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Article(id=1315741516228838225, tenantId=1146029695717560320, journalId=1315121910733963395, issueId=1315741514865689424, articleNumber=null, orderNo=null, doi=10.3788/gzxb20265503.0355101, pmid=null, cstr=32255.14.gzxb20265503.0355101, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=null, receivedDate=1765468800000, receivedDateStr=2025-12-12, revisedDate=null, revisedDateStr=null, acceptedDate=1769443200000, acceptedDateStr=2026-01-27, onlineDate=1791626822764, onlineDateStr=2026-10-10, pubDate=1774368000000, pubDateStr=2026-03-25, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1791626822764, onlineIssueDateStr=2026-10-10, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1791626822764, creator=13701087609, updateTime=1791626822764, updator=13701087609, issue=Issue{id=1315741514865689424, tenantId=1146029695717560320, journalId=1315121910733963395, year='2026', volume='55', issue='3', pageStart='1', pageEnd='378', issueExtLink='null', onlineDate='null', pubDate='1774368000000', pubDateStr='2026-03-25', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=1, specialIssue=null, createTime=1791626822438, creator='13701087609', updateTime=1791626932547, updator='13701087609', preIssue=null, nextIssue=null, articleTotal=null, ext={EN=IssueExt(id=1315741977111540218, tenantId=1146029695717560320, journalId=1315121910733963395, issueId=1315741514865689424, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1315741977111540219, tenantId=1146029695717560320, journalId=1315121910733963395, issueId=1315741514865689424, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null, downloadFileDto=null}, startPage=3, endPage=31, ext={EN=ArticleExt(id=1315741516526633811, articleId=1315741516228838225, tenantId=1146029695717560320, journalId=1315121910733963395, language=EN, title=On-chip High-Q Micro-ring Resonators and Their Applications in Microwave Photonics （Invited）, columnId=1315741516451136338, journalTitle=Acta Photonica Sinica, columnName=Special Issue for Microwave Photonics, runingTitle=null, highlight=null, articleAbstract=

On-chip high-Q Micro-Ring Resonators （MRRs） have emerged as essential building blocks for high-performance microwave photonic systems， thanks to their compact footprint， narrow resonance bandwidth， and excellent tunability. They are widely employed in applications such as ultra-narrowband Microwave Photonic Filters （MPFs） for channel selection in radio-over-fiber networks， low-phase-noise Optoelectronic Oscillators （OEOs） for high-frequency microwave signal generation， and broadband optical frequency combs for high-resolution spectroscopy and microwave-to-optical conversion. Recent advances have focused on pushing Q factors into the multi-million range or even higher to further enhance device performance. This paper reviews the fundamental principles， design strategies， and material considerations for on-chip high-Q MRRs， with emphasis on their integration and practical deployment in these representative microwave photonic applications.

The Q factor of a MRR characterizes the energy storage capability and loss level within the optical cavity. A higher Q indicates a longer photon lifetime， lower round-trip loss， and a narrower resonance linewidth. In microwave photonic system， this translates into a narrower filtering bandwidth of MPFs， a lower phase noise of OEOs， and enhances nonlinear optical effects. Accordingly， we present a detailed discussion of the fundamental structure， theoretical framework， and key parameters of high-Q MRRs， establishing a solid foundation for their design and optimization. From a coupling perspective， MRR behavior can be understood via two complementary models： power coupling and energy coupling， which correspond to frequency-domain steady-state analysis and time-domain transient analysis， respectively.

Subsequently， we elaborate on implementation strategies for high‑Q MRRs from three key aspects： material platform selection （including silicon， silicon nitride， lithium niobate， and lithium tantalate）， fabrication process optimization， and waveguide engineering. A cross‑platform comparison is carried out to evaluate material systems in terms of refractive index contrast， optical transparency window， nonlinear optical properties， and fabrication maturity. This analysis reveals the inherent trade‑offs among platforms—for instance， silicon offers high index contrast and mature CMOS compatibility but suffers from two‑photon absorption in the telecom band， whereas silicon nitride exhibits broad transparency and ultralow loss， albeit requiring more advanced processing to reach ultrahigh Q values. On the waveguide engineering front， techniques such as adiabatic width tapering， Matched bend， Euler bend， and Bezier bend are employed to minimize radiative and bending losses， enabling smooth mode transitions and supporting ultrahigh‑Q operation in compact footprints. Recent progress in high‑Q MRR development across these material platforms is also reviewed.

Furthermore， we examine the typical implementations of high‑Q MRRs in microwave photonic systems， with a particular focus on MPFs and OEOs. For MPFs， we begin by highlighting the potential of ultra‑high‑Q MRRs with large Free Spectral Range （FSR） in constructing ultra‑narrowband， widely tunable MPFs. We then review various system architectures developed to achieve ultra‑high out‑of‑band rejection and high reconfigurability. However， for real‑world RF applications， MRR‑based MPFs still require significant improvement in key RF performance metrics such as insertion loss， Noise Figure （NF）， and Spurious-Free Dynamic Range （SFDR）. Regarding OEOs， we discuss developments in on‑chip OEOs based on MRR， as well as emerging PT‑symmetry breaking schemes that eliminate the requirement for additional narrowband optical or electrical filters. In recent years， on‑chip integrated OEOs have made notable progress in frequency tuning range， Side‑Mode Suppression Ratio （SMSR）， and system compactness. However， the limited on‑chip effective delay， combined with additional noise introduced by active components， results in overall phase noise performance that remains considerably higher than that of discrete fiber‑based systems—particularly evident at intermediate and low frequency offsets. We also summarize recent progress in fully integrated on‑chip MPFs and OEOs， which is of great significance for achieving compact， lightweight microwave photonic systems.

Prospectively， high‑Q MRR‑based microwave photonic devices are poised to transition into practical use across a range of fields， including radar signal processing， 5 G/6 G wireless communications， and RF signal generation. By leveraging programmable architectures and adaptive control schemes， these devices can simultaneously achieve miniaturization， low power consumption， and high performance. This progress is expected to drive the broader adoption of microwave photonics in cutting‑edge domains such as telecommunications， national defense， aerospace， and intelligent sensing， while gradually narrowing the performance gap between on chip solutions and discrete high performance systems.

, authors=Ye HUANG1, 2, Yuan YU1, 2, Caibin YU3, Xinliang ZHANG1, 2, authorsList=Ye HUANG, Yuan YU, Caibin YU, Xinliang ZHANG, authorCompany=null, correspAuthors=Yuan YU, authorNote=null, correspAuthorsNote=null, copyrightStatement=null, copyrightOwner=null, extLink=null, articleAbsUrl=null, sourceXml=null, magXml=null, pdfUrl=null, pdf=null, pdfFileSize=null, pdfExtLink=null, richHtmlUrl=null, mobilePdfUrl=null, reviewReport=null, pdfFirstPage=null, abstractGraph=null, abstractGraphContent=null, abstractVideo=null, citation=null, cebUrl=null, magXmlContent=null, mapNumber=null, fund=null), CN=ArticleExt(id=1315741524189627251, articleId=1315741516228838225, tenantId=1146029695717560320, journalId=1315121910733963395, language=CN, title=片上高Q微环谐振器及其微波光子学应用（特邀）, columnId=1315741516602131284, journalTitle=光子学报, columnName=※封面论文※, runingTitle=null, highlight=null, articleAbstract=

片上高Q微环谐振器凭借其小尺寸、窄带宽及灵活调谐等特性，成为微波光子学领域实现高性能滤波器、延迟线、频率梳及信号处理等核心功能的关键元件，近年来得到广泛的关注与研究。本文围绕片上高Q微环谐振器的设计及其在微波光子学领域的应用展开综述。首先，阐述高Q微环谐振器的基本结构特征、理论分析方法及关键性能参数，为理解和设计高Q微环谐振器提供理论基础。其次，从材料平台选择、制造工艺优化和波导结构设计三个角度讨论高Q微环谐振器的实现方法，并汇总其研究进展。进而，重点分析其在微波光子滤波器、光电振荡器等微波光子系统中的典型应用。最后，总结其面临的主要挑战，并对其未来发展进行展望。

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黄烨，

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于源，
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IEEE Transactions on Microwave Theory and Techniques， 2024： 1-8., articleTitle=Frequency-stabilized optoelectronic oscillator with simultaneous wideband tunability, refAbstract=null)], funds=null, companyList=[AuthorCompany(id=1315741524546143092, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, xref=1, ext=[AuthorCompanyExt(id=1315741524554531701, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, companyId=1315741524546143092, language=EN, country=null, province=null, city=null, postcode=null, companyName=null, departmentName=null, remark=1Wuhan National Laboratory for Optoelectronics， Huazhong University of Science and Technology， Wuhan 430074， China), AuthorCompanyExt(id=1315741524567114614, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, companyId=1315741524546143092, language=CN, country=null, province=null, city=null, postcode=null, companyName=null, 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figureFileSmall=DzqdG55Y/o6fa0siKfjveA==, figureFileBig=O9zSAJoEavrCkv+YJJO3SA==, tableContent=null), ArticleFig(id=1315741528572674975, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图1, caption=微环谐振器的基本结构。（a）全通型微环谐振器；（b）上传下载型微环谐振器, figureFileSmall=DzqdG55Y/o6fa0siKfjveA==, figureFileBig=O9zSAJoEavrCkv+YJJO3SA==, tableContent=null), ArticleFig(id=1315741528803361696, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.2, caption=Optimized structure of MRR. （a） Curved coupling MRR； （b） Racetrack MRR, figureFileSmall=tWmwz6XbEIFsb04/VadXgg==, figureFileBig=pGpTWzfeOi9q9klAZszjLw==, tableContent=null), ArticleFig(id=1315741529042437025, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图2, caption=微环谐振器的优化结构。（a）弯曲耦合微环谐振器；（b）跑道型微环谐振器, figureFileSmall=tWmwz6XbEIFsb04/VadXgg==, 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tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图4, caption=常见波导弯曲结构［118］。（a）基本弯曲；（b）改进弯曲, figureFileSmall=P7HVYSNj2AUwMO14M+SHTg==, figureFileBig=yELozG7y6jodlwaMUPW2AQ==, tableContent=null), ArticleFig(id=1315741529503810471, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.5, caption=Typical structure of high-Q MRRs. （a） Varied width； （b） Bezier bend； （c） Euler bend； （d） Partial euler bend, figureFileSmall=7GV/Q3LKYnJt8pZeBacaQw==, figureFileBig=aUX/JeH9pdyypUyNDSdjxw==, tableContent=null), ArticleFig(id=1315741529591890856, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图5, caption=高Q值MRR的典型结构。（a）宽度渐变［49］；（b）贝塞尔弯曲［48］；（c）欧拉弯曲［72］；（d）部分欧拉弯曲［50］, figureFileSmall=7GV/Q3LKYnJt8pZeBacaQw==, figureFileBig=aUX/JeH9pdyypUyNDSdjxw==, tableContent=null), ArticleFig(id=1315741529688359849, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.6, caption=Basic System Architecture of MPF, figureFileSmall=lfN+Wr0lcixifHAp+Pp6Bg==, figureFileBig=Szp6MAODfGcRku0ZvlG3HQ==, tableContent=null), ArticleFig(id=1315741529751274410, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图6, caption=微波光子滤波器的基本系统架构, figureFileSmall=lfN+Wr0lcixifHAp+Pp6Bg==, figureFileBig=Szp6MAODfGcRku0ZvlG3HQ==, tableContent=null), ArticleFig(id=1315741529830966187, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.7, caption=MPF based on ultra-large FSR and ultra-high Q MRR［50］. （a） Schematic of the structure； （b） Multi-frequency normalized transmission response； （c） Partial zoom-in view of （b）, figureFileSmall=hMB7ZwSXkwYyn38GQu4HUQ==, figureFileBig=vfRal9PDRNWXvK08uZQsag==, tableContent=null), ArticleFig(id=1315741529902269356, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图7, caption=基于超大FSR、超高Q值MRR的微波光子滤波器［50］。（a）结构示意图；（b）多频段归一化传输响应；（c）图（b）的局部放大图, figureFileSmall=hMB7ZwSXkwYyn38GQu4HUQ==, figureFileBig=vfRal9PDRNWXvK08uZQsag==, tableContent=null), ArticleFig(id=1315741529965183917, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.8, caption=MPFs with ultra-high rejection ratio. （a） SSB with MRR［125］； （b） Unbalenced DSB with MRR［125］； （c） Balenced DSB with MRR and SBS； （d） SSB with MRR assisted MZI, figureFileSmall=sJluYIlGHVqcvQ04gnGRVQ==, figureFileBig=5AbQDaejJUOf73DXOiOSXw==, tableContent=null), ArticleFig(id=1315741530283951023, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图8, caption=具有超高抑制比的微波光子滤波器。（a）单边带调制结合MRR［125］；（b）非平衡双边带调制结合MRR［125］；（c）平衡双边带调制结合MRR与SBS［126］；（d）单边带调制结合MRR辅助MZI［125］, figureFileSmall=sJluYIlGHVqcvQ04gnGRVQ==, figureFileBig=5AbQDaejJUOf73DXOiOSXw==, tableContent=null), ArticleFig(id=1315741530384614320, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.9, caption=MPFs with high reconfigurability. （a） Reconfigurable optical filter［143-144］； （b） Reconfigurable signal modulation format［145］, figureFileSmall=v+0lrnpIjBKPZMn1oShX6w==, figureFileBig=SbL4Bh1uB+XirGa7FeYy6g==, tableContent=null), ArticleFig(id=1315741530707575729, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图9, caption=具有高度可重构能力的微波光子滤波器。（a）可重构光学滤波器［143-144］；（b）可重构信号调制格式［145］, figureFileSmall=v+0lrnpIjBKPZMn1oShX6w==, figureFileBig=SbL4Bh1uB+XirGa7FeYy6g==, tableContent=null), ArticleFig(id=1315741532410463154, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.10, caption=MPFs with optimized radio frequency performance［132-134］, figureFileSmall=7zrYU4QsVGgRPtjwHW0nCw==, figureFileBig=poqlBaw9o9TW7cBiddwoQA==, tableContent=null), ArticleFig(id=1315741532515320755, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图10, caption=具有优化射频性能的微波光子滤波器［132-134］, figureFileSmall=7zrYU4QsVGgRPtjwHW0nCw==, figureFileBig=poqlBaw9o9TW7cBiddwoQA==, tableContent=null), ArticleFig(id=1315741532813116340, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.11, caption=On-chip integrated MPFs［136，138，149-150］, figureFileSmall=aszIeaV3Sbel4rN8FU0GkA==, figureFileBig=1aeaw4aM49vpUDQZ0nphrA==, tableContent=null), ArticleFig(id=1315741532897002421, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图11, caption=片上集成微波光子滤波器［136，138，149-150］, figureFileSmall=aszIeaV3Sbel4rN8FU0GkA==, figureFileBig=1aeaw4aM49vpUDQZ0nphrA==, tableContent=null), ArticleFig(id=1315741532980888502, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.12, caption=Basic system architecture of optoelectronic oscillator, figureFileSmall=bznqE1BOTf3u5B/hjk0FfA==, figureFileBig=AnUrRsJwmeoAGjxepYP3Aw==, tableContent=null), ArticleFig(id=1315741533077357495, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图12, caption=光电振荡器的基本系统架构, figureFileSmall=bznqE1BOTf3u5B/hjk0FfA==, figureFileBig=AnUrRsJwmeoAGjxepYP3Aw==, tableContent=null), ArticleFig(id=1315741533219963832, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.13, caption=On-chip integrated OEOs［159-162］, figureFileSmall=FKNIUfG5PWWduqOE9ja6Pg==, figureFileBig=y4mc7mwdz/W4hDuARsI1bA==, tableContent=null), ArticleFig(id=1315741533299655609, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图13, caption=片上集成光电振荡器［159-162］, figureFileSmall=FKNIUfG5PWWduqOE9ja6Pg==, figureFileBig=y4mc7mwdz/W4hDuARsI1bA==, tableContent=null), ArticleFig(id=1315741533375153082, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Fig.14, caption=PT Symmetric OEOs［165-167］, figureFileSmall=cMT/LBhJvVCkodUj5JOSWQ==, figureFileBig=A386B5AdxEmbwOuYLDblcw==, tableContent=null), ArticleFig(id=1315741533643588539, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=图14, caption=PT对称光电振荡器［165-167］, figureFileSmall=cMT/LBhJvVCkodUj5JOSWQ==, figureFileBig=A386B5AdxEmbwOuYLDblcw==, tableContent=null), ArticleFig(id=1315741533714891708, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 1, caption=

Performance comparison of different material platforms

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformSOISi₃N₄LNOILTOI
Refractive Index3.481.982.21 （o）
2.14 （e）		2.119 （o）
2.123 （e）
Transparent Window/μm1.1~6.50.3~4.60.35~5.50.28~5.5
Thermo-optic Coefficient/K-11.8×10-42.5×10-53.3×10-52.47×10-5
Electro-optic Coefficient/（pm·V-1）0030.9 （γ33）30.5 （γ33）
Second-order Nonlinear Coefficient/（pm·V-1）0027 （d33）26 （d33）
Third-order Nonlinear Coefficient/（m2·W-1）4.5×10-182.5×10-191.8×10-19-
CMOS CompatibleYesYesNoNo
), ArticleFig(id=1315741533790389181, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表1, caption=

不同材料平台的性能对比

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformSOISi₃N₄LNOILTOI
Refractive Index3.481.982.21 （o）
2.14 （e）		2.119 （o）
2.123 （e）
Transparent Window/μm1.1~6.50.3~4.60.35~5.50.28~5.5
Thermo-optic Coefficient/K-11.8×10-42.5×10-53.3×10-52.47×10-5
Electro-optic Coefficient/（pm·V-1）0030.9 （γ33）30.5 （γ33）
Second-order Nonlinear Coefficient/（pm·V-1）0027 （d33）26 （d33）
Third-order Nonlinear Coefficient/（m2·W-1）4.5×10-182.5×10-191.8×10-19-
CMOS CompatibleYesYesNoNo
), ArticleFig(id=1315741533861692350, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 2, caption=

Performance parameter of MRR based on SOI

, figureFileSmall=null, figureFileBig=null, tableContent=
WaveguideTypeBendW×H/μmReff/μmFSR/GHzQlQiLoss/（dB·cm-1）Reference
RidgeAll-PassArc-150105.6-1.57×1060.352011［38］
RidgeAll-PassArc2.05×1.222 4505.35-2.20×1070.0272012［39］
StripAll-PassArc3×0.22450-1.32×106-0.32015［41］
Ridge+StripAll-PassArc0.5~3×0.22--3.6×106--2016［42］
RidgeAdd-DropArc0.5~2×0.2220261.1×1063.16×1060.212018［43］
StripAdd-DropEuler0.5~2×0.22-14.5-6.6×106-2020［44］
StripAll-PassEuler1.6×0.2229112.51.3×1062.3×1060.32020［45］
StripAdd-DropEuler1~2×0.22301153.9×1055.3×1060.1272022［46］
StripAll-PassEuler3×0.2211540.60.94×1071.02×1070.0652022［47］
StripAll-PassBezier0.45~1.6×0.22201251.86×106-0.242024［48］
RidgeAll-PassArc0.9~11×0.22502501.3×1062×1060.32024［49］
StripAll-PassEuler2×0.2218.21154.8×1069.6×106-2024［50］
StripAll-PassTO2×0.2210267.8×1061.13×1070.0582025［51］
), ArticleFig(id=1315741533945578431, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表2, caption=

基于SOI的MRR性能参数

, figureFileSmall=null, figureFileBig=null, tableContent=
WaveguideTypeBendW×H/μmReff/μmFSR/GHzQlQiLoss/（dB·cm-1）Reference
RidgeAll-PassArc-150105.6-1.57×1060.352011［38］
RidgeAll-PassArc2.05×1.222 4505.35-2.20×1070.0272012［39］
StripAll-PassArc3×0.22450-1.32×106-0.32015［41］
Ridge+StripAll-PassArc0.5~3×0.22--3.6×106--2016［42］
RidgeAdd-DropArc0.5~2×0.2220261.1×1063.16×1060.212018［43］
StripAdd-DropEuler0.5~2×0.22-14.5-6.6×106-2020［44］
StripAll-PassEuler1.6×0.2229112.51.3×1062.3×1060.32020［45］
StripAdd-DropEuler1~2×0.22301153.9×1055.3×1060.1272022［46］
StripAll-PassEuler3×0.2211540.60.94×1071.02×1070.0652022［47］
StripAll-PassBezier0.45~1.6×0.22201251.86×106-0.242024［48］
RidgeAll-PassArc0.9~11×0.22502501.3×1062×1060.32024［49］
StripAll-PassEuler2×0.2218.21154.8×1069.6×106-2024［50］
StripAll-PassTO2×0.2210267.8×1061.13×1070.0582025［51］
), ArticleFig(id=1315741534029464512, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 3, caption=

Performance parameter of MRR based on Si₃N₄

, figureFileSmall=null, figureFileBig=null, tableContent=
FabricationBendW×H/μmReff/mmFSR/GHzQlQiLoss/（dB·m-1）Reference
Subtractive+AnnealingArc3×0.60.124.71.4×1071.7×1072.12016［64］
Subtractive+CMPArc2.5×0.730.115-3.5×1073.7×1070.82017［57］
Damascene+AnnealingArc1.58×0.81-98.9-1.5×107-2018［58］
Subtractive+AnnealingArc2×0.74-100-1.25×107-2019［65］
SubtractiveTanh2.6×0.730.131174-3.18×10712021［66］
Damascene+AnnealingArc2.2×0.95-40-3×10712021［67］
Subtractive+AnnealingArc8×0.11301.5×1082.2×1080.12021［68］
Subtractive+AnnealingArc11×0.0811.787-4.81×1087.2×1080.0342022［60］
Damascene+AnnealingEuler2.2×0.9-19.8-1.3×1072.42022［69］
Standard ProcessEuler3×0.80.195656.7×1061.08×1073.32023［70］
SubtractiveArc2.4×0.81-100-1.4×1072.62023［71］
Standard ProcessEuler1.5~7×0.80.124406.5×1066.8×1065.12024［72］
SubtractiveArc2.8×0.80.2--2.56×1071.62025［73］
Damascene+AnnealingArc2.2×0.9-100--3.572025［63］
), ArticleFig(id=1315741534109156289, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表3, caption=

基于Si₃N₄的MRR性能参数

, figureFileSmall=null, figureFileBig=null, tableContent=
FabricationBendW×H/μmReff/mmFSR/GHzQlQiLoss/（dB·m-1）Reference
Subtractive+AnnealingArc3×0.60.124.71.4×1071.7×1072.12016［64］
Subtractive+CMPArc2.5×0.730.115-3.5×1073.7×1070.82017［57］
Damascene+AnnealingArc1.58×0.81-98.9-1.5×107-2018［58］
Subtractive+AnnealingArc2×0.74-100-1.25×107-2019［65］
SubtractiveTanh2.6×0.730.131174-3.18×10712021［66］
Damascene+AnnealingArc2.2×0.95-40-3×10712021［67］
Subtractive+AnnealingArc8×0.11301.5×1082.2×1080.12021［68］
Subtractive+AnnealingArc11×0.0811.787-4.81×1087.2×1080.0342022［60］
Damascene+AnnealingEuler2.2×0.9-19.8-1.3×1072.42022［69］
Standard ProcessEuler3×0.80.195656.7×1061.08×1073.32023［70］
SubtractiveArc2.4×0.81-100-1.4×1072.62023［71］
Standard ProcessEuler1.5~7×0.80.124406.5×1066.8×1065.12024［72］
SubtractiveArc2.8×0.80.2--2.56×1071.62025［73］
Damascene+AnnealingArc2.2×0.9-100--3.572025［63］
), ArticleFig(id=1315741534205625282, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 4, caption=

Performance parameter of MRR based on LNOI / LTOI

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformBendWidth/μm/Rib/Slab/nmReff/μmFSR/GHzQlQiLoss/（dB·m-1）Reference
X-cut LNArc2.4350/25080-5×1061×1070.0272017［75］
X-cut LNArc--100211.38×1071.08×1080.00342022［76］
X-cut LNArc2.4300/30140150-5×106-2022［30］
Z-cut LNArc2.1600/040500-4.9×1060.0852023［77］
X-cut LNArc3600/0-81-1×1070.042023［78］
X-cut LNEuler5300/300250564.1×1066×1060.0672023［84］
X-cut LN
Z-cut LN		Arc2.6
4		300/300120-1.05×106
7.61×106		1.85×106
9.27×106		-2023［79］
X-cut LNArc4.5325/275200-2.36×1072.93×1070.0132024［80］
LNArc1.2300/300150--1.1×1082025［27］
X-cut LNEuler1.2350/250-14.63.02×1065.53×106-2025［85］
X-cut LTArc1.5300/300200106.32.7×1058.4×1050.472024［86］
X-cut LTArc2400/200-100-4.56×106-2024［87］
LTArc1.5350/25080--3.3×106-2025［88］
X-cut LTArc2.1500/100-29.6-7×106-2025［82］
X-cut LTArc4200/2001002251.48×1072.33×1070.01882025［83］
X-cut LTArc1.5200/200108-1.23×1062.09×1060.22025［89］
), ArticleFig(id=1315741534306288579, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表4, caption=

基于LNOI / LTOI的MRR性能参数

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformBendWidth/μm/Rib/Slab/nmReff/μmFSR/GHzQlQiLoss/（dB·m-1）Reference
X-cut LNArc2.4350/25080-5×1061×1070.0272017［75］
X-cut LNArc--100211.38×1071.08×1080.00342022［76］
X-cut LNArc2.4300/30140150-5×106-2022［30］
Z-cut LNArc2.1600/040500-4.9×1060.0852023［77］
X-cut LNArc3600/0-81-1×1070.042023［78］
X-cut LNEuler5300/300250564.1×1066×1060.0672023［84］
X-cut LN
Z-cut LN		Arc2.6
4		300/300120-1.05×106
7.61×106		1.85×106
9.27×106		-2023［79］
X-cut LNArc4.5325/275200-2.36×1072.93×1070.0132024［80］
LNArc1.2300/300150--1.1×1082025［27］
X-cut LNEuler1.2350/250-14.63.02×1065.53×106-2025［85］
X-cut LTArc1.5300/300200106.32.7×1058.4×1050.472024［86］
X-cut LTArc2400/200-100-4.56×106-2024［87］
LTArc1.5350/25080--3.3×106-2025［88］
X-cut LTArc2.1500/100-29.6-7×106-2025［82］
X-cut LTArc4200/2001002251.48×1072.33×1070.01882025［83］
X-cut LTArc1.5200/200108-1.23×1062.09×1060.22025［89］
), ArticleFig(id=1315741534385980356, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 5, caption=

Performance parameter of MPFs based on MRR

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformTypeCenter frenquency/GHzFilter bandwidth/GHzSupression ratio/dBSFDR/（dB•Hz2/3）Reference
SOIBandstop2~150.91>30-2009［121］
SOIBandstop2.5~17.56~9.5>40-2013［122］
SOIBandpass19~405.5~17.5>20-2016［123］
SOIBandstop0.97~8.340.1560-2015［41］
SOIBandpass2~18.40.1726.5-2018［124］
SOIBandpass3.4~19.30.020 628-2022［47］
LNOIBandpass2~26.50.047 525-2023［84］
SOIBandpass0~57.50.032>20-2024［50］
Si₃N₄Bandstop2~80.247~0.84>55-2013［125］
Si₃N₄Bandstop1~110.06>55-2016［126］
SOIBandstop4.03~36.940.78>60-2018［127］
SOIBandstop0~40->50-2021［128］
SOIBandpass-5.3~19.5>30-2019［129］
SOIBandpass5.2~35.80.7~2>40-2022［130］
SOIBandstop-0.178~22.7>75-2023［131］
Si₃N₄Bandstop0~120.15~0.35>501162017［132］
Si₃N₄Bandstop-0.4551232022［133］
LNOIBandpass2~620.7~321~25101.162025［134］
InPBandpass0~42.5~5.5-81.42017［135］
SOIBandstop3~250.38~0.45>4099.72021［136］
SOIBandpass2~400.15~321~32-2023［137］
LNOIBandstop1.5~21.51.3801102025［138］
), ArticleFig(id=1315741534482449349, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表5, caption=

基于MRR的微波光子滤波器性能参数

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformTypeCenter frenquency/GHzFilter bandwidth/GHzSupression ratio/dBSFDR/（dB•Hz2/3）Reference
SOIBandstop2~150.91>30-2009［121］
SOIBandstop2.5~17.56~9.5>40-2013［122］
SOIBandpass19~405.5~17.5>20-2016［123］
SOIBandstop0.97~8.340.1560-2015［41］
SOIBandpass2~18.40.1726.5-2018［124］
SOIBandpass3.4~19.30.020 628-2022［47］
LNOIBandpass2~26.50.047 525-2023［84］
SOIBandpass0~57.50.032>20-2024［50］
Si₃N₄Bandstop2~80.247~0.84>55-2013［125］
Si₃N₄Bandstop1~110.06>55-2016［126］
SOIBandstop4.03~36.940.78>60-2018［127］
SOIBandstop0~40->50-2021［128］
SOIBandpass-5.3~19.5>30-2019［129］
SOIBandpass5.2~35.80.7~2>40-2022［130］
SOIBandstop-0.178~22.7>75-2023［131］
Si₃N₄Bandstop0~120.15~0.35>501162017［132］
Si₃N₄Bandstop-0.4551232022［133］
LNOIBandpass2~620.7~321~25101.162025［134］
InPBandpass0~42.5~5.5-81.42017［135］
SOIBandstop3~250.38~0.45>4099.72021［136］
SOIBandpass2~400.15~321~32-2023［137］
LNOIBandstop1.5~21.51.3801102025［138］
), ArticleFig(id=1315741534570529734, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=EN, label=Table 6, caption=

Performance parameter of on-chip integrated OEOs

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformIntergrated
components		Mode
selection		RF frenquency/GHzPhase noise
@10 kHz /（dBc·Hz-1）		SMSR/dBReference
InPDML，ODL，PDEBF8.86~8.88-6041.72018［159］
SOIPM，MDR，PDMDR-MPF3~7.4-80672018［163］
Si₃N₄MRRMRR-MPF14.6~25.65-8849.472023［164］
SOIDFB，MZM，PDEBF3~18-115.83
（500 m fiber）		702023［160］
SOIMRRMRR-MPF0~50-105382024［50］
LNOIMZM，MRRMRR-MPF30-102502024［161］
LNOIPM，MRRMRR-MPF20~35-87492024［161］
LNOIPM，MRRMRR-MPF3~42.5-93482025［162］
SOIMDRPT Symmetry2~12-102
（70 m fiber）		>502020［166］
SOIMZI，MRR，PDMRR-MPF
PT Symmetry		0~20-83.42452023［167］
Si₃N₄MRRMRR-MPF4~12-9837.72024［168］
SOIMRRMRR-MPF0.8~12.4-93372025［51］
), ArticleFig(id=1315741534662804423, tenantId=1146029695717560320, journalId=1315121910733963395, articleId=1315741516228838225, language=CN, label=表6, caption=

片上集成光电振荡器性能参数

, figureFileSmall=null, figureFileBig=null, tableContent=
PlatformIntergrated
components		Mode
selection		RF frenquency/GHzPhase noise
@10 kHz /（dBc·Hz-1）		SMSR/dBReference
InPDML，ODL，PDEBF8.86~8.88-6041.72018［159］
SOIPM，MDR，PDMDR-MPF3~7.4-80672018［163］
Si₃N₄MRRMRR-MPF14.6~25.65-8849.472023［164］
SOIDFB，MZM，PDEBF3~18-115.83
（500 m fiber）		702023［160］
SOIMRRMRR-MPF0~50-105382024［50］
LNOIMZM，MRRMRR-MPF30-102502024［161］
LNOIPM，MRRMRR-MPF20~35-87492024［161］
LNOIPM，MRRMRR-MPF3~42.5-93482025［162］
SOIMDRPT Symmetry2~12-102
（70 m fiber）		>502020［166］
SOIMZI，MRR，PDMRR-MPF
PT Symmetry		0~20-83.42452023［167］
Si₃N₄MRRMRR-MPF4~12-9837.72024［168］
SOIMRRMRR-MPF0.8~12.4-93372025［51］
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片上高Q微环谐振器及其微波光子学应用（特邀）
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黄烨 1, 2 , 于源 1, 2 , 庾财斌 3 , 张新亮 1, 2
光子学报 | ※封面论文※ 2026,55(3): 3-31
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片上高Q微环谐振器及其微波光子学应用（特邀）
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黄烨1, 2 , 于源1, 2 , 庾财斌3, 张新亮1, 2
作者信息
  • 1华中科技大学 武汉光电国家研究中心， 武汉 430074
  • 2华中科技大学 光学与电子信息学院， 武汉 430074
  • 3中国电科芯片技术研究院， 重庆 400060
通讯作者:
作者简介:

黄烨，

On-chip High-Q Micro-ring Resonators and Their Applications in Microwave Photonics （Invited）
Ye HUANG1, 2 , Yuan YU1, 2 , Caibin YU3, Xinliang ZHANG1, 2
Affiliations
  • 1Wuhan National Laboratory for Optoelectronics， Huazhong University of Science and Technology， Wuhan 430074， China
  • 2School of Optical and Electronic Information， Huazhong University of Science and Technology， Wuhan 430074， China
  • 3China Electronics Technology Group Corporation Chip Technology Institute， Chongqing 400060， China
出版时间: 2026-03-25 doi: 10.3788/gzxb20265503.0355101
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摘要
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片上高Q微环谐振器凭借其小尺寸、窄带宽及灵活调谐等特性，成为微波光子学领域实现高性能滤波器、延迟线、频率梳及信号处理等核心功能的关键元件，近年来得到广泛的关注与研究。本文围绕片上高Q微环谐振器的设计及其在微波光子学领域的应用展开综述。首先，阐述高Q微环谐振器的基本结构特征、理论分析方法及关键性能参数，为理解和设计高Q微环谐振器提供理论基础。其次，从材料平台选择、制造工艺优化和波导结构设计三个角度讨论高Q微环谐振器的实现方法，并汇总其研究进展。进而，重点分析其在微波光子滤波器、光电振荡器等微波光子系统中的典型应用。最后，总结其面临的主要挑战，并对其未来发展进行展望。

微环谐振器  /  集成光子学  /  微波光子学  /  微波光子滤波器  /  光电振荡器

On-chip high-Q Micro-Ring Resonators （MRRs） have emerged as essential building blocks for high-performance microwave photonic systems， thanks to their compact footprint， narrow resonance bandwidth， and excellent tunability. They are widely employed in applications such as ultra-narrowband Microwave Photonic Filters （MPFs） for channel selection in radio-over-fiber networks， low-phase-noise Optoelectronic Oscillators （OEOs） for high-frequency microwave signal generation， and broadband optical frequency combs for high-resolution spectroscopy and microwave-to-optical conversion. Recent advances have focused on pushing Q factors into the multi-million range or even higher to further enhance device performance. This paper reviews the fundamental principles， design strategies， and material considerations for on-chip high-Q MRRs， with emphasis on their integration and practical deployment in these representative microwave photonic applications.

The Q factor of a MRR characterizes the energy storage capability and loss level within the optical cavity. A higher Q indicates a longer photon lifetime， lower round-trip loss， and a narrower resonance linewidth. In microwave photonic system， this translates into a narrower filtering bandwidth of MPFs， a lower phase noise of OEOs， and enhances nonlinear optical effects. Accordingly， we present a detailed discussion of the fundamental structure， theoretical framework， and key parameters of high-Q MRRs， establishing a solid foundation for their design and optimization. From a coupling perspective， MRR behavior can be understood via two complementary models： power coupling and energy coupling， which correspond to frequency-domain steady-state analysis and time-domain transient analysis， respectively.

Subsequently， we elaborate on implementation strategies for high‑Q MRRs from three key aspects： material platform selection （including silicon， silicon nitride， lithium niobate， and lithium tantalate）， fabrication process optimization， and waveguide engineering. A cross‑platform comparison is carried out to evaluate material systems in terms of refractive index contrast， optical transparency window， nonlinear optical properties， and fabrication maturity. This analysis reveals the inherent trade‑offs among platforms—for instance， silicon offers high index contrast and mature CMOS compatibility but suffers from two‑photon absorption in the telecom band， whereas silicon nitride exhibits broad transparency and ultralow loss， albeit requiring more advanced processing to reach ultrahigh Q values. On the waveguide engineering front， techniques such as adiabatic width tapering， Matched bend， Euler bend， and Bezier bend are employed to minimize radiative and bending losses， enabling smooth mode transitions and supporting ultrahigh‑Q operation in compact footprints. Recent progress in high‑Q MRR development across these material platforms is also reviewed.

Furthermore， we examine the typical implementations of high‑Q MRRs in microwave photonic systems， with a particular focus on MPFs and OEOs. For MPFs， we begin by highlighting the potential of ultra‑high‑Q MRRs with large Free Spectral Range （FSR） in constructing ultra‑narrowband， widely tunable MPFs. We then review various system architectures developed to achieve ultra‑high out‑of‑band rejection and high reconfigurability. However， for real‑world RF applications， MRR‑based MPFs still require significant improvement in key RF performance metrics such as insertion loss， Noise Figure （NF）， and Spurious-Free Dynamic Range （SFDR）. Regarding OEOs， we discuss developments in on‑chip OEOs based on MRR， as well as emerging PT‑symmetry breaking schemes that eliminate the requirement for additional narrowband optical or electrical filters. In recent years， on‑chip integrated OEOs have made notable progress in frequency tuning range， Side‑Mode Suppression Ratio （SMSR）， and system compactness. However， the limited on‑chip effective delay， combined with additional noise introduced by active components， results in overall phase noise performance that remains considerably higher than that of discrete fiber‑based systems—particularly evident at intermediate and low frequency offsets. We also summarize recent progress in fully integrated on‑chip MPFs and OEOs， which is of great significance for achieving compact， lightweight microwave photonic systems.

Prospectively， high‑Q MRR‑based microwave photonic devices are poised to transition into practical use across a range of fields， including radar signal processing， 5 G/6 G wireless communications， and RF signal generation. By leveraging programmable architectures and adaptive control schemes， these devices can simultaneously achieve miniaturization， low power consumption， and high performance. This progress is expected to drive the broader adoption of microwave photonics in cutting‑edge domains such as telecommunications， national defense， aerospace， and intelligent sensing， while gradually narrowing the performance gap between on chip solutions and discrete high performance systems.

Micro-ring resonator  /  Integrated photonics  /  Microwave photonics  /  Microwave photonic filters  /  Optoelectronic oscillators
黄烨, 于源, 庾财斌, 张新亮. 片上高Q微环谐振器及其微波光子学应用（特邀）. 光子学报, 2026 , 55 (3) : 3 -31 . DOI: 10.3788/gzxb20265503.0355101
Ye HUANG, Yuan YU, Caibin YU, Xinliang ZHANG. On-chip High-Q Micro-ring Resonators and Their Applications in Microwave Photonics （Invited）[J]. Acta Photonica Sinica, 2026 , 55 (3) : 3 -31 . DOI: 10.3788/gzxb20265503.0355101
正文
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0　引言
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微波光子学（Microwave Photonics，MWP）［1］是一门研究微波与光波相互作用的前沿交叉学科，利用光学手段产生、处理、传输和控制微波信号。它通过融合微波技术和光子技术的各自优势，有效克服传统电子手段在高频宽带信号处理中的瓶颈［2］，具有高速、大带宽、低损耗、尺寸小、质量轻、灵活可重构及抗电磁干扰等优点，被广泛应用于5G/6G移动通信、雷达探测与成像、电子战、航空航天等领域。尽管MWP概念自提出以来便展现出巨大的潜力，但早期主要利用光纤和射频线缆连接分立的光学和电子器件［3］，导致系统存在体积大、笨重、功耗高、稳定性差等问题，严重制约了其从实验室走向实际应用的步伐。随着集成光子技术的快速发展和微纳加工工艺的日趋成熟［4］，集成微波光子学（Integrated Microwave Photonics，IMWP）［5］迅速崛起，促使MWP系统朝着小型化、高性能、低功耗、低成本的方向发展。
目前，芯片级MWP系统的技术验证已经在多种集成光子材料平台上展开［6］。如绝缘体上硅（Silicon-on-Insulator，SOI）［7］和氮化硅（Silicon Nitride，Si₃N₄）［8］，因其卓越的性能和与CMOS工艺兼容而备受青睐。此外，新兴材料如绝缘体上铌酸锂（Lithium Niobate on Insulator，LNOI）［9］、绝缘体上钽酸锂（Lithium Tantalate on Insulator，LTOI）［10］，由于大电光系数和强非线性效应等优势，也得到了迅速发展。当下，片上MWP系统正处于从异质集成与混合集成，向光电融合全面集成迈进的关键发展阶段［11］。微环谐振器（Micro-Ring Resonator，MRR）作为片上光子集成中的关键器件［12］，具有结构紧凑、波长选择性强、光场限制能力强、插入损耗小、可调谐可重构等特点，在滤波器、延时线、激光器、非线性光学器件等领域应用广泛。MRR的品质因数（Quality Factor，Q）定义为谐振波长λ0与谐振线宽Δλ3dB的比值，用于描述MRR的能量存储能力和损耗水平。Q值越高，则腔内光子寿命越长，环程损耗越低，谐振线宽越窄。在许多微波光子系统中，Q值的高低直接影响系统核心性能。例如，微波光子滤波器（Microwave Photonic Filter，MPF）［13］的滤波带宽与Q值成反比，光电振荡器（Optoelectronic Oscillator，OEO）［14］的相位噪声与Q值的平方成反比，非线性效应也会因Q值的提高而显著增强［15］。
近年来，研究人员通过改进制造工艺和优化波导结构，使MRR的Q值实现数量级的提升，直接赋能高分辨率、低噪声的IMWP系统。越来越多的研究成功将IMWP系统用于实际场景的演示中，例如毫米波雷达［16］、微波频率测量［17］、超宽带通信［18］等。本文对目前国内外高Q值MRR的研究进展及其在微波光子学中的应用进行了综述。首先系统介绍MRR的基本原理、基本结构、分析方法和性能参数。然后从材料平台选择、制造工艺优化和波导结构设计三个方面总结高Q值MRR的实现方法，并汇总不同材料平台上高Q值MRR的研究现状，为设计与制造高Q值MRR提供理论指导与参考依据。接着从系统应用角度分析高Q值MRR在提升MWP系统性能上的作用，最后讨论面临的主要挑战并展望未来发展方向。
1　微环谐振器的基本原理
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MRR作为一种典型的回音壁模式（Whispering Gallery Mode，WGM）光学微腔，由环形波导和直波导耦合构成，通过高折射率芯层与低折射率包层的界面全反射，将光场有效限制在微环内部循环。当光束绕微环行走一周的光程为波长的整数倍时，即neffL=mλ0，其中neff为波导有效折射率，L为微环周长，m为谐振级数，λ0为谐振波长，会发生相长干涉，环内光场增强并形成稳定的行波谐振模式。其传输谱呈现出一系列等间距的离散谐振峰，能够实现波长选择、滤波等功能。
1.1　微环谐振器的基本结构
MRR主要分为全通型（All-pass）和上传下载型（Add-drop）两种结构，常规圆形MRR如图1所示。其中，全通型MRR为单环单总线波导结构，仅有一个耦合区，含有不同波长的光由总线波导输入并通过耦合区的倏逝场部分进入微环，满足谐振条件的光会在微环内部循环，其他光则直接从总线波导输出，输出端传输谱表现为周期性“带陷型”谱线。上传下载型MRR为单环双总线波导结构，包含两个耦合区，满足谐振条件的光会通过另一个耦合区进入下载端波导输出，下载端传输谱表现为周期性“带通型”谱线。
上述结构只能通过改变耦合间距来调节耦合效率，受限于现有工艺水平，通常无法实现更小的耦合间距。为改善耦合效率，研究人员提出了弯曲耦合方式及跑道型MRR结构［19］，如图2所示，可通过优化耦合长度Ls进一步达到目标耦合状态。要实现高效耦合，必须合理设计耦合区波导宽度和弯曲半径，使其满足相位匹配条件，即neff1·R1=neff2·R2，其中neff1和neff2分别代表相邻波导的有效折射率，R1和R2分别代表相邻波导的弯曲半径。跑道型MRR通过在圆环基础上引入直波导，大大提升了MRR的设计灵活性。除了图1所示的侧面耦合方法，垂直耦合方法［19］通过在上下两层波导之间引入一层低折射率分离层，通过精确控制该分离层的厚度来调节耦合效率，从而有效规避了刻蚀超窄间距的工艺难题。然而，复杂的多层外延生长和垂直集成工艺也在一定程度上限制了该方法的实际应用。
1.2　微环谐振器的分析方法
一般来说，在研究MRR的传输响应和性能参数时，可从功率耦合［20］或能量耦合［21］两个角度进行分析，分别对应频域稳态分析和时域瞬态分析，进而推导出不同端口的归一化功率传递函数。
功率耦合方法将MRR视为行波谐振器，通过耦合系数描述微环和总线波导之间的功率交换。YARIV A从定向耦合器模型出发，基于传输矩阵法系统研究了微环与总线波导的耦合机制［20］。如图1（a）所示，t为直通耦合系数，κ为交叉耦合系数，满足t2+κ2=1，环程透过系数a=e-αL/2，α为线性环程损耗，φ为环程相移。可得全通型MRR直通端透过率为［20］
Tthrough=E2E12=t2-2atcos φ+a21-2atcos φ+a2t2
如图1（b）所示，t1、t2为直通耦合系数，κ1、κ2为交叉耦合系数，满足ti2+κi2=1,i=1或2，上传下载型MRR直通端、下载端透过率分别为［20］
Tthrough=E2E12=t12-2at1t2cos φ+a2t221-2at1t2cos φ+a2t12t22
Tdrop=E7E12=aκ12κ221-2at1t2cos φ+a2t12t22
根据t与a的大小关系，可判断MRR的耦合状态。对于全通型MRR，当t=a时，处于临界耦合状态，此时具有最大消光比；当t>a时，处于欠耦合状态；当t<a时，处于过耦合状态。而对于上传下载型MRR，使用t1代替t、at2代替a即可。也可通过MRR直通端的相位响应判断其耦合状态［22］。
能量耦合方法将MRR视为集总振荡器，通过时域耦合模方程描述微环能量的存储与衰减。LITTLE B E等阐述了微环存储能量at2与功率流动At2之间的关系（at2=At2T，T为环程群时延），并建立了能量耦合系数μ与功率耦合系数κ之间的联系（μ2=κ2/T=2/τ，2/τ为能量总损耗率）［21］。对于全通型MRR，能量衰减来源于环内本征损耗与波导耦合损耗，即2/τ=2/τi+2/τt，其中2/τi为环内本征损耗率，2/τt为直通端耦合损耗率。当MRR达到稳态时，直通端透过率为［21］
Tthrough=ω-ω02+1/τ-2/τt2ω-ω02+1/τ2
对于上传下载型MRR，只需要在2/τ中再加入一项下载端耦合损耗率2/τd，下载端透过率为［21］
Tdrop=(2/τt)(2/τd)ω-ω02+1/τ2
此时，MRR的临界耦合条件为1/τ=2/τt。
1.3　微环谐振器的性能参数
MRR的典型频谱响应如图3所示，主要性能参数包括自由光谱范围、半高全宽、品质因数等。
1.3.1　自由光谱范围
MRR的传输谱由一系列等间距的离散谐振峰组成，相邻谐振峰的间距称为自由光谱范围（Free Spectral Range，FSR）。MRR的谐振条件等价为光在微环中的环程相移φ为2π的整数倍，即
φ=2πneffLλ=2mπ
将上式对波长λ求导，得到
dφdλ=λdneffdλ-neff2πLλ2
结合群折射率表达式ng=neff-λdneffdλ，可得
dφdλ=-ng2πLλ2
将FSR定义为环程相移改变2π所需的波长变化ΔλFSR，即波长域的FSR表示为
ΔλFSR=2π|dφ/dλ|=λ2ngL
频率域的FSR表示为
ΔνFSR=cλ2ΔλFSR=cngL=1T
1.3.2　半高全宽
MRR的带宽通常指传输谱中谐振峰的半高全宽（Full Width at Half Maximum，FWHM），也称“3 dB带宽”。带宽越窄，谐振峰越尖锐，MRR的频率选择性越好。对于直通端，3 dB带宽指透过率从背景水平下降到背景水平以下3 dB的点（对应Tthrough=1/2）之间的宽度。对于下载端，3 dB带宽指透过率从最大值下降到最大值以下3 dB的点（对应Tdrop=Tmax/2）之间的宽度。
对cos φ在φ=2 mπ附近进行泰勒展开可得cos 2 mπ+δφ=cos δφ≈1-δφ22，可将式（2）、式（3）近似为洛伦兹线形，即
Tthrough≈δφ2+t1-at2at1t22δφ2+1-at1t2at1t22=1-1-at1t2at2-t1-at2at1t22δφ2+1-at1t2at1t22
Tdrop≈κ12κ22t1t2δφ2+1-at1t2at1t22
由式（8）、式（9）可得δφ=2πΔλFSRδλ，对于下载端，3 dB带宽为
Δλ3dB=ΔλFSRπ1-at1t2at1t2
对于直通端，只有在临界耦合即t1=at2时，3 dB带宽才可由式（13）描述。
由式（4）、式（5）可知，其具有天然洛伦兹线形，对于下载端，3 dB带宽为
Δω3dB=2τ=2τi+2τt+2τd=2τi+2τc
对于直通端，只有在临界耦合即1/τ=2/τt时，3 dB带宽才可由式（14）描述。
上述提及的带宽均为负载线宽，当不存在外部耦合，即t1=t2=1或2/τ=2/τi时，假设损耗可以忽略即α≈0、a≈1，则1-a=1-e-αL/2≈αL/2，由式（13）、式（14）可得本征线宽
Δλ3 dB=ΔλFSRπ1-aa≈αλ022πng
Δω3 dB=2τi
1.3.3　品质因数
品质因数（Quality Factor，Q）是MRR性能的核心指标。假设无外部耦合的MRR内部总存储能量按U=U0e-t/τp衰减，其中τp为本征光子寿命或能量衰减时间常数，则功率损耗为PL=-dU/dt=U/τp。由Q值的根本定义可得Q=ω0U/PL=ω0τp，对应于MRR的本征Q值。腔衰荡光谱（Cavity Ring-Down Spectroscopy，CRDS）可在时域上测定全通型MRR的负载光子寿命［23］，在临界耦合状态下本征光子寿命为负载光子寿命的两倍，也可同时提取τi、τt和τd［24-25］。根据式（14），由Q=ω0/Δω3 dB可得负载Q值Ql=ω0τ/2、本征Q值Qi=ω0τi/2、耦合Q值Qc=ω0τc/2，满足1/Ql=1/Qi+1/Qc，对比可知τp=τi/2。根据式（13）、式（15），由Q=λ0/Δλ3dB可得
Ql=πλ0ΔλFSRat1t21-at1t2
Qi=πλ0ΔλFSRa1-a≈2πngαλ0
可见MRR的本征Q值与线性环程损耗α成反比，而波导损耗来源主要包括材料吸收损耗、表面散射损耗和弯曲辐射损耗，通过选择合适材料体系、优化波导制造工艺以及精细设计波导结构可大大降低波导损耗并提升本征Q值。此外，通过慢光效应增大群折射率ng可进一步实现Q值的提升［26-27］。
在实际测量中，通常采用扫频激光器或微波光子链路测定MRR的传输谱，并使用归一化功率传递函数对其进行拟合得到负载线宽Δλ3dB或Δω3 dB。由Ql=λ0/Δλ3 dB=ω0/Δω3 dB可得负载Q值，基于拟合参数并由（18）式可得本征Q值。BARCLAY P E等给出了全通型MRR本征Q与负载Q之间的关系［28］
Qi=2Ql1±Tmin
式中,Tmin为最小透过率，式中欠耦合时取加号，过耦合时取减号。
2　高Q微环的设计与优化
收起
随着微纳加工技术的持续突破以及新型波导结构的相继提出，片上高Q值MRR的性能在过去二十多年内取得了显著提升。当前研究正着眼于在进一步减小器件尺寸的同时降低波导传输损耗，使其逼近材料吸收损耗极限［29-30］，从而在标准工艺下实现高性能片上光子器件的高密度、低成本量产。
2.1　材料平台选择
实现高Q值MRR的关键是制造低损耗的光波导。目前，主流的集成光子材料平台包括SOI、Si₃N₄、LNOI以及LTOI等，不同材料体系在折射率对比度、光学透明窗口、非线性特性以及工艺成熟度等方面各具优势，相关性能汇总在表1中。围绕这些平台，大量研究工作聚焦于损耗机理分析、制造工艺优化、波导结构设计等方面。
在众多材料平台中，SOI以其CMOS工艺兼容、通信波段透明、高折射率对比度等优势，长期被视为片上光子集成的主要技术路线。高折射率对比度使其对光场的限制能力更强，能够在保持较低弯曲损耗的同时实现更小的弯曲半径，提高了器件集成度。然而，这也导致光场对波导侧壁粗糙度更加敏感，造成更高的散射损耗。目前，基于SOI的MRR的Q值最高达到107量级。相比之下，Si₃N₄具有较低折射率对比度、更宽的波长透明范围且在通信波段无双光子吸收，能够在确保适当集成度的前提下大大降低波导损耗，进而实现更高Q值（~108）的片上MRR。此外，基于克尔效应和四波混频，Si₃N₄成为片上集成微梳的最先进、最稳定的平台之一。得益于智能切片技术和波导刻蚀工艺的进步，LNOI在集成度和性能上都远超过传统体铌酸锂，在近十年内得到了飞速发展。基于LNOI的MRR的Q值最高也达到108量级。其优异的二阶非线性与三阶非线性，使得片上高效电光调制器、电光梳及克尔梳成为可能。作为与LNOI类似的光学功能晶体，LTOI具有更弱的双折射效应和更强的抗光折变能力，能够有效抑制MRR中不同偏振模式之间的耦合，且能在更高光功率下稳定工作。近期，已有相关工作在LTOI上实现了Q值高达107的MRR。下面将详细介绍高Q值MRR的研究进展及具体实现方法，表2~表4分别为近年来SOI、Si₃N₄以及LNOI/LTOI平台上高Q值MRR性能参数的总结，其中Reff为MRR弯曲部分的等效半径。
2.2　制造工艺优化
硅基光子学的发展始终伴随着制造工艺的迭代推进，而低损耗光波导更是实现高Q值MMR的核心基础。在标准CMOS工艺体系中，光刻与反应离子刻蚀（Reactive Ion Etching，RIE）承担着关键的图形定义与图形转移任务，其加工精度直接决定了波导侧壁的粗糙度与几何一致性，从而影响最终的传输损耗。PAYNE F P等提出的平面光波导散射损耗理论分析指出，波导损耗与表面粗糙度的二次方成正比［31］。因此，通过优化制造工艺降低波导表面粗糙度能够大幅降低传输损耗。2001年，LEE K K等在436 nm G线UV光刻和RIE的基础上引入湿法氧化平滑工艺，将波导侧壁粗糙度从10 nm降低至2 nm，使0.5 μm宽单模波导损耗从32 dB/cm显著下降至0.8 dB/cm［32］。随后，DUMON P等在2004年利用248 nm DUV光刻和感应耦合等离子体（Inductively Coupled Plasma，ICP）增强的RIE技术，无需热氧化即可将同类波导损耗降低至2.4 dB/cm［33］。同年，NIEHUSMANN J等通过电子束光刻（Electron Beam Lithography，EBL）与ICP-RIE定义更加精细的波导结构，实现了半径为20 μm、负载Q为1.39×105的MMR，对应的波导损耗约为1.9 dB/cm［34］。2005年，WEBSTER M A等采用光刻和湿法刻蚀制备浅刻蚀脊波导，获得了半径600 μm、负载Q为9.5×105的MMR［35］。2009年，LIPSON M课题组采用硅局部氧化（Local Oxidation of Silicon，LOCOS）技术实现了无需刻蚀的波导定义，获得了侧壁粗糙度仅为0.3 nm的超平滑波导［36］，并在2011年制备出半径50 μm、本征Q为5.1×105的MMR，对应的波导损耗约为0.8 dB/cm［37］。同年，NEZHAD M P等以氢倍半硅氧烷（HSQ）取代SiO2作为LOCOS的氧化掩膜，无需额外刻蚀和去除，获得了半径150 μm、本征Q达1.57×106的MMR，波导损耗进一步降低至0.35 dB/cm［38］。2012年，BIBERMAN A等通过光刻胶热回流和氧化平滑降低脊波导刻蚀造成的侧壁粗糙度，实现了本征Q高达2.2×107的MRR，但半径高达2.45 mm［39］。2023年，MARIN Y E等在3 μm厚硅平台上对所制备的跑道型MRR进行氢退火平滑，在降低侧壁粗糙度的同时保持波导几何形状不变，FSR为5.6 GHz、本征Q达到1.43×107［40］。
Si₃N₄作为新型低损耗光波导材料平台，在近十几年来得到广泛关注。早在1987年，HENRY C H等就对Si₃N₄波导的损耗特性展开了系统研究［52］。通过优化Si₃N₄芯层厚度和SiO2下包层厚度，有效抑制了光向硅衬底的泄漏损耗，并使用热磷酸湿法刻蚀制备脊波导。在实验中首次观察到Si₃N₄在红外波段的两个氢相关吸收峰，并通过高温退火显著降低了吸收损耗，使波导在1.3~1.6 μm通信波段的损耗低于0.3 dB/cm。虽然通过等离子体增强化学气相沉积（Plasma-Enhanced Chemical Vapor Deposition，PECVD）可以实现低应力、无裂纹的Si₃N₄薄膜，但其较高的含氢量会在通信波段引入显著的吸收损耗，不利于高Q值MRR的制作。而采用低压化学气相沉积（Low-Pressure Chemical Vapor Deposition，LPCVD）制备的Si₃N₄薄膜具有更优的化学计量比和更低的含氢量，是实现低损耗Si₃N₄波导的关键。但早期的Si₃N₄薄膜厚度由于高应力被限制在250 nm以下［53］，导致波导光场限制变弱，不利于进行色散调控。2009年，GONDARENKO A等通过温度循环沉积方法获得774 nm厚的Si₃N₄薄膜，并结合光刻胶热回流改善减法工艺的刻蚀质量，经高温退火后实现了半径20 μm、本征Q为3×106的MMR，对应的波导损耗约为12 dB/m［54］。2013年，LUKE K等通过在器件周围引入平行机械沟槽阻断晶圆边缘的裂纹传播，并采用分步沉积制备出910 nm厚的Si₃N₄薄膜，实现了半径115 μm、本征Q为7×106的MRR，波导损耗下降至4.2 dB/m［55］。2016年，KIPPENBERG T J课题组提出了光子大马士革工艺，采用非晶硅作为掩膜，分别使用EBL和光刻定义波导和应力释放图案，并通过干法刻蚀转移到SiO2衬底，采用LPCVD一次性完成Si₃N₄的沉积，之后使用化学机械抛光（Chemical Mechanical Planarization，CMP）移除多余的Si₃N₄材料并进行高温退火［56］。相比于先沉积再光刻、刻蚀的传统减法工艺，该方法具有更高的刻蚀选择比且能有效避免温度循环沉积中形成的薄氧化层，实现了半径238 μm、负载Q为3.7×106的MRR。2017年，JI Xingchen等在减法工艺中采用SiO2代替光刻胶，通过多重曝光降低线边粗糙度，并利用高氧气流量刻蚀和CMP实现更加光滑的波导表面，制备出半径115 μm、本征Q达3.7×107的MMR，波导损耗降低至0.8 dB/m［57］。2018年，KIPPENBERG T J课题组在光子大马士革工艺中进一步对预成型的SiO2衬底侧壁进行高温退火平滑，实现了FSR为99 GHz、本征Q为1.5×107的MRR［58］。2021年，PUCKETT M W等采用高深宽比波导结构，并在干法刻蚀后沉积5 nm厚的Si₃N₄覆盖层，显著改善了波导表面质量，经退火并沉积SiO2上包层后MRR的本征Q最高达到4.22×108，且吸收损耗限制的本征Q达到3.4×109［59］。2022年，LIU Kaikai等在PUCKETT M W的工作基础上，将波导厚度从40 nm增大到80 nm，获得的MRR本征Q最高达7.2×108、平均也达到5.65×108，将波导损耗从0.06 dB/m降低到0.034 dB/m［60］。超低损耗Si₃N₄波导的制备以LPCVD为主，而代工厂量产中主要采用PECVD沉积Si₃N₄薄膜。2023年，JI Xingchen等通过PECVD沉积730 nm厚的低应力Si₃N₄薄膜［61］，并使用物理方法［57］降低波导的表面粗糙度，退火前所制备的MRR本征Q为7.24×105，而退火后本征Q达到4.7×106，实现了与LPCVD相当的损耗水平［55］。KIPPENBERG T J课题组在2018年首次报道金属杂质（如铜、铬、铁）是集成光波导吸收损耗的重要来源［62］，且所制备的Si₃N₄薄膜中铜杂质含量最高，可能导致显著宽带吸收，此前研究多关注氢杂质（如Si-H键、N-H键）的影响。2025年，该课题组确定了铜杂质来源于硅晶圆本体，通过开发牺牲层吸杂法和扩散阻挡层法两种铜去除技术，显著降低了波导中的铜浓度，将FSR为100 GHz的MRR波导损耗分别降低至3.57 dB/m和4.21 dB/m［63］。
传统体铌酸锂（LiNbO3，LN）器件基于钛扩散或质子交换形成波导，极低的折射率对比度使其光场限制能力较弱，导致器件尺寸较大、传输损耗较高，难以实现高度集成。LNOI概念最早在2000年代初被提出［74］，通过离子切片和晶圆键合将亚微米级的高质量单晶LN薄膜转移到绝缘体衬底上，形成类似SOI的结构，在集成度和性能优化方面远超过体材料。而LN材料由于机械硬度大、化学惰性强，存在刻蚀难度大、波导损耗较高等问题。2017年，ZHANG Mian等在X切LN上通过优化的氩等离子体辅助干法刻蚀工艺首次实现2.7 dB/m的超低波导损耗，所制备的跑道型MRR半径为80 μm、本征Q达到1×107［75］。2022年，程亚教授课题组采用CMP从X切LN体材料直接减薄制备薄膜，通过飞秒激光直写在铬掩膜上定义MRR图案，并采用CMP将其转移至LN薄膜，之后对波导上表面进行二次抛光［76］。该方法有效避免了离子切片和干法刻蚀引入的晶格损伤和缺陷，实现了半径100 μm、本征Q高达1.08×108的MRR，波导损耗为0.34 dB/m，接近LN材料吸收损耗极限［15］。同年，SHAMSANSARI A等通过氧气退火和低温ICP-CVD沉积SiO2上包层，将LN波导的吸收损耗降低至0.2 dB/m，在X切LN上实现了半径140 μm、本征Q为5×106的MRR［30］。2023年，GAO Yan等采用MaN 2405光刻胶作为掩膜以改善刻蚀选择比，仅通过一轮曝光和刻蚀即可实现波导的全刻蚀，相比于部分刻蚀的脊波导结构显著降低MRR半径，并采用SC-1溶液去除波导侧壁上的副产物，在Z切LN上制备的40 μm半径MRR平均本征Q值达到4.9×106、波导损耗为8.5 dB/m［77］。同年，LI Zihan等通过引入类金刚石碳（Diamond-like Carbon，DLC）硬掩膜工艺，将刻蚀选择比从1倍提升至3倍，在X切LN上实现了FSR为81 GHz、本征Q值为1×107的跑道型MRR［78］。除了干法刻蚀工艺，ZHUANG Rongjin等开发了LN的湿法刻蚀工艺，并分别在X切、Z切LN上实现了本征Q值为1.85×106、9.27×106的MRR［79］。2024年，ZHU Xinrui等通过精确控制刻蚀深度并结合化学清洗、高温退火等后处理工艺，在X切LN上实现了半径200 μm、本征Q高达2.93×107的跑道型MRR［80］。2025年，BARYA P等在掺铒薄膜铌酸锂中通过光谱烧孔在铒吸收带创建透明窗口，利用强色散实现群速度降低，将本征Q从1.8×105提升至1.1×108［27］。钽酸锂（LiTaO3，LT）作为与LN性能相当的材料，已因5G射频滤波器［81］的需求实现大规模生产，成本远低于LN，成为近几年的研究热点。2024年，WANG Chengli等基于DLC硬掩模工艺实现了LT器件的晶圆级制造，所制备的跑道型MRR在未还原/还原晶圆上本征线宽最小达到26.8 MHz/42 MHz，分别对应5.6 dB/m和8.8 dB/m的波导损耗［10］。2025年，ZHANG Junyin等使用同种工艺获得了FSR为29.6 GHz、本征Q达到7×106的跑道型MRR［82］。同年，HE Jianfeng等采用SiO2作为硬掩模，在干法刻蚀后进行高温退火，表面粗糙度低至0.481 nm，在X切LT上获得了半径100 μm、本征Q高达2.33×107的MRR［83］。
2.3　波导结构设计
尽管某些特殊制造工艺在降低波导损耗方面表现突出，但它们普遍属于非标准CMOS工艺，存在设备成本高、工艺复杂度大、难以支持大规模量产等限制。随着代工厂的多项目晶圆（Multi-Project Wafer，MPW）服务的快速发展与日益完善，研究人员已普遍将其作为原型验证与器件开发的主流平台。因此，在给定的工艺约束下，通过优化波导结构以实现更高Q值、更小尺寸的MRR成为近几年的研究热点。
过去为避免模间串扰和模式干涉问题，往往严格采用单模波导设计光子器件，以确保基模的高效传输。相比于条波导，脊波导对光场的横向限制更弱、模场面积更大且光场与粗糙侧壁的重叠积分更小，在直波导中传输损耗更低，但在弯曲情况下光场更容易发生泄漏，需要更大的弯曲半径以降低辐射损耗［39］，不利于高密度光子集成。LEE K K等基于散射损耗理论模型研究了条波导宽度与散射损耗之间的关系，随着波导宽度增大，光场的横向约束增强，与粗糙侧壁的相互作用减弱，侧壁散射损耗减小［90］。但展宽波导能支持多个模式的传输，在小弯曲半径下容易激发高阶模，需要更大的弯曲半径保证单模传输。SPECTOR S J等提出了一种混合单模/多模SOI条波导结构，采用多模直波导以降低传输损耗，结合单模弯曲波导以抑制模间串扰，并引入绝热锥波导实现二者之间的高效模式转换，经湿法氧化平滑后测得单模波导损耗为2.9 dB/cm、多模波导损耗为0.18 dB/cm、混合结构的损耗为0.32 dB/cm［91］。这种结构多被用于高Q值跑道型MRR的设计［44］，利用宽波导的低损耗特性，通过增加宽波导的长度以分摊锥波导和弯曲波导的损耗，从而降低波导平均损耗、提高MRR的Q值，但过大的环长会导致FSR变小。将直波导部分改为损耗更低的多模脊波导，GUILLÉNTORRES M Á等实现了环长37 mm、负载Q为3.6×106的硅基MRR［42］。GRILLOT F等研究了SOI方形条波导尺寸对波导损耗的影响［92］，当波导尺寸从550×550 nm2减小到260×260 nm2时，传输损耗增加，而当尺寸进一步减小时传输损耗反而减少，这主要是由于超小截面波导的光场更多地扩展到包层中，从而降低了与粗糙侧壁的重叠积分。同样地，基于高深宽比结构的超薄Si₃N₄波导可以实现超高Q值MRR［59-60］，然而其毫米级弯曲半径也限制了集成度的进一步提升。
波导弯曲是MRR的重要组成部分，开发低损耗、小半径的波导弯曲对于实现大FSR、高Q值MRR有重要意义。MARCATILI E A J系统分析了矩形截面弯曲波导的光传输特性与损耗机制，并指出弯曲辐射损耗和模式失配损耗是除侧壁散射损耗之外的主要损耗来源［93］。弯曲波导中的模场受离心效应影响而向外侧偏移，且曲率半径越小，模场泄漏越严重，与直波导的模场存在位置失配。传统方法通过将直波导与弯曲波导在连接处进行横向偏置（Lateral Offset）［94］，以改善二者之间的模场重叠，但纳米级的偏移量要求对准精度极高，工艺容差变差，且波导结构的不连续可能会引入额外的散射损耗。此外，通过在弯曲波导外侧引入空气沟槽（Groove Etched）［95］，可以提高横向折射率对比度，抑制光场向外扩散，但增加了工艺复杂性，且空气槽的位置和尺寸需要针对特定的弯曲半径单独优化，缺乏通用性。MELLONI A等提出一种匹配弯曲（Matched Bend）设计，通过将弯曲波导长度设计为模式拍长的整数倍，使基模与一阶高阶模在弯曲末端实现干涉相长，从而将光场完全重构为直波导的基模［96］。YUAN Wangqing等对该方法提出了普适的缩放规则，使匹配弯曲从离散的优化点变为可系统缩放的设计方法［97］。之后YU Hongyan等将该方法应用于常规多模弯曲波导，得到2 μm宽的Si波导和Si₃N₄波导的匹配弯曲半径分别为14.5 μm和19 μm［98］。然而匹配弯曲的优化点具有波长相关性，难以实现宽带应用。
相比于匹配弯曲，渐变波导截面或渐变波导曲率［99］可以处处实现模式的绝热传输，成为当下最受欢迎的低损耗、小型化弯曲波导设计方法。其中，宽度渐变结构可增强光场限制能力，而曲率渐变结构可实现直波导与弯曲波导之间的平滑过渡。NIJEM J等采用两个不同心的圆形构建宽度渐变的微环，实现了FSR为2 nm、本征Q为2×106的硅基MRR［49］。对于跑道型MRR而言，直波导与传统圆弧波导的连接处曲率不连续，导致因模式失配而产生的辐射损耗。SHEEHAN R N等提出了连续曲率变化的设计方法［100］，通过使曲率沿波导路径连续缓慢变化，实现光场的平滑过渡，从而减少模式失配和过渡损耗。根据曲率随路径长度的变化关系，通过欧拉自然方程生成连续曲率波导的路径，研究对比了横向偏置、恒定曲率、线性曲率、梯形曲率和非线性曲率变化下弯曲波导的损耗特性，发现非线性曲率波导在有效弯曲半径小于300 μm时损耗显著低于其他设计。常见的绝热弯曲包括欧拉弯曲（Euler Bend）［101-102］、贝塞尔弯曲（Bezier Bend）［103-104］、正弦/余弦弯曲（Sine/Cosine Bend）［105-106］、三次样条曲线（Cubic Spline）［107-108］等，结合圆弧与绝热弯曲的混合弯曲［108-110］也得到了广泛研究并表现出更佳的性能，图4给出了常见的波导弯曲结构示意图。BAHADORI M等将弯曲波导损耗建模为局部曲率半径的函数，通过变分法最小化总损耗，得到“最优弯曲”的曲率变化规律，所设计5 μm半径的90°“最优弯曲”相比于90°圆弧弯曲的仿真损耗降低85%［111］。SONG J H等通过同时改变波导宽度和弯曲半径，使用参数化方法定义“先进弯曲”的形状，在2 μm半径的Si弯曲波导中实现了0.012 dB/90°的弯曲损耗［112］。为抑制多模弯曲波导中的高阶模激发，PATHAK S等将数字信号处理中的窗口函数概念引入波导曲率设计，通过降低曲率函数傅里叶变换的旁瓣水平，直接减少模式耦合［113］。该研究提出了正弦幂次型和Dolph-Chebyshev窗两种曲率函数，通过更平滑的曲率过渡实现更强的旁瓣抑制，而欧拉弯曲虽曲率连续但导数不连续，抑制效果有限。除了曲率优化方法，基于逆向设计（Inverse Design，ID）［114］和变换光学（Transformation Optics，TO）［115］也能实现低损耗、低串扰、小尺寸的波导弯曲。SUN Chunlei等在直波导和弯曲波导之间引入一对模式转换器，通过粒子群算法优化其几何参数，实现了半径仅为5 μm、插入损耗低于0.2 dB、串扰低于-22 dB的紧凑型绝热双模弯曲波导［116］。LI Shuyi等通过共形变换将物理空间中的弯曲波导映射到虚拟空间中的直波导，并在虚拟空间中优化波导边界形状，以最大化传输效率并抑制模间串扰，最后将其映射回物理空间得到最终的绝热多模弯曲波导，有效弯曲半径为17 μm，支持四种模式且损耗均低于0.5 dB、串扰均低于-17 dB［117］。
基于上述绝热弯曲波导，可以获得更高Q值、更小尺寸的高性能MRR，典型高Q值MRR的结构如图5所示。其中，欧拉弯曲应用最为广泛。2020年，ONURAL D等采用500 nm宽的欧拉弯曲和2 μm宽的直波导设计了硅基跑道型MRR，获得的FSR为14.5 GHz、本征Q为3.6×106［44］。同年，ZHANG Long等采用修正欧拉弯曲［119］设计了1.6 μm宽的硅基跑道型MRR，最小弯曲半径仅为15 μm，FSR为0.9 nm、本征Q为2.3×106［45］。2022年，BAI Mou等使用450 nm宽的贝塞尔弯曲和1.6 μm宽的直波导构建了环长17.3 mm、负载Q为1.54×106的硅基MRR［120］。同年，COHEN L M等基于1 μm宽的欧拉弯曲和2 μm宽的直波导，实现了FSR为115 GHz、本征Q为5.3×106的硅基跑道型MRR［46］。此外，ZHANG Long等进一步优化欧拉弯曲设计，将最小弯曲半径取为60 μm，在3 μm宽的硅基跑道型MRR上获得的FSR为0.325 nm、本征Q高达1.02×106［47］。在Si₃N₄平台上，JI Xinru等基于欧拉弯曲实现了FSR为19.8 GHz、本征Q高达1.3×107的跑道型MRR［69］。2023年，CUI Shuai等采用3 μm宽的多模波导结合欧拉弯曲设计，最小弯曲半径仅为100 μm，在标准MPW工艺下实现了FSR为65 GHz、本征Q高达1.08×107的Si₃N₄跑道型MRR［70］。同年，WEI Chuangchuang等采用类似方法，基于5 μm宽的多模波导在X切LNOI上实现了FSR为56 GHz、本征Q为6×106的跑道型MRR［84］。2024年，CUI Shuai等采用1.5 μm宽的欧拉弯曲和7 μm宽的直波导设计了Si₃N₄跑道型MRR，最小弯曲半径为130 μm，获得的FSR为40 GHz、本征Q为6.8×106［72］。同年，TAO Zihan等基于部分欧拉弯曲设计，在SOI平台上同时实现了具有115 GHz超大FSR和0.96×107超高本征Q的硅基跑道型MRR，有效弯曲半径仅为18.2 μm［50］。2025年，CUI Shuai等基于变换光学设计了短波导模斑转换器，以确保基模在直波导与弯曲波导之间的绝热传输，实现了有效弯曲半径仅为10 μm的超紧凑弯曲波导，并结合2 μm宽的多模波导获得了FSR为26 GHz、本征Q高达1.13×107的硅基跑道型MRR［51］。
3　高Q微环的微波光子应用
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3.1　微波光子滤波器
微波滤波器是射频系统的核心组件，用于从噪声背景中提取目标信号并抑制干扰信号。传统电子滤波器难以实现快速宽带调谐，而微波光子滤波器（MPF）通过将信号从微波域上变频到光域，能够实现大带宽、可调谐和可重构的微波信号处理。MPF的基本系统架构如图6所示，激光器产生连续光，通过电光调制器将输入射频信号调制到光载波上，基于光域处理元件对调制信号进行滤波、延时或频谱整形等操作，由光电探测器接收并输出处理后的射频信号。通过调谐激光器波长或光学滤波器谐振波长，可实现MPF中心频率的连续调谐。得益于MRR的小尺寸、窄带宽及灵活调谐特性，基于MRR的MPF得到了广泛关注和深入研究，表5总结了近年来基于MRR的MPF的发展现状。
2009年，RASRAS M S等首次演示了基于低损耗硅基MRR的带陷MPF，采用马赫曾德尔干涉仪（Mach-Zehnder Interferometer，MZI）辅助级联微环结构，通过调节干涉臂和微环的相移，使两个谐振频率分别对准强度调制的两个边带，在2~15 GHz的频率调谐范围内，实现了平均滤波带宽为910 MHz、抑制比大于30 dB的滤波响应［121］。2010年，PALACI J等提出了一种基于硅基全通型MRR的带通MPF，通过相位调制产生相位相反的两个边带，并利用MRR滤除其中一个边带，剩余边带与载波在探测器中拍频即可恢复出射频信号［139］。2013年，DONG Jianji等通过级联两个不同FSR的硅基MMR，将激光器波长置于某两个双峰间隔的中间，在强度调制下无需对微环进行调谐即可得到带陷响应，且在固定双峰间隔内，激光器波长的略微偏移可以在保持中心频率不变的情况下改变滤波带宽［122］。该工作实现了频率调谐范围为2.5~17.5 GHz、滤波带宽为6~9.5 GHz的带陷MPF，最佳抑制比超过40 dB。2016年，LIU Li等通过级联三个不同FSR的硅基MRR并仅调谐中间的MRR，获得了光学双通带响应，分别用于提取相位调制的载波和一个边带，实现了中心频率和滤波带宽可独立、连续调谐的带通MPF，频率调谐范围为19~40 GHz、带宽调谐范围为5.5~17.5 GHz［123］。同年，CHEW S X等采用上传下载型级联双环结构构建弱EIT-like硅基陷波滤波器，与全通型结构相比，滤波带宽实现了50倍以上的提升，与耦合谐振器光波导（Coupled Resonator Optical Waveguide，CROW）相比，抑制比高约11 dB且滚降斜率提升近两倍［140］。该结构在17~35 GHz的宽射频范围内实现了超过29 dB的边带抑制比，为宽带、高抑制比光学单边带调制提供了新的解决方案。通过对MRR结构和滤波器系统进行优化，可进一步提升MPF的综合性能，如窄带宽、宽调谐范围、高抑制比、优形状因子等。
基于更高Q值、更大FSR的MRR能够实现超窄带、宽调谐范围的MPF。2015年，BURLA M等采用3 μm宽多模波导设计了FSR约20 GHz、负载Q为1.32×106的硅基跑道型MRR，并演示了频率调谐范围为0.97~8.34 GHz、滤波带宽为150 MHz的带陷MPF，带内抑制最高可达60 dB［41］。2018年，QIU Huaqing等采用混合单模/多模脊波导结构设计了FSR约40 GHz、本征Q为2.36×106的硅基跑道型MRR，并实现了频率调谐范围为2~18.4 GHz、滤波带宽为170 MHz的带通MPF，带外抑制最高为26.5 dB［124］。2022年，ZHANG Long等基于本征Q值高达1.02×107的硅基跑道型MRR，首次在SOI平台上同时实现了带宽窄至20.6 MHz和频率调谐范围高达20 GHz的带通MPF［47］。类似地，WEI Chuangchuang等在LNOI平台上演示了中心频率在2~26.5 GHz范围内可调、滤波带宽窄至47.5 MHz的带通MPF［84］。2024年，TAO Zihan等基于超大FSR、超高本征Q的硅基跑道型MRR，实现了频率调谐范围宽至57.5 GHz、滤波带宽窄至32 MHz的带通MPF［50］，如图7所示。此外，SONG Shijie等通过级联两个非对称硅基MRR实现了光学双陷波响应，并在反方向上移动两个陷波的中心频率，基于相位调制实现了中心频率在6~17 GHz范围内可调谐的带通MPF［141］。其滤波带宽由两个陷波的带宽差决定，约1.65 GHz，带外抑制比约为20 dB。该设计降低了对单个滤波器极窄带宽的要求。
通过射频干涉相消的方法能够实现超高抑制比的MPF。2013年，MARPAUNG D等基于双并行马赫曾德尔调制器（DP-MZM）产生幅度和相位可调的双边带信号，结合更低损耗氮化硅MRR的响应，使两个边带在谐振频率处达到幅度相等且相位相反的状态，如图8（b）所示，在2~8 GHz的频率调谐范围内实现了抑制比大于55 dB、滤波带宽在247~840 MHz范围内可调的带陷MPF［125］。该方法克服了传统单边带调制方案中抑制比与滤波带宽之间的固有权衡，如图8（a）所示，在不牺牲抑制比的情况下实现了滤波带宽的灵活调谐。2016年，LIU Yang等通过过耦合氮化硅MRR在双边带强度调制后的一个边带上引入π相移，结合受激布里渊散射（Stimulated Brillouin Scattering，SBS）增益补偿幅度响应，并进一步锐化相位过渡，在谐振频率处实现选择性干涉相消，如图8（c）所示，获得了频率调谐范围为1~11 GHz、滤波带宽窄至60 MHz、抑制比大于55 dB的带陷MPF［126］。此外，通过调整SBS的泵浦配置，实现了滤波带宽在100~220 MHz内连续可调、抑制比大于23 dB、形状因子接近1的带阻MPF。该方案避免了光学边带滤波或DP-MZM的复杂配置，且射频插入损耗显著优于以往报道的MPF。2018年，LIU Xiaolong等通过结合欠耦合MRR和两个级联的MZI构建带陷MPF，如图8（d）所示，首次在SOI平台上同时实现了大于60 dB的超高抑制比和780 MHz的窄带宽，且中心频率可在4.03~36.94 GHz范围内连续调谐［127］。2019年，LI Jing等采用双载波相位调制以补偿MRR引入的残余相位，实现了中心频率在2~14 GHz范围内可调、滤波带宽在0.673~2.798 GHz范围内可重构的带通MPF［142］。与单载波方法相比，该工作将带外抑制比从17.7 dB提升至31.5 dB、将形状因子从3.05改善至1.78。2021年，XU Lu等通过损耗自补偿方法，结合MZI辅助的上传下载型MRR结构，实现了振幅响应平坦、相位变化达1.8π的真正的全通滤波器，并基于此演示了中心频率在0~40 GHz范围内可调、抑制比超过50 dB的带陷MPF［128］。
为动态适应不同的信号场景，如快速切换滤波频率、带宽和响应形状以区分目标信号和干扰信号，需要MPF具有高度可重构能力。一般有两种设计思路：一种是设计可重构的光学滤波器，利用可调谐器件动态配置光信号的路径、幅度和相位，进而改变映射到电域的滤波波形，如图9（a）所示；另一种是采用可重构的信号调制方式，进而改变还原到电域的滤波波形，如图9（b）所示。2016年，ZHUANG Leimeng等提出一种硅基级联三环滤波结构，第一个环的周长是后两个环的两倍，其中第一个过耦合MRR作为调制变换器，通过向一个调制边带引入π相移，从而在相同相位和互补相位两种类型的双边带载波频谱之间切换，另外两个环作为边带频谱处理器，实现中心频率和滤波带宽的调谐，所获得的带通MPF抑制比大于20 dB、带阻MPF抑制比大于40 dB，中心频率在2.75~10.25 GHz范围内连续可调［143］。2019年，YANG Huimin等基于相位调制方案，采用双环加载MZI结构实现了阻带和通带可切换的MPF，并同时具有中心频率调谐和滤波带宽重构能力［144］。同年，XU Lu等基于十阶CROW实现了平坦的光学带通滤波器，在相位调制下通过调谐载波与滤波器中心频率的相对位置，获得了滤波带宽可在5.3~19.5 GHz范围内连续调谐的带通MPF，通带纹波小于1.8 dB且抑制比在30 dB以上［129］。2020年，YANG Huimin等基于双驱马赫曾德尔调制器（DD-MZM）进行平衡或非平衡双边带调制，结合高Q值氮化硅MRR实现了带通MPF和带阻MPF的切换，频率调谐范围为2~18 GHz［145］。其中带通响应的带宽为180 MHz、抑制比为27 dB，带阻响应的带宽为120 MHz、抑制比最高达58 dB，且利用多模MRR的不同谐振模式，可实现双带通/双带阻滤波响应。同年，LI Simin等基于相位调制器和硅基MRR构建MPF，仅通过调节一个偏振控制器即可实现带通滤波和带阻滤波的切换，在9.6~20.5 GHz的频率调谐范围内，带阻抑制比超过30 dB，带通抑制比超过15 dB［146］。此外，PAN Shilong等提出一种反射型MRR，该结构通过在传统上传下载型MRR的下载端口连接一个反射器，使光信号能够在环腔中沿相反方向传播，从而在环内同时产生带通和带阻响应，通过合理控制这两种响应的强度，在单边带调制下获得了滤波带宽可调的平顶带通MPF［147］。该结构相比于CROW结构［129］降低了系统的复杂度和功耗，但带外抑制较弱。2022年，LIU Yifan等设计了一种具有MZI型可调耦合区的四阶CROW结构，在相位调制下实现了频率调谐范围为5.2~35.8 GHz、滤波带宽在0.7~2 GHz内可重构的带通MPF，抑制比大于40 dB［130］。2023年，LIU Li等基于具有MZI型可调耦合区的硅基上传下载型MRR，通过协同调节光学带通滤波器的衰减量和MRR的消光比，对相位调制的双边带分别进行同等程度抑制，首次在SOI平台上实现了滤波带宽可在0.178~22.7 GHz的超宽范围内连续调谐且抑制比超过75 dB的带陷MPF［131］。
现有的芯片级MPF虽在滤波功能上具有优势，但其链路性能远低于实际射频系统要求，通常存在大于20 dB的射频插入损耗、大于30 dB的噪声系数（Noise Figure，NF）以及低于80 dB•Hz2/3的无杂散动态范围（Spurious-Free Dynamic Range，SFDR）。若要在微波系统中完全代替传统的电滤波器，必须优化片上MPF的射频性能。2016年，SAVCHENKOV A等基于高Q值氟化钙回音壁微腔演示了一种中心频率和滤波带宽均可独立、快速、大范围调谐的带通MPF，中心频率可在1 μs内从30 MHz切换到3 GHz，带宽从100 kHz调至100 MHz只需不到10 μs［148］。该链路的射频插入损耗为23 dB，NF为34 dB，SFDR达到110 dB•Hz2/3。2017年，LIU Yang等通过级联两个分别工作于过耦合和欠耦合状态的氮化硅MRR，对强度调制的上下边带进行不对称处理，如图10（a）所示，在0~12 GHz的频率调谐范围内实现了带宽为150~350 MHz、抑制比大于50 dB的带陷MPF［132］。此外，通过引入两级光放大并结合低偏置调制技术，该系统的整体射频性能得到了极大提升，射频增益为+8 dB、NF低至15.6 dB、SFDR达到116 dB•Hz2/3。2022年，DAULAY O等演示了一种基于多功能调制变换器和双注入MRR的可编程氮化硅MPF，如图10（b）所示，通过在非平衡MZI上加载三个微环，可以独立操控光载波和各阶边带的幅度和相位，实现调制格式的灵活转换，并利用双注入MRR合成各种滤波响应，如带陷、带通、Fano和全通响应，滤波带宽可达400 MHz［133］。其中，该结构在相位调制配置下实现了对三阶互调失真的抑制，获得了抑制比为55 dB、SFDR高达123 dB•Hz4/5的带陷MPF。2025年，XIE Yiwei等基于LNOI平台设计了高速大带宽的相位调制器和高Q值大FSR的MZI耦合MRR，如图10（c）所示，实现了中心频率在2~62 GHz范围内可调、带宽在0.7~3 GHz内可调、抑制比达21~25 dB的带通MPF，SFDR达到101.16 dB•Hz2/3［134］。
以上介绍的MPF，仅无源的光学滤波器部分实现了片上集成，而系统中的激光器、调制器和探测器仍采用分立器件，系统体积较大、复杂度较高。2017年，FANDIÑO J S等在磷化铟（InP）平台上实现了首个单片全集成的MPF，基于片上DD-MZM产生单边带调制，并将MZI辅助级联微环设计为四阶切比雪夫Ⅱ型带通滤波器，获得了频率调谐范围为0~4 GHz、滤波带宽为2.5~5.5 GHz的带通MPF，SFDR最高达81.4 dB•Hz2/3［135］。但InP波导损耗较大，其滤波分辨率受到一定限制。2018年，ZHANG Weifeng首次在SOI平台上实现了单片集成的带通MPF，集成了相位调制器、高Q值微盘谐振器和探测器，该MPF在3~10 GHz的频率调谐范围内带宽保持在2 GHz左右［151］。2021年，TAO Yuansheng等通过混合集成InP激光器与单片硅光电路，包括DD-MZM、高Q值MRR和探测器，如图11（a）所示，首次实现了兼具高性能和响应可切换的全集成MPF，SFDR达到99.7 dB•Hz2/3［136］。其中，带阻/带通滤波的频率调谐范围为3~25 GHz/3~21 GHz、带宽稳定在380~450 MHz/360~470 MHz且抑制比大于40 dB/10 dB。2023年，TAO Zihan等将相位调制器、宽阻带滤波器、带宽可调谐MRR和探测器在SOI平台上实现单片集成［149］，如图11（b）所示，无需其他辅助器件且没有偏置漂移问题。通过灵活抑制或保留相位调制产生的边带，以及精细调谐MRR的谐振频率和耦合状态，实现了通带/阻带可切换、带宽和抑制比高度可重构的可调谐MPF，SFDR达到92 dB•Hz2/3。此外，YAN Hao等首次提出并采用级联U型弯曲MZI耦合MRR作为滤波元件，并与DD-MZM以及探测器在硅光芯片上单片集成，实现了频率调谐范围达40 GHz、带宽在0.15~3 GHz内可重构且抑制比可达20~35 dB的MPF［137］。随着可编程光子器件的快速发展，大量多功能、可重构的微波光子系统在片上得以演示。2025年，DENG Hong等通过异质集成可调谐InP激光器和全功能硅光电路，首次实现了全黑盒微波光子处理引擎［150］，如图11（c）所示。其中滤波模块使用了级联双环加载的MZI结构，基于双边带调制方案，实现了单/双通带、带阻、低通、高通及四通带等多种可调MPF，但该系统射频性能较差。与此同时，WEI Chuangchuang等基于LNOI平台集成了强度调制器和四个级联的MZI耦合MRR［138］，如图11（d）所示。所演示的带陷MPF能在1.5~21.5 GHz频率范围内连续调谐，滤波带宽为1.3 GHz，抑制比高达80 dB，最大链路增益为-7 dB。且通过合理配置系统，可在不影响抑制比的情况下将SFDR从101 dB•Hz2/3提升到110 dB•Hz2/3。
基于高Q值MRR的MPF在实现窄带宽、宽范围连续调谐和滤波响应可重构方面展现出显著优势，已形成包括单环、级联多环及环辅助MZI在内的多种技术路线，可满足不同微波信号处理场景的需求。相关研究重点也逐渐从基于单个片上滤波单元的基础功能演示转向全片上集成MPF的紧凑系统开发，随着滤波功能逐渐成熟，其在实际射频系统应用中面临的主要挑战正从“如何实现高质量滤波”转向“如何获得可用的射频链路性能”。当前芯片级MPF普遍存在射频插入损耗大、噪声系数高以及无杂散动态范围受限等问题，其综合射频性能与成熟电子滤波器之间仍存在显著差距。未来提升片上MPF射频性能的核心在于系统级协同优化：一方面，通过引入高电光效率调制器、高响应度与高线性度探测器以及超低损耗光波导，降低光电转换损耗并抑制本征噪声；另一方面，结合平衡调制与探测、射频干涉抑制及低噪声放大等系统架构设计，提高链路增益与无杂散动态范围。在此基础上，借助异质或混合集成实现多材料平台优势互补，并引入偏置稳定、温控补偿及算法辅助的噪声抑制与线性化技术，有望在保持器件高度集成的同时，逐步缩小片上MPF与高性能电子滤波器之间的射频性能差距，为其在实际微波系统中的应用提供支撑。
3.2　光电振荡器
光电振荡器（OEO）是一种能够产生低相位噪声微波信号的关键技术，相比传统微波振荡器，OEO通过结合光学和电子反馈环路，克服了高频信号生成中的相位噪声和频谱纯度限制。OEO的基本系统架构如图12所示，激光器产生的连续光经电光调制器调制后，通过高Q值的光学储能元件（如长光纤延迟线或光学谐振腔）延迟，再由光电探测器转换为电信号。该电信号经过放大和滤波后，反馈回调制器，形成一个闭合振荡环路。当环路增益大于损耗且满足相位条件时，系统将从噪声中建立起微波振荡。
1996年，YAO X S和MALEKI L首次提出并演示了基于光纤延迟线的OEO，并建立了准线性理论模型来分析OEO的动力学和噪声特性［152］。其振荡频率和模式间隔由环路总延迟决定，由于1 km长的光纤会产生约200 kHz的模式间隔，要在10 GHz或更高频率实现单模振荡，必须使用带宽极窄的射频滤波器从众多纵模中选出单一振荡模式，而这种滤波器成本高昂、难以实现且会限制OEO的调谐能力。为解决长延迟线引发的单模起振困难问题，该团队在1997年和2000年分别提出了耦合式OEO［153］和双环路/多环路OEO［154］，允许使用带宽相对较宽的滤波器实现高纯度单模输出。此外，也可以基于高精细度FP标准具［155］或高Q值WGM谐振器［156］在光域进行模式选择，通过调节激光器波长或压控微腔谐振频率可以实现OEO的大范围快速连续调谐。这种方法避免了射频滤波器的使用，且从根本上解决了OEO的多模振荡问题。2008年，ELIYAHU D等全面分析了微波光子链路与OEO的关键噪声机制，指出激光器的相对强度噪声（Relative Intensity Noise，RIN）和探测器的非线性是系统性能退化的主要原因［157］。通过使用高Q值光学谐振器代替传统OEO中的长光纤，将储能和选模功能合二为一，可使系统结构更加紧凑且环境稳定性更高。结合相位调制技术，构建类似于带通MPF的窄带滤波响应，VOLYANSKIY K等基于二氧化硅晶体腔生成了10.7 GHz的微波信号，其相位噪声为-90 dBc/Hz @ 10 kHz［158］。
早期的OEO几乎全部由分立、庞大的光学和电子器件组成。随着对小型化和轻量化微波源的需求日益增长，OEO逐渐向片上集成方向发展，表6总结了近年来片上集成OEO的发展现状。2018年，TANG Jian等基于InP平台演示了首个单片全集成的OEO［159］，如图13（a）所示。其中光路部分包括直接调制激光器、螺旋波导延迟线和探测器，电路部分包括电带通滤波器（Electrical Bandpass Filter，EBF）、可调衰减器、电放大器和功分器，整体封装尺寸仅为5×6 cm2。通过调节激光器注入电流可实现微波信号的频率调谐，产生了7.3 GHz和8.87 GHz的微波信号，相位噪声分别为-91 dBc/Hz @ 1 MHz和-92 dBc/Hz @ 1 MHz。其性能主要受限于片上延迟线的长度，且直调激光器的RIN和频率噪声较高。高Q值MRR可在小尺寸上实现极高的能量存储能力，并提供与长光纤相当的延迟。较大的FSR使其能够有效滤除不需要的边模，提高边模抑制比（Side‑Mode Suppression Ratio，SMSR），实现纯净的单模振荡。同年，ZHANG Weifeng等基于SOI片上部分集成的MPF演示了频率调谐范围为3~7.4 GHz、相位噪声为-80 dBc/Hz @ 10 kHz的OEO，SMSR达到67 dB［163］。2023年，CUI Tian等基于氮化硅高Q值MRR实现了中心频率在8-38 GHz范围内可调谐的带通MPF，所构建的OEO频率范围为14.60~25.65 GHz，且在25.65 GHz振荡频率下相位噪声为-88 dBc/Hz @ 10 kHz，SMSR为49.47 dB［164］。为进一步提升系统集成度和信号质量，ZHANG Guojie等通过混合集成实现了DFB激光器、硅光芯片和电芯片的紧凑封装［160］，如图13（c）所示。采用片外光纤环作为延迟储能元件，在10 GHz振荡频率下，500 m和2 km光纤环对应的相位噪声分别达到-115.83 dBc/Hz @ 10 kHz和-128.04 dBc/Hz @ 10 kHz，SMSR高达70 dB。通过调节YIG滤波器，实现了3~18 GHz的宽带频率调谐。2024年，TAO Zihan等基于超大FSR、超高Q值的硅基MRR，首次演示了频率调谐范围高达50 GHz、边模抑制比达38 dB的OEO，在12 GHz振荡频率下，相位噪声低至-105 dBc/Hz @ 10 kHz［50］。得益于LNOI平台的高电光系数、宽带宽、低啁啾和低温度敏感性，MA Rui等在该平台上集成了高性能调制器与高Q值MRR，并演示了两种不同原理的OEO［161］，如图13（b）所示。一种是基于强度调制和上传下载型MRR的定频OEO，在30 GHz振荡频率处抑制比为50 dB、相位噪声达到-102 dBc/Hz @ 10 kHz，这是目前所有不使用长光纤的集成OEO中报道的最低值。另一种是基于相位调制和全通型MRR的宽频率调谐范围OEO，覆盖20~35 GHz，相位噪声稳定在-87 dBc/Hz @ 10 kHz，SMSR约49 dB。2025年，HAN Zhen等基于片上集成的相位调制器和MRR，首次在LNOI平台上实现了超宽带可调谐傅里叶域锁模OEO［162］，如图13（d）所示。其频率调谐范围为3~42.5 GHz，相位噪声稳定在-93 dBc/Hz @ 10 kHz，通过改变MRR加热器的驱动电压波形，成功生成了多种毫米波段信号。
基于宇称时间（Parity-Time，PT）对称破缺原理，无需超窄带光学或微波滤波器，即可实现稳定的单模振荡，克服了低相位噪声与宽调谐范围的矛盾。2018年，ZHANG Jiejun等首次将PT对称破缺原理应用于OEO［165］，如图14（a）所示。通过构建两个完全相同的反馈环路，其中一个为微波信号提供增益，另一个提供等量的损耗，通过调节两环路间的耦合，可以打破PT对称性，使得某个特定纵模获得远高于其他模式的净增益。该研究在9.166 km环长的OEO中实现了低至-142.5 dBc/Hz @ 10 kHz的相位噪声，SMSR为26.4 dB。2020年，FAN Zhiqiang等利用微盘谐振器的传输互易性，构建了两个具有完全相同几何结构且相互耦合的光电反馈环路［166］，如图14（b）所示。通过调节偏振控制器即可控制环路的增益与损耗，通过调谐微盘谐振器的中心频率，实现了OEO振荡频率在2~12 GHz范围内的连续调谐。在11.5 GHz振荡频率下，74.39 m的环长对应的相位噪声为-102 dBc/Hz @ 10 kHz。2023年，WANG Lin等首次在SOI平台上实现了集成的可调谐PT对称OEO［167］，如图14（c）所示。由MZI和两个等长波导构成PT对称模式选择架构，通过调节MZI臂的相位差来控制两个相互耦合光电反馈环路的增益和损耗，并使用基于高Q值MRR的可调谐MPF进行粗模式选择和频率调谐。该OEO的振荡频率可在0~20 GHz范围内连续调谐，SMSR达到45 dB，在4.97 GHz和13.67 GHz振荡频率下，10 kHz频偏处的相位噪声分别为-83.42 dBc/Hz和-80.96 dBc/Hz。
基于片上高Q值MRR的带通MPF具有窄带宽、宽调谐范围、紧凑尺寸等特点，成为片上集成可调谐OEO的首要选择。但MRR对环境扰动高度敏感，导致OEO的振荡频率严重漂移，稳定性变差，阻碍了其从实验室走向实际应用。目前最主流、最有效的方法是将自由运行的OEO锁定到一个极其稳定的参考源上，如锁相环、注入锁定、自注入锁定等，但大多锁定范围有限，无法同时实现宽频率调谐和高频率稳定。PAN Zhao等提出一种结合高Q值氮化硅MRR与频偏校正电路的主动稳定方案［168］，通过主动监测OEO的输出频率并将其与一个高稳定参考信号进行比较，基于误差信号生成一个控制电压反馈给MRR的加热器，从而实现其谐振波长的动态调整，进而稳定OEO的振荡频率，锁定范围高达200 MHz。在10 GHz振荡频率下，该电路将OEO一小时内的频率漂移从586.9 MHz大幅降低至不超过40 kHz，艾伦方差在1 000 s的平均时间内从1.02×10-2显著改善至5.35×10-12，低频处的相位噪声也得到有效抑制，达到-98 dBc/Hz。基于该方法，CUI Shuai等基于超高Q硅基MRR演示了频率调谐范围为0.8~12.4 GHz、SMSR为37 dB的OEO，相位噪声稳定在-93 dBc/Hz @ 10 kHz，且4 min内微环谐振波长漂移从1.3 pm降低至0.012 8 pm［51］。
OEO的核心性能受限于延迟储能能力、模式选择机制及频率稳定性，其长期发展路径始终围绕低相位噪声、宽频率调谐与小型化三者之间的权衡展开。传统基于长光纤延迟线的OEO在相位噪声方面具有天然优势，但系统体积庞大、集成度低，难以满足新一代微波系统对小型化和集成化的需求。近年来片上集成OEO在频率调谐范围、边模抑制比和系统紧凑性方面取得了重要进展，但片上有效延迟受限，加上有源器件引入额外噪声，相位噪声整体仍显著高于基于长光纤的分立系统，尤其在中低频偏处表现突出。此外，基于高Q值MRR的片上集成OEO对温度和环境扰动高度敏感，振荡频率易发生漂移，长期稳定性与重复性仍不足。为推动片上集成OEO从实验室演示走向实际应用，可通过慢光结构、多腔耦合及新型等效延迟增强结构等，在不显著增加芯片尺寸的前提下进一步提升振荡环路的有效Q值，并结合稳健的模式选择机制如PT对称破缺，避免在振荡中产生模式竞争与相位抖动。结合主动稳定机制和异质集成低噪声有源器件，其有望在保持紧凑结构和宽调谐能力的同时，逐步突破相位噪声和频率稳定性的性能瓶颈。
4　结论
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本文从原理分析、器件设计与系统应用三个层面，详细介绍了高Q值MRR的研究现状及其在微波光子系统中的应用进展，并提出了优化器件与系统性能的指导方向。波导损耗是制约集成光子器件性能的关键因素，通过改进制造工艺与优化波导结构可以显著降低传输损耗。在此基础上，当前高Q值MRR的设计主要基于展宽多模波导和绝热弯曲结构设计，已在不同集成材料平台上实现高达107甚至108的Q值。为满足实际应用的集成化、小型化需求，基于MRR的MPF与OEO正逐渐从分立系统架构向单片集成或混合集成方案发展。目前，基于MRR的MPF虽然在窄带宽、宽调谐、高抑制比、可重构等方面表现突出，但其射频链路性能与传统高性能电子滤波器之间仍有明显差距；同时，基于MRR的OEO在相位噪声方面也远不如基于长光纤的系统。这些不足在一定程度上限制了集成MPF和OEO的实用化进程。未来可借助异质集成或混合集成，将高性能InP激光器、薄膜铌酸锂调制器、低损耗氮化硅波导及InP/GeSi探测器有机结合，并通过电路与算法对温度漂移进行实时监测与自适应补偿，构建具有低插入损耗、低噪声系数、高无杂散动态范围的高射频性能集成MPF。在此基础上，可进一步研制更高性能的集成OEO，结合片上稳定技术抑制实时噪声，有望使其相位噪声逼近分立系统的水平。展望未来，基于高Q值MRR的微波光子器件有望在雷达信号处理、5G/6G无线通信、射频信号源等领域实现实用化，并通过可编程架构与自适应控制实现小型化、低功耗及高性能应用，推动微波光子技术在通信、国防、航天及智能传感等前沿领域的广泛应用。

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doi: 10.3788/gzxb20265503.0355101
  • 接收时间：2025-12-12
  • 首发时间：2026-10-10
  • 出版时间：2026-03-25
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  • 收稿日期：2025-12-12
  • 录用日期：2026-01-27
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    1华中科技大学 武汉光电国家研究中心， 武汉 430074
    2华中科技大学 光学与电子信息学院， 武汉 430074
    3中国电科芯片技术研究院， 重庆 400060

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2种不同金属材料的力学参数
科
Family		 属数
Number of
genus		 种数
Number of
species		 占总种数比例
Percentage of
total species (%)		 属
Genus		 种数
Number of
species		 占总种数比例
Percentage of total
species (%)
鹅膏菌科Amanitaceae 2 11 5.26 鹅膏菌属 Amanita 10 4.78
小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
栓菌属 Trametes 5 2.39
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