Photonic Crystals:

Periodic Surprises in Electromagnetism

Steven G. Johnson
MIT

To Begin: A Cartoon in 2d
r
k
scattering

planewave

r r
r r
i ( k x -wt )
E, H ~ e

r
2p
k =w /c =
l

To Begin: A Cartoon in 2d
r
k

planewave

r r
r r
i ( k x -wt )
E, H ~ e

r
2p
k =w /c =
l

for most l, beam(s) propagate

through crystal without scattering
(scattering cancels coherently)

...but for some l (~ 2a), no light can propagate: a photonic band gap

Photonic Crystals
periodic electromagnetic media
1887

1987
1-D

2-D

periodic in
one direction

periodic in
two directions

3-D

periodic in
three directions

with photonic band gaps: optical insulators

(need a
more
complex
topology)

Photonic Crystals
periodic electromagnetic media

can trap light in cavities

3D Photonic C rysta l with Defects

and waveguides (wires)

magical oven mitts for

holding and controlling light
with photonic band gaps: optical insulators

Photonic Crystals
periodic electromagnetic media
High index
of refra ction
Low index
of refra ction

3D Photonic C rysta l

But how can we understand such complex systems?

Add up the infinite sum of scattering? Ugh!

A mystery from the 19th century

conductive material
+
+

+
e

r
E

current:

r
r
J = sE

conductivity (measured)

mean free path (distance) of electrons

A mystery from the 19th century

crystalline conductor (e.g. copper)
+ + + + + + + +
e
e

r
E

10s
+
of
+ periods!

current:

r
r
J = sE

conductivity (measured)

mean free path (distance) of electrons

A mystery solved
1

electrons are waves (quantum mechanics)

2

waves in a periodic medium can

propagate without scattering:

Blochs Theorem (1d: Floquets)

The foundations do not depend on the specific wave equation.

Time to Analyze the Cartoon

r
k

planewave

r r
r r
i ( k x -wt )
E, H ~ e

r
2p
k =w /c =
l

for most l, beam(s) propagate

through crystal without scattering
(scattering cancels coherently)

...but for some l (~ 2a), no light can propagate: a photonic band gap

Fun with Math

r r
1 r
w r
E=H =i H
c t
c
r r
1 r r0 w r
H =e
E + J = i eE
c t
c

First task:

get rid of this mess

dielectric function e(x) = n2(x)

2 r
r
w
1
H = H
c
e
eigen-operator

eigen-value

+ constraint

r
H = 0

eigen-state

Hermitian Eigenproblems
2 r
r
w
1
H = H
c
e
eigen-operator

eigen-value

+ constraint

r
H = 0

eigen-state

Hermitian for real (lossless) e

well-known properties from linear algebra:

w are real (lossless)

eigen-states are orthogonal
eigen-states are complete (give all solutions)

Periodic Hermitian Eigenproblems

[ G. Floquet, Sur les quations diffrentielles linaries coefficients priodiques, Ann. cole Norm. Sup. 12, 4788 (1883). ]
[ F. Bloch, ber die quantenmechanik der electronen in kristallgittern, Z. Physik 52, 555600 (1928). ]

if eigen-operator is periodic, then Bloch-Floquet theorem applies:

can choose:

r r
r r
i ( k x -wt ) r
r
H( x ,t) = e
Hkr ( x )

planewave

periodic envelope

Corollary 1: k is conserved, i.e. no scattering of Bloch wave

r
Corollary 2: Hrk given by finite unit cell,
so w are discrete wn(k)

Periodic Hermitian Eigenproblems

r
Corollary 2: Hrk given by finite unit cell,
so w are discrete wn(k)
band diagram (dispersion relation)

w3
w

map of
what states
exist &
can interact

w2
w1
k

?
range of k?

Periodic Hermitian Eigenproblems in 1d

e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2

ikx

H(x) = e Hk (x)
a

Consider k+2/a: e

i( k +

2p
)x
a

e(x) = e(x+a)

2p

i
x
ikx
H 2p (x) = e e a H 2p (x)
k+
k+

a
a

k is periodic:

k + 2/a equivalent to k
quasi-phase-matching

periodic!
satisfies same
equation as Hk
= Hk

Periodic Hermitian Eigenproblems in 1d

e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2

k is periodic:

k + 2/a equivalent to k
quasi-phase-matching
a

e(x) = e(x+a)

w
band gap

/a

/a

irreducible Brillouin zone

Any 1d Periodic System has a Gap

[ Lord Rayleigh, On the maintenance of vibrations by forces of double frequency, and on the propagation of
waves through a medium endowed with a periodic structure, Philosophical Magazine 24, 145159 (1887). ]

Start with
a uniform (1d) medium:

e1

k
w=
e1
k

Any 1d Periodic System has a Gap

[ Lord Rayleigh, On the maintenance of vibrations by forces of double frequency, and on the propagation of
waves through a medium endowed with a periodic structure, Philosophical Magazine 24, 145159 (1887). ]

Treat it as
artificially periodic
bands are folded
by 2/a equivalence

e1
a

e(x) = e(x+a)

w
+

p
x
a

e
p
cos
a

/a

/a

p
x
a

,e

p
x , sin x

Any 1d Periodic System has a Gap

[ Lord Rayleigh, On the maintenance of vibrations by forces of double frequency, and on the propagation of
waves through a medium endowed with a periodic structure, Philosophical Magazine 24, 145159 (1887). ]

Treat it as
artificially periodic
a

e1

p
sin x
a
p
cos x
a

/a

x=0

e(x) = e(x+a)

Any 1d Periodic System has a Gap

[ Lord Rayleigh, On the maintenance of vibrations by forces of double frequency, and on the propagation of
waves through a medium endowed with a periodic structure, Philosophical Magazine 24, 145159 (1887). ]

Add a small
real periodicity
e2 = e1 + De

e(x) = e(x+a)

e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2

p
sin x
a
p
cos x
a

/a

x=0

Any 1d Periodic System has a Gap

[ Lord Rayleigh, On the maintenance of vibrations by forces of double frequency, and on the propagation of
waves through a medium endowed with a periodic structure, Philosophical Magazine 24, 145159 (1887). ]

Add a small
real periodicity
e2 = e1 + De

state concentrated in higher index (e2)

has lower frequency
a

e(x) = e(x+a)

e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2

p
sin x
a
p
cos x
a

band gap

Splitting of degeneracy:

/a

x=0

Some 2d and 3d systems have gaps

In general, eigen-frequencies satisfy Variational Theorem:

r 2
w1 ( k ) = min
r

E1
r
eE1 = 0

r r 2 kinetic
+ ik E1
2
c
r 2
e E1 inverse

potential

r 2
w 2 ( k ) = min
"L" bands want to be in high-e
r

E2
r
eE 2 = 0
*
eE1 E 2 = 0 but are forced out by orthogonality

> band gap (maybe)

algebraic interlude
algebraic interlude completed
I hope you were taking notes*

[ *if not, see e.g.: Joannopoulos, Meade, and Winn, Photonic Crystals: Molding the Flow of Light ]

2d periodicity, e=12:1
a
frequency w (2c/a) = a

/l

1
0.9
0.8
0.7
0.6
0.5
0.4

Photonic Band Gap

0.3
0.2
TM bands
0.1
0

irreducible Brillouin zone

M

r
k

TM

E
H

gap for
n > ~1.75:1

2d periodicity, e=12:1
1
0.9
0.8

Ez

0.7
0.6
0.5

(+ 90 rotated version)

0.4

Photonic Band Gap

0.3
0.2
TM bands
0.1

Ez

TM

E
H

gap for
n > ~1.75:1

2d periodicity, e=12:1
a
frequency w (2c/a) = a

/l

1
0.9
0.8
0.7
0.6
0.5
0.4

Photonic Band Gap

0.3
TE bands

0.2
TM bands
0.1
0

irreducible Brillouin zone

M

r
k

TM

E
H

TE
H

2d photonic crystal: TE gap, e=12:1

TE bands
TM bands

TE
H

gap for n > ~1.4:1

3d photonic crystal: complete gap , e=12:1

I.
II.
0.8
0.7
0.6

21% gap

0.5
0.4

0.3

U'

G
X
K'
U'' U W
W' K L

0.2
0.1

I: rod layer

II: hole layer

L'

gap for n > ~4:1

[ S. G. Johnson et al., Appl. Phys. Lett. 77, 3490 (2000) ]

You, too, can compute

photonic eigenmodes!
MIT Photonic-Bands (MPB) package:
http://ab-initio.mit.edu/mpb
on Athena:
add mpb