Two Theoretical Model Comparisons for Calculating the Optical Propagation Loss of Silicon-on-Insulator Waveguides

Silicon photonic integrated circuit (Si-PIC) components/devices based on silicon-on-insulator (SOI) waveguides have become critical components in modern optoelectronic information systems. This investigation systematically examines optical propagation losses (OPLs) induced by the sidewall roughness (SWR) of a waveguide through comparative analysis of two scattering-loss theoretical frameworks: the SWR-improved Payne–Lacey (P-L) three-dimensional (3-D) formalism and Hörmann’s 3-D perturbation model. Crucially, our computational results identify SWR = 10 nm as the convergence threshold where both models exhibit consistent OPL predictions across waveguide architectures. Single-mode SOI rib waveguides with 0.5 µm high ribs on 2.0 µm silicon film and a 2.0 μm BOX layer were designed and fabricated using the classic ICP-RIE technique. Furthermore, SWRs of 28 nm were obtained with confocal laser scanning microscopy for SOI waveguides, leading to OPLs of 2.66 and 2.67 dB/cm for TE and TM modes, respectively, from the 2-D SWR-enhanced P-L model, and 1.7 and 1.9 dB/cm, respectively, from the Hörmann 3-D model. Finally, the average experimental result of OPL for the same waveguide was 2.61 dB/cm, showing a strong agreement with the numerical values of the SWR-improved P-L 3-D formalism, providing a robust framework for optimizing industrial-grade SOI waveguide-based PIC devices/components.