Hindawi Publishing Corporation

Advances in Optical Technologies

Volume 2012, Article ID 676785, 6 pages
doi:10.1155/2012/676785

Research Article
Continuous Operation of a Bragg Diffraction Type Electrooptic
Frequency Shifter at 16 GHz with 65% Efficiency

Shintaro Hisatake, Kenji Hattori, and Tadao Nagatsuma

Graduate School of Engineering Science, Osaka University, Toyonaka, Osaka 560-8531, Japan

Correspondence should be addressed to Shintaro Hisatake, [email protected]

Received 15 July 2012; Accepted 22 September 2012

Academic Editor: Borja Vidal

Copyright © 2012 Shintaro Hisatake et al. This is an open access article distributed under the Creative Commons Attribution
License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly
cited.

We demonstrate for the first time the continuous operation of a Bragg diffraction type electrooptic (EO) frequency shifter using
a 16 GHz modulation signal. Because frequency shifting is based on the Bragg diffraction from an EO traveling phase grating
(ETPG), this device can operate even in the millimeter-wave (>30 GHz) range or higher frequency range. The ETPG is generated
based on the interaction between a modulation microwave guided by a microstrip line and a copropagating lightwave guided by
a planner waveguide in a domain-engineered LiTaO3 EO crystal. In this work, the modulation power efficiency was improved by
a factor of 11 compared with that of bulk devices by thinning the substrate so that the modulation electric field in the optical
waveguide was enhanced. A shifting efficiency of 65% was achieved at the modulation power of 3 W.

1. Introduction corresponds toan extra loss of about 5 dB. Because the noise
figure (NF) of an optical amplifier is relatively poor com-
Coherent optical frequency conversion based on external pared to electronic amplifiers, extra loss due to a low
modulation is an important technique not only for the conversion efficiency impacts most key aspects of microwave
optical communication and optical measurement but also and millimeter-wave photonics in which low-loss 1550 nm
for microwave and millimeter-wave photonics because it components should be used [6, 7]. The lower conversion
corresponds to an upconversion from RF to optical domain. efficiency results in a lower carrier-to-noise ratio (CNR).
Photomixing of two optical modulation sidebands generated The higher conversion efficiency is essential not only for
by an electrooptic phase modulator (EOM) or a frequency microwave and millimeter-wave photonics applications but
comb generator has been used to generate low phase also for other photonic applications in which the system
noise coherent microwaves or millimeter-waves, which are performance is governed by the CNR.
desirable for many applications such as the radar [1], sensing Recently, we proposed a new-type of EO frequency shifter
[2–4], and wireless communications [5]. The advantages and experimentally demonstrated the 16.25 GHz frequency
of the external modulation method over other methods shift with 82% efficiency [8]. The operation is based on
such as optical injection locking, optical phase-locked loop, the Bragg diffraction from an EO traveling phase grating
and dual-wavelength laser source are the system’s sim- (ETPG). Because the ETPG is produced based on the
plicity, stability, and frequency tunability. However, typical Pockels effect, this shifter can operate in the millimeter-wave
sinusoidal phase modulation is an inherently inefficient (>30 GHz) range or in the higher frequency range. Moreover,
method of frequency conversion. At best, the fraction of multiplication of the frequency shift can be realized by
the power in the first-order sideband generated by normal cascading the ETPGs. We demonstrated a frequency shifting
phase modulation is theoretically (J1 (β))2 ≈ 34%, where of ±32.5 GHz with a 60% efficiency, using a 16.25 GHz
J1 () is a first-order Bessel function of the first kind and β modulation signal (doubler operation) [9]. Together with
is the modulation depth. The conversion efficiency of 34% recent progressive high-speed modulation technologies [10],
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2 Advances in Optical Technologies

−L 0 L
− Λ2
Lightwave 2L
y0 (x) = Λx

Modulating wave 0
θTPG
y
Λ
2
x
Substrate: ferroelectric crystal

Spontaneous polarization
Domain inverted
(a)
− fm

y v
Modulating wave fm v0

θTPG f0 − fm
x +θB
−θB
+θB
Λ −θB f + f
0 m

ETPG + fm
v Domain-inverted region
v0
v
Input v0

(b)

Figure 1: (a) Basic structure of the domain-inverted ferroelectric crystal. The width and the center position of the domain-inverted region
are L and y0 , respectively. (b) Schematic of the frequency shifting operation.

multiplication of the Bragg diffraction from the ETPG within the optical beam cross-section produced by an
promises to realize the terahertz (>100 GHz) coherent link interaction between the traveling modulation wave and the
with high efficiency (more than Bessel function). However, copropagating lightwave in a periodically domain-inverted
bulk devices previously reported required relatively higher (polarization-reversed) EO crystal. Figure 1(a) shows the
modulation power, typically several tens of watts at 16 GHz, basic structure of the domain-inverted EO crystal. The device
therefore they were driven with pulsed magnetron. is formed by repeating this basic structure and arranging
In this paper, we demonstrate a waveguide-based fre- the repeated structure in two dimensions on the x-y plane.
quency shifter in which the modulation power is significantly When a lightwave with the group velocity of vo propagates
reduced compared with bulk shifters. A planar waveguide is along the y-axis with a collinear traveling modulation wave
fabricated using a conventional proton exchange method in with the phase velocity of vm in the crystal, the modulating
a congruent LiTaO3 (CLT) EO crystal [11]. The modulation electric field E(y, t0 ), which the lightwave entering the device
electrode is a microstrip line. To improve the modulation at time t0 encounters at position y, can be written as
efficiency, we reduced the thickness of the substrate, that is, E(y, t0 ) = Em cos(2π fm t0 − π y/L), where Em is the amplitude
the distance between the hot and ground electrodes, from of the modulating wave, fm is the modulation frequency,
0.5 mm in the former bulk device to 0.1 mm. and L = 1/(2 fm (1/vm − 1/vo )). From this equation, we find
In Section 2, the principle of the ETPG and frequency that the traveling phase grating can be realized by setting
shifting are briefly summarized. Section 3 discusses the the length and the center position of the domain-inverted
improvement of the modulation power efficiency by reduc- region to be L and y0 (x) = 2Lx/Λ, respectively. The phase
ing the thickness of the substrate. In Section 4, we summarize shift induced to a light passing through the length of 2L of
the design and fabrication of the waveguide-based frequency this domain-inverted crystal, which is shown in Figure 1(a),
shifter. Experimental results and discussions are summarized is expressed as
in Section 5.  
π y0 (x)
Δφ(x, t) = Δφm sin 2π fm t0 +
L
2. Principle of the Frequency Shift Based on (1)
 
the ETPG = Δφm sin 2π fm t0 + βx ,

We briefly explain the principle of the frequency shift based where Δφm is the modulation index and β = 2π/Λ. This
on the ETPG. The ETPG is a time-varying phase distribution resultant phase distribution expresses a traveling sinusoidal
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Advances in Optical Technologies 3

phase grating pumped by the electrical modulation signal. Microstrip line

We refer to this time-varying phase distribution as the ETPG.
Operation of the acoustooptic (AO) frequency shifter is
z
based on the Bragg diffraction from the traveling phase
grating pumped by an acoustic wave. Based on the analogy t = 0.5 mm
x y
with the AO frequency shifter, we can realize the EO z-cut LiTaO3
frequency shifter based on the Bragg diffraction from the
ETPG [8].
Ground plane
The remarkable features of the ETPG are (1) the period
of the ETPG is determined by the period (Λ) of the domain (a)
inversion in the x direction, not by the wavelength of the SiO2
modulating wave, and (2) the traveling direction of the Microstrip line
ETPG is determined by the sign of the β, that is, the
sign of the tilting angle (θTPG ) of the periodic domain Waveguide d = 0.8 μm
inversion. The first feature allows the ETPG to operate at f
a higher modulation frequency even at the millimeter-wave z-cut LiTaO3
frequency. The second feature allows us to cascade the ETPG t = 0.1–0.5 mm
to accumulate frequency shifting (multiplication) [9]. Ground plane
(b)

3. Improvement of the Modulation Figure 2: Schematic view of the frequency shifter. (a) Cross-section
Power Efficiency view of the conventional bulk device. (b) Cross-section view of the
waveguide device.
Although the proton exchange process might degrade the
Pockels effect [12], in this section, we will confirm experi-
mentally the effect of reducing the thickness of the substrate
14
on the improvement of the modulation efficiency. We
Normalized modulation efficiency

fabricated waveguide devices with four different thicknesses t 12

and measured the modulation efficiency, which is defined as
10
the modulation index per interaction length per modulation
power (rad/mm/W). Figures 2(a) and 2(b) show a cross- 8
section view of the conventional bulk device and the
6
proposed waveguide device, respectively. The substrate is
a congruent LiTaO3 (CLT) EO crystal. The lightwave and 4
modulation microwave propagate along the y direction. The
2
traveling modulation microwave is guided by the microstrip
line. The SiO2 buffer layer is deposited on the waveguide 0
0.1 0.2 0.3 0.4 0.5
before evaporating the hot electrode of the microstrip line to
Thickness (mm)
reduce propagation losses. The thickness of the buffer layer
is about 0.1 μm. The depth of the waveguide is about 0.8 μm Figure 3: Modulation efficiency normalized by that of the 0.5-mm
for single mode operation, which will be discussed later. bulk device. The dashed curve is the theoretical curve fitted to the
Figure 3 plots the modulation efficiency of the waveguide data.
device for t = 0.1, 0.15, 0.3, and 0.5 mm. The modulation
efficiencies are normalized by the values obtained with the
0.5-mm bulk device. The dashed line is the theoretical
substrate with the period of Λ p = 60 μm. The interaction
function (∝ 1/t 2 ) fitted to the data. Because of the proton
length was 34 mm. The thickness of the substrate was
exchange process, the experimentally achieved modulation
0.1 mm. An extraordinary refractive index ns and a group
efficiency of the waveguide device was reduced to about
refractive index ng of the CLT substrate were calculated to
50% of that of the bulk device. The modulation efficiency
be ns = 2.21 and ng = 2.41, respectively, using the Sellmeier
improved inversely proportional to the square of the device
equation for 514.5 nm (Ar laser) [13]. The refractive index of
thickness, t 2 . The modulation power efficiency of the 0.1-
the waveguide was measured to be n f = 2.26. The refractive
mm waveguide device was enhanced by a factor of 11
index of the SiO2 buffer layer was also calculated to be
compared with that of 0.5-mm bulk devices.
1.47, using the Sellmeier equation [14]. Using these refractive
indices, the depth of the optical waveguide was designed to be
4. Design and Fabrication of the Waveguide d = 0.8 μm, based on mode calculation using effective index
Frequency Shifter method to realize a single TM-guided mode operation.
The 0.8-μm waveguide was fabricated based on the
Figure 4 schematically shows the waveguide frequency standard proton exchange technique using melted benzoic
shifter. Periodic domain inversion was performed on a CLT acid. The temperature of the melted benzoic acid for
 3819, 2012, 1, Downloaded from https://onlinelibrary.wiley.com/doi/10.1155/2012/676785 by Cochrane Macao, Wiley Online Library on [21/11/2024]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
4 Advances in Optical Technologies

16.25 GHz

θTPG = 0.567◦

θB = 0.11◦ w = 0.5 mm θB

514.5 nm t = 0.1 mm
z-cut LiTaO3 Λ p = 60 μm
L = 3.03 mm 1 = 34 mm

Domain inverted
Waveguide
Microstrip line

Figure 4: Schematic view of the waveguide frequency shifter.

the proton exchange was set at 240 degrees Celsius. The

Effective relative permittivity

40
relation between the exchanging time (tex ) andthe depth (d)
of the waveguide can be expressed as d = 2 Dex tex , where 35
Dex = 8.41 × 10−2 (μm2 /h) [15]. The exchanging time was
set to 2 hours. After the exchanging, the device was thermally
30
annealed for 30 minutes at 400 degrees Celsius to reduce the
propagation losses and recover the Pockels effect.
The effective relative permittivity for the modulation 25
microwave should be calculated to determine the half period
L of the domain inversion. We calculated the effective 0.1 0.2 0.3 0.4 0.5
relative permittivity using an electromagnetic field simulator Thickness of the substrate (mm)
(method of moments). Figure 5 shows the results. The
filled circles represent results of the simulations without Approximate formula
SiO2 buffer layer. The solid line is calculated using the CLT
CLT + SiO2
accurately approximate formula for isotropic substrate [16].
The formula is well fitted to the simulated results, therefore Figure 5: Effective relative permittivity of the microstrip line. Filled
the effective relative permittivity with the SiO2 buffer layer and open circles are calculated based on the electromagnetic field
can be calculated through the simulation (open circles in simulator (method of moments) for the substrate of CLT only and
Figure 3). From the simulated result, the phase velocity of CLT with SiO2 buffer layer, respectively. The solid curve is calculated
the modulation microwave for t = 0.1 mm substrate can using an accurately approximate formula for the isotropic substrate.
be determined to be vm = 5.48 × 107 m/s. Together with
the group velocity of the optical wave, the half period of
the domain inversion for t = 0.1 μm is determined as L =
3.03 mm using (1).
The tilting angle of the domain inversion was θTPG = We observed two optical beam spots resolved in both
arcsin(Λ p /(2L)) = 0.567◦ . The Bragg angle was θB = space and frequency. The frequency of the 1st diffracted
arcsin(λ/(2Λ)) = 0.11◦ , where λ is the component was shifted by 16.25 GHz and there were no
 wavelength of the unwanted components at this modulation power. We define
optical wave in the crystal and Λ = Λ p / 1 − (Λ p /(2L))2 . the frequency shifting efficiency as the output power ratio
of the 1st order diffracted components to the whole output
5. Experimental Results and Discussion optical power. A frequency shifting efficiency of about 50%
was achieved at the modulation power of 1.7 W.
The frequency of the modulation signal was 16.25 GHz, Figure 7 shows the diffraction efficiency of the 1st order
which was supplied from a signal generator and amplified of the diffracted component as a function of the square
by a commercially available power amplifier (R&K: AA380). root of the modulation power. The dashed curve is the
The available maximum modulation power was 3 W. theoretical curve fitted to the data. A diffraction efficiency
Figure 6 shows the frequency-resolved far-field pattern of about 65% was achieved at the modulation power of
of the output beam. The frequency of the output beam 3 W. About 35% of the optical power was observed in
is resolved to the vertical direction with the diffraction other diffracted components, such as 1st and 2nd order
grating and the Fourier transform mirror, therefore the diffracted components. From the fitting, we conclude that
horizontal axis is space, whereas the vertical axis corresponds the maximum diffraction efficiency can be achieved at the
to the frequency. The modulation power was about 1.7 W. modulation power of 3.6 W.
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Advances in Optical Technologies 5

0.8

Diffraction efficiency
16.25 GHz
0.6
Frequency

0.4

0.2

0
0.6 0.8 1 1.2 1.4 1.6 1.8 2
Square root of the modulation power (W1/2 )

Figure 7: Diffraction efficiency as a function of the square root of

the modulate power. The filled circles show the experimental data.
0th 1st The dashed curve shows the theoretical curve fitted to the data.
Space

Figure 6: Far-field pattern of the output beam with resolved fre- period of the domain inversion for the QVM condition.
quency. The horizontal axis is space. The vertical axis corresponds On the other hand, the propagation characteristics of a
to the frequency.
thin-film microstrip line can be calculated using equivalent-
circuit model [19]. The effective relative permittivity for the
0.03-mm-thick microstrip line with the SiO2 buffer layers
Previously, we achieved the maximum diffraction effi- is estimated to be about 28. Using calculated values of
ciency at the modulation power of about 300 W for the the group refractive index for 1550 nm and the effective
interaction length of 12.5 mm in the 0.5-mm bulk device relative permittivity, the modified half-period of the periodic
[9]. Compensating the difference of the interaction length, domain inversion is calculated to be 2.96 mm. The Q factor
the power efficiency of the current waveguide device should of the device with 60 μm domain inversion at 1550 nm will be
be improved by a factor of 84, which corresponds to the about 40, which promises the frequency conversion efficiency
expected modulation power of 3.8 W. The achieved value of of more than 80% [8]. It is feasible to implement the
3.6 W is close to this predicted value. frequency shifter for the 1550 nm band operating at 16 GHz
On the other hand, the maximum diffraction efficiency with more than 80% efficiency.
we achieved with the 0.5-mm bulk device was 82% [8]. The Improvement of the modulation power efficiency will
degradation of the diffraction efficiency might be due to the increase the operation frequency of the device. The thin-
degradation of the Q factor of the device. The boundary film microstrip line supports the THz wave transmission,
between the Bragg regime and Raman-Nath regime can although stronger attenuation appears above 300 GHz,
be described in terms of the so-called Q factor, given by which is caused by an increasing amount of radiation
Q = 2πλl/Λ2 . The Q factor of the current waveguide device loss [20]. A 2 W Q-band (30 to 50 GHz) power amplifier
was 13.5, whereas that of the former bulk device was 23. is commercially available. Our technique would promise
Shortening the period of the domain inversion will recover to fabricate the low-loss upconverter which connects the
the diffraction efficiency. millimeter-wave and 1550 nm optical wave.
We confirmed experimentally the improvement of the
modulation power efficiency at 514.4 nm by reducing the 6. Conclusion
gap distance between the hot and ground electrode of the
microstrip line. Operation of the shifter at 1550 nm requires We proposed waveguide-based frequency shifter, in which
further improvement of the modulation power efficiency, modulation power efficiency is improved by a factor of
by factor of 9. It can be achieved by narrowing the gap to 11 compared with the conventional bulk device. At the
about 0.03 mm for a 34-mm-long device. The 0.03-mm- modulation power of 3 W, we achieved a frequency shifting
thick device can be fabricated by the mechanical polishing of 16.25 GHz with the efficiency of 65%. Improvement of the
with the proton exchange process. Crystal ion slicing and modulation power efficiency enabled us to demonstrate the
wafer bonding (smart guide) [17] is another technique continuous operation of the shifting.
to fabricate the thin-film device without degradation of
the optical quality compared with the bulk crystal. Rabiei Acknowledgment
and Steier demonstrated a LiNbO3 waveguide modulator at
1550 nm with a low propagation loss in which the waveguide This research was partially supported by a Grant from
was fabricated using the smart guide [18]. Using Sellmeier the Grant-in-Aid for Challenging Exploratory Research
equation, the group refractive index is calculated to be about (23656049) from the Ministry of Education, Culture, Sports,
2.17 for 1550 nm, which requires slight modification of the Science, and Technology of Japan and a Grant Program
 3819, 2012, 1, Downloaded from https://onlinelibrary.wiley.com/doi/10.1155/2012/676785 by Cochrane Macao, Wiley Online Library on [21/11/2024]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
6 Advances in Optical Technologies

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