IEEEQUANTUM

JOURNAL OF ELECTRONICS, VOL. QE-IO, NO. 4,413

APRIL 1974

Principles of Distributed Feedback and Distributed

Bragg-Reflector Lasers

Abstracr-Wavepropagation in periodic waveguides is analyzed by

amine the principles underlying the operation of D F B lasers
decomposing the eigen Bloch waves into traveling-wave components. It is and to consider various types ofwaveguidestructures for op-
shown that the principal components consist of a primary forward wave, a
primary backward wave, and their Bragg-scattered secondary waves. One timization of DFB laser performance.
important parameter is the coupling constant s due to Bragg scattering, The theoretical analyses reported in the literature all are
which relates the secondary wave totherespectiveprimary basedonthecoupled-waveequationfromwhichthe
wave. Laser
threshold condition is then obtained by applying the continuityof tangential
spatial dependence of the complex amplitudes of the field
E and H at the two boundaries. The results thus obtained are general and is found. The present analysis departs from the previous
applicable to thin-film lasers with various waveguide structures.
The laser threshold condition
analyses at the outset in the approach to the problem. It
of thin-film Bragg lasers is expressed in
starts out from finding the eigenmodes of wave propaga-
terms of two effective reflection coefficients for easy comparison with con-
ventional lasers. For appreciable reflection, a significant change either tion in a periodic structure. The eigenmodes that are of the
in the
propagationconstant or in thecouplingconstant is [Link] Bloch-wave type are then decomposed into traveling-wave
types of thin-film Bragglasersaredistributed-feedback (DFB) lasers in
components so that the physical processes going on in a
which Bragg scattering is confined to the active medium and distributed-
periodic waveguide can be clearly seenand approximation
Bragg-reflector (DBR) lasers in which Bragg scatteringis limited to regions
beyond the active medium. The threshold gain, frequency control, andmode methodscanbe used in [Link]
threshold condition is obtained for DFB lasers by apply-
selectivity for both types are analyzed and the analyses are applied to GaAs
and Nd lasers. It is shown that DBR lasers should have a lower threshold ing the proper boundary conditions (tangential E and H
gainandabetter mode [Link]- being continuous) to different laser structures. The results
feedbackeffectto play a significantrole inthin-film Bragglasers,the
product K L , ,must
~ be greater than unitywhere K is the distributed-feedhack
thus obtained are general and can be directly applied to
any given DFB laser in terms ofphysicalparameters
coefficient and L,,, is the interaction length. Advantages for having periodic
which are related to the physical properties of the laser
structures outside the activemedium so as to relax constraintson K and L,,,
are also discussed. structure. Our final aim is to consider the potentials of
D F B lasers for use in integrated optics. If thin-film D F B
[Link] lasersare to beused in futureopticalcommunication
HE WORK of Kogelnik and co-workers [I], [2] on systems,theymustbeable tocompete in performance
T distributed feedback (DFB) lasers has stimulated a
great dealof interest in the use of Bragg scattering to provide
with
tion
conventional
lasers. In our
lasers,
final
especially
analysis, the
semiconductor injec-
performance of D F B
the necessary feedback in thin-film lasers. Since the initial lasers
of
various
types is discussedwithparticular
work of Kogelniket al., a numberof D F B laser experiments emphasis on the threshold gain, frequency control, and
havebeen reported[3]-[9] bydifferentgroupsusingdifferent mode selectivity of these devices.
laser materials in various experimental configurations. On
the theoretical side,several papers discussing the threshold 11. WAVE PROPAGATION IN PERIODIC WAVEGUIDES
condition and other related aspects of DFB lasers have been
published [IO]-[ 131 and new periodic waveguide structures In this section, we review the essential features of wave
suitable for solid-state and semiconductor lasers have been propagation in a periodic waveguide. Consider an optical
proposed [ I I ] . In the experimental work reported thus far, waveguide(Fig. 1) madeofathin film sandwiched
only DFB dyelasers have been extensively studied and havebetween a substrate and a top dielectric layer (superstrate).
shown that their threshold condition can be easily satisfied. For a proper mode of wave propagation, the transverse
Experimental dataon DFB GaAslasers, on the other hand, wavenumber k , must satisfy the following characteristic
have indicated that the threshold gain needed in DFB lasers equation:
far exceeds that needed in injection lasers. Furthermore,
successful operation has been achieved only at 77 K under
pulsedconditions.1tisthepurposeofthepresentpapertoex-
where 4, and 4, are, respectively, the phase shifts at the
film-substrate and film-top layer boundary, W is the film
Manuscript received September 25, 1973; revised December 18, 1973.
This work was supported in part by the Air Force Office of Scientific thickness, and m, is an integer representing the transverse
ResearchunderGrant AFOSR-71-2114 and in part by theOffice of mode number. If the thickness d of the top layer is com-
Naval Research under Contract N00014-69-A-0220-1063. parable to, or smaller than, the penetration depth of the
The author is with the Department of Electrical Engineering and Com-
puterSciences and the Electronics Research Laboratory, University of evanescent wave i n the top layer, then the phase d t is
shift
California, Berkeley,Calif.94720. dependent on d. Thus, by varying either the thickness d of
414 IEEE JOURNAL OF QUANTUM ELECTRONICS, APRIL 1974

air no I-"-- problem by a periodic variation in the phase constant k , is

concerned. The only difference is in the effective gain g of
thewaveguide, .which in DeWamesandHall'sanalysis,
takes into account the effect of a guided wave extending
into the surrounding media.
substrate n,
By small perturbation, it is meant that the changein the
field profile at the wave discontinuity is small. The field
profiles for the two lowest order modes are shown in Fig.
1. Note that most of the electromagnetic energy is con-
fined in the film. Therefore,asensitivemeasure of the
profile mismatch is by the quantity Ak,/k, in the film. In
substrate ns
the one-dimensional analysis represented by (2), we have
neglected terms of the order of (Ak,/k,)2. Since thin-film
Bragg lasers require a value forAk,/k, much less than 5 X
air n, (2) is perfectlygoodforallpracticalcases. The
problem with profile mismatch becomes significant only
when the waveguide discontinuity gets into theregion of a
subsirate ns
waveguide where thefield amplitude is large. This happens
to cases shown in Fig. l(c) and (d) if the thickness varia-
tion A W of the filmisof theorder of W/2(rn, +
1).
However, such a large value for A W is not required and
air no hence never used i n practice. For cases shown in Fig. l(a)
- and(b),the amount of profile mismatchcaused by
thickness variation Ad of the top layer is generally small
because the field amplitude decays exponentiallyin the top
substrate ns
layer. This is true even if d, is very large.
(d) According to Floquet's theorem, ( 2 ) has a solution of
Fig. 1. Examples of periodic waveguides for thin-film lasers. (a) and (b) the following form:
Structures utilizing periodicvariation in thickness of top dielectric
layer. (c) and (d) Structures utilizing periodic variation in thickness of
film. +
E ( Z ) = A+,(z)exp (rz) B+,(z) exp (-h) (3)

the top layer or the thicknessW of the film, we can change

+
where 4 ( z ) = +(z a) is a periodic function of period a.
Since 4 ( z ) repeats itself from period to period, the long-
thetransversewavenumber k,. Sincethelongitudinal
range behavior of E(z) is governed by exp(Nz)insofar as
wavenumber k, is related to k , through kX2 kZ2= ko2nf2 + the amplitude of the wave is concerned.
where k, is the free-space wavenumber and n1 is the film
To find the exact form of 4 ( z ) and the exact value of r,
index of refraction, any change in k , will result in a cor-
we need to specify the dependence ofy on z. As an exam-
respondingchange in k,, therebygeneratinga reflected
ple t o gain physical insight, we choose the simple case in
wave. In a DFB laser, the spatial variation of d or W is
which the structural change is abrupt, as shown in Fig. 1.
made periodic so that the reflected waves generated by a
For such structures, y takes two distinct values with
spatially varying k , can maintain a proper phase relation
for constructive feedback.
Fig. 1 shows several representative waveguide structures y = g - ik, = y,, for 0 > z > - a,
with periodic thickness variations either in the top layeror = g - ik,' = y L , for a, > z > 0. (4)'
in the film. Wave propagation in such waveguides involves
boththecoordinates x and z andhence is atwo-
Equation (2) with y thus specified is known as Hill's equa-
dimensional problem. This two-dimensional problem has
beenanalyzedfirstbyWang [ l I ] andsubsequently by
[Link] 4 ( z ) canbefound2 bysolving ( 2 )
separately for the two regions. The propagation constant
DeWamesandHall [13]. Forsmallperturbations,the
problemcanbedescribed by aone-dimensionalwave
r canbedeterminedfromthefollowingcharacteristic
equation
+
Another well-known equation with y = yo y1cos (2rrz/a) is called
Mathieu's equation. Hill's equation is chosen here for simplicity of and
d2E - familiarity with the solution. The general features of the propagation
y E = 0'
dz2 properties can be shown using either case as an example.
See, for example, L. Brillouin, Wave Propagation in PeriodicStruc-
with a periodic propagation constant y = g - ik,. The tures. New York: Dover, 1953. With slight modification, Hill's equation
can be transformedinto a formknown in solid-state physics asthe
analyses by Wang and by DeWames and Hall haveyielded Kronig-Penney model. See, for example, C . Kittel, Introduction to Solid
essentially the same results insofar as characterizing the StatePhysics. NewYork: Wiley, 1967.
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 415

equation:

cosh ( F a ) = cosh (ylal) cosh (-yza2)

+ I2 + %)
Y1
7 2
sinh ( Y l a , ) sinh ( ~ ~ u (5)
~ )

which is obtained by applying thecontinuity of tangential

E and H to the two solutions.
The general behavior of r = G - iK is shown in Fig. 2 6.-
near the Bragg frequency wo, which is defined as the fre- &ff = + b f f = -
quency at which ,LI = ( k , +
k,')/2 is equal to the Bragg
I
+
wavenumber KO = ?r/a, where a = a, a,. Curve I is for a ! IG I
uniform waveguide with y = y, = yz. Curves 11, 111, and
IV are for periodic waveguides with g = 0, with gain ( g =
+) and withloss ( g = -), respectively. The real part G
represents the effective gain coefficient, whereas the im-
aginary part K represents the effective phase constant in a
periodicwaveguide. Near coo, the effective propagation
r-
constant r in aperiodicwaveguide differs considerably
from the propagation constant y in a corresponding uni-
form waveguide. The bandwidth and the amountin which
Fig. 2. Curves showing general behavior of propagation constant r = C
r deviates from y increase as the difference y,- y z or, in - iK in a periodic waveguide as compared with propagation constant y
other words, the depth of modulation of the waveguide = g - ip in a uniform waveguide.
structure increases.
where
111. APPROXIMATE SOLUTION FOR THE FIELD
AND ITS PROPAGATIONCONSTANT @ = ( k , + k,')/2 and A@ = (k; - k , ) / 2 . (9)

The solution presented in (3) is perfectly general, but In obtaining ( 8 ) , second-order terms involving (A@' and
does not lend immediate application to DFB [Link] the gap are neglected. Substituting (6) in (8) and collecting
followingdiscussion, we develop approximation terms with exp [&(I' + i2K0)z]dependencies, we find
procedure so that information derived from the analysis
canbedirectlyapplied to thin-film lasersandother
devices. We note thatq5(z) of (3) is periodic. Therefore, we
can expand $(z) in a Fourier series and rewrite (3) as
UTI = -K[(G + g ) + i(6 + 6eff)]-1Ub = -sUf (lob)
E(z) = U, exp (I'z) + U1exp ( r z + i2K0z) + Zu,
where
+ U b exp (-I'z) + U - l exp (-I'z - i2K0z) + BL, (6)

where KO = ?r/a. In the Fourier expansion, the constant

termsarerepresented by U f and U, in (6), whereasthe
spatially varying terms are represented by the u, and u - ,
terms with K = 2r/a = 2Ap/?r. (11 c>

Thequantities 6 and lieff represent, respectively, the

amount of detuning of p and K awayfromtheBragg
where q is a nonzero integer. As we see later, the terms wavenumber,whereasthequantity K is thedistributed-
with q = 1 are especially important and hence are pulled feedback coefficient defined as the average reflection r per
out from the other u*, terms in (6). unitlength. All threequantitieshaveadimension of
Next, we express the periodic variation of k , also in the reciprocallength. In obtaining (lo), terms involving the
form of a Fourier series expansion. For definiteness we product of 6 ; aeff, G, and g are neglected in comparison
+ +
again take the abrupt variationgiven by (4) as an example with 2K0[G g i(6 f 6eff)]. For the otheru,, terms with
and thus write (2) as +
q # I , the factor [(r i2qK$ - (g - i,LI)z]can be ap-
proximated by 4q(l - q)Ko2,and thus we obtain
416 IEEE JOURNAL OF QUANTUM ELECTRONICS, APRIL 1974

We should point out thatU,, of (1 2) represents only the To complete theanalysis, we need to know the relation
amplitude of those high-order space harmonics that are between P and 6, which in turn determines the effective
contained in the Bloch [Link] the Bloch wave propagationconstant r. Substituting (13) in (8) and
propagates as a whole, the amplitudes of the space har- collecting terms with the exp [*(P - i K o ) z ]dependence,
monics of the Bloch wave are related toeach other by (10) we obtain
and (12). However,waveguidediscontinuitiescaused by
the periodic thickness variation may generate space har-
monics otherthanthosecontained in the Bloch wave.
Theseotherspaceharmonicsnotonlyhave
amplituderelationsbutalsohave
different
different phasecon- +
The same approximation, 2iK0 - (g is) P = 2iK,, is *
stants. They are needed in matching the tangential E and used in (15) as in (IO). Comparing (14a) and (19, we find
H in the xy plane. If the profile mismatch or A k , / k , is
small, which is the case for the lasers to be considered in
this paper, these space harmonics outside the Bloch wave
are expected to have negligible amplitudes as compared to
the Bloch wave. Therefore, in the following discussion, we
limit the space harmonics to those contained in the Bloch
wave. According to the behavior of G and 6eff, we can divide
Near the Bragg frequency wo. only the terms U , and U - , DFB lasers into two categories: a) weakly coupled ones
areresonantlycoupled to the terms U , and Ubrrespec- with K < g, and b) strongly coupled ones with K > g. For
tively, and hencehavesignificant amplitudes. The ratio weakly coupled DFB lasers, use of K < g in (16) yields G =
+ + +
U,/ C', is approximately given by I G g i(6 Seff)l/ K O , g and aeff 1: 6. For such cases, the effective propagation
which is of the order of IO-' or less. Neglecting the terms constant r is approximately the same as y = g - i/3 for a
,Zuq and Z u - , and rearranging the remaining terms in (6), uniform waveguide. For strongly coupled DFB lasers, r is
we obtain quite different from y,and the behavior of G and aeff can
be characterized in two different frequency regions: a) one
E ( z ) = [ U , exp (Pi)- subexp ( - P z ) ] exp (-iK,z) +
region with 6' < K' g2 in which the Bragg condition is
+
nearly satisfied, and b) the other region with a2 > K' g 2 in
+ [ U h exp (- Pz) + s U f exp ( P z ) ] exp (iK,z) ( I 3) which the scattering effect becomes weak.
Theapproximatesolutions for G andare listed in
where Table I. For strongly coupled DFB lasers, there are three
cases in Table I as in Fig. 2: g = 0, g =+, and g = -. For
the g = 0 case, either G or 6,ff must be zero. In the 6 < K
region, a wave is attenuated on account of Bragg scatter-
ing, but deff = 0. For theg # 0 cases, both G and 6eff are
nonzero. Since a, and 6 have the same sign according to
The physical situation in a DFB laser is now clear. In (6),
their definition in (1 l), G follows the sign of g from (1 6b).
the
term U , representssecondary
a backward wave
The effective gain or loss (curves TI1 and IV in Fig. 2) is
generated by back scattering of the primary forward wave
enhanced in a periodic structure by the Bragg-scattering
U f , whereas the term U - , represents a secondary forward
process. Further, beff is much smaller than 6, and hence the
wave generated by back scattering of the primary
effective phase constant K is held close to the Bragg value
backward wave U b . Only theprimarybeamsandtheir
Bragg-scatteredsecondarybeamsarekept in (13). The
K Oin the Bragg-scattering dominated region 6' < K' + g2.
I n Figs. 3and 4, we showthe results of computer
quantity s is a measure of the coupling strength of the
calculation of G and 6,ff based on ( 5 ) fortwoperiodic
secondary beam to the primary beam and hence will be
waveguide structures: a) one with W = 1.5 pm, dl = 0.1
referred to as the coupling constant. Note that only U , is
pm, d2 = 0.26 pm, a = 0.1 169 pm, n, = 3.6, substrate and
coupled to U , and only U - , is coupled to Ub in (13). The
top-layerindex = 3.45,and g = 40 cm-'1 and b) the
two quantities U f and Ub are not coupled to each other in
other with W = 1 .0 pm, dl = 0 pm, dz = 0.20 pm, a =
an infinite periodic
waveguide since second-order
a
0.1875 pm, n f = 1.560, n,,, = 1.514, a n d g = 8 cm-'. Both
differential equationmusthavetwoindependentcon-
curves are computed for the fundamental modewith m, =
stants. The coupling between Ub and U , must come from
0 in (1) and near theirrespectivefirst-order Bragg frequency.
discontinuities in the waveguide structure of a DFBlaser.3
The calculated value of K is equal to 6.10 cm-' for Fig. 3
and equal to 107 cm-' for Fig. 4. Therefore, Figs. 3 and 4
The necessity of having changes in the wave impedance to provide represent a weakly coupled and a strongly coupled case,
coupling between the two eigen Bloch waves was first pointed out by R .
Cordero. I n a subsequentdiscussionbetween J. R. Whinneryand S. respectively. As can be seen from Fig. 3, the values of G
Wang, this conditionwas generalized tomean a change in the wave and aeff in a weakly coupled waveguide are essentially the
propagation property. An exact analysis of the laser threshold condition same as those i n a corresponding uniform waveguide. For
usinguntruncated Bloch waves will bepublished in a separatecom-
munication. I n the analysis by R. Cordero, an equation similar to (30) is the strongly coupledcase of Fig. 4, we have also computed
obtained with R,,,' and R,,," expressed in terms of wave impedances. the values of G and 6eff using the approximate formulas
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 417

k , is ofthesquare-wavetypedescribed by (4). Fora

general case, the variation in k, can be of any periodic
wave such as

k, = Po + @,
sin (q2lrzla). (1 7)

Further, if the pth-order periodic variation is used, then

the Bragg wavenumber becomes KO = p P / a . Following a
similar analysis as outlined above, we find that the results
we obtained can be applied to general cases if we let

a The f sign of follows the sign of 6. The function F is defined as

F(6) = K 2+ g2 - 6'. where the subscript p refers to the two counter-running
waves that satisfy or nearly satisfy the Bragg condition
and the subscript q refers to the other waves. Thus in (6)
and (lo), we should replace U , and U - , by U p and K , ,
respectively, and replaces by s., Likewise, instead of (14b)
and (12), we should have

In conclusion, the approximate solution of the eigenvalue

r or P and the wave functionE(y) as given by (15) and (13)
can be used foranyDFBlasersprovidedthecorrect
Fig. 3. Curvesshowing effective gainconstant G and effective phase Fourier component p, is used in evaluating the feedback
constant K for a weakly coupled periodic waveguide withg = 40 cm-I coefficient K~ andthecouplingconstant s,. In theap-
and K = 6.13 cm-I. Other physical parameters used in computation are proximatesolution, we haveneglectedwaves thatare
either shown in diagram or given in text.
smallerthantheBragg-scatteringcoupledwavesbyan
+ +
order of magnitude of 1 G g i(6 + aeff)1 / K O .The exact
equation for the eigenvalue r is

( P - iKo)2- (g - i/3)2= -sPpp - 2sqpq. (20)

Equation (20) reduces to (15) if the factor P + g - i(K, +

p) on the right-hand side is approximated by -2iK0 and
the terms Zsqpq on the left-hand side are neglected. Both
approximations are good as long as + +
1 P g i s l / K , is
small.

IV. OSCILLATION THRESHOLD CONDITION

FOR
Fig. 4. Curvesshowing effective gainconstant G and effective phase VARIOUSDFB LASERSTRUCTURES
constant K for a strongly coupled periodic waveguide withg = 8 cm-I
and K = 1 1 1 cm-I. Other physical parameters used in computation are
In this section, we apply the results of our analysis ob-
either shown in diagram or given in text. tained in Section 111 to various DFB laser structures. Our
aimsaretwofold:a)togainphysicalinsightintothe
given in Table I. The approximate values (from Table I) mechanisms governing the operation of D F B lasers, and
and the exact values [from ( 5 ) ] are in excellent agreement b) tocomparetheoscillationthresholdconditions of
except near the point 62 = K~ +
g2, where the values of G various DFB laser structures for optimization of laserper-
and a, are givenby G = aeff = (g6)lI2. Wedefinethe formance. We refer to the coordinate system of Fig. 5 in
wavelength region in which A 2 I K~ +
g2 as the bandwidth which a laser structure is divided into three sections. For
AX,,, ofaperiodic [Link] in any coupled system, thesimplicity, we choose z = 0 as the midpoint of the center
strongerthecouplingstrength(measured by K ) is, the section. In (8), it is assumed that the transition in y (from
broader the bandwidth (measured by A X D p B ) is. y1to y2, for example) occurs at z = 0. For a general case,
In the above discussion, we have assumed that the fun- this may not be true, and we must use sin b ( 2 K ~ e,)] in- +
damental component of periodic variation is used in the stead of sin (p2K0z)for the spatial variationof y. Thus, for
Bragg-scattering process and that the periodic variationin a TE mode of operation, thefield in the middle section can
 41 8 IEEE JOURKAL OF QUANTUM ELECTRONICS, APRIL 1974

The corresponding magnetic field in eachregion can be

found from

For a TM modeof operation, we interchange the roleof E

and H in (21), (23), and (25), andreplace (iwp0)-’ by
in (25). According to (2), E should consist of a

-
constant part E , and a spatially periodic part ez(z). It is to
be noted, however, that the ratioE J E ~ is exceedingly small
andthus we mayuse t 1 for t in the expression E, =
case 3 case 4 ( - i ~ t , ) - ~HJaz.
a We should point out that theeffect of a
s”=o S L C s’=C {PO 8.0 s’rc singlewaveguidediscontinuitycaused by E ~ ( z is
) really
-tt+ctft+t-
4 - A + negligible. On the other hand, the long-range effect of E~(z)
R”#C R’iC R”IC R’lC is large and is represented in our formulation by the coupl-
case 5 case 6
ing constants. Therefore, it is a perfectly valid approxima-
Ij II ~ !I I indicatesperlodlcstructure tion to use t , = nfZrfor E in E, in matching the boundary
- -
or
or indlcoles nonzero reflection conditions for the TMwave. As we shall see later, only the
Fig. 5 . Diagrams showing various thin-film laser structures discussed in long-range change in tz(z) can cause an abrupt change in s
text. Active medium is designated as region I, whereas media adjoining and, hence,an appreciable reflection at the boundary.
active medium are designated as regions 11 and 111. All lasers utilize
Applying theboundaryconditions of continuous E ,
Bragg scattering to provide necessary feedback.
and H,,we obtain

be expressed as
at z = L /(22 6 a )
E,I(z) = [ Uf exp (Pz) - sb Ub exp (- Pz)] exp (- i KG)
+ t Uh exp (-- Pz) + s, U , exp (Pz)1 exp ( i & z ) R e f f f f= ( U j / U,) exp ( - P L + io) = V4/ V ,

= El exp (- i Koz) + E2 exp ( i &z). (21 1 at z = - L / 2( 2. 6 b )

The exact expressions of VI, V,, V,, and V4are given in the
The two coupling constants are now different with
[Link] waveanditsBragg-
sf = s exp (i8,) sb = s exp (-ioo). (22) scattered wave have different propagation constants on ac-
count of P. For a first-order calculation, we ignore P, P ‘ ,
In the two outer regionsTI and 111, a wave is attenuated as
and P“ in (A7). Consequently, all the R‘s become equal
it propagates. For finite E,, only the forward wave and its
and are given by
Bragg-scattered wave are allowed in region IT, and only
thebackward wave anditsBragg-scattered wave are
allowed in region TTI. Thus we have
Furthermore, the approximate expressions for VI, V,, V,,
and V4 are
I/, = R’ - R‘sfs,‘ exp (io + if?’)
E,~,,(Z)= U,” exp [(-P” + iKo”)z] - sf exp ( i o ) + s,’ exp (io’)
- st,” U,” exp [ - ( P ” + iKo”)z]. (23b)* V, = 1 + SbSf’ exp (io’ - io)
The two coupling constants sir and sb“ are given by + R’s,, exp (-io) + R’sr’ exp (io’)
sf’ = s‘ exp (i8,‘) sb” = sN exp (-&”). (24) V, = 1 + s,s,” exp (i8” - io)
- R”s, exp(-io) - R”sb” exp (io”)
I n a strict sense, the expressions are true onlyif regions 11 and 111 ex-
tend to fa,respectively. Note, however, that a wave will be attenuated v 4 -- R” - R ” S b S ~ ” exp (io + i8”)
in the unpumped regions I1 and 111 either as a result of Bragg reflection
(the G = -curve for the g = 0 case in Fig. 2) or as a result of absorption + s, exp (io) - s,” exp (i8”) (28)
(g = -). This fact is represented by P’ and P“ having a negative real part
-G’and-G”,respectively. ForafiniteregionIIandIIIoflengthL‘andL”, where
respectively, reflectionsat thefarendsarenegligible and, consequently, (23)
isperfectlygoodifG’L’> 1 andG”L”> [Link],thismeansalengthof
the order from 0.1 cm to 0.002 cm for L’ and L” depending on the laser 8 = KaL 0’ = Ka’Land 0” = Ka”L. (29)
material and the value of K . Since in all optically pumped DFB laser ex-
periments reported in the literature, the length ofthe grating structure is at
least several millimeters long, (23) is a valid expressionto use in all practical One important question concerning DFB lasers is the
cases. coupling between the two counter-running waves E , and
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 419

E2 in (21). We know that the component srUf of E, is assuming E , = 0 at z = L/2 and E, = 0 at z = -L/2 in
coupled to the componentU f of E , through the interaction (21). It has also been pointed out by Wang that this os-
of U , with the periodic waveguide. Similarly, the compo- cillationconditioncanbetransformedintotheform
nent sbub of El is coupled to the component U , of E,. first derived by Kogelnik and Shank [lo]. Therefore, the
However, this coupling is not enough for laser action. The boundary conditions (E, = 0 at z = L/2 and E, = 0 at z =
fundamental question is whether the two waves U f and u b -L/2) are applicable only to lasers forwhich the periodic
are coupled or not. Since A$,(z) and B$,(z) of (3) are the structure is confined to thegain medium (regionI in Fig. 5)
two eigenmodes of a periodic waveguide, the two waves U f and forwhich there is no end reflection. For other cases, the
and L / b of (21) are not coupled together in the periodic oscillation condition of Kogelnik and Shank [lo] must be
waveguide. (A second-order differential equation demands modified.
twoindependentconstants which are U f and Ub.) The Case 3 represents lasers where the coupling between a
two waves Uf and ub can be coupled together only at the forward and backward wave is providedbydistributed
boundarieswherediscontinuity in thewave-propaga- feedback in the two outer regions separated from the gain
tion property occurs.s medium (s' f 0 and s" f 0). Setting R' = R" = 0 and s = 0
There are two kinds of discontinuities in a D F B laser: in (28), we obtain
one caused by a change in the propagation constant r and
the other caused by a change in the coupling constant s. Ref,' = sf' exp (ior) Re,," = -Sb" exp ( w ) . (34)
The quantities R' and R" of (27) are the ordinary reflec-
tion coefficients caused by a discontinuity in r. The effec- The assumption R' = R" = 0 implies that KO'= KO" = KO
tive reflection coefficients Reffrand Reffr'take into account and 8' = 8" = 8. Thus the oscillation condition becomes
both effects of changing I? and s. A nonzero coupling con-
stant s (which also means a nonzero distributed-feedback -s's'' exp (2g.L)exp (ieor- iflo'' + i26.L) = 1. (35)
coefficient K ) alone is not enough for laser action. Nonzero
Ref,' and Ref," are also needed. This point was not made Equation (35) is applicable to lasers in which the
clear in the previous analyses. In the following discussion, [Link] 4
we use various DFB laserstructures to showhowthe represents lasers where distributed feedback exists in all
quantities Ref,' and Ref,'' andthusthelaseroscillation three regions (s # 0, s' f 0, and s" # 0), but there is no
conditions are affected by changes in the laser structure. reflection at the two boundaries. SettingR' = R" = 0 and
For nontrivial solutions, (26a) and (26b) must be self- hence 8' = 8" = in (28): we obtain
consistent, yielding the laser oscillation condition

RefffReff"exp (2P.L - 2iB) = 1. (30)

The absolute magnitude of (30) determines the threshold

gain needed for laser action, whereas the phase of (30) The oscillation condition in this case is
determines the longitudinal modesof laser oscillation. Fig. - ( S I f - Sf)(&" - Sa)
5 shows several laser structures to be used for illustrative
purposes. Case 1 represents conventional lasers for which .(I + sasI')-'(I + sfsb")-' exp (2P.L) = 1. (37)
there is reflection at the two boundaries (R'# 0 and R" #
0) but no distributed feedback in all three media. Settings Note that for maximum Ref,' and Reff", the change in
= s' = sf' - 0 in (28), we obtain Ref,' = R', Reff" = R", coupling constant should be abrupt as in cases 2 and 3.
and This condition is not fulfilled, however, in D F B laser ex-
periments reported in the literature. In optically pumped
R'R" exp (2gL. - 2iKL) = 1 (31) lasers
whose periodic
structures
extendbeyond the
pumped region, the differences sf' - sf and sa' - so are
which is the well-known oscillation
conditionfor generally small for the following reasons. As we shall see
conventional lasers. in Section V, lasers using thickness variations are forcedto
Case2representslasersforwhichtheonlycoupling operate away from the exactBragg condition. This means
between a forward and backward wave is caused by dis- that the values of 6 and aeff are generally large in com-
tributed feedback in the middle section (s f 0). Setting R' parison with g in (14b). Since the K'S in the three regions
= R" = 0 and sf = s r r = 0 in (28), we obtain areequal,the difference in s canonlybecaused bya
change in the signs and possibly values gofand G between
[Link] K , the
difference in s cannot be large because the value of s is
dominated by 6 and beff, whose values are the same forall
The oscillation condition thus becomes three regions. What further reduces the difference in s is
the fact that the intensity of the pumping laser has a Gaus-
-s2 exp (2P.L) = 1 (33) sian profile. That means that the changes in g and G occur
over a finite distance of the order of the waist of the Gaus-
which is identical to the one derivedbyWang [ I 11 by sian beam. For a slowly varying s, which is the case in an
420 I E E E J O U R N A L OF QUANTUM ELECTRONICS, APRIL 1974

optically
pumped DFB laser,the effective reflection Coupling between the two eigenmodes (Bloch waves) in a
coefficient is greatlyreduced,thus raising the threshold periodic waveguide can occur only at a boundary where
gain for laser action. Theeffective reflection coefficient ob- discontinuity in the wave-propagationproperty exists.
tained for case 2 can be interpreted as follows. Had the Unlike wave propagation in auniformwaveguide, the
periodic structure continued, there would be a component ratio of E / H for a Bloch wave is a function of the position
sfUf in region 11 and a component - s b U b in region 111. of the observation point with respect to theunit cell of the
Since there are no such componentsin the two regions, an periodic structure. This point will be further examined in
opposite wave must be set up to cancel s f U , and - S b U b . Section V for optimization of DFB laser performance. The
This effect is accounted for by R e f f ’and Reff” of (32). A mainattraction of the
coupled-waveanalysis is its
similar interpretation holds for R e f f ’ and R e f f ” of (34). simplicity. However, many details that are missing in the
Case 5 represents lasers for which reflection existsat the coupled-wave analysis could prove important in realizing
two boundaries (R’ # 0 and R” # 0 ) and distributed feed- the full potential of DFB lasers.
back exists in the gain medium (s # 0). Setting s‘ = s” = 0
in (28), we find V. THRESHOLD GAIN, FREQUENCY CONTROL,
AND MODE SELECTIVITY
Ref = (io)
R’ - si exp __-
1 + R’sh exp (-io) I n this section, we analyze the performance of various
DFB lasers. First we consider the type shown in Fig. 5 ,
Re,,,!/ -
-
R” f st, exp (io) case 2 , because experiments thus far have been confined to
1 - R”S, exp (--io) this type. To compute the threshold gain, we transform
(33) to the form first given by Kogelnik and Shank [IO]:
Case 6 represents lasers for which reflection exists at the
two boundaries ( R ’ # 0 and R“ # 0) and distributed feed-
back exists in the two outer regions (s‘ # 0 and s’’ # 0).
K Lsinh ( G L + iS,,,L) = =ti(GL + iS,,,L) (40)

Setting s = 0 in (28), we find

For a given K L , the values of G L and 6 e f f Lcan be found

from (40) by separatingtheequationinto real and im-
aginary parts. The valueso f g L and 6L can in turn be com-
(39) puted by using (41). In Fig. 6, the values of G L , g L , a e f f L ,
and 6L are plotted as afunction of K L for the lowest
longitudinal mode with m L = 0, that is, the longitudinal
The oscillation threshold condition for cases 5 and 6 can
modeclosest to the Bragg condition. The g L versus K L
be obtained by using (38) and (39), respectively, in (30).
curvehaspreviously been computed by Kogelnikand
The point of great importance concerning(38) and (39)
[Link], to compare the performance of DFB
is thephaseangleassociated with thevariouscoupling
laserswith that of conventional lasers, we need all four
constants sf, so, and so on. When a primary wave is Bragg
scattered into a secondary wave, there is a phase change
+
curves. In Fig. 6, the curve for ( K ~ g2)1/2L is also shown.
Itcanbe seen thatfor K L > 0.6, a DFB laser will be
between the twowaves. This phase changeis dependent on
operatedoutsidetheBragg-scatteringdominated region
two factors: a) the operating frequency, which determines
the phase of s, and b) the position of the discontinuity,
(a2 > K 2 f g’).
Once the values of G L , g L , a e f f L , and 6L at the laser
which determinesthephase of the scatteringpotential,
threshold are known, we can return to (33). In Fig. 7, we
+
that is, the phase of the term sin [p(2K0z e,)] in (8). The
plot the values of s and (G - g ) L as a functionof K L .For a
latter phase change is represented by the various angles 0
DFB laser (case 2 ) to have an effective reflection coefficient
+
Bo, 8’ O0’, and 0” - 8,” associated with s f , b , sf‘,and S b ” ,
equal to or exceeding the reflection coefficient at a GaAs-
respectively. By properlypositioning the periodicstruc-
air interface ( R c = 0.565), a value for K L 2 5 is needed. We
tures with respect to the two boundaries, we can optimize
further note that thedifference (G - g ) L never exceeds 0.3.
Bo, e,’, and 0,” formaximum Reff’Reff’’.Itshouldbe
At low values of KL,the effect of distributed feedback is
pointedoutthattheratio of the electric fields forthe
sma1.l and g L is nearly equal to GL. At high values of K L ,
reflected and incident Bloch wave at z = L / 2 is given by
both the values of G L and g L become small. Although the
A&(z)/B&(z), which is not equal to R e f f ’ Furthermore,
. a
ratio of G / g increases with K L , the difference ( G - g ) L
different ratio is obtained for
the
magnetic fields.
remains small. Taking the absolute magnitudes of (31) and
Therefore, we cannot attachthe
samephysical
(33), we have
significance to R e f , for a Bloch wave as for an ordinary
plane wave. Insofar as thelaser threshold condition is con-
cerned, the
importantquantity is
the
product of
Reff’Rerr’’.
I n summary, we have shown that the threshold condi-
tion of a DFB laser depends not only on the magnitudeof for a conventional (cavity) laser and DFB laser, respec-
the distributed-feedback Coefficient K (or the coupling con- = In s-l, R , being the
tively, where a , = In ( R C - l )and aDFB
stant s) but also on what happens at the two boundaries. mirror reflection coefficient. Thus everything else being
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 42 1

Equation (44) agrees with the result of Schinke et al. [6]

0.646 except for a factor n/4. For low-order transverse modes,
+
k , (m, l ) r / W and k , = 2nn,/X. Thus (44) can be ap-
0
- I
proximated by

o.21
0.0 0

KL

Fig.::6. Diagrams showing threshold values of GL, 6,,,L, gL, and 6L as

functions of [Link] ( k 2 + ga)l'*Lis also shown to show whether a
One practical consideration thatwill limit the value of K is
the maximum value achievable for the aspect ratio, thatis,
the ratio of the heightA Wto the widtha / 2 of the periodic
variation. A value of1 for the aspect ratio2A W / a appears
reasonable and is used in estimating K .
Two laser systems considered most attractive for use in
integratedopticsaretheGaAs-GaxAl1-,Assystemand
DFB laser is operated in the region 62 > K~ + g2or in the region 6' < K' Nd-doped garnet (or glass) system. For GaAs waveguides
+ g2. (n, = 3.6), we find K = 75 cm-' for W = 1 pm and m, = 0
at X = 0.88 pm. Using a value n, = 2.12 for a n Nd-doped
garnet waveguide, we find K = 129 cm-' for W = 1.5 prn
-0.6
and m, = 0 at X = 1.06 pm. An aspect ratio of 1 (which is
used in the calculation) means a modulation depth A W of
m 585 A for the GaAs waveguide and.A W of 1 150A for the
garnet waveguide at the first-orderBragg condition with p
-0.4
= 1. A value of 500 A for A W has been reported for the
GaAs waveguide [9], [ 141 and a value as high as 1300A for
A W has been reported for a DFB dye laser [6]. However,
one crucial question that has yetto beanswered is the ex-
tra loss introduced in the waveguide during fabrication of
theperiodicstructurethroughtheion-sputter-etching
process. Insemiconductors,ionbombardmentnotonly
KL
causes surface roughness but also creates recombination
centers thatundoubtedly will shortenthenonradiative
Fig. 7. Curves showing difference ( C - g)L, coupling constant s, and
difference aDFB - a,at laser threshold as functionO f K L . QuantitiesaDFB lifetime.
and a,are loss coefficientsdue to nonunity reflection coefficientfor DFB The structures shownin Fig. l(a) and (b) minimize both
and conventional lasers, respectively, and are defined in text. Curves the effects of surface roughnessand surface recombination
( g e - g ) L are differences betweenthresholdgainsneeded forconventional
and DFB lasers. [Link],sincethetoplayer is made of
differentmaterialthanthewaveguide, selective etching
by chemical reagents can be used to fabricate the periodic
equal except for distributed feedback, itis expected from
(42) that acorrespondingcavitylaserwouldrequirea
structures. For these structures, the phase shift 4, in (1)
can be expanded aroundn/2 in terms of a series expansion
threshold gain g , given by G - (aDFB- a,)/L. In other
in the penetration depth Id into the dielectric layer, the
words,thedifference between thethresholdgainofa
penetration depth I, into the air, and the thickness d of the
cavity laser and that of a DFB laser is
dielectric layer. From the resultant changein k , caused by
a change in d , we find

The quantity (g, - g)L is also plotted in Fig. 7 for two

mirror reflection coefficients: a) R , = 0.565 at a GaAs-air
interface,andb) R , = 0.90. (46)
Before we can apply the information shown in Fig. 7 to where dl is the smaller of the two d's in Fig. 1. If the top-
real laser systems, we need to know the magnitude of K layermaterial is Ga,Al,-,As, thepenetrationdepth ld
achievable in practice. For thestructuresshown in Fig. becomes sufficiently longand K is againlimitedbythe
I(c) and (d), the value of Akx can be found by differen- aspect ratio 2(d, - d l ) / a actually achievable. With d , = 0,
tiating (1) withrespect to W. Usingtherelation Ak, = (46) predicts a value forK essentially the same as that from
-kxAk,/k, and (llc), we find (45).With ZnO or SiO, asthetop-layermaterial,the
modulation depth d2 - dl needed is only of the order of1,.
K = a-1(kx/k,)2A +
W / ( W + I, it) (44) Using a value 2.0 for top-layer index n, and a value 0 for
dl, we find K = 10 cm-l for W = 1 pm and m, = 0 at h =
where 1, and 1, are the penetration depth of the evanescent 0.88 [Link] K increaseswithincreasing m, and
wave into the substrate and the top layer, respectively. decreasing W. In the above calculation, we have not max-
422 I E E E JOURNAL OF QUANTUM ELECTRONICS, APRIL 1974

imized K with respect to m, and W . For the m, = 2 mode, (49)

which can be supported by a film of 1 pm thick, a value of
63 cm-' for K is found. For garnet-film waveguides, a value where g, and lgRl are the gain in the laser and reflector
as high as 100 cm-' can easily be achieved for the m, = 0 medium, respectively. Consider, for example, a DBR Nd
mode using a top-layer material with nt = 2.00. laser[Fig.8(a)] forwhichan Nd-dopedgarnet film is
From the above discussion,it appears reasonable touse grown on a garnet substrate by the liquid-phase-epitaxial
a value K = 50 cm-' for the GaAs-Ga,AI,-,As laser and growth process. The film and substrate materials should
a value K = 100 cm-' for the Nd-doped garnet laser. Since be properly chosen for close matchof the lattice constants.
most injection lasers have a length of the order of 500 pm Opticalwaveguides of high qualityhavebeenobtained
or smaller because of heat-dissipation
problems, we this way for use as magnetooptic modulators[15]. Here we
choose L = 500 pm. Thus the product KLhas a value of assume that the optical quality of the film is sufficiently
+
2.5. From Fig. 7, we find g L = g,L 0.25 and g = g, 5 + high to provide a net gain of g , = 0.05 cm-'. Thus, with L
= 1 cm, we need a ratio lgRl / K of 0.049. For K = 100 cm-',
cm-'. For an L = 500-pm laser, we need a value of 70 for K
in order to make g = g,. With the restrictions imposed on we must limit the waveguide loss (gRl in the reflector
the values of K and L , it appears quite doubtful whether region to values below 4.9 cm-l. Based on an estimate of
DFB GaAs lasers of the type shown in Fig. 5, case 2 will scattering losses due to surface irregularities in an optical
be able to reduce the thresholdgain needed for laser action waveguide by Marcuse [16], the value of 4.9cm-' does not
ascomparedto injectionlasers. For Nd lasers, the at- appear to present a stringent condition. In any event, the
tainablegain is around 0.1 cm-'. For low-gain DFB prospect of a thin-film Nd laser is much more promising
lasers, aeffLapproaches ir and GL becomes smaller than 1 for the DBR type than for the DFB type.
at large values of KL(Fig. 6). Thus we can approximate the For the GaAs laser, we propose a DBR laser structure
solution of g L from (41) by thatincorporatessomedesirablefeatures of injection
lasers. Asschematicallyshown in Fig.8(b), thepart
(designated as region I) comprising the active medium has
the same structure as a double-heterojunction (DH)injec-
tion laser. Therefore, the DBR laser can be electronically
For L = 0.5 cm and K = 100 cm-', the required threshold controlled. In contrast, a DFB laser of the type shown in
gain is only 0.008 cm-'. Therefore, the main problem with Fig. 5 , case 2 [Link]
the Ndlaser is our ability to make a waveguide sufficiently problem inherent in the DFB GaAslaser is how to couple
good so that the active medium has a net gain. To control light [Link] in an Nd laser,which is a four-level
the extra loss to valuesbelow 0.1 cm-'may beavery system, there is an inherent loss due to reabsorptionin the
difficult, if not an impossible task. unpumped region in a GaAs laser. A similar problem ex-
In summary, for the case 2 type of DFB lasers,the ists for the DBR GaAs laser. In order to make possible
necessity fortheperiodicstructureto be in the gain light coupling out from a DFB or DBR GaAs laser, we
mediumpresentsseriousdisadvantages,namely,the in- convert the GaAs film into a Ga,Al,-,As film outside the
troduction of extra loss in the gain medium, the limitation active region. Since Ga,Al,_,As has a larger energy gap
on thelength L , andthelimitationonthepumping thanGaAs,laserlightgeneratedfromGaAscan
scheme. These disadvantages can be either minimized or propagatewithoutappreciable loss in the Ga,Al,_,As
eliminated by separating the Bragg-scattering region from waveguide. Procedures developed for making mesa-stripe-
the gain medium. In a laser of the type shown as case 3 in geometry DH GaAs lasers [I71 can be used to expose the
Fig. 5, the periodic structures act simply as end reflectors. GaAs film outside the active region. The exposed GaAs
From now on, we refer to lasers of this type as distributed film can be converted into Ga,AI,-,As by first depositing
Bragg-reflector (DBR) lasers. The name DFB no longer AI on it and then diffusing A1 into it.
applies to this case because there is no distributed feed- With photon energies below the gap energy, there are
back in the gain medium. Of course, in the DBR laser, we twoabsorption processes [18]: absorptiondueto free
will not have an effective gain G higher than the net gain g carriers and absorption (referred to as Urbach absorption)
of the laser medium. Theloss in effective gain can be com- due to transitions between the band states and band-tail
pensated by operating a DBR laser in the high effective states. In a heterojunction, the injected carriers are mostly
reflectivity region. confined to the GaAs side. Therefore, for doping concen-
At the Bragg frequency wo, that is, 6 = 0, the magnitude tration below 10l8 ~ m - ~theGa,AI,-,As , waveguide
Is1 of (14b) can be approximated by should have a loss factor due to free-carrier absorption
much below the loss coefficient of 10 cm-'observed in
GaAs injection lasers [19]. The Urbach absorption
decreases exponentially as the photonenergy moves below
which holds for both media with gain (g = +) and with thegap energy andalso decreaseswithdecreasingim-
loss (g = -). For K = 50 cm-', we can have an effective purity concentrations. For Ga,AI,-,As with a gap energy
reflectivity lReffl = 1st of 0.98 at w owith g = 1 cm-'. Using higher than that in GaAs by 0.1 eV and with an impurity
(48) in ( 3 5 ) , the threshold gain condition for a DBR laser concentration below 10l8~ m - it~ is, estimated that the Ur-
(case 3 of Fig. 5) becomes bach absorption can be reduced to a value below 1 cm-'.
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 423
reflector ,
region I active region
I
I
reflector
region
reduced practically to 0. On the other hand, DBR lasers
I I will not have this problem because the two boundaries are
Blmn nmn sharply defined by the beginning of the periodic structure.
Nd doped garnet film For cases 5 and 6, we refer to (38) and (39). A nonzero
garnet
substrate
reflection coefficient R' or R" can be caused by a discon-
tinuity either in film thickness W or in film index n f . The
(a)
value of R' or R" caused by A Wcan be estimated from the
value of K . As we previously calculated, a change A W of
500 A in a W = I-pm GaAs waveguide produces a K of
about 75 cm-' for the m, = 0 mode. Since K = 2r/a, this
valueof K correspondstoavalue of 4.5 X for R' or
R". Even with a value of A W = 2000 A and for the m,= 2
mode,thevalue of R' or R" is still only 1.6 X which
is much smaller than s. The value of R' or R" caused by
An, can be estimated from Anf/&,. For a difference of 0.1
n GaAs
eV for the gap energy, we needy = 0.87 in Ga,AI,-,As,
(b) which gives a value of Anf/2nf = 0.013 in the structure of
Fig. 8(b). From the above estimates, it appears that the
Fig. 8. Diagramsshowingexamples of DBRlaserstructures.(a) For
Nd-doped garnet system. (b) For GaAs-Ga,Al, - .As system. Since P
effect of reflection at the two boundaries is negligible as
and In diffusion may be technically more feasible thanAI diffusion, use compared to the effect of Bragg scattering. The fact that
of (GaP),(InAs),_, as waveguidematerialinstead of Ga,AI,_,As the laser beam is guided in the film in regions I1 and 111 as
should also be considered. well as in region I automatically limits the value of R' or
R" to [Link],forthestructurescon-
At a doping concentration of 1OI7 cm-', the free-carrier sidered in thispaper,the effect of R' or R" on the
absorption can also be reduced to a value below 1 cm-'. threshold gain can be ignored. In lasers where the laser
Therefore, it is quite possible to have a value of 2 cm-' or beambecomesunguidedoutsidethegainmedium,the
below for the two losses. Assuming a value of 2 cm-' for value of R' or R" can .be appreciable. Such is the case with
the scatteringloss due to surface irregularities created dur-semiconductor DFB lasers using one or two cleaved sur-
ing the fabrication of the periodic waveguide, we have a faces in providing end reflections.
total loss of 4 cm-' for lgRl. Thus, with K = 50 cm-', we Let us now discuss how accurately and uniformly we
find an effective reflection coefficient I Re,,[ = Is1 = 0.92. can control the frequency of DFB and DBR lasers. For
Compared to an injection laser where R , = 0.565, a DBR communicationpurposes, it is highly desirable that the
GaAs laser will have its thresholdgainreduced by 9.2 operating frequency of a laser can be predetermined once
cm-' with L = 0.05 cm. In otherwords, with a loss a set of physical parameters is chosen. Such is the case
coefficient a = 10 cm-' and a length L = 0.05 cm, a DBR withlasersutilizingatomictransitionssuch as the Nd-
laser needs a threshold gain of 11.6 cm-' as compared to a [Link], on the other hand,
valueof20.8cm-'foraconventionalinjectionlaser. utilize transitions between electronic levels thatspread
Assuming g - Jth2'5, we find thenormalizedthreshold over a broad band. As the injection current is raised, the
current density J t h / W needed for a DBR laser to be 4 Fermi factor governing the occupancy of the electronic
kA/[Link] as compared to value a of 5 kA/[Link] for a levels is changed and consequently the gain profile of the
conventional injection laser. laser medium is shifted in frequency. Since the reflectivity
Cases 2 and 3 just discussed represent ideal DFB and at a GaAs-air interface, unlike thereflectivity of dielectric
DBR lasers. In a real thin-film laser, the boundaries may mirrors, does not provide a sharply discriminating func-
not be as abrupt as defined in the mathematical model and tion for frequency selection, injection lasers can oscillate
the reflection coefficients at the two boundariesmay not be simultaneously in many modes [20] both longitudinal and
0. To see how these factors affect the threshold gain, we transverse. The lack of frequency discrimination makes it
examine the other three cases shown in Fig. 5. In DFB almost impossible to have injection lasers operating in a
laser experiments reported thus far in the literature, the single mode with a precisely predetermined frequency, es-
periodicstructuregenerallyextendsbeyondtheactive pecially when the laser current is raised appreciably above
region,which is [Link] [Link] is some slightdifference
DFB lasers should be represented by case 4 shown in Fig. between reflectivities for different modes [21], butthe
5(d). Referring to (36), we see that the effective reflection difference is not big enough to prevent multimode opera-
coefficients involve the difference of the two coupling con- tion. Recently, efforts have been made to control the fre-
stants sf' - sf and s b - Sb". If the transition between the quency of injection lasers by using an external diffraction
pumped and unpumped region is gradual, as in the case of grating [22]. In DFB and DBR lasers, frequency selection
optically pumped lasers, the difference should be replaced becomesaninherentpropertyofthelaserbecausethe
by a a s / B z . I n extreme cases where the rate of change s-' grating is incorporatedasanintegralpart of thelaser
a s / a z is very slow, we have a situation similar to that in a structure.
taperedwaveguide andthe effective reflection canbe First we. estimatehowaccurately we can control the
424 I E E E JOURNAL OF QUANTUM ELECTRONICS, APRIL 1974

Bragg wavelength X, (that is, the wavelength at which k , = tivemedium and 8, is thephaseangleassociated with
+ +
KO = r / a ) . Since kZ2 kZ2= nr2k: and k , = (m, I)n/ We reflections at the two boundaries. According to (32) and
< k,, the value of X, can be approximated by (22), 4, = 4,’ + +
4Rn= 2K0L - r 20,, where 8, is the
phase of s. Thus (51) becomes 20, +2aefrL- ?r = 2mla.
Because the periodic structure in a D F B laser is in the ac-
tive medium, the phase angle2K,L in OR nearly cancels the
where W , = W + 1, + I, is the effective width of the phase angle2 K L in O P . This near cancellation leavesaeffLa
waveguide. For a GaAs guide, we have n f = 3.59. If W is small number and thus makes accurate control of laser
relatively thick, then we can let We = W . Thus, for W = 1 wavelength possible. For DBR lasers, (51) becomes
pm and a = 1260 A, we find A, = 8978 A form, = 0 and X,
= 8771 8, for m, = 1 . Since the full width of the spon-
taneous emission line is less than 200 A, a given periodic
structure with a specific periodcanbeusedforone Near the Bragg frequency of the end reflectors, the value
transverse mode only. The periodwill be either too longor of 2K in the active medium does notnecessarily equal that
[Link] +
a of KO’ KO”.Therefore, the phasedifference (KO’ K O f ’- +
sufficiently large K for thesameperiodicmodulation 2K)L is generally large.
depth, we should choose the period a for the highest m t . If I n Fig. 9, we plot the magnitude (SI and the phase angle
we use thearrangement of ShankandSchmidt [I41 to Os as functions of 6 / for ~ several values of lgRl / K . To have
make the periodic structure, then an inaccuracy in the inci- anappreciablevalue for Is[, aBraggreflectormust be
,dent angle 4 by 30 s will introduce an uncertainty in a by operated within 161 = K of the Bragg frequency 0,.First,
Aula = 2.5 X which gives avalueof 0.22 A for AX,. we estimate the number of solutions of (51) in this fre-
An inaccuracy A W in the film thickness by 200 A (A W / W quency range. For K = 50 cm-’, 26 = 100 cm-l. If L = 0.05
= 0.02), on the other hand, results in a value of AX, = 2.8 cm,theseparation between twoadjacentlongitudinal
A for the t n t = 0 mode and a value of AX, = 11 A for the modes is r l L or 63 cm-’. Therefore, for a DBR laser with
m t = I [Link], it is importanttohavean ac- K = 50 cm-’ and L = 0.05 cm, we can limit laser oscillation
curate control of the film thickness during the epitaxial to a pair of longitudinal modes symmetrically located in K
process if we are to make DFB and DBR lasers with laser space with respect to K,’. Next, we consider how accurately
frequencypredictablewithin 1 A. we can locate the position of the solution. Because ( K O f +
Next, we consider thelongitudinalmodes. The KO” - 2K)L is the difference of two large phase angles, it
longitudinal wavenumber k , for a DFB laser is equal to KO will be very difficult to control thedifference accurately. A
f 6, and the valueof 6 can be determined from the6 L ver- small variance in the compositiony in the structureof Fig.
sus K Lcurve shown in Fig. 6 . From 6, the values of X - X, 8, for example, will make the laser wavelength vary from
(the laser wavelength away from the Bragg wavelength X,) laser to laser over the whole bandwidth of I S \ . Therefore,
can be calculated. For GaAs DFB lasers, the values are for DBR lasers, the laser frequency can only be predicted
found to be: a) 5 1.92 A for K = 25 cm-’ and L = 0.05 cm; with an accuracy comparable to the bandwidth AX,, of
b) f 2 . 5 6 A for K = 50 cm-’ and L = 0.05 cm; c) f 3 . 9 4 8, the Bragg reflector.
for K = 100 cm-’ and L = 0.05 cm; and d) H . 9 7 A for K = Thebandwidth AXBR decreaseswithadecreasing K.
50 cm-land L = 0.1 [Link] fre- However, there are twobasic limitations as to howsmall a
quency of a DFB laser is determined primarilyby the period value K can be. First, in our mathematicalmodel, we
a (which fixes KO),an accurate control of the modulation assume regions I1 and TIT (Fig. 5) extending to fa,respec-
depth A W or dl - d, (which fixes K ) and the lengthL is still tively. For Bragg reflectors of finite length LR, we need KLR
needed for a precise control of the frequency. Since both > 1. Otherwise there will be appreciable loss due to coupl-
are solutionsof (33),the longitudinal modes ofDFB a ing out of laser energy through the reflectors to regions
laser will appear in pairs. We should also point out that the beyond. This energy loss will lower the effective value of
film index of refraction nf changes slightly as electrons are IsI. Second, to maintain a value for Is1 2 0.8 in (48), we
pumped from the valence band into the conduction band. musthave K 2 5 ( g s l . For (gR( = 4 cm-’ [thevalue
This changein n, affects the valueof X even though KOand 6 previously estimated to be attainable in the Ga,AI,-,As
are fixed. Therefore, until the point of gain saturation is region in Fig. 8(b)], we choose K = 20 cm-’ and L , = 0.05
reached, there will be a slight shift in laser frequency asthe cm. From Fig. 9, we see that the full bandwidth o f a Bragg
pumping power is raised. reflector is approximately given by 2 ( 6 ) = 2 ~ Thus . the
The longitudinal modes are not so easily controllable in value of AXsK is given by 6X2/an,, where ne = n - Xdn/dX
DBR lasers as in DFB [Link] can be seen from the is the effective index of GaAs, taking into account thedis-
phase condition of (30) for laser oscillation: persion effect. With K = 20 cm-’ and ne = 5.2, we find
AABH = 0.95 A for a GaAs DBR laser.
Finally, we discuss mode selectivity of DFB and DBR
lasers. In Fig. 10, we plot the threshold values of g L and
where eP = 2(K0 - a e f f ) L = 2KL is thephaseangle 6L as functions of K L forseverallongitudinal modes of
associated with the propagation of a laser beam in the ac- DFB lasers ( m , = 0 to 4). Two characteristic features of
WANG: PRINCIPLES OF DISTRIBUTED FEEDBACK 425
- 0.0 TABLE 11
VALUESOF g L AND 6L FOR SEVERAL
THRESHOLD
MODESOF A DFB LASER^
LONGITUDINAL
91 AgL(mQ +); 6L
AWm,,m;)
*L 0 23 1234 01 0 01 12 23 34
0.2 3.77 0.53 0.32 0.26 0.22 2.09 3.51 3.32 3.28 3.20
2.5 0.7s 0.81 0.44 0.30 0.24 3.85 2.60 3.06 3.09 3.11
x 'A 140'
8 0.14 0.32 0.31 0.23 0.12 8.52 1.53 2.25 2.82 2.51
The values for thelowest modem, = 0 aregiven asgL and6L, whereas
a
the values for the higher order modes given
are as differences with respect
to the corresponding value for a lower mode. The values areselected for
0.04 , , I KL = 0.2, 2.5, and 8.
-4 -2 0 2
6/r
Fig. 9. Diagrams showing magnitude Is1 and phase 0, of coupling con- cm-' apart and thus has a value of 3.4 for 161 / K . If we let
stant as functionsofS/K. Quantityd/K is measure ofdetuning away from aR = In 1st -'
be an equivalent mirror reflectivity, then the
Bragg wavenumber normalized to [Link] a coupled system, which is the two modes will haveadifferential loss factor ACIR = in
case with DBR lasers, the stronger the coupling is, the broader the
bandwidth becomes. This is the reason for normalizing 6 with respect (0.82/0.14) = 1.77. This differencegives rise t o a difference
to K. AgL = 1.77 or Ag = 35.4 cm-'. Using a value cy = 10 cm-'
for free-carrier absorption in the active region, we find the
values of threshold gain to be 14.4 cm-' and 59.4 cm-',
7-

6-
respectively, for the two modes. Based on the relation g
(J/ andavalue of J / W = 5kA/[Link] g = 20
-
1
0'

5- cm-', we find thenormalizedthresholdcurrentdensity

J t h / W to be 4.3 kA/[Link] and 7.8 kA/[Link], respec-
4- tively. For comparison, the threshold gain and the nor-
malized thresholdcurrentdensityare 25 cm-'and5.5
3-
kA/[Link] forthe m, = 0 mode and 41 cm-'and6.6
2- kA/[Link] for the m, = 1 mode of the DFB GaAs laser.

I- VI. CONCLUSION
O -I In theaboveanalysis we have shown that
wave
0 2 4 6 8 IO
KL propagation in a periodic waveguide can be described in
terms of four principal waves: a primary forward wave, a
Fig. 10. Curves showing threshold values of gL and 6L as functions of primarybackward wave, andtheirBragg-scattered sec-
KL for several low-order longitudinal modes of DFB lasers. ondary waves. In the waveguide, only the Bragg-scattered
secondary waves are coupled to their respective primary
these curves stand out. The difference AgL between adja- waves. In order to couple the two primary waves, discon-
cent modes decreases toward both large and small values tinuities in the wave-propagation properties must be in-
of K L . Therefore, there is a maximum for AgL at an in- [Link],ordinaryreflectionscausedbya
termediate value ofK L .The spacingA6L between adjacent change in the propagation constant are generallyinsignifi-
modes is more evenly spaced at small values of K Lthan at cant because of the conditions imposed on the refractive
large values of K L . The uneven spacing is caused by the indices for waveguiding in thin-film lasers. Therefore, dis-
distortion of the6eff curve from a straightline (Fig. 4). The continuity in theperiodicstructure so as tocausean
difference i n a e f f Lfor two adjacent modes remains more or abruptdiscontinuance of theBragg-scatteringprocess
less the same as the mode number increases. However, must be employed to produce a sufficiently strong coupl-
because of the small ratio of6,,,/6 near wo, the lower order ing for laser action.
modesarepushedawayfrom wo andhencesquashed There are two basic typesof thin-film lasers:DFB lasers
together more than the higher order modes. In Table 11, where Bragg scattering is confined to the active medium
we list thethresholdvaluesof gL and 6L for several andDBRlaserswhere Bragg scattering is limitedto
selected values of K L .At higher values of K L ,the value of regions beyond the
active
[Link]
important
g L itself becomes smaller and so does the mode separation parameter used in the analysis is the coupling constantsof
A6L. Both factors contribute to a smaller AgL. (14b), which appears in the threshold condition, (33) for
From Table IT we find that for a DFB GaAs laser with K DFB lasers and (35) for DBR lasers. For efficient opera-
= 50 cm-' and L = 0.05 cm, there is a difference AgL = tion,thevalueof s [Link] can
0.81 or Ag = 16.2 cm-l for them, = 0 and m, = 1 modes. happen if thegain(or loss) oftheBragg-scattering
The amount of mode discrimination in a DBR GaAs laser medium is small compared to K (that is, lgl < K) and if the
can be estimated from Fig. 9. ForlgRl = 4 cm-' and K = 20 operating wavelength is close to the Bragg wavelength X,
cm-', the value of Is1 is approximately 0.82 for I S I / K 50.5 (or in
otherwords, 161 < K). Anotherimpo,rtant
or 161 5 10 cm-'. Assuming a value 6 = 5 cm-' for the parameter is the distributed-feedbackcoefficient K of (1 IC),
lowest mode(longitudinal),the nextlowest mode is 63 which determines the bandwidth (Figs. 4 and9) as well as
426 I E E E J O U R N A L OF QUANTUM ELECTRONICS, APRIL 1974

the effective gain or loss (Table I) of DFB and DBRlasers. gain and better mode discrimination than DFB lasers. On
For narrow bandwidth, the value of K should be made the other hand, we should be able to predict more ac-
small. On the other hand, because Bragg scattering is a curately the oscillation wavelength in DFB lasers than in
distributed effect, the value of K should be large enoughso DBR lasers because the phase condition of (51) specifies
that KLint > 1 in orderfor Bragg scattering to playa the value of 6 for DFB lasers. However, this advantage
significant role, where Lintis the interactionlength (that is, may be more potential than real. The precise location of
the length of the periodic waveguide). oscillationwavelength is alsodetermined by the Bragg
Our analysis of DFBandDBR laser performance wavelength, which in turn is determined by the period a
presented in Section V is based on an overall consideration and the film thickness W . Any inaccuracy in controlling a
of the above factors. Because of the inherent phase shift or W will result in an uncertainty in laser wavelength.
between the primaryand
Bragg-scattered secondary
waves, which gives rise to theminus sign or a phase shiftof APPENDIX
180” in (33), DFB lasers arepreventedfromoperating
The exact expressions for the quantities V,, V,, V 3 ,and
close to the Bragg wavelength. Furthermore, the gain of
V, are
the active medium automatically sets, for a given K , an up-
per limit as to how high the value of s can be. Even though v1 = (r - r’) - ( r B - rB’)sfsf’ exp ( i o + io’)
the effective gain of a DFB laser is raised by the Bragg-
scattering process, this advantagemay be counterbalanced - + F’)s, exp ( i o ) + (r +
( r B exp ( i o ’ ) (AI)
rB’)sf’

by a relatively small value for s. The performance of DFB

lasers also is limited by practical considerations. Optical v, = (r + r’) + + ( r B exp (io’ - io)
rB’)$b$f’

loss introduced by or associated with the periodic struc- + (r, - r’)s, exp (-io) + (r - rBf)sf’exp ( i o ’ ) (A2)
ture reduces the net gain of the active medium. This loss
sets an upper limit for the value of K . As the linear dimen- v, (I? + F”) + (I?, +
= exp (io” - i o )
FB”)sf&”
sion of aDFB laserincreases,heatdissipationmay
become a problem. Even though the threshold value of s - (r, - I”’)sf exp ( - i o ) - (r - rB”)sb” exp ( i o ” )
increases and, hence, the laser performance improves with (A3)
increasing K L ,the value of K L attainable is limited in prac-
tice. V, = (I’ - I?”) - (r, - r”)sbsb” exp (ie + i o ” )
Mostofthetheoreticalandpracticalrestrictionsim-
posedon D F B lasers can beeliminated or, atleast, + (I?, + I”’)sb exp ( i o ) - (I? + r B ” ) s b ” exp (io”)
minimized if the periodic structure is separated from the (A4)
active medium. In DBR lasers, the periodic structures at
the two ends simply act as reflectors. In that sense, DBR where I9 = K,L, 8’ = Ko’L, I9” = Ko”L, and I’ and rn are
lasers are like conventional lasers. The two important con- the propagation constants for the primary wave and its
siderations are bandwidth andreflectivity of the end reflec- Bragg-scattered wave, respectively, with
tors. Because theprimaryandsecondary waves are
coupled together by Bragg scattering, the bandwidth of a r = P - iKo and rn = -P - iKo. (A51
Bragg reflector increases with increasing amount of coupl-
ing (increasing K ) . On the other hand, the effective reflec- The corresponding quantities for regions I1 and IT1 are
tion coefficient is given by 1 - lgl / K according to (48). To denoted by a superscript “prime” and a superscript “dou-
achieve narrow bandwidth and high reflectivity, we must ble prime,” respectively.
reduce the loss in the reflector region so that a small value Near the Braggfrequency, the term iK, dominates in
for lgl / K can be obtained even at arelatively small value of (A5);therefore, we canapproximatethevarious sum
K . Since reducing loss is not as a severe problem as main- terms by
taining a net gain, DBR lasers may be a practical andeven
superior alternative to DFB lasers for integrated optics.
One practical problem yet to be analyzed is light coupling
out from a thin-film laser to an adjoining waveguide. In
DBR lasers, the amount of output coupling can be con- Further, we define the following reflection coefficients
trolled by varying the length of the Bragg-reflector region.
Another important practical consideration is the restric- 2lPp’ (r - r’)/2Fr
= RBB’ = (r, - rB’)/2F’

[Link] lasers, theactive RPB’ = (r - r~’)/2F’ Rsp’ = ( r B - I?’)/2f’ (A7)

medium is undisturbed by the periodicstructure.
Therefore,arrangementscan be more easily madefor as the reflection coefficients involving two primary waves,
pumping by electrical means in DBR lasers than in DFB involving
two
Bragg-scattered
waves,
involving one
lasers. primary wave in region I and one Bragg-scattered wave in
In terms ofspecific laser performance, we have shown in region 11, and involving one Bragg-scatteredwave in
Section V that DBR lasers should have lower threshold Region I and one primary wave in region IT, respectively.
IEEE JOURNAL OF QUANTUM ELECTRONICS, VOL. QE-10, NO. 4, APRIL 1974 427

The corresponding reflection coefficients at the region I [8] J. E. Bjorkholm, T. P. Sosnowski, and C. V. Shank, “Disbributed-
feedback lasers i n optical waveguides deposited on anisotropic sub-
-region 111 boundary are denoted by a superscript “dou- strates,” Appl. Phys. Lett., vol. 22, pp. 132-134, 1973.
ble prime.” In terms of R’ and R“,(Al)-(A4) become [9] [Link], H. W. Yen, A. Yariv, E. Garmire, and H. L. Garvin,
“Optically pumped GaAs surfacelaser with a corrugated feedback,”
VI = 2iif[Rpp‘ - RBB‘SfSf‘ + io’)
exp ( i o
Appl. Phys. Lett., vol. 22, pp. 515-516, 1973; also M. Nakamura et
al., “Laser oscillationin epitaxial GaAs waveguides with corrugation
- sf exp ( i o ) + sff exp (io’)]
feedback,” Appl. Phys. Lett., vol. 23, pp. 224-225, 1973.
(A8) [lo] H. Kogelnik and C. V. Shank, “Coupled-wave theory of distributed-
feedbacklasers,” J . Appl. Phys., vol. 43, pp. 2327-2335, 1972.
[I 11 S . Wang, “Proposal of periodic layered waveguide structures fordis-
tributed lasers,” J . Appl. Phys.. vol. 44, pp. 767-780, 1973.
[I21 S . R. Chinn, “Effects of mirror reflectivity in a distributed-feedback
laser,” IEEE J. QuantumElectron.. vol. QE-9, pp. 574-580, June
1973.
Vs = 2F’’tl + sfsb” exp (io’’ - io) [13] R. E. DeWames and W. F. Hall, “Conditions for laser oscillations
in distributed-feedback waveguides,” Appl. Phys. Lett., vol. 23, pp.
- RBpf’sfexp (-io) - R p B f f s b ” exp (io”)] (A10) 28-30, 1973.
[I41 C. V. Shank and R. V. Schmidt, “Optical technique for producing
0.1 p periodic surfacestructures,” [Link]., vol. 23, pp.
154-155, 1973.
[15] P. K. Tien, R. J. Martin, R. Wolfe, R. C. LeCraw, and S. L. Blank,
“Switching and modulation,of light in magneto-optic waveguides of
garnet films,” Appl. Phys. Lett., vol. 21, pp. 394-396, 1972.
[I61 D. Marcuse, “Mode conversion causedby surface imperfectionsof a
REFERENCES dielectric
slab
waveguide,” Bell Syst.
Tech. J., vol. 48, pp.
3187-3215, 1969.
[l] H. Kogelnik and C. V. Shank, “Stimulated emission in a periodic [I71 T. Tsukada etal., “Very-low-current operation of mesa-stripe-
structure,” Appl. Phys. Lett., vol. 18, pp. 152-154, 1971. geometry dobleheterojunction injection lasers,” Appl. Phys. Lett.,
[2] C. V. Shank,J. E. Bjorkholm,andH: Kogelnik, “Tunable VOI. 20, pp. 344-345, 1972.
distributed-feedbackdye laser,” [Link]., vol. ‘18, pp. [18] J. I . Pankove, OpticalProcesses in Semiconductors. Englewood
395-396, 1971. Cliffs,N.J.: Prentice-Hall, 1971, ch. 3.
[3] J. E. Bjorkholm and C. V. Shank, “Distributed-feedback lasers in [I91 E. Pinkas, B. I . Miller, I . Hayashi,and P. [Link],“GaAs-
thin-film optical waveguides,” IEEE J. Quantum Electron., vol. QE- Ga,AI,-,As double heterostructurelasers-Effect of doping onlasing
8, pp. 833-838, Nov. 1972. characteristics of GaAs,” J. [Link]., vol.43, pp. 2827-2835,
[4] P. Zory, “Laser oscillation in leaky corrugated optical waveguides,” 1972.
[Link]., vol. 22, pp. 125-128, 1973. [20] T. H. Zachos and J. E. Ripper, “Resonant modes of GaAs junction
[5] K . 0. Hill and A. Watanabe, “A distributed-feedback side-coupled lasers,?’IEEE J . Quantum Electron., vol. QE-5, pp. 29-37, Jan. 1969.
laser,” [Link].. vol. 5 , pp. 389-393, 1972. [21] F. K . Reinhart, I . Hayashi, and M. B. Panish, “Mode reflectivity
[6] D. P. Schinke,R. G. Smith, E. G. Spencer, andM. F. Calvin, and waveguide properties of double-heterostructure injection
“Thin-film distributed-feedback laser fabricated by ionmilling,” lasers,” J . Appl. Phys., vol.42,pp. 4466-4479, 1971.
Appl. Phys. Lett.. vol. 21, pp. 494-496, 1972. [22] J. A. Rossi, S . R. Chinn, and H. Heckscher, “High-power narrow-
[7] S . Wang and S . Sheem, “Two-dimensionaldistributed-feedbacklasers linewidth operation of GaAs diode lasers,” Appl. Phys. Lett., vol.
and their applications,” Appl. Phys. Lett.,vol. 22, pp. 460-462, 1973. 23, pp. 25-27, 1973.

Thermooptically Perturbed Resonators

Absfruct-Heating of intracavity solid-state materials causes isotropic Results are presented of computer calculations in which the lowest order
and anisotropic variations in the index of refraction which lead to optical eigenmode and the diffractionlosses of optical resonators are determined in
phase and amplitude distortionsof the oscillating mode. Two important per- the presence of thermooptical perturbations. It is shown that the induced
turbations are discussed: stress birefringence in opticallypumped laser rods stress birefringence contributes to the resonator loss in two ways: a ) by
and spherical aberration due to heating of intracavity elements, such as a depolarization, i.e., coupling of power from the dominant polarization into
nonlinear crystal, by the laser beam. While these perturbations are well the orthogonal one; and b) by distortion of the dominant polarization com-
determined, their effect on optical resonators cunnor be inferred from the ponent leading to an enhancement of the diffraction loss. Concerning the
single-pass data in any simple way. spherical aberration, it was found that the associated mode distortion is
characterized by a radial variation in the intensity which also leads to anin-
Manuscript received October 11, 1973; revisedDecember 12, 1973. crease in thediffraction loss. Theseresults are thenapplied to typical
The author is with United Aircraft Research Laboratories, East Hart- Nd:YAG lasers operating in both the conventional manner and within-
ford, Conn. 06108. tracavity frequency doubling.