t ~
( 8 . 2 0 )
The kth har moni c of this signal is obt ai ned when I + 2n = k. Subst i t ut i ng (8.20)
i nt o (8.18) and using the kth har moni c term, the light power becomes
p ( t ) = ( q h v / q ) [Io + (1,,/2) (e J''' + e - J'"')
--lO, em'/r" L Ck eJk( . . . . ~'~]'
k = - ~ J a
(8.21)
where
Ck= y~ I m , ( A 2 / T o ) I m k _ z , ( A j / T o ) . (8.22)
I t = - - c~,
We see t hat (8.21) is the compl ex Four i er series represent at i on of the power, i.e.,
p( t ) = ~ P k e x p O k o J t ) . (8.23)
k= - 9: ,
- - ) *
Since p ( t ) is a real signal, P k - 1 k, the compl ex conj ugat e of Pv Because tile
coefficients are generally complex, we write P k = [ P k [ e x p ( 4 ) a ) where 4h, is the
phase of the kth har moni c compar ed to the phase of the input drive current . In
ter, ns of the device paranaete,' s and the C k terms, the vari ous coefficients are
P o = O l h v / q ) ( 1 _ Cot,h e - - - o .,,J.,,T,,~,,
P , = Ol h v / q ) ( I r a ~ 2 - - C 1 I[' h c"J""r" e -j r, ),
_ _ C l o ,~A,,,"r,, e - j2,v),
P , = ( t l h v / ' q ) ( ~ 2 tl~ ~
P k = O l h v / q ) ( - c l o oA,,,,r. , , , i , w " I
Vk*[ I I ~ ~ / -
(8.24a)
(8.24b)
(8.24c)
(8.24d)
Tile ampl i t ude and phase of tile fundament al can be calculated fronl the
coefficient P L :tile phase is referenced with respect to tile phase of tile sinusoidal
por t i on of the drive current. With tile light intensity written as
p(O = L & cos(/.or- G)
k=O
252 J . K. Buf f er
X ( t ) H ( f l y ( t )
I NPUT OUT P UT
SI GNAL S I GNAL Fig. 8.6. Linear system network
t he f u n d a me n t a l ' s a mp l i t u d e a n d p h a s e a r e
A l = ( t l h v / q ) [ I ~ , + ( 2C 1 I l l 1 c A / T n ) 2 - - 4 C I /m eA""'r" COS ~P] 1 / 2
_ ( C , G e ' s mq ' I
</~, = t a n ~ , . . g - ~ - ~ ] . Z X , ~ o s ~ l J l .
\ I m / Z - - C I t h ~ ~., /
( 8. 25a)
( 8. 25b)
Si nc e v a l u e s o f ~/~ a r e s ma l l a n d p o s i t i v e ( < 10~), t i l e l i ght l a gs t i l e c u r r e n t .
T r a n , ~ [ e r F u n c t i o n . I t is c u s t o m a r y t o c h a r a c t e r i z e a s y s t e m b y i t s t r a n s f e r
f u n c t i o n I I ( f ) wh i c h wc de f i ne as f ol l ows . Le t x ( t ) be t he i n p u t a n d y ( t ) b e t h e
o u t p u t o f t he s y s t e m, a s s h o wn i n Fi g. 8.6. T h e i r F o u r i e r t r a n s f o r ms a r e X ( f )
a n d Y ( f ) , r e s p e c t i v e l y . T h e t r a n s f e r f u n c t i o n is t h e n
l l ( f ) = Y ( [ ' ) / X ( f ) . (8. 26)
Ti l e o u t p L l t t i me f u n c t i o n b e c o me s
/
y ( t ) = j' l f ( f ) X ( f ) e - i 2 ' ~ . r ' q f ".
, 1
Vo r s i n u s o i d a l i n p u t , t i l e o u t p u t will be s i n u s o i d a l . Le t
x ( t ) = A c o s o ) t = A / 2 e i,,,, + A / 2 e + j ' ' .
(8.27}
(8.28)
T h e o u t p u t b e c o me s
y (t) = A / 214 ( - f ) e -.i,,,, + A / 2 H (. [') e . i ' ' ' .
(8. 29)
I n t he a b o v e e x p r e s s i o n s , we us e t he c o mp l e x s i gna l n o t a t i o n s o t h a t b o t h
p o s i t i v e a n d n e g a t i v e f i ' e q u e n c y c o m p o n e n t s a r e p r e s e n t in t he s i gna l s . I t is
c o n v e n i e n t , h o we v e r , t o us e o n l y t he p o s i t i v e f r e q u e n c y c o m p o n e n t s a n d u s i n g
t he e x p r e s s i o n
y( t ) 2 Re a l p a r t { A / 2 t t ( f ) e J ' " ' } . (8. 30)
Ge n e r a l l y , t he t r a n s f e r f u n c t i o n is c o mp l e x , H ( f ) = I H ( f ) t e j'I', s o t h a t t he o u t p u t
d u c t o a s i n u s o i d a l i n p u t is
y I t ) = A I H ( f ) l cos ( <, t - 4, ) ( 8. 31t
Effect of ,lunction Hcating on Laser Linearity and Iqarmonic Distortion 253
which shows how the phase of tile t ransfer funct i on ent ers i nt o the phase of the
out put t i me function. Real syst ems have compl ex t ransfer funct i ons satisfying
H* (.[) = H( - . [ ) ( 8. 32)
hence (8.29) is identical to (8.31).
In the present pr obl em, we nmst address the nonl i neari t i es pr oduci ng
har moni cs. To a first appr oxi mat i on, the out put har moni cs ot her t han the
f undament al will be di sregarded. Thi s means t hat the i nput cur r ent
i ( t ) = ( I m / 2 ) e x p ( j r , ) t ) pr oduces a light response p ( t ) = P 1 exp(j~ot). The t ransfer
funct i on becomes
H ' ( f ) = 2P1 ( 8. 33)
I nl
A slight modi fi cat i on can be made by fact ori ng the coefficient q h v / q .
H ( f ) = ( q / ~ l h v ) 2 P t / I , , . (8.34)
Usi ng (8.24b),
t i ( f ) = I - ( 2 / I , . ) C l 1 , , e ' l " " 7 < ' e - j q '
( 8 . 3 5 )
The magni t ude [H(.[)[ is identical to (8.25a) except for the fact or l , , q h v / q : its
phase is identical to (8.25b).
To illustrate the use of the expressi ons derived above, we now choose some
pract i cal device par amet er values. Consi der a laser with a pulsed t hreshol d
current ll~l, = 100 mA, series resi st ance R~ = 1.4 ~ and rat i o of t her mal resi st ance
to charact eri st i c t emper at ur e R , , , , / T o =0. 5 W J
Fi gure 8.7 shows the ampl i t ude and phase of H(./') as a function of
nor mal i zed frequency f / [ o . The curve was cal cul at ed by assumi ng l , , = 4 0 mA
and 10mA with no appr eci abl e wi ri at i on fi' om curve to curve and t hus
i mpl yi ng a "l i near syst cm". The m inimtun val ue of J t t ( f ) t occurs at . 1= 0 and
increases to 1 at high frequencies. The ma xi mum phase shift of 3' occurs at
. 1 7 1 ; = 1.
H a r m o n i c D i s t o r t i o n . The har moni c di st ort i on of the out put signal is found
fi' om the Four i er series represenl at i on. We define tile tolal har moni c di st ort i on
( THD) ,
T HD=
Power in har moni cs
Power ill f undameut al "
254 J. K. Butler
1. 00
0 , 9 8
g
0 . 9 6
0 . 9 4
0 . 9 2
0 . 9 0
0 . B e
, , , , I , , , , i , , , ~ i , , , , i , , , , 4
~
E _
R s = 1.4 ohm I
, , , , I , , , , I , , , , i
2 3 4 ,5
5
3>
m
2 A
m
NORMALI ZED FREQUENCY ( f / f o )
Fig. 8. 7. Tr a ns f e r f unc t i on a mpl i t ude and pha s e as a f unc t i on of mo d u l a t i o n f r equency
Usi ng the series r epr esent at i on (8.23),
~ , P , , P , ~ ,
THD - , , :2
P1P*
(8.36)
and in dB,
T HDm= 101Ogl oTHD.
Fi gure 8.8 shows tile di st ort i on as a funct i on of the nor mal i zed frequency
with I m, tile current swing, a par amet er . Ma xi mum di st ort i on occurs at f = 0 ,
decreasi ng l' rom - 4 5 dB as the modul at i ng cur r ent swing drops.
The device par amet er s R~ and R, m/ T o play maj or roles in det er mi ni ng the
di st ort i on as seen below. In Fig. 8.9, R, m/ T o is vari ed f r om 0.2 to 0.8 W- ; where
I is agai n t reat ed as a par amet er . As expect ed, mi ni mum di st ort i on occurs at
low R, , , / T o values where thc device is most "linear". Fi gure 8.10 shows the
di st or t i on as a funct i on of R~. Again, mi ni mum di st or t i on occurs at low R~
values and increases monot oni cal l y with resistance. Not e t hat for an illustrative
st ruct ure there is a dr amat i c dr op in the di st ort i on when R~<2f~. Hi gh series
resi st ance cont r i but es significantly to the di st ort i on because it pr oduces second
har moni c heat generat i on in the act i ve regi on of the laser.
Effect of J u n c t i o n He a t i n g on La s e r Li n e a r i t y a n d Ha r mo n i c Di s t o r t i o n 255
"1=
v
Z
__0
o
z
o
Ig
.J
o
F-
-50
- 6 0
-70
-80
- 9 0
- T 0 = .
R a - 1,4 ohm "
50
I m - I O m A ~ .
I I , , I , , , , J , , , , I , , i , I , , , ,
I 2 3 4 5
NORMALIZED FREQUENCY ( f i f o )
Fi g, 8. 8. To t a l h a r mo n i c d i s t o r t i o n vs n o r ma l i z e d f r e q u e n c y wi t h a mp l i t u d e s wi n g as a p: u' a me t e r
- 5 0 i , , I ' ' ' ' I ' ~ ' ' I ' ' i , I ' ' ' ' I ' ' ' '
o
l t h = I 0 0 m A
1 o = 1 6 0 m A 5 0 ~ . . - - " " " ~
~ I m = I0 mA
~ I 8o
~ - 9 0 . . . . , . . . . , . . . . , , , , , , . . . . , . . . .
- , 2 0 . 3 0 . 4 0 . 5 0 . 6 0 . 7 0 . 8
R t m / T o (W "1 }
Fi g. 8. 9. To t a l h a r mo n i c d i s t o r t i o n vs t he r a t i o o f t h e r ma l r e s i s t a n c e a n d ma t e r i a l c h a r a c t e r i s t i c
t ern pe r a t u r e
256 J. K. t3mh~r
- 40
m -50
Z
o_
i -
r , -
o
- 60
o_
z
O
~E
n, .
r -70
_J
O
I - -
' ' ' 5
40
. 8 0 0 = I ~ I , I t I
2 4- 6 8 I0
SERIES RESISTANCE R s (ohm)
Fig. 10. Tot al har moni c di st or t i on vs di ode series resi st ance
8. 4 Conclusion
The thermal characteristics as modeled ill this chapter give complete infor-
mat i on regarding the distortion properties of laser diodes for anal og appli-
cations where relaxation oscillations can be neglected. Wc have st udi ed:
1) Response of laser light intensity to a current pulse:
2) The laser transfer characteristics which give t i l e phase and ampl i t ude
di st ort i on of the modul at i on ;
3) Development of the harmoni c cont ent of an intensity modul at ed signal
from its Fouri er expansion, and
4) Calculation of the total harmoni c di st ort i on of the out put modul at ed
signal.
Basically, the Fourier analysis of the laser intensity signal contains all of the
useful i nformat i on regarding signal distortions. For example, i nt ernl odul at i on
di st ort i on can be easily calculated by superi mposi ng tv, o signals of different
frequencies and comput i ng the out put signal at the sum and difference
frequencies.
Comput at i ons of the transfer function show t hat maxi mum ampl i t ude and
phase di st ort i on occur at low frequencies. Numerical calculations are made in
Effect of ,hmction Heating on Laser Linearity and Harmonic Distortion 257
terms of normal i zed frequency . / ' / f ~ where . / ' = 1/(2~zKhR,,~). Maxi mum phase
di st ort i on occurs at . f = . l c . Estimates of the cut off frequency from the t hermal
time const ant are in the MHz vicinity.
The key device paramet ers affecting the characteristics anal yzed in this
chapt er are t he di ode series resistance, and the rat i o R , , , , / T o (t hermal re-
si st ance/ charact eri st i c t el nperat ure det ermi ni ng the t emper at ur e dependence of
the t hreshol d current density). Both of these par amet er s should be as low as
possible and can be cont rol l ed to some extent, as discussed in Chap. 2, within
limits i mposed by the t echnol ogy. We have made a series of cal cul at i ons of the
t ot al har moni c di st ort i on (TH D) as funct i ons of these paramet ers. The range of
par amet er values t aken reflects practical AIGaAs device values. In addi t i on, the
st rengt h of the modul at i on cur r ent was varied to det ermi ne the effect of the
swing ampl i t ude on di st ort i on.
Ackmm, ledgen,ents. R.W. Klopfenstein assisted in computer modeling. Discussions with H. Kressel,
M. Enenberg, C.J. Nuesc, and D. O. North are gratefully acknowledged.
List of Symbols
. f
. f o
h
l
I ,
] t h
I o
I m
i (t)
l m t
K h
P
p(t)
P k
Q
Q.(t)
Qo
q
R~
Rim
T
To
l
v j
Modul at i on frequency [ s - 1]
Charact eri st i c frequency Jo = 1 / 2 r c R t h K h
Pl anck' s const ant [ J- s]
Static drive cur r ent [ A]
Pulsed t hreshol d cur r ent
cw Thr eshol d current
Bias cur r ent
Maxi mum swing current
I nst ant aneous current
Modified Bessel funct i on of first kind and of or der l
Heat capaci t y [ K/ J ]
Static light intensity [ W]
Inst ant aneous light i nt ensi t y [ W]
Four i er coefficient of intensity expansi on
Active region power generat i on [ W]
I nst ant aneous power generat i on
Static power generat i on
El ect roni c charge [ C]
Series resistance [f2]
Thermal resistance [ K/ W]
Temper at ur e [ K]
Charact eri st i c mat eri al t emper at ur e [ K]
Ti me l-s]
Junct i on voltage IV]
258 J. K. But l e r
6T, A
A(t)
Ao, A1,A2
q
qp
1'
17( t)
TO
T
tlJ
Temperat ure differential [ K]
Inst ant aneous t emperat ure differential
Coefficients of t emperat ure differential
Differential quant um efficiency
Power efficiency
Light frequency [ s - a]
Wi ndow function
Characteristic time I-s] zo =RmKh
Pulse width is]
Phase of t emperat ure differential relative to current
9. An Illustrative Optical Communication System
J. H. Mullins
With 12 Figures
The previous chapters dealt onl y with the devices and associated electronic
circuitry which are used in fiber optic transmission systems, more specifically
transmitters, receivers, and light coupling methods. Obviously, no such system
can exist wi t hout the fibers themselves. But by the same token a complete
system will require fiber protection, splicing, connect ors (both optical and
electrical), physical hardware of all sorts, ancillary equi pment including
terminals and test gear, and last but not least, a justification for the existence of
the system.
We do not pretend to cover all of these items in great detail in this chapter,
but hope to put the role of devices into some perspective by describing a real
system, including these ot her component s. At the same time we will at t empt to
provide t hat "justification" ment i oned above. This requires delving into some
topics which have little to do with optical devices, but a proper expl anat i on of
device application seems to require it.
In the remai nder of the chapter, we describe fiber optic (lightwave) systems
in a fundament al sense, then classify them accordi ng to type of application. We
discuss the economics of the systems, and at t empt to explain why the part i cul ar
appl i cat i on discussed here, telephone interoffice t runki ng, appears economi -
cally attractive. This also involves some expl anat i on of the telephone t runk
envi ronment and the economics of compet i ng (metallic) systems.
The system described is an experimental one designed by Bell Tel ephone
Laboratories, Inc., which was installed in the Illinois Bell Tel ephone plant in
Chicago. This digital facility is carryi ng a wide variety commerci al traffic, and is
being eval uat ed by the designers. This chapt er describes the system com-
ponents, configuration, installation and testing procedures, as well as the
overall performance of the system. Al t hough not all of the devices and
techniques discussed in the previous chapters are used in the system, enough of
them are used to give the reader a good feeling for the practical application of
these things.
9.1 Background and Purpose
9.1.1 General Fiber Optic System and Range of Applications
Before proceeding to describe a specific application of the principles of fiber
optic systems, using many of the systems and devices described in the previous
2 6 0 J. If. Mullins
chapt ers, it woul d be well to exami ne t he fundament al nat ur e of the systems
mor e generally.
111 its simplest form, a fiber opt i c (or lightwave) system consists of an opt i cal
or light source which can be modul at ed, an opt i cal det ect or, and t he light
conduct i ng fibers, which we shall often call lightguides. The sources may be
LEDs or lasers, the det ect ors may be p- i - n di odes or APD det ect ors, and the
lightguides may be mul t i mode (step index or gr aded index) or single mode. Out
of this ar r ay of component s, some of which are i ncompat i bl e, one can assemble
a wide variety of systems.
In addi t i on to the basic component s, t here must be the requi red processing
electronics (bot h terminals and line repeat ers or amplifiers), provi si ons for
prot ect i ng and splicing the lightguide, and an assor t ment of ot her equi pment ,
including specialized testing apparat us. However, t here is anot her way of
classifying a system, and this is by its use, or appl i cat i on, as descri bed below.
One general classification refers to the mode of t ransmi ssi on: digital or
analog. Here we make a sharp distinction between pure digital and the vari ous
pulse modul at i ons such as PAM, PWM, PPM, PFM (pulse ampl i t ude, width,
position, or frequency modul at i on) which are act ual l y anal og systems. In this
cat egory, of course, we also place [inear systems such as intensity modul at ed
o n e s .
Besides the di gi t al -anal og distinction, we can classify systems accor di ng to
their range. This is quite i mpor t ant for lightwave systems, as it to a large degree
det ermi nes the qual i t y of the lightguide in t erms of at t enuat i on and bandwi dt h.
The dividing lines bet ween classes of length are qui t e arbi t rary, of course, and
we will cont ent ourselves with a relatively qual i t at i ve division into t wo classes.
In the "shor t " class, we place systems t hat are general l y i nt ended for use within
a building, in general as a single link bet ween t wo pieces of equi pment . These
links are usually subst ant i al l y less t han one km in length. Systems in the "l ong"
classification are generally one km in length or much longer. They are i nt ended
for interbuilding, intercity, or cr oss- count r y appl i cat i on. Systems carryi ng
t el ephone interoffice t runks fall into this cat egory, and we will be addressi ng
this appl i cat i on in Sects. 9.2-6.
In short, the system we describe is a "long", "digital" system.
9.1.2 Economic Considerations
Before any new t echnol ogy can be expect ed to have wi despread appl i cat i on it
must demonst r at e some significant advant age over an existing t echnol ogy.
Most often, the domi nant effect is the economi c one. Al t hough this book is
devot ed pri mari l y to optical devices, it t urns out t hat the economi cs of the
system are often domi nat ed by the lightguide. A short discussion of this aspect
is t herefore in order.
Ther e are essential differences between metallic and opt i cal medi a with
respect to their behavi or as a function of frequency, and this leads to some basic
An Illustrative Optical Communication System 261
economi c differences. Specifically, in the t ransmi ssi on region, metallic medi a
are domi nat ed by skin effect, and thus have a loss (in nepers or dB) which is
pr opor t i onal to ]/ / f, where f is the frequency. The loss is also inversely
pr opor t i onal to t he t ransverse di mensi on, d, of the conduct ors, so we observe
t hat t he loss per uni t length is
L ~ ~f / d. (9.1)
However, we also notice t hat the cost per unit length is roughl y pr opor t i onal to
the area, which is pr opor t i onal to the squar e ol d. Ther ef or e we find the cost per
unit length is
C ~ d 2 ~. [ / L 2 . (9.2)
A measure of the economi cs is the cost per unit bandwi dt h, or per unit of
i nformat i on. This is pr opor t i onal to ./'; so we iliad the specific cost of the medi um
(per unit length per unit of i nf or mat i on capaci t y) is given by C m, where
C m ~ 1/ L 2 . (9.3)
On the ot her hand, t he loss per unit length of a fiber is i ndependent of the
length of the span, the fiber cross section, and is i ndependent of fi' equency, up to
t he poi nt at which dispersion effects set in. Ther ef or e the specific cost of the
fiber C r is given simply by
Cf ~ 1 / [ . (9.4)
The concl usi ons from this are simple. Gi ven the length of a span, the
quant i t y L is det ermi ned by si gnal -t o-noi se requi rement s. Then for a fiber with
sufficiently low loss to bridge this span and retain the necessary si gnal -t o-noi se
ratio, the par amet er most i mpor t ant for economi c prove-in of fibers is t he
frequency f. if the fibers can handl e a large enough frequency, they can always
pr ove in economi cal l y over metallic media, at least from t he st andpoi nt of
i nf or mat i on per unit cost (and if t hat bandwi dt h is needed !). Hi dden here is also
anot her equal l y i mpor t ant paramet er. The quant i t y L (the loss per unit length)
is generally inversely pr opor t i onal to t he length of the span, because of signal-
t o-noi se requi rement s. Thus, all ot her things being equal, the specific cost (per
unit length) of metallic medi a t end t o be pr opor t i onal to the square of the
length of the span, whereas fibers are i ndependent of it. This pr oper t y is very
i mpor t ant for single spans, but less so for repeat ered lines. The latter are
i nt errupt ed at frequent intervals by repeaters, so t hat the medi a costs can be
exchanged for electronics costs.
262 J. H. Mullins
9. 1. 3 Other Considerations
Ther e are some pr oper t i es of lightguide syst ems which may be very i mpor t ant ,
but which are difficult to quant i fy. These are freedom f r om electrical inter-
ference, very low or nonexi st ent crosst al k, very smal l size and wei ght for a given
capaci t y, and, for repeat ered lines, general l y much l onger spans bet ween
repeat ers. The last t wo propert i es will be par t i cul ar l y evi dent in the syst em
descri bed in the following sections.
Ther e are, of course, some di sadvant ages. Besides the wel l -known field
splicing and handl i ng pr obl ems of fibers, t here are some i nherent pr oper t i es of
the sour ce- det ect or process, resul t i ng in a poor er si gnal -t o-noi se rat i o for fibers
t han for met al l i c medi a. Specifically, the "zero loss" si gnal -t o-noi se rat i o for
opt i cal syst ems (the si gnal -t o-noi se rat i o for a syst em with zero length medi um)
is usually some 40 to 50 dB poor er t han for a zero loss met al l i c system. Thi s
difference derives bot h from the rel at i vel y small power t hat can be injected i nt o
the fiber by the t r ansmi t t er and f r om qua nt um effects in the receiver, l eadi ng to
significant shot noise.
For br oa dba nd anal og systems, which general l y requi re large si gnal -t o-
noise rat i os (40 to 60 dB), met al l i c syst ems may have an advant age. A si mpl e
numeri cal exampl e may hel p to clarify this. We assume a 10 MHz bandwi dt h
syst em with an i nt ensi t y modul at ed source. We t ake the best of ci rcumst ances,
in which the source may accomodat e a l arge (nearl y 100%) modul at i on. Thi s in
fact may be difficult for LEDs and ext r emel y difficult for lasers owi ng to
l i neari t y pr obl ems, but we i gnore this for the moment . Under these condi t i ons,
it may be shown by the results in Chap. 4 or t hose discussed by Personi ck [9.1]
t hat the requi red det ect or power for a 50 dB si gnal -t o-noi se rat i o is appr oxi -
mat el y - 26 dB m, under t he best of ci r cumst ances. Gr a nt i ng t hat a l aser mi ght
inject ar ound one mi l l i wat t i nt o a fiber, or an LED about a fact or of 10 less, we
find t hat our avai l abl e t ransmi ssi on loss is f r om 16 to 26 dB. Actual avai l abl e
loss will be subst ant i al l y less t han this because of l i neari t y restrictions,
connect or and splice losses, and syst em agi ng and t emper at ur e effects.
Ther ef or e our syst em length is severely limited with cabled, spliced fibers whose
t ypi cal loss may be 4 to 8 dB/ km.
A baseband met al l i c system, on the ot her hand, with a 10 MHz bandwi dt h,
an ampl i fi er noise figure of 8 dB, and a 100 mW source, will have an avai l abl e
loss of over 78 dB at 10 MHz for an overal l 50 dB si gnal -t o-noi se ratio. In this
case, the avai l abl e loss is so high t hat the length is usual l y det er mi ned by ot her
things, such as difficulty of equal i zat i on. In any case, the met al l i c syst em ma y
compet e well for this appl i cat i on.
On the ot her hand, if we consi der a digital syst em empl oyi ng the same
bandwi dt h, say ar ound 20 Mb/s, we iliad t hat the requi red received opt i cal
power is onl y ar ound - 6 0 dB m ([9.1] or Chap. 4). Her e we have an avai l abl e
t r ansmi ssi on loss of 50 dB or great er, and the very low loss of opt i cal fibers
real l y begins to have an effect, resul t i ng in very l ong r epeat er spans. A met al l i c
syst em in t heor y woul d al so pick up this 30 to 40 dB advant age, but in pract i ce
An Illustrative Optical Communi cat i on System 263
this becomes ext remel y difficult to use. The equal i zat i on pr obl em posed by the
] / - f loss of the metallic medi um, spuri ous noise or crosstalk, and similar
probl ems tend to limit metallic digital systems to a gain usually well bel ow
80 dB. Under these circumstances, lightguide systems t end to have a cl earcut
advant age.
9. 2 Di g i t a l I nt e r of f i c e Tr unki ng
9.2.1 The Telephone Trunk Network
Since we describe a system designed for interoffice t r unki ng appl i cat i ons, it is
helpful to exami ne the condi t i ons under which the system will operat e and the
funct i ons it must perform.
' qnt eroffi ce t runki ng", t aken in its literal sense, can cover distances of from
less t han I km to t housands of kilometers. In our case, however, we wish to
concent r at e on the typical met r opol i t an or ur ban- s ubur ban area, in which the
distance bet ween nearest nei ghbor switching offices tends to average ar ound 5
to 10 kin, dependi ng upon the popul at i on density, and the area of greatest
common interest or i nt erconnect i vi t y tends to be encompassed within a region
ar ound 100 km in di amet er or less. That is, t he length of these systems rarely
exceeds 100 kin, and is rarely less t han t wo or three.
The voice grade channel s t hat make up the interoffice t runks are i mpl ement -
ed in several ways. They can consist of a simple 4 kHz baseband channel on a
single wire pair, t hey can be frequency division mul t i pl exed ( FDM) on wire
pairs or coaxial cable, or they can be digital. This last is by far the fastest
growi ng met hod, and it will be the focus of our at t ent i on for the r emai nder of
this chapter.
9.2.2 Conventional Digital Metallic Facilities
The first digital system i nt r oduced to the interoffice t r unki ng pl ant was the Bell
System T1, first used in the U.S. in 1962. This is still by far the most widely used,
al t hough newer systems are now maki ng t hei r appearance. The T1 system
t ransmi t s 24 digitally encoded voice channels by pulse code modul at i on (PCM)
over st andar d t el ephone exchange plant paired cable (0.6 mm conduct or s 22
gauge). Since each voice channel requires about 64 kb/s, the transmission rat e
of TI is 1.544 Mb/s, which is a st andar d level, DSI , in the Nor t h Ameri can
digital hierarchy.
Since t hat time t hree new 48 channel systems for oper at i on on paired cable
have been i nt r oduced into the U.S. t el ephone pl ant : the Bell System' s TI C
[9.2], ITT' s T148, and GTE Lenkurt ' s 9148A system. Also some very high
capaci t y digital coaxial cable systems have been i nt r oduced [9.3, 4], as well as a
96 channel system, T2, oper at i ng on high qual i t y pairs [9.5].
264 J. H. Mullins
Since it is i mpor t ant for the under st andi ng of one of the significant
advant ages of lightwave transmission, it shoul d be not ed t hat all of these
systems except T2 have a designed repeat er spacing of about 2 km maxi mum.
That is, electrical repeat ers (or digital regenerat ors) are requi red every 2 km or
less. Since the switching office spacing is usually subst ant i al l y great er t han this,
the maj ori t y of these repeat ers are in under gr ound housings, or manhol es.
Al t hough the part i cul ar choi ce of 2 km is largely historical, being the same as
the spacing of i nduct i ve l oadi ng coils on long voice pair t runks, it has
nonet hel ess become an ingrained feat ure of the systems. These under gr ound
electronics are a cont i nual source of mai nt enance headaches, and any system
t hat eliminates them will have a distinct advant age.
The reason for the success and rapi d growt h of digital t ransmi ssi on r at her
t han anal og FDM systems in these areas, however, has to do mor e with
terminal costs t han with repeat er electronics. Systems as short as the ones we
are describing t end to be heavily weighted by terminal costs. FDM systems
must bear the cost of the FDM terminal, and PCM systems must bear the cost
of the A/ D conver t er and digital multiplexer. Technol ogy has been favori ng the
digital appr oach for some time, and with t he rapid progress in digital circuit
i nt egrat i on we are seeing, this is a t rend which is accelerating. Digital terminals
are cheaper and are likely to become mor e so in time.
If we add to the above the enor mous flexibility and power of digital dat a
processing, we see t hat digital t ransmi ssi on systems for anal og i nf or mat i on
make a great deal of sense, and are likely to become even mor e domi nant in the
future. This is f or t unat e for lightwave systems, for, as we have seen, they
funct i on best as digital facilities.
9. 2. 3 The Phys i c al Envi ronment
The physical envi r onment in the t el ephone plant is ext remel y hostile. Most
trunks, especially in met r opol i t an areas, are carri ed in under gr ound ducts with
the cable spliced in manhol es, some of which also house the el ect roni c repeat ers
(cont ai ned in wat er pr oof cases). These condui t and manhol e facilities are often
shared with ot her services, so t hat the t el ephone cables and equi pment are beset
by ext remel y r ough t reat ment , with water, soil, steam, hydr ocar bons, and
somet i mes corrosi ve chemicals present, not to ment i on the physical abuse
which derives fi'om frequent activity in the manhol es. An unpr ot ect ed optical
fiber is a poor mat ch for this envi ronment . Consequent l y, all lightguide cables
designed for this use must be prot ect ed by rugged sheaths, which prevent
exposure of the fibers to the hostile surroundi ngs. This includes t he splices.
On the ot her hand, one cannot over do the prot ect i on, since one of the chi ef
advant ages of lightwave systems is the very small cross section for a given
i nformat i on capacity. This tends great l y to relieve the ext reme crowdi ng of the
under gr ound duct system (and manhol es) in many of our ur ban areas.
An Illustrative Optical Communication System 265
A rel at ed physi cal advant age grows out of the happy fact t hat the low
specific t r ansmi ssi on loss of lightguides, coupl ed with their use in digital
facilities, al l ows very l ong spaci ngs bet ween repeat ers. Thi s reduces great l y the
numbe r of r epeat er s t hat raeed to be housed in manhol es, an advant age
r emar ked upon ira Sect. 9.2.2. In fact, ira ma ny cases it ma y be possi bl e to house
the r epeat er s ent i rel y ira t el ephone offices or ot her above- gr ound st ruct ures.
Thi s is an i mmense advant age to the t el ephone compani es f r om t he st andpoi nt
of mai nt enance and i nst al l at i on experase, as well as reliability.
9.2.4 Comparative Economics
It is difficult to be very quant i t at i ve about the compar at i ve costs of met al l i c and
fiber systems, since the costs depend so much on the model used, the met hod of
appl i cat i on, and the cost s of the opt i cal el ement s t hemsel ves, which are not yet
compl et el y det ermi ned.
However , as t he anal ysi s in Sect. 9.1.2 has shown, the domi nant par amet er ,
at least for r epeat er ed lines, is the i nf or mat i on capaci t y per lightguide. The
quest i on is whet her fibers demons t r at e adequat e capaci t y, and whet her this
capaci t y is requi red in the par t i cul ar appl i cat i on.
A si mpl e exampl e may serve to pin down the r ange we are deal i ng with. A
moder n syst em (the Bell Syst em' s T1C), when it makes use of s ome recent l y
avai l abl e exchange ar ea pai red cabl e of i mpr oved charact eri st i cs, can put some
3 Mb/ s on each of 1800 pairs. Thi s cabl e is about 9.6 cm in di amet er, which will
essentially fill a s t andar d t el ephone duct. Taki ng t wo- way t r ansmi ssi on as our
st andar d, we classify this syst em as about 2700 Mb/ s. Si mi l ar number s woul d
be obt ai ned for a new coaxi al system, T4M. (The l at t er is a bit mi sl eadi ng, since
the cabl e used for t hat syst em coul d pr obabl y easily handl e doubl e the capaci t y
of T4M. )
Speaki ng very broadl y, we find t hat a t el ephone duct full of conduct or s has
an installed cost of ar ound 30 to 40 dol l ars per met er, al t hough coax ma y run
higher. If so, our cabl e above yields a cost in the nei ghbor hood of $13 per t wo-
way k m- Mb ( TWKM) . Now if we admi t some ranges of gains (and costs) we
mi ght concl ude t hat met al l i c medi a yield us a range of, say, $7 to $25 pe t.
TWKM, at least in t el ephone appl i cat i ons where fairly large t ransrni ssi on cross
sect i ons ar e empl oyed.
How do fibers c ompa r e ? Of course, the installed costs of fibers are not well
det er mi ned as yet, but i ndi cat i ons ar e now t hat the costs under high vol ume
condi t i ons will range f r om per haps 5 to 20 cents per fiber met er, installed.
Taki ng 100Mb/ s as a comf or t abl e wor ki ng upper limit for fiber capaci t y, at
least of current gr aded- i ndex design, we concl ude t hat fibers coul d yield costs in
the r ange of $1 to $4 per TWKM : cheaper t han met al l i c by a fact or of f r om as
little as 2 to as much as 25.
It is t hus safe to concl ude t hat fibers shoul d beat out met al l i c conduct or s in
"specific" costs. However , the si t uat i on is compl i cat ed by the fact t hat fibers do
266 J. H. Mullins
not subdi vi de conveni ent l y as do met al l i c medi a, a fact which can be viewed as
bot h an advant age and a di sadvant age. The i nf or mat i on car r yi ng capaci t y of a
fiber is essentially i ndependent of its area, and t here is no cr osst al k pr obl em. So
since smal l er fibers are cheaper the economi cs push us t owar d fibers as small as
possible. Splicing and handl i ng consi der at i ons place a limit to this. The net
result is t hat there is an economi c l ower limit to the " qua nt um" of i nf or mat i on
rat e for fibers for a given set of syst em c ompone nt costs.
For exampl e, digital carri er qual i t y t el ephone exchange pai red cabl e gets
installed t ypi cal l y for ar ound 2cent s/ met er or less. Therefore, fibers are not
likely, at least in the near future, to compet e well if t hey handl e the same dat a
rat e as pairs. Based on the admi t t edl y br oad number s above, we woul d expect
to requi re each fiber to car r y several t i mes as much as a pai r of wires, per haps as
much as a fact or of 10 or more.
The above is highly simplified, of course, and does not t ake i nt o account the
l onger fiber r epeat er spaci ngs and smal l er duct occupancy. However , these fiber
advant ages t end to be offset by cert ai n pr obl ems, havi ng mai nl y to do with new
t echnol ogy and field handling. As a result, at least at the outset, it appear s t hat
the t el ephone pl ant woul d be bet t er served by fibers bei ng used at a relatively
high dat a rate.
Such consi der at i ons have led to the design of the exper i ment al interoffice
t r unki ng syst em descri bed in the following sections. The syst em oper at es at
44.736 Mb/ s, which is a st andar d level in the Nor t h Amer i can digital hi er ar chy
(see Sect. 9.3.1). Thi s is high enough, it is felt, to make economi c prove-i n very
likely, yet not so high, at least in the U.S. t el ephone net work, as to di scour age
wi despread use.
One mi ght s ummar i ze the requi red charact eri st i cs as fol l ows:
a) Hi gh i nf or mat i on capaci t y per fiber ( > 20 Mb/ s) ;
b) Long r epeat er spaci ngs ( > 7 kin) ;
c) Very small cabl e size ( ~ i cm di amet er).
We will see t hat the descri bed syst em comes r easonabl y close to these
charact eri st i cs.
9. 3 The Chicago Lightwave Project, System Components
9.3.1 Basic System Parameters
The system, as has been not ed in Sect. 9.1.1, is a "l ong", "di gi t al " syst em [-9.6, 7].
It is desi gned to oper at e as a mul t i pl y r epeat er ed line at a digital rat e of
appr oxi mat el y 45 Mb/ s. Its pr i mar y use is for t el ephone interoffice t r unki ng, at
which t i me it oper at es at 44.736 Mb/ s, the DS3 level in the Nor t h Amer i can
digital hi erarchy. However , it can al so be used to car r y vi deo and dat a, and
these appl i cat i ons are al so being tested in Chi cago. In or der to t ake ma xi mum
advant age of t he l ong r epeat er spaci ng the syst em empl oys APD det ect or s and
An Il l ust rat i ve Opt i cal Communi cat i on Syst em 267
I
E L E C T R I C A L I O P T I C A L .,I Fig. 9.1. Basic el ement s of u
l i ght wave t r ansmi ssi on syst em
! [
I
TERMINAL OPTI CAL LIGHTGUIDE LIGHTGUIDE
(ELECTRICAL REPEATERS INTERFACE CABLE
ONLY) ( TRANSMI T- ( PAT CH ( FI BERS IN
RECEIVE) FI ELD) SHEATH)
I . R , O I ' I R E a O E R I
Fig. 9.2. Typi cal
equi pment
TRANSMITTING
)
, i S C R ' B ' E R V - - ' , R , " M , T T E "
t ermi nal
RECEIVING
io
O E -
S C R , M B , E . I - I . . . . . . . . I - I . O . I , J - -
FRANIt= R*
~ * PLUG-INS USED IN
ERROR * OTHER SYSTEMS
PROCESSOR
GaAI As injection lasers as sources. To handl e this high rate and long spacing it
is necessary to use graded-i ndex fibers. For short spans it is possible to
subst i t ut e the simpler LED source for t he mor e compl ex laser, and this is being
done in one span of t he Chi cago trial. However, for the sake of pl ant
commonal i t y it woul d seem desirable always to use the high qual i t y graded-
index fibers.
Any compl et e t ransmi ssi on system nmst car r y with it a sat i sfact ory signal
processi ng system at the terminal, and a usable set of equi pment and
pr ocedur es for mai nt enance, per f or mance moni t or i ng, and repair. Much of this
l at t er set of functions resides also in the terminal. Li ght wave systems are not
except i ons to these requi rement s, and in fact the maj or por t i on of the expense
and compl exi t y of these systems may well be with the terminal functions.
However, these have very little to do with optical fiber transmission, so we will
ment i on t hem onl y in passing.
268 J. H. Mullins
Table 9.1. Chief system characteristics
Modulation scheme
Code format
Information rate
Sources
Receiver
Repeater spacing
Fiber type
Cable type
Number of fibers
Splicing
Single fiber connectors
Rearrangement technique
Expected bit error rate
General application
Digital
Binary, uonreturn to zero
44.736 Mb/s
GaAIAs laser or LED
Silicon APD
> 7 km (with laser)
~3km (with I.ED)
Graded index, NA~0.23
Ribbon structure
Up to 144
Array connectors, factory applied
Transfer molded conie-biconic
Lightguide distribution panel
<10 -7
Interoffice trunking, video, data
The si mpl est bl ock di a gr a m of t he t er mi nal , opt i cal , i nt erface, a nd cabl e
por t i ons of t he syst em is s hown in Fig. 9.1. We will be c onc e nt r a t i ng mos t l y on
t he opt i cal por t i ons , but first wi sh t o emphas i ze t he c o mme n t s in t he pr ecedi ng
pa r a gr a phs by r ef er ence t o Fig. 9.2. Thi s r epr esent s t he a r r a y of e qui pme nt used
in t he t er mi nal t o al l ow pr ope r i nt er f ace t o t he 44. 736 Mb (DS3) si gnal and t o
ensur e pe r f or ma nc e moni t or i ng. I f t he s ys t em is t o be used t o t r ans mi t vi deo, a
di fferent t er mi nal a r r a n g e me n t is used, a nd t he r at e ma y be sl i ght l y different.
I n t he f ol l owi ng five sect i ons, t he c o mp o n e n t s whi ch ar e mor e r el evant t o
l i ght wave t r ans mi s s i on will be descr i bed. The chi ef char act er i st i cs of t he s ys t em
ar e s umma r i z e d in Tabl e 9.1.
9.3.2 Cable and Splicing
The cabl e used for this syst ern was ma d e at Bell Te l e phone La bor a t or i e s at
At l ant a, Ge or gi a [9. 8], usi ng fibers ma n u f a c t u r e d at t he Wes t er n El ect r i c
facility t here. Thes e fibers were ma de by t he Modi f i ed Chemi cal Va p o r
Depos i t i on ( MCVD) pr ocess [9. 9], and ar e pr i mar i l y ge r ma ni a dope d silica.
Thes e gr aded- i ndex fibers have a numer i cal aper t ur e of a ppr oxi ma t e l y 0.23, a
cor e di ai net er of 55 lam, and an out e r di amet er of l l 0 g m. The y have a t ypi cal
l oss at 0 . 8 2 g m of a r o u n d 4 d B/ k m, and b a n d wi d t h f or a si ngl e ki l omet er of
fi ber of a r o u n d 600 MHz , t ypi cal l y.
The fibers ar e cover ed wi t h a pr ot ect i ve pl ast i c c oa t i ng and as s embl ed in
r i bbons of 12 fibers each. These r i bbons ar e t hen as s embl ed in st acks of up t o 12
and t hen ar e hous e d in a pr ot ect i ve s heat h as s hown in Fig. 9.3. The s uppor t i ng
or s t r engt h me mbe r s in this a p p r o a c h ar e in t he sheat h, or out er cover i ng.
Ot h e r cabl e desi gns [ 9. 10] e mpl oy a s t r engt h me mb e r in t he cent er of t he cabl e,
An I l l u s t r a t i v e Op t i c a l C o mmu n i c a t i o n S y s t e m 2 6 9
12ramOD
POLYOLEFI N SHEATH SHEATH
%
TWI NE STRENGTH \ ~ '~
MEMBERS
PEJACKET~
~ ~ ~ ~ ~ ~ ~ i ~ T W O R I B B O N ~.- ~" ~ i
PAPER
CONNECTOR Fi g. 9. 3. L i g h t g u i d e c a b l e d e t a i l , c o n t a i n i n g t wo r i b b o n s ( " C h i c a g o ' "
cable)
with t he lightguides sur r oundi ng it. Except for the cent ral st rengt h member, this
st ruct ure is similar to t hat of conveut i onal metallic cable.
Since this is not i nt ended to be a text on cable and cable designs, we will
cont ent ourselves with the observat i on t hat t he cable has been descri bed mor e
fully in ot her publ i cat i ons [9.9]. It is sufficient to not e t hat the r i bbon design is
i nt ended to facilitate splicing, which is accompl i shed by the use of precision
ar r ay connect or s [-9.113. These are i nt ended to be fact ory applied in the usual
case, al t hough they can be appl i ed in the field when condi t i ons warrant . They
consist of stacks of precision gr ooved chips, in this case made from silicon by
use of phot ol i t hogr aphy and preferential et chi ng techniques. The ext remel y
high precision t hat results from this process is responsible for the excellent fiber
al i gnment and low splice loss achi eved using this technique.
At hough the gr ooved chips creat e the precise rect angul ar ar r ay for
posi t i oni ng of the lightguides, the met hod places severe demands upon the
di mensi onal t ol erances of the fibers themselves, and upon the cent eri ng of the
core inside the glass cladding. The connect or splicing met hod is i nherent l y very
inexpensive and requires little time and onl y a low level of skill to appl y in the
field. Ther e are ot her met hods, such as manual single fiber al i gnment or electric
arc fusing of single fibers [9. 12-14] which depend less on t he accur acy of fiber
paramet ers, but which call for consi derabl y great er skill and requi re much mor e
time per fiber in the field to apply.
9 . 3 . 3 Cabl e Te r mi na t i o ns and Si ngl e Fi ber Co nne c t o r s
Fr om the st andpoi nt of pure practicality, one of the most i mpor t ant system
requi rement s is t hat of the single fiber connect i on. Whet her we envision
lightguide rearrangement s, pat chi ng ar ound a br oken or defective lightguide,
or connect i ng up the sources and det ect ors, we see t hat we always requi re some
t ype of "single fiber" connect i on t hat is demount abl e. A nondemount abl e
270 J. H. Mullins
Biconical
Nut / , sl eeve
I
Plug Snap ring
Fig. 9.4. Single fiber connector
connect i on coul d in principle be used, but the clumsiness of such an arrange-
ment woul d be extreme. Any t rul y practical system will pr obabl y requi re
demount abl e connect i ons, and we will see examples in the system described
here.
Different types of single fiber connect or s have been r epor t ed in the l i t erat ure
[-9.15, 16]. One general class which has a number of vari ant s depends upon
precision machi ned pieces to insure accur at e al i gnment of the lightguides for
low coupl i ng loss [9.16]. Some of these types even r emove the r equi r ement of
accur at e cent eri ng of the fiber cor e in the glass cl addi ng by deferring the final
machi ni ng or bondi ng until after the fiber is in place in the connect or. One can
then use the lighted fiber core to cent er the machi ni ng, grinding, or bondi ng
operat i on.
Most of the precision piece part connect or s are i nherent l y fairly expensive.
The connect or empl oyed in the Chi cago system takes anot her appr oach.
Rat her t han dependi ng upon precise pieces, it depends upon a precision
transfer mol di ng process [9.15]. The lightguide is mol ded in place into a
t apered plug which is designed to but t against an identical second plug inside a
mat i ng bi coni c guide, as shown in Fig. 9.4. St abl e mat eri al s are requi red for t he
finished parts, so a heavily silica filled epoxy is used. The process depends for its
success also on t he accur acy of the dies, accurat e process cont rol , and last but
cert ai nl y not least, consi derabl e accuracy in the lightguide, since the cent eri ng is
accompl i shed with respect to the out er surface of the fiber, not the core.
However, if this t echni que can pr oduce low enough connect or losses, which it
appears to do [9.15], it is pot ent i al l y an appr oach which can lead to very cheap
connect ors.
The connect or s are used in several places in the system. In one appl i cat i on,
they are used much in the manner of a connect or on the back of a convent i onal
pri nt ed circuit board. The source or det ect or is connect ed by means of a
pr ot ect ed opt i cal fiber t o one of the connect or plugs. This plug is fastened to the
pri nt ed circuit boar d so t hat it mates with a biconic cont ai ni ng a second plug
when the boar d is inserted i nt o the shelf as shown in Fig. 9.5. The bi coni c and
An Illustrative Opdcal Communication System 271
Fig. 9.5. Back plane and circuit board single fiber conneclor
second pl ug are carri ed on the shelf. Thi s ar r angenl ent t hen al l ows opt i cal and
electrical cont act to be made t oget her when the boar d is inserted i nt o the shelf.
The obvi ous t ol erance pr obl ems are over come by the use of guidepins, spri ng
l oadi ng, and mechani cal l y fl oat i ng shelf har dwar e.
The single fiber connect or s are al so used in anot her very i mpor t ant par t of
the syst em, the por t i on desi gnat ed as the "l i ght gui de di st ri but i ng panel " (LDP).
The ends of the cabl e which a ppe a r at the t ermi nal are made accessible by
means of a "f anout ". Thi s is an ar r angement of pr ot ect ed fibers which are
collected i nt o an ar r ay connect or at one end, which in t urn mat es with the ar r ay
connect or at the end of t he cable. The ot her end of the f anout is compos ed of
the plugs of single fiber connect or s, each of which is mol ded ar ound one of the
fibers. These plugs are inserted in one side of an ar r ay of biconic pieces which
t hemsel ves const i t ut e the LDP, Connect i on is t hen made to the cabl e by means
of a single fiber "pat chcor d", which consi st s of a single pr ot ect ed l i ght gui de
with a single fiber connect or pl ug on ei t her end. The pat chcor ds can be used to
connect the cabl e fiber ei t her to the sources or det ect or s or to ot her cabl e fibers.
9.3.4 Optical Components- Laser, LED, APD
The details of t ypi cal devices and associ at ed ci rcui t ry have been discussed in
Chaps. 2, 3, 5, so our discussion here will be descri pt i ve only. The Ga AI As laser
t r ansmi t t er is of the doubl e- het er ost r uct ur e st ri pe geomet r y, and is capabl e of
272 J. H. Mullins
Tabl e 9.2. Repealer characteristics
Code
Rate
Source
Power into fiber
Receiver
Sensitivity
AGC range
Clock pull-in range
Clock jitter BW
Unrestricted binary, nonreturn to zero
44.736 Mb/s
GaAIAs laser or LED
- 3 dB m, average of 1 and 0 (laser)
- 20dB m, average of 1 and 0 (LED)
Avalanche photodiode
- 53dBm average into fiber for 10 ~ bit error rate
70dB electrical (35dB optical)
+5Ml l z
60kHz
injecting appr oxi mat el y 1 mW of peak power into the fiber. St abi l i zat i on is
accompl i shed by feedback, utilizing t he light from the back side of the laser i nt o
a p- i - n di ode t o establish stable operat i on. The LED, when it is used instead of
the laser, is a doubl e- het er ost r uct ur e Burrus type, with a direct (nonfeedback)
driving circuit.
The det ect or is an aval anche phot odi ode (APD). At the high bit rat e
empl oyed here, t here is 10 to 12 dB of advant age gained by empl oyi ng an APD
r at her t han a p- i - n di ode det ect or. This is well wor t h the addi t i onal compl exi t y
of the high vol t age circuit.
An addi t i onal use is made of the APD, in provi di ng some aut omat i c gain
cont r ol (AGC). The mul t i pl i cat i on fact or is al l owed to range from ar ound t wo
up to about 100, dependi ng upon the st rengt h of the received signal. The
usefulness of this is expl ai ned more fully in the next section.
A summar y of the charact eri st i cs of t he repeat er is found in Tabl e 9.2.
9. 3. 5 El ect roni c Co mpo ne nt s - Regenerat or
A bl ock di agram of the r egener at or is shown in Fig. 9.6. For purposes of this
proj ect the r egener at or (which we define as a one- way repeat er) was i mpl ement -
ed upon t hree separat e plug-in modules, cor r espondi ng t o the t hree functions
shown in Fig. 9.6. This was done for conveni ence only, however, and is not
fundament al to the design. Pract i cal designs will pr obabl y include all of a
r egener at or on a single modul e, or perhaps even t wo regenerat ors on a single
modul e to make a compl et e repeater.
The functions are divided i nt o "receiver", "deci der", and "t ransmi t t er". The
receiver includes the APD, its preamplifier, and all the AGC. It is the linear
channel of the repeat er and provides a great deal of power gain - over 80 dB, if
the mul t i pl i cat i on of the APD is included.
Gai n cont r ol is achieved bot h t hr ough t he APD and with a convent i onal
AGC amplifier. Toget her, t hey provi de appr oxi mat el y 70dB of (electrical)
cont rol , which is set by a peak det ect or on the out put of the receiver to
An Illustrative Optical Communication System 273
RECEIVER \ / DECIDER
DETECTD
& PREAM
CONTR(
\ / - - TRANSMI TTER ---~
, I
Fig. 9.6. Regenerator block diagram
st andardi ze the out put pulses to appr oxi mat el y 1 volt peak to peak. The AGC
is requi red in or der to make the r egener at or i nt o a practical field component .
This r egener at or aut omat i cal l y adjusts itself to a wide range of operat i ng
condi t i ons, t hat is, to high loss and low loss spans, wi t hout the need for external
opt i cal at t enuat or s or adj ust ment s, or, for t hat mat t er, even for measur ement of
the opt i cal loss. The large range is needed because of the "squar e law" nat ur e of
t he det ect or. The 70dB electrical range cor r esponds onl y to 35 dB of opt i cal
range.
Discussion of the details of receiver characteristics which det ermi ne the
sensitivity is cont ai ned in Chap. 4. Recei ver characteristics are summari zed in
Tabl e 9.2. One especially i mpor t ant poi nt about this design is t hat t here is no
equal i zat i on. The filter charact eri st i cs are purel y t hat of a low pass filter to limit
noise. Thi s implies t hat the fiber is t aken as possessing onl y flat loss - no
significant dispersion.
The deci der cont ai ns the convent i onal r egener at or functions of clock
ext ract i on and decision. Al t hough it has not hi ng t o do with the opt i cal
transmission, as such, the deci der does empl oy a novel f r equency/ phase l ocked
l oop [9.17]. This allows the r egener at or to have a very nar r ow j i t t er bandwi dt h
and yet be able to handl e a reasonabl e vari at i on (_+ 10 %) in symbol rate.
The t ransmi t t er, as has been ment i oned in Sect. 9.3.4, empl oys a laser with
opt i cal feedback cont rol . Thi s allows the system to oper at e over a wide range of
t emper at ur es (0 to 50 C) and to t ol erat e a qui t e subst ant i al aging change.
9.3.6 Test Equipment
No t ransmi ssi on system is compl et e wi t hout a set of accompanyi ng testing
procedures and equi pment . Some are common to all repeat ered lines, involving
per f or mance moni t ori ng, fault l ocat i ng equi pment , repeat er testers, and so
forth. For our purposes here, however, we wish onl y to ment i on t wo instru-
ment s which are peculiar t o optical fibers and which were used in the
274 J. H. Mullins
i nst al l at i on and testing of the syst em in Chi cago. These are a loss measur i ng
i nst r ument and an opt i cal t i me domai n refl ect omet er.
The loss measur i ng test set ( LMTS) is a st r ai ght f or war d i nsert i on loss
i nst rument . It consi st s of a source, det ect or, and s ome lightguide i nt erfaci ng
technique. In the case of the i nst r ument used in t he Chi cago i nst al l at i on, the
i nt erface consi st ed o f a f anout si mi l ar to t hat descri bed in Sect. 9.3.3. One end of
the f anout mat ed with the cabl e ar r ay splice, and the ot her end t er mi nat ed in
single fiber connect ors. The l at t er coul d be pl ugged i nt o ei t her the source or
det ect or of the LMTS.
In pract i ce, the i nst r ument is cal i br at ed by i nsert i ng a s t andar d fiber
pat chcor d bet ween source and det ect or and "zer oi ng" the i nst rument . Then t he
unknown replaces the st andar d pat chcor d and the added loss is not ed.
Obvi ousl y, when an installed piece of cabl e is being measur ed, the source and
det ect or mus t be separ at ed by a consi der abl e di st ance, or else t wo i nst r ument s
must be used, which are careful l y cross cal i brat ed. In ei t her case, qui t e
consi der abl e st abi l i t y is requi red of t he sour ce and det ect or. To gain addi t i onal
sensitivity, the usual t echni ques of such i nst r ument s are awfilable. For exampl e,
the source can be modul at ed at a fixed (usually audi o) frequency, and a nar r ow-
band filter empl oyed at the receiver, in any case, the i nst r ument requi res access
to bot h ends of the cabl e for best results. Some l oop- back t echni ques coul d be
appl i ed, but these reduce the sensitive range by a fact or of t wo and compl i cat e
the cal i brat i on.
The ot her i nst rument , which does not requi re access to bot h ends of the
t mknown, is the opt i cal t i me domai n r ef l ect omet er ( OTDR) . Al t hough this
i nst r ument does not have the r ange or precision of loss meas ur ement possessed
by the LMTS, it does pr ovi de some loss measur ement , plus a weal t h of
localized i nf or mat i on such as fiber defects, breaks, posi t i on and condi t i on of
splices, and regi ons of high loss. The ability of the i nst r ument to det ect reflective
br eaks is si mi l ar to t hat of a convent i onal electrical T DR; t he loss measur e-
mcnt ability derives from its ability to det ect and measur e the backwar d
Rayl ei gh scat t eri ng [9.18, 193.
A bl ock di agr am of the i nst r ument t hat was empl oyed in the Chi cago
i nst al l at i on is i l l ust rat ed in Fig. 9.7. The l aser source is a short pulse, l ow dut y
cycle, high peak power Ga AI As laser. The det ect or can be ei t her an APD or, for
mor e range, a phot omul t i pl i er .
In practice, the i nst r ument is usual l y connect ed to the cabl e at one
t er mi nat i on, for exampl e, at the LDP (see Sect. 9.3.3) via a single fiber
connect or. By use of a si mpl e scope di spl ay of the r et ur ni ng signal, one is abl e
to l ocat e splices, breaks, or the cabl e ends out to l ong di st ances - often
cor r espondi ng to r ound t ri p fiber losses gr eat er t han 60dB. By the use of
different laser pulse wi dt hs it is possible to t rade off sensitivity for selectivity.
That is, a shor t pulse localizes breaks accur at el y but t ol erat es less fiber loss,
whereas a l ong pulse ret urns a st r onger reflection but gi~ es a less well-localized
response. In any case, using the si mpl e scope display, one can general l y localize
a splice or br eak to within a few meters.
SYNC
LASER PULSER
An I l l ust r at i ve Opl i cal Co mmu n i c a t i o n Syst em 275
COUPLER
FIBER
DETECTOR
A % . I N ,
PMT
DELAY, LOSS J
DISPERSION.,,
PROCESSOR
SCOPE
Fig. 9. 7. Opt i cal t i me d o ma i n
r et l ect omet er , bl ock di a gr a m
24
20
16
d> 12
o~
8
4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
LENGTH---KILOM ETERS
Fig. 9. 8. Loss per uni t l engt h of a
7 0 0 m fiber, as me a s ur e d by t he
opt i cal t i me d o ma i n r ef l ect omet er
When the OT DR is used to measur e loss, tile backwar d Rayl ei gh scat t er i ng
is s moot hed by a boxcar i nt egr at or or si mi l ar t echni que and t he resul t i ng
funct i on di fferent i at ed and normal i zed. Thi s gives a measur e of the loss per uni t
length. Fi gure 9.8 is the gr aph of the local loss of a 700 m fiber, deri ved f r om
meas ur ement s made by the OTDR. Thi s is a par t i cul ar l y i nhomogeneous fiber,
but serves to i l l ust rat e the utility of the i nst rument . Losses in splices can al so be
measur ed quant i t at i vel y by a meas ur ement of the difference in backscat t er i ng
before and aft er the splice.
The range of sensitivity of the i nst r ument can obvi ousl y be ext ended by
signal aver agi ng techniques. The source is a repetitive pulser, so t hat a much
mor e accur at e meas ur ement of ei t her the reflection or the backscat t er can be
obt ai ned by use of a gat ed i nt egrat or. Thi s is a circuit which opens a del ayed
gat e aft er the injection of each pulse. The reflection appear i ng in this gat e is
276 J. H. Muffins
FDP
VAULT,
FRANKLIN C.O.
MH
MH : "|
-f--CABLE SPUCE
]
\ C K C O O
O.6mi =0.9km
1 . 0 mi = 1. 6 k m
/ / / , .
I V WABASH
AULT I
C.O.
Fig. 9.9. Rout e of the Chi cago lightwave
system i nst al l at i on
accumul at ed over many pulses. By use of such aver agi ng t echni ques it may be
possi bl e to pr oduce an i nst r ument t hat will per f or m at least the field loss
meas ur ement s which are now per f or med by the loss measur i ng set, as well as
t aki ng care of the local fault det ect i on needs.
9. 4 Configuration and Installation of the System
9.4.1 Route Description
The rout e of the Chi cago l i ght wave syst em is i ndi cat ed schemat i cal l y in Fig. 9.9.
The onl y manhol es shown oil the di agr am are the five ill which splices were
made. Ther e are act ual l y 32 manhol es al ong tile rout e, as descri bed below.
The syst em connect s t wo cent ral offices, (CO), Wa ba s h and Frankl i n, and
one subscri ber l ocat i on, the Brunswi ck building, via under gr ound t el ephone
ducts. The t ot al length of the run is appr oxi mat el y 2.5 km, of which appr oxi -
mat el y 0.9 km lies bet ween the Brunswi ck bui l di ng and the Frankl i n CO, and
1.6 bet ween the Frankl i n and Wabas h COs.
As i ndi cat ed by Fig. 9.9, t here ar e 12 cabl e splices, count i ng tile ones to the
fanout s in the equi pment bays, all using the ar r ay connect or s discussed in Sect.
9.3.2. Five of these are in manhol es, t hree in cabl e vaults, and the r emai nder at
the equi pment bays. Ther e arc a t ot al of ten cabl e sections, all precut to length
and connect or i zed before installation. Al ong the r out e itself t here are 32
manhol es, onl y five of which cont ai n splices. The cabl e was pulled t hr ough the
others.
The l ayout and rout e condi t i on was per haps t ypi cal of congest ed met r opo-
litan areas. All manhol es were in streets, and were often very deep, SOlnetimes
An Illustrative Optical Communication System 277
F
' E o ~ - T v / A t l A s , c . o . 1
v i d e o I ~ . I
I v , o ~ o I
I IIASEIANO': ~ 1
I v , D ~ o I J ' - ' ~ ' ~ I
I I I A S E I I A N D I " 1 E N C O D E R I V I
V I D E O I. ~ -'
BASEIlAND r i o~'~R i ~ 1
I
I
I
I
I
L _ _ _ _ - L . . . .
r l i l T
I . EAOOU~RTE. S I I
L I I U I I D I N O J ' ~ I
I B R U N S W IC K
B U IL D IN G
I
I
1
I i
I
l ( T R U N K ]PO TS & D A T A ) l
_ _ _ _ . J L _ _ _ _ _ I _ _ - - I ._ - - . . . . .~
, PROTECTEO n L , ' ~
_ _ ~ L . . i o o s - - ' )
L D D S . u s O F F iC ~ j
Fig. 9.10. Syslcm block diagram
as deep as 10m. Because of the pr oxi mi t y of the Chi cago River, among ot her
things, (the river was within a bl ock al ong part of the route) the manhol es were
usually part l y filled with water. The state of congest i on of manhol es and duct s
is a good sample of the t ype of envi r onment t hat will nor mal l y be encount ered.
It provi des a real test for the t echnol ogy.
9.4.2 System Configuration
Fi gure 9.10 is a di agram of the system fron-I t he poi nt of view of services. The
open triangles represent lightwave t ransmi t t ers or receiveJ's. The lightwave line
here is denot ed by the desi gnat i on FT3. The F stands for fiber and t he T3 is a
remi nder that the line is operat i ng at the t hi rd level, in anal ogy with T1.
Ther e are several services carri ed on the system, but perhaps the simplest
use is t hat for digital interoffice t runks, as illustrated in the link between the
Fr ankl i n and Wabash COs. This empl oys a st andar d Bell System digital
multiplex, the M 13, to interface the DSI , or T 1, sources. The spare line shown is
aut omat i cal l y switched in when the per f or mance moni t or indicates unsatisfac-
t or y er r or performance. The FT3 line can carry 28 DSI lines (672 voice
circuits), al t hough onl y 24 are i mpl ement ed in this installation.
The link between the Frankl i n CO and t he Brunswick building carries a mix
of subscri ber t el ephone traffic (POTS), voi ceband dat a on digital subscri ber
278 J. H. Mullins
carri er and digital dat a service (DDS) data. Al t hough a fully-loaded FT3 line
coul d car r y 1120 voice circuits using the par t i cul ar subscri ber carri er empl oyed
here (Bell System SLC-40), onl y 78 voice circuits, one 2. 4kb/ s voi ceband dat a
circuit and t wo 4.8 kb/s DDS lines are act ual l y implemented. Thi s is all placed
on t hree of the avai l abl e 28DS1 channel s in the M13 feeding this link. A
st andby FT3 line is used here, as well.
The ot her FT3 links are used for Pi ct ur ephone Meet i ng Service (PMS).
This AT&T service uses a commerci al 4 MHz bandwi dt h monoc hr ome TV
signal for conferences. For purposes of t ransmi t t i ng the signal over t he FT3
link, the video signal is digitally encoded i nt o a 4-bit companded differential
PCM with a sampling rat e of about 11 MHz. Two t wo-way vi deo links are
provi ded. One runs from the subscri ber building (Brunswick) t o the Wabash
CO, which itself is adj acent to the television oper at i ng cent er (TOC). At this
poi nt connect i on is made to the nat i onwi de net work. The opt i cal fibers on this
link are pat ched t hr ough at the Fr ankl i n CO at the lightguide di st ri but i ng
panel, using no electronics.
The second, short er, PMS link serves a public r oom in the Illinois Bell
Tel ephone (IBT) headquart ers, and runs f r om the Fr ankl i n CO to the Wabash
CO.
Since this is an eval uat i on and not i nt ended to be per manent , all FT3 links
are backed up by convent i onal facilities. In part i cul ar, the vi deo links are
backed up by aut omat i cal l y switched systems using shielded vi deo pairs.
9. 4. 3 I ns t al l at i on o f t he Cabl e
The installation of the cable itself, per haps one of the most crucial tests of the
system from a practical viewpoint, was the r esul t , of a col l abor at i on bet ween
personnel from Bell Labor at or i es (BTL), West ern Electric (WE), and Illinois
Bell (IBT). The cable sections, 10 in number, were precut and connect or i zed by
BTL personnel before installation. Two shor t i nt rabui l di ng connect or i zed
opt i cal cables were installed, by WE personnel, from the cable vaul t to the
equi pment bay in t he Frankl i n CO and a similar i nt rabui l di ng cable was
installed in the Wabash CO. The remai ni ng seven connect ori zed cables were
installed in under gr ound ducts al ong t he r out e with five out si de pl ant manhol e
splices l ocat ed as indicated in Fig. 9.9, Since t here was no cable vault in the
Brunswick Building the cable entering the building ran directly to the
equi pment bay.
Pr i or to the installation of the 12 mm OD optical cable a pol yet hyl ene i nner
duct with an out si de di amet er of 24 mm was installed inside the old existing tile
duct by I BT personnel. The i nner duct provi ded a cont rol l ed envi r onment for
the opt i cal cable as well as a simple met hod of pressurizing ar ound the opt i cal
cable. No probl ems were encount er ed in installing and splicing the i nner duct.
The opt i cal cables were pulled i nt o the i nner duct and spliced by BTL with the
assistance of IBT personnel. Special opt i cal cable installation equi pment was
An Illustrative Oplical Communication System 279
designed and built by BTL including sheaves and a special reel and reel
handl i ng assembly which allowed cable to be paid out in opposi t e di rect i ons
from an i nt ermedi at e point. The t wo-way cable pull reduces the cable pulling
t ensi on when cables are placed. All ten cables were pulled in wi t hout any fiber
breakage in the installation process. The five cable manhol e splices and seven
inside building cable splices were all of the gr ooved chip fiber ar r ay vari et y (see
Sect. 9.3.2). The optical splices were enclosed and prot ect ed by a special case
inside a modified st andar d t el ephone cable splice case. The splice cases also
permi t t ed pressuri zat i on cont i nui t y of the i nner duct.
9.4.4 Installation of Equipment
The equi pment was installed by BTL, WE, and 1BT personnel as well, and
proceeded most l y in a convent i onal manner. In fact the maj ori t y of the
equi pment , from the st andpoi nt of bot h quant i t y and cost, was st andar d
t el ephone equi pment and was handl ed in the usual manner. The onl y excep-
tions were the lightguide and rel at ed component s, such as the lightguide
di st ri but i ng panels (LDP). These were installed by BTL personnel. Even the
installation of the regenerat ors, because of the single fiber connect or arrange-
ment descri bed in Sect. 9.3.3, was a simple plug-in operat i on.
Ther e are, of course, places where special care must still be observed.
Lightguides are very small structures, and it takes very little di rt or ot her
cont ami nant s to bl ock or degrade a single fiber splice or connect i on. The single
fiber connect or s must be clean before t hey are mated, and the mass (array)
splice still requires care and a relatively high skill level. Experience and furt her
devel opment are expect ed to case these remai ni ng probl ems consi derabl y.
Experience with this first installation gives reason for opt i mi sm that the
equi pment installation in the fut ure will be a r out i ne and simple thing.
9. 5 Pe r f o r ma nc e and Res ul t s
9.5.1 Cable Characteristics
The fibers and cables used in this installation are similar to t hose empl oyed in
an earlier system experi ment carri ed out in 1975 at the Bell Labor at or i es-
West ern Electric facilities in At l ant a I-9.20 22]. The cable used for t he earlier
experi ment cont ai ned 144 fibers (12 ri bbons of 12 fibers), ot herwi se it was very
similar to the 24 fiber cable used in Chicago.
The per f or mance of the cabled fibers in bot h cases is illustrated in Fig. 9.11.
We observed a significant i mpr ovement in fiber loss characteristics, from the
At l ant a to the Chi cago cables, br ought about part l y by slightly l ower losses in
the fibers themselves and part l y by lower mi cr obendi ng losses in the cabl i ng
280 , I . t t . M u l l i n s
3 0
2 4 6
25
i . u
- - 2 0
u .
15
=E
z 10
35
B 10 12
.82/u.m CABLE LOSS IdB/km)
A T L A N T A EXP. - 1 9 7 5
1 3 8 T R A N S MI T T I N G FI BERS
ME A N = 6 . 0 d B / k m
CHI CAGO PROJECT - 1976
70 TRANSMI TTI NG FIBERS
MEAN -- S. l d B/ k m
14
Fi g. 9. 1 I . P e r f o r ma n c e o f t he
ca bl ed f i be r s
Z
,
6 7 8
WA B A S H- F RA NK L I N LOSS ( d B / k m) AT 0.82,u.m
F RANKL I N- BRUNSWI CK LOSS ( d B / k m AT 0. 82, u. m)
~. ASH--FRANKLI N: 1. 62 km
= 8. 3 d B / k m
FRANKLI N- BRUNSWI CK: 0. 94k m
8. 8 d B / k m
9 1 0 11
Fig. 9. 12. l nst ~l l l cd ~md s pl i c e d
c a b l e l os s e s
process. In the At l ant a cabl e the added mi cr obendi ng loss was about
L.5 dB/ km, whereas in the Chi cago cabl e it was nearer to 0.7 dB/ km.
However, cabl e losses al one are not the entire st ory. Splice losses, in an
i nst al l at i on such as this, play a significant role ill det er mi ni ng the final span
loss. In the Chi cago i nst al l at i on tile aver age cabl e section was about 350m.
An Illustrative Optical Communication System 281
This length is det ermi ned, not by the manuf act ur i ng process, which is capabl e
of pr oduci ng cables of 1 kin or perhaps much great er in length, but by the
nat ur e of the r out e itself. A typical met r opol i t an r out e is made up of many
short sections owi ng to manhol e pl acement , r out e congest i on, access re-
strictions, and ot her items t hat have very little to do with the t echnol ogy.
Consequent l y frequent splicing is unavoi dabl e and splice loss is a key item.
Even t hough the splices are r emar kabl y good and losses average less t han
0.5 dB per splice, the effect may be large. In this 2.5 km rout e, for example, t here
are 12 splices, count i ng the ones at the equi pment fralnes.
The result of this is seen in Fig. 9.12, which gives the effective loss in dB/ km
for the installed, spliced cable in Chicago. The average increase over the
unspliced cable amount s to mor e t han 3 dB/ km. Clearly the reduct i ons of cable
loss proj ect ed for the fut ure must be accompani ed by lower splice losses, longcr
cable sections, or both.
9.5.2 Electro-Optical Performance
The per f or mance of the system as a whol e has been r emar kabl y good. The er r or
per f or mance is out st andi ng, which is not surprising consi deri ng t hat the spans
are qui t e short compar ed to the capabilities of the system. The longest span, the
Brunswick to Wabash PMS link, is onl y 2. 5kin, whereas the system (as
discussed in Sect. 9.5.3) is capabl e of spanni ng 6 to 7 km with excellent er r or
performance.
The links are short enough in most cases to requi re the use of some optical
at t enuat i on even with the 70 dB AGC (for the lasers onl y t here is an LED link
which does not requi re at t enuat i on). Consequent l y, the er r or per f or mance is
expect ed to be good, and from the st andpoi nt of the devices, the greatest
interest is cent ered on reliability. The lasers and APDs used in this system were
also used in the early experi ment in Atlanta. Of the 12 lasers, some 60,000
device hours have been accumul at ed in Chi cago and related tests (as of l
Oct ober 1977), with onl y one device failure. The failed device was a laser
t ransmi t t er, and the defect was not a failure to emit, but a change of dynami c
characteristics which made it unstable, so t hat it pr oduced poor pulses.
Since these lasers were of an earlier (1975) vintage, their observed reliability
lends suppor t to the encour agi ng report s now being received of long-lived
lasers, appr oachi ng 10~'h [9.23, 24]. In general, device per f or mance has been
excellent.
9.5.3 Current Performance and Future Prospects
The system has been carryi ng coml nerci al traffic since May, 1977, and has been
responsible for no service outages. The er r or per f or mance is moni t or ed
cont i nuousl y by means of a bit-by-bit compar i son on a single DSI (T1 rate)
channel l ooped t hr ough the system. Oil 80 % of the days, the moni t or records
282 J. H. Mullins
no errors. Tile average over the ent i re peri od has amount ed to one er r or - second
per day, t hat is, one second duri ng which t here is an error. Such out st andi ng
per f or mance indicates t hat the i nherent er r or per f or mance is excellent, which is
to be expected as discussed in Sect. 9.5.2. Mor e i mpor t ant l y, however, it also
indicates t hat the system is relatively insensitive to the vari ous spuri ous
electrical di st urbances which abound in t el ephone offices and busy met r opo-
litan areas.
One of the interesting results of the test is an i ndi cat i on of the repeat er
spacing t hat can be expect ed from a real system. Designed repeat er spacing is
not simply deri ved from the average cable loss, tile average t ransmi t t er power,
and the average repeat er sensitivity. Much mor e goes into it. The role of splice
losses has al ready been discussed (Sect. 9.5.1). In addi t i on t here are single fiber
connect or losses, device aging, and some addi t i onal margin t hat any wise
designer will build into the system to t ake care of unknowns.
In addi t i on to all of the above it must be remembered t hat all of these
i mpai rment s have distributions, and the designer must set his limits not to the
average case (for then hal f of his systems woul dn' t work !) but for some poi nt on
the tail of the i mpai r ment di st ri but i on in the di rect i on of "wor st case", the t hree
sigma poi nt being a common choice. This comes about because of the nat ur e of
a digital system. The dependence of er r or rat e on signal-to-noise rat i o is so
steep t hat a very slight degr adat i on of a system oper at i ng near its noise limit
will pr oduce t ot al l y unaccept abl e performance. In ot her words, every link of a
repeat ered line must perform satisfactorily or the end-t o-end system will not.
Even so, based oil t he results of the tests in Chi cago it seems clear t hat the
designed spacing will be in excess of 6 kin, with relatively rninor i rnprovement s
capabl e of bri ngi ng it up to 7 or possibly 8 [9.7]. Earlier tests in At l ant a
indicated this also, with some links being ext ended to over 10kin by use of
special low loss splices [9.20, 22], Similar results have been report ed from
.lapan [9.25].
9.6 Concluding Remarks
This chapt er has discussed some of the general characteristics of fiber opt i c
transmission t hat make it suitable for appl i cat i on in the t el ephone plant, The
part i cul ar appl i cat i on emphasi zed, t hat of digital carri er for interoffice t runk-
ing, appears to provi de one of the earliest economi cal l y at t ract i ve oppor t uni t i es
for widespread applicatiol2.
The Bell Labor at or i es system under goi ng a test in the Illinois Bell
Tel ephone Company in Chi cago was designed specifically for this kind of
appl i cat i on, and was confi gured to be as nearly a "pract i cal " system as the state
of the t echnol ogy would permit. So far, results have been very encouragi ng.
Ot her systems for the same general ki nd of appl i cat i ons are now being
tested in tile USA, in the UK, in Europe, and in Japan [9.25, 26-]. Somewhat
An Illustrative Optical Communication System 283
di f f erent c ho i c e s h a v e been ma d e in t he s e t est s wi t h res pect t o c abl e des i gn,
s pl i ci ng, c o n n e c t o r des i gn, and i n f o r ma t i o n rate. On e t hi ng s e e ms cert ai n at t hi s
s t a g e - fi ber o pt i c s wi l l be appl i e d t o i nt e r of f i c e t r unki ng, a nd s o o n . We expect
t hat t he n u mb e r o f t he s e a ppl i c a t i o ns wi l l a l s o g r o w rapi dl y, s o t hat it wi l l be
o n e o f t he ma j o r e ar l y us es o f fi ber opt i cs .
F r o m t he s t a n d p o i n t o f pure v o l u me , h o we v e r , i nt erof f i ce t r unki ng c a n n o t
c o mp a r e t o t he s ubs cri ber o r "l oop" pl ant . The a mo u n t o f c a bl e in t he
t e l e p h o n e pl ant d e v o t e d t o t r unks is but a s mal l f ract i on o f t hat us e d f or
s ubs cri bers . Co n s e q u e n t l y , wh e n l i g ht wa v e t r a n s mi s s i o n begi ns t o be e c o n o mi -
c al l y c o mp e t i t i v e wi t h c o ppe r pai rs in t he s ubs c r i be r pl ant , we c an e xpe c t t o s ee
a very l arge g r o wt h in t he mar ke t . T o reach thi s poi nt , be c a us e o f t he di s pe r s e
nat ur e o f t he s ubs c r i be r pl ant , it wi l l be ne c e s s ar y f or fi bers t o pr o v e
c o mp e t i t i v e wi t h a mu c h s ma l l e r i n f o r ma t i o n f l o w per fiber - pe r haps as l i ttl e as
o n e v o i c e gr ade ci rcui t . The n, if we al s o ma i nt a i n t he abi l i t y o f t hat s a me fiber
t o ha ndl e a l arge i n f o r ma t i o n f l ow, we wi l l h a v e al s o t a ke n a l arge s t ep t o wa r d
t he day o f t he "'wired city".
R e f e r e n c e s
9.1 S.D.Personick: In Fumt ament al s ~1' OplicaI Fi her CommunicutioJls, ed. by M.K. Barnoski
(Academic Press, New York 1976) p. 172
9,2 J.A. Lombardi, R.E. Maurer, W.P. Michaud, J.P. Fitzsimnaons, W.J.Maybach, A,Anufl;
J.F.Graczyk, J.J. Ludwick, V..I, Mackey, J. D. Moore, R.S. Burncll, W.A.Janicki, F.E.Weber,
D. V. Anderson, B. B. Garg, P, 1:. M olander : Conf. Record Intern. Collf. oil Conllllun. ( 1 EEE,
San Francisco 1975) p. 39-1
9.3 P.E. Rubin, H.I. Maunsell, R.B. Robrock, C.A.Van Roesgen, M.A. Rich, .1.M.Trccker,
F. D. Waldhauer, A. l).Close, J.M.Stopyra, W.G. Hamme~t : Conl: Record Intern. Conl~ on
Commun. (IEEE, San Francisco 1975) p. 48-1
9.4 Bob Johston, Wally Johnston: Telesis 5, 66 (1977)
9.5 R.B.Moore, T.L.Maione, P. Brostrup-Jensen, J.R.Davis, P,T. Haury, J.l).Moore: Conf.
Record Intern. Conf . on Communications (IEEE, Seallle 1973) p. 22-1
9.6 T.k.Maione, D.D.SelI: IEEE Trans. COM-25, 517 (1977)
9.7 M.I.Schwarlz, W.A. Reenstra, J.H.Mullins: Post-l)eadlinc Papers of 1977 lntern. Conf.
Integrated Optics and Optical Fiber Comm. ([ECE/IEE Japan, Tokyo 1977) p. 55
9.8 M.I.Schwartz, R.A. Kempf, W.B.Gardner: Proc. 2nd Europ. Conf. Optical Fibre Commun.,
Paris (1976) p. 311
9.9 J.B, MacChesney, P.B.O'Connor, H.M.Presby: Proc. ll1:,E 62, 1278 (1974)
9. [0 Tech. Dig. Intern. Conf. Integrated Optics and Oplical Fiber Commun. (1ECI,/IEE Japan,
Tokyo 1977)
H. Murata, T.Nakahara, S.Tanaka: p. 281
N.Vchida, M.Koyama, S. hnao, M. Hoshikawa, T. Naruse: p. 285
A.Cook, S.G. Foord, M. M. Ramsay, A. R.Gilberl : p. 297
9.11 C.M.Miller: Bell Syst. Tech. d. 54, 1547 (1975)
9.12 D.L.Brisbce: Appl. Opt. 15, 796 (1976)
9.13 Y. Kohanzadeh: Appl. Opt. 15, 793 (1976)
9.14 A.Tardy, R.Jocteur: Proc. 2nd Europ. Conf. Oplical Fibre ColllnlUll., Paris (1976) p. 261
9.15 P. Runge, L.Curtis, W.C. Young: Tech. Dig. Topical Meeting on Optical Fiber Transmission
11 (IEEE/OSA, Williamsburg, Va. 1977) p. WA4
284 .1. II. Mul l i ns
9.16 N. Suzuki, M. Koyama, N. Kurachi, Y. Koyama, H. Furuta, S.Oguro : Tech. Dig. Intern. Conf.
Integrated Optics and Optical Fiber Commun. (IECE/IEE Japan, Tokyo 1977) p. 351
9.17 J.A. Bcllisio: Conf. Record Intern. Conf. oil Commun. (IEEE, Philadelphia 1976) p. 10-17
9.18 M.K.BarnoskLS.M.Jensen: Appl. Opt. 15, 2112 (1976)
9.19 S.D.Personick: Bell Syst. Tech. J. 56, 355 (1977)
9.20 Ira Jacobs: Bell I,ab. Rec. 54, 291 (1976)
9.21 I.Jacobs, S.E.Miller: IEF, E Spectrum 14, 32 41 (1977)
9.22 R.S. Kerdock, D.II.Wolaver: Conf. Record Nat. Telecommun. Conf. (IEEIZ, Dallas 1976) p.
37-2-1
9.23 T. Kobayashi, K. Wakila, T. Kawakami, G. lwane, Y. Horikoshi, Y. Seki, Y. Furukawa : Post-
Deadline Papers of the 1977 Intern. Conf. Integrated Optics and Optical Fiber Conlmun.
(IECE/IEE Japan, Tokyo 1977) p. 33
9.24 R.L. Hartman, N. E. Schumaker, R. [,. H artman : Appl. Phys. Lett. (1977) to be published
9.25 Tech. Dig. Intern. Conf. Integrated Optics and Optical Fiber Commun. (IECE/IEE Japan,
Tokyo 1977)
T. Miki, M.Koyama, H.lshio, K. Aoyama: p. 541
1. Kobayashi, M. Koyama, T. Matsumoto, K. Aoyama : p. 545
K.Nakagawa, Y.Okamo, E. Yoneda, H.Hiramalsu, Y.Ohgushi, Y. Mincjima, A.Miyata: p.
549
9.26 H. Mizugucbi, C.P.Sandbank, H.P. Unger, M. Tr e he ux , C. Boisrobert: Invited Papers Tech.
Dig. 1977 Conf. Integrated Oplics and O01ical Fiber Commun. (IECE/IEI~ ,lapan, Tokyo
1977) p. 503
10. Li g ht S o u r c e s - An Up d a t e
H. Kressel and M. Et t enber g
With 3 Figures
Since the compl et i on of Chap. 2, cont i nued effort in light sources for opt i cal
communi cat i on has been largely devot ed t o four main areas:
1) Pr oduci ng het eroj unct i on lasers of I nGaAs P/ I nP for emission in the 1.3 to
1.55 jam range ;
2) The devel opment of het er oj unct i on l nGaAs P/ I nP LEDs compar abl e in
qual i t y t o the earlier AIGaAs devices;
3) Devel opi ng A1GaAs st ruct ures with i mpr oved lateral mode stability at
relatively large power emission val ues;
4) St udy of noise propert i es beari ng on the appl i cat i on of lasers to com-
muni cat i on systems.
10.1 InGaAsP]lnP Devices
The I nGaAs P/ l nP het er oj unct i on st ruct ures have become of increasing interest
for the 1.3 to 1.55 pm spectral region useful for opt i cal communi cat i on.
Technol ogi cal progress has led to bet t er devices. The mat eri al synthesis
t echnol ogy produces reproduci bl e l at t i ce-mat ched st ruct ures and the ready
availability of InP subst rat es is helpful for the l ong-t erm commer ci al viability of
these devices. The t hreshol d current densities which are achi eved are appr oach-
ing t hose obt ai ned with AIGaAs devices (i.e., mi ni mum values in the
1-2 kA/ cm z range).
Al t hough the initial work was at 1.3 pro, t he laser emission is being moved
t o 1,55 gm because losses as low as 0. 2dB/ km [ I 0. I ] are achieved in optical
fibers at 1.55 pm. With removal of a hnos t all t he wat er from the fiber, the loss is
basically due to Rayleigh scat t eri ng which decreases as 24. Thus, t he ul t i mat e
loss at 1.55 jam is a fact or of 2 l ower t han at 1.3 jam. A basic absor pt i on
mechani sm in silica-based fibers restricts the wavelengths to less t han 1.6 p.m
[10.1]. Therefore, longer wavelengths will pr obabl y not be requi red unless
ent i rel y new fiber mat eri al s are devel oped.
The qual i t y of 1.3 and 1.55 gm emission l nGaAs P lasers has i mproved
rapidly. The last r emnant of absor pt i on due to OH in the fiber is current l y near
1.4 jam and thus 1.3 and 1.55 jam devices avoi d 1.4 jam or 1.6 jam absorpt i on.
Several single mode index-guided st ruct ures have been devel oped at bot h 1.3
and 1.55 jam [-10.2-10]. Such lasers have been used in demonst r at i on l abor at or y
systems t o t ransmi t up t o 800 Mb/ s over 60 km [10.13]. These lasers have been
286 H, Kr e s s e l and M. Etlenberl
pr epar ed by liquid phase epi t axy and vapor phase epitaxy. Li qui d phase
epi t axy is the current favorite.
The lowest t hreshol d cur r ent lasers have been obt ai ned with the buri ed
het er oj unct i on st ruct ure grown by liquid phase epi t axy [10.11, 14]. The
i mpor t ance of a low t hreshol d cur r ent in I nGaAsP lasers is due to the fact t hat
these lasers have a much steeper t emper at ur e dependence of t hreshol d com-
pared to A1GaAs lasers. Therefore, the heat i ng of the device can severely limit
high t emper at ur e operat i on. Thus, the l ower the operat i ng cur r ent density (and
the power dissipation), the better. The buri ed het eroj unct i on st ruct ure is very
suitable for I nGaAsP/ l nP. The fabri cat i on is easier t han with AIGaAs because
t here is no oxi dat i on of the InP aft er the et chi ng step pri or to the InP regrowt h.
Fur t her mor e, the facet damage limit for I nGaAsP is hi gher t han for AIGaAs
[10.14] so t hat the small emi t t i ng area of this st ruct ure does not severely limit
the out put power due to mi r r or damage. In fact, it does not appear necessary to
prot ect the facet with a dielectric coat i ng as is the case for the l ong-t erm reliable
oper at i on of AIGaAs lasers. Buried het er oj unct i on 1.3 gm lasers have been
made with t hreshol d current s as low as 8.5 mA [ i 0. 11] and t hey have oper at ed
at t emper at ur es as high as 95 C [10.14]. The devices have also been life-tested
wi t hout significant degr adat i on for peri ods exceedi ng 5000 h at 50 and 70'~C at
5r oW out put [.10.14]. Buried het er oj unct i on lasers have also been made
emi t t i ng at 1.551am [10.8, 10, 11]. At this time single mode lasers at 1.3 to
1.55 lam are still in the devel opment stage, whereas mul t i mode devices are
commerci al l y available. Reliable single mode 1.3 and 1.55 lam devices shoul d be
fully devel oped in the next few years.
The main out st andi ng pr obl em with lasers in the 1.3 to 1.55 gm region is
t hei r st rong t emper at ur e dependence of t hreshol d current . Thi s dependence is
charact eri zed by a T o value, as discussed in the Chap. 2, i.e. [ 1 , , o c e x p ( A T / T o ) ] .
AIGaAs lasers exhibit T o values between 100 and 200<'C, whereas I nGaAs P
lasers, bot h at 1.3 and 1.55 l~m, have T o values rangi ng from 30 to 70 C, with
T o = 6 0 ' C bei ng typical. With To=60 C, an increase in the active region
t emper at ur e from 10 to 70<~C increases the t hreshol d cur r ent by a fact or of
about 2.7. This active region t emper at ur e increase can be due to ei t her an
ambi ent t emper at ur e change or j unct i on heat i ng duri ng cw operat i on. We
illustrate in Fig. 10.1 the large effect t hat a T o = 60 C value has on cw oper at i on
by compar i ng the pulsed and cw t hreshol ds for I nGaAs P lasers and Al GaAs
lasers ( To= 170C). It is evi dent t hat the highest cw oper at i ng t emper at ur e of
the long wavelength laser is limited compar ed to the AIGaAs laser. To
maximize the I nGaAsP laser oper at i ng t emperat ure, very low t hreshol d
current devices or devices with very low t hermal resistance and electrical
resistance have to be made. In general, however, it is necessary to limit the heat
sink t emper at ur e of the I nGaAsP lasers by t hermoel ect ri c or ot her heat sink
t emper at ur e cont rol . The steep t emper at ur e dependence ,~f t hreshol d is t hought
to be due to an Auger nonr adi at i ve r ecombi nat i on process [-10.15] which is
pr obabl y present in ot her similar low bandgap materials. For example,
AIGaAsSb lasers also exhibit the same relatively low T o values [10.16].
Light Sources - an Update 287
7OO
6OO
5 0 0
4OO
5 0 0
2 0 0
I 0 0
0
0
L a s e r I ~ ~ C W ; P u l s e d
1.5/zm
0 . 8 F . m II 3 / J . m I I n G a A s P
T = I T O C T = 6 0 C I CW; Pul sed
R = 4 D I 0 . 8 F m
Zf h ( 2 2 " C ) = 100mA
T h e r ma l R e s . = 5 O o C / W I A I Ga A s
/cw
/
/
/ /
/ /
/ / " / P u I s e d
J ~ ~ C W
.....-. / .~. ~ P u l s e d
I I I I I I I I I I
I 0 2 0 5 0 4 0 5 0 6 0 7 0 8 0 9 0 100
A mb i e n t T e mp e r a t u r e ( C)
F i g . 10.1. Calculated pulsed and cw threshold currents for comparable A1GaAs 0.8/.un and l uGaAsP
1.3 p.m lasers. Values chosen are somewhat worse than the best achievable to empbasize the
comparison and to lake into account nonuniformities in real devices
-
n n
I E
taJ
o
Q.
I 0 t . .
. 8 4 p . m I
0 5 I 0 1 5 2 0 2 5
D I S T A N C E ( k i n )
50
Fig. 10.2. l)istance possible at various
data rates between 2 and 100 Mb/s for
a 0.84 p.m laser with a Si APD receiver
compared lo a 1.3 gill InGaAsP
LED/ I nGaAs PIN receiver system.
Parameters used are those for conl-
mercially available devices and fibers.
Pessimislic wtlues have been chosen
for the 1.3 pm components
288 H. Kressel and M. Ettenber 9
Ther e has also been consi derabl e activity in the devel opment of l nGaAs P
LEDs because not onl y are the losses in fibers much l ower at 1.3 1.55 gin t han
at ~0. 8 lam, but the spectral or mat eri al dispersion in fibers at 1.3 lam is close to
zero [10.17]. Since the limitation in t ransmi ssi on rat e and distance in optical
fibers is due to a combi nat i on of loss and dispersion, a lowering of bot h allows
1.3 IJm LED- dr i ven systems to compet e with some systems empl oyi ng 0.8 lain
laser diodes, as illustrated in Fig. 10.2 [10.18]. I nGaAs P LEDs have been made
in the surface-emi t t i ng [10. 19-23] and edge-emi t t i ng confi gurat i on [10.24].
The compar i son of these st ruct ures at 1.3 lam is similar t o t hat at 0.8 lain, as
discussed in detail in Chap. 2. Ther e are differences, however, between 0.8 lain
and 1.3 lam LEDs. One difference is due to the Auger or ot her nonr adi at i ve
r ecombi nat i on in the long wavelength materials. As a result, t here is a
sat ur at i on of the light out put [10.25] and bot h the highest radi ance out put and
efficiencies of LEDs at 1.3 lain and 1.55 gm is a hal f to a t hi rd of t hose at 0.8 lam.
For example, typical 0.8lain LEDs at r easonabl e drive condi t i ons
(100-200 mA) can coupl e 100-150 ~tW i nt o 50 lain core, 0.2 NA graded index
fibers. By cont rast , less t han 50 laW of coupl ed power is typical for 1.3 lam and
1.55 lam LEDs under similar condi t i ons.
The modul at i on rates for 1.3 lain and 1.55 [am LEDs are similar to t hose of
0.8 lain LEDs. However, the spectral linewidths differ. Even for spectral widths
as small as 200/~ at 0.8 lam, the di st ance-bandwi dt h pr oduct of a graded index
fiber is limited t o less t han 0 . 2 GHz . k m [10.26]. Good graded-i ndex mul-
t i mode fibers have a pr oduct of ~ 1 GHz . k m which is limited by modal
dispersion. In or der not to significantly i mpact the di st ance-bandwi dt h pr oduct
at 1.3 lam, t he source must have a spectral wi dt h of less t han 600/~ [10.26].
Such a nar r ow spectral width can be achi eved in edge-emi t t i ng LEDs [10.24]
due to the increased selective absor pt i on in these structures, but it has not been
achieved in surface-emitting LEDs where the spectral width tends t o exceed
900/~ [10. 19-23].
LED- dr i ven fiber opt i c systems at 1.3 lam shoul d be compet i t i ve with 0.8 gin
laser systems at least up to rates of about 100 Mb/ s (limited by t he modul at i on
rat e of t he LED). Fur t her mor e, the LED system' s great advant ages present l y
are in reliability and lower cost. In addi t i on to havi ng a si mpl er and t hus mor e
reliable driving circuitry, the 1. 3gin LEDs coul d t o be significantly mor e
reliable t han typical 0.8 lam lasers. The best 0.8 lain laser reliability dat a predict
a medi an time t o failure ( MTTF) at r oom t emper at ur e of 105-106 h and
25,000 h at 70 C [10.17]. By cont rast , dat a for 1.3 gm LEDs predi ct MTTF of
> 109h at r oom t emper at ur e and > 105 h at 70C [10.28, 29]. In fact, such
devices have been oper at ed for over 10,000 h at 170 C [10.28, 29] maki ng t hem
the most reliable light-emitting devices devel oped to date.
Since the i nt ernal degr adat i on process of lasers and LEDs is similar,
l nGaAs P lasers and LEDs shoul d event ual l y have compar abl e reliability,
al t hough this remai ns to be demonst r at ed. At this time, obt ai ni ng long-lived
I nGaAsP lasers appears to be subst ant i al l y mor e difficult t han for LEDs. Facet
damage is not believed to be a fact or in this difference. Rat her, it is the steep
Light Sources - an Update 289
t emper at ur e dependence of the t hreshol d current which makes the laser cw
out put very dependent on mi nor changes in the t hermal and electrical
resistances. An increase in these paramet ers is reflected in a decrease in the
power out put at const ant current owi ng to the increase in j unct i on t empera-
ture. Thus, compar ed to AIGaAs lasers, I nGaAs P lasers will show a larger
power decrease for equal changes in electrical and t hermal resistance.
Not e t hat as the last r emnant s of OH are r emoved from the fiber, the whol e
range of wavelengths from 1.2 to 1. 55gm can be used maki ng wavelength
mul t i pl exi ng practical with several wavelengths. One should be able to pr oduce
LEDs and lasers of I nGaAs P/ I nP of uni f or m charact eri st i cs and qual i t y across
the 1.3 to 1.55/am spectral region. For wavelengths between 1.2 and 0.9 gin,
anot her mat eri al s)istem will have t o be devel oped such as l nGa P/ I nGa As
[10.30] or AIGaSb/ AIGaAsSb.
10. 2 AI GaAs Devi ces
The work on AIGaAs lasers has been ai med at the refi nement of si ngl e-mode
st ruct ures and increasing their power out put and reliability. In addi t i on, some
work has been on movi ng the emission to shor t er wavelengths ( < 0.8 gm). Such
lasers are not being designed for fiber optics, because the loss in fibers increases
with shor t er wavelengths, but for dat a recordi ng and scanning where the
shor t er wavelength allows a reduced spot size.
Some of the single-mode st ruct ures which cont i nue to be devel oped for
optical fiber systems are the buri ed het eroj unct i on (BH), [10.31] the transverse
j unct i on stripe (TJS) laser [10.30], the pi ano-convex wavegui de (PCW)
[10. 33-35], t he channel subst rat e pl anar (CSP) [10.36], and the const ri ct ed
doubl e het er oj unct i on laser ( CDH) [10.37]. These are illustrated in Fig. 10.3
[10.38]. These devices are capabl e of out put s of a few milliwatts in a single
spatial mode. It has been consi st ent l y found t hat lasers which oper at e in a
single spatial mode due t o t he built-in dielectric wavegui de operat e in a single
l ongi t udi nal mode as well, and are thus true single mode lasers [10.38]. Such
lasers are commonl y called "i ndex-gui ded lasers". On the ot her hand, laser
st ruct ures such as oxi de stripe, pr ot on- bombar ded stripe, nar r ow stripe
[10.39], pl anar Zn diffused [10.40], or V-groove [10.41], are called "gain-
guided lasers" because the gain profile pri mari l y det ermi nes the effective lateral
waveguide. In general, these devices, while capabl e of pr oduci ng moder at e
out put powers (5-10 roW) in single spatial modes, pr oduce out put s with multi-
l ongi t udi nal (spectral) modes. Thei r spatial stability with aging [10.42], power
out put and t emper at ur e is significantly worse t han for the index-guided devices
and this affects the coupl i ng stability to optical fibers. Bot h index and gain-
guided lasers have exhibited oper at i ng lives of 5000 to 10,000 h at 70 C which
ext rapol at es, assumi ng a 0.6 to 0.9 eV "act i vat i on ener gy" for degr adat i on, to
105 to l 0 b h at r oom t emper at ur e [10.43].
The reliable si ngl e-mode out put of i ndex-gui ded lasers has been increased in
some structures. High out put s at 0.83 gm are useful in high dat a- r at e bus
290 H. Kressel a nd M. Ettenherg
Zn DIFFUSED
p-AIGaAs ~ O X I D E
n-GoAs ~ l n-AJ-Go As
n-A] GoAs
/ ,"~.. -~-- 1' n- GaAs
I~ ' P " ' ~ SUBSTRATE
(o)
.METAL
(~) ~ n - G a A s
~ ' ~ . ~ - - n- A. I GaA s
p* ~ n - G a A s
Y / / / / / / / , ~ / J I ~ - n - A , t G o A s
i-GoAs
2/zm SUBSTRATE
(b)
METAL
ZnDIFFUSION. .,,~,... /OXIDE
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . / n - G a A s
r ~ / . / _ / Z / _ / _ / _ / ~ I
- - / AIGaAs
" , ~ - - ; ~ n - A J G a A s
n- GaAs
--~ ~,~ SUBSTRATE
5Frn
METAL OXIDE
( ~ ~ j ~ - -AJ Ga As
P
! _ 7 " - / p - Ga As
~ n-AJ~GaAs
n-AJ~ GaAs
n- GaAs
SUBSTRATE
(c)
( d)
J
5 F r o
( e)
/METAL
. . . . . ~ T /OXIDE
, p-GoAs
p- A. t GaAs
A I G a A s
n - A~ Go As
n - GaAs
MI S ORI E NT E D
SUBST RAT E
Fi g. 10. 3a- e. Some o f t he i ndex-
gui de d si ngl e mo d e s t r uc t ur e s : (a)
bur i e d b e t e r o j u n e t i o n ( BH) ; (b)
t r a ns ve r s e j u n c t i o n s t r i pe ( TJ S) ;
(c) p i a n o - c o n v e x wa ve gui de
( PCW) ; (d) c h a n n e l s ubs t r a t e pl a-
na r ( CSP) ; a n d (e) c ons t r i c t e d
d o u b l e h e t e r o j u n c t i o n ( CDH)
distribution systems where distribution losses might outweigh the loss in the
fiber. Three structures have produced stable single spatial mode cw outputs in
excess of 15 mW: the buried heterojunction large optical cavity laser (BH-LOC)
[10.46], the CSP [10.47], and the constricted double heterojunction large
optical cavity (CDH-LOC) laser [10.48]. The power of these devices was
increased by making the mode larger in the direction perpendicular to the
junction either by adding another layer as in the LOC concept or by producing
a very thin active region (< 1000A) as was done in the high-power CSP. The
CDH-LOC ~levice has produced the highest power in a single-mode" up to
40 mW cw in both single spatial and longitudinal modes and up to 100 mW at
50% duty cycle in the fundamental spatial mode [10.49].
Light Sources - an Update 291
10. 3 Appl i cati ons
Are t here advant ages in usi ng onl y i ndex-gui ded lasers in opt i cal com-
muni cat i ons ? The answer depends on t he specific appl i cat i on and the pr oper -
ties of the avai l abl e gai n-gui ded devices. Li near out put s can be obt ai ned f r om
ma ny t ypes of devices up t o a few milliwatts. However , the i ndex-gui ded lasers
general l y exhi bi t a shar per t hr eshol d knee wi t h less s pont aneous emi ssi on
bel ow t hreshol d. Fur t her mor e, if a power out put in excess of 10 mW is needed
in a single spat i al mode, t hen selected i ndex-gui ded lasers are essential. In
addi t i on, the i ndex-gui ded lasers exhi bi t a mor e st abl e far-field pat t er n with
time, t hus ensuri ng t hat the coupl i ng efficiency to l ow numer i cal aper t ur e fibers
r emai ns relatively const ant over the life of the system.
Not e, however, t hat the single l ongi t udi nal - mode emi ssi on charact eri st i c of
well const r uct ed i ndex-gui ded lasers can act ual l y be det r i ment al in some
appl i cat i ons. Modal noise has been descri bed in mul t i mode fibers resul t i ng
f r om the det r i ment al sel f-i nt eract i on of a coher ent wave pr opagat i ng t hr ough
the fiber [10.44]. Thus, l aunchi ng a si ngl e-mode wave i nt o such fibers is
act ual l y det r i ment al t o syst em per f or mance. Anot her pot ent i al pr obl em area
with single l ongi t udi nal - mode emi ssi on is t hat caused by opt i cal feedback when
t he laser is close t o a reflecting surface (the tip of a fiber, for exampl e). The
opt i cal feedback i nt o t he laser can cause i nst abi l i t y in the i nput [10.45]. The
effect of the feedback depends on the di st ance bet ween the laser and t he
refl ect or relative to the coher ence l engt h of the laser emission. Thus, a single-
mode l aser with a l ong coher ence length is mor e difficult to use t han a mul t i -
mode device. Finally, not e t hat in Fabr y- Per ot lasers t here is no st r ong i nt ernal
gai n- dependent mechani sm for fixing a single l ongi t udi nal mode. Thus, a
t emper at ur e change (or any change in the gai n versus wavel engt h profile) will
shift the preferred l ongi t udi nal mode.
The utility of si ngl e- mode fiber syst ems is likely to gr ow as the bandwi dt h
limits are pushed [10.50]. By usi ng opt i cal i sol at ors with si ngl e- mode fibers, the
det r i ment al feedback effects can be l argel y avoi ded. Pul se code modul at i on at
8 Gb/ s has been demons t r at ed wi t h A1GaAs lasers [10.51]. Wi t h I nGa As P
lasers, modul at i on rat es to 2 Gb/ s have been r epor t ed [10.52].
References
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10.2 A.Doi, N.Chinone, K.Aiki, R.lto: Appl. Phys. Lett. 34, 393 (1979)
10.3 H.Kano, K.Sugiyama: J. Appl. Phys. 50, 7934 (1979)
10.4 l.P.Kaminow, R.E.Nahory, M.A.Pollack, L.W.Stulz, J.D. DeWintcr: Electron. Len. 15, 763
(1979)
10.5 K.Kishino, Y.Suematsu, Y.ltaya: Electron. Len. 15, 134 (1979)
10.6 R.J.Nelson, P.D.Wright, P.A.Barnes, R.L.Brown, T.Cella, R.G.Sobers: Appl. Phys. Letl.
36, 358 (1980)
10.7 E.Oomura, T. Murotani, H.Higuchi, H.Namizaki, W.Susaki: 1EEE J. QE-17, 646 (1981)
10.8 H.Nagai, Y.Noguchi, K.Takahei, Y.Toyoshima, G.lwane: Japan ,1. Appl. Phys. 19, L218
(1980)
292 II. Kressel and M. Ettenbert
10.9 K. Moriki, K. Wakao, M. Kitamura, K. Iga, Y.Suematsu : Japan J. Appl. Phys. 19, 2191 (1980)
I 0.10 K. Utaka, K. Kobayashi, K. Kishino, Y.Suematsu : Electron. Lett. 16, 455 (1980)
10. i1 LMito, K. Kaede, M. Kitamura, K. Kobayashi, S. Mat sushi t a: Tech. Digest IOOC '81, Paper
Tu A3, San Francisco, CA (1981)
[0.12 K.Sakai, F. Tanaka, Y.Noda, Y. Matsushima, S.Akiba, T. Yamamot o: IEEE J. QE-17, 1245
(1981)
10.13 E. l wa ha s hi : l EEEJ . QE- l ?, 891 (1981)
10.[4 M. Hirao, S.Tsuji, K.Mizuishi, A.Doi, M. Nakamur a: J. Optical Commun. I, 10 (1980)
10.15 G. H. B. Thompson, G. D. Henshal l : Electron. Lett. 2.6, 42 (1980)
I 0.16 L.M. Dolginov, A. F. Drakin, C.V. Druzhinina, P.G. Eliseev, M.G. Milvidsky, V. A. Skripkin,
B. N. Suerolov: 1EEE J. QE-17, 593 (1981)
10.17 D.N.Payne, W. A. Gambl i ng: Electron. Lett. 111, 176 11975)
10.18 l ). J. Channi n, M. Et t enberg: Proc. SPI E Technical Symposium on l~fi'ared Fibers, Los
Angeles, CA 11981) p. 40
10.19 A.G. Dentai, T.P. Lee, C.A. Burrus: Electron. Lett. 13, 484 11977)
10.20 K.Oe, S. Ando, K. Sugiyama: Japan J. Appl. Phys. 16, 1693 11977)
10.21 l. Umebu, O.Hasegawa, K. Aki t a: Electron. kett. 14, 499 11978)
11/.22 O. Wada, S. Yamakoshi, M. Abe, Y. Nishitani, T. Sakurai: IEEE J. QE-17, 174 (1981)
10.23 R.C.Goodfe[low, A.C.Carter, [.Griffith, R.R. Bradley: IEEE Trans. ED-2.6, 161 (1979)
10.24 G.H.O[sen, F.Z. Hawrylo, D. J. Channin, D. Botez, M. Ettenberg: IEEE J. QE-17, 2130 (1981)
10.25 R.C.Goodfellow, A.C.Carter, C.J. Rees, R. Davi s: Trans. E1)-28, 365 (1981)
10.26 D. J. Channi n: Private communi cat i on
10.27 M. Ettenberg, H.Kressel: IEEE.I. QE- | 6, 186 (1980)
10.28 S. Yamakoshi, O. Wada, S. Komiya, T. Sakurai : IEEE J. QE-17, 167 (198l)
10.29 R. Yeats, Y.G.Chai, T. l ). Gi bbs, G. A. Antypas : I EEE Electron Dev. Lett. EDL-2, 234 (1981)
10.30 C.J.Nuese, G.H.Olsen, M. Ettenberg, J. J. Gannon, T. J. Zamerowski : Appl. Phys. Lett. 29,
8O7 (1976)
10.31 T. Tsukada: J. Appl. Phys. 11, 4899 (1974)
10.32 S. Ni t a : I EEEJ . QE-15, 1208 11979)
10.33 T. Furuse et al.: 5th Eur. Conf. Opt. Commtm., Amsterdam, The Netherlands (1979)
Paper 22
10.34 R. D. Burnham, D.R.Scifres: Appl. Phys. Lett. 27, 510 (1975)
10.35 P.A. Kirkby, G. H. B. Thompson: J. Appl. Phys. 47, 4578 11976)
10.36 K.Aiki, N. Nakamura, T. Kuroda, J. Umeda: Appl. Phys. Lett. 48, 649 (1977)
10.37 D. Botez: Appl. Phys. Lett. 33, 872 (1978); and IEEE ,I. QE-17, 2290 11981)
10.38 D. Botez: J. Optical Commun. 1, 42 (1980)
10.39 P.M. Asbeck, D.A. Cammack, J.J. Daniele : Appl. Phys. Lett. 3& 504 (1978)
10.40 H.Yonezu, l. Sukama, K. Kobayashi , T. Kamejima, M. Ueno, Y. Nanni chi : Japan 1. Appl.
Phys. 12, 1584 (1973)
10.41 P. Marschall, F.Schlosser, C. Wock : Electron. Left. 15~ 38 (1979)
10.42 M. Ettenberg: J. Appl. Phys. 52, 3845 11981)
10.43 For a review see M. Ettenberg, H. Kressel: IEEE J. QE-16, 186 (1980)
10.44 R. E. Epwort h: Tech. Digest Topical Meeting on Optical Fiber Commun. , Paper ThD1,
Washington, DC (1979). See also R.E. Epwort h: Laser Focus 109 (September 1981)
10.45 R. Lang, K. Kobayashi : IEEE J. QE-16, 347 (1980)
10.46 N. Chinone, K.Saito, R.lto, K. Aiki, N.Shige: Appl. Phys. Lelt. 35, 513 11979)
10.47 S. Yonezawa, M.Ojima, T.Sugiyama, Y. Fukui, K. Aiki: CLEO '81, Washington, DC (1981)
10.48 D. Botez: Appl. Phys. Lett. 36, 190 (1980)
10.49 D. Botez: Tech. Digest IEDM '81, Washington, DC 11981)
10.50 An i nt roduct ory treatment is given by A. B. Sharma, S.J. Halme, I~4. M. Butusov : Optical Fibre
Systems and Their Components, Springer Ser. Opt. Sci., Vol. 24 (Springer Berlin, Iteidelberg,
New York 1981)
10.51 W.Susaki, K. lkeda, K. Shi rahat a: Proc. IOOC, San Francisco, CA (1981) paper TuB4
10.52 J. Yamada, S. Machida, T. Mukai, H. Kano, K. Sugiyama : Electron. Left. 15, 596 (1979)
11. Phot ode t e c t or s and Recei vers - An Updat e
R. G. Smi t h
With 2 Figures
At the time of writing of Chaps. 3 and 4 the principal t hrust of fiber
communi cat i on was in devel opi ng systems for use in the 0.8 t o 0.9 lam region
where GaAIAs sources oper at ed and where silicon det ect ors were essentially
unchallenged. At t hat time, however, t he pot ent i al for i mpr oved system
per f or mance at wavelengths bet ween 1.3 and 1.6lam had been realized and
wor k was under way t o devel op sources and det ect ors for this spectral region. In
the i nt erveni ng time a greal deal of progress has been made. Thi s new chapt er
will review the advances made in t he devel opment of det ect ors and receivers for
this spectral region.
11.1 Mat eri al f or Phot odet ect ors
Several material systems have been investigated for use in fabri cat i ng phot ode-
t ect ors for the 1.3 t o 1.6 laln spectral region. These include Ge and several alloys
i ncl udi ng In~Gat _xAs~P 1 _:, and GaxA| ~ _xSb~,As 1 _~,. Of t he above t he maj or
effort has gone into the devel opment of the I nGaAs P system which can be
grown lattice mat ched to the bi nary hap with an energy gap cont i nousl y
vari abl e between 1.35 eV (haP) and 0.75 eV (In0.53Ga0.47As) cor r espondi ng to
wavelengths between 0.92 and 1.65 lain [11.1].
11.1.1 Germanium
Both p - i - n ' s and aval anche phot odi odes have been made f r om Ge for some
time. Several recent papers have discussed new, i mpr oved results obt ai ned with
this system [11. 2-8]. Al t hough some i mpr ovement s have been made, the use
of these devices cont i nues to be limited by excessive dark currents. Typi cal dar k
current s in Ge aval anche phot odet ect or s which under go mul t i pl i cat i on are 50
to I00 nA at r oom t emper at ur e and up to a fact or of 10 hi gher at the maxi mum
oper at i ng t emper at ur es of fiber systems. These dar k current s severely limit the
useful aval anche gain, in t urn reduci ng much of t he advant age of APDs. The
use of Ge APDs appears limited to ext remel y high bit rat e systems where larger
dar k current s are permissible or t o appl i cat i ons where the devices can be
cooled. The noise propert i es of these devices are also limited by an unfavorabl e
rat i o of i oni zat i on coefficients, c~/ / ~0. 5, which t ends to make the excess
294 R. G. Smith
noise/factor large (Fig. 3.7). It is the dark current however, which severely
restricts the utility of these devices. In the limit M = 1 (i.e., a p-i-n), the dark
current is still ~ 100 nA, considerably greater t han t hat of state-of-the-art III-V
p i n detectors. As a result, most of the current effort is on developing I I I - V
phot odi odes.
11.1.2 l nGaAsP
The InxGa l_xAs~,Pl_y material system has been intensively studied recently.
Various composi t i ons of this material can be grown lattice mat ched to InP
[11.9, 10], ranging in the bandgap from t hat of the binary, Eg= 1.35 eV, to the
ternary, In0.53Gao.47As, with Eg=0. 75eV. These materials t hus span the
spectral range of current interest, 2 = 1.3 to 1.6 lam. Whereas the maj ori t y of the
effort in material growth has been done using liquid phase epitaxy, there are
reports of impressive results obt ai ned with vapor phase epitaxy [11.11 17].
Some recent work has also been report ed on the molecular beam epitaxial
growt h of lno.saGao.4vAs [11.18].
11.1.3 GaA1AsSb
This material system may be grown lattice mat ched to GaSb substrates with a
range of bandgaps covering the 1.3 to 1.61am spectral range [11.19-22].
Al t hough detectors with high quant um efficiencies have been demonst r at ed
[11.22], leakage currents, believed to be surface related, are excessive. This
material system does have the interesting feature t hat the hole ionization ratio
exhibits a resonant characteristic as a function of the alloy composi t i on [11.21].
This effect, at t ri but ed to impact ionization initiated by holes from the split-off
valence band, has produced ratios /3/c~20. This high ratio is capable of
produci ng low excess noise factors and is potentially useful provided the dark
current can be kept low.
11.2 p- i - n Photodiodes
Because of early problems encount ered in fabricating avalanche phot odi odes
with low dark current (described below), a maj or effort has been put on
developing p- i - n photodiodes. The material system which has undergone the
most development is the InxGa 1 _xAsyPl y [11.11, 13-16] family, especially the
t ernary limit, Ino.53Gao.47As [11.12-14, 16, 27-35]. Whe~'eas for an emitter the
bandgap must be precisely determined to produce the desired emission
wavelength, in a detector the essential requirement is t hat the bandgap energy
be smaller t han the phot on energy. The t ernary lno.53Gao.47As with a bandgap
Photodetectors and Receivers an Update 295
of 0.75 eV is t hus capabl e of det ect i ng signals at bot h the 1.3 and 1.55 gm fiber
wi ndows. Because of this fact, mos t cur r ent det ect or wor k uses this com-
posi t i on. Da r k current s, on t he ot her hand, t end t o be s omewhat l arger in the
nar r ower bandgap mat eri al . By using layers of different composi t i ons, dual
wavel engt h det ect or s capabl e of abs or bi ng t wo different wavel engt hs in
separ at e regi ons have been demons t r at ed [11. 36-38].
Bot h mesa and pl anar p - i - n phot odi odes have been fabri cat ed wi t h the
maj or i t y of the results r epor t ed on the si mpl er mesa st ruct ure. Int erest in pl anar
devices [11.12, 14] is par t l y due to t he possibility of obt ai ni ng passi vat ed
devices. Earl y wor k using SiO 2 as a diffusion mask and al so as a passi vat i ng
l ayer pr oduced devices with excessively large dar k current s [11.14]. Removal of
the SiO 2 reduced the dar k cur r ent by several orders of magni t ude, but
r ecoat i ng with SiO 2 r et ur ned the dar k cur r ent to pr evi ousl y obser ved values.
Pol yi mi de films have recent l y been r epor t ed to pr oduce surface passi vat i on of
l n Ga As P devices [11.39]. The ar ea of surface passi vat i on is not well under-
st ood and wor k is under way in t he devel opment of effectively passi vat ed
devices.
11.2.1 Dark Current
The dar k cur r ent of phot odet ect or s is ext remel y i mpor t ant and has been
ext ensi vel y studied. As ment i oned above, Ge devices have excessively large
dar k current s which limit t hei r utility. The si t uat i on is bet t er in the case of some
I I I - V devices.
The dar k cur r ent behavi or of I nGa As P devices can be di vi ded i nt o t wo
regi ons of interest. At low vol t ages, cor r es pondi ng to oper at i on of the devices
as p - i - n det ect ors, the dar k cur r ent in the best devices shows a sat ur at ed
char act er i st i c with the dar k cur r ent var yi ng as the depl et ed vol ume. For
vl / 2 vol t age dependence. Da r k uni f or ml y doped devices this cor r es ponds t o a --b~,~
cur r ent densities cor r espondi ng to 10- s A/ cm 2 or 10-1 A/ cm 3 ar e t ypi cal of
the best mesa devices f abr i cat ed in Ino. s3Gao. 4vAs. In I nP the best val ues are
appr oxi mat el y three orders of magni t ude smaller. The t emper at ur e dependence
of these current s varies as e x p ( - Eg/nkT), where Eg is the band gap, k T is the
Bol t zmann energy and n is a const ant , with a value n ~ 1 for diffusion current s,
and n ~ 2 for gener at i on- r ecombi nat i on current s. Obser ved val ues of n r ange
bet ween 1 and 2 with t ypi cal val ues bet ween 1.5 and 1.8 near r oom t emper a-
ture. The cor r es pondi ng t emper at ur e rise for an i ncrease of 10X in dar k cur r ent
is 36 C and 43 C for n = 1.5 and 1.8, respectively, and Eg=0. 75 eV.
Since mos t of the dat a are t aken on mesa devices, par t of the obser ved
current s may be surface related. Some evi dence exists t hat in the best devices
the dar k cur r ent scales wi t h ar ea i ndi cat i ng a bul k origin. Ther e is at least one
r epor t t hat excess dar k current s are associ at ed with cryst al l i ne defects [11.40].
Fur t her wor k is needed to det er mi ne the origin of dar k current s, especially for
aval anche phot odet ect or s.
296 R. G. Smith
The second region of interest for dar k cur r ent is associated with the
appr oach t o breakdown. 111 essentially all devices with bandgaps less t han
appr oxi mat el y 1 eV, br eakdown exhibits a soft behavi or r at her t han the har d
br eakdown associated with the aval anche process. Several expl anat i ons have
been given but it is now generally accept ed t hat the soft charact eri st i c is due to
t unnel i ng [11. 41-44] which is mor e pr onounced in materials with small
bandgaps and small effective carri er masses. In at least one case the t emper a-
t ure and voltage dependence of the dar k cur r ent of an lno.53Gao.47As
homoj unct i on device has been fit over a wide t emper at ur e range using onl y
gener at i on- r ecombi nat i on and t unnel i ng current s [11.323. Because of the
exponent i al dependence of the cur r ent on vol t age in t he t unnel i ng regime, much
of the l i t erat ure cited quot es the dark cur r ent at 0.5 V~.
In or der t o keep the dar k current s low in homoj unct i on devices, (with the
/ ~n j unct i on and hence the high field region in the nar r ow bandgap material),
and to obt ai n a wide depl et i on region for good absor pt i on efficiency and low
capaci t ance, the dopi ng of the absor bi ng mat eri al must be kept low, typically in
t he mid 10 a 5 cm 3 range. An analysis of the basic requi rement s for the design
of p- i - n det ect ors may be found in [ 11.44].
11.2.2 Quantum Efficiency
The quant um efficiency of a phot odet ect or is affected by surface reflection,
r adi at i on passing t hr ough absor bi ng regions before it reaches the depl et i on
region, or by r ecombi nat i on of the phot ogener at ed el ect ron hole pairs, ei t her at
surfaces or within the bulk. Recombi nat i on is most likely to occur in
undepl et ed regions.
Fi gure 1 shows an In0.53Ga0.~TAs p- i - n st ruct ure typical of mesa devices
descri bed in the l i t erat ure consisting of an n +-InP substrate, an n-l nP epitaxial
buffer layer, and an uni nt ent i onal l y doped Ino.53Gao.47As layer 5-10 [am thick.
The p-n j unct i on is formed in the t er nar y layer by diffusion and the lateral
device di mensi ons are limited by formi ng a mesa. Since the absor pt i on
coefficient in the absor bi ng t er nar y is ~ 104cm -1, the absor pt i on length is
1 [am. Such a device may be i l l umi nat ed t hr ough the InP subst rat e which is
t r anspar ent t o radi at i on in the 1.3 to 1.6 [am region or from the top. In the l at t er
case some of the radi at i on is absor bed in the heavily doped p-region where it is
subject to surface and bulk recombi nat i on. For i l l umi nat i on from the subst rat e
~back or rear illumination), free-carrier absor pt i on can occur if the subst rat e is
heavily doped. For devices of this t ype quant um efficiencies of 65-70 % have
been obt ai ned for rear i l l umi nat i on and 40-50 % or often l ower values obt ai ned
for front illumination. Cor r ect i ng for surface reflection, which can be reduced
using antireflection coatings, [11.45] the rear illuminated devices have nearly
100% internal quant um efficiency. Hi gher efficiencies can be obt ai ned with
front illuminated devices if a t r anspar ent cap l ayer is grown over the absor bi ng
l ayer and the p-n j unct i on placed in the cap l ayer [11.25].
Photodetectors and Receivers an Update 297
h lt
1 ~ . ~ A u - Z n TOP CONTACT
p-InO'53GaO'47As
/ n - - I n o . 5 3 Gao,47As "x~
n + - I n P SUBSTRATE
I N\ ' t
hv
Fig. l l . l . Photodetector structure
with ternary active region
Au- Sn BACK CONTACT
11.2.3 Speed of Response
In most III V mat eri al s t he carriers reach velocities appr oachi ng 10 v cm/s at
fields ~104V/ cm. The transit time of carriers is thus ~10ps / l am in t he
depl et i on region. Since depl et i on widths of at most a few mi crons are required,
rise times of several tens of pi coseconds are possible. Recent l y a p- i - n det ect or
with a 30 ps rise time has been r epor t ed [11.45a].
11. 3 Aval anc he Phot ode t e c t or s
In or der for an aval anche phot odet ect or to pr oduce significant sensitivity
i mprovement s, t he dar k cur r ent which undergoes mul t i pl i cat i on must be kept
small. As described above, t unnel i ng current s are excessively large as break-
down is appr oached in a homoj unct i on device maki ng such homoj unct i on
APDs of little use in receiver design. It has been demonst r at ed, however, t hat a
het er ost r uct ur e device with separat e absor bi ng and mul t i pl yi ng regions [11.39,
46 52] (sometimes referred to as a SAM st ruct ure) can have low dar k current s
at moder at e to high gains. In such a device the aval anche gain occurs in the
wide bandgap InP mat eri al while the absor pt i on occurs in the smaller bandgap
materials. An exampl e of such a st ruct ure is shown in Fig. 11.2. Successive
layers of p-InP, n-InP, and n-Ino.53Gao.4vAs are gr own on a p+- I nP substrate.
298 R. G. Smith
b i l e
AU-Sn TOP CONTACT
n - - I n 0 . 5 ~ GO .
. . . I -
p+- ~P SUBSTRATE
L~\~I
h ~
Au- zn BACK CONTACT
Fig. 11.2. Phot ode t e c t or s t r uct ur e
wi t h I n P / l n Ga As act i ve regi on for
r educed dar k c ur r e nt
With pr oper dopi ng of the n-InP layer [11.52], the fields can be sufficiently
large to pr oduce aval anche gain in the I nP and still be low enough in t he
t er nar y material t o avoi d tunneling. If the dopi ng and thickness of t he n-InP
layer are t oo low, then t unnel i ng occurs before aval anche br eakdown and a
noisy device results. On the ot her hand, if the dopi ng is t oo high, the depl et i on
region may not reach the t er nar y with the result t hat the quant um efficiency is
small. This is due to the fact t hat the phot ogener at ed holes cannot sur mount
the val ence-band di scont i nui t y in the absence of an appl i ed electric field.
Devices with the pr oper dopi ngs have been fabri cat ed and gains up to several
hundr ed obt ai ned with reasonabl e dark current s.
In addi t i on to devices with the aval anche region in the InP layer, there has
been a lot of work report ed oll I nGaAsP aval anche phot odi odes with vari ous
st ruct ures and mat eri al composi t i ons. Papers [11.39, 46 69] include much of
the relevant material on this subject.
In or der to obt ai n low noise aval anche gain, it is necessary to initiate the
aval anche with the mor e ionizing carri er species. In InP, holes are the mor e
ionizing carri er and the st ruct ure of Fig. 11.2 is designed to feed phot o-
generat ed holes into the aval anche region. The second requi rement for low
noise is t hat the rat i o of i oni zat i on coefficients be as large as possible. Ther e are
several report s of measurement s of t he i oni zat i on coefficients in t he l i t erat ure
[-11.49, 7(~75]. Al t hough the results of different aut hor s are onl y in fair
agreement , t he general consensus is t hat in InP, [~/c~2-3, [11.70, 71] a val ue
similar to t hat of Ge. Ther e are several possibilities of i mprovi ng this situation.
For example, in Ga~ _xAlxSb, t here is a nar r ow range of composi t i ons where
the energy of the split-off valence band nearl y equals the bandgap energy. For
Photodetectors and Receivers an Update 299
this case a r esonant enhancement of [1 gives / ~/ c~20, roughl y an or der of
magni t ude i mpr ovement over InP [11.21]. Anot her met hod for enhanci ng the
rat i o c~//~ which uses a mul t i -quant um-wel l st ruct ure of al t ernat i ng wide and
nar r ow gap mat eri al s has been pr oposed [11.76]. In this st ruct ure the electrons,
upon leaving the high bandgap l ayer and ent eri ng the nar r ow gap material,
effectively have a great er energy and are mor e capabl e of initiating ionizing
collisions. These and ot her means of synthesizing mat eri al s and st ruct ures to
i mpr ove the per f or mance of aval anche devices are an area of cur r ent research.
The ul t i mat e utility of the I nGaAs P/ I nP or the GaA1SbAs devices depends
upon t he level to which the dar k current s can be reduced. In general, t he
present best dar k cur r ent levels must be reduced by roughl y an or der of
magni t ude in or der for the devices to be useful at tile highest t emper at ur es
(70-90 C) wi t hout cooling.
11. 4 Ot her De t e c t or s
I21 addi t i on to work on p i -n and aval anche devices, t here are report s in tile
l i t erat ure on the devel opment of phot ot r ansi st or s [11. 77-84], phot oconduct or s
[11.85 87], pnpn det ect ors [11.88], and the use of reverse-biased LEDs as
det ect ors [11.89]. Monol i t hi c phot oconduct or - ampl i f i er [11.87] and p-i-n
FET combi nat i ons [11.90] have also been report ed. A new t ype of maj ori t y
carri er det ect or, fabri cat ed by mol ecul ar beam epitaxy, in which the base region
is fully depl et ed has recent l y been r epor t ed [11.91]. Much of this work is in the
earl y expl or at or y phase and none of the devices has demonst r at ed a perfor-
mance level compar abl e to t hat of an APD or p-i-n coupl ed with a low-noise
amplifier. It can be shown, for example, t hat a phot ot r ansi st or is equi val ent in
per f or mance to a p-i-n/bipolar amplifier [11.92]. As is discussed below, a
p-i-n/GaAs FET gives superi or per f or mance t o a bi pol ar for most bit rates and
hence is expect ed to be superi or to a phot ot r ansi st or .
11. 5 Recei vers
In t he 0.8--0.9 gm spectral region, Si aval anche phot odi odes are empl oyed in
receivers where the ul t i mat e in sensitivity is needed. | n addi t i on, when using an
APD, amplifiers with great er dynami c range and somewhat hi gher noise levels
can be used. Because of the earl y difficulties encount er ed with dar k current s in
Ge and I I I - V aval anche phot odi odes, a different appr oach was t aken to
receiver design for l ong-wavel engt h systems. The appr oach t aken at this time is
to design the ultimate in low noise amplifier and use it with a p- i - n det ect or. In
designing an ul t ra-l ow-noi se receiver, it is necessary to minimize all noise
sources which in t urn involves reduci ng all st ray capaci t ances and increasing
t he i nput det ect or l oad resistor (see Chap. 4 for details). The use of ext remel y
300 R. G. Smith
low input capacitance GaAs FET tran.sistors ( C<0. 5pF, ,qm~30mS), low
capacitance detectors, ( C<0. 5 pF), al ong with large input resistors, R > 1 Mf~,
has allowed the design of amplifiers giving performance levels within 5-8 dB of
those obt ai ned with APDs at 0.8 tam [11.93-98]. The performance level of
receivers at about 1.3 lain is not yet equal to t hat at 0.8 gm but is 7-10 dB better
t han obt ai ned at 0.8 lain with tr-i-n detectors.
One of the principal drawbacks of these receivers is t hat t hey must be
equalized to a large degree in order to restore the pulse response (Chap. 4). The
result is a decrease in dynami c range. Typical dynami c ranges are report ed to
be ~ 2 0 d B compared to ~ 4 0 d B for 0.8~tm APD receivers [11.99]. One
possible solution is to shunt the input current away from the amplifier at high
signal levels. Such an approach may require adapt i ve equalization if the
receiver poles are altered by the shunt i ng scheme. Anot her approach is to
include an active at t enuat or in the optical pat h to provide at t enuat i on of large
optical signals.
There are several reports of results obt ai ned using p-i-n/FET receivers in
1.3 I.tm systems at bit rates up to 274 Mb/s. The reader is referred to the
references for details [11.100--104].
In addi t i on to the devel opment of high sensitivity receivers, there has been
considerable work in the development of low cost units, especially for use in
dat a links. In these receivers compromises have been made between sensitivity,
dynami c range and cost. Several of these receivers have been integrated, and
include functions, moni t ors, etc. A review of this subject may be found in
[lJ.105].
11. 6 Heterodyni ng
Detectors for optical fiber communi cat i on systems are basically phot on
counters, convert i ng each absorbed phot on into an electron-hole pair (in an
APD, <M> - 1 addi t i onal carriers are produced by the avalanche gain process).
Such a process ignores the phase of the electromagnetic field. Receivers using
phot on detectors are generally limited in sensitivity by the amplifier noise
except at very high S/N levels. Digital receivers, even those with the best
report ed sensitivities, are 10-20dB away from the quant um limit, which
corresponds to 21 phot ons received per mark. On the other hand, com-
muni cat i on systems using CO 2 lasers [11.106, 107] and forms of i nst rumen-
t at i on using He- Ne lasers [11.108] empl oy het erodyne or homodyne detection.
In such systems the i ncomi ng signal is mixed with an optical local oscillator to
produce a difference frequency which is then processed using st andard
techniques. In such a receiver, the noise is domi nat ed by the shot noise of the
local oscillator while the signal power is also proport i onal to the local oscillator
power. In the limit of large local oscillator powers the S/N ratio is i ndependent
of the amplifier noise and is determined by the characteristics of the source and
the local oscillator.
Photodetectors and Receivers - an Update 301
For a het er odyne system to be pract i cal bot h the source and the local
osci l l at or must be spectrally pure and frequency stabilized with respect to each
other. Wi t h gas lasers high spectral pur i t y and frequency st abi l i t y have been
demonst r at ed. On the ot her hand, LEDs have ext remel y large l i newi dt hs and
most laser diodes do not pr oduce a pure frequency, especially when modul at ed
at high frequencies. Up to the present t i me little work has been done in the area
of frequency st abi l i zat i on of laser diodes. Recently, however, there have been
several report s of experi ment s in whi ch laser di odes have been stabilized by
cont r ol of the t emper at ur e and i nj ect i on current . Short t erm (20 mi n) stabilities
of 1 MHz have been report ed. These results poi nt to the i nt erest i ng possi bi l i t y
of usi ng hct crodyne det ect i on for fiber communi cat i ons. The payoff woul d be
sensitivities appr oachi ng the qua nt um l i mi t and the possibility of achi evi ng a
high level of opt i cal mul t i pl exi ng.
Di scussi ons of vari ous aspects of het erodyne det ect i on can be f ound in
[1 1.109-111]. In addi t i on to the pr obl ems of laser st abi l i zat i on and t racki ng,
the depol ari zi ng propert i es of fibers need to be addressed. Invest i gat i on of this
area of fiber optics is relatively new and more i nt erest i ng results can be
ant i ci pat ed in the fut ure [11.112].
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11.62 T.P. Lee, C.A.Burrus, A. G. Dent ai : IEEE J. QE-15, 30 (1979)
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Phot odet ect ors and Receivers - an Updat e 303
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11.71 C. A. Armi ent o, S.H.Groves, C. E. Hurwi t z: Appl. Plays. Lett. 35, 333 (1979)
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Subject Index
AIGaAs 10,17 19,37
Analog receiver 151
APD see Avalanche photodiode
APD detectors 266
Array com~ectors 276
Attenuation, optical 281
Attenuators, optical 273
Automatic bias control 186
Automatic gain control 272
Available transmission loss 262
Avalanche photodiode 66, 92, 95, 272
effective k-value 72
excess noise fuctor 72, 141
gain 70, 139, 141
noise 72
temperature dependence 70
Bandwidth, effective 128
Bell System SLC-40 278
Bias circuit noise 97
Biconic guide 270
Boxcar integrator 275
Broadband amdog systems 262
Broadening of modes 232, 234
Cable 268
Atlanta 280
Chicago 280
comlectorized 278
instalhttion 278
pulling tension 279
sections 276, 278
splicing 274, 279
vaults 276
Cabled fibcrs, perlbrmancc 279
Central offices 276
Channel, linear 91,93
Channel systems 263
repeater spacing 264
Characteristic frequency 250
Coding see Transmitters
Coherent light injection 235, 236
Collector current, optimum 119
Commercial traffic 281
Companded differential PCM 278
Condition of laser instability 232
Connectors, precision 270
array 269
losses, single fiber 282
Cooling see Thermoelectric cooling
Costs, comparative 265
Coupling efficiency 162, 206
CUlTents
dark 65, 75 76, 95, 140
gateleakage 112
optimum colletor 119
shunt noise 97, 110
Cutoff fi'equency 257
Dark current 65, 75 76, 95, 140
Decider 272 273
Degradation 289
Delaylimc 217, 219
Detector 273
Device failure 281
Device hours 281
Diffused-stripe laser 224
Diffusion process 225
Digital
carrier 266
data service (DDS) 278
hierarchy 263,266
multiplexing 264, 277
regenerators 264
subscriber carrier 277
terminals 264
Digital systems 262,264
encoded voice channels 263
Diode heating 244
Dislocations 12, 13, 54, 55
Dispersion 93, 147, 155, 261
Dislortion 165, 189, 197, 249
Distributed feedback injection lasers
Distributions, impairments 282
Double section injection laser 231
Drivers
analog 189
digital 170, 180
emitter-coupled 173, 180, 183
237
306 Subject Index
Drivers
emitter-follower 175
laser 182
LED 171
series 171,180
shunt 175,180,182
DSI (TI rate) channel 281
Ducts, congestion 277
Dynamic behavior 214, 229
Dynamic range 126
F.conomic considerations 260 261,266
Electric arc fusing 269
Emission properties 226
Emission spectrum 226, 230, 232
modulation influenced 229
spatially resolved 229, 230
l-poxy, silica filled 270
Equalization 132. 146.147.155
FET and bipolar amplifiers 125
Equalizer 93. 110. 125. 138
Equip,nent
standard telephone 279
installation 279
Error performancc 281. 282
litching techniques, preferential 269
Exchange area paired cable 265
Exponential pulse shape 105.110
Extinction ratio 143. 183
Fauout 271. 274
Feedback
bias control 182. 183. 185. 189
drive control 185
linearization 189
stabilizalion 272
Feed forward 191
FET 112.156
Fiber
alignlnent 269
array, grooved chip 279
breaks 274
comlectors 207
single 269,279
demountable 269,270
defects 274
dispersion 273
modes 43, 44
patchord 274
splices 274
Fibers 265 see also Lightguide
bandwidth 268
chemical wlpor deposition 268
cost 265
crosstalk 266
coupling
laser 34 35
LED 40 45
dimensional tolerances 269
economics 26 I
graded index 2
information rate 266
loss 261,262, 268, 274
muhimode 2
numerical aperture 268
ribbons 268
sheaths 268
signal-to-noise ratio 262
single inode I
specific costs 265
Figure of merit
bipolar 121
FET 114
Filaments 227
Fillers 93~ 109, 273
Floating shelf hardware 271
Frequency spectrum of the self-pulsations
Front end design 124
high impedance 125
inlegraling 125
transimpedance 126, 1311
Gaussian
approximation 133
noise 134
pulse shape 105
Harmonic amplitudes 250
Harmonic distortion 238,253
total 249, 253
Heat capacity 246
Heterojunction s t r uc t ur e 285
Heterodyning 300
Iloieburning 214, 237
hnpact ionization 67
Impulse response 95
Index of refraction, effective 215
[nGaAs 10,37
lnGaAsP 10,14,22,37
Injection, coherent light signal 234
hmer duet 278
InP/GalnAsP injection lasers 238
Integrals (noise analysis) 101
Integrator, gated 2"S
lntcrsymbol interference 93, 105, 146
Junction heating 243
k-wtlue(APD) 141
Kinks 227,234
233
Subj ect I ndex 307
Lar ge- s i gnal r e s pons e to a st ep ctJrrenl pul s e
237
Las er char act er i s t i cs 161
excess noi se 168
far field pa t t e r ns 3(1, 31
ki nks 36, 227, 234
l i neari t y 165, 193
mo d e s 3(1, 34, 227, 232
moda l i nst abi l i t y 165+ 168, 185, 193, 196
near field pa t t e r ns 30, 31
power 244
pul s at i ons 59, 168
speed 164
t e mpe r a t ur e effects 20. 55, 56
t hr es hol d 16, 17, 24, 25
Las er out put , t i me resol ved 229, 231
Las er t her mal pr oper t i es 27, 28
Laser s
di rect mo d u l a t i o n 217
gi an- gui ded 289
i ndex- gui ded 289-291
l ong-l i ved 28 I
opt i cal feedback 273
pa c ka gi ng 195
rel i abi l i t y 166
s i mul a t or 196
t ypes
bur i ed heterojunction 24, 289, 290
doubl e het er oj unct i on 289
c ha nne l e d s ubs t r at e, pl anar 34, 35, 224
doubl e- dovet ai l s t r uct ur e 34
h o mo j u n c t k m 10
l ow mes a st ri pe 224
oxi de st r i pe 224
pr ot on- i mpl a nt e d 224
st r i pe cont act 15, 23 25
t r ans ver s e- j unct i on- s t r i pe 224, 237, 289
V-groove 224, 238
Lat t i ce ma t c h 13, 14
LED see Li ght - emi t t i ng di ode
Li ght - emi t t i ng di ode
Bur r us 38 50
char ct er i st i cs 161
edge emi l t er 38- 50
l i ueari t y 165, 189
modul a t i on 45- 50
pa c ka gi ng 195
radi,' mce 40- 43
rel i abi l i t y 166
spect r al wi dt h 163
speed 164
Li g h t g u i d e s y s t e ms 263
a dva nt a ge s 263, 265
cr osst al k 262
el ect ri cal i nt erference 262
Li ght gui des
a c c ur a c y 270
cabl es 264
di s t r i but i ng panel 271, 279
i nf or mat i on capaci t y 265
FT3 277
T3 277
Li ne r epeat er s 260
Loa di ng coils 264
Locki ng r ange 236
['or s ync hr oni z a t i on 235
Lopp- back t ecf i ni ques 274
Los s
effective 281
t r a ns mi s s i on 265
me a s ur i ng i ns t r ume nt 274
Low- f r equency r es pons e 246
Mat er i al di s per s i on 163
Met al l i c medi a
awt i l abl e l oss 262
cost 261
equal i zat i on 263
s i gnal - t o- noi s e rat i o 262
Mi c r obondi ng l osses 279, 280
Mi cr ol ens es 206
Mode - gui di ng me c h a n i s m 224
Mode l ocki ng 232
Mode st abi l i t y 285
Mode t r a ns mi s s i on 260
Mo d e s 201
f unda me nt a l 229
f i r st - or der t r ans ver s e 229
Modul a t i on 167, 193,243
de pt h 223
l i mi t at i ons 243
rat es 288
s i nus oi dal of l asers 220
smal l si gnal 222, 237
Mo n o c h r o ma t i c near-fi el d 229
Mo n o c h r o me TV si gnal 278
Mul t i mode fibers 291
Ne a r field 226, 230. 235
Noi s e
anal ys i s 93 ff.
ampl i f i er 9"7
base r esi st ance 119, 121
bi as ci rcui t 97, 112
bi pol ar fi' onl end I 17
bit rat e de pe nde nc e 1 I0, 116
ci rcui t 97
cor ner fi ' equency I I I
dar k cur r ent 95
equi val ent i nput cur r ent 103
eqt, i val ent o u t p u t vol t age 97, 102
308 Subject Index
Noise
FET fi'ont end 112
FET vs bipolar 123
input 103
measurement 128
normalization 98
output 97,102
photodetector 95
series 110
shot 97, II5, 117
shunt 110
signal dependent 95
thermal 115
Nonlinear characteristics 249
Normal failure distribution 56
Optical
cable, pressurizing 278
communication systems 238
contact 271
power 99
Optically coupled lasers 234
Paired cable 266
Patchcord, single fiber 271
Pattern effccts 219, 220, 235
Peak detector 272
Personick integrals 103
Phase distortion
maximum 257
minimum 254
Phase-shift modulation 193
Photodetectors 91,293
awdanche 66ff., 95, 297
channel stop 79
dark current 295
fabrication 78
germanium 81
gcttering 79
guard ring 68, 79
linearity 66, 77
long wavelength 80ft.
noise 95 ft.
passivation 68, 79
p-i-n 63,95
quantum efficieny 296
reach-through 68
silicon 63
structures 67
III-V materials 82
Photodiodes, avalanche 294
Photomultiplier 274
Phototransistor 299
Photon lifctimc 215
Physical environment 264
Picturephone Meeting Service (PMS} 278
p-i-n diode 272
Postamplifier 92
Power dissipation 244
Power gain 272
Preamplifier 92
Precision grooved chips 269
Probability density function 133
Pulsations, microwave spectrum of 232
Pulse code modulation (PCM) 219, 220, 223,
229, 235, 263
Quantum effects 262
Quantum efficiency 63
effect of surface recombination 81
Raised cosine 104
Rate equations 214
monomode 216
small-signal analysis 220
Rayleigh scattering, backward 274. 275
Receivers 272, 299
equalization 273
Receiver sensitivity s e e Sensitivity
Recombination
interface I1 13
nonradiative 10, 54
radiative 10, 47,48
Regenerator 272
Relaxation oscillations 217,220, 225,229
Reliability 288
Repeaters
characteristics 272
rcpeatered line 282
spacing 282
Responsivity 65, 92
Reverse c u r r e n t s , s ed Dark currents
Routing
manholes 276
metropolitan 281
splices 276
congestion 281
Saturation 77
Self-pulsations 231-234
Sensitivity
analog 151
avalanche detector 139, 153
bit rate depcndence t38
circuit noise limit 152
digital 129, 132
effect of dark cur ent 145
effect of source extinction ratio 143
effect of transmitter and channel parameters
146
p-i-ndetector 136, 152
shot m~ise limit 152
Subject Index 309
Separation A2 227
Sheaths 264
Shielded video pairs 278
Shot noise 65, 262
Signal averaging techniques 275
fault detection 276
field loss measurements 276
Signal-to-noise ratio 152
dependence of error rate 282
requirements 261
Single longitudinal mode enaission 237
Single-mode fibers 291
Span loss 280
Spatial hole burning 225
Spectral broadening 228
Spectral halfwidtb 228
Spectrum
accelerated lifetest 55 58
degradation 52 59
gradual laser degradation 54, 55
laser 29 32
dark lines 54
facet coatings 29, 53
facet damage 53
and LED phonon kick 54
and LED reliability 52 59
mirror damage 53
I . ED 48, 53
t i me- r esol ved 229
Speed of response 65, 70
Spl i ce losses 269, 275, 280, 281
Spont aneous emi ssi on 220
rates 215
Spur i ous el ect r i cal di st ur bances 282
Squar e l aw 273
St a t i o n a r y sel f - pul sat i ons 231
Subscr i ber o r ' qoop' " phmt 283
Subscr i ber t el ephone t r af f i c 227
Systems
block diagram 268
characteristics 268
digital 260
error performance 281
interbuilding 260
mtercity 260
interoffice trunks 260
king 260, 266
Taper launcher 204
Taps, optical fiber 185
Telephone duct, costs 265
Teleptlone plant 264
Terminal 268
costs 264
functions 267
Television operating center (TOC) 278
Thermal resistance 244
Thermal time constant 246
Thermally-induced nonlinearities 243
Thermoelectric cooling 166, 183, 195
Threshold current 243
density 4. 217
Time domain reflectometer, optical 274
Transfer function 94, I 11,252
Transfer molding process 270
Transient response 244
laser 218
Transimpedance. front end 126, 130
Transmission system
equipment 273
maintenance and repair 267
testing procedures 273
Transmitters 161,272 see al so Drivers
encoding 168, 177
laser protection 196
subsystem considerations 194
Trunking
digital system 263
DS1 263, 277
DS3 266
interoffice 263, 277, 282
long voice pair 264
metropolitan 263
required system characteristics 266
system length 263
TI 263,277
urban-suburban area 263
Underground syslems
ducts 264
electronics 264
Video signal 278
Voiceband data 277
Waveguide 201

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