4498 OPTICS LETTERS / Vol. 39, No.

15 / August 1, 2014

Three-dimensional coupled-wave theory for

the guided mode resonance in
photonic crystal slabs: TM-like polarization
Yi Yang,1 Chao Peng,1,* Yong Liang,2 Zhengbin Li,1 and Susumu Noda2
1
State Key Laboratory of Advanced Optical Communication Systems and Networks,
Department of Electronics, Peking University, Beijing 100871, China
2
Department of Electronic Science and Engineering, Kyoto University, Kyoto-Daigaku-Katsura, Nishikyo-ku, Kyoto 615-8510, Japan
*Corresponding author: [email protected]
Received March 3, 2014; revised May 11, 2014; accepted June 30, 2014;
posted June 30, 2014 (Doc. ID 207480); published July 28, 2014
A general coupled-wave theory is presented for the guided resonance in photonic crystal (PhC) slabs with TM-like
polarization. Numerical results based on our model are presented with finite-difference time-domain validations.
The proposed analysis facilitates comprehensive understanding of the physics of guided resonance in PhC slabs and
provides guidance for its applications. © 2014 Optical Society of America
OCIS codes: (080.2720) Mathematical methods (general); (160.5293) Photonic bandgap materials; (160.5298)
Photonic crystals.
http://dx.doi.org/10.1364/OL.39.004498

Photonic crystal surface-emitting lasers (PC-SELs) [1,2] β0  2π∕a, mx  m  Δx , and ny  n  Δy (Δx and Δy
are becoming increasingly important due to their prom- are the deviations from the Γ point as defined in [10]).
ising functionality and performance and in which the Moreover, within the PhC slab (jzj < d), 1∕ε
r can be
guided mode resonance (GMR) has been recognized as expanded with the Fourier transform: 1∕ε
r  κ a 
P
the fundamental mechanism for mode stabilization. κ mn e−imβ0 x−inβ0 y , where κa ≜κ 00 f
1∕ε1 
1−f 
1∕ε2 ,
GMR exists in photonic crystal (PhC) slabs, originating where ε1 and ε2 are the permittivity of the PhC slab
from the complex interaction between the in-plane and the medium that fills the holes, respectively. Expand-
guided waves and the external radiation [3–5]. It provides ing Eq. (1) yields the coupling equations, as in the x
an efficient and subtle way to channel light from within direction
the slab to the external environment.
Inheriting the early research of coupled mode analysis  
∂2 ∂ 2 2 2 2
for distributed feedback (DFB) lasers and waveguides κa  κ δ
a 00  k0 − κ a y 0 H x;m;n  κ a mx ny β 0 H y;m;n
n β
[6–8], we developed a 3D coupled-wave theory (CWT) ∂z2 ∂z
X
 2 
to realize accurate and efficient analysis of the TE-like ∂ ∂ 0 2
GMR in PhC slabs at Γ [9] or non-Γ points [10], with  κ m−m0 ; − 2  δm−m0 ;  ny ny β0
0 0
n−n ∂z n−n ∂z
m0 ;n0 ≠m;n
arbitrary sidewalls [11] or vertical index contrast [12], 
with C 4ν or C 6ν symmetry [13], and with infinite or finite 0 2
× H x;m0 ;n0 − mx ny β0 H y;m0 ;n0 ; (2)
structures [14].
Recently, there has been significant progress on
TM-like modes in PhCs, such as bound states in the con- where δmn ≜
∂ε
r∕∂z∕κ mn . The derivative terms of H x
tinuum (BICs) [4,5], Dirac cones [15], quantum cascade and H y with respect to x and y have been eliminated,
lasers (QCLs) [16], and thermal radiation controls [17]. as we assume an x–y-infinite PhC slab. Because the H-
Such progress also calls for a vivid picture for under- component equation contains the curl of ε
r, the cou-
standing the underlying physics and a theoretical pling equation should also depict the coupling contribu-
framework to comprehensively depict the modal behav- tion from the permittivity derivative, i.e., δmn , which does
iors. In this Letter, we present our CWT for TM- not exist in TE-like modes. It must be pointed out, if ε
r
like modes. is a step type vertically (like the typical PC-SELs [9–11]),
For PhC slabs maintaining mirror–flip symmetry [5] δmn degenerates into a series of Dirac functions at inter-
or whose band contains no TE–TM crossing [10], the faces and can be understood as a surface coupling effect.
TE–TM coupling is weak and can be reasonably ne- If ε
r is a graded type vertically, δmn will be significant in
glected. Hence, the TM-like electromagnetic field can the whole structure. The rest of the operators, which de-
be written as
H x ; H y ; E z . The magnetic field equation is pict the coupling effect induced by the planar periodic

 permittivity, resemble that of the TE-like coupling equa-
1 tions [9]. Hence, the coupling in TM-like modes can be
∇× ∇ × H
r  k20 H
r: (1)
ϵ
r categorized into two effects: one is induced by the planar
permittivity modulation (the only coupling mechanism
Here we focus on the case in which the structure is for TE-like modes), and the other is induced from the dis-
regarded as infinite in the x–y plane, as shown in Fig. 1 continuity in the vertical waveguide structure (denoted
Pof a finite structure, see [14]). Thus, we
(for the analysis by δmn ). Under different circumstances, one effect may
have H i
z  H i;m;n
ze−imx β0 x−iny β0 y ; i  x; y, where dominate the other or they might have significant
0146-9592/14/154498-04$15.00/0 © 2014 Optical Society of America
 August 1, 2014 / Vol. 39, No. 15 / OPTICS LETTERS 4499

Fig. 2. CWT-calculated in-plane H-field vector distribution

(H x , H y arrows) and Ez patterns (in color) of four band-edge
modes (TM1 –TM4 ) at the 3D structure. The thick black circles
indicate the locations of holes.

Appendix A. The band structure and loss can be deter-

Fig. 1. (a) A photonic crystal slab in real space. (b) Wavevec- mined from the real and imaginary parts of k0 [9].
tors in k space. Basic waves (blue, Rx , S x , Ry , S y ) and high-order We are able to depict the in-plane fields of the four
waves (orange) are considered [9–14]. (c) Typical TM-like band
band-edge modes with our CWT, which are shown in
structure near the second-order Γ point with four identified
band-edge modes [9]. Fig. 2. At the second-order Γ point, the band-edge modes
are standing waves oscillating in the x–y plane since they
possess zero group velocity: modes TM1 and TM4 , with
cancellation. Thus, the interaction between these two infinite lifetime, possess oscillating quadrupole electric
effects makes TM-like modes more complex than TE-like fields; modes TM2 and TM3 , leaky modes with significant
modes. loss, possess planar wave electric fields. Modes TM1 and
The y direction coupling equation, symmetric with TM4 can also be understood as two BICs with symmetry
Eq. (2), can be obtained by switching H x;m;n and mx with incompatibility [4,5].
corresponding H y;m;n and ny . In the z direction, the trans- Compared with their TE-like counterparts [9–14] (two
verse wave condition of the H components yields: nondegenerate high-Q modes with lower frequencies and
two degenerate low-Q modes with higher frequencies),
X ∂ the TM-like modes have two degenerate low-Q modes
κ m−m00 ;
m H 0 0  ny H y;m0 ;n0   0: (3)
m0 ;n0
n−n ∂z x x;m ;n sandwiched by two high-Q modes. This sequence differ-
ence corresponds to a basic intuitive principle in PhC:
The guided resonance depends on the phase matching low-frequency modes concentrate their energy in high-
between the guided mode (β) and a given
m; n order of ε regions, and the opposite is true for high-frequency
the Bloch mode (βmn  mβ0 x̂  nβ0 ŷ), with β  jβmn j. In modes [18]. As is shown in Fig. 5 in [10], TE-like modes
this Letter, we focus on the second-order Γ point. Follow- A and B have much less electric energy (quivers) concen-
ing the low-index-contrast (LC) approximation [9–12], we trated within air holes than that of modes C and D.
utilize the linear-polarized basic waves fRx ; S x ; Ry ; S y g However, in TM-like modes, mode TM1 has the least elec-
to excite high-order waves and radiative waves. The tric energy (color patterns) concentrated in air holes,
four basic waves have their own field profiles denoted while mode TM4 has the most. Hence, the frequency
by Θm;n
z in which m2  n2  1. Θm;n
z can be calcu- sequence difference of the four band-edge modes be-
lated from the fundamental waveguide mode with no tween TE-like and TM-like modes is explained.
periodic structure [6–8]: As an example, we show the modal properties of a typ-
ical PhC structure [5] with our CWT. By setting Δx  0

2  and Δy  0, the behaviors of the four modes versus
∂ ∂ the filling factor can be depicted at Γ point (Fig. 3).
− 2 − δ00 
m2x  n2y β20 κa Θm;n  k20;mn Θm;n : (4)
∂z ∂z The CWT and finite-difference time-domain (FDTD) re-
sults agree well. It is noted that with larger filling factors,
Equations (2)–(4) lead to the coupling of the basic the results of CWT start to deviate from those of FDTD.
waves:
q

k20;mn − k20  m2x  n2y Amn Θm;n
X
2 
∂ ∂ 2 2 2
 κ m−m00 ; − δ 0 −
m  n β
y 0
∂z2
x
n−n0 ∂z
m−m
n−n
;
m0 ≠m
n0 ≠n
;

×
n0y H x;m0 ;n0 − m0x H y;m0 ;n0 ; (5)

where Amn ∈ fRx ; S x ; Ry ; S y g. The high-order and radia-

tive waves on the right of Eq. (5) can be obtained in terms
of the basic wave profiles Θm;n (see Appendix A). Hence,
the complex frequencies can be calculated from the
eigenvalue problem of V  fRx ; S x ; Ry ; S y g: k0 V  CV. Fig. 3. Example (structure in [5]): modal frequency and loss of
For the details of the matrix elements, please refer to TM1 –TM4 modes versus the filling factor.
4500 OPTICS LETTERS / Vol. 39, No. 15 / August 1, 2014

the profiles of the radiative waves ΔH x
z, ΔH y
z. It is

noted that at non-Γ points, the radiative waves have con-
tributions from all four basic waves and are no longer
linear polarized.
For the high-order waves with jm2  n2 j > 1, we intro-
duce a proper linear combination of H x;m;n and H y;m;n
and obtain a set of equations of the form:

Ĵ 2
mx H x;m;n  ny H y;m;n ≜ Ĵ 2 H 

Fig. 4. Example (structure in [5]): modal properties in the X
vicinity of the second-order Γ point. − κ m−m00 ; K̂
mx H x;m0 ;n0  ny H y;m0 ;n0 ; (A3)
n−n
m0 ≠m
n0 ≠n
;

This inaccuracy is induced by the neglected high-order

coupling [12] that becomes considerable with a larger fill-
ing factor. Nevertheless, the accuracy can be improved Û mn
ny H x;m;n − mx H y;m;n ≜Û mn H −
with a self-consistent iteration procedure, as we proved X
for a TE-like case [12]. − κ m−m00 ; V̂ mn
n0y H x;m0 ;n0 − m0x H y;m0 ;n0 ; (A4)
n−n
Adopting a similar perturbation approach as that for m0 ≠m
n0 ≠n
;
TE-like modes [10], we can also depict the band structure
and radiation loss of the TM-like modes (Fig. 4). Similar where the operators Ĵ 2  κ a
∂2 ∕∂z2   κa δ00
∂∕∂z  k20 ,
to the TE-like modes, the radiation constants of modes
TM1 and TM4 are zero at Γ point, because the perfect Û mn  Ĵ 2 − κ a
m2x  n2y β20 , and V̂ mn  K̂ mn −
m2x n2y β20 .
symmetry leads to complete destructive interference H  and H − can be obtained with corresponding Green’s
[9]. When slightly deviating from the Γ point, the radia- functions [9]. Then H x;m;n and H y;m;n become known.
tion constants of modes TM1 and TM4 increase, while By the integral with Θmn
z in the whole PhC region,
those of TM2 and TM3 decrease to meet the energy con- the coupled-wave equations yield an eigensystem that
servation. It is noted that our CWT is still able to provide can be written in matrix form as k0 V  CV, where
qualitative depiction of the modal behaviors with large
wave vector deviations, as our recent analysis explained C  k0;mn  C1D  Crad  C2D ; (A5)
the formation of the tunable bound states in the con-
tinuum in PhC slabs [19]. 0 1
In this Letter, we provide our coupled wave theory for k0;1;0 0 0 0
TM-like modes in PhC slabs. Unlike TE-like modes, the B 0 k0;−1;0 0 0 C
surface and in-plane coupling both contribute to the over- k0;mn B
@ 0
C;
A (A6)
0 k0;0;1 0
all interference. The in-plane field patterns, Γ point prop- 0 0 0 k0;0;−1
erties, and band structure are depicted with good
agreement with numerical results. We believe this theory
is helpful for understanding novel phenomena (such as
BICs and Dirac cones) and device design and optimiza- 0 1
tion (such as PC-SELs, QCLs, and thermal emitters). 0 κ2;0 0 0
B κ−2;0 0 0 0 C
C1D  B
@ 0
C; (A7)
Appendix A: Solutions of Radiative and High-Order 0 0 κ0;−2 A
Waves 0 0 κ0;−2 0
Using the radiative wave ΔH x ≡ H x;0;0 at Γ point as an
example, we collect the 0-order terms in the case
m  0, n  0 from Eq. (2) and obtain: 0 1
X ζ
1;0
1;0

−1;0
ζ1;0 ζ
0;1
1;0 ζ
0;−1
1;0
Ĵ 1 ΔH x  − κ −m00 ; K̂ mn H x;m0 ;n0 ; B
1;0 C
(A1) Bζ
−1;0
ζ−1;0 ζ
0;1 ζ
0;1 C
−n B −1;0 −1;0 −1;0 C
m0 ;n0 ≠0 Crad  B
1;0 C; (A8)
Bζ
−1;0
ζ0;1 ζ
0;1 ζ
0;−1 C
@ 0;1 0;1 0;1 A
where Ĵ 1  κ a
∂2 ∕∂z2   κa δ00
∂∕∂z  k20 − κa Δ2y β20 and
K̂ mn 
∂2 ∕∂z2  − δ−m;−n
∂∕∂z. Equation (A1) can be ζ
1;0
0;−1

−1;0
ζ0;−1 ζ
0;1
0;−1 ζ
0;−1
0;−1
solved by employing the Green’s function approach:
X Z
ΔH x  κ −m00 ; G1
z; z0 K̂H x;m0 n0
zdz0 ; (A2) 0 1
m0 ;n0 ≠0
−n χ
1;0
1;0

−1;0
χ 1;0 χ
0;1
1;0

0;−1
χ 1;0
B
1;0 C
Bχ
−1;0
χ −1;0 χ
0;1
0;−1 C
χ −1;0
where G1
z; z0   Ĵ −1 B −1;0 −1;0 C
1 .
We obtain the initial value of C2D  B
1;0 C: (A9)
ΔH x
z by applying the LC approximation [9–12] and ap- Bχ
−1;0
χ 0;1 χ
0;1
0;−1 C
χ 0;1 A
@ 0;1 0;1
proach its convergence with an iteration [12]. ΔH y
z can
be obtained in a similar fashion. Thus we have obtained χ
1;0
0;−1

−1;0
χ 0;−1 χ
0;1
0;−1

0;−1
χ 0;−1
 August 1, 2014 / Vol. 39, No. 15 / OPTICS LETTERS 4501

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