Acsphotonics 2c00439

pubs.acs.
org/journal/apchd5 Perspective
Optical Beam Steering Using Tunable Metasurfaces

Pierre Berini*
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ABSTRACT: Optical beam steering is needed in many applications including, for example,
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LIDAR, optical communications, laser machining, and 3D printing. Autonomous cars and
drones need LIDAR, the increasing demand for optical bandwidth shows no sign of abating,
and advanced manufacturing using lasers continues to gain importance; such applications drive
growing demand for optical beam steering devices and motivates research on new approaches
and technologies. Tunable metasurfaces hold the promise of nonmechanical solid-state
integrated beam steering devices, fabricated using wafer-scale processes amenable to mass
manufacturing. Although still in its infancy, the field of tunable metasurfaces for optical beam
steering is showing significant promise through an early demonstration of concepts, further
motivating an already vigorous research effort globally. The purpose of this Perspective is to
assess progress on optical beam steering using dynamically tunable nanoantennas and
metasurfaces. Recent results are highlighted, and the state of the field is given a critical look.
KEYWORDS: steering, phased array, plasmonics, metasurfaces, materials, nanofabrication
■ INTRODUCTION
Optical beam steering consists of dynamically forming or
phase fronts of the incident beam directly via the application of
an electric wall boundary condition; as such, they exhibit near
orienting a collimated or focused laser beam into a specific ideal optical performance: low optical loss, no beam distortion,
direction, often to scan over a 2D angular range. Beam steering no diffraction, and an ability to handle high optical powers.
or scanning is needed in, for example, LIDAR (light detection However, mechanical beam steering is slow, bulky, costly,
and ranging) or laser imaging applications, optical communica- environmentally sensitive, and can be unreliable.
tions, laser machining, and 3D printing. In LIDAR applications, Beam steering using liquid crystals relies on allowing light to
beam steering is used (for instance) to create a 3D point cloud propagate through the liquid crystal over a prescribed length to
image of a scene by measuring the time delay of reflected signals. accumulate phase. Beam steering can then be achieved in
In optical communications, beam steering is used for space reflection or transmission by using, e.g., an array of liquid crystal
switching or to compensate for drift between transmitter and pixels, where each pixel imparts a local phase shift in the range of
receiver in free-space links. In laser machining, beam steering is 0 to 2π, commensurate with the phase front tilt needed to steer
used to apply a laser pattern to the object being processed. the beam in a desired direction.6 A spatial light modulator
Autonomous cars and drones need LIDAR, the demand for (SLM) implemented using liquid crystal on silicon (LCOS)
optical bandwidth shows no sign of abating, and advanced technology can be used for this purpose.7 LCOS SLMs of high
manufacturing using lasers continues to gain importance; such optical quality are mature and commercially available,2,8 but
applications drive growing demand for optical beam steering and they are costly and can be unreliable. Furthermore, the use of
motivate improvements over incumbent technologies. liquid crystals imposes several limitations, including a slow
Current technologies enabling beam steering rely mostly on scanning speed, a large pixel area that causes diffraction orders to
macroscopic or microscopic mechanical means or on liquid appear in the reflected/transmitted beam, and environmental/
crystals.1,2 Mechanical beam steering involves, for example, temperature sensitivity.
mounting a laser on a motorized rotation stage enabling the laser LIDAR systems for autonomous vehicles (for example)
output to be directly scanned over the area of interest.3,4 In a incorporate a beam steering device as a key component aiming
rotating system, an array of lasers and receivers is needed to
create a multiline 2D scan; such an array is expensive and bulky,
as has been widely noted in self-driving car technology Received: March 18, 2022
demonstrations. Alternatively, mirrors on motorized tilt stages Revised: June 20, 2022
or gimbals, or arrayed micromirrors integrated with electrostatic Accepted: June 21, 2022
(capacitive) actuators in a miniaturized device, such as the Published: June 30, 2022
MEMS device developed at Bell Laboratories around 2003,5 can
be used. Approaches based on mirrors operate by reorienting the
© 2022 American Chemical Society https://doi.org/10.1021/acsphotonics.2c00439

2204 ACS Photonics 2022, 9, 2204−2218
ACS Photonics pubs.acs.org/journal/apchd5 Perspective
to meet the following requirements:9 a frame rate of tens of approaches, however, have limitations: low power efficiency due
MHz, a field of view (FOV) in the range of 60° to 120°, an to optical losses and high steering power (e.g., to drive thermo-
angular resolution in the range of 0.1−0.2°, a depth resolution of optic or current-injection phase shifters), limited optical power
tens of cm’s, and a range of 200 m. In addition to meeting optical handling due to the onset of nonlinear processes, the need for
specifications, beam steering designs must reduce size, weight, large arrays to produce a narrow beam and a large steering angle,
power consumption, parts count, cost, latency, and environ- and the production of sidelobes alongside the main beam.
mental sensitivity to temperature, humidity and vibration. In Sidelobes reduce steering efficiency, cause false positives, and
addition, a beam steering device for LIDAR must be easy to introduce noise in LIDAR applications. Sidelobes in free space
calibrate. Meeting such requirements for what is rapidly optical communication links can cause crosstalk and open
becoming a very significant market motivates research on new eavesdropping channels compromising security. Sidelobes can
technologies. be removed by using apertures to cut out unwanted diffraction
A nonmechanical beam steering device can be implemented orders, but this limits the angular scanning range. The
as an optical phased array,10 following the general concept elimination of diffracted beams is a challenge in PIC beam
illustrated in Figure 1a. Here a coherent monochromatic optical steering devices because dielectric waveguide cores must be
larger than the diffraction limit, λ0/(2nc) (where nc is the
refractive index of the core) to provide good confinement, yet
the spacing between them must be smaller than λ0/2, which
leads to waveguide coupling and crosstalk.
Devices that mimic the action of a turning mirror to steer a
beam formed by a nearby source can be implemented by
pixelating and applying a controllable phase gradient over a
reflective area; such a device may be termed a tunable
reflectarray. Steering a monochromatic beam to an arbitrary
angle of reflection requires that the phase of each pixel in the
beam path be continuously variable from 0 to 2π without
altering the intensity of the incident light. Conventionally, this
approach has been implemented as arrays of liquid crystal pixels
on a reflective surface,2,6−8 with advantages and drawbacks
(including the generation of sidelobes) as discussed above.
The concept of a tunable reflectarray is in general very
powerful. Indeed, much of the research on beam steering devices
involving optical metasurfaces or plasmonic nanostructures aims
at achieving a reflectarray constructed from tunable pixels.
Research along this direction is, at present, very vigorous,
Figure 1. Conceptual optical phased array: (a) 1D optical phased array motivated by the technical promise of these approaches,
with (b) widely spaced radiators, (c) closely spaced radiators, and (d) a problems associated with incumbent solutions as highlighted
large number of closely spaced radiators. above, and expanding commercial opportunities including
LIDAR, telecom, laser machining, and 3D printing.
source (e.g., a laser) is split equally into several channels, each The purpose of this focused Perspective is to assess progress
incorporating a phase shifter ranging from 0 to 2π. A phase on optical beam steering using dynamically tunable nano-
gradient is then applied across the phase shifters to produce antennas and metasurfaces; broader review articles on tunable
emerging waves from each output element that are correspond- metasurfaces have already been published,12−14 as have reviews
ingly phase delayed. These emerging waves then combine of photonics for LIDAR9 and optical phased arrays based on
coherently in the far-field to produce a well-defined phase plane PICs.10 The general concept of a tunable reflectarray is reviewed
with the beam propagation direction perpendicular to this plane. first, followed by a discussion of mechanisms for tuning
Figure 1b emphasizes that if the spacing between elements is too nanoantennas and metasurfaces, highlights of recent results,
large, additional diffracted beams (sidelobes) emerge. Keeping then closing with a critical look at the state of the field and its
the element spacing below λ0/2, where λ0 is the free-space prospects.
wavelength, suppresses sidelobes, as shown in Figure 1c, and
adding elements as suggested in Figure 1d produces a narrower
beam. This phased array concept follows closely that employed
■ TUNABLE REFLECTARRAYS
For context, the theory of tunable reflectarrays for beam steering
in microwave-phased arrays, where the source is an oscillator is now briefly outlined in a generic and technology agnostic
and the output elements are antennas; this approach steers the manner (a more detailed presentation can be found else-
beam as it is formed, contrary to, for example, a turning mirror where15).
that steers an incident beam formed by an external source. Consider an array of pixels disposed in the xz plane, as
In optics, a phased array following the scheme of Figure 1a can sketched in Figure 2a. Each pixel emits monochromatic light of a
be implemented using waveguides and phase shifters integrated specific amplitude and phase, characterized by a local complex
on a chip as a photonic integrated circuit (PIC), where the electric field E(p,q) = |E(p,q)|ejψ(p,q) polarized along the z axis,
output elements are taken as the waveguide outputs directly or illustrated as the yellow arrows in Figure 2a, where integers p and
as waveguides terminated in grating couplers.10,11 Advanta- q denote the pixel location. The pixels are assumed bounded
geously, implementation as a PIC leads to a compact solution, above and below by a lossless and dispersionless medium of
produced using wafer scale processes, thereby holding the refractive index n. The wavenumber in this medium is k = 2π/λ,
promise of low cost and mass manufacturability. PIC-based where λ = λ0/n, and λ0 is the wavelength in free space.
2205 https://doi.org/10.1021/acsphotonics.2c00439
ACS Photonics 2022, 9, 2204−2218
Figure 2. Conceptual model of a tunable metasurface. (a) Pixelated surface comprising an array of monochromatic light sources characterized by a
local electric field E(p,q) polarized along the z axis and sketched as the yellow arrows. The pixel dimensions and periodicity are ax and az. (b) Definition
of beam steering angles (θs, ϕs). (c) Idealized and realistic phase profiles as a function of pixel location along x for beam steering in the 0° plane (xn̂-
plane). Reprinted in part with permission from Calà Lesina, A.; Goodwill, D.; Bernier, E.; Ramunno, L.; Berini, P. On the performance of optical
phased array technology for beam steering: effect of pixel limitations. Opt. Expr. 2020, 28, 31637−31657; 10.1364/OE.402894. Copyright 2020 The
Authors, licensed under a Creative Commons Attribution (CC BY) license.
The power radiation pattern of the array of pixels can be blue in Figure 2b (also labeled the 0°-plane, ϕs = 0), such that θs
expressed in spherical coordinates as |U(θ, ϕ)|2 = |A(θ, ϕ)|2·|F(θ, represents the steering angle. Beam steering in this plane
ϕ)|2, where the array factor A is given by15 requires a phase gradient along the x-axis. The ideal phase
Nx Nz
jkpax sin cos jkqaz cos
distribution is linear and continuous, written ψ(x) = ψ′(x)·x,
A( , ) = E(p , q)e e where ψ′(x) = ∂ψ(x)/∂x is the phase gradient, positive for θs > 0
p = Nx q = Nz
or negative for θs < 0. An ideal phase distribution is shown as the
F is the radiation pattern of a single pixel, which is set to F = 1 for black dotted line in Figure 2c, and its modulo 2π version as the
simplicity, corresponding to the case where E(p, q) represents a black dashed sawtooth profile. The period of the sawtooth
dipole source aligned along the z axis. Beam steering
profile is denoted d and labeled “long-period” in Figure 2c.
performance in this case is entirely captured by the array factor
A. An array discretizes a continuous phase distribution into
Beam steering is described by the angular coordinates θs and pixels following its pitch, in this case ax. The discretized phase
ϕs, defined in Figure 2b, with θs taken relative to the surface gradient along x, written at pixel (p, q) using a forward finite-
normal n̂. Consider beam steering in the xn̂-plane, sketched in difference approximant to the gradient, is ψ′(p,q) = Δψ(p,q)/ax
ACS Photonics 2022, 9, 2204−2218
Figure 3. Tunable metasurfaces. Metasurfaces can be rendered tunable by changing the physical structure (e.g., via mechanical actuation) or by tuning
the properties of the materials used to implement the structure (e.g., via electrical gating). MEMS: microelectromechanical system.
= (ψ(p + 1,q) − ψ(p,q))/ax. The steering angle θs is then and reflectarrays implemented in LCOS technologies are
determined from the generalized law of reflection:16 particularly impacted by this constraint, the former due to
coupling between waveguides and the latter due to fabrication
(x)
sin s sin i = = limitations. Conversely, a metasurface implementation can meet
k ax k d this requirement because pixels can have subwavelength
where θi is the angle of the incident beam. The second equality in dimensions without mutual coupling due to the strong field
the above is approximate, emphasizing the discretized form of localization produced therein.
the phase gradient, sketched as the blue dots in Figure 2c. The A large array is important for reducing the beam width and
third equality is written in terms of d (period of the sawtooth increasing the directivity, thereby improving the resolution of
profile, Figure 2c), noting that d ≫ ax. beam scanning. However, arrays are necessarily finite, and cost
Discretizing the phase gradient ψ′(x) does not result in and complexity increase with array size. If the array is smaller or
discretizing the steering angle if the phase difference Δψ(p,q) = comparable in size to the incident beam, then diffraction occurs
ψ(p + 1,q) − ψ(p,q) remains continuous, which is the case if the (effectively, aperture diffraction) resulting in sidelobes. In such
phase of each pixel ψ(p,q) can be tuned over a continuum. In this cases the array should be circular rather than square and
situation, the main effect caused by discretization is the possible apodization can be introduced, for instance, the pixel strength
introduction of sidelobes due to aliasing if the pitch ax is too can be reduced gradually as the periphery of the array is
large. The grating equation written for the case of no phase approached from the center. Alternatively, the incident beam
gradient (ψ′(x) = 0) is useful to illustrate this effect: can be tailored by inserting a circular aperture stop followed by a
Gaussian window centered about the array. Such strategies can
sin ( m)
= sin +m suppress sidelobe levels on finite arrays by 20 dB or more.15
s i
ax Ideally, full control of all pixels in the array is desirable for
beam steering; that is, the magnitude and phase of E(p,q) should
where m corresponds to the diffraction order (positive or be independently controlled. In reality, this is not possible, and
negative integer). θ(m)
s is the angle of the mth diffracted beam, pixels have limitations; for instance, they may not provide 2π of
(0)
with θs representing the specular reflection and the angle of the phase range or they may not maintain a constant magnitude over
steered beam. The field of view (FOV) corresponds to the their phase range. Such limitations introduce imperfections in
angular range over which a beam is steered, and it is usually the phase gradient which repeat with periodicity d, thereby
desirable for the FOV to be sidelobe-free. Setting θi = −θ(m)
s in producing another set of sidelobes. The red horizontal bands
the above and isolating for ax yields sketched in Figure 2c highlight a phase range beyond ψmax that is
m unavailable for a hypothetical pixel design, introducing defects in
ax = ( m) the phase gradient within each sawtooth. The vertical gray bands
2 sin s
indicate pixels where the missing phase values need to be
The maximum FOV for a normally incident beam is FOV = 180° compensated. A very simple compensation scheme found to
(θs = ±90°). Setting θ(±1)
s = ±90°, with m = ±1 in the above work well (in theory) involves replacing half of the missing
yields the familiar condition on the pitch to ensure that FOV = phases within the red bands by ψmax and the other half by 2π.
180° remains sidelobe free: ax < λ/2. This condition can be Such a scheme can maintain sidelobe levels to below 20 dB for
relaxed if the FOV is reduced: for example, if FOV = 90° (i.e., ψmax = 270° over a reasonable FOV.15
θ(±1)
s = ±45°), then ax < λ√2/2, which indicates that the pitch The model described is general and represents a tunable
can increase by a factor of √2 relative to the case FOV = 180° metasurface that operates in transmission (transmitarray) or
for sidelobe-free operation. A trade-off is therefore evident reflection (reflectarray) or that is composed of independent
between the FOV and the minimum pitch for sidelobe-free monochromatic light sources; the model captures most tunable
operation. metasurface concepts that are capable of beam steering. For the
The condition on the pitch to ensure no sidelobes in the FOV case where the model applies to a tunable reflectarray, the
is stringent, and especially difficult to meet for a wide FOV, notation could be rendered specific, that is, Γ(p,q) is the pixel
because mutual coupling among pixels must be minimized reflection coefficient (electric field), |Γ(p,q)| is the pixel
(rendered essentially inexistent) to maintain pixel independ- reflectivity, ∠Γ(p,q) is the pixel reflection phase, and |Γ(p,q)|2
ence. Optical phased arrays implemented in PIC technologies is the pixel reflectance (power).
ACS Photonics 2022, 9, 2204−2218
■ TUNING MECHANISMS
In a metasurface, local control over the magnitude, phase, and
leading to small changes in refractive index (Δn ∼ 10−4), so long
optical interaction lengths are required (as in electro- and
thermo-optic devices) to accumulate the required phase shift (0
polarization of light is achieved by controlling the shape, size,
to 2π), leading naturally to waveguide-based phased-array
and composition of the subwavelength elements (meta-atoms)
approaches.10 The carrier refraction effect can also produce large
comprising the metasurface. The meta-atoms are typically
index changes of Δn ∼ 0.5 to 1,19 over very thin regions within
defined at the nanoscale in a single layer deposited on a substrate
an inversion or accumulation layer at a dielectric-semiconductor
and are static in a passive structure. The flexibility to define
interface, as in a plasmonic metal-oxide-semiconductor (MOS)
meta-atoms over a very broad design space underpins the structure.20
powerful ability of metasurfaces to produce tailored optical The need for solid-state beam steering metasurfaces motivates
responses that enable simple or complex functions, in a low- research in two directions: (i) integrating new materials that can
profile planar structure (flat optics). produce large changes in their optical properties and (ii) meta-
However, it is inherently difficult to realize metasurfaces that atom designs that make the most out of a weak material effect or
are dynamic or tunable because there is essentially no optical a material effect that is highly localized. Indeed, most of the
thickness and no propagation over which, for example, a research conducted to date on beam steering metasurfaces has
material-induced phase shift can be accumulated. By definition, been focused on developing nonmechanical solid-state con-
metasurfaces are 2D structures; this implies that tuning must cepts; a nonexhaustive but representative review of ideas follows
occur within the plane or within thin regions into which in subsequent sections. Concepts exploiting mechanical
evanescent fields penetrate. Alternatively, meta-atoms can be actuation or involving liquid crystals are also discussed for
formed by stacking several optically thin materials, although completeness.
such a metasurface is no longer strictly 2D. Thus, very strong
tuning mechanisms (structural or material) are sought to tune
the optical response of a metasurface.
Metasurfaces can be tuned by perturbing the lattice, the
■ MECHANICAL ACTUATION
Any proposal for a miniaturized mechanically actuated metasur-
face for beam steering must be mindful of MEMS-actuated
substrate (or cover) globally, or individual meta-atoms.12−14
micromirrors.5 As emphasized above, the optical performance of
The former typically entail fabricating a passive metasurface
a turning mirror is essentially ideal, setting the optical standard
then perturbing the entire design via a single tuning mechanism,
against which other beam steering devices are compared. Given
whereas the latter requires individually addressable meta-atoms
the need for nanofabrication, a metasurface on MEMS should be
(pixels), for example, as in Figure 2a, which adds flexibility, but
capable of more than beam steering. Also, proposals should be
increases fabrication and driver complexity. mindful of the disadvantages of mechanical structures (cf.
Figure 3 summarizes some of the different approaches that Introduction) and aim to alleviate or mitigate some of their
have been or could be adopted to dynamically tune a limitations. Several studies on mechanically actuated meta-
metasurface for beam steering. One approach involves changing surfaces exemplify these points.21−24
the physical structure of the metasurface, by integrating Roy et al.21 implemented a metasurface cylindrical lens, as an
mechanical structures (e.g., MEMS) or by elastic deformation array of Au nanodisks of variable diameter on SiO2 on Au, as
of the materials (e.g., stretching). An alternative approach shown in Figure 4a, to achieve focusing upon reflection of a
involves tuning the optical properties of the materials used in the collimated incident Gaussian beam in the mid-IR (λ0 = 4.6 μm).
construction of a metasurface. This can be achieved by The metasurface was transferred to a dual gimbal (2° of
integrating materials such as ferroelectrics, transparent con- freedom) MEMS actuator capable of 2D angular scanning over
ductive oxides, phase change materials, liquid crystals, semi- ±9° per axis, actuated by electrostatic vertical comb drives, as
conductors, or 2D materials, for which the optical properties can shown in Figure 4b. They demonstrated steering of the incident
be changed electrically, optically, or thermally, leveraging effects beam over about 7° while maintaining focus (f = 5 mm). In
such as electro-optic, carrier injection, or thermo-optic effects. addition to beam steering, this device also focuses the incident
Solid-state materials generally produce small index changes beam.
compared to the reorientation of liquid crystal molecules. The Holsteen et al.22 reported an array of free-standing Si
change in index of typical electro-optic crystals (e.g., LiNbO3) is nanobeams supporting Mie resonances, suspended above a
in the range of Δn ∼ 10−3 to 10−4, compared to Δn ∼ 0.1 in substrate. Electrostatic capacitive actuation was used to vary the
liquid crystals for comparable applied electric fields.17 The air gap thickness between the nanobeams and the substrate, such
thermo-optic effect is typically stronger than the electro-optic that an interplay between Mie resonances on the nanobeams and
effect, in that an index change of Δn ∼ 10−3 can be achieved for a Fabry−Perot resonances in the air gap led to changes in
10 K change in temperature in, for example, semiconductors or reflection phase as the gap was varied. They designed a
polymers. However, careful thermal design and management are metasurface as an array of nanobeams with a gradient in beam
needed, forcing trade-offs with the optical design, and the speed width producing a gradient in reflection phase, enabling
and energy efficiency are poor. Phase change materials such as continuous steering as its separation from the substrate was
VO2 can produce large index changes of Δn ∼ 1 to 3, but the varied. Using cross-polarizers to eliminate parasitic specular
change is usually triggered thermally and subject to similar issues reflections from the substrate, they demonstrated steering of
as devices based on the thermo-optic effect. Furthermore, it is diffracted light over about 10° at λ0 = 600 nm.
difficult to reach stable material states between end-point Meng et al.24 implemented a metasurface using square metal−
phases, making this approach potentially better suited to discrete insulator−metal (MIM) resonators as meta-atoms, where the
switching applications rather than continuous tuning. insulator was an air gap of variable nanoscale thickness
The carrier refraction (dispersion) effect is present in all controlled using a piezoelectric film. The reflection phase of
semiconductors and conductive oxides,17,18 so it is easy to such a meta-atom is set by its lateral dimensions and varies with
access. Conventionally, low carrier injection levels are produced, the thickness of the air gap. A diffractive structure was designed
ACS Photonics 2022, 9, 2204−2218
■ LIQUID CRYSTALS
The possibility to infiltrate a complex metasurface with liquid
motivates concepts involving liquid crystals. However, device
proposals should be mindful of the disadvantages of liquid
crystals (cf. Introduction), aiming to alleviate or mitigate some
of their limitations, as exemplified in recent studies.27−29
de Ceglia et al.27 proposed a thick Ag grating with liquid
crystal infiltrating its subwavelength slits. Steering occurs by
inducing a slit-to-slit index gradient, following a gradient in the
voltage applied across individual slits. They predicted high-
directionality, low-loss, and sidelobe-free steering in trans-
mission over a range of about 15° for TM-polarized light
incident at an angle of 85° (λ0 = 1064 nm).
Komar et al.28 proposed a metasurface comprised of Si
nanodisks on a quartz substrate designed to produce a phase
gradient along one dimension, with a liquid crystal covering the
metasurface. Heating the liquid crystal changed its state from
nematic (organized) at low temperature (25 °C) to isotropic
(disorganized) at high temperature (60 °C), changing its
Figure 4. Mechanical actuation. (a) Metasurface reflective cylindrical refractive index. The change in index was applied over the entire
lens as an array of circular Au patches on SiO2, (b) mounted on a dual metasurface and was sufficient to modulate diffraction of the
gimbal MEMS actuator capable of 2D angular scanning. (a, b) incident optical beam from the zeroth to the first order which
Reprinted in part with permission from Roy, T.; Zhang, S.; Jung, W.; emerged 12° from normal.
Troccoli, M.; Capasso, F.; Lopez, D. Dynamic metasurface lens based Li et al.29 reported a dielectric metasurface covered by a liquid
on MEMS technology. APL Phot. 2018, 3, 021302; 10.1063/1.
crystal, designed for beam steering in transmission. The
5018865. Copyright 2018 The Authors, licensed under a Creative
Commons Attribution (CC BY) license. (c) Metasurface comprised of metasurface was comprised of TiO2 nanocylinders supporting
Au nanorods embedded in PDMS, under isotropic tension applied at spectrally overlapping magnetic and electric dipole resonances.
the four corners of the sample (scale bar: 10 mm). (d) Diffracted beam Resonant light confinement within the nanocylinders enabled
in transmission emerging from the metasurface of part (c) at different the liquid crystal thickness to be reduced, mitigating crosstalk
angles depending on the stretch ratio (final length/initial length) as between unit cells and enabling reduction of the pixel size.
labeled in white text. (c, d) Reprinted with permission from ref 25. Applying an electrical bias to modify the orientation of the liquid
Copyright 2016 American Chemical Society. crystal molecules covering a nanocylinder changed its resonance
and transmission phase. They demonstrated 1D beam steering
(FOV = 22°) by controlling columns of pixels, resulting in the
redistribution of incident optical power into the 0 and ±1
where the meta-atoms were tailored to produce a phase gradient diffraction orders.
across the array. Varying piezoelectrically the thickness of the air
gap of all meta-atoms (identically and simultaneously), resulted
in redistribution of the incident optical power (λ0 = 800 nm)
from the zeroth order into the +1 or −1 diffraction orders. Beam
■ PHASE CHANGE MATERIALS
Optical materials that exhibit a reversible phase change are of
steering rests in controlling the amount of optical power interest in beam steering metasurfaces because of the very large
channelled into different diffraction orders which emerge from change in optical parameters that accompany a change in
the device at different angles, fixed by design. material phase.30−36 Phase changes in a material are triggered
Metasurfaces where beam steering is achieved by stretching thermally, by direct heating using a hot plate or furnace, resistive
an elastically deformable substrate have also been reported.25,26 heating using an integrated metal heater, or optical heating
In such devices, stretching alters primarily the lattice of the resulting from the absorption of a strong optical pump. The
thermal performance of a device is important, requiring careful
metasurface, although slight deformation of individual meta-
thermal design, and consideration of material stability and
atoms can be expected if they are formed of ductile material (e.g.,
compatibility over temperature excursions that may be
Au). Ee et al. reported a metasurface comprised of Au nanorods
considerable. In general, a material changes phase abruptly,
embedded in an elastically deformable PDMS (polydimethylsi- and its properties are stable away from phase boundaries, leading
loxane) substrate, which was tuned by stretching and altering the naturally to devices that can be placed into a discrete set of states,
relative position of the Au nanorods.25 Figure 4c shows an image often two, resulting in bistable devices. Indeed, all beam steering
of the structure under isotropic tension produced by clamping devices demonstrated experimentally to date are bistable.
the four corners of the sample and pulling using linear However, it is possible to implement multiangle steering by
translation stages. The metasurface was designed such that dynamically grouping individually addressable meta-atoms into
normally incident light (λ0 = 632.8 nm) that is left circular one state of the material, effectively varying the period (and
polarized (LCP) emerges in transmission as right circular diffraction orders) of a device.
polarized (RCP) light diffracted at an angle that depends on the Phase change materials that have been considered for beam
stretch ratio, as shown in Figure 4d. The far-field RCP diffraction steering metasurfaces include germanium antimony telluride
angle shifts by about 4° by stretching this structure. Xu et al. (Ge2Sb2Te5, GST), germanium antimony selenium telluride
demonstrated a similar concept but using Kirigami gratings as (Ge2Sb2Se4Te, GSST), and vanadium dioxide (VO2). GST and
metasurfaces.26 GSST undergo an amorphous to crystalline phase change at
ACS Photonics 2022, 9, 2204−2218
Figure 5. Phase change materials. (a) SEM image of a beam switching metasurface comprised of Au nanorods on GST. (b) In the amorphous state of
GST, a normally incident RCP beam is partially diffracted into an LCP beam emerging at +13° from normal, and in the crystalline state, the incident
beam is diffracted at −13°. (a, b) Reprinted with permission from 33. Copyright 2017 The Author(s). (c) SEM image of a metasurface comprised of an
arrangement of Al strips on a multilayer stack of ITO-GST-ITO-SiO2 on an Al ground plane, forming MIM structures. (d) Measured (solid) and
computed (dashed) reflectance showing diffraction of normally incident light into the 0th order (0°) for GST in the crystalline state (red), and into the
1st order (33°) for GST in the amorphous state (blue). (c, d) Reprinted in part with permission from de Galarreta, C. R.; Alexeev, A. M.; Au, Y.-Y.;
Lopez-Garcia, M.; Klemm, M.; Cryan, M.; Bertolotti, J.; Wright, C. D. Nonvolatile Reconfigurable Phase-Change Metadevices for Beam Steering in the
Near Infrared. Adv. Funct. Mater. 2018, 28, 1704993; 10.1002/adfm.201704993. Copyright 2018 The Authors, licensed under a Creative Commons
Attribution (CC BY) license.
about 400 and 600 K, respectively, and a crystalline to sputtered on a CaF2 substrate and passivated by ZnS:SiO2. The
amorphous phase change at the melting temperature of about metasurface consisted of interleaved rows of Au nanorods of two
900 and 1000 K, respectively, resulting in large changes in different lengths, disposed column-wise with a relative rotation,
refractive index (Δn ∼ 3), but creating significant thermal as shown in the SEM image of Figure 5a. The nanorod lengths
management and device integrity challenges. VO2 undergoes a were selected such that one set of nanorods resonate with
reversible insulator-to-metal transition (with hysteresis) upon normally incident RCP light when GST is in the amorphous
heating to ∼340 K (close to room temperature), due to state, and the other set when GST is in the crystalline state.
structural deformation from the monoclinic insulating phase to Furthermore, the orientation of one set was designed to partially
the tetragonal rutile metallic phase, resulting in a large change in diffract normally incident RCP light into LCP light emerging at
complex refractive index (e.g., Δn ∼ 1, Δk ∼ 2 at λ0 ∼ 1500 nm). +13° from normal (amorphous state) and the other set into LCP
Binary beam steering along two angles corresponding to two light emerging at −13° (crystalline state), as shown in Figure 5b.
states of GST (amorphous, crystalline) was predicted at λ0 = GST is amorphous as deposited, but undergoes a phase
1550 nm.32 A metasurface operating as a reflectarray was transition to the crystalline state when heated above 160 °C
designed from MIM resonators with GST assumed as the (433 K), which was achieved by heating the sample on a hot
insulator. The reflectarray was designed to produce a fixed phase plate.
gradient such that the deflection of an incident beam can be de Galarreta et al.34 reported a metasurface using GST,
switched among two directions by changing the phase of the operating in reflection at λ0 ∼ 1550 nm. The metasurface design
GST layer throughout the metasurface. is based on MIM structures constructed from arrangements of
Yin et al.33 reported a geometric metasurface on a GST film Al strips, as shown in Figure 5c, where the insulator region
operating in transmission at λ0 = 3.1 μm. The GST film was consists of a multilayer stack of ITO-GST-ITO-SiO2 (ITO,
ACS Photonics 2022, 9, 2204−2218
Figure 6. Electro-optic crystals. (a) Sketch and (b) SEM images of a metasurface consisting of a vertical Fabry-Pérot cavity, formed from a distributed
Bragg reflector (DBR) bearing the MQW region etched into a ridge with a pair of shallow slits. (a, b) Reprinted with permission from Wu, P. C.; Pala,
R. A.; Shirmanesh, G. K.; Cheng, W.-H.; Sokhoyan, R.; Grajower, M.; Alam, M. Z.; Lee, D.; Atwater, H. A. Dynamic beam steering with all-dielectric
electrooptic III−V multiple-quantum-well metasurfaces. Nat. Commun. 2019, 10, 3654; 10.1038%2Fs41467-019-11598-8. Copyright 2019 The
Author(s), licensed under a Creative Commons Attribution (CC BY) license. (c) Top: sketch of a beam steering device incorporating plasmonic
waveguide phase shifters on z-cut LiNbO3. Gratings are used at the input and output to couple perpendicularly directed beams. Bottom: SEM image of
a fabricated structure. (d) Measured and simulated beam steering over a FOV of 10° at λ0 = 1550 nm. (c, d) Reprinted with permission from 39.
Copyright 2021 American Chemical Society.
indium tin oxide, used as passivation layers). The metasurface intermediate properties can be accessed continuously using
was designed such that normally incident light was mostly fine thermal control by allowing mixed phases between the end
diffracted normally (0th order) when the GST layer was points. This can be achieved by carefully controlling resistive
crystalline, and at 33° (into the +1 order) when the GST layer heaters integrated at the nanoscale with the phase change
was amorphous, as shown in Figure 5d. A reversible performance material.30,35,36
was demonstrated, associated with reversible amorphous− Kim et al.30 reported a metasurface as a tunable reflectarray
crystalline phase transitions in GST, triggered via optical heating implemented with MIM meta-atoms using VO2/Al2O3 as the
by scanning the device area with a laser (λ0 = 405 nm). insulator. Their structures produced 250° of sharp but
Zhang et al.35 used GSST as the phase change material, which continuously variable phase shift at λ0 = 1500 nm (with
is advantageous over GST in that it offers transparency over a hysteresis) by passing current along the top metal forming the
broader bandwidth across material phases and, therefore, a MIM structures, used simultaneously as a resistive heater. Zhang
larger interaction depth. They fabricated a resistive metal heater et al.35 similarly demonstrated continuous tuning of GSST in
bearing contact pads and the metasurface on a SiO2/Si substrate. their nanostructures, as have Wang et al. of GST.36
The beam steering metasurface was designed by arraying a unit Kaplan et al.31 considered using mixed phases of VO2 for a
cell comprised of two disks of different diameters, defined by continuous beam steering device, modeling a metasurface
etching a 230 nm thick multilayer stack of Al2O3/GSST/Al2O3. operating as a tunable reflectarray, consisting of an array of
The structure was designed such that normally incident light at slits in an MIM configuration with VO2/Al2O3 used as the
λ0 = 1550 nm, diffracts into the zeroth order (emerging insulator. They assume thermal gradients through the mixed
normally) when GSST is in the crystalline state, and into the +1 phase region of VO2 and predict continuous beam steering over
a FOV of 44°. However, a thermal design offering precise
order emerging at 32° when GSST is in the amorphous state.
production and control of thermal gradients at the nanoscale is
Reversible phase changes in GSST were induced by applying
necessary in a practical device.
voltage pulses to the resistive metal heater: a 12 V pulse, 500 ms
in duration, triggered crystallization (550−630 K), whereas a 23
V pulse, 5 μs in duration, triggered amorphization (1020 K).
As discussed above, a phase change material generally leads to
■ ELECTRO-OPTIC CRYSTALS
Bulk electro-optic crystals (e.g., III−V’s, LiNbO3) produce
a device having a discrete set of states, limiting beam steering modest changes in refractive index of Δn ∼ 10−3 to 10−4 upon
devices to, for example, space switching applications and application of an electric field but are of interest in beam steering
precluding application to continuous beam scanning. Materials applications because of the very high speed of the electro-optic
on phase boundaries are inherently unstable, however, effect in such materials. III−V materials formed into multiple
ACS Photonics 2022, 9, 2204−2218
quantum wells (MQWs) can produce larger refractive index epsilon-near-zero (ENZ) condition.18 On one side of the ENZ
changes of Δn ∼ 10−2 near the bandgap via the quantum- condition (the low carrier concentration side), the material
confined Stark effect and, in principle, offer the potential of appears as dielectric, but on the other side (high carrier
monolithic integration of optoelectronics (sources, detectors). concentration) it appears as metallic. Furthermore, strong field
Wu et al.37 reported a dielectric metasurface based on III−V enhancement occurs in a layer where the real part of permittivity
MQWs formed in the AlGaAs/GaAs system, patterned into is near zero, due to the requirement for normal electric flux
resonant elements that are tunable electro-optically via the densities to be continuous over the layer boundaries.
quantum-confined Stark effect. Their meta-atom design consists Research on beam steering metasurfaces exploiting carrier
of a vertical Fabry-Pérot cavity, formed from a distributed Bragg refraction has focused on using MOS structures due to their low
reflector bearing the MQW region, etched into a ridge with a electrical power dissipation and involved a TCO such as ITO as
pair of shallow slits (also formed by etching), as shown in Figure the semiconductor to generate large optical phase shifts as
6a,b. The design supports hybridized guided and Mie regions of the material transition through ENZ. Many of the
resonances that are highly sensitive to the index change proposed concepts, whether metallic (plasmonic) or dielectric,
produced electro-optically within the MQW region. Several operate near a resonance, leading to a limited optical bandwidth,
ridges are arranged into a 1D periodic structure and individually and loss due to absorption in the TCO and metals (if present)
contacted such that the pitch of a grating super cell can be varied which lowers the steering efficiency. Challenges typically
electro-optically. The power of a normally incident optical beam encountered in the structures reported are maintaining the
(λ0 = 917 nm) was diffracted into the ±1 grating orders magnitude of the emerging optical wave as constant and as large
emerging at angles that were tuned over a range of about 10°. as possible, as its phase is varied. Leakage and breakdown of the
Zolotarev et al.38 investigated theoretically a MWQ wave- thin insulator layer in MOS structures are also problems. The
guide, with a diffraction grating defined into the top cladding, studies reviewed addressed these challenges to varying degrees.
and a distributed Bragg reflector integrated into the substrate, as Plasmonic40−47 and dielectric49,50 metasurfaces exploiting
an electro-optically controlled beam steering device. They carrier refraction effects have been explored for beam steering.
assume an AlGaAs/GaAs system and exploit the quantum Huang et al.40 reported a tunable metasurface consisting of an
confined Stark effect to modulate the grating diffraction angles, array of narrow Au stripes on Al2O3 on ITO on a Au backplane,
predicting a FOV of about 5°. operating with TM-polarized incident light such that the stripes
Thomaschewski et al.39 reported a beam steering device resonated along their width in an MIM resonant mode with
incorporating plasmonic phase shifters on z-cut LiNbO3, fields strongly localized to the Al2O3/ITO region. Several stripes
consisting of parallel uncoupled Au stripe waveguides operating (2−4) were grouped together and connected to an electrode
with propagating SPPs. The waveguides were excited by a thereby defining a MOS capacitor relative to the Au backplane.
common input grating coupler and were terminated by a Applying a bias to the stripes drove the capacitor into
common output grating coupler diffracting light in the direction accumulation, which changes sufficiently the refractive index
normal to the substrate. The phase shifters were driven in a of the ITO in this region to transition through ENZ. Phase
push−pull fashion by applying a potential difference directly modulation over a range of 180° was demonstrated in reflection
between the metal stripes (exploiting the linear Pockels effect in (∠Γ) at λ0 = 1573 nm, accompanied by a relative reflectance
z-cut LiNbO3). Figure 6c illustrates the concept and gives a SEM modulation of Δ|Γ|2/|Γ|2 ∼ 30%. By applying different biases to
image of the fabricated structure. The light diffracted normally alternate groups of stripes, a binary grating was induced that
from the output grating coupler forms a beam in the far field produced diffraction orders; they demonstrated emergence of
directed at an angle that depends on the phase difference the ±1 grating orders producing diffraction in reflection at ±40°.
between the propagating SPPs. They demonstrate beam steering Forouzmand et al.41 modeled and optimized the performance
over a FOV of 10° at λ0 = 1550 nm, as shown in Figure 6d, and of similar MOS structures, proposing dual band reflectarrays
operation up to 18 GHz. based on stripes of different width, disposed horizontally or in
■ CARRIER REFRACTION
The carrier refraction effect is easy to access because it is present
structures that are stacked vertically. The stripe widths were
selected such that two distinct resonances appear at two
operating wavelengths, for which control over the phase in
in all semiconductors, amorphous, polycrystalline, or single- reflection is achieved through biasing. Use of the concepts as a
crystal, and can produce large changes in refractive index of Δn phased reflectarray was discussed.
∼ −0.5 to −1 due to increases in carrier concentration of 1020− Shirmanesh et al.42 reported a metasurface comprised of dual-
1021 cm−3. Carrier concentration also affects the imaginary gated MOS meta-atoms, each consisting of an Al cross-shaped
index, but the corresponding increase is comparatively modest nanoantenna on insulator on ITO on insulator on an Al back
(Δk ∼ 0.01). High concentrations of electrons or holes can be reflector. The meta-atoms were driven by grounding the ITO
current-injected in the intrinsic region of a PIN diode, or layer and providing two independent voltages to the Al
voltage-induced in an accumulation or inversion layer within a nanoantennas and Al back reflector, resulting in two
MOS capacitor (for example). The former can produce an index accumulation or depletion layers formed along the top and
change over a larger volume compared to the latter, but bottom surfaces of the ITO in contact with the insulators. The
consumes more electrical power. MOS structures can be insulators were formed as heterostructures, each consisting of a
operated at very high speed (10s of GHz), limited only by the HfO2/Al2O3 (HAOL) multilayer stack, providing improved
RC time constant of the MOS capacitor and driver circuit. breakdown characteristics relative to a homogeneous layer of
Using a transparent conductive oxide (TCO) such as ITO as either material. Phase modulation over a range of 315° was
the semiconductor is of strong interest because TCOs have a demonstrated in reflection at λ0 = 1550 nm (∠Γ), accompanied
bulk refractive index that is lower than that of Si (or of III−V’s), by a reflectance modulation of about 30% (|Γ|2). In this meta-
such that carrier refraction can drop the real part of permittivity atom, the perturbation is doubled resulting in a larger phase shift
to zero in the (near-)infrared, thereby producing the so-called than in single-gated structures, but the capacitance is also
ACS Photonics 2022, 9, 2204−2218
doubled. Although two perturbation regions are induced, a shown in Figure 7(a), that maximizes the directivity at the
limitation of design proposed is the inability to produce a dual- desired steering angle, while minimizing beam divergence and
gated phase gradient over the metasurface as the Al back the power scattered in other directions.
reflector was not patterned. Park et al.45 reported a metasurface comprised of dual-gated
In subsequent work,43 the same group reported a similar MOS meta-atoms, consisting of a Au stripe on insulator on ITO
metasurface, comprised of meta-atoms consisting of a Au back- on insulator on an Al back reflector. The top and bottom
reflector bearing an Al2O3 layer, an ITO layer, a HfO2/Al2O3 insulators were formed as HfO2 on Al2O3 bilayers, with the
(HAOL) multilayer stack, and a Au cross-shaped nanoantenna, Al2O3 layer used to promote adhesion. The Al back reflector was
as sketched in Figure 7a. The dimensions of the cross structure, patterned under groups of 11 meta-atoms, such that two bias
voltages, Vt and Vb, could be applied to control the perturbation
layers in ITO. The two-voltage scheme enables control of the
phase and magnitude of the reflection coefficient of normally
incident x-polarized light, with tuning maps determined using
temporal coupled-mode theory. Using this scheme, the meta-
atoms produced a variable phase of 0 to 360° (∠Γ) with a flat
reflectance (|Γ|2) of about 4% at λ0 = 1300 nm. They measured
the intensity profiles for five steering angles, producing a linear
motion of the beam: −3.84°, −1.92°, 0°, +1.92°, and +3.84°.
The sidelobes were measured as 2.7 dB below the main steered
beam. A large area test array (200 × 200 μm2) produced a
maximum modulation frequency of 170 kHz (3 dB). They also
demonstrated the metasurface as a 1D scanning element in a
LIDAR experiment at λ0 = 1560 nm.
Calà Lesina et al.46 proposed a beam steering metasurface
constructed from the single-gated MOS meta-atom sketched in
Figures 8a,b, consisting of a Au back-reflector bearing an ITO
layer, a HfO2 layer, and a perpendicularly contacted Au dipole
nanoantenna. A voltage bias applied to the contacts and
nanoantenna, relative to the Au back-reflector, induces
Figure 7. Carrier refraction. (a) 3-D sketch of a meta-atom comprised perturbation regions in ITO as highlighted by the dashed red
of a Au back-reflector, bearing an Al2O3 layer, an ITO layer, a HfO2/ lines. The meta-atom was designed such that the nanoantenna
Al2O3 (HAOL) multilayer stack, and a Au cross-shaped antenna. (b) operates in its main dipolar plasmonic resonance under z-
and (c) SEM images of electrical fan-out and cross-shaped antenna
polarized illumination, and enhanced fields develop in the gap
array (scale bars: (b) 50 μm, (c) 500 nm). (d) Normally incident x-
polarized incident beam steered to 22°. (a−d) Reprinted with and around the nanoantenna where ITO is most strongly
permission from 43. Copyright 2020 American Chemical Society. perturbed. Figure 8c and d plot the computed voltage response
of the reflection coefficient magnitude |Γ| and phase ∠Γ as the
perturbation regions of ITO transition from depletion to
nanoantenna and electrode, were designed to support a accumulation. As accumulation is entered, the ENZ wavelength
plasmonic magnetic dipole resonance when excited by normally of the perturbed regions blue-shifts through the nanoantenna
incident x-polarized light at wavelengths overlapping spectrally resonance, resulting in a large change in ∠Γ. The nanoantenna
with the ENZ region of ITO. The “electrode” portion of each gap length g controls the reflection coefficient, in that reducing g
meta-atom interconnects them into rows, as shown in Figure 7c. increases its magnitude (|Γ|) but decreases the shift achievable in
Individual rows were connected to an electrical fan-out its phase (∠Γ), forcing a design trade-off between these metrics.
structure, as shown in Figure 7b. Meta-atom rows were driven Optimisation of all geometric parameters yields designs where
as single-gated MOS structures by grounding the ITO layer and shifts in phase of 300° to 330° are possible, with an
biasing each row, with the HfO2/Al2O3 multilayer stack approximately constant reflection coefficient magnitude of |Γ|
operating as the gate dielectric. A 1D beam steering device ∼ 40% (reflectance |Γ|2 ∼ 16%), using a single drive voltage
consisting of 96 rows was demonstrated by discretizing phase scheme. Figure 8e gives helium ion microscope (HIM) images
gradients into four phase levels (0°, 90°, 180°, and 270°). The of an electrical fan-out structure, the contacted dipole
maximum measured steering angle for x-polarized normally nanoantenna array as the high-magnification left inset, and a
incident light (λ0 = 1522 nm) was ∼22°, as shown in Figure 7d. connection point between a nanoantenna contact line and a fan-
The measured phase shift produced by the meta-atoms was out finger as the high-magnification right inset.47 On this image,
about 270° (∠Γ) over a bias range of ±6 V, with a reflectance the dipole gaps are 30 nm long, and the dipole arms and
that varied from 5% to 18% (|Γ|2). A reflectance that is connector widths are 50 nm. The nanoantennas were arranged
nonuniform over the metasurface causes sidelobes to emerge in a 1D array, to eventually enable horizontally polarized light to
from the beam-steering device, as observed in Figure 7d. be steered in the horizontal plane. This array with connectors
A limited phase range can be compensated using simple (Figure 8e) were fabricated using a deposition and lift-off
replacement schemes that maintain the steering angle while technique based on helium ion beam exposure of resist.47 This
minimizing sidelobes.15 However, when such pixels also novel patterning process is advantageous, as it produces
produce variations in reflectivity, more complex driving schemes negligible proximity effects, enabling complex nanoscale features
are required to minimize beam steering artifacts. Thureja et al.44 to be defined accurately and rapidly. As an alternative, helium
proposed an inverse design algorithm that determines the bias ion beam direct milling of a Au film could be used, although at a
voltage vector for an electrically tunable 1D metasurface such as much slower processing rate.48
ACS Photonics 2022, 9, 2204−2218
Figure 8. Carrier refraction. 2-D sketches in (a) top and (b) longitudinal cross-sectional views of a meta-atom comprised of a Au back-reflector bearing
an ITO layer, a HfO2 layer, and an electrically contacted Au dipole antenna. The dashed red lines indicate the perturbation region in ITO. (c, d)
Voltage response of the electric field reflection coefficient magnitude |Γ| and phase ∠Γ. (a−d) Reprinted in part with permission from Calà Lesina, A.;
Goodwill, D.; Bernier, E.; Ramunno, L.; Berini, P. Tunable Plasmonic Metasurfaces for Optical Phased Arrays. IEEE J. Sel. Top. Quant. Electr. 2021, 27,
4700116; 10.1109/JSTQE.2020.2991386. Copyright 2021 The Authors, licensed under a Creative Commons Attribution (CC BY) license. (e) HIM
images of electrical fan-out structure, dipole antenna array (left inset), and connection point (right inset). The dipole gaps are 30 nm long, and the
dipole arms and connector widths are 50 nm. Reprinted with permission from 47. Copyright 2021 IOP Publishing Ltd.
Forouzmand et al.49 proposed a dielectric meta-atom

consisting of an n-doped Si resonator on ITO on Al2O3 on a
Au back-reflector as a single-gated MIS capacitor (multigated
structures were also proposed). The resonator was designed to
support closely spaced electric and magnetic dipole resonances,
and the meta-atom operated between these resonances to
maximize the reflectance while producing a large phase shift in
reflection as the ITO was driven into accumulation and ENZ,
and the electric and magnetic resonances merged (cf. Kerker’s
conditions51). An optimal design yields shifts in phase of 180°
(∠Γ), with an approximately constant reflection coefficient
magnitude of |Γ| ∼ 40%, at an operating wavelength of λ0 ∼ 1400
nm (218 THz). They propose a 1D beam steering device using
their meta-atom arranged as sketched in Figure 9a, operating as a
binary phase grating exploiting two meta-atom phase states (0°
and 180°). They compute the beam steering performance for y-
polarized normally incident light, predicting steering at angles of Figure 9. Carrier refraction. (a) 3-D sketch of a 1-D beam steering
15° to 30°, with a reflectance of 15% (|Γ|2). device based on dielectric resonator meta-atoms comprised of n-Si
Howes et al.50 proposed similar structures, also involving the (blue), Al2O3 (gray), ITO (red), and Au (yellow). Reprinted with
merger of electric and magnetic dipole resonances but designed permission from 49. Copyright 2018 Wiley-VCH Verlag GmbH & Co.
to operate in transmission (cf., Huygens’ surfaces52). The meta- KGaA, Weinheim. (b) Microscope image of dielectric meta-atoms
atom proposed consists of a p-doped Si cylinder on a quartz arranged in an array with metal contacts disposed such that rows could
substrate with an ITO layer on top, covered with electrolyte be independently biased (highlighted in green and orange). The meta-
index-matched to quartz. The meta-atoms were arranged in an atoms consist of p-doped Si cylinders on a quartz substrate with an ITO
layer on top, covered with electrolyte. Fourier plane images of light
array with metal contacts to the ITO layer disposed such that transmitted through the metasurface for (c) nondiffractive and (d)
rows of meta-atoms could be independently biased relative to diffractive bias voltages. (b−d) Reprinted with permission from 50.
the electrolyte, as shown in the microscope image of Figure 9b. Copyright 2018 The Optical Society.
Biasing the ITO into accumulation blue-shifts the ENZ
wavelength closer to the merged resonances resulting in
decreased transmittance, whereas biasing toward depletion
red-shifts the ENZ region away from the resonances, producing strated electrically controlled diffraction at λ0 = 1470 nm, as
increased transmittance. Biasing the array periodically, as shown
in Figure 9b, creates a binary grating where the transmittance is observed by comparing Figure 9c where a nondiffractive bias
modulated periodically. Using such a structure, they demon- was applied with Figure 9d where a diffractive bias was applied.
ACS Photonics 2022, 9, 2204−2218
Figure 10. Other mechanisms. (a) Left: 3D sketch of a resonator comprised of a α-Si subwavelength grating (SWG) on a SiO2 cavity layer on a
distributed Bragg reflector (DBR), forming an asymmetric Fabry−Perot cavity. Right: Distribution of the normalized magnetic energy density of the
resonant mode in cross-sectional view. (b) False color SEM image of a fabricated pixel incorporating the resonator of (a), where the α-Si SWG is tuned
thermally by a NiCr heater bounding the resonator. (a, b) Reprinted with permission from 53. Copyright 2018 American Chemical Society. (c) Top:
3D sketch of a mid-IR metasurface comprised of Au coupled nanorods on graphene (gray) on SiNx (silicon nitride, pink) on a Au backside reflector,
supported by a Si frame (purple). Bottom: SEM image of fabricated coupled Au nanorods (Scale bar: 1 μm). The gap between nanorods is 50 nm long.
(c) Reprinted with permission from 54. Copyright 2017 American Chemical Society.
■ OTHER MECHANISMS
Other mechanisms used to tune metasurfaces for dynamic beam
graphene. The graphene is gated using a bias voltage applied via
electrical contacts, thereby modulating the Fermi level of
steering include exploiting the thermo-optic effect in silicon, graphene which alters the resonance of the Au nanorods. Using
Fermi level gating of graphene, and the electrochemical this tuning mechanism, they measure phase shifts in the range of
reduction/oxidation of polymer to modify its optical properties. ∼200° to 240° (∠Γ) for λ0 ∼ 8.70 to 8.50 μm, with a reflectance
Horie et al.53 proposed an asymmetric Fabry−Perot resonator ranging from about 1.5% to 12% (|Γ|2). They model a beam
as a pixel capable of producing a change in phase (∠Γ) via steering reflectarray based on their concept, predicting a beam
thermal tuning. The resonator was constructed as an amorphous steering range of 30° with about 1% efficiency.
silicon (α-Si) subwavelength grating (SWG), on an SiO2 cavity Busschaert et al.55 worked with MoS2 transferred onto arrays
layer, on a distributed Bragg reflector (DBR) designed as a of Au nanorods designed to resonate at λ0 = 1310 nm,
quarter-wave multilayer stack comprised of SiNx (silicon investigating the second harmonic (SH) emerging from the
nitride) and SiO2, forming an asymmetric Fabry−Perot cavity, system (λ0 = 655 nm) along specific directions. The SH emission
as sketched in Figure 10a. The structure was designed and originates partly from the MoS2 monolayer and partly from the
modeled via temporal coupled-mode theory and rigorous Au nanorods directly. The direction of the SH emission was set
coupled wave analysis. The computed distribution of the by the phase distribution of the in-plane nonlinear polarization,
normalized magnetic energy density of the resonant mode, which in turn was set by the phase distribution of the near-fields
shown in a cross-sectional view in Figure 10a, reveals a strong associated with nanorod resonances excited at the pump
overlap with the α-Si SWG. Pixels were thermally tuned via the wavelength (λ0 = 1310 nm). The phase distribution over the
thermo-optic effect in α-Si, using a NiCr heater integrated metasurface of the near-fields on the nanorods was changed by
around the periphery of the pixel, as shown in the SEM image of tilting the pump beam. As a passive structure the device is not
Figure 10b. A single pixel produced a ∼π/2 phase shift (∠Γ) capable of dynamic beam steering; however, MoS2 can be gated
with a reflectance of ∼25% (|Γ|2) at λ0 ∼ 1525 nm, consuming so prospects for a dynamic device using this material exist.
3.5 mW of electrical drive power. An array of 6 × 6 pixels was Karst et al.56 proposed switchable nanoantennas formed of a
fabricated using 20 μm square pixels arranged in a pitch of 26 polymer having a electrochemically driven metal-to-insulator
μm. Pixels in every second column were interconnected together transition in the near-IR. The polymer used, PEDOT:PSS
to a single drive voltage, and the array was driven as a binary [poly(3,4-ethylenedioxythiophene)/polystyrenesulfonate], was
phase grating such that the phase of the pixels in every second spin-coated onto an ITO-coated glass substrate and patterned
column was shifted relative to other columns. Thermo-optic via etching into nanorods organized columnwise with a relative
beam diffraction into the ±1 orders at 1.7° from normal was rotation. The sample was immersed in acetonitrile electrolyte
demonstrated. solution in a 3-electrode electrochemical cell where ITO was
Sherrott et al.54 proposed a metasurface for use at mid-IR used as the working electrode, a Pt wire as the counter electrode,
wavelengths comprised of Au coupled nanorods on graphene on and a Ag/AgCl electrode as the potential reference, as shown in
SiNx (silicon nitride) on a Au backside reflector, supported by a Figure 10d. PEDOT:PSS was driven electrochemically into its
Si frame, as sketched in Figure 10c. The coupled nanorods oxidized metallic state at +1 V (vs Ag/AgCl), and into its
support a resonant plasmon mode that exhibits enhanced fields reduced insulating state at −1 V (vs Ag/AgCl). In its metallic
in the 50 nm long gaps, thereby enhancing interaction with the state, the charge carrier density is high enough for the
ACS Photonics 2022, 9, 2204−2218
PEDOT:PSS nanorods to operate as plasmonic nanoantennas, manage, but significant index changes, for example, as required
supporting resonances at near-IR wavelengths. Using the to produce ENZ, occur under significant carrier accumulation;
scheme illustrated in Figure 10d, beam steering was demon- plasmonic MOS structures are well-suited to enable such
strated for right-handed circularly polarized normally incident accumulation while also providing field overlap with the thin
light at λ0 = 2.65 μm, diffracting into left-handed circularly accumulation layer.
polarized light emerging in transmission at +10.2° when the Minimizing beam steering loss is a challenge. Resonant beam
polymer was in its metallic state, as shown in Figure 10e. steering metasurfaces, whether plasmonic or dielectric, exhibit
PEDOT:PSS was cycled electrochemically through its metal-to- loss, as the resonant mode is absorbed in constitutive materials
insulator transition at a frequency of up to ∼30 Hz (with (which generally have loss). Resonant concepts producing a
hysteresis), however, the polymer eventually degraded after reflectivity of up to |Γ| ∼ 0.5 have been reported,46 which is
about 300 cycles. promising, but there is a trade-off between reflectivity and phase
Li et al.57 reported a metasurface comprised of trapezoidal- range. Diffraction into sidelobes creates unwanted beams and
shaped trenches in a PMMA film on an optically thick Al layer. represents another beam steering loss mechanism, although
The trench width varied along one axis of the metasurface, such beam steering metasurfaces inherently involve small enough
that under dry conditions (i.e., air-filled trenches), a normally pixels (in principle) to suppress sidelobes. Nonetheless, more
incident beam is diffracted into a negative order emerging at work on optimizing and improving the beam steering efficiency
−30°. Under wet conditions, the normally incident beam is is needed and is well-motivated.
diffracted into a positive order emerging at +30°. PMMA is In applications such as LIDAR or free-space optical
hydrophobic and Al is hydrophilic, which facilitates selective in- communications, laser power must be limited to eye-safe levels
filling of the trenches by water down to the Al surface, producing (which limits the detection or communication range). A beam
a large change in index within the trenches of Δn ∼ 0.3 as air is steering device for such applications must be capable of handling
replaced by water. They demonstrate repeatable switching the laser power required to achieve the eye-safe limit. In this
between these two states, over a ∼100 nm optical bandwidth regard, incorporating dielectrics and metals having a high laser
centered at λ0 = 500 nm for x- and y-polarized beams.
damage threshold in beam steering metasurfaces is well-
■ SYNOPSIS AND PROSPECTS

Most beam steering metasurfaces reported to date aim to mimic
motivated.
Many beam steering concepts incorporate pixels of limited
performance: a phase range less than 2π or an amplitude that
a turning mirror as a tunable reflectarray, following, for example, varies with phase. The former can be mitigated through simple
Figure 2a, although some concepts are proposed as a tunable schemes for phase replacement over the array which preserve the
transmitarray. Essentially all metasurface devices reported to phase gradient without introducing significant sidelobes.15 The
date were designed to steer an incident beam formed by an latter is often rooted in material effects that often perturb the
external source. For simplicity, many demonstrations were complex refractive index, implying that changes in magnitude
limited to 1D beam steering with the metasurface driven to are correlated with changes in phase. Decoupling amplitude
mimic a phase-based binary diffraction grating. Although from phase modulation is challenging but can be achieved
extensively explored as PICs, beam forming metasurfaces through careful design of resonant elements,46 or by introducing
which would steer a beam as it is formed, following, for example, a second control signal to compensate, as in double-gated
Figure 1a, have yet to be proposed.
devices.45 More complex deficiencies (missing phases combined
The approaches used to implement beam steering meta-
with variable magnitude) can be mitigated by inverse design
surfaces are highly varied, but they consist mainly of optically
techniques.44
resonant designs that inherently enhance a material effect, but
Scaling beam steering metasurfaces to large areas is
that may introduce limitations when steering pulsed lasers.
Metal nanoantennas and MIM-like resonators are used challenging in many respects: nm feature resolution and material
extensively in plasmonic structures; the metal structures support uniformity are required over large areas. Also, a very large
enhanced and highly localized optical fields, while also doubling number of pixels need to be individually driven in a large array
as electrodes (or heaters) used to drive a bounding tunable capable of 2D scanning (e.g., 4 × 106 pixels are needed to cover a
material. Conversely, high-index dielectric cylinders are often 1 mm2 area if the pixels are 500 × 500 nm2 in size). Fabrication
used in dielectric beam steering metasurfaces, often as doped approaches based on nanoscale replication techniques (e.g.,
semiconductors providing electrical continuity to external nanoimprint lithography) and the use of semiconductor wafer
contacts. Although passive dielectric metasurfaces are low loss, manufacturing tools provide possible solutions to the former,
dynamic beam steering concepts present losses comparable to whereas monolithic integration with VLSI electronics provides a
plasmonic devices due to the incorporation of a tuning material possible solution to the driver problem.
that introduces loss. Although still in its infancy, the field of tunable metasurfaces
Many beam steering metasurfaces incorporate phase change for optical beam steering is showing significant promise through
materials30−36 or conductive oxides40−50 because the materials the early demonstration of concepts, motivating a vigorous
are in the solid state and large changes in optical properties are global research effort. Tunable metasurfaces can potentially
achievable. Challenges with phase change materials include the enable compact and integrated beam steering devices produced
need for careful thermal management (changes in material phase using wafer-scale processes amenable to mass manufacturing. In
are generally triggered thermally) and device/material reli- addition to meeting optical and form-factor specifications,
ability, especially in cases where large thermal excursions are designs can potentially reduce weight, power consumption, parts
needed (e.g., GST and GSST), which could lead to deformation count, cost, latency, and environmental sensitivity to temper-
and delamination of structures. Accessing material states ature, humidity, and vibration; solid-state nonmechanical
between end phases to provide continuous tuning is challenging tunable metasurfaces appear particularly apt at satisfying the
but possible.30 Conductive oxides (e.g., ITO) are easier to requirements.
ACS Photonics 2022, 9, 2204−2218
■ AUTHOR INFORMATION
Corresponding Author
(18) Babicheva, V. E.; Boltasseva, A.; Lavrinenko, A. V. Transparent
conducting oxides for electro-optical plasmonic modulators. Nanophot.
2015, 4, 165−185.
Pierre Berini − School of Electrical Engineering and Computer (19) Feigenbaum, E.; Diest, K.; Atwater, H. A. Unity-Order Index
Science and Department of Physics, University of Ottawa, Change in Transparent Conducting Oxides at Visible Frequencies.
Ottawa, Ontario K1N 6N5, Canada; orcid.org/0000- Nano Lett. 2010, 10, 2111−2116.
0002-6795-7275; Email: [email protected] (20) Olivieri, A.; Chen, C.; Hassan, S.; Lisicka-Skrzek, E.; Tait, R. N.;
Berini, P. Plasmonic nanostructured metal-oxide-semiconductor
Complete contact information is available at: reflection modulators. Nano Lett. 2015, 15, 2304−2311.
https://pubs.acs.org/10.1021/acsphotonics.2c00439 (21) Roy, T.; Zhang, S.; Jung, W.; Troccoli, M.; Capasso, F.; Lopez, D.
Dynamic metasurface lens based on MEMS technology. APL Phot.
Notes 2018, 3, 021302.
The author declares no competing financial interest. (22) Holsteen, A. L.; Cihan, A. F.; Brongersma, M. L. Temporal color
mixing and dynamic beam shaping with silicon metasurfaces. Science
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Forouzmand et al.49 proposed a dielectric meta-atom

■ SYNOPSIS AND PROSPECTS

(38) Zolotarev, V. V.; Slipchenko, S. O.; Shashkin, I. S.; Kazakova, A.

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