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OF PHOTONIC'CRYSTAL

2.1

INTRODUCTION

The aim of this chapter is to introduce the general concept of photonic crystals. The chapter will start by guiding the reader to an understanding of photonic crystals and explain their basic characteristics, and' indicate methods of fabrication and potential applications. The purpose of the chapter is not to give an exhaustive presentation of the wide field of photonic crystals, but to establish a fundamental .understanding of the concepts, terminology and theoretical tools that is required for conducting research in photonic crystal waveguides. Readers interested in general aspects of photonic crystals are pointed to the introductory book by Joannopoulos et al. [2.1], or the more recent book by Johnson et al. [2.2]. We may also recommend one of the very good web-sites [2.12], where relevant papers such as e.g., [2.90-2.91] may be found. A further detailed overview of the field may be obtained by studying various review articles, special journal issues, and collections of papers [2.3 - 2.10]. Note also that at present more than 2500 international publications exist on photonic crystals (Ultimo 2002 [2.11]). The most extensive and upto-date bibliographies on photonic crystal research including journal articles, patents and research groups may be found on the world-wi de-web pages of J. Dowling etal. [2.11] and Vlasov [2.12]. Generally speaking, the research area of photonic crystals is a field of a (extraordinarily) wide interest, and it is characterized by research groups with at least three different scientific backgrounds, namely classical optics,

20

Chapter 2

solid-state physics and quantum optics. This book will not address quantum electro-dynamical aspects of photonic crystals, but focus on the passive properties of photonic crystals and mainly employ techniques adapted from solid-state physics.

2.2

THE DEVELOPMENT FROM ID OVER 2D',TO 3D PHOTONIC CRYSTALS

Photonic crystals are today used as a general term- describing periodic structures both in one, two, and three dimensions. While structures with ~ periodicity in one dimension (ID) have been known and exploited for decades, e.g., finding use in high-reflection mirrors and fibre Bragg gratings [2.13-2.14], their two- and three-dimensional (2D and 3D) counterparts have only been explored since the publication of the original ideas of Yablonovitch and John in 1987 [2.15,2.16].

**2.2.1 One-dimensional photonic crystals
**

A general example of aID periodic structure is the multilayer stack illustrated in Figure 2-1. The stack consists of two alternating layers of different materials, with refractive indices ni and n2J and has the period A. As known from optics textbooks [2.13], such' a structure is able to transmit electromagnetic waves at certain frequencies, iT, while reflecting others,/R. Frequently studied cases of ID periodic structures are Bragg stacks, where maximum reflection is obtained, when the optical thickness of the layers is a quarter of a wavelength.

.....

iT

"

.....

~'

Figure 2-1. The Bragg stack: a one-dimensional photonic crystal.

L.

r unaamentats

OJ r notoruc

Crystat

wavegtaaes

Ll

The transmission spectrum for a ID periodic structure consisting of 30% air (n1 = 1.0) and 70% high-index dielectric (n2 - 3.6) is presented in Figure 2-2(a). The simulated structure is of finite size and consists often alternating layers. The figure reveals several frequency intervals in which light may not penetrate the structure. The physical explanation of these low-transmission intervals is to be found in multiple scattering and wave interference phenomena within the periodic structure. Considering a wave propagating at normal incidence to the 1D periodic structure, each of .the layers cause a fraction of the wave~ to be reflected as a result of the refractive-index difference. For specific frequencies (the ones- falling inside the low-trans mission intervals indicated in Fig. 2-2a), the optical-path differences of the reflected wavelets, along with phase changes introduced at: the layer boundaries, cause the reflecting wavelets to interfere constructively. Provided the materials are free of absorption, the 1D structure may, hence, exhibit a high reflection of light within these frequency intervals. An .important, general tool for analysis of periodic structures is the photonic band diagram, which provides the dispersion relations of infinitely extending periodic structures. The mathematical framework for calculating band diagrams will not be provided in this section, but is the subject of Chapter 3. The band diagram of the infinite version of the above-studied 1D periodic structure is presented in Figure 2-2(b), and it illustrates the relation between the frequency and the wave vector for modes, which may propagate at normal incidence to the layers. The information to be obtained from the band diagram is, however, two-fold: Apart from providing the dispersion relations, it also reveals the frequency intervals in which no mode solutions are found. Hence, no modes at such frequencies will be able to propagate throughout the structure. From a comparison of Figure 2-2(a) and Figure 22(b), it is seen that the frequency intervals having near-zero transmission coefficient correspond to the intervals, where no mode solutions are found in the band diagram. These frequency intervals are defined as photonic bandgaps (PBG). As, however, the transmission spectrum and the band diagram were both simulated for waves propagating at normal incidence to the layers in the 1D periodic structure, the photonic bandgaps seen from Figure 2-2 should righteously only be referred to as ID PBGs. The electromagnetic wave propagation is described by Maxwell's equations and as these have no fundamental length scale, the frequencies in Figure 2-2 have been normalized using the factor ciA, where c is the velocity of light in vacuum. As c is constant, it is easily found that the properties of the ID structure may be scaled to any frequency interval by changing the period of the structure (provided of course that the refractive indices remain the same). To quantify this, the above-described structure could be designed

L _ . __

.l'I __

L

1 ~ _ 1_

L

• ...

L

_

.C .. _ _

_

_

_1

11

1.6). where A is the free-space wave wavelength.3A ._______. it is relatively trivial to follow the mechanisms causing the opening of PBG in the pure 1D case.-L- _. C .25 (a) 0. Whereas. Transmission spectrum (a) and banddiagram (b) for a Bragg stack consisting of alternating layers of air (with refractive index n = 1.. which is centred around a normalized frequency of approximately 0.25 050 Transmission Wave vector. the discussion will be extended to more general cases of photonic crystals.20 o '--------.0. ~ ~ CT' 4-i e 0 . Having discussed the case of wave propagation restricted to normal incidence in a ID periodic structure. The stop bands in the transmission spectrum correspond to the ID photonic bandgaps appearing in the band diagram. Since the optical path changes strongly with incident angle..6 1"- < S 0 ~ >.8 0. < LO .20 "ad "".17] and Fink et al. dictates a period of A = 0. where no periodic index difference will be experienced). The transmission spectrum was calculated for a finite-size Bragg stack having five periods.25 0 0. o ..18] discovered ID .40 0.:: ~ S 0.75 LOO ~O. 0. Note that recently Chigrin et al. -Since presenting normalized frequencies as NA directly provides the required structure dimensions for a specific operational wavelength.3 and. [2. ID periodic structures are not able to display forbidden frequency intervals covering all solid angles (which is obvious in the specific case of wave propagation parallel to the interfaces in a ID photonic crystal. this will be preferred throughout the remainder of this book.0) and a high-index dielectric material (with refractive index n = 3.6 "'0 Q N ""'!"'"""I 0. [2.22 Chapter 2 for example be done by utilizing the lowest-frequency photonic bandgap of the structure. therefore.50~O. 0. . it is far from trivial to realize that periodic materials exist in which waves at certain frequencies will be disallowed irrespectively of their propagation direction and even less trivial to design such materials.::::I 0.50 0. OAO . kA121t (b) Figure 2-2.3 urn..0 .

however. The periodicity of the structure.1.. see Figure 2-3(b).. The essential step is to provide -structures. Photonic crystals are characterized by discrete translational symmetry. however. and in the case of higher refractive index they will be named rods) arranged in a hexagonallattice with a period A.6 [2...15].....to open 2D PBGs (the minimum required ratio between the refractive indices is believed to be around 2. it should be emphasised that it represents an only decade-old discovery in the very classical and canonical field of wave optics. they will be named holes. a high contrast is required. A schematic example of a 2D photonic crystal is illustrated in Figure 2-3.. which may reflect light from any angle of incidence under the condition that light is incident from air upon the structure. 2. the 2D photonic crystal is uniform. where the ID structure may be considered as providing reflectance within a cone of incident angles. structures with only a 2D periodicity may still display some features of 3D photonic crystals [2.2 Two.three-dimensional photonic crystals Although triply periodic materials are required to obtain reflection for arbitrary 'angle of incidence [2.1]). .. and it is useful to' consider these first...4]. • 1' • l' ~ • . The 2D PBGs are frequency intervals. In the direction normal to the cross section shown in Figure 2-3(a). the 2D photonic crystal may extend this to cover all angles in the plane of periodicity and provide reflectance within disk-like angular ranges..2...J photonic crystals. is. Although this step may appear straight-forward.. a large refractive index contrast. The above-excepted case of wave propagation with zero in-plane wave-vector component is either the case of stationary fields or wave propagation along the invariant direction of the 2D crystals.not by its-elf a sufficient requirement for a bandgap covering all solid angles to occur.. It is important to notice ..and. and the 2D crystal in this example consists of a background material with cylinders (in the case of cylinders with a lower refractive index than the background material.. _ ~ ~ . /1""'_ . where of course no periodic index -difference is experienced."1. where the 2D photonic crystals will reflect light with any non-zero wave vector component in the periodic plane for a given (inclusive zero) out-of-plane wave vector component. where any index contrast will cause the opening of at least one ID PBG.. Th~_requirements to fulfil are: A well-chosen lattice structure. In contrast to ID periodic structures.2.. the 2D photonic crystal may. Therefore. where the periodicity is extended to higher dimensions. as shall be discussed in more detail inthe proceeding sections. not provide 3D omni-directional PBGs. _ . Due to the invariance in the vertical direction normal to the cross section shown in Figure 2~3(a). and a wavelength-scale lattice dimension.

that these so-called out-of-plane PBGs may be displayed is the basic requirement for realization of PBG-fibres~ and an in-depth analysis of the out-of-plane case will be provided in Section 2. There are several reasons for this. The fact. from a theoretical point of view the in-plane case is simpler to treat than the out-of-plane case.37]. where the wave propagation is intended to be solely in the plane of periodicity. indicate the wave vector components in the plane. The intersection of the axis of these cylinders with the xy-plane form a two-dimensional Bravais lattice. t-of-nlane nronazation and the finite hei Q"htmust he inrornor::ltp. where the structure varies periodically with in-plane position. (b) Schematic illustration of solid angles falling inside the photonic bandgap of a 2D photonic crystal operating at a fixed frequency [2.4. The crystal has typically circular low-index cylinders arranged periodically in a high-index background material. and k. the structures appear the same for waves incident at angles of 0° and 60°).= o case may be displayed (as indicated in Figure 2-3(b) between the out-ofplane angles U2 and U3). k. The illustrated crystals have a hexagonal symmetry (i.. Firstly. many investigations are focused on applications of 2D photonic crystals in integrated optics. Therefore. (a) Schematic example of a 2D photonic crystal. this may in practice not be achieved due to the finite height of the photonic crystal in planar configurations.. and only a more limited number of studies of out-of-plane propagation in 2D photonic crystals have been presented in literature (for some early references see e. The lattice period is A and the cylinders have diameter d.42]. kz is the wave vector component in the invariant direction.e. which corresponds to light propagation strictly in the plane of periodicity as well as 2D PBGs for wave propagation at non-zero angles to the plane of periodicity.2. [2. 2D PBGs which do not cover the k. However.19.38-2.20-2.around k. Initially in-plane wave propagation in 2D photonic crystals was by far the most studied case [2.n for .19].g. The 2D photonic crystal is invariant in the z-direction. '. In particular. Secondly. (a) (b) Figure 2-3. = 0.

[2. [2. and also for bandgaps are considered acoustic waves (see e.12] for more references).472. UV -writing. This was.50-2. Apart from testing crystal structures that are designed for operation at short wavelengths.g. For 2D crystals.is. for antenna applications [2. nonetheless. crystal growth. Only under specific conditions may such bound modes be obtained as addressed in a recent book of Johnson et al. Many experimental studies of 2D and 3D periodic structures have.fabricate test structures to be analyzed at long wavelengths [2.2J (or see also a few recent papers [2.2. are intrinsically incapable of providing vertical confinement. fabricated 2D photonic crystals in planar technology" have been found to exhibit high losses [2. 2D photonic crystals. ID periodic structures may readily be fabricated using techniques such as evaporation. but a wide range are being investigated. [2.53-2.43-2. wave propagation in 2D photonic crystal slabs..22. the fabrication of 2D and 3D photonic crystals for the optical domain is a severe challenge. etc. As mentioned in the introduction. important to point out that as a result of the invariance in the vertical direction. furthermore. Naturally. The final step to photonic crystals exhibiting full 3D PBGs seems straight-forward from the discussion of ID and 2D photonic crystals. the scalability discussed in the ID periodic case is valid for 2D and 3D structures as well.20J. \ 2.1 J. Indeed. no manufacturing methods may yet be classified as mature.45J. For planar applications it is. a 3D periodicity is required.in order to provid~ -total internal reflection . Fundamentals of Photonic Crystal waveguides 25 accurate analysis of e. [2. which must again be on the scale of the operational wavelength and have a high index contrast [2.. However.2. sputtering. This makes it possible to exploit 2D and 3D photonic crystals over the whole electromagnetic spectrum and also to provide larger easy-to. This allowed in 1991 Yablonovitch to demonstrate the first structure exhibiting a full 3D photonic bandgap [2.49]).52].3 Fabrication of photonic crystals for the optical domain For operation at optical wavelengths. the properties of photonic crystals are also increasingly being exploited in the microwave regime. e. Sandwiching a slab of 2D photonic crystal between lower refractive index materials .14].g.bound modes.1].57].90 J may be studied.. however. not in general a sufficient requirement to obtain leakage-free.92] or [2.g.2. therefore. neglected in most early investigations of photonic crystals intended for planar applications [2. these include planar realizations using lithography and etching techniques developed from the . For results on propagation through planar optical structures of finite height the work by Sendergaard et al.51]. been performed at microwave frequencies [2. however. To realize 2D and 3D photonic crystals.

\ 2. Although becoming increasingly relevant as the realisation of components become more within reach. where only passive properties of 2D photonic crystals are exploited. an important issue for applications of photonic crystals is the influence of structural fluctuations resulting from fabricational errors/inaccuracies.60]. On the other hand. The fabrication of 2D photonic crystals in fibre-form will be discussed indetails in Chapter 4.62]. This makes macro-porous silicon promising for applications. Finally.4 Spatial defects in photonic crystals The presentation of photonic crystals has so far only concerned structures.napier L electronics industry [2. furthermore.61].. 'synthetic opal-based crystals [2. . which are fully periodic. with the possibility of controlling the diameter of the holes/rods along their centre axis [2.652.2. These may.infrared wavelengths. Both'.!Jm have been demonstrated experimentally [2. Photonic crystals become.the most promising are: micro-electro-mechanical fabrication of silicon layer-by-layer structures [2. fabrication of many layers (>50) is more feasible using the two latter methods.20] and realizations of macro porous silicon using standard lithography and anisotropic etching [2.58]. .20. Note that also the application of silicon-on-insulator (SOl) material combinations are interesting [2. Among the most promising for the planar technology are realization in GaAs or InP using electron-beam lithography and reactive ion etching [2. of more value by intentional introduction of spatial defects within them. but so far with insufficient index contrasts for full 3D PBGs to occur. Whereas the fabrication of each layer in the layer-by-layer structure is very laborious and requires a multitude of processing steps. furthermore. the layer-by-layer structures do provide the index contrast required for full 3D PBGs to be exhibited and although these have not yet been achieved at sub-micrometer wavelengths.36. of these methods have been used to fabricate structures with 2D PBGs at near .66]).89]. Initial theoretical studies of 3D photonic crystals indicate a relatively large robustness of the PBGs for minor structural irregularities [2.. full 3D PBGs around 1.5. be realized with a much higher height-to-period ratio (above 30) and.2.2. importance for incorporation of active devices (such as lasers). at present.64]. readily be fabricated at sub-micrometer periodicities.58. For fabrication of micro-scale 3D structures.63].66]. Whereas the GaAs/lnP realizations may be of.89] and fibre realizations based on traditional drawing techniques [2.59]. sputtered silicon/silica structures [2. however. only limited attention has been paid to this issue so far and only a few studies have been presented in literature (see some of the earliest in [2. and self-aligned. the methods that are being investigated are very different in nature and among .LU s.2. macroporous silicon 2D photonic crystals may.

for the design of distributed feed back (DFB) lasers utilizing weakly modulated ID' periodic structures [2.4-t.~I Hereby. and. waveguides.. Photonic crystals offer a unique potential of both controlling the rate of spontaneous emission and provide high-Q micro cavities with ultra-small volumes [2. Although the initial works by Russell..I--1~~~~ ""In _~~4-~_.~ •• 4. line.67].in combinations with points defects novel . theoretical studies document that significant lifetime changes may. the above-cited studies assume infinite extent of the 2D photonic crystals in the invariant direction as well as wave propagation strictly in the plane of periodicity.1.but will (hopefully) be capable of providing qualitative information about the potential operation of these.88]. the photonic crystals may act as reflecting boundaries and trap light at the defect region(s).2.76-2.68]. not be considered sufficient for design of practical.43.~1 .70-2. one of the original goals of Yablonovitch [2. recently.. functional components . low rates of spontaneous emission. important experimental progress has been made using opal-based 3D photonic crystals [2. In the ideal situation.77]. a 3D photonic-crystal-based micro cavity may be designed. Also for lower dimensional periodic structures.~_~4. For laser-applications. functional components or various types of substrates.15].. With respect to waveguides in photonic crystals.f~-+. The experimental demonstration of suppressed spontaneous emission and high-Q micro cavities in 3D photonic crystals have been pursued ever since 1987.2.or surface defects and allow for the creation of micro cavities.79]. Johnson ~~.73-2.2. and especially within the past years.I l\.~4-~1~ ~_.~ ~~. be obtained in 2D photonic crystals realized in III-V semiconductors [2.44.45]. 2D photonic crystals with a row of defects have been studied for both straight waveguides [2. As discussed previously.2. however._ ~_lT' ~. the first experimental demonstration of lasing from a 2D photonic crystal-based micro cavity was presented [2.80] and .75. sharply bent waveguides (with a bend radius comparable to the optical wavelength) [2. e. indeed.2. The defects may bepoint-. types of compact wavelength-division multiplexed (WDM) components with a size of only a few square wavelengths [2.46]. novel types of compact. However. "Also strongly modulated structures have been extensively studied and in this case only a very limited number of periods are required to provide micro cavities with high-Q values [2._ r"" A'"7 . pure 2D analysis may.g.. and small cavity volumes are among the key parameters for optimised performance [2. Defects in ID periodic structures have been known and utilized for many years.2. novel micro-cavity designs are being investigated [2.72]. high-Q values. Although the above-cited work on 2D photonic crystal micro-cavities does not document lifetime alterations.l~r__ 4.69]. where all spontaneous emission is suppressed except into a cavity mode.14.78]. Such an ideal laser would be characterized by zero threshold power and was .42.

more conventional manner. As mentioned in the introduction. This may be utilized for providing unusually compact beam splitters or prisms as demonstrated using both 2D and 3D periodic structures [2. Due to the difficulties in fabricating 3D periodic structures. .84]. be considered a point defect in an ideal 2D photonic crystal. when low-loss. they do present general design guidelines for elimination of vertical losses and theoretical approaches. in fact. and applications of these in Chapter 7. The PCFs may. Considering the present problems of realizing low-loss 2D photonic crystals. namely if the spatial defect has a higher refractive index than the effective index of the surrounding photonic crystal structure.2. may.36. therefore. however.2.2]. the fibre is operating truly by PBG-effect. the PCF is operating by simple index guidance. At the point in time. [2. hence. In this case. is identical to the propagation constant of the fibre.90] concerning these subjects. or Sondergaard et al. both the point defect and the 2D photonic crystal are infinitely extending in the invariant direction. which falls within the 2D PBG of the photonic crystal. Light with a non-zero outof-plane wave vector component. sharply bent 2D photonic crystal-based waveguides . therefore.81]. only few studies have addressed 3D photonic crystal waveguides for the optical domain [2. which may be applied also for modelling of real 2D photonic crystals including spatial defects. it will undoubtedly be a break-through achievement. the waveguide-core in a photonic crystal fibre (PCF) may. seems fruitful for design of leakage-free 2D photonic crystals waveguides. In this case. The whole area of photonic bandgap investigations has also spurred a number of interesting new technologies such as the one using surface plasmons [2. interesting aspects of 2D and 3D periodic structures concern their ability of displaying strong diffractive effects and so-called ultrarefractivity [2. The out-of-plane wave vector component. Hence. Elaborating upon the ideas presented in the above-referenced papers.49].82]. [2.87]. photonic crystals waveguides in planar applications. the two different cases of PBG.operating at optical wavelengths are demonstrated experimentally. exploitation of the above features may be further attractive as only a very limited number of periods might be required to display strong diffractive effects. be trapped in the plane of periodicity' and guided along the point defect in the direction perpendicular to the periodic plane.. which opens the possibilities of realizing large-scale integrated optics. respectively. Finally. See also recent publications by Johnson et al. also trap light at the spatial defect in a.82-2.and indexguiding PCFs shall be treated separately in Chapters 6 and 5. In contrast to the line defects employed for 2D.

[2. Because of the symmetry. This means that the magnetic field may be expressed as follows: H' (X.nting a ~iven fOint in space. As explained in [2. where I is an integer). the permit~ivity of the periodic structure may be described as " (2. .J 2.1) where r is a vector represe.. The basic step length is the lattice constant. (2. R = fa .2) is known as a Bloch state [2. the discrete periodicity leads to a x-dependence for the magnetic field H that is simply the product of a plane wave with a x-periodic function. If we for simplicity choose to look at a simple structure. where a is the distance given as .and especially photonic bandgap .e.. if b is chosen as b = 2JC/ a. which only is periodic in one direction such as the Bragg stack shown in Figure 2-1. we have that sir) = s~r+ R for any vector R that is an integral multiple of a (i. but modulated by a periodic function because of the periodic lattice. ) oc e jk x x.1].described by a vector. and the basic step vector is named the primitive lattice vector [2.1].3 TERMS INVOLVED IN PHOTONIC CRYSTAL TECHNOLOGY It is important to realise. which are a multiple of some fixed (basic) step length in a specific direction .2) is commonly known as Bloch's theorem..x Uk ( X... that when we talk about photonic crystal materials . and without loss of generality chose the periodicity to be in the x-direction.. as described by Jouannopoulos et al. A central point concerning Bloch states is that the Bloch state with a wave vector kx' and the Bloch state with wave vector kx + mb are identical. This means. we can think of it as a plane wave. [2. ) (2. who chose to use the name Bloch states. By _£epeating the translation. which we here choose to name a .the structures does not have continuous translation symmetry. but Father they have discrete translational symmetry. Within the field of photonic crystal research. whereas it in mechanics is called a Floquet mode [2.. (2.86].materials . the most cornmon choice of terms follow the directions of Joannopoulos et al.2) The relation expressed in Eq.85]. as it would be in free space..1] that the structures only are invariant under translations of distances.1]. and in solid-state physics. the form of Eq.

r6ij . we will in the remainder of this chapter focus on the fundamental properties of the photonic crystal waveguides.4 EFFICIENT STRUCTURES FOR CREATING PHOTONIC BANDGAPS IN FIBRES This section will address the properties of 2D photonic crystals in the case of wave propagation with a non-zero wave vector component perpendicular to the periodic plane.1] for a further description of the concepts of reciprocal lattices and Brillouin zones. it should.. which generally belongs to the category of photonic crystal fibres.r / a < k x < .(r + R) for all lattice vectors R . which describes important. We may recommend the book by Joannopoulos et al. be noted that analogous arguments' may be applied. Each value of the wave vector k inside the Brillouin zone identifies an eigenstate and an eigenvector H 1( of the form H k (r . The primay focus of this section will be on the photonic bandgap effect.e A1(·. This means that we only need to consider k x that exist in the range -.. The modes of a three-dimensional periodic system a~e Bloch states. m(kx) = m(kx + mb). which is inhabited by wave vectors as described in [2.r where (2. The vectors (hI' - (aI' b2.a3) give rise to three primitive reciprocal lattice vectors Qi • bj = 2. bl + k2b2 + k3b3' - where k lies in the Brillouin - zone.2]. b3) defined so that - - - 02 .. This region.)-k (-) . however. . These reciprocal vectors form a - - I lattice of their own. which are said to "span" the space of lattice vectors [2.from a physical point of view. which can be labeled by k = k. when the dielectric is periodic in three dimensions.e. Anyone of these lattice vectors can be written as a particular combination of three primitive lattice vectors (a1 ' 02 ' a3 ). and not so much on so-called index-guiding photonic crystal fibres.2].r/ a.. i.e. [2. the mode frequencies must also be periodic in kx' i. non-redundant values of k x is called the Brillouin zone. u.3) u1((r) is a periodic function on the lattice. In other words. In this case. 2.(r) = u.. Consequently. the dielectric is invariant under translations through a multitude of lattice vectors R in three dimensions.-) u. Before we go on.

g. respectively. _~ ~ ~_ . A calculation of the band diagram for a 2D photonic crystal with air holes arranged on a triangular lattice in a GaAs background material is illustrated in Figure 2-4. the electromagnetic fields may_ be decomposed into two polarization states.26. Hence. which exhibits a complete in-plane 2D PBG and illustrate the behaviour of the PBG as the out-of-plane wave vector component is varied.:J~~_:~ __ . utilization of the higher frequency PBG is seen to require a periodicity which is approximately 2.).. utilization of this should provide the most robust operation (with respect to tolerance towards structural inaccuracies etc. However. of 45% and the dielectric constant of air and GaAs are 1.4.c:.applications.__ '~ 1: __ ~: £' __ . Albeit the silica-air systems have too low index contrasts for complete in-plane PBGs' to be exhibited.6. and a narrow PBG between bands seven and eight around AI A = 0. -~ 1 ~_ . which may be obtained in the PBG fibres. the eigenvalue problems.. ~~1 : . the two PBGs have a relative size of 40%-and 2%. Figure 2-4 (a) reveals a broad 2D PBG for the TE-polarization case occurring between the first and second bands around a normalized frequency AI A = 0.1 In-plane photonic crystals The general matrix equation for the _H -field (see Section 3._- ./-_. Defining the relative size of a PBG as the frequency difference between the upper and lower PBG edges divided by the centre frequency. Hence.. 2.£'. where in one case the E -field (electric field) has only components perpendicular t~ the hole/rod-axis of the 2D photonic crystal... the two polarization cases are referred to as transverse electric (TE) and transverse magnetic (TM). The analysis of silica-air photonic crystals will both address simple triangular structures as well as more advanced structures with multiple silica dopants introduced..•. 11 .63. Hence.5 times larger than for utilization of the lower frequency PBG. The analysis will start out by taking basis in 'a high-index contrast structure. and in the other case the H -field has only perpendicular components.... e.-- - ------- ----------- -J - -------. The photonic crystal has an air-filling fraction. respectively. Hence. respectively. which must be solved.. f. -0------- The reason for this choice is the fundamentally new properties (compared to waveguiding by total internal reflection). concern only matrices of dimensions NXN._: ~1_.0 and 13.1. Thereafter. -when wave propagation is restricted to the plane of periodicity in a 2D photonic crystal. For such wave propagation. for applications at short wavelengths. the system may display complete PBGs in the out-of-plane case.- --. for components ~_~_~ . the investigations will be focused on a detailed analysis of silicaair photonic crystals. the lowest frequency PBG has the largest size and for practical .4) becomes further reduced.

{! '" . !L3 . Therefore.5 (}.". the band diagram is illustrated in Figure 2-4 (b). be opened up. tk: t"-'< . The photonic band structure diagram in the case of TEpolarized wave propagation is illustrated in (a) and for TM-polarized wave propagation in (b). This frequency interval.4 -. A more detailed analysis of the variation of the two PBGs with respect to filling fractions and index contrast may be found in [2. Figure 2-5 illustrates both the TE and TM bands for a 2D GaAs-air photonic crystal withf= 70%. shall be referred to as a complete 2D PBG..~ < ·V 11.>-. The air-filling fraction is 45%. no PBGs exist in this case. By increasing the air-filling fraction of the photonic crystal. As seen from the figure. .v('~tt)f (Ii) Figure 2-4. the specific 2D photonic crystal may not be utilized for reflection of electromagnetic waves of arbitrary polarization. a common frequency interval exists for the large TE-polarization PBG and the more narrow TM -polarization PBG.b :--+ a tU !LI Q 0 '"' Z t: M X Ind)!~Ul\'~ wavevccror o ). tJ. were these overlap.t ~ ~ .32 Chapter ~ structure dimensions may represent the limiting factor.1].. In-plane analysis of a triangular 2D photonic crystal consisting of circular air holes in a GaAs background material. exploration of the higher frequency PBG may be advantageous. a 2D PBG common to both polarization may. however.. Considering the same 2D photonic crystal but in the case of TMpolarization.1.. g ~ !.1 X. ln-plunc wayt.. As seen.

...e.".8 5 -. where the hexagonal structures are generally found to display wider PBGs [2. This line of argument is supported by both experimental and numerical comparisons between 2D photonic crystals with square and hexagonal symmetries. and the waves will not experience an identical periodicity of the photonic crystal (see e.. a circular shape of the 1.41. Similar arguments apply to 3D photonic crystals (where a sphere-like 1.. Brillouin zone is optimum).1 ~ s 1) 0. <) . -- 1 ...g.. and a narrow complete PBG is present as indicated by the shaded area.1]..-. Brillouin zone (i. these may be viewed as propagating in different directions.and TM-polar_izationband structures are illustrated.-0- .. and the line of arguments has provided important design-guidelines for experimental realization of the first structures exhibiting 3D PBGs r2....- ../_. _.. if these have a frequency overlap. Brillouin zone is desirable).. and the likelihood will further be increased by raising the index contrast between the holes/rods and the background material. but each wave may be thought of as experiencing a pseudo-ID periodic structure. the likelihood of a 2D periodic structure to exhibit 2D PBGs may be regarded from the degree of smoothness of the 1. Banddiagram for a 2D photonic crystal consisting of circular air holes arranged on a triangular lattice in a GaAs background material...» ~ .6 0.. <: . - Z f""" t:: 02 o r M X r In-plane wavevector Figure 2-5.. The photonic crystal has a relatively large air-filling fraction of 70%. Therefore.but with different wave vectors. the scattering of the different waves will not be identical. Each of these pseudo-If) periodic structures may be regarded as capable of exhibiting a ID PBG and a full 2D PBG is displayed. For the above . In reciprocal space. An intuitive understanding for the opening of the PBGs may be obtained by considering a series of plane waves of similar frequency . Hence.4 ""0~ N . 0... Figure 3-6 (b) to ease the conception of this explanation)... . Both TE..

the complete 2D PBG around N'A = 0. kz is naturally zero. the components of the Hfield become coupled in the case of kz . It is.3 for details). . for larger problems such as for the calculation of guided modes in PBG. the complete 2D PBG. However.4. which exists for the in-plane case of the 2D photonic crystal consisting of air holes in GaAs (the air-filling fractionf= 70%). a different plane wave implementation with a much more efficient scaling must be considered.4) where H is the magnetic field. kz is the out-of-plane wave vector component.. it is noteworthy that convergence is obtained using approximately 300 shortest reciprocal lattice vectors . In contrast to the case of kz = 0. and the full matrix equation presented in Chapter 3 must be solved (see Section 3. is well documented in literature [2. In the case of in-plane propagation.4 is narrowed and pushed towards higher frequencies as k. which forms the basis of several of the calculation results presented in this chapter. is "monitored". studies of square-symmetry photonic crystals.5n. The figure illustrates the band diagrams for kzA values ranging from 0 to 1. This approach will be presented in the following section. and ~I is a vector representing a point in the periodic pla~e. In Figure 2-6. and the error on the frequencies was estimated to be smaller than 0. This method..fibres.g.f:. the H-field in such a crystal may be written on the form: (2. a few words should be added concerning the convergence criterium of the plane-wave method. while moving out of the periodic plane.94] and will not be elaborate on here.From in-plane to out-of-plane photonic crystals Due to the invariance in the direction perpendicular to the periodic plane of 2D photonic crystals (defined as the z-direction).focussed on in this book as opposed to e.93-2.fibres. a higher number of lattice vectors (N > 10000) are required reach convergence.2 . for full periodic structures. These computations were readily performed on standard personal computers. 0. The band diagrams presented in this chapter were calculated using the approximately 500 shortest reciprocal lattice vectors. is increased. r is the vector representing a point in space. As seen from Figure 2-6.5%. However. As the demands for computing resources scales as N for the plane-wave method outlined in this chapter. Finally. 10 2. and later employed 'for the treatment PBG.

reveals that no frequency interval exist.Slre. however. which fall within a PBG at all k. As seen. Photonic band diagrams for a triangular lattice of circular air holes in a GaAs background material. and (d) kzA = l. a range of new PBGs are seen to open up at larger kz-values. .Slre. In contrast to the behavior of this PBG. This means that no PBGs exist for arbitrary propagation direction and that a full 3D PBG cannot be exhibited by a 2D . The behaviour of the 2D PBGs is more clearly observed by plotting the PBG edges as function of k. when moving out of the periodic plane and closes at a kzA-value of 5.-values. The figure. A further interesting property of the 2D photonic crystal is revealed in Figure 2-6 (d).85. (c) kzA = Ire. since the PBG is extending over the whole boundary of the irreducible Brillouin zone. the complete in-plane PBG is rapidly narrowing. The air-filling fraction f =70%. Results are presented for: (a) kzA = 0.the out-of-plane case.M X (al o o~------------------~ o o (b) o~----------~------~ o~----~------------~ e o o o (c) (d) Figure 2-6. Such a plot is presented in Figure 2-7. which is not present in the in-plane case is opened up between bands 13 and 14 at a AlA-value of approximately 0. namely that a complete PBG. where the PBGs occurring within the 15 lowest-frequency bands are illustrated. (b) kzA= O.

. In contrast to this. These problems are not only related to GaAs 2D ph atonic crystals. Illustration of the out-of-plane PBGs exhibited by a triangular GaAs-air photonic crystal with f = 70%. This section has aimed at introducing out-of-plane wave propagation in photonic crystals and a high-index contrast system of GaAs-air was chosen for this purpose. but generally apply to all semiconductors and other solid-state crystalline materials. k. This forbidden region and the characteristics of the lowest-order mode may be interpreted in a very simple manner using effective-index considerations (as we will see later).36 Chapter 2 Apart from the behaviour of the 2D PBGs. is not feasible due to the technological problems in fabricating such structures. how the lowest frequency band is pushed upwards for increasing kz-values and that a forbidden region is opened between the lowest band and NA = O. exploitation of out-of-plane PBG effects in GaAs 2D photonic crystals. 2D photonic crystals of practically infinite length in the invariant direction are feasible from realization in glass materials.A Figure 2-7. Figure 2-6 and 2-7 also illustrate. which have a significant extent in the invariant direction (hundreds and more optical wavelengths). The figure also illustrates the lowest-frequency mode allowed of the photonic crystal. However. Normalized out-of-plane component.

22)).95]: .3 The supercell approximation and efficient plane-wave method As mentioned in the proceeding section. In 1993 Meade et al. If we for a moment borrow the results from Chapter 3 (see especially Eq. (3.fY':HUI WUVf::bUIUf::.Hk. A further limitation of the basic plane-wave method is that the discontinuous. nature of the refractive index distribution causes convergences problem due to Gibbs phenomenon for the involved Fourier transformation [2. the n-th eigensolution [:~. [2. where a significantly higher number of expansion terms are required [2.95].5) and (2.')' .96].18) and Eq. r urtaurnerucu s U) r: rtou.D .photonic crystal structures using the basic planewave method (which typically requires less' than 2000 expansion terms). L.6) - where the subscript k indicate that solutions are sought for a specific wave vector. Whereas.4. (3.mu. the basic plane-wave method .41) may be found by minimization of the functional [2.n .4.L. (3. the wave equation and the Fourier-series expansion of the H -field are: (2.)1 2. does suffer from the fact that the computer processing time and storage requirements grow rapidly with size and complexity' of the photonic crystal structure. This method may be applied to the modelling of out-of-plane wave propagation in 2D photonic crystals including defects using a so-called supercell approximation and the theory of this efficient method and the supercell approximation will be described in more detail in the following text. the method may not be applied accurately to the case of defects in photonic crystals. 'it is feasible with today's computers to accurately analyse full-periodic 2.n1 to Eq. Instead of setting up the matrix equation as will be discussed in Section 3..94] presented an advanced method that lead to dramatic lowering in the computational demands and made accurate analysis of large photonic crystal structures feasible.

The method further circumvents any problems related to Fourier transforming the refractive index distribution (by operating only upon this in real-space). gradient method for the generation of the effective change vectors [2. The scaling of the computer time is dominated by the FFT that is on the order of Npw log(Npw ).7).A' and the problem is reduced to varying t~e coefficients along a path that minimizes the functional E(H k ).6) in Eq. the memory requirements scale linearly with the number of expansion terms.7) where (2. Higher-order eigensolutions are found by restricting the trial-vectors to being orthogonal to all previously found eigenvectors and using the same minimization principle.41) may be performed. the functional effectively becomes a function of the coefficients hk+Q. This is achieved by performing the rotations V x in reciprocal-space and the operation Er (_) in real-space.n . The fast Fourier transformation (FFT) is used r to go from one space to the other. since all matrix operations involved in solving Eq.97]. whilst Er ( _) is diagonal in r real-space. By inserting a trial vector on c the form (2. (3. A further important issue in order to obtain a fast convergence using the variational method is to find an appropriate representation for the refractive index distribution.L (2. Hence. (3. 2 E(H k ) is the corresponding eigenvalue (j)k. It is vital for the minimization approach that fast evaluation of the left-hand side in Eq. An efficient iterative scheme that performs this task utilizes a preconditioned conjugate .. Npw.8) When the functional E(H k) is at a minimum. (2.41) are diagonal using this approach. The advantage of this approach is that the curl operation is diagonal in reciprocal space. H k is an eigenvector and . and samples the refractive index distribution within .

. and compared to the basic plane-wave method. the size of the supercellmust be large enough to ensure that neighbouring defects are uncoupled. Fundamentals of Photonic Crystal waveguides 39 that the method is just as applicable to arbitrary periodic structures as to ideal structures (to be presented in the preceding chapters). Since plane-wave methods utilize the periodicity of the photonic crystals for the expansion of the electromagnetic fields and the refractive index distributions. This is known as a supercell approximation. an artificial super periodicity is introduced.2. it provides a much more efficient scaling to allow accurate modelling of large computational tasks such as for PBG-fibres.98]: (2. The interpolation that has been used for' the present implementation is based on (2. where also the defect is repeated periodically.1)/ e 2 1 (2. the plane-wave methods may still be applied.Wiener limits [2.----. the "number of sampling points should preferably be similar to the number of plane waves used for the expansion of electro-magnetic fields and an appropriate interpolation of the refractive index distribution is necessary [2. if the smallest region describing the structure is enlarged to include the defect and several periods of the photonic crystal that surround it. As demonstrated by Meade et al. However.--(/ .10) & j_ / / 1 &1 + -.fibre.. To accurately determine the properties of the defect region. they are not directly suited for simulating spatial defects. In this way. Figure 2-8 illustrates the supercell utilized for the simulation of a honeycomb PBG.9) where n = nxx + nyY is the unit-vector normal to the dielectric interface c and eL and &11 are the.11) The variational method yields very fast computations for full-periodic structures.94].

These two bands are introduced solely by the defect region and correspond to a doubly-degenerate mode. in fact.40 Chapter 2 Repeated defect Figure 2-8. The large supercell is required in order to simulate the central defect region as isolated even though it is. repeated periodically. similar sized. and hereby indicate the properties of these fibre structures. Figure 2-9 (a) shows the band diagram for the cladding structure of the fibre (i.defined by the maximum frequency of band number 18.0. Illustration of a supercell with a size of 4 x 4 simple honeycomb cells. when using the super-cell approximation. a silica-air honeycomb photonic crystal with a relatively low air-filling fraction f = 10% and a single. a PBG appearing above band n for the full periodic structure will correspond a PBG above band nm'.found. the lower PBG boundary is re. As seen from the figure. A relatively small supercell corresponding to 3 x 3 simple honeycomb cells was used for the calculation..e. To perform a first analysis of honeycomb PBG-fibres. . Due to the folding. A calculation of the band diagram for the photonic crystal including the defect is illustrated in Figure 2-9 (b). extra air hole introduced is chosen.in this case . This boundary is . As seen from the figure. for the full-periodic honeycomb photonic crystal) at a fixed normalized propagation constant of ~A = 7. The upper PBG boundary is also re-found for the super-cell calculation. but in addition two bands is found within the PBG region for the super-cell calculation. the super-cell causes a folding of the bands in the Brillouin zone. when using using a m x m supercell approximation.

0): (b) Photonic band diagram for a similar photonic crystal but with a single.. For accurate simulation...:planc wavevector (1. will additional evaluation of the numerical inaccuracies of the variational method be needed (birefringence in honeycomb PBG-fibres will be analysed in Section 6. therefore. Hence.. PA = 7. Generally.M X -:-. For accurately determination of the properties of the defect modes._ 0. within the PBG.2).9 --. 16384 plane waves for the expansion of the electromagnetic fields.. B i . in reciprocal space.75 '-"-. For calculations using a super-cell size of 4 x 4 simple honeycomb cells.01 % is achieved. . Following these arguments.. extra air hole introduced to form a defect. . where the mode-index must be determined very accurately (.. Fundamentals of Photonic Crystal waveguides 1 41 ~ < 1 ::it o -= 0. exist within the super-cell (irrespectively of its size) and no folding of the bands corresponding to the defect will occur.J 1 0.5. which correspond to a doubly-degenerate defect mode. the unit cell used for the approximation would become reduced to a single point and an infinite number of flat. folded bands should occur across the Brillouin zone in the allowed frequency intervals.2.85 1 I ~ ~ . 0. two additional bands occur. However. and the same number of expansion terms for the refractive index distribution.85 . the defect bands should be flat across the Brillouin zone. of the accuracy on the determination of the defect modes is to determine the variation of the defect bands across the Brillouin zone. an accuracy on the frequency of the defect modes of better than 0. however. the super-cell should ideally be infinitely large. The super-cell cal~ulation predicts the same frequencies of the PBG boundaries. A super-cell with a size of 3 x 3 simple cells was used for the calculation...) o Figure 2-9. (a) Photonic band diagram for a full-periodic honeycomb lattice of circular air holes in a silica background material (j= 10%. (a) 'M X In. but due to the relatively small super-cell some variation may be observed. an important evaluation of the super-cell approximation and.df3lk ~ 10-5). ~ ~ O~9S i). only for studies of the birefringence properties of PBG-fibres.8 0 o MS 0 In~plnne waveveetor . This accuracy is sufficient for accurate determination of most of the PBG-fibre properties that are going to be investigated in most cases.. Only a single defect should.

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N 'YI '" .r---1 .

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