Research Article Vol. 5, No.

8 / August 2018 / Optica 1006

Highly tunable efficient second-harmonic

generation in a lithium niobate nanophotonic
waveguide
RUI LUO,1 YANG HE,2 HANXIAO LIANG,2 MINGXIAO LI,2 AND QIANG LIN1,2,*
1
Institute of Optics, University of Rochester, Rochester, New York 14627, USA
2
Department of Electrical and Computer Engineering, University of Rochester, Rochester, New York 14627, USA
*Corresponding author: [email protected]

Received 9 April 2018; revised 17 July 2018; accepted 20 July 2018 (Doc. ID 328075); published 16 August 2018

Highly tunable coherent light generation is crucial for many important photonic applications. Second-harmonic
generation (SHG) is a dominant approach for this purpose, which, however, exhibits a trade-off between conversion
efficiency and wavelength tunability in a conventional nonlinear platform. Recent development of the integrated lith-
ium niobate (LN) technology makes it possible to achieve a large wavelength tuning while maintaining a high con-
version efficiency. Here we report on-chip SHG that simultaneously achieves a large tunability and a high conversion
efficiency inside a single device. We utilize the unique strong thermo-optic birefringence of LN to achieve flexible
temperature tuning of type-I intermodal phase matching. We experimentally demonstrate spectral tuning with a
tuning slope of 0.84 nm/K for a telecom-band pump, and a nonlinear conversion efficiency of 4.7% W −1 , in an
LN nanophotonic waveguide only 8 mm long. Our device shows great promise for efficient on-chip wavelength con-
version to produce highly tunable coherent visible light for broad applications, while taking advantage of the mature
and cost-effective telecom laser technology. © 2018 Optical Society of America under the terms of the OSA Open Access
Publishing Agreement

OCIS codes: (130.3730) Lithium niobate; (190.4390) Nonlinear optics, integrated optics.

https://doi.org/10.1364/OPTICA.5.001006

1. INTRODUCTION type-0 SHG is fairly limited [11–13], mainly due to the relatively
Since their invention in the 1960s [1,2], lasers have been the small wavelength dependence of the thermo-optic coefficient
backbone of modern optics, playing fundamental roles in optical (although DFG can exhibit a large wavelength tunability with
sciences and technologies. For a coherent light source, wavelength a third wave involved). In fact, LN exhibits a remarkable
tunability is one of the most important specifications, crucially thermo-optic birefringence [14–16], significantly greater than
underlying many applications including optical communications most other optical media [17]. This characteristic can be utilized
[3], spectroscopy [4,5], frequency metrology [6], sensing [7], to to greatly increase the wavelength tunability of SHG in PPLN by
name some. However, lasing wavebands are naturally limited employing a type-I configuration [11,12,18], which, however,
by gain media. Nonlinear optical parametric processes, such as inevitably seriously sacrifices the conversion efficiency due to
second-harmonic generation (SHG), sum-frequency generation the significantly weaker nonlinearity compared with a type-0
process.
(SFG), and difference-frequency generation (DFG), with the flex-
Over the past decade, a variety of integrated material platforms
ible engineering of the phase-matching condition, are probably
the most prominent approaches to achieve tunable coherent ra- with χ
2 nonlinearity have been developed for efficient nonlinear
diation at optical frequencies that can hardly be obtained by lasers optical parametric processes [19–25], where the tight confine-
directly [8–10]. ment of optical modes is able to significantly enhance nonlinear
Lithium niobate (LN), with outstanding nonlinear and linear optical interactions. Recent advances in the integrated LN
optical properties, is widely employed for this application, where platform have greatly inspired study of nonlinear optics in LN
SFG/DFG has been extensively studied over the past decades, nanophotonic structures [26–35], showing great potential for
particularly in periodically poled lithium niobate (PPLN) wave- nonlinear wavelength conversion with even higher efficiencies
guides [11,12]. In general, a type-0 configuration is employed to compared with PPLN and other integrated platforms. This pro-
achieve a high conversion efficiency, and temperature tuning is a vides an opportunity to achieve a large wavelength tunability by
common technique to vary the operation wavelength of a PPLN using the type-I configuration while maintaining a high conver-
waveguide. However, the pump wavelength tunability of the sion efficiency at the same time.

2334-2536/18/081006-06 Journal © 2018 Optical Society of America

 Research Article Vol. 5, No. 8 / August 2018 / Optica 1007

Here we demonstrate highly tunable efficient on-chip SHG in an We design the geometry of the Z-cut LN waveguide [see
LN nanophotonic waveguide. We achieve SHG through type-I Fig. 1(a)] such that the fundamental quasi-transverse-electric mode
intermodal phase matching between orthogonal polarizations, and (TE0,tele ) in the telecom band is phase matched with the third-
by utilizing the strong thermo-optic birefringence of LN, we dem- order quasi-transverse-magnetic mode (TM2,vis ) in the visible.
onstrate temperature tuning of the SHG wavelength, with a mea- Figures 1(c) and 1(d) show the effective refractive indices of the
sured tuning slope of 0.84 nm/K for a telecom pump, almost 1 two modes, simulated by the finite-element method (FEM), which
order of magnitude higher than that of type-0 SHG in LN gives a phase-matched pump wavelength of λPM  1540 nm
[11,12,36]. Meanwhile, our device is designed to exhibit a large at room temperature of 20°C. Of particular interest is that LN
mode overlap, resulting in a theoretical normalized SHG efficiency exhibits a significant thermo-optic effect for extraordinary light
of 22.2% W −1 cm−2 , which enables us to experimentally demon- ( d Te,vis ≈ 4 × 10−5 K −1 ), while it is negligible for ordinary light
dn

strate a conversion efficiency of 4.7% W −1 in a waveguide only dn

8 mm long. Our device is of great promise for efficient on-chip wave- T ≈ 0) around room temperature [14]. As a result, when
( do,tele
the device temperature increases, the effective refractive index of
length conversion to produce highly tunable coherent visible light,
the TE0,tele mode remains nearly intact, while that of the
which is essential for various integrated photonic applications such as
particle and chemical sensing in aqueous environments [37–39], TM2,vis mode increases considerably. Consequently, the phase-
while taking advantage of the mature telecom laser technology. matched wavelength moves dramatically towards longer wave-
lengths. Figure 1(e) shows an example, where λPM shifts to
1574 nm at a temperature of 70°C. Detailed analysis shows that
2. WAVEGUIDE DESIGN the phase-matched wavelength depends almost linearly on the de-
LN exhibits a significant thermo-optic birefringence, with a vice temperature, as shown clearly in Fig. 1(f), with a significant
value of j dd nTe − dd nTo j ∼ 4 × 10−5 K −1 at room temperature [14–16], tuning slope of 0.69 nm/K.
where dd nTe and dd nTo are the thermo-optic coefficients for the Phase matching of the two modes indicates potentially effi-
cient SHG in the designed waveguide. For a lossless waveguide
extraordinary and ordinary light, respectively. As a result, if
without pump depletion, the SHG efficiency is given by the
SHG occurs in an LN waveguide between optical waves with
following expression [8,41]:
orthogonal polarizations, a temperature change of the device


would result in a considerable variation of the material birefrin- P sin
ΔL∕2 2
gence, which in turn shifts the phase-matched wavelength of the Γ ≡ 22  ηL2 , (1)
P1 ΔL∕2
SHG process significantly. In particular, we can maximize this
effect by using a Z-cut LN waveguide, which supports ordinarily where P 1 and P 2 are the optical powers input at the fundamental
and extraordinarily polarized optical modes with high polarization wavelength λ and produced at the second harmonic, respectively.
purity [see Figs. 1(a) and 1(b)] [15]. L is the waveguide length and Δ ≡ 4πλ
n2 − n1  represents the

(a) (b)
(c)

(d) (e) (f)

Fig. 1. (a) Schematic of our Z-cut LN waveguide. FEM simulations of (b) mode profiles, and (c) effective indices as functions of wavelength, of TE0,tele in the
telecom and TMj,vis
j  0, 1, 2 in the visible, where wt  1200 nm, h1  460 nm, h2  100 nm, and θ  75°, at 20°C. Discontinuity in the curve of
TM1,vis is due to its coupling with TE2,vis (not shown). Zoom-in of the wavelength-dependent effective indices of TE0,tele and TM2,vis at (d) 20°C, and (e) 70°C,
with black arrows indicating phase matching; (f) simulated phase-matched pump wavelength λPM as a function of temperature. In (c)–(f), the FEM simulations
take into account the temperature and wavelength dependence of the material refractive indices, for both ordinary and extraordinary light [14,40].
 Research Article Vol. 5, No. 8 / August 2018 / Optica 1008

phase mismatch, where n1 and n2 are the effective refractive E~ 1
x, z, the electric field of the fundamental mode TE0,tele , and
indices of the TE0,tele mode at the fundamental wavelength E 2y is the y component of E~ 2
x, z, the electric field of the
and the TM2,vis mode at the second harmonic, respectively. second-harmonic mode TM2,vis .
When the phase-matching condition is satisfied (Δ  0), Eq. (1) Equations (1)–(3) show that the SHG efficiency depends
shows the maximum SHG efficiency Γ0  ηL2 that depends on essentially on the spatial mode overlap ζ, the effective mode area
the normalized conversion efficiency given as Aeff , and the effective nonlinear susceptibility d eff . Numerical
simulation shows that our waveguide exhibits a small
8π 2 ζ2 d 2eff Aeff  1.46 μm2 . In particular, our designed waveguide exhibits
η , (2)
ϵ0 cn21 n2 λ2 Aeff a large spatial mode overlap, with ζ  0.32. As a result, the wave-
where ϵ0 and c are the permittivity and light speed in vacuum, guide exhibits a normalized conversion efficiency as high as
respectively, and d eff is the effective nonlinear susceptibility. In η  22.2% W −1 cm−2 . This value is comparable to that of
1
Eq. (2),R Aeff ≡
A21 A2 3 is the effective mode area, where type-0 SHG in typical PPLN [36,42] and LN nanophotonic


2
jE~ i j dxdz
3 waveguides [31] that utilize the maximum component of the
Ai  R all
2~ 2 , (i  1, 2), and ζ represents the spatial χ
2 nonlinearity (d eff  d 33  27 pm∕V), although a type-I
j jE~ i j E i dxdzj
χ
2
configuration is employed here (d eff  d 31  4.3 pm∕V [43]).
mode overlap factor between the fundamental and second- In contrast to those type-0 devices, our waveguide is expected to
harmonic modes, given as exhibit a significantly larger thermal tuning slope, as we will
R  2
χ
2
E 1x  E 2y dxdz
experimentally demonstrate in the following.
ζ  R 2  R 1 , (3)
 2  2 
 χ
2 jE~ 1 j E~ 1 dxdz 3  χ
2 jE~ 2 j E~ 2 dxdz 3
3. EXPERIMENTAL RESULTS
R R
where χ
2 and all denote two-dimensional integration over the To confirm our simulation results, we fabricated waveguides on a
LN material and all space, respectively, E 1x is the x component of Z-cut LN-on-insulator wafer [see Fig. 2(b)], where the LN thin

(a)

(b) (c) (d)

(e) (f)

Fig. 2. (a) Experimental setup for device characterization and SHG measurement. Scanning electron microscope pictures showing the waveguide
(b) top view, (c) facet, and (d) sidewall. (e) Fiber-to-fiber loss as a function of the differential length Ld , relative to that of Ld  0, for waveguides
schematically illustrated in the inset, where Lf and R are kept as 8 mm and 100 μm, respectively. (f) Telecom-band transmission spectrum of the
TE polarization for a straight waveguide with a length of L ≃ 8 mm, whose schematic is shown in the inset. VOA, variable optical attenuator; LF,
lensed fiber; WDM, wavelength division multiplexer.
 Research Article Vol. 5, No. 8 / August 2018 / Optica 1009

(a) (b) (c)

Fig. 3. SHG from a straight LN nanophotonic waveguide with a length of 8 mm. (a) Conversion efficiency spectrum at T  18.7°C, with the center
wavelength of the sinc2 function aligned to the measured peak; (b) SHG spectrum at a fixed pump wavelength of 1559.06 nm at T  18.7°C; (c) second-
harmonic power as a function of pump power, with experimental data compared with a quadratic fitting, exhibiting a conversion efficiency of 4.7% W −1 .

film has a thickness of ∼560 nm, sitting on 2-μm-thick buried expectation from the function sinc2
ΔL∕2  sin
ΔL∕2 2
ΔL∕2  .
oxide. Figure 2(c) shows the cross section of a fabricated wave- Interestingly, the efficiency spectrum exhibits multiple significant
guide whose geometry is very close to our design [see Fig. 1(a)]. sidelobes, which are likely introduced by potential nonuniformity
In particular, as presented in Fig. 2(d), the waveguide sidewall of the waveguide thickness along its total length, since the phase-
is very smooth, implying a low propagation loss. In order to
matching condition of SHG is very sensitive to the waveguide
quantify the propagation and coupling losses, we fabricated
geometry.
waveguides with the same cross section but different lengths,
By fixing the pump wavelength at 1559.06 nm, where the
as schematically shown in the inset of Fig. 2(e). Since these wave-
peak conversion efficiency is located, we observed coherent radi-
guides share the same coupling and bending losses, by measuring
ation from its second harmonic at 779.53 nm, as shown clearly in
their transmission as a function of the differential length, we can
Fig. 3(b). By varying the pump power, we recorded the SHG
extract the propagation loss. Figure 2(e) shows the measurement
power that is plotted in Fig. 3(c). The second harmonic shows
results, where the propagation loss of straight waveguides for the
a quadratic power dependence on the pump that agrees very well
TE0,tele mode is measured to be 0.54 dB/cm, a small value that
with the theoretical expectation. Fitting the experimental data, we
represents the state-of-the-art quality of LN nanophotonic
obtained an on-chip conversion efficiency of 4.7% W −1 [see
waveguides [35,44,45]. Together with the overall fiber-to-fiber
Fig. 3(c)].
transmission of a straight waveguide [for example, see Fig. 2(f )],
The recorded SHG efficiency is smaller than the theoretical
we obtained a fiber-to-chip coupling loss of about 5 dB/facet.
value given by ηL2 ( 14.2% W −1 ), primarily due to the nonzero
To demonstrate SHG, we employed a straight waveguide with
propagation losses of the waveguide. The LN waveguide exhibits a
a length of about 8 mm. We launched a telecom-band continu-
propagation loss of 0.54 dB/cm at the pump wavelength
ous-wave (CW) laser into the device, with the setup shown in
Fig. 2(a). By scanning the laser wavelength, we were able to mea- [see Fig. 2(e)]. That at the second harmonic, however, is challeng-
sure the efficiency spectrum of SHG. One example is shown in ing to characterize with the current setup, due to the difficulty in
Fig. 3(a), which shows a phase-matched pump wavelength of effective light coupling into a high-order waveguide mode. As a
1559 nm at a temperature of 18.7°C. The main lobe of the rough estimate, we assume it to be ∼2.16 dB∕cm, since the
recorded efficiency spectrum agrees well with the theoretical propagation loss is dominated by the Rayleigh scattering from

(a) (b)

Fig. 4. Thermal tuning of SHG. (a) Conversion efficiency spectra at different temperatures. Each spectrum is normalized by its peak value for clear
comparison. (b) Measured phase-matched pump wavelength λPM as a function of temperature.
 Research Article Vol. 5, No. 8 / August 2018 / Optica 1010

the sidewall roughness that scales with the wavelength as 1∕λ2 and efficient on-chip nonlinear wavelength conversion that
[46]. As a result, the theoretical conversion efficiency is estimated produces coherent radiation from visible to mid-infrared
to be ∼9.1% W −1 for the 8-mm-long waveguide, after we take wavelengths.
into account these propagation losses. On the other hand, the
potential nonuniformity in the waveguide geometry might also APPENDIX A
impact the conversion efficiency to a certain extent. In addition,
the coupling loss of the high-order second-harmonic light is 1. Device Fabrication
likely underestimated due to its large mode mismatch with the Starting from a Z-cut LN-on-insulator wafer by NANOLN, we
focused fiber modes, leading to a conservative estimation of used electron-beam lithography with ZEP520A as the resist for
the recorded conversion efficiency. Therefore, the measured con- device patterning, and argon ion milling for etching. Next, in
version efficiency can be improved in the future by reducing the order to remove the remaining resist and material residuals, we
waveguide sidewall scattering loss (say, with an oxide cladding), by treated the chip with oxygen plasma followed by diluted hydro-
increasing the uniformity in the wafer thickness with appropriate fluoric acid. Finally, we diced the chip and polished the facets for
chemical mechanical polishing, and by optimizing coupling of the light coupling.
second-harmonic light (say, with a separately designed on-chip
coupler [23]). 2. Experimental Setup
To show the spectral tuning capability of our device, we varied Pump light from a CW tunable telecom-band laser was coupled
the device temperature from 18.7°C to 90.0°C and measured the via a lensed fiber into the device chip, which was placed on top of
SHG efficiency spectra. The recorded peak efficiencies are similar a thermoelectric cooler that controls the temperature. At the
to that shown at 18.7°C [see Fig. 3(c)]. Figure 4(a) presents the waveguide output, pump light was collected together with the
peak-normalized spectra at different temperatures. It shows clearly frequency-doubled light by a second lensed fiber. After being sep-
that the SHG spectrum shifts towards longer wavelengths when arated from its second harmonic by a 780/1550 wavelength di-
the device temperature increases. By mapping the phase-matched vision multiplexer, the telecom pump light was directed to an
pump wavelength as a function of temperature, we obtained InGaAs detector for characterization, while the generated visible
Fig. 4(b), showing an experimentally measured tuning slope of light was sent to a spectrometer for detection. A fiber polarization
d λPM
d T  0.84 nm∕K, almost 1 order of magnitude larger than that
controller was used for optimal coupling from the input lensed
achieved by type-0 SHG in LN [11,12,36]. The experimental fiber to the wanted waveguide mode, and variable optical attenu-
results agree well with our simulations [see Fig. 1(f )]. A slightly ators were employed to study the power dependence of SHG. The
larger experimental value of the tuning slope is likely due to pos- spectrometer was cooled by liquid nitrogen for a high sensitivity.
itive contributions by pyroelectric [47] and thermal expansion
effects [48] in the waveguide cross section, which were not taken 3. SHG Spectrum Measurement
into account in the simulations. After aligning lensed fibers to the waveguide for optimal coupling,
we scanned the telecom-band pump laser, with the spectrometer
4. CONCLUSION recording generated second-harmonic light during the whole laser
scanning period. This process was repeated for different temper-
In conclusion, we have demonstrated highly tunable efficient
atures, which were controlled by the thermoelectric cooler under
SHG in an LN nanophotonic waveguide. The LN waveguide
the device chip, to obtain the temperature dependence of the
exhibits a high optical quality with a propagation loss as low
SHG spectrum.
as 0.54 dB/cm in the telecom band, which represents the
state-of-the-art quality of LN nanophotonic waveguides reported
Funding. National Science Foundation (NSF) (ECCS-
to date [35,44,45]. In particular, we took advantage of the strong
1509749, ECCS-1641099, ECCS-1542081, DMR-1719875);
thermo-optic birefringence of LN to achieve thermal tuning of the
Defense Advanced Research Projects Agency (DARPA)
SHG wavelength, with a tuning slope of 0.84 nm/K for a telecom-
(W31P4Q-15-1-0007); U.S. Army Aviation and Missile
band pump, significantly higher than that offered by type-0 SHG
Research, Development, and Engineering Center (AMRDEC).
in LN. At the same time, thanks to the tight mode confinement
and a large spatial mode overlap, our waveguide exhibits a high
theoretical normalized conversion efficiency of 22.2% W −1 cm−2 , Acknowledgment. The authors thank Chengyu Liu at
even for the type-I intermodal phase matching, which is compa- Cornell University for helpful discussions on fabrication. This work
rable to that of type-0 SHG in typical PPLN and LN nanopho- was performed in part at the Cornell NanoScale Facility, a member
tonic waveguides utilizing the largest nonlinear term d 33 . Our of the National Nanotechnology Coordinated Infrastructure
waveguide design enabled us to experimentally record an SHG (National Science Foundation), and at the Cornell Center for
efficiency of 4.7% W −1 inside a waveguide only 8 mm long. Materials Research (National Science Foundation).
We have demonstrated large tuning of type-I SHG by exploit- The views and conclusions contained in this document are
ing the strong thermo-optic birefringence of LN. In fact, this those of the authors and should not be interpreted as representing
technique can also be applied to increase tunability of other non- the official policies, either expressed or implied, of the Defense
linear parametric processes in LN, such as DFG and SFG, by em- Advanced Research Projects Agency, the U.S. Army, or the
ploying interband optical waves with different polarizations. U.S. Government.
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