Integrated Optical Phased Arrays for Beam Forming and Steering
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applied sciences Review Integrated Optical Phased Arrays for Beam Forming and Steering Yongjun Guo 1,2, Yuhao Guo 1,2, Chunshu Li 1,2, Hao Zhang 1,2, Xiaoyan Zhou 1,2 and Lin Zhang 1,2,* 1 Key Laboratory of Opto-Electronics Information Technology of Ministry of Education, School of Precision Instruments and Opto-Electronics Engineering, Tianjin University, Tianjin 300072, China; [email protected] (Y.G.); [email protected] (Y.G.); [email protected] (C.L.); [email protected] (H.Z.); [email protected] (X.Z.) 2 Key Laboratory of Integrated Opto-Electronic Technologies and Devices in Tianjin, School of Precision Instruments and Opto-Electronics Engineering, Tianjin University, Tianjin 300072, China * Correspondence: [email protected] Abstract: Integrated optical phased arrays can be used for beam shaping and steering with a small footprint, lightweight, high mechanical stability, low price, and high-yield, benefiting from the mature CMOS-compatible fabrication. This paper reviews the development of integrated optical phased arrays in recent years. The principles, building blocks, and configurations of integrated optical phased arrays for beam forming and steering are presented. Various material platforms can be used to build integrated optical phased arrays, e.g., silicon photonics platforms, III/V platforms, and III–V/silicon hybrid platforms. Integrated optical phased arrays can be implemented in the visible, near-infrared, and mid-infrared spectral ranges. The main performance parameters, such as field of view, beamwidth, sidelobe suppression, modulation speed, power consumption, scalability, and so on, are discussed in detail. Some of the typical applications of integrated optical phased arrays, such as free-space communication, light detection and ranging, imaging, and biological sensing, are shown, with future perspectives provided at the end. Citation: Guo, Y.; Guo, Y.; Li, C.; Zhang, H.; Zhou, X.; Zhang, L. Keywords: integrated; optical phased arrays; beam shaping; beam steering Integrated Optical Phased Arrays for Beam Forming and Steering. Appl. Sci. 2021, 11, 4017. https://doi.org/ 10.3390/app11094017 1. Introduction Academic Editor: In recent years, optical phased arrays (OPAs) have attracted a great deal of attention. Ruediger Grunwald At optical wavelengths, small diffraction angles for a given aperture size can be achieved, compared with microwave radar systems. Featured by precise and agile free-space beam Received: 25 December 2020 forming and steering [1–12], OPA techniques are highly desirable. However, current Accepted: 16 April 2021 commercially available OPA components are mainly based on mechanical control, such as Published: 28 April 2021 motor-driven rotating collimation stages/mirrors. Mechanical beam steering provides high efficiency and a relatively large scanning angle, through mechanically moving parts such Publisher’s Note: MDPI stays neutral as a gimbal, which can be susceptible to mechanical wear and tear, less stable, and limited with regard to jurisdictional claims in in speed [13,14] due to the masses involved. The bulky mechanical steering approach is published maps and institutional affil- less preferred as it typically degrades in performance due to acceleration, temperature, iations. vibration, and inertial forces. Additionally, mechanical steering often consumes significant energy. Furthermore, they require a complex assembly and calibration process, causing a greatly high unit cost. More importantly, these mechanical approaches are only capable of steering a single light beam. Arbitrary pointing and rapid steering as needed for advanced Copyright: © 2021 by the authors. communication and sensing applications then become difficult or even incapable [14–19]. Licensee MDPI, Basel, Switzerland. Optical beam forming and steering have been demonstrated with minimum mechani- This article is an open access article cal movements or completely solid-state OPAs, and the seminal concept was demonstrated distributed under the terms and by a 46-channel lithium tantalate phase modulator for one-dimensional (1D) optical beam conditions of the Creative Commons steering [20]. Existing techniques mainly include liquid crystal (LC) OPAs [21–27], micro- Attribution (CC BY) license (https:// electromechanical system (MEMS) OPAs [28–31], optical fiber phased arrays [32], III–V creativecommons.org/licenses/by/ laser arrays [33], and photonic crystal waveguides with diffraction gratings [34]. 4.0/). Appl. Sci. 2021, 11, 4017. https://doi.org/10.3390/app11094017 https://www.mdpi.com/journal/applsci Appl. Sci. 2021, 11, x FOR PEER REVIEW 2 of 42 Appl. Sci. 2021, 11, 4017 27], microelectromechanical system (MEMS) OPAs [28–31], optical fiber phased arrays2 of 41 [32], III–V laser arrays [33], and photonic crystal waveguides with diffraction gratings [34]. LCLC OPAs OPAs are are the the main main OPA OPA technology technology and and take take advantage advantage of high of high birefringence. birefringence. In theseIn these systems, systems, the orientations the orientations of liquid of liquid crystals crystals induce induce a change a change in the in refractive the refractive index. in- Theydex. thus They act thus as a actprogrammable as a programmable lens that lens can thatsteer can the steerlight theat will. light Although at will. Althoughthe OPA basedthe OPA on cascaded based on liquid cascaded crystal liquid has crystala large hasfield a of large view field (FOV) of view and low (FOV) driving and lowvoltage driv- [19],ing it voltage has a limited [19], it hasoperatio a limitedn speed operation due to the speed time due needed to the for time molecular needed reorientation for molecular [6,14,19,35,36]reorientation [(typically6,14,19,35 ,a36 few] (typically milliseconds a few response milliseconds time response [6,9,18]). time MEMS [6,9 ,18technology]). MEMS typicallytechnology suffers typically from the suffers same from drawback the same [13, drawback36] with tuning [13,36] speeds with tuning typically speeds in millisec- typically ondsin milliseconds [18,37]. Additionally, [18,37]. Additionally, the limited the FOV limited [29,30,37] FOV [29is ,another30,37] is anotherdrawback drawback due to the due multi-wavelengthto the multi-wavelength sizes of sizes elements, of elements, which whichgives rise gives to risegrating to grating lobes in lobes the infar-field the far-field pat- ternspatterns [37]. [37]. Additionally,Additionally, tunable tunable dielectric dielectric metasurfaces metasurfaces modulated modulated by by liquid liquid crystals crystals provide provide opportunitiesopportunities to to develop develop the the next next generation generation light light detection detection and and ranging ranging (LiDAR) (LiDAR) and and displaydisplay technologies. technologies. A A metasurface-based metasurface-based tran transmissivesmissive spatial spatial light light modulator modulator generates generates activeactive beam beam steering steering with with >35% >35% efficiency efficiency and and a alarge large beam beam deflection deflection angle angle of of 11° 11◦ [38].[38]. A A CMOS-compatibleCMOS-compatible all-dielectric all-dielectric silicon silicon (Si)-bas (Si)-baseded metasurface metasurface enabled enabled beam beam steering steering with with highhigh transmission transmission for for wavelengths wavelengths ranging fromfrom 2.962.96 toto 3.215 3.215µ µm.m. Different Different steering steering angles an- glescan can be achievedbe achieved by changingby changing the th periodicitye periodicity of the of the structure structure [39]. [39]. AsAs one one of of the the promising promising solutions solutions for for th thee next-generation next-generation dynamic dynamic beam beam steering, steering, integratedintegrated OPAs OPAs simultaneously simultaneously possess thethe advantagesadvantages ofof being being stable, stable, rapid, rapid, and and precise pre- cisewithout without relying relying on any on mechanicalany mechanical motion, moti makingon, making them robustthem robust and insensitive and insensitive to external to externalconstraints constraints such as accelerations.such as accelerations. Some of theSome integrated of the integrated OPAs are OPAs presented are presented in Figure1 .Ain Figurewire-bonded 1. A wire-bonded device on adevice chip carrier on a chip plugged carrier into plugged a breadboard into a breadboard is presented is in presentedFigure1a. inFigure Figure1b 1a. shows Figure a one-dimensional 1b shows a one-dimensional 64-channel chip-scale 64-channel blue chip-scale light phased blue array.light phased A kind array.of III-V/Si A kind phase-shifter-based of III-V/Si phase-shifter-based OPA is shown OPA in is Figure shown1c. in Figure Figure1 d1c. is Figure the photo 1d is of the a photofabricated of a fabricated OPA chip OPA on a chip penny. on a Using penny. an Using integrated an integrated approach, approach, the OPAs the can OPAs be made can bevery made small. very small. (a) (b) (c) (d) Figure 1. Integrated OPAs. (a) The wire-bonded device on the chip carrier plugged into the breadboard. Reprinted with Figure 1. Integrated OPAs. (a) The wire-bonded device on the chip carrier plugged into the breadboard. Reprinted with permission from [40] © The Optical Society. (b) Blue light OPA. Reprinted with permission from [41] © The Optical Society. permission from [40] © The Optical Society. (b) Blue light OPA. Reprinted with permission from [41] © The Optical Society. (c) A set of three 32-channel and one 240-channel OPAs on a coin. Reprinted with permission