Waveguide Modes and Effective Index
The ray
picture left a loose end that is about to become the whole story. Rays suggested that
any zig-zag angle beyond the critical angle is guided — a smooth continuum of equally good
paths. Measure a real waveguide and you find nothing of the sort: light propagates in a handful of
discrete field patterns, sometimes exactly one, each moving at its own precise speed. Where
did the continuum go? The answer is that a light ray is not a thin pencil; it is a
wave, and a wave bouncing between two
walls interferes with itself. Almost every zig-zag angle self-destructs. The few that
survive are called modes, and the single number that prices each one — the
effective index n_{\text{eff}} — will follow us through
every device in this course. When a later lesson writes a phase as
2\pi n_{\text{eff}} L/\lambda without comment, it is leaning on today.
Why the angles are quantised
Follow one wavefront through a double zig-zag: down across the core, reflect, back up, reflect
again. It has returned to its starting depth, travelling in its original direction — and it now
overlaps the wavefronts of the undisturbed wave behind it. If the round trip has shifted its phase
by anything other than a whole number of 2\pi, the overlap is
destructive; a few more round trips and the field has cancelled itself to nothing. Exactly as in a
standing wave on a string, persistence
demands self-consistency. For a core of thickness d and a
zig-zag angle \theta (from the normal), the transverse round trip covers
2d\cos\theta of path and picks up a phase shift
2\phi_r from the two total reflections, so the survivors obey
\frac{2\pi n_1}{\lambda}\, 2d\cos\theta \;-\; 2\phi_r \;=\; 2\pi m,
\qquad m = 0, 1, 2, \dots
One equation, one integer — a discrete ladder of allowed angles
\theta_m, each with its own transverse field pattern:
m counts the nulls across the core. The continuum of rays has collapsed
into a short list of modes, for precisely the reason electron orbitals or drum overtones form a
short list: confinement plus wave interference equals quantisation.
Each allowed pattern travels down the guide as a wave
E(x)\,e^{i(\beta z - \omega t)} with propagation constant
\beta = (2\pi n_1/\lambda)\sin\theta_m — the axial component of the
zig-zag. It behaves exactly like a plane wave in an imaginary uniform material of index
n_{\text{eff}} \;=\; \frac{\beta}{2\pi/\lambda} \;=\; n_1 \sin\theta_m .
- a waveguide supports a finite, discrete set of guided modes, the
self-consistent solutions of the wave equation in its index profile;
- each mode propagates with phase velocity c/n_{\text{eff}}, where
its effective index is bracketed by the materials:
n_2 \;<\; n_{\text{eff}} \;<\; n_1 ;
- the fundamental mode (m = 0, no nulls) has the largest
n_{\text{eff}}; each higher mode sits lower, and a mode pushed down
to n_{\text{eff}} = n_2 is at cutoff — no longer
guided;
- make the core small enough (or the contrast low enough) and only
m = 0 survives: the guide is single-mode.
The brackets are worth internalising as a reflex. A well-confined mode lives mostly in the core and
has n_{\text{eff}} near n_1; a barely-guided
mode sprawls into the cladding and has n_{\text{eff}} sagging towards
n_2. The effective index is a weighted average of the indices the mode's
field actually touches — which is also why it responds to anything that changes those
indices, a sensitivity that later lessons turn into switches, sensors and couplers.
The shape of a mode — and its evanescent tails
Solving the wave equation in
matter for a symmetric slab gives the fundamental mode a shape you could have guessed:
a cosine hump across the core. The surprise is at the walls. The field does not stop at the
core boundary — it continues into the cladding as a decaying exponential,
E \propto e^{-\gamma |x|}: the evanescent tail. These
tails carry no power away (that is what makes the reflection total), but they are real, measurable
field, typically reaching some 100–300 nm into the cladding of a silicon guide. The chart below is
the exact solved mode of a symmetric slab; the slider sets the normalised guide size
V = \tfrac{\pi d}{\lambda}\sqrt{n_1^2 - n_2^2}. Shrink
V and watch the guide loosen its grip:
Two readings of the same picture. First, there is no single-mode "cliff" in confinement:
even a comfortably single-mode guide keeps healthy tails, and a guide squeezed too small holds its
mode so loosely that the merest bend sheds it. Second — and this is the seed of a lesson to come —
the tail is a handle sticking out of the waveguide. Bring a second guide within tail's
reach and light will climb across the gap, with no contact between the cores. The symmetric slab
also hides a neat freebie: its fundamental mode has no cutoff at all. However tiny
V gets, one mode always clings on; the second mode
(m = 1) only appears once V > \pi/2 — and
that inequality, reversed, is the single-mode condition.
Worked example: sizing a single-mode silicon guide
Put numbers in for the platform this course lives on: silicon
(n_1 = 3.48) in silica (n_2 = 1.44) at the
telecom wavelength \lambda = 1.55\ \mu\text{m}. The single-mode condition
V < \pi/2 reads
\frac{\pi d}{\lambda}\sqrt{n_1^2 - n_2^2} < \frac{\pi}{2}
\quad\Longrightarrow\quad
d \;<\; \frac{\lambda}{2\sqrt{n_1^2 - n_2^2}}
\;=\; \frac{1.55\ \mu\text{m}}{2 \times 3.17} \;\approx\; 0.24\ \mu\text{m}.
A quarter of a micrometre — six times smaller than the wavelength in vacuum. High contrast is a
double-edged sword: it permits micrometre bends, but it forces nanoscale cores if you want exactly
one mode. (This is precisely why the standard silicon strip waveguide you will meet two lessons
from now is about 0.5 µm × 0.22 µm — wide enough to hold the mode firmly, small enough to hold only
one.) Compare telecom fibre, where \sqrt{n_1^2 - n_2^2} \approx 0.13:
the same algebra allows a core about 6\ \mu\text{m} across — a size
mismatch of more than 10× that will come back to haunt us when chip must meet fibre. The program
below solves the actual mode equation — the transcendental self-consistency condition, not an
approximation — and reports n_{\text{eff}} as the core shrinks:
// Symmetric-slab TE modes: solve u·tan(u) = sqrt(V² − u²) for the fundamental,
// where u = (π d/λ)·sqrt(n1² − n_eff²) … all wrapped in normalised variables.
const n1 = 3.48, n2 = 1.44, lambda = 1.55; // indices; wavelength in µm
function fundamentalNeff(d: number): number { // d = core thickness in µm
const V = (Math.PI * d / lambda) * Math.sqrt(n1 * n1 - n2 * n2);
let lo = 0, hi = Math.min(V, Math.PI / 2) - 1e-9;
for (let i = 0; i < 60; i++) { // bisection on f(u) = u·tan u − sqrt(V²−u²)
const u = (lo + hi) / 2;
const f = u * Math.tan(u) - Math.sqrt(Math.max(V * V - u * u, 0));
if (f > 0) hi = u; else lo = u;
}
const u = (lo + hi) / 2;
const s = (u * lambda) / (Math.PI * d); // sqrt(n1² − n_eff²)
return Math.sqrt(n1 * n1 - s * s);
}
for (const d of [0.60, 0.40, 0.30, 0.22, 0.15, 0.10]) {
const neff = fundamentalNeff(d);
console.log("d = " + d.toFixed(2) + " µm n_eff = " + neff.toFixed(3) +
" (bounds: " + n2 + " … " + n1 + ")");
}
Watch n_{\text{eff}} slide from near 3.5 down towards 1.44 as the core
shrinks and the mode is squeezed out into the cladding — the bracketing inequality, live.
Yes — with a fingertip. Press your thumb firmly against the far side of a glass of water and peer
down through the surface at the glass wall: where skin meets glass, the silvery totally-reflecting
surface shows dark ridge-patterns — your fingerprint, imaged by spoiled TIR. The ridges of skin sit
inside the evanescent tail and drink power out of it, while the valleys (a fraction of a micrometre
further away) do not. The same effect, called frustrated total internal reflection,
is the optical twin of quantum
tunnelling: bring a second high-index medium within a wavelength of the interface and
light "tunnels" across a gap it has no classical business crossing. Fingerprint scanners, beam-splitting
prism cubes and touch-screens have all used it. Hold on to this picture — when two waveguides trade
light through their overlapping tails at the end of this module, nothing new will be happening.
Two traps, one root. First: n_{\text{eff}} is not a material
property. It belongs to one mode of one geometry at one wavelength and polarisation —
change the core width, the colour, or TE for TM, and n_{\text{eff}}
changes. Quoting "the effective index of silicon" is a category error. Second:
c/n_{\text{eff}} is the phase velocity — the speed of the
wave's crests, the right number for interference and phase accumulation. A data pulse is a wave
packet, and it travels at the group velocity c/n_g, where
n_g = n_{\text{eff}} - \lambda\, \mathrm{d}n_{\text{eff}}/\mathrm{d}\lambda.
In a silicon wire the two differ spectacularly: n_{\text{eff}} \approx 2.4
but n_g \approx 4.2 — the pulse crawls at barely
c/4 while its crests do c/2.4. Use
n_{\text{eff}} for phases and interferometers; use
n_g for delays, latencies and pulse spreading. Mixing them up is the
classic first-year-of-photonics bug.
Where this goes next
You now hold the wave-level contract of a waveguide: a discrete set of modes, each a fixed
transverse shape with a price tag n_{\text{eff}}, evanescent tails
included. Photonic circuit design is largely the art of keeping every guide single-mode and then
manipulating that one mode's phase. Before returning on-chip, though, the
next
lesson takes the waveguide idea to its greatest triumph — the optical fibre — and asks
the question that decides whether guided light is useful at all: how much of it survives the trip?