arXiv subjects

Ya Yan Lu

Publications and source records attributed to Ya Yan Lu.

At least 37 records · Page 2Linked to original sources

arXiv2022

Real transmission and reflection zeros of periodic structures with a bound state in the continuum

For lossless periodic structures with a proper symmetry, the transmission and reflection spectra often have peaks and dips that are truly $100\%$ and $0\%$, respectively. The full peaks and zero dips typically appear near resonant frequencies, and they are robust with respect to structural perturbations that preserve the required symmetry. However, current theories on the existence of full peaks and zero dips are incomplete and difficult to use. For periodic structures with a bound state in the continuum (BIC), we present a new theory on the existence of real transmission and reflection zeros that correspond to the zero dips in the transmission and reflection spectra. Our theory is relatively simple, complete, and easy to use. Numerical examples are presented to validate the new theory.

physics.optics↗

arXiv2022

Approximating transmission and reflection spectra near isolated nondegenerate resonances

A linear scattering problem for which incoming and outgoing waves are restricted to a finite number of radiation channels can be precisely described by a frequency-dependent scattering matrix. The entries of the scattering matrix, as functions of the frequency, give rise to the transmission and reflection spectra. To find the scattering matrix rigorously, it is necessary to solve numerically the partial differential equations governing the relevant waves. In this paper, we consider resonant structures with an isolated nondegenerate resonant mode of complex frequency $ω_\star$, and show that for real frequencies near $ω_0 = \mbox{Re}(ω_\star)$, the transmission and reflection spectra can be approximated using only the scattering matrix at $ω_0$ and information about the resonant mode. We also present a revised temporal coupled-mode theory that produces the same approximate formulas for the transmission and reflection spectra. Numerical examples for diffraction of plane waves by periodic structures are presented to validate our theory.

physics.optics↗

arXiv2021

Resonant field enhancement in lossy periodic structures supporting complex bound states in the continuum

Resonant modes in a lossy periodic structure sandwiched between two lossless homogeneous media form bands that depend on the Bloch wavevector continuously and have a complex frequency due to radiation and absorption losses. A complex bound state in the continuum (cBIC) is a special state with a zero radiation loss in such a band. Plane waves incident upon the periodic structure induce local fields that are resonantly enhanced. In this paper, we derive a rigorous formula for field enhancement, and analyze its dependence on the frequency, wavevector and amplitude of the incident wave. For resonances with multiple radiation channels, we determine the incident wave that maximizes the field enhancement, and find conditions under which the field enhancement can be related to the radiation and dissipation quality factors. We also show that with respect to the Bloch wavevector, the largest field enhancement is obtained approximately when the radiation and dissipation quality factors are equal. Our study clarifies the various factors related to field enhancement, and provides a useful guideline for applications where a strong local field is important.

physics.optics↗

arXiv2021

Complex modes in optical fibers and silicon waveguides

At a fixed frequency, a general wave field in an open optical waveguide is a sum of finite number of guided modes and an integral of radiation modes. Most studies on open lossless dielectric waveguides are concerned with regular guided modes which are confined around the waveguide core, have a real propagation constant, and propagate along the waveguide axis without attenuation. However, there may be guided modes with a complex propagation constant even though the waveguide consists of lossless isotropic dielectric materials, and they are the so-called complex modes. The complex modes are proper modes confined around the waveguide core, and are different from the leaky modes which have divergent wave fields in the transverse plane. For waveguides with discontinuities and defects, the complex modes can be excited and must be included in eigenmode expansions. However, existing studies on complex modes in open lossless dielectric waveguides are very limited. In this Letter, we consider circular fibers and silicon waveguides, study the formation mechanism of complex modes, and calculate the dispersion relations for several complex modes in each waveguide. For circular fibers, we also determine the minimum refractive-index ratio for the existence of complex modes. Our study fills a gap in optical waveguide theory and provides a basis for realizing potential applications of complex modes.

physics.optics↗

arXiv2021

Circularly polarized states and propagating bound states in the continuum in a periodic array of cylinders

Bound states in the continuum (BICs) in a periodic structure sandwiched between two homogeneous media have interesting properties and useful applications in photonics. The topological nature of BICs was previously revealed based on a topological charge related to the far-field polarization vector of the surrounding resonant states. Recently, it was established that when a symmetry-protected BIC (with a nonzero topological charge) is destroyed by a generic symmetry-breaking perturbation, a pair of circularly polarized resonant states (CPSs) emerge and the net topological charge is conserved. A periodic structure can also support propagating BICs with a nonzero wavevector. These BICs are not protected by symmetry in the sense of symmetry mismatch, but they need symmetry for their robust existence. Based on a highly accurate computational method for a periodic array of slightly noncircular cylinders, we show that a propagating BIC is typically destroyed by a structural perturbation that breaks only the in-plane inversion symmetry, and when this happens, a pair of CPSs of opposite handedness emerge so that the net topological charge is conserved. We also study the generation and annihilation of CPSs when a structural parameter is varied. It is shown that two CPSs with opposite topological charge and same handedness, connected to two BICs or in a continuous branch from one BIC, may collapse and become a CPS with a zero charge. Our study clarifies the important connection between symmetry and topological charge conservation.

physics.optics↗

arXiv2020

On the robustness of bound states in the continuum in waveguides with lateral leakage channels

Bound states in the continuum (BICs) are trapped or guided modes with frequencies in radiation continua. They are associated with high-quality-factor resonances that give rise to strong local field enhancement and rapid variations in scattering spectra, and have found many valuable applications. A guided mode of an optical waveguide can also be a BIC, if there is a lateral structure supporting compatible waves propagating in the lateral direction, i.e., there is a channel for lateral leakage. A BIC is typically destroyed (becomes a resonant or a leaky mode) if the structure is slightly perturbed, but some BICs are robust with respect to a large family of perturbations. In this paper, we show (analytically and numerically) that a typical BIC in optical waveguides with a left-right mirror symmetry and a single lateral leakage channel is robust with respect to any structural perturbation that preserves the left-right mirror symmetry. Our study improves the theoretical understanding on BICs and can be useful when applications of BICs in optical waveguides are explored.

physics.optics↗

arXiv2020

Conditional robustness of propagating bound states in the continuum on biperiodic structures

For a periodic structure sandwiched between two homogeneous media, a bound state in the continuum (BIC) is a guided Bloch mode with a frequency in the radiation continuum. Optical BICs have found many applications, mainly because they give rise to resonances with ultra-high quality factors. If the periodic structure has a relevant symmetry, a BIC may have a symmetry mismatch with incoming and outgoing propagating waves of the same frequency and compatible wavevectors, and is considered as protected by symmetry. Propagating BICs with nonzero Bloch wavevectors have been found on many highly symmetric periodic structures. They are not protected by symmetry in the usual sense (i.e., there is no symmetry mismatch), but some of them seem to depend on symmetry for their existence and robustness. In this paper, we show that the low-frequency propagating BICs (with only one radiation channel) on biperiodic structures with an inversion symmetry in the plane of periodicity and a reflection symmetry in the perpendicular direction are robust to symmetry-preserving structural perturbations. In other words, a propagating BIC continues its existence with a slightly different frequency and a slightly different Bloch wavevector, when the biperiodic structure is perturbed slightly preserving the inversion and reflection symmetries. Our study enhances theoretical understanding for BICs on periodic structures and provides useful guidelines for their applications.

physics.optics↗

arXiv2020

Complex modes in an open lossless periodic waveguide

Guided modes of an open periodic waveguide, with a periodicity in the main propagation direction, are Bloch modes confined around the waveguide core with no radiation loss in the transverse directions. Some guided modes can have a complex propagation constant, i.e. a complex Bloch wavenumber, even when the periodic waveguide is lossless (no absorption loss). These so-called complex modes are physical solutions that can be excited by incident waves whenever the waveguide has discontinuities and defects. We show that the complex modes in an open dielectric periodic waveguide form bands, and the endpoints of the bands can be classified to a small number of cases, including extrema on dispersion curves of the regular guided modes, bound states in the continuum, degenerate complex modes, and special diffraction solutions with blazing properties. Our study provides an improved theoretical understanding on periodic waveguides and a useful guidance to their practical applications.

physics.optics↗

arXiv2020

Parametric Dependence of Bound States in the Continuum on Periodic Structures

Bound states in the continuum (BICs) have some unusual properties and important applications in photonics. A periodic structure sandwiched between two homogeneous media is the most popular platform for observing BICs and realizing their applications. Existing studies on BICs assume the periodic structure has a $C_2$ rotational symmetry about the axis perpendicular to the periodic layer. It is known that all BICs turn to resonant states with finite quality factors if the periodic structure is perturbed by a generic perturbation breaking the $C_2$ symmetry, and a typical BIC continues to exist if the perturbation keeps the $C_2$ symmetry. We study how typical BICs depend on generic structural parameters. For a class of BICs with one opening radiation channel, we show that in the plane of two generic parameters, the BICs exist continuously as a curve. Consequently, BICs can exist on periodic structures without the $C_2$ symmetry, and they can be found by tuning a single structural parameter. The result is established analytically by a perturbation theory with two independent perturbations and validated by numerical examples. Our study reveals a much larger family for BICs on periodic structures, and provides new opportunities for future applications.

physics.optics↗

arXiv2020

Exceptional points of Bloch eigenmodes on a dielectric slab with a periodic array of cylinders

Eigenvalue problems for electromagnetic resonant states on open dielectric structures are non-Hermitian and may have exceptional points (EPs) at which two or more eigenfrequencies and the corresponding eigenfunctions coalesce. EPs of resonant states for photonic structures give rise to a number of unusual wave phenomena and have potentially important applications. It is relatively easy to find a few EPs for a structure with parameters, but isolated EPs provide no information about their formation and variation in parameter space, and it is always difficult to ensure that all EPs in a domain of the parameter space are found. In this paper, we analyze EPs for a dielectric slab containing a periodic array of circular cylinders. By tuning the periodic structure towards a uniform slab and following the EPs continuously, we are able to obtain a precise condition about the limiting uniform slab, and thereby order and classify EPs as tracks with their endpoints determined analytically. It is found that along each track, a second order EP of resonant states (with a complex frequency) is transformed to a special kind of third order EP with a real frequency via a special fourth order EP. Our study provides a clear and complete picture for EPs in parameter space, and gives useful guidance to their practical applications.

physics.optics↗

arXiv2019

Resonant field enhancement near bound states in the continuum on periodic structures

On periodic structures sandwiched between two homogeneous media, a bound state in the continuum (BIC) is a guided Bloch mode with a frequency within the radiation continuum. BICs are useful, since they give rise to high quality-factor ($Q$-factor) resonances that enhance local fields for diffraction problems with given incident waves. For any BIC on a periodic structure, there is always a surrounding family of resonant modes with $Q$-factors approaching infinity. We analyze field enhancement around BICs using analytic and numerical methods. Based on a perturbation method, we show that field enhancement is proportional to the square-root of the $Q$-factor, and it depends on the adjoint resonant mode and its coupling efficiency with incident waves. Numerical results are presented to show different asymptotic relations between the field enhancement and the Bloch wavevector for different BICs. Our study provides a useful guideline for applications relying on resonant enhancement of local fields.

physics.optics↗

arXiv2019

Perturbation theories for symmetry-protected bound states in the continuum on two-dimensional periodic structures

On dielectric periodic structures with a reflection symmetry in a periodic direction, there can be antisymmetric standing waves (ASWs) that are symmetry-protected bound states in the continuum (BICs). The BICs have found many applications, mainly because they give rise to resonant modes of extremely large quality-factors ($Q$-factors). The ASWs are robust to symmetric perturbations of the structure, but they become resonant modes if the perturbation is non-symmetric. The $Q$-factor of a resonant mode on a perturbed structure is typically $O(1/δ^2)$ where $δ$ is the amplitude of the perturbation, but special perturbations can produce resonant modes with larger $Q$-factors. For two-dimensional (2D) periodic structures with a 1D periodicity, we derive conditions on the perturbation profile such that the $Q$-factors are $O(1/δ^4)$ or $O(1/δ^6)$. For the unperturbed structure, an ASW is surrounded by resonant modes with a nonzero Bloch wave vector. For 2D periodic structures, the $Q$-factors of nearby resonant modes are typically $O(1/β^2)$, where $β$ is the Bloch wavenumber. We show that the $Q$-factors can be $O(1/β^6)$ if the ASW satisfies a simple condition.

physics.optics↗

arXiv2019

Bound states with complex frequencies near the continuum on lossy periodic structures

On a lossless periodic dielectric structure sandwiched between two homogeneous media, bound states in the continuum (BICs) with real frequencies and real Bloch wavevectors may exist, and they decay exponentially in the surrounding homogeneous media and do not couple with propagating plane waves with the same frequencies and wavevectors. The BICs are of significant current interest, because they give rise to high-$Q$ resonances when the structure or the Bloch wavevector is slightly perturbed. In this paper, the effect of a small material loss on the BICs is analyzed by a perturbation method and illustrated by numerical results. It is shown that bound states with complex frequencies near the continuum appear, but they behave differently depending on whether the BIC is symmetry-protected or not. The Bloch wavevector of a bound state with a complex frequency can be real if the original BIC is symmetry-protected, and it is usually complex if the original BIC is not symmetry-protected. Our study improves the theoretical understanding on BICs and provides useful insight for their practical applications.

physics.optics↗

arXiv2019

Unidirectional Reflectionless Transmission for Two-Dimensional $\mathcal{PT}$-symmetric Periodic Structures

Unidirectional reflectionless propagation (or transmission) is an interesting wave phenomenon observed in many $\mathcal{PT}$-symmetric optical structures. Theoretical studies on unidirectional reflectionless transmission often use simple coupled-mode models. The coupled-mode theory can reveal the most important physical mechanism for this wave phenomenon, but it is only an approximate theory, and it does not provide accurate quantitative predictions with respect to geometric and material parameters of the structure. In this paper, we rigorously study unidirectional reflectionless transmission for two-dimensional (2D) $\mathcal{PT}$-symmetric periodic structures sandwiched between two homogeneous media. Using a scattering matrix formalism and a perturbation method, we show that real zero-reflection frequencies are robust under $\mathcal{PT}$-symmetric perturbations, and unidirectional reflectionless transmission is guaranteed to occur if the perturbation (of the dielectric function) satisfies a simple condition. Numerical examples are presented to validate the analytical results, and to demonstrate unidirectional invisibility by tuning the amplitude of balanced gain and loss.

physics.optics↗

arXiv2019

Excitation of bound states in the continuum via second harmonic generations

A bound state in the continuum (BIC) on a periodic structure sandwiched between two homogeneous media is a guided mode with a frequency and a wavenumber such that propagating plane waves with the same frequency and wavenumber exist in the homogeneous media. Optical BICs are of significant current interest, since they have applications in lasing, sensing, filtering, switching, and many light emission processes, but they cannot be excited by incident plane waves when the structure consists of linear materials. In this paper, we study the diffraction of a plane wave by a periodic structure with a second order nonlinearity, assuming the structure has a BIC and the frequency and wavenumber of the incident wave are one half of those of the BIC. Based on a scaling analysis and a perturbation theory, we show that the incident wave may induce a very strong second harmonic wave dominated by the BIC, and also a fourth harmonic wave that cannot be ignored. The perturbation theory reveals that the amplitude of the BIC is inversely proportional to a small parameter depending on the amplitude of the incident wave and the nonlinear coefficient. In addition, a system of four nonlinearly coupled Helmholtz equations (the four-wave model) is proposed to model the nonlinear process. Numerical solutions of the four-wave model are presented for a periodic array of circular cylinders and used to validate the perturbation results.

nlin.PS↗

arXiv2019

Computing resonant modes of circular cylindrical resonators by vertical mode expansions

Open subwavelength cylindrical resonators of finite height are widely used in various photonics applications. Circular cylindrical resonators are particularly important in nanophotonics, since they are relatively easy to fabricate and can be designed to exhibit different resonance effects. In this paper, an efficient and robust numerical method is developed for computing resonant modes of circular cylinders which may have a few layers and may be embedded in a layered background. The resonant modes are complex-frequency outgoing solutions of the Maxwell's equations with no sources or incident waves. The method uses field expansions in one-dimensional (1D) ``vertical'' modes to reduce the original three-dimensional eigenvalue problem to 1D problems, and uses Chebyshev pseudospectral method to compute the 1D modes and set up the discretized eigenvalue problem. In addition, a new iterative scheme is developed so that the 1D nonlinear eigenvalue problems can be reliably solved. For metallic cylinders, the resonant modes are calculated based on analytic models for the dielectric functions of metals. The method is validated by comparisons with existing numerical results, and it is also used to explore subwavelength dielectric cylinders with high-$Q$ resonances and analyze gold nanocylinders.

physics.optics↗

arXiv2019

Exceptional points for resonant states on parallel circular dielectric cylinders

Exceptional points (EPs) are special parameter values of a non-Hermitian eigenvalue problem where eigenfunctions corresponding to a multiple eigenvalue coalesce. In optics, EPs are associated with a number of counter-intuitive wave phenomena, and have potential applications in lasing, sensing, mode conversion and spontaneous emission processes. For open photonic structures, resonant states are complex-frequency solutions of the Maxwell's equations with outgoing radiation conditions. For open dielectric structures without material gain or loss, the eigenvalue problem for resonant states can have EPs, since it is non-Hermitian due to radiation losses. For applications in nanophotonics, it is important to understand EPs for resonant states on small finite dielectric structures consisting of conventional dielectric materials. To achieve this objective, we study EPs of resonant states on finite sets of parallel infinitely-long circular dielectric cylinders with subwavelength radii. For systems with two, three and four cylinders, we develop an efficient numerical method for computing EPs, present examples for second and third order EPs, and highlight their topological features. Our work provides insight to understanding EPs on more complicated photonic structures, and can be used as a simple platform to explore applications of EPs.

physics.optics↗

arXiv2019

Indirect link between resonant and guided modes on uniform and periodic slabs

A uniform or periodic dielectric slab can serve as an optical waveguide for which guided modes are important, and it can also be used as a diffraction structure for which resonant modes with complex frequencies are relevant. Guided modes are normally studied below the lightline where they exist continuously and emerge from points on the lightline, but isolated guided modes may exist above the lightline and they are the so-called bound states in the continuum. Resonant modes are usually studied above the lightline (defined using the real part of the complex frequency), but they are not connected to the guided modes on the lightline. In this work, through analytic and numerical calculations for uniform and periodic slabs, we establish an indirect link between the resonant and guided modes. It is shown that as the (Bloch) wavenumber is increased, a resonant mode continues its existence below the lightline, until it reaches its end at an Exceptional Point (EP) where a pair of improper modes emerge, and one branch of improper modes eventually approaches the lightline at the starting point of a guided mode. Leaky modes with a real frequency and a complex (Bloch) wavenumber (propagation constant) are also related to the improper modes. They emerge at EPs in eigenvalue formulations where the frequency is regarded as a parameter. Our study is based on a non-Hermitian eigenvalue formulation that includes resonant, improper and leaky modes, and provides a complete picture for different kinds of eigenmodes on uniform and periodic slabs.

physics.optics↗