Spatial filtering with photonic crystals

Lina Maigyte, and Kestutis Staliunas

Citation: Applied Physics Reviews 2, 011102 (2015); doi: 10.1063/1.4907345

View online: https://doi.org/10.1063/1.4907345
View Table of Contents: http://aip.scitation.org/toc/are/2/1
Published by the American Institute of Physics

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 APPLIED PHYSICS REVIEWS 2, 011102 (2015)

APPLIED PHYSICS REVIEWS—FOCUSED REVIEW

Spatial filtering with photonic crystals

Lina Maigyte1 and Kestutis Staliunas1,2
1
Departament de Fısica i Enginyeria Nuclear, Universitat Politècnica de Catalunya, Rambla Sant Nebridi 22,
Terrassa 08222, Spain
2
Instituci
o Catalana de Recerca i Estudis Avançats (ICREA), Pg. Lluıs Companys 23, Barcelona 08010, Spain
(Received 29 October 2014; accepted 20 January 2015; published online 11 February 2015)
Photonic crystals are well known for their celebrated photonic band-gaps—the forbidden frequency
ranges, for which the light waves cannot propagate through the structure. The frequency (or chromatic)
band-gaps of photonic crystals can be utilized for frequency filtering. In analogy to the chromatic
band-gaps and the frequency filtering, the angular band-gaps and the angular (spatial) filtering are also
possible in photonic crystals. In this article, we review the recent advances of the spatial filtering using
the photonic crystals in different propagation regimes and for different geometries. We review the
most evident configuration of filtering in Bragg regime (with the back-reflection—i.e., in the configu-
ration with band-gaps) as well as in Laue regime (with forward deflection—i.e., in the configuration
without band-gaps). We explore the spatial filtering in crystals with different symmetries, including
axisymmetric crystals; we discuss the role of chirping, i.e., the dependence of the longitudinal period
along the structure. We also review the experimental techniques to fabricate the photonic crystals and
numerical techniques to explore the spatial filtering. Finally, we discuss several implementations of
C 2015 AIP Publishing LLC.
such filters for intracavity spatial filtering. V
[http://dx.doi.org/10.1063/1.4907345]

TABLE OF CONTENTS
I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . .
II. ONE DIMENSIONAL PHOTONIC CRYSTAL
STRUCTURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
A. Chromatic band-gaps and frequency
filtering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
B. Defect layer . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C. Chirped structures . . . . . . . . . . . . . . . . . . . . . . .
D. Angular band-gaps . . . . . . . . . . . . . . . . . . . . . .
III. TWO- AND THREE-DIMENSIONAL
PHOTONIC CRYSTAL STRUCTURES . . . . . . .
A. Spatial dispersion and angular band-gaps . . .
B. Gapless angular filtering . . . . . . . . . . . . . . . . .
C. Chirped structures to enhance filtering . . . . .
D. Three-dimensional photonic crystals for
spatial filtering. . . . . . . . . . . . . . . . . . . . . . . . . .
IV. CONCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I. INTRODUCTION
Many applications in optics require beams of high spa-
tial quality (or high spatial coherence), as such beams
diverge less, and, consequently, can be focused more sharply
in the focal region. Moreover, clean beams are more immune
against destructive nonlinear effects, such as self-focusing
and filamentation. The beams of the maximally high spatial
quality are the Gaussian ones: beams with profiles different
from the Gaussian diverge stronger and are focused to
broader spot in the focal plane. Several definitions of the
beam spatial quality are used.1 In laser theories, the spatial
1 beam quality is most commonly characterized by the beam
parameter product (BPP), which is defined as the product of
2 a laser beam divergence angle and the radius of the beam at
its narrowest point (the beam waist). The larger is the value
2 of the BPP, the lower is the spatial quality of the beam. The
3 diffraction-limited Gaussian beams have the lowest possible
BPP, which is equal to k/p, where k is the wavelength. The
4 ratio of a BPP of a given beam to that of the Gaussian one of
4 the same wavelength is denoted as M2 (“M squared”), the pa-
rameter which does not depend on the wavelength. A
6 diffraction-limited Gaussian beam has a minimal M2 equal
6 to 1. Usually, the beams emitted by single transverse mode
8 lasers in high finesse resonators and by single-mode fiber
9 lasers are of high spatial beam quality of M2  1. However,
the beams emitted by various optical devices, such as multi-
10 transverse mode lasers, semiconductor (diode) lasers in reso-
12 nators of low finesse, and optical parametric oscillators, are
often of a poor spatial quality (M2  1). Moreover, if the
beam is propagated through an amplifier, nonlinear material,
scattering media, or other optical component, the spatial
quality of such beam is usually reduced.
For many applications, therefore, the spatial structure of
the beams is needed to be improved inside the optical device
(amplifier, laser resonator) or outside. A conventional design
for a beam cleaner, or for a low-angle-pass spatial filter is
shown in Fig. 1, which consists of two focusing lenses in a
confocal arrangement. A diaphragm of appropriate diameter

1931-9401/2015/2(1)/011102/17/$30.00 2, 011102-1 C 2015 AIP Publishing LLC

V
011102-2 L. Maigyte and K. Staliunas
FIG. 1. A design of conventional spatial filter, consisting of two focusing
lenses in a confocal arrangement and a diaphragm located in the focal plane.
The “dirty” profile of entering beam is shown on the left side of the figure,
while filtered out smooth beam profile is depicted on the right.
in focal plane (which can be sharply edged, or sometimes
apodized to enable Gaussian beam profile) blocks undesired
angular components of the spatial spectrum.2 After propaga-
tion through such an arrangement, the spatial quality of the
beam is improved. The main disadvantage of the conven-
tional filter is its relatively large size, of the order of the focal
distance of the lenses f, usually of order of centimeters. This
conventional technique is therefore unsuitable for intracavity
use in micro-lasers as well as for micro-photonic circuits.
There have been alternative proposals of mechanisms of spa-
tial filtering, e.g., using the interference patterns,3 multilayer
stacks combined with a prism,4 anisotropic media,5 liquid-
crystal cells,6 metallic grids over a ground plane,7 and reso-
nant grating systems.8,9 These techniques, however, did not
find a broader application in photonic technologies: being
more complex and sophisticated than the conventional con-
focal spatial filter, but also maintaining the disadvantage of
the relatively large size of the design.
Recently, a new, alternative method of spatial filtering
has been proposed—spatial filtering based on propagation
through the photonic crystals (PhCs). The PhCs are primarily
known due to their celebrated band-gaps (BGs) in frequency
domain (chromatic band-gaps).10–15 This property of the
PhCs enables manipulation of light for various applications
such as control of spontaneous emission in quantum devi-
ces16–18 as well as frequency (chromatic) filtering.19–21 The
less explored property of the PhCs is their angular BGs, i.e.,
the angular ranges for which the waves of a given frequency
cannot propagate. Photonic angular band-gaps, in principle,
can be engineered in such a way that for a given frequency
only on- and around-axis radiation modes are allowed to
propagate, which would, in principle, result in angular (low-
angle-pass) filtering.
This review article is devoted to the recent development
of this novel technique of spatial filtering. For the methodo-
logical reasons, we first overview the frequency filtering
(due to chromatic BGs) in the one-dimensional (1D) PhCs,
also in PhCs including defect layers. Next, from the fre-
quency filtering we move to the spatial filtering in such 1D
photonic structures. The main part of the review article is
devoted to the 2D and 3D PhCs for the spatial filtering. First,
we consider the 2D PhC structures with the photonic band-
gaps, in the so called Bragg regime, i.e., when the diffracted
and reflected light propagate in backward direction.
Appl. Phys. Rev. 2, 011102 (2015)
Importantly, it is also possible to achieve the spatial filtering
in a configuration without photonic band-gaps, the so called
Laue reflection regime, where the light is diffracted and
refracted to the forward direction. The latter can be consid-
ered as the gapless spatial filtering. Next, the techniques to
improve the performance of spatial filtering (to increase the
angular range of filtering, as well as to enhance the energetic
efficiency) are discussed, amongst them by introducing the
longitudinal chirp (dependence of the period of modulation
along the crystal). Finally, different geometries of the 3D fil-
ters are discussed, including the axisymmetric photonic
structure for axisymmetric filtering.
In Appendixes, the descriptions of mathematical models
and numerical methods for the PhC based spatial filters are
shortly described (Appendix A), as well as different kinds of
fabrication techniques (Appendix B).
II. ONE DIMENSIONAL PHOTONIC CRYSTAL
STRUCTURES
A. Chromatic band-gaps and frequency filtering
It is known that 1D periodic structures reflect efficiently
the waves with the wavelength k  2d, where d stands for
the period of the structure. This is the condition of the Bragg
reflection for the normal incidence: the waves reflecting
from different layers are in phase one with another
(Fig. 2(a)) and result in a constructive interference. In this
way the BGs appear,19,22–27 which are the frequency ranges
where no solutions with real-valued propagation wave-
vector k~ are possible. Waves at those particular frequencies
cannot propagate inside the structure, therefore are reflected
from the front face of the PhC. The central frequency of the
BG is xm ¼ pc d m (or the wavelength is, respectively,
km ¼ 2d=m), where m is the order of the band-gap (m ¼ 1, 2,
3…), so the position of the BGs are directly related to the pe-
riod of the structure. The width of the photonic BG (Dxm )
generally depends on the refractive index profile. Rough esti-
mate of the width of the first band gap is Dx1 ¼ c pk Dn,24
i.e., proportional to the refractive index contrast Dn between
the two materials building the layered structure.
Photonic band diagrams (dispersion relation) are usually
calculated by the method of plane wave expansion
FIG. 2. (a) Reflections from the periodic structures due to constructive inter-
ference of waves reflecting from subsequent interfaces (Bragg reflection).
(b) Dispersion relation (band diagram) of the periodic structure with the pe-
riod d ¼ 0:16 lm (d1 ¼ d2 ¼ 0:082 lm) and refractive indices nref 1 ¼ 2:17,
nref 2 ¼ 1:49, nef f ¼ 1:86. Yellow areas correspond to the BGs.
011102-3 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

(PWE).10,11,28 Fig. 2(b) shows the dispersion relation for the

periodic structure consisting of two materials with different re-
fractive indices n1 and n2 . In this particular case, the period of
the structure is taken as k=2 at k ¼ 0:328 lm (as averaged
inside the composite material). In the example dl1 ¼ dl2 (dl1 —
thickness of the layer of the first material and dl2 —thickness of
the layer of the second material). The effective refractive index
nef f , which represents the average refractive index of the sys-
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
tem can be calculated as nef f ¼ ðd1 n21 þ d2 n22 Þ=ðd1 þ d2 Þ.
For a simplified calculation of transmission and reflection
spectra for 1D PhC at the normal incidence, the harmonic
index profile can be considered: n(z) ¼ n0 þ Dncos(qz);
q ¼ 2p d , which allows to derive an analytically tractable
coupled mode model for forward- and backward-propagating
waves. Considering only these two modes, the electric field in
such medium can be described by the following expression:

~ ¼ AðzÞeiðxtkzÞ þ BðzÞeiðxtþkzÞ ;
E (1)

where AðzÞ and BðzÞ are the (spatially dependent) amplitudes

of the forward and backwards propagating modes, respec-
tively. The evolution of these amplitudes along the structure FIG. 3. Transmission and reflection spectra of 1D PhC of a finite length, calcu-
is governed by the following coupled-mode equations:29 lated from the coupled mode model with the parameters dl1 ¼ dl2 ¼ 0:082 lm:
(a) n1 ¼ 1:7, n2 ¼ 1:49, N ¼ 26; (b) n1 ¼ 2:17, n2 ¼ 1:49, N ¼ 12. Blue line
dA corresponds to transmission, red line corresponds to reflection. The diagram is
¼ iDkA  iXB; (2) centered on the band-gap, due to corresponding definition of frequency.
dz
dB shows the full reflection/transmission spectra as calculated
¼ iDkB þ iX A: (3)
dz by multiple scattering method.
Here, Dk ¼ k  p=d corresponds to the wave-vector detuning The BGs in periodic materials can be applied for fre-
from the edge of the first Brillouine zone (or, equivalently, quency filtering, i.e., for blocking the waves at frequencies
from the Bragg wavenumber), and X is the normalized cou- within the BG.24 For many applications, the filtering out of a
pling between the two counterpropagating waves. very narrow line is needed. This can be achieved either by
Diagonalization of the coupled-mode equations (2) and using a low-refractive index contrast structure (say Brag mir-
(3), and the use of proper boundary conditions Aðz ¼ 0Þ ¼ 1 rors written in glass31), or introducing a defect in higher
and Bðz ¼ LÞ ¼ 0 brings to transmission T ¼ jAðz ¼ LÞj2 , index-contrast structure.
and the reflection R ¼ jBðz ¼ 0Þj2 spectrum (as a function of
detuning Dk) B. Defect layer
 2
 2n 

T ¼  nL  ; (4) Periodicity of the PhC can be broken by introducing a
e ðk þ iDkÞ þ e ðk  iDkÞ 
nL
defect into the structure,24 which can create a narrow trans-
R ¼ 1  T; (5) mission line in the BG frequency range.32–36 There are sev-
eral possibilities to introduce the defect in the periodic
where L is the length of the 1D PhC, and n ¼ n1 ¼ n2 structure. One can either modify the width of one layer of
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
¼ 6 Dk2 þ jXj2 are the eigenvalues resulting from the
diagonalization of the coupled-mode equations (2) and (3).
In Fig. 3, the transmission/reflection spectra calculated
from coupled mode model are shown. Transmission is
marked with blue colour and reflection with red. As the nor-
mal incidence case of the wave is considered here, the results
are the same for both TE and TM polarizations.
Coupled mode theory for two forward-backward propa-
gating modes is convenient for simplified analytical study
and estimations. It describes correctly the behavior around
the first BG only, due to the simplified field expansion into
FIG. 4. Transmission-reflection spectra calculated by scattering matrix
only two field harmonics. To obtain full reflection/transmis-
method. The structure for this simulations was used with the period of
sion diagram containing all the BGs, usually a multiple scat- d ¼ 0:164 lm, where d1 ¼ d2 ¼ 0:082lm. The refractive indices for the
tering technique is used for the finite length 1D PhC.30 Fig. 4 materials were nref 1 ¼ 2:17 and nref 2 ¼ 1:49.
011102-4 L. Maigyte and K. Staliunas
one material (Fig. 5(a)), or can use material with different re-
fractive index in one layer. If the thickness of the defect
layer is increased, the resonant wavelength of the defect
mode increases (frequency decreases) (Fig. 5(b)). The same
occurs when the refractive index of the defect layer is
increased.35 In the other case, if the thickness (or the refrac-
tive index) of the defect layer is decreased, then the resonant
wavelength of the defect mode decreases. Additionally, if
one would keep increasing the thickness or refractive index
of the defect layer, after some point, it would result into
appearance of several defect modes (the defect would
become a multimode). Depending on the width of the defect
layer (as well as the width of the BG), it can sustain several
defect modes (which have to be the integer multiple of the
fundamental frequency).
The position of the defect layer in the structure is impor-
tant. If the defect is in the middle of the structure, the transmis-
sion for the defect modes is maximized (Fig. 5(c)).35 PhCs
with the defects are technologically interesting to filter out the
narrow ranges of spectra from emission of light-emitting
diodes and other kinds of lasers.37–39 There could be several
defects introduced into the periodic structure, which lead to the
increased number of the defect modes in the BG.3
C. Chirped structures
Another technique to manipulate the BGs of 1D PhC is
the use of chirped (or graded) structures. These are structures
with gradually increasing or decreasing period along the
structure (Fig. 6(a)).40–43 If the defects are used to obtain
narrow transmission lines, then the chirped structures are
used to obtain broad reflection regions. Chirping of the pe-
riod can also be combined with slowly varying refractive
FIG. 5. (a) PhC structure containing defects, i.e., with one or several layers
of the width different from that of embedding layers. (b) Numerical simula-
tions by scattering matrix method, where the wavelength of the defect mode
(in vacuum) is presented depending on the thickness of the defect layer. The
parameters of the structure are dl1 ¼ dl2 ¼ 0:082 lm, d ¼ 0:164 lm,
n1 ¼ 2:17, n2 ¼ 1:49, N ¼ 14, and the defect of changing width is introduced
in the middle of the PhC. (c) Reflection spectra of the PhCs with the defect
layer of the width of dl3 ¼ 0:02 lm. Blue line corresponds to transmission,
red line corresponds to reflection.
Appl. Phys. Rev. 2, 011102 (2015)
FIG. 6. Chirped 1D PhCs: (a) linear increase of the period from left to the right.
Calculations with scattering matrix method, transmission/reflection spectra for
unchirped crystals (all parameters are the same as used in simulation for Fig. 4,
except periods): (b) for period d ¼ 0.164 lm; (c) for period d ¼ 0.2 lm
(d1 ¼ d2 ¼ 0:1 lm). Transmission/reflection spectra for a chirped PhC (d) pe-
riod gradually increasing from d1 ¼ 0.164 lm, to d2 ¼ 0.2 lm, N ¼ 40.
index gradient,44,45 resulting into so-called double-chirped
structures. Here, we present an example of a chirped struc-
ture of varied period.
As the central frequency of the BG depends on the pe-
riod of the structure, in a chirped PhC, where the period is
gradually increasing (Fig. 6(a)), the local BG frequency
range varies along the structure, thus the total BG can
increase. In Fig. 6(b), for unchirped structure one of the BGs
appears around k ¼ 600 nm. In Fig. 6(c), BG appears around
k ¼ 750 nm. Smaller (larger) period results in BG at smaller
(larger) wavelengths. Therefore, introducing chirp into the
structure, which results in gradually changing period, one
broadens the BG, as it is shown in Fig. 6(d). The larger is the
difference between the first and last periods, the broader is
the bandwidth of the total BG. Obviously, the length of such
crystal must be increased too, until the reflection in the BG
reaches 100%. A too fast variation of the period along the
structure (too strong chirp) can result in a “jump” through
the BG—the so-called Landau—Zener transition (non-adia-
batic effect).46
The chirped mirrors are frequently used for the manipu-
lation of chromatic dispersion in order to compensate disper-
sive broadening of pulses,47,48 also for manipulation of
spatial (angular) dispersion in order to compensate diffrac-
tive broadening of beams, i.e., to focus the reflected
beams,49,50 rather than for the frequency filtering.
We shortly revised the basic techniques of manipulation
of frequency BGs. Very similar physical principles work for
the engineering of angular BGs for spatial filtering.
D. Angular band-gaps
The principles of frequency filtering in 1D PhC can be
applied to spatial, or angular, filtering. We recall that even in
1D periodic structures the frequency BGs occur at different
frequencies for different propagation directions (Fig. 7). The
Bragg condition for the central wavelength of the band gap
kBG for the oblique incidence reads
011102-5 L. Maigyte and K. Staliunas
FIG. 7. Schematic illustration of appearance of angular BG in 1D PhC
structure.
2p 2p
2kk ¼ q; 2 cos a ¼ ;
kBG d introduce defects or to decrease the refractive index contrast
kBG ¼ 2d cos a:
where kk is the longitudinal component of an incident
wave-vector k~ (k ¼ 2p=k), q ¼ 2p=d is the reciprocal period
of the 1D structure, and a is the incidence angle of the inci-
~ In this way, propagation and reflection of waves
dent wave k.
at an incident angle a are equivalent to those of waves of
smaller frequency x0 at normal incidence (apart from the
modification of reflection coefficient)
x0 ¼ kk c ¼ x0 cos a;
where kk ¼ k cos a:
If the 1D PhC is illuminated by a monochromatic
Gaussian beam, which can be Fourier decomposed into a
set of k~ vectors with different a values, the Bragg condition
for waves at oblique incidence Eq. (7) will apply for
the longitudinal components of the wavevector with kk
¼ k cos a. The transmission/reflection spectrum then can be
calculated directly. For illustration, in Fig. 8, we represent
the BG as a 2D map in terms of angle and wavelength (cal-
culated from the Bragg condition for oblique incidence, Eq.
(7) by scattering matrix method). The structure is a 1D PhC
with the same parameters as in Fig. 4. On the left side of
Fig. 8, the frequency transmission-reflection spectra for
FIG. 8. Center-2D map of transmission spectra depending both on angle of incidence a and on the wavelength k (in vacuum), where BG is clearly observed
(red area); left: (top) vertical cut at a ¼ 25 ; (bottom) vertical cut at a ¼ 0 , right: (top) horizontal cut at k ¼ 600 nm; (bottom) horizontal cut at k ¼ 532 nm.
The parameters of the structure: d ¼ 0:164lm, where dl1 ¼ dl2 ¼ 0:082 lm and refractive indices n1 ¼ 2:17 and n2 ¼ 1:49, number of periods N ¼ 20.
Appl. Phys. Rev. 2, 011102 (2015)
normal (a ¼ 0 ) and oblique (a ¼ 25 ) incidences are
shown indicating the frequency shift of the BG, depending
on the plane wave incidence angle. The plots on the right
side are horizontal cuts of the 2D map at the wavelengths of
k ¼ 600 nm (top) and k ¼ 532 nm (bottom), which show
transmission-reflection spectra for different angular compo-
nents for these particular wavelengths. For particular fre-
quencies (in the example in Fig. 8 this correspond to
k ¼ 532 nm in vacuum), one can obtain transmission win-
dow in the central part of the distribution, which, in princi-
ple, could be used as a low-pass spatial filter. However,
such kind of angular filtering is of a little practical use, as
the transmission band in the center is too broad (10 in
this particular realistic example).
Again, similarly as for frequency filtering, one can either
(6)
to obtain narrower angle spatial filters. It was shown indeed
(7)
that the 1D PhC with the defect layer can, in principle, work
as a 2D low-pass spatial filter.51–54 To illustrate that we have
calculated the angle dependent transmittance by a 1D PhC
with a defect layer (Fig. 9). The parameters of the 1D PhC
are identical to the ones described for Fig. 8, except for the
defect of dl3 ¼ 0:023 lm introduced in the middle of the
structure which in total contains 14 periods (N ¼ 14). Due to
the defect layer, a defect mode (marked by a white arrow)
appears within the angular BG, which can also be seen for
(8) the vertical cuts of the 2D map at angles of a ¼ 0 (bottom)
and a ¼ 25 (top) (left side). For the case of a ¼ 25 , the
defect mode appears at k ¼ 565 nm, whereas for the case of
a ¼ 0 , the defect mode is at k ¼ 620 nm. On the right side
of Fig. 9, the horizontal cuts of the 2D map at wavelengths
of k ¼ 621 nm (top) and k ¼ 600 nm (bottom) are shown.
Similarly, as in the case of 1D PhC without the defect (Fig. 8
right (bottom)), at k ¼ 621 nm there is a transmission win-
dow at a ¼ 0 , with an angular width of 10  . In addition to
this, from the 2D map with the defect it can be observed that,
for various wavelengths, appears a relatively narrow trans-
mission window with the central angle a 6¼ 0 within the
angular BG region. In the considered example, the transmis-
sion window appears for k ¼ 600 nm, at a ¼ 15 (Fig. 9 right
(bottom)), with an angular width narrower as compared to
011102-6 L. Maigyte and K. Staliunas
FIG. 9. Center-2D map of transmission spectra (depending on a and k in vacuum) with the defect mode within the BG; left: (top) vertical cut at a ¼ 25 ;
(bottom) vertical cut at a ¼ 0 , right: (top) horizontal cut at k ¼ 621 nm; (bottom) horizontal cut at k ¼ 600 nm.
the previous cases (when the transmission window is located
at a ¼ 0 ). The narrower angular widths for the higher angles
(and, respectively, for smaller wavelengths) compared to the
smaller angles are compatible with relation (7) as for the
higher angles cos function is more sensitive.
However, the practical use of 1D PhCs with defects for
spatial filtering is very limited. Usually, the filtering angles
of a < 1 are of practical interest, which is practically
impossible to achieve with 1D structures, either with or with-
out defects. As it was shown from Ref. 54, the experimen-
tally measured central transmitted angular width of the
defect mode is 3 times larger compared to numerical calcula-
tions. This disagreement is due to the fabrication errors in
layer thickness. The problem is that in fabrication even a
small discrepancy of the width of defect moves the angular
characteristics very strongly. Nowadays, technologies allow
to fabricate the angular filters with an angular width range of
10 in 1D PhCs.
III. TWO- AND THREE-DIMENSIONAL PHOTONIC
CRYSTAL STRUCTURES
A. Spatial dispersion and angular band-gaps
The position and the width of the angular BGs can be
much more precisely controlled in 2D or/and 3D PhCs,
where the refractive index is modulated not only in longitu-
dinal direction but also in transverse direction.
Fig. 10(a) shows an example of a 2D PhC of a square
symmetry with the circular rods positioned at the lattice
points. Using PWE method, we plot the band diagram of
such structure for TE polarization (electric field is parallel to
the rods) in Fig. 10(b). As follows, there is no complete fre-
quency BG between the two lowest bands for this specific
structure. To explore more in detail, the surroundings of the
lowest bands frequency region, we plot the iso-frequency
contours of the spatial dispersion xðkx ; ky Þ. Figs. 11(a) and
11(b) represent the iso-frequency contours of the first two
bands.
If we illuminate the PhC structure at a normalized fre-
quency a=k ¼ 0.55, the Bloch modes lying on equifrequency
lines will be excited for this particular frequency both for the
first and the second bands (these particular equifrequency
Appl. Phys. Rev. 2, 011102 (2015)
lines are marked in dark red in Fig. 11(a) and dashed dark
red in Fig. 11(b). To illustrate this, we plot iso-lines from
both of the bands together in the Fig. 11(c).
The appearance of angular BG can be illustrated by sim-
ple terms, in Fig. 11(c): there are angles for the frequency of
0.55 (marked in red triangles) corresponding to the Bloch
waves for which the dispersion relation does not appear, i.e.,
there is a BG, in particular, angular range. Therefore, the
corresponding plane wave components inside the angular
band gap cannot propagate, being reflected back and conse-
quently disappear from the angular spectrum of forward
propagating beam.
An alternative interpretation of the spatial filtering effect
is by the resonant interaction of modes lying on spatial dis-
persion curve. The appearance of the frequency BGs and the
frequency filtering in 1D PhCs is related to the resonant
back-scattering of the plane waves of particular frequencies.
The spatial filtering, in the similar manner, can be explained
by the resonant backwards reflection of the particular angular
components of the light beam (Fig. 12). The spatial disper-
sion curve for a monochromatic wave of particular wave-
length propagating in the homogeneous material in
reciprocal space is a circle with the radius of k ¼ 2p=k
(Fig. 12). For the waves propagating in the PhC, the periodicity
of the crystal plays the key role: the wave vector of refractive
index modulation ~ q (in Fig. 12 marked with black arrows)
FIG. 10. (a) The structure of the 2D PhC. (b) Band diagram. The inset shows
the irreducible Brillouin Zone of the structure. The lattice constant is a ¼
0:6 lm, the host medium is air, the rods of the radius r ¼ 0:2a are made
from the material with refractive index n ¼ 1.5.
011102-7 L. Maigyte and K. Staliunas
FIG. 11. Iso-frequency contours of the first (a) and the second bands (b). (c)
Iso frequency contours of both first and second bands plotted simultaneously.
couples the forward propagating mode with the mode propa-
gating backwards at a particular angle to the incidence direc-
tion (the first lying on the top part of the circle, while the
latter on the bottom part). Therefore, due to this resonant
coupling particular angular components at around the for-
ward propagating mode are being backscattered and the
angular band gap in the forward direction appears. In
Fig. 12, two possible cases of the described effect are shown.
FIG. 12. Illustration of the spatial filtering in a 2D PhC, in spatial Fourier
domain (kx, ky). Interpretation through the resonant scattering in PhC config-
uration with angular BGs for two cases (a) and (b) were the difference is in
the length and direction of ~
q vector.
Appl. Phys. Rev. 2, 011102 (2015)
Here a marks the angular distribution of the beam in front of
the crystal. In the crystal, some angular components, at reso-
nance with the periodic structure, are scattered into the back-
ward propagating modes marked by thick red arrows. The
angular bandwidth of the modes passing through the PhC
without the resonant backscattering is marked with the bright
triangle and indicated by angle b.
For the angular band gaps to appear at particular wave-
length, the condition on the longitudinal period dk < k (or
q k j > jkj,
j~ ~ where ~ q k is the longitudinal wave vector compo-
nent) must be fulfilled. This kind of filtering was proposed
and considered in optics.55–59 In Fig. 13(a), the numerical
results from Ref. 57 are presented, where the map on (k0 a,
angle) is shown for 2D square symmetry PhC. Here, a broad
range of angular band gap is obtained. With these results a
spatial filter with sharp boundary between the total transmis-
sion and total reflection can be obtained. The angular filter-
ing range is, however, very large.
Fig. 13(b) demonstrates the numerical and experimental
results for angular filtering from Ref. 55, where angular
band-gap at the incidence angles of 20 –30 is obtained.
Here, 2D crystal of a square symmetry with similar parame-
ters of Ref. 57 was used. The experiment was performed
with a horn antenna of microwave wavelength.
Spatial filtering was also demonstrated in acoustics, for
sonic crystals.60 Fig. 14(a) shows numerically simulated
angular intensity distribution of the narrow acoustic beam
FIG. 13. (a) Zero-order transmittance at varying k0 a and h (angle) for a 2D
square symmetry PhC, where k0 is wave vector of incident wave and a is the
lattice vector. Reproduced with permission from Serebryannikov et al.,
Appl. Phys. Lett. 94, 181101 (2009). Copyright 2009 AIP Publishing LLC.
(b) Transmittance for different illuminations at frequency f ¼ 21:763 GHz
(a=k ¼ 0:5078) for Gaussian-beam excitation (solid blue line), horn-antenna
excitation in the experiments (dotted red line), and plane-wave excitation
(dashed green line). Reproduced with permission from Colak et al., J. Appl.
Phys. 108, 113106 (2010). Copyright 2010 AIP Publishing LLC. Both (a)
and (b) are for square symmetry lattices.
011102-8 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

behind the 2D sonic crystal in the far field domain depending

on frequency. The angular distribution experiences a signifi-
cant narrowing, in the region of 130 kHz–150 kHz.
Moreover, the filtering angles decrease with the increase of
frequency. Figure 14(b) shows spatial filtering effect at par-
ticular frequency of f ¼ 140 kHz (Ref. 60) on the beam
propagation inside and behind the structure. The reflection of
acoustic beam at the entrance into the sonic crystal is clearly
observed, which indicates the presence of the angular BGs.
The beam behind the sonic crystal is evidently better colli-
mated than the reference beam, which confirms the spatial
filtering effect.
Moreover, in acoustics the spatial filtering with angular
BGs was recently demonstrated experimentally,61,62 as shown
in Fig. 15. It shows the angular sound field distribution at a
distance R ¼ 1 m behind the output face of the crystal at the
particular frequencies of 5158 Hz and 5543 Hz. The spatially
filtered angular regions are shaded. The transmission through
the crystal is compared with the free propagation (shown by FIG. 15. Experimental results evidencing the spatial filtering. The experi-
dashed line), where evident spatial filtering at h ¼ 30 for Fig. ment was performed using SC of 9  10 matrix of cylindrical (methacrylate)
15(a) and at h ¼ 15 for Fig. 15(b) can be seen.61 scatterers of radius r ¼ 1 cm, in square lattice with lattice constant
In optics for visible frequencies, the realization of such a ¼ 4.7 cm, surrounded by air. The filling fraction of the crystal
f ¼ pðr=aÞ2 ¼ 0:14. The emitter was broad band loudspeaker emitting white
kind of the spatial filtering experimental is still a challenging noise, a microphone was used as a receiver. (a) and (b) The sound pressure
technological task, as the longitudinal period must be of the level, with (continuous line) and without crystal (dashed line) for frequen-
order of the wavelength. However, as recently suggested63 cies of f ¼ 5158 Hz and f ¼ 5543 Hz, correspondingly.61 Reprinted with
and experimentally demonstrated64 spatial filtering can be permission from Pic o et al., “Evidences of spatial (angular) filtering of
sound beams by sonic crystals,” Appl. Acoust. 74, 945–948 (2013).
realized also without angular BGs. Copyright 2013 Elsevier.

B. Gapless angular filtering

Strictly speaking, the BG is defined as a condition when no
forward propagating radiation is possible. The corresponding
Bloch mode is decaying evanescently (exponentially) along
the structure. As illustrated above in Fig. 12, the periodic
structure of the PhC scatters the waves to the backward
direction. In the case of the spatial filtering without angular
BGs, there is no backscattering of the radiation, rather its
deflection to the forward direction. In Fig. 16, the idea of
gapless spatial filtering is illustrated in two cases of it. The
description of the spatial dispersion diagrams in Fig. 16 is
analogous to that in Fig. 12, except of the important differ-
ence: there is no backscattering of the particular forward
propagating angular beam components, but instead, occur
their deflection, i.e., the resonant interaction appears for two
modes propagating in forward direction. The mode to which
the energy is scattered is at larger angles, i.e., the angles of

FIG. 14. Numerical simulations with sonic crystal built from steel cylinders
with r ¼ 0:6 mm immersed in water. The crystal has a triangular symmetry,
defined pbyffiffiffi lattice parameters a ¼ ja~1 j ¼ ja~2 j ¼ 6 mm. Filling fraction is
f ¼ 2p= 3ðr=aÞ2 ¼ 0:03. The material parameters are qh ¼ 103 kg m3
and Bh ¼ 2:2  109 N m2 for the host medium (water) and qs ¼ 7:8  103
kg m3, Bs ¼ 160  109 N m2, with corresponding sound velocities ch
¼ 1483 m s1 and cs ¼ 4530 m s1. The source is a Gaussian beam. (a) The
far field (angular) distribution of the acoustic intensity transmitted through
the crystal depending on the frequency in the configuration with angular
band gaps. (b) A Gaussian beam propagating inside and behind SC for fre-
quency of f ¼ 140 kHz. Reprinted with permission from Pic o et al., “Spatial
filtering of sound beams by sonic crystals,” Appl. Acoust. 73, 302–306 FIG. 16. Possible configurations for a spatial filtering without the angular
(2012). Copyright 2012 Elsevier. band gap (compare with the Fig. 12).
011102-9 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

FIG. 17. Numerical calculations of angular profiles of filtered radiation depending on the length of the PhCs (in terms of number of periods n). (a) In condition
of gapless filtering, where deflection of particular angular components is obtained. Reprinted with permission from Purlys et al., Phys. Rev. A 87, 033805
(2013). Copyright 2013 The American Physical Society. (b) In condition of filtering with angular BGs, where particular angular components are reflected
back. Here, blue color marks transmission, while red-reflection. The parameters of PhC are transverse period d? ¼ 1 lm, refractive index of the material
nref ¼ 1:52, and the contrast of refractive index modulation Dn ¼ 103 . Longitudinal period for (a) is dk ¼ 6 lm, while for (b) is dk ¼ 0:35 lm.

the first diffraction maxima are still directed forwards. The
central position of the angular band gap follows from geo-
metrical considerations and corresponds to a resonant inter-
action between field harmonics.65
This kind of filtering is possible for the larger longitudi-
nal periods of the refractive index modulation dk > k (or
q k j < jkj),
j~ ~ therefore it is much simpler to fabricate such kind
of structures. The gapless filtering was predicted not only for
optics but also for the matter waves in Bose-Einstein conden-
sates.66 As just mentioned above, gapless spatial filtering is
more convenient from the fabrication point of view, however,
the efficiency of filtering is restricted. The reason for that is the
deflected wave components propagate in forward direction,
therefore they can be scattered back into the modes of initial
radiation. The process is summarized in Fig. 17(a) from Ref.
65 where the gapless filtering depending on the number of
periods n of nonchirped PhC is shown (the calculation method
is explained in Appendix A). For the numerical simulation, a
Gaussian beam of wavelength k ¼ 633 nm was used.
Initially, just after entrance of beam into the crystal, the
“dips” in the angular spectrum (the filtered out angular regions)
increase in depth with the crystal length (Fig. 17(a), n ¼ 8, 14).
However, at larger propagation distances, when the area of
angular wave components is depleted to zero, the reverse pro-
cess starts, and the efficiency of the filtering decreases (Fig.
17(a), n ¼ 20, 22). Moreover, the filtered out area appears to be
not a smooth dip, as needed for most of applications, but devel-
ops oscillatory character. This is in strong contrast with the spa-
tial filtering in PhCs with angular BGs, where the filtered out
radiation propagates in backward direction (Fig. 17(b), all
parameters for simulation are the same as 17(a), except of lon-
gitudinal period dk ¼ 0:35 lm)), and therefore, cannot be re-
versely scattered into forward propagating beam. As Fig. 17(b)
shows, the increase of the length of the PhC does not initiate
the reverse scattering process. In Fig. 17(b), the red profiles
mark the reflected angular components.
In order to achieve efficient angular filtering in the gap-
less case, the reverse scattering process is to be suppressed,
i.e., the interaction between modes is to be allowed for a lim-
ited propagation distance, and interrupted just at the distance
when reverse process starts. For the parameters of Fig. 17(a),
the optimum length providing maximum dip of filtered out
components is approximately 14 periods. However, at the
optimal distance the filtering dip is just of a limited width.
The possibility to increase the efficiency of spatial filtering
in gapless configuration is to use the chirped structures,63
where the longitudinal period varies along the photonic
structure.
C. Chirped structures to enhance filtering
The central angle of filtered out radiation follows from
the simple geometric considerations
q? k
sinðaÞ ¼ ðq  1 Þ ¼ ðq  1Þ: (9)
2k0 2d?
Here q? ¼ d2p? is the wavenumber of transverse modulation,
2n
2d?
k0 ¼ 2p
k is the wavenumber of wave, and q ¼ kdk is the con-
venient geometry factor where n is the average refractive
index. As follows from Eq. (9), the angle of filtering depends
on the longitudinal period of the structure, among others;
therefore, the chirp of longitudinal period, while keeping
other parameters constant, would result into the sweep of the
filtering angle along the PhC. Consequently, the chirp results
in (1) filtering efficiency and the angular range of filtering
can be increased and (2) the reverse scattering process can
be suppressed as the angular components efficient interaction
length can be limited by the velocity of the sweep. Fig. 18(a)
shows the numerical calculations,65 where the positive chirp-
ing effect was shown for the case of spatial filtering without
011102-10 L. Maigyte and K. Staliunas
FIG. 18. Angular transmission profiles for varying chirp parameter C for PhC sample with n ¼ 50 periods. Numerical results (a) for the spatial filtering in gap-
less configuration.65 (b) For the spatial filtering in the configuration with angular band gaps. (c) Experimental results for the spatial filtering in gapless configu-
ration. Reprinted with permission from Purlys et al., Phys. Rev. A 87, 033805 (2013). Copyright 2013 The American Physical Society.
the angular BGs. The parameters of the PhC here are the
same as in the case of 17(a), except here longitudinal period
is linearly incremented by Dd for every new period
dk;j ¼ dk;B þ jDd, where j counts periods i ¼ 1; …; n: The
adimensional chirp parameter is defined by C ¼ Dd=dk ,
where dz ¼ ðdk;Begin þ dk;End Þ=2 is the average distance
between layers with dz ¼ 6 lm. Fig. 18(b) shows spatial fil-
tering in case of the angular band gap configuration, where
the chirping effect improves quality of spatial filtering. In
Fig. 18(b), efficiency of filtering is slightly better but remains
similar compared to the filtering in the gapless configuration
(Fig. 18(a)). In Fig. 18(b), the difference from Fig. 18(a) is
the average distance between layers, where in Fig. 18(b) it is
dz ¼ 0:35 lm. Fig. 18(c) represents the experimental results65
with exactly the same parameters of PhCs as calculated
numerically in Fig. 18(a). Numerical and experimental results
have a very good correspondence and prove the constructive
role of chirp for the gapless case.
FIG. 19. Numerically obtained field profiles for spatial filtering in chirped struc-
tures with higher number of periods (a) and for higher refraction index contrast
(b). The parameters for (a) n ¼ 120, s ¼ 0.05, C ¼ 0.24%, dk ¼ 7.44 lm; for (b)
s ¼ 0.1, n ¼ 50, C ¼ 0.53%, dk ¼ 7.2 lm. The dashed line indicates angular pro-
file of incident beam. Dashed arrows indicate diffractive scattering of the field
components. Reprinted with permission from Purlys et al., Phys. Rev. A 87,
033805 (2013). Copyright 2013 The American Physical Society.
Appl. Phys. Rev. 2, 011102 (2015)
Chirping of the structure improves the spatial filtering
significantly; to improve it even more there are several possi-
bilities: (1) to increase the length of the structure or (2) to
increase the refractive index contrast. Fig. 19 shows the fil-
tering performance for the both of the cases, where the filter-
ing performance reach up to 80% of efficiency.65
Spatial filtering with 2D PhCs is more controllable and
robust compared to 1D PhCs. However, the spatial filtering
obtained by 2D crystals is only 1D (Fig. 20). 1D filtering can
be useful in some particular applications, e.g., where only
one quadrature of the beam is noisy and the filtering is
needed only in the transverse direction; nevertheless, for
most applications the full 2D filtering is required. To per-
form a full 2D spatial filtering 3D PhCs should be used.
D. Three-dimensional photonic crystals for spatial
filtering
3D PhCs have refractive index modulation in x, y, and z
directions (Fig. 21). As was mentioned in Sec. III C 3D PhCs
can perform 2D spatial filtering. With 3D PhC case similarly
as with 2D PhC, both kind of filtering mechanisms can be
achieved: with angular BGs and without angular BGs, since
the same relations dk < k, dk > k hold for the corresponding
cases. The gapless filtering, where particular angular
FIG. 20. (a) A schematic representation of 2D PhC. (b) 1D spatial filtering
by 2D PhC obtained by numerical simulation. Reprinted with permission
from Purlys et al., Opt. Lett. 39, 929 (2014). Copyright 2014 The Optical
Society of America.
011102-11 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

FIG. 22. The 2D transmission profile (a) as well as the distribution on a hori-
FIG. 21. Schematic examples of 3D PhCs: (a) red and grey colors signify zontal cut (b), obtained by numerical simulations with the crystal parameters
different refractive indices of the material. (b) Taken from Ref. 64, where of: transversal period d? ¼ 1:5 lm, longitudinal period dk ¼ 11:6, refractive
ellipses represent different refractive index from the host material. Reprinted index of material nref ¼ 1:52, contrast of refractive index modulation
with permission from Maigyte et al., Phys. Rev. A 82, 043819 (2010). Dn ¼ 103 . This is the Gaussian beam of k ¼ 633 nm. Experimental results
Copyright 2010 The American Physical Society. (c) and (d) Taken from (for the same parameters): (c) CCD camera image of the central part of the
Ref. 67, where (c) represents 3D woodpile structured PhC and (d) represents beam with angular field components filtered out (dark lines crossing each
numerically calculated far field filtering distribution for the structure, where other and making a square within the central maximum). (d) Intensity distri-
the 2D filtering is obtained. Reprinted with permission from Purlys et al., bution behind the PC (in the far-field domain) along the horizontal cut cross-
Opt. Lett. 39, 929 (2014). Copyright 2014 The Optical Society of America. ing the center of the beam. The field from central maximum is marked by a
solid line and from the first diffraction maxima is marked by dashed, col-
oured lines. Reprinted with permission from Maigyte et al., Phys. Rev. A
components are deflected to the first diffraction maxima, was 82, 043819 (2010). Copyright 2010 The American Physical Society.
already demonstrated with 3D PhCs.64
Figs. 22(a) and 22(b) show numerical simulation
(method is explained in Appendix A) of the spatial filtering
with the 3D PhC for the geometry shown in (Fig. 21(b)). The
numerical results are proven by the experiment, which con-
firmed the effect (Figs. 22(c) and 22(d)). However, the dem-
onstrated spatial filtering is of a relatively low efficiency. To
increase spatial filtering efficiency, for 3D PhC, the same
methods, as in 2D case, can be applied: the increase of the
refractive index contrast or the introduction of a chirp.
The profile shape of the filtered our angular components
depends on the geometry of the 3D crystal. The above
described PhC structure64 consists of a square lattice in xy
plane; therefore, the filtering window is of a square shape
(Figs. 22(a) and 22(c)). To change the shape of the filtering
window, the symmetry of the PhC lattice in xy plane has to
be changed. For instance, if instead of a square filtering the
circular (axisymmetric) filtering is needed (which is a usual
situation for most applications), then PhC should have the
axisymmetric shape in xy plane as well (Fig. 23(a)). Fig.
23(b) shows the example of axisymmetric filtering, per-
formed by the axisymmetric photonic microstructure and
calculated by split step method (see Appendix A). In the cen-
tral part of the far field distribution, a dark ring can be FIG. 23. (a) Schematic representation of an axisymmetric crystal, where
each layer consists from concentric circles with a periodic separation
observed, which stands for the angular components coher- between the rings. (b) Intensity distribution of a far field of the Gaussian
ently scattered to the first diffraction maxima (bright circle beam of k ¼ 633 nm which propagated through an axisymmetric crystal.
surrounding the central beam distribution). The filtering Experimentally recorded far field distributions behind the axisymmetric
structure for N ¼ 12 (c) show the large scale distribution, (d) show the small
angle approximately follows the expression in Eq. (9), the scale distributions together their vertical cross-sections crossing the center
same as for 1D filtering. The axisymmetric filtering has been of the beam. Reprinted with permission from Purlys et al., Opt. Lett. 39, 929
demonstrated experimentally (Figs. 23(c) and 23(d)).67 (2014). Copyright 2014 The Optical Society of America.
011102-12 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

photonic crystals) as well, as e.g., predicted in Ref. 69, also

in periodically modulated semiconductor amplifiers.70,71 The
latter structures fell into a class of complex photonic crystals,
i.e., the structures with the spatially modulated refractive
index and gain/loss.72 Concerning the architectures of the
implementation, the intracavity spatial filtering is very prom-
ising, as the PhC filters, due to their compact size can be
integrated inside the mini- and micro-resonators. The intra-
cavity PhCs already provide the modifications of diffraction
of the resonators:73,74 the analogous architectures are
expected to show the spatial filtering too.

FIG. 24. Non-chirped axisymmetric PhC: 2D intensity distribution—(a) numeri- ACKNOWLEDGMENTS

cal simulation, (b) experimental result, (c) cross sections of the intensity distribu-
tions; Chirped axisymmetric PhC: 2D intensity distribution—(d) numerical
simulation, (e) experimental result, (f) cross sections of the intensity distributions.
Reprinted with permission from Gailevicius et al., “Chirped axisymmetric micro-
photonic structures for spatial filtering,” J. Nanophotonics 8, 084094 (2014).
Copyright 2014 Society of Photo Optical Instrumentation Engineers.
The efficiency of the spatial filtering in axisymmetric
crystals can be increased in the same way as in previous
cases: by chirping and by the increase of refractive index
contrast of the structure. The experimental results with axi-
symmetric chirped PhCs68 are shown in Fig. 24, where con-
structive role of chirp can be clearly observed.
It should be mentioned that there is one disadvantage of
axisymmetric photonic structures compared to the square
transverse symmetry PhCs, i.e., they lack the transversal invar-
iability due to the presence of the optical axis along the axi-
symmetric structure. Therefore, the beam which needs to be
filtered must be aligned (which is not needed for the PhCs).67
We are grateful to the co-authors of our papers on spatial
filtering: M. Peckus, M. Malinauskas, V. Purlys, D. Gailevicius,
R. Herrero, M. Botey, J. Trull, C. Cojocaru, T. Gertus, and V.
Sirutkaitis, who participated in common research reviewed in
this article. Additionally, we would like to acknowledge
financial support by Spanish Ministerio de Educacion y Ciencia
and European FEDER (Project FIS2011-29734-C02-01).
APPENDIX A: MATHEMATICAL MODELS AND
NUMERICAL METHODS
Different models of different complexity have been used
to obtain numerical results on spatial filtering reviewed
throughout the article. We present them in the Appendix.
The basic model is the set of Maxwell equations for the
electric and magnetic fields, which in the absence of charges
and currents (dielectric structures) can be written in the form

IV. CONCLUSION r Þ~
r feð~ r ; tÞg ¼ 0;
Eð~ (A1)

We have reviewed the recent studies of a novel method ~ r ; tÞ ¼ 0;

r Hð~ (A2)
for spatial light filtering by using the PhCs, where the mecha-
nisms of spatial filtering with BGs and without BGs (gapless ~ð~ @ ~
rE r ; tÞ ¼ l0 H ð~
r ; tÞ; (A3)
filtering) were presented. Spatial filtering can be performed @t
with 1D, 2D, and 3D PhCs. With 1D PhCs, it is hard to con- @ ~
trol the spatial filtering: nowadays technologies allow to fabri- ~ð~
rH r ; tÞ ¼ e0 eð~
rÞ E ð~
r ; tÞ: (A4)
@t
cate the angular filters of 1D PhCs with angular width of
10 . With 2D or/and 3D PhCs the full control of the spatial The form of the Maxwell equations (A1)–(A4) already con-
filtering can be obtained. However, with 2D PhCs only 1D fil- tain the matter response relations, i.e., the relation between
tering can be performed, which can be useful for very specific ~ with the electric field E:
the electric displacement field D ~
applications. With 3D PhCs 2D spatial filtering can be
obtained and the shape of the filtering window can be modi- Dð~ r Þ~
~ r ; tÞ ¼ e0 eð~ r ; tÞ;
Eð~ (A5)
fied, as it depends on the geometry of the transverse plane of ~ with the magnetic field H,
~
as well as magnetic induction, B
the PhC. To enhance the performance of spatial filtering, the
which for nonmagnetic material is trivial.
PhCs can be chirped. The PhC spatial filters have an advant-
age over the conventional ones due to their compactness and ~ ~ r ; tÞ:
r ; tÞ ¼ l0 Hð~
Bð~ (A6)
translational invariance (not for axisymmetric case).
The current review focused on spatial filtering to build The Maxwell equation set is usually solved numerically using the
the compact stand-alone photonic crystal filter based on so called Finite Difference Time Domain (FDTD) model. The nu-
dielectric periodic structures. Such structures are most genu- merical scheme was first developed by Taflove.75 Nowadays,
ine and pure to study and to describe the physics of the spa- many different commercial FDTD software packages are avail-
tial filtering. The applications and the implementations of the able, widely used by engineers of nano- and micro-structures.
physical idea can be also realized in composite materials, The FDTD methods are based on discretization of space
and more sophisticated designs. The spatial filtering can be and time, and substitution of derivatives in (A1)–(A4) by fi-
generalized to absorbing periodic structures (metallic nite differences. Typically, a spatial grid should be used with
011102-13 L. Maigyte and K. Staliunas Appl. Phys. Rev. 2, 011102 (2015)

at least 20 grid points per wavelength; therefore, the method substituting @=@z ! ikz ; r ! ik? in (A11)) is a parabola
2
becomes very time consuming for the structures extending in kz ¼ k? =ð2k0 Þ, which is a parabolic approximation of the
2
space over many wavelength. As an estimation: the use of precise dispersion relation of (A7) the circle k~ ¼ nx=c.
107 grid points (i.e., the 10 Mega-pixels) which is reasonable The model is convenient to simulate the unidirectional
for nowadays desktops allows simulation of the structure of propagation of the fields along the structure, in particular, for
(100  100 lm) in case of 2 spatial dimensions (we assume the gapless spatial filtering. The integration proceeds in
here the visible light of k  0:6 lm), or (10  10  7 lm) in space (not in time as in FDTD), i.e., the field evolution is
case of 3 spatial dimensions. Even the supercomputers that considered iterating on a grid moving along the structure.
are able to use 109 grid points (1 Giga-pixel) are limited to Usually, a split-step method is very efficient for the problems
the calculation of the (1:5  1:5 mm) in 2D case and of such type: integrating the variation of field phase due to
(50  50  50 lm) in 3D case. Therefore, the FDTD methods, refractive index profile in space domain, and calculation of
being a powerful tool for exact calculations of the light propa- the diffractive propagation (the Laplace operators) in spatial
gation in several micron size structures, become inconvenient Fourier domain (Fourier transformation in transverse space).
for the studies of light filtering in PhCs of relatively large The further simplification of the model is possible, if the
extent. We note that most of the structures for spatial filtering field variation is weak in propagation from slice to slice.
reviewed in the paper are of dimensions of around 1 mm.
On the other hand, the structures used for spatial filter- 1. Discretization by layers
ing have relatively large periods of spatial modulation
If the variation of the field distribution in propagation over
(1  10 lm), also relatively small refractive index variation
one longitudinal period of the structure is small, an additional
(Dn  103 ). This offers simplifications of the full model.
simplification is possible by setting the size of the split step
From Eqs. (A1)–(A4) one can obtain
equal to one longitudinal period (or half-period). Then, the
  propagation is considered alternatively: a scattering on a layer
1 1 @ 2~
E ð~
r ; tÞ
r r~
E ð~
r ; tÞ ¼  2 ; (A7) of periodically modulated index and diffractive propagation in
eð~
rÞ c @t2 the homogeneous media between the layers.
The scattering by one layer is conveniently calculated
where c is the speed of light in free space given by integrating the (A11) in space domain, and neglecting the
1 diffraction operator
c ¼ pffiffiffiffiffiffiffiffiffi : (A8)
e0 l 0
A1 ðr; zÞ ¼ Aðr; zÞeði DnðrÞk0 Dlz Þ  Aðr; zÞð1 þ i DnðrÞk0 Dlz Þ:
Assuming relatively large scale modulation of the index:
(A12)
j@eð~
r Þ=@~
r j
jeð~
r Þ=kj the (A7) can be rewritten in the form
of wave equation The diffractive propagation between the layers is calculated
in transverse Fourier domain, Aðr? ; zÞ ! Aðk? ; zÞ where the
r Þ @ 2 Eðr; tÞ
eð~
r2 Eðr; tÞ  ¼ 0: (A9) diffractive propagation operator results in a simple multipli-
c2 @t2 cation by eigenvalues of the operator
Next one can derive the paraxial equation in the limit 2
A2 ðk? ; zÞ ¼ A1 ðk? ; zÞeði Dlz k? =ð2k0 ÞÞ : (A13)
j@Eð~ r j
jEð~
r ; tÞ=@~ r ; tÞ=kj, j@Eð~
r ; tÞ=@tj
jxEð~
r ; tÞj, the
so called limit of slowly varying (in space) envelopes The method is applicable for small changes of the fields in
one longitudinal modulation period: jDnðrÞk0 Dlz j
1 and
~ ~ r Þeikzixt : 2
r ; tÞ ¼ Að~
Eð~ (A10) jDlz k? =ð2k0 Þj
1.

Here, one assumes that the field is monochromatic with the
frequency x and that the beam propagates paraxially, along
the wave-vector k0 ¼ nx=c, here n is the averaged refractive
index (note that the amplitude of modulation of susceptibil-
ity, or index is small and is around the average value). Then
the paraxial propagation equation is
ð2ik0 @=@z þ r2? þ 2Dnðx; y; zÞk02 ÞAðx; y; zÞ ¼ 0: (A11)
It is assumed that the beam propagates along the z axis direc-
tion, r2? ¼ @ 2 =@x2 þ @ 2 =@y2 is the Laplace operator in the
space transverse to the propagation direction: ~ r ? ¼ ðx; yÞ
denotes the space perpendicular to the propagation direction,
and k? ¼ ðkx ; ky Þ denotes the transverse components of the
propagation wave-vector. The paraxial model does not take
into account the back-reflected wave, nor the waves refracted
at relatively large angles to the optical axis. In particular, the
spatial dispersion relation in the paraxial model (obtained by
2. Harmonic expansion
If the profile of the refractive index, which is used in
fabrication, is well approximated by a harmonic function:
Dnðx; y; zÞ ¼ Dno =4ðcosðqx xÞ þ cosðqy yÞÞ cosðqz zÞ, where
Dn0 is the maximum amplitude of the variation of the refrac-
tive index (refractive index contrast), the field can be
expanded into spatial harmonic components
ð 
Aðr? ; zÞ¼ eik? r? A0 ðk? ; zÞ
X 
þ Amx ;my ðk? ; zÞeimx qx xþimy qy yiqz z dk? :
mx ;my
(A14)
In the expansion, one can consider only the most relevant
diffracted components Amx ;my ðk? ; zÞ with ðmx ; my Þ ¼ ð0; 1Þ;
ð0; þ1Þ; ð1; 0Þ; ðþ1; 0ÞÞ, in addition to the zero component
011102-14 L. Maigyte and K. Staliunas
A0 ðk? ; zÞ. This particular truncation is justified having in
mind the smallness of the index modulation, and also from
the experimental observations (described in the review),
where only four diffraction maxima are dominating.
Inserting Eq. (A14) into Eq. (A11) results
d ik2 iDn0 k0 X
A0 ¼  ? A0 þ Am ;m ; (A15a)
dz 2k0 16 mx ;my x y
!
d iðkx þ mx qx Þ2 þ iðky þ my qy Þ2
Am ;m ¼  þ iqz
dz x y 2k0
iDn0 k0
 Amx ;my þ A0 : (A15b)
16
(A15) describes an exchange of the radiation between the
central component k? ¼ ðkx ; ky Þ and the diffracted compo-
nents ðkx þ mx qx ; ky þ my qy Þ. The radiation exchange, and
consequently the depletion is most efficient for the angles k?
corresponding to the resonant interaction between the zero
component (A15a) and one or several of the diffracted com-
ponents (A15b). The resonance condition reads
ðkx þ mx qx Þ2 þ ðky þ my qy Þ2  2qz k0 ¼ kx2 þ ky2 : (A16)
The (A15) is a continuous model describing the evolution and
interaction of the field harmonics along the photonic structure,
which is periodic in transverse space. Note that the longitudi-
nally chirped structure (longitudinal period slowly, adiabatically,
varies along the structure) can be simulated using (A15) too.
However, the application of (A15) is problematic if the structure
in transverse space is not periodic, e.g., consists of concentric
rings, or quasicrystal, or is of a limited transverse extent.
APPENDIX B: FABRICATION TECHNIQUES
PhC samples can be assembled by various fabrication
methods. Depending on different parameters of required
PhC, such as dimensionality, lattice, and material, the most
suitable fabrication technique can be applied.
1D PhCs have been produced for a long time, where
mainly evaporation techniques are used.76 To create a 2D
PhCs interference lithography,77,78 electron beam lithogra-
phy,79,80 direct laser writing in photosensitive materials,81 etc.,
are implemented. Fabrication of 3D PhC structures for visible
spectrum remains a considerable challenge, however such
techniques like 3D holographic lithography (multi-beam inter-
ference lithography),82–84 layer-by-layer lithography/photoli-
thography,85,86 self-assembly,87,88 soft lithography,89,90 auto-
cloning,91,92 micro-manipulation,93,94 glancing-angle deposi-
tion,95 direct laser writing,96–99 and combination of different
fabrication methods86,93 made great advances in creation of
3D PhC for light. In the following, we briefly describe most
common techniques in fabrication of 3D PhCs, as well as,
we describe in more detail the fabrication method used to
create PhC samples for spatial filtering.
1. Self-assembly
Colloidal self-assembly87,88 methodology emerges from
the property that particles self-organize owing to their elec-
trostatic or other interaction, which gives rise to crystalline
Appl. Phys. Rev. 2, 011102 (2015)
structures. Colloidal crystals then can be processed to obtain
opals, which can be used as templates into which dielectric
materials may infiltrate. After the infiltration process the
template can be dissolved, which would leave a lattice of air-
filled spheres in dielectric medium. The process is efficient
and cheap and can produce large samples of periodic struc-
tures, however, using this method lattice symmetries are lim-
ited, in addition to the appearance of random lattice defects.
2. Layer-by-layer lithography and photolithography
With layer-by-layer lithography85 one layer of PhCs is
being built at a time, where the main idea is to etch (for
example, by applying focused electron beam) a cross section
of the PhC pattern onto a substrate. Then etched holes are
filled with the different material and the second layer of sub-
strate can be deposited. The process is being repeated until
the needed number of layers is reached. When the sample is
ready, the filling material can be dissolved.
In the case of layer-by-layer photolithography,86 the
photolithographic microstructuring of photosensitive materi-
als is applied, where after light exposure and structuring of
one layer it is lowered in a bath of liquid photoresist, and a
second layer is exposed on top of the first. The sequential
procedure is being repeated until the needed height of the
structure is reached.
3. Holographic lithography
Holographic lithography,82–84 also known as multi-
beam interference lithography, can be used for the fabrica-
tion of the PhCs, since light distribution resulting from mul-
tiple beam interference can have spatial periodicity on the
order of wavelength. The interference pattern using photore-
sist material can be recorded as volume hologram and then
converted into PhC. Using holographic lithography large
PhCs samples, with high flexibility in unit cells can be fabri-
cated. However, the structures are strictly periodic, therefore
additional methods to introduce defects should be applied.
4. Direct laser writing by polymerization
Direct laser writing (DLW) by two-photon or multi-
photon polymerization96–99 is a suitable technique for poly-
meric PhCs. In DLW by multi-photon polymerization, pho-
toresist is illuminated by the tightly focused laser beam at a
particular frequency, which initiates the multi-photon
absorption in the material and sequentially the polymeriza-
tion. The shape of an object can therefore be traced out by
the laser. The part of the photoresist which was not polymer-
ized by the laser beam can be washed away and the traced
solid obtained. This technique is very flexible and convenient
for integration of the defect structures.
5. Point-by-point modification
The reported 2D and 3D PhCs for spatial filtering in
visible frequency range were fabricated in standard micro-
scope soda-lime glass slides (Carl Roth, nref ¼ 1.52) by a
point-by-point modification of refractive index by a tightly
focused femtosecond laser beam (Fig. 25). The method is
011102-15 L. Maigyte and K. Staliunas
FIG. 25. Illustration of fabrication setup and procedure (a). A sample of
soda-lime glass is moved in respect to the tightly focused femtosecond laser
beam inducing a point-by-point refractive index modification in the bulk of
the glass. (b) The view of the produced structure. (c) The magnified view of
the produced structure. Optical microscopy image. Reprinted with permis-
sion from Purlys et al., Phys. Rev. A 87, 033805 (2013). Copyright 2013
The American Physical Society.
widely used for inscription of various micro-optical and pho-
tonic components in glass, such as waveguides,100,101 Bragg
gratings,102 as well as vortex generators.103 The simplified
scheme of the fabrication setup is depicted in Fig. 25(a) and
some examples of 2D PhCs are shown in Figs. 25(b) and
25(c).
For this method due to high intensity of focused light,
the refractive index at the region of the focal point is locally
modified, thus translation of sample results in a desired pro-
file of modulation of refractive index in three dimensions.
The change of refractive index and its spatial confinement
depends on applied laser power and on the focalization. For
the fabrication of reported PhCs, it was used a Yb:KGW
laser providing 300 fs pulses at 1030 nm. The magnitude of
the refractive index change for the material and presented
fabrication conditions is generally considered to be of the
order of 103 .104–106
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