A special kind of degeneracies known as the exceptional points (EPs), for resonant states on a dielectric periodic slab, are investigated. Due to their unique properties, EPs have found important applications in lasing, sensing, unidirectional operations, etc. In general, EPs may appear in non-Hermitian eigenvalue problems, including those related to PT -symmetric systems and those for open dielectric structures (due to the existence of radiation loss). In this paper, we study EPs on a simple periodic structure: a slab with a periodic array of gaps. Using an efficient numerical method, we calculate the EPs and study their dependence on geometric parameters. Analytic results are obtained for the limit as the periodic slab approaches a uniform one. Our work provides a simple platform for further studies concerning EPs on dielectric periodic structures, their unusual properties and applications.

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

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

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

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