February 22, 2019 Waves in Random and Complex Media Manuscript

To appear in Waves in Random and Complex Media

Vol. 00, No. 00, Month 20XX, 1–20

Analytical formulas for complex permittivity of periodic

composites. Estimation of gain and loss enhancement in active
and passive composites.

J. Bravo-Castilleroa,b , A. Ramı́rez-Torresc , F. J. Sabinab ∗ , C. Garcı́a-Reimbertb , R.

Guinovart-Dı́aza and R. Rodrı́guez-Ramosa

a
Departamento de Matemáticas, Facultad de Matemática y Computación, Universidad de
La Habana, CP 10400, La Habana, Cuba
b
Instituto de Investigaciones en Matemáticas Aplicadas y en Sistemas, Universidad
Nacional Autónoma de México, Apartado Postal 20-126 Delegación Álvaro Obregón,
01000 CDMX, México
c
Dipartimento di Scienze Mathematiche “G. L. Lagrange”, Politecnico di Torino, Torino
10129, Italia
(Received 00 Month 20XX; final version received 00 Month 20XX)

In this work, the asymptotic homogenization method is applied to complex dielectric

composites. We show an equivalence to coupled dielectric problems with real coeffi-
cients, which is similar to a piezoelectric problem involving an out-plane mechanical
displacement and an in-plane electric potential. A correspondence principle is then es-
tablished. Under continuity conditions at the interfaces, we derive the closed-form for-
mulas for the complex dielectric effective tensor in the case of isotropic non-overlapping
circular inclusions embedded in an isotropic square matrix. These formulas are given
in terms of a real and symmetric matrix which facilitates the implementation of the
computational scheme. Furthermore, we get similar formulas for multilayered complex
dielectric composites and a proportionality relationship between the real and imagi-
nary parts of the complex effective transverse permittivity coefficient. It is interesting
to note that the real closed-form formulas are advantageous for estimating gain and
loss enhancement properties of active and passive composites in certain volume frac-
tion intervals. Numerical computations are performed and compared with other works
which show the usefulness of the obtained formulas.

Keywords: complex dielectric composites; asymptotic homogenization; effective

properties; closed-form formulas; gain and loss enhancement

1. Introduction

The fundamental problem of finding the overall behavior of heterogeneous media

in material sciences has been investigated since the end of the nineteenth cen-
tury [1, 2]. An overview of the mathematical techniques used up to the early part
of this century are found in [3–6]. The columnar geometry of periodic arrays of
infinitely long circular cylinders embedded in a matrix have been considered in
many cases and it is referred to as fiber-reinforced composite (FRC). For binary
materials, when both constituents are transversely isotropic, closed-form formulas

∗ Corresponding author. Email: fjs@mym.iimas.unam.mx

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February 22, 2019 Waves in Random and Complex Media Manuscript

have been found for the overall properties of the composite using the asymptotic
homogenization method (AHM) [7, 8]. The equivalent formulations among the var-
ious so-called transport properties lead to results applicable, besides to the rigidity
modulus in elasticity, to the electric or thermal conductivity in electrical or thermal
problems, respectively; and to the electrical permittivity or magnetic permeability
in dielectrics or magnetic problems, respectively. For the same geometry simple
closed-form formulas have been also derived in the coupled problem of transversely
isotropic piezoelectric materials [9, 10].
Recent applications governed by scalar equations and for complex dielectric com-
posites are found in microwave heating to materials processing [11], embedded ca-
pacitors [12], energy storage [13], high-field-emission devices [14] and radiophysics
[15]. For biological tissues [16], the AHM technique again leads to a simple ana-
lytical expression for the effective complex conductivity of a hexagonal columnar
arrangement with interfaces exhibiting capacitive impedance, i.e., an imperfect
interface condition depending on frequency. In the context of passive and active
dielectrics Godin [17] and showed some examples of the effect of gain and loss
enhancement. The formulas obtained in [17] are similar to, say, [7, 8] for a FRC
of complex dielectrics constituents. Although the formulas in [7, 8] are derived
for a real-valued shear modulus, they are suitable when adopting complex values.
Indeed, using the results in [7, 8] the plots appearing in [17] are reproduced in
[18]. The results of [17] have been used in acoustical problems by [19] in relation
to inertial enhancement showing a good agreement between experimental results
and by [20] for the calculation of eddy current losses in soft complex magnetic
composites. A complex variable method is also developed in [21] to evaluate the
transverse effective transport properties of FRC composites. There the complex
variable solution is found in an unified form for arbitrary FRC, and different fiber
and matrix interface scenarios, i.e., perfect and contact resistance interfaces, and
coating.
In this work, the derivation of closed-form formulas for the effective coefficients of
complex dielectric composites is carried out by the homogenization of the equivalent
system of equations with real coefficients. In the case of isotropic circular inclusions
in an isotropic square matrix, the closed-form formulas are explicitly given and
depend on a 2n0 symmetric matrix which facilitates the computation of the effective
coefficients for any truncation order n0 . Specially, for small values of n0 we find
short formulas that are very useful in the determination of gain-enhancement (GE)
and loss-enhancement (LE) properties of a homogenized composite. With this aim
we take advantage of the sufficient conditions for GE established in [22] for complex
dielectric particulate composites. Therein, the authors explored GE and LE for
homogenized composite materials arising from active and dissipative component
materials by means of the Bruggeman homogenization formalism.
The manuscript is organized as follows. In section 2, the problem to be solved is
formulated. In section 3, the problem is specified for complex dielectric composites
with periodic and rapidly oscillating coefficients and a correspondence principle is
established. In section 4, the homogenization process is performed with emphasis
in the models of the local problems and related effective coefficients. Section 5,
is devoted to the derivation of the closed-form formulas of the complex dielectric
effective tensor for the case of isotropic circular inclusions in an isotropic square
matrix. Moreover, some numerical examples are shown, illustrating the concor-
dance of our results with other works. Furthermore, we determine regions in which
yields GE of the homogenized material. As a limit case, we also obtain closed-form
formulas for multilayered complex dielectric composites and compare the GE area

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of its homogenized representation with the correspondent one for a FRC.

2. Statement of the problem

Let us consider a binary composite with microestructure, i.e., that has a FRC type
of geometry. Its cross-section Ω ⊂ R2 is a sufficiently large open connected bounded
domain with a sufficiently smooth boundary ∂Ω. Let ε be a small geometric pa-
rameter that characterizes the microestructure so that, besides the usual global
or slow coordinates x, scaled local or fast coordinates y are introduced such that
y = x/ε. A square array of the unit cell Y in global coordinates is considered so
that it covers the domain Ω = Ωε1 ∪ Ωε2 ∪ Γε where Γε ≡ ∂Ωε2 and Ωε1 ∩ Ωε2 = ∅;
Ωε1 represents the matrix or connected set, Ωε2 the fibers or disconnected set (an
ε-periodic distribution of circles of radius Rε) and Γε the interface between Ωε1 and
Ωε2 . The boundary ∂Ω is chosen so that it does not intersect any fiber of Ωε2 (Fig. 1).
Figure 1 also shows a blow-up of the periodic square unit cell cross-section Y ⊂ R2
referred as y-coordinates with an embedded circle of radius R and boundary Γ.
Therein, Y1 denotes the matrix or connected set and Y2 the fiber or disconnected
set.

x2
∂Ω Ω1ε Γε y2
ε
Ω2 1/2
Ω Y1 Γ
Rε Y2 R

O
x1 -1/2
O 1/2
y1
-1/2

Figure 1. (Left) Domain Ω with boundary ∂Ω. (Centre) A blow-up domain contained in Ω showing a FRC
type of geometry in global coordinates. (Right) Square unit cell in y-coordinates.

In a two-phase medium Ω the domains Ωε1 and Ωε2 are occupied with two materials
that have different electric permittivity properties. Let the jl-components of the
symmetric electric permittivity tensor κεjl (j, l = 1, 2) be such that

κ(1)
jl in Ωε1 ,
κεjl = (1)
κ(2) in Ωε2 .
jl

Then, the electric potential uε in Ω is sought as ε tends to zero so that Maxwell’s

equation in the quasi-static approximation in absence of free conduction currents
is satisfied in Ωε1 and Ωε2 together with continuity of electric potential and normal
component of electric displacement field across the interface Γε . A Dirichlet condi-
tion is given on ∂Ω. Therefore, the following Dirichlet boundary value problem is
formulated
ε
Dj,j =0 in Ω \ Γε , (2a)
Juε K = 0 on Γε , (2b)

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q ε y
Dj nj = 0 on Γε , (2c)
uε = ũ on ∂Ω, (2d)

where
∂uε
Djε = κεjl (3)
∂xl

is the j-th component of electric displacement vector. The comma differentiation

ε
notation is used, i.e., Dj,jε ≡ ∂Dj and Einstein repeated indexes summation con-
∂xj
vention is understood. The j-th component of unit normal vector to Γε is nj in the
direction from Ωε1 to Ωε2 . The notation J.K is used to denote the jump of the enclosed
function across the interface Γε in the n direction. The function ũ is prescribed on
the boundary ∂Ω.

3. Coupled dielectric problems with real coefficients

Consider the complex electric potential uε = ϕε + iψ ε and that the components of

the complex dielectric permittivity tensor of a two-dimensional medium occupying
Ω are κεjl = αjl
ε + iβ ε , where i2 = −1, j, l = 1, 2. The real functions αε and β ε ,
jl jl jl
defined on Ω, are supposed to be piecewise differentiable, rapidly oscillating and
εY-periodic in the
ε x
local εvariable y. For
x
each x ∈ Ω, these functions are defined as
αjl (x) = αjl ε and βjl (x) = βjl ε . In addition, the following symmetry and
positivity conditions are assumed
ε ε ε ε
αjl = αlj , βjl = βlj , (4a)
ε
αjl (x) aj al ≥ κ aj aj , (4b)

where κ > 0 is constant and a = (a1 , a2 ) is an arbitrary real vector.

Then, the complex dielectric problem (2a)–(2d) is equivalent to a system of two-
coupled real partial differential equations

∂U ε
 
∂
Aεjl = 0 in Ω \ Γε , (5a)
∂xj ∂xl
JU ε K = 0 on Γε , (5b)
s ε {
ε ∂U
Ajl nj = 0 on Γε , (5c)
∂xl
U ε = Ũ on ∂Ω, (5d)

where U ε = (ϕε , ψ ε )T , Ũ = (ũ1 , ũ2 )T and 0 = (0, 0)T is the null vector of R2 . The
superscript T means transposition and the components of the 2 × 2 symmetric
matrix-valued Aε are given by

Aε11 = αε , Aε12 = Aε21 = −β ε , Aε22 = −αε , (6)

where αε and β ε are 2 × 2 matrices with components αjl

ε and β ε , respectively.
jl

Remark 1 (Analogy between the coupled dielectric and antiplane piezo-

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electric problem). In the piezoelectric context when no magnetic coupling is

present [23], the 4 × 4 symmetric matrix-valued function B ε with components
ε
B11 = cε , ε
B12 ε
= B21 = eε , ε
B22 = −κε ,

where cε , eε and κε represent the the elastic, piezoelectric and dielectric permit-
tivity tensors, with components cεijkl , eεlij and κεjl (i, j, k, l = 1, 2, 3), respectively.
Furthermore, the 4 × 1 vector-valued function V ε is given by

V ε = (U1ε , U2ε , U3ε , Φε )T ,

where Ukε (k = 1, 2, 3) are the mechanical displacements and Φε the electric po-
tential. In order to guarantee well-posed problems in the linear piezoelectric math-
ematical theory, the following of symmetry and positivity conditions are assumed
[24],

cεijkl = cεjikl = cεijlk = cεklij , eεijk = eεikj , κεij = κεji (7)

and there exist a constant κ > 0 such that, for any vector a = (a1 , a2 , a3 ), and any
third-order symmetric matrix m = (mij )

cεijkl (x) mij mkl ≥ κ mij mij and κεij (x) ai aj ≥ κ ai ai . (8)

In the special case considered here, we have that U1ε = U2ε = 0, U3ε = U3ε (x1 , x2 )
and Φε = Φε (x1 , x2 ). Additionally, the corresponding equilibrium equations for elas-
tic bodies, neglecting body forces and the quasi-static approximation of Maxwell’s
equation in the absence of free conduction current, takes the form (5a) with the
particularity that in (6) one has αjlε = cε , β ε = −eε , β ε = −eε and αε = κε .
3j3l jl lj3 jl j3l jl jl
We note that the conditions (4a)–(4b) and (7)–(8) are equivalent. Then a corre-
spondence principle is established.
Like the case of transport properties, it is well known that similarities between
different problems governed by the same equations can lead to useful correspon-
dences between their respective solutions. A correspondence principle between the
two-dimensional complex dielectric equations and those of plane-strain elasticity
was established in [25], and applied to particular classes of inhomogeneous media
to obtain exact relations between the effective tensors of associated dielectric and
elasticity problems. Furthermore the authors reveal important implications related
to this correspondence: (where it was pointed out the following: “Given an elastic-
ity problem in the required class, one can map to the equivalent complex dielectric
equations, which may be simpler to solve. Moreover, it may be possible to solve
the dielectric equations with real dielectric tensors and use analytic continuation to
generate solutions of the complex dielectric equations. (...) The correspondence also
has direct application to periodic or statistically homogeneous composite materials
(...)”). Moreover, a correspondence between the plane piezoelectric equations and
those of generalized plane strain elasticity is given in [26]. Besides, the linking of
effective elastic tensors and the effective piezoelectric tensors is established leads
to useful implications. The correspondences established in [25] and [26] lead in a
natural way to the existence of another one between the complex dielectric equation
and a piezoelectric system.

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4. Homogenization process

Some relevant results (effective coefficients, local and homogenized problems) de-
rived from the application of AHM ([27–30]) to the family of problems (5a)–(5d)
are summarized. The results can be obtained as a particular case of those reported
in [23].
Following [23], a formal asymptotic solution of (5a)–(5d) can be constructed up
to O(ε2 ) as follows

∂U (0) (x)
U ε (x) = U (0) (x) + εN k (y) , (9)
∂xk

with
 k
w (y) g k (y)

(0) (0) (0)

T
U (x) = ϕ (x), ψ (x) and N k (y) = ,
ζ k (y) ξ k (y)

where the 2 × 2 matrices N k are Y-periodic solutions of the local problems

 
∂ ∂N k (y)
Ajl (y) + Ajk (y) = O in Y \ Γ, (10a)
∂yj ∂yl
JN k (y)K = O on Γ, (10b)
s  {
∂N k (y)
Ajl (y) + Ajk (y) nj = O on Γ, (10c)
∂yl

with hN k (y)i = O. In (10a)–(10c), O denotes the 2 × 2 null matrix.

The mean value term U (0) in (9) is the solution of the homogenized problem

∂ 2 U (0) (x)
Abjk =0 in Ω, (11a)
∂xj ∂xk
U (0) = Ũ in ∂Ω, (11b)

where the effective coefficients Abjl are constant and given by

 
∂N k (y)
Abjk = Ajk (y) + Ajl (y) , (12)
∂yl

and the angular brackets

R represent the volume average per unit length over the
cell, i.e. hf (y)i ≡ Y1 ∪Y2 f (y)dy. The components of the effective coefficient Ab are

Ab11 = α,
b Ab12 = Ab21 = −β,
b Ab22 = −α.
b (13)

4.1. Explicit form of the effective coefficients and local problems

From the definition of the Y-periodic solutions N k of the local problems (10a)–
(10c), the effective coefficients can be written by two alternating expressions,

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namely

∂wk ∂ζ k
 
α
bjk = αjk + αjl − βjl , (14a)
∂yl ∂yl
∂wk ∂ζ k
 
βbjk = βjk + βjl + αjl , (14b)
∂yl ∂yl
or

∂g k ∂ξ k
 
α
bjk = αjk + βjl + αjl , (15a)
∂yl ∂yl
∂g k ∂ξ k
 
βbjk = βjk − αjl + βjl . (15b)
∂yl ∂yl

Thus, (14a)–(14b) and (15a)–(15b) provide formulas for checking numerical com-
putations.
The local functions wk ,ζ k and g k , ξ k are Y-periodic solutions of the following cell
problems, respectively:

Problem Lk1 : Find the Y-periodic functions wk , ζ k such that:

∂wk ∂ζ k
 
∂
αjk + αjl − βjl = 0 in Y \ Γ, (16a)
∂yj ∂yl ∂yl
∂wk ∂ζ k
 
∂
βjk + βjl + αjl = 0 in Y \ Γ, (16b)
∂yj ∂yl ∂yl
r z r z
wk = 0 ζ k = 0 on Γ, (16c)

∂wk ∂ζ k
s  {
αjk + αjl − βjl nj = 0 on Γ, (16d)
∂yl ∂yl
∂wk ∂ζ k
s  {
βjk + βjl + αjl nj = 0 on Γ, (16e)
∂yl ∂yl

with wk = 0 and ζ k = 0. Once solved the local problem Lk1 , it is possible to



determine the effective coefficients given by (14a) and (14b).

Problem Lk2 : Find the Y-periodic functions g k , ξ k such that:

∂g k ∂ξ k
 
∂
βjk − αjl + βjl =0 in Y \ Γ, (17a)
∂yj ∂yl ∂yl
∂g k ∂ξ k
 
∂
αjk + βjl + αjl =0 in Y \ Γ, (17b)
∂yj ∂yl ∂yl
r z r z
g k = 0, ξk = 0 on Γ, (17c)

∂g k ∂ξ k
s  {
βjk − αjl + βjl nj = 0 on Γ, (17d)
∂yl ∂yl

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February 22, 2019 Waves in Random and Complex Media Manuscript

∂g k ∂ξ k
s  {
αjk + βjl + αjl nj = 0 on Γ (17e)
∂yl ∂yl

with g k = 0 and ξ k = 0. Once solved the local problem Lk2 , it is possible to



determine the effective coefficients given by (15a) and (15b).
Remark 2. It is important to note that problems Lk1 and Lk2 , and their related
effective coefficients, are equivalent. In fact, the transformation wk = ξ k , ζ k = −g k
easily shows this fact.

4.2. Local problems and effective coefficients. Isotropic case

A two-phase complex dielectric composite with isotropic constituents is now stud-
ied. The local problem Lk2 and effective coefficients (15a) and (15b) are considered
as follows. Let αjl = αδjl and βjl = βδjl where α, β are real numbers and δjl is
Kronecker’s delta. Then, the equivalent equations are given in:

Problem Ik : Find the Y-periodic functions g k , ξ k , such that:

∆g k = 0, ∆ξ k = 0, in Y \ Γ, (18a)
r z r z
g k = 0, ξ k = 0, on Γ, (18b)

∂ξ k ∂g k
s  {
α +β nj = − JαK nk on Γ, (18c)
∂yl ∂yl
∂ξ k ∂g k
s  {
β −α nj = − JβK nk on Γ, (18d)
∂yl ∂yl

∂2 ∂2
with g k = 0 and π k = 0. In (18a), ∆ ≡ ∂y



2 +
1 ∂y22 is the two-dimensional
Laplacian operator. The related effective coefficients are given by

∂g k ∂ξ k
 
α
bjk = αδjk + β +α , (19a)
∂yj ∂yj
∂g k ∂ξ k
 
βjk = βδjk − α
b +β . (19b)
∂yj ∂yj

In particular, for isotropic composites one has α b=α b11 = αb22 , βb = βb11 = βb22 and
bjk = βjk = 0 for j 6= k. Besides, when Green’s theorem hypothesis are satisfied,
α b
the following expressions for the effective coefficients are obtained,

hαi − JαK g 1 dy2 − JβK ξ 1 dy2 , for k = 1
R R
Γ Γ
αb= (20a)
hαi + JαK g 2 dy + JβK ξ 2 dy , for k = 2
R R
Γ 1 Γ 1
 R 1 R 1
hβi − JβK g dy2 + JαK ξ dy2 , for k = 1
Γ Γ
β=
b (20b)
hβi + JβK R g 2 dy − JαK R ξ 2 dy , for k = 2
Γ 1 Γ 1

where hf i = f1 |Y1 | + f2 |Y2 |, with |Y1 | + |Y2 | = 1.

Remark 3. According to Remark 1, the problem (18a)–(18d) is similar to the cou-

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February 22, 2019 Waves in Random and Complex Media Manuscript

pled elastic antiplane-strain and potential problem defined by (3.21a)–(3.21g), on

page 243 in [31], where effective properties of two-phase FRC piezoelectric compos-
ites with 6mm transversely isotropic constituents were studied.

4.3. Solution of the local problem Ik

In order to solve the problem (18a)–(18d), let us consider a square lattice of inclu-
sions of radius R and period equal to 1 (see Fig. 1). Particularly, doubly-periodic
harmonic function that satisfies the given interface conditions and the null average
condition over the unit cell is sought. Following [31], for k = 1, 2, the solutions of
the local problem are sought in the form
   
∞Xo  ∞Xo 
g11 = Re a1q z −q − A1q z q , g21 = Re c1q z q


   
q=1 q=1
    (21)
∞Xo  ∞Xo 
g12 = Im a2q z −q − A2q z q , g22 = Im c2q z q


   
q=1 q=1

and
   
∞Xo  ∞Xo 
ξ11 = Re b1q z −q − Bq1 z q ξ21 = Re d1q z q


,
   
q=1 q=1
    (22)
∞Xo
 ∞Xo 
ξ12 = Im b2q z −q − Bq2 z q , ξ22 = Im d2q z q
   
q=1 q=1

where Re and Im indicate the real and imaginary parts, respectively. The su-
perscript o specifies that the sum is carried out over odd indices, the unknown
coefficients akq , bkq , ckq and dkq are real and

∞
Xo ∞
Xo
Akq = pakp ηpq
k
, Bqk = pbkp ηpq
k
, (23)
p=1 p=1

with

k+1
(−1) π,
 p+q =2
k
ηpq = (p + q − 1)!

 Sp+q , p+q >2
p!q!

and Sj are the reticulate sums [31]. As the cross-section of the inclusion is described
by a circle of radius R, the interface in the unit cell is defined by Γ = Reiθ with
0 ≤ θ < 2π, then substituting (21)–(22) into the interface conditions (18b)–(18d),
one obtain the following infinite system of algebraic equations
   k
I + (−1)k+1 χα W k χ+ I + (−1)k+1 χ− χ W k
βα βα α Ã
  
χ+ k+1 χ− χ W k − I + (−1)k+1 χα W k k


βα I + (−1) βα α B̃

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February 22, 2019 Waves in Random and Complex Media Manuscript

V1
!
k+1
= (−1) , (24)
V2

k k
where I is the infinite identity matrix, Ã = (ãk1 , ãk3 , . . .)T , B̃ = (b̃k1 , b̃k3 , . . .)T ,
√ √
akq = ãkq Rq / q, bkq = b̃kq Rq / q, V 1 = (χα R, 0, . . .)T , V 2 = (χ− T
βα R, 0, . . .) , and

k+1 2

(−1) πR ,
 p+q =2
k
W = ∞Po √

 pqηpq Rp+q , p + q > 2.
p=1

Furthermore,

β (1) + β (2)
χ+ and χ−
JαK JβK
χα = , βα = βα = . (25)
α + α(2)
(1) α(1) + α(2) α(1) + α(2)

The matrix W k is real, symmetric and bounded, and consequently the classical
results from the theory of infinite systems [33] can be used to solve (24). In this
sense, the infinite linear system can be truncated into an appropriate order p =
q = 2n0 − 1, with n0 ∈ N. In this way, (24) is transformed into a linear system of
order 2n0 .
Now, the use of (21) and (22) into (20a) and (20b) leads to,
 
b = α(1) − (−1)k+1 2π α(1) ak1 + β (1) bk1 ,
α (26a)
 
βb = β (1) − (−1)k+1 2π β (1) ak1 − α(1) bk1 . (26b)

From (26a) and (26b), it can be found the following connection between problems
I1 and I2 ,

(a11 + a21 )2 = −(b11 + b21 )2 . (27)

Remark 4. For the particular case of real dielectric composites with isotropic
constituents (i.e., for β (1) , β (2) = 0), the formulas for the effective coefficients
(26a)–(26b) reduce to formulas (3.15)–(3.16), p. 228 in [7].

5. Results and discussions

5.1. Useful closed-form expressions

Following [32], the system (24) can also be written as follows,

k
!  1
à V
 
k+1 k k+1
ηI + (−1) λW = (−1) , (28)
B̃
k V2

where

1 χ+ χα χ−
       k 
βα βα I Θ W Θ
k
η= , λ= , I= and W = ,
χ+
βα −1 χ−
βα −χα Θ I Θ Wk

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with Θ denoting the infinite zero matrix. After multiplication of (21) by λ−1 and
noticing that λ−1 (V 1 , V 2 )T = Re1 , where e1 is the infinite vector (1, 0, 0, . . .)T .
Then, equation (28) becomes

k
!
Ãn0
k = (−1)k+1 (θIn0 + (−1)k+1 Wnk0 )−1 Ren0 , (29)
B̃ n0

k k
where the sub-index n0 represents the truncation order of the vectors à , B̃ , e1 ,
and the matrices I and W k . The matrix θ = λ−1 η has the form,
 
θ11 θ12
θ= , (30)
−θ12 θ11

and its components are

χα + χ− +
βα χβα χα χ+ −
βα − χβα
θ11 = and θ12 = . (31)
(χα )2 + (χ−
βα )
2 (χα )2 + (χ−
βα )
2

k k
Using the infinite system (29), we find the unknowns Ãn0 and B̃ n0 for different
orders of truncation, which are then substituted into the effective coefficients
expressions (26a)–(26b). In this way, formula (29) is helpful in finding closed-forms
for the effective coefficients.

For instance, if n0 = 1, equation (29) takes the form

!−1
ãk1 θ11 + (−1)k+1 W11
k
! !
θ12 R
= (−1)k+1 , (32)
b̃k1 −θ12 θ11 + (−1)k+1 W11
k 0

k denote the elements of W k . Then,

where Wpq

(θ11 + (−1)k+1 W11k )R

ãk1 = (−1)k+1 k )2 + θ 2
, (33a)
(θ11 + (−1)k+1 W11 12
θ12 R
b̃k1 = (−1)k+1 k )2 + θ 2
. (33b)
(θ11 + (−1)k+1 W11 12

Substitution of equations (33a)–(33b) in the expressions for the effective coefficients

(26a)–(26b) yields

2(α(1) θ11 + β (1) θ12 )V2 + 2α(1) V22

b = α(1) −
α 2 , (34a)
(θ11 + V2 )2 + θ12
2(β (1) θ11 − α(1) θ12 )V2 + 2β (1) V22
βb = β (1) − 2 , (34b)
(θ11 + V2 )2 + θ12

where Vγ is the volume fraction of the phase γ. Particularly, V1 + V2 = 1 with

V2 = πR2 .
Remark 5. The independence of equations (34a) and (34b) with respect to k = 1, 2
proves the equivalence between both problems Ik .

11
February 22, 2019 Waves in Random and Complex Media Manuscript

Furthermore, for n0 = 2, (29) takes the form

 1  −1  
ã1 Υ11 + w11 w13 Υ12 0 R
ã13   w13 Υ + w 0 Υ
11 33 12  0.
  
 1 =  (35)
 b̃1   −Υ12 0 Υ11 + w11 w13   0
1
b̃3 0 −Υ12 w13 Υ11 + w33 0

To find ã11 , ã13 , b̃11 and b̃13 , the above linear system must be solved. Then, the coef-
ficients ã11 and b̃11 are substituted into the effective coefficients expressions (26a)–
(26b).
Now, we compare the effective coefficients (26a)–(26b) for successive truncation
orders n0 = 1, 2, 3. In particular, we fix κ(1) = 1−5i, κ(2) = 30−0.3i and denote by
Vp = π/4 the percolation limit where the cylinders are in contact. Figure 2 displays
the real and imaginary parts of the effective complex dielectric coefficient κ̂ as a
function of the inclusion volume fraction V2 . It is observed that the first approxi-
mation is a very good estimation of the complex effective dielectric coefficient for
V2 < 0.5. Besides, the effective coefficients for a truncation order at n0 = 2 and
3 are quite similar. This agreement shows that the second order approximation
is good enough for higher orders of approximations. Therefore, in what follows,
we restrict our analysis to first and second approximation orders of the effective
coefficients.

-5
20
-6

-7
15
-8

-9
10
-10

-11
5
-12

0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp

Figure 2. The real (left) and imaginary (right) parts of the complex effective dielectric coefficient κ
b as a
function of the volume fraction V2 shown for successive truncation orders n0 = 1, 2, 3.

5.2. Comparison with other approaches

We compare our results with those obtained in [17] for κ(1) = 2 − 0.3i and κ(2) =
1 − 8i, and in [34] for κ(1) = 1 and κ(2) = 3 − 0.03i. As it was pointed out in the
previous section, it is sufficient to work up to a truncation order of n0 = 2. Figures
3 and 4 show the comparison between the results using the present approach and
those from [17] and [34], respectively. In particular, it is noted that the second
order approximation of the effective coefficients agrees with the results in [17] and
[34]. The results using a first order truncation is close to the data reported in [17]
and [34], except when the monotony changes as it is shown in Fig. 3 (left). These
comparisons assure the use of the obtained short formulas arising from (29) to
investigate the complex effective dielectric coefficient.

12
February 22, 2019 Waves in Random and Complex Media Manuscript

-1
3.5

-2

3
-3

-4
2.5

-5

2
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp

Figure 3. Comparison of the real (left) and imaginary (right) part of the complex effective dielectric
coefficient κ
b depending on the volume fraction V2 calculated using (26a)–(26b) truncated at n0 = 1, 2.
Also plotted are the results from [17].

2.2
0.015
2

1.8
0.01
1.6

1.4 0.005

1.2

1 0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 Vp

Figure 4. The real (left) and imaginary (right) parts of the complex effective dielectric coefficient κ
b as a
function of the volume fraction V2 calculated using (26a)–(26b) truncated at n0 = 1, 2. Also the results of
[34] are plotted.

5.3. Gain and loss enhancement

An important aspect of complex valued coefficients is the question of GE and
LE. In [22], the prospect of GE and LE by means of homogenization is explored
for homogenized composite materials arising from active (β (1) , β (2) < 0) and dis-
sipative (β (1) , β (2) > 0) component materials using the Bruggeman homogeniza-
tion formalism. As described in [22], for active materials, GE is characterized by
βb < min β (1) , β (2) . For instance, GE phenomenon is quite noticeable in Fig. 2

(right). Here, we focus on the estimation of GE properties, since the dual process of
LE arising from dissipative component materials induce to an equivalent scenario
[22].
Particularly, it is of interest to know the parameter data set which yields GE in
the homogenized material. Following the methodology in [22], a sufficient condition
for GE is that

dβb (1) (2)
V2 →0 dV < 0, if β > β ,
lim



2
(36)
 dβb
> 0, if β (1) < β (2) .

 lim

V2 →Vp dV2

The sufficient condition (36) provides a tool for exploring the permittivity
parameter space that yields GE. This region is illustrated with two numeri-

13
February 22, 2019 Waves in Random and Complex Media Manuscript

cal examples. Specifically, in Fig. 5 (left), GE parameter space is mapped for

(β (1) , β (2) ) ∈ (−5, 0) × (−5, 0) with α(1) = 2 and α(2) = 5. Figure 5 (right), shows
the GE parameter space for (β (1) , β (2) ) ∈ (−60, 0) × (−60, 0) with α(1) = 1 and
α(2) = 30. From Fig. 5, it is observed that the GE regions overlap and are in-

Figure 5. GE subspaces for the first and second truncation order of the effective coefficient in the
(β (1) , β (2) ) space, when (left) α(1) = 2 and α(2) = 5 and (right) α(1) = 1 and α(2) = 30.

fluenced by the truncation order and the parameter data choice. In Fig. 5 (left),
there is no noticeable difference between the GE regions for the first and second
order approximation of β. b This phenomenon shows the scope of the first order
approximation as giving useful information about the effective properties with a
short formula. On the other hand, Fig. 5 (right) shows a major difference between
the two permittivities GE. However, the region which arises from the first order
truncation covers more than the 70% of the area generated with the successive
approximation order. In our numerical experiments, it was elucidated that (as ex-
pected), for higher approximations orders (n0 = 3, 4, . . .) the GE permittivities
parameter spaces show not significant difference. In Fig. 6, we plot the effective
coefficient βb as a function of the volume fraction V2 . In particular, we fix α(1) = 1,
α(2) = 30, β (2) = −20, and vary β (1) from −50 to 0, such that it takes values from
the the first and second approximation order GE regions depicted in Fig. 5 (right).
For (i) β (1) = −30 and β (1) = −20 the homogenized material shows GE properties,
(ii) β (1) = −10 GE appears only for the second order approximation of βb and (iii)
no GE properties are obtained for β (1) = −50, −40, 0. It is also noticed that in the
region of GE, the volume fraction where the maximum gain is reached moves as
β (1) goes from the left to the right boundary of the GE space.
Now, the GE index ρ is introduced as follows ([22])

βb
ρ= . (37)
min{β (1) , β (2) }

Using equation (37), the maximum GE with respect to the input data can be
shown. In particular, Fig. 7 shows ρ as a function of the ratio β (1) /β (2) and the
volume fraction V2 . It is observed that GE is guaranteed provided that β (1) = β (2) ,
i.e. for these values ρ > 1 and the maximum ρ is attained. Moreover, in the region
(β (1) /β (2 ) × V2 ∈ (0.5, 1) × (0.4, π/4) there are differences between the two figures.
Specifically, the first order approximation map (Fig. 7 left) gives values for ρ higher
than the corresponding to the second order approximation (Fig. 7 right). The

14
February 22, 2019 Waves in Random and Complex Media Manuscript

-25
-30
-26
-30
-35
-27

-40 -28
-35
-29
-45
-30
-50 -40
0 0.2 0.4 0.6 Vp 0 0.2 0.4 0.6 Vp 0 0.2 0.4 0.6 Vp

-20 -10 0

-12
-21 -0.5

-14
-22 -1
-16
-23 -1.5
-18

-24 -20 -2

0 0.2 0.4 0.6 Vp 0 0.2 0.4 0.6 Vp 0 0.2 0.4 0.6 Vp

Figure 6. First and second approximation of the imaginary part of the complex effective dielectric coeffi-
b depending on the volume fraction V2 for different values of β (1) .
cient κ

Figure 7. First and second approximation of the GE index ρ versus fiber volume fraction V2 and ratio
β (1) /β (2) .

maximum GE can be attained for higher truncation orders.

5.4. Effective coefficients of multilayered complex dielectric media

Following [23], the local problems Lk1 , Lk2 , as well as the effective coefficients (14a)–
(15b) can be used for complex dielectric media made of any finite number of layers
periodically distributed. The layers are assumed to be anisotropic and orthogonal
to one of the axis with perfect bounding conditions at the interfaces. If the axis
of orthogonality is Oy1 , the material functions depend only on y ≡ y1 . The unit
periodic cell in this case is the interval (0, 1) (Fig. 8). The derivatives involved in
the equations and formulas are ordinary, and the following closed-form analytical
expressions for all effective coefficients can be easily derived. They become
−1
−1
Abjk = hAjk (y)i + Aj1 (y) A−1


−1 
11 (y) A11 (y) A11 (y) A1k (y)
− Aj1 (y) A−1


11 (y) A1k (y) , (38)

15
February 22, 2019 Waves in Random and Complex Media Manuscript

x2 Γε

∂Ω Ω1ε Ω2ε

Ω
Γ
0 x1 0 1 y1
Y1 Y2

Figure 8. (Left) Domain Ω bounded by ∂Ω. (Centre) Two-layered composite material. (Right) Unit cell.

where the components of Abjk and Ajk are given by

Ab11 = α,
b Ab12 = Ab21 = −β,
b Ab22 = −α,
b
A11 = α, A12 = A21 = −β, A22 = −α.

From (38), the following expressions can be obtained for the particular case of a two-
phase complex dielectric laminate composite with anisotropic and homogeneous
phases

(1) −1
 
(1) (2) (2)
Abjk = V1 Ajk + V2 Ajk − V1 V2 JAj1 K V1 A11 + V2 A11 JA1k K . (39)

Expression (39) is a particular case of the formulas obtained in [5, 35]. For isotropic
constituents and using (38),

−1 
Abjk = hA11 (y)i δjk + A−1
11 (y) − hA 11 (y)i δj1 δ1k , (40)

where A11 (y) is

!
α(y) −β(y)
A11 (y) = .
−β(y) −α(y)

After some algebraic operations, from (40), one can obtain the following expressions
for the components of the effective matrix α b12 = αb21 = βb12 = βb21 = 0, α b22 =
hα(y)i, βb22 = hβ(y)i and
D E D E
α(y) β(y)
τ (y) τ (y)
b≡α
α b11 = D E2 D E2 , βb ≡ βb11 = D E2 D E2 , (41)
α(y) β(y) α(y) β(y)
τ (y) + τ (y) τ (y) + τ (y)

where τ (y) = α(y)2 + β(y)2 . Note that the following relation of proportionality
holds
  −1
α(y) β(y)
α
b= β.
b (42)
τ (y) τ (y)

Based on the relationships commented in Remark 1 and formulas (41), one can
obtain the expressions (30), p. 83 of [36] where a one-dimensional piezoelectric

16
February 22, 2019 Waves in Random and Complex Media Manuscript

heterogeneous medium was investigated.

Using formulas (26a)–(26b) and (41)–(42), the numerical results of the effective
coefficients, when the medium is a square lattice of circular inclusions of radius
R, at a second order of approximation and those given for a two-phase layered
material are compared. Note that the latter can be considered as a limit case
when the fiber inclusions is a square of area equal to one. In Fig. 9, the effective
coefficients given by formulas (26a)–(26b) (at the second order of approximation)
and (41) for κ(1) = 1 − 5i and κ(2) = 30 − 0.3i are shown. In particular, it is

30

-2
25
-4
20
-6

15 -8

10 -10

-12
5
-14
0 0.2 0.4 0.6 0.8 1 0 0.2 0.4 0.6 0.8 1

Figure 9. Comparison of the real (left) and imaginary (right) part of the complex effective dielectric
coefficient κ
b depending on the volume fraction V2 for a two-phase layered composite (formulas (41)) and
circular inclusions composite with n0 = 2.

Figure 10. GE subspace for the effective coefficient of a two-phase layered composite (formulas (41)) and
for the effective coefficient of a circular inclusions composite with n0 = 2, in the (β (1) , β (2) ) space for
α(1) = 1 and α(2) = 30.

observed a qualitative agreement between the curves. More important is to note

that the layered homogenized composite presents GE properties. Then, we compare
the GE permittivities parameter space β (1) × β (2) fixing α(1) = 1 and α(2) = 30
for both composites. This comparison is shown in Fig. 10 where the GE region of
a square array of cylinders is embedded in the GE space induced by the effective
properties of the homogenized two-phase layered composite.

17
February 22, 2019 Waves in Random and Complex Media Manuscript

6. Concluding remarks

A boundary value problem (2a)–(2d), for two dimensional complex dielectric het-
erogeneous media with periodic and rapidly oscillating properties is formulated
using a matrix notation. The complex problem is rewritten as a system of two equa-
tions with real coefficients (5a)–(5d), which corresponds to a piezoelectric problem
involving an out-plane mechanical displacement and an in-plane electric poten-
tial. Based on the asymptotic homogenization method, the homogenized problem,
the effective coefficients, and the corresponding local problems are formulated. For
isotropic constituents, the homogenization results are applied to obtain the local
problems (18a)–(18d), and the effective coefficients (20a)–(20b). For the case of
circular inclusions in a square matrix, the two local problems involved in (18a)–
(18d) were solved; by using series expansions of elliptic functions. Thus, closed-form
formulas for the effective coefficients (26a)–(26b) are found, which depend on the
solution of a regular infinite system (24). We also proof that expressions (26a) and
(26b) lead to the same results, as expected. The analytical formulas for any trun-
cation order can be obtained by following the same methodology used for finding
(34a)–(34b), which allow a simple computational implementation for the calcula-
tion of the effective coefficients. We observe that for the particular case of real
coefficients (i.e., for β (1) , β (2) = 0) the local problem (18a)–(18d), coincides with
the problem (3.5a)–(3.5d), p. 227 in [7]. The analytical solution of that problem
lead to the closed-form formula for the effective coefficient defined by equations
(3.15)–(3.16), p. 228 in [7]. Analytical expressions for effective properties of com-
plex dielectric multilayered composites are also derived. In particular, we find a
proportionality relationship (42) between the real and imaginary effective permit-
tivity for the case of two phase isotropic constituents.
The results of the present work and those reported in [17] are compared and are
practically indistinguishable. Moreover, using the results in [22], the applicability
of the analytical formulas to estimate composites whose performance exceeds those
of their individual constituents is illustrated. The methodology developed in this
study offers independent models to compute the real and imaginary part of the
effective complex dielectric conductivity which is an advantage for obtain short
formulas for the real and imaginary parts and consequently, the analysis of GE
and LE in such composite materials. Additionally, the procedure for obtaining the
analytical formulas can be extended for other lattice distributions. The knowledge
of the effective properties of an heterogeneous medium can be useful to investigate
wave propagation in such kind of media [37–39].

Acknowledgements

JB is grateful to the Cátedra Extraordinaria IIMAS-UNAM and PREI-DGAPA-

UNAM, Mexico. RR gratefully acknowledges the “Proyecto Nacional de Ciencias
Básicas”, Cuba 2015-2018. Also the support of Departamento de Matemáticas y
Mecánica, IIMAS-UNAM and the computational assistance of Ramiro Chávez To-
var and Ana Pérez Arteaga is recognized .

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