A Discrete Model for Resonance Near

Embedded Bound States

Volume 2, Number 6, December 2010
Stephen P. Shipman
Jennifer Ribbeck
Katherine H. Smith
Clayton Weeks
DOI: 10.1109/JPHOT.2010.2080314
1943-0655/$26.00 2010 IEEE
A Discrete Model for Resonance Near
Embedded Bound States
StephenP. Shipman, Jennifer Ribbeck, KatherineH. Smith, andClaytonWeeks
Department of Mathematics, Louisiana State University, Baton Rouge, LA 70803 USA
DOI: 10.1109/JPHOT.2010.2080314
1943-0655/$26.00 2010 IEEE
Manuscript received August 14, 2010; revised September 17, 2010; accepted September 17, 2010. Date
of publication September 23, 2010; date of current version October 15, 2010. This work was supported by
the National Science Foundation (NSF) under Grant DMS-0807325 (S. P. Shipman), by NSF VIGRE
Grant DMS-0739382 (J. Ribbeck, K. H. Smith, and C. Weeks), and by a Louisiana State University CFLR
scholarship (K. H. Smith). Corresponding author: S. P. Shipman (e-mail: [email protected]).
Abstract: We present a discrete model for resonance in periodic dielectric slabs arising from
the interaction of electromagnetic plane waves with guided modes at frequencies embedded
in the continuum. Two infinite rows of interacting masses in the model support propagating
and evanescent waves simultaneously. This allows for modes to be exponentially trapped
near an obstacle at continuum frequencies. The discrete model manifests resonant
transmission features of the periodic slab, and it includes parameters of asymmetry that are
connected to the detuning of the resonance. Moreover, resonant transmission in both systems
is described by a rigorous universal formula that explicitly incorporates a detuning parameter.
Index Terms: Guided mode, modeling, scattering, theory, transmission resonance.
1. Introduction
When electromagnetic plane waves in air are scattered by a periodic slab, resonant interaction with
guided modes of the slab is known to cause anomalies in the scattered field, which are manifest as
sharp peaks and dips in the transmission versus frequency graph near the guided mode frequency
[1][3], e.g., the tuning of sharp transmission features is important for photo-electronic devices and
has been examined in discrete [4], [5] and continuous [4], [6], [7] models, using a variety of
resonators, defects, and impurities.
Two salient features of a resonance are its central frequency and its width, and the tuning of both
is important in applications such as PC light-emitting-diodes [6]. The width is often associated with
how far the system is perturbed from an ideal one that supports a guided mode (a bound state). The
center of a resonance is primarily determined by the frequency of the mode, but it can be detuned
significantly by small perturbations of the system. In fact, the detuning of a resonance is connected
with structural asymmetry [8], [9], and this idea will be highlighted in this article. By choosing
suitable perturbation parameters, one seeks to control the center and width of a resonance.
The purpose of this work is to provide a simple discrete model (see Fig. 1) for plane-wave/guided-
mode resonant interaction for lossless periodic slabs. Its main features are the following.
1) It possesses a key feature of the air/slab system that is not present in the Anderson discrete
model [10]: An exponentially localized embedded bound state is supported by the physically
coupled system. This feature is achieved by using two infinite chains of beads that
simultaneously support both a propagating and an evanescent field in the same frequency
interval.
Vol. 2, No. 6, December 2010 Page 911
IEEE Photonics Journal Resonance Near Embedded Bound States
2) The model explicitly incorporates two parameters of asymmetry, one in the chains of beads
(modeling the ambient space) and one in the scatterer, which consists of two beads whose
masses differ from those of the rest of the beads in the chains. We will show how these two
parameters affect the center and width of a transmission resonance.
3) The model is complex enough to capture the essential features of slab anomalies but simple
enough to admit exact calculations by hand. This facilitates the analytical investigation of the
correspondence between parameters of the transmission resonance and those of the
structure.
4) The transmission resonances of the air/slab system and the discrete system are unified
through a rigorous formula that we derived in [8] and [11], which is discussed in Section 3.
The crucial characteristic of the kind of bound state that we are considering is that it is nonrobust.
By this we mean that it is supported by a system whose parameters (geometrical, material, angle of
incidence, etc.) are tuned to specific values that inhibit the coupling between the bound state and
the extended states of the continuum. Under a generic perturbation of these parameters, coupling
to the continuum destroys the bound state. In the case of a periodic dielectric slab in contact with
the surrounding air, symmetry of the structure about a plane perpendicular to the slab suppresses
the propagating diffractive order of anti-symmetric fields, thus creating a guided mode exponentially
bound to slab at a frequency embedded in the continuous spectrum (spectral band) of the slab/air
system. A perturbation of the wave vector or structure initiates a coupling to the propagating
harmonic, thus destroying the mode and creating transmission resonance [11]. It is this type of
nonrobust bound state that our discrete system models.
The nonleaky nature of these special guided modes is discussed in [12] (see Figs. 5 and 6), and
an enlightening exposition of these modes as well as leaky modes, whose radiation losses are due
to the interaction with plane waves, is given in [13, Sec. 2.2] (see Fig. 3). In [3] (see Fig. 4), the
authors discuss the practical utility of a sharp transmission resonance that emerges when the
symmetry of a structure that supports a guided mode is broken.
Of evident practical and theoretical importance is the obtention of analytic formulas for
transmission anomalies with tunable parameters. Fanos formula [14], which is discussed below, is
based on the interaction between a continuum of extended states with an embedded bound state
and is characterized by a single peak and dip. This type of resonance is commonly referred to as
Fano resonance. The need to refine this formula for applications in photonics has led to various
analytic models. Fan and Joannopoulos [2] develop a model based on the principle of interference
between a direct pathway of transmission and an indirect resonant one. A more general temporal
coupled-mode theory developed in [15] is able to capture fine quantitative features of a variety of
photonic resonances [3], [16], [17]. Other coupled-mode theories, such as [18], are specific to
plasmon-enhanced transmission. In the last few years, great progress in electric circuit models
has rendered them a powerful tool for the quantitative description of resonant transmission (see
[19][22] and references therein).
In this paper (see Section 3), we show how transmission anomalies of both a lossless periodic
dielectric air/slab system as well as our discrete model are described by a rigorous analytic formula
derived in [8] and [11]. It is based on the principle of nonrobustness of a (nonleaky) bound state with
respect to structural parameters or the Bloch wave vector i parallel to the slab and the analytic
perturbation of an associated operator equation with respect to these parameters. The formula is
attractive for several reasons: It is rigorous, that is, it follows mathematically from the resonant
system itself (continuous or discrete) and not from analysis based on phenomenological principles;
the peak, dip, and detuning are represented in an explicit way; it can be refined to arbitrary order of
accuracy; and it is based on very general arguments, making it applicable to scattering by
continuous and discrete systems for which reflection and transmission coefficients are defined and
that possesses a nonrobust embedded bound mode. Thus, we have the assurance that our discrete
model faithfully captures the resonant features of the continuous one. It incorporates, in an intuitive
and transparent way, parameters that track the movement of the peak and dipVand, therefore, the
center and width of the resonance as wellVas the system is perturbed. It subsumes the formula of
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 912
Fano [see (1) shown below] under conditions that can be characterized in terms of salient features
of the frequency versus transmission graph.
Let us briefly review the models of Fano and Anderson and compare their features to those of a
resonant periodic slab system and our discrete model.
In the Fano and Anderson models, one begins with two physical systems decoupled from one
another. One system is an infinite string (continuous or discrete) and thus possesses a continuous
spectral band, while the other, which is a harmonic resonator, possesses a single characteristic
frequency. The frequency .
0
of the oscillator is taken to lie in the spectral band of the string so that the
decoupled ensemble of both systems has .
0
as an eigenvalue embedded in its continuous spectrum,
with bound (finite-energy) eigenstate corresponding to the oscillation of the resonator. When one
couples theresonator tothestring, theeigenvaluedissolves intothecontinuous spectrumas thebound
state ceases to exist. The resulting alteration of the extended states of the string is pronounced near
.
0
, leading to a sharp anomaly in the transmission coefficient for the coupled system. The
anomaly typically has a peak and a dip for which Fano [14] derived the approximate shape
f
q
e const.
jq ej
2
1 e
2
. e
E E
res
,2
(1)
where e represents the energy normalized to a characteristic width of the anomaly.
In the problem of scattering by a periodic dielectric slab, the role of a bound state is played by a
guided mode. The slab is never physically decoupled from the ambient air, and therefore, the
oscillations of any guided mode extend evanescently into the surrounding medium. It is this latter
feature that distinguishes our discrete model from the Anderson model: We present a physically
coupled system that supports states that are exponentially confined near the scatterer. Note that a
one-chain Anderson model in which a resonator is coupled to multiple lattice points can support
embedded bound states [23]. However, these states do not extend evanescently into the infinite
chain; moreover, we need more than one chain for the modeling of asymmetry.
2. Discrete Model
The transmission anomaly of the slab system, as we have discussed, relies crucially on the fact that
the slab supports a guided mode at an isolated real wavenumber-frequency pair i
0
. .
0
, where .
0
is embedded in the continuum (i
0
being in the plane of the slab). Such a nonrobust mode is
sustained even though the slab is in physical contact with the ambient space; this is possible
because of the presence of both propagating and evanescent spatial harmonics.
In a discrete model in which the ambient space is modeled by coupled beads, two harmonics can be
achieved minimally with two infinite rows of beads, and within a suitable frequency range, one of the
harmonics will be propagating and the other evanescent. Our model is illustrated in Fig. 1. It consists of
two parallel infinite rows of masses connected by taut strings to each other and to two fixed parallel
anchors. The masses are constrained to move only in the out-of-plane direction. The rows are indexed
by n 0. 1, whereas the beads in each roware indexed by m 1. . . . . 1. All beads have the same
mass 1 except for the two at m 0, which act as a scatterer of waves in the ambient lattice. For a
symmetric system, the tensions in all strings are taken to be 1 and the masses at m 0 are taken to be
equal to each other. Asymmetry in the ambient lattice is imposed by perturbing the tensions of the
strings attached to the anchors for m 6 0 by j at the top and by j at the bottom. Asymmetry in the
scatterer is imposed by making the masses at m 0, which we call M
0
and M
1
, unequal.
The lattice is subject to linear Newtonian dynamics, in which the force at any site is the sum of the
relative displacements of each of its nearest neighbors multiplied by the corresponding tensions of
the connecting strings. If the displacements of the beads are denoted by U fU
mn
g, their velocities
by
_
U f
_
U
mn
g, and their momenta by P fP
mn
M
mn
_
U
mn
g, the Hamiltonian is
HU. P
X
1
m1
X
1
n0
1
2M
mn
P
2
mn

1
2
t
mn
3U
2
mn
U
mn
U
m1.n
U
m1.n
U
m^ n

!
(2)
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 913
in which t
mn
1 if m 0, t
mn
1 1
n
j if m 6 0, and
^
n 1 n for n 0. 1. This results in the
system of ordinary differential equations
M
n

U
0n
4U
0n
U
1n
U
1n
U
0^ n
(3)

U
mn
1
n
j 4

U
mn
U
m1.n
U
m1.n
U
m^ n
. for m 6 0. (4)
The assumption of a harmonic solution U
mn
t u
mn
e
i .t
with . 9 0 leads to the equations
M
n
.
2
4u
0n
u
1n
u
1n
u
0^ n
0 (5)
.
2
1
n
j 4

u
mn
u
m1.n
u
m1.n
u
m^ n
0. for m 6 0. (6)
The table below identifies the correspondence of parameters and physical objects between the
slab system and the discrete model.
dielectric slab system discrete model
ambient space air uniform lattice at m 6 0
periodic slab scatterer of plane waves the scatterer : anomalous masses
M
0
and M
1
at m 0
frequency . frequency .
wave number i parallel to the slab tension of the strings in the ambient
equivalently. angle of incidence lattice t 1 j
structural symmetry about a plane
perpendicular to the slab
equal masses of the scatterer M
0
M
1

Maxwell system or the wave equation ODE system 3. 4

harmonic Maxwell system
or Helmholtz equation
equations 5. 6
propagating diffraction orders solutions q
n
e
i 0m
in the uniform lattice
evanescent diffraction orders solutions q
n
e
cjmj
. c90. in the uniform lattice
bound state : a guided mode bound state : a trapped mode
exponentially confined to the slab exponentially confined to the scatterer
The uniform lattice. Because the uniform ambient lattice consists of two rows of beads, the
general solution for m 6 0 is a combination of two separable solutions of the form
u
mn
q
n
h
m
.
Assuming the form h
m
r
m
, we obtain
r
2
.
2
4 1
n
j

q
^ n
q
n
!
r 1 0 (7)
for n 0. 1. We must find ratios q
0
,q
1
and numbers r that satisfy this equation for both n 0 and
n 1. Thus, we require
.
2
4 j
q
1
q
0
.
2
4 j
q
0
q
1
Fig. 1. Lattice model for resonant interaction between extended states and trapped modes at
frequencies embedded in the continuum. The scatterer that supports the trapped modes consists of the
two beads at m 0 whose masses (which are denoted by M
0
and M
1
) differ from those of rest of the
lattice. Asymmetry in the lattice is imposed by changing the upper and lower tensions by j for m 6 0,
and asymmetry in the scatterer is imposed by taking M
0
6 M
1
.
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 914
which yields either
q
0
q
1

q
p
0
q
p
1
j

1 j
2
p
or
q
0
q
1

q
e
0
q
e
1
j

1 j
2
p
where the superscripts p and e are used in anticipation of the propagating and evanescent nature of
the harmonics for the particular frequency interval that we will choose to work with (9), shown below.
Using these ratios in (7), we find that r satisfies
r
2
br 1 0 (8)
where b is one of the two numbers
b
p
4 .
2

1 j
2
p
. b
e
4 .
2

1 j
2
p
.
The solutions of (8) are reciprocal to each other, that is, they are equal to r
p

1
or r
e

1
,
where
r
p

1
2
b
p

b
p

2
4
q
!
. r
e

1
2
b
e

b
e

2
4
q
!
.
One finds that, as long as the inequalities

1 j
2
p
G .
2
2 G

1 j
2
p
(9)
hold, r
p
has unit modulus, and r
e
is real and greater than 1. We can thus define 0 G 0 G and
c 9 0 so that
r
p
e
i 0
. r
e
e
c
. (10)
The general solution of (6) in the uniform lattice (all masses equal to 1) is a combination of
separable solutions
u
mn
q
p
n
c
p
1
e
i 0m
c
p
2
e
i 0m

q
e
n
c
e
1
e
cm
c
e
2
e
cm

. (11)
When multiplied by e
i .t
, the first two terms represent waves traveling to the right and left, and the
last two represent exponentially growing and decaying solutions.
In the symmetric case j 0, the ratios
q
p
0
,q
p
1
1. q
e
0
,q
e
1
1
indicate that, in a propagating harmonic, the two rows of beads are displaced by identical amounts,
whereas in an evanescent harmonic, the two rows are displaced by the same magnitude but in
opposite directions.
The entire continuous spectrum (spectral band) for the uniform lattice system consists of those
frequencies for which at least one of the two values of r in (8) is unitary (a complex number with unit
modulus). For j 0, for example, one of the values of r is unitary when 1 .
2
5, and the other is
unitary when 3 .
2
7, and thus, the spectral band is 1 .
2
7. The angle of the values of r is
graphed in Fig. 2; this is the dispersion relation for the uniform lattice. It is bivalued in the interval
3 .
2
5, and there are two intervals, i.e., 1 .
2
G 3 and 5 G .
2
7, for which there is exactly
one propagating harmonic. The interval (9) for j 0 is precisely 1 G .
2
G 3.
Scattering. When an obstacle is introduced into the lattice by the modification of the masses at
m 0, a right-traveling wave I
p
q
p
n
e
i 0m
of amplitude jI
p
j is scattered by the obstacle, producing a
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 915
reflected wave A
p
q
p
n
e
i 0m
to the left and a transmitted wave B
p
q
p
n
e
i 0m
to the right. In addition,
evanescent harmonics emerge in the vicinity of the obstacle
u
mn

I
p
q
p
n
e
i 0m
A
p
q
p
n
e
i 0m
A
e
q
e
n
e
cm
. m 0,
B
p
q
p
n
e
i 0m
B
e
q
e
n
e
cm
. m ! 0.
&
(12)
The coefficients A
p
, A
e
, B
p
, and B
e
are determined by the equality of the two expressions in (12) at
m 0 and n 0. 1, which yields
I
p
A
p
B
p
. A
e
B
e
(13)
and (5) for m 0 and n 0. 1. By eliminating A
p
and A
e
by (13), one arrives at a 2 2 system for
B
p
and B
e
B
p
q
p
n
M
n
.
2
4 2e
i 0
q
p
^ n

B
e
q
e
n
M
n
.
2
4 2e
c
q
e
^ n

2i I
p
q
p
n
sin0 n0. 1. (14)
One can calculate the energy conservation relation jA
p
j
2
jB
p
j
2
jI
p
j
2
, and the transmission
coefficient is equal to
T jB
p
j
2
,jI
p
j
2
. (15)
Trapped modes. A trapped mode of the lattice with the scatterer at m 0 is a nonzero field u
mn
in the absence of an incident source field. This means that the system (14) has a nonzero solution
for B
p
. B
e
with I
p
0. Because jA
p
j
2
jB
p
j
2
jI
p
j
2
, we have B
p
A
p
0, and the field is
necessarily exponentially decaying as m !1, that is
u
mn
B
e
q
e
n
e
cjmj
trapped mode.
Thus, the condition for a guided mode is the vanishing of the coefficients of B
e
in (14) for n 0. 1
q
e
0
M
0
.
2
4 2e
c
q
e
1
0. q
e
1
M
1
.
2
4 2e
c
q
e
0
0.
For given masses M
0
and M
1
, we now solve for j and ., obtaining an isolated pair j
0
. .
0
that
corresponds to a trapped mode. As M
0
and M
1
are varied, the value j
0
that admits a trapped-mode
frequency .
0
changes. (This is analogous to the change of the Bloch wavenumber i
0
of the guided
mode for the dielectric slab when one perturbs the structure.) The eigenfrequency .
0
is embedded
Fig. 2. Dispersion relation for the uniform lattice when j 0. The graphs of 0 arccos3 .
2
,2 and
0 arccos5 .
2
,2 give 0 in the propagating harmonic q
n
e
i 0m
as a function of .
2
. The spectral
band is the interval 1 .
2
7, in which there exists at least one such value of 0. In the intervals
1 .
2
G 3 and 5 G .
2
7, there is exactly one propagating harmonic, and therefore, it is possible that
the system with the scatterer, for suitable values of M
0
and M
1
, support a trapped mode built only from
the evanescent harmonic that decays exponentially as jmj !1. When M
0
. M
1
2. 2 and j 0,
such a mode exists at .
2
21,10, as indicated by the diamond. This frequency is embedded in the
continuous spectrum.
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 916
in the continuous spectrum for the lattice system. Using the relation q
e
0
,q
e
1
j

1 j
2
p
, the
explicit solution for the masses in terms of j
0
and .
0
is
M
0

1
.
2
0
4 2e
c
0

1 j
2
p
j
0
h i
. M
1

1
.
2
0
4 2e
c
0

1 j
2
p
j
0
h i
(16)
in which c
0
is c with j. . replaced by j
0
. .
0
. This leads to the simple relation
M
0
M
1

2j
0
.
2
0
.
This shows that symmetric structures M
0
M
1
admit a trapped mode when j
0
0, that is, when the
tensions of the ambient lattice are also symmetric. When M
0
M
1
2, the frequency of the trapped
mode is .

21,10
p
:
M
0
. M
1
2. 2 $j
0
. .
0
0.

21,10
p
.
This frequency is indicated in Fig. 2.
Transmission anomalies. Let us consider a one-parameter family of scatterers by fixing
M
0
M
1
4
so that the scatterer is determined by one number M
0
and that the difference M
0
2 measures its
asymmetry. Given M
0
, the trapped-mode parameters j
0
. .
0
are then determined implicitly by (16);
their graphs are shown in Fig. 3. The asymmetry of the scatterer M
0
6 2 coincides with the
nonvanishing of j
0
.
More specifically, the graphs in Fig. 3 should be interpreted as follows. Fixing a value of M
0
specifies a scatterer. Then for this scatterer, these graphs identify an isolated pair j
0
. .
0
in j. .-
space for which the system supports a trapped mode. The value of .
0
is always within the lower
part of the spectral band for which the lattice characterized by j
0
supports one propagating and one
evanescent harmonic (shown in Fig. 2 for j 0). When j is perturbed from j
0
, the system for this
fixed M
0
and the new j no longer supports a guided mode at any frequency near .
0
.
This destruction of a guided mode due to a perturbation of j is the cause of resonant scattering
fields and, hence, transmission anomalies near the frequency .
0
. More specifically, for small
enough perturbation of j from j
0
, a small interval about .
0
remains in the spectral band but no
Fig. 3. First two graphs give the values of the asymmetry j
0
in the ambient lattice and the frequency .
0
corresponding to a trapped mode, as functions of the mass M
0
, subject to M
0
M
1
4. The frequency
interval shown in the second graph is within the spectral band for all the values of j shown in the first
graph; thus, all of the trapped mode frequencies are embedded in the continuum. The third graph
emphasizes that for each M
0
, there is an isolated point j
0
. .
0
in j. .-space for which the discrete
system supports a trapped mode. Resonance occurs when j is perturbed from j
0
. The significance of
these graphs is explicated in the subsection on Btransmission anomalies[ in Section 2.
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 917
longer contains an eigenvalue of a bound state. In this interval, scattering fields exhibit high
resonant amplitude enhancement and are associated with what are variably called guided
resonances [2], or leaky, quasi-guided [13], or resonant modes. Thus the anomalous transmission
that we investigate here is due to the annihilation of a nonrobust bound state that turns into
resonance within the spectral band of the system and not to the movement of a resonant state
into or out of the band.
For a fixed choice of M
0
, the transmission coefficient T exhibits anomalous behavior at values of
j. . near the trapped-mode pair j
0
. .
0
, as seen in Fig. 4. In the symmetric case, M
0
M
1
2,
the anomaly as a function of . remains centered about .
0
for values of j near j
0
0. In the
asymmetric case, the trapped mode occurs at j
0
6 0, and as j is perturbed from j
0
, the center of
the anomaly shifts away from .
0
. The detuned resonant frequency .

can be well approximated by

a quadratic function of small ~ j j j
0
:
.

.
0

1
~ j
1
2
r
2
t
2
~ j
2
.
The significance of the coefficients will be made clear in the next section.
For a periodic slab, j is replaced by a wavenumber i parallel to the slab and M
0
2 is replaced
by a structural parameter p. The slab system should operate in a regime of a single propagating
diffraction order. Near p. i
0
0. 0, the first graph in Fig. 3 would be like i
0
/

p
p
, rather than
linear as in the discrete system, because guided modes must come in i
0
pairs.
3. Universal Formulae
The transmission anomalies exhibited by our discrete system as well as the air/slab system are
described by the formula derived in [8] and [11] for scattering by continuous or discrete periodic
slabs or waveguides in contact with an ambient medium. In this discussion, we use the notation
Fig. 4. Resonant anomalies in the transmitted energy T (15) near trapped mode parameters j
0
. .
0
of the
discrete model, as functions of ., for various values of the asymmetry j in the ambient lattice and M
0
in the
scatterer, subject to M
0
M
1
4. The parameters j
0
. .
0
of the trapped mode depend on M
0
according
to the graphs in Fig. 3. In each panel, ~ j j j
0
assumes the values 0 (no spike, black), 0.1 (solid line,
yellow/green), 0.2 (long-dashed, orange/blue), 0.3 (short-dashed, red/violet). (a) M
0
2.0,
j
0
. .
0
0. 1.449; (b) M
0
2.1, j
0
. .
0
0.211. 1.453; (c) M
0
2.2, j
0
. .
0
0.430. 1.467;
(d) M
0
2.3, j
0
. .
0
0.665. 1.488.
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 918
of the discrete system, remembering that j is analogous to a Bloch wavenumber i along the
dielectric slab.
The formula gives the general form of the transmission anomaly for j. . close to j
0
. .
0
:
T j. .
1
1 D
2
O j~ jj ~ .
2

. D
r
0
j ~ .
1
~ j r
2
~ j
2
j
t
0
j ~ .
1
~ j t
2
~ j
2
j
1 ~ . (17)
in which ~ . . .
0
, and ~ j j j
0
. A proof of the error estimate is given in [9]. Fig. 5 shows the
approximation 1,1 D
2
for different values of the real number
1
T j. .%
t
2
0
j ~ .
1
~ jt
2
~ j
2
j
2
t
2
0
j ~ .
1
~ jt
2
~ j
2
j
2
r
2
0
j ~ .
1
~ jr
2
~ j
2
j
2
1 ~ .
2
. (18)
The formula is rigorous and very general; its derivation relies on a small number of conditions that
are satisfied for a large class of lossless linear scattering problems, whether classical or quantum or
whether continuous or discrete. It is based on perturbation analysis of a simple branch of the
complex relation
. Wj .
0

1
~ j
2
~ j
2
(19)
defining the locus of generalized trapped modes, which correspond to true trapped modes when j
and . are both real and are associated with leaky modes when either one of them is not real. (For a
dielectric slab, one makes the substitution j7!i, and . Wi is the dispersion relation for
generalized guided modes.) The conditions on which the formula rely are
1) .
0
Wj
0
for an isolated point j
0
. .
0
in the real j. .-plane;
2) conservation of energy;
3) for real j, Imj 0.
Fig. 5. Analytic formula (17) for transmission anomalies. T is plotted against ~ . . .
0
for various
values of ~ j ~ j ~ j
0
and
1
, where an embedded bound state occurs at i
0
. .
0
. The parameter
1
controls how the detuning of the resonant anomaly depends on ~ j [see (20)]. In each panel, t
0
0.6,
t
2
1.5, r
2
1.0, 10, and ~ j assumes the values 0 (no spike, black); 0.01 (solid line, yellow/
green); 0.02 (long-dashed, orange/blue); 0.03 (short-dashed, red/violet). (a)
1
0 (symmetric in ~ j);
(b)
1
0.1; (c)
1
0.2; (d)
1
0.3.
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 919
The first condition holds generically for j. . regimes in which the uniform lattice supports one
propagating and one evanescent harmonic. The third amounts to the fact that the poles of the
scattering matrix are located in the lower half of the complex plane and implies that
1
is real and
Im
2
0.
In (17), r
0
and t
0
are real and positive and satisfy r
2
0
t
2
0
1. They are equal to the relative
reflected and transmitted energies at ~ j. ~ . 0. 0. Given that
1
, r
2
, and t
2
are real valued, which
is the case for our discrete model and the dielectric slab in [11], the relation ~ .
1
~ j r
2
~ j
2
0
describes, up to quadratic order in ~ j, the locus of 100% transmission, which coincides with the
peaks in the transmission graphs. The relation ~ .
1
~ j t
2
~ j
2
0 describes the locus of 0%
transmission, which corresponds to the dips of the transmission graphs. The number
1
, which is
the linear coefficient of both of these relations as well as the relation (19), is responsible for shifting
the anomaly away from .
0
as j deviates from j
0
. The positions of the peak and dip differ only by the
quadratic expression r
2
t
2
~ j
2
; thus, the width of the anomaly is quadratic in ~ j. The center of the
anomaly can be defined (up to quadratic order in ~ j) by the detuned resonant frequency
.

.
0

1
~ j
1
2
r
2
t
2
~ j
2
. (20)
The number controls the slope of the transmission for ~ j 0, which is the overall slope of the graph
across the resonances.
The utility of (17) is that one needs only to determine a small number of coefficients in order to
obtain a formula that is accurate to Oj~ jj ~ .
2
. It is possible to increase the accuracy by including
higher order terms in j in the factors in absolute values in D and higher order terms in both j and .
in the term 1 ~ ..
For a symmetric structure, for which j
0
0, we have
1
0. This is because, by the change
j7!j and switching of the indices n 0 and n 1 in the field, one obtains another admissible
field with the same transmission coefficient, and thus, T is symmetric in ~ j. In this case, there is no
linear detuning of the resonant frequency. When the symmetry of the structure is broken, the
symmetry of the fields is also broken, and this results in a transmission coefficient that is generally
asymmetric in ~ j and has
1
6 0. This asymmetry is manifest in a detuning of the resonant frequency
from .
0
to .

that is linear ~ j. In general, all the parameters r

0
, t
0
,
1
, r
2
, t
2
, and will depend on the
structure, but it is
1
that is associated with asymmetry. The role of
1
is illustrated in Fig. 5, in which
all of these parameters are kept fixed except
1
. The bound-state pair j
0
. .
0
also depends on the
structure. The shifting of .
0
can be seen by comparing the graphs for different structures in Fig. 4; in
Fig. 5, the graphs are centered at ~ . . .
0
0.
Relation to the Fano resonance. The formula (17) simplifies to the Fano resonance (1) with
e . .
0
,,2 under the following conditions.
1)
1
0 (no linear detuning of the resonance),
2) t
2
and r
2
are real (the anomaly attains 0% and 100% transmission),
3) Re
2
0 (the dispersion relation is purely imaginary to order ~ j
2
),
4) 0 (the Bbackground[ transmission is flat).
The width of the resonance depends quadratically on ~ j
2~ j
2
t
0
jt
2
j
r
0
2~ j
2
r
0
jr
2
j
t
0
2~ j
2
Im
2
. q sgnt
2

r
0
t
0
. (21)
The complex number
2
is the coefficient of the quadratic term in the relation . .
0

1
~ j
2
~ j
2

(19). Thus, (21) is a form of the Fermi golden rule, relating the imaginary part of the complex
frequency of a leaky mode to the width of the anomaly.
4. Nonlinear Scatterer
The effects of Kerr nonlinearity on resonance in dielectric slabs [24], [25], as well as waveguides
[26], [27], is important for applications exploiting tunable bistability. In our discrete model, Kerr
nonlinearity is introduced into the scatterer by including a fourth-power self-interaction term `jU
0n
j
4
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 920
in the Hamiltonian (2). In the Anderson model, an analogous term leads to bistable resonant
transmission, which emerges near the bound-state frequency of the linear system and depends on
the intensity I of the incident field and the strength ` of the nonlinearity [28]. There, the steady states
at a given frequency are determined by the real roots of a cubic polynomial with coefficients
depending on I and `. For the model presented in the present paper, it turns out that the steady
states are determined by the simultaneous real roots of four cubic equations in four real variables.
Numerical calculations have shown up to five independent states at the same frequency that exhibit
resonant behavior for small I or ` not only near but extending to a continuum of frequencies far
above (but not below) the single guided mode frequency (see Fig. 6).
Similar investigations have been carried out by McGurn et al., [29][31] for transmission through
nonlinear barriers in photonic crystal waveguides, using a discrete model consisting of 1-D
difference equations. Extreme values of the transmission coefficient, depending on the Kerr
parameter, occur at the frequencies that correspond to various types of resonant fields in the
barrier. In our model, there are multiple harmonic solutions and resonant amplitude enhancement
not only at frequencies near that of the bound state but also at a continuum of frequencies ranging
from that of the guided mode up to the upper end of the interval that supports exactly one
propagating harmonic. This seems to be connected to the fact that the discrete system has two
rows of beads instead of one. Further investigation will be required to discover an explanation of this
phenomenon and to inquire whether a nonlinear periodic dielectric slab system also exhibits this
sort of behavior.
5. Concluding Discussion
The connection established between the line shape of resonant transmission across a scatterer in
our discrete model and asymmetry of the structure and the field offers a means of investigating
dynamic control of the central frequency and width of resonances through the perturbation of
system parameters.
This connection is embodied in an analytic formula in which a parameter in the ambient space, a
parameter associated with structural asymmetry and detuning, and the frequencies of the peak and
dip, appear explicitly. For a real system, as a dielectric slab structure, a direct correspondence
between the parameters in the formula and those of the structure would be established through
numerical computations or laboratory experiments. Even so, it is desirable to have a deeper analytic
understanding of this correspondence. The discrete model proposed here will facilitate this
investigation, as the calculations can be performed by hand, and the model explicitly incorporates a
parameter of asymmetry of the scatterer and a parameter analogous to the angle of incidence.
In our model, the peaks and dips of the transmission anomalies reach 100% and 0%. For lossless
photonic slab structures, these extremes are commonly observed and, in certain simple cases, can
be analytically demonstrated. In a forthcoming communication, we will present a proof that the
anomalies attain these extreme values for lossless periodic dielectric slab/air systems that are
symmetric about a plane parallel to the slab.
It is worthwhile to compare the mechanism of resonance associated with a guided mode of an
open periodic waveguide at a wavenumberfrequency pair i
0
. .
0
that is isolated in the i. .
plane to the mechanism associated with the introduction of periodicity into a uniform slab. Fan and
Joannopoulos show how small holes periodically placed in an otherwise uniform slab lead to sharp
Fano-like transmission and reflection anomalies near the frequencies of certain leaky guided modes
or Bguided resonances[ [2]. As the radius of the holes vanishes, the width of the anomalies tends to
zero and the guided resonances tend to true guided modes of the uniform slab (see [2, Fig. 12]). If
the period of the slab, which is defined by the placement of the holes, is artificially retained in the
uniform slab, the wave vectorfrequency relation defining its guided modes can be conceived as a
dispersion relation for guided modes at frequencies embedded in the continuum. This is in contrast
to the isolated embedded guided mode with which we deal in this paper.
In the case of an isolated embedded guided mode, the wavenumber i (or, equivalently, the angle
of incidence) serves as a perturbation parameter that couples the mode to the extended states,
IEEE Photonics Journal Resonance Near Embedded Bound States
Vol. 2, No. 6, December 2010 Page 921
resulting in anomalous scattering. In contrast, the guided mode of a uniform slab is robust under
perturbation of i and, instead, the small radius of the holes serves as the coupling parameter and
the mechanism for resonance. The ubiquity of the line shape of the anomaly is discussed in [15], in
which the authors generalize a theory developed in [2] for energy transport through a photonic
crystal slab mediated by a combination of direct (nonresonant) and indirect (resonance-mediated)
channels.
The analysis of [8] and [11], together with the use of discrete models, can be extended to
incorporate geometric and material parameters, thus extending (17) and (18) to a much more
general class of mechanisms of resonance. In a discrete model, for example, in which plane waves
in an ambient 2-D lattice are scattered by a 1-D periodic chain attached to it along a line [32], the
formula has been extended to include a parameter of structural coupling between the 1-D and 2-D
lattices and has enabled the investigation of a fold bifurcation of resonances. A forthcoming
communication will treat the degenerate situation of simultaneous emergence of two Fano-type
transmission anomalies from the same bound-state frequency.
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