Introduction

Lecture 5: Photonic Crystals – Introduction

5 nm
 Photonic crystal: An Introduction

Photonic crystal:

Periodic arrangement of dielectric (metallic, polaritonic…) objects.

Lattice constants comparable to the wavelength of light in the material.
 “ A worm ahead of its time”

Sea Mouse and its hair

Normal incident light

Off-Normal incident light

20cm

http://www.physics.usyd.edu.au/~nicolae/seamouse.html
 Fast forward to 1987……

E. Yablonovitch
“Inhibited spontaneous emission in solid state physics and electronics”
Physical Review Letters, vol. 58, pp. 2059, 1987

S. John
“Strong localization of photons in certain disordered dielectric superlattices”
Physical Review Letters, vol. 58, pp. 2486, 1987

Face-centered cubic lattice Complete photonic band gap

 Omni-directional reflector

Y. Fink, et al, Science, vol.282, p.1679 (1998) B. Temelkuran et al, Nature, vol.420, p.650 -3 (2002)
 photonic crystal fibers
Integrated photonic circuits and photonic crystal fibers

J. D. Joannopoulos, et al, Nature, vol.386, p.143-9 (1997) R. F. Cregan, et al, Science, vol.285, p.1537-9 (1999)
 Three-dimensional photonic crystals

Y. A. Vaslov, Nature, vol.414, p.289-93 (2001) S. Lin et al, Nature, vol. 394, p. 251-3, (1998)
 breakthroughs
The emphasis of recent breakthroughs

•The use of strong index contrast, and the developments of nano-

fabrication technologies, which leads to entirely new sets of phenomena.

Conventional silica fiber, δn~0.01, photonic crystal structure, δn ~ 1

•New conceptual framework in optics

Band structure concepts.

Coupled mode theory approach for photon transport.

•Photonic crystal: semiconductors for light.

Two-dimensional photonic crystal

λ ∼ 1.5 µm

High-index
dielectric material,
e.g. Si or GaAs
 crystal
0
0.
1
0.
2
Band structure of a two-dimensional crystal
0.
3
di 0.
le e 4
Displacement field parallel to the cylinder
ct
ric 0.
b 5
0.
6
0.
ai 7
rb
an 0.
0.8
d 8
Frequency (c/a)

0.6

0.4

0.2

0.0
Γ
Wavevector (2π/a)

Wavevector determines the phase between nearest neighbor unit cells.

X: (0.5*2π/a, 0): Thus, nearest neighbor unit cell along the x-direction is 180
degree out-of-phase
M: (0.5*2π/a, 0.5*2π/a): nearest neighbor unit cell along the diagonal direction
is 180 degree out-of-phase
 state
Maxwell’s equation in the steady state

Time-dependent Maxwell’s equation in dielectric media:

& (% 0 E( r,t ))
"• H ( r, t ) = 0 " # H ( r, t ) $ % ( r ) =0
&t
$ (µ0H(r,t ))
"• #E( r, t ) = 0 " # E(r,t ) + =0
! $t
!
Time harmonic mode (i.e. steady state):
! "i#t
! H(r,t ) = H(r )e
E(r,t ) = E(r )e"i#t

Maxwell equation for

!
the steady state:
! " # H(r ) + i$ (%(r )%0E(r )) = 0

" # E(r ) $ i% (µ0H(r )) = 0

!
 dielectric
Master’s equation for steady state in dielectric

Expressing the equation in magnetic field only:

& % )2 1
1 c=
"# " # H ( r) = ( + H ( r ) "0µ 0
$( r) 'c *

Thus, the Maxwell’s

! equation for the steady state !can be expressed in
terms of an eigenvalue problem, in direct analogy to quantum
mechanics that governs the properties of electrons.

Quantum mechanics Electromagnetism

Field "( r, t ) = "( r )e j#t H ( r, t ) = H ( r )e i"t
$#2 '
Eigen-value problem Hˆ "( r ) = E"( r ) "H ( r ) = & 2 )H ( r )
%c (
! "h 2 # 2 ! 1
ˆ
Operator H=
2m
+ V (r) " = #$
%( r)
#$
!
!

! !
 problem
Electromagnetism as an eigenvalue problem

The master equations define an operator:

1
"H ( r ) # $ % $ % H ( r)
&( r)

Importantly, the Θ operator is a Hermitian operator. If we define the

!
inner product of two vector fields F(r) and G(r) as:

( F,G ) = # drF (r) " G( r)

*

then
* "1 #
(F,$G ) ,
= d rF %& ' ( &'G)
! *! +
* "1 #
= , dr (& ' F ) % ( & ' G )
*! +
*
"1 #
= , dr ( & ' F ) % (& ' G )
*! +
*
" 1 #
= , dr ( & ' & ' F ) % G = ($F,G )
* ! +
 modes
General property of the harmonic modes

Having the Θ operator to be Hermitian leads to a number of nice properties

about the harmonic modes
$ # '2
Assuming that H(r) is an eigen-mode, i.e. "H ( r ) = & ) H ( r )
%c (

ω2 is real. $ # '2 $ # * '2

( H,"H ) = & ) ( H,H ) = ("H,H ) = & ) ( H,H )
%c ( ! % c (

ω2 is positive.
# " &2
!
% ( ( H,H ) = ( H,)H ) =
$c '
* dr +(1r) , - H 2

Two modes H1(r) and H2(r) at different frequencies ω1 and ω2 are orthogonal, i.e.
(H1, H2) = 0
!
# "1 &2 # " 2 &2
% ( ( H 2 , H 1 ) = ( H 2 ,)H 1 ) = ()H 2 , H 1 ) = % ( ( H 2 , H 1 )
$c ' $ c '

Thus if ω1 and ω2 are different, then (H1, H2) = 0.

!
 Consequence of the orthogonality

For two real one-dimensional function f(x)

and g(x) to be orthogonal, i.e.

0 = ( f ,g ) = ! dx f (x ) g (x )

Thus, the product fg must be negative as

much as it is positive over the interval of
interest, so that the net integral vanishes.
1
Since the operator "H ( r ) # $ % $ % H ( r)
&( r)

contains derivative with respect to the field,

higher-frequency mode tends to have more
! in their field patterns.
spatial variation

By orthogonality, higher-frequency mode

tends to have more nodal plane in the field
pattern.
 Scale Invariance

The solution at one scale determines the solution at all other length scales.
Suppose, for example, we have an electromagnetic steady
state H(r) in a dielectric configuration ε(r)

1 & % )2
"# " # H(r ) = ( + H(r )
$ (r ) 'c*

Then, in a configuration of dielectric ε’(r’) that is just a compressed or

expanded version of ε: ε’(r’) = ε(r’/s), Using r’ = sr, H(r’/s) = H’(r’), and
!
!' = !/ s 2
1 #! $ After changing the length scale by
& '' & '' H% (r') = ( ) H% (r')
" % (r') * cs + s,
we just scale the old mode and
its frequency by the same factor
λ
λ
equivalent

a
a
 Normalized units

The lattice constant: a

The units of the following physical quantities become:

Frequency: c/a
Angular frequency: 2πc/a a

Wavevector: 2π/a

! 0 Wavelength: a
0.
1
TM 0.
2
m 0.
od 3
es
di 0.
el

A simple example for reading the band diagram

ec 4
tr 0.
ic 5
ba
nd 0.
6
! 0.
ai 7
ba r
0.
nd 8
M 0.8 Gap extends from 0.2837 c/a to 0.4183 c/a
Frequency (c/a)

0.6
The mid gap frequency is at 0.3510 c/a

0.4 To design a crystal such that 1.55 micron

M
light falls at the center of the gap, we have
0.2
Γ X
c/(1.55micron) = 0.3510 c/a, hence
0.0
a = 0.3510 * 1.55 micron = 0.5440 micron
Wavevector (2π/a)
 variational principle
Electromagnetic energy and the variational principle

From the Master equations: First two bands, at M-point

Displacement field
2
1 &%)
!H(r) = " # " # H(r) = ( + H(r)
$ (r ) ' c*
! 0
0.
1

Integral form: TM 0.
2
m 0.
od 3
es
X di 0.
el 4
ec

1 2 ba
ic
tr
5
0.

( dr * + H(r) nd 0.
6
2 M
) (r )
! 0.

"!%
ai 7
rb
an 0.

$# '& =
X 8
d

2
M 0.8
c ( dr H(r)

Frequency (c/a)
!
0.6

0.4
Concentration of the displacement field D M
0.2
in the high dielectric constant region Γ X

minimizes the frequency. 0.0

Γ X M Γ
Wavevector (2π/a)
 structure: vacuum (1d)
A simple example of the band-structure: vacuum (1d)

Vacuum: ε=1, µ=1, plane-wave solution to the Maxwell’s equation:

k He i(k" r#$t )
with a transversality constraints: k • H = 0

! !
A band structure, or dispersion relation defines the relation
between the frequency ω, and the wavevector k.

" =ck
ω

For a one-dimensional system, the band ω=ck

structure can
! be simply depicted as:

k
 structure (2d)
Visualization of the vacuum band structure (2d)
ω
For a two-dimensional system:

" = c k x2 + k y2 Light cone

This function depicts a cone: light cone.

kx
A few ways to visualize this band structure :
! ky

ky ω ω
ω
Continuum of
plane wave Light line
kx
ω=ckx
kx k
0 (0,0) (k,0) (k,k) (0,0)

Constant frequency contour Projected band diagram Band diagram along

several “special”
directions
 variational principle
Electromagnetic energy and the variational principle

From the Master equations: First two bands, at M-point

Displacement field
2
1 &%)
!H(r) = " # " # H(r) = ( + H(r)
$ (r ) ' c*
! 0
0.
1

Integral form: TM 0.
2
m 0.
od 3
es
X di 0.
el 4
ec

1 2 ba
ic
tr
5
0.

( dr * + H(r) nd 0.
6
2 M
) (r )
! 0.

"!%
ai 7
rb
an 0.

$# '& =
X 8
d

2
M 0.8
c ( dr H(r)

Frequency (c/a)
!
0.6

0.4
Concentration of the displacement field D M
0.2
in the high dielectric constant region Γ X

minimizes the frequency. 0.0

Γ X M Γ
Wavevector (2π/a)
 structure (2d)
Visualization of the vacuum band structure (2d)
ω
For a two-dimensional system:

" = c k x2 + k y2 Light cone

This function depicts a cone: light cone.

kx
A few ways to visualize this band structure :
! ky

ky ω ω
ω
Continuum of
plane wave Light line
kx
ω=ckx
kx k
0 (0,0) (k,0) (k,k) (0,0)

Constant frequency contour Projected band diagram Band diagram along

several “special”
directions
 Bloch theorem for electromagnetism

In a periodic dielectric media, i.e. ε(r+a)=ε(r), the solution H(r) to the

Master’s equation:
2
1 %$(
!" ! " H (r ) = ' * H (r ) a1
# (r ) & c)
a2
has to satisfy the following relations:

H ( r ) = ei ( k!r )u k ( r )

where uk(r) = uk(r+a) is a periodic function.

 Bloch wave functions

ikx
e

u(x)
!
ikx
e u(x)
!

!
 A simple proof of Bloch theorem (Solid state Phys. Kittel, p179-180)

Proof in 1 dimension
x
• Consider N identical lattice points on a ring of length Na o a

• The dielectric function is periodic in a, with ε(x)=ε(x+sa), where s is an integer

• Translational symmetry Expect solutions of the wave equation

H(x+a) = C H(x)
n-times
• Going once around the ring: H(x+Na) = H(x) = CN H(x)

C is one of the N roots of unity: C = exp(i2πs/N); s = 0, 1, 2, …, N-1

• Bloch function H(x) = uk(x) exp(i2πsx/(Na)) satisfies H(x+a) = C H(x)

Where uk(x+a) = uk(x) H(x+Na) = H(x)
 Bragg scattering

Incident light a
eikx

re-ikx

Regardless of how small the reflectivity r is from an individual scatter, the

total reflection R from a semi infinite structure:
1
R = re!ikx + re !2ika e!ikx + re !4ika e!ikx + ... = re!ikx
1 ! e!2ika
Diverges if
! Bragg condition
e2ika = 1 k=
a

Light can not propagate in a crystal, when the

Origin of the photonic
frequency of the incident light is such that the
band gap
Bragg condition is satisfied
 lattice
A brief review of the reciprocal lattice See Kittel, pp. 32-33

•The reciprocal lattice vector G is defined by: e iG" a = 0

where a is any lattice vector of the crystal.

• For a given set of lattice vectors, a1,!a2 and a3, the set of basis vectors for
the reciprocal lattice is:

a2 " a3 a 3 " a1 a1 " a 2

b1 = # 2$ b2 = # 2$ b3 = # 2$
a1 • (a 2 " a 3 ) a1 • (a 2 " a 3 ) a1 • (a 2 " a 3 )

The reciprocal lattice vector G are: G = n1b1 + n 2b2 + n 3b3 , where n1, n2, n3 are
arbitrary integers.

!
b2
a1
a2

b1
 Summary

•Photonic crystals are artificial

media with a periodic index
contrast.

•Electromagnetic wave in a ! 0

photonic crystal is described by a TM

1
0.

2
0.

band structure, which relates the

m 0.
od 3
es
X di 0.
el 4
ec

frequency of modes to the

tr 0.
ic 5
ba
nd 0.
6
M
wavevectors.
! 0.
ai 7
rb
an 0.
X 8
d
M 0.8

Frequency (c/a)
!
•Fundamental properties of 0.6

modes: scale invariance, 0.4

orthogonality. M
0.2
Γ X

0.0
Γ X M Γ
Wavevector (2π/a)