From Whitney Forms to Metamaterials: a Rigorous Homogenization Theory

A rigorous homogenization theory of metamaterials -- artificial periodic structures judiciously designed to control the propagation of electromagnetic waves -- is developed. All coarse-grained fields are unambiguously defined and effective parameters are then derived without any heuristic assumptions. The theory is an amalgamation of two concepts: Smith & Pendry's physical insight into field averaging and the mathematical framework of Whitney-Nedelec-Bossavit-Kotiuga interpolation. All coarse-grained fields are defined via Whitney forms and satisfy Maxwell's equations exactly. The new approach is illustrated with several analytical and numerical examples and agrees well with the established results (e.g. the Maxwell-Garnett formula and the zero cell-size limit) within the range of applicability of the latter. The sources of approximation error and the respective suitable error indicators are clearly identified, along with systematic routes for improving the accuracy further. The proposed approach should be applicable in areas beyond metamaterials and electromagnetic waves -- e.g. in acoustics and elasticity.Comment: 23 pages, 10 figure

Nonasymptotic Homogenization of Periodic Electromagnetic Structures: Uncertainty Principles

We show that artificial magnetism of periodic dielectric or metal/dielectric structures has limitations and is subject to at least two "uncertainty principles". First, the stronger the magnetic response (the deviation of the effective permeability tensor from identity), the less accurate ("certain") the predictions of any homogeneous model. Second, if the magnetic response is strong, then homogenization cannot accurately reproduce the transmission and reflection parameters and, simultaneously, power dissipation in the material. These principles are general and not confined to any particular method of homogenization. Our theoretical analysis is supplemented with a numerical example: a hexahedral lattice of cylindrical air holes in a dielectric host. Even though this case is highly isotropic, which might be thought as conducive to homogenization, the uncertainty principles remain valid.Comment: 11 pages, 5 figure

Can photonic crystals be homogenized in higher bands?

We consider conditions under which photonic crystals (PCs) can be homogenized in the higher photonic bands and, in particular, near the $\Gamma$-point. By homogenization we mean introducing some effective local parameters $\epsilon_{\rm eff}$ and $\mu_{\rm eff}$ that describe reflection, refraction and propagation of electromagnetic waves in the PC adequately. The parameters $\epsilon_{\rm eff}$ and $\mu_{\rm eff}$ can be associated with a hypothetical homogeneous effective medium. In particular, if the PC is homogenizable, the dispersion relations and isofrequency lines in the effective medium and in the PC should coincide to some level of approximation. We can view this requirement as a necessary condition of homogenizability. In the vicinity of a $\Gamma$-point, real isofrequency lines of two-dimensional PCs can be close to mathematical circles, just like in the case of isotropic homogeneous materials. Thus, one may be tempted to conclude that introduction of an effective medium is possible and, at least, the necessary condition of homogenizability holds in this case. We, however, show that this conclusion is incorrect: complex dispersion points must be included into consideration even in the case of strictly non-absorbing materials. By analyzing the complex dispersion relations and the corresponding isofrequency lines, we have found that two-dimensional PCs with $C_4$ and $C_6$ symmetries are not homogenizable in the higher photonic bands. We also draw a distinction between spurious $\Gamma$-point frequencies that are due to Brillouin-zone folding of Bloch bands and "true" $\Gamma$-point frequencies that are due to multiple scattering. Understanding of the physically different phenomena that lead to the appearance of spurious and "true" $\Gamma$-point frequencies is important for the theory of homogenization.Comment: Accepted in this form to Phys. Rev. B. Small addition in Sec.V (Discussion) relative to previous version. The title to appear in PRB has been changed to "Applicability of effective medium description to photonic crystals in higher bands: Theory and numerical analysis" per the journal policy not to print titles in the form of question