Wright Derek W 201006 PHD Thesis

TIME-VARYING PHONONIC CRYSTALS
by
Derek Warren Wright
A thesis submitted in conformity with the requirements
for the degree of Doctor of Philosophy
The Edward S. Rogers Sr. Department of Electrical and Computer Engineering
Collaborative Program with
The Institute for Biomaterials and Biomedical Engineering
University of Toronto
Copyright 2010 by Derek Warren Wright
- ii -

ABSTRACT
Time-Varying Phononic Crystals
Derek Warren Wright, PhD, 2010
Edward S. Rogers Sr. Department of Electrical and Computer Engineering,
Institute for Biomaterials and Biomedical Engineering,
University of Toronto
Toronto, ON, Canada
The primary objective of this thesis was to gain a deeper understanding of acoustic wave
propagation in phononic crystals, particularly those that include materials whose properties can
be varied periodically in time. This research was accomplished in three ways.
First, a 2D phononic crystal was designed, created, and characterized. Its properties closely
matched those determined through simulation. The crystal demonstrated band gaps, dispersion,
and negative refraction. It served as a means of elucidating the practicalities of phononic crystal
design and construction and as a physical verification of their more interesting properties.
Next, the transmission matrix method for analyzing 1D phononic crystals was extended to
include the effects of time-varying material parameters. The method was then used to provide a
closed-form solution for the case of periodically time-varying material parameters. Some
intriguing results from the use of the extended method include dramatically altered transmission
properties and parametric amplification. New insights can be gained from the governing
equations and have helped to identify the conditions that lead to parametric amplification in these
structures.
Finally, 2D multiple scattering theory was modified to analyze scatterers with time-varying
material parameters. It is shown to be highly compatible with existing multiple scattering
theories. It allows the total scattered field from a 2D time-varying phononic crystal to be
determined.
It was shown that time-varying material parameters significantly affect the phononic crystal
transmission spectrum, and this was used to switch an incident monochromatic wave. Parametric
amplification can occur under certain circumstances, and this effect was investigated using the
closed-form solutions provided by the new 1D method.
Abstract iii

The complexity of the extended methods grows logarithmically as opposed linearly with
existing methods, resulting in superior computational complexity for large numbers of scatterers.
Also, since both extended methods provide analytic solutions, they may give further insights into
the factors that govern the behaviour of time-varying phononic crystals. These extended methods
may now be used to design an active phononic crystal that could demonstrate new or enhanced
properties.

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ACKNOWLEDGMENTS
First and foremost, I wish to express my most sincere gratitude to Prof. Richard Cobbold, my
primary thesis supervisor. He is astonishingly generous with his time, experience, guidance, and
friendship. Throughout this program he has become a role model for me both personally and
professionally, and I look forward to our continued rapport.
I would also like to thank Dr. Wayne Johnston, my thesis co-supervisor. He has provided
the valuable service of maintaining a big-picture view of my research. He has also given me
many helpful tips and suggestions on improving my presentation skills. I have thoroughly
enjoyed our conversations on a variety of unrelated topics and his great sense of humour.
Prof. Mohammad Mojahedi and Prof. Adrian Nachman have been kind enough to serve
on my thesis committee. They have routinely provided valuable insight into numerous aspects of
my research, and their advice has greatly contributed to the quality of my PhD experience.
Over the past four years, the members of Prof. Cobbolds ultrasound group have become
friends in addition to colleagues. My rides to and from Toronto with Muris Mujagi and our
tennis, ping pong, and workout sessions became the highlights of my workweek. Alfred Yu,
Rene Warriner, and Alexia Giannoula helped me get settled into the group and were great
technical resources. They have acted as my sounding board on countless occasions and I am very
grateful for our continued friendships and camaraderie.
The team lead by Prof. Peter Burns at Sunnybrook has been extremely generous with their
time, equipment and expertise. In particular, Ross Williams and Ahthavan Sureshkumar spent
many hours helping me to characterize our phononic crystal. I learned a great deal from both of
them, and profited from their extensive practical experience.
Mark Wheeler, a fellow graduate student working with Prof. Mojahedi, was kind enough to
answer numerous questions from me that Im sure were quite novice from his perspective. His
time and patience helped me get up to speed much faster than I would have been able to achieve
on my own. I am extremely grateful for his assistance and guidance.
Dr. Howard Ginsberg, who also co-supervises students in the ultrasound group, has been a
friend and strong advocate for my career. He introduced me to neurosurgery and allowed me to
see firsthand how ultrasound devices might improve a surgeons experience in the operating
room. I am also indebted to him for facilitating so many introductions to colleagues in the field
of ultrasound research.
Acknowledgments v

I wish to extend my thanks to my uncle and aunt, Neil and Judy Wright, with whom I lived
while in town. They provided me with a place to live and a sense of home and family that made
living in two cities possible and comfortable. I will always feel at home in 3B. I would also like
to thank my brother, David Wright, and his fiance, Laura Tracey, and my brother and sister-
in-law, Frans and Natalie LeRoij. Their involvement in my Toronto life helped me balance the
stresses of the PhD program with fun and relaxation, and I shall forever be grateful for the
enjoyable times we had together. My parents, Warren and Annette Wright, and my wifes
parents, Frans and Christy LeRoij, have always had my best interests in mind, and as such
have been supportive in countless ways throughout this experience.
I would like to acknowledge the scholarship support I received from an Ontario Graduate
Scholarship in Science and Technology, the Rogers Fellowship award, and the continual support
from Prof. Cobbolds Natural Sciences and Engineering Research Council of Canada grant. This
support has been extremely generous and is much appreciated.
Finally, and most importantly, I wish to dedicate this thesis to my wife, Amy. Five years ago
she suggested that I might do well in a PhD program and that I should consider applying. This
was in spite of the personal inconveniences it would cause us for the duration of the program.
She has been entirely supportive and encouraging, and I truly would not have achieved this goal,
nor would my life be pointed in such a satisfying and fulfilling direction were it not for her love
and support. She is my lab partner for life thank you. I would also like to thank our son,
William, for fitting so nicely in my arms as I typed this thesis.

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TABLE OF CONTENTS
Abstract .................................................................................................................................... ii
Acknowledgments.................................................................................................................... iv
List of Abbreviations and Symbols ......................................................................................... ix
List of Tables .......................................................................................................................... xv
List of Figures ........................................................................................................................ xvi
Chapter 1 Introduction ......................................................................................................... 1
1.1 Periodic materials ......................................................................................................... 2
1.1.1 Phononic crystals .................................................................................................. 3
1.1.2 Local resonance .................................................................................................... 5
1.2 Motivation.................................................................................................................... 6
1.2.1 Aims and scope ..................................................................................................... 7
1.3 Previous work .............................................................................................................. 8
1.3.1 Nonlinear photonics .............................................................................................. 9
1.3.2 Time-varying systems theory .............................................................................. 10
1.3.3 Active materials .................................................................................................. 11
1.4 Organization of thesis ................................................................................................. 13
Chapter 2 Static Phononic Crystals in One Dimension ..................................................... 14
2.1 Acoustic waves in one dimension ............................................................................... 14
2.2 Acoustic wave transmission and reflection in 1D ........................................................ 17
2.3 Periodic structures ...................................................................................................... 18
2.3.1 Band gaps ........................................................................................................... 18
2.3.2 Dispersion ........................................................................................................... 25
2.3.3 Corrugated tube waveguides................................................................................ 28
2.3.4 Anomalous Doppler effects ................................................................................. 29
2.3.5 Applications ........................................................................................................ 31
Chapter 3 Static Phononic Crystals in Two and Three Dimensions ................................. 32
3.1 Phononic crystal theory and effects ............................................................................ 32
3.1.1 Acoustic waves in two and three dimensions ....................................................... 32
3.1.2 Band gaps and waveguides .................................................................................. 34
3.1.3 Dispersion and refraction .................................................................................... 36
3.2 Phononic crystal design and experimental results ....................................................... 42
3.2.1 Crystal design ..................................................................................................... 42
3.2.2 Experimental methods ......................................................................................... 48
3.2.3 Results ................................................................................................................ 48
3.2.4 Summary ............................................................................................................. 53
Chapter 4 Simulation Methods .......................................................................................... 54
4.1 The finite-difference time-domain method .................................................................. 54
4.1.1 Derivation of a 2D algorithm ............................................................................... 56
4.1.2 Implementation ................................................................................................... 59
Table of Contents vii

4.1.3 Stability criteria ................................................................................................... 68
4.2 The transmission matrix method ................................................................................. 75
4.2.1 Example calculation ............................................................................................ 77
4.3 Multiple scattering theory ........................................................................................... 78
4.3.1 Scattering from one cylinder ............................................................................... 79
4.3.2 Scattering from two cylinders .............................................................................. 83
4.3.3 Scattering from N cylinders ................................................................................. 87
4.4 The plane wave expansion method ............................................................................. 88
4.4.1 Derivation of the plane wave expansion method in 3D ........................................ 89
4.4.2 Implementation details ........................................................................................ 94
4.5 Other simulation methods ........................................................................................... 95
4.6 Amenability to time-varying material parameters ....................................................... 96
Chapter 5 Dynamic Phononic Crystals in One Dimension ............................................... 99
5.1 The time-varying transmission matrix method ............................................................ 99
5.1.1 Transmission through one cell ........................................................................... 100
5.1.2 Time-varying phase velocity ............................................................................. 103
5.1.3 Transmission through multiple cells .................................................................. 105
5.1.4 Conversion back into a transmission spectrum................................................... 106
5.2 Solutions when the parameter variation is periodic ................................................... 106
5.2.1 Single-cell solution............................................................................................ 107
5.2.2 An n-cell solution .............................................................................................. 108
5.2.3 The discrete transmission spectrum ................................................................... 108
5.3 Closed-form solutions .............................................................................................. 110
5.3.1 A closed-form expression for one cell ............................................................... 111
5.3.2 A closed-form solution for two and n cells ........................................................ 115
5.4 Methodology and verification ................................................................................... 117
5.4.1 Computation method ......................................................................................... 117
5.4.2 The complexity of calculation ........................................................................... 118
5.4.3 Verification ....................................................................................................... 119
5.5 Results ..................................................................................................................... 121
5.5.1 Parametric amplification ................................................................................... 122
5.5.2 Signal switching ................................................................................................ 125
5.6 Summary and concluding discussion ........................................................................ 127
Chapter 6 Dynamic Phononic Crystals in Two Dimensions ........................................... 128
6.1 Time-varying multiple scattering theory ................................................................... 128
6.1.1 Scattering from one time-varying cylinder ......................................................... 128
6.1.2 Scattering from N periodically time-varying cylinders ....................................... 138
6.2 Verification .............................................................................................................. 139
6.2.1 One static cylinder ............................................................................................ 141
6.2.2 Several static cylinders ...................................................................................... 142
6.2.3 One periodically time-varying cylinder ............................................................. 142
6.2.4 Several periodically time-varying cylinders ....................................................... 145
6.2.5 The modified fundamental frequency field ........................................................ 148
6.2.6 Application to a time-varying phononic crystal ................................................. 148
6.3 Summary and concluding discussion ........................................................................ 150
Chapter 7 Summary and Conclusions ............................................................................. 152
7.1 Summary .................................................................................................................. 152
Table of Contents viii

7.1.1 Primary assumptions ......................................................................................... 152
7.2 Thesis contributions ................................................................................................. 153
7.2.1 Specific developments ....................................................................................... 153
7.2.2 Primary research contributions .......................................................................... 154
7.3 Suggestions for further work .................................................................................... 155
7.3.1 Analytical developments ................................................................................... 155
7.3.2 Implementation improvements .......................................................................... 157
7.3.3 Experimental work ............................................................................................ 158
7.3.4 Applications research ........................................................................................ 158
7.4 Concluding remarks ................................................................................................. 159
References ............................................................................................................................. 160
- ix -

LIST OF ABBREVIATIONS AND SYMBOLS
Abbreviations
1D One dimensional
2D Two dimensional
3D Three dimensional
AFC Active fiber composite
AO Acousto-optic
CPU Central processing unit
CW Continuous wave
DC Direct current
DFT Discrete Fourier transform
EAP Electroactive polymer
FDTD Finite-difference time-domain
FFT Fast Fourier transform
GPU Graphics processing unit
LHS Left-hand side
LTI Linear time-invariant
MFC Macro fiber composite
MIMO Multi-input multi-output
MST Multiple scattering theory
NR Negatively refracting
PML Perfectly matched layer
PWE Plane wave expansion
PZT Lead zirconate titanate
RHS Right-hand side
RLV Reciprocal lattice vector
SAW Surface acoustic wave
SNR Signal to noise ratio
TMM Transmission matrix method
TV-MST Time-varying multiple scattering theory
TV-TMM Time-varying transmission matrix method
List of Abbreviations and Symbols x

Roman-Based Symbols
A Matrix of coefficients in the PWE method
A PML coefficient matrix
A State transition matrix
A
Vector of forward and reverse displacement wave amplitudes in the
frequency domain
A
Vector of Fourier coefficients of the inverse of a periodic time-domain
function
A Cross-sectional area of a tube
A
+
, A
-

Forward and reverse displacement wave amplitudes in the frequency
domain
a Vector of forward and reverse displacement wave amplitudes
a
i
The i
th
vector of a phononic crystal lattice
a Cell spacing
a
+
, a
-
Forward and reverse displacement wave amplitudes
B PML coefficient matrix
B Function required in determining the scattering of a time-varying cylinder
b Vector of internal field coefficients
b
i
Coordinates of the centre of scatterer i
b
+
, b
-
Forward and reverse displacement wave amplitudes
b
m
Internal field coefficient of the m
th
order
C
n
, C
m
Matrices of Fourier coefficients
C Complexity of calculation
C
ij
Stiffness coefficient ij
c Elastic stiffness tensor
c Vector of scattered field coefficients
c
g
Vector group velocity
c
0
, c

Phase velocity
c
g
Group velocity magnitude
c
ijmn
Elements of the elastic stiffness tensor
c
m
Scattered field coefficient of the m
th
order
D Inverse of a periodic time-domain function
D
i
The i
th
Fourier coefficient of the inverse of a periodic time-domain function
d Vector of incident field coefficients
d Diameter
List of Abbreviations and Symbols xi

d Distance
d
1
, d
2
PML damping functions
d
m
Incident field coefficient of the m
th
order
E
1
, E
2
PML coefficient matrices
F Vector of Fourier coefficients of a periodic time-domain function
F
n
Force at position n
f Frequency
f
p
Pumping frequency
f
Rx
Received frequency
f
Tx
Transmitted frequency
G
Matrix required to find the Fourier coefficients of the inverse of a periodic
time-domain function
G Reciprocal lattice vector
H
m
Cylindrical Hankel function of the first kind and m
th
order
I Identity matrix
I
inc
Incident field intensity
I
p
Pump field intensity
i An integer
J
m
Cylindrical Bessel function of the first kind and m
th
order
j
1
j An integer
K Bulk modulus
k Wavevector
k An integer
k Spring constant
k Wave number
l An integer
L Length through a phononic crystal
M A point in the first Brillouin zone
M Inverse of a periodic time-domain function
M Maximum FDTD index in the x-direction
M Maximum order of the cylindrical wavefunctions considered
M, M
x
, M
y
Variables in the stability analysis of an FDTD simulation
M
i
The i
th
Fourier coefficient of the inverse of a periodic time-domain function
List of Abbreviations and Symbols xii

m An integer
m Mass
N Maximum FDTD index in the y-direction
N Number of cylinders in a multiple scattering configuration
N, N
x
, N
y
Variables in the stability analysis of an FDTD simulation
N
t
Number of data points per recorded waveform
N
x
, N
y
, N
z
Number of points in the x, y, or z dimensions
n An integer
P Inverse of the time-varying density
P Momentum
P, P
x
, P
y
Variable in the stability analysis of an FDTD simulation
p An integer
q An integer
R Radius
R Reflection coefficient
r, r
0
, etc. Position vectors
r An integer
S Scattering matrix
S, S

Separation matrices
S Cross-sectional area
S
ij
The ij
th
entry of a scattering matrix
S
ij
The ij
th
entry of a separation matrix
ij
mn
S The ijmn
th
element of a time-varying separation matrix
S
mn
Stress in the m
th
dimension due to displacement in the n
th
dimension
S
n21
The n-cell transmission coefficient
s An integer
T Transition matrix
T Transmission matrix
T
C
Cell transmission matrix
T
P
Propagation transmission matrix
T Transmission coefficient
T
0
Wave transit time through a material with a time-varying phase velocity
T
ij
The ij
th
entry of a transmission or matrix
T
mn
The mn
th
element of a transition matrix
List of Abbreviations and Symbols xiii

ij
mn
T The ijmn
th
element of a time-varying transition matrix
t Time
U Matrix of eigenvectors in the PWE method
u Acoustic particle vector displacement field
u
l
Longitudinal acoustic particle vector displacement field
u
t
Transverse acoustic particle vector displacement field
u, U Acoustic particle displacement
u, U Scalar velocity potential fields
u
m
, U
m
Acoustic particle displacement in the m
th
dimension
U
n
Acoustic particle displacement at position n
V
m
Matrix required in determining the scattering of a time-varying cylinder
V Volume
v PML state vector
v Velocity potential inside a penetrable cylindrical scatterer
v
R
Velocity of a reflector
W
m

Matrix or vector required in determining the scattering of a time-varying
cylinder
w
1
, w
2
PML state vector
X A point in the first Brillouin zone
X Total FDTD simulation distance in the x-direction
x Position vector
x
n
Position in the n
th
dimension
Y Total FDTD simulation distance in the y-direction
Z Characteristic acoustic impedance
Z The set of all integers
Greek-Based Symbols

Decay rate of the Fourier coefficients of the inverse of a periodic time-
domain function
01
,
02
PML damping coefficients
Variable in the stability analysis of an FDTD simulation
m
Coefficient in the T-matrix
A point in the first Brillouin zone
t
Resolution in the time-domain
x
,
y
,
z
Resolution in the x, y, or z dimensions
List of Abbreviations and Symbols xiv

( ) Dirac delta function
mn
Kronecker delta
Filling fraction
An angle
in
,
out
Phase entering and exiting a region
Adiabatic compressibility
Matrix of eigenvalues
Wavelength
Eigenvalue
First Lam coefficient
Second Lam coefficient
Linear mass density
Density
Stress tensor
Scalar velocity potential
Phase angle
m
,
m
Outgoing and regular cylindrical wavefunctions of order m
, Vectors of outgoing and regular cylindrical wavefunctions
An angular frequency
p
Pumping angular frequency
Miscellaneous Symbols, Functions, and Abbreviations
Hamming distance

Floor operation
{ } Fourier transform
{ }
1
Inverse Fourier transform
~ Overscore tilde denotes variables related to numerical dispersion
^ Overscore caret denotes a unit vector
* Convolution or complex conjugation
Bar overscore denotes complex conjugation
T
Superscript T denotes the matrix transform
- xv -

LIST OF TABLES
Table 3.1. Transducer pair parameters ...................................................................................... 44
Table 3.2. Host and scatterer properties .................................................................................... 45
Table 3.3. Crystal lattice parameters ......................................................................................... 46
Table 3.4. Recorded acoustic field parameters .......................................................................... 51
Table 4.1. Calculable simulation regions and periodic boundaries ............................................ 62
Table 4.2. Continuous PML absorbing boundary equations ...................................................... 64
Table 4.3. Discrete PML absorbing boundary equations ........................................................... 65
- xvi -

LIST OF FIGURES
Figure 1.1. The operating regime of periodic materials ............................................................... 2
Figure 1.2. One, two, and three dimensional phononic crystals ................................................... 3
Figure 1.3. A two dimensional phononic crystal ......................................................................... 4
Figure 1.4. The scattered field of two acoustically-hard cylinders ............................................... 4
Figure 1.5. An illustration of the role of resonance in metamaterials ........................................... 5
Figure 1.6. Two typical configurations of a nonlinear photonic crystal ..................................... 10
Figure 2.1. a) A fluid-filled rigid tube and b) its approximation as a linear chain of masses and
springs ...................................................................................................................................... 15
Figure 2.2. Incident, transmitted and reflected waves at an interface ......................................... 17
Figure 2.3. The nomenclature for a two-component one dimensional phononic crystal ............. 18
Figure 2.4. Constructive and destructive interference of transmitted and reflected waves .......... 19
Figure 2.5. Simulated band gaps typical of a 1D phononic crystal............................................. 19
Figure 2.6. Band gap characteristics for various impedance ratios............................................. 20
Figure 2.7. The transmission spectra for various filling fractions () ........................................ 21
Figure 2.8. The transmission spectra for various phase velocity ratios ...................................... 22
Figure 2.9. The transmission spectrum for longitudinal waves in an aluminum-nickel phononic
crystal ...................................................................................................................................... 22
Figure 2.10. Illustration of tunneling through a single barrier.................................................... 23
Figure 2.11. Illustration of modes allowed in an infinite double barrier ..................................... 24
Figure 2.12. The dispersion relation a) and group velocity b) for a simple periodic system ....... 26
Figure 2.13. The dispersion curves for an aluminum-nickel phononic crystal............................ 27
Figure 2.14. A corrugated tube waveguide ................................................................................ 28
Figure 2.15. A segment of a 1D periodic acoustic waveguide containing two sections .............. 29
Figure 2.16. Regular a) and anomalous b) Doppler effects ........................................................ 30
List of Figures xvii

Figure 3.1. Elastic wave propagation in two dimensions ........................................................... 33
Figure 3.2. Acoustic wave scattering off an infinitely dense cylinder in two dimensions ........... 34
Figure 3.3. The wavevectors at the interface between two isotropic media ................................ 37
Figure 3.4. The equifrequency curves used to calculate refraction at an interface ...................... 38
Figure 3.5. Two sets of equifrequency and corresponding dispersion curves ............................. 39
Figure 3.6. The dispersion curves for a 2D phononic crystal ..................................................... 40
Figure 3.7. Wave refraction under normal and negatively refracting conditions ........................ 41
Figure 3.8. An illustration of refocusing in an NR slab ............................................................. 41
Figure 3.9. The frequency response for three sets of transducer pairs ........................................ 43
Figure 3.10. Top view of the phononic crystal design ............................................................... 47
Figure 3.11. Top a) and side b) view of the fabricated phononic crystal .................................... 47
Figure 3.12. Experimental configuration ................................................................................... 48
Figure 3.13. Measured and simulated transmission spectrum of the phononic crystal ................ 49
Figure 3.14. Measured and simulated dispersion curves of the phononic crystal ....................... 50
Figure 3.15. The total and gate-only signals .............................................................................. 52
Figure 3.16. A diagram of the experimental configuration a), and the measured acoustic field .. 53
Figure 4.1. The offset grid implementation of the FDTD state variables ................................... 60
Figure 4.2. FDTD algorithm flow for periodic boundaries ........................................................ 62
Figure 4.3. Nomenclature used to describe displacement waves at the boundaries of a 1D
scatterer .................................................................................................................................... 76
Figure 4.4. Calculated transmission spectrum for a 1D tube waveguide .................................... 78
Figure 4.5. The construction of the first irreducible Brillouin zone for a rectangular lattice ....... 94
Figure 5.1. A monotone is scattered and modulated at every time-varying interface................ 101
Figure 5.2. A monotone is modulated as it propagates through a time-varying slab of material 101
Figure 5.3. The time-varying cell transmission matrix ............................................................ 106
Figure 5.4. A flowchart illustrating the steps and equations necessary to simulate wave
propagation through a time-varying tube waveguide ............................................................... 117
List of Figures xviii

Figure 5.5. A plot of the number of integrations required for n time-varying cells .................. 119
Figure 5.6. Comparison of transmission spectra using the new theory and a FDTD method .... 120
Figure 5.7. Fundamental frequency transmission coefficients for ten static and time-varying cells
............................................................................................................................................... 121
Figure 5.8. Another fundamental frequency transmission spectrum for ten static and time-varying
cells ........................................................................................................................................ 122
Figure 5.9. Transmission spectra through ten time-varying 1D phononic crystal cells ............. 122
Figure 5.10. A surface composed of the fundamental frequency transmission spectra for various
pumping frequencies .............................................................................................................. 123
Figure 5.11. The transmission spectra for two different pumping frequencies ......................... 126
Figure 5.12. The normalized short-time Fourier transform of a 2 kHz transmitted signal ........ 127
Figure 6.1. The time-varying scattered field coefficient vector................................................ 134
Figure 6.2. A discrete time-varying T-matrix .......................................................................... 135
Figure 6.3. The recorded FDTD source amplitude on the aperture plane ................................. 140
Figure 6.4. The simulated displacement fields for a single static cylinder ............................... 141
Figure 6.5. The simulated displacement fields for three static cylinders .................................. 142
Figure 6.6. The normalized displacement spectra of u
z
for a single cylinder ............................ 143
Figure 6.7. The simulated fundamental frequency displacement fields for one time-varying
cylinder .................................................................................................................................. 144
Figure 6.8. The simulated displacement field harmonics for one time-varying cylinder .......... 145
z
for three cylinders .............................. 146
Figure 6.10. The simulated fundamental frequency displacement fields for three time-varying
cylinders ................................................................................................................................. 147
Figure 6.11. The simulated displacement field harmonics for three time-varying cylinders ..... 147
Figure 6.12. The change in scattered displacement field magnitude ........................................ 148
Figure 6.13. A a) static and b) dynamic phononic crystal ........................................................ 149
Figure 6.14. The displacement field harmonics present in the scattered field of the dynamic
phononic crystal ..................................................................................................................... 149

- 1 -

Chapter 1

INTRODUCTION
1
Periodic acoustic materials, called phononic crystals, are of interest because acoustic waves
behave differently in them than in homogeneous materials. These engineered materials have
been studied for over a century and the body of theory that describes them is extensive. The often
remarkable properties these crystals exhibit are set by the choice of constituent materials and the
size and spacing of those materials, collectively called the design parameters of the crystal. Until
now, the properties of phononic crystals were fixed and unchangeable because the design
parameters were fixed and unchangeable.
However, there many types of active materials that could be used in place of passive
materials in phononic crystals. Active materials have transductive properties and their material
parameters can be changed by applying an external stimulus. Such active materials in addition to
simpler mechanical means have been used in phononic crystals to change their design parameters
from one static state to another, thus enabling active crystals to have more than one mode of
operation. This thesis has taken the concept further and seeks to examine the situation when the
design parameters of a phononic crystal are continuously changing in time. The theory that
describes static phononic crystals is extended to handle time-varying material parameters, and
predictions based on the extended theories are presented.
This chapter introduces periodic materials in general and presents some of their capabilities.
Special attention is paid to phononic crystals as they are at the heart of this thesis. The possibility
of incorporating locally resonant scatterers in phononic crystals is also discussed because this
relates to the study of metamaterials. The motivation for using active materials in phononic
crystals is then examined, including the aims and scope of the thesis. A broad review of the
previous work accomplished in this field is offered, focusing on the work in nonlinear photonics,
time-varying systems theory, and active materials. Finally, an overview of the remainder of the
thesis is given.

1
This chapter contains material published in the 2009 paper by DW Wright and RSC Cobbold appearing in
Ultrasound, 17(2) 6873, entitled The characteristics and applications of metamaterials.
Chapter 1. Introduction 2

1.1 Periodic materials
Periodic materials are engineered composites that exhibit unique properties not usually found in
nature. Harry Potter-like invisibility cloaking [1], bending waves in the wrong direction [2],
and subwavelength imaging [3] are just a few of the more surprising capabilities. Periodic
materials can be designed to manipulate acoustic [4], electromagnetic [5], thermal [6], plasmonic
[7], or just about any other kind of bulk or surface waves of interest in new and potentially
important ways. They possess such unique abilities because they have characteristic feature sizes
that can be much less than, or on the same order as the wavelengths of interest. Not only does the
choice of constituent materials affect the macroscopic properties of a periodic material, but the
small-scale size and structure also play a significant role, which distinguishes them from regular
materials.
Periodic materials consisting of a host filled with scatterers are called photonic [8] or
phononic [9] crystals depending on whether they scatter electromagnetic or acoustic waves,
respectively. In these crystals, the feature sizes are similar to the wavelength, which leads to
strong interference effects from scattering off of the artificial crystal lattice. Effective material
parameters are not well defined in these structures. Instead, one considers the relationship
between spatial and temporal frequencies, called the dispersion relation. The focus of this thesis
is on phononic crystals.

Figure 1.1. The operating regime of periodic materials. Phononic crystals have
feature sizes at or smaller than the wavelengths of interest. When the wavelength
is large compared to the feature size of the phononic crystal, wave propagation
can be characterized using effective material parameters, and the material appears
to be homogeneous (called a metamaterial). As the wavelength approaches the
feature size, scattering effects begin to dominate and the dispersion properties of
the crystal come into play.

Periodic materials whose feature sizes are much smaller than the wavelengths of interest
consist of a host filled with discrete resonators and are often called metamaterials. The
wavelengths of interest are much larger than the individual resonators, so the wave does not
see them. Rather, it behaves as if travelling through a homogeneous medium with a particular
set of effective material properties, as shown in Figure 1.1, and those effective properties can be
adjusted to extreme values simply by tuning the resonators. These effective material properties
can be very large, very small, or even negative, which can lead to some interesting properties and
applications.
The distinction between resonant and scattering periodic materials is not abrupt, and quite
often structures may fall into both categories [10]. These structures are called locally resonant
phononic or photonic crystals. In these structures, each scatterer is also a resonator tuned for
certain frequencies. At shorter wavelengths their dispersion relation may resemble that of a
purely scattering phononic or photonic crystal, but at longer wavelengths may have additional
bands present due to the local resonances of the scatterers.
1.1.1 Phononic crystals
Phononic crystals are materials composed of regularly spaced acoustic scatterers. They can
be one, two, or three dimensional as illustrated in Figure 1.2. A two dimensional phononic
crystal created by our group is shown in Figure 1.3. The problem of wave propagation through
such a material has been considered since the mid-nineteenth century [11], and since then the
progress in considering ever more complicated scattering structures has been continuous. An
exceptionally clear and detailed account of the various approaches to determining wave
propagation through different scattering structures has been described in a recent book by Matrin
[12].

Figure 1.2. One, two, and three dimensional phononic crystals. In one dimension
(1D), the crystal consists of infinite planes of alternating materials stacked
together, as in a Bragg reflector. In two dimensions (2D), the crystal is made up of
infinite rods regularly spaced and embedded in a host medium. In three
dimensions (3D), the crystal is composed of discrete scatterers suspended in a
crystal formation within a host medium.

Figure 1.3. A two dimensional phononic crystal consisting of eleven rows of 1/8
stainless steel cylinders packed in a square array and suspended in a water host.
The filling fraction is 0.58, meaning that 58% of the volume within the crystal is
stainless steel. This crystal exhibits negative refraction around 420 kHz because
of the carefully designed shape of the dispersion curves.
The discrete and periodic nature of phononic crystals becomes increasingly important as the
wavelength approaches the same size scale as the constituent scatterers. Effective material
parameters are no longer easily defined, and interference effects come into play. The size and
spacing of the scatterers becomes increasingly relevant. As an example, consider the scattered
acoustic field caused by the two sound-hard cylinders shown in Figure 1.4a) for an incident
wavelength identical to the cylinder diameter. Strong interference effects can be seen as peaks
and nulls of energy radiating away from the cylinders. In Figure 1.4b), the spacing between the
cylinders has increased by just 10%, and now the scattered field is almost completely different,
demonstrating how important the feature size and spacing when considering scattering effects in
phononic crystals.

Figure 1.4. The scattered field of two acoustically-hard cylinders created by an
incident plane wave. The incident field (not shown) has a wavelength identical to
the cylinder diameter in both images. In a), interference effects can be seen as
peaks and nulls in the scattered field. In b), the cylinders have been separated by
an additional 10%, and the scattered field is dramatically different, indicating the
importance of scatterer size and spacing.

Some of the interesting effects not normally found in nature that are demonstrated by
phononic crystals include transmission band gaps [13], negative wave refraction [14], ultrasound
focusing in two [9] and three [15] dimensions, tunneling [16], anomalous Doppler effects [17],
and subwavelength imaging capabilities [18].
1.1.2 Local resonance
Phononic crystals with homogeneous scatterers typically do not exhibit resonance effects at
longer wavelengths, and thus their properties arise exclusively from interference and dispersion
effects. However, if the scatterers consist of multiple materials designed to resonate at particular
wavelengths, then the phononic crystal may behave as a resonant metamaterial at longer
wavelengths and as a scattering crystal at shorter wavelengths ([10], [19][31]). Thus, these
locally resonant phononic or photonic crystals can be viewed as homogeneous resonant
structures for longer wavelengths and as discrete scattering structures for shorter wavelengths.
An effective medium theory is used to describe the characteristics of the metamaterial in terms
of effective material parameters, which is not possible for the shorter wavelengths that cause
scattering effects in phononic crystals.

Figure 1.5. An illustration of the role of resonance in metamaterials. Resonance
can be used to achieve negative effective material parameters as shown above for
a pendulum. At low frequencies, the mass moves together with the applied force.
But as the frequency increases, the mass eventually slips out of phase and moves
in opposition to the applied force. Thus, the pendulum exhibits a negative
effective mass at that particular frequency.
In the homogeneous limit when the wavelength is much longer than the resonator size,
effective material parameters are well-defined and depend not only on the constituent materials
but also on the resonator properties. The effective parameters can be adjusted to extreme values
by tuning the subwavelength resonators. Properly tuned, these resonances can lead to negative
effective properties. A simple way to understand this concept is to envision a pendulum

consisting of a mass and a string, and being pushed and pulled about halfway up, as shown in
Figure 1.5. At low frequencies, energy is imparted to the pendulum and it moves in the direction
of applied force. However, as it is pushed and pulled faster and faster, the pendulum begins to
swing out of phase with the applied force. Eventually, the applied force is pushing forward while
the pendulum is moving backwards. In essence, the pendulum has a negative effective mass at
that frequency since it is moving in opposition to the direction of force.
Acoustic metamaterials have been postulated and demonstrated based on these principles.
Acoustically, a 3D resonant metamaterial can be created by embedding concentric spheres of
differing materials into a host medium. For example, rubber-coated stainless steel spheres can be
tuned so that at a particular frequency the inner sphere is moving in opposition to the outer
sphere, leading to negative effective values of density and compressibility. More directly, a
network of masses and springs could be created to achieve the same effect. Acoustic equivalents
of negative refraction [4], cloaking [32], and subwavelength imaging [33] have been postulated
and in some cases demonstrated experimentally.
1.2 Motivation
Phononic crystals are normally static in the sense that their properties are fixed in advance by
their design parameters, which can limit their functionality to very specific arrangements. So far,
useful phenomena in phononic crystals are limited by the fact that the effects are only
appreciable over rather narrow frequency ranges. For example, the phononic crystal described in
[15] was designed to focus ultrasound at 1.57 MHz, but when the frequency was changed to
1.60 MHz (a 1.9% change), the focusing effects were no longer apparent. As another example,
the band gap width was shown in [13] to be highly dependent on the crystal filling fraction.
These constraints appear to limit the usefulness and versatility of phononic crystals to
predesigned narrowband operating conditions.
We have proposed that it may be possible to dynamically alter the behaviour of phononic
crystals by changing the material parameters as a function of time [34]. Varying the material
parameters of the scatterers will modify the propagation of acoustic waves through a phononic
crystal. This may enable time-variant phononic crystals to have more robust or multiple
operating regimes as compared to their static counterparts.
One approach to determining the effects of time-varying material parameters is through the
use of the finite-difference time-domain (FDTD) method, which is a common and versatile
approach to acoustical simulation [35] and is discussed at length in Chapter 4. Within a
simulation region, the space domains are discretized and the material properties within this
region are represented on this discrete grid. The continuous acoustic wave equations are also

discretized and used to calculate the acoustical fields over incremental time steps. The
discretized equations are amenable to time-varying material parameters with little or no
modifications, which makes the FDTD method an attractive starting point for the analysis of
time-varying phononic crystals [36]. However, one major drawback of the FDTD method is that
it gives no analytical insight into why a particular result occurs only what occurs. Moreover,
because the method is inherently an approximation of the governing equations, the accuracy
depends on the resolution in both the space and time domains. Thus, better results may take
much longer to generate than with an exact method.
To address these shortcomings, we have used the one dimensional transmission matrix
method (TMM) as an alternative starting point since it gives a closed-form solution to wave
propagation in periodic media [37]. In two dimensions we have used multiple scattering theory
(MST) since it is analogous to the TMM theory [12]. We extended these theories to handle time-
varying material parameters, which yielded solutions to acoustic wave propagation in time-
varying phononic crystals that are exact in principle.
1.2.1 Aims and scope
Aims
The ultimate goal of this thesis is to describe wave propagation in time-varying phononic
crystals. The practical outcomes of this research could be the development of new imaging
methods with improved resolution, materials whose transmittivity and reflectivity can be
adjusted in real-time, and materials with active damping properties. As of yet, these structures
have not been created; however, this thesis lays the groundwork for further explorations into this
topic.
To understand time-varying phononic crystals, we have extended the existing static phononic
crystal theory so as to handle time-varying material parameters and also to provide insight into
the factors that govern their behaviour. We then analyze the resulting governing equations to
gain insight into how to control these materials. The closed-form expressions
2
are quite rich and
give insight into purposeful control of the wave transmission properties of time-varying
phononic crystals.
Scope
This thesis formulates the basic theory necessary to understand the properties of time-varying
phononic crystals. A static phononic crystal was created to verify that our static theories match

2
In this thesis we take closed-form to mean an equation consisting of a truncated set of terms. The exact solutions
contain infinitely many terms and are therefore not closed-form.

the acquired experimental data. Then, once our dynamic theories were created, they were
analyzed to ensure that they collapsed to their static counterparts under static conditions. In this
way, a preliminary check was made upon our new theories to make sure that they are valid in the
static case.
The construction and testing of a time-varying phononic crystal is not within the scope of this
thesis since it was impossible to intelligibly design such a crystal without a theory of how to do
so. That theory is the contribution of this thesis, and it is left as a future project to construct and
characterize a dynamic crystal using the new theory. There is further discussion regarding how a
real-world time-varying phononic crystal might be constructed and operated. Possible
differences between the predictions of the theory in this thesis and future experimental results is
also discussed.
1.3 Previous work
Studies in the 1960s to 1970s have examined time-varying parameters in electromagnetic
systems [38][46], but none give adequate insight into the types of systems with which we are
concerned. Such efforts have included homogeneous time-varying media [38][39], time-varying
rough surfaces [40], infinite crystal wavevector approaches [41], and most notably work on
propagating time-variant parameters [42][43]. Time-varying scattering was considered for
moving scatterers in [44][46], but did not include the effects of time-varying material
parameters. A particularly interesting analysis of a time-varying Bragg reflector has been
presented by Wu et al [47], however, its derivation does not properly account for the amplitude
modulation of the time-varying impedance discontinuities. In photonics, Winn et al [48] showed
that a time-varying dielectric permittivity can modulate energy from one photon energy band to
another in an interband transition process. The dispersion properties of a static photonic crystal
were determined, and then the effect of perturbing this system by varying the dielectric constant
was examined to derive the underlying mathematics, which was then verified with a numerical
simulation.
In acoustics, there have been some recent studies in reconfigurable systems, which are quasi-
static in the sense that a particular parameter is changed and the properties of the phononic
crystal are re-measured [49][59]. In [49] and [50], the scatterers are square rods that are
physically rotated to adjust the phononic crystal properties. A dielectric elastomer is used as an
active material in a 1D phononic crystal in [51] and a 2D phononic crystal in [52]. In [53][59],
the theory and some experimental data for using various active materials as adjustable scatterers
in 1D and 2D phononic crystals is presented.

These studies are important because they characterise the individual static operating points of
a variable parameter system, but they do not capture the effects of varying those parameters in
time. They also demonstrate the value of using dynamic material parameters in phononic crystals
by illustrating such effects as increased transmission or attenuation, and altered band gaps and
dispersion. This thesis extends these results to cases where the material parameters are changing
as a function of time. It will be described how time-varying material parameters significantly
affect the phononic crystal transmission spectrum beyond what is possible with simple adjustable
scatterers, and how this was used to switch an incident monochromatic wave. Furthermore, the
closed-form solutions revealed the occurrence of and conditions necessary for parametric
amplification.
1.3.1 Nonlinear photonics
Some dielectric materials have a nonlinear response to the incident electric field at high field
intensities. Typically, there are two configurations used in nonlinear optical systems, as
illustrated in Figure 1.6 for a nonlinear photonic crystal. The first relies on the intensity of the
incident light to modulate the material properties of the nonlinear dielectric, shown in a). The
second relies on a separate beam whose sole purpose is to modulate the material properties of the
nonlinear dielectric, often called the pump as in b). Regardless of the configuration, if the
material is also periodic, then it behaves as a nonlinear photonic crystal. [60][61]
This second configuration bears the closest resemblance to the time-varying phononic
crystals, however, there are some notable differences. In the time-varying phononic crystals
described in this thesis, the pumping mechanism is controlled by a field that does not directly
interact with the acoustical field. For example, an electromagnetic field might be controlling the
material parameters, which would not directly interact with the acoustical field. Thus, the
intensity of the acoustical field is irrelevant within reasonable limits. In a pumped nonlinear
photonic crystal, the intensity of the incident wave also modulates the material parameters and
may come into play unless its magnitude is kept low enough to ignore its contribution. If the
intensity of the acoustical field is high enough to elicit a nonlinear response in the material, the
effect is fundamentally different than the modulation caused by pumping. Such effects are not
considered in this thesis.

Z
1
c
01
Z
2
(I
inc
)
c
02
(I
inc
)
Incident (I
inc
)
Z
1
c
01
Z
2
(I
inc
)
c
02
(I
inc
)
Z
1
c
01
Z
2
(I
p
)
c
02
(I
p
)
Incident (I
inc
)
Z
1
c
01
Z
2
(I
p
)
c
02
(I
p
)
Pump (I
p
)
I
p
>> I
inc
a)
b)

Figure 1.6. Two typical configurations of a nonlinear photonic crystal. In a), the
intensity of the incident field (I
inc
) stimulates the nonlinear response of material 2.
In b), a separate pump field stimulates the nonlinear effect. The pump field is
much more intense (I
p
) than the incident field so that the intensity of the incident
field does not significantly affect the nonlinear material parameters.
The other major difference is that the frequencies of interest in the time-varying phononic
crystals are orders of magnitude lower than in a nonlinear photonic crystal. In our acoustical
systems the material parameters may be varying at or even above the incident frequencies. The
dynamic materials can react to the pumping field on a time scale much shorter than one period of
the incident wave. In an optical nonlinear photonic crystal, the materials respond to the envelope
of the pumping signal as opposed to its instantaneous value, and so the change in material
parameters is considered slowly varying as compared to the incident frequencies. This
assumption is not made in our subsequent analyses.
1.3.2 Time-varying systems theory
The behaviour of linear systems with time-varying parameters has been previously explored
[62]. The Hill equation addresses second-order systems with periodically varying parameters,
and is classically stated as
( ) ( ) 0 2 = + y t q a y & & , (1.1)

where y is a state variable such as the acoustic particle displacement or the electric field, a is the
DC offset of the time-varying parameter, 2q is the magnitude of the time variation, and ( ) t is a
periodic function with unit amplitude. The most widely used form of this equation is when
( ) t t 2 cos = which leads to the Mathieu equation:
( ) 0 2 cos 2 = + y t q a y& & . (1.2)
These equations have been studied extensively and have resulted in numerous applications,
such as parametric amplifiers [63] and parametrons [64], antiquated digital storage devices that
have recently found a new niche [65]. These equations have also been applied to static photonic
crystals whose parameters are periodic in space instead of time. In this case, ( ) ( ) t t 2 sin sgn = ,
which is a square wave where t represents space instead of time. This substitution into the Hill
equation is called the Meissner equation:
( ) ( ) 0 2 sin sgn 2 = + y t q a y& & . (1.3)
Analysis of this spatially periodic system reveals the frequency pass and stop bands and
dispersion curves that one would expect from a photonic crystal [62].
As attractive as these equations and their accompanying body of theory are, they only deal
with periodicity in one dimension, either space or time, but not in both simultaneously. Thus, the
theory of periodically time-varying systems in its current form is unsuitable for analyzing time-
varying phononic crystals.
1.3.3 Active materials
Tacit in this discussion has been that there are active materials capable of being used to
construct time-varying phononic crystals. In fact, there are numerous materials using a variety of
transduction mechanisms that could be used as time-varying scatterers. Here we present a few of
the more notable candidates. The subsequent information is not intended as an in-depth or
exhaustive presentation of active materials, but rather is intended to show that a palette of active
materials exists for designing real time-varying phononic crystals. The following technologies
are some of the newest and most promising active materials that could be used in time-varying
phononic crystals
Macro and active fiber composites
Piezoelectric materials experience a strain in the presence of externally applied electric field
(the inverse piezoelectric effect). This effect and its dual, the piezoelectric effect, is why
piezoelectric materials are used in ultrasound transducers [66]. However, in spite of their ability
to deform in an electric field, their use in active materials is hampered by the brittleness of

piezoceramic materials, poor conformability (particularly when applied to curvilinear surfaces),
isotropic strain actuation, and overall low strain energy density [67].
To overcome these undesirable characteristics, composite materials have been created
consisting of sandwiches of piezoceramic fibres embedded in epoxy and covered with
interdigitated electrodes on either surface. If the fibers are square in cross-section then the
material is called a macro fiber composite (MFC) [67]. If the fibers are circular, then the material
is called an active fiber composite (AFC) [68]. These materials exhibit increased actuation strain
over monolithic transducer piezoelectric materials, such as PZT, and can conform to various
curved surfaces [69].
Electroactive polymers
There are certain polymers, called electroactive polymers (EAPs), whose shape is altered
under the influence of an electric field. Of the numerous varieties of EAPs, much of the focus
has been on dielectric elastomers [70]. There are numerous specific types of dielectric
elastomers, and many have desirable qualities, such as being lightweight, having large actuation
strain, and having the capability of generating a useful amount of force. These materials have
even been applied to a two dimensional phononic crystal as was previously mentioned [52], and
thus make a good candidate for a dynamic scattering material.
Magnetostrictive composites
The magnetostrictive effect occurs in certain materials when an external magnetic field
causes the magnetic domains to change their shape. Because of this effect, the material can
elongate in the presence of an applied magnetic field [71]. Recently, some of the problems
associated with traditional magnetostrictive materials, such as brittleness and losses due to eddy
currents, have been overcome by creating a magnetostrictive-epoxy composite [72]. These
composites appear to be much more durable, have better response, and do not sacrifice the strain
performance of purely magnetostrictive compounds.
Ferroelectric shape memory alloys
Shape memory alloys can be deformed and then reset to their original shape by heating them,
which causes them to undergo a material phase transition back to their original state. They have a
large actuation strain, but require time to be heated and cooled and thus react slowly. On the
other hand, magnetostrictive materials can react quickly but do not show nearly as much
actuation strain. A new type of material called a ferromagnetic shape memory alloy is a shape
memory alloy whose phase transition is caused by an applied magnetic field instead of by heat

[73]. Thus, these materials show the large actuation strain of a shape memory alloy and the fast
reaction time of a magnetostrictive material.
Carbon nanotubes
An aerogel made of multiwalled carbon nanotubes has recently been developed that is
extremely light, has very large actuation strain, can operate at very high frequencies, has a very
large operational temperature range, and a has very high work capacity [74]. This new material
seems to combine all the most desirable qualities of an active material and may become very
pervasive in systems requiring active materials.
1.4 Organization of thesis
This thesis is organized as follows. Chapter 2 introduces static phononic crystals and their
properties in one dimension. Chapter 3 extends these concepts to static phononic crystals in two
and three dimensions, and explores more complex issues such as wave dispersion and refraction.
The experimental results from a 2D phononic crystal that we manufactured are included in this
chapter. A variety of methods for analyzing phononic crystals and a discussion of their strengths
and weaknesses is presented in Chapter 4. The static theory is extended to handle time-varying
material parameters in one dimension in Chapter 5, and is extended to two dimensions in
Chapter 6. The bulk of new research contributions lie in these two chapters. A summary and
some conclusions of this thesis along with suggestions for future research are offered in
Chapter 7.

- 14 -

Chapter 2

STATIC PHONONIC CRYSTALS IN ONE
DIMENSION
This chapter explores acoustic wave propagation through phononic crystals in one dimension.
First, the 1D acoustic scalar wave equation is derived. Reflection and transmission through the
interfaces between differing acoustic materials are then discussed. Next, periodic acoustic
structures are introduced along with some of their typical transmission and dispersion properties.
A corrugated tube waveguide is presented as one type of phononic crystal and some of its useful
properties are explored. Finally, some applications of 1D phononic crystals are described
1
.
2.1 Acoustic waves in one dimension
In this section we derive the 1D acoustic scalar wave equation using an approximated model of a
fluid-filled rigid tube. Consider a rigid tube of cross-sectional area A filled with a lossless,
homogeneous fluid medium. The fluid has a density, , and a longitudinal modulus,
11
C . We
consider the case where the motion is constrained to one dimension, along the principle axis of
the tube. Thus, we can define the linear mass density as A = .
To approximate the motion of the fluid in the tube, we divide the tube into small sections of
length x . As a first-order approximation, we represent each of these small fluid sections as a
mass with a value of x m = and a spring with a value of x A C k =
11
. Figure 2.1a)
illustrates the fluid-filled rigid tube and Figure 2.1b) shows the corresponding mass-spring
approximation. The reader is reminded that this is a purely artificial construct that is introduced
for conceptual purposes alone. Two conditions must be met regarding the size of the fluid
segment: The first is it must be much larger than individual molecules and atoms so that the
underlying discrete nature of the material can be encapsulated in effective material parameters
such as density and longitudinal modulus. The second is that it must be much smaller than the
acoustic wavelengths under consideration to avoid the effects of dispersion, as will be discussed
later. Thus, the material can be viewed as a continuum of fluid segments with uniform effective
material parameters, which we have approximated as masses and springs.

1
Methods for analyzing wave propagation in phononic crystals are left to Chapter 4 due to the scope of this topic.
Chapter 2. Static Phononic Crystals in One Dimension 15

Figure 2.1. a) A fluid-filled rigid tube and b) its approximation as a linear chain of
masses and springs. In the approximation, the masses are confined to longitudinal
motion only.
In this configuration, we adopt a Lagrangian reference frame so that ( ) t x U , describes the
displacement from equilibrium of a mass at location x and at time t, as opposed to its absolute
position in space which is an Eulerian reference frame. That is, ( ) 0 ,
Lagrangian
= t x U and
( ) x t x U = ,
Eulerian
at equilibrium. The masses can be referenced using an index n, where n is an
integer and corresponds to the mass located at position x n x = . Accordingly, ( ) t U
n
refers to
the displacement ( ) t x n U , , which is the displacement from equilibrium of the centre of mass of
the n
th
fluid section.
The masses experience forces due to their displacement and that of their neighbours.
According to Hookes law, the force at a position n,
n
F , is

( ) ( )
( )
1 1
1 1
2
+
+
+ =
+ =
n n n
n n n n n
U U U k
U U k U U k F
, (2.1)
where the time dependence of U and F have been removed for clarity. Newtons second law
states that

2
2
t
U
m F
n
n
= . (2.2)
If the density and stiffness are assumed to be locally constant, the two equations can be
coupled as
( )
1 1
11
2
2
2
+
+
n n n
n
U U U
x
A C
t
U
x A , (2.3)
which can be expressed more clearly as

( )
( )
2
1 1 2
0
2
2
2
x
U U U
c
t
U
n n n n
+
=
+
, (2.4)
where
11 0
C c = is the longitudinal phase velocity. By taking x x , the factor on the
right hand side of (2.4) approaches
( )
2
2
,
x
t x U
, which can be seen by noting that the right hand

side factor is the central-difference approximation to the second derivative. This is a valid
approximation provided that x is much smaller than the wavelengths of interest and much larger
than the individual constituent atoms and molecules of the fluid. In this approximation, the
equation becomes the one dimensional scalar wave equation in a homogeneous fluid medium:

( ) ( )
2
2
2
0 2
2
, ,
x
t x U
c
t
t x U
. (2.5)
For time-harmonic motion of a particular angular frequency
0
, ( ) t x U , can be separated into
spatial and temporal components as
( ) ( ) { }
t j
e x u t x U
0
Re ,

= , (2.6)
and thus a lower-case u indicates the spatially varying component of a monochromatic wave of
angular frequency
0
. Upon inserting (2.6) into (2.5), the wave equation reduces to the one
dimensional Helmholtz equation,
( ) 0
2
0
2
2
=
|
|
\
|
+
x u k
x
, (2.7)
where
0 0 0
c k = is the wavenumber. Solutions can be written as plane waves of the form
( )
( )
{ }
t x k j
e t x U
0 0
Re ,

= . (2.8)
The choice of sign in (2.8) is arbitrary, but the convention chosen will be explicitly stated where
appropriate.
In deriving this simple solution to the wave equation, we have made a number of
assumptions, namely that the small-signal approximations are valid [66], and that the medium is
fluid, homogeneous, isotropic, and lossless. The issue of the validity of these assumptions will be
discussed in context of the problems and solutions presented in subsequent chapters. The 1D
scalar wave equation may also be derived beginning from a continuum description of a
homogeneous medium, and can be found in many texts, such as [75].

2.2 Acoustic wave transmission and reflection in 1D
Consider material i, to be homogeneous with density and bulk modulus
i
and
i
K , respectively.
Recall that
i
i
i
C K 1
11
= = , where
i
C
11
is the isotropic elastic stiffness coefficient (Voigt
notation [75]) and
i
is the adiabatic compressibility [66], all of material i. Further, it is lossless
and dispersionless, has a phase velocity of

i i i
K c = , (2.9)
and a characteristic acoustic impedance of

i i i
K Z = , (2.10)
which, for brevity, will subsequently be referred to as the acoustic impedance.
Acoustic waves scatter when they impinge upon a boundary between differing materials, i
and j as illustrated in Figure 2.2. Two conditions must be met at the boundary: The pressures on
either side must be identical, and the normal component of the velocity must be equal. If either
of these conditions is not met, then there will be either a pressure or velocity source at the
boundary. In one dimension, these two conditions can be met and are captured by transmission
and reflection coefficients which, for a monochromatic wave, can be expressed in terms of the
characteristic impedances of the two media.

Figure 2.2. Incident, transmitted and reflected waves at an interface.
Considering displacement waves, the transmission coefficient from material i into material j
is
( )
j i i i
Z Z Z T + = 2 , (2.11)
and the reflection coefficient is
( ) ( )
j i j i i
Z Z Z Z R + = . (2.12)
For the displacement waves under consideration,
1 =
i i
R T . (2.13)

2.3 Periodic structures
As described in Figure 1.2, a phononic crystal in one dimension consists of infinite planes of
alternating materials stacked together. The transition between materials need not be abrupt, and
the stack may consist of many different materials provided that the structure is periodic.

Figure 2.3. The nomenclature for a two-component one dimensional phononic
crystal consisting of a stack of infinite planes of alternating materials.
The nomenclature used for a two-component phononic crystal consisting of a stack of
alternating planes is provided in Figure 2.3. The minimum length at which the structure is
periodic is called the cell size, a. For a two-component system, a parameter called the filling
fraction, , defines how much of host material is replaced with an inclusion. In the figure,
material 1 is the host and material 2 is the inclusion. This simple arrangement of alternating
materials leads to some notable transmission effects, such as band gaps, tunneling and
dispersion, all of which are briefly described in the next two subsections.
Research on phononic crystals has been primarily in 2D and 3D structures, however there has
been some analysis of purely 1D systems [76][88]. The transmission matrix method was
described in [76], and subsequent experiments demonstrated band gaps in 1D phononic crystals
[77]. A purely theoretical analysis of periodic one dimensional systems is given in [78]. A chain
of masses was explored experimentally in [79] and demonstrated the theoretically predicted band
gaps. Waveguides, structures that force waves to propagate in particular directions, were
analyzed in 1D in [80]. Bragg reflectors consisting of alternating planes of material were
investigated in [81] and [82]. Surface and Lamb waves have also been explored for structures
periodic in one dimension in [83][87]. Finally, bulk waves through a finite-thickness plate were
investigated in [88].
2.3.1 Band gaps
The total wave field at any given position within a phononic crystal is a summation of the
transmitted and reflected waves, which may interfere constructively or destructively as shown in
Figure 2.4. The nature of this interference is determined by the wavelength relative to the cell

spacing and filling fraction. The phenomenon of frequency band gaps in periodic structures is
known as Bragg reflection from the lattice [75] and results from this interference.

Figure 2.4. Constructive and destructive interference of transmitted and reflected
waves in a phononic crystal. Note that the waves in question are longitudinal and
not transverse. The arrows are curved to aid in visualizing the phase.
The net effect of all the constructive and destructive interference within a phononic crystal is
a transmission spectrum that contains band gaps, which occur when waves do not propagate
within a phononic crystal for specific ranges of frequencies. Waves of these particular
frequencies are attenuated as they propagate through a phononic crystal. Figure 2.5 shows that as
more cells are added to the phononic crystal, the frequencies within a band gap become
increasingly attenuated.
ka

Figure 2.5. Simulated band gaps typical of a 1D phononic crystal. As more cells
are added to a phononic crystal, the band gap attenuation increases.

The acoustic impedance determines the transmission and reflection at a material interface as
in (2.11) and (2.12), respectively. As the inclusion impedance increases relative to the host
material, the band gap width and attenuation increase as shown in Figure 2.6. Typically the band
gap width is measured at the -3 dB energy crossing points and is normalized by the gap centre
frequency. In the amplitude transmission graph of Figure 2.6, it corresponds to the -6 dB points.
Another way to consider this scenario of increasing impedance contrast is to envision the host
and inclusion consisting of identical materials, in which case there would be no reflection and a
wave would simply pass through unaffected by the interface. As the contrast is increased, the
reflection increases and interference becomes ever-more important. Eventually, the inclusion
impedance is so high that it can be considered infinite, and all of the wave energy is totally
reflected off of the first inclusion. A similar scenario holds if the host impedance is increased
with respect to the inclusion impedance. In fact, Figure 2.6 would be identical if the legend read
2 1
Z Z .
T
r
a
n
s
m
i
s
s
i
o
n

(
d
B
)
ka

Figure 2.6. Band gap characteristics for various impedance ratios. The simulated
results for five cells shows that as the contrast between the impedances increases,
the gap width and attenuation increases.
The filling fraction, , and the phase velocity, c
0
, determine the phase change of a wave as it
traverses through each element. Thus, the thicknesses of the various sections that make up a cell
can be thought of in terms of wavelengths. For example, the thickness of an inclusion in terms of
number of wavelengths is
0 0 2
c af t = , where f
0
is the frequency of interest. It is not surprising
from this assessment that adjusting the filling fraction and the phase velocity has very similar

(but inverse) effects on the transmission spectrum, as illustrated in Figure 2.7 and Figure 2.8
respectively. Decreasing the filling fraction reduces the relative physical thickness of the
inclusions, and increasing their phase velocity reduces the number of wavelengths that fit within
an inclusion for a given frequency.
ka

Figure 2.7. The transmission spectra for various filling fractions (). When the
phononic crystal is symmetric ( 5 . 0 = ), the transmission spectrum is periodic.
However, as the filling fraction is altered, new band gaps are introduced into the
transmission spectrum, and the attenuation of the existing ones is changed.
Though the dimensionless frequency axis used so far is convenient for comparing various
phononic crystals, it is perhaps informative to examine the transmission spectrum of a crystal
made with real materials. Figure 2.9 shows the transmission spectrum for longitudinal waves in a
five-cell phononic crystal consisting of alternating plates of aluminum (host) and nickel
(inclusion). The cell size, a, is 20 mm, and the filling fraction is 35%. Thus, the aluminum plates
are 13 mm thick and the nickel plates are 7 mm thick. The material parameters are given in the
figure caption.

T
r
a
n
s
m
i
s
s
i
o
n

(
d
B
)
ka

Figure 2.8. The transmission spectra for various phase velocity ratios. Usually two
different materials have differing phase velocities, and the degree to which they
differ increasingly affects the transmission spectrum. The effect is similar to
changing the filling fraction since in either case the phase shift between interfaces
is altered.

Figure 2.9. The transmission spectrum for longitudinal waves in an aluminum-
nickel phononic crystal. The crystal consists of five cells of an aluminum host
with nickel inclusions. The aluminum is 13 mm thick and the nickel inclusions are
7 mm thick. The material parameters used for the aluminum are
-3
0
m kg 2699 = and
-1
0
s m 6320 = c , and for the nickel are
-3
0
m kg 8900 =
and
-1
0
s m 5630 = c .

Tunneling
For a wave incident on a thin barrier, it is possible for some of the energy to pass through the
barrier. In this context, a barrier refers to a slab of material in which the wave vector is purely
imaginary (i.e., an evanescent wave); for the transmission to be easily measureable, the barrier
should be thin with respect to the wavelength. For example, tunnelling can occur when an
acoustic wave is incident normally on a phononic crystal at frequencies inside a band gap, and
when a wave is incident on material at angles greater than the critical angle at which total
internal reflection occurs. Since the wave is evanescent within the barrier, it will therefore reflect
off of the surface if the barrier is thick. However, if the barrier is thin, then some of the
evanescent energy may couple to the medium on the other side of the barrier and continue to
propagate. Thus, some of the energy may tunnel through the barrier.

Figure 2.10. Illustration of tunneling through a single barrier. A phonon has both
particle and wave properties, and has a location determined by a spatial
probability distribution. As such, when it is near a potential barrier it has a
probability of existing on the other side of the barrier, and thus has a probability
of tunneling. The thinner the barrier, the more likely it is that the phonon will
tunnel. In the figure, P
Reflected
and P
Transmitted
are the probabilities of phonon
reflection and transmission, respectively.
It is possible also to view tunneling from the perspective of a single quantum mechanical
phonon, which is a quantized mode of vibration and has a spatial probability distribution
governed by the square of its wavefunction. Just as for an electron, it is not located at an exact
point, and hence may be represented pictorially as a fuzzy sphere with a higher density in the
centre as in Figure 2.10. In this case, as a phonon approaches a thin barrier, its wave function can
penetrate inside the barrier so that there is a finite probability that the phonon can be located on
the other side of the barrier. The thinner the barrier, the more likely that the phonon will be

transmitted instead of reflected. The fuzzy sphere is smaller in the transmitted case to represent
that the probability of transmission is lower than that of reflection for this barrier.
Another tunneling configuration is possible, using a double barrier instead of a single barrier.
In this case, standing waves solutions exist between the barriers, shown for the simple case of
barriers of infinite height in Figure 2.11. (Note that for real barriers, the height is finite, a
situation that is required for the waves to penetrate into the barrier, so that non-zero transmission
is possible.) In this setup, the spacing between the two barriers enables resonances to occur for
phonons whose wavelength fits inside, such that as illustrated in the figure. Because of the
strong resonant enhancement inside the cavity formed by the two barriers, the transmission
through the two barriers is 100%, in the absence of any dissipation, when this condition is
satisfied. For other wavelengths, the transmission is reduced not only because of the reduction
due to tunnelling through the two barriers but also because these phonons will not fit between the
barriers and are therefore rejected with increasing probability as their wavelength deviates from
those that are ideally matched with the barrier spacing.
Phononic crystals can act as phonon barriers at band gap frequencies, where acoustic waves
undergo destructive interference. Many researchers have used this property of to explore the
tunneling of phonons through phononic crystals at band gap frequencies [16][89][94]. Single
barrier [89][91], double barrier [92][93], and more complicated wave mixing schemes [94] have
been demonstrated experimentally.
d
n = 1
n = 2
n = 3
n = 4

Figure 2.11. Illustration of modes allowed in an infinite double barrier. Within a
double barrier, sometimes called a quantum well, only specific wavelengths are
allowed. In particular, a wave may exist within an infinite double barrier when an
integer multiple of half of its wavelength is equal to the barrier width. Only these
wavelengths can tunnel through such a barrier.

2.3.2 Dispersion
In free space, there is a linear relationship between spatial and temporal frequencies for plane
waves, meaning that a wave of a given frequency has a known wavelength that depends on the
medium in which the wave is travelling. This linear relationship can be stated as

0
c f = , (2.14)
where f is the frequency, is the wavelength, and
0
c is the phase velocity. Alternatively, this can
be stated as

0
c k = , (2.15)
where is the angular frequency and k is the wavenumber.
In a periodic material, there is no longer a linear relationship between and k. This can be
demonstrated by considering the linear chain of masses and springs discussed earlier. By
assuming that the lattice cell spacing in (2.4) is a, so that a x = and then substituting a plane
wave solution, ( )
( ) t kna j
n
e U k U

=
0
, , this gives
( )
jka jka
e e
a
c

+ = 2
2
2
0 2
, (2.16)
( ) ka
a
c
cos 1
2
2
2
0 2
= . (2.17)
Since ( ) 2 sin 2 cos 1
2
= , this can be written as
( ) 2 sin
2
0
ka
a
c
= . (2.18)
Thus, we may define the phase velocity as the ratio of angular frequency to wavenumber:
( ) k k c
= . (2.19)
This is called the dispersion relation of the system and it is plotted in Figure 2.12a).
Previously when deriving the wave equation, we had assumed that the wavelengths of interest
were much longer than the size of the discrete masses and springs used in our approximation to
the fluid medium. This assumption leads to the linear dispersion plotted in Figure 2.12. However,
as the wavelength becomes smaller and approaches the same size scale as the discrete masses
and springs, in this case, the individual molecules and atoms of the fluid, the dispersion begins to
deviate from the long wavelength assumption. The spatial structure of the system becomes
increasingly relevant. These same concepts apply to phononic crystals: At long wavelengths the
crystal appears to be a homogeneous medium with effective material parameters, but at shorter
wavelengths relative to the crystal spacing the spatial structure affects the dispersion.

Figure 2.12. The dispersion relation a) and group velocity b) for a simple periodic
system. In the long wavelength limit, the dispersion matches that predicted by a
wave equation in a continuous medium. However, as the wavelength approaches
the size of the periodicity of the system the dispersion is affected by the spatial
arrangement.
Another important measure of dispersion is the group velocity, which can be defined as the
rate of change of angular frequency with respect to wavenumber ( k ). For a sufficiently
narrowband pulse, the group velocity can also be considered as the propagation velocity of the
signal envelope. In a homogeneous material at long wavelengths, it is simply a constant equal to
the phase velocity, since
0
kc = . Considering the linear chain of masses and springs,
( ) 2 cos
0
ka c
k
c
g
=
=

, (2.20)
which is shown in Figure 2.12b). At long wavelengths the group velocity is constant and equal to
the free-space longitudinal phase velocity. For shorter wavelengths the group velocity
approaches zero, corresponding to a standing wave.
The implication of periodicity
For an infinitely long phononic crystal, the field values within one cell are sufficient to
determine the field values at any position in the crystal. This is a very simplified way of stating
the Bloch theorem, sometimes called the Bloch-Floquet theorem [95]. As a consequence, only
wavenumbers from 0 to a are considered since shorter wavelengths (higher spatial
frequencies) are aliased into this range by the periodicity of the system. This can be envisioned
as the spatial equivalent of the NyquistShannon sampling theorem.

ka
f
0
(
M
H
z
)

Figure 2.13. The dispersion curves for an aluminum-nickel phononic crystal. The
bands are shown for both positive and negative wavevectors. Frequency band
gaps occur where the wavevector has a nonzero imaginary component, indicating
that the wave will decay exponentially within the crystal. The material and crystal
parameters are identical to those used in Figure 2.9.
To illustrate this concept, the dispersion curves for the same aluminum-nickel phononic
crystal as in Figure 2.9 is shown in Figure 2.13. Comparison between these two figures shows
that the band gaps in the five-cell finite crystal in Figure 2.9 occur at the same frequencies where
the imaginary component of the wavevector for the infinite crystal shown in Figure 2.13 is
nonzero. Thus, a wave with a frequency in one of the band gaps will be attenuated as it
propagates through the crystal, and the total attenuation will depend on the distance travelled and
the magnitude of the imaginary component at that frequency. This is why a real finite crystal will
still transmit some of the frequencies in the forbidden band gap and why adding more cells
further attenuates the transmission within the band gap.

2.3.3 Corrugated tube waveguides

Figure 2.14. A corrugated tube waveguide is a 3D structure that behaves as a 1D
phononic crystal for wavelengths longer than the largest tube diameter.
A corrugated tube waveguide is a three dimensional structure that acts as a one dimensional
waveguide for long wavelengths and is illustrated in Figure 2.14. At a certain cut-off frequency,
transverse modes occur and the structure no longer behaves as a 1D waveguide [17]. A cross-
section of one cell of a corrugated tube acoustic waveguide is illustrated in Figure 2.15, where a
is the length of a segment, d
i
is the diameter of section i, and is the filling fraction. One cell
consists of a single corrugation of length a made up of both section 1 and section 2. The source-
free wave equation for this tube can be written as

( )
( )
(
x
u
x S
x x S
c
t
u
2
0
2
2
, where ( )
( )
( )
<
<
=
a x a S
a x S
x S
1
1 0
2
1
, (2.21)
u is the acoustic particle displacement, c
0
is the phase velocity in the propagation medium, and
4
2
i i
d S = is the cross-sectional area of section i. Direct comparison of this wave equation with
the linear 1D wave equation as derived earlier leads to the definition of effective material
parameters, calculated as
2
0
c S
i i
= and
i i
S K = , where
i
and K
i
are the effective density and
bulk modulus respectively. This means that a 1D phononic crystal created with the same size and
filling fraction (a and ) and using materials with properties
i
and K
i
will behave the same as a
corresponding corrugated tube waveguide with cross-sectional areas S
i
in a medium with phase
velocity c
0
. From these effective parameters, the acoustic impedance of each section can be
expressed as
0
c S K Z
i i i i
= = .

Figure 2.15. A segment of a 1D periodic acoustic waveguide containing two
sections.
A corrugated tube waveguide is an attractive structure for analysis because it is exactly
analogous to a 1D phononic crystal in the static case, yet provides some simplifications in the
dynamic case which will be discussed in Chapter 5. In the static case, the phase velocity in a
corrugated tube waveguide filled with a homogeneous fluid is identical throughout the tube
(
02 01
c c = ) whereas a phononic crystal may have
02 01
c c . However, if alternating corrugated
tube sections are filled with differing fluids, then the phase velocities may also be different.
2.3.4 Anomalous Doppler effects
The well-known Doppler effect occurs when a source, receiver, or reflector are non-
stationary. In a homogeneous medium with a reflector that is moving collinear with a source and
receiver, the transmitted frequency will be up- or down-modulated so that
( )
0
1 c v f f
R Tx Rx
+ = ,
0
c v
R
< , (2.22)
where
Tx
f and
Rx
f are the transmitted and received frequencies, respectively, and
R
v is the
velocity of the reflector. This scenario is depicted in Figure 2.16a). This equation can be
understood by thinking of the reflector as moving through additional wavelengths per second
when moving towards the source, and moving through fewer wavelengths per second when
moving away from the source.

v
R
v
R
a)
c
01 c
02
b)

Figure 2.16. Regular a) and anomalous b) Doppler effects in homogeneous
materials and phononic crystals. In a), the reflected wave from a moving reflector
within a homogeneous material is up- or down-shifted in frequency with respect
to the incident wave depending on the velocity of the reflector and the phase
velocity of the medium. In the two-component phononic crystal shown in b), the
reflected frequency shift depends on which medium the reflector is in at a
particular time, and thus is a spectrum of frequencies instead of a single frequency
in the homogeneous case. The source is shown as a disk on the right of the
material, and only the incident wave is shown.
When the material is periodic, as in a phononic crystal, the phase velocity changes
periodically as the reflector moves from one medium to another. Thus, the reflected frequency
also changes periodically, and a reflected spectrum results. Figure 2.16b) illustrates this concept.
In [17], the authors used a slightly different setup that demonstrated this concept with a
corrugated tube waveguide standing on-end. They created a moving source by dropping an MP3
player with a speaker through the tube. Though the phase velocity is constant in the tube,
application of a moving source to the corrugated tube wave equation (2.21) results in a very
similar situation. Their results demonstrated anomalous Doppler shifts that accurately matched
their predictions.
In resonant metamaterials with a negative phase velocity, the expected Doppler shift is
reversed, and is called the inverse or reverse Doppler effect. It is evident by considering a
constant but negative phase velocity in (2.22), which differs from the anomalous Doppler effects
in phononic crystals shown in Figure 2.16b) where the phase velocity modulates between two

positive values. The reverse Doppler effect has been explored experimentally in both
electromagnetic [96][99] and acoustic [100] metamaterials.
2.3.5 Applications
The applications of 1D phononic crystals for bulk acoustic waves (BAW) are mostly limited
to filters [101][103], in particular, for isolation of radio frequency (RF) and microwave filters
and resonators in communication devices. Imaging and waveguiding applications are restricted
to 2D and 3D structures since wave refraction does not occur in one dimension. Bulk acoustic
wave filters are 1D phononic crystals designed to have a band gap at undesirable frequencies.
They can be fabricated directly underneath sensitive RF components on an integrated circuit (IC)
to help isolate the component from vibrations.
There has also been investigation into one dimensional surface acoustic wave (SAW)
phononic devices [104][107]. Surface acoustic wave transducers often take the form of
interdigitated piezoelectrics deposited on a substrate that resemble a phononic crystal, and their
transmission properties are explored in [105]. The transmission of Lamb waves (flexural and
extensional waves) through 1D periodic structures has also been investigated [106][107]. There
have also been interesting experiments that use acousto-optic (AO) interactions that allow a
SAW to modify the properties of periodic photonic devices (see for example [108]).

- 32 -

Chapter 3

STATIC PHONONIC CRYSTALS IN TWO AND
THREE DIMENSIONS
The basic concepts underlying phononic crystal effects in two and three dimensions are
described. Like their 1D counterparts, they also show band gaps and dispersion, but in addition,
they can also exhibit anomalous refraction, which offers the potential for unique focusing
capabilities. All of these effects and their underlying causes are described. Finally, we describe
the experimental design and characterization of a 2D crystal that exhibits band gaps and negative
refraction.
3.1 Phononic crystal theory and effects
The same principles of acoustic wave scattering leading to phononic crystal effects as presented
in one dimension also apply to two and three dimensional crystals. Constructive and destructive
interference leads to band gaps, and the periodicity of the system causes dispersion. However,
since we are no longer restricted to one dimension, a simple mathematical description of these
effects, such as that given for dispersion in Section 2.3.2, is usually not possible in higher
dimensions. These effects must be explored using a more complicated method, like the FDTD or
MST methods described in detail in Chapter 4.
3.1.1 Acoustic waves in two and three dimensions
Although the propagation of acoustic waves in two and three dimensions is similar to that
described in Section 2.1, there are some notable differences. One may still envision a simplified
model of differential volumes of material represented as masses and springs, as illustrated in
Figure 3.1 for two dimensions. Longitudinal waves are still supported in both solids and fluids.
However, there is now the possibility of a wave that propagates with displacements
perpendicular to the direction of propagation, called a shear or transverse wave. Shear waves will
propagate in solids but are not supported in inviscid fluids since shearing motions do not apply
forces to neighbouring differential volumes of material. Though shear waves can and do occur in
real 1D phononic crystals consisting of solids, they are usually not considered when the direction
of wave propagation is normal to the material interfaces, as was assumed in Chapter 2.
Chapter 3. Static Phononic Crystals in Two and Three Dimensions 33

Figure 3.1. Elastic wave propagation in two dimensions. The centre differential
volume of material is displaced from its equilibrium position by an external force,
indicated by a solid arrow. The motion of this material applies forces to
neighbouring differential volumes of material in both longitudinal and transverse
directions. The longitudinal direction is collinear with the direction of wave
propagation and results in a wave with a pushing and pulling movement. The
transverse direction is perpendicular to the direction of wave propagation and
results in a wave with a shearing motion. Inviscid fluids do not support shear
waves, but solids do.
The phrase acoustic wave can refer to any mechanical displacement wave in any
propagation medium. The phrase elastic wave is usually reserved for waves in solids that have
both longitudinal and transverse components. These waves cannot be described by a simple
scalar velocity potential, which can be seen by the following properties of vector calculus. The
acoustic particle displacement is given by the vector field ( ) t , r u , and may be written as
( ) ( ) ( ) t t t
t l
, , , r u r u r u + = , (3.1)
where
l
u and
t
u are the longitudinal and transverse field components, respectively. The
longitudinal component of the field satisfies the condition is 0 =
l
u and the transverse
component satisfies 0 =
t
u [66]. Since the scalar velocity potential, , is defined as = u ,
then the transverse component must be zero since the curl of the gradient of any scalar field is
zero, ( ) 0 = . Therefore, a scalar velocity potential is insufficient to describe a vector
displacement field containing transverse wave components [109].
The presence of transverse waves in solids complicates the analysis of phononic crystals
because of an effect called wave mode conversion. Consider a 2D or 3D phononic crystal
consisting of solid scatterers in a fluid. Some of the energy of the longitudinal waves originating
in the fluid external to the phononic crystal incident on the scatterers may be converted into
transverse waves within the scatterers. Similarly, some of the transverse wave energy exiting a
scatterer may be converted back into longitudinal waves. For these reasons, the models and

simulation methods used to analyze solid-fluid or solid-solid phononic crystals must account for
the vector nature of the acoustic waves.
Scattering
Acoustic wave scattering in two and three dimensions is much more complicated than in one
dimension as was illustrated in the scattered field for two sound-hard cylinders presented in
Figure 1.4. The total field consists of the incident and scattered fields as shown in Figure 3.2,
which was generated using multiple scattering theory. The scattered field profile for a single
scatterer is highly dependent on the wavelength of the incident field, and the overall transmission
properties of multiple scatterers are highly dependent on the spacing between the individual
scatterers.

Figure 3.2. Acoustic wave scattering off an infinitely dense cylinder in two
dimensions. The total field consisting of the incident and scattered fields is shown
in a). The complexity of the scattered field is evident in both the far-field b) and
near-field c). The incident field d) wavelength is on the same order of magnitude
as the scatterer diameter.
3.1.2 Band gaps and waveguides
The transmission spectrum for two and three dimensional phononic crystals will contain band
gaps under many circumstances. They occur at frequencies that result in destructive interference
between the incident and scattered fields. One additional consideration is that there is a

directional element to wave propagation in these crystals that was not present in 1D, and so a
frequency band gap may only be present in particular propagation directions. When the band gap
encompasses all possible directions of propagation, it is called a complete band gap.
A waveguide may be created in a phononic crystal at band gap frequencies that would
otherwise not propagate within the crystal. This is achieved by removing the scatterers from one
end of a crystal to the other along a path for which the wave will be guided. The wave will be
confined to propagate within the spaces of the missing scatterers and will not be able to enter the
phononic crystal. Another similar effect called localization occurs when scatterers are removed,
but there is no entrance or exit to the void. Should a wave be excited within the void, it will
remain stationary, or localized, and appears as a standing wave.
There has been and continues to be a vast amount of research pertaining to phononic crystals
in two [110][163] and three [15][16][89][164][174] dimensions. In two dimensions, analyses
have included a simple row of cylinders [110][111] to more comprehensive studies of 2D
phononic crystal properties, including the effects of scatter shape and size, the lattice shape,
material phase (solid or fluid), and material properties on the band gap width and centre
frequencies [112][129]. Other research has extended these general conclusions to include the
effects of viscosity [130] and magneto-electro-elastic materials that have coupling of the
magnetic, electric, and mechanical displacement fields [131]. Other groups have combined slabs
of differing phononic crystals to create very broadband reflectors [132][133]. An interesting
example is a sensor created by allowing holes in a phononic crystal lattice to fill with an
unknown liquid. The shift in its band gap properties helps to determine the properties of the
unknown liquid [134]. Bulk and bending wave modes for various phononic crystal plates and
slabs have also been extensively investigated [135][140]. The application of 2D phononic
crystal principles has been extended to Lamb waves [141][147] and surface acoustic waves
[148][152]. As well, there have been numerous simulations and demonstrations of waveguiding
and localization using 2D phononic crystals [153][162]. In particular, one group successfully
demonstrated the use of a 2D phononic crystal waveguide as a frequency demultiplexer [163].
Three dimensional phononic crystals have also been studied [15][16][89][164][173]. In
particular, phononic crystals were created and well characterized in [15] and [16] and
demonstrated many interesting effects, such as band gaps and negative refraction. Similar studies
of 3D phononic crystal properties as in the 2D case have been performed investigating how their
design parameters affect the band gap properties [89][164][171]. An investigation of the surface
acoustic waves present on a 3D phononic crystal has also been performed [172]. One particularly
unique application of the band gaps in phononic crystals was in the design of a crystal with a

band gap at thermal phonon frequencies [173]. Consequently, it demonstrated very low thermal
conductivity. Waveguiding through 3D phononic crystals was explored in [174].
3.1.3 Dispersion and refraction
Dispersion occurs when the phase velocity depends on the temporal frequency of a wave.
Acoustic wave dispersion in two and three dimensional phononic crystals arises from the spatial
periodicity of the system, just as in the one dimensional case described in Section 2.3.2.
However, there is now a directional component to both the group and phase velocities. As
previously discussed, wavevectors beyond a particular magnitude for a given direction are
aliased back into smaller wavevectors because of the periodicity of the system, which is called
band folding. Dispersion and refraction are intimately connected in two and three dimensional
phononic crystals, as will be illustrated.
Wave refraction occurs when the direction of propagation of a wave changes due to a change
in the phase velocity. It is important in phononic crystals because of their unusual dispersion
properties, which can lead to anomalous refraction. To consider wave refraction at the interface
between a normal homogeneous medium and a phononic crystal, it is first important to
understand wave refraction between two regular isotropic media. In a regular isotropic medium
with phase velocity
0
c , a continuous plane wave of a given frequency
0
will have a wavevector
r k
0 0
k = , (3.2)
where
0 0 0
c k = is the magnitude of the wavevector and r is a unit vector in the direction of
propagation. When the wave is incident upon an interface with a second material having a phase
velocity
1
c , there are a normal and a tangential component of the wavevector with respect to the
interface. Thus,

|| || 0 0 0
r r k k k + =

, (3.3)
where

r
0
k and
|| || 0
r k are the normal and tangential components, respectively. Also note that
2
|| 0
2
0 0 0
k k k + = =

k since the components are orthogonal.
To find the wavevector within the second material,
1
k , three criteria must be met at this
interface: the tangential components of the wavevector must be equal, the magnitude of the
wavevector must correspond to the phase velocity within each medium, and the direction of
group velocity normal to the interface must be equal. From the first criterion, we have

|| 1 || 0
k k = . (3.4)
The second criterion is

1 0 1
c k = . (3.5)
And finally, the last criterion is satisfied because the group and phase velocity are parallel in
both media. Combining (3.4) and (3.5), and noting that
2
|| 1
2
1 1
k k k + =

, the normal component
of the wavevector is

2
|| 0
2
1
2
0
1
k
c
k =
. (3.6)
The results of this procedure for two materials is illustrated in Figure 3.3, where 5 . 1
1 0
= c c .
In the example,
0
was chosen to be 30. Note that the tangential components of the wavevectors
are equal, and that the magnitude of
1
k has been scaled appropriately. The resulting angle,
1
is
19.5, which is in agreement with Snells law.
r
||
r
0
k
1 k
0
k
|| 0
k
1
k
|| 1
k
0
0
c 5 . 1
0 1
c c =

Figure 3.3. The wavevectors at the interface between two isotropic media. The
components of the wavevectors are normal and tangential to the interface and
indicated as
i
k and
|| i
k , respectively. The tangential components of the
wavevectors are equal as is required for the wave to be continuous at the
interface. The medium on the left has a phase velocity 1.5 times that of the
medium on the right, which accounts for the increased wavevector on the right.
There are more radians per metre on the right because of the slower phase
velocity, and thus it has a longer wavevector. As a consequence, the angle of
incidence changes from
0
= 30 to
1
= 19.5, which is in accordance with
Snells law.
Another means of illustrating wave refraction at this interface is to use equifrequency curves,
as shown in Figure 3.4. These curves are generated by plotting k for a given
0
in all possible
directions. For the homogeneous media under consideration, the curves are circles since the
magnitude of k is not a function of propagation direction. This may not be the case in phononic
crystals, as will be illustrated. The radius of a circle is the magnitude of k for a given
0
in that
medium. The basis vectors with respect to the interface are also shown for clarity. To determine

the wave refraction from the first to second medium, the initial wavevector,
0
k , is plotted. A line
is drawn marking the tangential component of this vector, and where it intersects the second
curve indicates the value of
1
k . It is noteworthy that there are two values of
1
k that will satisfy
the tangential matching condition, but one of them does not obey causality. Since the group
velocity is parallel to the wavevector in regular media, we must choose the wavevector on the
right since the one on the left would indicate that energy is somehow emanating from within the
second medium.
0
k
1 k
r
||
r

Figure 3.4. The equifrequency curves used to calculate refraction at an interface
between two isotropic media. The curves are circles because the magnitude of the
wavevectors are not functions of propagation direction. First, the two curves are
drawn with the curve for second medium having a larger radius because there are
more radians per metre for a given temporal frequency than in the first medium.
The tangential components of the wavevectors are matched by drawing a line (the
dashed line) marking the magnitude of the tangential component of
0
k . Where
this line intersects the second curve denotes the location of
1
k . There are two
possible choices, and the incorrect choice for
1
k is shown with an x though it as
it does not obey causality. The correct choice is pointing to the right, away from
the interface.
In a periodic material, the equifrequency curves are not necessarily circles, meaning that
wavevectors may have different magnitudes in different directions for a given
0
. Also, the
group velocities may not be collinear with the wavevector. For an excellent visualization of these
properties, see Chapter 2 in [75]. The group velocity is
( ) k c
k g
= , (3.7)

or to state this in words, it is the gradient of the surface of as a function of k. For the
homogeneous case described, the gradient is in the same direction as k, since as the magnitude of
k increases, the radius of the equifrequency circle increases and k elongates in the same
direction. As a corollary, if the equifrequency curve is not a circle, the group velocity will not be
collinear with k.
M M X
Reduced Wave Vector
Transverse
Longitudinal
c)
M
X
a)
X
M
b)

Figure 3.5. Two sets of equifrequency and corresponding dispersion curves.
Panels a) and b) show the first Brillouin zone for a fictitious 2D phononic crystal
with a square lattice created for illustration purposes (see Section 4.4.1 for the
construction of this zone). Each curve of a particular colour represents the set of
allowed wavevectors for a given temporal frequency, whose colour scale is shown
on the left in c). Panel a) shows the curves for the first longitudinal band and b)
shows the curves for the first transverse band. The dispersion plot in c) is created
by traversing from to X to M and back to , as shown by a red dashed arrow
in a) and repeated on the bottom axis in c).
An example of the equifrequency and dispersion curves for a fictitious two-component
square lattice phononic crystal is shown in Figure 3.5. The equifrequency curves in a) and b)
correspond to the first longitudinal and transverse bands, respectively, shown in c). The colour of
each curve corresponds to the frequency colour bar in c). The dispersion plot is created by

following the path indicated by the red arrow in a) and redrawn on the bottom axis of c) for
clarity. Note that the curves are circles for low frequencies and become increasingly less circular
as the frequency increases. As a consequence, the group velocity becomes increasingly less
collinear with the wavevector.
In Figure 3.4, if the group velocity was antiparallel, or at least had an opposite sign in the
direction normal to the interface, then the alternative choice for
1
k would have been the correct
choice, corresponding to negative refraction. This situation can occur when the equifrequency
curves contract towards the origin with increasing frequency. Just such a situation is shown in
Figure 3.6 which illustrates the calculated dispersion curves for a phononic crystal made up of Ni
rods in an Al host. The crystal is a square lattice with a filling fraction of 0.5. Outlined in red is a
band whose slope is decreasing as the magnitude of the wavevector increases leading to negative
refraction.
M M X
Reduced Wave Vector
0
10
20
30
40
4 kHz Band Gap

Figure 3.6. The dispersion curves for a 2D phononic crystal. The crystal is composed of a square
lattice of Ni rods in an Al host spaced 10 cm apart and having a filling fraction of 50%. There is
a complete 4 kHz band gap present between the first and second groups of bands. An area that
displays negative refraction is outlined with a red dashed oval and is identifiable because the
wavevector magnitude decreases as the frequency increases.

We have not used the term negative refractive index in the context of phononic crystals
because that particular value applies to homogeneous or effectively homogeneous media.
Instead, we simply refer to negative refraction. One must ensure that negative refraction is
actually occurring and that it is not just an artefact of the periodicity of the system. An excellent
discussion about the meaning of negative refraction in photonic crystals is given in [175], and the
discussion also applies to phononic crystals. Also one must be careful to consider the role of

diffraction in negative refraction experiments, since the diffraction pattern of a simple reflector
alone will contribute significantly to the appearance of focusing [176].
5 . 1
0 1
c c =
0
c
0
c
1
c = 5 . 1
0
c

Figure 3.7. Wave refraction under normal and negatively refracting conditions. A
normal interface is shown in a), and a negatively refracting (NR) interface is
shown in b). The phase is indicated by the wavevector, k, and the energy flow is
indicated by the dashed vector, S. The transverse component of the wavevector at
the interface is also shown. The additional condition that the phase and energy are
antiparallel in an NR material leads to the negative refraction observed at these
interfaces.
The unusual situation of negative refraction is illustrated in Figure 3.7, which shows wave
refraction at a normal interface in a), and at a normal to negatively refracting interface in b).
Thus, unlike regular materials, a planar slab of negative refractive material can be used to
refocus a point source onto an image plane, as depicted in Figure 3.8. Whereas regular lenses
require a curved surface to accomplish focusing, negative refraction creates an internal and
external focus with a simple slab.

Figure 3.8. An illustration of refocusing in an NR slab. In a slab of normal
material, shown in a), rays from a point source continue to diverge, but at a
different rate within the material as determined by the ratio of phase velocities. In
a slab of NR material, the rays undergo negative refraction upon entering and
exiting the material, creating an internal and an external focus (after Pendry [2]).
The dispersion of waves propagating within phononic crystals has been extensively studied
in two [9][177][186] and three [15][16][89][177] dimensions. Negative refraction has been

theoretically and experimentally explored in 2D crystals [9][18][177][182]. Highly directional
wave mode coupling has accomplished by choosing a source frequency very close to a band edge
with only one allowed wavevector [183]. A unique time-reversal scheme for wave focusing with
a phononic crystal has been presented [184]. Interestingly, the effective aperture of the phononic
crystal is larger than the length of its surface, possibly because of the increased ray path lengths
due to multiple scattering. The dispersion properties of a phononic crystal with piezoelectric
scatterers that accounts for the E-field coupling have been investigated [185]. A phononic crystal
with spatially varying design parameters has even been shown to exhibit the same waveguiding
properties as a gradient index lens [186]. The dispersion and focusing properties of three
dimensional crystals have also been investigated [15][16][89][177].
3.2 Phononic crystal design and experimental results
We designed, fabricated, and characterized a two dimensional phononic crystal. The main
purpose of this exercise was to demonstrate some of the interesting phononic crystal effects,
including band gaps and negative refraction. It also served as a means of verifying that the
phononic crystal simulators described in Chapter 4 matched the experimental results. Also, many
of the considerations and difficulties encountered in the process of creating and characterizing a
phononic crystal have been illuminated through this exercise. The transmission and dispersion
properties of the crystal have been characterized in the same manner as described in [187].
3.2.1 Crystal design
There were a number of constraints that helped to determine the design parameters of the
phononic crystal. First, A 2D structure was chosen because a 1D crystal would not display wave
refraction, and a 3D structure was too difficult to fabricate in-house. We wanted to use the
submersion tank measuring apparatus in our lab, so water was chosen as the host material. This
also simplified the analysis because we did not need to measure transverse waves since fluids do
not support transverse waves [66]. A cylindrical scatterer shape was chosen because of its
simplicity. The remaining design parameters included:
Desired frequencies of operation
Scatterer materials
Filling fraction
Crystal arrangement
Number of layers
Other ancillary concerns

Frequency of operation
The desired range of frequencies for which the phononic crystal will exhibit interesting
effects determines, in part, the cell spacing and overall crystal size. Choosing a lower frequency
range means that the crystal will be easier to manufacture and that manufacturing tolerances will
be smaller compared to the wavelengths of interest. However, the size of the operating
environment limits the maximum size. In this case, the submersion tank is the operating
environment.
The desired frequency range was primarily set by the available transducers, which included
250 kHz, 500 kHz, 1 MHz, and several other piston transducers of higher frequencies. These
three sets of transducer pairs were characterized by placing them in the submersion tank in a
through-transmission configuration [66]. A Panametrics-NDT model 5800 pulser/receiver was
used to generate and receive an impulse. A Tektronix TDS 3012B oscilloscope was used to
capture the time-domain transmission waveforms which were then post-processed in MATLAB.
The received waveforms were averaged over many transmissions to reduce the effects of noise.
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6
0
-10
-20
-30
-40
-50
-60
-70
N
o
r
m
a
l
i
z
e
d

A
m
p
l
i
t
u
d
e

(
d
B
)
Frequency (MHz)
500 kHz
1 MHz
250 kHz

Figure 3.9. The frequency response for three sets of transducer pairs. The transducers were
placed in pairs a through-transmission configuration approximately 30 cm apart.

The results of the transducer characterization are shown in Figure 3.9. The 1 MHz and
500 kHz transducers displayed excellent characteristics, whereas the 250 kHz transducers were

very noisy. It was later determined that the 250 kHz transducer had two issues: They were
primarily designed to couple to transverse waves in solids, and one of the transducers had a crack
on its surface. For these reasons, the 250 kHz transducers were not longer used. The dashed line
in the figure represents the -6 dB point, and from this we can determine the transducer properties
summarized in Table 3.1. Therefore, the desired range of frequencies for the phononic crystal
would be within the 1 MHz and 500 kHz transducer response curves.
Table 3.1. Transducer pair parameters.
Parameter 1 MHz Transducer 500 kHz Transducer
0 dB Frequency 1140 kHz 456 kHz
Mean Centre Frequency 1064 kHz 417 kHz
Lower -6 dB Frequency 816 kHz 228 kHz
Upper -6 dB Frequency 1312 kHz 606 kHz
Bandwidth 46.6% 90.6%
Aperture Diameter 12.7 mm 28.6 mm

Scatterer material
As described in Chapter 1, the scatterer size and placement in a phononic crystal dramatically
affects the crystal properties. The scatterer material choice is important to a lesser degree. The
most significant factor in choosing the scatterer material is that its acoustic impedance and phase
velocity be highly contrasting with the host material. Since we chose water as our host material,
any stiff solid would have drastically different properties. It was recommended that we use
stainless steel alloy 303 (abbreviated as stainless 303) because of its ability to resist corrosion
in water. Table 3.2 lists the material properties of the host and scatterer materials. The stiffnesses
given correspond to the Voigt notation for an isotropic material [75]. The phase velocity and
characteristic acoustic impedance were calculated from the density and bulk modulus.
Filling fraction
We decided to use a filling fraction of 58 . 0 = based on the 2D crystals presented and
characterized in [9][174][177]. This filling fraction was chosen to achieve the maximum band
gap width for a 2D square lattice.


Table 3.2. Host and scatterer properties.
Parameter Host Scatterer
Name Water Stainless 303
Density ( ) 998 kg m
-3
8030 kg m
-3

Stiffness
(C
11
) 2.2 GPa 231.6 GPa
(C
12
) 2.2 GPa 77.2 GPa
(C
44
) 0 GPa 77.2 GPa
Characteristic Acoustic
Impedance (Z
0
)
1.48 MRayl 43.12 MRayl
Longitudinal Velocity (c
0
) 1485 m s
-1
5370 m s
-1

Shear Velocity (c
s
) N/A 3101 m s
-1

Crystal arrangement
We chose to use a simple square array as it is well-established that this structure exhibits
band gaps and negative refraction as discussed in Sections 3.1.2 and 3.1.3 and the references
therein. Both the X and M directions will demonstrate band gaps and negative refraction if the
crystal is properly designed, so we chose to fabricate the crystal in the M direction.
As for lattice spacing, we decided to set this as a function of the scatterer radius and desired
filling fraction, so that

2
R
a = , (3.8)
where a is the lattice spacing, R is the cylinder radius, and is the filling fraction. We chose to
use 1/8
th
inch diameter rod (diameter tolerance = 0.0015 inch) which was determined to
resonate in the range applicable to our available transducers, resulting in R = 1.575 mm. Thus,
the lattice spacing was a = 3.666 mm. The available manufacturing process had a tolerance of
0.0254 mm. These values are summarized in Table 3.3.
Number of layers
Ideally a phononic crystal would be of infinite extent in all directions, which is often an
assumption made in their theoretical analysis. However, the reality of fabricating a phononic
crystal is that a finite number of rows and columns must be chosen. Here we mean rows and
columns to be the number of planes of cylinders parallel and perpendicular to the direction of
transmission, respectively. The number of rows directly affects the degree of attenuation within

band gaps, as was illustrated in Figure 2.5 for one dimension. The number of columns affects the
degree to which edge effects and diffraction play a role in the received signals. To minimize
these effects, the number of columns in the crystal should be maximized. Also, the FDTD
simulations of the crystal assumed that it was infinitely repeating in the column direction, but
with a finite number of rows. Another consideration is the time and cost associated with
machining hundreds of cylinders out of long segments of rod. Weighing all these factors, it was
determined that 37 columns and 11 rows for a total of 204 cylinders would achieve a good
balance between these competing requirements.
Table 3.3. Crystal lattice parameters.
Parameter Specified Value
Cell spacing (a) 3.666 mm
Scatterer Radius (R) 1.575 mm
Filling Fraction () 0.58
Lattice Type Square
Lattice Direction M

Other ancillary concerns
In addition to the basic design parameters of the crystal, there are other factors that needed to
be considered. These included the cylinder mounting structure and the cylinder length. Since the
aperture of the 500 kHz transducer was the largest with a diameter of 28.6 mm, it was decided
that 50 mm long cylinders were sufficient to avoid excessive reflections from the mounting
structure.

Completed design

Figure 3.10. Top view of the phononic crystal design. The crosses located in the
centres of the scatterer locations are drill guides.
A top view of the 2D phononic crystal design is illustrated in Figure 3.10 with the most
important dimensions labelled. The crosses present within the scatterer locations are drill guides
and are to aid the fabrication process. The finished fabricated crystal is shown in Figure 3.11.
Note that there is an additional region of acrylic jutting out in the top part of Figure 3.11a) that is
not present in Figure 3.10. This extra material was used as a location for a mounting hole into
which a threaded rod was placed to hold the crystal in position in the submersion tank.

Figure 3.11. Top a) and side b) view of the fabricated phononic crystal. There are
five missing cylinders on either end of the crystal which occurred because of
material loss during the fabrication of the cylinders. It was decided that their
presence would not significantly affect the transmission or dispersion properties
of the phononic crystal.

3.2.2 Experimental methods

Figure 3.12. Experimental configuration. In a), both the transmit (Tx) and receive
(Rx) transducers are stationary. This was used for obtaining the transmission
spectrum and dispersion curves. In b), the receive transducer is replaced with a
hydrophone that is raster-scanned in the plane of the cylinders. This configuration
was used to image the acoustic field.
Two experimental configurations were used to characterize the crystal. The first, depicted in
Figure 3.12a) was used to gain the transmission spectrum and dispersion properties of the crystal.
It used identical 500 kHz or 1 MHz transducers as both the transmit and receive element, and
they were located approximately 15 cm away from the crystal faces. The other configuration is
shown in Figure 3.12b). It is identical to the previous configuration except that the receive
transducer is replaced with a hydrophone that was raster-scanned in the plane of the cylinders. In
both cases the transducers and crystal were fixed spatially within the tank by supporting rods.
3.2.3 Results
The transmission spectrum
Using the configuration in Figure 3.12a), a reference pulse was sent into the tank and
recorded without the crystal. With the crystal in place, the transmitted pulse was recorded. The
spectrum of the received signal normalized by the spectrum of the reference signal reveals the
transmission spectrum of the crystal, and this is shown in Figure 3.13. The simulated spectrum is
the result of an FDTD simulation of a broadband pulse propagating through the crystal. Good
agreement between the primary features of the two spectra can be seen over the range from 200
to 800 kHz. Much beyond this, the wavelength approaches the size of manufacturing defects and
the crystal appears to be increasingly disordered which may account for the discrepancies. In
addition, a minor displacement of the band gap edges between the two spectra should be noted.

T
r
a
n
s
m
i
s
s
i
o
n

(
d
B
)

Figure 3.13. Measured and simulated transmission spectrum of the phononic
crystal. The measured spectrum is composed of the two spectra obtained from
using both the 500 kHz and 1 MHz transducers and piecing the results together.
The simulated spectrum was created from an FDTD simulation of a broadband
pulse propagating through the crystal.
The dispersion properties
The dispersion properties of the phononic crystal can be determined by examining the phase
shift between the reference and crystal spectra. This uses the same data obtained for the
transmission spectrum experiment. Using the phase shift of the measured signal, the magnitude
of the wavevector as a function of angular frequency is
( )
( )
0
c L
k

+
= , (3.9)
where ( ) is the phase difference between the spectra at angular frequency and L is the
path length from one face of the crystal to the other. Values of k greater than a are folded
back into the first Brillouin zone as in [187].
The measured and simulated dispersion properties of the crystal are shown in Figure 3.14.
Since the crystal was created in the M direction, the measured dispersion curve does not give
information about dispersion in the X or XM directions. The FDTD simulation produces a
spectrum for every applied wavevector, and the peaks of that spectrum are indicated as red
diamonds in the figure. However, some peaks are of a greater magnitude than others and
represent the propagation modes that carry energy. These are outlined in blue for the modes
below 600 kHz. The dispersion curves calculated from the transmission spectrum using (3.9) are
shown in dashed green for the first two bands and band gap. It matches well with the predicted
dispersion. A portion of the transmission spectrum of Figure 3.13 is shown on its side on the
right of the dispersion curves to aid in identifying the band gaps. The first three band gaps are
indicated with red hash marks and are aligned to the FDTD results.

F
r
e
q
u
e
n
c
y

(
k
H
z
)
-
4
0
-
2
0
0
-
6
0

Figure 3.14. Measured and simulated dispersion curves of the phononic crystal.
The simulated dispersion curves were created from an FDTD simulation of the
crystal for various applied wavevectors. The peaks of the frequency response for
each wavevector are plotted as red diamonds. The strongest propagation modes
from 0 to 600 kHz are outlined in blue. The dispersion calculated from the
measured transmission spectrum of the crystal is shown in green for the first two
bands and band gap. The transmission spectra are repeated on the right hand side
of the figure to aid in visual comparison. The first three band gaps, aligned to the
FDTD simulation, are indicated with red hash marks.
The slope of the wavevector can be seen to be decreasing with respect to frequency in the
second transmission band. It is in this frequency region that negative refraction should be
observed.
The acoustic field
Using the configuration in Figure 3.12b), the acoustic field in the plane of the cylinders was
measured using a membrane hydrophone. A Tektronix AWG520 pulser connected to a Ritec
RPR-4000 power amplifier was used to transmit an ultrasound pulse. The power amplifier was
used to increase the transmitted signal amplitude to achieve an acceptable SNR for the
hydrophone used. The hydrophone, which had a 40 m diameter sensitive region, was a Sonora
Medical Systems 804 membrane hydrophone. It was connected to a Panametrics-NDT model

5670 preamp and then a National Instruments 5112 digitizer. A broadband pulse was sent with
the crystal in place and was recorded at regularly spaced grid points as detailed in Table 3.4. The
x and z directions are parallel and perpendicular to the face of the crystal, respectively.
Table 3.4. Recorded acoustic field parameters
Parameter Value
Number of waveforms averaged per location 100
Points per waveform (N
t
) 8000
Time step (
t
) 250 ns
Waveform duration (T
max
) 2 ms
Extent in the x direction 80 mm
Resolution in the x direction (
x
) 1 mm
Total number of points in the x direction (N
x
) 81
Extent in the z direction 60 mm
Resolution in the z direction (
z
) 1 mm
Total number of points in the x direction (N
z
) 61
Total number of spatial locations sampled 4941
Distance from transducer to crystal 80 mm
Distance from crystal to edge of scan region 10 mm
SNR 42.6 dB

The received signals were then converted to the frequency domain, and a colour-coded image
of the recorded spatial field for each frequency was generated. Unfortunately, the power
amplifier introduced a parasitic signal into the transmitted waveform due to the switching on and
off of a gate signal. The gate signal was required to enable and disable the power amplifier
output and could not simply be left on. It must be switched on for each transmitted pulse, then
switched off afterward to limit the duty cycle of the amplifier. It was this switching action that
created the parasitic signal shown in red in Figure 3.15. Ideally it should be zero, but the
transmitted pulse, shown in blue, clearly contains elements of the parasitic gate signal.

N
o
r
m
a
l
i
z
e
d

A
m
p
l
i
t
u
d
e

(
d
B
)

Figure 3.15. The total and gate-only signals. The total transmitted signal includes
both the desired input pulse and the unwanted gate signal. A time-domain window
was used to isolate the desired signal and to reject the parasitic gate signal.
One strategy to eliminate the gate signal was to simply subtract it from the total received
signal. Unfortunately, slight phase errors in the two sets of signals made this approach
unsuccessful. The strategy we opted to use was to filter the received signals in the time-domain
with a Kaiser-Bessel window centred about the signal peak. This successfully rejected the gate
signal.
Based on the dispersion properties of the crystal, we expected to find negative refraction
occurring slightly above 400 kHz, near the top of the second transmission band. To identify this,
we attempted to observe refocusing of the acoustic field external to the crystal. The experimental
configuration is shown in Figure 3.16a). The red dot between the transducer and the crystal
indicates the natural focus of the transducer, located 68 mm from the transducer surface. The red
dashed lines emanating from the focus illustrate how negative refraction leads to the generation
of a focal region in the scan area. Figure 3.16b) shows the acoustic field at 420 kHz and a focal
region can clearly be seen, demonstrating negative refraction. The focal region is misaligned in
the image because of offset errors in the experimental setup. This focusing effect was only
apparent from 409 kHz to 428 kHz, and Figure 3.16c) shows an example of this limited
bandwidth. The field at 360 kHz does not show the focusing present in the above panel. A more

definitive proof of negative refraction would be to create a wedge prism and observe the beam
angles exiting the wedge; however, this was not a possible configuration given the design of our
crystal.
6
0

m
m
8
0

m
m

Figure 3.16. A diagram of the experimental configuration a), and the measured
acoustic field at 420 kHz b) and 360 kHz c). The experimental configuration is
shown in a) (not to scale). The scan area is shifted to the right of the centreline
because of experimental configuration offset errors. In b) and c), the image colour
represents the logarithm of the normalized magnitude of the pressure with respect
to the field pressure maximum when no crystal is present.
3.2.4 Summary
We successfully designed, fabricated, and characterized a two dimensional phononic crystal.
Our crystal demonstrated band gaps at the frequencies predicted by our simulations, thus helping
to confirm that our simulators were properly implemented. The crystal also demonstrated
dispersion that led to negative refraction. The broadband acoustic field was measured and
decomposed into its temporal frequency components. Negative refraction leading to refocusing
of acoustic waves at 420 kHz was demonstrated.

- 54 -

Chapter 4

SIMULATION METHODS
In this chapter, the best established models for simulating the behaviour of periodic acoustic
systems are presented: all assume that the media is lossless. In particular, we describe the finite-
difference time-domain (FDTD), transmission matrix method (TMM), multiple scattering theory
(MST), and plane-wave expansion (PWE) approaches. Each of these methods was implemented
in MATLAB and C as a means of exploring both theoretical systems and the experimental
phononic crystal described in Chapter 3. In particular, a great deal of work went into
implementing the FDTD simulator since it was the benchmark against which our new time-
varying methods were compared. The TMM and MST methods form the basis of our new time-
varying models, and the PWE method was primarily used to generate equifrequency curves for
our 2D phononic crystal. Finally, some alternative methods are briefly presented along with a
short discussion regarding the amenability of various methods to incorporating time-varying
material parameters.
In two and three dimensions, the vector nature of waves in solid-solid or solid-fluid phononic
crystals must be accounted for. The FDTD and PWE methods account for transverse waves, but
the MST method as presented does not. It can be modified to account for the vector nature of the
waves by including additional field values and boundary conditions, but the principles remain the
same. For the sake of clarity, we restrict the MST method to considering scalar velocity
potentials.
4.1 The finite-difference time-domain method
The FDTD method numerically simulates the partial differential equations that govern the
propagation of waves within a propagation medium. The FDTD method has many benefits: The
resulting difference equations are amenable to software implementation; the results mirror what
would be observed in a laboratory scenario; transmission and reflection coefficients are easily
determined from the results; modelling a variety of structures is possible; any realistic input
waveform can be used. Some of the drawbacks are as follows: There is no closed-form analytic
solution to elucidate the simulation results; there are stability criteria that mandate grid resolution
limits which can significantly increase the simulation run time. Thus, we have used the
Chapter 4. Simulation Methods 55

numerical results from the FDTD method to verify the results from our new time-varying
methods.
Periodic acoustic structures can be investigated with the FDTD method by simulating one
cell of the structure and implementing periodic boundary conditions. These boundary conditions
translate the outgoing waves at one boundary to incoming waves at the opposite boundary with
an appropriate phase shift. The net result appears to be an infinite crystal made up of identical
cells with an applied wavevector. The time domain displacement of a randomly chosen point on
the simulation grid is recorded for the duration of the simulation. Afterwards, a Fourier transform
of the signal will reveal which wave frequencies correspond with the imposed wavevector. The
dispersion relation of the phononic crystal can be compiled by repeating this process for many
different wavevectors.
Non-periodic structures are simulated by applying a zero-wavevector ( 0 = k ) to the same
discrete equations as in the periodic case. Two types of boundary conditions are used: Reflecting
and absorbing. The reflecting boundary conditions force the boundary displacement to zero,
which entirely reflects incident waves. The absorbing conditions are an approximation to
simulating a region of infinite extent, meaning that outgoing waves of all spatial and temporal
frequencies will exit the simulation boundaries without any of the energy being reflected. This
idealized situation is not entirely possible, and numerous schemes exist for approximating this
condition. These three boundary conditions (periodic, reflecting, and absorbing) allow the
simulation of laboratory-type setups so that experimental data may be compared with FDTD
simulations.
The flexibility of the FDTD method is evident by its pervasiveness in both acoustics and
electromagnetics. It has also been applied to the field of seismology to study models of wave
propagation through the earth [188][189]. It has already been extensively used to study phononic
and photonic crystals (see, for example [190][191]). It is very amenable to code parallelization
[169], which is particularly relevant considering the trend towards parallel computation and
multi-core CPUs. The method has been modified to improve its accuracy by using higher-order
equations [192], adjusting the shape of the underlying discrete grid [193], improving
compatibility with absorbing boundary equations [194], and accounting for dispersive media
[195].
We created an FDTD simulator in the C language that uses MATLAB as a front-end for
providing data to and analyzing data from the simulator. This configuration allows the versatile
data analysis of MATLAB with the speed of execution of compiled C code. Further performance
gains are possible by rewriting the C-code to run on a graphics processor, but that project is

outside the scope of this thesis. We wrote the simulator because the commercially available
acoustic FDTD simulators were not capable of simulating time-varying material parameters.
4.1.1 Derivation of a 2D algorithm
Here we derive the discretized governing equations for the interior region of an FDTD
simulator. We then apply various boundary conditions to mimic different circumstances,
including periodic, reflecting, and absorbing boundaries. Periodicity is assumed in the derivation,
but the end result is a set of discrete-time equations that also work for non-periodic simulations.
The following conventions will be used interchangeably in the derivation, which are used to
remain consistent with [35]:
( ) ( ) y x x x , ,
2 1
= = x , (4.1)
( ) ( )
y x
k k k k , ,
2 1
= = k , (4.2)
( ) ( )
y x
u u u u , ,
2 1
= = u , (4.3)
where x is the Cartesian coordinate vector, k is the wavevector, and u is the Lagrangian acoustic
particle displacement from equilibrium. Furthermore, we consider only lossless, isotropic media
with a scalar density and compressibility. We choose to solve for the vector displacement field
since this will permit the simulation of transverse waves in addition to longitudinal waves, as
opposed to a scalar field simulation which can only incorporate longitudinal waves [66].
There are two sets of equations required to solve for the displacement field, as was the case
in Section 2.1. The first is Newtons second law of motion and the second is the stress-strain
relationship of the material. For a very clear and extensive derivation similar to the following,
the reader is referred to pp. 41 of [75]. We begin with the density version of Newtons second
law,
u = & & , (4.4)
where is the stress tensor, is the mass density, and u is the vector displacement. This can be
rewritten explicitly as
( )
( ) ( )
n n
mn m
x
t
t
t u , ,
2
2
x x
x

. (4.5)
The periodicity of the system is then enforced, meaning that the interior simulation region is
assumed to be infinitely tiled in both the x and y directions, which is the practical implementation
Bloch-periodic condition for a given wavevector k [95]. The Bloch conditions on the
displacements and stresses are
( ) ( ) t U e t u
m
j
m
, , x x
x k
= , (4.6)

and ( ) ( ) t S e t
mn
j
mn
, , x x
x k
= . (4.7)
Substituting back into the original equation gives
( )
( ) ( )

n n
mn
j
m
j
x
t S e
t
t U e , ,
2
2
x x
x
x k x k
. (4.8)
Expanding the derivative and cancelling the common exponential,
( )
( )
( )
( )
|
|
\
|
+ =

n n
mn j
mn
j
n
m j
x
t S
e t S e jk
t
t U
e
,
,
,
2
2
x
x
x
x
x k x k x k
, (4.9)
( )
( )
( )
( )
|
|
\
|
+ =
n n
mn
mn n
m
x
t S
t S jk
t
t U ,
,
,
2
2
x
x
x
x . (4.10)
Expanding the summation over two dimensions and changing the notation to match [35] gives
the first two equations in continuous form:

|
|
\
|
+ +
|
|
\
|
+ =
y
S
S jk
x
S
S jk
t
U
t y x
t y x
t y x
t y x
t y x
y x
: ,
12 : ,
12 2
: ,
11 : ,
11 1
2
: ,
1
2
,
, (4.11)
and
|
|
\
|
+ +
|
|
\
|
+ =
y
S
S jk
x
S
S jk
t
U
t y x
t y x
t y x
t y x
t y x
y x
: ,
22 : ,
22 2
: ,
21 : ,
21 1
2
: ,
2
2
,
. (4.12)
To discretize (4.11), the following discrete approximations to the continuous derivatives are
used. They are chosen to centre the finite differences when combined with the second set of
equations for S
ij
. See [196] for more information on central finite differences. Also, x, y, and t are
taken to be linear indices in the discrete case, meaning that
p discrete continuous
p p = , where p is one
of those parameters and
p
is the space or time resolution. This convention is used to simplify
comparison of the continuous and discrete equations. The discrete approximations are

2
1 : ,
1
: ,
1
1 : ,
1
2
: ,
1
2
2
t
t y x t y x t y x t y x
U U U
t
U
+
=
+
, (4.13)

2
: , 1
11
: ,
11 : ,
11
t y x t y x
t y x
S S
S
+
= ,
x
t y x t y x t y x
S S
x
S
: , 1
11
: ,
11
: ,
11
, (4.14)
and
2
: 1 ,
12
: ,
12 : ,
12
t y x t y x
t y x
S S
S
+
= ,
y
t y x t y x t y x
S S
y
S
: 1 ,
12
: ,
12
: ,
12
. (4.15)
Applying these approximations to (4.11) gives

t
t y x t y x t y x
y x
S K S K S K S K
U U U
: 1 ,
12 2
: ,
12 2
: , 1
11 1
: ,
11 1
2
1 : ,
1
: ,
1
1 : ,
1 ,
2
+ +
+
+ + + =
|
|
\
|
+
, (4.16)

where
|
|
\
|
i
x
i
i
jk
K
1
2
. (4.17)
Rearranging to solve for U
1
,
( )
1 : ,
1
: ,
1
: 1 ,
12 2
: ,
12 2
: , 1
11 1
: ,
11 1 ,
2
1 : ,
1
2
+ + +
+ + + +
=
t y x t y x t y x t y x t y x t y x
y x
t t y x
U U S K S K S K S K U
. (4.18)
Equation (4.12) may also be discretized using the following discrete approximations and by
noting that
21 12
S S = , which is a consequence of the symmetries described subsequently:

2
1 : ,
2
: ,
2
1 : ,
2
2
: ,
2
2
2
t
U U U
t
U
+
=
+
, (4.19)

2
: ,
12
: , 1
12 : ,
12
t y x t y x
t y x
S S
S
+
=
+
,
x
t y x t y x t y x
S S
x
S
+ : ,
12
: , 1
12
: ,
12
, (4.20)

2
: ,
22
: 1 ,
22 : ,
22
t y x t y x
t y x
S S
S
+
=
+
,
y
t y x t y x t y x
S S
y
S
+ : ,
22
: 1 ,
22
: ,
22
. (4.21)
Applying these approximations to (4.12) and rearranging gives

t
t y x t y x t y x
y x
S K S K S K S K
U U U
: ,
22 2
: 1 ,
22 2
: ,
12 1
: , 1
12 1
2
1 : ,
2
: ,
2
1 : ,
2 ,
2
+ + + +
+
+ + + =
|
|
\
|
+
, (4.22)
( )
1 : ,
2
: ,
2
: ,
22 2
: 1 ,
22 2
: ,
12 1
: , 1
12 1 ,
2
1 : ,
2
2
+ + + + +
+ + + +
=
t y x t y x t y x t y x t y x t y x
y x
t t y x
U U S K S K S K S K U
. (4.23)
The second set of equations required to solve for the displacement field is the stress-strain
relationship, which is coupled by the position-dependent elastic stiffness tensor c so that
( ) ( )
( )
=
n m n
m
ijmn ij
x
t u
c t
,
,
,
x
x x . (4.24)
Enforcing the system periodicity as before,
( ) ( )
( )
n m n
m
j
ijmn ij
j
x
t U e
c t S e
,
,
,
x
x x
x k
x k
(4.25)
Expanding the derivative, cancelling the common exponential, and noting that j is an index as
well as 1 ,
( ) ( ) ( )
( )
|
|
\
|
+ =

n m n
m j
m
j
n ijmn ij
j
x
t U
e t U e jk c t S e
,
,
, ,
x
x x x
x k x k x k
, (4.26)
( ) ( ) ( )
( )
|
|
\
|
+ =
n m n
m
m n ijmn ij
x
t U
t U jk c t S
,
,
, ,
x
x x x . (4.27)

As described in [75], many of the stiffness tensor terms are redundant due to energy
conservation rules. Following the Voigt notation (summarized on pp. 41 of [75]), the relevant
terms are shown condensed in the middle matrix. Assuming isotropic properties (a concept
defined in [66]) which permit cubic symmetry rules, the coefficients reduce to those shown in the
matrix on the right (pp. 92 of [75]):

Symmetry Cubic
11 12
44 44
44 44
12 11
Notation Voigt
22 26 26 12
26 66 66 16
26 66 66 16
12 16 16 11
2222 2122 1222 1122
2221 2121 1221 1121
2212 2112 1212 1112
2211 2111 1211 1111
0 0
0 0
0 0
0 0
(
(
(
(
=
(
(
(
(
=
(
(
(
(
C C
C C
C C
C C
C C C C
C C C C
C C C C
C C C C
c c c c
c c c c
c c c c
c c c c
. (4.28)
Expanding the summation in (4.27) over two dimensions and changing the notation to match
[35] gives the continuous form of the stress components:

|
|
\
|
+ +
|
|
\
|
+ =
y
U
U jk C
x
U
U jk C S
t y x
t y x x,y
t y x
t y x x,y t y x
: ,
2 : ,
2 2 12
: ,
1 : ,
1 1 11
: ,
11
, (4.29)

|
|
\
|
+ +
|
|
\
|
+ =
y
U
U jk C
x
U
U jk C S
t y x
t y x x,y
t y x
t y x x,y t y x
: ,
2 : ,
2 2 11
: ,
1 : ,
1 1 12
: ,
22
, (4.30)
and
|
|
\
|
+ +
|
|
\
|
+ = =
x
U
U jk C
y
U
U jk C S S
t y x
t y x x,y
t y x
t y x x,y t y x t y x
: ,
2 : ,
2 1 44
: ,
1 : ,
1 2 44
: ,
21
: ,
12
. (4.31)
As before, these equations are discretized using discrete approximations. The resulting
discrete equations, adjusted to achieve central differences, are
( ) ( )
t y x t y x x,y t y x t y x x,y t y x
U K U K C U K U K C S
: 1 ,
2 2
: ,
2 2 12
: ,
1 1
: , 1
1 1 11
: ,
11
+ + +
+ + + = , (4.32)
( ) ( )
t y x t y x x,y t y x t y x x,y t y x
: 1 ,
2 2
: ,
2 2 11
: ,
1 1
: , 1
1 1 12
: ,
22
+ + +
+ + + = , (4.33)
and ( )
t y x t y x t y x t y x x,y t y x
U K U K U K U K C S
: ,
1 2
: 1 ,
1 2
: , 1
2 1
: ,
2 1 44
: ,
12
+ + +
+ + + = . (4.34)
Thus, five discrete equations ((4.18), (4.23), (4.32), (4.34), and (4.33)) and five unknown
state variables (
1
U ,
2
U ,
11
S ,
22
S , and
12
S ) fully specify the interior region of the FDTD
simulation. For a periodic simulation with a given wavevector, k,
i
K in (4.17) is complex and
thus the interior region state variables are complex. For a non-periodic simulation, 0 = k and the
state variables are real.
4.1.2 Implementation
Offset grid
The discrete equations are calculated using an offset grid, as shown in Figure 4.1. This allows
central differences to be used in the approximated derivatives, which results in improved

accuracy of the simulation [196][197]. The material parameters are also located off-grid as
shown in the right-hand portion of the figure, which must be accounted for when considering
very fine structures in relation to the grid spacing.

Figure 4.1. The offset grid implementation of the FDTD state variables. On the
Cartesian grid shown to the left, the black dots indicate variables located directly
on-grid. That is, they are located at
x
m and
y
n , where m and n are integers.
The white dots indicate variables located off-grid in either the x, y, or both axes.
That is, m and/or n are integers
2
1
. This arrangement permits the use of central
differences used in the discrete approximations.
The discrete equations for the FDTD state variables may now be adjusted to explicitly
describe the offset grid used in Figure 4.1, which yields the following set of equations and are
the same as presented in the Appendix of [35]. Note that the equations in [35] for
i
K are
missing an i (or j using the notation in this thesis), an error that was confirmed with the authors.

( )
1 : ,
1
: ,
1
: ,
12 2
: ,
12 2
: ,
11 1
: ,
11 1 ,
2
1 : ,
1
2
2
1
2
1
2
1
2
1
+
+
+
+ +
+
+ + +
=
t y x t y x
y x
t t y x
U U
S K S K S K S K U
(4.35)

( )
1 : ,
2
: ,
2
: ,
22 2
: 1 ,
22 2
: ,
12 1
: , 1
12 1
,
2
1 : ,
2
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
1
2
+ + + +
+
+ +
+
+
+ +
+
+ +
+ + +
+
+ + +
=
t y x t y x
y x
t
t y x
U U
S K S K S K S K U
(4.36)
( ) ( )
t y x t y x ,y x
t y x t y x
,y x t y x
: ,
2 2
: ,
2 2 12
: ,
1 1
: , 1
1 1 11
: ,
11
2
1
2
1
2
1
2
1
2
1
2
1
2
1
+
+ +
+
+
+ +
+ +
+ + + = (4.37)
( ) ( )
t y x t y x ,y x
t y x t y x
,y x t y x
: ,
2 2
: ,
2 2 11
: ,
1 1
: , 1
1 1 12
: ,
22
2
1
2
1
2
1
2
1
2
1
2
1
2
1
+
+ +
+
+
+ +
+ +
+ + + = (4.38)
( )
t y x t y x
t y x t y x x,y t y x
U K U K U K U K C S
: ,
1 2
: 1 ,
1 2
: ,
2 1
: ,
2 1 44
: ,
12
2
1
2
1
2
1
2
1
2
1
2
1
+ +
+
+ +
+
+ +
+ + + = (4.39)
The offset grid is of no practical consequence in the actual software implementation. It only
requires that the user is aware that the material parameter inputs and the field value outputs
correspond to points located on the offset grid.

Boundary conditions
In an FDTD simulation using the discrete equations above, the interior region may be
calculated entirely from provided initial conditions and material parameters. For the simulation
to be meaningful, two other pieces of information must be provided, which are the source and
boundary conditions. With respect to boundary conditions, there are three useful types that were
implemented in the FDTD simulator: Periodic, reflecting, and absorbing.
Periodic boundary conditions
Periodic boundary conditions take the field values from one end of the simulation region and
apply them to the other with a phase shift determined by the applied wavevector. The reason for
using periodic boundaries in a simulation is to make the interior simulated region appear to
repeat infinitely in the dimension of the periodic boundaries. For example, a phononic crystal can
be made to appear infinite in all directions by setting all four boundaries to be periodic. The
dispersion relation of such an infinite crystal can be discovered by applying a wavevector to the
simulation and measuring the frequency spectrum of a point in the interior. As an example of a
use of periodic conditions in only one dimension, the crystal that was constructed and described
in detail in Section 3.2 was simulated by assuming it had an infinite width and a finite depth,
when in reality it had 37 columns of width and 11 rows of depth. The simulated and measured
transmission spectrum matched quite well as was shown in Figure 3.13.
In each displacement and stress field, there is enough information to calculate two of the
boundaries, and the other two must be copied using periodic boundary conditions. Table 4.1
summarizes the regions that can be computed and the boundaries that must be copied. In the
table, X and Y represent the total x and y distances being simulated and M and N represent the
maximum x and y indices, respectively, so that
x
M X = and
y
N Y = . The boundaries are
copied from the opposite side of the simulation region with a phase shift that depends on k and
the size of the simulation region. The unspecified corner values can be left undefined since they
do not influence any other cells.


Table 4.1. Calculable simulation regions and periodic boundaries.
Field Required Region
Calculable
Indices
Boundaries

Boundary Conditions
U
1

M
x
2
,
N
y
2

y M X jk y
U e U
x
,
1
, 1
1
=
N x
Y jk
x
U e U
y ,
1
1 ,
1
=
U
2

1
1
M
x ,
1
1
N
y

y X jk y M
U e U
x
, 1
2
,
2
=
1 ,
2
,
2
x
Y jk
N x
U e U
y
=
S
11
/S
22

1
1
M
x ,
N
y
2

y X jk y M
S e S
x
, 1
22 / 11
,
22 / 11
=
N x
Y jk
x
S e S
y ,
22 / 11
1 ,
22 / 11
=
S
12

M
x
2
,
1
1
N
y

y M X jk y
S e S
x
,
12
, 1
12
=
1 ,
12
,
12
x
Y jk
N x
S e S
y
=

The flow of the FDTD algorithm with periodic boundaries is depicted in Figure 4.2.

Figure 4.2. FDTD algorithm flow for periodic boundaries. The interior stress
fields, S, are calculated, then periodic boundary conditions are applied. Next, the
interior displacement fields are calculated and the periodic boundary conditions
are applied. Finally, the time step is incremented and the process is repeated.

Reflecting boundary conditions
A boundary can be made reflective simply by setting all the field values to zero along the
boundary. This also works to create reflectors in the interior, if required. It is a convenient way to
simulate a highly contrasting material, such as an aluminum block in water.
Absorbing boundary conditions
The problem of making a wave propagate out of an FDTD simulation region without any
energy reflecting back in is not trivial and many schemes for achieving this have been proposed
[198][203]. It requires the presence of a perfectly matched layer (PML) that is non-reflective
for the spatial and temporal frequencies of interest and that can also dissipate the incident energy.
The problem is somewhat simplified when considering monochromatic sources that are normally
incident. However, outgoing waves that are increasingly parallel to the boundary become ever
more reflected back into the interior simulation region.
A new PML absorbing layer has been proposed that addresses many of the shortcoming of
previous models [204]. It has been shown to be perfectly matched and stable with proper
parameter choices [205], and has even been successfully applied to the nonlinear wave equation
[206]. For these reasons, this particular PML model was used in the FDTD simulator for
absorbing boundary conditions. It is worthwhile to explicitly restate the PML governing
equations in both continuous and discrete form since they are given in [204] as continuous and
dimensionless, whereas the FDTD simulator requires discrete and properly dimensioned
equations.
The 13 individual governing equations are given as three matrix equations, in which
p
, for
example, denotes differentiation with respect to the variable p. The three matrix equations are
( ) ( ) ( ) ( )
2 2 2 1 1 1
w E v B w E v A v y d x d
y x t
+ + + = , (4.40)
( ) ( ) 0
1 01 1 1 1
= + + + w v E w x d
x
T
t
, (4.41)
and ( ) ( ) 0
2 02 2 2 2
= + + + w v E w y d
y
T
t
. (4.42)
In these equations, the state variables related to those in the interior simulation region are
contained in v and the PML state variables are introduced in w
1
and w
2
. They are

(
(
(
(
(
(
=
3
2
1
2
1
u
u
t
t
v ,
(
(
(
(
=
4 , 1
3 , 1
2 , 1
1 , 1
1
w
w
w
w
w , and
(
(
(
(
=
4 , 2
3 , 2
2 , 2
1 , 2
2
w
w
w
w
w . (4.43)
The matrices of the coefficients are

(
(
(
(
(
(
0 0 0 0
0 0 0 0
0 0 0 0
0 0 0 0
0 0 0 0
44
12
11
1
1
C
C
C
A ,
(
(
(
(
(
(
0 0 0 0
0 0 0 0
0 0 0 0
0 0 0 0
0 0 0 0
44
11
12
1
1
C
C
C
B , (4.44)

(
(
(
(
(
(
=
1 0 0 0
0 0 0 0
0 1 0 0
0 0 1 0
0 0 0 1
1
E , and
(
(
(
(
(
(
=
1 0 0 0
0 1 0 0
0 0 0 0
0 0 1 0
0 0 0 1
2
E . (4.45)
The damping functions, ( ) x d
1
and ( ) y d
2
, are positive and smooth and are zero at the boundary.
They have been set to a hyperbolic tangent function which increases in value from zero at the
boundary to
max
d at the far edge of the PML. The parameters
01
and
02
help to prevent
growing oscillations as the simulation time progresses [204]. These governing equations are
expanded in Table 4.2 and are the basis for the discrete equations.
Table 4.2. Continuous PML absorbing boundary equations.
Continuous PML equation
(4.46a) ( ) ( )
|
|
\
|
+
+ +

4 , 2 2
3
3 , 1 1
1 1
2
1
2
w y d
y
w x d
x t
u

(4.46b) ( ) ( )
|
|
\
|
+
+ +

3 , 2 2
2
4 , 1 1
3 1
2
2
2
w y d
y
w x d
x t
u

(4.46c) ( ) ( )
|
|
\
|
+

+
|
|
\
|
+

2 , 2 2
2
2
12 1 , 1 1
1
2
11
1
w y d
t y
u
C w x d
t x
u
C
t

(4.46d)
( ) ( )
|
|
\
|
+

+
|
|
\
|
+

2 , 2 2
2
2
11 1 , 1 1
1
2
12
2
w y d
t y
u
C w x d
t x
u
C
t

(4.46e) ( ) ( )
|
|
\
|
+

+ +

1 , 2 2
1
2
2 , 1 1
2
2
44
3
w y d
t y
u
w x d
t x
u
C
t

(4.46f) ( ) ( ) 0
1 , 1 01 1
1
2
1 , 1
= + +

w x d
t x
u
t
w

(4.46g) ( ) ( ) 0
2 , 1 01 1
2
2
2 , 1
= + +

w x d
t x
u
t
w


Continuous PML equation
(4.46h) ( ) ( ) 0
3 , 1 01 1
1
3 , 1
= + +
w x d
x t
w

(4.46i) ( ) ( ) 0
4 , 1 01 1
3
4 , 1
= + +
w x d
x t
w

(4.46j) ( ) ( ) 0
1 , 2 02 2
1
2
1 , 2
= + +

w y d
t y
u
t
w

(4.46k) ( ) ( ) 0
2 , 2 02 2
2
2
2 , 2
= + +

w y d
t y
u
t
w

(4.46l) ( ) ( ) 0
3 , 2 02 2
2
3 , 2
= + +
w y d
y t
w

(4.46m) ( ) ( ) 0
4 , 2 02 2
3
4 , 2
= + +
w y d
y t
w

The continuous equations are discretized using central differences. The discrete equations are
summarized in Table 4.3, where the letter suffixes of the continuous and discrete equations
match.
Table 4.3. Discrete PML absorbing boundary equations.
Discrete PML equation
(4.47a)
( ) ( )
1 : ,
1
: ,
1
: ,
4 , 2 2
: 1 ,
3
: ,
3 : ,
3 , 1 1
: , 1
1
: ,
1 1 2 1 : ,
1
2

+
+
|
|
\
|
+
+ +
=
t y x t y x
t y x
y
t y x t y x
t y x
x
t y x t y x
t
t y x
u u
w y d w x d u

(4.47b)
( ) ( )
1 : ,
2
: ,
2
: ,
3 , 2 2
: ,
2
: 1 ,
2 : ,
4 , 1 1
: ,
3
: , 1
3 1 2 1 : ,
2
2

+ +
+
+
|
|
\
|
+
+ +
=
t y x t y x
t y x
y
t y x t y x
t y x
x
t y x t y x
t
t y x
u u
w y d w x d u

(4.47c)
( )
( )
t y x
t y x
t
y
t y x
t
x
t y x
w y d
u u u u
C
w x d
u u u u
C
: ,
1
: ,
2 , 2 2
1 : 1 ,
2
1 : ,
2
: 1 ,
2
: ,
2
12
: ,
1 , 1 1
1 : ,
1
1 : , 1
1
: ,
1
: , 1
1
11
1 : ,
1
+
(
(
(
(
(
|
|
\
|
+
+
+
|
|
\
|
+
+
=

+ +
+


Discrete PML equation
(4.47d)
( )
( )
t y x
t y x
t
y
t y x
t
x
t y x
w y d
u u u u
C
w x d
u u u u
C
: ,
2
: ,
2 , 2 2
1 : 1 ,
2
1 : ,
2
: 1 ,
2
: ,
2
11
: ,
1 , 1 1
1 : ,
1
1 : , 1
1
: ,
1
: , 1
1
12
1 : ,
2
+
(
(
(
(
(
|
|
\
|
+
+
+
|
|
\
|
+
+
=

+ +
+

(4.47e)
( )
( )
t y x
t y x
t
y
t y x
t
x
t y x
w y d
u u u u
w x d
u u u u
C
: ,
3
: ,
1 , 2 2
1 : ,
1
1 : 1 ,
1
: ,
1
: 1 ,
1
: ,
2 , 1 1
1 : , 1
2
1 : ,
2
: , 1
2
: ,
2
44
1 : ,
3
+
|
|
|
|
|
\
|
+
+
+
+
+
=
+ +

+

(4.47f)
( ) ( ) [ ]
x
t y x
t
t y x
u u u u
w x d w
+
+ =
+ +
+
1 : ,
1
1 : , 1
1
: ,
1
: , 1
1 : ,
1 , 1 01 1
1 : ,
1 , 1
1
(4.47g) ( ) ( ) [ ]
x
t y x
t
t y x
u u u u
w x d w
+
+ =

+
1 : , 1
2
1 : ,
2
: , 1
2
: ,
2 : ,
2 , 1 01 1
1 : ,
2 , 1
1
(4.47h) ( ) ( ) [ ]
x
t y x t y x
t
t y x
t
t y x
w x d w
+ =
+
: , 1
1
: ,
1 : ,
3 , 1 01 1
1 : ,
3 , 1
1

(4.47i) ( ) ( ) [ ]
x
t y x t y x
t
t y x
t
t y x
w x d w
+ =
+
+
: ,
3
: , 1
3 : ,
4 , 1 01 1
1 : ,
4 , 1
1

(4.47j)
( ) ( ) [ ]
y
t y x
t
t y x
u u u u
w y d w
+
+ =
+ +
+
1 : ,
1
1 : 1 ,
1
: ,
1
: 1 ,
1 : ,
1 , 2 02 2
1 : ,
1 , 2
1
(4.47k)
( ) ( ) [ ]
y
t y x
t
t y x
u u u u
w y d w
+
+ =

+
1 : 1 ,
2
1 : ,
2
: 1 ,
2
: ,
2 : ,
2 , 2 02 2
1 : ,
2 , 2
1
(4.47l)
( ) ( ) [ ]
y
t y x t y x
t
t y x
t
t y x
w y d w
+ =
+
+
: ,
2
: 1 ,
2 : ,
3 , 2 02 2
1 : ,
3 , 2
1

(4.47m)
( ) ( ) [ ]
y
t y x t y x
t
t y x
t
t y x
w y d w
+ =
+
: 1 ,
3
: ,
3 : ,
4 , 2 02 2
1 : ,
4 , 2
1

A thickness is chosen for the PML and the discrete equations are implemented across this
region. The thicker the PML the more gradual the damping, which results in less reflection from
within the PML region. Noting that there are five update equations in the interior but 13 in the

PML, the trade-off is between improved absorption and faster simulation execution, and the
parameter that adjusts this trade-off is PML thickness.
Source conditions
In an FDTD simulation, a source may be used in conjunction with initial conditions to input
energy into the system. The source may take on any shape, but is ultimately composed of point
sources on the FDTD grid. There are two useful configurations: Hard and transparent. Also of
note is that an input waveform must not have a DC offset in 2D simulations [207].
Hard source configuration
In a hard source, the calculated displacement values for the source locations are overwritten
at each time step with the desired displacement values. This is extremely simple to implement in
software and can be used to simulate many real-world scenarios. The major drawback to this
configuration is that waves incident on the source, either from reflections or another source
location, will reflect off of it. This can be averted in 1D by shutting off the source after the input
pulse is done being transmitted. That is, after the finite-duration input pulse, the field values are
simply not overwritten. If the source is placed far away enough from any reflectors, then by the
time a wave is reflected back to the source location it has been shut off and is non-reflective.
This is not an option for 2D line sources, because when it is shut off it will become unstable and
begin to grow without bound. To avoid this effect, the source waveform must be zero-padded for
the remainder of the simulation after the source is shut off.
The hard source configuration is particularly useful in 1D because, when shut off it behaves
in a transparent manner. In 2D, a hard source configuration is a good model for an ultrasound
transducer, since reflections from the transducer face often occur in practice.
Transparent source configuration
Frequently, one wishes to simulate an incident pulse coming from the far-field to
approximate a plane wave while simultaneously minimizing the simulation size for improved
computational speed. To achieve this, a transparent source can be used [208][209]. A transparent
source must fulfill two criteria: It must set the field values to the desired input waveform for the
duration of the input, and it must allow incident waves to pass through unaffected. This is
accomplished by convolving the desired input waveform with the impulse response of the source
for a given simulation configuration. A simulation is first run where a discrete impulse is applied
to the source locations, and the response of the system to that impulse is recorded. Next, when
the actual simulation is run, the input waveform is convolved with the recorded impulse response

to achieve transparency while still outputting the correct waveform. Full implementation details
for acoustic FDTD simulations are given in [208].
4.1.3 Stability criteria
When using the FDTD method, a time step,
t
, must be chosen. Choosing a small value
increases the numerical accuracy of the simulation, whereas choosing a large value decreases the
execution time of the simulation. However, if the time step is chosen too large, the field values
will grow exponentially with each step and the results will be non-physical. The numerical
stability limit of the FDTD simulation is the largest possible
t
for a given set of simulation
parameters that will not result in non-physical exponential growth.
There are numerous methods for determining the stability of a discrete system. The most
common are the von Neumann method [210][211], examining the numerical dispersion relation
[197], and using linear time-invariant (LTI) system theory [212][214]. A von Neumann analysis
is carried out by assuming that there is only one Fourier spatial component present, usually
indicated by
r k
~
j
e . This substitution facilitates the application of a discrete Fourier transform
(DFT) to the governing equations, eliminating the spatial variables and reducing the equations to
a set of recursion relations. Then, a z-transform can be applied to the discrete time domain and
the roots of z can be obtained. The system is stable when 1 z for any [ ]
i i i
k ,
~
,
which are the possible wavevectors within a discrete system.
The numerical dispersion relation can also be used to determine the system stability. The
relationship between
~
and k
~
, the angular and spatial frequencies occurring in the FDTD
simulation, is called the numerical dispersion relation. This is an artefact of the FDTD method,
and is not representative of the physical dispersion whose variables are and k . The numerical
dispersion relation can be used to enforce the condition that all real wavevectors, k
~
, must only
stimulate real frequencies,
~
, and vice versa since a complex angular or spatial frequency would
indicate the exponential growth associated with an unstable FDTD scheme. [197]
Linear system theory can also be used to examine system stability. The FDTD scheme can be
represented as a multi-input multi-output (MIMO) system. The system can be set up as follows,
which is in accordance with traditional LTI system theory [212]:
[ ] [ ] k k Ax x = +1 , [ ]
T
k M k k M k
U U U U
1 :
1
1 : 1
1
:
1
: 1
1

= L L x
In this configuration, x is the state variable consisting of all displacement values from the
current ( k ) and past ( 1 k ) time steps, A is the state transition matrix, and the complex
eigenvalues of A must lie on or within the unit circle for the system to be at least marginally

stable. The state transition matrix will be of the form
(

=
0
I
I A
A . This makes finding the
eigenvalues particularly convenient and theorems, such as the Gershgorin Circle Theorem, can
be used, as was shown in [213]. Other approaches may be used under certain conditions, such as
the property that ( )
=
=
i
N
i
trace
1
A in conjunction with the fact that all the diagonal elements of
A are equal.
To investigate the stability of this particular FDTD implementation, a von Neumann
approach was used since it is the most straight-forward. As a test, all three methods were used to
determine the stability limit for a 1D contrasting medium with 0 = k , and all three came to the
same conclusion that is outlined below. The coupled first-order equations must be combined to
eliminate the strain fields and yield second-order displacement equations. They are shown
without offset grid notation for simplicity since it does not affect the stability analyses.
Practically, if the resulting limits are functions of space, then the appropriate procedure is to
determine the required
t
at every location and to take the minimum of these values as the
simulation time step. We first determined the stability limits in 1D for all the relevant cases, and
then determined the limit for the most basic 2D acoustical case. These limits were verified by
simulation. To the best of our knowledge, determining the limit in the 2D case has not been
previously described in the literature.
A 1D homogenous medium with k = 0
The governing equation for U
1
is formed by substituting the first-order strain equations,
(4.29) and (4.31), into the first-order strain-dependent equation for U
1
, (4.11), resulting in a
second-order equation for U
1
alone. In the governing equations, we set 0 = k , 0 =
, and
0 =
x
C
ij
, and collapse the equation for U
1
to 1D, which corresponds to a 1D homogeneous
medium with no applied wavevector. The continuous and discrete equations are

2
1
2
11
2
1
2
x
U C
t
U
, (4.48)
and [ ]
t x t x t x
x
t t x t x t x
U U U
C
U U U
: 1
1
:
1
: 1
1 2
2
11 1 :
1
:
1
1 :
1
2 2
+ +
+
= +
. (4.49)
The stability of the discrete system can be determined in this simple case by assuming that
the solution is an eigenmode with wavevector k
~
, then by taking a z-transform in time and a DFT
in space of the system. This assumption is validated by requiring that the system be stable for all

[ ]
x x
k ,
~
, corresponding to all the possible wavevectors in a discrete system [212].
Taking the z-transform of (4.49),
[ ]
:z x- x:z :z x
x
t x:z x:z x:z
U U U
C
z U zU
1
1 1
1
1 2
2
11
1
1
1 1
2 U 2 +
= +
+
, (4.50)
where { }
t x x:z
U Z U
:
1 1
and {} Z is the z-transform, so that the argument indicates the domain.
Next, assuming that the solution is a discrete plane wave, a spatial DFT of the system gives
[ ]
x:z k j x:z x:z k j
x
t x:z x:z x:z
U e U U e
C
U z U zU
x x
1
~
1 1
~
2
2
11
1
1
1 1
2 2

+
= +
. (4.51)
Cancelling the displacement and simplifying,
[ ]
x x
k j k j
e e z z

+ = +
~ ~
1
2 2 , where
2
2
11
x
t
C
. (4.52)
P z z = +
1
2 , where ( ) [ ] 1
~
cos 2 =
x
k P . (4.53)
The roots of this equation are stable when 1 z , which occurs when 0 4 P . Thus,

0 max
min 4
0 4
P
P
P
. (4.54)
Since [ ]
x x
k ,
~
, therefore ( ) [ ] 1 , 1
~
cos
x
k and [ ] 0 , 4 P , which gives

0 lim
4 4
0 4
0
P
P
P
. (4.55)
The first inequality means that 1 , and therefore
1
2
2
11
x
t
C
. (4.56)
Taking the positive root and noting that the phase velocity is
11 0
C c = gives the expected
stability criteria [197],

0 11
c C
x x t
= . (4.57)
The second inequality, which implies that 0 , is of some interest with respect to
metamaterials, which can have negative effective properties. Since
2
t
and
2
x
are both positive,
therefore
11
C and must have the same sign. Interestingly, this conclusion is in agreement with
[66], which states that waves will not propagate within a medium if the signs of these parameters

are different. In conclusion, the FDTD stability requirements for a 1D homogeneous medium are
that
11
C
x t
and that
11
C and must have the same sign.
A 1D contrasting medium with k = 0
We begin as before by setting 0 = k and by collapsing the second-order equation for U
1
to
1D. However, we lift the restriction that 0 =
and 0 =
x
C
ij
so that the material parameters
may vary in space that is, they are contrasting. The continuous and discrete equations are

x
U
x
C
x
U
C
t
U
1 11
2
1
2
11 2
1
2
, (4.58)
and [ ] [ ] ( )
t x t x x t x t x x
x
x
t t x t x t x
U U C U U C U U U
: 1
1
:
1
1
11
:
1
: 1
1 11 2
2
1 :
1
:
1
1 :
1
1
2
+ +

= +
. (4.59)
Applying a discrete-time z-transform, a spatial DFT, and simplifying as before gives
[ ] [ ] ( )
x:z k j x:z x x:z x:z k j x
x
t
x
x:z x:z x:z
U e U C U U e C U z U zU
x x
1
~
1
1
11 1 1
~
11 2
2
1
1
1 1
1
2

= +
, (4.60)
[ ] [ ] ( ) 1 1
1
2
~
1
11
~
11 2
2
1
+
= +

x x
k j x k j x
x
t
x
e C e C z z
, (4.61)
[ ] ( ) [ ] [ ] ( ) ( )
x
x x
x
x x
x
t
x
k C C j k C C z z + +
= +

~
sin 1
~
cos
1
2
1
11 11
1
11 11 2
2
1
, (4.62)
P z z = +
1
2 , (4.63)
where
2
2 1
11 11
2
x
t
x
x x
C C
+
=
and ( ) [ ] ( )
x x x
x x
x
k
C C
C C
j k P
(
+ =
~
sin 2 1
~
cos 2
1
11 11
1
11 11
. We have introduced
a division and multiplication by two in and P, respectively, to remain consistent with the
previous results for a homogeneous medium.
We can now take { }
Real
Re P P = since we introduced the eigenmode as a complex
exponential instead of as a cosine. That is, the imaginary part of P was added to facilitate the
calculation and does not represent real energy. The roots of the equation are stable when 1 z ,
which occurs when 0 4
Real
P . Since [ ] 0 , 4
Real
P , the previous limits apply, and therefore
1
2
2
2 1
11 11
+

x
t
x
x x
C C
, (4.64)
( )
1
11 11
2

+
x x x
x t
C C . (4.65)

This stability limit is in agreement with [213], which was derived in a different manner. The
second inequality, 0 lim
Real
0
Real
P
P
gives the condition that 0 as in the homogeneous case.
A 1D contrasting medium with k 0
When using periodic boundary conditions in an FDTD simulation to investigate the
dispersion properties of an infinite phononic crystal, a desired wavevector is applied to the
interior region as well as to the boundaries. Here we wish to determine the stability limit in a 1D
contrasting medium when 0 k . The continuous and discrete equations are

2
1
2
11
1 11
11 1 1
11
1 11
2
1 2
1
2
2
x
U
C
x
U
x
C
C jk U
x
C
jk C k
t
U
\
|
+ + |
\
|
+ =
, (4.66)
and
|
|
|
|
|
|
\
|
|
|
\
|
(
+
|
|
\
|
(
= +

+
+
t x
x
t x
x x
x
t x
x
t x
x x
x
x
t t x t x t x
U
k
U
jk k
C
U
k
U
jk k
C
U U U
:
1
2
1
2
: 1
1
1
2
1
2
1
11
:
1
2
1
2
: 1
1
1
2
1
2 11
2
1 :
1
:
1
1 :
1
4
1
4
1
4
1
4
1
2
. (4.67)
Applying the z-transform and the DFT as before so that P z z = +
1
2 gives

2
2 1
11 11
2
x
t
x
x x
C C
+
=
, (4.68)
and
( )
( ) ( )
( )
( )
( )
( )
|
|
|
|
|
|
\
|
(
(

+
(
+
(

+
(
x
x
x x
x x
x x
x
x x x
x
k
k
k k
C C
C C
j
k
k k k
k
P
~
sin
4
1
~
cos
4
1
~
sin
~
cos
4
1
2
2
1
1
1
11 11
1
11 11
2
1
1
2
1
. (4.69)
Noting that
( )
(
+
0 ,
2
4
2
1
Real
x
k
P , the stability limit is

( )
1
11 11
2
1
2
4
4
+
|
|
\
|
+

x x
x
x
x t
C C k
. (4.70)
A 2D homogeneous medium with k = 0
This scenario represents the simplest physically relevant 2D case. The second-order
displacement equations are first determined by substituting (4.29) through (4.30) into (4.11) and
(4.12). In these governing equations, we set 0 =
i
k , 0 =
, and 0 =
x
C
ij
. The resulting
continuous and discrete equations are

( )
y x
U
C C
y
U
C
x
U
C
t
U

+ +
2
2
44 12 2
1
2
44 2
1
2
11 2
1
2
, (4.71)
( )
y x
U
C C
x
U
C
y
U
C
t
U

+ +
1
2
44 12 2
2
2
44 2
2
2
11 2
2
2
, (4.72)

( ) ( ) [ ]
( ) ( ) [ ]
( ) [ ]
( ) [ ]
|
|
|
|
|
|
\
|
+
+ +
+
+
=
|
|
|
|
\
|
+

+

+
+
t y x
y
t y x
y
t y x
x
t y x
x y
t y x
y
t y x
y
t y x
x
t y x
x y
t y x t y x
y
t y x t y x
x x
t y x t y x
y
t y x t y x
x x
y x
t
t y x
t y x
t y x
U U U U C
U U U U C
U U C U U C
U U C U U C
U
U
U
: 1 ,
1
1 : ,
1
1 : 1 , 1
2
1 : 1 ,
2
1
44
1
: ,
1
1 : 1 ,
1
1 : , 1
2
1 : ,
2
1
44
1
: 1 , 1
2
: , 1
2 12
1 : , 1
1
: ,
1 11
1 1
: 1 ,
2
: ,
2 12
1 : ,
1
: , 1
1 11
1 1
,
2
1 : ,
1
: ,
1
1 : ,
1
2
, (4.73)
and
( ) ( ) [ ]
( ) ( ) [ ]
( ) [ ]
( ) [ ]
|
|
|
|
|
|
\
|
+
+ +
+
+
=
|
|
|
|
\
|
+
+
+ + + +
+
+ + + +
+
t y x
y
t y x
y
t y x
x
t y x
x x
t y x
y
t y x
y
t y x
x
t y x
x x
t y x t y x
x
t y x t y x
y y
t y x t y x
x
t y x t y x
y y
y x
t
t y x
t y x
t y x
U U U U C
U U U U C
U U C U U C
U U C U U C
U
U
U
: ,
1
1 : 1 ,
1
1 : , 1
2
1 : ,
2
1
44
1
: , 1
1
1 : 1 , 1
1
1 : ,
2
1 : , 1
2
1
44
1
: ,
1
: , 1
1 12
1 : 1 ,
2
: ,
2 11
1 1
: 1 ,
1
: 1 , 1
1 12
1 : ,
2
: 1 ,
2 11
1 1
,
2
1 : ,
2
: ,
2
1 : ,
2
2
. (4.74)
The same procedure of applying a temporal z-transform followed by a spatial 2D DFT is still
applicable, except that each field has its own wavevector. That is, y x k
~
~ ~
1 1 1 y x
k k + = is the
numerical wavevector of the U
1
field, and y x k
~
~ ~
2 2 2 y x
k k + = is the numerical wavevector of the U
2

field. Beginning with the U
1
displacement field,
( )
( ) ( ) [ ]
( ) ( ) [ ]
( ) ( ) ( ) [ ]
( ) ( ) ( ) [ ]
|
|
|
|
|
|
|
\
|
+
+ +
+
+
= +

y:z x
k j
y
y:z x k j k j
x y
y:z x
k j
y
y:z x k j
x y
y:z x
k j k j
y
y:z x k j
x x
y:z x
k j
y
y:z x k j
x x
t y:z x
U e U e e C
U e U e C
U e e C U e C
U e C U e C
U z z
y y
x x
y y
y y x x
y y x x x x
y y x x
,
1
~
1 ,
2
~
~
1
44
1
,
1
~
1 ,
2
~
1
44
1
,
2
~ ~
12
1 ,
1
~
11
1 1
,
2
~
12
1 ,
1
~
11
1 1
2
,
1
1
1
2
2
1 2
2 2 1
2 1
1 1
1 1
1 1
1 1
2
,(4.75)

( ) ( ) ( )
( )
( )( )
y:z x
k j
k j
y x
t
y:z x
y y
y
x x
x
t y:z x
U e e
C C
U k
C
k
C
U z z
y y x x
,
2
~ ~
44 12
2
,
1 1 2
44
1 2
11
2
,
1
1
2 2
1 1
1
~
cos 1
~
cos
2
2
(
(

+
+
(
(
= +

, (4.76)
( ) [ ]
y:z x
y
y:z x
x
U N U z M z
,
2
,
1
1
2 = + +

, (4.77)
where ( ) ( ) ( ) ( )
(
(
= 1
~
cos 1
~
cos
2
1 2
44
1 2
11
2
y y
y
x x
x
t
x
k
C
k
C
M
, (4.78)
and
( )
( )( )
(
(

+
=

1 1
2
2
~ ~
44 12
2
y y
x x
k j
k j
y x
t
y
e e
C C
N
. (4.79)

A similar analysis of the U
2
displacement field yields
( ) [ ]
y:z x
x
y:z x
y
U N U z M z
,
1
,
2
1
2 = + +

, (4.80)
where ( ) ( ) ( ) ( )
(
(
= 1
~
cos 1
~
cos
2
2 2
44
2 2
11
2
x x
x
y y
y
t
y
k
C
k
C
M
, (4.81)
and
( )
( )( )
(
(

+
=

1 1
1
1
~ ~
44 12
2
y y
x x
k j
k j
y x
t
x
e e
C C
N
. (4.82)
This procedure has yielded two equations, (4.77) and (4.80), in two unknowns. For
convenience, one can choose k k k
~ ~ ~
2 1
= , since the stability limit is reached as both approach
the same bounds. In this case, N N N
y x
= .
If the simulation parameters are chosen so that
y x
= , then M M M
y x
= , and (4.77)
minus (4.80) gives
( ) [ ][ ] [ ]
y:z x y:z x y:z x y:z x
U U N U U z M z
,
2
,
1
,
2
,
1
1
2 = + +

(4.83)
N M z z = +
1
2 (4.84)
For convenience we can split M and N as follows:

M M
P M 2 = , where
2
2
44 11
x
t
M
C C
+
=
, and ( ) 1
~
cos =
x x M
k P , (4.85)

2
N N
P N = , where
2
2
44 12
x
t
N
C C
+
=
, and 1
~
=

x x
k j
N
e P . (4.86)
Comparison with (4.53) shows that the roots of (4.84) are stable when { } 0 Re 4 N M ,
therefore
{ }

0 min max 2
max min 2 4
0 Re 4
2
Real , Real ,
2
Real , Real ,
N N M M
N N M M
P P
P P
N M

(4.87)
Since [ ]
i i i
k ,
~
, therefore ( ) [ ] 1 , 1
~
cos
i i
k , [ ] 0 , 2
Real ,

M
P , and [ ] 4 , 0
2
Real ,

N
P . The
2
0
lim
N N
P
P
N
term in the second inequality can be ignored since it is approaching zero in the
squared sense whereas the other term is linearly approaching zero. Therefore the limits can be
restated as
{ }
0 2 lim
4 4 4
0 Re 4
0
M M
P
N M
P
N M
M

(4.88)
Simplification of the first inequality gives

1 +
N M
(4.89)
1
2
2
44 12
2
2
44 11
+
+
+
x
t
x
t
C C C C

(4.90)
1
2
2
2
12 44 11
+ +
x
t
C C C
(4.91)
( )
12 44 11
2 C C C
x t
+ + (4.92)
The second inequality, 0 2 lim
0
M M
P
P
M
gives the condition that 0
M
, which implies that
44 11
C C + has the same sign as .
4.2 The transmission matrix method
The transmission matrix method captures all the transmission and reflection information
regarding a single cell of a 1D phononic crystal into one 2 2 matrix, called the cell
transmission matrix. The transmission matrix for many cells is simply composed by multiplying
all the cell transmission matrices for the individual phononic crystal cells. The properties of the
transmission matrix can be used to investigate the dispersion relationship and the transmission
and reflection spectra of a phononic crystal. It is quite attractive for analysis because it provides
closed-form solutions to these problems, however, it is limited to one dimensional analyses.
The TMM approach has been applied in 1D electromagnetic systems [215], enabling such
effects as birefringence and phase matching to be thoroughly investigated [216]. Acoustically,
TMM theory has been described in [217], and has enabled experimental data to be verified [218].
Nonlinear effects and modelling were described in [219]. The method has also found use in more
exotic structures like ducts and nozzles [220] and in sinusoidally corrugated tubes [221].
The transmission matrix method for a phononic crystal captures the scattering and
propagation information in separate matrices, and then combines them to form the cell
transmission matrix. Beginning with scattering, Figure 4.3 shows the incident and scattered
displacement waves at the interfaces between planes of differing materials in a 1D phononic
crystal. In the case of a corrugated tube waveguide, the scatterer is an impedance discontinuity
which occurs at the boundaries between different cross-sectional areas, as was described in
Section 2.3.3. The reflection coefficient for an incident displacement wave traveling from
material 1 to material 2 is ( ) ( )
2 1 2 1 1
Z Z Z Z R + = , and from material 2 to material 1 is
( ) ( )
2 1 1 2 1 2
Z Z Z Z R R + = = . For the displacement waves under consideration, 1 =
i i
R T , so
the transmission coefficients are given by ( )
2 1 1 1
2 Z Z Z T + = , and ( )
2 1 2 2
2 Z Z Z T + = .

a
+
a
b
+
b
Z
1
Z
2

Figure 4.3. Nomenclature used to describe displacement waves at the boundaries
of a 1D scatterer.
A scattering matrix relates the incident and scattered waves as

(
=
(
+
+
b
a
S S
S S
b
a
22 21
12 11
. (4.93)
Scattering matrices are convenient because the terms of the matrix directly describe transmission
and reflection. At the interfaces between differing regions, the scattering matrices are given by

(
2 1
2 1
R T
T R
2 1
S ,
(
1 2
1 2
R T
T R
1 2
S . (4.94)
Alternatively, a transmission matrix relates the waves on one side of a scatterer to the waves
on the other:

(
=
(
+
a
a
T T
T T
b
b
22 21
12 11
, (4.95)
which can also written in matrix notation as Ta b = . The effects of multiple scatterers can be
chained together simply by multiplying their corresponding transmission matrices. The scattering
and transmission matrix formats can be converted using the following relations, which are
derived directly from the matrix definitions:

(
=
1
1
11
22
12
S
S
S
S
T ,
(
=
12
21
22
1
1
T
T
T T
S . (4.96)
Noting that 1 = S for both
2 1
S
and
1 2
S
, the transmission matrices for each interface can be

determined as

(
1
1
1
1
2
2
R
R
T
2 1
T ,
(
1
1
1
2
1
1
R
R
T
1 2
T , (4.97)
which can be rewritten entirely in terms of
1
R as

(
1
1
1
1
1
1
1
R
R
R
2 1
T ,
(
+
=
1
1
1
1
1
1
1
R
R
R
1 2
T . (4.98)
Waves can be propagated spatially by a distance d through a medium by using the following
propagation transmission matrix:

( )
(
0
0
0
0
,
c d j
c d j
e
e
d
P
T . (4.99)
This expression assumes that the propagation medium is lossless and that a wave function is
given by
( ) kx t j
e

, where
0
c k = . The cell transmission matrix,
C
T , encapsulates all the
scattering information within one cell, and is determined by sequentially combining the effects of
scattering and propagation as
( ) ( ) ( ) a a =

1 , ,
P 2 1 P 1 2 C
T T T T T . (4.100)
Thus, the transmission through one entire cell of phononic crystal for a particular ,
assuming
0
a on the left inside section 1 and
1
a one cell to the right, is given as
0 1
a T a
C
= . For n
cells connected together, the transmission matrix is given quite simply as
n
C
T . It should be noted
that
C
T is unimodular in the static case (i.e. 1 =
C
T ) and therefore
n
C
T can be quickly found
using the method described in [222].
To extract the transmission coefficient, the transmission matrix must be converted back into a
scattering matrix using (4.96). The
21
S value corresponds with the transmission coefficient from
one end of the cell to the other, and is given by

0
0
2 2
1
2
1
22 21
1
1
1
c a j
c a j
C
e R
R
e T S
= = . (4.101)
The transmission through n cells is
22 21
1
n
C
T S = , where
22
n
C
T is the (2,2) element of the
n
C
T
matrix.
4.2.1 Example calculation
The previous results can be applied to the corrugated tube described in both [17] and in
Section 2.3.3 to determine the transmission spectrum through the tube as the number of segments
is increased. The transmission spectrum near the first band gap is shown in Figure 4.4 for a tube
with
1
0
s m 343

= c , mm 85 = a , 5 . 0 = , mm 48
1
= d , and mm 60
2
= d . As expected, the
band gap attenuation increases as more segments are attached. The examples shown in
Section 2.3 were also calculated using the TMM.

T
r
a
n
s
m
i
s
s
i
o
n

C
o
e
f
f
i
c
i
e
n
t
10
0
10
-1
10
-2
10
-3
2.0 2.4 2.8 1.6 1.2
Frequency (kHz)
5
10
15
Segments

Figure 4.4. Calculated transmission spectrum for a 1D tube waveguide showing
that as more segments are added to the tube, the band gap attenuation increases
[34].
4.3 Multiple scattering theory
The transmission matrix method solves the problem of multiple scattering by separating the
acoustic wave scattering and propagation within a phononic crystal. Multiple scattering theory
uses a similar approach, except it is applicable in higher dimensions. Much of this section is
extended from the results summarized in [12], which is an excellent resource on the topic.
Accordingly, specific references to [12] will not be made since they form the basis of these
results.
An approach akin to multiple scattering theory was used by Lord Rayleigh in his first paper
on the subject in 1892 [223] and was later formalized in 1913 by Zvika [224]. It was further
developed by Faran [225] and Waterman [226][229]. Modern acoustic and electromagnetic
MST has progressed from hard-shell models to space-filling cell potentials [230] that allow
continuous material parameters. Acoustic MST [231] and its application to periodic structures
[232][233] have been extensively described in the literature. It has been extended from a scalar-
field theory to account for the vector nature of elastic waves [234], and has been applied to
elastic spheres [235] and plates [236]. Multiple scattering theory has been applied to numerous
unique acoustic configurations, including arrays of balloons [237], random [238] and period
media [233] [239]. Improving the efficiency of MST algorithms by truncating the set of basis
functions has also been described [240]. Subwavelength imaging has even been investigated
using MST as a means of describing this phenomenon [241][242].

4.3.1 Scattering from one cylinder
In two dimensions, consider a homogeneous fluid medium with density and bulk modulus
0
and
0
K , respectively. Recall that
1
0 11 0
= = C K , where
11
C is the isotropic elastic stiffness
coefficient (Voigt notation) and
0
is the adiabatic compressibility. Further, it is lossless and
dispersionless, has a longitudinal phase velocity
0 0 0
K c = , and a characteristic acoustic
impedance
0 0 0
K Z = . Embedded within this homogeneous medium is a fluid cylinder of
radius R whose centre is located at the origin. For the time being, we are restricting our analysis
to fluids so that transverse waves are not considered and a scalar field may fully specify the
waves in question. The coordinates are either radial, ( ) , r = r , or Cartesian, ( ) y x, = x .
The field external to the cylinder can be divided into an incident field, ( ) t U
inc
, r , and a
scattered field, ( ) t U
sc
, r . Here, we choose U to be the scalar velocity potential. Thus, the total
external field is
( ) ( ) ( ) t U t U t U U
sc inc
, , ,
0 0
r r r + = = . (4.102)
The fields obey the wave equation,
U K
t
U
2
0 2
2
0
=
. (4.103)
Considering only time-harmonic motion, where ( ) { }
t j
e u U
0
Re

= r ,
0
is the angular
frequency, and ( ) r u u = is a complex-valued spatial envelope, the problem is reduced to finding
solutions of the Helmholtz equation,
( ) 0
2
0
2
= + u k , (4.104)
where
0 0 0
c k = is the wavenumber. In cylindrical coordinates, the Helmholtz equation has
separated solutions
( ) ( )

jm
m m
e kr H = r , and ( ) ( )

jm
m m
e kr J = r , m , (4.105)
called outgoing and regular cylindrical wavefunctions, respectively. The outgoing wavefunction,
( ) r
m
, satisfies the Sommerfeld radiation condition at infinity but is singular at the origin,
whereas the regular wavefunction, ( ) r
m
does not satisfy the Sommerfeld radiation condition
and is not singular at the origin.
The incident field for a plane wave at an angle to the coordinate axes is

( ) ( ) +
= = =
cos sin cos
0 0 0
r jk y x jk j
inc
e e e u
x k
. (4.106)

where k
0 0
k = and is a unit vector in the direction of angle . Note that we use
( ) t j
e
x k
0
as
the definition of a plane wave. Applying the Jacobi expansion,
( )
=
m
jm
m
m jw
e w J j e
cos
, (4.107)
we can rewrite the incident field as an expansion of regular wavefunctions, called a multipole
expansion:
( )
=
m
m m inc
d u r , where
jm m
m
e j d

= and [ ] M M m , . (4.108)
The incident field coefficients,
m
d , are known and in this case correspond to a plane wave.
The value of M should be chosen to be large enough to minimize the computational error while
small enough to compute the summation in a reasonable amount of time. We choose to represent
the scattered field as an expansion consisting of outgoing wavefunctions to satisfy the
Sommerfeld radiation condition:
( )
=
m
m m sc
c u r . (4.109)
The scattered field coefficients,
m
c , are the required unknowns.
So far, we have satisfied the Helmholtz equation by composing the fields of its solutions, we
have satisfied the Sommerfeld radiation condition by choosing to use outgoing cylindrical
wavefunctions to compose the scattered field, and we have a known regular cylindrical
wavefunction decomposition of the incident plane wave. Now we wish to solve for the scattered
field coefficients as a function of the incident field coefficients, so that
Td c = , or
=
n
n mn m
d T c . (4.110)
In (4.110), { }
m
c = c and { }
m
d = d are column vectors containing the scattered and incident
field coefficients, and { }
mn
T = T is called the transition matrix, or simply just T-matrix. Note the
subtle nomenclature difference between the transition matrix used here and the transmission
matrix used in a one dimensional analysis. The T-matrix will be found by applying boundary
conditions at the interface between the scatterer and the surrounding medium.
A sound-hard cylinder
At a sound-hard interface, the Neumann boundary conditions apply so that
0 =
n
u
on S, (4.111)
where S denotes on the boundary of the scatterer. For a cylinder of radius R , this becomes

0 =
=R r
r
u
. (4.112)
Since ( ) ( )

+ = + =
m
m m
m
m m sc inc
c d u u u r r , therefore
( ) ( ) ( ) 0 =
(
R r
m
m m m m
c d
r
r r , (4.113)
( ) ( ) ( ) 0
0 0
=
(
R r
m
jm
m m
jm
m m
e r k H c e r k J d
r

, (4.114)
( ) ( ) ( ) 0
0 0
= +
m
jm
m m m m
e R k H c R k J d

. (4.115)
Because of the orthogonality of the exponential factors, the summation separates into 1 2 + M
independent equations:
( ) ( ) m R k H c R k J d
m m m m
= + 0
0 0
. (4.116)
Therefore, for sound-hard cylindrical scatterers the elements of the T-matrix are

( )
( )
mn
m
m
mn
R k H
R k J
T
(
=
0
0
, (4.117)
where
mn
is the Kronecker delta. Note that ( )
( )
( ) ( ) z F
z
n
z F
z
z F
z F
n n
n
n
=
=
1
, where
n
F is any
of the Bessel or Hankel functions (see 9.1.30 in [243]).
The Kronecker delta in (4.117) is noteworthy because it means that the various modes of the
cylindrical wavefunctions are completely decoupled. This is because we are considering
cylinders, whose fields naturally decompose into cylindrical wavefunctions, so the T-matrix is
diagonal. If the scatterer was non-cylindrical the T-matrix would not be diagonal and the spatial
modes would be coupled. The practical implication of this is that T-matrix may simply be
represented in software as a vector of coefficients.
A sound-soft cylinder
At a sound-soft interface, the Dirichlet boundary conditions apply so that
0 = u on S (4.118)
which occurs at R r = for a cylinder. Following a similar derivation as before leads to

( )
( )
mn
m
m
mn
ka H
ka J
T
(
= . (4.119)

A penetrable cylinder
In the previous two cases, the cylinder was impenetrable. For a penetrable cylinder, one must
solve the corresponding transmission problem. The cylinders density, bulk modulus, phase
velocity, impedance, and wavenumber are
1
,
1
K ,
1
c ,
1
Z , and
1
k respectively. The field within
the cylinder can be represented as a regular cylindrical wavefunction since it is not singular at the
origin, and does not need to satisfy the Sommerfeld radiation condition as the field only extends
to the boundary of the cylinder. The field, v , must also observe the Helmholtz equation within
the cylinder, ( ) 0
2
1
2
= + v k , and thus can be written as
( )
=
m
m m
b v r . (4.120)
Two transmission boundary conditions must be met at the interface between the cylinder and
the surrounding medium:
v u = on S, (4.121)
and
n
v
n
u
on S. (4.122)
where is some coefficient depending on the definition of u and v. For our analysis, (4.122)
becomes

R r R r
r
v
r
u
= =

1 0
1 1

. (4.123)
We have two equations, (4.121) and (4.123), with two unknowns (
m
b and
m
c ). From
(4.121):
( ) ( ) ( ) ( ) 0 = +
=
m
R r
m m m m m m
b c d r r r . (4.124)
From (4.123):
( ) ( ) [ ] ( ) 0
1
1
1 0
=
(
|
|
\
|
+
R r
m
m m m m m m
b c d
r
r r r
, (4.125)
( ) ( ) [ ] ( ) 0
1 1
1
1
0 0
0
=
(
|
|
\
|
+
R r
m
jm
m m
jm
m m
jm
m m
e r k J b e r k H c e r k J d
r

, (4.126)
( ) ( ) [ ] ( ) 0
1 1
1 1
1
0 0 0 0
0
=
|
|
\
|
+
m
jm
m m
jm
m m
jm
m m
e R k J k b e R k H k c e R k J k d

. (4.127)
By orthogonality of the exponentials, each term must equal zero. Rearranging for
m
b :
( ) ( ) ( ) 0
1
0 1
1 0
0 0
= + R k J b
k
k
R k H c R k J d
m m m m m m
, (4.128)

( ) ( ) [ ]
( ) R k J k
k
R k H c R k J d b
m
m m m m m
1 1 0
0 1
0 0
1
+ =
. (4.129)
Note that
0
1
0 0
1 1
1 0 0
0 0 1
1 0
0 1
Z
Z
c
c
c
c
k
k
= = =
. Substituting (4.129) into (4.124) and again noting

the orthogonality of the exponentials yields
( ) ( ) ( ) ( ) [ ] 0
0 0 0 0
= + + R k H c R k J d R k H c R k J d
m m m m m m m m m
, (4.130)
where
( )
( ) R k J
R k J
Z
Z
m
m
m
1
1
0
1
= . (4.131)
Finally, rearranging gives the T-matrix as

( ) ( )
( ) ( )
mn
m m m
m m m
mn
R k H R k H
R k J R k J
T

=
0 0
0 0
. (4.132)
4.3.2 Scattering from two cylinders
Consider two sound-hard cylinders with the k
th
radius given as
k
R and centres located at
k
b .
The location
0
b is the origin. The total field is
( ) ( ) ( )

+ + = + =
m
m m
m
m m
m
m m sc inc
c c d u u u
2
2
1
1
r r r , (4.133)
where
k k
b r r = and the superscripts denote the scatterer number. To solve this system of
equations, it is necessary to express (4.133) about a single origin so that the exponentials use a
common angle and the terms of the summation are orthogonal. For the incident wave, this is
simply accomplished by expanding the incident field about point
k
b as
( )
=
m
k m
k
m inc
d u r (4.134)
For the scattered fields, the translation of origin is made possible by Grafs addition theorem,
which for our purposes can be written as
( ) ( ) ( )
=
n
k n kl mn l m
S r b r , (4.135)
where
l k kl
b b b = , or more compactly in matrix notation as

k kl l
S = , (4.136)
where ( ) { }
l m l
r = , ( ) { }
k n k
r = , and ( ) { }
kl mn kl
S b S = .
The matrix,
kl
S , is called a separation matrix and allows a cylindrical expansion about an
origin
l
b to be re-expanded about an origin
k
b . Note that (4.136) is only valid for
kl k
b r < ,

which is always valid in the case of non-overlapping cylinders since
kl k
b R < . The separation
matrix elements are given quite simply as
( ) ( )
kl n m kl mn
S b b
= . (4.137)
Putting it all together, (4.133) may be rewritten about both
1
b and
2
b as
( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m
n
n
mn m m m m m
S c c d u
1 12
2
1
1
1
1
1
r b r r r , (4.138)
( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m
m m n
n
mn m m m
c S c d u
2
2
2 21
1
2
2
2
r r b r r . (4.139)
The inner summation may be rearranged so that all the wavefunctions are of the same order:
( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m n
n nm m m m m m
c S c d u
2
12 1 1
1
1
1
1
b r r r r , (4.140)
( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m
m m
n
n nm m m m
c c S d u
2
2 1
21 2 2
2
2
r b r r r . (4.141)
The boundary equations (sound-hard or sound-soft) may now be applied to (4.140) and
(4.141). If the cylinders are penetrable, there will be an additional set of coefficients and an
additional set of boundary conditions, as subsequently described.
Two sound-hard cylinders
Applying the sound-hard boundary condition, (4.112), to (4.140) gives

( )
( ) ( ) ( ) ( ) 0
1 1 1 1
2
12 1 1
1
1
1
1 1
1
= |
\
|
+ +
= =

R r
m n
n nm m m m m m
R r
c S c d
r r
u
b r r r
r
, (4.142)
( ) ( ) ( ) ( ) 0
1 1
1 1 1
2
12 1 1
1
1
1
1
= |
\
|
+ +

=
m
R r
n
n nm
jm
m
jm
m m
jm
m m
c S e kr J e kr H c e kr J d
r
b

, (4.143)
Since the exponentials are orthogonal, every term of the summation must be zero,
( ) ( ) ( ) ( ) 0
1 1
2
12 1 1
1
1
1
1
= |
\
|
+ +
R r
n
n nm m m m m m
c S kr J kr H c kr J d
r
b , (4.144)
( ) ( ) ( ) ( ) 0
2
12 1 1
1
1
1
= + +
n
n nm m m m m m
c S kR J kR H c kR J d b , (4.145)
which is the first set of equations. By the same procedure, the second set of equations is
( ) ( ) ( ) ( ) 0
2
2 1
21 2 2
2
= + +
kR H c c S kR J kR J d
m m
n
n nm m m m
b . (4.146)
The above two equations describe ( ) 1 2 2 + M equations with ( ) 1 2 2 + M unknowns.

Two sound-soft cylinders
Proceeding as in the sound-hard case, but using (4.118) as the boundary condition,
( ) ( ) ( ) ( ) ( ) 0
1 1
1 1
2
12 1 1
1
1
1
1
= |
\
|
+ + =
=
=

R r
m n
n nm m m m m m
R r
c S c d u b r r r r , (4.147)
( ) ( ) ( ) ( ) 0
1 1
1 1 1
2
12 1 1
1
1
1
= |
\
|
+ +

=
m
R r
n
n nm
jm
m
jm
m m
jm
m m
c S e kr J e kr H c e kr J d b

, (4.148)
( ) ( ) ( ) ( ) 0
1 1
2
12 1 1
1
1
1
= |
\
|
+ +
=
R r
n
n nm m m m m m
c S kr J kr H c kr J d b , (4.149)
( ) ( ) ( ) ( ) 0
2
12 1 1
1
1
1
= + +

n
n nm m m m m m
c S kR J kR H c kR J d b . (4.150)
By the same procedure, the second set of equations is
( ) ( ) ( ) ( ) 0
2
2 1
21 2 2
2
= + +

kR H c c S kR J kR J d
m m
n
n nm m m m
b . (4.151)
These also correspond to ( ) 1 2 2 + M equations with ( ) 1 2 2 + M unknowns.
Two penetrable cylinders
Modifying (4.140) and (4.141) to include an field internal to the cylinder gives
( ) ( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m n
m m n nm m m m m m
b c S c d u
1
1 2
12 1 1
1
1
1
1
r b r r r r , (4.152)
( ) ( ) ( ) ( ) ( ) ( )

|
\
|
+ + =
m
m m m m
n
n nm m m m
b c c S d u
2
2
2
2 1
21 2 2
2
2
r r b r r r . (4.153)
Applying the first boundary condition, (4.121), to (4.152),
( ) ( ) ( ) ( ) ( ) ( ) 0
1 1
1 1
1
1 2
12 1 1
1
1
1
1
= |
\
|
+ + =
=
=

R r
m
m m
n
n nm m m m m m
R r
b c S c d u r b r r r r , (4.154)

( ) ( )
( ) ( ) ( )
0
1 1
1 1
1 1
1
1 2
12 1
1
1
1
1
=
|
|
|
\
|
+
+

=
m
R r
jm
m m
n
n nm
jm
m
jm
m m
jm
m m
e kr J b c S e kr J
e kr H c e kr J d

b
, (4.155)
( ) ( ) ( ) ( ) ( ) 0
1 1
1
1 2
12 1 1
1
1
1
= |
\
|
+ +
=
R r
m m
n
n nm m m m m m
kr J b c S kr J kr H c kr J d b , (4.156)
( ) ( ) ( ) ( ) ( ) 0
1
1 2
12 1 1
1
1
1
= + +

kR J b c S kR J kR H c kR J d
m m
n
n nm m m m m m
b . (4.157)
The second set of equations is
( ) ( ) ( ) ( ) ( ) 0
2
2
2
2 1
21 2 2
2
= + +

kR J b kR H c c S kR J kR J d
m m m m
n
n nm m m m
b . (4.158)

Applying the second boundary condition, (4.123), to (4.152) gives

( )
( ) ( ) ( ) ( ) ( ) 0
1 1 1 1
1
1 2
12 1 1
1
1
1
1 1
1
= |
\
|
+ +
= =

R r
m n
m m n nm m m m m m
R r
b c S c d
r r
u
r b r r r
r
,(4.159)

( ) ( )
( ) ( ) ( )
0
1 1
1 1
1 1
1
1 2
12 1
1
1
1
1
1
=
|
|
|
\
|
+
+

=
m
R r
n
jm
m m n nm
jm
m
jm
m m
jm
m m
e kr J b c S e kr J
e kr H c e kr J d
r

b
, (4.160)
( ) ( ) ( ) ( ) ( ) 0
1 1
1
1 2
12 1 1
1
1
1
1
= |
\
|
+ +
R r
m m
n
n nm m m m m m
kr J b c S kr J kr H c kr J d
r
b , (4.161)
( ) ( ) ( ) ( ) ( ) 0
1
1 2
12 1 1
1
1
1
= + +
kR J b c S kR J kR H c kR J d
m m
n
n nm m m m m m
b . (4.162)
The final set of equations is
( ) ( ) ( ) ( ) ( ) 0
2
2
2
2 1
21 2 2
2
= + +
kR J b kR H c c S kR J kR J d
m m m m
n
n nm m m m
b . (4.163)
Thus, (4.157), (4.158), (4.162), and (4.163) describe ( ) 1 2 4 + M equations with ( ) 1 2 4 + M
unknowns.
A two-cylinder solution using T-matrices
If the T-matrix for each cylinder k is known (
k
T ), a cluster T-matrix or T-supermatrix,
tot
T ,
can be defined that captures all of the scattering, so that
d T c
tot tot
= . (4.164)
We begin by considering the field incident on S
1
consisting of the incident field and the
scattered field from S
2
:
( ) ( )

|
\
|
+
m n
n nm m m
c S d
2
12
1
1
b r . (4.165)
Since
1
T is known and characterizes the scattering of S
1
, and knowing that (4.165) is the field
incident on S
1
, therefore we can write
( )
2 12 1 1 1
c S d T c
T
+ = , (4.166)
which uses the notation defined in (4.136), and where the transpose operation arises from the
change in summation first introduced in (4.140). Similarly,
( )
1 21 2 2 2
c S d T c
T
+ = . (4.167)
Eliminating
2
c from (4.166) and simplifying:
( ) ( )
1 21 2 2 12 1 1 1
c S d T S d T c
T T
+ + = , (4.168)

1 21 2 12 1 2 2 12 1 1 1 1
c S T S T d T S T d T c
T T T
+ + = , (4.169)
( ) ( )
2 2 12 1 1 1 21 2 12 1
d T S d T c S T S T I
T T T
+ = , (4.170)
( )
2 2 12 1 1 1 1
d T S d T B c
T
+ = , where ( )
1
21 2 12 1 1
=
T T
S T S T I B . (4.171)
Similarly,
( )
1 1 21 2 2 2 2
d T S d T B c
T
+ = , where ( )
1
12 1 21 2 2
=
T T
S T S T I B . (4.172)
Next, the total scattered field can expressed as

2 02 1 01

c S c S c + = , (4.173)
where the matrices S
are separation matrices valid for

ij i
b r > . The over-bars denote complex
conjugation. The definition is slightly different than in (4.137):
( ) ( )
kl n m kl mn
S b b
, and ( ) { }
kl mn kl
S b S

= . (4.174)
The incident field at the various cylinder centres can be expressed in terms of the incident
field centred about the origin as
d S d
0
k k
= . (4.175)
Finally, substituting (4.175) into (4.171) and (4.172), then both into (4.173) gives the T-
supermatrix.
|
\
|
+ + |
\
|
+ =
10 1 21 20 2 2 02 20 2 12 10 1 1 01

S T S S T B S S T S S T B S T
T T
tot
. (4.176)
4.3.3 Scattering from N cylinders
Consider N cylinders with centres located at
k
b and the k
th
radius given as
k
R , [ ] N k , 1 .
Each cylinder has a scattered field, and the total scattered field is
( )
=
=
N
k m
k m
k
m sc
c u
1
r . (4.177)
Thus, for sound-hard or sound-soft cylinders there is one boundary condition per cylinder,
resulting in a system of ( ) 1 2 + M N boundary conditions with ( ) 1 2 + M N sets of unknowns
(
1
m
c
N
m
c ). For transmission problems, there is also an acoustic field within each cylinder,
( )
=
m
k m
k
m k
b v r , (4.178)
along with two boundary conditions per cylinder. This means there are ( ) 1 2 2 + M N boundary
conditions with ( ) 1 2 2 + M N sets of unknowns (
1
m
c
N
m
c and
1
m
b
N
m
b ).

We may simply generalize the results from the two-cylinder cases to arrive at the N-cylinder
equations. Generalizing (4.145) to give the sound-hard equations,
( ) ( ) ( ) ( ) 0
1
1
= + +

=
N
l k
k n
k
n lk nm l m l m
l
m m
l
m
c S kR J kR H c kR J d b , [ ] N l , 1 . (4.179)
Generalizing (4.150) to arrive at the sound-soft equations,
( ) ( ) ( ) ( ) 0
1
1
= + +

=
N
l k
k n
k
n lk nm l m l m
l
m m
l
m
c S kR J kR H c kR J d b , [ ] N l , 1 (4.180)
Generalizing (4.157) and (4.162) to yield the penetrable cylinder equations,
( ) ( ) ( ) ( ) ( ) 0
1
= + +

=
l m
l
m
N
l k
k n
k
n lk nm l m l m
l
m l m
l
m
kR J b c S kR J kR H c kR J d b , (4.181)
( ) ( ) ( ) ( ) ( ) 0
1
= + +

=
l m
l
m
N
l k
k n
k
n lk nm l m l m
l
m l m
l
m
kR J b c S kR J kR H c kR J d b . (4.182)
An N-cylinder solution using T-matrices
The previous results can be generalized to any number of scatterers whose T-matrices are
known. Generalizing (4.171) for N scatterers,

|
|
|
\
|
+ =

=
N
l k
k
k k
T
lk l l l l
1
d T S d T B c , where
1
1
=
|
|
|
\
|
=

N
l k
k
T
kl k
T
lk l l
S T S T I B . (4.183)
This can be rewritten in the form

=
=
N
k
k lk l
1
d T c , where ( ) [ ]
k
T
lk lk lk l l lk
T S I T B T + = 1 . (4.184)
Using a generalized (4.175) and (4.173) gives the T-supermatrix as

= =
=
N
l
N
k
k lk l tot
1 1
0 0

S T S T . (4.185)
4.4 The plane wave expansion method
The plane wave expansion method is a well established method for determining the dispersion
properties of waves in solids [244]. It has been widely used for determining the electron band
structure of crystals, and has subsequently been applied to photonic and phononic crystals. For
phononic crystals, the displacement field and the material parameters are decomposed into plane
waves that are periodic with respect to the crystal lattice. The Bloch conditions are then applied
to the boundaries of a unit cell, which results in an eigenvalue problem that reveals the

dispersion relation. Transverse wave modes are present in the solution because the elastic wave
equation is used. The derivation presented below primarily combines the approaches of [245]
and [246], though it should be noted that [247][248] provide excellent background. We assume
that the crystal is composed of lossless dispersionless media.
The PWE method has been successfully applied to 2D phononic crystals [249][250],
including examining waveguiding and defect modes [251], phononic crystals with anisotropic
properties [252], surface waves on 2D crystals [253][254], the prediction of giant band gaps in
fluid-fluid phononic crystals [255], band gaps in fluid-solid phononic crystals [256], band gaps
in solid cylinders suspended in air with defects [257], plates with periodic inclusions [258], and
surface [259] and bulk [260][261] acoustic waves in piezoelectric phononic crystals. It has also
been applied to 3D structures, including periodic elastic composites [262][263], anisotropic
photonic crystals [264], fluid-fluid phononic crystals [265], rigid sphere-air phononic crystals
[266], and describing the energy bands in iron [267]. It has also been modified to include
evanescent modes and used for finding the transmission and reflection at an interface [268], to
correct for computational problems at fluid-solid boundaries [269], and to improve the
convergence when dealing with discontinuities [270].
4.4.1 Derivation of the plane wave expansion method in 3D
As in lower dimensions and as described in Figure 1.2, a 3D phononic crystal is any material
with a unit cell that is periodic in three dimensions. The unit cell could have continuous
properties, such as a linear gradient from one material to the other material within the unit cell.
The PWE method in three dimensions is easily reduced to 2D by removing extraneous terms and
factors.
We begin with the elastic wave equation in three dimensions using Lam coefficients instead
of the stiffness terms we have used previously. This is to remain consistent with the notation and
derivations in [245] and [246]. Subscripts i and l reference the dimension, is the density, and
and are the Lam coefficients of the transmission medium, all of which are functions of space.
The elastic wave equation is

(
(
|
|
\
|
(
+
|
|
\
|
i
l
l
i
l l
l
i
i
x
u
x
u
x x
u
x t
u

1
2
2
. (4.186)
Since the parameters, , and , are functions of r, where ( ) z y x , , = r is a Cartesian coordinate,
we cannot treat them as constants as we have in a homogeneous material.
Next, we define a set of reciprocal lattice vectors (RLVs). These will be used in the
exponential basis functions of the spatial Fourier transforms. They can be envisioned as the

spatial equivalent of the discrete frequencies of the Fourier transform of a discrete-time signal. In
the equations, a
i
is the i
th
vector of the unit cell, and m
i
is any integer:

3 3 2 2 1 1
b b b G m m m + + = , Z
i
m (4.187)
and
( )
3 2 1
3 2
1
2
a a a
a a
b

= ,
( )
1 3 2
1 3
2
2
a a a
a a
b

= , and
( )
2 1 3
2 1
3
2
a a a
a a
b

= . (4.188)
Note that the denominator is equal in every case because of the cyclic nature of the scalar triple-
product which corresponds to the volume of the unit cell.
The material parameters are expanded as a spatial Fourier series using the RLVs in the
exponential to define the set of basis functions.
( )

=
G
r G
G
r
j
e
1 1
, ( )

=
G
r G
G
r
j
e , and ( )

=
G
r G
G
r
j
e , (4.189)
where, f
G
is the magnitude of the G
th
Fourier component in the expansion of the function f.
According to Blochs theorem [95], the solutions to the wave equation will be modulated
sinusoids of the form
( ) ( )
r k
k
r r

=
0
0
j
e u u , (4.190)
where ( )
|
|
\
|
+ =

= 3 , 2 , 1
0 0
i
i i
n u u a r r
k k
, Z
i
n . (4.191)
That is, ( ) r
k
0
u is unit-cell periodic. Thus, we can expand the function on the same unit-cell basis
set as before,
( )
( )

+
+

+
= |
\
|
=
G
r G k
G k
r k
G
r G
G k
r
0
0
0
0
j j j
e u e e u u . (4.192)
In this equation, k
0
is restricted to being within the first Brillouin zone, a concept that is
subsequently discussed in greater detail. Values of k
0
that are outside this region may be reached
instead by adding a RLV to a smaller k
0
that is within the first Brillouin zone, which is a
consequence of aliasing due to the periodicity of the system.
To explain (4.192) further, Blochs Theorem says that ( ) r
k
0
u is periodic with respect to the
crystal lattice, and therefore we can use the same basis set of exponentials as before for the
material parameters in (4.189). An intuitive explanation of this result of Blochs Theorem is as
follows. Since the crystal under consideration is infinite, there is no way to distinguish one unit
cell from another except by relative location; therefore the wave frequency components must be
the same in every unit cell, and only the phase changes between cells. If the crystal was finite,
then each cell could be distinguished by its position, and Blochs Theorem would not hold.

Now that we have orthogonal decompositions of the material parameters and wave solutions
all using the same basis set, we may now substitute the Fourier expansions into the wave
equation. The goal is to get both sides of the equation to have the same exponent,
( ) r G k +
0
j
e . In the
following notation, ( )
i
G k +
0
means the component of vector G k +
0
resolved in the i direction,
( ) ( )
i i
x G k G k
0 0
+ = + . The terms in brackets result from taking a directional derivative of the
complex exponential. For example,

( )
( ) ( ) ( ) [ ]
( )
( ) r G k
G k G k G k
r G k
G k
+
+ + + + +
+
+ =
0
0 0 0
0
0
j
y
z y x j
j
e j e
y
e
y
z y x
. (4.193)
We begin by substituting the Fourier expansion of u into the wave equation (4.186),

(
|
|
\
|
+
|
|
\
|
+
|
|
\
|
=

l l
i
l i
l
l l
l
i
i
x
u
x x
u
x x
u
x
u
1 2
. (4.194)
Next, the expansion for u is substituted into the equation,

( )
( )
( )
( )
(
(
(
(
(
(
(
(
|
|
\
|
+
|
|
\
|
+
|
|
\
|
+
+
+
+
+
+
+
+
l
j i
l l
j l
i l
j l
l i
j i
e u
x x
e u
x x
e u
x x
e u
G
r G k
G k
G
r G k
G k
G
r G k
G k
G
r G k
G k
0
0
0
0
0
0
0
0
1 2
. (4.195)
The primed symbol simply means that the summation on the RHS is not tied to the summation
on the LHS. They both refer to the set of RLVs. Computing the innermost derivatives,

( )
( )
( )
( )
( )
( )
( )
(
(
(
(
(
(
(
(
\
|
+
+
|
\
|
+
+
|
\
|
+
+
+
+
+
+
+
+
+
l
j
l
i
l
j
i
l
l
j
l
l
i
j i
e j u
x
e j u
x
e j u
x
e u
G
r G k
G k
G
r G k
G k
G
r G k
G k
G
r G k
G k
G k
G k
G k
0
0
0
0
0
0
0
0
0
0
0
1 2
. (4.196)
Expanding the Lam coefficients,
( )
( )
( )
( )
( )
( )
( )
( )
( )
( )
(
(
(
(
(
(
(
(
\
|
+
+
|
\
|
+
+
|
\
|
+
=

+
+

+
+

+
+

+
+
l
j
l
i j
l
j
i
l j
l
j
l
l j
i
j i
e u e
x
e u e
x
e u e
x
j e u
G G G
r G k
G k
r G G
G G
G G G
r G k
G k
r G G
G G
G G G
r G k
G k
r G G
G G
G
r G k
G k
G k
G k
G k
0
0
0
0
0
0
0
0
0
0
0
1 2
, (4.197)

where the Lam coefficients have been expanded about G , chosen so that G G G = .
Combining the exponentials to cancel out G ,
( )
( )
( )
( )
( )
( )
( )
(
(
(
(
(
(
(
(
\
|
+
+
|
\
|
+
+
|
\
|
+
=

+
+

+
+

+
+
+
+
l
j
l
i
l
j
i
l
l
j
l
l
i
j i
e u
x
e u
x
e u
x
j e u
G G G
r G k
G k G G
G G G
r G k
G k G G
G G G
r G k
G k G G
G
r G k
G k
G k
G k
G k
0
0
0
0
0
0
0
0
0
0
0
1 2
. (4.198)
Computing the final derivative,
( )
( ) ( )
( )
( ) ( )
( )
( ) ( )
( )
(
(
(
(
(
(
(
\
|
+ + +
|
\
|
+ + +
|
\
|
+ +
=

+
+

+
+

+
+
+
+
l
j
l l
i
j
l i
l
j
i l
l
j i
e u
e u
e u
e u
G G G
r G k
G k G G
G G G
r G k
G k G G
G G G
r G k
G k G G
G
r G k
G k
G k G k
G k G k
G k G k
0
0
0
0
0
0
0
0
0 0
0 0
0 0
1 2
. (4.199)
Finally, the density coefficient is expanded as

=
G
r G
G
j
e , where we now choose
G G G = to link the RHS with the LHS, giving
( ) ( )
( ) ( )
( ) ( )
( ) ( )
( )

+
+
+
+

+
+
(
(
(
(
+ + +
+ + +
+ +
=
l
j
l l
i
l i
l
i l
l
j j i
e
u
u
u
e e u
G G G G G
r G k
0 G k G G
0 G k G G
0 G k G G
r G G
G G
G
r G k
G k
0
G k G k
G k G k
G k G k
0
0
0
1 2
0
0
0
0
0

. (4.200)
Combining the exponentials to cancel out G ,
( )
( ) ( )
( ) ( )
( ) ( )
( )

+
+
+
+

+
+
(
(
(
(
+ + +
+ + +
+ +
=
l
j
i
l l
l
l i
l
i l
j i
e
u
u
u
e u
G G G G G
r G k
G k 0 0 G G
G k 0 0 G G
G k 0 0 G G
G G
G
r G k
G k
0
0
0
G k G k
G k G k
G k G k
0 0
0
1 2

, (4.201)
which can be rearranged as

( ) ( )
( ) ( )
( ) ( )
( )
0
2
,
1
=
|
|
|
|
\
|
(
(
(
(
+ + +
+ + +
+ +
+
+

+
+
+

r G k
G
G k
G
G k 0 0 G G
G k 0 0 G G
G k 0 0 G G
G G
0
0
0
0
0
G k G k
G k G k
G k G k
j i
l
i
l l
l
l i
l
i l
e u
u
u
u
. (4.202)
The above equation must be valid for all r, therefore every term in the brackets must be zero
for every choice of G, which is an eigenvalue problem of the form U AU = . In this
configuration, A is a matrix of coefficients, U is a matrix of eigenvectors, and is a diagonal

matrix of eigenvalues. Beginning with the A matrix, for a particular G and G (
i
G and
j
G ) the
elements of the matrix are composed of 3 3 matrices, so that

( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( )

(
(
(
(
(
(
(
(
(
(
(
(
(
(
\
|
+ + +
(
(
(
+ + + + + +
+ + + + + +
+ + + + + +
+
(
(
(
+ + + + + +
+ + + + + +
+ + + + + +
=
G
0 0 G G
0 0 0 0 0 0
0 0 0 0 0 0
0 0 0 0 0 0
G G
0 0 0 0 0 0
0 0 0 0 0 0
0 0 0 0 0 0
G G
G G G , G
I G k G k
G k G k G k G k G k G k
A
3
1
l
l
l
j
z
z
j y
z
j x
z
j
z
y
j y
y
j x
y
j
z
x
j y
x
j x
x
j
z
j z
y
j z
x
j z
z
j y
y
j y
x
j y
z
j x y
j x x
j x
j
j
j
i j i
, (4.203)
where
3
I is the 3 3 identity matrix. Considering a truncated set of M RLVs, the total matrix, A
is composed of the sub-matrices and is
[ ]
M j i
j i
L 1 ,
,
=
G G
A A . (4.204)
The matrix of the eigenvectors is

(
(
(
(
(
(
(
(
(
z M
G k
y M
G k
x M
G k
z
G k
y
G k
x
G k
z M
G k
y M
G k
x M
G k
z
G k
y
G k
x
G k
M
M
M
M
M
M
u
u
u
u
u
u
u
u
u
u
u
u
, 3
, 3
, 3
, 1
, 1
, 1
, 3
, 3
, 3
, 1
, 1
, 1
0
0
0
0
0
0
1 0
1 0
1 0
1 0
1 0
1 0
L
M L M
L
U , (4.205)
and the matrix of the eigenvalues is

(
(
(
=
2
3
2
1
0
0
M
O , (4.206)
where
M M 3 3
C

U, A, . The M 3 eigenvalues correspond to the different energy bands of the
phononic crystal. The eigenvalues represent the squared angular frequencies allowed for each
chosen
0
k and therefore allow one to determine the dispersion properties of the phononic
crystal.
The first Brillouin zone
In 3D, the first Brillouin zone is bounded by taking the surface enclosing a single repeated
lattice element (called the Wigner-Seitz cell and defined by a
1
, a
2
, and a
3
), and representing that

surface in reciprocal space (defined by the RLVs). Next, select any point in the reciprocal lattice
as the origin and connect it to neighbouring points. Construct the perpendicular bisectors of these
lines. The region of intersection is the first Brillouin zone. [271]
The construction of the first irreducible Brillouin zone is shown in Figure 4.5 for a 2D
rectangular lattice, and in [246] for a face-centred cubic cell in 3D. The points indicated on the
figure represent points of interest. The allowed frequencies along a continuous path of k-vectors
that connects some or all of these points is plotted, which explains the symbols often found on
the bottom axis of dispersion diagrams. In 1D, the path is from ( 0 =
x
k ) to X ( a k
x
= ). In
2D, the path is from ( ( ) 0 , 0 = k ) through X ( ( ) 0 ,
1
a = k ) and M ( ( )
2 1
, a a = k ), and back
to .

Figure 4.5. The construction of the first irreducible Brillouin zone for a
rectangular lattice in 2D including the major lattice points of interest. The
primitive rectangular lattice vectors are shown in a), and the primitive reverse
lattice vectors are shown in b). In c), the chosen origin is connected to its nearest
neighbours. The perpendicular bisectors of these lines is shown in d) as defining
the boundary of the first irreducible Brillouin zone, expanded in e) and labelled
with the major points of interest.
Energy bands where 0 as 0 k are called acoustic bands and the others are called
optical bands. When the peak and trough of the lower and higher energy bands defining a band
gap align with each other, the band gap is called direct. If they do not align, it is called
indirect.
4.4.2 Implementation details
During simulation there are two possible approaches: The first is to compute the Fourier
coefficients at each step, which simplifies indexing but results in numerous redundant
calculations. The second method is to pre-compute all the necessary coefficients and use some
indexing method to track which coefficients are needed at each step. Either more than M
coefficients will be necessary or values outside of a certain range will be truncated. If M is an
odd number cubed, then the required number of pre-computed coefficients will be ( )
3
3
1 2 M .
This value is arrived at by observing that two RLVs are subtracted when computing the basis

function of the Fourier coefficients. Since the set of M RLVs are contained in a cube in inverse
space, every combination of subtracting two of them will result in a cube of subtracted RLVs
with a side length double the original. Once these values are computed and stored, they only
need to be indexed when computing the elements of A, which is an implementation-specific task.
In general, the set of RLVs may form a rhombic prism instead of a cube, but the principle
remains the same. For 1D systems the required number of pre-computed Fourier coefficients will
be 1 2 M .
The 3D equations may be reduced to 2D by deleting every third row and column of matrix A,
which essentially removes the z dimension from the wave equation. If pre-computing of the
coefficients is required and M is an odd number squared, then the required number of pre-
computed coefficients will be ( )
2
1 2 M .
4.5 Other simulation methods
There are other simulation methods that were not explored in the course of this thesis work, and
some of these have been successfully applied to the analysis of phononic crystals. They include
layer multiple scattering, pseudospectral techniques, and the finite-element method (FEM) in
addition to other hybrid or unique models and computational methods. They are described briefly
here for the sake of completeness.
The layer multiple scattering method [170][172][231][233][272][279] is a hybrid between
the concepts of multiple scattering theory and the transmission matrix method. Multiple
scattering theory is used to determine the T-matrix for a particular unit of scattering material,
such as a slab of periodic scatterers. Next, the T-matrices for multiple slabs are combined
through methods very similar to the transmission matrix method, allowing larger-scale structures
to be composed out of smaller-scale scattering structures. Since the matrix methods presented in
Section 4.3 allow the construction of such macroscopic scattering structures, one may argue that
we have already presented layer multiple scattering. However, the methods present in the
references are quite formalized and comprehensive, and give specific instruction for dealing with
periodic scatterers (esp. see Equation (17) and (18) of [233]).
Pseudospectral methods [280][284] use a spatial Fourier transform to estimate the spatial
derivatives in the wave equation, allowing the Fast Fourier Transform (FFT) algorithm to be
used. Spatial derivatives calculated as in the FDTD method are subject to numerical dispersion
and lead to phase error at high spatial frequencies. Thus, higher resolution grids are required to
mitigate the numerical dispersion at high frequencies, resulting in longer simulation run times.
Pseudospectral methods sidestep this problem by calculating the derivatives in the k-space
domain (the spatial-frequency domain), where phase error is not present. However, the drawback

is that non-periodic structures are difficult to simulate because of the inherent periodicity of the
FFT.
The finite-element method is similar to the FDTD method, except that integral forms of the
underlying PDEs are used instead of differential forms as in the FDTD method [282]. The
simulation region is partitioned into elements, and the field values at the boundaries of these
elements are used to fit a local basis function to each element. Boundary conditions are applied
to the edge of the finite-element simulation region, as in the FDTD method. Then, the required
numerical integration is performed across the elements to determine the field values in question.
The finite-element approach has been applied to such diverse problems as investigating surface
resonant states and superlensing in phononic crystals [33], electrically pumped photonic-crystal
terahertz lasers [283], and metamaterials [284][286]. With respect to phononic crystals, the
finite-element method has been used to study surface acoustic waves in bulk phononic crystals
[287] and phononic crystal plates [105][107][288][289].
Finally, it is worth mentioning that the simulation and modelling methods presented are
neither exhaustive or exclusive. See [290] for a review of several of the methods presented in
addition to some others not discussed here. Some methods combine features of several different
methods, such as in [291] where the authors used a finite difference of the governing differential
equations for the eigenvalue problem. In [292], an FDTD approach was used in k-space instead
of Cartesian space. A lumped-mass model was used in [21] and [293] to derive the band
structure of phononic crystals. A transfer-matrix approach using Green's functions was employed
in [294]. In [295], a phase-space model was used. A method called eigenmode matching theory,
which bears a strong resemblance to the PWE method, was presented and used in [296]. Finally,
wavelet-based methods were used in a plane-wave expansion in [297] as an alternative to
Fourier-based expansions. It should be clear from these examples that the pallet of simulation
and modelling methods for periodic acoustic systems is quite rich.
4.6 Amenability to time-varying material parameters
To investigate which of the simulation methods presented are amenable to analyzing time-
varying material parameters, one must first consider the fundamental implications of such
changes. Considering the wave equation with a time-varying density in 1D and beginning with
momentum,

t
u
m P
= , (4.207)

t
u
t
m
t
u
m
t
P
F
=
2
2
. (4.208)

Converting this to the density formulation,

x t
u
t t
u
11
2
2

, (4.209)
and substituting the constitutive equation,

x
u
C
=
11 11
, (4.210)
gives

2
2
11
2
2
x
u
C
t
u
t t
u

, (4.211)
which is the modified 1D wave equation for a time-varying density.
This formulation would appear to support the notion that a time-varying density modifies the
wave equation, but further consideration leads to a different conclusion. One could imagine a
cube of material travelling at a given velocity with no external forces. If the mass of this cube
somehow increases, the new additional mass would need to share the kinetic energy of the initial
mass, and the velocity would decrease. However, this argument does not seem to hold for a time-
varying density. If two cubes of equal mass and density are travelling at a given velocity,
squeezing the two masses together into the space occupied by one of the initial cubes would
double the density. However, since each cube had the same initial kinetic energy, there is no
energy transfer when the two cubes are squeezed together. So it would seem under these
circumstances that a time-varying density and a time-varying mass are not equivalent concepts
either from a momentum perspective or energy conservation perspective.
To put this more explicitly, the density is changing but mass is conserved, so 0
but
0 =
t
m
. This is possible because V m = and therefore the change in density originates from
the change in volume and not a change in mass,

2
V
t
V
m
t
m
V
t
(
, (4.212)

t
V
V
m
t
. (4.213)
This shows the expected result, that a negative change in volume creates a positive change in
density without affecting the mass of the system. Thus, the wave equation is not fundamentally
altered by a time-varying density.
The wave equation remains unchanged when considering a time-varying compressibility,
( ) t C
11
, as well. This is because there are no time-derivatives present in the stress-strain

relationship, and therefore ( ) ( )
x
u
t C t
=
11 11
. Similar arguments also apply to the stress-strain
relationship in higher-dimensions.
In light of these arguments, there is nothing fundamentally prohibitive about any of the
presented simulation methods in the presence of time-varying material parameters. The question
is the how complicated is the implementation and what benefit would such a model and
simulator provide. The FDTD method can be used as-is, simply by updating the material
parameters at time-step in the simulation. However, it still suffers from the same benefits and
drawbacks as before. Namely, it cannot provide closed-form solutions for the behaviour of a
time-varying system and therefore does not give any insight into why a particular behaviour is
occurring. The TMM and MST methods can be modified to handle time-varying material
parameters, and will give closed-form solutions to wave propagation in time-varying structures.
This is the bulk of new research presented in this thesis in Chapters 5 and 6. The PWE method
could be modified to handle time-varying material parameters, but this avenue has not been
investigated because the complexity of the eigenvalue problem obfuscates the analytical
relationships of the system.
- 99 -

Chapter 5

DYNAMIC PHONONIC CRYSTALS IN ONE
DIMENSION
1
The phononic crystal effects previously described are typically narrowband and highly
dependent on the size and spacing of the scatterers within the crystal properties that are fixed
and unchangeable. We have proposed that it may be possible to dynamically alter the behaviour
of phononic crystals by varying their material parameters in time, possibly by using active
materials. In this chapter, we extend the existing 1D static phononic crystal theory, the
transmission matrix method detailed in Section 4.2, so as to handle time-varying material
parameters and also to provide insight into the factors governing time-varying phononic crystal
behaviour.
Using the transmission matrix method as a starting point, the transmission equations for both
continuous (including non-periodic) and periodic time-varying material parameters are derived.
We then develop a closed-form solution to the acoustic wave transmission through a 1D time-
varying phononic crystal that shows excellent agreement with FDTD simulations and with
execution times several orders of magnitude faster. We have called our new 1D method the time-
varying transmission matrix method (TV-TMM). Results show that transmission properties can
be significantly altered using time-varying material parameters as the driving mechanism. Effects
such as parametric amplification and signal switching are demonstrated in simulation. Finally,
some conclusions are drawn.
5.1 The time-varying transmission matrix method
To develop the equations for a time-varying phononic crystal, it is necessary to first consider
only the transmission through a single time-varying cell. A phononic crystal can be made time-
varying by making any of its defining parameters vary in time. However, this analysis will first
consider only a time-varying impedance.
In the dynamic case, a time-varying tube diameter in a corrugated tube waveguide is a
surrogate for time varying material parameters in a phononic crystal. The tube waveguide was

1
This chapter contains material published in the 2009 paper by DW Wright and RSC Cobbold appearing in Smart
Materials and Structures, 18 015008, entitled Acoustic wave transmission in time-varying phononic crystals.
Chapter 5. Dynamic Phononic Crystals in One Dimension 100

specifically chosen as a model because it has the property that
0
c is constant even when the tube
diameter changes, so that only the effective acoustic impedance changes. This is equivalent to
the density and bulk modulus of a particular material, i, in a phononic crystal having a constant
ratio since ( ) ( ) ( ) t t K t c
i i i
=
0
, but the impedance is free to change since ( ) ( ) ( ) t K t t Z
i i i
= .
The result is that the propagation matrices are time-invariant (
P1
T and
P2
T ), but the transmission
matrices, ( ) t
2 1
T
and ( ) t
1 2
T
, are time-varying. This restriction was initially chosen to make the

problem tractable. Subsequently, we then generalize our method to include time-varying
propagation matrices.
5.1.1 Transmission through one cell
Referring to Section 4.2, we extend the variables and matrices to be time-varying. Let
( ) ( ) ( ) [ ]
T
t a t a t
+
= a , (5.1)
( ) ( ) ( ) [ ]
T
A A
+
= A , (5.2)
and ( ) { } ( ) A a = t , (5.3)
where denotes the Fourier transform. Also let
( ) { } ( )
2 1 2 1
T T

= t , (5.4)
so that the argument indicates whether the function is in the time or angular frequency domain.
Time-varying scattering
The elements of
j i
T are time-varying when
i
Z is a function of time. Assuming that
i
Z is
frequency independent, the time-varying scattering analogous to the single frequency case shown
in Figure 4.3 is given as
( ) ( ) ( ) t t t a T b
2 1
= . (5.5)
Thus, a monochromatic wave incident on a time-varying scatterer will be modulated resulting in
a scattered spectrum, as depicted in Figure 5.1.

Figure 5.1. A monotone is scattered and modulated at every time-varying
interface.
Time-varying propagation
When the transmitted portion of a monochromatic wave passes through material whose phase
velocity is time-varying, the wave will undergo phase modulation, as shown in Figure 5.2.

Figure 5.2. A monotone is modulated as it propagates through a time-varying slab
of material.
Two modulating processes occur within a material that has a time-varying phase velocity.
The first is that the instantaneous wave number ( ) t k
i
at the interface within material i becomes a
function of the instantaneous phase velocity ( ) t c
0
and the input angular frequency , such that
( ) ( ) t c t k
i i 0
= . (5.6)
The second modulating process is that the propagation time for a wave to travel a distance
i
d
through material i becomes a function of time, ( ) t T
0
. It can be visualized as a conveyor belt of
length
i
d with an instantaneous speed ( ) t c
i 0
carrying acoustic particle displacements that entered
the conveyor belt at time ( ) t T t
0
and exit the conveyor belt at time t. In this analogy, the
material itself is not being transported, only the displacements from one end to the other. This
second process is fairly complex. A comparison of the various calculation methods available is
given in [298], and these include analytical, semi-analytical, and numerical approaches. For the
time being, we consider only constant phase velocities and devote a subsequent discussion to this
problem.

The time-varying propagation matrix is expressed in the angular frequency domain,
( ) ,
i P
T , and can be understood as a map of how much energy of an input frequency is
modulated to an output frequency . Thus,
( ) ( ) ( ) =
d A T B
P
, . (5.7)
The time-varying cell transmission matrix
In the following development, ( ) t
0
a and ( ) t
1
a are separated by a distance a , and b , c , and
d are simply intermediate locations as described subsequently. To develop the time-varying cell
transmission matrix, we proceed from ( ) t
0
a on the left inside of section 1 (see Figure 2.15) to
the right, as in the previous static case. Assuming a constant phase velocity, propagation from the
section entrance to the first interface is given as
( ) ( ) ( )
0 1
A T B
P
= , (5.8)
where the distance propagated is ( )a d = 1
1
. Propagation from section 1 into section 2 obeys
the transmission and reflection defined by the
2 1
T
transmission matrix, however, this matrix is

now a function of time. Since the interface is infinitesimally small, there is no propagation delay
and the waves on the right-hand side of the interface can be written as
( ) ( ) ( ) t t t b T c
2 1
= . (5.9)
Propagating the waves from this interface to the next can be written as
( ) ( ) ( ) C T D
P2
= , (5.10)
where the distance propagated is a d =
2
. Finally, propagation from section 2 back into
section 1 is
( ) ( ) ( ) t t t d T a
1 2
=
1
. (5.11)
Combining all of these equations yields the wave propagation through one cell, given by
( ) ( ) ( ) ( ) ( ) ( ) { } { } { } { }
0 1
1
2
1
1
A T T T T A
P 2 1 P 1 2
= t t , (5.12)
in which
1
denotes the inverse Fourier transform. Expanding the Fourier integrals, combining
the interior exponentials and reordering the integration gives
( ) ( ) ( ) ( ) ( ) ( )
( )
( )
( ) ( ) ( )
( )
( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ,
4
1
4
1
4
1
1 0 1 1 1 2 1 2
1 0 1 1 1 1 2 2 2 2
2 1 1 0 1 1 1 2 2 2 1
1 1 2 1
2 2 1 1 1 1

=
=
=

d d
d d dt e t dt e t
dt e d e dt e d e t t
t j t j
t j t j t j t j
A T T T T
A T T T T
A T T T T A
P 2 1 P 1 2
P 2 1 P 1 2
P 2 1 P 1 2
, (5.13)

where and refer to the input and output angular frequencies, respectively. This simplifies
to

( ) ( ) ( ) ( ) ( ) [ ] ( )
( ) ( ) , ,
4
1
4
1
0 1
2
0 1 1 1 1 2 1
2
1

=
=

d
d d
A T
A T T T T A
C
P 2 1 P 1 2
, (5.14)
where ( ) ( ) ( ) ( ) ( )
=
1 1 1 1 2 1 1
, d
P 2 1 P 1 2 C
T T T T T . (5.15)
5.1.2 Time-varying phase velocity
With a time-varying phase velocity, ( ) t c
0
, the propagation matrices will be of the form in
(5.7), which is the mapping from an input frequency to an output frequency .
Consequently, the above equations can be rewritten using additional variables of integrations as
follows. Equation (5.12) becomes
( ) ( ) ( ) ( ) ( ) ( ) { } { } { } { }

=

d d F t F F t F
t t 0 1 1
1
1 2 2
1
2 1
, ,
1 1 2 2
A T T T T A
P 2 1 P 1 2
, (5.16)
where the subscripts in the Fourier and inverse Fourier transforms indicate which variable is
involved in the transform. Expanding the Fourier integrals, combining the interior exponentials
and reordering the integration gives
( ) ( ) ( ) ( )
( ) ( )
( )
( )
( ) ( )
( )
( )
( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )
( )

(
(

=

(
(

=

=

d
d d
d
d d d d
dt e t
dt e t
dt e d e d dt e d e d
t t
t j
t j
t j t j t j t j
0
1 1 1 1
2 2 2 2
2
2 1
0 1 1 1 1
2 2 2 2
2
2 2 1 1 0 1 1
1 2 2 2 2 1
,
,
4
1
,
,
4
1
,
,
4
1
1 1
2 2
2 2 2 1 1 1
A
T T
T T
A T T
T T
A T
T T T A
P 2 1
P 1 2
P 2 1
P 1 2
P
2 1 P 1 2
L
L
, (5.17)
where the ellipsis on the first line indicates that the equation is continued below for space
reasons. Therefore,

( )
( ) ( ) ( )
( ) ( ) ( )
( )
( ) ( )
=

(
(
d
d d
d
d
0 1 2
0
1 1 1 1
2 2 2 2
2 1
,
4
1
,
,
4
1
A T
A
T T
T T
A
C
P 2 1
P 1 2
, (5.18)
where ( ) ( ) ( ) ( ) ( ) ( ) ( )

=

d d d
1 1 1 1 2 2 2 2 1
, , ,
P 2 1 P 1 2 C
T T T T T . (5.19)

Calculation of T
Pi

As for the actual calculation of ( ) ,
i P
T , one may consider the phase of a wave exiting a
slab of material i of thickness
i
d with a time varying phase velocity, ( ) t c
i 0
. If the phase of a
wave entering the region is ( ) + = t t
in
, , where accounts for any phase offset, then the
wave at that location is defined as
in
j
e

. The phase exiting the region, ( ) , t
out
, will be
( ) ( ) ( ) + = t T t t
out 0
, , (5.20)
where ( ) t T
0
is the propagation time for a wave to travel from one end to the other. It is itself a
function of time because the phase velocity is changing. Thus, it is the solution to the equation,
( )
( )
i
t
t T t
i
d d c =
0
0
. (5.21)
The transformation from input to output is therefore

( ) ( ) t T j j
e e
in out 0

= , (5.22)
and so the spectrum at the output is
( )
{ }
t T j
t
e
0

.
The propagation matrix is therefore the output spectrum multiplied by the frequency-
dependent phase shift encountered by each frequency component, and is
( )
( )
{ }
(

i i
i i
c d j
c d j
t T j
t i
e
e
e
0
0
0
0
0
,

P
T . (5.23)
To check that the phase exiting the region with a constant phase velocity is the expected
result, ( ) + =
i i out
d k t t
0
, , the integral of (5.21) is performed with
i
c
0
constant, giving

i
i
c
d
T
0
0
= . (5.24)
Substituting this into the equation for the phase at the output gives

+ =
+
|
|
\
|
=
i i
i
i
out
d k t
c
d
t
0
0
, (5.25)
which is the expected result of a phase delay of
i i
d k
0
and is equivalent to the retarded time [66]
and leads to the propagation matrix,
( ) ( )
(
i i
i i
c d j
c d j
i
e
e
0
0
0
0
2 ,

P
T . (5.26)
If the phase velocity is varying sinusoidally, then we may write
( ) ( ) [ ] t v C t c
p i i
cos 1
0 0
+ = , (5.27)

where
i
C
0
is the time-average phase velocity, v is the variation factor, and
p
is the pumping
angular frequency. In this case, (5.21) is
( ) [ ]
( )
i
t
t T t
p i
d d v C = +
0
cos 1
0
, (5.28)
( )
( )
i
t
t T t
p
p
i
d
v
C =
(
(
+
=
0
sin
0
, (5.29)
( ) ( ) ( ) [ ] ( ) [ ]
0 0 0
sin sin t t T t t
v
t T
p p
p
= +
, (5.30)
where
i i
C d t
0 0
= . Unfortunately, this equation is not easily solvable for ( ) t T
0
and so
approximations or simplifications are necessary. At the very least, ( ) ,
i P
T can be determined
numerically using the equations provided in this section.
5.1.3 Transmission through multiple cells
We will now revert back to the assumption of a constant phase velocity. To determine the
acoustic wave propagation through multiple time-varying cells, we begin by considering the
transmission through two cells and then we extend this result to n cells. For an input spectrum of
( )
0
A , the output spectrum from the second cell can be obtained from (5.14) as

( ) ( ) ( )
( ) ( ) ( ) ( ) , , , 2
,
4
1
1 0 1 1 1 1
2
1 1 1 1 1 2 2

=
=
d d
d
n
A T T
A T A
C C
C
(5.31)
where 2 = n for this case. Reordering the integration leads to

( ) ( ) ( ) ( ) [ ] ( )
( ) ( ) ( )

=
=

d
d d
n
n
0 2
2
0 1 1 1 1 1
2
2
, 2
, , 2
A T
A T T A
C
C C
, (5.32)
where ( ) ( ) ( )
=
1 1 1 1 1 2
, , , d
C C C
T T T . Extending this result to express the relationship
between the input and output spectra at the two ends of an n-cell time-varying phononic crystal
yields
( ) ( ) ( ) ( )
=

d
n
n
n 0
2
, 2 A T A
C
, (5.33)
where ( ) ,
n C
T is the time-varying transmission matrix for n cells and is given by
( ) ( ) ( )

=
l n l n l l n l n n
d , , ,
C C C
T T T , (5.34)

in which
l n
is an intermediate integration variable. Figure 5.3 illustrates propagation through n
time-varying cells. Beginning with
1 C
T which has the closed-form solution given in (5.15),
n C
T
can be constructed by repeated integration using (5.34). If each cell is identical, then
n C
T may be
constructed exponentially (
1 C
T ,
2 C
T ,
4 C
T ,
8 C
T , etc.). However, if the cells are not identical, or
are undergoing different material parameter variations, then
n C
T may be constructed by repeated
application of (5.34) using the
1 C
T corresponding to each unique cell.

Figure 5.3. The time-varying cell transmission matrix provides an output
spectrum, , for a given input frequency .
5.1.4 Conversion back into a transmission spectrum
To extract the transmission coefficient, it is necessary to convert the transmission matrix
back into a scattering matrix. The conversion formula given in (4.96) is valid for the time-
varying case if one considers the instantaneous time domain solution for a particular input
frequency over which to solve the scattering matrix. Setting
0
= gives
( )
( )
( )
( ) ( )
(
=
0 12 0
0 21
0 22
0
, ,
1 ,
,
1
,

t T t
t T
t T
t
Cn n
Cn
Cn
n
C
T
S , (5.35)
where ( ) ( ) [ ]
0 0
, , t
n n
S S = and ( ) ( ) [ ]
0
1
0
, ,
n n
t
C C
T T

= . For an input signal spectrum of
( )
+
0
A , the transmission output spectrum from the n
th
cell can be determined by integrating over
all input frequencies, i.e.,
( ) ( ) ( )
=
+ +
d A S A
n n 0 21
, . (5.36)
Thus, the function ( ) ,
21 n
S can be thought of as a surface where each point relates how much
of an input frequency is converted to the output frequency when n time-varying cells are
connected together.
5.2 Solutions when the parameter variation is periodic
We are particularly interested in situations when the material parameters vary periodically in
time which represents a mode of operation that has not yet been adequately explored. Here, we
assume that the phase velocity is constant to help simplify the analysis. However, using the
results of Section 5.1.2, periodic solutions for time-varying phase velocities could also be
incorporated.

5.2.1 Single-cell solution
Again assuming a constant phase velocity, let us determine the expression for ( ) ,
1 C
T
given a known periodic parameter variation signal (i.e. the elements of
2 1
T
and
1 2
T
are
known periodic functions of time). Since
2 1
T
and
1 2
T
are periodic, they can be represented by

the Fourier series
( )

=
n
t jn
n
p
e t

2 1
2 1
C T , and ( )

=
m
t jm
m
p
e t

1 2
1 2
C T , (5.37)
where
p
is the fundamental material parameter variation angular frequency (commonly called
the pumping frequency) and
(
=
n n
n n
n
c c
c c
22 21
12 11
C are the corresponding matrices of complex
Fourier coefficients. The Fourier transforms are then given as
( ) ( )
n
p n
n
2 1
2 1
C T and ( ) ( )
m
p m
m
1 2
1 2
C T . (5.38)
Recalling (5.15) and substituting the known Fourier series spectra,
( ) ( ) ( ) ( ) ( )

=

1 1 1 1 1
, d n m
n
p n
m
p m P1
2 1
P2
1 2
C
T C T C T . (5.39)
Integration over either of the delta functions in (5.39) results in
( ) ( ) ( ) ( ) ( )
+ + =

m
p
n
n p m
n m n
P1
2 1
P2
1 2
C
T C T C T ,
1
. (5.40)
Thus, given an input frequency and a pumping frequency
p
, the relevant output frequencies
over can be determined by choosing all m and n to make the argument of the delta function
in (5.40) equal to zero, corresponding to the condition: ( )
p
n m + + = . That is, choosing m
and n determines which output frequency receives that particular incremental contribution from
the integral, which is now expressed as a summation. To facilitate a per-frequency formulation
we change the indices to read
n m p + = , n q = , (5.41)
so that q p m + = , q n = . This allows p to set the frequency of , and q to facilitate the
summation of all relevant pairs of m and n corresponding to that frequency. Using this
substitution and noting that
p
p + = enables the transmission matrix for a single cell to be
expressed as

( ) ( )
( ) ( ) ( ).
, ,
1 2
1 1
p
p q
q p q p
p
p
p q
p

=
+ =
+ P
2 1
P
1 2
C C
T C T C
T T
(5.42)

5.2.2 An n-cell solution
The above single cell solution can be extended to n-cells by first obtaining the transmission
matrix for two cells. The two matrix terms within the square brackets of (5.32) are replaced with
summations as given by (5.42), i.e., ( ) ( )
+ =
1
1 1 1 1 1 1
, ,
p
p
p
C C
T T , and
( ) ( )
+ =
2
, ,
2 1 1 1
p
p
p
C C
T T . Noting that
p
p
1 1
+ = and
p
p
2 1
+ = , so that
( )
p
p p
2 1
+ + = , the integration in (5.32) can be replaced by
( ) ( ) ( ) ( )
+ + + + =
1 2
, , ,
2 1 2 2 1 1 2
p p
p p p
p p p p
C C C
T T T . (5.43)
Following a similar development to that used in Section 5.1.3, for an n-cell waveguide, the
transmission matrix for an input frequency of and a pumping frequency of
p
is given by
( ) ( ) ( ) ( )
+ + + + =
1 2
, , ,
2 2 2 1
p p
p l p p l n n
p p p p
C C C
T T T . (5.44)
5.2.3 The discrete transmission spectrum
For a monochromatic input, the output spectrum will be a discrete set of frequencies
consisting of the input fundamental and sum and difference frequencies with respect to the
pumping frequency, which we choose to call harmonics for the sake of brevity. With the help of
(5.36) and recalling that
p
p + = , the discrete output spectrum can be written as
( ) ( ) ( )
+ = +
+ +
p
p n p n
A p S p A
0 21
, . (5.45)
Consequently the output spectrum contains a series of delta functions at the relevant frequencies.
Recalling (5.35), we seek a closed-form solution for ( ) ,
21 n
S directly from the known
complex Fourier series coefficients of ( ) ,
n C
T . Computation of the ( ) ,
21
t S
n
time-domain
function is readily achievable for simulation purposes but is not desirable for analysis. In
calculating ( ) ,
21
t S
n
, the required division by the
22 Cn
T Fourier series obfuscates the
relationship between the scattering and transmission Fourier coefficients. Finding the Fourier
coefficients of ( ) , t
n C
T is straightforward, and the Fourier coefficients of ( ) ,
22
t T
Cn
are
simply given in ( ) ,
22 Cn
T . However, finding the Fourier coefficients of ( ) ( ) , ,
22
t T t
Cn n C
T
directly from the constituent Fourier coefficients, without computing the division in the time
domain, is rather more challenging. In this regard, the method described by Duffin [299] for
calculating the Fourier coefficients of the reciprocal of a complex periodic function is of key

importance. The first step in the analysis is to extract from (5.35) the (2,1) element of the
scattering matrix, yielding
( ) ( ) ( ) = , , ,
22 21
t T t t S
Cn n n C
T . (5.46)
Its Fourier transform is given by
( ) ( ) ( ) { } = , , ,
21
t D t S
n n C
T , (5.47)
where ( ) ( ) = , 1 ,
22
t T t D
Cn
, whose Fourier coefficients need to be found. The Fourier
transform in (5.47) is straightforward since the argument is itself a Fourier series, which can be
expanded in terms of the various Fourier coefficients.
A matrix method for an inverse Fourier series
Theorem 4 in [299] enables the Fourier coefficients of ( ) , t D , denoted by the vector
{ }
k
= , to be found directly from the Fourier coefficients of ( ) ,
22
t T
Cn
, denoted by the vector
{ }
j
f = F . The theorem can be restated as
F G
1
= , (5.48)
where { }
k j
G
,
= G is a matrix in which
k j k j
g G
=
,
and
+
=
r
r r j j
f f g . Thus, a closed-form
solution for the Fourier coefficients of ( ) ,
21 n
S in terms of the known Fourier coefficients of
( ) ,
n C
T can be found for periodic parameter variation signals.
The result expressed by (5.48) requires that the inverse of a matrix G be determined, which
can become non-trivial as the number of harmonics under consideration, and consequently the
size of G, increases. However, for the purpose of developing a closed-form equation to analyze
the effects of parameter variation on acoustic wave transmission, one may choose to examine
only the influence of the fundamental and first harmonic. In this case, G is a 3 3 matrix so that
its inverse may be found directly. Furthermore, when considering the transmission of real signals
only, G becomes a positive definite Hermitian Toeplitz matrix which further simplifies the
closed-form expressions.
A direct approach for a simple offset sinusoid
The matrices of Fourier coefficients in (5.37) can be calculated directly from the known
Fourier coefficients of the time-varying impedances if they are simple offset sinusoids. The
Fourier series for a periodic function ( ) t Z is
( )

=
n
t jn
n
p
e Z t Z

. (5.49)

Consider a simple offset sinusoid defined by

( ) ( )
t j t j
p
p p
e Z Z e Z
t Z Z t Z

1 0 1
1 0
cos 2
+ + =
+ + =
, (5.50)
where
=
1 1
Z Z in general since the impedance is real and
1
Z = . If ( ) ( ) t Z t D 1 = , the
spectrum of the reciprocal is
( )

=
n
t jn
n
p
e D t D

, (5.51)
and has infinitely many components given by
( )

p p
jn n n
n
e e D D

=
0
1 , (5.52)
so every coefficient is known if
0
D and can be found. We can calculate from the first two
coefficients

p
e D D

=
0 1
, (5.53)
therefore
|
|
\
|
=
0
1
ln
1
D
D
p
. (5.54)
and the problem reduces to finding
0
D and
1
D .
Let
0
Z a = and
1
Z b = . From 3.5.4 in [300], the
0
D coefficient is

2 2
0
1
b a
D
= . (5.55)
From 5.12.3 in [301],

|
|
\
|
=
2 2
1
1
1
b a
a
b
D . (5.56)
Therefore,
|
|
\
|

=
|
|
\
|
|
|
\
|
=
1 0
0 0
2 2
2 2
1
ln
1
1 ln
1
Z D
Z D
b a
a
b
b a
p
p
. (5.57)
Thus, the matrices of Fourier coefficients in (5.37) can be specified entirely in terms of the
impedance Fourier coefficients.
5.3 Closed-form solutions
We wish to find the transmission coefficient,
n
S
21
, directly from the equations for
C1
T so that we
may gain insight into the factors governing acoustic wave transmission through time-varying

phononic crystals in 1D. We consider only the fundamental and first harmonic to simplify the
analysis, and show that this is a good approximation for small material parameter variations. We
consider the case where
1
Z is constant but
2
Z is varying periodically in time with an angular
frequency of
p
. That is,
( )
t j t j
p p
e Z Z e Z t Z

1
2
0
2
1
2 2
+ + =

. (5.58)
We have assumed a constant phase velocity.
5.3.1 A closed-form expression for one cell
We wish to find the fundamental frequency transmission spectrum for one cell of a time-
varying phononic crystal. To do this, we must solve for
1 C
T and thus the scattering and
propagation matrices of interest including the fundamental and first harmonic. Since
( ) ( )
+ =
p
p
p , ,
1 1 C C
T T , we must find solutions for ( ) + ,
1 p
p
C
T at the values
[ ] 1 , 0 , 1 = p .
The time-varying scattering matrices
From (4.98), and substituting in the definition of
1
R in terms of
i
Z ,

(
+
+
=
(
1 2 1 2
1 2 1 2
2 1
1
1
2
1
1
1
1
1
Z Z Z Z
Z Z Z Z
Z R
R
R
2 1
T , (5.59)
and
(
+
+
=
(
+
=
2 1 2 1
2 1 2 1
1 1
1
1
2
1
1
1
1
1
Z Z Z Z
Z Z Z Z
Z R
R
R
1 2
T . (5.60)
Since
t j t j
p p
e e

1 2 1 2 1 2
1 2
C C C T

+ + =
1 0 1
, (5.61)
therefore the
1 2
C

m
matrices of Fourier coefficients are known directly as
(
1 1
1 1
2
1
1
2
1
Z
Z
1 2
C ,
(
+
+
=
0
2 1
0
2 1
0
2 1
0
2 1
1
0
2
1
Z Z Z Z
Z Z Z Z
Z
1 2
C , and
(
1 1
1 1
2
1
1
2
1
Z
Z
1 2
C , (5.62)
where
=
1 2 1 2
C C
1 1
in general.
To find
2 1
C

n
, we may use coefficients for the inverse of an offset sinusoid given in (5.55)
and (5.56). For brevity we shall leave the coefficients as
n
D . Thus,

(
+
+
=
(
+
+
=
1 1
1 1
1 2 1 2
1 2 1 2
2
1 1
1 1
2
1
2
1
DZ DZ
DZ DZ
Z Z S Z
Z Z S Z
Z
2 1
T , (5.63)
where ( ) ( ) t Z t D
2
1 = . Therefore, the
2 1
C

m
matrices of Fourier coefficients are

(
1 1
1 1
2
1 1
1
Z D
2 1
C ,
(
+
+
=
1 0 1 0
1 0 1 0
0
1 1
1 1
2
1
Z D Z D
Z D Z D
2 1
C , and
(
1 1
1 1
2
1 1
1
Z D
2 1
C . (5.64)
The time-varying propagation matrices
Here we illustrate a useful property of the propagation matrices. It allows a first-harmonic
propagation matrix to be expressed in terms of the propagation matrices of the fundamental and
pumping frequencies. Since

( )
( )
( )
(
=
(
=
(
=
(
= +

+
+
0
0
0
0
0
0
0
0
0 0
0 0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
,
c d j
c d j
c d j
c d j
c d j
c d j
c d j
c d j
c d j c d j
c d j c d j
c d j
c d j
p
e
e
e
e
e
e
e
e
e e
e e
e
e
d
p
p
p
p
p
p
p
p

P
T
, (5.65)
therefore
( ) ( ) ( )
( ) ( ) d d
d d d
p
p p
, ,
, , ,

=
= +
P P
P P P
T T
T T T
. (5.66)
The 1 = p matrix
Substituting 1 = p into (5.42) and discarding terms containing factors other than the
fundamental or first harmonic gives

( ) ( ) ( )
( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( )

+ =
+ =
=

P1
2 1
P2 P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
C
T C T T C T C T C
T C T C T C T C
T C T C T
1 0 0 1
1 0 0 1
1 1
,
p
p
q
q p q p
q
, (5.67)
( )
(
|
|
|
|
|
\
|
(
+
+
+
(
+
+
(
a
a
c
c
b
b
Z Z Z Z
Z Z Z Z
D
Z D Z D
Z D Z D
b
b
Z
Z
p
0
0
1 1
1 1
0
0
0
0
1 1
1 1
0
0
1 1
1 1
4
1
,
0
2 1
0
2 1
0
2 1
0
2 1
1
1 0 1 0
1 0 1 0
1
1
2
1

C
T , (5.68)
where
( )
a
j c a j
e e a

= =
0
1
,
0
c a j
e b

= , and
0
c a j
p
e c

= . Further simplification eventually
leads to

( )
( )
(
|
|
|
|
|
|
\
|
|
|
\
|
(
+
(

+
(
+
=
a
a
Z D
Z
Z
j
Z D Z D
bc
b
bc
b
p
0
0
1 1
1 1
sin
1 1
1 1
sin
1 1
1 1
cos cos
2
1
,
1 1
1
1
2
0
2 1
1
2 0
1

C
T . (5.69)
The 0 = p matrix
Following a similar development as before, we substitute 0 = p into (5.42) and discard terms
containing factors other than the fundamental or first harmonic, giving

( ) ( ) ( )
( ) ( ) ( ) ( )
( ) ( )
( ) ( ) ( ) ( ) ( )
( ) ( ) ( )

+
+ =
+
+ + =
=
P1
2 1
P2 P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2 P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
C
T C T T C
T C T C T C T T C
T C T C
T C T C T C T C
T C T C T
1 1
0 0 1 1
1 1
0 0 1 1
1
,
p
p
p
p
q
q p q
q
, (5.70)
( )
(
|
|
|
|
|
|
|
|
|
\
|
(
+
(
+
+
(
+
+
+
(
a
a
c
c
b
b
Z D
Z D Z D
Z D Z D
b
b
Z Z Z Z
Z Z Z Z
Z
c
c
b
b
Z D
0
0
1 1
1 1
0
0
0
0
1 1
1 1
1 1
1 1
0
0
1
1 1
1 1
0
0
0
0
1 1
1 1
4
1
,
1
2 1
1 0 1 0
1 0 1 0
0
2 1
0
2 1
0
2 1
0
2 1
1
1
2 1
1

C
T , (5.71)
eventually simplifying to
( )
( )
(
|
|
|
|
|
\
|
|
|
\
|
(
+
(

+
(
+
(
+ +
=
a
a
Z D
Z
Z
j
Z D Z D Z D
b b
b
bc
bc
0
0
1 1
1 1
1 1
1 1
sin
1 1
1 1
cos
1 1
1 1
cos cos cos
2
1
,
1 0
1
0
2
0
2 0
1
2 1
1
2 1
1

C
T . (5.72)
The 1 = p matrix
Here, we substitute 1 = p into (5.42) giving

( ) ( ) ( )
( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( )

+ =
+ + =
= +

+
P1
2 1
P2
1 2
P1
2 1
P2 P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
P1
2 1
P2
1 2
C
T C T C T C T T C
T C T C T C T C
T C T C T
0 1 1 0
0 1 1 0
1 1
,
p
p
q
q p q p
q
, (5.73)

( )
(
|
|
|
|
|
\
|
(
+
+
(
+
(
+
+
= +

a
a
Z D Z D
Z D Z D
b
b
Z
Z
c
c
b
b
Z Z Z Z
Z Z Z Z
D
p
0
0
1 1
1 1
0
0
1 1
1 1
1 1
1 1
0
0
0
0
4
1
,
1 0 1 0
1 0 1 0
1
1
2
0
2 1
0
2 1
0
2 1
0
2 1
1
1

C
T , (5.74)
( )
( )
(
|
|
|
|
|
\
|
|
|
\
|
(
+
(

+
(
+
= +
a
a
Z D
Z
Z
j
Z D Z D
bc b
bc b
p
0
0
1 1
1 1
sin
1 1
1 1
sin
1 1
1 1
cos cos
2
1
,
1 1
1
1
2
0
2 1
1
2 0
1

C
T . (5.75)
The transmission coefficient for one time-varying cell
To find the fundamental frequency transmission coefficient, ( ) ,
21
S , we must substitute
the previously calculated
1 C
T matrices into (5.46), where
( )
( )
( )
( ) ( )
= , ,
,
,
,
1
22 1
1
21
t M t
t T
t
t S
C
C
C
T
T
, (5.76)
where ( ) ( ) = , 1 ,
22 1
t T t M
C
, and

( )
(
(
+ + + +
+ + + +
=
+ + =
22
1
1 22
0
1 22
1
1 21
1
1 21
0
1 21
1
1
12
1
1 12
0
1 12
1
1 11
1
1 11
0
1 11
1
1
1
1
0
1
1
1 1
,
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
t j t j
T e T T e T e T T e
T e T T e T e T T e
e e t
p p p p
p p p p
p p

C C C C
T T T T
, (5.77)
where ( ) + = ,
1 1 p
p
p
C C
T T as was previously calculated for [ ] 1 , 0 , 1 = p . Next, expanding
the determinant of the matrix and simplifying,

( ) ( )( )
( )( )
21
1
1 21
0
1 21
1
1 12
1
1 12
0
1 12
1
1
22
1
1 22
0
1 22
1
1 11
1
1 11
0
1 11
1
1 1
,
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
T e T T e T e T T e
T e T T e T e T T e t
p p p p
p p p p

+ + + +
+ + + + =
C
T
, (5.78)
( )
( )
( )
( )
( )
( )
|
|
|
|
|
|
|
|
\
|
+
+ +
+ + +
+ +
21
1
1 12
1
1 22
1
1 11
1
1
2
21
1
1 12
0
1 21
0
1 12
1
1 22
1
1 11
0
1 22
0
1 11
1
1
21
1
1 12
1
1 21
0
1 12
0
1 21
1
1 12
1
1 22
1
1 11
1
1 22
0
1 11
0
1 22
1
1 11
1
1
21
0
1 12
1
1 22
0
1 11
1
1 21
1
1 12
0
1 22
1
1 11
0
1
21
1
1 12
1
1 22
1
1 11
1
1
2
1
,
C C C C
t j
C C C C C C C C
t j
C C C C C C C C C C C C
C C C C C C C C
t j
C C C C
t j
T T T T e
T T T T T T T T e
T T T T T T T T T T T T
T T T T T T T T e
T T T T e
t
p
p
p
p
C
T .(5.79)
Considering only the fundamental and first harmonic of ( ) , t M , they may be calculated
using the inverse Fourier series method in (5.48) but not the direct method in (5.55) and (5.56)
since ( ) ,
22 1
t T
C
may be complex and is not a simple offset sinusoid. The fundamental and first
harmonic of ( ) ,
22 1
t T
C
can be envisioned as an ellipse on the complex plane parameterized by

t . The method of (5.48), limited to a 3 3 matrix is fairly accurate provided that the ellipse is
sufficiently displaced from the origin t , or, to put it another way, ( ) ,
22 1
t T
C
is an offset
sinusoid whose value is sufficiently displaced zero. For more extreme material parameter
variations, either a fast Fourier transform (FFT) must be performed on an over-sampled version
of the time-varying material parameters to improve accuracy, or the method of (5.48) may be
used including the higher-order zero coefficients. In any case, for analytical purposes we simply
use
( )
1 0 1
, M e M M e t M
t j t j
p p

+ + =
(5.80)
to elucidate the role of ( ) ,
22 1
t T
C
in the transmission coefficient. Substituting this value into
(5.76) and simplifying gives

( ) ( )
( )
( )
( )
( )
( )
1 0 1
21
1
1 12
1
1 22
1
1 11
1
1
2
21
1
1 12
0
1 21
0
1 12
1
1 22
1
1 11
0
1 22
0
1 11
1
1
21
1
1 12
1
1 21
0
1 12
0
1 21
1
1 12
1
1
22
1
1 11
1
1 22
0
1 11
0
1 22
1
1 11
1
1
21
0
1 12
1
1 22
0
1 11
1
1 21
1
1 12
0
1 22
1
1 11
0
1
21
1
1 12
1
1 22
1
1 11
1
1
2
1
, ,
M e M M e
T T T T e
T T T T T T T T e
T T T T T T
T T T T T T
T T T T T T T T e
T T T T e
t M t
t j t j
C C C C
t j
C C C C C C C C
t j
C C C C C C
C C C C C C
C C C C C C C C
t j
C C C C
t j
p p
p
p
p
p

+ +
|
|
|
|
|
|
|
|
|
|
\
|
+
+ +
|
|
\
|

+ +
+
+ +
C
T
, (5.81)
We only wish to know the DC component of ( ) ,
21
S , so we choose terms whose exponentials
cancel, leading to
( ) ( )
( )
( )
1 12
1
1 21
0
1 21
1
1 12
0
1 11
1
1 22
0
1 22
1
1 11
0
1
0 21
0
1 12
0
1 22
0
1 11
0
1 12
1
1 21
1
1 21
1
1 12
1
1 11
1
1 22
1
1 22
1
1 11
1
1
1 12
0
1 21
1
1 21
0
1 12
1
1 11
0
1 22
1
1 22
0
1 11
1
1 21
,
M T T T T T T T T
M T T T T T T T T T T T T
M T T T T T T T T S
C C C C C C C C
C C C C C C C C C C C C
C C C C C C C C

+ +
+ + +
+ =
, (5.82)
which is the closed-form equation for acoustic transmission through one cell of a time-varying
phononic crystal.
5.3.2 A closed-form solution for two and n cells
To find the closed-form expression for the fundamental frequency transmission spectrum for
two cells of a time-varying phononic crystal, we must determine which values of
1 C
T are
required in the expression for
2 C
T . Since the closed-form solutions for fundamental and first-
harmonic values of
1 C
T were given in (5.69), (5.72), and (5.75), the expansion of
2 C
T is left in
terms of
1 C
T . We again consider only the fundamental and first harmonic of
2 C
T . From (5.43),

( ) ( ) ( )
( ) ( ) ( )
+ + =
+ = +
s
p p
s
p p p p
s s r
s s r r

, ,
, , ,
1 1
1 1 2
C C
C C C
T T
T T T
, (5.83)
where
2 1
p p r + = ,
2
p s = , and
p
s = are substitutions to facilitate a per-frequency
formulation.
Considering that

( )
(
(
+ + + +
+ + + +
=
+ + =
22
1
2 22
0
2 22
1
2 21
1
2 21
0
2 21
1
2
12
1
2 12
0
2 12
1
2 11
1
2 11
0
2 11
1
2
1
2
0
2
1
2 2
,
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
C
t j
C C
t j
t j t j
T e T T e T e T T e
T e T T e T e T T e
e e t
p p p p
p p p p
p p

C C C C
T T T T
, (5.84)
we therefore require
1
2
C
T ,
0
2 C
T , and
1
2 C
T where ( ) + = ,
2 2 p
p
p
C C
T T . They are found by
inserting the desired arguments into the summation in (5.83) and discarding terms with factors
other than the fundamental and first harmonic. Using the abbreviated notation
( ) ( ) ,
1 1 p
p
p + =
C C
T T , the three required matrices are

( )
( ) ( ) ( )
( ) ( )
( ) ( ) ( ) ( )
( ) ( ) ( ) ( )

+ =
+ =
=
+ =
=

1
1
0
1
0
1
1
1
1
1
0
1
0
1
1
1
1
1
1
1 1
2
1
2
, , 1
,
C C C C
C C C C
C C
C C
C C
T T T T
T T T T
T T
T T
T T
p
s
s s
s
p p
p
s s
, (5.85)

( )
( ) ( )
( ) ( )
( ) ( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( ) ( )

+ + + =
+ + =
=
+ =
=

1
1
1
1
0
1
0
1
1
1
1
1
1
1
1
1
0
1
0
1
1
1
1
1
1 1
1 1
2
0
2
, ,
,
C C C C C C
C C C C C C
C C
C C
C C
T T T T T T
T T T T T T
T T
T T
T T
p p
s
s s
s
p p
s s
, (5.86)
and
( )
( ) ( ) ( )
( ) ( )
( ) ( ) ( ) ( )
( ) ( ) ( ) ( )

+ + =
+ =
=
+ + =
+ =
0
1
1
1
1
1
0
1
0
1
1
1
1
1
0
1
1
1
1
1 1
2
1
2
, , 1
,
C C C C
C C C C
C C
C C
C C
T T T T
T T T T
T T
T T
T T
p
s
s s
s
p p
p
s s
. (5.87)

The transmission spectrum can be found by using the same equation in (5.82) except using
the elements of the
p
2 C
T matrices and with ( ) ( ) = , 1 ,
22 2
t T t M
C
. In fact, ( ) ,
21 n
S can be
found by using (5.85)(5.87) to provide the expansion for ( ) ,
n C
T in (5.44). The
p
1 C
T matrices
are simply replaced by
l n C
T and
l C
T . Equation (5.82) may be used again to find the
transmission spectrum with the proper substitutions as before.
5.4 Methodology and verification
A detailed walkthrough of the many steps of the new TV-TMM formulation is given here. It is
then shown that the extended method shows a logarithmic growth in computational complexity
as the number of time-varying cells is increased, as opposed to a linear growth in comparable
FDTD simulations. Finally, results from the extended method are compared against similar
FDTD simulations and show excellent agreement.
5.4.1 Computation method

( ) t Z
1

( ) t Z
2
( ) t
2 1
T
( ) t
1 2
T
1 2
C

m
2 1
C

n
0
=
( ) ,
n C
T
( ) ,
1 C
T
( )
0
, t
n C
T ( )
0 21
, t S
n
( )
0 21
,
n
S

Figure 5.4. A flowchart illustrating the steps and equations necessary to simulate
wave propagation through a time-varying tube waveguide. Dashed boxes indicate
the variables and matrices and solid boxes indicate the equations and operations
required. Repeat means that (5.44) should be applied as many times as necessary
to achieve n time-varying cells.
A procedure for numerically calculating the transmission spectrum is illustrated in Figure 5.4
to help guide the reader through the many steps involved. Beginning with the time-varying
impedances, ( ) t Z
1
and ( ) t Z
2
are substituted into (4.98) to find the time-varying transmission
matrices, ( ) t
2 1
T
and ( ) t
1 2
T
. Next, the matrices of complex Fourier coefficients,

2 1
C

n
and
1 2
C

m
, are found simply by applying an FFT to the transmission matrices, or by using the method
for the inverse of an offset sinusoid given in (5.55) and (5.56). The single-cell time-varying
transmission matrix, ( ) ,
1 C
T , can then be found directly from (5.42). If there are multiple
time-varying cells, then (5.44) may be applied as many times as is necessary to generate

( ) ,
n C
T , which accounts for transmission through n cells. Choosing a particular input
frequency,
0
= , and performing an inverse FFT yields ( )
0
, t
n C
T . Finally, converting back
into a time-domain scattering matrix using (5.35) and choosing the (2,1) entry gives the time-
domain transmission coefficient, ( )
0 21
, t S
n
. A final FFT gives the transmission spectrum for a
particular input frequency, namely ( )
0 21
,
n
S .
It should be noted that for the purpose of simulation, (5.48) was not used since the much
simpler FFT and inverse FFT may be used in its place. However, for small values of material
parameter variation, it is accurate enough in its 3 3 form for finding ( ) ,
21 n
S directly from
( ) ,
n C
T . Also note that the restriction of choosing a particular input frequency
0
= is
lifted when deriving the general solution since the Fourier transform and its inverse do not need
to be performed.
5.4.2 The complexity of calculation
Though it is possible to sequentially calculate
1 C
T ,
2 C
T ,
3 C
T , etc. up to
n C
T , it is far more
efficient to take an exponential approach:
1 C
T ,
2 C
T ,
4 C
T , etc. To do this, we begin calculating
the time-varying transmission matrices exponentially, including all
( ) { } ,
l C
T , where

[ ]
n
l
2
log
2 , 1 . (5.88)
In the above equation,

L means the floor operation which rounds down to the nearest integer.
Another way to state this is to calculate ( ) ,
n C
T by powers of two up to the maximum
placeholder in the binary representation of n. For example, if ( )
2
1010 10 = = n , then calculate
1 C
T ,
2 C
T ,
4 C
T , and
8 C
T .
The intermediate matrices are then combined so that they add up to the correct n. Because the
matrices have been calculated as powers of two, the required matrices that need to be combined
via integration correspond to the locations in the binary representation of n where the digits are
1s. Using the above example of n = 10, we would combine ( ) ,
2 C
T and ( ) ,
8 C
T to arrive at
the desired ( ) ,
10 C
T .
This final step only required one integration since there were two 1s in the binary
representation of n. In general, the number of integrations required will be the number of 1s in
the binary representation of n (called the Hamming weight of n, and denoted as n ) minus one.
Thus, the total number of integrations required to generate ( ) ,
n C
T (not including the
generation of ( ) ,
1 C
T ), denoted by ( ) n C , is given by

( )

1 log
2
+ = n n n C . (5.89)
A plot of ( ) n C versus n shown in Figure 5.5 clearly shows a logarithmic trend, as expected.
This is particularly noteworthy given that the size of a comparable time-varying FDTD
simulation would grow linearly as more cells are added. Thus, this extended method is superior
to the FDTD method for simulations involving large numbers of time-varying cells.

Figure 5.5. A plot of the number of integrations required for n time-varying cells.
It can be seen that the plot follows a logarithmic trend as the number of time-
varying cells is increased. A comparable FDTD simulation run-time would grow
linearly with the number of time-varying cells.
5.4.3 Verification
As noted earlier, the FDTD method is able to handle time-varying material parameters in
periodic structures. As such, it was used as a benchmark in order to verify that the new TV-
TMM formulation is correct and to compare simulation times.
A single time-varying cell was analyzed using the FDTD method and the TV-TMM
formulation using the method illustrated in Figure 5.4. The corrugated tube was designed to the
same specifications as in the example calculations in Section 4.2.1 and in [17]. Additionally, the
cross-sectional area (
2
S ) of section 2 was varied sinusoidally by % 5 at a frequency of 600 Hz,
and the input acoustic wave was a 1.0 kHz monotone. In order to prevent reflections from a hard
source in the FDTD simulation, a transparent source implementation was used [208].
Shown in Figure 5.6a) is that the resulting transmission spectra for one time-varying cell are
in excellent agreement. The solid arrows indicate that the dashed lines are delta functions. Since
the input monotone is a real function, it has frequencies at 1.0 kHz. The peaks at 200 Hz
correspond to the second harmonic of the negative input frequency ( Hz 600 2 Hz 1000 +
Hz 200 = ). Additional harmonics are present, but have magnitudes that are too small to appear
in the figure. The continuous nature of the FDTD plot is due to the truncation of a finite signal

with many frequency components. In general it is difficult to determine a commensurate
sampling period that would smoothly truncate all the harmonics present in the sampled signal.
Another contributing factor is that the simulation begins with all acoustic particle displacements
equal to zero, so time must be allowed for resonances to build up in order to approximate the
steady-state case captured by the TV-TMM formulation. In spite of these constraints, it is clear
that the transmission peaks present in the FDTD simulation have deltas that correspond exactly
to the TV-TMM simulation. Furthermore, the TV-TMM simulation execution times were four to
five orders of magnitude faster than the FDTD simulations used to generate Figure 5.6. Shorter
FDTD run times are possible by reducing the simulated time duration and by reducing the space
and time resolutions. However, these reductions result in a poorer frequency-domain resolution,
greater susceptibility to signal processing artefacts, and less accuracy due to increased numerical
dispersion.
Shown in Figure 5.6b) are the transmission spectra for ten identical time-varying tube cells
whose parameters are the same as for Figure 5.6a). Here again, the TV-TMM formulation is seen
to be in good agreement with the FDTD simulation. In the time-varying case the presence of
transmission coefficients at 0
2 1
+ p p shows that a single input frequency produces a
multiplicity of frequencies at the output. Thus, a linear combination of input frequencies causes a
linear combination of output spectra, which is encapsulated in (5.36).
0 500 1000 1500 2000 2500 3000

Figure 5.6. Comparison of transmission spectra using the new theory and a FDTD
method for a pumping frequency of 600 Hz and an input frequency of 1.0 kHz. a)
Single time-varying cell. b) Ten time-varying cells. Arrows indicate the presence
of delta functions. Because the FDTD simulation was performed over a finite time
period, the spectrum is continuous. Had the simulation been performed over an
infinitely long time period, the spectrum would have been delta functions at the
peak locations giving excellent agreement for the two sets of results.

5.5 Results
The fundamental frequency transmission coefficient ( 0
2 1
= + p p in (5.44)) for the ten tube
cells is shown for both the static and time-varying cases in Figure 5.7, generated by varying
and plotting the resulting output spectrum. The static plot in Figure 5.7 is the same as that shown
in Figure 4.4 for a ten-cell static tube. In the dynamic plot, the parameters are the same as in
Figure 5.6b). The transmission spectrum now includes energy that has been modulated to and
from the harmonics by the time-varying transmission and reflection coefficients. Notice that the
shapes of the band gap and band gap edges have been significantly altered, becoming less
rounded and more irregular than in the static case. This raises the possibility of changing the
band gap characteristics using time-varying material parameters as the controlling mechanism.
One could envision a controllable notch filter using such an arrangement.
T
r
a
n
s
m
i
s
s
i
o
n

c
o
e
f
f
i
c
i
e
n
t

Figure 5.7. Fundamental frequency transmission coefficients for ten static and
time-varying cells. In the dynamic case, the time-varying material parameters
modulate the incident waves at every impedance boundary, causing energy to be
continuously modulated to and from the fundamental frequency. The pumping
frequency is 600 Hz and ( ) t S
2
is varying by % 5 .
The same plot is reproduced in Figure 5.8, except with a pumping frequency of 400 Hz. The
change in pumping frequency has markedly changed the transmission spectrum from that shown
in Figure 5.7. Whereas the band gap attenuation was slightly reduced in the 600 Hz case, it is
increased in the 400 Hz case.

T
r
a
n
s
m
i
s
s
i
o
n

c
o
e
f
f
i
c
i
e
n
t

Figure 5.8. Another fundamental frequency transmission spectrum for ten static
and time-varying cells. This is the same as in Figure 5.7, but with a pumping
frequency of 400 Hz. Note the dramatic difference made by the change in
pumping frequency.
What is not shown in these two figures are the harmonics present due to the modulation
occurring at each interface. Figure 5.9 shows the fundamental and first harmonic transmission
spectra through ten identical time-varying cells. The conditions were identical to the dynamic
case in Figure 5.8, and the blue line corresponds to the fundamental frequency spectrum of both
figures.
|
S
2
1
|
10
0
10
-1
10
-2
0
2.0
1.0
fin
(kHz)
2.0
0
f
o
u
t
(
k
H
z
)
3.0
4.0

Figure 5.9. Transmission spectra through ten time-varying 1D phononic crystal
cells, including the fundamental and first harmonic. The blue line corresponds to
the dynamic spectrum in Figure 5.8 and to 0
2 1
= + p p in (5.44). The green line is
1
2 1
= + p p , and the red line is 1
2 1
= + p p . There are infinitely many such lines
in addition to the three shown.
5.5.1 Parametric amplification
We noted that certain pumping frequencies resulted in exponential growth of the FDTD
simulation field values and that improving the time and space resolution and increasing the

simulation duration did not mitigate the problem. Improving the resolution seemed to narrow the
range of pumping frequencies that would cause exponential growth. It was therefore suspected
that the growth was a function of the system and not a function of the FDTD simulator. Given
the periodically time-varying nature of the system, an effect called parametric amplification was
suspected at the frequencies of exponential growth [62]. It is well known that any pumping
frequency of n
p 0
2 = , where n is a positive integer, will result in parametric amplification,
but as n is increased the amount of energy conferred to the system decreases.
As discussed in Section 1.3.2, existing time-varying systems theory only deals with
periodicity in either the space or time dimensions, but not in both simultaneously. Consequently,
the starting point of our analysis was by means of the FDTD simulator which required no
fundamental changes to handle time-varying material parameters. One problem with using the
FDTD simulator to investigate time-varying phononic crystals is its inability to produce a truly
monochromatic input in a finite-duration simulation; hence the relative smoothness of the plots
in Figure 5.6. This is also why it was difficult to isolate the particular frequencies suspected of
producing parametric amplification since the bandwidth of the pumping and incident frequencies
are functions of the simulation duration.
|
S
2
1
|
(
d
B
)
f
p
(
k
H
z
)

Figure 5.10. A surface composed of the fundamental frequency transmission
spectra for various pumping frequencies. A front view is shown in a) and the top
view is shown in b). The slice corresponding to 0 =
p
f is the static transmission
spectrum for the corrugated tube waveguide in [17]. The remainder of the surface
corresponds to the transmission spectrum for ( ) t S
2
varying by % 5 as the
pumping frequency is increased. Note the periodicity of the behaviour in both the
0
f and
p
f directions.

In contrast, our extended method provides solutions for exact frequencies which permits a
more accurate and insightful analysis of parametric amplification within time-varying phononic
crystals. Figure 5.10 is a plot of the fundamental frequency transmission spectrum as a function
of pumping frequency. The slice of the plot along the 0
out
= f plane corresponds to the static
transmission spectrum in Figure 5.7 and Figure 5.8, and the slices along Hz 600
out
= f and
Hz 400
out
= f correspond to the dynamic plots in Figure 5.7 and Figure 5.8, respectively. The
points that grow and attenuate sharply are points of infinite growth and attenuation, which can be
seen when further simulations are run to zoom into these areas of the plot. It was found
numerically that the areas of the plot corresponding to infinite growth occur when
22
0
1 C
T is zero,
which leads to
0
M in (5.80) (the time average of ( ) , 1
22 1
t T
C
) and ( ) ,
21 n
S being infinite.
Conditions necessary for parametric amplification

The definition of
0
M is explored further to determine under what conditions it goes to
infinity. Since we are considering only the fundamental and first harmonic,

( )
+ +
=

2
0 22
1
1 22
0
1 22
1
1
2
0 22 1
0
1
2
1
,
1
2
1
d
e T T e T
d
t T
M
j
C C
j
C
C
, (5.90)
where ( ) ( )( ) ( ) ( )( ) sin cos sin cos ,
1 1 0 0 1 1 22 1
j ja a ja a j ja a t T
I R I R I R C
+ + + + + + =

, (5.91)
and
iI iR
i
C
ja a T + =
22 1
. We can rewrite this as

+
=
2
0
0
1
2
1
d
jI R
M , (5.92)
where ( ) ( )
R I I R R
a a a a a R
0 1 1 1 1
sin cos + + + =

, (5.93)
and ( ) ( )
I R R I I
a a a a a I
0 1 1 1 1
sin cos + + =

. (5.94)
0
M will go to infinity when the denominator of (5.92) goes to zero for some angle
0
, which
occurs when both ( )
0
R and ( )
0
I are simultaneously zero. Expressing R and I in the more
convenient form

R R R
C B A R + = sin cos , (5.95)
and
I I I
C B A I + = sin cos , (5.96)

where the coefficients can be determined simply by comparison with (5.93) and (5.94). To solve
for the angle
0
at which both terms of the denominator are zero, we rewrite (5.95) and (5.96) in
matrix form as

(
=
(
2
1
0
0
2 2
1 1
sin
cos
C
C
B A
B A
, (5.97)
whose solution is

(
=
(
=
(
sin
cos
1 2 2 1
2 1 1 2
1 2 2 1 0
0
1
sin
cos
x
x
C A C A
C B C B
B A B A
. (5.98)
Since ( ) ( )
2
1 arccos sin x x = , and if

2
cos sin
1 x x = , (5.99)
then there is a [ ] 2 , 0
0
that satisfies (5.98). It is clear from numerical simulations using the
new time-varying method that this is true at points of infinite growth. Since these points of
infinite growth are occurring in both the FDTD simulations and in our new time-varying method
at the same pumping frequencies and do not occur in the static case, we conclude that time-
varying material parameters can cause parametric amplification under the right conditions.
5.5.2 Signal switching
One possible application of the modified transmission properties in time-varying phononic
crystals is switching a CW signal by changing the pumping frequency. To demonstrate this
concept, two pumping frequencies were chosen that had opposite effects on the attenuation in the
centre of the first band gap of the time-varying corrugated tube waveguide. Figure 5.11 shows
the spectra for Hz 180 =
p
f and for Hz 400 =
p
f . The transmission within the band gap is
changed by approximately 12 dB according to the new time-varying method.

~
1
2
d
B
T
r
a
n
s
m
i
s
s
i
o
n

C
o
e
f
f
i
c
i
e
n
t

Figure 5.11. The transmission spectra for two different pumping frequencies
chosen to demonstrate switching of a 2 kHz CW signal. There is approximately a
12 dB difference between the transmission coefficients at 2 kHz.
Next, an FDTD simulation was run with an incident 2 kHz CW waveform and a pumping
frequency that alternated between 180 and 400 Hz. Figure 5.12 shows a short-time Fourier
transform of the transmitted signal that demonstrated the expected switching, albeit with a lower
dynamic range. This is due in part to the fact that the finite nature of the pumping signals means
that they were not perfectly narrowband as in the new TV-TMM formulation. Thus, the pumping
signal spectrum was smooth and not discrete in the FDTD simulation. Similarly, the incident
pulse was also not a discrete frequency, but was Tukey windowed to reduce signal artefacts. All
these simulation non-idealities mean that energy is present at locations of the surface in
Figure 5.10 other than the two points described by ( ) ( ) Hz 180 , kHz 2 ,
0
=
p
f f and
( ) Hz 400 , kHz 2 resulting in a lower switching dynamic range than predicted in the ideal case
illustrated in Figure 5.11. Nevertheless, this demonstration of CW signal switching as predicted
by our extended method indicates that time-varying phononic crystals may be able to switch
from a transmissive to reflective state simply by changing the pumping frequency of an active
material.

2

k
H
z

T
r
a
n
s
m
i
s
s
i
o
n

(
d
B
)

Figure 5.12. The normalized short-time Fourier transform of a 2 kHz transmitted
signal for an FDTD simulation of a time-varying phononic crystal switching
between the two states illustrated in Figure 5.11. The red lines indicate when the
pumping signal was switched. The dynamic range of approximately 4 dB is less
than the predicted 12 dB due to non-idealities in the FDTD simulation. The
incident waveform frequency is in the centre of the first band gap.
5.6 Summary and concluding discussion
We have presented a new formulation for predicting the transmission properties of time-varying
phononic crystals. This method gives closed-form solutions to the transmission through single
and multiple time-varying cells. In particular, a periodic parameter-variation signal results in a
discrete summation of harmonics. At every scattering interface, the time-varying material
parameters modulate the energy of the propagating waves to and from the fundamental
frequency, resulting in dramatically altered transmission properties. It was shown that the
extended method closely matches the predictions of FDTD simulations with execution times
many orders of magnitude faster. It was also demonstrated that time-varying material parameters
can affect the nature of acoustic wave transmission in phononic crystals. These effects remain to
be demonstrated experimentally, and the method and results presented in this chapter indicates
that such future research may be worthwhile and fruitful.
- 128 -

Chapter 6

DYNAMIC PHONONIC CRYSTALS IN TWO
DIMENSIONS
In this chapter we use multiple scattering theory to extend the time-varying results to cylindrical
scatterers in two dimensions. Our analysis is based on the scalar velocity potential, thereby
limiting the method to fluid-only hosts and scatterers. We compare this time-varying multiple
scattering theory (TV-MST) to FDTD simulations for both one and multiple cylindrical
scatterers. It is shown that the two methods produce similar results, but that our extended method
is superior in many ways. Most notably, the computational complexity increases logarithmically
as opposed to linearly with the FDTD method, making it faster when a large number of scatterers
are involved. Finally, some conclusions are drawn and possible improvements are discussed.
6.1 Time-varying multiple scattering theory
Our analysis uses the same notation and assumptions as the static case presented in Section 4.3.
First, we consider a single time-varying cylinder with continuously time-varying material
parameters. The solution is discretized and an extended T-matrix is obtained that includes the
effects of coupling between incident and scattered temporal frequencies. Finally, the scattered
field of multiple time-varying cylinders is investigated and it is shown that the matrix equations
for multiple scatterers essentially remain unchanged.
6.1.1 Scattering from one time-varying cylinder
It is assumed that the host material parameters,
0
c and
0
Z , are constant. Further, it is
assumed in the development of the time-varying T-matrix that the scatterer has a constant phase
velocity,
1
c but a time-varying impedance, ( ) t Z
1
. Thus, ( ) ( )
1 1 1
c t Z t = and ( ) ( )
1 1 1
c t Z t K = .
The reason for this restriction is that it isolates the effects of time-varying material parameters to
the boundary conditions at the host-scatterer interface. While this restriction is present in our
development of the time-varying T-matrix for an individual cylinder, it is not present when
combining multiple time-varying T-matrices to determine the total system scattering. Other
methods may be used to find the time-varying T-matrix for the more complicated case of a time-
varying phase velocity. Then, the resulting time-varying T-matrices may be combined using the
Chapter 6. Dynamic Phononic Crystals in Two Dimensions 129

methods subsequently described. Various methods for calculating the response of cylinders with
time-varying phase velocities are reviewed in [298].
The time-dependent incident and scattered fields can be written in either the time or
frequency domain. For example, the incident field is
( ) ( ) ( )
m
m m inc
d t u , , r r , (6.1)
where u is the velocity potential and the double arrow indicates the Fourier dual. That is, the time
domain field can be represented as a sum of a spectrum of orthogonal cylindrical wavefunctions.
Thus, the time domain function can be rewritten as the inverse Fourier transform of the spectrum
as
( ) ( ) ( )

d e d t u
t j
m
m m inc
= , ,
2
1
r r , (6.2)
noting that the summation and integral may be exchanged due to the orthogonality of the terms.
The boundary conditions must be satisfied at all times, and thus can be restated in the
presence of time-varying material parameters within the cylinder as
( ) ( ) ( ) [ ] 0 , , , = +
=R r sc inc
t v t u t u r r r , (6.3)
and ( ) ( ) [ ]
( )
( ) 0 ,
1
, ,
1
1 0
=
(
=R r
sc inc
t v
t
t u t u
r
r r r

, (6.4)
where v is the velocity potential within the cylinder. Substituting the spectra into the first
boundary condition, (6.3), and simplifying:

( ) ( ) ( ) ( )
( ) ( )
0
,
, ,
2
1
2
1
2
1
=
(
(
(
+
=
R r
t j
m
m m
t j
m
m m
t j
m
m m
d e b
d e c d e d

r
r r
, (6.5)

( ) ( )
( )
0
2
1
1
0 0
=
(
(
(
(
(
|
|
\
|
|
|
\
|
+
|
|
\
|

m
t j
m m
t j
m m
t j
m m
jm
d e R
c
J b
d e R
c
H c d e R
c
J d
e
. (6.6)
Because the exponentials,
jm
e , are orthogonal, (6.6) becomes m independent equations,
( ) ( ) ( ) 0
1 0 0
=
|
|
\
|
|
|
\
|
|
|
\
|
+
|
|
\
|

d e R
c
J b R
c
H c R
c
J d
t j
m m m m m m
. (6.7)
Again because the exponentials,
t j
e

, are orthogonal, the inner expression must be zero for all
so that the integral is zero for all t, leading to

( ) ( ) ( ) 0
1 0 0
=
|
|
\
|
|
|
\
|
+
|
|
\
|
R
c
J b R
c
H c R
c
J d
m m m m m m
, (6.8)
which is the first boundary condition in the time-varying case.
The simplification of the second boundary condition will proceed as before, beginning by
substituting the spectra into the second boundary condition as given by (6.4). The time domain
multiplication of the last term in the brackets in (6.4) can be rewritten as a frequency domain
convolution,

( )
( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )
( ) ( ) ( )

=
)
`
=
)
`
=
=
d e d b P
d b P
b P
t b t P t b
t
t j
m
m m
m
m m
m
m m
,
,
,
, ,
1
1
4
1
1
1
2
1
1
1
2
1
1
1
2
r
r
r
r r
. (6.9)
where ( ) ( ) t t P
1 1
1 = . If the density is an offset sinusoidal function of t, the method presented in
Section 5.2.3 may be used to find the Fourier series of its reciprocal. Proceeding with the
substitutions,

( ) ( ) ( ) ( )
( ) ( ) ( )
0
,
, ,
1
1
4
1
2
1
2
1
0
2
=
(
(
(
(
R r
t j
m
m m
t j
m
m m
t j
m
m m
d e d b P
d e c d e d
r

r
r r
, (6.10)

( ) ( )
( ) ( )
0
1
2
1
1
1
2
1
0 0 0
=
(
(
(
(
(
|
|
\
|

(
(
|
|
\
|
+
|
|
\
|

R r
m
t j
m m
t j
m m
t j
m m
jm
d e d r
c
J b P
d e r
c
H c d e r
c
J d
r
e

. (6.11)
Because the exponentials,
jm
e , are orthogonal, (6.11) becomes m independent equations,

( ) ( )
( ) ( )
0
1
1
1
2
1
0 0 0
=
(
(
(
(
(
|
|
\
|

(
|
|
\
|
+
|
|
\
|
=

R r
t j
m m
t j
m m
t j
m m
d e d r
c
J b P
d e r
c
H c d e r
c
J d
r

. (6.12)
Combining the integrals,

( ) ( )
( ) ( )
0
1 1
1
1
2
1
0 0 0 0
=
(
(
(
(
(
|
|
|
|
|
\
|
|
|
\
|

|
|
\
|
+
|
|
\
|
R r
t j
m m
m m m m
d e
d r
c
J b P
r
c
H c r
c
J d
r
. (6.13)
Taking the derivative, which is independent of the integration,

( ) ( )
( ) ( )
0
1 1
1
1
1
2
1
0 0 0 0 0 0
=
|
|
|
|
|
\
|
|
|
\
|

|
|
\
|
+
|
|
\
|
d e
d R
c
J b P
c
R
c
H c
c
R
c
J d
c
t j
m m
m m m m
. (6.14)
Again because the exponentials,
t j
e

, are orthogonal, the inner expression must be zero for all
, giving

( ) ( )
( ) ( ) 0
1
1
1
1
2
1
0 0 0 0
=
|
|
\
|

(
(
|
|
\
|
+
|
|
\
|
d R
c
J b P
c
R
c
H c R
c
J d
c
m m
m m m m
. (6.15)
Noting that
0 0 0
Z c = , this can be rewritten in terms of the characteristic acoustic impedance as
( ) ( ) ( ) ( ) 0
2
1
1
1
0
0 0
=
|
|
\
|

|
|
\
|
+
|
|
\
|
d R
c
J b P
c
Z
R
c
H c R
c
J d
m m m m m m
, (6.16)
which is the second boundary condition simplified.
Noting that (6.8) can be rewritten as,
( ) ( ) ( )
(
|
|
\
|
+
|
|
\
|
|
|
\
|
=
R
c
H c R
c
J d R
c
J b
m m m m m m
0 0
1
1
, (6.17)
we can substitute (6.17) into (6.16) to arrive at

( ) ( )
( ) ( ) ( ) 0 ,
0 0
0 0
=
(
|
|
\
|
+
|
|
\
|

|
|
\
|
+
|
|
\
|

d R
c
H c R
c
J d B
R
c
H c R
c
J d
m m m m
m m m m
, (6.18)
where ( ) ( )
|
|
\
|
|
|
\
|
= R
c
J R
c
J P
c
Z
B
m m
1 1
1
1
0
2
,

. (6.19)

This factor can be rewritten in a form similar to (4.132), except that ( ) , B is related to the
inverse of because of the order in which we combined the boundary conditions. Rearranging
gives

( ) ( ) ( )
( ) ( ) ( )
(
|
|
\
|

|
|
\
|
=
|
|
\
|

|
|
\
|

d R
c
J d B R
c
J d
d R
c
H c B R
c
H c
m m m m
m m m m
0 0
0 0
,
,
, (6.20)
which may be rewritten as

( ) ( ) ( )
( ) ( ) ( )
|
|
\
|

|
|
\
|
=

(
|
|
\
|

|
|
\
|

d d R
c
J B R
c
J
d c R
c
H B R
c
H
m m m
m m m
0 0
0 0
,
,
. (6.21)
This is the continuous equation relating the incident and scattered fields in the time-varying case.
Verification of the static case
To verify that (6.21) collapses into (4.132) under static conditions, we simply choose
( )
1 1
= t , and therefore ( ) { } ( )
1 1 1
2 1 = = P . Furthermore, we consider only a single
incident frequency,
0
= , so that ( ) ( )
0
2 =
m m
d d and ( ) ( )
0
2 =
m m
c c .
Substituting these values into (6.21) gives

( ) ( ) ( )
( ) ( ) ( )
|
|
\
|

|
|
\
|
=

(
|
|
\
|

|
|
\
|

d d R
c
J B R
c
J
d c R
c
H B R
c
H
m m m
m m m
0
0 0
0
0 0
,
,
, (6.22)

( )
( )
m m m
m m m
d R
c
J B R
c
J
c R
c
H B R
c
H
(
|
|
\
|
|
|
\
|
=
(
|
|
\
|
|
|
\
|
0
0
0 0 0
0
0
0
0
0
0 0 0
0
0
0
,
,
, (6.23)

( ) ( ) ( ) [ ]
( ) ( ) ( ) [ ]
m
m m
m m
m
d
R k H B R k H
R k J B R k J
c
0 0 0 0
0 0 0 0
,
,

= . (6.24)
Since ( )
( )
( ) R k J
R k J
Z
Z
B
m
m
1
1
1
0
0 0
,

= , (6.25)
therefore, after some rearrangement,

( )
( )
( )
( )
( )
( )
( )
( )
m
m
m
m
m
m
m
m
m
m
d
R k H
R k J Z
R k J Z
R k H
R k J
R k J Z
R k J Z
R k J
c
(
=
0
1 0
1 1
0
0
1 0
1 1
0
, (6.26)
which is identical to the solution in (4.132).
A discrete solution
Since every factor in (6.21) is known except for ( )
m
c , a solution to the equation should be
possible. One means of numerically solving this equation is to parameterize and so that
+ = i
i 0
, i , (6.27)
where
0
is a chosen fundamental reference frequency and is the desired frequency
resolution. Equation (6.21) may be rewritten using this notation as

( ) ( ) ( )
( ) ( ) ( )
|
|
\
|
|
|
\
|
|
|
\
|
=
|
|
\
|
|
|
\
|
j
j m
j
m j j i i m
i
m i
j
j m
j
m j j i i m
i
m i
d R
c
J B d R
c
J
c R
c
H B c R
c
H
0 0
0 0
,
,
, (6.28)
where, in practice the summation would be truncated to cover some desired frequency range.
This equation can be rewritten in matrix notation as

m m m m
d W c V = , (6.29)
where { } ( ) ( ) ( ) [ ]
T
m m m
i
m m
c c c c L L
1 0 1

= = c , (6.30)
{ } ( ) ( ) ( ) [ ]
T
m m m
j
m m
d d d d L L
1 0 1

= = d , (6.31)
{ }
ji
m m
V = V , ( )

|
|
\
|
|
|
\
|
= R
c
H B R
c
H V
j
m j j i ij
i
m i
ji
m
0 0
, , (6.32)
and { }
ij
m m
W = W , ( )

|
|
\
|
|
|
\
|
= R
c
J B R
c
J W
j
m j j i ij
i
m i
ij
m
0 0
, . (6.33)
Thus, for a truncated range of frequencies with a finite frequency resolution, the matrices are
finite and the system is solvable:

m m m m
d W V c
1
= . (6.34)
Using (6.34), we may define a new time-varying T-matrix for scattering from one time-
varying cylinder as

{ } [ ] { }
ij
mn m m
ij
W V T T
1
= = , (6.35)
where the
mn
indicates that the spatial cylindrical wavefunction modes are decoupled because
we are dealing with a cylindrical scatterer. The matrix is indexed as { }
ij
mn
T = T and corresponds
to the scattered field angular frequency index (i), the incident field angular frequency index (j),
the scattered field cylindrical wavefunction mode (m), and the incident field cylindrical
wavefunction mode (n).
By extending our definitions of the scattered and incident vectors and the T-matrix, we can
write the relationship between scattered and incident fields as
Td c = , (6.36)
which is the same notation as in the static case. The extended vectors are shown in Figure 6.1
and the extended T-matrix is shown in Figure 6.2. The elements of c and d can be partitioned and
considered as block vectors. On the larger scale, the block components of the vector correspond
to the various temporal harmonics
1
, and on the smaller scale each block consists of cylindrical
wave modes for a particular harmonic.
{ } ( ) { }
(
(
(
(
(
(
= = =
M
M
1
0
1
c
c
c
c c c
i
i
( ) { }= =
1
m
c
(
(
(
(
(
(
M
M
1
1
1
0
1
1
c
c
c

Figure 6.1. The time-varying scattered field coefficient vector. The time-varying
column vectors of scattered and incident field coefficients in (6.30) and (6.31),
respectively, can be visualized as column block vectors. The scattered field
coefficients are illustrated here, but the incident field coefficients are configured
in an identical manner. Shown left, the entries on a large scale correspond to the
various harmonics. Each of those entries is itself a column vector of cylindrical
wave modes for a particular harmonic.
The T-matrix can be envisioned as a two dimensional block matrix. In the larger matrix, each
block corresponds to the relationship between scattered and incident harmonics. Each block
contains elements that relate the scattered and incident cylindrical wave modes.

1
The reader is reminded that we use the term harmonics for brevity in reference to sum and difference frequencies
with respect to the pumping frequency.

{ } ( ) { }
(
(
(
(
(
(
= = =

O N
N O
1 , 1 0 , 1 1 , 1
1 , 0 0 , 0 1 , 0
1 , 1 0 , 1 1 , 1
,
T T T
T T T
T T T
T T T
j i
ij

( ) { }
(
(
(
(
(
(
= =

O N
N O
0 , 1
1 , 1
0 , 1
0 , 1
0 , 1
1 , 1
0 , 1
1 , 0
0 , 1
0 , 0
0 , 1
1 , 0
0 , 1
1 , 1
0 , 1
0 , 1
0 , 1
1 , 1
0 1
0 , 1
,
T T T
T T T
T T T
T
mn
T

Figure 6.2. A discrete time-varying T-matrix. On the larger scale, shown above,
each element of the T-matrix relates scattered field angular frequency i with
incident field angular frequency j. Each element of this matrix is itself a matrix
that relates scattered cylindrical wave mode m with incident mode n.
Using the block notation, the solution, Td c = , is

(
(
(
(
(
(
(
(
(
(
(
(
=
(
(
(
(
(
(

M
M
O N
N O
M
M
1
0
1
1 , 1 0 , 1 1 , 1
1 , 0 0 , 0 1 , 0
1 , 1 0 , 1 1 , 1
1
0
1
d
d
d
T T T
T T T
T T T
c
c
c
. (6.37)
Since we are dealing with a cylinder and we are using a cylindrical decomposition of the fields,
T is diagonal in the mn dimensions. That is, T is a block matrix of diagonal matrices.
Under these new definitions, the incident field is
( ) ( )d r r =
inc
u , (6.38)
where ( ) ( ) { } ( ) { }
j
j
, r r r = = and ( ) ( ) { } r r
j
n
j
= , are both row vectors. Similarly, the
scattered field is
( ) ( )c r r =
sc
u , (6.39)
where ( ) ( ) { } ( ) { }
i
i
, r r r = = and ( ) ( ) { } r r
i
m
i
= , are also both row vectors.
The scattered field from a non-periodic time-varying scatterer
When the material parameters are varying in a non-periodic manner, one cannot simply
consider the question in terms of harmonics. The T-matrix will still be discrete in the mn
dimension but will be a continuous function of the incident and scattered field angular
frequencies, and respectively. Thus,

( ) ( ) ( )
= d d T c , (6.40)
This integration can be performed numerically by considering the T-matrix in (6.35) and
discretizing ( ) d so that N
j
, the number of incident harmonics, is sufficiently large enough to
span the incident spectrum at a suitable resolution.
The scattered field from a periodic time-varying scatterer
If the material parameter variation is periodic, the continuous relationship in (6.21) will
degenerate into the equivalent discrete relationship in (6.29) since a periodic spectrum consists of
discrete components. We begin by considering a monochromatic incident field of angular
frequency
0
= , and time-varying material parameters of a particular pumping angular
frequency,
p
. The scattered field will therefore consist of harmonics located at
p i
i + =
0
,
which is same notation used in (6.27) with
p
= . The incident field is simply specified by
the coefficients, ( ) ( )
0
0
=
m m
d d , and the scattered field coefficients can be written as the
angular frequency-domain Fourier series,
( ) ( )
=
i
i
i
m m
c c , (6.41)
where the usual factor of 2 has been absorbed into the coefficients. Similarly, the inverse of
the time-varying density of the cylinder and its Fourier transform may be written as
( ) ( )

= =
s
t js
s p
e P t t P

1 1 1
1 , and ( ) ( )
=
s
p
s
s P P
1 1
2 . (6.42)
Substituting (6.41) into (6.20) gives

( ) ( ) ( )
( ) ( ) ( )
(
|
|
\
|

|
|
\
|
=
|
|
\
|

|
|
\
|

d R
c
J d B R
c
J d
d R
c
H c B R
c
H c
m m m m
m
i
r
i
m m
i
i
i
m
0
0
0
0
0
0
0 0
,
,
, (6.43)

( ) ( ) ( )
( ) ( ) ( )
0
0
0
0
0
0 0
,
,
m m m
i
i
m m i m i
d d R
c
J B R
c
J
c d R
c
H B R
c
H
(
|
|
\
|

|
|
\
|
=
(
|
|
\
|

|
|
\
|

, (6.44)

( ) ( )
( ) ( )
0
0
0
0 0
0
0
0 0
,
,
m m m
i
i
m
i
m i i m i
d R
c
J B R
c
J
c R
c
H B R
c
H
(
|
|
\
|
|
|
\
|
=
(
|
|
\
|
|
|
\
|

. (6.45)

Substituting (6.42) into (6.19) gives
( ) ( )
|
|
\
|
=
s
m p
s
R
c
L s P
c
Z
B
1
1
1
0
,

, (6.46)
where ( ) ( ) ( ) x J x J x L
m m m
= . (6.47)
Substituting this into (6.45) and simplifying yields

( ) ( )
( ) ( )
0
0
0
0
1
0
1
1
0
0
0
0 1
1
1
0
0
m m m
s
s
s
m
i
i
m
i
m i
i
m
s
s i
s
m i
d R
c
J R
c
L P
c
Z
R
c
J
c R
c
H R
c
L P
c
Z
R
c
H
(
|
|
\
|
|
|
\
|

|
|
\
|
=
(
|
|
\
|
|
|
\
|

|
|
\
|

. (6.48)
Rearranging this equation on a per-frequency basis by solving for
j
= gives

( ) ( )
( ) ( )
0
0
0
0
1
0
1
1
0
0
0
0 1
1
1
0
0
m m m
s
s j
s j
m j j
i
i
m
i
m i
i
m
s
s i j
s j
m j i j
d R
c
J R
c
L P
c
Z
R
c
J
c R
c
H R
c
L P
c
Z
R
c
H
(
(
|
|
\
|
|
|
\
|

|
|
\
|
=
(
(
|
|
\
|
|
|
\
|

|
|
\
|

. (6.49)
Because of the delta functions, the first summation over s is only nonzero when j s i = + and the
second when j s = . Discretizing the delta functions with the understanding that each discrete
component is the coefficient of a corresponding delta function in the continuous spectrum,

0
0
0
0
1
0
1
1
0
0
0
0 0
0 1
1
1
0
0
m m m
j
m j
i
i
m
i
m i
i
m
i j i
m i ij
d R
c
J R
c
L P
c
Z
R
c
J
c R
c
H R
c
L P
c
Z
R
c
H
(
|
|
\
|
|
|
\
|
|
|
\
|
=
(
|
|
\
|
|
|
\
|
|
|
\
|

. (6.50)
As in the discretized solution, (6.50) can be written in a matrix format as

0
m m m m
d W c V = , (6.51)
where { } ( ) ( ) ( ) [ ]
T
m m m
i
m m
c c c c L L
1 0 1

= = c , (6.52)
{ }
ji
m m
V = V ,
|
|
\
|
|
|
\
|
|
|
\
|
=

R
c
H R
c
L P
c
Z
R
c
H V
i
m i
i
m
i j i
m i ij
ji
m
0 1
1
1
0
0

, (6.53)
and { }
j
m m
W = W ,
|
|
\
|
|
|
\
|
|
|
\
|
= R
c
J R
c
L P
c
Z
R
c
J W
m m
j
m j
j
m
0
0
0
1
0
1
1
0
0
0
0 0

. (6.54)
Note that
m
W is a column vector since there is only one incident frequency. Thus,

0 1
m m m m
d W V c

= . (6.55)

We can reorder this result to conform with the notation in (6.36), in which case
[ ]
mn j
i
m m
ij
mn
T
0
1
W V
= , (6.56)
where [ ]
i
m m
W V
1
refers to the i
th
element of the
m m
W V
1
vector.
If the incident field is not monochromatic, then the solution will consist of a summation of
relevant harmonics for a particular scattered frequency. The relevant incident frequencies are
( )
i
m p m
d i d = +
0
. (6.57)
Considering all the relevant incident frequencies up- or down-modulated to the frequency of
interest, the T-matrix will be
[ ]
mn
ij
m m
ij
mn
T W V
1
= , (6.58)
where [ ]
ij
m m
W V
1
is the i
th
element of the
m m
W V
1
vector calculated with
j
= . The extended
T-matrix relationship, (6.36), may then be multiplied with the incident coefficient vector d.
This concludes our discussion of scattering from a single time-varying cylinder. Next, the
multiple scattering from many such time-varying scatterers is considered, and is shown to be
very similar to the formulation in static case.
6.1.2 Scattering from N periodically time-varying cylinders
Consider N periodically time-varying cylinders with known discrete time-varying T-matrices,
{ }
ij
mn p p
T
,
= T , [ ] N p , 1 where m and n are the scattered and incident cylindrical waves modes,
and i and j are the scattered and incident angular frequency components, respectively. We want
to find an equivalent time-varying T-supermatrix, { }
ij
mn tot tot
T
,
= T , so that
d T c
tot tot
= , (6.59)
where we have used the notation introduced in Figure 6.1 and Figure 6.2. To use the matrix
solutions presented in Section 4.3.3, we require a new time-varying definition of the separation
matrix. Essentially, each harmonic is individually moved using the block matrix
( ) { }
kl
ij
kl
b S S = , where ( ) ( ) { }
kl
ij
mn kl
ij
S b b S = . (6.60)
The separation matrix elements are
( ) ( )
ij i kl n m kl
ij
mn
S , b b
= . (6.61)
Using these new definitions, we may simply use the same T-matrix equations for multiple
scatterers as in the static case, restated here for convenience:

=
=
N
k
k lk l
1
d T c , where ( ) [ ]
k
T
lk lk lk l l lk
T S I T B T + = 1 . (6.62)

= =
=
N
l
N
k
k lk l tot
1 1
0 0

S T S T . (6.63)
The complexity of calculating T
tot

If all the individual T-matrices are identical, then the T-supermatrix may be created with a
logarithmic computational complexity with respect to the number of scatterers. The argument as
to why this is the case is essentially identical to that presented for the 1D case in Section 5.4.1.
The T-supermatrix is calculated for two, then four, then eight, etc. scatterers until the desired
T-supermatrix has been created. The procedure and complexity are also identical as in
Section 5.4.1, except that repeated applications of (6.63) replace the integrations in Figure 5.5
and the accompanying discussion. If the individual T-matrices are not identical, then the
T-supermatrix must be composed in a linear manner.
The extended method can be easily parallelized (multithreaded) to run across multiple CPU
cores or on a GPU. The elements of the various matrices can be generated in parallel, and the
majority of the remaining operations are matrix multiplications and inversions. Since these
operations can be computed in parallel [302], therefore this extended method will experience
similar computational gains as the FDTD method using parallel computation.
6.2 Verification
The extended method for periodically time-varying scatterers was compared against
analogous FDTD simulations for both static and dynamic cases. The simulation results match
quite well as the subsequent figures show. The configuration used in all the simulations was
cylinders with identical proportions and properties as in the phononic crystal design that was
discussed in Chapter 3. The only difference is that the stiffnesses of the stainless 303 were
adjusted to disable transverse waves since our extended method does not account for these. To
do this, we set
11 12
C C = and 0
44
= C . The simulation region was 12R by 9R ( z by x ), where R
is the cylinder radius. The source was located 5.5R (8.638 mm) in the - z direction from the
centre of the simulation region. In all the subsequent figures of the displacement or velocity field
amplitudes, field values are normalized so the colour scale proceeds from blue to red and
represents values from zero to one.
To produce results that can be visually compared, two separate FDTD simulations were
executed to obtain the incident and scattered fields. The first simulation contains only the source
and provides the incident displacement field. The second simulation contains the source and

scatterers and provides the total field, consisting of the incident plus scattered displacement
fields. The new TV-MST method calculates the incident and scattered fields as the velocity
potential, which is then converted into the velocity to compare it with the FDTD results. The
FDTD results are displacements and not velocities, but since the fields are decomposed by
frequency and normalized, the two sets of results can be directly compared. For brevity, we shall
simply refer to both fields as displacement fields.
The FDTD simulation used a Gaussian-apodized transparent source. The input pulse was
Gaussian-modulated with a centre frequency of 350 kHz and a 20 kHz bandwidth instead of a
monotone which alleviated the need for signal windowing. The simulation region consisted of
256 points in the z direction and 192 points in the x direction. The time step was 5 ns, and the
simulation duration was 118.52 s. This was the duration of two full input waveforms.
One source of error in the FDTD simulations arose because the transparent source
implementation has some artefacts present at its edges. Figure 6.3 shows the magnitude of the
displacement components along the aperture plane. The magnitude of the source spatial response
in the z direction, shown in blue, closely resembles the intended Gaussian shape from
approximately -6 to 6 mm. However, there are unintended sharp jumps at these points. Also, the
magnitude of the source spatial response in the x direction, shown in red, should be zero but has
a notable amplitude in the simulation. A solution to these problems was unclear, but their impact
on the overall results is minimal. It is still apparent that the results of the extended method
closely match those of the FDTD method.
-8 -6 -4 -2 0 2 4 6 8
0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
Aperture Plane (mm)
N
o
r
m
a
l
i
z
e
d

S
o
u
r
c
e

A
m
p
l
i
t
u
d
e
|u
z
|
|u
x
|

Figure 6.3. The recorded FDTD source amplitude on the aperture plane. The x
and z directions are parallel and perpendicular to the source aperture plane,
respectively.

To simulate the Gaussian-apodized source in the extended method, the spatial transform of
the source apodization function was used to generate plane waves of various angles and
amplitudes. Then, each plane wave component was converted into cylindrical wavefunction
coefficients using the Jacobi expansion in (4.108). The coefficients for each mode were then
summed together to find the set of incident wave coefficients needed to reconstruct the source.
There were 50 wavevectors used in the source aperture decomposition and 51 cylindrical wave
modes included in the summations. These choices were deemed sufficient because increasing
them did not result in any appreciable improvement in the quality of the simulation results. Four
harmonics plus the fundamental were solved for (i.e. [ ] 2 , 2 i in
i
).
6.2.1 One static cylinder
F
D
T
D
T
V
-
M
S
T

Figure 6.4. The simulated displacement fields for a single static cylinder. Panels
a) through c) show the incident, total, and scattered fields acquired from the
FDTD simulations. Panels d) through f) show the results obtained from the
extended method, labelled TV-MST. The slight scalloping visible in the FDTD
simulations may arise from source and absorbing boundary condition non-
idealities.
As a first check, simulations of one static cylinder were performed using both the FDTD
method and the new time-varying method. It was shown analytically in Section 6.1.1 that the
extended method collapses to the standard multiple scattering theory for one cylinder if the
material parameters are constant. However, a check against the well-established FDTD method

was still warranted. The simulation results showing the normalized magnitude of the
displacement amplitude
z
u at 350 kHz are shown in Figure 6.4 and display excellent agreement.
We therefore concluded that our extended method produces correct results for a single static
cylinder.
6.2.2 Several static cylinders
A simulation of three static cylinders placed in a non-symmetric configuration was designed
to verify that the T-supermatrix formulation is correct in the static case. Figure 6.5 shows that the
two different simulation methods provide the same normalized
z
u displacement fields for three
static cylinders. There are slight discrepancies between the scattered and total fields which can
be attributed to the FDTD simulation non-idealities, but the two sets of simulations show
excellent qualitative agreement otherwise.
F
D
T
D
T
V
-
M
S
T

Figure 6.5. The simulated displacement fields for three static cylinders. Panels a)
through c) show the incident, total, and scattered fields acquired from the FDTD
simulations. Panels d) through f) show the results obtained from the extended
method, labelled TV-MST. There is excellent qualitative agreement between the
two sets of figures. The slight discrepancies are attributable to non-idealities in
the FDTD simulation.
6.2.3 One periodically time-varying cylinder
In this test, the formulation for the time-varying T-matrix for a single cylinder was verified.
The characteristic impedance of the cylinder,
2
Z , was varying sinusoidally by 20%, called the

variation factor. It was varying at a pumping frequency of 100 kHz. The variation factor was
chosen so that the first two harmonics above and below the fundamental frequency were greater
than the noise floor of the FDTD simulation. By noise floor, we mean the error introduced
through signal truncation due to a finite-duration simulation, imperfect absorbing boundary
conditions, and the discretization of the simulation region. Figure 6.6 shows the normalized
incident and total field magnitude spectra of
z
u for a point along the x centreline and halfway
between the aperture and the cylinder centre. The incident field spectrum is shown in blue, with
the 350 kHz Gaussian envelope clearly visible. The total field, which is the sum of the incident
and scattered fields, is shown in red. The presence of the first and second harmonics are evident
in the total signal. The incident pulse bandwidth and pumping frequency were chosen to
minimize the overlap of the incident pulse spectrum with the harmonics.
N
o
r
m
a
l
i
z
e
d

A
m
p
l
i
t
u
d
e

(
d
B
)

z
for a single cylinder. The
point measured was along the x centreline and halfway between the aperture and
the cylinder centre. The blue spectrum is the incident pulse alone, and the red
spectrum is for a dynamic cylinder with
2
Z varying by 20% at 100 kHz. The
first two harmonics are visible in addition to the fundamental. The curves are
normalized by the incident spectrum at 350 kHz.

The normalized incident, scattered, and total
z
u displacement field magnitudes at 350 kHz
are shown in Figure 6.7 for both the FDTD and new TV-MST methods. The results match quite
well, but appear to differ very little from the static case presented in Section 6.2.1. However,
once one examines the displacement field magnitudes at the harmonic frequencies shown in
Figure 6.8, it is clear that the extended method accurately matches the FDTD method under time-
varying conditions. There is excellent agreement between the two methods, demonstrating the
validity of the new TV-MST formulation for a single cylinder. Panel d) in Figure 6.8 shows
some distortion as compared to panel h), but this can be attributed to the poor signal to noise
ratio at 550 kHz shown in Figure 6.6.
Incident Scattered Total
F
D
T
D
T
V
-
M
S
T
a) b) c)
d) e) f)

Figure 6.7. The simulated fundamental frequency displacement fields for one
time-varying cylinder. The cylinder and input pulse are identical to those in
Section 6.2.1 except that the impedance of the cylinder is varying sinusoidally by
20% at a frequency of 100 kHz.

F
D
T
D
T
V
-
M
S
T

Figure 6.8. The simulated displacement field harmonics for one time-varying
cylinder. The cylinder is the same as shown in Figure 6.7.
6.2.4 Several periodically time-varying cylinders
In this final verification test, the formulation for the time-varying T-supermatrix was verified
for three cylinders. The cylinders are identical to the one in Section 6.2.3, including their time-
varying properties. Figure 6.9 shows the normalized incident and total field magnitude spectra of
z
u at the same point chosen for Figure 6.6. It indicates that the choice of a variation factor of
20% again places the first two harmonics sufficiently above the noise floor that they may be
extracted from the FDTD simulation results. The magnitude of the total field spectrum at
350 kHz is reduced due to destructive interference between the incident and scattered fields at
the chosen measurement location.

N
o
r
m
a
l
i
z
e
d

A
m
p
l
i
t
u
d
e

(
d
B
)

z
for three cylinders. The
point measured was the same as in Figure 6.6. The blue spectrum is the incident
pulse alone, and the red spectrum is the total field for three dynamic cylinders.
Again, the first two harmonics are visible in addition to the fundamental
frequency. The curves are normalized by the incident spectrum at 350 kHz.
The fundamental frequency fields are shown in Figure 6.10 for both the FDTD and extended
methods. Again the results match very well for the fundamental frequency. As in the static case,
there are slight discrepancies between the scattered and total fields which can be attributed to the
FDTD simulation non-idealities. The displacement fields at harmonic frequencies are presented
in Figure 6.11, and confirm that the extended method accurately matches the FDTD method for
more than one time-varying cylinder. There are also some slight discrepancies between the two
methods, but they are due to the FDTD simulation non-idealities; in particular, the source
aperture. Otherwise, there is excellent qualitative agreement between the two sets of simulation
results.

F
D
T
D
T
V
-
M
S
T

Figure 6.10. The simulated fundamental frequency displacement fields for three
time-varying cylinders.
F
D
T
D
T
V
-
M
S
T

Figure 6.11. The simulated displacement field harmonics for three time-varying
cylinders. The cylinders are the same as shown in Figure 6.10.

6.2.5 The modified fundamental frequency field
Since the scattered field did not appear to change significantly between the static and
dynamic cases for both one and three cylinders, one may question the value of attempting to
include active materials into phononic crystals. The change in magnitude between the static and
dynamic cases is shown in Figure 6.12. The figures were generated by normalizing the
magnitude of each point in the dynamic simulation with the magnitude of the same point in the
static simulation and plotting the results on a dB magnitude scale. It can be seen that the change
is only on the order of 0.1 dB. However, our experience with the 1D time-varying method as
described in Chapter 5 is that even these small changes for individual scatterers can lead to large
changes in the transmission behaviour of a phononic crystal. Thus, it should not be taken as a
deterrent to future research in the application of active materials to phononic crystals.
C
h
a
n
g
e

i
n

m
a
g
n
i
t
u
d
e

(
d
B
)

Figure 6.12. The change in scattered displacement field magnitude at the
fundamental frequency. Panel a) shows the change for one cylinder, and panel b)
shows the change for three cylinders.
6.2.6 Application to a time-varying phononic crystal
The extended method was applied to a phononic crystal composed of static and periodically
time-varying cylinders identical to those used in Section 6.2.1 and 6.2.3, respectively. The
cylinder spacing and arrangement was identical to the static phononic crystal that was
experimentally investigated in Section 3.2. In the simulation, there were 44 cylinders arranged as
8 rows and 11 columns. A 350 kHz plane wave was incident on the crystal from the left. The
cylinder impedance was varying by 20% at 100 kHz. The total simulation space encompassed
5 cm in both dimensions, and 41 cylindrical wave modes were used in the multipole expansions.

C
h
a
n
g
e

i
n

a
m
p
l
i
t
u
d
e

(
d
B
)
N
o
r
m
a
l
i
z
e
d

a
m
p
l
i
t
u
d
e

Figure 6.13. A a) static and b) dynamic phononic crystal. Panel a) shows the
normalized amplitude of the velocity potential of the scattered field at 350 kHz
for a static phononic crystal whose cylinders are identical to those in
Section 6.2.1. Panel b) shows the same field for a dynamic phononic crystal
whose cylinders are identical to those in Section 6.2.3. The differences between
the fields are revealed in panel c), which shows the change in amplitude from the
static field to the dynamic field.

Figure 6.14. The displacement field harmonics present in the scattered field of the
dynamic phononic crystal. The fields show the normalized amplitude of the
velocity potential.

The normalized amplitudes of the velocity potential of the scattered field at the fundamental
frequency for both the static and dynamic phononic crystals are shown in Figure 6.13a) and b),
respectively. The differences between the two fields are nearly imperceptible, but become
apparent when the dynamic scattered field is normalized by the static scattered field and is
plotted on a logarithmic colour scale, as in Figure 6.13c). In addition to the fundamental
frequency, there are also scattered fields at harmonic frequencies as shown in Figure 6.14.
These simulations demonstrate that the new time-varying multiple scattering theory may be
successfully applied to time-varying phononic crystals. Comparable FDTD simulations would
take significantly longer to execute than the extended method and would suffer from all of the
drawbacks previously discussed. Future studies may therefore use this extended method to
investigate the transmission and dispersion properties of 2D time-varying phononic crystals.
6.3 Summary and concluding discussion
We have extended multiple scattering theory to handle cylindrical scatterers with time-varying
material parameters. We have also showed that the results of this extended method match those
of similar FDTD simulations for a variety of scenarios. The matrix methods for determining the
effect of multiple scatterers remain unchanged, save for the definitions of the matrices and
vectors, which makes the extended method easy to include in existing multiple scattering
implementations. The extended method retains all the benefits of multiple scattering theory.
There are some improvements and additions to the extended method that would be of great
value, and consist of the inclusion of transverse waves, the ability to model time-varying phase
velocities, and the application to three dimensions. The inclusion of transverse waves is
facilitated by additional vector fields that represent the transverse wave components. There is an
additional boundary condition relating to the traction at the host-scatterer interface [12]. This
modification does not present any fundamental problems, and its incorporation into the extended
method should be feasible.
The analysis of cylindrical scatterers with time-varying phase velocities is complicated, but
various methods have been proposed [298]. The formulation of the time-varying T-matrix for a
single scatterer with a time-varying phase velocity would need to account for the fact that time-
varying effects would no longer be isolated to the interface between the host and scatterer.
However, if the phase velocity varies periodically, then the scattered field will consist of
harmonics just as in the present analysis. Therefore, the method of determining the multiply
scattered field would remain the same once the individual T-matrices are known. The extended
method would greatly benefit from a deeper understating of the role of time-varying phase
velocities in scattering from a cylinder.

Finally, the method as presented in two dimensions may be easily extended into three
dimensions. There is no conceptual difference between two and three dimensional multiple
scattering theory, and only the implementation details differ. This would allow the analysis of 3D
phononic crystals with time-varying scatterers. Also, the use of vector as opposed to scalar
velocity potentials would permit the inclusion of transverse waves in the analysis, allowing the
extended method to be applied to time-varying phononic crystals that use solid materials.

- 152 -

Chapter 7

SUMMARY AND CONCLUSIONS
The summary reviews the most pertinent details of the thesis material. Major contributions of the
thesis are reiterated and the advantages of the new time-varying methods over alternatives are
emphasized. Finally, some suggestions on possible future research and applications are provided.
7.1 Summary
This thesis has explored phononic crystals that include active materials. In particular, we have
extended two of the existing analytical models of phononic crystals to account for scattering by
active materials. Other previous works have examined phononic crystals with active materials,
but have only considered the case of using the active material to change from one static state to
another. In this thesis we have specifically investigated the effects of periodically varying the
material parameters in time, and we have discovered many interesting resultant effects.
A thorough introduction to periodic materials and phononic crystals has been provided. This
was followed by the design, fabrication, and characterization of a static two dimensional
phononic crystal. Many interesting effects experimentally observed were predicted theoretically
by our simulators, including band gaps, dispersion, and focusing due to negative refraction. Next,
we provided a review of the various methods and analytical models that we used to investigate
phononic crystals theoretically. We then extended the 1D transmission matrix method to handle
time-varying material parameters and presented verification of this extended method against the
FDTD method. The results of our extended method showed some interesting effects, including
dramatically altered transmission properties and parametric amplification. In two dimensions, we
extended multiple scattering theory to include the effects of time-varying material parameters.
Finally, we verified that the 2D method produced results in accordance with FDTD simulations.
Both of these extended methods are superior to the FDTD method for computing the acoustic
wave propagation through large numbers of scatterers as the computational complexity grows
logarithmically instead of linearly.
7.1.1 Primary assumptions
Here we list the primary assumptions made in the developments of the methods presented.
The constituent materials of a phononic crystal are:
Chapter 7. Summary and Conclusions 153

Lossless. Consequently, all fluids are inviscid and do not support transverse waves.
Dispersionless. Dispersion arises from spatial periodicity alone. Material parameters
are not functions of the incident wave frequency.
Homogeneous.
Static, except in the extended methods.
Linear. The nonlinear response of the material to high-amplitude incident waves is
not considered.
It is also assumed that the time-varying material parameters are identical at every location within
an active material. That is, the material parameters change instantaneously everywhere and there
is no propagation delay.
7.2 Thesis contributions
7.2.1 Specific developments
The three major accomplishments of this thesis were the design, fabrication, and
characterization of a 2D phononic crystal, the development of the time-varying transmission
matrix method, and the development of the time-varying multiple scattering theory. They are
briefly reviewed here.
Creation of a 2D phononic crystal
A 2D phononic crystal was designed based on the information available in research literature
and on the equipment available for characterization. The final design consisted of 11 rows and 37
columns of 1/8
th
inch diameter stainless steel cylinders packed in a square crystal lattice. They
were held in place by an acrylic support on the tops and bottoms of the cylinders. The crystal
was designed to operate under water in a submersion tank scanner.
Characterization of the crystal provided results that matched very well with FDTD
simulations. The crystal transmission spectrum contains band gaps at a number of different
frequencies. The dispersion properties of the crystal indicated that negative refraction may occur
in the second transmission band of the crystal. Subsequent scanning of the acoustic field external
to the crystal revealed the presence of a focal region indicative of negative refraction.
The time-varying transmission matrix method
The transmission matrix method allows the modelling of wave propagation through periodic
structures in one dimension. The benefit of this method is that it provides an analytical solution
that can give insight into the factors that govern the transmission of acoustic waves in these
structures. Also, the computational complexity grows logarithmically with respect to the number
of scatterers, as opposed to the FDTD method which grows linearly. We modified this method

by including the effects of time-varying material parameters on the scattering and propagation of
acoustic waves. We provided solutions for both periodically and non-periodically time-varying
material parameters. These solutions were verified against FDTD simulations and showed
excellent agreement.
Several interesting effects were noted using our extended method to simulate 1D time-
varying phononic crystals. They included dramatically altered transmission properties and the
presence of parametric amplification. Since our extended method provides analytical solutions to
acoustic wave propagation in 1D time-varying phononic crystals, these solutions were used to
create a closed-form equation for the transmission through one and two time-varying phononic
crystal cells. This equation was investigated and provided insight into the factors leading to the
observation of parametric amplification.
The time-varying multiple scattering theory
Multiple scattering theory is a versatile two and three dimensional method for characterizing
the acoustic wave transmission through many scatterers. The benefits of this method over the
FDTD method are similar to those of the transmission matrix method in 1D: It gives analytical
solutions to wave propagation in scattering structures, and its computational complexity grows
logarithmically. We modified the 2D method by including the effects of time-varying material
parameters. We describe a new T-matrix that includes the effects of frequency modulation that
occurs in time-varying phononic crystals. These solutions were also verified against FDTD
simulations and showed excellent agreement.
The extended method will allow fast characterization of time-varying phononic crystals
without the need to resort to lengthy FDTD simulations. Also, the method of combining T-
matrices to form the T-supermatrix remains unchanged provided that the new matrix definitions
are used. Thus, it is quite compatible with existing implementations of multiple scattering theory.
This extended method may be easily extended to three dimensional multiple scattering theory.
7.2.2 Primary research contributions
The main research contributions of this thesis consist of simulation tools and analytical
models for time-varying phononic crystals in one and two dimensions. The following list
summarizes the primary original research contributions of this thesis. They include:
a) The creation and characterization of a 2D phononic crystal demonstrating many interesting
phononic crystal effects.
b) The creations of an FDTD simulator capable of handling time-varying material parameters
that includes numerous source and boundary conditions.

c) The development of the analytical solution to the FDTD simulation stability limits for a 2D
homogeneous medium.
d) The modification of the transmission matrix method to include the effects of time-varying
e) The development of a closed-form equation for acoustic wave transmission through one and
two time-varying 1D phononic crystal cells.
f) The observation in simulation of dramatically altered transmission properties of time-varying
1D phononic crystals using our extended method.
g) The observation in simulation of parametric amplification in the simulation of time-varying
1D phononic crystals and the subsequent analysis of its origins in the closed-form equations.
h) The modification of 2D multiple scattering theory to include the effects of time-varying
7.3 Suggestions for further work
We propose some possible areas for future research based on the promising results presented in
this thesis. We have divided the suggestions into various areas depending on the nature of the
research.
7.3.1 Analytical developments
Application to resonant metamaterials
The analysis methods presented and used in this thesis are also applicable to resonant
metamaterials as was discussed in Section 1.1.2 with respect to locally resonant phononic
crystals. It would be very interesting to determine the effects of time-varying material parameters
on resonant metamaterials, especially in the homogeneous limit where effective material
parameters are defined. Perhaps some of the effects described in this thesis, like altered
transmission properties and parametric amplification, may be used to address some of the
shortcomings of metamaterials. For example, the lossiness and narrowband performance of
resonant metamaterials may be improved by using active materials and the analysis methods
presented in this thesis.
Effects on phononic crystal dispersion properties
As was extensively explained in Chapter 3, the dispersion properties of a phononic crystal
determine the nature of its acoustic wave refraction. Perhaps the slope of the dispersion surfaces
may be altered in the presence of time-varying material properties, which would enable the
refraction of the crystal to be dynamically adjusted. This may lead to flat acoustic lenses with a
variable focal length.

Better solutions for time-varying phase velocities
The analysis of time-varying phononic crystals presented in this thesis primarily neglected
the effects of time-varying phase velocities, but suggested ways that it might be incorporated. A
deeper understanding of the effects of a time-varying phase velocities would help to make the
extended methods more robust and would more accurately reflect real time-varying phononic
crystals to a greater degree.
Non-cylindrical scatterers
Our two dimensional analysis only considered cylinders because of the orthogonality of the
cylindrical wave modes. This simplified the development, but there is nothing that prevents the
analysis of a time-varying scatterer of any sensible shape in 2D. The method for determining the
T-supermatrix of multiple scatterers would remain unchanged.
Inclusion of transverse waves
The current implementation of time-varying multiple scattering theory used a scalar velocity
potential to define the acoustical fields. This limited the method to fluid-only systems. One may
envision active fluid scatterers, such as liquid crystals or ferrofluids, but it is most likely that
either the host or scatterer would be solid. Thus, it would be beneficial to extend the theory to
include transverse waves by including a vector velocity potential. A means of accomplishing this
is given in Section 1.5.5 of [12].
Inclusion of moving boundaries
It is conceivable that time-varying phononic crystals may have active materials that
physically deform when operating. In this case, the boundaries between host and scatterer may
have time-varying locations which would need to be accounted for in the formulation. Previous
work by Censor [44][46] may be of value in incorporating the effects of time-varying boundary
locations in phononic crystals.
Extension to three dimensions
As was mentioned in Chapter 6, two and three dimensional multiple scattering theories are
fundamentally similar, and differ predominantly in the implementation details. The 2D time-
varying multiple scattering theory should be extended into three dimensions to allow the analysis
of 3D phononic crystals that include active materials in their crystal lattice.
Development of inverse methods
As presented, the material parameters of a time-varying phononic crystal are varied
sinusoidally with a particular amplitude and frequency, then the transmission spectrum is

determined. An inverse method would allow the reverse procedure: a desired transmission
spectrum would dictate the optimum way of varying the material-parameters to achieve those
transmission properties. Such an inverse method may be possible by rearranging the closed-form
equations presented in Chapter 5.
Application to photonics
All of the new and existing methods presented in this thesis are applicable to photonic
systems. Indeed, the static methods are routinely used to analyze photonic crystals. Hence, the
time-varying methods may be re-derived for electromagnetic wave propagation and applied to
active photonic crystals, such as those that include nonlinear materials.
Further investigation of FDTD stability limits
An indirect line of research in this thesis was the investigation of FDTD stability limits under
various conditions. It would be helpful to know the stability limits for inhomogeneous 2D
simulations, 2D simulations with an applied wavevector, and 2D simulations that include time-
varying material parameters. This would allow the use of a Courant factor [197] in determining
the quality of a simulation as opposed to our trial and error method.
7.3.2 Implementation improvements
Identification of symmetries
Many of the coefficients present in both the new 1D and 2D time-varying methods are
related to one another. For example, many of the matrices in our derivation of the closed-form
equations in Chapter 5 are Hermitian. The identification of these symmetries may enable
significant gains in computational complexity by eliminating redundant computations. For
example, in the 1D analysis the transmission spectra of the i
th
harmonics are mirrored and
inverted along the plane
out in
f f = . Thus, it suffices to calculate only one or the other.
FDTD code improvements
There are plenty of opportunities for improvements in the FDTD simulator code. It currently
exists in one large C file that is compiled and executed through MATLAB. It would greatly
benefit from object-orienting and code division for clarity and to improve data import and
export. The core itself is fairly optimized, but the FDTD code is ideally suited to parallelization.
Multi-threading the core or modifying it to execute on a GPU could dramatically reduce the
simulation run time. Automated determination of the absorbing boundary condition parameters
would also be a welcome improvement.

7.3.3 Experimental work
Creation of a time-varying phononic crystal
First and foremost, a time-varying phononic crystal should be created. The extended methods
presented in this thesis could be used to design a time-varying phononic crystal. Then subsequent
experiments would verify that the extended methods are correct. Perhaps the simplest means of
creating a time-varying phononic crystal would be a corrugated tube waveguide with
mechanically moveable sidewalls. This would not require any active materials and would have a
static phase velocity, as previously described.
Fabrication processes
The phononic crystal that we created and characterized in this thesis had a cumbersome
fabrication process. Other simpler and more creative means of fabricating phononic crystals with
and without active materials should be investigated. The possibilities range from simply drilling
holes in a substrate to using 3D printers to create elaborate structures.
7.3.4 Applications research
Dynamic reflectors
The CW switching action demonstrated in simulation in Chapter 5 should be explored
further. It may be possible to switch a signal with a larger bandwidth and dynamic range by
choosing different operating conditions. If an active phononic crystal is created, it may be
possible to demonstrate that it can be dynamically switched from reflective to transmissive. This
could also lead to dynamically switched waveguides that can actively route acoustic signals by
switching their reflectivity.
Dynamic filters and active damping
If inverse methods are sufficiently developed, it may be possible to create dynamic filters
whose transmission properties can be adjusted and optimized in real-time. This could be of use in
systems that rely on phononic crystals as a means of mechanical isolation dampers. The damper
could be adjusted to optimally reject the changing spectrum of unwanted interference.
Active materials as sensors
The active materials present in time-varying phononic crystals could also be used as sensors,
possibly enabling closed-loop feedback control of these structures. For example, if an active
material is being controlled by an applied voltage, then the current draw of the material could be
monitored to determine the nature of the acoustic waves impinging on its surface. This could

enable smart materials that are able to determine their status and adjust their properties in real-
time.
7.4 Concluding remarks
Phononic crystals are very interesting materials because their crystal structure leads to
unconventional properties. In this thesis, we have described how using active materials in
phononic crystals may add new and interesting capabilities. The theoretical framework of this
thesis may be further extended and applied in a variety of new ways. In particular, we wish to
broaden the applicability of the extended methods to incorporate resonant metamaterials and
three dimensional crystals. This initial foray into understanding the use of active materials in
phononic crystals has laid the groundwork for many future investigations into a variety of related
topics.

- 160 -

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TIME-VARYING PHONONIC CRYSTALS

, which can be seen by noting that the right hand

, the transmission matrices for each interface can be

. Substituting (4.129) into (4.124) and again noting

are separation matrices valid for

, are time-varying. This restriction was initially chosen to make the

transmission matrix, however, this matrix is

are periodic, they can be represented by

. Next, the matrices of complex Fourier coefficients,

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