硅基周期波导微腔集成光器件的研究
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摘要
硅基光子学在近几年来得到飞速的发展,它被认为是最具实用前景和发展潜力的集成光技术。一方面,人们对硅的认识和利用的历史较为悠久。在半导体产业中,硅的制备、加工技术非常成熟,这有利于使用现有的商用基础设施进行大规模量产,减小芯片开发的成本。其次,由于在硅上制作光子器件的工艺兼容于标准CMOS工艺,使其能够和已经十分成熟的集成电路技术融合,实现在单一芯片上集成所需的各种功能。当然,在制作硅有源光器件如激光器、探测器等方面还存在一定困难,但最近的研究表明可以通过键合技术或外延生长等技术来弥补硅材料在这几方面的不足。绝缘层上硅(SOI)是一种较理想的高折射率对比的材料平台,这对于减小光器件的尺寸非常有利。但是,由于光波导器件受限于衍射极限,典型的传统光波导器件比同一硅衬底上集成的电子器件的尺寸大的多。90年代初提出的光子晶体技术可以有效的实现波长甚至亚波长量级的光子器件,这为大规模光子器件的集成提供了一种极具潜力的技术方向。在SOI平台上利用现有加工技术最容易制作的光子晶体器件包括二维周期结构的光子晶体平板和一维周期结构的周期介质波导。通过在这些结构中引入线缺陷或点缺陷,就可以形成光子晶体波导组件或光子晶体微腔,在这基础上可以构建尺寸极紧凑的各种功能器件。与平板光子晶体微腔相比,周期介质波导微腔通常结构更加紧凑,模式体积更小,而且更容易加工实现。
本文基于SOI材料平台,对极小模式体积(V)-高品质因子(Q)硅基周期波导微腔的结构设计、优化及基于该类型微腔的器件进行了较广泛的研究,并在实验上进行了一些初步的探索和尝试。主要的研究内容包括以下几个方面：
1.从平板波导的麦克斯韦方程解出发,推导了对称和非对称平板波导模式限制的极限即最小导模模场尺寸,给出了最小模斑的尺寸及其波导尺寸条件的公式。该部分的结果为后继章节研究亚波长模式体积的波导微腔提供一个理论参考,对于大规模集成波导阵列的设计亦有一定指定意义。
2.提出和分析了一种基于混合表面等离子波的周期介质波导微腔。利用混合表面等离子波导深亚波长的模式限制以及低损耗的特性,设计出Q值超过2000的波导微腔,且实现了Q/V值11倍的提升。据我们所知,本文得到的Q值是目前见诸报道的表面等离子波微腔中最高的。
3.提出和分析了一类基于狭缝和空芯波导的高Q值低模式体积的低折射率周期波导微腔。由于该结构完全基于介质材料,没有如第二章所研究的混合表面等离子波导微腔所具有金属本征吸收损耗,因此这种低折射率芯的全介质波导微腔可以获得Q值超过105或更高,模式体积为10-(λ/2n)3数量级。
4.提出和设计了一种基于周期介质波导微腔的超紧凑通道下载滤波器。使用时域耦合模理论分析了该滤波器响应特性,推导出实现完全下载以及入射端口无反射的条件。有限差分时域方法计算表明下载效率超过99%,典型的器件尺寸仅为7μm或14μm。
5.针对本文提出的周期波导微腔器件结构,采用电子束光刻结合感应耦合等离子刻蚀等加工工艺,在SOI平台上初步制作了一些基本的波导微腔结构,采用垂直光纤-光栅耦合测试系统对其进行了频谱测试,对本文提出的器件的原理性验证进行了有益的尝试和探索。
本文的研究主要集中在理论分析和器件设计方面,在实验方面只进行了初步的研究积累。作者希望在后续的工作中能够利用实验条件对所提器件进行充分验证,并期望能为超紧凑规模集成光路提供一类基本的波导微腔组件。
Silicon photonics is recently fast developed as a promising integrated optoelectronics tech-nology. On one hand, it has been a long history since people learned and utilized silicon. In semiconductor industry, the commercially available technology for preparation and fabrication of silicon devices is very mature, which is beneficial to mass production of silicon photonic devices with a lower cost. On the other hand, the silicon photonic devices can be integrated with the well-developed conventional electronic devices in a monolithic substrate, thanks to their compatibility with the standard CMOS fabrication technology. The photonic devices and electronic devices can be merged in such a fashion to achieve diverse functions that they would meet the increasing de-mand for higher speed and lower power consumption. Although silicon is not an idea material for realizing the necessary active devices e.g. laser and detector, recent studies addressed these problems using the chip-bonding or epitaxy germanium technology.
Silicon-on-insulator (SOI) is a large-index-contrast material platform which is very helpful for achieving ultrasmall footprint. However, the conventional silicon photonic devices are much larger than their electronic counterparts transistors, because the minimum size of traditional pho-tonic components is bounded by the diffraction limit. Photonic crystal proposed in the early90s, provides a promising alternative technology for realizing wavelength-scale or subwavelength-scale photonic components. The most achievable photonic crystal structures implemented on SOI are photonic crystal slabs and periodic dielectric waveguides. Introducing linear and point defects in such photonic crystal structures will produce so called photonic crystal waveguides and cavities, which can be further designed to form various functional devices. Compared with the photonic crystal slab cavities, periodic waveguide cavities have the advantages of ultracompact footprint, smaller mode volume and easy to fabricate and implement.
This study involves the design, optimization, fabrication and characterization of ultrasmall-V high-Q nanobeam photonic crystal cavities. Our work includes mainly the following five parts:
1. Based on the Maxwell solutions of a three-layer slab optical waveguide, we derived the condition for the mode confinement limit of symmetric and asymmetric tri-layer slab waveguides. The results of this part provides a theoretical baseline for engineering subwavelength mode con-finement cavities, and also contributes the design of ultracompact wave array.
2. We proposed and analyzed a high-Q nanobeam periodic waveguide cavity based on hybrid-plasmonic-photonic periodic structure. Due to the deep-subwavelength mode confinement and low-loss characteristics of hbyrid-plasmonic-photonic waveguide, the designed nanobeam cavity shows a high-Q larger than2000and11times improvement of the Q/V. As far as we know, the Q factor achieved in this work stands for the highest value in such similar plasmonic cavity with so small mode volume.
3. We proposed and investigated all-dielectric ultrasmall-V and ultrahigh-Q nanobeam pho-tonic crystal cavities based on slotted and hollow-core periodic dielectric waveguides. Because the strong confinement of low-index core and the discontinuity of electric field at the boundary of slot or hollow-core, Q-factors larger than105and mode volume in the order of10-2(λ/2n)3can be achieved simultaneously.
4. We proposed and designed two types of channel drop filters based on the nanobeam pho-tonic crystal cavities. Using the temporal coupled mode theory, we analyzed and derived the con-ditions for reflectionless complete-dropping. Finite difference time domain method verified that the dropping efficiency is larger than99%and the typical lengthes of these two type filters are only7μm and14μm.
5. Using electron beam lithography (EBL) and induced plasmon etching (IPC), we fabricated some basic nanobeam cavities components on SOI platfrom. These silicon nanobeam cavities were characterized by scanning electron microscopy and vertical fiber-grating coupling test system. These preliminary experimental work paves the way for the further study in the future.
The work of this thesis mostly focus on theoretical analysis and components design, and only a few experimental work were carried out. The author hopes that the proposed components can be well verified in the future experimental study and can contribute to the ultracompact photonic compnents for future large scale photonic integration.
本文基于SOI材料平台,对极小模式体积(V)-高品质因子(Q)硅基周期波导微腔的结构设计、优化及基于该类型微腔的器件进行了较广泛的研究,并在实验上进行了一些初步的探索和尝试。主要的研究内容包括以下几个方面：
1.从平板波导的麦克斯韦方程解出发,推导了对称和非对称平板波导模式限制的极限即最小导模模场尺寸,给出了最小模斑的尺寸及其波导尺寸条件的公式。该部分的结果为后继章节研究亚波长模式体积的波导微腔提供一个理论参考,对于大规模集成波导阵列的设计亦有一定指定意义。
2.提出和分析了一种基于混合表面等离子波的周期介质波导微腔。利用混合表面等离子波导深亚波长的模式限制以及低损耗的特性,设计出Q值超过2000的波导微腔,且实现了Q/V值11倍的提升。据我们所知,本文得到的Q值是目前见诸报道的表面等离子波微腔中最高的。
3.提出和分析了一类基于狭缝和空芯波导的高Q值低模式体积的低折射率周期波导微腔。由于该结构完全基于介质材料,没有如第二章所研究的混合表面等离子波导微腔所具有金属本征吸收损耗,因此这种低折射率芯的全介质波导微腔可以获得Q值超过105或更高,模式体积为10-(λ/2n)3数量级。
4.提出和设计了一种基于周期介质波导微腔的超紧凑通道下载滤波器。使用时域耦合模理论分析了该滤波器响应特性,推导出实现完全下载以及入射端口无反射的条件。有限差分时域方法计算表明下载效率超过99%,典型的器件尺寸仅为7μm或14μm。
5.针对本文提出的周期波导微腔器件结构,采用电子束光刻结合感应耦合等离子刻蚀等加工工艺,在SOI平台上初步制作了一些基本的波导微腔结构,采用垂直光纤-光栅耦合测试系统对其进行了频谱测试,对本文提出的器件的原理性验证进行了有益的尝试和探索。
本文的研究主要集中在理论分析和器件设计方面,在实验方面只进行了初步的研究积累。作者希望在后续的工作中能够利用实验条件对所提器件进行充分验证,并期望能为超紧凑规模集成光路提供一类基本的波导微腔组件。
Silicon photonics is recently fast developed as a promising integrated optoelectronics tech-nology. On one hand, it has been a long history since people learned and utilized silicon. In semiconductor industry, the commercially available technology for preparation and fabrication of silicon devices is very mature, which is beneficial to mass production of silicon photonic devices with a lower cost. On the other hand, the silicon photonic devices can be integrated with the well-developed conventional electronic devices in a monolithic substrate, thanks to their compatibility with the standard CMOS fabrication technology. The photonic devices and electronic devices can be merged in such a fashion to achieve diverse functions that they would meet the increasing de-mand for higher speed and lower power consumption. Although silicon is not an idea material for realizing the necessary active devices e.g. laser and detector, recent studies addressed these problems using the chip-bonding or epitaxy germanium technology.
Silicon-on-insulator (SOI) is a large-index-contrast material platform which is very helpful for achieving ultrasmall footprint. However, the conventional silicon photonic devices are much larger than their electronic counterparts transistors, because the minimum size of traditional pho-tonic components is bounded by the diffraction limit. Photonic crystal proposed in the early90s, provides a promising alternative technology for realizing wavelength-scale or subwavelength-scale photonic components. The most achievable photonic crystal structures implemented on SOI are photonic crystal slabs and periodic dielectric waveguides. Introducing linear and point defects in such photonic crystal structures will produce so called photonic crystal waveguides and cavities, which can be further designed to form various functional devices. Compared with the photonic crystal slab cavities, periodic waveguide cavities have the advantages of ultracompact footprint, smaller mode volume and easy to fabricate and implement.
This study involves the design, optimization, fabrication and characterization of ultrasmall-V high-Q nanobeam photonic crystal cavities. Our work includes mainly the following five parts:
1. Based on the Maxwell solutions of a three-layer slab optical waveguide, we derived the condition for the mode confinement limit of symmetric and asymmetric tri-layer slab waveguides. The results of this part provides a theoretical baseline for engineering subwavelength mode con-finement cavities, and also contributes the design of ultracompact wave array.
2. We proposed and analyzed a high-Q nanobeam periodic waveguide cavity based on hybrid-plasmonic-photonic periodic structure. Due to the deep-subwavelength mode confinement and low-loss characteristics of hbyrid-plasmonic-photonic waveguide, the designed nanobeam cavity shows a high-Q larger than2000and11times improvement of the Q/V. As far as we know, the Q factor achieved in this work stands for the highest value in such similar plasmonic cavity with so small mode volume.
3. We proposed and investigated all-dielectric ultrasmall-V and ultrahigh-Q nanobeam pho-tonic crystal cavities based on slotted and hollow-core periodic dielectric waveguides. Because the strong confinement of low-index core and the discontinuity of electric field at the boundary of slot or hollow-core, Q-factors larger than105and mode volume in the order of10-2(λ/2n)3can be achieved simultaneously.
4. We proposed and designed two types of channel drop filters based on the nanobeam pho-tonic crystal cavities. Using the temporal coupled mode theory, we analyzed and derived the con-ditions for reflectionless complete-dropping. Finite difference time domain method verified that the dropping efficiency is larger than99%and the typical lengthes of these two type filters are only7μm and14μm.
5. Using electron beam lithography (EBL) and induced plasmon etching (IPC), we fabricated some basic nanobeam cavities components on SOI platfrom. These silicon nanobeam cavities were characterized by scanning electron microscopy and vertical fiber-grating coupling test system. These preliminary experimental work paves the way for the further study in the future.
The work of this thesis mostly focus on theoretical analysis and components design, and only a few experimental work were carried out. The author hopes that the proposed components can be well verified in the future experimental study and can contribute to the ultracompact photonic compnents for future large scale photonic integration.
引文
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