3.1. Device Design and Simulation
The device is designed to be fabricated on a Silicon-on-Insulator (SOI) platform with a top silicon layer thickness of 220 nm and a buried oxide layer thickness of 2 μm. The waveguide is a single-mode rib waveguide with a height of 220 nm, a width of 450 nm, and slab regions on both sides of 70 nm thickness. Referring to the technology of mainstream silicon photonics SOI platforms, the waveguide’s transmission loss is set to 2 dB/cm. The effective refractive index of the TE-polarized fundamental mode at a 1550 nm wavelength obtained using the finite difference eigenmode method is 2.4769, and the group refractive index is 4.0088. The MRs in the filter are racetrack micro-rings with straight waveguide sections 1.14 μm in length and with radii of 5 μm, 5.5 μm, 6 μm, 6.5 μm, 7 μm, and 7.5 μm, respectively. The coupling gap between the micro-ring and the straight waveguide is 100 nm, as is the coupling gap between micro-rings, ensuring that the resonators are in an over-coupled state with coupling coefficients at a 1550 nm wavelength being around 0.5.
Using the Ansys Lumerical INTERCONNECT simulation platform, we set two operational states for each of the six phase shifters, introducing phase shifts Δ
φ of 0 and
, resulting in a total of 64 sampling states. By considering the 3 output ports of the filters, we ultimately acquire 192 sampling channels from the filters, forming the sampling matrix.
Figure 4a shows the heatmap of the sampling matrix of the designed spectrometer based on the programmable filter.
Figure 4b displays the transmission spectra of the filter under four different phase-change conditions, which are randomly selected. Each row in the heatmap represents the transmission spectrum of a sampling channel. Autocorrelation and cross-correlation function to characterize the filter’s transmission spectra [
21,
26]. The half width at half maximum (HWHM) of the auto-correlation function, denoted as
δλ, is a crucial parameter that quantifies the spectral resolution of the reconstructive spectrometer. It represents the minimum wavelength shift required to reduce the correlation between individual sampling channels by 50%. In other words,
δλ determines the ability of the system to distinguish between neighboring wavelength pixels. The cross-correlation between two distinct sampling channels is a measure of their similarity in the spectral domain. It quantifies the extent to which the spectral responses of the two channels are correlated with each other. In an ideal scenario, the sampling channels should be orthogonal, meaning that they are completely independent. When this condition is satisfied, the cross-correlation between any two distinct sampling channels should be zero at all wavelength points. By assessing the autocorrelation and cross-correlations of the sampling matrix, we can evaluate the effectiveness of our sampling system in providing diverse and complementary spectral information. The calculated autocorrelation and cross-correlation are shown in
Figure 5. The narrow autocorrelation with
δλ = 0.65 nm and low cross-correlation indicates a well-designed sampling matrix contains diverse features with very little cross-correlation signal. The incident light spectrum can be converted into a unique intensity vector after sampling and detection, allowing the subsequent reconstruction algorithm to work effectively.
Utilizing the network architecture described in
Section 2, we have constructed an ANN-based spectral reconstruction model to achieve the transformation from intensity vectors
IM×1 to reconstructed spectra
. We synthesized 15,000 simulated spectral datasets based on a combination of Gaussian and Lorentzian functions and used this synthesized spectral dataset to train the model. Each simulated spectrum was composed of multiple function components, with the number of components randomly ranging from 1 to 10. Each function component was randomly set as either a Gaussian or Lorentzian function with a probability of 0.5. We then randomly set the position, height, and full width at half maximum (FWHM) for each peak. The position of each peak was randomly distributed between 1500 and 1600 nm; the heights were determined using uniformly distributed random numbers in the interval (0, 1); the FWHM is set by randomly selecting a value from a specific interval to serve as the FWHM of the current spectral peak. Finally, all function components are summed to generate the synthesized spectrum. We set three different ranges for the FWHM: (2 nm, 100 nm), (2 nm, 10 nm), and (1 nm, 2 nm). The additional generation of these spectra with smaller FWHMs is intended to enhance the model’s ability to reconstruct narrow peaks (sparse spectra) in the spectrum.
Before training the model, we randomly divided the synthesized spectral data into two parts with a ratio of 4:1, where the training set contained 12,000 samples and the validation set contained 3000 samples. Then, following the same method, we generated an additional 150 simulated spectra to serve as an independent test dataset. During model training, we employed the Adam optimizer with a batch size of 256 and trained for 10,000 epochs. The training was conducted on an NVIDIA GeForce RTX 4070 graphics (NVIDIA, Santa Clara, CA, USA) processing unit. After the training was completed, we chose to save the model that exhibited the lowest loss value on the validation set during the training process as the final spectral reconstruction model.
3.2. Spectral Reconstruction Simulation Results
Combining the simulation results of the designed on-chip spectrometer with the trained ANN model, the reconstruction results for different types of synthetic spectra selected from the test set are shown in
Figure 6a,b. We employ the root mean squared error (
RMSE) and relative error
ε to evaluate the spectral reconstruction results:
where
m is the total number of wavelength points. Across the entire test set, the average RMSE for spectral reconstruction is 0.0051, and the average relative error
ε is 0.0484.
Figure 6a,b illustrates the reconstruction of a spectrum with relatively wide peaks, where the FWHM of each peak is randomly selected from the interval (2 nm, 100 nm) and (2 nm, 10 nm). The reconstructed spectrum closely matches the true spectrum, with an RMSE of 0.0009 and 0.0053 and
ε of 0.0011 and 0.0175, respectively. In
Figure 6c, we demonstrate the reconstruction of a sparse spectrum with several narrow peaks, where the FWHM of each peak is randomly chosen from the interval (1 nm, 2 nm). Despite the presence of sharp and closely spaced peaks, the reconstructed spectrum still accurately captures the key features of the true spectrum, achieving an RMSE of 0.0106 and a relative error
ε of 0.0837. From the figures, it is evident that the peaks in the synthesized spectra are precisely reconstructed. We also performed reconstruction on the measured spectra of an amplified spontaneous emission (ASE) light source, with the results shown in
Figure 6d. The spectral range of the ASE light source is inherently 1500 nm to 1600 nm, originally containing 1001 data points. To facilitate the verification of our chip’s ability to reconstruct measured spectra, we expanded it to 2001 data points through interpolation, assuming a wavelength range of 1450 nm to 1650 nm. The RMSE and the relative errors
ε are 0.0065 and 0.0095, respectively. These results demonstrate that our designed on-chip spectrometer is capable of accurately reconstructing real-world spectra. The low RMSE and relative error values for both the synthesized and measured spectra indicate the robustness and effectiveness of our on-chip spectrometer design and the associated ANN-based reconstruction model. The model’s ability to handle diverse spectral features, including narrow and closely spaced peaks, highlights its potential for practical applications in various fields where accurate spectral reconstruction is crucial.
The ability to resolve closely spaced narrow peaks is crucial for many spectroscopic applications, such as gas sensing, environmental monitoring, and chemical analysis. In these fields, the spectral features of interest often lie in a narrow wavelength range, and the ability to distinguish between adjacent peaks is essential for the accurate identification and quantification of the target analytes. To further demonstrate the spectral resolution of the proposed spectral chip, we simulated the reconstruction of a dual-peak spectrum, where the peaks are separated by 2 nm, and each peak has an FWHM of approximately 1 nm. The reconstruction results are shown in
Figure 7, with an RMSE of 0.0169 and a relative error
ε of 0.1918, providing strong evidence for the high spectral resolution of our proposed on-chip spectrometer. The two narrow peaks spaced at 2 nm are clearly distinguishable in the reconstructed spectrum, indicating that the spectral reconstruction resolution of our designed spectrometer chip can reach 2 nm under a limited number of sampling channels. The clear resolution of the two peaks demonstrates the capability of our design to resolve fine spectral features, which is a key performance metric for advanced spectroscopic devices.
Increasing the number of sampling states of the photonic filter can further reduce the spectral reconstruction error and increase the resolution. We investigate the impact of the filter sampling states on the spectral reconstruction performance by increasing the number of phase shift states of the phase shifters in the programmable silicon photonic filter. We sequentially increase the number of phase shift states of the phase shifters from 2 (0 and π) to 3 (0, π/3, and 2π/3), obtaining sampling matrices with M = 3 × 96, 3 × 144, 3 × 216, 3 × 324, 3 × 486, and 3 × 729 sampling channels, respectively. Increasing the number of phase shift states of the phase shifters essentially increases the programmable degrees of freedom of the filter, resulting in more diverse sampling channels. When the number of states of the phase shifters increases from 2 to 3, each phase shifter can provide 3 different phase shifts, allowing the transmission spectrum of the filter to exhibit more variations. These variations enable the filter to perform richer and more diverse sampling of the incident spectrum, obtaining more spectral information. This helps to improve the accuracy and resolution of the spectral reconstruction.
As shown in
Figure 8a, the average relative error
ε of the reconstructed spectra in the test set steadily decreases as the number of sampling states increases from 64 to 729. Across the entire test set, with 729 sampling states, the average RMSE for spectral reconstruction is 8.912 × 10
−6, and the average relative error ε is 2.2991 × 10
−5. The significant reduction in RMSE and
ε can be attributed to the fact that when the number of sampling states is 729, the number of sampling channels reaches 3 × 729, which exceeds the number of spectral pixels
N = 2001. Consequently, the redundant information captured by the sampling channels helps to reduce the difficulty of spectral reconstruction significantly. Simultaneously, as the number of sampling states increases to 729, the resolution of the on-chip spectrometer for dual-peak spectra improves to 0.1 nm, limited by the resolution of the spectral pixels set in the simulation. This improvement is demonstrated by the dual-peak spectrum reconstruction results in
Figure 8b.
Figure 8c,d shows the reconstruction results of the proposed on-chip spectrometer for the previously selected narrow spectrum and the measured ASE spectrum, respectively, when the number of sampling states is set to 729. The reconstruction errors (RMSE) are 1.457 × 10
−6 and 1.5333 × 10
−5, and the relative errors
ε are 1.1512 × 10
−5 and 2.2297 × 10
−5, respectively. The steady decrease in the relative error
ε as the number of sampling states increases highlights the direct relationship between sampling diversity and reconstruction performance. With more distinct sampling channels, the filter captures more features in the spectrum, enabling the reconstruction algorithm to better approximate the original spectrum. Furthermore, the increase in sampling states also positively impacts the resolution of the on-chip spectrometer. As the number of sampling states increases, the spectrometer can better capture the subtle differences between the peaks, allowing for clearer separation and resolution of the individual spectral features. The programmable nature of the silicon photonic filter is a key strength of our design, providing users with the flexibility to optimize the performance of the spectral chip based on their specific needs. By adjusting the number of sampling states, users can prioritize either detection speed or reconstruction accuracy, depending on the requirements of their application. This adaptability makes our on-chip spectrometer design adaptable to a wide range of spectroscopic applications, from rapid screening to high-precision measurements.
3.3. Discussion
The performance of the proposed computational reconstruction spectrometers was compared with other filter-based integrated computational reconstruction spectrometers as shown in
Table 1. The proposed on-chip spectrometer has a more compact footprint and faster computing time compared with the others with similar bandwidth.
As shown in
Table 1, the resolution of our on-chip spectrometer is indeed lower compared to some previous works, which is primarily determined by the spectral reconstruction algorithm we employed. The choice of different types of spectral reconstruction algorithms can affect the reconstruction error, resolution, reconstruction time, and noise tolerance. In our work, we adopted the ANN algorithm to perform computational spectral reconstruction. ANN models are capable of effectively fitting nonlinear relationships, and the output nodes of the model correspond to the wavelength points of the reconstructed spectrum. Theoretically, a higher number of output nodes could lead to a higher spectral resolution achievable by the reconstruction algorithm. However, it is important to note that the number of parameters in the ANN model grows approximately quadratically with the increase in the number of wavelength points. When the number of wavelength points reaches 20,001 (corresponding to a resolution of 0.01 nm in the 1450–1650 nm range), the model would contain 800 million parameters, posing significant computational challenges. Due to hardware limitations (NVIDIA GeForce RTX 4070), we were unable to train a model with such a vast number of parameters.
Although the resolution of our on-chip spectrometer is limited by the employed spectral reconstruction algorithm, our design still possesses unique advantages. Firstly, using an ANN model as the spectral reconstruction algorithm enables faster computation of the incident spectrum from the obtained intensity vector. The CVX algorithm used in Refs. [
25,
26] to solve the regularized regression model achieves a resolution in the order of 10 pm, but it requires a relatively longer computational reconstruction time. In contrast, using an ANN model to perform spectral reconstruction with 2187 sampling channels (729 sampling states) takes approximately 1.93 s (including the time for computing the pseudo-inverse of the sampling matrix, based on i5-1135G7 CPU, Intel, Santa Clara, CA, USA). It is evident that the proposed ANN-based on-chip spectrometer can reconstruct the spectrum more rapidly, demonstrating a clear advantage in real-time performance compared to the CVX algorithm. Moreover, based on the discussion in Ref. [
29], ANN-based spectral reconstruction algorithms exhibit stronger noise tolerance, which is another important factor to consider in spectral computational reconstruction.