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Analytic theory for parametric amplification in high-

Q micro-ring resonators
Shiqi He,1 Nuo Chen,1 Hanghang Li,1 Xiaolong Fan,1 Wenchan Dong,2* Jianji Dong,1,2 Heng Zhou,3
Xinliang Zhang,2 and Jing Xu1,2*

Abstract—Optical parametric amplifiers (OPAs) are optical susceptibility ( χ (3) ) of the nonlinear materials. OPAs have
amplifiers based on four-wave mixing processes, showing great been recognized as promising candidates in high-speed optical
potential for applications in communications, optical signal communication systems owing to their extraordinary
processing, quantum optics, etc. In recent years, significant
properties, such as arbitrary center wavelength, large gain
progress has been made to integrated OPAs based on highly
bandwidth, and low noise figure[1]. Apart from being solely
nonlinear micro-ring resonators (MRRs), benefiting from the
greatly enhanced optical-matter interactions. Notable parametric amplifiers, OPAs have been explored to realize wavelength
gain becomes available at unprecedented low power levels, conversion, phase conjugation, as well as photon-pair
allowing for example the source-integrated coherent optical generation, facilitating areas from nonlinear optical signal
frequency combs. Therefore, an analytical formula for OPAs in processing (NOSP) [2], [3] to quantum optics[4], [5]. With the
high-quality (Q) MRRs is of great importance in the design of rapid development of integrated manufacturing processes,
optical parametric devices. Analytical theory for OPAs in high-Q integrated OPAs have been widely investigated in recent
MRRs in the high pump power scenario remains elusive, where years[6]–[9]. Among various integrated structures, high-
intensity-dependent nonlinear phase that brings significant
quality(Q) micro-ring resonators (MRRs) show great potential
parametric gains cannot be ignored. In this work, analytical
due to enhanced light-matter interaction. On-chip dissipative
formulas for the parametric gain and conversion efficiency (CE)
of a high-Q MRR with high-pump excitation are derived. We Kerr soliton combs[10] are observed at unprecedented low
show the interplay between parametric gain and field power levels, indicating significantly boosted parametric gain
enhancement: the field enhancement of the signal and idler wave in high-Q MRRs. It is thus important to derive analytical
can be greatly boosted due to the compensation of the round-trip formulas for the parametric gain and conversion efficiency
loss by the parametric gain, which in turn leads to increased field (CE) in OPAs, defined as the power of the output signal and
enhancement as well as greater parametric gain and CE. Our idler wave divided by the power of the input signal light,
theory agrees well with numerical and experimental results. respectively, based on high-Q MRRs. Theories for OPAs in
optical fibers have been well developed and documented back
Index Terms—Parametric Amplification, Micro-ring Resonators,
in the 2000s[11]. In 2000, Absil et al. derived a simple
Four-wave mixing
expression for the CE of MRRs in the low-pump power
regime, where the power of the generated idler light is much

O
I. INTRODUCTION
lower than that of the input signal[12]. Due to greatly
PTICAL parametric amplifiers (OPAs) are a kind of enhanced field intensity inside high-Q MRRs, the
optical amplifier powered by the four-wave mixing contributions from the nonlinear phase mismatch that arises
(FWM) processes, originating from the third-order from Kerr-induced nonlinear phase shift cannot be neglected.
As a result, the physical behavior of parametric processes in
high-Q MRRs under high-power excitation is expected to
Manuscript received May 29, 2023. This work was supported in part by deviate from the low-pump regime. Recently, the analytic
the National Key Research and Development Program of China under Grant theory of parametric processes in lossy integrated waveguides
No. 2019YFB2203103; in part by the National Natural Science Foundation of has been developed based on a parametric transfer matrix[13].
China under Grant No. 62275087 and 62275090 and in part by the Knowledge
Innovation Program of Wuhan-Shuguang Project under Grant No. In this Letter, we derive an analytical formula for the
2022010801010082. Corresponding author: Jing Xu and Wenchan Dong. parametric gain and CE of a high-Q MRR following the same
Shiqi He, Nuo Chen, Hanghang Li and Xiaolong Fan are with the School procedure described in[13]. Especially, the interplay between
of Optical and Electronic Information, Huazhong University of Science and
Technology, Wuhan 430074 China (e-mail: [email protected];
parametric gain and field enhancement for a high-Q MRR
[email protected]; [email protected]; [email protected] ). under high-power excitation is revealed explicitly for the first
Wenchan Dong and Xinliang Zhang are with the Wuhan National time, bring obvious “M” type curve of parametric gain and
Laboratory for Optoelectronics, Huazhong University of Science and
CE with greatest gain obtained at phase-matched wavelength,
Technology, Wuhan 430074, China (e-mail: [email protected];
[email protected] ). showing interesting similarities and differences compared to
Heng Zhou is with the Key Lab of Optical Fiber Sensing and the results derived under low-pump excitations[12]. Numerical
Communication Networks, University of Electronic Science and Technology simulations based on a full-map equation[14] and experiments
of China, Chengdu 611731, China (e-mail: [email protected] ).
Jing Xu and Jingji Dong are are with the School of Optical and Electronic based on a Si3N4 MRR show good consistency with the
Information and with the Wuhan National Laboratory for Optoelectronics, theoretical prediction.
Huazhong University of Science and Technology, Wuhan 430074, China(e-
mail: [email protected]; [email protected] ).

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Ai ,out = iκ Ai ( L) (8)

where Pin , p and Pin , s are the power of the injected pump and
signal lights in the bus waveguide. L = 2π R is the
circumference of the ring. The intracavity pump power can be
derived by Eq. (1) and (4) as
2
iκ 2
P=
Pin , p ⋅ Pin , p ⋅ FE p
= (9)
1 − ar exp ( iψ p )
Fig. 1. Schematic illustration of OPAs based on the degenerate
FWM in micro-ring resonators. The orange, blue and green lines iκ
where FE p = is the FE of the pump wave, defined
1 − a ⋅ r ⋅ exp ( j (ψ p ))
represent the pump, signal, and idler waves, respectively.
as the intracavity pump field divided by the input pump field [16].
a = e −α L/2 is the round-trip transmission coefficient.ψ=
p ϕ p + ϕ NL , p is
II. THEORY AND RESULT the total phase of the pump wave, where ϕ p = β p L = n (ω p ) Lω p / c is
We consider an OPA process in an MRR with a radius R 2
the linear round-trip phase of the pump and ϕ NL , p = γ Ap ( 0 ) Leff is the
based on the degenerate FWM, as sketched in Fig. 1. A pump
light and a co-polarized signal light, centered at the frequency nonlinear phase shift induced by the pump wave through the SPM.
ω p and ωs (matching the two resonances of the MRR), n (ω p ) is the effective index of the MRR at the pump wavelength and

respectively, are launched into the bus waveguide and then Leff= (1 − e ) / α
−α L
represents the effective length of the ring
couple into the micro- ring via evanescent waves. The power considering the presence of losses.
coupling coefficient κ and transmission coefficient r of the We proceed by writing
= As ,i es ,i exp ( i ( γ P + ∆β / 2 + β s ,i ) ) , and the
coupling region satisfy κ 2 + r 2 =1 under the lossless coupling
∆β = β s + β i − β p accounts for the linear phase mismatch of three
approximation. The FWM in the MRR is highly efficient
thanks to the strong field enhancement (FE), generating the involved waves and related to the group velocity dispersion β 2 as
idler wave at the frequency ωi , satisfying 2ω=
p ωs + ωi . The FE ∆β = β 2 (ωs − ω p ) if higher order dispersions are neglected. The
2

is defined as the intracavity field divided by the field at the signal and idler waves can be written as a 2-vector

input bus waveguide. Finally, the three waves propagate to the U ( z ) = es ( z ) , ei* ( z )  . By considering the propagation in the MRR as
output port after coupling out of the MRR.
in a waveguide with length equals L and using Eq. (2) and (3), the
We start with a three-wave model describing the parametric  
process inside the cavity [15], [16] input and output column vector, i.e. U ( 0 ) and U ( L ) , respectively,
are linked by a transfer matrix describing the parametric processes
dAp
dz
α
((
− Ap + iAp γ 2 P − Ap
=
2
2
)+β )
p (1) as [13]
  u ( L) v ( L)  
dAs α U ( L) =  U ( 0 ) (10)
− As + iAs ( 2γ P + β s ) + iγ Ap2 Ai∗
= (2)  v ( L )* u ( L )* 
dz 2  
where u and v are found as
dAi α
− Ai + iAi ( 2γ P + β i ) + iγ Ap2 As∗
= (3) u ( L) =
cosh ( g ) + iq sinh ( g ) / g  exp(−α L / 2) ,
dz 2
=v ( L ) iγ PLeff sinh ( g ) / g  exp ( −α L / 2 ) .
where Ap , As , Ai are the complex field amplitudes of the intracavity
Here, g (γ PLeff ) − q 2 is the gain coefficient and q =
2
∆β L / 2 + γ PLeff
pump, signal, and idler waves, respectively. α is the propagation =
loss and γ is the nonlinear coefficient. z is the coordinate along with is the total phase mismatch. The parametric gain G and CE η can
the ring. β p ,s ,i are the propagation constant of pump, signal and idler be obtained by using Eq. (10) and Eq. (5)-(9)
(
r (1- ru ∗ exp ( -iψ i ) ) + a 2 r exp ( i (ψ s −ψ i ) ) - u exp ( iψ s ) )
2

waves; P is the pump power in the MRR at z = 0 under the A

G =| s ,out |2 =
undepleted pump approximation. Since the pump power is much As ,in 1 − ru exp ( iψ s ) − ru ∗ exp ( −iψ i ) + r 2 a 2 exp ( i (ψ s −ψ i ) )
larger than the signal power, only the self-phase modulation (SPM)
effect is considered in Eq. (1). The asterisk superscript of the (11)
complex amplitude represents the complex conjugate. The 2 2

boundary conditions at the coupling region are given by A 2 κ 2 exp ( iψ i )

η = i ,out = v
As ,in 1 − ru exp ( −iψ s ) − ru exp ( iψ i ) + r 2 a 2 exp ( i (ψ i −ψ s ) )
∗

A
=p ( 0) rAp ( L) + iκ Pin , p (4)
(12)
As (0) rAs ( L) + iκ Pin ,s
= (5) where the ψ=
s ,i ϕ s ,i + ϕ NL ,s ,i is the total phase of the signal and
idler, including the linear contribution ϕs ,i = β s ,i L as well as the
As ,out r Pin ,s + iκ As ( L )
= (6)
nonlinear contribution ϕ NL ,s ,i = 2γ PLeff − q . Equations (11) and
Ai (0) = rAi ( L) (7)
(12) are the main results of this paper.

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III. DISCUSSION
When assuming that the signal and idler waves coincide with the
micro-ring resonances so that ψ=s ψ=i 2mπ , the CE, i.e. Eq. (11), can
be simplified to :
2
sin ( g ) 2 2
η = γ Pin , p Leff FE p  si (13)
g

κ κ
where
=  si ⋅ . A strong similarity can be
1 − ( ae g ) ⋅ r 1 − ( ae − g ) ⋅ r
Fig. 2. The η wg (a) and  si (b) in high pump power injection and
2

found between Eq. (13) and Eq. (4) in Ref. [12], which both show
that CE η can be viewed as the product of two parts, the CE in low pump power injection under coupling coefficient κ = 0.36
equivalent waveguide η wg and FEs of signal and idler waves. In the (orange lines) and κ = 0.38 (blue lines). Parameters are given:
2
α = 0.2dB / cm , γ = 1W −1m −1 , n = 2.17 , β 2 = −5000 ps 2 / km , L = 1.2mm ,
low pump power excitation case, η wg _ L=γ Pin , p L ⋅ FE p and
Pin , p = 2W and pump wavelength at 1550nm.
iκ
FE
= s FE
=i ; whereas in the high pump power excitation case,
1− a ⋅ r
2
sin ( g ) 2
ω± = ω p ± −2γ PLeff β 2 L (i.e. q = 0 ) can be explicitly written as:
η wg _ H = γ Pin , p Leff FE p and FEs of signal and idler wave
g
κ κ
κ κ = si
γ Pin , p Leff FE p
2 ⋅
− γ Pin , p Leff FE p
2 (14)
= si ⋅ . The two parts of CE under low-pump 1 − r ⋅ ae 1 − r ⋅ ae
1 − ( ae g ) ⋅ r 1 − ( ae − g ) ⋅ r
Table.1 summarizes the CEs at waveguides and MRRs in low-
(L) and high-pump (H) power excitations as shown in Fig. 2(a) and power and high-power excitation assuming ψ s ,i = 2mπ . In the vicinity
(b), respectively. Figure 2(a) shows that η wg contributes similarly in of pump wavelength, i.e. ∆β =0 , Eq. (11) can be simplified to Eq. (4)
the low and high pump cases, which have no explicit feature of the 2

M-shape profile due to the fact that the circumference of the MRR is in Ref. [12], leading to a square dependence between CE and FE p .
too short. This is different from the “M” shaped CE curve that On the other hand, the CE in the MRR increases exponentially with
appeared commonly in fibers or long integrated waveguides [6], 2
FE p at phase-matched wavelength, i.e. q ≈ 0 , where gain and CE
where the propagation length plays an important role. However, Fig.
2(b) shows that  si at high pump power injection is much reach maxima. In addition, FE p also affects the  si in an
greater than that at low pump power injection, which is due to the exponential way due to compensation of the intrinsic loss of the
fact that in the high-pump excitation case the parametric gain may MRR, which significantly alters the physical picture of parametric
compensate the transmission loss so that the effective Q factor of the gain and CE compared to the low-pump power case. Therefore, the
MRR is enhanced. Moreover, the  si is wavelength-dependent impact of the field enhancement of the signal and idler wave is far
more pronounced in high-pump power situations, especially at
and shows an obvious “M” type CE curve due to the gain coefficient
phase-matched wavelengths. This is in sharp contrast compared to
g being related to the frequency interval between the signal and the
the waveguide case, where the maximum gain achieved at phase-
pump, indicating that  si is the main source of “M” shaped CE matched wavelength is mainly contributed from the exponential
curve in the high-Q MRR. gain caused by the pump wave. It is also different from the MRR in
low-pump excitation case, where the field enhancement of the pump,
The maximum FE  si at the phase-matched wavelength
signal, and idler wave play identical roles.

TABLE I. COMPARISON BETWEEN WAVEGUIDES AND MICRO-RING RESONATORS

Structures CE in the vicinity of pump wavelength CE at the phase-matched wavelength Gain regime
1 2γ P L
a 2 ⋅ ( γ Pin , p Leff )
2
Waveguide a 2 ⋅ e in , p eff 2 −2γ Pin , p Leff β 2 L
4
MRR in low power
a 2 ⋅ ( γ Pin , p Leff ) FE p FEs FEi ** a 2 ⋅ ( γ Pin , p Leff ) FE p FEs FEi **
2 4 2 2 2 4 2 2
/
excitation
MRR in high power 1 2γ P L FE
a 2 ⋅ ( γ Pin , p Leff ) FE p FEs FEi **
2

a 2 ⋅ e in , p eff p  si ***
2 4 2 2 2
2 FE p −2γ Pin , p Leff β 2 L
excitation 4

κ κ κ
**
FE
= s FE
= i
= , ***  si 2 ⋅ 2
1 − ar 1 − r ⋅ ae
γ Pin , p Leff FE p
1 − r ⋅ ae
− γ Pin , p Leff FE p

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frequency to approach the resonant frequency. Under the

influence of the thermal drift effect of the micro-ring
resonators, the pump wavelength is 1550.17nm and the signal
wavelength is 1549,24nm. The estimated resonant-enhanced
intracavity pump power is P = 13.9W , which is obtained using
the methods given in Ref[17].In the situation of off-resonance
while the pump wavelength and signal wavelength are set at
1550.17nm and 1549,24nm directly so that without the
thermal drift effect. The idler wave is generated at 1551.10 nm
Fig. 3. Comparison of conversion efficiency (a) and parametric gain when the pump wave is on resonance, with a CE of 3.36 dB
(b) between analytical formula (purple solid lines) and full map and the signal is amplified with a gain of 4.72 dB compared
equation simulation. (orange dots). Parameters are similar to Fig.2 with the situation of off-resonance. The calculated gain and
and the coupling coefficient κ = 0.3761 . CE are 5.36 dB and 5.24 dB using Eqs. (10) and (11), slightly
larger than the experimental results. The discrepancy may be
The gain regime ∆ω of the OPA is also discussed, as shown in the caused by cascaded FWM.
last column of Table 1. Since gain can be achieved between phase- Due to the alignment challenge induced by thermal shift as
matched wavelengths, the gain regime ∆ω of the OPA can be
well as the limitations given by nanofabrication processes, the
roughly estimated by the distance between ω± , i.e. ∆ω = ω+ − ω− .
validation of our theory is verified only at a given frequency.
As shown by Table 1, the gain regime in the high-Q MRRs under It is expected that the M-curve of gain and CE spectra can be
high-power excitation is broadened by a factor of FE p compared to obtained by more careful device and experimental design.
their waveguide counterpart with the same length L . It also agrees
with the well-known conclusion that anomalous dispersion is
required to generate the notable parametric gain, i. e., β 2 < 0 .
The CE given by Eq. (13) and Eq. (4) in Ref. [12] are shown in Fig.
3(a), where the purple line and yellow dashed line represent our
work and Ref. [12], respectively. It is clear that the wavelength-
independent feature of Ref. [12] fails to predict the classical “M” type
gain spectrum in the anomalous dispersion regime under a strong
pump excitation. The orange dots are obtained from a numerically
solved full-map coupled nonlinear Schrödinger equation [14] , which
tracks the nonlinear process of light in every round trip：
 β2 ∂ 
2
∂A +∞

 A + ∑ δ ( z − nL ) [ iκ A − (1 − r ) Ain ]
2
=  −α − iδ − i + iγ A in
 2 ∂τ 
2
∂z n = −∞

(15)
Here, A is the complex field amplitude in the ring, including
Fig. 4. Experimental results of optical spectra for on- resonance(solid
pump, signal, and idler waves. δ is the detuning between the pump
yellow line) and off-resonance(dashed blue line).
and the nearest resonance peak. In the coupling region, the input-
output relation follows
= Aout iκ A z =nL + rA , and n represents the nth
round-trip. Standard split-step Fourier method is numerically V. CONCLUSION
applied to solve Eq. (15), under the situation that detuning δ is
zero, which is in good agreement with the CE and parametric gain
In conclusion, we have derived analytical formulas for the
parametric gain and CE of the parametric processes in high-Q
when the phase terms satisfy ψ=s ψ=i 2mπ , revealing the validity of
MRRs, considering actual parameters, including losses,
the derived analytical formulas. Figure 3(b) shows the gain dispersion, nonlinearity, pump power, and coupling
calculated by Eq. (11) as well as full-map simulations. coefficients. In particular, the interplay between parametric
gain and field enhancement is revealed and discussed. The FE
leads to parametric gain first, which in turn compensates for
IV. EXPERIMENT the intrinsic loss of the MRR and leads to further increased FE.
Finally, to verify the effectiveness of the derived formulas, The maximum gain achieved at phase-matched wavelength is
we experimentally investigate a micro-ring system achieving mainly contributed by the greatly boosted field enhancement
parametric amplification using a Si3N4 MRR with L = 1.2mm of the signal and idler wave. In the end, experiments are
and the loaded Q is calculated as 4.5 × 105 with κ = 0.1243 . The carried out to validate the theoretical formulas. It is expected
experimental results are given in Fig. 4. A CW pump of 21.5 that with the further improvement of integrated photonics, the
micro-ring-based OPAs can be leveraged in many scenarios,
dBm power and a signal of 0.5 dBm power are injected into
including all-optical signal processing, optical
the bus waveguide. The blue lines and the yellow lines are off-
communications, sensing, etc.
resonance and on-resonance. For the situation of on-
resonance, the pump wave is finely tuned from a high

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