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

• • •

• • •

• • •

• • •

• • •

• • •
• • •
a
• • • • • •

r • • • • • •
k • • • • • •

• • • • • •

• • • • • •

• • •

• • •

• • •

• • •

• • •

• • •

• • •
planewave
r r r r
i ( k ⋅ x -wt )
E, H ~ e
r 2p
k =w /c = for most l, beam(s) propagate
l 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 3-D

periodic in periodic in periodic in

one direction two directions three directions
(need a
more
complex
with photonic band gaps: “optical insulators” 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–
+
e– +
+
r r r
E current: J = sE
conductivity (measured)

mean free path (distance) of electrons

A mystery from the 19th century
crystalline conductor (e.g. copper)
+ + + + + + + +
10’s
e– + + + + + + + + of
+ + + + + + + + periods!
e–
+ + + + + + + +
r r r
E current: 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:

Bloch’s Theorem (1d: Floquet’s)

The foundations do not depend on the specific wave equation.

Time to Analyze the Cartoon

• • •

• • •

• • •

• • •

• • •

• • •
• • •
a
• • • • • •

r • • • • • •
k • • • • • •

• • • • • •

• • • • • •

• • •

• • •

• • •

• • •

• • •

• • •

• • •
planewave
r r r r
i ( k ⋅ x -wt )
E, H ~ e
r 2p
k =w /c = for most l, beam(s) propagate
l 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 First task:
c ∂t c get rid of this mess
r r 1 ∂ r r0 w r
—¥H =e E + J = i eE
c ∂t c
dielectric function e(x) = n2(x)

1 r Êw ˆ 2 r
+ constraint
—¥ —¥H =Á ˜ H r
Ë c¯ —⋅ H = 0
e
eigen-operator eigen-value eigen-state
 Hermitian Eigenproblems

1 r Êw ˆ 2 r
+ constraint
—¥ —¥H =Á ˜ H r
Ë c¯ —⋅ H = 0
e
eigen-operator eigen-value 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 équations différentielles linéaries à coefficients périodiques,” Ann. École Norm. Sup. 12, 47–88 (1883). ]
[ F. Bloch, “Über die quantenmechanik der electronen in kristallgittern,” Z. Physik 52, 555–600 (1928). ]

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

r r i ( k ⋅ x -wt ) r
r r
r
can choose: 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
map of
w2 what states
w exist &
can interact
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 e(x) = e(x+a)
i( k +
2p
)x È i
2p
x ˘
ikx
Consider k+2π/a: e a
H 2p (x) = e Í e a H 2p (x)˙
k+
a
Í
Î k+
a
˙˚

k is periodic: periodic!
satisfies same
k + 2π/a equivalent to k equation as Hk
“quasi-phase-matching” = Hk
Periodic Hermitian Eigenproblems in 1d
k is periodic: e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2
k + 2π/a equivalent to k
“quasi-phase-matching”
a e(x) = e(x+a)
w

band gap

k
–π/a 0 π/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, 145–159 (1887). ]

Start with e1
a uniform (1d) medium:

w k
w=
e1

k
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, 145–159 (1887). ]

Treat it as e1
“artificially” periodic

a e(x) = e(x+a)
bands are “folded”
by 2π/a equivalence w
p p
+ x - x
a a
e ,e
Êp ˆ Êp ˆ
Æ cosÁ x˜ , sinÁ x ˜
Ëa ¯ Ëa ¯
k
–π/a 0 π/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, 145–159 (1887). ]

Treat it as
“artificially” periodic

a e(x) = e(x+a)
e1
w
Êp ˆ
sinÁ x ˜
Ëa ¯
Êp ˆ
cosÁ x ˜
Ëa ¯

0 π/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, 145–159 (1887). ]

Add a small
“real” periodicity
e2 = e1 + De
a e(x) = e(x+a)
e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2
w
Êp ˆ
sinÁ x ˜
Ëa ¯
Êp ˆ
cosÁ x ˜
Ëa ¯

0 π/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, 145–159 (1887). ]

Splitting of degeneracy:
Add a small state concentrated in higher index (e2)
“real” periodicity has lower frequency
e2 = e1 + De
a e(x) = e(x+a)
e1 e2 e1 e2 e1 e2 e1 e2 e1 e2 e1 e2
w
Êp ˆ
sinÁ x ˜
Ëa ¯
band gap Êp ˆ
cosÁ x ˜
Ëa ¯

0 π/a x=0
 Some 2d and 3d systems have gaps
• In general, eigen-frequencies satisfy Variational Theorem:

r r 2 “kinetic”
r 2 Ú( )
— + ik ¥ E1
2
w1 ( k ) = min
r r 2 c
E1
r
—⋅eE1 = 0 Ú e E1 inverse
“potential”
r 2
w 2 ( k ) = min
r "L" bands “want” to be in high-e
E2
r
—⋅eE 2 = 0
*
Ú 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
1

/l
0.9

frequency w (2πc/a) = a
0.8

0.7

0.6

0.5

0.4
Photonic Band Gap
0.3

0.2
TM bands
0.1

irreducible Brillouin zone G X M G

M
r E gap for
k X TM
G H 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 0
G X M G

E gap for
– +
TM
H n > ~1.75:1
 2d periodicity, e=12:1
a
1

/l
0.9

frequency w (2πc/a) = a
0.8

0.7

0.6

0.5

0.4
Photonic Band Gap
0.3
TE bands
0.2
TM bands
0.1

irreducible Brillouin zone G X M G

M
r E E
k X TM TE
G H H
2d photonic crystal: TE gap, e=12:1

TE bands
TM bands

E
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 z
0.3 L'
U'
0.2 X G
K'
U'' U W
0.1 W' K L

I: rod layer 0
II: hole layer
U’ L G X W K

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