1/29/2020

Advanced Electromagnetics:
21st Century Electromagnetics

Photonic Crystals

Lecture Outline

• Introduction
• Origin of the Band Gap
• Band Gap Engineering
• Devices Based on Band Gap Engineering
• Dispersion Engineering
• Devices Based on Dispersion Engineering
• Self-Collimation

Slide 2

1
 1/29/2020

Introduction

Slide 3

Electromagnetic Bands
2 2          
    r   V  r   r   E  r   2 E  r   k 2 E  r   Esrc  r 
2m
Electronic Band Diagram for Electrons in Photonic Band Diagram for
Semiconductors Electromagnetics in a Dielectric Lattice


Bloch Wave Vector  
Bloch Wave Vector 

Due to the analogy between Shrödinger’s equation and the wave equation, electromagnetic waves can be
controlled inside periodic lattices like electrons are controlled in semiconductors.
4

2
 1/29/2020

Origin of the
Band Gap

Slide 5

The Bloch Theorem

The field inside of a periodic structure takes on the same symmetry and periodicity of that
structure according to the Bloch theorem.
    j  r
E r   Ar  e
Given the lattice translation vectors, the periodicity can be described mathematically.
     
Ar  t   Ar  t  lattice vector

Slide 6

3
 1/29/2020

The Wave Equation in Periodic Structures

Maxwell’s curl equations for non-magnetic materials are
   
  E   j0 H   H  j 0 r E
The wave equation for the magnetic field H can be derived by taking the curl of the second equation above and
substituting the result in the first equation.
1  
   H  k02 H
r
According to the Bloch theorem, the magnetic field is periodic as follows.
     
H  r   H   r   e j r

Substituting this into the wave equation leads to

    
2

   j 
r
 1
 
  j   H      H 
 c0 
Slide 7

Solutions to the Wave Equation

The wave equation just derived is an eigen-value problem.
 
 
L H   vH 
Eigen-value problems have discrete solutions (like modes in a waveguide) that are all orthogonal (very different from each
other).
This means that electromagnetic waves in periodic structures only exist as discrete modes. These are called Bloch modes.

Fields can only exist as integer combinations of the eigen-modes, or Bloch modes, of the lattice.
 
H 

a H 
 

The variational theorem states that the lowest-order state satisfying the wave equation minimizes the following
variational equation.
 
   j   E
2
To minimize this equation, the denominator must be maximized. This happens when the most 2


d
intense fields reside inside the high dielectric constant regions.   
  min

  2
Conclusion – The field of the lowest order mode prefers to be in the high dielectric constant regions.  c0   E d 


Slide 8

4
 1/29/2020

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

Consider a one-dimensional
photonic crystal.

Slide 9

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At  = p/a, what does

the electric field look
like for the lowest-order
band?

?
a
Direction of Bloch Wave
Slide 10

5
 1/29/2020

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the lowest-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 11

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the lowest-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 12

6
 1/29/2020

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the lowest-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 13

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

? electric field look like for

the second-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 14

7
 1/29/2020

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the second-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 15

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the second-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 16

8
 1/29/2020

The Electromagnetic Band Gap

To understand the origin of the band gap, recall three rules:
1.Bloch modes must have the same symmetry as the lattice.
2.Electric fields of the lowest order mode prefer to reside in higher index regions.
3.Modes must be orthogonal (very different).

At 𝛽 = 𝜋/𝑎, what does the

electric field look like for
the second-order band?

a
Direction of Bloch Wave 𝛽⃗
Slide 17

The Electromagnetic Band Gap

What about the effective refractive index neff of the modes?

Lower neff
More power resides in low index regions.

Higher neff
More power resides in high index regions.

a
Direction of Bloch Wave 𝛽⃗
Slide 18

9
 1/29/2020

The Electromagnetic Band Gap

The two modes have the same wavelength but different effective refractive
indices. How is this possible?

 The modes must exist at different frequencies.

Lower neff
More power resides in low index regions.

Higher neff
More power resides in high index regions.

a
Direction of Bloch Wave 𝛽⃗
Slide 19

The Electromagnetic Band Gap

A band gap is defined as a range of frequencies over which no bands exist
for all values of 𝛽⃗.

Band Gap

a
Direction of Bloch Wave 𝛽⃗
Slide 20

10
 1/29/2020

Behavior of Waves in the Band Gap

What if photonic crystal is illuminated by a wave at a frequency within its band gap?

The Bloch wave actually penetrates into the lattice by some distance.

Bloch waves still exist within the band gap. They are just cutoff and
evanescent. This means they decay with distance into the lattice.
Source

       
E  r   A  r  exp   r
exp j r

21

Band Gap
Engineering

Slide 22

11
 1/29/2020

Realizing a Complete 2D Band Gap (1 of 4)

The E modes have the electric field polarized perpendicular to the crystal plane so they can form isolated regions of high
intensity surrounded by regions of low intensity.
To maximize the disparity discussed previously, lattices supporting strong E-mode band gaps should be composed of
isolated regions of high dielectric constant material.

H
E

Slide 23

Realizing a Complete 2D Band Gap (2 of 4)

The H modes have the electric field polarized parallel to the crystal plane so it is a vector quantity and must form circular
loops to satisfy Maxwell’s equations.

To maximize the disparity discussed previously, lattices supporting strong H-mode band gaps should be composed of
connected veins of high dielectric constant material.

H
E

Slide 24

12
 1/29/2020

Realizing a Complete 2D Band Gap (3 of 4)

Lattices with greater symmetry support wider band gaps.

Slide 25

Realizing a Complete 2D Band Gap (4 of 4)

To realize a COMPLETE photonic band gap, we now know we need the following ingredients:
1. High contrast in the dielectric constant to maximize the disparity.
2. Isolated “globs” of high dielectric constant material for the E-modes.
3. Connected veins of high dielectric constant material for the H-modes.
4. High lattice symmetry for wider band gaps.

dielectric “glob” for connective “vein” for

E-mode band gap H-mode band gap

E
H


Bloch Wave Vector 
Slide 26

13
 1/29/2020

3D Band Gaps and Aperiodic Lattices

3D lattices are the only structures that can Aperiodic lattices can have
provide a true complete band gap. stronger band gaps than diamond.

The diamond lattice is known to have the

strongest band gap of all 14 Bravais lattices.

J. Joannopoulos, “Photonic Crystals: Molding the Flow of

Light,” (Princeton University Press, ,1995).
M. Florescu, et al, “Complete band gaps in two-dimensional
photonic quasicrystals,” Phys. Rev. B 80, 155112 (2009).
Slide 27

Effects of Average Index and Index Contrast on Band

Gap
Here the fractional bandwidth of the band gap is calculated as a function of average
refractive index and the index contrast for a Bragg grating (1D photonic crystal).

n1  navg  n 2
n2  navg  n 2 Best Case

d1  0 4n1
Fractional Bandwidth

d 2  0 4n2
Index Contrast, n

k0,2  k0,1
FBW  2
k0,2  k0,1

Conclusions for Large Band Gaps:

• Want n as high as possible.
• Want navg as low as possible.

Average Refractive Index, navg

28

14
 1/29/2020

Effects of Duty Cycle on Width of Band Gap

fH = 1%
The optimum duty cycle is whatever
gives quarter-wavelength layers.
Fractional Bandwidth
fH = 10%
Index Contrast, n

Fractional Bandwidth
fH = 50%
Index Contrast, n

Average Refractive Index, navg

Fractional Bandwidth
fH = 90%

Index Contrast, n
Average Refractive Index, navg

Fractional Bandwidth
Conclusions:
• There exists a “sweet

Index Contrast, n
spot” for duty cycle. Average Refractive Index, navg
• Deviating from this lowers the band gap width.
• We can lower band gap width even when we
are forced to have high contrast.
Average Refractive Index, navg
29

Devices Based
on Band Gap
Engineering

Slide 30

15
 1/29/2020

Bragg Gratings
N periods

ntrn
n1 n1 n1 n1 n1 n1
nref … T
R n2 n2 n2 n2 n2 n2

one period
Peak Reflectivity
2
 n n 2 N  ntrn n12 N 
R  f c    ref 22 N 2N 
 nref n2  ntrn n1 
R f
Bandwidth of Stopband
f 4 1  n2  n1 
 sin  
fc p  n2  n1 
fc
Frequency
31

Waveguides and Cavities Based on Electromagnetic

Band Gaps
Waveguides
If light is forbidden to propagate inside a lattice, the
lattice acts like a mirror throughout. This can be used
to form waveguides.

Cavities
If energy can be generated inside a
lattice defect, it will be trapped and can
be stored for long periods of time.

Slide 32

16
 1/29/2020

Tight Waveguide Bends

nanowebtech.org

A. Mekis et al, “High Transmission through

N. Malkove, C. Z. Ning, “Photonic crystal Sharp Bends in Photonic Crystal Waveguides,”
waveguides with acute bending angles,” Phys. Rev. Lett. 77(18), 3787-3790 (1996).
Appl. Phys. Lett. 87, 161113 (2005).
Slide 33

Tight Multimode Waveguide Bends

First-Order Mode Second-Order Mode Third-Order Mode
Spatially-Variant PC Conventional PC

Slide 34

17
 1/29/2020

Antennas Utilizing EBGs

• Increase radiation efficiency by suppressing surface

waves
• Use EBG material as an efficient reflector
• High directivity antennas based on angle dependent
properties of EBGs
• All-dielectric “horn” antennas
• Additional degrees of freedom for polarization control

Slide 35

A Highly Directive EBG Antenna

0 Fabry-Perot
2

EBG

1. EBG serves as an angle dependent

mirror.
2. EBG separated from ground plane double slot
serves as a Fabry-Perot filter.
metal ground plane
3. Double slot matches waveguide
mode to Fabry-Perot.
Waveguide feed
Slide 36

18
 1/29/2020

All-Dielectric Horn Antenna

Slide 37

Dispersion
Engineering

Slide 38

19
 1/29/2020

Phase, Group and Energy Velocity

ky
Phase Velocity
Phase velocity describes the speed and direction of the phase of a wave. 
  vg
vp   sˆ c
np  0 
k vp ŝ k
Group Velocity  kx
Group velocity describes the speed and direction of the envelope of a pulse. vp
  c
vg   k k   ng  0
vg
 
vg  vp for no dispersion

Energy Velocity
Energy velocity describes the speed and direction of the energy.

 P c
ne  0
ve 
U v
 e
ve  vg for linear materials
Slide 39

Types of Dispersion
Material Dispersion Spatial Dispersion Modal Dispersion
Waves of different frequency propagate at Waves travelling in different directions Different modes inside a device typically
different speeds inside a material because through anisotropic or periodic propagate at different speeds because their
the dielectric constant changes as a materials propagate at different energy is distributed differently inside the
function of frequency. speeds because the dielectric device leading to different effective
constant changes as a function of refractive indices of the modes.
 2p direction.
r    1 
   2  j
2
0

Slide 40

20
 1/29/2020

The Band Diagram is Missing Information

Direct lattice: We have an array of air
y holes in a dielectric with 𝑛 = 3.0.

M
Reciprocal lattice: We construct
the band diagram by marching
around the perimeter of the y 
X
irreducible Brillouin zone.
 
x

The band extremes “almost” always occur at the key points of symmetry.
But we are missing information from inside the Brilluoin zone.

Slide 41

The Complete Band Diagram

The Full Brillouin Zone
p a

y 0

p a
p a 0 p a
x
There is an infinite set of eigen-frequencies associated with each
point in the Brillouin zone. These form “sheets” as shown at right.
Slide 42

21
 1/29/2020

Constructing Isofrequency Contours (Index Ellipsoids)

Index ellipsoids are “isofrequency contours” in k-space.

Slide 43

Isofrequency Contours From First-Order Band

a a Isofrequency contours are

2p c0 2p c0 mostly circular. Not much
interesting here. 

p a p a
p a 0 p a 0
0 p a x 0 p a x
y p a y p a
Slide 44

22
 1/29/2020

Standard View of Isofrequency Contours

First Band Second Band

y y

x x

Slide 45

Devices Based
on Dispersion
Engineering

Slide 46

23
 1/29/2020

Negative Refraction Without Negative Refractive

Index

Slide 47

Dispersion Compensation Using Chirped Bragg

Gratings

http://electronicdesign.com/communications/
fiber-bragg-gratings-dispersion-compensation-
technology-40g-and-100g-optical-transpor

48

24
 1/29/2020

Slow Wave Devices

Degenerate modes have the same propagation constant so they easily
exchange energy and are coupled as a result.

For a structure to support a DBE, all modes (TE and TM) are coupled at a
single point. The slope of the band approaches zero, so group velocity
does also.

vg   k

Regular Band Edge Stationary Inflection Point Degenerate Band Edge

(2 degenerate modes) (3 degenerate modes) (4 degenerate modes)
k  0

Y. Cao, M. A. Fiddy, “Resonant Effect

Analysis at Finite One Dimensional
Anistropic Photonic Crystal Band Edges,”
Proc. SPIE 6128 (2006).

  
Slide 49

Graded Photonic Crystals

Cassan, E., K. V. Do, C. Caer, D. Marris-Morini, and L. Vivien, “Short-wavelength light propagation in graded photonic crystals,“ Journal of Lightwave Technology, Vol. 29, 1937-1943, 2011.

50

25
 1/29/2020

Superprism Devices
H. Kosaka, et al, “Superprism phenomena in photonic
crystals,” Phys. Rev. B, Vol. 58, No. 16, 1998.

51

Self-Collimation

Slide 52

26
 1/29/2020

Self-Collimation
Self-collimation is a property of some periodic structures where a beam appears to remain
collimated indefinitely almost independently of the source beam.

Slide 53

Example Simulation

Slide 54

27
 1/29/2020

Conditions for Self-Collimation

Self-Collimation occurs whenever the index ellipsoids have flat surfaces.

2D Lattice 3D Lattice
z
y large angular
span of 𝑘

x
y
x

“flat” underside

direction of power flow Slide 55

Identifying the Self Collimation Conditions

The frequency of self-collimation is traditionally identified by the point on the
isofrequency contour that is flat. Further, it is designed to identify a band isolated a
n   0.335
from other bands to prevent coupling into other modes. 0

xa

xa
Slide 56

28
 1/29/2020

Tailoring the Self-Collimation Conditions

Tailoring the symmetry and pattern within the unit cell of the lattice can have a profound
effect on the isofrequency contours. This can be used to “tune” the self-collimation effect
or other properties of the lattice.

xa

xa Slide 57

Self-Collimation Vs. Graded Index Power

Normalized Frequency n = 0 / a

y y

x x

p a
0
p a
0 p a y
x p a

58

29
 1/29/2020

Metrics for Self-Collimation

Fractional Bandwidth
   x 2      x1 
FBW  2
   x 2      x1 

Normalized Acceptance Angle

tan 1   y 2  x 2 
A 
90

Strength Metric
2 x
S  1  xi  1
p

Overall Figure-of-Merit
FOM  3 FBW  A  S

Raymond C. Rumpf and Javier J. Pazos, "Optimization of planar self-collimating photonic crystals," J. Opt. Soc. Am. A, Vol. 30, No. 7, pp. 1297-1304, 2013.

59

Strength Metric
The center frequency of self-collimation should be as far away from the band edges as
possible.

Raymond C. Rumpf and Javier J. Pazos, "Optimization of planar self-collimating photonic crystals," J. Opt. Soc. Am. A, Vol.
30, No. 7, pp. 1297-1304, 2013.
60

30
 1/29/2020

Optimization of Self-Collimation
Optimized Unit Cell for E Mode E Mode H Mode
 r2

 r1
Optimized Unit Cell for H Mode
 r2
f  13%
 r1
r  0.2a
 r1  2.51
 r2  1.00
f  45.5%
r  0.38a
 r1  1.00
 r2  3.93

Raymond C. Rumpf and Javier J. Pazos, "Optimization of planar self-collimating

photonic crystals," J. Opt. Soc. Am. A, Vol. 30, No. 7, pp. 1297-1304, 2013.

61

“Best” Self-Collimator (1 of 3)

TE
n  3.5
r  0.421a

This lattice self-collimates and the curvature has Rafif E. Hamam, et al, “Broadband
an inflection point, but it operates over a super-collimation in a hybrid photonic
crystal structure,” Optics Express, Vol.
narrow frequency band. 17, No. 10, pp. 8109-8118, 2009.

62

31
 1/29/2020

“Best” Self-Collimator (2 of 3)

TM
n  3.5
t  0.2a

This lattice self-collimates over a much broader

“A hint as to how to achieve this feature can be range of frequencies, but the dispersions
inferred from the flatness of tight-binding bands for
electrons in solids [20]. The fact that tight-binding surfaces are never perfectly flat (no inflection
bands arise from the weak overlap between sub point)
atomic orbitals inspires us to consider the simple,
well-known waveguide array…” Rafif E. Hamam, et al, “Broadband super-collimation
in a hybrid photonic crystal structure,” Optics
Express, Vol. 17, No. 10, pp. 8109-8118, 2009.

63

“Best” Self-Collimator (3 of 3)
Metrics
TM FBW  40.7%
n  3.5 A 1
S 1
r  0.16a
t  0.2a

This lattice combines the waveguide

Rafif E. Hamam, et al, “Broadband super-
collimation in a hybrid photonic crystal array for broadband self-collimation
structure,” Optics Express, Vol. 17, No.
10, pp. 8109-8118, 2009.
and inserts dielectric globs to get an
inflection point.

64

32
 1/29/2020

Waveguide Bends

Dingshan Gao, Zhiping Zhou, David S. Citrin,

“Self-collimated waveguide bends and partial
bandgap reflection of photonic crystals with
parallelogram lattice,” J. Opt. Soc. Am. A, Vol.
25, No. 3, pp. 791-795, 2008.

65

Autocloned Graded Lattices

Yi-Yu Li, et al, “Graded wavelike two-dimensional

photonic crystal made of thin films,” Applied Optics,
Vol. 47, No. 13, pp. C70-C74, 2008.

66

33
 1/29/2020

Super Lensing

Yi-Yu Li, et al, “Self-collimation and superlensing in wavy-structured two-

dimensional photonic crystals,” Applied Physics Letters, Vol. 88, 151911 (2006). 67

Beam Splitter

W. Y. Liang, J. W. Dong, H. Z. Wang, “Directional emitter and beam splitter based

on self-collimation effect,” Optics Express, Vol. 15, No. 3, pp. 1234-1239, 2007.
68

34
 1/29/2020

Beam Bending with Defects

Dennis W. Prather, et al, “Dispersion-

based optical routing in photonic
crystals,” Optics Letters, Vol. 29, No. 1,
pp. 50-52, 2004.

69

Spatially Variant Self-Collimation to Control the Flow

of Waves unit cell orientation (degrees)

Measured field

R. C. Rumpf, J. Pazos, C. R. Garcia, L. Ochoa, R. Wicker, “3D Printed

Spatially Variant All-Dielectric Metamaterials,” submitted to PIER,
March 2013.

Slide 70

35
 1/29/2020

World’s Tightest Bend of Unguided Optical Beam

30 m

• World’s tightest unguided

bend (R = 6.70).

• Utilized very low refractive

index (SU-8, n  1.59).

• Operated at 0 = 2.94 m.

J. L. Digaum, J. J. Pazos, J. Chiles, J. D'Archangel, G. Padilla, A. Tatulian, R. C. Rumpf, S. Fathpour, G. D.

Boreman, and S. M. Kuebler, "Tight Control of Light Beams in Photonic Crystals with Spatially-Variant Lattice
Orientation," Optics Express, Vol. 22, Issue 21, pp. 25788-25804, 2014.
Slide 71

36