Preparatory School To The Winter College On Micro and Nano Photonics For Life Sciences

1931-4
Preparatory School to the Winter College on Micro and Nano

Photonics for Life Sciences
4 - 8 February 2008
Photonic crystal basics.
Marco CENTINI
Università degli Studi di Roma
'La Sapienza'
Rome, Italy
Preparatory School
to the
Winter College on Micro and Nano Photonics for Life Sciences
(4-8 February 2008)
Photonic Crystals Basics
M.Centini
Universita’ di Roma, “La Sapienza”, Roma, Italy
Outline
Introduction: Photonic Crystals: definition and History;
1D, 2D,3D Photonic Crystals: examples;
Propagation of e.m waves

in periodic media: Bloch’s Theorem, Band Diagrams;
Group velocity, band edge effects;
Analysis of 1D Ph. C. Calculation of photonic bands;

Off axis propagation, isofrequency curves;
Finite size structures;
2D and 3D structures: Reciprocal lattice;

Brillouin zone, irreducible Brillouin zone;
Optical properties of Bulk Ph. C.
Photonic Crystals with

Intentional defects: High Q cavities; Control of spontaneous emission:
Bragg waveguides; Photonic crystal waveguides;
Photonic crystal fibers
1
Photonic Crystals
Periodic dielectric structures that can interact resonantly with radiation with
wavelengths comparable to the periodicity length of the dielectric lattice.
WHY ARE THEY CALLED PHOTONIC CRYSTALS?

Can affect the properties of photons in much the same way that ordinary
semiconductor and conductor crystals affect the properties of electrons.
Properties of electrons in ordinary crystals are affected by parameters like lattice
size and defects, for example. Crystals are made of periodic arrays of atoms at
atomic length scales.
HOW DO THEY LOOK?

Crystal Photonic Crystals Yablonovite
1d 2d 3d
From Bragg Gratings to Photonic Crystals in 5 Steps
1785: The first man-made diffraction grating was made by

David Rittenhouse, who strung hairs between two finely
threaded screws.
1913: Bragg formulation of X-ray diffraction by cristalline solids
1928: Bloch’s Theorem describe the conduction of electrons

in crystalline solids. ( Math developed by Floquet in 1D case in 1883)
1976: A.Yariv and P. Yeh, study of dielectric multilayer stacks,
waveguides and bragg fibers.
1987: Prediction of photonic crystals
S. John, Phys. Rev. Lett. 58,2486 (1987), “Strong localization of photons

in certain dielectric superlattices”
E. Yablonovitch, Phys. Rev. Lett. 58 2059 (1987), “Inhibited spontaneous
emission in solid state physics and electronics”
2
Suggested readings
Websites:
http://www.pbglink.com for Extensive web listing of PBG information

http://ab-initio.mit.edu/mpb MIT photonic- band package
http://homepages.udayton.edu/~sarangan Dayton Univ. Lectures on Photonic crystals
Books:
Photonic Crystals: Towards Nanoscale Photonic Devices, J-M Lourtioz et al. Springer (2003)
Roadmap on Photonic Crystals by Susumu Noda (Editor), Toshihiko Baba (Editor), Kluwer
Academic Publishers; (2003).
Nonlinear Photonic Crystals by R. E. Slusher and B. J. Eggleton Eds., (2003).
Photonic Crystals: The Road from Theory to Practice: S. G. Johnson and J. D.Joannopoulos,
Kluwer (2002).
Optical Properties of Photonic Crystals K. Sakoda, Springer (2001).
Quantum Electronics 3°edition A. Yariv, Wiley (1989).
Optical waves in Layered media Pochi Yeh, Wiley (1988).
1-D Photonic Crystals

a closer look Unit cell
The dielectric constant is periodically ε1 ε2

modulated in one dimension:
r
ε (r ) = ε ( x ) = ε ( x + na ); x
n = 0,±1,±2,...
a
From cartoons to pictures….
A scanning electron microscopy image of a tiny
dielectric mirror being cut from a larger piece of
material.
The alternating layers of Ta2O5 and SiO2 which

form the mirror are clearly visible.
3
a closer look
According to their definition, photonic crystals can interact resonantly with
radiation with wavelengths comparable to the periodicity length of the
dielectric lattice.
Broadband dielectric mirrors used in optics experiments. The characteristic color

of the mirrors is caused by their wavelength dependent reflectivity.

a closer look
Square lattice of cylindrical rods
The dielectric constant is periodically
modulated in two dimensions:
r
ε (r ) = ε ( x, y ) = ε (x + na x , y + ma y );
n, m = 0,±1,±2,...
y
A cylinder is put at every lattice point.
Any Bravais 2-D lattice is defined by 2
primitive vectors, for the square lattice they
are: r
a1 = a x xˆ;
r ay
a2 = a y yˆ ;
Thus every lattice point can be written as: ax u.c. x
r r r
R = na1 + ma2 ;
n, m = 0,±1,±2,...
4
a closer look
Primitive unit cell: Unit Cell: a volume (if 3D) space that, when translated through all
the vectors of a Bravais lattice, just fills all of space without either overlapping itself or
leaving voids.
There is no unique way of choosing a primitive cell for a given Bravais lattice.
Rhombic lattice or isosceles triangular lattice
Obvious primitive cell can be defined ( triangular lattice if triangles are equilateral)
starting from the primitive vectors: y
r r r r r
a1; ε (r ) = ε (r + na1 + ma2 );
r
a2 ; n, m = 0,±1,±2,...
With r belonging to the primitive cell
a2
Wigner-Seitz primitive cell
a1 x
Primitive cell with the full symmetry of the
Bravais lattice. It is the region of space around
a lattice point, closer to that point than to any
other lattice point

a closer look
Living example of a 2D Photonic Crystal, the “Sea Mouse” spine.
5
a closer look

a closer look
The dielectric constant is periodically modulated in three dimensions.
Lattice is defined by 3 primitive vectors:
r
a1;
r
a2 ;
r r r r r
a3 ; R = na1 + ma2 + la3 ;
n, m, l = 0,±1,±2,...
r r r r r
ε (r ) = ε (r + na1 + ma2 + la3 );
n, m, l = 0,±1,±2,...
With r belonging to the primitive cell
Reference: Ashcroft & Mermin, Solid State Physics, Saunders College Publishing for
details on 3D Bravais lattices and crytal symmetries
6
a closer look
At the micro scale precious opal is composed of silica(SiO2) spheres some 150 to 300
nm in diameter in a hexagonal or cubic closed packed lattice. These ordered silica
spheres produce the internal colors by causing the interference and diffraction of light
passing through the microstructure of opal
Natural
Natural opals
opals
Propagation of e.m waves in

periodic media:
7
Scattering of light in periodically patterned media
Periodicity comparable to incident light wavelengths can be responsible for

constructive interferences among scattered light by every lattice point. The
phenomenon is exactly the same as it happens in diffraction gratings.
The tracks of a compact disc act as a diffraction grating, producing a separation of the colors of
white light. The nominal track separation on a CD is 1.6 micrometers, corresponding to about 625
tracks per millimeter. This is in the range of ordinary laboratory diffraction gratings. For red light of
wavelength 600 nm, this would give a first order diffraction maximum at about 22°.
Periodically patterned media

Vs.
http://my.fit.edu/~phsu/
Random media
Si wafer top side with devices - patterned roughness. wafer back side with random roughness
Light is scattered in all directions, there is no

Resonant reflectivity at given incident
evidence of frequency or angle dependent response
angle and wavelengths
induced by random roughness
8
Introduction to Bloch’s Theorem
waves in a periodic medium can propagate without scattering
Electrons Photons
Light scattered from a random media: The

effect can be weak or strong depending on
density of scatterers. Size and shape of the
scatterers produce wavelength and angular
dependence on the efficiency of scattering
If the atoms were randomly placed the free
electrons would experience strong Laser scattered by dust
scattering with the lattice atoms and a short
mean free path is expected.
This is in contrast with the high value of

measured conductivity for some crystals.
But crystal lattice are periodic with typical

sizes of a few Å and electrons can be
Photonic crystals are characterized by primitive
treated as waves (quantum mechanics)
cells of a size comparable to the wavelength of
with energies corresponding to a typical
the photon. Resonant scattering can occur as a
wavelength comparable to lattice size.
function of frequency and wavevector.
Introduction to Bloch’s Theorem

Electrons Photons
As a results electrons can propagate in a Periodic modulation of the dielectric constant
periodic lattice without experiencing can affect the properties of photons in much
scattering with a proper dispersive relation the same way that ordinary semiconductor and
(energy as a function of the wave vector) conductor crystals affect the properties of
electrons.
Band diagrams can be calculated using
Bloch theorem
NOTE forbidden region called GAPs. For certain geometries it exists a range of
Electrons with forbidden energies cannot frequencies called GAP for which light is
propagate inside the crystals. forbidden to exist inside the crystal
photon frequency
electron energy
wavevector wavevector
9
Bloch’s Theorem
for e.m waves in photonic crystals
Starting point: Maxwell equations and constitutive relations.
r
r ∂B
If the e.m field is time-harmonic and if the bodies are at rest or
∇× E = − , in very slow motion relative to each other:
∂t
r r r r r r r
r ∂D r j = σE , D = ε 0εˆr E , B = µ 0 µˆ r H .
∇× H = + j,
∂t
r
∇ ⋅ D = ρ, Neutral Insulators or dielectrics: ρ=0
r σ(conductivity) is negligibly small; non
∇ ⋅ B = 0. magnetically active µr=1;
r r r r r r r r
If we seek solutions of the form: E ( r , t ) = E ( r )e − iωt ; H ( r , t ) = H ( r )e − iωt ;
We have….
Ashcroft & Mermin, Solid State Physics, Saunders College Publishing for a proof of the theorem
Bloch’s Theorem
…the following eigenvalue equations:
r r 1 r r r r ω2 r r
Γˆ E E ( r ) = r ∇ × {∇ × E ( r )}= 2 E ( r ),
ε r (r ) c
r r r ⎧ 1 r r r ⎫ ω2 r r
Γˆ H H ( r ) = ∇ × ⎨ r ∇ × H ( r ) ⎬ = 2 H ( r ),
⎩ε r (r ) ⎭ c
If εr is a periodic function of the spatial coordinate Bloch’s Theorem states that fields solutions are
characterized by a Bloch wave vector K, a band index n and have the form:
r r r r rr r r r r rr
E ( r ) = EKrn ( r )eiK ⋅r ; H ( r ) = H Krn ( r )eiK ⋅r ;
with:
v r r r
ε r ( r ) = ε r ( r + ai ); a1;
r v r r r r Primitive vectors of
E Krn ( r ) = EKrn ( r + ai ); i =1,2,3. a2 ; the periodic lattice
r r r r r r
H Krn ( r ) = H Krn ( r + ai ); a3 ;
10
Bloch’s Theorem
Substituting Bloch’s solution into eigenvalue equations it is possible to calculate:
Eigen-angular frequencies: ωKvn ;

r v r v
Bloch modes (eigenvectors): EKrn (r ); H Krn (r );
If we consider infinite periodic structures, real values of ε (i.e lossless case), ΓE

and ΓH are Hermitian eigen-operators:
ωKvn ∈ R
r v r v
EKrn (r ); H Krn (r ); Are a complete set of orthogonal eigen-functions.
Solving equations for several values of K and w it is possible to calculate and plot
band diagrams ( dispersion relations)
Band Diagrams
Some Computational tools:
Plane Wave Expansion (PWE) Method -CPU time demanding and poor convergence
Koringa-Kohn-Rostker (KKR) Method - spherical waves expansion
Transfer matrix method - Developed by Pendry’s group at Imperial College. It also provides
amplitude and phase information.
- Rigorous Coupled-wave analysis RCWA
Dispersive properties:
Group velocity=Energy velocity ( proof: Yariv’s Optical waves in crystals)

r r r
v g = ∇ω ( K ) r r
K = K0
Phase velocity CANNOT be defined appropriately in photonic crystals because

eigenfunctions are superposition of plane waves and equiphase surfaces cannot be defined
properly. Nevertheless, in the effective medium approximation, long wavelengths with respect to
lattice periodicity the effective phase velocity can be defined as:
r
r ω ( K0 ) ˆ
vϕ = K0
K0
11
Analysis of 1D photonic crystals:
Analysis of 1D Photonic crystals

Also called Bragg gratings
since 1887
ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2
a ε(x) = ε(x+a)
For 1D systems we can write the field as:
r r r r
E ( x ) = EK ( x )eiKx with EK ( x ) = EK ( x + ma ); m = 0, ±1, ± 2,…
But what happens if we consider the Bloch mode with a wavevector K’=K+2*π/a?
r r i
2π x
E ( x ) = EK ' ( x )e a eiKx Periodic function satisfying the
same conditions as
r r
EK ( x ) = EK ( x + ma );
12
k is periodic:
k + 2π/a equivalent to k
“quasi-phase-matching”
Slow light close to the band edge

First Brillouin zone
ω
band gap
–π/a 0 π/a k
Almost linear behaviour:
Effective medium regime
irreducible Brillouin zone

ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2
1D lattice has only one primitive vector
a1 x
r
a1 = a xˆ;
a ε(x) = ε(x+a)
Being a periodic function, the dielectric constant can be expanded as a Fourier serie
ε ( x) = ∑π e
G =n 2 / a
iGx
ε~(G ), n = 0,±1,±2,...
The set of values of G are called the reciprocal lattice vectors:
NOTE: the primitive cell of the reciprocal lattice is g=2π/a

Dispersion curves are periodic with a unit cell = 2π/a called Brillouin zone
The Brillouin zone is a primitive cell of the reciprocal lattice
13
Calculating photonic bands
n1 n2 nn-1 nn nN
n0 n(N+1)
a0 a1 a(n-1) an
a(N+1)
b1 b(n-1) bn
b0
z
x00 xz11 z
x22 zx
n-2
n-2 xzn-1
n-1 xznn xzN-1
N-1 xzNN
z
x
For simplicity we consider only TE polarized waves.
In the l-th layer the field at angular frequency w can be written as:
[
E z ( x, y , t ) = al eik x ( x − xl ) + bl e− ik x ( x − xl ) e
l l
] ik y y − iωt
e
ω
Where ky is a conserved quantity in every layer and kl =
c
nl ; k lx = (k )
l 2
− k 2y ;

Thus the field in xl can be described by the following vector:
⎛ al ⎞
⎜⎜ ⎟⎟ l = 0,1,..., N
⎝ bl ⎠
With this field’s representation and imposing continuity of Ez and Hy at every interface it can be
shown that: ( see Optical waves in layered media by Pochi Yeh edited by Wiley & Sons)
⎛ al −1 ⎞ 1 ⎛1 + k xl k xl −1 1 − k xl k xl −1 ⎞⎛ e − ik x d l 0 ⎞⎟⎛ al ⎞ ⎛ A
l
B ⎞ ⎛ al ⎞
⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎜ ⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎜ ⎟
l l −1
⎝ bl −1 ⎠ 2 ⎝ 1 − k x k x 1 + k xl k xl −1 ⎟⎠⎜⎝ 0 e ⎟⎠⎝ bl ⎠ ⎝ C
ik lx d l
D ⎟⎠⎜⎝ bl ⎟⎠
Back propagation through the l-layer

Jump at the interface from l to l-1
14
For periodic structures with a unit cell composed of 2 layers, the transfer matrix of a
unit cell, relating the fields at the beginning of a unit cell with the field at the next cell
is:
⎛ an −1 ⎞ ⎛ A1 B1 ⎞⎛ A2 B2 ⎞⎛ an ⎞ ⎛a ⎞
⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎜ ⎟⎟⎜⎜ ⎟⎟ = Mˆ ⎜⎜ n ⎟⎟
⎝ bn −1 ⎠ ⎝ C1 D1 ⎟⎠⎜⎝ C2 D2 ⎠⎝ bn ⎠ ⎝ bn ⎠
* The index n refers to
the unit cell number
Transfer matrix of the unit cell
Transfer matrix of the layer composed by material 2
Transfer matrix of the layer composed by material 1
Next step: Use Bloch’s theorem to calculate bands!

According to Bloch’s Theorem the field in the (n)-th unit cell can be written as:
r r
E ( x + ( n − 1)a ) = E K ( x )eiKx eiK ( n −1) a 0≤ x<a
The field in the (n-1)-th unit cell can be written as:

r r r
E ( x + ( n − 2)a ) = E K ( x )eiKx eiK ( n −1) a e − iKa = E ( x + ( n − 1)a )e − iKa
The field at the first layer of the (n)-th unit cell is related to the field at the first layer of
the (n-1)-th unit cell by the relation:
⎛ a n −1 ⎞ ⎛a ⎞ ⎛ an −1 ⎞ ˆ ⎛ an ⎞
⎜⎜ ⎟⎟ = e − iKa ⎜⎜ n ⎟⎟ But also: ⎜⎜ ⎟⎟ = M ⎜⎜ ⎟⎟
⎝ bn −1 ⎠ ⎝ bn ⎠ ⎝ bn −1 ⎠ ⎝ bn ⎠
15
Thus we have an eigenvalue problem:
⎛ M 11 M 12 ⎞⎛ an ⎞ ⎛a ⎞
⎜⎜ ⎟⎜ ⎟ = e −iKa ⎜⎜ n ⎟⎟,
⎝ M 21 M 22 ⎟⎠⎜⎝ bn ⎟⎠ ⎝ bn ⎠
So we can calculate eigen values and eigenvectors:
⎛ an ⎞ ⎛ M ⎞
⎜⎜ ⎟⎟ = e inKa ⎜⎜ − iKa 12 ⎟
⎝ bn ⎠ ⎝e − M 11 ⎟⎠
and
1 ⎡1 ⎤
K (k y ,ω ) = arccos ⎢ (M 11 + M 22 )⎥
a ⎣2 ⎦
If:
|(M11+M22)|<2; K∈R → propagating Bloch wave
|(M11+M22)|>2; K=mπ/a + iKi → evanescent Bloch wave

15
x 10
2.5
2
angular frequency (rad/s)
1.5
0.5
0
-1 -0.5 0 0.5 1
K (units of π/a)
Onedimsimple.m
Matlab code developed using the model previously described. Codes are available.
16
y
Off axis propagation in one dimensional photonic crystals

ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2
Consider the plane x,y. and e.m. wave propagating
with an angle with respect to the direction normal to
interfaces.
Ky component is conserved because it is parallel to

θ v
the interfaces.
K = (K x , K y );
ω ω
Ky = n1 sin(θ1 ) = n2 sin(θ 2 );
c c
x
Electric field can be written as:
r r
E ( x, y ) = EK x ( x )eiK x x e y
iK y
Bloch mode for 1D PhC Bloch wavevector

v ε(x) = ε(x+a)
K = (K x , K y );
a

ω = ω (K x , K y );
15
x 10
2.5
n1=1.5 2
n2=2
d1=250 nm
1.5
d2=200 nm
0.5
0
8
6
4
2 15
0 10
5
Brillouin zone -2
-4 0
-5
-6
-10 No periodicity in y direction
-8 -15
Kx ( 1/µm)
Ky ( 1/µm)
17
Isofrequency curves: slices of ω(Kx,Ky)=cost.
The group velocity ( or energy velocity) is orthogonal to the isofrequency curves
2
r r r
1.5
w=1.32e+015
v g = ∇ω ( K ) r r
K = K0
1
0.5
r r
Ky (units ofπ/a)
0
v g and K are not parallel
-0.5
-1
Anisotropy induced by stratification in one
-1.5 direction. For 2D cases strong curvatures
-2
of dispersion curves leads to superprism
-2 -1.5 -1 -0.5 0 0.5 1 1.5 2
Kx (units of π/a) effects and negative refraction.
Onedimband.m

15
x 10
2.5
n1=1.5
n2=3
d1=250 nm
2 d2=200 nm
air light cone
1.5
Omnidirectional mirror: Consider a
finite structure embedded in air,light
from outside is reflected at any angles
1 of incidence.
If there is some fluorescence inside

the structure at this frequency range, it
0.5 will be guided inside the layers
0
15 0 20 5
25 10
Ky ( 1/µm)
NOTE: a True omnidirectional mirror should work for both TE and TM polarization. Dispersion curves
for TM polarized field should be calculated and overlapped to the dispersion curves for TE pol.
18
15
x 10
2.5
2
1.5
TE
TM
1
0.5
Wavelength range for omnidirectional mirror
0
0 5 10 15 20 25
Ky ( 1/µm)
Onedimguide.m
Finite Size 1D Photonic Crystals

Consider a structure made of N
periods embedded in air:
For a a given incident plane

ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2
monochromatic wave we want to
calculate transmitted field and
reflected field.
WE use the transfer matrix method:
⎛ an −1 ⎞ ˆ ⎛ an ⎞ a ε(x) = ε(x+a)
⎜⎜ ⎟⎟ = M ⎜⎜ ⎟⎟
⎝ bn −1 ⎠ ⎝ bn ⎠
In this case we cannot invoke Bloch’s Theorem because the translational symmetry is broken.
Nevertheless we can take advantage of the following relation:
⎛ a N ⎞ 1 ⎛ 1 + k xout k xε 2 1 − k xout k xε 2 ⎞⎛ aout ⎞

⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎜ ⎟
1 + k xout k xε 2 ⎟⎠⎜⎝ 0 ⎟⎠
ε2 At the end of the structure there
⎝ bN ⎠ 2 ⎝ 1 − k x k x
out
is only the transmitted field
19
Going back to the input:
Unitary incident field
⎛ 1 ⎞ 1 ⎛1 + k xε1 k xin 1 − k xε1 k xin ⎞ ˆ ˆ ˆ ˆ N −1 1 ⎛1 + k xout k xε 2 1 − k xout k xε 2 ⎞⎛ t ⎞

⎜⎜ ⎟⎟ = ⎜⎜ ⎟P D P M ⎜ ⎟⎜ ⎟
ε ε
⎝ r ⎠ 2 ⎝1 − k x 1 k x 1 + k x1 k x ⎠
in in ⎟ 1 21 2
2 ⎜⎝ 1 − k xout k xε 2 1 + k xout k xε 2 ⎟⎠⎜⎝ 0 ⎟⎠
First unit cell

out→n2 material
n1 material→input
Transfer matrix of the unit Transmitted field

Reflected field cell applied N-1 times
ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2 ε1 ε2
a ε(x) = ε(x+a)

Gap for the infinite structure n1=1.5; nin=1;
Transmittance for N=5 and N=10 periods n2=2.5; nout=1;
Normal incidence d1=250 nm
d2=400 nm
⎛ 1 ⎞ ⎛ A B ⎞⎛ t ⎞
⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎟⎜⎜ ⎟⎟
1
⎝ r ⎠ ⎝ C D ⎠⎝ 0 ⎠
0 .8
K units of π/a
0 .6
1 C 0 .4
t= ; r= ; 0 .2
A A 0
0 0 .2 0 .4 0 .6 0 .8 1 1 .2 1 .4 1 .6 1 .8 2
a n g u la r f r e e q u e n c y ( r a d / s ) x 10
1 5
I out
T= ; 0 .8
I in 0 .6
T
0 .4
nout cos(θ out ) 2

0 .2
T= t ;
nin cos(θ in ) 0
0 0.2 0 .4 0.6 0 .8 1 1 .2 1.4 1.6 1 .8 2
a n g u la r fr e e q u e n c y ( r a d / s ) x 10
15
Onedimfinite.m
20
Density of States ρ = ddkω
Calculation of DOS for 2D and 3D requires a complex procedure. Nevertheless a s ageneral
property of photonic crystals, DOS is maximum at band edges
ρ homogeneous medium
DOS for
infinite lattice
DOS for
15 period lattice
ρ/ρ

Fields inside the structure can be calculated starting from the value of transmitted field and
applying the transfer matrix backward, layer by layer:
⎛ a2 N ⎞ ˆ ⎛t⎞ Interface from output to n2 material

⎜⎜ ⎟⎟ = Dout →2 ⎜⎜ ⎟⎟
b
⎝ 2N ⎠ ⎝0⎠
⎛ a2 N −1 ⎞ 1 ⎛1 + k x2 N k x2 N −1 1 − k x2 N k x2 N −1 ⎞⎛ e − ik x d 2 N ⎞⎛ a 2 N ⎞
2N
0
⎜⎜ ⎟⎟ = ⎜⎜ ⎟⎜ ⎟⎜ ⎟
2 N −1
1 + k xl k x2 N −1 ⎟⎠⎜⎝ 0 ⎟⎜ b ⎟
⎝ b2 N −1 ⎠ 2 ⎝ 1 − k x k x
2N ik 2x N d 2 N
e ⎠⎝ 2 N ⎠
And so on….
Localization of field is related to the bandwidth of the resonance. Maximum field localization
is achieved at the band edge. 1.0
T
0.8
12
0.6
∆ωII ∆ωI
|2
|Φω
8
0.4
4
0.2
00 4 8 12 0
0.56 0.57 0.58 0.59 0.60 0.61
z(µm)
ω
21
14
12
Field localized in the high index material
10
1
|E| (arb. u.)
0.9
2
0.8
4
0.7
2
0.6
0
0 2 4 6 8 10 12
x (µ m) 0.5
T
0.4
14
0.3
12
0.2
10
0.1
|E| (arb. u.)
8
0
0 0.5 1 1.5 2 2.5
2
6
angular freequency (rad/s) 15
x 10
4
2
Field localized in the low index material
0
0 2 4 6 8 10 12
x (µ m)

Guided modes
Condition for guided modes can

be set using the transfer matrix nclad
method in the following way:
n1n2n1n2 nsub
Guided mode must fulfill the

condition to be evanescent
waves out of the guiding
structure, thus:
ω
ky >
c
nclad ; a ε(x) = ε(x+a)
ω
ky > nsub ;
c
Moreover, if A is the matrix that relates the fields in the substrate to the field in the cladding,
the following relation must be fulfilled
Values of Ky fulfilling the
⎛ 0 ⎞ ˆ ⎛ a N +1 ⎞ A =0
condition A11=0 are the
⎜⎜ ⎟⎟ = A⎜⎜ ⎟⎟ 11 propagation constants of
⎝ b0 ⎠ ⎝ 0 ⎠ guided modes
22
Guided modes
Infinite structure bands N=5 period structure guided modes
15 15
x 10 x 10
2.5 2.5
2 2
1.5 1.5
1 1
TE40
TE30 N modes per band
0.5 0.5
TE20
TE10
0 TE000
0 5 10 15 20 025 5 10 15 20 25
Ky ( 1/µm)
Fields profile of guided modes can be calculated the same way as before using transfer matrix.
Analysis of 2D and 3D
structures:
23
Analysis of 2D and 3D Photonic crystals
2D and 3D structures have many properties in common with 1D structures but they offer the
opportunity to tailor localization properties in 3D.
WE start by giving a general definition of the reciprocal lattice, already introduced for the one
dimensional case.
A function of the 3d space with a given periodicity can be written as a function of a vector r
belonging to the primitive cell:
r r r r
r = αa1 + β a2 + γa3 0 ≤ α , β ,γ ≤ 1
Primitive vectors
r r r r r r
f ( r + na1 + ma2 + la3 ) = f ( r ) n, m, l = 0,±1,±2,...; r ∈ u.c.
A periodic function can be expanded according to Fourier series:
r rr r
f (r ) = ∑
r
e iG ⋅r
F ( G );
G

Ther set of G vectors are selected in order to have a periodic oscillating function over the unit
cell. This means that in a lattice point identified by vector R:
r r
iG⋅R
e =1
Equivalent to:
r r
G ⋅ R = 2πp; p = 0,±1,±2,...
Reminding that every lattice point can be obtained by linear combination of primitive vectors:
r r r r
R = na1 + ma2 + la3 ;
r r
n, m, l = 0,±1,±2,... r a 2 × a3
g1 = 2π r r r ;
a1 ⋅ (a2 × a3 )
r r
The reciprocal lattice is defined as the set of vectors G r a3 × a1
generated by its three reciprocal primitive vectors, g 2 = 2π r r r ;
through the formula : a2 ⋅ (a3 × a1 )
r r
r a ×a
g3 = 2π r 1 r 2r ;
Any Bravais lattice has a reciprocal lattice a3 ⋅ (a1 × a2 )
24
Examples in 2D
Exercise: Verify for 1D the reciprocal lattice primitive cell corresponds to the Brillouin zone.
This statement is always true and it can be used as a definition:
The Brillouin zone for a Bravais lattice is the primitive unit cell of the reciprocal lattice.
As a consequence, for a given lattice, band diagrams are periodic functions over its reciprocal
lattice.
Example
Reciprocal lattice
Square lattice
y
Ky Brillouin zone
r 2π
g1 = aˆ1;
a1
r 2π
r g2 = aˆ 2 ; r
a2 a2 g2
r x r
a1 g2 Kx
a3 would have infinite modulus and orthogonal to a1 and a2

Examples in 2D
Kx Irreducible Brillouin Zone for the

square lattice: first Brillouin zone
reduced by all thhe symmetries in the
point group of the lattice.
Μ
r
g2
Γ X
Ky
r
g2 Γ Center of the Brillouin zone
M Center of an edge
X Center of a face
It is enough to calculate band diagrams in the irreducible Brillouin zone and then use
the symmetry of the lattice to extend the diagrams to the first Brillouin zone.
25
Examples in 2D
Triangular lattice Reciprocal lattice
y r 4π ⎛ xˆ 3 yˆ ⎞ Ky
g1 = ⎜ − ⎟⎟;
a 3 ⎜⎝ 2 2⎠
r 4π
g2 = yˆ ;
a 3
a2 g2
a1 x
g1 Kx
Μ Κ
Brillouin zone: Γ Irreducible Brillouin zone
K Middle of an edge joining two hexagonal faces

a Examples in 2D
1
/λ
0.9
frequency ω (2πc/a) = a
0.8
0.7
0.6
0.5
0.4
Photonic Band Gap
0.3
0.2
TM bands
ε=12:1 0.1
0
irreducible Brillouin zone Γ X M Γ

M
r E gap for
k X TM
Γ H n > ~1.75:1
http://ab-initio.mit.edu/photons/tutorial/
26
a Examples in 2D
1
/λ
0.9
frequency ω (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
0
irreducible Brillouin zone Γ X M Γ
M
r E E
k X TM H TE
Γ H
http://ab-initio.mit.edu/photons/tutorial/

Examples in 2D
Comparison between 2D free space

dispersion diagram and 2D Photonic
crystal dispersion diagram.
c
ω= k x2 + k y2 ;
εb
Γ→X; ky=0;
X → M; kx=cost
M → Γ; kx=ky
27
Examples in 2D
Triangular lattice
TM band gaps tend to occur in

lattices formed by isolated high-
permittivity regions; TE gaps in
connected lattices.
High degree of compactness of

triangular lattice make the
connected lattice keep some of
the properties of the isolated
lattice.

3D example
Yablonovite
I: rod layer II: hole layer
28
Review on Bulk Photonic crystals
properties
backwards slope:
negative refraction
dω/dk → 0: slow light

(e.g. DFB lasers)
Internal field enhancement
Complex band structure strong curvature: - Low threshold lasing
super-prisms, … - Enhanced nonlinear optical effects
(+ negative refraction)
1.50
Effective refractive index

1.48
1.46
1.44
1.42
1560nm 520nm
0.1 0.2 0.3 0.4 0.5 0.6 0.7
Normalized frequency
Spatial dispersion (Superprism effect)
- Negative refraction Dispersive refractive index dispersion
- Large angle deflection 500x - Control of light propagation
- Self-collimation - Phase-matching for harmonic generation
Photonic crystals with

intentional defects
29
Control of Electromagnetic Waves
Using Photonic Crystals with intentional defects
Photonic GAPs can be used to confine light in a region of space
RESONANT CAVITIES
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
Light cannot propagate inside the crystal and it is confined • • • • • •
• • • • • •
in a finite region of space. • • •

• • •
• • •
• • •
• • • • • •
• • • • • •
• • • • • •
Mode of electromagnetic waves inside the cavity must • • •

• • •
• • •
• • •
fulfill proper boundary conditions • • •

• • •
• • •
• • •
(discrete eigenfrequency spectrum) • • •

• • •
• • •
• • •
• • •
• • •
• • • • • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
• • •
WAVEGUIDES
1d periodicity
Light tuned in the gap cannot exit form the line defect
which acts as a waveguide. Propagation constants of
guided modes will appear in the gap of the perfectly conserved k!
periodic crystal’s band diagram.

1D Micro-cavity x 10
15
2
Consider an infinite stack: 1.8
n1=1.5; d1=250 nm; 1.6
n2=2.0; d2=150 nm;
1.4
1.2
0.8
0.6
0.4
0.2
0
We introduce a defect, by adding a layer of material 2. -1
15
-0.8 -0.6 -0.4 -0.2 0 0.2
K (units ofπ/a)
0.4 0.6 0.8 1
x 10
The structure is no longer periodic. We can calculate 2
the new dispersion relation defining a supercell. 1.8
NOTE: in order to get good results distance between 1.6

periodic defects in the supercell must be large with 1.4
respect to wavelength ( weak coupling) 1.2
1
defect 0.8
0.6
0.4
0.2
0
-1 -0.8 -0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
K (units ofπ/a)
s.c=8periods-defect-8periods
30
1D Micro-cavity
In we consider finite structures: 1
0.8
Symmetric structure,
N=14 periods (HL)+H 0.6
T
0.4
0.2
0
0 0.5 1 1.5 2 2.5
x 10
1
0.8
Structure with central defect:
0.6
7 periods (HL)+H+ 7periods (LH)
T
0.4
0.2
0
0 0.5 1 1.5 2 2.5
x 10

1D Micro-cavity
Micro-cavity sandwiched between two Bragg mirrors.
High Q factors, high fields intensity enhancement inside the structure.
|E|2 T
(arb.u.)
x (µm) wavelength (µm)
Stored Energy Energy ω

Q = 2π = ω0 ≈ 0
Energy lost per cicle Power loss ∆ω0
31
2D single mode Micro Cavity
0.5
Air Defect air b ands Dielect ric Defect
0.4
0.3
dielect ric b ands X

r M
r M
k X
0.2
k
Γ 0 0.1 0.2 0.3 0.4 X
Γ
Radius of Defect (r/ a)
Ez:
monopole dipole

Spontaneous emission suppression
32
Photonic Crystal waveguides
Consider a finite stack as in the picture: Bands of the infinite structure
n1=1.5; d1=250 nm;
n2=2.0; d2=150 nm;
15
x 10
2.5
2
angular freequency (rad/s)
1.5
1
No guided modes in the gap
0.5
0
N=4 (HL)+1H; embedded in air 0 5 10 15
Ky (1/µ m)
Guided modes for the finite structure

Photonic Crystal waveguides
We add a defect:
15
x 10
2.5
2
1.5
0.5
0
guided mode in the gap 0 5 10 15 20
Ky (1/µ m)
Combination of index guiding and
photonic band gap guiding
33
Hollow Bragg waveguides
Air light cone
15
Guided light in low index material, ( for x 10
2.5
example air) is possible taking advntage of
the photonic band gap.
2

For infinite structures guided modes are
lossless ( in principle). Finite number of layers 1.5
is responsible for leaky guided modes.
Air core guided modes

0.5
Even and odd modes
Surface modes
0
0 2 4 6 8 10 12 14 16 18 20
air defect Ky (1/µ m)
Bragg waveguides (Yeh 1978) are the basic

principle for the OmniGuide:
B. Temelkuran et al.,
Nature 420, 650 (2002)

2D waveguides
0.5
0.45
J J
0.4 band gap
J
J
0.35 J
frequency (c/a)
J J
0.3 J
0.25
J
0.2 states of the
0.15
bulk crystal
0.1
0.05
0
0 0.050.1 0.150.2 0.250.3 0.350.4 0.450.5
wavenumber k(2π/a)
(2š/a)
any state in the gap cannot couple to bulk crystal –> localized
34
2D waveguides
Lossless
Bends
[ A. Mekis et al.,
Phys. Rev. Lett. 77, 3787 (1996) ]
symmetry + single-mode + “1d” = resonances of 100% transmission
Photonic Crystal Fibers

Guiding light: Conventional Optical Fibres
nCladding<nCore
• Total Internal Reflection (TIR)
– nCladding < nCore
– Core must be dielectric material nCore
– Interaction between light and matter
unavoidable
Non-linearity
Cladding
Material Dispersion
Losses Core
http://www.physics.usyd.edu.au/cudos/ nCore>nCladding
35
• Bragg reflection
– Very low losses
– Bandwidth ?
– Angle of incidence ?
– Index contrast ?
– Fabrication ?
• Bragg fibres, “OmniGuide” fibres
Burak Temelkuran et al
Nature 420, 650-653, December 2002.

Birks, Roberts, Russel, Atkin, Shepherd, Electron.
Lett. 31, 1941-1942 (1995)
Λ
Photonic Crystal
Holes d
Silica (or other)
Core : - hollow
- solid
http://www.physics.usyd.edu.au/cudos/
36
Holey Silica Cladding
• Hollow core and solid core PCFs
Mangan et al, OFC 2004

(1.7dB/km Loss@1550nm)
n=1.46
Photonic Crystal Fibers 2r
Hollow Core and Holey Silica Cladding
r = 0.45a a
light cone above air line:
guiding in air core
is possible
ω (2πc/a)
βc
=
ω
e
t lin
li gh
ai r
[ figs: West et al, β (2π/a)

Opt. Express 12 (8), 1485 (2004) ] below air line: surface states of air core
37
Effective index vs PBG guidance
Mechanism TIR “averaged coherent

index” scattering
Periodicity Not necessary Crucial
Bandwidth Unlimited ∆λ/λ∼10%
Core Solid Hollow or solid
Hole/pitch Small or large Large (typ.

d/Λ>0.9
Winter college lectures on Photonic Crystals
Photonic Crystals (1 hour)
- Natural Photonic crystal

- Fabrication technologies
- Properties of bulk photonic crystals
- super prism, super lens
- enhancement of nonlinear effects
Photonic Crystals- applications ( 1hour)
- Photonic crystal cavities – sensors and detectors

- Photonic crystal waveguides – data processing
- Photonic crystal fibers – high intensity laser delivery
- supercontinuum generation for spectroscopy
38

Preparatory School To The Winter College On Micro and Nano Photonics For Life Sciences

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1931-4

Preparatory School to the Winter College on Micro and Nano

Photonic crystal basics.

Photonic Crystals Basics

Propagation of e.m waves

Analysis of 1D Ph. C. Calculation of photonic bands;

2D and 3D structures: Reciprocal lattice;

Photonic Crystals with

WHY ARE THEY CALLED PHOTONIC CRYSTALS?

HOW DO THEY LOOK?

From Bragg Gratings to Photonic Crystals in 5 Steps

1785: The first man-made diffraction grating was made by

1913: Bragg formulation of X-ray diffraction by cristalline solids

1928: Bloch’s Theorem describe the conduction of electrons

S. John, Phys. Rev. Lett. 58,2486 (1987), “Strong localization of photons

http://www.pbglink.com for Extensive web listing of PBG information

Nonlinear Photonic Crystals by R. E. Slusher and B. J. Eggleton Eds., (2003).

Optical Properties of Photonic Crystals K. Sakoda, Springer (2001).

Quantum Electronics 3°edition A. Yariv, Wiley (1989).

Optical waves in Layered media Pochi Yeh, Wiley (1988).

1-D Photonic Crystals

The dielectric constant is periodically ε1 ε2

The alternating layers of Ta2O5 and SiO2 which

Broadband dielectric mirrors used in optics experiments. The characteristic color

2-D Photonic Crystals

2-D Photonic Crystals

Living example of a 2D Photonic Crystal, the “Sea Mouse” spine.

3-D Photonic Crystals

Propagation of e.m waves in

Periodicity comparable to incident light wavelengths can be responsible for

Periodically patterned media

Light is scattered in all directions, there is no

Light scattered from a random media: The

This is in contrast with the high value of

But crystal lattice are periodic with typical

Introduction to Bloch’s Theorem

Starting point: Maxwell equations and constitutive relations.

…the following eigenvalue equations:

Substituting Bloch’s solution into eigenvalue equations it is possible to calculate:

Eigen-angular frequencies: ωKvn ;

If we consider infinite periodic structures, real values of ε (i.e lossless case), ΓE

Koringa-Kohn-Rostker (KKR) Method - spherical waves expansion

Group velocity=Energy velocity ( proof: Yariv’s Optical waves in crystals)

Phase velocity CANNOT be defined appropriately in photonic crystals because

Analysis of 1D Photonic crystals

Slow light close to the band edge

Analysis of 1D Photonic crystals

The set of values of G are called the reciprocal lattice vectors:

NOTE: the primitive cell of the reciprocal lattice is g=2π/a

The Brillouin zone is a primitive cell of the reciprocal lattice

Analysis of 1D Photonic crystals

Thus the field in xl can be described by the following vector:

Back propagation through the l-layer

Transfer matrix of the layer composed by material 2

Transfer matrix of the layer composed by material 1

Next step: Use Bloch’s theorem to calculate bands!

Analysis of 1D Photonic crystals

The field in the (n-1)-th unit cell can be written as:

Thus we have an eigenvalue problem:

So we can calculate eigen values and eigenvectors:

|(M11+M22)|>2; K=mπ/a + iKi → evanescent Bloch wave

Analysis of 1D Photonic crystals

Off axis propagation in one dimensional photonic crystals