Z. Kristallogr.
220 (2005) 871–876
# by Oldenbourg Wissenschaftsverlag, München
Transmission properties of locally resonant sonic materials
with finite slab thickness
Kin Hung Fung I, Zhengyou Liu I, II and Che Ting Chan*, I
I
Department of Physics, The Hong Kong University of Science and Technology, Clear Water Bay, Hong Kong, China
II
Department of Physics, Wuhan University, Wuhan, China
Received September 6, 2004; accepted November 30, 2004
Phononic crystal / Phononic band gap / Sonic crystal /
Local resonance / Sound attenuation / Mass spring system
Abstract. Using multiple-scattering theory, we studied the
transmission properties of a slab of composite material that
have sonic band gaps due to local resonances. Thin slabs of
such material have transmission properties that are appar-
ently different from conventional band gap material. For ex-
ample, there can be transmission peaks in the frequency
range inside the bulk sonic band gap. If the slab thickness is
changed, we found that the top of band gap shifts while the
bottom of band gap, being pinned by the resonance fre-
quency, does not. By changing the slab thickness, the “ef-
fective band gap” may be narrowed or broadened, depend-
ing on the filling fraction of the locally resonant units. In
order to provide an intuitive understanding of the phenom-
ena, we constructed a simple model to understand the phe-
nomena by comparing its transmission and band structure
with that of the locally resonant sonic materials.
1. Introduction
A periodic array of scatterers can strongly modify the pro-
pagation of classical waves to the extent that a forbidden
gap can be created at some frequency ranges. For electro-
magnetic waves, such a photonic band gap [1, 2] has at-
tracted the interests of scientists and engineers for over a
decade. For elastic or sound waves, such a spectral gap is
sometimes called an elastic wave band gap, sonic band
gap or phononic gap. We will call such a gap a sonic
band gap in this article since we are primarily interested in
structures that have spectral gaps for sound waves at audi-
ble frequencies. For the case of sonic band gaps, the struc-
ture of the “sonic crystal” is usually too bulky for practi-
cal uses [3]. The reason is that for conventional band gap
structures for classical waves, the spectral gap is a conse-
quence of Bragg scattering, which requires that the peri-
odicity (or lattice constant) is of the same order of the
wavelength. The wavelength of low frequency sound is of
the order of meters, implying the sonic crystals must be a
multiple of meters in all dimensions. However, spectral
* Correspondence author (e-mail: phchan@ust.hk)
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871
gaps can also arise from local resonance structures. In that
case, the frequency of the gap and the repeat distance of
the periodic structure are independent of each other. In
addition, resonance-derived band gaps do not require peri-
odicity, and thus become much less demanding in fabrica-
tion. It is the filling ratio that matters.
Recently, Liu et al. [4] proposed a kind of locally reso-
nant sonic materials (LRSM) which employs the built-in
resonance of a three-component system and demonstrated
that a sonic band gap can be created at low audible fre-
quencies. The result is rather amazing because the LRSM
can highly attenuate sound with slab thickness much smal-
ler than the wavelength in air and it beats the mass-density
law of sound attenuation [4]. The additional advantage of
LRSM in application on sound attenuation is that the band
gap is formed at this resonant frequency regardless of the
lattice structures [5]. Band gap exists even for a crystal
with slab thickness much less than the wavelength in air.
However, it was found that the “effective band gap width”
still depends strongly on the lattice structures and the slab
thickness. We will discuss the phenomena and provide an
explanation for such a dependency in this paper. We will
first demonstrate the effect via a fully-fledged multiple-
scattering calculation, and then we shall understand the
physics via the simplest possible model.
2. Method and results
Several computation methods such as the plane wave
(PW) method, multiple scattering theory (MST), and finite
difference time domain (FDTD) have been developed to
calculate transmission and band structure of phononic
crystals. [6–10] MST is the method of choice if we have
a collection of spherical objects. The same formalism can
give band dispersion for three-dimensional (3D) periodic
structures and calculate transmission and reflection for sys-
tems of finite thickness. [8–10] We used the elastic wave
MST [8, 9] (with the maximum angular momentum index
lmax ¼ 3) to do calculations on transmissions and band
structures of LRSMs.
The sonic crystals we studied consist of silicone-rub-
ber-coated lead spheres embedded inside an epoxy matrix
(see Fig. 1). The radius of each lead sphere is 0.84 cm
872 K. H. Fung, Z. Liu and C. T. Chan

Fig. 1. Schematic structure of LRSM. “L”, “S” and “E” denote lead,
silicone rubber and epoxy respectively.

(1.1928 cm for the coated silicone rubber). We studied and

compared two types of crystalline arrangement: bcc and
sc. The lattice constant for the bcc and sc structured crys-
tals are 2.8 cm and 3.5 cm respectively. The parameters
used are r ¼ 11:6
103 kg/m3 , l ¼ 4:23
1010 N/m2 ,
m ¼ 1:49
1010 N/m2 for lead, r ¼ 1:3
103 kg/m3 ,
l ¼ 6
105 N/m2 , m ¼ 4:4
104 N/m2 for silicone rub-
ber, r ¼ 1:18
103 kg/m3 , l ¼ 4:43
109 N/m2 , m ¼
1:59
109 N/m2 for epoxy and r ¼ 1:23 kg/m3 , k ¼ l ¼
1:42
105 N/m2 for air. Here, r, k, l, m are the density,
longitudinal wave modulus, first and second Lame’s con-
stants respectively.
The band structure results for bcc and sc structured
LRSMs are shown in Fig. 2. Band gaps are formed at the
same frequencies for both structures. The most distinguish-
able structures are two flat bands and the band gaps above
these flat bands. The frequencies of the flat band are the
Fig. 2. Band structure of LRSM in bcc and sc structures. Left panel
and right panels are the calculated results for bcc and sc structure
respectively. Note that the x-axis is not in a uniform scale.
same for both structures. This is expected because the flat
bands are due to localized resonances that give a frequency
depending only on the properties of individual spheres. By
examining the displacement patterns, we found that the one
just above 250 Hz corresponds to the resonance of lead
sphere while the one just above 950 Hz corresponds to the
resonance of the silicone rubber cladding. The size of the
gap depends on the coupling of the resonances, and will
depend on the structure and in particular, the filling ratio.
For example, the bcc LRSM has a filling ratio of (64.7%)


a


b

Fig. 3. Transmission through LRSM slabs of different thicknesses and the band structure of LRSM. The right most panel is the dispersion
relation. Other panels show the transmission through LRSM slabs of different thicknesses (a) bcc LRSM, (b) sc LRSM.

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Transmission properties of locally resonant sonic materials 873

higher than the filling ratio (16.6%) of the sc LRSM, and
thus the bcc LRSM has larger band gaps.
In our calculation of sound transmission through the
LRSMs, we set an incident longitudinal plane wave with
wave vector normal to the interface between epoxy and
air. The epoxy-air interface is set at a distance of 1.243 cm
from the centers of the nearest coated spheres. The trans-
mission amplitudes, defined as the square root of the ratio
of transmitted energy flux to the incident energy flux, are
calculated for both bcc and sc structured LRSMs with dif-
ferent slab thicknesses. In Fig. 3, we compare the trans-
mission amplitudes of slabs of different thickness to the
bulk band structure. Generally, the results for bcc and sc
contain similar features. We see that all transmission dips
are located at the pass band top edges. Fabry-Perot reso-
nances are also observed when we increase the number of
layers. Since the density of states near the flat band is
very high, we have to enlarge the part near the band top
region to count all peaks. By doing so, we see that the
number of peaks in each band is the same as the number
of layers. What we see from Fig. 3 is that as the number
of layers increases, the transmission curve forms bands
and the band edges match the band structures exactly.
However, the purpose of LRSM materials is to have thin
layers to reject sound. It is thus the results in the thin slab
limit (rather than the thick slab limit) are of importance.
The transmission results in the thin slab limit are rather
intriguing. For the bcc structured LRSMs, there is a peak
with almost unit transmission amplitude inside the bulk
band gap region for both band gaps. As the number of
layers increases, the peak shifts continuously towards the
bottom of the upper pass band. Similar phenomenon is
observed in the results of sc structured LRSMs. But, in
this case, the transmission peak is located inside pass band
region when the number of layers is small. We are used to
the result that when there exists a band gap, the minimum
of the transmission should occur near the middle of the
gap. And the difference between thin slabs and thick slabs
is that the transmission dips for thicker slabs are more
sharply defined by the band edges, while the transmission
dips for thinner slabs are more rounded off. The behavior
of the transmission in thin LRSM slab is thus apparently
different, with the minimum transmission occurring at one
of the band edge, and there can even be a transmission
peak in the frequency range of the bulk band gap.
3. A simple model
In order to understand the physical mechanism underlying
these features, we constructed the simplest possible model
that exhibits similar phenomena. For this purpose, we em-
ployed a one-dimensional (1D) spring-mass model (similar
to the one suggested by Goffaux et al. [11]) and had a de-
tailed study on its transmission and band structure of this
system.
The 1D model we studied contains locally resonant
structures. A core with mass m is connected internally,
through two springs with spring constant G, to a shell
with mass M. We call this shell-core pair a resonant unit.
The resonant units are connected together by springs with
spring constant K. The dispersion relation for such a chain
of resonant units has the analytical form
!

2 mw20 2 ka
w M 2 ¼ 4K sin ; ð1Þ
w  w20 2
where w is the frequency, a is the distance between the
equilibrium position of twor adjacent resonant units, k is
ffiffiffiffiffiffiffi
2G
the wave number and w0 ¼ is the natural frequency
m
of the core when the shell position is fixed. In transmis-
sion calculations, we connect two semi-infinite chains of
soft springs and light masses to the finite chain of reso-
nant units (see Fig. 4a). These external chains are used to
mimic the external medium (air) while the finite chain of
resonant units is representing the finite slab of LRSM. We
impose a plane wave solution as a transmitted wave (leav-
ing the resonant units) and we use backward iterations to
find the corresponding amplitude of the incident wave
(propagating into the resonant units). The transmission
amplitude is then defined as the amplitude of the trans-
mitted wave divided by the amplitude of the incident
wave. The transmission and the band structure of this 1D
model are shown in Fig. 5. In the band structure shown in
Fig. 5, the resonance frequency w0 is marked by a hori-
zontal dotted line, while the dispersion of the system with-
out the internal mass m and its spring G is also marked in
the figure, which shows up as a “straight” line with a posi-
tive slope. The formation of the gap due to the coupling of
the linear dispersion of the “host” and the local resonance
is quite obvious, and we note that the low frequency edge
of the resonance gap is pinned exactly at the resonance
frequency. When we compare the band structure of this
simple model to those of the LRSM system as shown in
Fig. 2 and Fig. 3, the similarity is quite obvious. The dif-
ference is that the LRSM has two resonances (one due to
the lead ball, one due to the rubber cladding) while the
model system has only one built-in resonance. But since
we are going for an intuitive understanding, the model has
obviously captured the essence of the physics here.


a

Fig. 4. Schematic structure of the 1D spring-

mass model. (a) with internal resonance only.
(b) with both internal resonance and tunneling
phenomenon. 
b

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874 K. H. Fung, Z. Liu and C. T. Chan

Fig. 5. Transmission and band structure of the 1D spring-mass model shown in Fig. 4a. The parameters are M ¼ m ¼ 0:5, K ¼ ffiffiffiffiffiffiffi G ¼ 1. The
r12,
2G
right most panel is the dispersion relation. Other panels show the transmission. The dash lines are the natural frequency w0 ¼ of the core
mass and the dispersion relation of the model without core mass. m

4. Discussion on transmission properties not support edge states and we see that the transmission is
pinned at the pass band edge (or top of gap). To see the
When we compare Fig. 5 and Fig. 3, we see a lot of simi- effect of surface state tunneling, we employed a more
larities. We note in particular that the change of the trans- complex 1D model as shown in Fig. 4b. The difference of
mission characteristics from thin to thick layer limit is this model from the first model is the extra masses M2.
rather similar. We thus focus on pointing out the similari- The transmission curve with the number of resonant units
ties and differences between the real system and the mod- N ¼ 5 and the band structure of this model are shown in
el. By mapping a complex system into a very simple one, Fig. 6. We note now that the transmittance peak is indeed
those phenomena that are similar can be treated as essen- inside the band gap, and the transmission can be traced to
tially “understandable” since we can trace and discuss the edge state coupling. We observe that the transmittance peak
underlying physics with the simple model which has ana- composes of two very closely spaced peaks inside the band
lytic solutions. We can then focus on those that are not gap. The existence of two peaks is because the edge states
the same. First of all, we point out the similarities. Firstly, from either side of the slab couple to form a pair of even
the transmission dips in Fig. 5 for the model system locate and odd solutions. The peak positions as a function of the
exactly at the resonant frequency. Secondly, Fabry-Perot number of resonant units are shown in Fig. 7. When the
resonant peaks are clearly observed when the number of
layers is large. The number of peaks in each band is the
same as the number of layers. Thirdly, bands are gradually
formed when the number of layers increases and they
match with the band structure very well.
The key difference between the transmission spectra of
the simple model and the “real” system lies in the position
of the high transmission peak when the number of layers
is small. For the 1D spring-mass model, the first transmis-
sion peak is always pinned by the bottom of the upper
pass band. This is not the case in 3D LRSMs. For exam-
ple, the corresponding peak for bcc LRSMs is inside the
band gap. One possible origin of such a phenomenon is
surface state tunneling (or edge state tunneling in a 1D
model). For a truncated bulk, surface states can exists on
either side of the slab, and their coupling can lead to a
high transmittance. This can be regarded as a tunneling
phenomenon since surface waves are decaying into the
bulk of the slab. For a slab with periodic structure, the
coupling of surface wave to a normal incident plane wave Fig. 6. Transmission and band structure of the 1D spring-mass model
is made possible by the in-plane scattering provided by shown in Fig. 4b. The parameters are M1 ¼ 0.65, M2 ¼ 0.59,
m ¼ 2.32, K ¼ 3.03, G ¼ 1. The left panel and the right panel are the
the periodic structure. Since surface wave has frequencies transmission and the band structure respectively. The dash lines are
rffiffiffiffiffiffiffi
that are by definition inside bulk-forbidden frequencies, 2G
surface wave tunneling can in principle lead to transmis- the natural oscillation frequency w0 ¼ of the core mass and the
m
sion peaks inside band gaps. The model in Fig. 4a does dispersion relation of the model without core mass.

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Transmission properties of locally resonant sonic materials 875
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

ffi
1 1
K þ . If either one of the masses becomes
M1 M2
heavier (lighter), this oscillation frequency will shift lower
(higher). Making analogy with the 3D LRSMs, we treat
M1 and M2 and K as epoxy mass, lead mass and elastic
constant of silicone rubber respectively. If this frequency
formula is correct in 3D case, it can be re-written as
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
!
u
u 1 n
wpeak ¼ K t þ 0 ; ð3Þ
Mlead Mepo þ nMepo

where n is the number of layers, K is the “effective”

spring constant of silicone rubber, Mepo and Mlead are the
epoxy mass and lead mass in a unit cell of the sample
0
respectively, Mepo is the mass of “excess” epoxy near the
0
surface of the sample (negative Mepo means epoxy is miss-
Fig. 7. Locations of transmission peaks for the model in Fig. 4b ver- ing). Since the epoxy-lead mass ratio of bcc (sc) struc-
sus number of resonant units. The shaded areas are the pass band
regions. The short lines are indicating the frequencies of transmission
tured LRSM slab with a finite number of layers is larger
peaks. (smaller) than that of infinite crystal, Eq. (3) suggest that
the k = 0 mode frequency will shift downwards (upwards)
when the number of layers decreases. This is exactly what
slab is thin, interaction of the exponential tails of the edge we found from Fig. 3.
wave is strong, and hence a larger splitting. The splitting We use Eq. (3) to fit the results of 3D sonic crystals
becomes small in the limit of a thick slab. So, if the trans- (see Fig. 8). We found that Eq. (3) fits the data very well
mission peak inside the band gap is due to surface wave for both bcc and sc structure. The fitted values are
coupling, we expect double peaks with splitting depending K K K
on thickness and should merge into one frequency inside ¼ 56
103 Hz2 , 0 ¼ 244
103 Hz2 , ¼
Mlead Mepo Mepo
band gap as the number of resonant units increases. This is K
very different from the phenomena observed in the 3D 191
103 Hz2 for bcc LRSM, ¼ 59
103 Hz2 ,
Mlead
LRSMs, which shows a single peak structure and the peak K K
0
¼ 135
103 Hz2 , ¼ 43
103 Hz2 for sc
position merges with the band edge (does not stabilize in- Mepo Mepo
K
side gap) as slab thickness increases. Hence, we cannot use LRSM. The values of for both structures are close to
surface state tunneling to explain the high transmittance in- Mlead
side the gap in 3D LRSMs, and the strange transmission
peak inside the band gap cannot be understood within the
context of the two models given in Fig. 4.
We note that when we truncate a 3D solid into a slab
of composite material, the exact configuration actually de-
pends on how we terminate the surface. For the particular
case of LRSM, the core-shell (epoxy-lead) mass ratio actu-
ally depends on exactly where we terminate the surface.
Of course in the thick slab limit, the ratio will be that of
the bulk, but for thin slabs, the mass ratio can deviate. In 
a
3D case, the mass ratio (epoxy to lead) will change if we
change the thickness of the slab (due to the way we set
the air-epoxy interface), but it is a fixed value in the 1D
ball-and-spring model in Fig. 4a.
In order to understand the change in frequency of the
first peak due to mass ratio, we go back to the 1D model
shown in Fig. 4a. At the bottom of the second band, the
cores and shells are in anti-phase motion. By substituting
k ¼ 0 in Eq. (1), we obtain the corresponding frequency
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi

ffi 
b
1 1
wpeak ¼ 2G þ : ð2Þ
M m
Fig. 8. Frequency of the first transmission peak above the first dip of
This is equivalent to the oscillation mode of two different LRSM versus the number of layers. Circles are the data obtained
masses (M1 and M2) connected by a spring (K). The non- from the transmission curve. The solid line is the fitting to the data
zero oscillation eigen frequency of this system is with Eq. (3). (a) Fitting for bcc LRSM. (b) Fitting for sc LRSM.

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876
the square of the resonant frequency w20  ð250 HzÞ2
Mepo
¼ 62:5
103 Hz2 . The ratio 0 for bcc LRSM is 1.3
Mepo
(close to the value 1.4 calculated geometrically), and the
Mepo
ratio 0 for sc LRSM is 3.1 (close to the value 2.6
Mepo
calculated geometrically). The ratio of the value Mepo of
bcc LRSM to that of sc LRSM is 0.225 (close to the val-
ue 0.211 calculated geometrically). The discrepancies here
are due to the finite mass of the silicone rubber.
At this point, we see that the first peak just above the
resonant dip is actually the k ¼ 0 mode peak and the shift
of this peak in thin slab limit is governed by a very sim-
ple formula Eq. (3).
5. Discussion on band gap width
We thus see that the “effective band gap” of a thin slab,
defined operationally as the frequency range bounded be-
low by the resonance frequency and bounded above by
the transmittance peak, can be rather different from the
bulk band gap. As the location of the k ¼ 0 mode peak
indicates the top of the “effective band gap”, the shift of
this peak corresponds to either narrowing or broadening of
the “effective band gap” of the LRSMs. However, from
the transmission amplitude, we cannot see a big difference
between this “effective band gap” and the “pass band” just
above the k ¼ 0 mode peak when the number of layers is
small. It is because the longitudinal wave speed cl of
epoxy is very large leading to a very large slope in the
dispersion curve of a pure epoxy. Therefore, when loca-
lized resonances are imposed on it, the density of states
near the band top is much larger than that near the band
bottom. That is, when the number of layers is small, all
Fabry-Perot peaks excluding the k ¼ 0 mode peak are
pushed to very high frequencies below the second reso-
nant dip.
To have a clear difference between the “pass band” and
the “band gap”, we have to look at LRSMs with larger
number of layers. Once the number of layers is large, the
shift of the k ¼ 0 mode peak by adding or reducing epoxy
at the epoxy-air interfaces becomes small. Actually, we
still can use this method to lower the frequency of the
transmission peak for a large amount. However, raising
the peak frequency is difficult. It is because the amount of
epoxy that we can reduce at the epoxy-air interfaces is
very limited, and thus leads to a limited change in lead-to-
epoxy mass ratio only.
Although the broadening of band gap in our LRSM is
too small to be observed when the number of layers is
large, the theory we described here shows a way to make
the effective band gap broader. Eq. (3) can be written as
rffiffiffiffiffiffiffiffiffiffiffiffiffi
wpeak  w0 m [9] Liu, Z.; Chan, C. T.; Sheng, P.: Three-component elastic wave
¼ 1 þ  1: ð4Þ
w0 M
Therefore, to have a broader band gap, we can either re-
duce M or increase m. Figure 2 is an example showing
this. From the results, the band gap width of bcc LRSM
with a ¼ 2:8 cm is wider than that of sc LRSM with
a ¼ 3:5 cm. This is exactly what we can see from Eq. (4).
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K. H. Fung, Z. Liu and C. T. Chan
For fixed sphere size, LRSM with higher filling fraction
should pose larger lead-to-epoxy mass ratio (analogy with
large m-to-M ratio in spring mass model). Therefore,
LRSM with a higher filling fraction poses a wider band
gap. Using a similar argument, we would expect there are
some LRSMs with different geometry that will give a
wide band gap by reducing m-to-M ratio. Alternatively, we
can seek for a matrix material that is equally stiff but
lighter. In this case, we can increase the effective gap by
reducing M.
6. Conclusion
Multiple scattering theory is applied to the calculation of
the transmission and band structure of 3D sonic crystals
with finite slab thickness. We observed a dip due to the
resonance, a transmission peak which can be inside the
bulk band gap and the shifts of the transmission peak due
to the finite thickness of the crystal. Since the frequency
of the peaks and dips indicate the band gap top and bot-
tom respectively, the effect can be considered as the
change in “effective band gap width”.
A 1D spring-mass chain model is used to have a dee-
per understanding on the transmission and band structure
of the 3D sonic crystals. We found that the simple model
already contains many salient features of the real system.
We also demonstrated that the transmission peak is not a
consequence of surface state tunneling and the shift of
peak is due to the “extra” or “missing” epoxy at the sur-
face of the truncated crystal.
Acknowledgment. We thank Prof. Ping Sheng for discussions. This
work is supported by Hong Kong RGC grant HKUST 6138/00P.
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