Nanophotonics and Metamaterials*

Professor Vladimir M. Shalaev

ECE695S

5 nm

*)This course was prepared with M. Brongersma and S. Fan from Stanford.
Their help is highly appreciated.
 Nanophotonics and Metamaterials
Instructor
Professor Vladimir M. Shalaev
MSEE270 and BRK2295; 494-9855
Email: shalaev@purdue.edu
Office hour: Tue, 2-3pm
Grader – TA: Mark Thoreson, BNCBRK 1226; tel: 496-3308
…. hour Thu 2-3pm; email: mthoreso@purdue.edu
office
Course Web page
http://shay.ecn.purdue.edu/~ece695s/ to download lecture notes
Recommended Textbook:
1. Photonic Crystals: Molding the flow of light.
By Joannopoulos, Meade and Winn, (Princeton University Press, Princeton, 1995).
2. Surface Plasmons – “Plasmonics: Fundamentals and Applications”, by S.
Maier, Springer (2007)
3. Near-field optics – “Principles of Nano-Optics” by L. Novotny and B. Hecht,
Cambridge (2007)

Grading 30% homework, 30% midterm exam, 40% final (presentation and report)
 Overview of the Course
Part I: Introduction to light interaction with matter
Derivation Wave Equation in matter from Maxwell’s equations
Dielectric properties of insulators, semiconductors and metals (bulk)
Light interaction with nanostructures and microstructures (compared with λ)

Part II: Photonic Crystals

Electromagnetic effects in periodic media
Media with periodicity in 1, 2, and 3-dimensions
Applications: Omni-directional reflection, sharp waveguide bends,
Light localization, Superprism effects, Photonic crystal fibers

Part III: Metal optics (plasmonics) and nanophotonics

Light interaction with 0, 1, and 2 dimensional metallic nanostructures
Guiding and focusing light to nanoscale (below the diffraction limit)
Near-field optical microscopy
Transmission through subwavelength apertures
Part IV: Metamaterials
Metamaterials, optical magnetism, and negative refractive index
Super-lens and Hyper-lens, Cloaking, Transformation optics
 Overview in Images

5 nm

K.S. Min et al. PhD Thesis

K.V. Vahala et al, Phys. Rev. Lett, 85, p.74 (2000)
J. D. Joannopoulos, et al, Nature, vol.386, p.143-9 (1997)

S. Lin et al, Nature, vol. 394, p. 251-3, (1998)

T.Thio et al., Optics Letters 26, 1972-1974 (2001).
J.R. Krenn et al., Europhys.Lett. 60, 663-669 (2002)
 Motivation
Major breakthroughs are often materials related
• Stone Age, Iron Age, Si Age,….metamaterials
• People realized the utility of naturally occurring materials
• Scientists are now able to engineer new functional nanostructured materials

Is it possible to engineer new materials with useful optical properties

• Yes !
• Wonderful things happen when structural dimensions are ≈ λlight and much less
This course talks about what these “things” are…and why they happen

What are the smallest possible devices with optical functionality ?

• Scientists have gone from big lenses, to optical fibers, to photonic crystals, to…

• Does the diffraction set a fundamental limit ?

• Possible solution: metal optics/plasmonics

 Designing New Functional Devices
We need to be able to solve the following problem:

εh
ε3 ε6
ε1

ε4 ε5

?
 Light Interaction with Matter
Maxwell’s Equations

Divergence equations Curl equations

∂B
∇⋅D = ρf ∇× E = −
∂t
∂D
∇⋅B = 0 ∇× H = +J
∂t

D = Electric flux density B = Magnetic flux density

E = Electric field vector H = Magnetic field vector
ρ = charge density J = current density
 Constitutive Relations
Constitutive relations relate flux density to polarization of a medium
Electric When P is proportional to E
D = ε0E + P ( E ) = ε E
E
- +
- +
--
++ Electric polarization vector…… Material dependent!!

ε0 = Dielectric constant of vacuum = 8.85 ⋅ 10-12 C2N-1m-2 [F/m]

ε = Material dependent dielectric constant
Total electric flux density = Flux from external E-field + flux due to material polarization

Magnetic
B = μ0 H + μ0 M ( H )
Magnetic flux density Magnetic field vector Magnetic polarization vector
μ0 = permeability of free space = 4πx10-7 H/m
Note: For now, we will focus on materials for which
M =0 B = μ0 H
 Divergence Equations
How did people come up with: ∇ ⋅ D = ρ?
Coulomb
• Charges of same sign repel each other (+ and + or – and -)
• Charges of opposite sign attract each other (+ and -)
• He explained this using the concept of an electric field : F = qE

Every charge has some field lines associated with it

+ -

• He found: Larger charges give rise to stronger forces between charges

• Coulomb explained this with a stronger field (more field lines)
 Divergence Equations

E
Gauss’s Law (Gauss 1777-1855)

∫ D ⋅dS = ∫ ε E ⋅ dS = ∫ ρ dv
A A V
dS

E-field related to enclosed charge

Gauss’s Theorem (very general)

+
∫ F ⋅dS = ∫ ∇ ⋅ Fdv
A V
+ + +

+
Combining the 2 Gauss’s

∫ D ⋅dS = ∫ ∇ ⋅ Ddv = ∫ ρ dv
A V V
∇⋅ D = ρ

The other divergence eq. ∇⋅B = 0 is derived in a similar way from

∫ B ⋅dS = 0
A
 Curl Equations
∂D
How did people come up with: ∇ × H = +J ?
∂t
H
A
J
D

J
C
D increasing when
charging the capacitor

Ampere (1775-1836)
⎛ ∂D ⎞ Changes in el. flux
>∫C H ⋅ d l = ∫A ⎜⎝ ∂t ⎟⎠ ⋅ dS
+ J Magnetic field induced by:
Electrical currents
 Curl Equations
⎛ ∂D ⎞
Ampere: >∫ H ⋅ dl = ∫ ⎜
A⎝
∂t
+ J ⎟ ⋅ dS
⎠ ⎛ ∂D ⎞
C
>∫ H ⋅ dl = ∫ ( ∇ × H ) ⋅ dS = ∫ ⎜ + J ⎟ ⋅ dS
A⎝
∂t ⎠
Stokes C A

theorem: >∫ F ⋅ dl = ∫ ( ∇ × F ) ⋅ dS
C A
∂D
∇× H = +J
∂t
B
∂B
Other curl eq. ∇ × E = −
∂t E
∂B
Derived in a similar way from >∫
C
E ⋅ dl = − ∫
A
∂t
⋅ dS
A C
∂B
>∫ E ⋅ dl = ∫ ( ∇ × E ) ⋅ dS = − ∫ ⋅ dS
C A A
∂t

Stokes
 Summary Maxwell’s Equations

Divergence equations Curl equations

∂B
∇⋅ D = ρ ∇× E = −
∂t
∂D
∇⋅B = 0 ∇× H = +J
∂t

Flux lines start and end Changes in fluxes give rise to fields
on charges or poles
Currents give rise to H-fields

Note: No constants such as μ0 ε0, μ ε, c, χ,……. appear when Eqs are written this way.
 The Wave Equation
Plausibility argument for existence of EM waves
H H
E E E
…….

Curl equations: Changing E-field results in changing H-field results in changing E- field….

The real thing

1 ∂ 2
U ( r, t )
Goal: Derive a wave equation: ∇ 2U ( r , t ) = for E and H
v2 ∂t 2
Solution: Waves propagating with U ( r , t ) = Re {U 0 ( r ) exp ( iωt )}
a (phase) velocity v

Position Time

Starting point: The curl equations

 The Wave Equation for the E-field

1 ∂ 2
E ( r, t )
Goal: ∇ E ( r, t ) = 2
2

v ∂t 2
∂B ∂H
Curl Eqs: a) ∇× E = − = − μ0 (Materials with M = 0 only)
∂t ∂t
∂D
b) ∇ × H = +J
∂t

Step 1: Try and obtain partial differential equation that just depends on E
Apply curl on both side of a)

⎛ ∂H ⎞ ∂ (∇ × H )
∇ × ∇ × E = ∇ × ⎜ − μ0 ⎟ = − μ
∂ ∂t
0
⎝ t ⎠
Step 2: Substitute b) into a)
∂2 D ∂J ∂2 E ∂2 P ∂J
∇ × ∇ × E = − μ0 2 − μ0 = − μ0ε 0 2 − μ0 2 − μ0
∂t ∂t ∂t ∂t ∂t

D = ε0E + P Cool!....looks like a wave equation already

 The Wave Equation for the E-field
1 ∂2 E
Compare: ∇ E
2
= 2 2
v ∂t
∂2 E ∂2 P ∂J
With: ∇ × ∇ × E = − μ 0ε 0 2 − μ 0 2 − μ 0
∂t ∂t ∂t
!
Use vector identity: ∇ × ∇ × E = ∇ (∇ ⋅ E ) − ∇ E 2

Verify that ∇⋅E = 0 when 1) ρf = 0

2) ε(r) does not vary significantly within a λ distance

∂ 2
E ∂ 2
P ∂J
Result: ∇ 2 E = μ 0ε 0 2 + μ 0 2 + μ 0
∂t ∂t ∂t
In order to solve this we need: 1) Find P(E)

2) Find J(E)…something like Ohm’s law: J(E) = σE

… we will look at this later..for now assume: J(E) = 0
 Dielectric Media
Linear, Homogeneous, and Isotropic Media
P linearly proportional to E: P = ε0χ E

χ is a scalar constant called the “electric susceptibility”

∂2 E ∂2 P ∂J
∇ E = μ 0ε 0 2 + μ 0 2 + μ 0
2

∂t ∂t ∂t
All the materials properties
∂2 E ∂2 E ∂2 E
∇ E = μ0ε 0 2 + μ0ε 0 χ 2 = μ0ε 0 (1 + χ ) 2
2
∂2 E
∂t ∂t ∂t ∇ E = μ 0ε 0ε r 2
2

∂t
Define relative dielectric constant as: εr = 1+ χ
Results from P

Note 1 : In anisotropic media P and E are not necessarily parallel: Pi = ∑ ε 0 χ ij E j

j

Note2 : In non-linear media: P = ε 0 χ E + ε 0 χ (2) E 2 + ε 0 χ (3) E 3 + ......

 Properties of EM Waves in Bulk Materials
We have derived a wave equation for EM waves!
∂2 E
∇ E = μ 0ε 0ε r 2
2

∂t

Euh….

Now what ?

Let’s look at some of their properties

 Speed of an EM Wave in Matter
Speed of the EM wave:
∂2 E 1 ∂2 E
Compare ∇ E = μ0ε 0ε r and ∇ E = 2
2 2
∂t 2 v ∂t 2
1 1 c02
v = 2
=
μ 0ε 0 ε r εr
Where c02 = 1/(ε0 μ0) = 1/((8.85x10-12 C2/m3kg) (4π x 10-7 m kg/C2)) = ( 3.0 x 108 m/s)2

Optical refractive index

c
Refractive index is defined by: n = = εr = 1+ χ
v

Note: Including polarization results in same wave equation with a different εr c becomes v
 Refractive Index Various Materials

3.4

3.0
Refractive index: n

2.0

1.0
0.1 1.0 10 λ (μm)
 Dispersion Relation
Dispersion relation: ω = ω(k)
n 2
∂ 2
E ( r, t )
Derived from wave equation ∇ 2 E ( r , t ) = 2
c ∂t 2
Substitute: E ( z , t ) = Re { E ( z , ω ) exp ( −ikr + iωt )}

n2 2
Result: k = 2ω
2
ω
c
Check this!

c2 2 vg
ω = 2k
2

n
k
dω
Group velocity: vg ≡
dk
ω c c c
Phase velocity: v ph = = = =
k n εr 1+ χ
 Electromagnetic Waves
n2 ∂ E ( r , t )
2

Solution to: ∇ E ( r, t ) = 2
2

c ∂t 2

Monochromatic waves: E ( r , t ) = Re { E ( k , ω ) exp ( −ik ⋅ r + iωt )}

Check these
H ( r , t ) = Re { H ( k , ω ) exp ( −ik ⋅ r + iωt )} are solutions!

TEM wave

Symmetry Maxwell’s Equations result in E ⊥ H ⊥ propagation direction

Optical intensity
Time average of Poynting vector: S ( r, t ) = E ( r, t ) × H (r, t )
 Light Propagation Dispersive Media
Relation between P and E is dynamic

The relation : P ( r, t ) = ε 0 χ E ( r, t ) assumes an instantaneous response

+∞
In real life: P ( r , t ) = ε 0 ∫ dt ' x ( t − t ') E ( r , t ')
−∞

P results from response to E over some characteristic time τ :

Function x(t) is a scalar function lasting a characteristic time τ :

E(t’)

x(t-t’)
x(t-t’) = 0 for t’ > t (causality)

t’ = t - τ t’
t’ = t
 EM waves in Dispersive Media
Relation between P and E is dynamic
+∞
P ( r , t ) = ε 0 ∫ dt ' x ( t − t ') E ( r , t ')
−∞

EM wave:
E ( r , t ) = Re { E ( k , ω ) exp ( −ik ⋅ r + iωt )}

P ( r , t ) = Re { P ( k , ω ) exp ( −ik ⋅ r + iωt )}

Relation between complex amplitudes

P ( k , ω ) = ε 0 χ (ω ) E ( k , ω ) (Slow response of matter ω-dependent behavior)

This follows by equation of the coefficients of exp(iωt) ..check this!

It also follows that: ε (ω ) = ε 0 ⎡⎣1 + χ (ω ) ⎤⎦

 Absorption and Dispersion of EM Waves
Transparent materials can be described by a purely real refractive index n

EM wave: E ( z , t ) = Re { E ( k , ω ) exp ( −ikz + iωt )}

c2 2 ω
Dispersion relation ω = 2 k 2
k =± n
n c
Absorbing materials can be described by a complex n: n = n '+ in ''

ω ⎛ω ω ⎞ ⎛ α⎞
It follows that: k = ± ( n '+ in '') = ± ⎜ n '+ i n '' ⎟ ≡ ± ⎜ β − i ⎟
c ⎝c c ⎠ ⎝ 2⎠
⎧ ⎛ α ⎞⎫
Investigate + sign: E ( z , t ) = Re ⎨ E ( k , ω ) exp ⎜ −i β z − z + iωt ⎟ ⎬
⎩ ⎝ 2 ⎠⎭
Traveling wave Decay
ω
Note: β= n ' = k0 n ' n’ act as a regular refractive index
c
ω
α = −2 n '' = −2k0 n '' α is the absorption coefficient
c
 Absorption and Dispersion of EM Waves
n is derived quantity from χ (next lecture we determine χ for different materials)
Complex n results from a complex χ: χ = χ '+ i χ ''

n = 1+ χ

n = n '+ in '' = 1 + χ = 1 + χ '+ i χ '' α

n = n '− i = 1 + χ '+ i χ ''
α = −2k0 n '' 2k0

Weakly absorbing media

1
When χ’<<1 and χ’’ << 1: 1 + χ '+ i χ '' ≈ 1 + ( χ '+ i χ '')
2
1
Refractive index: n ' = 1+ χ '
2
Absorption coefficient: α = −2k0 n '' = −k0 χ ''
 Summary
Maxwell’s Equations
∂B ∂D
∇⋅D = ρf ∇⋅B = 0 ∇× E = − ∇× H = +J
∂t ∂t
Curl Equations lead to
∂2 E ∂2 P
∇ E = μ0ε 0 2 + μ0 2 (under certain conditions)
2

∂t ∂t
Linear, Homogeneous, and Isotropic Media
P = ε0χ E

Wave Equation with v = c/n

n 2
∂ 2
E ( r, t )
∇ E ( r, t ) = 2
2

c ∂t 2
In real life: Relation between P and E is dynamic
+∞
P ( r , t ) = ε 0 ∫ dt ' x ( t − t ') E ( r , t ') P ( k , ω ) = ε 0 χ (ω ) E ( k , ω )
−∞

This will have major consequences !!!

 Next 2 Lectures
Real and imaginary part of χ are linked
● Kramers-Kronig

● Origin frequency dependence of χ in real materials

Derivation of χ for a range of materials

● Insulators (Lattice absorption, Urbach tail, color centers…)

● Semiconductors (Energy bands, excitons …)

● Metals (Plasmons, plasmon-polaritons, …)

 Useful Equations and Valuable Relations
∂D
Maxwell’s Equations Divergence Equations ∇ ⋅ D = ρ Curl Equations ∇ × H = +J
∂t
∇⋅B = 0 ∂B
∇× E = −
∂t
Constitutive relations: D = ε 0 E + P = ε 0 + ε 0 χ E = ε 0 (1 + χ ) E = ε oε r E

B = μ0 H + μ0 M = μ0 H + μ0 χ m H = μ0 (1 + χ m ) H = μ0 μr H

Gauss’s Law ∫ D ⋅dS = ∫ ε E ⋅ dS = ∫ ρ dv

A A V

⎛ ∂D ⎞
Maxwell (also) >∫ H ⋅ dl = ∫ ⎜⎝ ∂t
C A
+ J ⎟ ⋅ dS
⎠
+∞
Dynamic relation between P and E: P ( r , t ) = ε 0 ∫ dt ' x ( t − t ' ) E ( r , t ' ) and P ( k , ω ) = ε 0 χ (ω ) E ( k , ω )
−∞
⎧ ⎛ α ⎞⎫
Dispersive and absorbing materials: E ( z , t ) = Re ⎨ E ( z , ω ) exp ⎜ −i β z − z + iωt ⎟ ⎬
⎩ ⎝ 2 ⎠⎭
ω ω
where β= n ' = k0 n ' ,absorption coefficient α = −2 n '' = −2k0 n ''
c c
Handy Math Rules
Vector identities: ∇ × ∇ × E = ∇ (∇ ⋅ E ) − ∇2 E
∇ ⋅ ε E = ε∇ ⋅ E + E ⋅∇ε

Gauss theorem ∫ F ⋅dS = ∫ ∇ ⋅ Fdv

A V

Stokes >∫ F ⋅ dl = ∫ ( ∇ × F ) ⋅ dS
C A