Silicon based on-chip optical phased arrays are an enabling technology to achieving agile and compact large angle beam steering. In this work, a single layer array is presented, and approaches to multilayer 3D photonic integration for achieving a 2D array are also discussed. Finally, two dimensional optical beam steering is achieved using both thermo-optic and wavelength tuning. Various structures are considered as an alternative to the conventionally used shallow etched surface gratings to achieve narrow beam widths in the far field along with low switching power. The corrugated waveguide interspersed with 2D photonic crystal for crosstalk suppression is presented as a novel structure for coupling to free space that can provide lithographically defined index contrast in a single fabrication step, along with the smallest beam widths presented to date, at 0.25°. In addition, a polysilicon overlay with an oxide etch stop layer on top of a silicon waveguide is also presented as a grating coupler that achieves narrow far field beam widths. With this structure, two dimensional steering of 20° X 15° is demonstrated with a 16 element optical phased array, with a beam width of 1.2° X 0.4° and maximum power consumption of 20mW per channel. / text

<div>Integrated optical phased arrays (OPAs) have gained popularity for achieving beam steering with no moving parts and potential high speed and small beam divergence angle. These characteristics are crucial for applications like free-space communication and light detection and ranging (LiDAR), a key component in autonomous driving. Two main aspects that affect the performance of an integrated OPA are discussed: high power handling and large beam steering range.</div><div><br></div><div>High emission power from the OPA is desirable for long range detection applications. Silicon is broadly used in integrated OPA designs as it allows for structures with a more compact footprint. However, its power-handling capability is limited by the two-photon absorption of the material, resulting in higher loss and potential damage at high input power levels. In this work, high power delivery into free space is realized by using a silicon nitride (SiN) and silicon hybrid platform. SiN components are used to direct and split high input power into smaller portions and coupled into silicon components for a more compact emitter array.</div><div><br></div><div>In order to achieve a full 180-degree beam steering range with aliasing-free operation, the pitch of a periodic emitter array is required to be half of the operating wavelength or less. At such a small pitch, evanescent coupling between adjacent emitters causes strong crosstalk. We demonstrate the optical phased array based on uniform half-wavelength spaced grating emitter array. Two-dimensional beam confinement and a record-high aliasing-free beam steering field-of-view of 135 degrees from grating emitter are measured from a 32 channel SiN/Si hybrid OPA. Evanescent coupling between waveguides are suppressed by metamaterial-based <b>e</b>xtreme <b>ski</b>n-<b>d</b>epth (e-skid) waveguides. The e-skid waveguides utilize an alternating air-silicon multi-fin side cladding. The high index contrast of those sub-wavelength ridges provides strong anisotropy, which leads to faster decay of the evanescent wave for transverse electric (TE) input modes, thus limiting evanescent coupling between closely spaced waveguides.</div><div><br></div><div>Furthermore, we extend the concept of the half-wavelength-pitched emitter array to the design of a two-dimensional end-fire OPA. This OPA can potentially achieve 180-degree by 180-degree full-range beam steering with no grating lobes by having a half-wavelength emitter pitch in both dimensions. The design of a broadband 8 by 8 silicon photonics switch based on the half-wavelength-pitched emitter array with low path-dependent loss (PDL) is also discussed.</div>

The focus of this work involves optical and RF (radio frequency) applications of novel microactuation and self-assembly techniques in MEMS (Microelectromechanical systems). The scaling of physical forces into the micro domain is favorably used to design several types of actuators that can provide large forces and large static displacements at low operation voltages. A self-assembly method based on thermally induced localized plastic deformation of microstructures has been developed to obtain truly three-dimensional structures from a planar fabrication process. RF applications include variable discrete components such as capacitors and inductors as well as tunable coupling circuits. Optical applications include scanning micromirrors with large scan angles (>90 degrees), low operation voltages (<10 Volts), and multiple degrees of freedom. One and two-dimensional periodic structures with variable periods and orientations (with respect to an incident wave) are investigated as well, and analyzed using optical phased array concepts. Throughout the research, permanent tuning via plastic deformation and power-off latching techniques are used in order to demonstrate that the optical and RF devices can exhibit zero quiescent power consumption once their geometry is set.

The focus of this work involves optical and RF (radio frequency) applications of novel microactuation and self-assembly techniques in MEMS (Microelectromechanical systems). The scaling of physical forces into the micro domain is favorably used to design several types of actuators that can provide large forces and large static displacements at low operation voltages. A self-assembly method based on thermally induced localized plastic deformation of microstructures has been developed to obtain truly three-dimensional structures from a planar fabrication process. RF applications include variable discrete components such as capacitors and inductors as well as tunable coupling circuits. Optical applications include scanning micromirrors with large scan angles (>90 degrees), low operation voltages (<10 Volts), and multiple degrees of freedom. One and two-dimensional periodic structures with variable periods and orientations (with respect to an incident wave) are investigated as well, and analyzed using optical phased array concepts. Throughout the research, permanent tuning via plastic deformation and power-off latching techniques are used in order to demonstrate that the optical and RF devices can exhibit zero quiescent power consumption once their geometry is set.

A tunable snapshot imaging spectrometer has been demonstrated. A liquid crystal spatial light modulator (LC SLM) has been integrated into a computed tomographic imaging spectrometer (CTIS) to achieve tunability. The LC SLM allows for rapid, programmable, and non-mechanical alteration of its phase profile by the application of appropriate voltages to its transparent electrodes.The goal of this dissertation is twofold: (1) to integrate a liquid crystal spatial light modulator into a CTIS instrument and characterize its performance as a tunable CTIS disperser, and (2) to implement tunability by analyzing different CTIS configurations.The theoretical model of CTIS operation, calibration, reconstruction, and disperser design are covered in detail. The cross talk of the LC SLM forces the use of a feedback design algorithm rather than designing the desired phase profile a priori in the computer. The modifications to the current polychromatic linear inversion technique for use with the LC SLM in feedback are presented. The result of the modifications is the successful integration of a reprogrammable (i.e. tunable) disperser for the CTIS instrument.The implementation of tunability is explored by analyzing the spectral resolution of a reconstructed point source for different disperser configurations. A method for experimentally determining the CTIS spectral resolution is presented.

The goal of the research reported in this thesis is to establish the feasibility of a novel optical architecture for an optical route & select circuit switch suitable for implementation as a photonic integrated circuit. The proposed architecture combines Optical Phased Array (OPA) switch elements implemented as multimode interference coupler based Generalised Mach-Zehnder Interferometers (GMZI) with a planar Lüneburg lens-based optical transpose interconnection network implemented using graded metamaterial waveguide slabs. The proposed switch is transparent to signal format and, in principle, can have zero excess insertion loss and scale to large port counts. These switches will enable the low-energy consumption high capacity communications network infrastructure needed to provide environmentally-friendly broadband access to all. The thesis first explains the importance of switch structures in optical communications networks and the difficulties of scaling to a large number of switch ports. The thesis then introduces the Talbot effect, i.e. the self-imaging of periodic field distributions in free space. It elaborates on a new approach to finding the phase relations between pairs of Talbot image planes at carefully selected positions. The free space Talbot effect is mapped to the waveguide Talbot effect which is fundamental to the operation of multimode interference couplers (MMI). Knowledge of the phase relation between the MMI ports is necessary to achieve correct operation of the GMZI OPA switch elements. An outline of the design procedures is given that can be applied to optimise the performance of MMI couplers and, as a consequence, the GMZI OPA switch elements. The Lüneburg Optical Transpose Interconnection System (LOTIS) is introduced as a potential solution to the problem of excessive insertion loss and cross-talk caused by the large number of crossovers in a switch fabric. Finally, the thesis explains how a Lüneburg lens may be implemented in a graded ‘metamaterial’, i.e. a composite material consisting of ‘atoms’ arranged on a regular lattice suspended in a host by nano-structuring of silicon waveguide slabs using a single etch-step. Furthermore, the propagation of light in graded almost-periodic structures is discussed. Detailed consideration is given to the calibration of the local homogenised effective index; in terms of the local parameters of the metamaterial microstructure in the plane and the corrections necessary to accommodate slab waveguide confinement in the normal to the plane. The concept and designs were verified by FDTD simulation. A 4×4 LOTIS structure showed correct routing of light with a low insertion loss of -0.25 dB and crosstalk of -24.12 dB. An -0.45 dB excess loss for 2D analysis and an -0.83 dB insertion excess loss for 3D analysis of two side by side metamaterial Lüneburg lenses with diameter of 15 μm was measured, which suggests that the metamaterial implementation produces minimal additional impairments to the switch.

The goal of the research reported in this thesis is to establish the feasibility of a novel optical architecture for an optical route & select circuit switch suitable for implementation as a photonic integrated circuit. The proposed architecture combines Optical Phased Array (OPA) switch elements implemented as multimode interference coupler based Generalised Mach-Zehnder Interferometers (GMZI) with a planar Lüneburg lens-based optical transpose interconnection network implemented using graded metamaterial waveguide slabs. The proposed switch is transparent to signal format and, in principle, can have zero excess insertion loss and scale to large port counts. These switches will enable the low-energy consumption high capacity communications network infrastructure needed to provide environmentally-friendly broadband access to all. The thesis first explains the importance of switch structures in optical communications networks and the difficulties of scaling to a large number of switch ports. The thesis then introduces the Talbot effect, i.e. the self-imaging of periodic field distributions in free space. It elaborates on a new approach to finding the phase relations between pairs of Talbot image planes at carefully selected positions. The free space Talbot effect is mapped to the waveguide Talbot effect which is fundamental to the operation of multimode interference couplers (MMI). Knowledge of the phase relation between the MMI ports is necessary to achieve correct operation of the GMZI OPA switch elements. An outline of the design procedures is given that can be applied to optimise the performance of MMI couplers and, as a consequence, the GMZI OPA switch elements. The Lüneburg Optical Transpose Interconnection System (LOTIS) is introduced as a potential solution to the problem of excessive insertion loss and cross-talk caused by the large number of crossovers in a switch fabric. Finally, the thesis explains how a Lüneburg lens may be implemented in a graded ‘metamaterial’, i.e. a composite material consisting of ‘atoms’ arranged on a regular lattice suspended in a host by nano-structuring of silicon waveguide slabs using a single etch-step. Furthermore, the propagation of light in graded almost-periodic structures is discussed. Detailed consideration is given to the calibration of the local homogenised effective index; in terms of the local parameters of the metamaterial microstructure in the plane and the corrections necessary to accommodate slab waveguide confinement in the normal to the plane. The concept and designs were verified by FDTD simulation. A 4×4 LOTIS structure showed correct routing of light with a low insertion loss of -0.25 dB and crosstalk of -24.12 dB. An -0.45 dB excess loss for 2D analysis and an -0.83 dB insertion excess loss for 3D analysis of two side by side metamaterial Lüneburg lenses with diameter of 15 μm was measured, which suggests that the metamaterial implementation produces minimal additional impairments to the switch.

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A major limitation of acousto-optic (AO) leaky-mode modulator based holographic displays is their inability to present full-parallax. We propose that full-parallax capabilities can be bestowed on these displays by integrating an electro-optic (EO) phased array into the architecture. We validated this concept by rendering computational models and by fabricating and testing a basic two-axis AO/EO deflector prototype in lithium niobate. This was, to our knowledge, the first instantiation of an integrated, hybrid AO/EO deflector. The prototype had a 6° deflection range along the AO-axis, and a 3° deflection range along the EO-axis. A series of models provide us with a clear path forward for optimizing this deflector. They suggest that an AO/EO modulator with an EO deflection range of 24.5° and that requires less than 7.5 V can be fabricated within the limitations of standard photolithography.

An array of grating couplers is studied to be used for beam steering in a wireless optical communication system. This structure is designed using a rib waveguide with a silicon thickness of 220nm and an etch depth of 70nm using 2μm silica substrate. TE polarized input light with wavelength of 1550nm is coupled into the feed waveguide. The structure is optimized based on the angular coverage, directed power, and beam efficiency of the radiated main beam of an individual grating coupler. The main beam radiated by optimized grating coupler has a beamwidth of 10.3°×30.7°. The designed 1-D array of the fifteen grating couplers provides tunability in the range of around 30 degrees which is required for a point to pint wireless optical communication transmitter.