PL-5: Gyro-Devices and their Applications

Manfred Thumm
Karlsruhe Institute of Technology (KIT), Institute for Pulsed Power and Microwave Technology and Institute of High Frequency Techniques and Electronics, Kaiserstr, 12, 76131 Karlsruhe, Germany E-mail: manfred.thumm@kit.edu

Abstract: Gyro-oscillators (gyrotrons) are mainly used as high power millimeter wave sources for electron cyclotron resonance heating (ECRH), current drive (ECCD), stability control and active diagnostics of magnetically confined fusion plasmas. The maximum pulse length of commercially available 140 GHz, megawatt-class gyrotrons is 30 min (CPI and European KIT-CRPP-TED collaboration), at 44% efficiency. The Japan 170 GHz ITER gyrotron achieved 1 MW, 800 s at 55% efficiency and holds the energy world record of 2.88 GJ (0.8 MW, 60 min) and the efficiency record of 57% for tubes with an output power of more than 0.5 MW. The Russian 170 GHz ITER gyrotron achieved 1 MW (0.8 MW) with a pulse duration of 570 s (1000 s) at 53% (55%) efficiency. All these gyrotrons are equipped with synthetic diamond output windows and single-stage depressed collectors for energy recovery. Operation at the 1st and the 2nd harmonic of the EC frequency enables gyrotrons to act as high-power steptunable mm- and sub-mm wave sources up to the THz frequency range for plasma diagnostics, high-frequency broadband electron paramagnetic resonance (EPR) and dynamic nuclear polarization-nuclear magnetic resonance (DNP-NMR) spectroscopy as well as for medical therapy. Gyrotrons have also been successfully used in materials processing, plasma chemistry and ECR multicharged heavy ion sources. Such technological applications require tubes with the following parameters: f 24 GHz, Pout = 4-50 kW, CW, >30%. The development of various types of high average power Ka- and W-band gyro-amplifiers allows high resolution ranging and imaging in atmospheric and planetary science. The present paper gives a short review of the state-of-the-art and future prospects of gyro-devices and their applications. Keywords: gyrotron, gyro-amplifiers; electron cyclotron resonance heating and current drive; plasma diagnostics; electron cyclotron resonance ion source; millimeter wave materials processing; EPR and DNP-NMR spectroscopy; millimeter wave radar. Introduction Gyro-devices are fast-wave mm-wave oscillators and amplifiers based on the Electron Cyclotron Maser (ECM) instability. The free energy for mm-wave generation and amplification is the rotational energy of a weakly relativistic helical electron beam in a longitudinal magnetic

field. A net transfer of energy from the gyrating electrons to the electromagnetic (EM) field in the overmoded interaction circuit occurs as a result of mainly azimuthal phase bunching when the wave frequency is slightly larger than the relativistic electron cyclotron frequency or one of its harmonics. Many types of mm-wave sources are based on the ECM instability, such as the gyro-oscillator (gyrotron), gyro-klystron, gyro-twystron, gyro-travelling wave tube (gyro-TWT) or the gyro-backward-wave oscillator (gyro-BWO) [1, and references given there]. The possible applications of gyrotrons and other gyro-type fast-wave devices span a wide range of technologies [1]. The plasma physics community has already taken advantage of recent advances in producing high power micro- and millimeter (mm) waves in the areas of RF plasma applications for magnetic confinement fusion studies, such as lower hybrid current drive (1-8 GHz), electron cyclotron resonance heating (ECRH) and current drive (ECCD) (28-170 GHz), plasma stabilization, plasma start-up and active plasma diagnostic measurements such as collective Thomson scattering or heat-pulse propagation experiments. Other applications of gyrotrons include ECR multicharged heavy ion sources (ECRIS), materials processing, plasma chemistry, sub-mm-wave EPR and DNP-NMR spectroscopy, medical therapy, active denial systems, as well as detection of concealed radioactive materials. The availability of high average power gyroamplifiers like gyro-klystron, gyro-twystron, and gyroTWT allows high resolution mm-wave radar and imaging systems. The present short review summarizes the status of recent developments on high-power gyro-devices and their various applications. Gyrotrons for Fusion Plasma Applications The present state-of-the-art of industrial megawatt-class long-pulse fusion gyrotrons (fo 110 GHz) with TEM00mode output, synthetic diamond output window and singlestage depressed collector (SDC) for energy recovery from the spent electron beam is summarized in Table 1 [1-6]. A maximum output power of 1.5 MW in 4.0 s pulses has been generated with the TOSHIBA/JAEA 110 GHz gyrotron. Very high efficiency (57%) has been obtained in the TOSHIBA/JAEA collaboration due to operation in the so-called hard-excitation region [5]. This type of operation was achieved by control of the electron beam pitch factor by a triode-type magnetron injection gun (MIG) with an

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Table 1. State-of-the-art of industrial megawatt-class long-pulse gyrotrons (f 110 GHz) with TEM00-output.
Company/Inst. Frequency (GHz) 110 140 140 170 170 Cavity mode TE22,6 TE28,7 TE28,8 TE25,10 TE31,8 Power (MW) 1.0 0.9 0.92 1.0 0.8 1.0 0.8 Efficiency (%) 38(SDC) 35 (SDC) 44 (SDC) 53 (SDC) 55 (SDC) 55 (SDC) 57 (SDC) Pulse length (sec) 31 3600 3600 570 1000 800 3600

Table 2. State-of-the-art of advanced short-pulse 1.5-2 MW gyrotrons (f 140 GHz) with TEM00-output.
Company/Inst. KIT/EFDA GYCOM/IAP KIT/F4E TOSHIBA/JAEA Frequency (GHz) 165 170 170 170 170 Cavity mode TE31,17 coaxial TE28,12 TE34,19 coaxial TE31,12 TE31,11 Power (MW) 2.2 1.44 2.2 1.56 1.35 Efficiency (%) 48(SDC) 41(SDC) 30 27 31

TOSHIBA/JAEA CPI TED/KIT/CRPP GYCOM/ IAP TOSHIBA/JAEA

additional modulation anode. Experiments on 5 kHz (100 s off) power modulation at 60 s pulse length of the 170 GHz, 1 MW TOSHIBA/JAEA gyrotron by beam current modulation via the modulation anode have been very successful [6]. The modulation capabilities of the TED/KIT/CRPP tube (with diode-type MIG) for use in plasma stabilization and diagnostic experiments also have been experimentally investigated. Power modulation higher than 80% has been obtained either by modulating the cathode voltage or the depression voltage. Modulation frequencies as high as 50 kHz have been obtained with cathode voltage modulation and 1.5 kHz with depression voltage modulation; in both cases, the modulation frequency limitation was determined by the corresponding HV power supply and not by the gyrotron itself [7]. The peak power deposition on the collector of this gyrotron can be reduced by a factor of 2 with combined transversal and vertical magnetic sweeping of the spent electron beam [8]. Development of Future Advanced Fusion Gyrotrons In order to keep the number of the required gyrotrons and magnets as low as possible, to reduce the costs of the ITER 24 MW, 170 GHz ECRH system and to allow four compact upper launchers for plasma stabilization, higher mm-wave power per tube (2MW) is desirable. Cylindrical waveguide gyrotron cavities are not suitable for this high frequency, high power regime because of high Ohmic wall losses and/or mode competition problems. However, in coaxial resonators the existence of the longitudinally corrugated inner conductor reduces the problems of mode competition and limiting current, thus allowing one to use even higher order modes with lower Ohmic attenuation than in cylindrical resonators. Synthetic diamond windows with a transmission capability of 2 MW, CW are feasible. A 2 MW, CW, 170 GHz coaxial-cavity gyrotron for ITER is under development in cooperation between European Research Institutions (EGYC). The ITER gyrotron development teams in Japan and Russia are testing the power limits of conventional cylindrical-cavity CW gyrotrons. Table 2 summarizes the present state-of-the-art of advanced shortpulse 1.5-2 MW gyrotrons with TEM00 output [5,6,9]. CPI is developing a 95 GHz, 2.5 MW, CW gyrotron for active denial systems. This tube also could be used for ECRH and ECCD applications.

The availability of sources with fast frequency tunability (several GHz s-1, tuning in 1.5-2.5% steps for approximately ten different frequencies) would permit the use of a simple, fixed non-steerable mirror antenna for local ECCD experiments and plasma stabilization. GYCOM/IAP develops in collaboration with IPP Garching and KIT an industrial, frequency-tunable 1 MW gyrotron with almost 50% efficiency (SDC). A four-frequency tube (105, 117, 127 and 140 GHz) delivered in 10 s pulses 0.85 MW at 105 GHz and 0.95 MW at 140 GHz (twofrequency gyrotron). After the installation of a broadband synthetic-diamond window, the GYCOM/IAP/IPP/KIT group will operate this gyrotron at the two intermediate frequencies [5]. Preliminary operation of one of the 140 GHz, TED/KIT/CRPP megawatt-class gyrotrons at IPP Greifswald as a two-frequency gyrotron delivered 0.41 MW in 10-s pulses at 103.8 GHz [4]. JAEA in Japan is testing a 137/170 GHz 1.4 MW two-frequency longpulse gyrotron operating in the TE25,9 and TE31,11 modes, respectively [6]. Gyrotrons for Plasma Diagnostics In the Research Center for Development of Far-Infrared Region at the Fukui University (FIR FU), high frequency medium power gyrotrons known as FU Series are being developed as mm-, sub-mm and THz wave sources for plasma diagnostic and spectroscopic measurements [10]. Up to the present time, the FU Gyrotron Series has achieved various important characteristics for those applications: (1) Frequency step tunability over a wide range from 38 GHz (fundamental) to 1.014 THz (TE4,12 mode, second harmonic) at power levels from 10 kW to 10 W [11], (2) amplitude modulation (AM) and frequency modulation (FM) of the gyrotron output, (3) stabilization of both output power and frequency (10-9), (4) complete CW operation (up to 15 hours duration) and (5) high purity output mode. At IAP Nizhny Novgorod special pulsed gyrotrons with pulsed magnet (30-80 s) operating at the fundamental EC frequency delivered Pout = 40 kW with = 40 s at frequencies up to 650 GHz ( 4%), Pout = 5.3 kW at 1 THz ( = 6.1%), and Pout = 0.5 kW at 1.3 THz ( = 0.6%) [12]. Detailed information on the parameters of these 1st and 2nd harmonic mm-, sub-mm and THz gyrotrons, on the experimental results of high-harmonic large-orbit gyrotrons with axis-encircling electron beams

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and on the state-of-the-art of quasi-optical high-frequency gyrotrons can be found in [1, and references given there]. Gyrotrons for Technological Applications Recently, CW gyrotrons have also been successfully utilized in materials processing (e.g. sintering of advanced nano-structured ceramics and metal powders, surface hardening, joining or dielectric coating of metals and alloys) as well as in plasma chemistry and ECR discharges for generation of multi-charged heavy ions. Microwaves at the ISM (Industrial, Scientific, Medical) frequency 24.15 GHz could also be used for de-icing of carbon reinforced composite components of future aircrafts. Such technological applications require sources with the following parameters: f 24 GHz, Pout = 4-50 kW, CW, >30%. The state-of-the-art of industrial CW gyrotrons for technological applications is summarized in Table 3 [1]. The use of gyrotrons appears to be of great interest if one can realize a relatively simple, low-cost device which is easy to use (such as a magnetron). Gyrotrons with low magnetic field (operating at the second harmonic of the electron cyclotron frequency) provided by a permanent magnet system, low anode voltage, high efficiency (SDC) and long lifetime are under development (see [1]). CW radiation at a power level of 2.2 kW in the TEM00 output mode is generated from a GYCOM 300 GHz gyrotron operating at the fundamental EC frequency in the TE22,8 cavity mode. This tube is used for technological applications at the University of Fukui in Japan. Frequency tunable sources like gyro-BWOs [13] are also of interest since in this case it is much easier to obtain a highly homogeneous distribution of the EM field in the applicator for materials processing. But such devices are more expensive compared to simple gyrotrons. Very High-Frequency Spectroscopy The availability of mm-, sub-mm wave and THz sources with output power of around 1-20 W allows high-resolution electron paramagnetic resonance (EPR) experiments on samples having very small differences in g-factors, nonlinear magnetic field interaction terms and short-relaxation time constants. Pulsed magnetic fields up to 30 T have been generated in synchronized phase in pulsed gyrotron operation. Gyrotron-based EPR spectrometers are also being used to study dynamic nuclear polarization (DNP), a technique that can result in significant enhancements of nuclear magnetic resonance (NMR) signals [14]. 197 GHz EPR corresponds to 300 MHz NMR. New gyrotrons demonstrate single-mode operation at the second cyclotron harmonic with a frequency of 395 GHz in the CW regime with a power of 100 W and at the third harmonic with frequencies of 371-414 GHz in 10-s pulses with power of 10-20 kW. For pulse EPR spectrometers, phased packets of short pulses (ns time-scale) are required; these may be generated by future 2nd harmonic gyro-klystron amplifiers.

Table 3. Gyrotrons for technological applications.

Company/ Inst. CPI GYCOM/ IAP Frequency (GHz) 28 (2c) 24.1 (2c) 24.1 24.1 (2c) 28/30(2c) MITSUBISHI 28 (2c) Cavity mode TE02 TE11 TE32 TE12 TE02 TE02 Power (kW) 10.8 3.5 36 6.5 30 10 Efficiency (%) 33.6 23 50 60 (SDC) 35 38.7 Voltage (kV) 30 12 33 17.5 26 21

They could also be employed favorably in electron nuclear double resonance (ENDOR) experiments and in electron electron double resonance (ELDOR) spectrometers. Broadband frequency tuning could be achieved by gyro-BWOs. Gyro-Amplifiers for mm-Wave RADAR Systems The development of high-power gyrotron oscillators and gyro-amplifiers has opened up a number of possible applications to advanced mm-wave radars for high resolution ranging and imaging in atmospheric and planetary science (e.g. cloud and space-debris monitoring) as well as for deep-space and specialized satellite communications. A 120-element phased-array 34 GHz radar system (4' beam width) using two 0.5 MW gyroklystrons with 50 MHz bandwidth, 100 s pulse duration and 0.01 duty factor was operated in the USSR [15]. In the USA a W-band radar system employing a multi-cavity 92 kW, 94 GHz gyro-klystron with 420 MW (0.45%) bandwidth and a duty factor of 0.11 (10 kW average power) is running [16]. The state-of-the-art of weakly relativistic 35 GHz and 95 GHz gyro-klystrons is summarized in Table 4 and 5, respectively. Larger bandwith of up to 2% can be obtained with gyrotwystrons [1]. The gyro-twystron, a hybrid device, is derived from the gyro-klystron by extending the length of the drift section and replacing the output cavity with a slightly tapered waveguide section like in a gyro-TWT. The output waveguide section is excited by the beam of electrons that are bunched because of modulation in the input and bunching cavities. CPI reported on a W-band 5 section gyro-twystron with 4 cavities and one travellingwave output circuit, all operating in the TE01 mode, which delivered about 55 kW peak power at 14.9% efficiency, 35 dB gain and 1.6% (1.5 GHz) bandwith. The average output power was 5.5 kW (10% duty factor) [17]. Recent gyro-TWT devices employ tapered magnetic field and interaction circuit as well as two partially loaded stages in order to optimize the beam-wave interaction along the waveguide. The present development status at 35 GHz and 95 GHz center frequency is given in Table 6 and 7, respectively [1,18]. The sensitivity to velocity spread can be strongly reduced by coupling between the 2nd harmonic cyclotron mode of a gyrating electron beam and the radiation field in the region of near infinite phase velocity over a broad bandwidth by using a waveguide with a helical corrugation on its inner surface (GYCOM/IAP).

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Table 4. Present status of 35 GHz gyro-klystrons.

Company/Inst. GYCOM/IAP Mode TE02 TE01 No. of cavities 2 2 4 4 3 TE02 (2c) 3 (PM, 350 kg) TE02 (2c) IECAS NRL TE02 (2c) TE01 2 3 2 3 4 UESTC TE01 4 Power [kW] 750 (5av.) 350 160 280 250 (1.2av.) 300 258 212 210 225 208 300 (5av.) Gain [dB] 20 19 42 34 40 22 17 24 24 30 53 36 BW [%] 0.6 0.9 1.0 0.53 1.0 0.1 0.3 0.44 0.35 0.82 0.5 1.0

Table 5. Present status of 95 GHz gyro-klystrons

Company/Inst. CPI GYCOM/IAP ISTOK/IAP NRL Mode TE01 TE01 TE02 TE01 TE01 No. of cavities 4 5 4 3 4 4 5 Power [kW] 118 (10av.) 130 (10av.) 65 340 2.5 (CW) 84 72 Gain [dB] 24.7 39.5 35 23 31 42 48 BW [%] 0.64 0.75 0.3 0.3 0.36 0.37 0.44

Table 6. Present status of 35 GHz gyro-TWTs

Company/Inst. BVERI IAP NRL Mode TE01 TE-21/TE+11 TE10 TE01 TE11 TE11 TE11 TE01 Power [kW] 86 180 50 137 140 62 93 160 Gain [dB] 33 27 25 47 60 33 70 40 Bandwidth [%] 6 10 11 3.3 2.2 12 8.6 5

NTHU UESTC

Table 7. Present status of 95 GHz gyro-TWTs

Company/Inst. CPI UCLA Mode TE11 TE01 TE01 Power [kW] 28 2.0 (0.8 av.) 59 Gain [dB] 31 44 42 Bandwidth [%] 2 7.7 1.3

Employing one 6.5 GHz bandwidth W-band gyro-TWT driver amplifier with 0.5-1 kW peak output power, 44 dB gain and 40% duty factor and four 55 kW high-power gyrotwystron amplifiers with 1.5 GHz bandwidth, 33 dB gain, 10% duty factor and staggered center frequency (four frequency bands) one could realize a high-resolution 6.5 GHz bandwidth high-power W-band imaging radar system.

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